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December Employee Of the Month:
Courtney Anderson
Residential DSP Awake Overnight at Program 22
Congratulations to Courtney Anderson for being honored as the December Employee of the Month! Courtney started with Shadowfax in 2017, after completing college for dental hygiene and then climbing the corporate ladder at Ruters for ten years. After deciding she needed a change, she followed her sister, Cierra, into working with individuals with IDD—and is very glad she did!
Courtney is grateful to the women she works with at Program 22, saying, “They have taught me so much… Even on the most hectic workdays, we pull together and make sure everything is up to our company moral standards and that our individuals are taken care of.”
On a personal note, Courtney purchased her first home in 2020 and got engaged at the end of 2021. Her plans for the future include furthering her medical education, and planning her wedding!
Of working at Shadowfax, Courtney says, “I love the work we do and the values we stand for. Helping others live the fulfilling life they deserve is a humbling and sincerely rewarding effort. I hope to bring positive change and impact for the company and individuals we take care of.” Thank you, Courtney, for all you do. Your presence with us is highly valued!
Benefits Open Enrollment Meetings
For Plan Year Beginning March 2022
The open enrollment period for the 2022-2023 insurance plan year will be Jan 24-Feb 4. ATTENDANCE IS REQUIRED FOR ALL STAFF ELIGIBLE for medical benefits. Even if waiving insurance, you are still required to attend ONE meeting to submit the benefit election form. Hourly staff will be paid; must attend outside scheduled work hrs. Meetings will last about an hr.
Meetings will be held via ZOOM and will be MANDATORY, even if you are waiving medical, dental & vision insurance.
Wed Jan 26, 10am or 5pm Mon Jan 31, 10am or 5pm
Wed Feb 2, 10am or 5pm Thu Feb 3, 10am or 5pm
SIGN UP for one of these meetings on Relias. BE SURE to have Zoom downloaded on your device before the meeting! BE SURE that you have access to your shadowfaxinfo.com email, as you will receive the benefits enrollment form to complete and sign by email, to be returned to Darla Hodson in HR by 2/4/22.
From the Desk of Chris Nigon...
Happy New Year to all who read this newsletter! We have been through quite a year and now is the time to gather our energy and focus on meeting some key goals for 2022. Please focus on doing your part to support these goals:
**Digitalization**
SETWORKS for case mgmt. in caring for our individuals. CARASOLVA for med administration. SWIPECLOCK for time and attendance AND pay!
**Recruiting and Retention**
We must fill all DSP openings as soon as possible. Please encourage qualified and motivated friends to apply!
**Compliance**
We must eliminate Med errors and other transgressions of ODP regulations. If in doubt, ask your supervisor.
*Keep COVID in all its forms out of Shadowfax.*
Enough has already been said in this area. Please stay safe and if you are sick, stay home and follow protocol.
We value your input and advice on how to make improvements. You will see suggestion boxes installed in our facilities. We WILL take your suggestions seriously!
Deb Bryant is composing a complete Shadowfax history to post on our new website. Please contact Deb with any input you may have on Shadowfax key dates and milestones. The more input we get, the better the history document will be. We will keep it updated in the future.
Finally, we have a new website and Facebook page. Please like us on Facebook AND visit both to keep up on happenings. Ask friends & family to like us as well.
Happy New Year and THANK YOU for your hard work and support.
Chris Nigon
Communication with your supervisor is both important AND necessary, especially if you have ideas for improvement or adjustments. A SUGGESTION BOX is just an additional avenue for receiving input from every angle and every perspective! The Tremont Street Suggestion Box is located next to the swipe clock in the lobby. The Pattison Street Suggestion Box is located in the main lobby, just inside the inner door, on the wall to the left. We need everyone’s input, to get the full picture!
Setting a SMART Goal in 2022
Do you make New Year’s Resolutions? Many people decide to focus on their health or finances at the start of a new calendar year. It’s a good time to reflect on where you’ve been and what you want to achieve in the future.
It’s easier to meet a goal when you take some time to think about what you want to do and the steps you’ll need to take. One goal planning method people use is to set a SMART goal. SMART is an acronym that can help you lay out a plan to meet your goals.
Continued on Page 4....
From the Training Office
Wayne Keith
Training Manager
Marlo Sell
Assistant Training Manager
Questions about training?
Call 717-854-7742, ext. 3030 or 3033
Free Physical/TB Test at UPMC Express Care
You can now get your physical and/or TB test done at a UPMC Express Care at no out-of-pocket cost to you! UPMC will bill Shadowfax directly. Please call HR, (717) 854-7742, for an “Authorization Form”. Also, for those who choose to get it done at another location, the reimbursement ceiling for physicals/TB tests has been raised to $70, though this may change again in the near future.
Revised Policies Module 7
is now in Relias. Please review by Jan. 31. Thank you!
New Website Coming Soon!
As part of our digital transformation, we are redoing the Website! Stay tuned for the launch on January 13! Also, the QR Code is on Page 8 of this newsletter, which will take you directly to our social media site Facebook. Please like us on Facebook! Follow us, share us… and contribute to social media by sending pictures, videos, and ideas to the Training Department!
Coming to Tremont Street for Training?
If you’re coming to the Tremont Street building for a training, you must use the SIDE DOOR off Edison Street. It has a doorbell now! Do not use the covered entrance; use the door to the left of the covered entrance.
Just a heads-up… If you come in the front door, you won’t be “buzzed” in as usual, you’ll be directed to the side door. Thank you in advance for your understanding as we transition to new, more effective methods!
Setting A SMART Goal in 2022 continued...
Specific – What do you want to accomplish? To be a runner? A specific goal could be to run a race in 2022.
Measurable – How will you know you’ve met your goal? Having a measurable goal allows you to quantify your progress – you have a definite way of knowing when you’ve reached your goal. If your goal is to run a race, choose a distance like a 5K or a half-marathon.
Attainable – Is your immediate goal one that you can reasonably expect to meet with some effort? For example, if you’ve never been a runner, starting out with a 50-mile race as your first goal is probably not attainable when you’re starting out. Set a more modest goal to begin. Small goals can be stepping stones. Be honest with yourself and your abilities, set a short-term goal that you can achieve, then set a bigger goal.
Relevant – Why do you want to achieve your goal? Is it something you truly want to do? External influences can be great motivation, but you’ll have the most success when your goal is something that has personal meaning and value to you.
Time-based – How long will it take you to accomplish your goal? Having a timeline will keep you motivated. Your target date shouldn’t be so far out that you don’t feel like you have to start working toward it now, but you should also make sure you have enough time to do the work necessary to meet the deadline.
Setting and achieving a goal is empowering! If you plan to make a wellness resolution in 2022, make sure it’s a SMART one! You can do it!
Winter Safety
Just a friendly reminder that staff should not attempt to carry heavy bags of rock salt. Per Frank Moritz, Property Manager, there are small white pails that can be used to transfer an appropriate amount of rock salt for spreading.
Avoiding Med Errors
Med Admin Steps
Don’t forget your 15 steps of medication administration! One of those steps is to identify your person and medications prior to getting the medications out. Make sure you review MARs carefully so you know what medications are to be administered at that time. Make sure you are completing three checks before each administration and one check after administration for every medication. Thank you!
Quotes for the New Year
Carl Bard:
“Although no one can go back and make a brand new start, anyone can start from now and make a brand new ending.”
Anonymous:
“Your perspective is created by your level of gratitude. Your level of gratitude creates your perspective”
Winnie the Pooh:
“I always get to where I’m going by walking away from where I’ve been.”
Employee of the Month
Have you nominated someone for Employee of the Month yet? Who is your favorite co-worker—someone who demonstrates the mission of the company by consistently serving the individuals with dedication and sacrifice? A nomination form is included with this newsletter, and is also on the Staff Resources page, under “Forms”. Fill it out and send it to the HR Dept.
Referral Bonus
Refer hard-working, reliable, caring and conscientious people by filling out referral forms within 3 days of when they apply. If hired & they work at least 90 days you’ll receive:
$500 Bonus
paid over 6-month period (as long as the person is on staff)
Referrals must be submitted to HR within 3 days of receipt of the application. Forms are available in Staff Resources, or at reception desks.
Congratulations
Referral Bonus Recipient!
Staff currently receiving a bonus:
Dee O’Conner
Referral Forms are available at the front desks at Pattison St, Tremont St & Market St.
Years of Service Celebrated
Congratulations to the following Staff who hit benchmarks for years of service at Shadowfax!
25 Years
Marian Miller
5 Years
Rachel Anders Linda Welsh
Katrina Thomas
Going Green
“I Want To Be Recycled”
During 2021, we are presenting a series on common household items & their recycling processes.
Food Scraps
WHAT CAN BE RECYCLED?
Fruit & vegetable peelings, coffee grounds, other food scraps, plus small amounts of soiled paper or cardboard.
WHY IT WANTS TO BE RECYCLED
Recycled food scraps are called compost, and they are a beneficial soil additive, providing nutrients while helping to retain soil moisture in arid climates. Also, composting food scraps keeps them out of landfills where they take up space & release methane, a potent greenhouse gas.
HOW CAN I RECYCLE IT?
Food scraps can be composted right at home. Indoors, Vermicomposting uses red wiggler worms in a bin to contain the worms and the organic matter. In-Vessel Composting keeps organic material in a drum or similar container where the environment can be controlled. If you have a yard, food scraps can be added to a compost pile outdoors along with other organic waste.
WHAT DOES IT BECOME?
Food scraps currently make up 14% of what ends up in landfills annually. By composting your food scraps, you can keep them out of landfills and allow them to enrich the soil.
From iwanttoberecycled.com, “Recycling Explorer”
Beneficiary Information
All full-time staff receive life insurance coverage on the 1st of the month upon completion of 90 days of employment. Be sure to keep your beneficiary information current for both the life insurance and 403B plans. Keeping the information current with the HR Dept. will ensure that money is allocated correctly in the event of a tragedy.
403(b) Staff Can Attend Quarterly 403(b) Meetings
with Brock Hively, held at Pattison St. Contact Amy Brillinger, Acting CEO/Director of HR at firstname.lastname@example.org, or (717) 854-7742, for the date & time of the next meeting.
The Shadowfax Corporation
386 Pattison Street, York PA 17403
(717) 854-7742 www.shadowfax.org
To set the standard for quality in the human service field through consistent demonstration of dependability, integrity, collaboration, innovation, and commitment to our stakeholders.
Support The Shadowfax Corporation.
When you shop at https://smile.amazon.com/ch/23-2368549 Amazon donates.
Make 2022 the year of you!
This year, resolve to make your personal health and fitness a priority.
JANUARY 2022
| SUN | MON | TUE | WED | THU | FRI | SAT |
|-----|-----|-----|-----|-----|-----|-----|
| | | | 5 | | | |
| 10 | 11 | 12 | 19 | 20 | 21 | 26 |
| 11 | 12 | 13 | 20 | 21 | 22 | 27 |
| 12 | 13 | 14 | 21 | 22 | 23 | 28 |
| 13 | 14 | 15 | 22 | 23 | 24 | 29 |
| 14 | 15 | 16 | 23 | 24 | 25 | 30 |
TAKE IT ONE STEP AT A TIME.
DON'T BEAT YOURSELF UP IF YOU MISS A WORKOUT OR OVEREAT.
EXERCISE WITH FRIENDS AND FAMILY TO STAY MOTIVATED.
DEFINE ATTAINABLE HEALTH GOALS FOR YOUR LIFESTYLE.
TRACK YOUR FOOD AND WATER INTAKE.
To learn more helpful tips, visit mycare.sharecare.com.
Chicken, Kale, and White Bean Stew
This hearty stew provides women with almost half of their daily fiber needs and men with one third. Plus, you’ll get lean protein from the chicken and beans, B vitamins, iron, and antioxidants — all key nutrients for optimal health and an active lifestyle.
Ingredients
- 2 teaspoon canola oil
- ½ medium onion, chopped
- 2 cloves garlic, minced
- 4 ounces sliced mushrooms
- 1 pound boneless, skinless chicken breasts, cut into pieces
- 1 bunch kale (about 3/4 pound), stems removed and cut into ribbons
- 1 15-ounce can diced tomatoes
- ¼ cup no-salt-added tomato paste
- 1 15-ounce can cannellini beans, rinsed and drained
- Freshly ground pepper to taste
Servings: 4
Preparation
1. Heat oil on medium heat in large skillet.
2. Saute onion, garlic, and mushrooms for 3 to 4 minutes.
3. Add chicken and cook for 3 to 4 minutes, until no longer pink on the outside.
4. Add the kale in two or more batches and cook until wilted.
5. Stir in the tomatoes and tomato paste, then add the beans.
6. Simmer for 10 to 15 minutes.
Nutrition (per serving)
370 calories; 42g carbohydrates; 11g fiber; 4.8g fat; 40g protein; 473mg sodium; 0.7g saturated fat; 85mg cholesterol
To learn more helpful tips about maintaining a healthy lifestyle, visit mycare.sharecare.com
© 2022 Sharecare, Inc. All rights reserved.
This month’s highlights include Discussion on New Year’s Resolutions, the Aim for Change Wellness Coaching Program, Sharecare featured challenge, and updates regarding Sharecare In-app registration!
**New Year’s Resolutions**
A new year often signifies a fresh start for many people. For some, this means setting health goals, such as losing weight, following a healthier diet, quitting tobacco and/or starting an exercise routine.
More often than not, the health and wellness resolutions chosen are highly restrictive and unsustainable, leading most people to break their resolutions within a few weeks. This is why many people make the same resolutions year after year.
To break that cycle, it’s important to make resolutions that can not only improve health but also be followed for life. Here are a few ideas for healthy and sustainable new year resolutions:
- **Eating more whole foods versus processed or pre-packaged.**
- **Sitting less and moving more.** Making a point to get up regularly during the day or working in 30 minutes of aerobic exercise daily.
- **Working on improving quality of sleep.**
- **For mental health, limiting screen time and trying mind/body exercises such as yoga or meditation and deep breathing.**
- **Taking more ‘me-time’ such as a vacation, improving self-care, or beginning a new hobby such as cooking.**
Some reasons why it may be hard to keep and sustain new year’s resolutions; resolutions aren’t specific enough, they can be negatively phrased, and not relevant to the individual. Using the SMART format (specific, measurable, attainable, relevant, timely) is helpful in setting and sticking to a resolution you make.
To learn more about ways to stick to your new year’s resolutions, please click on each link below!
[https://www.healthline.com/nutrition/realistic-new-years-resolutions](https://www.healthline.com/nutrition/realistic-new-years-resolutions) - Healthy New Year’s resolutions you can actually keep.
[https://www.apa.org/topics/behavioral-health/new-year-resolutions](https://www.apa.org/topics/behavioral-health/new-year-resolutions) - Making New Year’s resolutions stick.
Featured Wellness Coaching Program: Aim for Change
Good nutrition, exercise, and a healthy weight are important for your overall health and well-being. The Aim for Change program is designed to help members learn about healthy eating basics, the value of physical activity, and how both nutrition and physical activity are keys for long-term weight management and improved health. This program also addresses key factors that contribute to motivation and overcoming barriers.
Work with a Wellness Coach to learn:
- Nutrition basics and tips to improve your diet.
- Physical activity basics and strategies to get moving more.
- How nutrition and activity contribute to weight management.
- Strategies for the challenges and obstacles that you might encounter.
Take control of your health and talk with a Wellness Coach about your own personalized healthy lifestyle plan.
Why take control of your health?
- Feel better
- Have more energy
- Be more active with your family
- Sleep better
- Improve heart health, blood pressure, cholesterol and/or better control of diabetes
You can call 1-800-650-8442 or the number on the back of your medical ID card to get connected with a coach, Monday-Friday 8:30 a.m.- 8:30 p.m. ET or visit your member website to learn more.
Sharecare Featured Challenge
Join the Healthier You in 2022 challenge this month. Complete the challenge by earning 21 Green Days in January to help create healthier habits in the new year. Join this challenge starting on Christmas Day by going to mycare.sharecare.com and clicking Achieve → Challenges → Upcoming and join the challenge.
Sharecare In-App Registration Update
If you’re new to Sharecare, you can create an account on the Sharecare app.
Download the Sharecare app from your phone’s app store. To sign up, have your member ID card handy and enter your information exactly as it appears on your card - or go to mycare.sharecare.com and use the same steps to sign up on the website.
Plan Ahead: Join us next month for February’s health topic: Health Maintenance and Heart Disease Risk Factors
Enjoy convenient mobile access to your benefits.
Browse benefits. Request services. Contact ACI Specialty Benefits.
ACI Specialty Benefits makes accessing benefits easy with myACI Benefits. Simply download the app for iOS or Android to get started.
How to download myACI Benefits:
- Visit your landing page for mobile app links: http://rsli.acieap.com
- Search the App Store or Google Play for "myACI Benefits"
How to start accessing benefits:
Already have an account on myACIonline?
- For existing users of ACI's portals, simply sign in with your same account login information.
- For new users, register in-app for a new account using the corporate code: RSLL859
This new account login will also work to sign into ACI's portals to access your benefits online.
After signing in, users can directly connect with ACI Specialty Benefits to request services, get questions answered, and receive assistance. Specific benefit services may vary depending on the corporate benefit package selected.
Contact ACI Specialty Benefits
855-RSL-HELP (855-775-4357)
http://rsli.acieap.com
email@example.com
When considering someone for this award, think of how this staff member embodies the mission and vision of Shadowfax.
Note: Management are not eligible for this title.
OUR MISSION
"To set the standard for quality in the human service field through consistent demonstration of dependability, integrity, collaboration, innovation, and commitment to our stakeholders."
Our Vision
"Shadowfax will boldly support and hold itself accountable to the principles of Everyday Lives for its clients, staff members, and community."
On the back of this form, please provide examples of how this staff member demonstrates the mission, vision, and values set forth in the Shadowfax Competency Model.
Shadowfax Competency Model
Nominated by:
Date:
Each Employee-of-the-Month recipient will be in the running for Shadowfax Employee-of-the-Year award. Staff will be selected for this recognition based on qualitative results.
Submit this form to HR between the 1st and 10th of the month
|
STATEMENT OF THE CASE
On July 10, 2020, [redacted] and [redacted] (Parents),¹ on behalf of their child, [redacted] (Student), filed a Due Process Complaint with the Office of Administrative Hearings (OAH) requesting a hearing to review the identification, evaluation, or placement of the Student by Howard County Public Schools (HCPSS) under the Individuals with Disabilities Education Act (IDEA). 20 U.S.C.A. § 1415(f)(1)(A) (2017);² 34 C.F.R. § 300.511(a) (2019);³ Md. Code Ann., Educ. § 8-413(d)(1) (2018); Code of Maryland Regulations (COMAR) 13A.05.01.15C(1).
The Complaint alleges that the HCPSS violated the IDEA by denying the Student a free appropriate public education (FAPE) for the 2019-2020 and 2020-2021 school years (and for the
---
¹ Although both Parents were present during the hearing, only the Student’s mother testified. Therefore, when appropriate, reference to “Parents” will be to both, and the singular “Parent” will refer only to the Student’s mother.
² U.S.C.A. is an abbreviation for United States Code Annotated. Unless otherwise noted, all citations of 20 U.S.C.A. hereinafter refer to the 2017 bound volume.
³ C.F.R. is an abbreviation for Code of Federal Regulations. Unless otherwise noted, all citations of 34 C.F.R. hereinafter refer to the 2019 volume.
summer session in 2020) because the HCPSS failed to determine eligibility and develop an Individualized Education Program (IEP) within the required timelines and to offer the Student a FAPE. The Complaint further alleges that HCPSS failed to provide researched-based instructional interventions to address all of the Student’s unique needs, the Student’s IEP failed to address the Student’s need for a smaller classroom with fewer distractions, and the Student’s IEP failed to include special education services and placement based on the Student’s unique circumstances. The Parents’ requested remedy is the Student’s placement at the [redacted] School ([redacted]) for the 2020-2021 school year with the HCPSS paying for all tuition and related costs for the 2019-2020 and 2020-2021 school years and for the summer session in 2020.
Administrative Law Judge Jerome Woods, II, held a telephone conference on September 8, 2020, during which the parties moved for an extension of the timelines for holding a mediation, conducting a due process hearing, and issuing a final decision. Administrative Law Judge Woods found good cause to extend the timelines, due to the COVID-19 pandemic, the closure of the HCPSS, and the partial suspension of proceedings at the OAH. 34 C.F.R. §§ 300.510(b)(2), 300.515(a) and (c) (2019). A mediation was held on September 21, 2020 without success.
I held a telephone prehearing conference on September 21, 2020. The following individuals participated: Ashley VanCleef, Esquire, on behalf of the Student, and Andrew Nusbaum, Esquire, on behalf of the HCPSS. The Parents did not participate. In light of the modification to the time requirements for conducting the hearing and issuing a decision, the parties requested that I issue the decision no later than thirty days after the close of the record. I found good cause to grant that request because of delays related to the COVID-19 pandemic, as well as delays occasioned by the schedules of counsel, the parties, and witnesses, all of which necessitated the hearing falling beyond the usual forty-five-day timeline. Therefore, the decision is due within thirty days from the close of the record.
I held the hearing by video conference on October 22, 23, 26, 29 and 30, 2020, and November 2 and 4, 2020. At the hearing, Ms. VanCleef represented the Parents and Mr. Nusbaum represented the HCPSS. By agreement of both parties, the record remained open past the close of evidence for submission of written closing arguments, including the Parents’ rewritten rebuttal closing. The written closing briefing schedule was as follows: Parents’ written closing argument was due on Monday, November 23, 2020; the HCPSS written closing argument was due on Friday, December 4, 2020; and the Parents' rebuttal to the HCPSS closing was due on Monday, December 14, 2020.\(^4\) The parties complied with this schedule. Therefore, the record closed on December 14, 2020. By agreement, the decision was due thirty days after that date.
Procedure in this case is governed by the contested case provisions of the Administrative Procedure Act; the Education Article; the Maryland State Department of Education (MSDE) procedural regulations; and the Rules of Procedure of the OAH. Md. Code Ann., Educ. § 8-413(e)(1) (2018); State Gov’t §§ 10-201 through 10-226 (2014 & Supp. 2020); COMAR 13A.05.01.15C; COMAR 28.02.01.
**ISSUES**
(1) Whether HCPSS failed to determine eligibility and develop an IEP within the required timelines; and
(2) Whether the IEP developed by HCPSS failed to offer the Student a FAPE based on her unique circumstances, as follows:
a. The IEP failed to provide researched-based instructional interventions to address all of the Student’s unique needs;
\(^4\) This latter date was extended as a result of Parent’s counsel’s extenuating circumstances and with the agreement of opposing counsel. I found good cause for the extension.
b. The IEP failed to address the Student’s need for a smaller classroom with fewer distractions; and
c. The IEP failed to include special education services and placement based on the Student’s unique needs.
(3) Whether the Parents are entitled to the relief sought in the complaint or other appropriate relief, and in particular, placement of the Student at [redacted] for 2020-2021 school year, with the HCPSS paying for all tuition and related costs for the 2019-2020 and 2020-2021 school year and summer session in 2020.
**SUMMARY OF THE EVIDENCE**
**Exhibits**
I admitted the following exhibits on behalf of the Parents, unless otherwise noted:
| Exhibit | Description |
|---------|-------------|
| Parents Ex. 1 | HCPSS Response to Complaint |
| Parents Ex. 2 | CV |
| Parents Ex. 3 | CV |
| Parents Ex. 4 | CV |
| Parents Ex. 5 | CV |
| Parents Ex. 6 | CV |
| Parents Ex. 7 | Psychological Summary 2014 |
| Parents Ex. 8 | HCPSS Educational 1/2015 |
| Parents Ex. 9 | HCPSS Psychological 2/2015 |
| Parents Ex. 10 | HCPSS Speech Language 2/2015 |
| Parents Ex. 11 | HCPSS OT Evaluation 1/2015 |
| Parents Ex. 12 | IEP 2/2015 |
| Parents Ex. 13 | Parent Note |
| Parents Ex. 14 | IEP 2/2016 |
| Parents Ex. 15 | HCPSS Educational Assessment 4/2016 |
| Parents Ex. 16 | HCPSS Psychological 6/2016 |
| Parents Ex. 17 | HCPSS OT 5/2016 |
| Parents Ex. 18 | IEP 6/2016 |
| Parents Ex. 19 | Report Card 15-16, Annual Goal Progress Report 6/2016 |
---
5 Curriculum Vitae.
| Parents Ex. | Description |
|------------|-------------|
| 20 | Benchmarks 1/16, School 16-17 Report Card, School 17-18 Report Cards |
| 21 | Psycho-Educational Evaluation 2/2018 |
| 22 | Parent Letter 11/2019 |
| 23 | Parent Questionnaire, Referral Form 11/2019 |
| 24 | HCPSS Child Find Program forms |
| 25 | IEP Team Meeting Report 1/2/2020 |
| 26 | Parental Consent Evaluation Form 1/2/2020 |
| 27 | HCPSS Informal Reading Summary 1/2020-2/2020, Diagnostic Passages 1/2020 |
| 28 | HCPSS Educational Assessment Report 2/2020, Woodcock Johnson IV Score Report 1/2020 |
| 29 | HCPSS Psychological Assessment Report 2/2020 |
| 30 | IEP Team Meeting Report 2/28/2020, IEP 2/28/2020 |
| 31 | Teacher Observations/Comments 1/2020, HCPSS Child Find Program forms |
| 32 | Forward Thinking Consultation 2/5/2020 |
| 33 | Representation Letter 5/1/2020 |
| 34 | IEP Team Meeting Report 5/18/2020 |
| 35 | Draft IEP with AV Comments 5/18/2020 |
| 36 | Distance Learning Weekly Schedule, Proposed Schedule 10/1/2020 |
| 37 | 18-19 T1 and T2 Report Cards, 19-20 T1 Report Card, 18-19 T3 Report Card, 19-20 T1 T2 and T3 Report Cards, Individualized Student Plan 20-21, Fall 20-21 Progress Report |
| 38 | Assessment Results Reports |
| 39 | Fee Schedule 20-21 |
| 40 | [Not admitted into evidence] |
| 41 | [Not admitted into evidence] |
| 42 | [Not admitted into evidence] |
| 43 | HCPSS Emails |
| 44 | US Dept. of Education COVID-19 Guidance Document |
| 45 | MSDE Technical Assistance Bulletin # 20-01 |
| 46 | MSDE Technical Assistance Bulletin # 20-03 |
| 47 | HCPSS Documents |
| 48 | HCPSS Plans for Continuity of Learning Documents |
| 49 | HCPSS Special Education and Early Intervention Services COVID-19 documents |
| 50 | HCPSS Guidance for Developing ASDM Plans 8/2020 |
| 51 | HCPSS Guidance for Outstanding 19-20 IBP Team Processes 9/2020 |
| 52 | HCPSS Data and Progress Monitoring: Data Collection Measures 8/27/2020 |
| 53 | HCPSS COVID-19 Compliance Resources Library 20-21 |
I admitted the following exhibits on behalf of HCPSS:
| HCPSS Ex. | Description |
|-------------|--------------------------------------------------|
| 1 | Notice of IEP Team Meeting -11/25/19 |
| 2 | Notice of IEP Team Meeting -12/11/19 |
| 3 | IEP Team Meeting Report-1/2/20 |
| 4 | Notice of IEP Team Meeting- 2/3/20 |
| 5 | IEP Team Meeting Report-2/28/20 |
| 6 | Notice of IEP Team Meeting- 5/11/20 |
| 7 | IEP Team Meeting Report-5/18/20 |
| 8 | Evaluation Report SLD Supplement - 2/28/20 |
| 9 | Evaluation Report ADHD Supplement - 2/28/20 |
| 10 | Referral for Student Suspected of Having a Disability |
| 11 | Parent Questionnaire |
| 12 | Teacher Input |
| 13 | Report of Psychological Assessment-1/15/20 through 2/5/20 |
| 14 | Report of Psychological Assessment- 6/2/16 |
| 15 | Educational Assessment Report-2/11/20 |
| 16 | Woodcock-Johnson Score Report-1/21/20 |
| 17 | Informal Reading Summary -1/21/20, 2/24/20 |
| 18 | QRI Testing Protocols |
| 19 | Reports |
| 20 | Proposed IEP- 2/28/20 |
| 21 | Distance Learning Weekly Schedule |
| 22 | Proposed Schedule - as of 10/1/20 |
| 23 | MSDE Technical Assistance Bulletin- 20-01 |
| 24 | MSDE Technical Assistance Bulletin- 20-03 |
| 25 | MSDE Technical Assistance Bulletin- 20-09 |
| 26 | CV - |
| 27 | CV - |
| 28 | CV - |
| 29 | CV - |
| 30 | CV - |
| 31 | CV - |
---
6 Many of these documents were also submitted into evidence by the Parents. For simplicity, when one of these documents is referenced, I will identify them by the Parents’ exhibit numbers.
7 Specific learning disability
8 Attention deficit hyperactivity disorder.
Testimony
The Parent testified, and the Parents presented the following witnesses:
- Dr. [redacted], Psychologist, who was accepted as an expert in Psychology, dyslexia, ADHD and anxiety
- [redacted], who was accepted as an expert in dyslexia, specialized instruction for students with dyslexia, as well as special education
- [redacted], Special Education teacher, who was accepted as an expert in special education, general education, and dyslexia
- [redacted], who was accepted as an expert in general education, dyslexia, and specialized reading interventions
- [redacted], Special Education teacher, who was accepted as an expert in special education and special education compliance
The HCPSS presented the following witnesses:
- [redacted], Instructional Facilitator, Middle Schools, who was accepted as an expert in special education
- [redacted], School Psychologist, who was accepted as an expert in school psychology and dyslexia
- [redacted], Instructional Team Leader, [redacted] Middle School, who was accepted as an expert in special education
- [redacted], Special Educator, [redacted] Middle School, who was accepted as an expert in special education and dyslexia
- [redacted], Instructional Facilitator for Nonpublic Services and Special Education Compliance, who was accepted as an expert in special education compliance
FINDINGS OF FACT
Based upon the evidence presented, I find the following facts by a preponderance of the evidence:
1. The Student is presently twelve years of age.
2. The Student has been diagnosed with two specific learning disabilities (SLDs), dyslexia and dyscalculia and one “other health impairment,” attention deficit hyperactivity disorder (ADHD).
3. The Student lives with her Parents and siblings in Howard County.
4. One of the Student’s siblings currently attends [redacted] Middle School ([redacted]), which is the Student’s home school.
5. The Student attended [redacted] Elementary School ([redacted]), a HCPSS public school, for kindergarten for the 2013-2014 school year and for first grade for the 2014-2015 school year. The Student remained at [redacted] for second grade for the 2015-2016 school year.
6. While at [redacted] the Student did not progress in her education. In kindergarten, she did not know her letters or their sounds, could not count using manipulatives, read pre-emergent books, or finish her schoolwork. Her peers were able to perform all of these skills.
7. In first grade at [redacted], the Student shied away from class and assignment challenges, avoided school by hiding in closets, and visited the nurse’s office, complaining of non-existent ailments to get out of class.
8. In second grade, the Student could not remember the alphabet or identify sounds of the letters, which other peers could do. She required one to one assistance.
9. The Student felt that other students were making fun of her because she could not read. Daily, she would cry before going to school.
10. In 2014, [redacted], Ph.D., conducted a psychological assessment attributing the Student’s educational deficiencies in relation to her peers to her ADHD and an adjustment disorder, but did not make a diagnosis of dyslexia.
11. At [redacted] the Student did not progress, and some of her skills regressed. An initial IEP was first developed for the Student in 2015 while a student at [redacted].
12. The Student failed to make educational progress at [redacted].
13. The Student had difficulties with larger class sizes, primarily due to her lack of skills and because she felt embarrassed in front of her peers, who would taunt her because she could not read. She worked better in small groups.
14. In early 2016, the Parents sought after school tutoring at the [redacted] School, a school for students with language-based learning disabilities, to help her recognize letters, read and obtain reading fluency.
15. [redacted], who tutored the Student at [redacted], recognized that the Student was dyslexic.
16. Dyslexia is a language-based learning disorder that affects a child’s brain function, making it difficult for a student to identify letters and sounds and process language.
17. Because of the Parents’ frustration with the Student’s lack of progress at [redacted], they enrolled her at [redacted] for third grade (the 2016-2017 school year).
18. The Parents did not seek HCPSS funding for the Student’s education at [redacted].
19. The Student progressed and her Parents re-enrolled her at [redacted] for the fourth grade (the 2017-2018 school year). The student began reading first grade books, although she still did not know math facts that her peers knew, nor could she manipulate currency, which was another grade-appropriate skill she was not able to accomplish.
20. [redacted] is a private day school that teaches students with dyslexia using multisensory education techniques and repetition, with a low student to teacher ratio using an individualized approach. This approach requires a low student to teacher ratio and individualized attention.
21. The Student was more successful at [redacted] than she was at [redacted] with small class sizes, individualized attention, and constant repetition.
22. In 2018, Dr. [redacted], a psychologist, examined the Student and diagnosed her with dyslexia, dyscalculia and ADHD. She described these conditions as “severe.”
23. Dyslexia prevents the Student from being able to read fluently; nor could she consistently and accurately decode written language at her grade level.
24. The Student requires constant repetition for retaining skills that she learns. However, once the Student appears to master these skills, she frequently forgets them and requires constant repetition to maintain her proficiencies.
25. Dr. [redacted] also diagnosed the Student with dyscalculia, a number-based disorder. The Student has difficulties with math facts that her peers have already mastered and needs attention and accommodations, such as calculators and math tables, to perform her math assignments successfully.
26. For the 2018-2019 school year, the Parents enrolled the Student at [redacted] for the fifth grade.
27. [redacted] is a private school that specializes in educating students with dyslexia and dyscalculia using multi-sensory education methods. [redacted] teaches students using the Orton-Gillingham Approach (OG), which is a direct, explicit, multisensory, structured, sequential, diagnostic, and prescriptive way to teach literacy when reading, writing, and spelling.
28. [redacted] also provides a low student to teacher ratio (sometimes one-to-one, but never larger than eleven-to-one, in the Student’s case). Reading and math interventions are done on a one-to-one basis, and they provide constant repetition to prevent the loss of reading and math skills.
29. At [redacted], the Student is now in the seventh grade, but is working at a fourth-grade math level.
30. [redacted] provides the Student with a supportive educational atmosphere, where she is not embarrassed by her lack of reading or math skills. With the low student to teacher ratio, when the Student gets off-task, she is easily redirected.
31. The Student is well-adjusted at [redacted] and participates in extracurricular activities in addition to her class work.
32. Sometime in 2019, the Parents heard that HCPSS was initiating OG interventions for its dyslexic students.
33. The Parents wanted the Student to return to HCPSS, and particularly her home school, [redacted], where one of her siblings attended.
34. The Parents had already signed a contract for and paid tuition to [redacted] for the 2019-2020 school year before the end of 2019 and was non-refundable.
35. By letter dated November 15, 2019, the Parents initiated the IEP process with HCPSS, advising that they wished to re-enroll the Student at [redacted] and requested an IEP meeting.
36. An IEP meeting was held on January 2, 2020, where the IEP team recommended the following updated assessments: educational assessment; reading skills; reading comprehension, reading fluency; mathematics calculation; mathematics reasoning; written expression; and vision.
37. Dr. [redacted] and Ms. [redacted], an HCPSS school psychologist, simultaneously observed the Student a [redacted] in a classroom setting.
38. An IEP meeting was held in February 2020 to review the assessments and an IEP was proposed. The Parents participated.
39. The Student, diagnosed with two SLDs (dyslexia and dyscalculia) and one other health impairment (ADHD), was deemed eligible for special educational services.
40. The IEP listed the Student’s goals and objectives for English Language Arts (ELA) and math. The team determined that the Student could be educated at [redacted] in a general education classroom twelve hours per week: four hours for science and social studies, and two hours in English and math, and eight hours out of general education “pull-out” sessions.
to provide special education interventions: two hours each for ELA and math and four hours for a reading seminar.
41. HCPSS would determine which research-based instructional interventions (interventions) it would use to educate the Student during the pull-out sessions.
42. Despite the information provided by Dr. [redacted] in her 2018 report, and from the [redacted] faculty, the IEP team did not find that the Student required a smaller class size or a lower student to teacher ratio.
43. In general education settings, class sizes contain approximately thirty-one students. At [redacted], in general education, the Student would be assisted by a para-educator, who was not trained in any of the interventions that the Student would receive in her pull-out sessions.
44. HCPSS has not yet decided which interventions it would provide the Student for the eight hours of pull-out sessions. HCPSS proposed using these sessions to provide several interventions in the fifty minutes allotted per day. In addition to the interventions, the time would be used to review classroom work that the Student would miss during pull-out sessions, decreasing the time that the Student would be provided the required interventions.
45. Although many of the interventions required fifty to sixty minutes per day to present, HCPSS intends to provide those services in a shorter time than they were designed for, based on the producer’s recommendations, in order to fit all of the interventions and make-up class work into the pull-out time provided. Reducing the time to provide the interventions would make them less effective, putting the Student further behind.
46. The pull-out sessions made no provisions for repetition to help the Student maintain her reading or math skills.
47. Reading fluency was a goal on the IEP; however, there was no intervention identified or time to provide this intervention, other than during homeroom or otherwise in class, where the Student would be reading aloud in front of her peers for a shorter time than the intervention required.
48. The Student would miss time from her general education classes when participating in pull-out sessions. In addition to the interventions required, the pull-out sessions would also be used to provide the Student with time to make up the work she missed in her general education classes during the reading seminar time.
49. Entering and exiting the general education class would be embarrassing for the Student and would adversely affect her due to her diagnosis of ADHD. She would also have difficulty switching between several interventions presented in the fifty-minute pull-out session if more than one intervention were provided.
50. The Student requires specific, consistent, multisensory intervention, in classes with a low student to teacher ratio.
51. Under the IEP, HCPSS is unable to provide the educational program required by the Student that is reasonably calculated to enable her to make progress appropriate in light of her circumstances, considering her SLD, other health impairment, and the need for multisensory education with a low student to teacher ratio.
52. [Redacted] uses multisensory educational interventions and anticipates the need for repeated enforcement of skills that the Student would forget.
53. The Student has progressed with [Redacted]'s program (particularly OG), and [Redacted]'s proposed 2020-2021 Individualized Student Plan, which is based on Dr. [Redacted]'s assessment of the Student’s disability and educational needs, and provides the Student with private education services that are appropriate to her needs.
DISCUSSION
A. The Legal Framework
1. IEP and FAPE
The identification, evaluation, and placement of students in special education are governed by the IDEA. 20 U.S.C.A. §§ 1400-1482; 34 C.F.R. pt. 300; Educ. §§ 8-401 through 8-417; and COMAR 13A.05.01. The IDEA requires “that all children with disabilities have available to them a [FAPE] that emphasizes special education and related services designed to meet their unique needs and prepare them for further education, employment and independent living.” 20 U.S.C.A. § 1400(d)(1)(A); see also Educ. § 8-403.
To be eligible for special education and related services under the IDEA, a student must meet the definition of a “child with a disability” as set forth in section 1401(3) of the U.S.C.A. and the applicable federal regulations. The statute provides as follows:
(A) In General
The term “child with a disability” means a child –
(i) with intellectual disabilities, hearing impairments (including deafness), speech or language impairments, visual impairments (including blindness), serious emotional disturbance . . . orthopedic impairments, autism, traumatic brain injury, other health impairments, or specific learning disabilities; and
(ii) who, by reason thereof, needs special education and related services.
20 U.S.C.A. § 1401(3)(A); see also Educ. § 8-401(a)(2); 34 C.F.R. § 300.8; and COMAR 13A.05.01.03B(78).
The Supreme Court addressed the FAPE requirement in *Board of Education of the Hendrick Hudson Central School District v. Rowley*, 458 U.S. 176 (1982), holding that FAPE is satisfied if a school district provides “specialized instruction and related services which are individually designed to provide educational benefit to the handicapped child.” *Id.* at 201 (footnote omitted). The Court set out a two-part inquiry to analyze whether a local education
agency satisfied its obligation to provide FAPE: first, whether there has been compliance with the procedures set forth in the IDEA; and second, whether the IEP, as developed through the required procedures, is reasonably calculated to enable the child to receive some educational benefit. *Id* at 206-07.
The *Rowley* Court found, because special education and related services must meet the state’s educational standards, that the scope of the benefit required by the IDEA is an IEP reasonably calculated to permit the student to meet the state’s educational standards; that is, generally, to pass from grade-to-grade on grade level. *Rowley*, 458 U.S. at 204; 20 U.S.C.A. § 1401(9).
The Supreme Court recently revisited the meaning of a FAPE, holding that for an educational agency to meet its substantive obligation under the IDEA, a school must offer an IEP reasonably calculated to enable a student to make progress appropriate in light of the student’s circumstances. *Endrew F. v. Douglas Cty. Sch. Dist.*, 137 S. Ct. 988 (2017). Consideration of the student’s particular circumstances is key to this analysis; the Court emphasized in *Endrew F.* that the “adequacy of a given IEP turns on the unique circumstances of the child for whom it was created.” *Id.* at 1001.
COMAR 13A.05.01.09 defines an IEP and outlines the required content of an IEP as a written description of the special education needs of a student and the special education and related services to be provided to meet those needs. The IEP must take into account:
(i) the strengths of the child;
(ii) the concerns of the Parents for enhancing the education of their child;
(iii) the results of the initial evaluation or most recent evaluation of the child; and
(iv) the academic, developmental, and functional needs of the child.
20 U.S.C.A. § 1414(d)(3)(A).
Among other things, the IEP depicts a student’s current educational performance, explains how the student’s disability affects a student’s involvement and progress in the general curriculum, sets forth annual goals and short-term objectives for improvements in that performance, describes the specifically-designed instruction and services that will assist the student in meeting those objectives, describes program modifications and supports for school personnel that will be provided for the student to advance appropriately toward attaining the annual goals, and indicates the extent to which the child will be able to participate in regular educational programs. 20 U.S.C.A. § 1414(d)(1)(A)(i)(I)-(V); COMAR 13A.05.01.09A.
IEP teams must consider the student’s evolving needs when developing their educational programs. A student’s IEP must include “[a] statement of the child’s present levels of academic achievement and functional performance, including . . . [h]ow the child’s disability affects the child’s involvement and progress in the general education curriculum (i.e., the same curriculum as for non-disabled children) . . . .” 34 C.F.R. § 300.320(a)(1)(i). If a child’s behavior impedes his or her learning or that of others, the IEP team must consider, if appropriate, the use of positive behavioral interventions, strategies and supports to address that behavior. Id. § 300.324(a)(2)(i). A public agency is responsible for ensuring that the IEP is reviewed at least annually to determine whether the annual goals for the child are being achieved and to consider whether the IEP needs revision. Id. § 300.324(b)(1).
To comply with the IDEA, an IEP must, among other things, allow a disabled child to advance toward measurable annual academic and functional goals that meet the needs resulting from the child’s disability or disabilities, by providing appropriate special education and related
services, supplementary aids, program modifications, supports, and accommodations. 20 U.S.C.A. § 1414(d)(1)(A)(i)(II), (IV), (VI).
Thirty-five years after *Rowley*, the parties in *Endrew F.* asked the Supreme Court to go further than it did in *Rowley* and set forth a test for measuring whether a disabled student had attained sufficient educational benefit. The Supreme Court revised the Tenth Circuit’s interpretation of the meaning of “some educational benefit,” which construed the level of benefit as “merely . . . ‘more than de minimis.’” *Endrew F. v. Douglas Cty. Sch. Dist. RE-1*, 798 F.3d 1329, 1338 (10th Cir. 2015).
The Supreme Court set forth a “general approach” to determining whether a school has met its obligation under the IDEA. While *Rowley* declined to articulate an overarching standard to evaluate the adequacy of the education provided under the Act, *Endrew F.* and the statutory language point to a general approach: To meet its substantive obligation under the IDEA, a school must offer an IEP reasonably calculated to enable a child to make progress appropriate in light of the child’s circumstances.
The “reasonably calculated” qualification reflects a recognition that crafting an appropriate program of education requires a prospective judgment by school officials. The IDEA contemplates that this fact-intensive exercise will be influenced not only by the expertise of school officials, but also by the input of the child’s Parents or guardians. Any review of an IEP must appreciate that the question is whether the IEP is *reasonable*, not whether a court regards it as ideal.
The IEP must aim to enable the child to make progress. After all, the essential function of an IEP is to set out a plan for pursuing academic and functional advancement. This reflects the broad purpose of the IDEA, an “ambitious” piece of legislation enacted in response to Congress’ perception that a majority of disabled children in the United States “were either
totally excluded from schools or [were] sitting idly in regular classrooms awaiting the time when they were old enough to “drop out.” *Endrew F.*, 137 S. Ct. at 999 (quoting *Rowley*, 458 U.S. at 179). A substantive standard not focused on student progress would do little to remedy the pervasive and tragic academic stagnation that prompted Congress to act.
That the progress contemplated by the IEP must be appropriate in light of the child’s circumstances should come as no surprise. A focus on the particular child is at the core of the IDEA. The instruction offered must be “specially designed” to meet a child’s “unique needs” through an “[i]ndividualized education program.” *Endrew F.*, 137 S. Ct. at 998-99 (citations omitted). The Court expressly rejected the Tenth Circuit’s interpretation of what constitutes “some benefit”: When all is said and done, a student offered an educational program providing “merely more than de minimis” progress from year to year can hardly be said to have been offered an education at all. The IDEA demands more. It requires an educational program reasonably calculated to enable a child to make progress appropriate in light of the child’s circumstances. *Id.* at 1001 (citation omitted).
Directly adopting language from *Rowley*, and expressly stating that it was not making any “attempt to elaborate on what ‘appropriate’ progress will look like from case to case,” the *Endrew F.* court instructs that the “absence of a bright-line rule . . . should not be mistaken for ‘an invitation to the courts to substitute their own notions of sound educational policy for those of the school authorities which they review.’” *Id.* (quoting *Rowley*, 458 U.S. at 206). At the same time, the *Endrew F.* court wrote that in determining the extent to which deference should be accorded to educational programming decisions made by public school authorities, “[a] reviewing court may fairly expect [school] authorities to be able to offer a cogent and responsive explanation for their decisions that shows the IEP is reasonably calculated to enable the child to make progress appropriate in light of his circumstances.” *Id.* at 1002.
Ultimately, a disabled student’s “educational program must be appropriately ambitious in light of his circumstances, just as advancement from grade to grade is appropriately ambitious for most children in the regular classroom. The goals may differ, but every child should have the chance to meet challenging objectives.” *Id.* at 1000. Moreover, the IEP must be reasonably calculated to allow him to advance from grade to grade, if that is a “reasonable prospect.” *Id.*
In addition to the IDEA’s requirement that a disabled child receive educational benefit, the child must be placed in the “least restrictive environment” (LRE) to achieve a FAPE, meaning that, ordinarily, disabled and non-disabled students should, when feasible, be educated in the same classroom. 20 U.S.C.A. § 1412(a)(5); 34 C.F.R. §§ 300.114(a)(2)(i), 300.117. Indeed, mainstreaming children with disabilities with non-disabled peers is generally preferred, if the disabled student can achieve educational benefit in the mainstreamed program. *DeVries v. Fairfax Cty. Sch. Bd.*, 882 F.2d 876, 878-79 (4th Cir. 1989). At a minimum, the statute calls for school systems to place children in the “least restrictive environment” consistent with their educational needs. 20 U.S.C.A. § 1412(a)(5)(A). Placing disabled children into regular school programs may not be appropriate for every disabled child, and removal of a child from a regular educational environment may be necessary when the nature or severity of a child’s disability is such that education in a regular classroom cannot be achieved.
Because including children with disabilities in regular school programs may not be appropriate for every child with a disability, the IDEA requires public agencies like HCPSS to offer a continuum of alternative placements that meet the needs of children with disabilities. 34 C.F.R. § 300.115. The continuum must include instruction in regular classes, special classes, special schools, home instruction, and instruction in hospitals and institutions, and make provision for supplementary services to be provided in conjunction with regular class placement. *Id.* § 300.115(b); COMAR 13A.05.01.10B(1). Consequently, removal of a child from a regular
educational environment may be necessary when the nature or severity of a child’s disability is such that education in a regular classroom cannot be achieved. COMAR 13A.05.01.10A(2). In such a case, a FAPE might require placement of a child in a private school setting that would be fully funded by the child’s public school district.
Unilateral placement
Parents may be entitled to retroactive reimbursement from the state for tuition and expenses for a child unilaterally placed in a private school if it is later determined that the school system failed to comply with its statutory duties and that the unilateral private placement provided an appropriate education. *Sch. Comm. of Burlington v. Dep’t of Educ.*, 471 U.S. 359, 370 (1985). The issue of reimbursement for unilateral placement was expanded in *Florence County School District Four v. Carter*, 510 U.S. 7 (1993), where the Court held that placement in a private school not approved by the state is not a bar under the IDEA. Parents may recover the cost of private education only if (1) the school system failed to provide a FAPE; (2) the private education services obtained by the parent were appropriate to the child’s needs; and (3) overall, equity favors reimbursement. *See Id.* at 12-13. The private education services need not be provided in the least restrictive environment. *M.S. ex rel. Simchick v. Fairfax Cty. Sch. Bd.*, 553 F.3d 315, 319 (4th Cir. 2009).
1. **Burden of Proof**
The standard of proof in this case is a preponderance of the evidence. *See* 20 U.S.C.A. § 1415(i)(2)(C)(iii); 34 C.F.R. § 300.516(c)(3). To prove an assertion or a claim by a preponderance of the evidence means to show that it is “more likely so than not so” when all the evidence is considered. *Coleman v. Anne Arundel Cty. Police Dep’t*, 369 Md. 108, 125 n.16 (2002).
The burden of proof rests on the party seeking relief. *Schaffer ex rel. Schaffer v. Weast*, 546 U.S. 49, 56-58 (2005). In this case, the Parents are seeking relief, and bear the burden of
proof to show that HCPSS failed to offer the Student a FAPE for the 2019-2020 and 2020-2021 school years, and that they are entitled to reimbursement for their unilateral placement of the Student at the [redacted] School for those years as well as for the 2020 summer session. For the reasons that follow, I find that the Parents partially met this burden, and conclude that HCPSS has not offered the Student a FAPE for the 2020-2021 school year,\(^9\) with an IEP that was reasonably calculated to meet her unique needs and that the Parents are therefore entitled to reimbursement for their unilateral placement of the Student at [redacted] in the 2020-2021 school year.
A. Position of the parties
The Parents’ attorney filed a comprehensive complaint on behalf of the Student and the Parents. The Parents initially argue that HCPSS committed a procedural violation that should grant them relief. The Parents subsequently argued that the HCPSS IEP team failed to determine appropriate special education services in the area of reading and that the dual diagnosis of Dyslexia and ADHD necessitates specially designed services, in a small group setting, led by highly skilled professionals. The amount and quality of pull-out services is insufficient and disruptive, and the Student’s participation in general education classes will not advance her education, as she cannot keep up. Moreover, the amount of time spent in special education services is insufficient for the Student to make progress appropriate in light of her circumstances. The Parents are seeking that HCPSS fund the Student’s education at [redacted] for
\(^9\) For reasons discussed below, I am not ordering reimbursement for the 2019-2020 school year’s tuition for the 2020 summer session at [redacted].
the 2019-2020 school year, the 2020 summer session at [redacted], and funding and placement at [redacted] for the 2020-2021 school year.
HCPSS counters that there is no credible evidence that the nature or severity of the Student’s disability would require that the Student receive small class sizes and greater access to special education services, taught on a low student to teacher ratio. The IEP team determined that the Student did not require a small class size to access the general curriculum of her grade level. Because of this, HCPSS contends that the Student should attend her neighborhood school and receive the services indicated in the IEP. Stating that the LRE requirement is to place the Student in the school the Student would otherwise attend, and removal should only take place if the nature or severity of the disability is such that education in that school cannot be achieved, even in concert with supplemental aides and services, HCPSS does not believe that the Student’s disabilities require removal from the home school. Additionally, HCPSS argues that small class size does not equate to special education, stating the Student’s two most recent schools offered small classes generally.
After reviewing all of the evidence in this case, I must conclude that HCPSS did not develop an IEP that was reasonably calculated to meet the Student’s unique needs for the 2020-2021 school year, the only year that I find at issue. I have assessed the witnesses and explain below why I have reached that determination.
B. Procedural violation
The first issue raised by the Parents in their prehearing statement, which is noted as the first issue to be decided, is whether HCPSS failed to determine eligibility and develop an IEP within the required timelines. *Rowley*, 458 U.S. at 206-07. The remedy would be to right the wrong that occurred, assuming that there was a detriment resulting from the delay.
The IDEA provides procedural safeguards. With regard to claims of procedural violations under the statutory scheme, 20 U.S.C.A § 1415(f)(3)(E)(ii) provides:
(ii) Procedural issues. In matters alleging a procedural violation, [an Administrative Law Judge] may find that a child did not receive a free appropriate public education only if the procedural inadequacies—
(I) impeded the child’s right to a free appropriate public education;
(II) significantly impeded the parents’ opportunity to participate in the decisionmaking process regarding the provision of a free appropriate public education to the parents’ child; or
(III) caused a deprivation of educational benefits.
Ms. [redacted], an HCPSS Compliance Officer, acknowledged that the IEP was developed 20 school days outside the required timeline to prepare an IEP, which is within 60 days of the assessments being completed (TR. 7, pp 15-17). The Parents argued that it was their intention to enroll the Student at HCPSS for the sixth grade with HCPSS (the 2019-2020 school year) had the IEP team developed an appropriate program. I find that the 20-day delay did not cause the Student to lose any educational opportunity nor did it interfere with the provision of FAPE. The Student was not in school at HCPSS and was already receiving her education at [redacted] without interruption or interference.\(^{10}\) *T.B. v. Prince George’s County Board of Education*, 897 F.3d 566, 573 (4th Cir. 2018), cert. denied, 139 S.Ct. 1307 (2019); *DiBuo v. Board of Education of Worcester County*, 309 F.3d 184 (4th Cir. 2002). The elements in 20 U.S.C.A § 1415(f)(3)(E)(ii)(I), (II) and (III) were not proven and the Parents are not entitled to relief due to the 20-day delay in the IEP process.
**D. Relief sought for the 2019-2020 school year and summer session 2020**
An issue in this case is what school years the Parents were eligible for reimbursement from HCPSS for the Student’s education at [redacted]. In their letter dated November 15, 2019, the Parents asked to re-enroll the Student at [redacted] and requested an IEP team meeting. Parent Ex. 22. The Parents had already signed a full year, non-refundable contract with [redacted] for the
\(^{10}\) In the following section of this decision, I found that the Parents would not have enrolled the Student at [redacted] during 2019-2020 school year even if they decided that the program was appropriate.
2019-2020 school year, similar to the 2020-2021 contract the Parents submitted into evidence. Parents Ex. 39. Although the Parent testified that she wanted to send the letter earlier, it was not sent until well into the 2019-2020 school year. Tr. V1, p. 176:11 to 177:4. Although the Parents asserted that they would have disenrolled the Student from an already paid-for private school which they assert provided a very satisfactory education for her, it is unlikely that they would have forfeited the remaining, paid-for balance of the 2019-2020 school year at [redacted]. This strains credulity – particularly when the Parents were so pleased with the Student’s progress. There is little doubt, based on the Student’s school enthusiasm and social involvement at [redacted], that taking her out of the school where the evidence showed she was so educationally, socially and emotionally invested, would be disruptive. The evidence does not support the Parents’ intention to remove the Student from [redacted] for any part of the 2019-2020 school year.
Although there is evidence that the Student has difficulty retaining information, there was no specific evidence supporting her need to attend the summer program at [redacted] or any indication that the Student attended at the Parents’ expense.
E. The Student’s educational and diagnostic history
The Student is presently twelve years of age. The Parent describes her as “intelligent, creative, friendly, kind, imaginative, athletic, funny and hard-working.” Tr. V1, p. 53:21 to 22. She has been diagnosed with dyslexia, dyscalculia, and ADHD. The Student is presently a seventh-grade student at [redacted]. The Student participates in after-school activities at [redacted], including cross-country, basketball, track and the horseback riding club. TR. V1, pp. 54:25 to 55:2.
The Parents became aware of the Student’s difficulties early when she could not write her own name and mixed up words. TR. V1, pp. 55:12 to 55:17. In kindergarten, although the Student was advanced in the arts, she did not know any of her letters or the sounds they made,
could not count manipulatives, read pre-emergent books, or finish her schoolwork. Tr. V1. P. 55:22-25.
The Parent also described the Student’s stress in first grade, when she hid in closets and went to the nurse’s office when there was no physical ailment in order to avoid being in school. Tr. V1, p 57:16 to 18; Parents Ex. 13. In second grade, the Student’s learning disabilities became apparent when she could not remember the alphabet or the sounds the letters made, nor could she read without one-on-one assistance. The Student felt that other children were making fun of her because she could not read, causing her to cry before school almost every day. Tr. V1, pp. 57:21 to 58:3. Growing frustrated with the teacher who attributed the Student’s difficulties to being distracted and impulsive, and that “learning her math facts would boost her self-confidence,” the Parents withdrew the Student from HCPSS and enrolled her at the [redacted] School for third grade for the 2016-2017 school year. Tr. V1., p. 58:4 to 10. Ms. [redacted] who tutored the Student when she arrived at [redacted], described her as “very defeated.” Tr. V4, p. 17:3 to 4.
Although HCPSS is correct that the due process complaint has a two-year limitations period which prevents me from providing any relief for those years, the Student’s experience as a student is relevant to her present educational needs. [redacted], Ph.D., at [redacted], prepared a psychological assessment in 2014, showing the Student’s deficiencies in relation to her peers after her kindergarten years. Dr. [redacted] determined the Student had ADHD and an adjustment disorder,\(^{11}\) but did not make a diagnosis of dyslexia. Parents Ex. 7. The Student was unable to rhyme, sequence the days of the week or write her name other than in mirror image. An educational assessment, done in the same time period, found her to be easily confused and distracted. Parents Ex. 8. Similarly, a psychological assessment was prepared; this
\(^{11}\) Dr. [redacted] recommended psychotherapy to help the Student with her coping skills; this treatment was determined unnecessary. The Parent testified that she consulted the Student’s pediatrician, who diagnosed and treated her for Lyme Disease which diminished her mood and anxiety issues. Tr. V1, p. 165:16-24.
was the first mention that the Parents thought the Student might be dyslexic, although the diagnosis was not listed on the report (ADHD being the only diagnosis made in that report). Parents Ex. 9. The speech-language assessment showed consistent word issues. Parents Ex. 10.
The first professional to recognize the Student’s dyslexia was [redacted] at [redacted] pursuant to an evaluation on February 25, 2016 after she reviewed the HCPSS IEP. Parents Ex. 14-0025. The Student’s reading and math difficulties extended through her education at HCPSS. Parents Exs. 15, 16, 18\(^{12}\) Her earlier occupational therapy (OT) evaluation was consistent over time as well. Parents Ex. 17. The Student’s preference for one-on-one interaction with a teacher was noted in several places. Parents Ex. 19-002. The Parents’ experience is that the Student gets lost in larger classes and she has consistently worked better in small groups, where she stays on task and works hard. Tr. V1, P. 133:3 to 12.
The Parents retained [redacted] to perform an education assessment in 2018. Parents Ex. 21. In her report, Dr. [redacted] identified the Student as having dyslexia: “Given her pattern of phonological weaknesses, as well as broader cognitive pattern (e.g., sequencing, working memory, and visual discrimination difficulties) that affect the development of reading skills, [the Student’s] profile is consistent with an underlying diagnosis of dyslexia, a language-based learning disorder (referred to as a Specific Learning Disorder with Impairment in Reading).” Parent Ex. 21-0016. Using that data, her observation at [redacted] and the HCPSS reports, Dr. [redacted] diagnosed the Student with mixed dyslexia, which she qualified as severe. Ms. [redacted], who tutored her in reading, concurred, citing the Student’s need for “so much repetition” to maintain a skill. Tr. V4. Pp. 22:22 to 23:9.
Regarding math, Dr. [redacted] also diagnosed the Student with dyscalculia. Dr. [redacted] wrote in her report that the Student’s learning, despite that condition, was attributable to frequent repetition
\(^{12}\) Although the information on these exhibits was detailed and showed the Student’s reading and math deficiencies, they are being considered not to analyze the IEP details, but to illustrate that the Student’s reading and math deficits were longstanding.
and mastering concepts over a longer period of time than would be required for another student. The Student’s teacher observation from [redacted] includes the recognition that the Student works hard but continues to require substantial support. Ms. [redacted] and Ms. [redacted] testified that the math supports in the May 2020 IEP were insufficient for the Student. Ms. [redacted] testified that two hours of services inside general education and two hours outside general education were inappropriate, as the Student would not be able to access the seventh-grade math curriculum based upon her current level of math comprehension. Even at [redacted] the Student required “reference materials” (i.e., multiplication tables) and close supervision. Parent Ex. 31-0002.
Dr. [redacted]’s concern is that the Student would develop low self-esteem if she cannot succeed, particularly in front of her general education classmates. I find that this is similar to the Student’s presentation in second grade when she avoided class due to her embarrassment, as testified to by the Parent. She could again be embarrassed because she could not read fluently in front of her peers.
The Parent described the Student’s progress at [redacted], explaining that she was “starting over learning how to read” with one-on-one reading instruction, and working on her addition and subtraction facts. Tr. V1, p. 58:18 to 24.
The Parent testified that in the fourth grade at [redacted] for the 2017-2018 school year, the Student still did not know math or currency facts but was slowly progressing in reading using the OG method. Tr. V1, p. 59:4 to 59:10.
The Parents enrolled the Student at [redacted] for the fifth grade for the 2018-1019 school year so she could continue similar instruction as she received at [redacted] but in a setting that would challenge her more and allow her to participate in more extracurricular activities, such as arts, athletics and performing arts. Tr. V1, Page 59:11 to 19. She continued to attend [redacted] for
the sixth grade (2019-2020 school year and is presently still there for seventh grade as well (2020-2021 school year).
F. IEP process
The catalyst for the Parents initiating the IEP process by their November 15, 2019 letter was that they heard HCPSS was initiating a OG program similar to the one that [redacted] used to educate the Student. The Parents expressed this anticipation during the January 2, 2020 IEP team meeting. Parents Ex. 25-0001. Stated simply, the witnesses who described the OG method of teaching explained that these students learned using multi-sensory methods of education, and they benefit from a low student to teacher ratio. The Parent, a [redacted] at [redacted] Elementary, wanted the Student to reenter the HCPSS school system – her rationale was that the Student could get an education similar to her [redacted] experience, and her family would benefit by having an older sibling in the same school as the Student. The family could then have the same school day and vacation schedule. Additionally, the Student would not have to go to school so early as she did at [redacted] (waking up at 6:00 a.m. to leave for school by 7:00 a.m., and arrive home around 5:00 p.m.), which is a significantly longer day than she would have at [redacted]. Tr. V1, pp 110-111.
On November 15, 2019, the Parents sent a letter to HCPSS advising that they were re-enrolling the Student into [redacted] school, requesting an IEP meeting to “discuss what [redacted] can offer [the Student].” Parents Ex. 22. An IEP team meeting was scheduled for December 29, 2019 but postponed and rescheduled at the Parents’ request. The meeting was ultimately held on January 2, 2020. Parents Ex. 25.
At the January 2, 2020 meeting, the team recommended updated assessments to answer the following questions to prepare for the IEP team meeting and eventual drafting of an IEP:
• What is [the Student’s] current cognitive profile?
What are [the Student's] current levels of academic performance in reading, math, and written expression?
Does [the Student] meet the educational disability eligibility criteria for a Specific Learning Disability?
What is the impact of [the Student's] previous clinical diagnosis of ADHD-Predominantly Inattentive Presentation on [the Student's] educational functioning?
The following assessments were recommended: Educational Assessment; Reading Skills; Reading Comprehension, Reading Fluency; Mathematics Calculation; Mathematics Reasoning; Written Expression; and vision. Parent Ex. 25-0002. The assessments were performed and reviewed at the subsequent meeting on February 28, 2020. Parent Ex 30.
1. Assessments conducted
Among the tests conducted were the following:
- Parents Ex. 27 HCPSS Informal Reading Summary 1/2020-2/2020, Diagnostic Passages 1/2020
- Parents Ex. 28 HCPSS Educational Assessment Report 2/2020, Woodcock Johnson IV Score Report 1/2020
- Parents Ex. 29 HCPSS Psychological Assessment Report 2/2020
Parent Ex. 30. The parties presented the evidence regarding these assessments well, with the Parents offering opposing experts to argue that the measures taken were either not appropriate to measure the metrics being tested, or that the measurements did not accurately assess the Student’s abilities.
I gave great weight to the historic, anecdotal data observed and recorded over time describing the Student’s educational course. These included school-based assessments, reports of teachers, periodic report cards, and an explanation by the Parent on how the Student adapted to various methods of instruction. As pointed out by these experts, the tests measured the student at a particular moment in time; the historic data gives a broader description of the Student’s education capabilities and needs.
What I found more probative were the classroom observations by both Dr. and Ms., and Dr.’s psychological assessment. Without contradiction, Dr diagnosed the Student with dyslexia, dyscalculia and ADHD.
Dr and Ms. simultaneously observed the Student in three classroom settings at over two days in January and February 2020. Noting the Student’s Composition class has a student-teacher ratio of seven to one, Ms indicated that the Student participates in class, and asks clarifying questions which the teacher described as typical of the Student’s class performance. The Composition teacher indicated that the Student has difficulty with independent reading, though the Student understands the novels when audiobooks are used. On the day of observation of the Student’s math class, the student-teacher ratio was four to one, with two students being absent. Even with this low student teacher ratio, both Ms. and Dr. noted the Student’s difficulty with the subject matter. The math teacher noted the Student struggles with basic operations, even at the fourth-grade equivalent and scope of the subject matter, putting her approximately three grades below grade level. These findings are consistent with the additional observation of the English class; the Student is active and engaged\(^{13}\) but struggles with the subject matter and executive functioning that inhibits her ability to complete tasks.
In addition to the observation, teachers also provided written input forms. Ms. noted in her report that the Student’s Language Skills instruction had a student-teacher ratio of two to one, and that the Student can stay focused with prompts and redirection. The teacher also indicated that the Student has difficulty with reading fluency as she works on comprehension of
\(^{13}\) Of particular interest was the interpretation of the Student’s helping other students. Ms. considered it a sign that the Student was able to perform the work; Dr. who had worked with the Student, indicated that this was merely an avoidance technique that she has observed in the Student when she was trying to perform the task herself.
short passages. It is a challenge for the Student to recall already learned information, requiring prompting in several areas.
Based on her observations, Ms. [redacted] suggested that the IEP team should incorporate recommendations, including the following: provide the Student with preferential seating close to the instructor to minimize peer distraction; when working independently, allow the student to work in an environment with reduced distractions; provide frequent check-ins to ensure the Student understands directions and expectations; and provide pre-writing strategies. Dr. [redacted] was more specific in her recommendations resulting from the observation. Regarding the Student’s reading intervention, Dr. [redacted] recommended a high level of frequency and intensity, 90-120 minutes a day of individual and small-group instruction infused throughout the curriculum and not just “pull-out” instruction. Noting the interaction between dyscalculia and dyslexia, Dr. [redacted] recommended that the Student continue to receive multisensory mathematics instruction in a small-group format in order to make progress in mathematics. Finally, Dr. [redacted] noted that the Student needs support to assist with attention and executive functioning, most often found in a small class setting.
Regardless of the disparities in test results and criticism of the choice and methods of testing pointed out by opposing experts, the Student qualified for a special education services due to her SLD (dyslexia and dyscalculia) and ADHD (other health impairments). The question is whether the IEP, supported by HCPSS and opposed by the Parents, is reasonably calculated to enable the child to receive some educational benefit.
2. IEP team meetings
At the February 28, 2020 meeting, the Student was found to have met the criteria for an SLD and OHI.\(^{14}\) At the subsequent meeting on May 18, 2020, the IEP was discussed and developed. Parents Ex. 35.\(^{15}\)
The IEP listed goals and objectives, provided for twelve hours in the general education setting: four hours for science and social studies, and two hours in English and math, with eight hours out of general education (sometimes referred to as “pull-out” services) consisting of two hours each for ELA and math and four hours for a reading seminar. As a group, the team did not find support for a smaller class size, favoring instead access to the Student’s general education peers. Parent Ex. 30-0041. The Student’s placement would be at her home school \[redacted\], which would also be the LRE, placing the Student with general education peers. Parents Ex. 34. The Parents opposed the IEP team recommendations, although they participated as members of that team.
On May 18, 2020, the Parents’ counsel attended the IEP team meeting and submitted some changes that the team adopted. HCPSS is correct that the Parents are not contesting the
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\(^{14}\) “Other health impairment.” The Student qualified for Special Education services in first grade due to her OT evaluation; the IEP had not yet identified dyslexia as a qualifying condition. Parents Ex. 12.? Was this already in the decision? It seems out of left field.
\(^{15}\) This exhibit is the same as HCPSS Ex. 20 except for notations written by Parents’ counsel and submitted to the IEP team for review of the draft May 18, 2020 IEP. Parents Ex. 35.
goals and objectives,\textsuperscript{16} but the Parents do question the means by which those goals are met.\textsuperscript{17}
HCPSS contends that their program is research-based and adequate to educate the Student; that the Parents have not demonstrated the need for a smaller class size or a lower student to teacher ratio; and that the Parents have not demonstrated that the IEP and interventions provided fail to address the unique circumstances of the Student.
\textsuperscript{16} Ms. \textbf{[redacted]} provided a concise description of the language goals:
Q. All right. And when you testified earlier on direct in response to my questions and you had talked about your opinions regarding the appropriateness of the IEP and the placement and the service hours, was that based on the IEP as revised with the additional goals and objectives that Ms. Vancleef went through with you?
A. Yes, sir.
Q. Okay. Ms. Vancleef went through the IEP goals and objectives with you, which I'm not going to do right now, but let me ask you just a couple of questions. You used a couple of terms that I want to make sure the record's clear about. Decoding means what?
A. The process of reading words, breaking them out, phonemic awareness, those kinds of things.
Q. And phonemic awareness means what?
A. Understanding the phonemes, which are the sounds that letters or combinations of letters make.
Q. Encoding?
A. Spelling, spelling those sounds that we make.
Q. And reading comprehension, what is that exactly?
A. Understanding what, the meaning behind what those words, so when you put words together, understanding what a text is saying, being able to answer questions, things like that.
Q. Okay, and lastly I want to ask you, what is fluency?
A. Fluency is sort of the rate and rhythm in which a person reads.
Tr. V6, pp. 159:11 to 160:14.
\textsuperscript{17} Fluency goals were not initially included in the IEP, but the team agreed to add them. Nevertheless, the pull-out times were not increased to provide a specific time for this intervention, as discussed below.
G. Parent's issues with the IEP
1. The IEP failed to provide researched-based instructional interventions to address all of the Student’s unique needs
The special education services proposed for the IEP were as follows:
... special ed services in the general ed setting for science and social studies for 4 hours each weekly. In ELA and math, 2 hours in the general ed setting and 2 hours out of general ed setting (each class) weekly [and] 4 hours out of general ed weekly for reading seminar. This is a total of 12 hours in the general ed setting; 8 hours out of the general ed setting.
Parents Ex. 34-0003. Ms. [redacted] confirmed that formula. Tr. V2, p. 266:7 to 17.
Although the IEP proposed by HCPSS recognized the Student’s strengths and deficits, it provided little support to address her severe dyslexia and dyscalculia or ADHD. There were pull-out services to be provided, but these were based on programs, that although researched-based instructional interventions, were given in larger setting (approximately four students), with other students who may have different disabilities and reading levels than the Student’s. Although teaching methodology is left to the school to choose and institute, it must be part of an “otherwise appropriate IEP.” County School Board of Henrico v. Z.P., 399 F.3d 298, 308 (4th Cir. 2005). But if I determine that the IEP is not appropriate because it does not provide the Student with FAPE, HCPSS’ choice of the methods used are immaterial.
Ms. [redacted] did not know which reading intervention program was going to be used to teach the Student “… We have [V]isualizing, [V]erbalizing; we have Read 180; we have System 44; we’ve done other ones in the past. We try to identify what a student needs and we figure out how we can implement that, which intervention will work best.” Ms. [redacted] acknowledged that “Really Great Reading” was the program HCPSS decided to implement first; that program choice was not made when the IEP was being developed, but rather the program was chosen in anticipation of the hearing. Tr. V6, p. 36:3 to 25. Ms. [redacted] testified that the interventions were unnamed to allow the school to “have flexibility in changing the intervention based on the data that the
student is showing us.” Tr. V6, p. 177:17 to 24. There seemed to be little thought whether that program would be appropriate for a student with the Student’s disabilities (particularly dyslexia and dyscalculia).
No HCPSS witness adequately addressed whether any of these systems were specifically designed for addressing the specific needs of dyslexic students. Ms. [redacted] did not feel qualified to respond to that question. Ms. [redacted] testified that “some of them” might be designed with those students in mind but did not specify which ones were or whether they would be the intervention chosen for the Student. Tr. V6, p. 71:18 to 20.
Although school systems have discretion on which methodologies are used, it is difficult to determine whether the chosen interventions will be able to be presented in the time set forth in the IEP for the pull-out sessions. Ms. [redacted] testified for HCPSS that although the IEP called for four hours of pull-out services per week, she did not know how long those specific chosen interventions would require to be implemented. Tr. V6, pp. 27:23 to 28:15.
Ms. [redacted] cited the number of interventions planned for the daily fifty-minute pull-out:
Q And how long did those take daily to implement?
A Thirty minutes.
Q And then how long does a phonics intervention take to implement?
A Twenty to thirty minutes as well.
Q And then how long does the fluency intervention take? Because her -- her fluency goal also said that she would have a fluency intervention.
A Yeah -- we would build that into that during that 50-minute block of time.
Q So, that sounded like that was at least a 50-minute block for the reading comprehension, as well as the phonics, if not longer. Correct?
A Yes. We could -- I mean, we could also build in that fluency during that English time frame for the warmup. It just is when the teachers are going to be able to take an IEP and implement appropriately during her instructional day.
Tr. V2, pp. 269:19 to 270:10.
Ms. [redacted] offered expert testimony regarding the pull-out hours proposed in the IEP. Ms. [redacted] ran the numbers. As she was familiar with the Visualizing and Verbalizing reading comprehension intervention, she testified that it required "a minimum of 60 minutes per day, five days per week. SIM [another reading program] requires a minimum of 45 minutes, five days per week. So, just on the comprehension intervention alone, you've exceeded the number of hours that were proposed for reading intervention." Tr. V2, p. 309:1-17.
Ms. [redacted] acknowledged that the time required for some interventions that were being considered exceeded the amount of time that was allotted for the pull-out services. One program might need an hour a day, and it might have taken two hours to complete more than one intervention. Accordingly, Ms. [redacted] was "lean[ing] back on school teams to determine where those -- where that would fit into her middle school schedule." Tr. V2, pp. 271:13 to 272:8.
Moreover, Ms. [redacted] said the Student would not miss general education work or material because the two pull-out small groups would also cover curriculum covered in the general education class. Ms. [redacted] also testified that the service hours were not only used for the interventions, but to address missed class work as well:
Q Okay. And in thinking about her being out of the English class and out of that math class for part of that time, was there a period of the day where she was going to have an opportunity to make up that work that she missed?
A She would have been doing it with that special educator and that resource -- in that out time period. She wouldn't have had to make up additional work. When we --
Q So when the reading intervention for comprehension be provided?
A During that reading seminar time.
Tr. V2, p. 268:6 to 15; Tr.V6, p. 190:6 to:13. Ms. [redacted] also said it can be curriculum, intervention, remediation all things in one. Adding the time anticipated to provide the interventions, as well as that needed to address missing class work, the witnesses could not explain how all of these would fit within the daily fifty-minute pull-out period.
One means of fitting these interventions into the time allotted would be to reduce the time spent on the interventions. With regard to the amount of time required for each intervention, Ms. [redacted] testified that the manufacturer of the Really Great Reading program gave “flexible scheduling guidelines” and suggestions how to present the program in thirty, forty or sixty minutes of instructional time. Tr. V6, pp 184:2 to 13. Ms. [redacted] explained further:
Q. What guidance have you received?
A. Just how to implement it in terms of timing and how to implement it when you have students who not only have decoding needs, but comprehension needs and balancing that within the class period. So, currently I’m using HD Word, but even with Boost or BLAST, which are other really great reading programs, we have received, like, flexible timing options and how that can be implemented within our 50-minute class period.
Q. What do you mean by flexible timing options?
A. So, like a standard lesson typically is about, a full session would be 60 minutes, but obviously we can be constrained depending on school schedule and so there’s guidance on how to adjust that and, either shortening certain pieces or making sure that you are using instructional time appropriately.
TR. V6, pp. 93:19 to 94:9; Tr. V6, pp. 146:24 to 147:10. She would use Really Great Reading for 25 to 30 minutes per day, leaving time for other instruction. Tr. V6, p. 134:16 to 23.
Ms. [redacted] in her rebuttal, opined that if the programs were provided for half the time suggested by the manufacturer, the interventions would take twice long to be effective; with a student so far behind, this delay would not be acceptable. Add that to the use of the pull-outs for classroom work, the time to present the interventions would further be reduced. Ms. [redacted] also testified that providing more than one intervention in a pull-out session, or missing classwork because of a pull-out intervention, would not be handled easily for a distractible ADHD student.
Regarding math, Ms. [redacted] testified that two hours of services inside general education and two hours outside general education was inappropriate, as the Student would not be able to
access the seventh-grade math curriculum based upon her current level of math comprehension.
Ms. [redacted] explained that “a child with significant decoding and reading comprehension deficits, attentional deficits, is going to need support in a grade level classroom to access text to get her thoughts on paper, to participate fully in the general education curriculum and make progress in that regard, [Y]ou can't even touch that program with the hours that were offered.”
Tr. V2, pp. 309:19 to 310:3.
Moreover, despite the Student’s severe and documented dyslexia and reading issues, Ms. [redacted] acknowledged that assistance in the general education classroom would be provided through paraeducators, who are not required (or even anticipated) to have had training in the reading interventions or math interventions. Tr. V6, p. 27:12-22. The Parents’ expert opined that nothing would be gained through this assistance.
“Fluency and assisting [the Student] with access her regular classes” – something that Ms. [redacted] testified would be also addressed in the pull-out time - was not addressed. Tr. p.309:13-17. Although fluency intervention was a goal requiring an intervention, Ms. [redacted] was not aware of any instructor at [redacted] who is performing that intervention. Tr. V6, pp. 145:25 to 146:10. If there were none, she would receive training; she did not indicate how much lead time that training would require. In the past, when Ms. [redacted] worked with students in need of fluency intervention, she did so during ten to fifteen minutes of homeroom time. Tr. V6, pp. 157:21 to 158:6. Ms. [redacted] opined that any fluency program implemented required at least forty-five minutes to accomplish. She was not sure how it could be done in a large classroom, as reading out loud was indicated, timing the exercises were required, and the Student would be distracted by others in the room. Providing a fluency intervention as a classroom warm-up, as was suggested, would have to be done in front of other students, which was embarrassing to a student who was not fluent.
The Parents and their experts also raised concerns about pulling the Student out of class for the interventions. Dr. [redacted] testified in rebuttal that children notice other children leaving or entering a classroom, causing frustration and anxiety for the student and a distraction to the other students in the room. Regardless of the method of pulling out (e.g., starting in the pull-out then going back to the classroom, or leaving before the end of the period) it was still disruptive and embarrassing, particularly to a student new to middle school. Therefore, the easiest means to assist the Student would be to have the Student complete the intervention in a set class period, where she should not need to walk in and out of the classroom, nor miss the general education class work. Having the Student work in self-contained classroom with a low student to teacher ratio, with like peers, where she would not be embarrassed, would recognize the Student’s unique circumstances.
1. **The IEP failed to address the Student’s need for a smaller classroom with fewer distractions; and**
The Parents disagree with the hours of service and how those services were going to be provided, explaining:
A. I rejected the IEP because I didn't think that the -- like the -- the instruction would be what she needed. I -- we rejected the IEP because the class sizes were very large. We rejected the IEP because [the Student] would have been pulled out from her English class and her math class every day. So, she would be missing half of that class, stilling needing to do all of that work. I mean, to stand up in the middle of those classes, leave with the other children that also were being pulled out into a small instruction group for either math or language arts. I knew that wasn't a good situation for [the Student] because we had seen what happened when that happened earlier in elementary school.
Tr. V1, pp. 186:15 to 187:2.
The Parents were particularly concerned that the Student would initially be placed in a larger class to see how she would perform. They were not satisfied with this assurance:
Q. Okay. And as far as class size, had you talked about class sizes at the IEP meeting?
A. We did.
Q. And what were you told?
A. That, I think, Ms. [redacted] said that there – there was no documentation about small class sizes [redacted] and that they would have to see how [the Student] did in a large class size before they will consider moving her into a smaller class size.
Tr. V1, pp. 189:19 to 190:2. They were led to believe that the typical class size was thirty-one students. Tr. pp 190:19 to 191:24. This was not disputed.
The Parents’ witnesses showed that educating the Student in a general education setting, with a large number of general education students, with little support in the classroom, other than two hours of pull-out services, is insufficient to provide the Student with an appropriate education required by *Rowley* and *Endrew F.*
Ms. [redacted] testified that the Student would be supported in the general classroom to make sure she is accessing the information. That did not explain how a student with such deficits could participate in a general education classroom with a larger number of students and a higher student teacher ratio than what she is used to. There was little testimony about how that assistance would be provided.
Although teachers at [redacted] did not testify at the hearing,¹⁸ they prepared reports in January 2020 on HCPSS Child Find forms for the IEP team to consider. Test results are instructive, but they are only a snapshot of the student’s strengths, weaknesses, functioning and educational needs that are displayed in one hour of one day. I consider these reports significant and probative because they
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¹⁸ HCPSS questioned why [redacted] teachers were not testifying on behalf of the Parents. The Parent explained that the school will not allow its teacher to attend special education hearings, and if she were to have subpoenaed a teacher, the Student would be disenrolled from the school. Tr. V1, pp. 114:17 to 115:1; pp. 183:8-24.
were written by teachers who are familiar with the Student’s current functioning and who have interacted with the Student on a daily basis for a longer period of time.
Even with smaller class size and individual attention at [redacted], the Student continues to have difficulties. Parents Ex. 31 encompasses several HCPSS Child Find forms completed by the Student’s teachers at [redacted], which were shared with the IEP team. Of note, the cover pages (Parents Ex. 31-0001 and 0002) discuss the Student’s positive outlook on her education, but also her challenges with it.
The Student’s Composition teacher states that “her spelling, grammar and mechanics are weak, even with proofreading and support technologies; she often cannot identify misspelled words nor remedy them independently.” Comparing [the Student] to students in her same grade, the Student’s teacher “frequently” found that she continues to guess at words, and has difficulty with spelling, writing at an appropriate speed, punctuation and organization. Parents Ex. 31-0007.
The Student’s literature teacher reiterated the Student’s creativity and comprehension but confirms the Student’s difficulty with “spelling many words, even with access to spell check and other supports. Often her written work contains many errors of spelling and punctuation. Independent reading is difficult for [the Student]… She struggles to recall information when she reads without the aid of outside support.” Parents Ex. 31-0001. Completing the HCPSS Child Find forms checklist of frequently observed problems in comparison to other students in the same grade, the teacher repeats his concerns expressed above, adding that she “does not normally read out loud during class…. [and has] significant trouble expressing herself in writing especially with spelling. She has access to technology for all assignments and tests.” Parents Ex. 31-0005.
The Student’s Language Skills (reading and spelling) class has a two to one student teacher ratio. Even with this high degree of attention, her teacher writes that she uses prompts and redirection to keep her on task, and that the Student “requires prompting to remember spelling and
suffix rules, syllable types, syllable division patterns, and morphology meanings. On a daily basis, she practices timed reading or words (real and nonsense), sentences and short passages... with reminders to use correct capitalization and punctuation. Parents Ex. 31-0002. Comparing the Student to students in her same grade on the HCPSS Child Find form considered by the IEP team, the teacher frequently observed the following problems:
Reading:
• Difficulty with letter/word recognition
• Word guessing
• Slow, constant sounding out of words
• Difficulty with comprehension (factual, critical)
Written expression:
• Difficulty with spelling
• Difficulty with writing speed
• Difficulty with completing written work
• Difficulty with punctuation
• Difficulty writing a sentence
• Difficulty organizing sentences and ideas into meaningful paragraphs
Discrimination
• Difficulty discriminating letter symbols
Memory
• Difficulty remembering what is seen
• Difficulty remembering what is heard
• Difficulty retaining information over a period of time
Attention/Organization/Activity Level
• Difficulty beginning a task
• Difficulty maintaining attention
• Easily distracted
• Loses or forgets work and/or materials
• Difficulty with organization
• Difficulty completing tasks
Social/Emotional
• Inconsistency in performance
Daily work
• Incomplete homework assignments
The language skills teacher also noted that “reading, writing and comprehension are extremely difficult tasks for her.” Parents Ex. 31-0004.
Lastly, the Student’s seventh grade math teacher states that she is working “from a 4th grade equivalent scope and sequence.” The teacher writes that, despite her “great effort in math class,” [The Student] “struggles with her basic operations, and she makes frequent computation errors. [She] struggles with remembering the steps to multi-digit multiplication and long division. She benefits from reference materials to reduce her working memory load. [The Student] works hard but continues to need significant support.” Emphasis added. Parent Ex. 31-0002. Comparing the Student to students in her same grade on the HCPSS Child Find form considered by the IEP team, the teacher frequently observed the following problems:
Mathematics:
• Difficulty with number recognition
• Difficulty with number concepts
• Difficulty with basic operations (Multiplication, Subtraction, Division)
• Difficulty understanding place value
• Difficulty with number concepts
Discrimination
• Difficulty solving word problems
Memory
• Difficulty retaining information over a period of time
Visual Motor Coordination
• Difficulty with paper/pencil tasks
• Difficulty copying from the board
Attention/Organization/Activity Level
• Easily distracted
• Loses or forgets work and/or materials
• Difficulty with organization
• Difficulty completing tasks
Social/Emotional
• Interrupts and distracts class/easily redirected
The Student’s teachers at [redacted] are able to analyze her needs and present her education due to the small size of her classes. She is with like peers and is not embarrassed to perform on her level, as she was at [redacted]. [Redacted] teachers are able to give her this attention due to the low student to teacher ratio, described in Parents Ex. 37 (pp. 0001-0030). The Student was “lost” in the larger classroom; she is not lost at [redacted].
3. **The IEP failed to include special education services and placement based on the Student’s unique needs.**
Dr. [redacted] testified that children with dyslexia and dyscalculia need repetition and individual attention to make progress in light of the Student’s circumstances. Ms. [redacted] concurred on the need for repetition and constant enforcement, even over material that appeared to have already been mastered:
And, unfortunately, with kids with dyslexia like [the Student], you’ll think that you have something in there and you will have spent some time on it and you’ll think that it’s mastered. So you move on to the next thing, but then when you do an assessment, or, like, maybe a few weeks later you’re noticing that sound, they didn’t get that sound. We need to go back and review that and repeat that lesson.
So a lot of repetition, a lot of hands-on, we did games. We did painting. We did just as many things as we could think of to do that were hands-on and to get moving. That’s what we did.
Tr. V4, p. 16:7 to 18. This regression was evidenced on the Student’s third grade report card. Tr. V4, pp. 19:25 to 20:21; Parents Ex. 20-0033. Ms. [redacted] explained the role of repetition for dyslexic students:
Q. You mentioned something earlier in regard to it’s important to master something before moving on; why is that?
A. Because dyslexic children, one of the hallmarks of a child that is dyslexic is they -- they understand something in the moment and then the very next -- and so the teacher may think that they got, oh, this
child understands and so tomorrow I can do something totally different because the child understands what I did yesterday. But that’s not true. A child like [the Student] and definitely [the Student] would certainly get something in the moment and then go to apply it the next day and it’s gone. So, it’s really important to achieve a really high level of mastering a skill so they don’t have to think about it. They just do it and you have to achieve that level of mastery over a long period of time. And that kind of depends on the child.
Tr. V1, p 230:3 to 19.
[Redacted], who also testified as an expert in dyslexia, was familiar with both HCPSS reading programs and [Redacted]. From her record review, she opined that the Student made progress at [Redacted] – even if slow and steady – which was the result of the low student to teacher ratio, small class size and an educational staff that consistently deals with dyslexic students who require repeated phonics and math reteaching.\(^{19}\)
No provision in the IEP addressed the Student’s unique circumstances – that she needs intense repetition to master a concept. Although the methodology to teach is within the discretion of the school, HCPSS was not sure which program they would use to initiate their interventions. Even with the programs that their witnesses mentioned, there was no program presented that would address this unique need, which the Parents’ experts demonstrated was a hallmark of dyslexia and dyscalculia. Having a paraeducator in the classroom with the Student, who is not familiar with dyslexia, dyscalculia or the interventions required to support such a student, is woefully inadequate to meet those unique circumstances. Although the HCPSS witnesses meant well, they did not tailor their programming to the unique needs of the Student – a small student to teacher ratio, small classes that would minimize disruptions, frequent repetition of material that was mastered and then lost, and an atmosphere where the Student feels comfortable. This could
\(^{19}\)I considered the relevance of Ms. [Redacted]’s testimony, due her limited, three-hour interaction with the Student. Nevertheless, I considered Ms. [Redacted] to be familiar with dyslexic students and their education at [Redacted] and relied on her opinion in that regard.
not be achieved by the Student sitting in a classroom with a textbook she cannot read, or worse, fearing being asked to read it aloud when she could not do so. That would create a hint of the [blacked out] memories that caused her such anxiety that she became a frequent visitor to the nurse’s office and brought this anxiety home. The Parent testified about how Student would react to larger, not individualized classes, which was clear by her history at [blacked out] and a component of the current IEP:
And [the Student’s father] was commenting after our conferences how different her [blacked out] conferences have been since we’ve -- you know, we’ve been talking so much about in [blacked out] and how would go to the conferences and we -- we would hear she’s not paying attention. She’s off task. She does homework hard. She doesn’t finish her work. But when we go to these [blacked out] conferences we hear that she is an enthusiastic learner. She works hard. She wants to learn. She’s helpful. She’s positive. It’s very different.
Tr. V1, p. 142:9 to 17.
For these reasons, I have determined, by a preponderance of the evidence, that the IEP proposed by HCPSS was not reasonably calculated to enable the Student to make progress appropriate in light of her circumstances. *Endrew F.*, 137 S.Ct. at 1001.
H. Unilateral placement
The issue of reimbursement for unilateral placement was expanded in *Florence County School District Four v. Carter*, 510 U.S. 7 (1993), where the Court held that placement in a private school not approved by the state is not a bar under the IDEA. Parents may recover the cost of private education only if (1) the school system failed to provide a FAPE; (2) the private education services obtained by the parent were appropriate to the child’s needs; and (3) overall, equity favors reimbursement. *See Id.* at 12-13. The private education services need not be provided in the least restrictive environment. *M.S. ex rel. Simchick v. Fairfax Cty. Sch. Bd.*, 553 F.3d 315, 319 (4th Cir. 2009)
Having found that the IEP proposed by HCPSS was not reasonably calculated to enable the Student to make progress appropriate in light of her circumstances, the next question is whether the Student can receive “an appropriate education” at [redacted]. *Florence*, 510 U.S. at 14.
The [redacted] program was described in the Student’s Individualized Student Plan\(^{20}\) for the 2020-2021 school year. Parents Ex. 37-001-2. Recognizing the Student’s “learning educational assessment and learning profile” based on Dr. [redacted]’s February 2018 assessment, the document describes how [redacted] teachers would address the Student’s spelling, decoding, reading fluency, comprehension and mathematics deficiencies. For each subject area, the document lists the class sizes, instructional approaches, and accommodations to be provided.
The Student’s Language Skills class has a two to one student teacher ratio and is designed for her to master her instruction: “decoding strategies/practice, fluency training (Reading A-Z, morphological awareness/vocabulary instruction (Infercabulary/Worldy Wise, and spelling instruction.” Parent Ex. 37-0031. Her listed accommodations are:
- Access to a variety of seating options
- Modification of class assignments by reducing the number of items required
- Opportunity to demonstrate mastery of content in a variety of ways
- Extended time on all assessments
- Option for a reader for assessments
- Chunking assignments, especially reading
- Access to spell and grammar check on all written assignments.
The Student’s literature class has a ten to one teacher ratio and the composition portion of the class has a five to one ratio. The instruction method is again multi-sensory, and her writing is color coded. The accommodations are similar.
The Student’s math class has a six to one student to teacher ratio, and is designed for “explicit, multi-sensory instruction, slow/deliberate pacing based on mastery, modified curriculum (below grade level), visual presentation of concepts using drawings/graphics and
\(^{20}\) This document is similar to an IEP in that it addresses what course the Student’s education will take. It is not as formalized as the HCPSS IEP, as there are no legal requirements for its structure or content.
manipulatives.” Parent Ex. 37-0031. The accommodations are similar, but have some adjustments for math instruction:
- Access to multiplication chart and/or calculator
- Extended time for assessments
- Chance to check and revise answers on assessments (for calculation errors)
- Access to notes in a digital or printed format
- Access to assignments electronically
- Access to the standing desk
- Access to formulas
- Opportunity to demonstrate knowledge through class discussion
The Student’s science class has a ten to one student teacher ratio, and is designed for “explicit, multi-sensory instruction with a significant amount of hands-on, experiential learning.” Parent Ex. 37-0032. The classroom accommodations are:
- Extended time on assessments
- Use of speech to text (voice typing) and spell check for all in-class work, assessments, and homework
- Spelling NOT counted on assessments
- Priority seating
- Formulas provided for classwork and tests
- Notes available electronically
- Access to audio (Read & Write) or verbatim reader for all in-class work, assessments, and homework
Finally, the Student’s social studies class has an eleven to one teacher ratio, designed for “Instruction: discussion-based, multi-sensory instruction with use of primary sources.” Parent Ex. 37-0032. Accommodations are:
- Extended time on assessments
- Access to audio (Read & Write) or verbatim reader for all in-class work, assessments, and homework
- Use of speech to text (voice typing) and spell check for all in-class work, assessments, and homework
- Opportunity for flexible seating, use of fidgets, standing/moving during lecture and classwork
The present teacher report for the fall 2020-2021 term shows that the Student is doing well in this environment. Parents Ex. ?P. 37-0033. Excerpts from earlier report cards show her
progress. In her skills class in the first trimester for the 2018-2019 school year, the Student’s units of study included phonology (basic spelling patterns and vowel teams). As an example, she had already moved up three levels in Reading A to Z since the beginning of the first trimester of the 2018-2019 school year (Parents Ex. 37-0001), three more levels in the second trimester (Parent Ex. 37-0004).\(^{21}\)
The Parent and her witnesses described how the education program at [redacted] provides her with an appropriate education in light of the child’s circumstances.
[Redacted] was accepted as an expert in dyslexia, specialized instruction for students with dyslexia, as well as special education. She testified about her educational history and work experience, particularly working with dyslexic students as a teacher and director of curriculum at the [redacted] School, which she described as a school for children with language-based learning disabilities. She was also the academic director at [redacted] for their summer dyslexia education program, later becoming an outreach instructor going to area public and private schools to train teachers how to teach dyslexic children. In 2011, she started the [redacted] School. Ms. [redacted] has 120 hours of OG training, as well as other training in various reading programs.
Ms. [redacted] has had personal teaching experience with the Student, tutoring her in the second grade after school at [redacted]. Ms. [redacted] supported the Student’s reading difficulties as far back as second grade; she was unable to read “CVC”\(^{22}\) words at greater than a 33% accuracy rate, which was in the low range for a second-grade student. Tr. V1, p. 221:12 to 25.
From her training and experience teaching dyslexic children, Ms. [redacted] described how the Student, as a dyslexic child, could progress in reading using her senses:
[The Student], needed it to be taught not only explicitly but she had to look at the a, trace it with her hand and say, ah, and say it all at the same time. Not just once,
---
\(^{21}\) The teacher commented that this movement since the first of the year represented one grade level. Parents Ex. 37-0004.
\(^{22}\) Consonant-vowel-consonant words, such as “cat.”
but maybe 30 times to get it right, because that's what dyslexia is. *It needs to be taught over and over and over again*, using the eyes, the ears, your body, anything to get that basic road skill into the child's brain and memorized so that can be automatic with it when they read. That's what multi-sensory means, using more than one learning modality, visual, aesthetic, auditory, and putting them together at the same time to present material to a child in order to make it stick in their brain better.
Tr. V1, p. 227:4 to 16. Emphasis added.
Ms. [redacted] described the learning environment that would be beneficial for the Student – multiple interventions and not pushing “inappropriate” text in front of her, as it would cause frustration and regress her learning:
Q. And then based on having observed students in public schools having worked with the Student, reviewed her progress here, what is your expert opinion as to the type of learning environment that the Student requires to be able to make progress?
A. So, she requires multiple interventions throughout her day. And she also requires that in the part of her daily science and social studies where she really can grasp those types of concepts that she not have to rely solely on reading and writing to demonstrate her knowledge. She needs like a rich (inaudible) experience so that she's with teachers that are trained and understands, this is a child that can think. This is a child that can? learn. But this is not necessarily a child that you can just open a text book in front of and expect that she'll read it.
So, she needs teachers that understand that, the nature of her learning disability and also that can support the interventions throughout the day by not putting inappropriate text in front of her before she's ready for it. So, she really needs a full program with interventions that globally supported throughout school.
Q. What do you mean by inappropriate text in front of her?
A. You know, [the Student] is on CVC words, for example, and learning those, and she's learning those in the second grade, well, that's well below a second grade skill. So, you're teaching a science class and you put a book in front of a child that's dyslexic and ask them to read it
and respond, you can really interfere with the intervention instruction. One, the -- that -- that material is not geared towards where they are, so the rules that they have learned so far don't match up and the child resorts to guessing to make sense of the task. That's not what you want them to do. You don't want them to guess. You want them to learn to decode properly. So, you -- you try taking the guessing away from them.
So, if they were to go back into a classroom and the teacher doesn't understand that, they just think because you have a bright child in front on you, I can just put this text and then they just start guessing again. One, it's a frustrating experience, it can cause a lot of anxiety. And it kind of undoes everything that's going on in the intervention -- the reading intervention if that makes sense.
Tr. V1, pp 231:19 to 233:13.
Ms. ______ indicted the need for a higher level of intervention based on the severity of the Student’s dyslexia:
Q. Where would you put [the Student] on the scale of students that are dyslexic? How would you characterize that as minimum? moderate? significant? severe? What would be your descriptor for her dyslexia?
A. I would say severe. I've worked with some kids and I still do tutoring on the side with some kids that they -- all it is is that they need extra time or a multisensory way. But [the Student], it's severe because she just -- she needs so much repetition. She needs that one-on-one, that small group, that individualized attention in order for her to be able to retain and grasp and then go back and revisit, if needed. She's the type of child that, you know, in? a large classroom would get lost.
Tr. V4, pp. 22:22 to 23:9. “She would benefit from a small group, if not one-on-one with less distractions.” Tr. V4, p. 24:12 to 23. Although Ms. ______ acknowledged that the Student was “easily redirected,” the logical inference is she still needs someone present to identify and monitor that behavior, redirecting her so that she can stay on task.
____________________
23 The ease of redirection was based on a one to one setting at small table. Tr. V4, p. 39:4 to 12.
At [redacted] the Student did not make progress. Her reading scores decreased and she had difficulty with phonics, decoding and encoding simple “VCV”\(^{24}\) words, which was what was required of her, despite a reading specialist four days a week for 20 minutes in a one to one setting. Parents Ex. 15-0004. The testing showed that her skills regressed within a larger group setting even though pull-out services were provided addressing her general skills. Placing the Student in a classroom where she was embarrassed because she was not able to read promoted the avoidance behavior the Parent presented in her testimony. To that end, Ms. [redacted] also opined that the Student functions best in small groups, because she would have less to process, and have a close relation with her teacher. Tr. V1, p 234:4 to 13. V1, p. This concern also took into consideration the Student’s ADHD diagnosis which caused her to be prone to distraction. Tr. V1, pp. 239:24 to 240:15.
[redacted], another expert in dyslexia, testified from her expertise as well as her experience teaching the Student at [redacted]. Her experience, confirmed by other witnesses, is that it might appear that the Student would master a skill, but she observed the Student lost that skill if it was not consistently practiced and relearned. The need to monitor and reteach even the most basic skills would be accomplished by teaching the Student in a low student teacher ratio class (sometimes one to one, sometimes two to one) to reinforce the retention of that information.
For these reasons, I find that the private education services obtained by the Parents at [redacted] for the 2020-2021 school year were appropriate to the Student’s needs. Overall, equity favors reimbursement; there is no evidence to the contrary. *See* Carter, 510 U.S. at 12-13.
\(^{24}\) Vowel, consonant, vowel.
CONCLUSIONS OF LAW
Based upon the foregoing Findings of Fact and Discussion, I conclude as a matter of law that:
1. HCPSS did not commit a procedural violation that impeded the provision of FAPE or deprived the Student of educational benefit. 20 U.S.C.A § 1415(f)(3)(E)(ii). *T.B. v. Prince George’s County Board of Education*, 897 F.3d 566, 573 (4th Cir. 2018), cert. denied, 139 S.Ct. 1307 (2019); *DiBuo v. Board of Education of Worcester County*, 309 F.3d 184 (4th Cir. 2002).
2. The IEP developed by HCPSS failed to offer the Student a FAPE based on her unique circumstances. *Board of Education of the Hendrick Hudson Central School District v. Rowley*, 458 U.S. 176 (1982); *Endrew F. v. Douglas Cty. Sch. Dist. RE-I*, 798 F.3d 1329, 1338 (10th Cir. 2015).
3. Parents are entitled to placement of the Student at [redacted] for the 2020-2021 school year, with HCPSS paying for or reimbursing all tuition and related costs for that school year; relief is denied for the 2019-2020 school year and summer session in 2020. *Sch. Comm. of Burlington v. Dep’t of Educ.*, 471 U.S. 359, 370 (1985); *Florence County School District Four v. Carter*, 510 U.S. 7 (1993).
ORDER
I ORDER that:
1. The Student’s placement for the 2020-2021 school year is at the [redacted] School,
2. HCPSS will pay for or reimburse the Parents all tuition and related costs for that school year upon presentation of a legitimate billing.
3. The Howard County Public School System shall, within thirty days of the date of this decision, provide proof of compliance with this Order to the Chief of the Complaint
REVIEW RIGHTS
A party aggrieved by this final decision may file an appeal within 120 days of the issuance of this decision with the Circuit Court for Baltimore City, if the Student resides in Baltimore City; with the circuit court for the county where the Student resides; or with the United States District Court for the District of Maryland. Md. Code Ann., Educ. § 8-413(j) (2018). A petition may be filed with the appropriate court to waive filing fees and costs on the ground of indigence.
A party appealing this decision must notify the Assistant State Superintendent for Special Education, Maryland State Department of Education, 200 West Baltimore Street, Baltimore, MD 21201, in writing of the filing of the appeal. The written notification must include the case name, docket number, and date of this decision, and the court case name and docket number of the appeal.
The Office of Administrative Hearings is not a party to any review process.
Copies Mailed To:
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I admitted the following exhibits on behalf of the Parents:
Parents Ex. 1 HCPSS Response to Complaint
Parents Ex. 2 CV
Parents Ex. 3 CV
Parents Ex. 4 CV
Parents Ex. 5 CV
Parents Ex. 6 CV
Parents Ex. 7 Psychological Summary 2014
Parents Ex. 8 HCPSS Educational 1/2015
Parents Ex. 9 HCPSS Psychological 2/2015
Parents Ex. 10 HCPSS Speech Language 2/2015
Parents Ex. 11 HCPSS OT Evaluation 1/2015
Parents Ex. 12 IEP 2/2015
Parents Ex. 13 Parent Note
Parents Ex. 14 IEP 2/2016
Parents Ex. 15 HCPSS Educational Assessment 4/2016
Parents Ex. 16 HCPSS Psychological 6/2016
Parents Ex. 17 HCPSS OT 5/2016
Parents Ex. 18 IEP 6/2016
Parents Ex. 19 Report Card 15-16, Annual Goal Progress Report 6/2016
Parents Ex. 20 [Redacted] Benchmarks 1/16, [Redacted] School 16-17 Report Card, [Redacted] School 17-18 Report Cards
Parents Ex. 21 Psycho-Educational Evaluation 2/2018
Parents Ex. 22 Parent Letter 11/2019
Parents Ex. 23 Parent Questionnaire, Referral Form 11/2019
Parents Ex. 24 HCPSS Child Find Program forms
Parents Ex. 25 IEP Team Meeting Report 1/2/2020
Parents Ex. 26 Parental Consent Evaluation Form 1/2/2020
Parents Ex. 27 HCPSS Informal Reading Summary 1/2020-2/2020, Diagnostic Passages
| Parents Ex. | Description |
|------------|-------------|
| 28 | HCPSS Educational Assessment Report 2/2020, Woodcock Johnson IV Score Report 1/2020 |
| 29 | HCPSS Psychological Assessment Report 2/2020 |
| 30 | IEP Team Meeting Report 2/28/2020, IEP 2/28/2020 |
| 31 | Teacher Observations/Comments 1/2020, HCPSS Child Find Program forms |
| 32 | Forward Thinking Consultation 2/5/2020 |
| 33 | Representation Letter 5/1/2020 |
| 34 | IEP Team Meeting Report 5/18/2020 |
| 35 | Draft IEP with AV Comments 5/18/2020 |
| 36 | Distance Learning Weekly Schedule, Proposed Schedule 10/1/2020 |
| 37 | 18-19 T1 and T2 Report Cards, 19-20 T1 Report Card, 18-19 T3 Report Card, 19-20 T1, T2 and T3 Report Cards, Individualized Student Plan 20-21, Fall 20-21 Progress Report |
| 38 | Assessment Results Reports |
| 39 | Fee Schedule 20-21 |
| 40 | [Not admitted into evidence] |
| 41 | [Not admitted into evidence] |
| 42 | [Not admitted into evidence] |
| 43 | HCPSS Emails |
| 44 | US Dept. of Education COVID-19 Guidance Document |
| 45 | MSDE Technical Assistance Bulletin# 20-01 |
| 46 | MSDE Technical Assistance Bulletin# 20-03 |
| 47 | HCPSS Documents |
| 48 | HCPSS Plans for Continuity of Learning Documents |
| 49 | HCPSS Special Education and Early Intervention Services COVID-19 documents |
| 50 | HCPSS Guidance for Developing ASDM Plans 8/2020 |
| 51 | HCPSS Guidance for Outstanding 19-20 IBP Team Processes 9/2020 |
| 52 | HCPSS Data and Progress Monitoring: Data Collection Measures 8/27/2020 |
| 53 | HCPSS COVID-19 Compliance Resources Library 20-21 |
| 54 | HCPSS Board of Education Meeting Documents 9/24/2020 |
| 55 | [Not admitted into evidence] |
| 56 | [Not admitted into evidence] |
| 57 | Memorandum of Understanding: Related to COVID-19 4/23/2020 |
I admitted the following exhibits on behalf of HCPSS:
HCPSS Ex. 1 Notice of IEP Team Meeting -11/25/19
HCPSS Ex. 2 Notice of IEP Team Meeting -12/11/19
HCPSS Ex. 3 IEP Team Meeting Report-1/2/20
HCPSS Ex. 4 Notice of IEP Team Meeting- 2/3/20
HCPSS Ex. 5 IEP Team Meeting Report-2/28/20
HCPSS Ex. 6 Notice of IEP Team Meeting- 5/11/20
HCPSS Ex. 7 IEP Team Meeting Report-5/18/20
HCPSS Ex. 8 Evaluation Report SLD\(^2\) Supplement - 2/28/20
HCPSS Ex. 9 Evaluation Report ADHD Supplement - 2/28/20
HCPSS Ex. 10 Referral for Student Suspected of Having a Disability
HCPSS Ex. 11 Parent Questionnaire
HCPSS Ex. 12 [Redacted] Teacher Input
HCPSS Ex. 13 Report of Psychological Assessment-1/15/20 through 20/5/20
HCPSS Ex. 14 Report of Psychological Assessment- 6/2/16
HCPSS Ex. 15 Educational Assessment Report-2/11/20
HCPSS Ex. 16 Woodcock-Johnson Score Report-1/21/20
HCPSS Ex. 17 Informal Reading Summary -1/21/20, 2/24/20
HCPSS Ex. 18 QRI Testing Protocols
HCPSS Ex. 19 [Redacted] Reports
HCPSS Ex. 20 Proposed IEP- 2/28/20
HCPSS Ex. 21 Distance Learning Weekly Schedule
HCPSS Ex. 22 Proposed Schedule - as of 10/1/20
HCPSS Ex. 23 MSDE Technical Assistance Bulletin-20-01
HCPSS Ex. 24 MSDE Technical Assistance Bulletin- 20-03
HCPSS Ex. 25 MSDE Technical Assistance Bulletin- 20-09
HCPSS Ex. 26 CV -
HCPSS Ex. 27 CV -
HCPSS Ex. 28 CV -
HCPSS Ex. 29 CV -
HCPSS Ex. 30 CV -
HCPSS Ex. 31 CV -
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\(^1\) Many of these documents were also submitted into evidence by the Parents. For simplicity, when one of these documents is referenced, I will identify them by the Parents’ exhibit numbers.
\(^2\) Specific learning disability
|
SOLUTIONS FOR ENERGY MANAGEMENT
Lovato electric
ENERGY AND AUTOMATION
In the manufacturing and service industries, **Energy Management** is an issue of strategic importance.
For a modern company, managing energy resources intelligently yields major competitive advantages, thanks to reduced running costs, in addition to its environmental and social benefits.
Effective energy management is based on thorough analysis of consumption to define measures and investments capable of significantly reducing costs.
This requires a systematic approach involving all levels of the organisation. The standard that provides the necessary framework is **UNI CEI EN ISO 50001** "Energy management systems - requirements with guidance for use". This standard also integrates effectively with the ISO 9001 quality and ISO 14001 environmental management systems.
---
**Model of the energy management system according to UNI CEI EN ISO 50001**
- Continuous improvement
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- Non conformities, corrections, corrective and preventive actions
- Internal audit of Energy Management System
The use of an energy consumption monitoring and analysis system is the prerequisite for satisfying the increasingly stringent legal requirements for **Energy Audits** for large and energy intensive enterprises; it is the essential condition for acquiring the data required by the Energy Services Operator (ESO) to issue **White Certificates**. Furthermore, the issue of the sustainability report is also of growing importance, which in addition to representing a moral commitment will also become a legal obligation.
The outcome of the monitoring and analysis is summarised in an Energy Audit which sets out the energy health of the company and identifies measures for improvement. To ensure that the improvement is continuous, the **Energy Audits** have a periodicity of at least four years, thus verifying the results achieved and the new objectives to be set.
An adequate energy consumption monitoring and analysis system is the principle ally of the company's **Energy Manager** in the difficult task of planning the efficient use of energy resources.
We indicate below the principal factors considered in an effective energy analysis:
**Using no more energy than necessary**
**Flattening off demand**
**Avoiding penalties**
**Indentifying mains supply disturbances**
**Division of energy**
LOVATO ELECTRIC MONITORING SYSTEM
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Easy Branch solution
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**Variable speed drives**
Energy
These are a valuable complement to the Energy Management system because they are easy to install to machines and enclosures to detect process and environmental data such as: control and operating equipment status/alarms, pressures, flow rates, temperatures, levels, control of local automation, scheduled service management, control of operating equipment.
For use with generating sets (alternative energy sources used in the event of a power cut) LOVATO Electric has designed the RGK product range for generator protection and power source/grid-generator parallel switching control.
The FFL series fire controllers allow the control and monitoring of electric pumps and motor pumps for sprinkler fire protection systems. They are designed according to the EN 12845 standard and incorporate additional features for the supervision, monitoring and maintenance of fire protection systems. Panels are available for remote alarm indication.
Micro PLCs
Generating set controllers
Fire pumps controllers
Energy meters
Single- and three-phase multi-measurement energy meters with direct connection (up to 80A) and indirect via CT, equipped with pulse output or RS485 port with MODBUS or MBUS protocol, certified MID and UTF.
Measuring instruments
DIN rail and panel mount multimeters with indirect connection via TA and Rogowski sensors up to 6000A; energy quality and harmonic distortion analysis up to the 63rd harmonic; analogue and digital inputs and outputs with boolean logic programming.
Power analyzers and Easy Branch system
Mains analysers with widescreen colour displays can monitor multiple loads from a single device, thanks to their Easy Branch structure. Simplified cabling, reduced footprint in the enclosure and easy system expansion.
The EXCGLB... is a combined gateway and data logger and is key to the construction of modern, functional and efficient monitoring systems. The device logs data from LOVATO Electric devices or ambient sensors running compatible protocols and monitors all kinds of energy vector (water, air, gas, electricity or steam). Logged data can be consulted via the built-in web server and transmitted either to LOVATO Electric’s Synergy supervision software or to remote servers in suitable formats for further processing.
WEB SERVER INTEGRATION
The EXCGLB... is equipped with a built-in web server that lets you:
- consult and download collected data
- view time-referenced charts and tables for historic analyses
- define what categories of collected data must be sent automatically to the Synergy supervision software or other destinations.
AVAILABLE VERSIONS
| Communication | EXCGLB01 | EXCGLB02 | EXCGLB03 |
|---------------|----------|----------|----------|
| RS485 port | ● (Modbus RTU master) | ● (Modbus RTU master) | ● (Modbus RTU master) |
| Ethernet port | 1 | 1 | 2 (independent networks) |
| Wi-Fi connection | ● | - | - |
| 4G mobile connection (built-in) | - | ● (MicroSim) | ● (MicroSim) |
| GNSS (GPS) function | - | ● | - |
| Digital/Analog input, digital output | 1 digital input, 1 analog input 0...10V, 1 digital output @24VDC | | |
| Network protocols and services | MQTT, http/https, VPN client, Modbus TCP master (device side), FTP | | |
INTEGRATION WITH Synergy
The Synergy energy supervision system is the result of LOVATO Electric’s extensive experience in four different but synergic areas: hardware devices, monitoring software, technical assistance and training.
Connecting the EXCGLB... to LOVATO Electric’s Synergy Cloud monitoring services delivers the following advantages:
- automatic access to data loggers, synoptic pages and graphics in a standard configuration that does not require any user intervention
- transmitted data can be processed freely and displayed graphically on web pages that can be customised to meet specific customer needs
- guaranteed data security even in the event of internet instability.
THIRD PARTY COMPATIBILITY
- Regular transfer of data to third party software in encrypted mode in XML via http/https or CSV files via sftp/ftp.
- Mqtt live data transfer
- Third party modbus devices support
TECHNICAL CHARACTERISTICS
- Connection to field devices via RS485 and/or Ethernet
- Internet connection via cabled network or modem: independent of customer’s network
- Communication with remote servers via http, https and ftps protocols: neither static public IP addresses nor specific TCP ports are needed
- Regular transfer of data to Synergy supervision software in encrypted mode in XML files via http/https or CSV files via sftp/ftp.
- Mqtt live data transfer to Synergy
- Data and report export via web servers in Excel or CSV format
- Plug & Play: auto-recognition of compatible devices connected via the Ethernet or serial channel.
ONLY ONE INSTRUMENT FOR THE MONITORING OF 33 THREE-PHASE LOADS
When inside an electrical panel the parameters of several loads have to be monitored, EASY BRANCH power monitoring system is a more efficient and simple alternative solution to install than the traditional one which requires an independent instrument for each measuring point.
The electrical distribution panels in shopping centres or in the departments of a production facility represent ideal applications for EASY BRANCH system by LOVATO Electric.
CURRENT MEASURING MODULE with 4 inputs for electronic RJ45 CTs.
MAX 8 EXS4... current measuring modules can be connected to the EXS0000 bus module, to monitor up to:
- 33 three-phase loads
- 99 single phase loads
- mixed configuration.
MAX CABLE LENGTH from 20m to 100m due to fields conditions
CURRENT MEASURING MODULE with 2 inputs for current transformers.
MODULE CONFIGURATION FROM 32A TO 125A
- Three-phase
- Single-phase
- Three single-phase.
3X DM... Current transformers.
Synergy is a supervision and energy management web-based software that provides the monitoring and control of the electrical installation, from every computer or mobile device through the most popular web browsers in a simple and efficient way.
It is valid software to sustain the activities indicated by the standard EN ISO 50001 "Energy management systems. Requirements with guidance for use". In addition to electrical quantities, it allows to check all environmental and process information (operating status, alarms, etc.), acquired from LOVATO Electric products, equipped with communication port, and thereby to carry out commands and parameterising. Integration with external systems (i.e., management systems, MES, Scada and so on) is assured by the option of accessing the database via Web API queries.
Synergy enables the user to create custom web pages with widgets featuring graphs, tables, gauges and alarm conditions. The data can be downloaded to the user's computer or forwarded to a designated email address or FTP server at scheduled times. The user can configure the exported files to suit his requirements and represent them in terms of his own models.
A flexible, user-friendly, open and scalable energy monitoring system, ready for the challenges of the future.
FUNCTIONALITY
- The Synergy interface is compatible with all common web browsers
- Communication with all LOVATO Electric measurement and control devices, via serial ports, Ethernet or modem
- Integration of third party devices with Modbus
- Reading of instantaneous values
- Definition of custom pages with charts, data tables, measure indicators and alarm conditions
- Data tables which can be exported to customisable files, for example to generate reports with user's logo and post-processing elaborations
- Data access through web API service
- Energy consumption, minimum, maximum and average values of the instantaneous measures divided per time slots
- Alarm management with e-mail notification
- Parameter changing of devices in the field
- User's access level management.
ALARMS
Each value recorded in the archives (datalogs) can be associated with one or more alarms, that can be reported with the option of automatically sending an e-mail. A specific menu allows the display of detailed information, silencing of alarms and searching of the datalog.
USER PROFILE
The software has a multi-user, multi-environment structure. The system administrator can handle multiple accesses with a hierarchy of authorisations to suit the needs of his users.
SERVER-MULTICLIENT SYSTEM
Synergy structure and applications are based on a MS SQL relational database management system. These characteristics make Synergy a highly versatile system, simultaneously accessible to a large number of users/workstations via intranets, VPN or Internet.
INTERFACE
The DASHBOARD view displays not only live data indicators, but also graphics and previews of data logs, all in a completely personalisable space accessible from any mobile device or computer.
DATA LOG
Data logs are used by Synergy to collect its data. The data can be viewed with the software itself, downloaded as files or shared over the Web API.
CHARTS
The graphs offer a quick overview of trends in the data collected by Synergy. Personalisable, multi-coloured and multi-level, they are the ideal way to understand such trends at a glance.
SIMPLE, INTUITIVE CONFIGURATION
Programming Synergy does not require any particular computer knowledge since specific configuring instruments have been developed to guide through the configuration of product networks, graphic pages, datalog reports and charts, in a simple and intuitive way.
REPORT
Reports are used to analyse consumption data and understand the detailed dynamics of the power drawn by the loads. User-friendly graphics and a dedicated layout make it easy for the user to monitor the system’s energy consumption.
FURTHER INFORMATION
consult the site em.LovatoElectric.com
Synergy Cloud is a subscription service that allows the supervision and control of systems via LOVATO Electric Cloud server accessible from any computer or mobile device through the most common web browsers. The functions of the Synergy Cloud software are the same as those made available with the local installation of the Synergy software but without the need to install any software and without the need of a dedicated server at company premises.
The costs of purchase, configuration and maintenance of the hardware and software necessary for energy monitoring are saved. The devices in the field send the monitored data to the Gateway Data Logger (EXCGLB...) device which collects and represents them at the integrated web server. Synergy Cloud lets the user remotely view the live data, receive reports about alarms via e-mail and execute commands (SYN2CLRW licence). With the appropriate licence for supervision and energy management (SYN2CLL licence), Synergy Cloud periodically receives via Internet (either wired or mobile network) the data collected by the Gateway Data Logger in order to store historical data, process and represent them graphically as well.
**SECURITY**
The security of the data is guaranteed by HTTPS encryption with certificate between server and client PC, by daily backup of the data collected and by state-of-the-art firewall for server access.
**FEATURES**
- Extremely intuitive interface: no particular technical background required
- Data access from all over the world thanks to the Internet and common browsers
- Specific design for client requirements (selection of measurement scenarios)
- Instantaneous data acquisition from various devices that can even be located in different sites
- Simple and clear reporting of all energy data
- No investment in software database or server
- Extremely secure data thanks to HTTPS and daily backup
- Automatic updates included
- Low cost subscription.
In this solution (On Site), Synergy is purchased by the client and installed on his dedicated server, whether physical, virtual or cloud-based (On Customer Cloud). The user acquires permanent licenses for the number of devices he wishes to monitor. Additional licences can be added as needed at a later date. In this way the monitored system can be expanded over time, satisfying both present and future needs.
| Order code | Description |
|------------|-------------|
| **Synergy On premises** | **Synergy Cloud** |
| SYN2SET | Supervision and energy management software web based for Windows operating system |
| SYN2UPG | Update to the latest version of Synergy available for single device |
| **Licences (permanent)** | **Licence (annual 365)** |
| SNY2SLL | Monitoring function of Synergy / Synergy Cloud, nr. 1 LOVATO Electric device |
| SYN2SLX | Monitoring function of Synergy / Synergy Cloud, nr. 1 THIRD PARTY |
| SYN2DLWS | Access function by WEB API to Synergy / Synergy Cloud, MS SQL database |
| – | SYN2CLRW | Remote view of instantaneous data (creation of alarms and relevant e-mail sending and remote commands) of Synergy Cloud, nr. 1 LOVATO Electric device |
GUIDE TO CHOICE
**MONITORING WITH THE INTEGRATED WEB SERVER ONLY**
No software but only web server service present on the gatelogsers installed.
- **Local easy access. Small application.**
| Feature | Monitoring with the integrated web server only | Remote monitoring with dedicated software | Local monitoring with dedicated software |
|--------------------------|-----------------------------------------------|------------------------------------------|----------------------------------------|
| User license | ❌ | By subscription | On Premises |
| Pre-configured system | ✔ | ✔ | ❌ |
| Customizable interface | ❌ | ✔ | ✔ |
| Maintenance and updating | ❌ | ✔ | By subscription |
**USER LICENSE:**
- **Use license By subscription:** ANNUAL 365 enabling of supervision, energy management and historical data collection functions for single device connected to LOVATO Electric’s Synergy Cloud SERVICE.
- **Use license On Premises:** PERMANENT enabling of supervision, energy management and historical data collection functions for single device connected to Synergy SOFTWARE installed on proprietary server.
**PRE-CONFIGURED SYSTEM:**
Self-recognition of connected devices, self-creation of dashboards, dataloggers, graphs and reports by default. Reset of start-up times.
**CUSTOMIZABLE INTERFACE:**
Ability to customize or independently create dashboards, dataloggers, graphs, reports.
**MAINTENANCE AND UPDATING:**
Obtaining updates released during the year with new features, improvements or compatibility with new operating systems.
ONLINE MYENERGY CONFIGURATOR
Go to myenergyconfigurator.lovatoelectric.com to design your custom energy monitoring system. At the end of the configuration, you can see the list of materials (BOM), request an offer or request technical support.
TECHNICAL SUPPORT
In order to provide the client with a complete, reliable monitoring system, LOVATO Electric provides qualified Technical Support for commissioning the Synergy software. The service can be configured as part of the offer to suit the client's requirements.
LOVATO Electric Technical Support operates through the most communication channels:
- Phone
- Mail
- Teamviewer
- Whatsapp
- Teams
- Social
Technical support
On site or remote commissioning of monitoring solution
Support to develop the interface between Synergy and THIRD PARTY devices
Training session
DEDICATED SITES
ENERGY MANAGEMENT SITE
The site em.LovatoElectric.com gives not only all updated information about LOVATO Electric energy efficiency and monitoring solutions, but also case histories, demos, contacts and much more.
Synergy DEMO SITE
A functioning demo of the monitoring pages automatically generated by Synergy is available at monitoring.lovatoelectric.com/Synergy2/
TRAINING ACADEMY SITE
To satisfy the growing demand for technical training for Energy Management and industrial automation professionals, LOVATO Academy offers a series of courses on Energy Management, micro PLCs, surge protection devices and the starting and control of electric motors. LOVATO Academy courses are detailed on academy.LovatoElectric.com.
SOLUTIONS FOR ENERGY MANAGEMENT
LOVATO ELECTRIC S.P.A.
via Don E. Mazza, 12
24020 Gorle (Bergamo), ITALY
tel +39 035 4282111
email@example.com
www.LovatoElectric.com
The products described in this publication are subject to be updated or improved at any moment. Carefully check the latest details on our website. The information contained herein is for general purposes only and does not have any contractual value. In addition, products should be installed and used by qualified personnel and in compliance with the legislation in force for electrical systems in order to avoid damages and safety hazards.
PDM6 GB 03 24
|
Active Chiral Plasmonics: Flexoelectric Control of Nanoscale Chirality
Cameron Gilroy, Katie McKay, Machar Devine, Robert W. H. Webster, Nikolaj Gadegaard, Affar S. Karimullah, Donald A. Maclaren,* and Malcolm Kadodwala*
The ability to electrically control the optical properties of metamaterials is an essential capability required for technological innovation. The creation of dynamic electrically tunable metamaterials in the visible and near infrared regions is important for a range of imaging and fiber optic technologies. However, current approaches require complex nanofabrication processes which are incompatible for low-cost device production. Herein, a novel simple approach is reported for electrical control of optical properties which uses a flexoelectric dielectric element to electromechanically manipulate the form factor of a chiral nanostructure. By altering the dimensions of the chiral nanostructure, the polarization properties of light are allowed to be electrically controlled. The flexoelectric element is part of a composite metalfilm that is templated onto a nanostructured polymer substrate. As the flexoelectric element does not require in situ high temperature annealing, it can be readily combined with polymer-based substrates produced by high throughput methods. This is not the case for piezoelectric elements, routinely used in microelectromechanical (MEM) devices which require high temperature processing. Consequently, combining amorphous flexoelectric dielectrics and low-cost polymer-based materials provides a route to the high throughput production of electrically responsive disposable metadevices.
1. Introduction
Metamaterials formed from nanofabricated subwavelength-sized elements have had a disruptive influence in the field of optics, providing new ways of manipulating and exploiting electromagnetic (EM) fields.[1] The earliest metamaterials were passive elements with optical properties that were predetermined by structure design, materials, and dielectric environments. An important area of innovation is the development of new concepts for “dynamic” metamaterials, for which optical properties can be actively controlled by external stimuli.[2–6] Active control in the visible and near infrared (NIR) regions is a requirement for developing novel imaging and optical processing technologies. Currently, dynamic tuning in this region is achieved either by altering the dielectric environment or by manipulating the physical structure of the metamaterial.[3,7–16] These established strategies suffer from two principle weaknesses: they either require complex nanofabrication procedures that are incompatible with high throughput, low-cost production, or they do not rely on electrical stimuli. Dynamic manipulation of properties using, for example, heat, magnetism, or light is less desirable than electrical control for device implementation.
Piezoelectric ceramic materials are routinely used to create micro (nano) electromechanical (M(N)EM) devices.[17] However, they require in situ high temperature processing which is incompatible with polymer platforms that are fabricated by high throughput processes such as nanoimprint[18] and injection moulding.[19]
The piezoelectric effect is the spontaneous creation of a dipole moment in some materials by the application of pressure. Conversely, the inverse piezoelectric effect describes the generation of stress (i.e., a change in volume) by the application of an electric field. The effect occurs in crystalline materials without inversion symmetry, typically ceramics with perovskite structures.[20] A problem is that low temperature deposition methods for piezoelectric materials including Pb(Zr$_x$Ti$_{1-x}$)O$_3$ (PZT) onto amorphous substrates typically produce amorphous films that require annealing to temperatures significantly beyond the softening point of polymers before they crystallize and display piezoelectric effects.[21] Thus, there are significant hurdles...
in creating polymer-based platforms that incorporate piezoelectric elements.
Herein, we demonstrate a polymer-based nanoelectromechanical metamaterial which provides dynamic control of the polarization of light by manipulating the dimensions of nanoscale chiral elements. The composite metamaterial consists of an array of chiral nanostructured indentations in a polycarbonate substrate which have previously been shown to exhibit large chiriptical effects.\[19\] The polycarbonate is then overlaid by a sandwiched metalfilm, which contains a layer (50/150 nm) of amorphous PZT. The intrinsically weak electromechanical response of amorphous PZT is amplified by flexoelectric effects, which are significant because of the large electrostatic field gradients generated by the nanostructured film. Consequently, we demonstrate a strategy to create NEM devices without the need for high temperature processing, providing a route to high throughput, low-cost manufacturing. The metamaterial sandwich structure can be considered to consist of two “meta” elements. The Au layer is an optical element which controls and sculpts the flow of EM fields whilst the PZT is an electromechanical element, the response of which is amplified by its nanostructured properties.
Flexoelectricity is a generic property which all insulators display to varying degrees: they polarize on application to an inhomogeneous stress.\[22\] Conversely, the application of a nonuniform electric field gradient will result in stress. Flexoelectricity is closely related to piezoelectricity, also relying on symmetry breaking. However, in flexoelectricity, the breaking of the center of symmetry is the result of the perturbation of a nonuniform strain, rather than an intrinsic structural property. Consequently, flexoelectric effects are formally allowed in all materials irrespective of crystallinity or structure.
For an amorphous material in which piezoelectric effects can be neglected the inverse flexoelectric is mathematically expressed as\[22\]
$$\sigma = \mu \nabla E$$ \hspace{1cm} (1)
where $\sigma$ is mechanical stress (defined by force per unit area), $E$ is the electric field, and $\mu$ is a (fourth order) flexoelectric tensor. The strain (i.e., % change in volume) is linearly dependent on the flexoelectric stress (within the elastic regime of the material) and thus $V.E$. This contrasts with the piezoelectric effect which is linearly dependent on $E$. Consequently, while flexoelectric effects may be minor in bulk samples, they will be significantly enhanced in nanostructured materials which can sustain large electric field gradients.\[23–25\] It is this enhancement which is at the heart of the observation we present.
The nanostructured polycarbonate substrates used in the study have been described in detail in previous studies.\[19, 26\] The polymer substrates have areas ($500 \times 500 \mu m^2$) of chiral “shuriken”-shaped indentations, shown in Figure 1A with either left-handed (LH) or right-handed (RH) sixfold rotational symmetry arranged in a square lattice. These nanoscale indentations have a depth of $\approx 80$ nm, are 530 nm in diameter from arm to arm, and have a pitch of 700 nm. After an appropriate cleaning procedure (see Experimental Section) the polycarbonate substrates are deposited initially with a 20 nm layer of Pt. Subsequently, a PZT layer of thickness $X$ nm (where $X = (50/150)$ nm) is deposited using pulsed laser deposition (PLD), Figure 1B. These values were chosen because they provide examples of films which are thinner (50 nm) and thicker (150 nm) than the depth of the nanostructure indentations (80 nm). When the film is thinner than the depth of the indentation the PZT layers on the top surface of and within the indentation do not overlap directly, which could affect the stability of the device. Electron diffraction, Figure 1D,E, confirms that the PLD deposited PZT films display no long-range order, consistent with previous studies.\[27\] Finally, the sandwich structure is completed by the deposition of a $\approx 70$ nm-thick Au film.
**Figure 1.** A) A schematic diagram of the device shows the platinum, PZT, and gold layers in a sandwich formation. B) Cross-sectional view of the indentations shows the distribution of each material. The thickness of the PZT layer is either 50 or 150 nm. C) A photograph of an actual 150 nm PZT metalfilm is shown. D) Transmission electron microscopy of an as-deposited PZT film lacks the interference fringes that are characteristic of crystalline material. E) A selected area electron diffraction pattern similarly lack sharp diffractive features. The film is amorphous.
A photograph of the final device is shown in Figure 1C. The Pt and Au films act as electrodes between which a direct current (DC) voltage is applied. The resistance between the electrodes was $>10$ M$\Omega$ for all the metalfilms studied, with $<0.1$ $\mu$A of current being drawn when the voltage was applied, and there was no evidence for dielectric breakdown or short circuits between the electrodes up to 12 V. However, for application of voltages $>12$ V, breakdown of the device was observed (see Supporting Information).
2. Results
2.1. Spectroscopic Measurements
To aid comparison, only data for LH structures will be presented, although qualitatively similar effects are observed for RH structure (see Supporting Information). Two types of optical spectra were collected from the devices: reflectance and optical rotary dispersion (ORD). Reflectance spectra monitored the amount of linearly polarized light scattered from the shuriken structures relative to an unstructured Au film. ORD spectra show the amount of rotation of incident linearly polarized light as a function of wavelength. Due to the chirality of the shuriken structures, they rotate the plane of polarization of incident light. As expected, LH and RH nanostructures give otherwise identical mirror image ORD spectra. Both the 50 and 150 nm PZT devices produced similar reflectance and ORD spectra, which were not significantly different from those obtained previously from solely 70 nm-thick Au films deposited on the substrates.\[19\] Fundamental to this study is that ORD spectra are sensitive to the dimensions of the chiral shuriken structure. The ORD spectra, Figure 2, display a “bisignate” line shape which is characteristic of the chiroptical properties of the metamaterial, being described by a helical oscillator model.\[19\] The reflectance spectra, Figure 2, display a resonance which has a “dip” of enhanced reflectivity. This behavior has been observed in other metamaterials and has previously been referred to as plasmonic-induced reflectance/transparency (PIR/PIT).\[26,28\] In the present case, the PIR behavior has been attributed to the coupling mediated via near fields of optical bright and dark modes.\[26,29,30\] (see Supporting Information). The similarities between the spectra, specifically the bisignate line shapes and peak-to-peak heights, collected from these metalfilms and those of the plain Au equivalents suggest that the presence of the additional layers does not significantly degrade the structure of the shuriken indentation, which is supported by electron microscopy (see Supporting Information).
To assess the reproducibility of the voltage response, two devices where the PZT thickness, $X = 150$ nm were studied. We refer to these two samples as d150a and d150b. The optical properties of both devices have qualitatively similar dependencies on applied voltages. To aid clarity and reduce repetition only results for d150a will be presented here, analogous results for d150b can be found in Supporting Information. In both cases, there is a threshold voltage for changes in optical properties to occur, 12 and 10 V, respectively, for d150a and d150b.
The devices underwent up to 8 cycles in which they were maintained at the threshold voltages for a sufficient time-period for any change in optical properties to have stabilized. Subsequently, to complete the cycle, the device was earthed, whereupon the optical properties of the device gradually returned to those of the initial state after a period of $<2$ h (see Supporting Information for relaxation data). The relatively long relaxation period indicates that the observed changes in optical properties are not associated with capacitance effects. Maintaining a device at the threshold voltage resulted in a progressive decrease in the peak-to-peak magnitude of the bisignate ORD resonance until
the value stabilized and a plateau region was achieved: see Figure 2A–C. With increasing number of cycles at the threshold voltage, stabilization of the ORD occurred at progressively lower peak-to-peak values, with a reduction to 47% of the initial value achieved after 8 cycles. The changes in the reflectance data, Figure 2A–C, follow a similar trend to the ORD data, however the spectral changes are less pronounced, with only significant changes, ≤4%, being observed after 8 cycles. The change in reflectance spectra is consistent with those arising from slight changes in magnitude and phase of coupling between the bright and the dark modes of the shuriken structure.\[26\] This interpretation is based on a simple classical coupled oscillator model of the plasmonic response of the Au nanostructure. This model includes the relative phases of the excitation of the dark and bright modes of the shuriken structure, and has been shown to replicate the shuriken reflectance spectra.\[29\] Thus, although the changes in coupling produce only small changes to the reflectance properties of the film they give rise to significantly greater changes in the chiroptical properties.
The device with a PZT thickness of 50 nm, subsequently referred to as d50a, also displays a threshold voltage, 18 V, for changes to the ORD, Figure 3A, and reflectance, Figure 3B, spectra. There is a reduction in the magnitude of the ORD resonance, which is smaller than changes observed for d150a and d150b. In a significant difference to the thicker PZT layer, the changes in the optical properties of d50a are irreversible. Scanning electron microscope (SEM) images, Figure 4, were collected pre- and post-application of the voltages. The micrographs appear to show a narrowing of both the arms and diameter of the central region of the shuriken structure, thus correlating the changes in spectroscopic response to structural modifications. From the SEM images, characteristic distances associated with the lateral dimensions of the nanostructures were determined, Table 1. It should be noted that SEM images can be distorted by aberration and charging effects. Thus, to unambiguously validate the proposed correlation between the changes in ORD response and structure requires additional evidence provided by numerical modeling, which will be presented in subsequent sections (also see Supporting Information for additional simulation data).
### 2.2. Numerical EM Modeling
#### 2.2.1. Electric Fields
To facilitate understanding of the origins of the physical changes suggested by the data, the intensities and gradients of electric field distributions within the unperturbed sandwich structure have been calculated using numerical simulations, Figure 5. These simulation results support the hypothesis that the voltage-induced changes in the shuriken structure have arisen form the inverse flexoelectric effect. The field plots show that there are large field gradients at the base of the shuriken, Figure 5A,B and the side walls of the arms, Figure 5C. However, at the top surface, 5 nm below the Au layer, the electric fields do not have significant gradients parallel or normal to the plane of the metafilm, Figure 5D. The location of the planes which contain the electric fields plots in Figure 5 are shown in Supporting Information. This spatial distribution of electric field gradients would result in inverse flexoelectric expansions which are consistent with the changes in physical structure. It should be noted that the electric field gradients are spatially varying. In the case of the base plane, they have larger magnitudes within the arms than in the central region. This suggests that a flexo-electric-induced expansion of the base would be nonuniform, with a greater reduction in depth at the arm than at the central region of the shuriken structures.
#### 2.2.2. Spectroscopy Simulations
Numerical simulations have also been used to qualitatively correlate experimental changes in ORD spectra to physical changes in structure. In contrast to the electric field simulations, computational constraints required that simplified structural models were used to replicate optical spectra. The two simplifications were that the PZT and Pt layers were not included and changes in shuriken dimensions were uniform across individual internal surfaces (i.e., base or side walls). Given that the thickness of the metalfilm is significantly larger than the skin depth of Au at optical frequencies the nature of the environment underneath the film will not significantly affect the optical properties. The model structures used to replicate spectra are shown in Figure 6.
Figure 4. SEM images of sample d50a A) before and B) after the application of voltages show changes to the shuriken structure including narrowing of the arm widths.
Table 1. We parameterize the lateral geometric components of sample d50a of the nanostructure from SEM images captured before and after the threshold voltage was applied. The arithmetic mean of between 12 and 24 measurements is shown, along with their associated standard deviation ($\sigma$). These measurements are used for the construction of EM simulations. $p$ values are also given. Only the arm–arm separation shows no significant change.
| | Before voltage applied | After voltage applied | p value |
|------------------|------------------------|-----------------------|---------|
| (a) Arm length [nm] | 173.0 | 166.0 | 9.2 | 0.012 |
| (b) Center diameter [nm] | 184.0 | 169.0 | 15.1 | 0.016 |
| (c) Arm width [nm] | 34.6 | 22.9 | 5.0 | $7.06 \times 10^{-12}$ |
| (d) Arm–arm [nm] | 314.0 | 309.0 | 10.2 | 0.445 |
| (e) Structure diameter [nm] | 521.0 | 505.0 | 6.2 | $9.16 \times 10^{-6}$ |
| (f) Arm area [nm$^2$] | 7840.0 | 5560.0 | 616.0 | $8.37 \times 10^{-7}$ |
Although utilizing simplified models, the simulations provide qualitative agreement with experimental data. In the first instance, the simulations were used to connect the SEM and spectroscopic data for the d50a device. The structural information provided by the SEM provided the lateral dimensions for the model. The structural parameters used to simulate the ORD spectra, Figure 7, pre- and post-application of voltage are shown in Table 2. The simulations qualitatively replicate the experimental results, specifically the reduction in the peak-to-peak height of the bisignate line-shape. This agreement between experiment and simulation could only be achieved if an expansion of the base (i.e., decrease in depth) comparable to the experimental observed lateral expansion of the side walls was included. Without this expansion of the base, simulations reveal a significant quenching of the level of the ORD signal (see Supporting Information).
Useable SEM images could not be obtained for the 150 nm PZT devices while they were being held at the operating voltages. Therefore, given the relatively short time scale, $\leq 2$ h, of the relaxation of voltage-induced changes to ORD for the 150 nm PZT devices, SEM could not be used to monitor the associated structural changes. Consequently, the voltage-induced structural changes are inferred from simulating the experimental ORD spectra. It was assumed that qualitatively similar structural changes to that observed for the d50a. The parameters used to replicate the reductions in the ORD signal are shown in Table 2, and the simulated spectra are shown in Figure 7. The simulation shows a greater increase in the separation of the maxima and minima of the bisignate than is observed experimentally. We in part attribute such differences to the fact that the nonuniform expansion of the base implied by the modeling of the electric field gradients was not included in the model.
What is readily apparent from the simulated spectra is that only further slight, 1–2 nm, expansions of the wall and the base cause a significant decrease in the level of ORD.
3. Discussion
When combined, experimental and simulation data are consistent with the control of optical properties being due to structural changes originating from a significant flexoelectric, rather than a piezoelectric, response. The outward expansions of the internal surfaces of the shuriken required for simulations to replicate experimental data occur in areas with high electric field gradients rather than high electric field intensities. Consequently, there is a preferential expansion of the base leading to a decrease in the depth of the shuriken. The electric field intensities within the PZT in the regions of the base and top surfaces are similar. Thus, a piezoelectric response would expand both these identically thick base and top layers by the same amount, resulting in no change in the depth of the shuriken.
A more quantitative interpretation of the electromechanical control of chiroptical properties requires an understanding of the stress-strain response of the Au film. Using the electric field gradients derived from the numerical simulations and an estimate of $\mu$, the order of magnitude of the stress generated by the PZT layer can be determined using Equation (1). From previous work on PZT films $\approx 1 \times 10^{-6} \text{ cm}^{-1}$ is a reasonable estimate for the value of $\mu$ for the amorphous layer.\[^{[41]}\] Materials with high dielectric constants, such has PZT, have larger $\mu$\[^{[32]}\] than the $\approx 1 \times 10^{-10} \text{ cm}^{-1}$ typically expected for other materials.\[^{[33]}\] From the simulations of the electric field gradients of the 150 nm PZT metalfilm, Figure 5, there are localized areas of the walls of the arms and the base of the shurikens which have electric fields gradients $\approx 1 \times 10^{-16} \text{ Vm}^{-2}$. This would indicate that in localized regions, the internal surfaces of the shuriken experience stresses of the order of $\approx 10^{10} \text{ Nm}^{-2}$ at 12 V. This
Figure 6. Idealized models used in simulations of ORD spectra shown in Figure 7, before (A) and after (B,C) the voltages are applied for 50 and 150 nm PZT, respectively. The positions of the $x$, $y$, and $z$ axes are shown. ORD spectra are collected/simulated with the incident linear polarization parallel to the $x$-axis.
Figure 7. Simulated ORD spectra derived from models with structural parameters listed in Table 2. The blue spectrum corresponds to the structure before the application of voltage. The red spectrum corresponds to that obtained for the 50 nm PZT metafilm case. The green spectrum replicates a spectrum obtained for the 150 nm PZT metafilm.
The value is comparable with the Young’s modulus measured previously for 100 nm-thick Au films\textsuperscript{[34,35]} of $\approx 6 \times 10^{10}$ Nm$^{-2}$. This indicates that the stresses produced by the inverse flexoelectric effect in PZT would be sufficient to deform the Au shuriken indentation, to produce the changes in volume implied by the experimental data and numerical modeling.
The apparent threshold for the voltage-induced optical changes and the dependency of the effect on the number of cycles can be rationalized with the known stress–strain relationships for Au films.\textsuperscript{[34,36]} The stress–strain curves for Au nano-films are complex, displaying an initial linear elastic phase for strains $\leq 1\%$, followed by a plastic regime in which greater deformations are induced for smaller increases in stress. Given that the change in volume of the shuriken are $\approx 10\%$, this implies that the required deformations of the Au films are in the plastic regime. It should be noted that assuming the Au film remains attached to the PZT layer, it will be restored to its initial position once relaxation is complete. To a first approximation, the stress induced in the metafilm layers will scale linearly with applied voltages and change in the ORD signal will correlate to strain (amount of deformation). Consequently, the stress–strain curve of the composite metafilm will have the same form as the voltage–ORD intensity curve. The effects of the number of voltage cycles can also be understood in terms of the mechanical behavior of the composite metafilm. Previous work has shown that the stress–strain behavior of Au films changes with multiple cycles of deformations.\textsuperscript{[34–36]} With increasing cycles, the stress–strain curve moves to the right, i.e., it becomes progressively easier to deform the Au films. These changes in response are associated with physical alterations to the microstructure of the Au films.\textsuperscript{[36]} This behavior would be consistent with the shorter timescales observed for changes in ORD signal with increasing number of cycles.
A remaining issue for discussion is the reversible versus irreversible behavior of devices with 50 and 150 nm PZT layers. The fundamental difference between the two composites is that in the 50 nm case, the PZT layer is thinner than the depth of the shuriken indentation (80 nm). Consequently, the layers of PZT on the top surface of the substrate and bottom of the indentation do not directly overlap. It is proposed that these two layers are connected via a thin composite layer covering the side wall of the shuriken indentation. Thus, it is suggested that this thinner side wall fractures under the stresses produced by the PZT layer, causing a “freezing-in” of the deformation.
Active chiral metamaterials capable of modulating chiriptical properties have been demonstrated, but are reliant upon complex
Table 2. We parameterize the dimension of the three shuriken nanostructure models used to simulate the ORD spectra shown in Figure 7. The parameters which significantly affect the ORD magnitude and to which the largest changes are made are (c) arm width and (g) indentation depth.
| Parameter | Before voltage applied | After voltage applied [50 nm thick] | After voltage applied [150 nm thick] |
|----------------------------|------------------------|-------------------------------------|--------------------------------------|
| (a) Arm length [nm] | 185 | 185 | 185 |
| (b) Center diameter [nm] | 165 | 165 | 165 |
| (c) Arm width [nm] | 35 | 23 | 21 |
| (d) Arm-arm [nm] | 294 | 294 | 294 |
| (e) Structure diameter [nm]| 530 | 530 | 530 |
| (f) Arm area [nm²] | 7820 | 5052 | 4617 |
| (g) Indentation depth [nm] | 80 | 66 | 64 |
multistep fabrication techniques\textsuperscript{[37,38]} or the introduction of external reagents\textsuperscript{[39,40]} whose mechanism is more conducive toward chemical sensing applications. The dynamic range for polarization manipulation of these devices is $\leq 4^\circ$. Another configuration in the optical regime shows intensity-dependent changes equivalent to variations of optical rotation $\leq 0.1^\circ$\textsuperscript{[41]} Hence, the performance of the flexoelectric-based disposable metadevices, dynamic range of $\approx 4^\circ$, is comparable to the current state-of-the art.
4. Conclusion
This work is a proof-of-concept demonstration of a new paradigm of nanoelectromechanical control: the use of the inverse flexoelectric effect to manipulate the form factor of a nanostructure. The performance of the prototype device has not been optimized and could be improved. For instance, the slow and history-dependent response, likely to be associated with the mechanical properties of PZT layer, could be mitigated by using a more malleable flexoelectric polymer such as those based on polyvinylidene fluoride.\textsuperscript{[42]} Also, a more substantial and reversible deformation may be possible if simpler 2D chiral arrangements of closely coupled dot indentations were used instead of the complex shuriken design. The concept of using flexoelectric materials to achieve nanoelectromechanical control has unique benefits. Specifically, the concept is convergent with high throughput polymer-based nanofabrication technologies such as injection moulding or nanoimprint lithography. Using an established platform of mass-produced prefabricated nanostructured polymer templates, active metadevices can be created through the room temperature deposition of sandwich layers. This process is analogous to that used to manufacture optical storage disks (compact discs (CDS), digital versatile discs (DVDs), and Blu-rays disks). Hence, this work provides a strategy for the low-cost fabrication of electromechanically controlled metamaterial elements for optoelectronic devices.
5. Experimental Section
\textit{Fabrication:} The fabrication technique was described by Gadegaard et al.\textsuperscript{[43]} The master shim was made using electron beam lithography. To create the master, 100 nm of poly(methyl methacrylate) resist was spin coated onto a Si wafer and baked for an hour at 180 $^{\circ}$C. The resist was patterned using a VB6 UHR EWF lithography tool (Raith). The exposed resist was developed in isopropyl alcohol (IPA) and methyl isobutyl ketone, MIBK (3:1 ratio) for 60 s, then rinsed in copious amounts of IPA before dried in a stream of nitrogen gas. The shim for injection moulding was prepared by depositing 100 nm of gold onto the master. The polycarbonate samples were created via an injection mould using the nickel shim. The resulting nanostructured polycarbonate sample was cleaned in IPA and dried under a stream of N$_2$. A 20 nm platinum layer was then thermally evaporated onto the substrate.
PZT films were deposited by PLD using sintered PZT targets (Pi Kern Ltd., UK) in 50 mTorr pressure of oxygen. Deposition was conducted at room temperature directly onto structured polycarbonate substrates in a Neocera Pioneer PLD vacuum system, using a Coherent Compex Pro KrF excimer laser (248 nm, 20 ns pulses, 18 Hz, up to 200 mJ pulse energy). The target was rotated during deposition to minimize the transfer of impurities onto the sample. The film structure was characterized by transmission electron microscopy after depositing a $\approx 40$ nm amorphous film directly onto an amorphous holey carbon film and imaged in a JEOL ARM CFEG instrument operated at 200 kV. Finally, 70 nm of gold was thermally evaporated onto the substrate.
\textit{SEM Image Analysis:} The first measurement that was taken for each sample was an SEM image after manufacture, and the lateral dimensions shown in Table 1 were measured using the ImageJ image processing program. Twelve measurements were taken and averaged across multiple structures for the central diameter, arm-to-arm separation, arm area and structure diameter, and 24 were averaged for the arm width and length measurements. Variability ($p$ values), which parameterized the significance of differences between values before and after the application of voltage were calculated. $p$ Values < 0.04 were indicative of a significant difference.
\textit{EM Simulations:} EM simulations were carried out using a commercial finite-element package, COMSOL Version 5.5. Optical simulations were carried out using the Wave Optics module. The nanostructure array was simulated using periodic boundary conditions. Perfectly matched layer conditions were used above and below the input and output ports. The light incident upon the nanostructures was linearly polarized.
ORD was determined by calculation of the Stokes polarization parameters, the observables of the polarized field. Reflectance was determined by calculating the ratio of incident power reflected back onto a surface above the nanostructure array. Electric field simulations were carried out using the Electric Fields and Currents module. An electric potential equal to the threshold voltage was applied between the gold and platinum layers of the device. Electric field and electric field gradients were subsequently calculated at planes which bisected the shuriken nanostructure (see Supporting Information).
Voltage-Dependent Measurements: Sequentially larger DC voltages in the range 0–15 V were applied to the device for a period of at least 1 h. The Au and Pt layers were the positive and negative electrodes, respectively. Both reflectance and ORD data were collected to monitor change in optical properties induced by the applied voltage. If no change in optical spectra was observed within this period, the voltage was increased. However, if changes were observed then the device was maintained at the voltage for a time period sufficient for spectra to stabilize and no further changes to occur. After this point, the device was maintained at 0 V and spectra collected to monitor any relaxation back toward the initial optical state of the device for periods of up to 3 h. This cycle was then repeated ≈15 h later.
Supporting Information
Supporting Information is available from the Wiley Online Library or from the author.
Acknowledgements
The authors acknowledge financial support from the Engineering and Physical Sciences Research Council (EP/P00086X/1 and EP/M024423/1), Technical support from the James Watt Nanofabrication Centre (JWNC). C.G. work was supported by the EPSRC CDT in Intelligent Sensing and Measurement. Grant Number EP/L016753/1. M.K. acknowledges the Leverhulme Trust for the award of a Research Fellowship.
Conflict of Interest
The authors declare no conflict of interest.
Keywords
active metamaterials, chirality, electromechanical, flexoelectrics
Received: September 9, 2020
Revised: October 5, 2020
Published online: December 2, 2020
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St. Mary Roman Catholic Church
32 Pearl Street, Claremont, NH 03743
Phone: (603) 542-9518 / Fax: (603) 542-9614
Website: www.stmaryparishnh.org
Email: email@example.com
Pastor
Very Rev. Shawn Therrien, V.G.
Parochial Vicar
Rev. Arockia Antony, HGN
Deacon
Deacon James Wilton
Administrative Assistant
Mary K. Keating
Music Director
Joe Labrecque
Interim Faith Formation Director
Kevin Krawiec
LITURGY SCHEDULE
Saturday 4:00 PM
Sunday 8:00 AM / 10:30 AM
Monday / Tuesday 12:10 PM
Wednesday / Friday 7:30 AM
No Mass on Thursday
MASSES AT OLD ST. MARY CHURCH
Saturday Morning Mass at 8:00 AM every week
(June to October) at Old St. Mary Church
SACRAMENT OF RECONCILIATION
Saturday 3:00 - 3:45 PM
VOCATIONS HOLY HOUR
Thursday 6:00 - 7:00 PM
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Closed until further notice!
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PARISH OFFICE HOURS
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ST. MARY CEMETERY Old Church Road
Please call the Parish Office for inquiries or other information regarding the parish cemetery.
August 15, 2021
The Assumption of the Blessed Virgin Mary
We plan to hold the annual yard sale this year! Workers are desperately needed.
If you can help please attend the kick-off meeting on Wednesday, August 18, 2021 in the gym @ 6:30 PM. Please contact Norma Limoges @ 542-2916 for additional information.
Donations will be received in the gym as follows:
Monday, August 23, 2021 3:00 PM - 7:00 PM
Wednesday, August 25, 2021 3:00 PM - 7:00 PM
Saturday, August 28, 2021 9:00 AM - 1:00 PM
Monday, August 30, 2021 3:00 PM - 7:00 PM
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Accepted Items: tools, small furniture, small appliances, glassware, china, dishes, pot/pans, Christmas items, crafts, toys, jewelry, pictures/frames, movies, CD's, puzzles, linens, home decorative items, etc.
Not Accepted: books, large appliances, large furniture, mattresses, luggage, broken items, rugs, carpeting, clothes, shoes, exercise equipment, ski's/poles, typewriters, computers, VHS, TV's.
August 14, 2021—August 22, 2021
Sat. Aug 14
4:00 PM
Vigil of Assumption of the Blessed Virgin Mary
For the People
Sun. Aug 15
8:00 AM
Assumption of the Blessed Virgin Mary
Andre Lafreniere (†)
By Paul & Lorraine Lafreniere
10:30 AM
Rosa Otero (†)
By Elvira Otero
Mon. Aug 16
Weekday
12:10 PM
Joyce Grenier (†)
By Family
Tue. Aug 17
Phyllis Laporte (†)
12:10 PM
Phyllis Laporte (†)
By Her Daughter, Anne Laporte
Wed. Aug 18
Weekday
7:30 AM
Joanne Lemieux (†)
By Hibbard & Claire Doe
Thu. Aug 19
Weekday
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Fri. Aug 20
St. Bernard, abbot and Church Doctor
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Sat. Aug 21
St. Pius X, Pope
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Sis Corsale (†)
By Tim & Donna Therrien
4:00 PM
Vigil of Twenty-First Sunday in Ordinary Time
Geraldine Palyla (†)
By Family
Sun. Aug 22
Twenty-First Sunday in Ordinary Time
Emig and Mathauser Families
8:00 AM
By Frank Emig
10:30 AM
For the People
WEEKLY OFFERING . . . Stewardship
Giving of Time, Talent and Treasure in gratitude
for all of God’s gifts.
Thank you for your generosity!
Thank you also for those who make up envelopes!
August 8, 2021
Offertory $3858.50
Mission Cooperative Appeal $1287.00
Upcoming Second Collections
Buck-A-Month Aug 14/15
St. Vincent de Paul Society Aug 28/29
PLEASE NOTE … All checks made payable to: St. Mary Parish.
You are welcome to indicate the collection in the memo section of
your check. Checks for St. Vincent de Paul Society should be
made payable to St. Vincent de Paul Society.
PRAYER LIST
Call the parish office to add/continue a person on the prayer list
Bill Beattie
Gloria Beattie
William Beattie
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Carol Braga
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Stephen Clew
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PRAY FOR OUR MILITARY LOVED ONES
Zachary Long… US Army
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Call the parish office to add your loved ones in the service.
Pope’s Monthly Prayer Intentions—August 2021
Intention for Evangelization—The Church
Let us pray for the Church, that She may receive from the
Holy Spirit the grace and strength to reform herself in the
light of the Gospel.
REMEMBERING DURING THE YEAR
“Memorial Candle Fund”
Candles burning in the Church/Adoration Chapel
for all souls.
Welcome New Parishioners…Just moved to this area? We welcome you to St. Mary Parish. Please stop by
the parish office or call (603) 542-9518 for “new parishioner” information!
HYMNS—The Assumption of the Blessed Virgin Mary
Entrance Antiphon: Page 224
Offertory Hymn: #165—Immaculate Mary
Communion Antiphon: Page 225
Communion Hymn: (Solo—Ave Maria)
Recessional Hymn: #147—Hail Holy Queen Enthroned Above
On the weekend of September 4/5, the diocese will be taking up the National Collection for The Catholic University of America. Catholic University is a national research university with over 5,700 undergraduate and graduate students in more than 250 academic programs in the heart of Washington, DC. By giving to the collection, you are supporting both future Catholic leaders, religious and lay, who are being formed by an exceptional, Faith-rooted education and the University’s various research and training initiatives that support dioceses and parishes in responding to the most pressing needs of their faithful. The Catholic Project—an initiative that aims to heal the breach of trust many have experienced as a result of the current crisis in the Church, an online Child Protection Certificate Program, a Master’s program in Ecclesial Administration and Management, and a credentialing program that prepares recent graduates to serve as campus ministers are a few examples how the University is serving the Church and nation. Please give generously. Learn more at: collection.catholic.edu.
CALLING ST. MARY ALUMNI….an invitation has been extended by Stevens Alumni Parade committee to participate in their parade Sat. - Oct. 2, 2021. Class rosters (1957 to 1971) are available if St. Mary Alumni wish to enter a “float” in this parade. For more info, call Claire Lessard, Pres. St. Mary Alumni Assoc. (603) 543-3617.
Knights of Columbus Council 1820
RIFLE RAFFLE
BOA-556 Modern Sporting Rifle or $1,000 Black Op Arms Gift Certificate
BOA-556 Rifle is 5.56 caliber and has a Free Float 16” barrel with keymod rail, adjustable stock, flip up sights. The rifle does have red, blue and gold accents.
$20.00 A TICKET, ONLY 200 TICKETS WILL BE SOLD
Winning ticket will be drawn on September 13, 2021
All proceeds of this raffle will benefit the Knights of Columbus Fr. Cote Council 1820
Tickets can be purchased from members of the KofC or at Black Op Arms 224 Washington Street, Claremont NH
***MUST BE 18 OR OLDER TO ENTER***
Point of Contact: Jon Stone
(P) 603 558 5906
(E) firstname.lastname@example.org
ALL STATE AND FEDERAL LAWS APPLY
Baby Bottle Benefit Coin Collection
The Catholic Daughters of the Americas Court Virgil Barber #892 has resumed its support for the Pregnancy Center of the Upper Valley by providing baby bottles to collect loose change donations. The Pregnancy Center continues to provide a wonderful program to pregnant women in need! They offer many resources which include counseling, ultrasounds, options for adoption, maternity/family training, baby items which include clothing and much more! They are able to help women with their pregnancy and also allow pregnant women another option in our community than going to Planned Parenthood. They are entirely privately funded. Please help by donating to the baby bottle benefit. Baby bottles are located in the main entrance of the church. Any donation given to this cause is greatly appreciated and helps the Pregnancy Center continue on their mission! These can be left at the back table of the Church or at the parish office.
Vocations HOLY HOUR
Eucharistic Adoration & Benediction
Every Thursday Evening
6:00–7:00 PM
Please consider online contributions to St. Mary Parish. Visit our website and click on the “Give Online” button.
|
Request for Project Proposals
Solicitation Number: MTEC-21-06-MPAI
“Military Prototype Advancement Initiative (MPAI)”
Issued by:
Advanced Technology International (ATI),
MTEC Consortium Manager (CM)
315 Sigma Drive
Summerville, SC 29486
for the
Medical Technology Enterprise Consortium (MTEC)
Request Issue Date: March 18, 2021
Enhanced White Paper Due Date: June 17, 2021
Noon Eastern Time Zone
# Table of Contents
1. Executive Summary ........................................................................................................ 4
1.1. The Medical Technology Enterprise Consortium .................................................. 4
1.2. Purpose ..................................................................................................................... 4
2. Administrative Overview ................................................................................................. 5
2.1. Request for Project Proposals (RPP) ....................................................................... 5
2.2. Funding Availability and Period of Performance (PoP) .......................................... 6
2.3. Acquisition Approach ............................................................................................... 8
2.4. Proposers Conference ............................................................................................ 9
2.5. MTEC Member Teaming ....................................................................................... 9
2.6. Proprietary Information ......................................................................................... 9
2.7. Offeror Eligibility .................................................................................................. 10
2.8. Cost Sharing Definition ....................................................................................... 10
2.9. Cost Share Requirements .................................................................................... 10
2.10. MTEC Assessment Fee ...................................................................................... 11
2.11. Intellectual Property and Data Rights ................................................................... 11
2.12. Expected Award Date ......................................................................................... 12
2.13. Anticipated Enhanced White Paper Selection Notification .................................. 12
3. Technical Requirements ............................................................................................... 12
3.1. Background ........................................................................................................... 12
3.2. Minimum Requirements for Submission of an Enhanced White Paper ................. 12
3.3. Focus Areas of Interest ....................................................................................... 13
3.4. Additional points of consideration ....................................................................... 18
3.5. Examples of Proposed Tasks ............................................................................... 19
3.6. Potential Follow-on Tasks .................................................................................. 20
3.7. Restrictions on Animal and Human Subjects, Human Anatomical Substances, or Human Cadavers ........................................................................................................ 20
3.8. Inclusion of Women and Minorities in Study ....................................................... 21
3.9. Guidance for research studies targeting DOD personnel for survey research ....... 22
3.10. Guidance for research studies targeting military families and children ............... 22
3.11. Guidance for research studies involving US Army Special Operations Command ... 22
3.12. Compensation to DOD-affiliated personnel for participation ................................ 22
4. Enhanced White Paper Preparation ............................................................................. 233
4.1. General Instructions ............................................................................................. 233
4.2. Instructions for the Preparation & Submission of the Stage 1 Enhanced White Paper 23
4.3. Stage 2: Cost Proposal (for Only Those Offerors Recommended for Funding) .......... 25
4.4. Enhanced White Paper and Cost Proposal Preparation Costs .................................. 26
4.5. Freedom of Information Act (FOIA) ..................................................................... 26
4.6. Telecommunications and Video Surveillance ...................................................... 26
5. Selection ....................................................................................................................... 26
6. Points-of-Contact ........................................................................................................ 30
7. Acronyms/Abbreviations ............................................................................................. 31
8. Enhanced White Paper Template ................................................................................ 33
| Attachment | Description | Page |
|------------|------------------------------------------------------------------------------|------|
| A | Cost Share | 39 |
| B | Statutory Requirements for the Appropriate Use of Other Transaction Authority | 40 |
| C | Intellectual Property and Data Rights | 41 |
| D | Statement of Work Template | 43 |
| E | Warranties and Representations Template | 48 |
| F | Stage 2 Evaluation Criteria | 53 |
| G | BIDS Instructions | 55 |
1 Executive Summary
1.1 The Medical Technology Enterprise Consortium
The Medical Technology Enterprise Consortium (MTEC) is an enterprise partnership in collaboration with industry and academia to facilitate research and development activities, in cooperation with the U.S. Army Medical Research and Development Command (USAMRDC) and other DoD agencies in the biomedical sciences (including but not limited to drugs, biologics, vaccines, medical software and medical devices) to protect, treat and optimize the health and performance of U.S. military personnel. MTEC is a nonprofit corporation with the following principal objectives:
(a) engage in biomedical research and prototyping;
(b) exploration of private sector technology opportunities;
(c) technology transfer; and
(d) deployment of intellectual property (IP) and follow-on production.
MTEC is openly recruiting members to join a broad and diverse biomedical consortium that includes representatives from large businesses, small businesses, contract research organizations, “nontraditional” defense contractors, academic research institutions and not-for-profit organizations; for more information on the MTEC mission, see the MTEC website at https://mtec-sc.org/.
MTEC operates under an Other Transaction Agreement (OTA) for prototypes with USAMRDC. As defined in the OTA Guide dated November 2018, a prototype project addresses a proof of concept, model, reverse engineering to address obsolescence, pilot, novel application of commercial technologies for defense purposes, agile development activity, creation, design, development, demonstration of technical or operational utility, or combinations of the foregoing. A process, including a business process, may be the subject of a prototype project. Although assistance terms are generally not appropriate in OT agreements, ancillary work efforts that are necessary for completion of the prototype project, such as test site training or limited logistics support, may be included in prototype projects. A prototype may be physical, virtual, or conceptual in nature. A prototype project may be fully funded by the Department of Defense (DoD), jointly funded by multiple federal agencies, cost-shared, funded in whole or part by third parties, or involve a mutual commitment of resources other than an exchange of funds. Proposed prototype projects should not be exploratory in nature and do require a foundation of preliminary data.
1.2 Purpose
This solicitation, issued by the MTEC Consortium Manager (CM), Advanced Technology International (ATI), represents a Request for Project Proposals (RPP) to solicit current MTEC members for a broad range of medical prototype technological and knowledge solutions related to the Focus Area(s) of Interest (also called “Focus Area(s)”) listed below. Proposed solutions may
include medical techniques, knowledge products, and materiel\(^1\) (medical devices, drugs, and biologics).
- Focus Area #1: Prolonged Field Care
- Focus Area #2: Medical Readiness
- Focus Area #3: Emerging Technologies
- Focus Area #4: Maximizing Human Potential
- Focus Area #5: Applied Medical Robotics and Machine Perception and Intelligence Systems
## 2 Administrative Overview
### 2.1 Request for Project Proposals (RPP)
MTEC is utilizing a streamlined solicitation approach to award for this broad, multiple focus area RPP to solicit and fund a wide range of projects of varying scope and maturity levels under the Military Prototype Advancement Initiative (MPAI). This solicitation mechanism has been implemented for the following reasons and has several **unique features** noted below.
- **Increase information exchange between the MTEC membership and the military** – This solicitation mechanism provides the MTEC membership with an official way of sending information related to their military-relevant solutions through MTEC to the military, and potentially make the military aware of new solutions that can address unmet needs.
- **Provide feedback to the MTEC membership** – This solicitation mechanism differs from the previous MTEC “Open Concepts” Request for Project Information in that MTEC membership will receive feedback from the Government, which can help Offerors realign to better meet the Government/military need downstream, or even find out whether the Government/military would be interested at all (a “not interested” is valuable feedback as well). *Having said that, due to the anticipated high number of submissions and the need for a compressed timeline for the review cycles, feedback provided may be VERY BRIEF.* Although this may be disappointing, the Government has weighed the benefits vs. costs of this more open-ended type RPP, and in order to provide a mechanism that allows members to submit Enhanced White Papers any time during the lengthy submission period, the reviewers must be allowed the opportunity to provide more succinct feedback. To supplement these succinct reviews, MTEC has implemented an educational webinar series and through this, hopes to offer opportunities throughout the year for MTEC members to hear from and interact with the military Sponsors. While this will not allow for direct and specific feedback on Offerors’ proposals, it will allow for an open discussion regarding priorities and capability gaps within the Government’s portfolios.
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\(^1\) Materiel is defined as equipment and supplies of a military force.
Establish an open window for the military to make awards – The solicitation mechanism is intended to provide MTEC members with an opportunity to propose solutions throughout the year. However, the open period of the MPAI RPP is initially established for a 3-month period with the intent to extend the deadline or issue a similar RPP to allow for submissions beyond the current due date. Offerors are advised that updates may be added via amendment at any time to reflect changes in Government requirements or other revisions, as appropriate. With an extended open submission period, awards may be made on a first-in, first-out basis. Additionally, the MTEC selection process for this solicitation includes a “basket” provision that permits holding proposed projects that have technical merit but unfunded for up to two years, which allows for efficient contracting as funding becomes available.
Solicit for key areas to support achievement of the USAMRDC strategic objectives – The focus areas will allow MTEC members to propose innovative and relevant solutions to USAMRDC’s strategic objectives.
Diversity in potential Sponsors – While USAMRDC is listed throughout this RPP, sponsoring offices from outside commands may also participate in the source selection process and select projects for award depending on interest, programmatic alignment, and funding availability.
Offerors who submit Enhanced White Papers in response to this RPP should submit by the date on the cover page of this RPP (see Section 4.1 for details on the submission period). Enhanced White Papers may not be considered under this RPP unless received on or before the due date specified on the cover page.
Each Enhanced White Paper submitted must be in accordance with the mandatory format provided in Section 8 of the RPP. Enhanced White Papers that fail to follow the mandatory format may be eliminated from the competition during the CM’s preliminary screening stage (see Section 5 for more details on the Selection process). The Government reserves the right to award Enhanced White Papers received from this RPP on a follow-on prototype OTA or other stand-alone OTAs as necessary to meet mission requirements.
*Note that the terms “Enhanced White Paper” and “Proposal” are used interchangeably throughout this RPP.
2.2. Funding Availability and Period of Performance (PoP)
The funding amount and PoP for this RPP is unspecified (with the exceptions detailed below), and the number of awards is indeterminate and contingent upon funding availability. Selection of prototype projects is a highly competitive process and is based on the evaluation of the proposal’s technical merit, programmatic considerations, and the availability of funds. The quantity of meaningful submissions received normally exceeds the number of awards that the available funding can support. Any funding that is received by the USAMRDC and is appropriate
for a Focus Area of Interest described within this RPP may be utilized to fund Enhanced White Papers. Awards resulting from this RPP are expected to be made in Fiscal Years 2021 and 2022 under the authority of 10 U.S.C. § 2371b.
A budget and PoP should be commensurate with the nature, scope and complexity of the proposed research. Offerors should submit budgets that include the entire PoP of the research project. Yearly budgets should include all direct and indirect costs, based on supportable, verifiable estimates. Offerors are encouraged to scope out their budgets in alignment with major deliverables of their proposed work so that large budgets are easier to evaluate and Sponsors can more easily allocate available funding. The funding limitations per Enhanced White Paper are as follows:
- **Focus Area 1.10** - The maximum request for Government funding for each Enhanced White Paper should not exceed $1.4 M for projects proposing in response to Focus Area 1.10.
- **Focus Area 2.6** - The maximum request for Government funding for each Enhanced White Paper should not exceed $511 K for projects proposing in response to Focus Area 2.6. The USG anticipates funding this focus area with (2-year) FY20 funds, where awards will be made no later than September 30, 2021.
- **Focus Area 2.8** - The maximum request for Government funding for each Enhanced White Paper should not exceed $781 K for projects proposing in response to Focus Area 2.8. The USG anticipates funding this focus area with FY20 funds, where awards will be made no later than September 30, 2021.
- **Focus Area 2.9** - The maximum request for Government funding for each Enhanced White Paper should not exceed $4.3 M for projects proposing in response to Focus Area 2.9. The USG anticipates funding this focus area with FY20 funds, where awards will be made no later than September 30, 2021.
- **Focus Area 2.11** - The maximum request for Government funding for each Enhanced White Paper should not exceed $3 M for projects proposing in response to Focus Area 2.11. The USG anticipates funding this focus area with FY20 funds, where awards will be made no later than September 30, 2021.
- **Focus Area 2.12** - The maximum request for Government funding for each Enhanced White Paper should not exceed $1.4 M for projects proposing in response to Focus Area 2.12. The USG anticipates funding this focus area with FY20 funds, where awards will be made no later than September 30, 2021.
- **Focus Area 5 (all technical areas of interest)** – The maximum request for Government funding for each Enhanced White Paper should not exceed $600,000 for projects proposing in response to any of the technical areas of interest within Focus Area #5. Additional funding may be available for selected performer(s) for the continuation of prototype development under a subsequent period(s) of performance of the resultant award(s).
- For all other Focus Areas not explicitly listed above – There are no specified funding limitations identified for an Enhanced White Paper submitted under this RPP. For
informational purposes, the average award size of MTEC awards for the initial PoP is approximately $1.5 – 3M over a 2 – 3 year PoP.
Cost sharing, including cash and in kind (e.g., personnel or product) contributions are strongly encouraged, have no limit, and are in addition to the Government funding to be provided under the resultant award(s).
Award funding may be structured incrementally and based upon completion of Milestones and Deliverables.
Dependent on the results and deliverables under any resultant award(s), the U.S. Government (USG) may non-competitively award additional dollars and/or allow for additional time for scope increases and/or follow-on efforts with appropriate modification of the award. See Section 3.6. for additional details.
2.3. Acquisition Approach
This RPP will be conducted using the enhanced white paper approach. In Stage 1, current MTEC members are invited to submit Enhanced White Papers using the mandatory format contained in this RPP (see Section 8 of this RPP). The Government will evaluate Enhanced White Papers submitted and will select those that best meet their current technology priorities using the criteria in Section 5 of this RPP. Offerors whose proposed solution is selected for further consideration based on the Enhanced White Paper evaluation will be invited to submit a full cost proposal in Stage 2 (and may be required to submit additional documentation or supplemental information such as those examples listed under Section 4.2). Notification letters will contain specific Stage 2 proposal submission requirements.
Pending successful completion of the total effort, the Government may issue a non-competitive follow-on production contract or transaction pursuant to 10 U.S.C. § 2371b section f.
The Government-selected prototype project(s) awarded as a result of this solicitation will be funded under the Other Transaction Agreement for prototype projects (OTA) Number W81XWH-15-9-0001 with MTEC administered by the CM, ATI. The CM will negotiate and execute a Base Agreement with MTEC members (if not yet executed). The same provisions will govern this Base Agreement as the OTA for prototype projects between the Government and MTEC. Subsequently, any proposal that is selected for award will be funded through a Research Project Award issued under the member’s Base Agreement. The MTEC Base Agreement can be found on the MTEC website and Members-Only website at www.mtec-sc.org.
At the time of the submission, if Offerors have not yet executed a Base Agreement, then Offerors must certify on the cover page of their Enhanced White Paper that, if selected for award, they will abide by the terms and conditions of the latest version of the MTEC Base Agreement. If the Offeror already has executed an MTEC Base Agreement with the MTEC CM, then the Offeror must state on the cover page of its Enhanced White Paper that, if selected for
award, it anticipates the proposed effort will be funded under its executed MTEC Base Agreement.
2.4. Proposers Conference
MTEC intends to host multiple Proposers Conferences that will be conducted via webinar within several weeks of the release of the RPP and may include up to six (6) separate sessions. Further instructions will be forthcoming via email. The intent of the MPAI Proposers Conference series is to provide an administrative overview of this RPP process to award (anticipated as a standalone session) and to present further insight into the Focus Areas of Interest outlined in Section 3. Offerors are advised to check the MTEC website periodically during the proposal preparation period for any clarifications found in Frequently Asked Questions (FAQ) responses.
2.5. MTEC Member Teaming
While teaming is not required for this effort, Offerors are encouraged to consider teaming during the proposal preparation period (prior to Enhanced White Paper submission) if they cannot address the full scope of technical requirements of the RPP or otherwise believe a team may be beneficial to the Government. MTEC members are encouraged to use the MTEC Database Collaboration Tool. The purpose of the tool is to help MTEC member organizations identify potential teaming partners by providing a quick and easy way to search the membership for specific technology capabilities, collaboration interest, core business areas/focus, Research and Development (R&D) highlights/projects, and technical expertise. The Primary Point of Contact for each member organization is provided access to the collaboration database tool to make edits and populate their organization’s profile. There are two sections as part of the profile relevant to teaming:
- “Collaboration Interests” - Select the type of teaming opportunities your organization would be interested in. This information is crucial when organizations need to search the membership for specific capabilities/expertise that other members are willing to offer.
- “Solicitation Collaboration Interests” - Input specific active solicitations that you are interested in teaming on. This information will help organizations interested in a specific funding opportunities identify others that are interested to partner in regards to the same funding opportunity. Contact information for each organization is provided as part of the member profile in the collaboration database tool to foster follow-up conversations between members as needed.
The Collaboration Database Tool can be accessed via the “MTEC Profiles Site” tab on the MTEC members-only website.
2.6. Proprietary Information
The MTEC CM will oversee submission of Enhanced White Papers submitted in response to this RPP. The MTEC CM shall take the necessary steps to protect all proprietary information and shall not use such proprietary information for purposes other than the evaluation of an Offeror’s Enhanced White Paper and the subsequent agreement administration if the Proposal is selected.
for award. In accordance with the PPG, please mark all Confidential or Proprietary Information as such. An Offeror’s submission of a Proposal under this RPP indicates concurrence with the aforementioned CM responsibilities.
Also, as part of MTEC’s mission to incorporate philanthropic donations, MTEC frequently makes contact with private entities (e.g., foundations, investor groups, organizations, individuals) that award grants or otherwise co-fund research, and/or operates in research areas that are aligned with those of MTEC. These private entities may be interested in reviewing certain Proposals within their program areas, allowing opportunities to attract supplemental funding sources. On your Proposal Cover Page, please indicate your willingness to allow MTEC Officers and Directors access to your Proposal for the purposes of engaging in outreach activities with these private organizations. MTEC Officers and Directors who are granted Proposal access have signed Non-disclosure Agreements (NDAs) and Organizational Conflict of Interest (OCI) statements. Additionally, these MTEC Officers and Staff represent organizations that currently are not MTEC members, and therefore their parent organizations are not eligible to submit Proposals or receive any research project funding through MTEC. Additionally, all Technical Evaluation Panel participants will agree to, and sign a nonproprietary information and conflict of interest document.
2.7. Offeror Eligibility
Offerors must be MTEC Members in good standing to be eligible to submit an Enhanced White Paper. Offerors submitting Enhanced White Papers as the prime performer must be MTEC members of good standing at least 3 days prior to submission of the Enhanced White Papers. Subcontractors (including all lower tier subawardees) do not need to be MTEC members. To join MTEC, please visit http://mtec-sc.org/how-to-join/.
2.8. Cost Sharing Definition
Cost sharing is defined as the resources expended by the award recipients on the proposed statement of work (SOW). *Cost sharing above the statutory minimum is not required in order to be eligible to receive an award under this RPP.* If cost sharing is proposed, then the Offeror shall state the amount that is being proposed and whether the cost sharing is a cash contribution or an in-kind contribution (see Attachment A for definitions); provide a description of each cost share item proposed; the proposed dollar amount for each cost share item proposed; and the valuation technique used (e.g., vendor quote, historical cost, labor hours and labor rates, number of trips, etc.).
2.9. Cost Share Requirements
In order to be compliant with 10 U.S.C. §2371b, Research Projects selected for funding under this RPP are required to meet at least one of the conditions specified in Attachment B (“Statutory Requirements for the Appropriate Use of Other Transaction Authority”). Beyond that, cost sharing is encouraged if possible, as it leads to stronger leveraging of Government-contractor collaboration. For more information regarding cost share, please see Attachment A.
Proposals that fail to meet the mandatory statutory conditions with regard to the appropriate use of Other Transaction authority, as detailed in Attachment B, will not be evaluated and will be determined ineligible for award.
2.10. MTEC Assessment Fee
Per Section 3.4 of the Consortium Member Agreement (CMA), each recipient of a Research Project Award under the MTEC OTA shall pay MTEC an amount equal to 1% of the total funded value of each research project awarded. Such deposits shall be due no later than 90-days after the research project award is executed. Awardees are not allowed to use MTEC funding to pay for their assessment fees.
Additionally, MTEC has established two methods of payment to be made to MTEC surrounding the licensing/commercialization of Intellectual Property developed with funding received from MTEC Research Project Awards. Awardees must select one of the two methods:
(1) Royalty Payment Agreements
Government-funded research projects awarded through MTEC will be subject to a 10% royalty on all Net Revenues received by the Research Project Award recipient resulting from the licensing/commercialization of the technology, capped at 200% of the Government funding provided.
(2) Additional Research Project Award Assessment
In lieu of providing the royalty payment agreement described above, members receiving Research Project Awards may elect to pay an additional assessment of 2% above the standard assessment percentage described in Section 3.4 of the CMA. This additional assessment applies to all research project awards, whether the award is Government funded or privately funded.
2.11. Intellectual Property and Data Rights
Baseline Intellectual Property (IP) and Data rights for MTEC Research Project Awards (RPAs) are defined in the terms of a member’s Base Agreement, and specifically-negotiated terms are finalized in any resultant RPA. MTEC reserves the right to assist in the negotiation of IP, royalties, licensing, future development, etc., between the government and the individual performers prior to final award decision and during the entire award period.
The Offeror shall comply with the terms and conditions defined in the Base Agreement regarding Data Rights. It is anticipated that anything created under this proposed effort would be delivered to the Government with unlimited data rights unless otherwise asserted in the proposal and agreed to by the Government. Rights in technical data shall be determined in accordance with the provisions of the MTEC Base Agreement.
See Attachment C for more detail. Note that as part of the Stage 1 of the RPP process (submission of an Enhanced White Paper), Offerors shall complete and submit Attachment C as an appendix.
to the Enhanced White Paper with the Signature of the responsible party for the proposing Prime Offeror.
2.12. Expected Award Date
Offeror should plan on the PoP beginning no sooner than 4 months after the submission deadline (subject to change). The Government reserves the right to change the proposed PoP start date through negotiations via the CM and prior to issuing a Research Project Award.
2.13. Anticipated Enhanced White Paper Selection Notification
As the basis of selections is completed, the Government will forward their selections to MTEC CM to notify Offerors. Proposers will be notified by email from the MTEC CM of the results of the evaluation. Those successful will move forward to the next phase of the process while those not selected will gain evaluation rationale for non-selection.
Offerors are hereby notified that once an Enhanced White Paper has been submitted, neither the Government nor the MTEC CM will discuss evaluation/status until after the Offeror receives the formal notification with the results of this evaluation.
3 Technical Requirements
3.1. Background
In multi-domain operations, today’s operating force will be overwhelmed with casualties, the ability to evacuate will be limited, first responders and medics will struggle with limited resources and ability to achieve the “Golden Day,” resulting in operational units and commanders rapidly losing freedom of maneuver and combat effectiveness. Therefore, medical assets must be highly mobile and more dispersed (e.g., smaller, more modular medical units), Warfighters will require greater self-sufficiency and autonomy (e.g., may have more limited medical-related communications and re-supply), and there will be an increased cognitive and physical stress on Warfighters (they will need ways to maximize lethality and return to the fight quickly).
3.2. Minimum Requirements for Submission of an Enhanced White Paper
Enhanced White Papers submitted in response to this RPP shall meet the following minimum requirements:
1. **Military Relevance**: Proposed projects shall focus on providing medical solutions to support readiness and care in future battlefield scenarios.
2. **Fit the prototype definition**: Proposed prototype projects should not be exploratory in nature and do require a foundation of preliminary data. The definition of a "prototype" is as follows: a prototype project addresses a proof of concept, model, reverse engineering to address obsolescence, pilot, novel application of commercial technologies for defense purposes, agile development activity, creation, design, development, demonstration of
technical or operational utility, or combinations of the foregoing. A process, including a business process, may be the subject of a prototype project.
3. **Minimum Knowledge/Technology Readiness Level (KRL/TRL):** The expected KRL/TRL at the time of submission of the Enhanced White Paper is at least KRL/TRL 3. Offerors have achieved KRL/TRL 3 if:
- **Knowledge Products:** Offeror has validated hypotheses that suggest applications (e.g., prediction for prognosis, screening for diagnosis, or treatment for prevention)
- **Pharmaceutical (Drugs):** Offeror has demonstrated initial proof-of-concept for candidate drug constructs in a limited number of in vitro and in vivo research models
- **Pharmaceutical (Biologics, Vaccines):** Offeror has demonstrated initial proof-of-concept for biologic/vaccine constructs in a limited number of in vitro and in vivo research models.
- **Medical Devices:** Offeror has demonstrated initial proof-of-concept for device candidates in a limited number of laboratory models (may include animal studies).
- **Medical Information Management/Information Technology & Medical Informatics:** Medical Informatics data and knowledge representation schema are modeled.
*NOTE:* Full definitions of TRLs can be found [here](#). More information regarding KRLs can be found [here](#).
4. **New Submissions to MTEC:** Focus on proposed solutions that have not been submitted to MTEC under previous RPPs within the past 2 years. The Government is already aware of concepts submitted in response to previous MTEC solicitations, and therefore, such projects are not allowed to be resubmitted here. This RPP is intended only for submission of new projects to MTEC, not direct resubmissions or modifications of projects previously submitted. Furthermore, Enhanced White Papers reflecting substantially the same technical approach submitted multiple times under this MPAI RPP may not be evaluated by the technical evaluators and determined ineligible for award, unless such a resubmission is directed by the Government.
5. **Alignment to a Specified Focus Area of Interest:** Enhanced White Papers shall align to a single Focus Area of Interest specified in Section 3.3 below. Failure to align to a single Focus Area of Interest may result in an “Unacceptable” rating and render the proposal ineligible for award.
**NOTE:** Failure to meet any or all of these minimum requirements may result in an overall “Unacceptable” rating of the Enhanced White Paper with minimum or no additional feedback provided.
3.3. **Focus Areas of Interest**
To meet the intent of this RPP, each enhanced white paper SHALL specifically address ONLY ONE Focus Area of Interest described below. Offerors are not limited to a single Enhanced White Paper submission. Projects not aligned to one of these Focus Areas of Interest may not be considered for funding.
- **FOCUS AREA #1: Prolonged Field Care (PFC):** A primary emphasis in 2021 is to identify and develop medical techniques, knowledge products, and materiel\(^2\) (medical devices, drugs, and biologics) for early intervention in life-threatening battle injuries and prolonged field care\(^3\) (PFC). Because battlefield conditions impose severe constraints on available manpower, equipment, and medical supplies available for casualty care, there is a need for medical interventions that can be used within the battle area or as close to it as possible, before or during medical evacuation. Preferred medical techniques and materiel that can be used by combat medics must be easily transportable (i.e., small, lightweight, and durable in extreme environments and handling); devices must be easy to use and require low maintenance, with self-contained power sources as necessary. This focus area is also interested in solutions that include artificial intelligence (AI), with a focus on the employment of AI to support providing care at the point of need in remote and austere environments. The following focus areas of interest are (not listed in order of importance):
- **FA1.1** Control & Sustainment of Critical Organ System & Metabolic Function
- **FA1.2** Enabling Medical Capabilities to Support En Route and Prolonged Care in Remote, Austere Settings, & Extreme Environments
- **FA1.3** Prophylactic to Prevent Infection in Battlefield Wounds
- **FA1.4** Control of Wound Progression & Infection Prevention
- **FA1.5** Enabling capabilities to increase patient movement capacity
- **FA1.6** Blood and Blood Products – Next Generation Blood, Blood Products, Pharmaceuticals, Synthetic Replacements, & Delivery Systems
- **FA1.7** Brain Trauma – Treatment and Objective Diagnosis, Prognosis and Assessment of Traumatic Brain Injury (TBI) in combat and prolonged care scenarios
- **FA1.8** Tactical Combat Casualty Care – Point of Injury Control of Non-Compressible Hemorrhage & Immediate Cardiopulmonary Stabilization
- **FA1.9** Cognition-sparing, long-duration pain control
- **FA1.10** Large animal studies for the development of a portable non-pharmaceutical device that provides regional analgesia at the point of injury and/or during medical evacuation
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\(^2\) Materiel is defined as equipment and supplies of a military force.
\(^3\) Prolonged field care is defined as field medical care, applied beyond “doctrinal planning timelines” by a North Atlantic Treaty Organization (NATO) Special Operations Combat Medic (NSOCM) or higher, in order to decrease patient mortality and morbidity. PFC utilizes limited resources and is sustained until the patient arrives at an appropriate level of care. Rasmussen TE, Baer DG, Cap AP, et al. 2015. Ahead of the Curve. *J Trauma Acute Care Surg* 79: S61-64.
FA1.11 Automated Ultrasound Technology – An automated ultrasound that is field portable with the capability of imaging abdomen, thoracic cavity, extremities, and pelvis. The prototype will also be capable of interpreting images and providing diagnostic feedback as well as having a semi-autonomous/autonomous guidance feature for surgical procedures.
FA1.12 Burns – Development of material and knowledge solutions to enable limited volume parenteral and/or enteral burn resuscitation in forward environments potentially under prolonged care
FA1.13 Autonomy – use of autonomy solutions in austere environments in PFC to help with resuscitation, stabilization, airway management, reduce major bleeding, help MEDICs in degraded environments, etc. to support autonomous care, Decision Support Systems, and/or Intelligent Evacuation and Prolonged Care
FOCUS AREA #2: Medical Readiness: This area focuses on developing technologies that maximize medical readiness and provide mobile health solution sets for the modern Warfighter. Efforts may include diagnostics, treatments, AI-based advanced telehealth technologies, and training solutions to prevent or reduce injury and improve physiological and psychological health and resilience. This objective includes environmental health and protection including the assessment and sustainment of health and the operational effectiveness of Service members exposed to harsh operational environments including altitude, cold, heat, and exposure to environmental health. This focus area also includes medical readiness in response to infectious diseases encountered by service members during deployment and those that can significantly impact performance. The following focus areas of interest are (not listed in order of importance):
FA2.1 Leader and Provider Tools to Prevent, Reduce, Screen and Diagnose Musculoskeletal Injury in all Settings
FA2.2 Solutions to Accelerate Return-to-Readiness following Musculoskeletal Injuries
FA2.3 Solutions to Sustain Warfighter Performance in Arctic and Other Extreme Environments
FA2.4 Far Forward Psychological Health Care
FA2.5 Field Deployable Solutions to Prevent Degradation of Unit Performance and Soldier Psychological Health
FA2.6 AI Platform for the Early Identification and/or Management of Symptoms Associated with Post-traumatic Stress Disorder (PTSD) – The platform should allow for the integration of physiological data collected from a wearable device that can be used at home and on-demand. It should utilize audio-visual stimulation aimed to manage PTSD symptoms, include a remote monitoring app, and provide real-time data to both users and monitoring physicians. Testing of the prototype should be performed in a military or veteran population suffering from PTSD.
FA2.7 Medical Strategies to Sustain Soldier Alertness & Performance in all Settings
FA2.8 Guidelines and Recommendations on the Implementation of Human-Automation Teaming that Optimizes Human Performance and Increases
Operational Effectiveness – The research should include a multi-day study in humans in a controlled environment to determine how task complexity, time on task, rest, and fatigue state (sleep loss and circadian misalignment) affect the Warfighter’s ability to perform and interact with automation.
- **FA2.9** Pharmacological/Technological (P/T) Approaches to Measure & Manipulate the Glymphatic/Lymphatic (G/L) System in Humans during Sleep – Awardees will be expected to demonstrate that the G/L system can be reliably measured in humans during sleep and directly manipulated through P/T approaches; demonstrate efficacy of their approach to positively impact cognitive performance and psychological health outcomes; develop or adapt approaches to improve or enhance brain fluid movement in humans; and develop models that quantify the impacts of G/L clearance in the brain on short term impacts on the restorative effects of sleep.
- **FA2.10** Medical Criteria and brain injury-based thresholds for Informing Development of New Tactical Headborne Systems and personal protection equipment against blast, ballistic, and blunt trauma threats
- **FA2.11** Acute and Repetitive Blast Exposure Induced Brain Injury and Cognitive Health Models – The research should deliver blast-induced brain injury risk thresholds and probability risk curves for brain injury resulting from single and repetitive blast exposures. It should also lead to blast-induced brain injury criteria, test methodology, and an assessment tool that can be integrated into the Army’s Health Hazard Assessment Program non-auditory blast overpressure risk model.
- **FA2.12** Medically-based Criteria for Body Armor Fielded for Future Development and Evaluation of Next Generation PPE – Awardees will be expected to develop and conduct, in cooperation with DoD laboratories, novel research to characterize physiological response (e.g., vital organ injury) and torso impact parameters under military-relevant exposures, using mechanical, cadaveric, or animal surrogates. The researchers should leverage existing computational models of the torso, as well as existing and emerging clinical data and emerging field data on torso injuries being collected by the DoD, law enforcement community, industry, academia, etc.
- **FA2.13** Infectious Diseases – Rapid Diagnostic and Detection Devices
- **FA2.14** Prophylactic for Endemic Diarrheal Diseases
- **FA2.15** Broad Spectrum Antivirals
- **FA2.16** Broadly protective vaccine platforms for Emerging Infectious Diseases
- **FA2.17** Novel, adaptive, and tailored simulation education trainings that optimize practice and effectiveness (i.e., brain focused and learning retention)
- **FOCUS AREA #3: Emerging Technologies**: This area is focused on the Multi-Domain Battle, an operational environment involving greater dispersion and near isolation over great distances, which is likely to cause severe restrictions on mobility for medical missions and shortfalls in both human and materiel human resources due to area denial challenges. Combat units will need to be more self-sufficient and less dependent on logistical support. Combatant commanders with increased sick or wounded Soldiers will face degradation of
medical resources and encumbered combat effectiveness without new combat casualty management and Force multiplication strategies. This focus area is searching for emerging technologies that will increase medical mobility while ensuring access to essential medical expertise and support regardless of the operating environment. **The following focus areas of interest are (not listed in order of importance):**
- **FA3.1** AI for information and technology – focus on employment of AI to support medical resupply in theater to improve real-time information access, security and mobility; interoperable data capture and documentation technologies
- **FA3.2** Synthetic Biology – general interest as well as cell & therapeutics, diagnostics, detection platforms
- **FA3.3** Casualty Management – Next generation casualty management, medical logistics, training and education, and medical command and control in dispersed operations and other theater/operational environments.
- **FA3.4** Human Machine Integration Best Practices and Trust – Efficacy of integrating robotics into the far forward mission that consider best practices to encourage trust by the user. Understanding the extent to which Warfighters may trust robots and how to achieve this capability.
- **FA3.5** Nano, micro, and macro interoperable haptic platforms – This aspect of performing Live, Virtual, Augmented, and Gaming education tools is limited by the ability to experience force and real life tactile sensations especially in the medical field. The limiting factor in realistic environments is the ability to provide this factor to assist in cognitively remembering and understanding how the action should feel to be correct. Haptic gloves available utilize wires and limit the perimeter because the user is tethered.
• **FOCUS AREA #4: Maximizing Human Potential**: This area aims to develop effective countermeasures against military-relevant stressors and to prevent physical and psychological injuries during training and operations in order to maximize the human potential, in support of the Army Human Performance Optimization and Enhancement, Human Dimension, Multi-Domain Battle, and the DoD Total Force Fitness concepts. **The following focus areas of interest are (not listed in order of importance):**
- **FA4.1** Maximizing Human Potential – cognitive, physical and emotional potential in multi-domain operations (MDO) by optimizing physical and psychological health and resilience and provide safe, impactful, and ethical human performance; optimizing the interactions between systems and Soldiers, leaders, and teams
- **FA4.2** Solutions to Maximize Warfighter and Family Member Psychological Health and Resilience to Stressors
- **FA4.3** Repair, restore, preserve and maintain sensory system (e.g., vision, hearing, balance) function after combat related threats (including but not limited to directed energy exposure). Seeking research efforts to support the development of innovative strategies and technologies that may include medical devices, pharmaceuticals, rehabilitation strategies, and regenerative medicine-based
approaches, to treat, restore, and preserve spared tissue and function, and/or rehabilitate patients due to neurosensory related trauma.
- **FOCUS AREA #5: Applied Medical Robotics and Machine Perception and Intelligence Systems:** This area focuses on investigation of novel technologies and methods of applying robotics to augment medical capability and capacity in forward care settings. The specific technologies include machine perception and intelligence systems, and advanced motion planning and control of semi-autonomous robotics. The target applications include the use of tele-surgical robotics to extend the reach of remote surgeons, and robotic-assisted casualty monitoring, diagnostics, and intervention to assist local care providers in combat casualty care situations. This area also focuses on leveraging unmanned air and ground systems to provide standoff detection and remote assessment of combat causalities to facilitate rapid casualty extraction, and to provide emergency medical resupply to support field care when evacuation is not possible. **The following focus areas of interest are (not listed in order of importance):**
- **FA5.1** Machine Perception Systems for robotic-assisted diagnostics and interventions – The development and integration of computer vision techniques to locate, segment, and map key anatomical features that enable the use of robotic systems to assist in interventions. Applications include the development of safety protocols for telerobotic surgery and robotic-assisted diagnostic imaging.
- **FA5.2** Standoff Casualty Detection, Assessment, Monitoring – the development and integration of image processing algorithms using common sensors as input to provide casualty detection and remote assessment at standoff distances. Applications include integration with vision systems on common robotic or manned vehicles platforms.
- **FA5.3** Unmanned Aerial System (UAS) supply of critical medical supplies to the tactical edge – The use emerging unmanned vehicle platforms for medical resupply to support field care and other medical logistics missions in austere operating environments. Applications include the rapid distribution of vaccines and test kits to support pandemic response in remote and high-threat environments.
- **FA5.4** Medic/Robot Teaming – The development and integration of techniques that allow forward care providers to effectively team with robotic or semi-autonomous systems. Applications include supervisory-level command and control of semi-autonomous robotics, or systems designed to automate data entry for existing or emerging Medic tools, e.g. patient documentation or clinical decision support systems.
### 3.4. Additional points of consideration
- **Project Maturity:** This solicitation is not meant to support development of a new prototype, and should meet the minimum TRL or KRL requirement of 3 (described in Section 3.3).
Industry Partners: MTEC considers that an enhanced white paper involving an industry partner (or alternative organization(s)) to serve as the regulatory sponsor and commercialization partner (if applicable to the proposed project) may have the greatest level of success, especially considering that the eventual goal is to obtain FDA clearance/approval.
Cost Share: It is anticipated that the Government funds would provide incentive for industry funding to join the project. While not a requirement, Offerors are strongly encouraged to include Cost Share as appropriate.
3.5. Examples of Proposed Tasks
The PoP should be focused on tasks relevant to advance the prototype to the next TRL or KRL. Project scope should be proposed based on the prototype’s maturity at the time of submission. Examples of the work that could be included in the PoP are (but not limited to):
- Non-GLP laboratory research to refine hypothesis and identify relevant parametric data required for technological assessment in a rigorous (worst case) experimental design.
- Exploratory study of candidate devices/systems/drugs.
- Candidate devices/drugs/vaccines are evaluated in laboratory or animal model(s) to identify and assess potential safety problems, adverse events, and side effects.
- Prototype development, refinement, maturation
- Nonclinical and preclinical studies required for the technical data package for a regulatory application
- Preparation of regulatory packages (e.g., Investigational New Drug application, Investigational Device Exemption application), including regulatory consultant costs.
- Prototype refinement/maturation progressing towards clinical product
- Clinical feasibility studies (as needed) to support regulatory approval/clearance
- Clinical pivotal studies (as needed) to support regulatory approval/clearance
- Stability and shelf-life studies
- Prototype delivery for military-relevant testing
- Testing of prototypes
- System prototype demonstration in a relevant or operational environment
- Establishment of Good Manufacturing Practice (GMP) manufacturing for clinical trials and for market release
- Initial production runs; first article testing, etc.
- Low rate initial product runs to reach Full Operating Capability (FOC)
- Draft product support documentation (e.g., training guides, product inserts, etc.)
- Development of a business and/or commercialization plan for market release
- Integration of medical informatics system components and system is evaluated in a simulated environment/Develop interfaces to supporting systems
• Advanced technical testing in a laboratory environment and ultimately in a relevant or simulated operational environment of an informatics system including actual interfaces to realistic supporting elements
3.6. Potential Follow-on Tasks
Under awards resulting from this RPP, there is the potential for award of one or more non-competitive follow-on tasks based on the success of the project (subject to change depending upon Government review of completed work and successful progression of milestones). Potential follow-on work may be awarded based on the advancement in prototype maturity during the PoP. Follow-on work may include tasks related to advancement of prototype maturity, and/or to expand the use or utility of the prototype. Examples of potential follow-on work are (but not limited to):
• Prototype development, refinement, maturation
• Nonclinical and preclinical studies required for the technical data package for a regulatory application
• Clinical Studies
• Establish robust quality system
• Improve efficiency and reproducibility of manufacturing process for scale up
• Work towards FDA clearance/approval
• Military environmental and operational assessments
• Ruggedization for operation in military environments
• Advanced technical testing in relevant or simulated operational environments
• Initial Procurement
Offerors are encouraged, as appropriate, to discuss potential follow-on work in the Enhanced White Paper submission to demonstrate the ability to further advance the project maturity beyond the proposed PoP. This will also allow the Offeror to highlight the potential capabilities that can be explored/achieved through short term and/or long-term advancement of the project in a way that is beneficial to the Government.
3.7. Restrictions on Animal and Human Subjects, Human Anatomical Substances, or Human Cadavers
All DoD-funded research involving new and ongoing research with human anatomical substances, human subjects, or human cadavers must be reviewed and approved by the USAMRDC Office of Research Protections (ORP), Human Research Protection Office (HRPO), prior to research implementation. This administrative review requirement is in addition to the local Institutional Review Board (IRB) or Ethics Committee (EC) review. Allow a minimum of 2 to 3 months for HRPO regulatory review and approval processes.
If the proposed research is cooperative (i.e., involving more than one institution), a written plan for single IRB review arrangements must be provided at the time of application submission or award negotiation. The lead institution responsible for developing the master protocol and
master consent form should be identified and should be the single point of contact for regulatory submissions and requirements.
Research Involving Animals: All DoD-funded research involving new and ongoing research with animals must be reviewed and approved by the USAMRDC ORP Animal Care and Use Review Office (ACURO), in addition to the local Institutional Animal Care and Use Committee (IACUC) of record. Allow at least 3 to 4 months for ACURO regulatory review and approval processes for animal studies.
Enhanced White Papers must comply with the above mentioned restrictions and reporting requirements for the use of animal and human subjects, to include research involving the secondary use of human biospecimens and/or human data. Under any resultant award(s), the Awardee(s) shall ensure local IACUC and IRB approvals, continuing review (in the intervals specified by the local IACUC and IRB, but at a minimum, annually), and approval by ACURO and HRPO. Offerors shall include IACUC, ACURO, IRB and HRPO review and approval in the SOW/Milestones Table.
*These restrictions include mandatory government review and reporting processes that will impact the Offeror’s schedule.*
For example, the clinical studies under this RPP shall not begin until the USAMRDC HRPO provides authorization that the research may proceed. The USAMRDC HRPO will issue written approval to begin research under separate notification. Written approval to proceed from the USAMRDC HRPO is also required for any Research Project Awardee (or lower tier subawards) that will use funds from this award to conduct research involving human subjects. Offerors must allow at least 30 days in their schedule for the ORP review and authorization process.
### 3.8. Inclusion of Women and Minorities in Study
Consistent with the Belmont Report, “Ethical Principles and Guidelines for the Protection of Human Subjects,” and Congressional legislation, special attention is given to inclusion of women and/or minorities in studies funded or supported by the USAMRDC. This policy is intended to promote equity both in assuming the burdens and in receiving the benefits of human subjects research. Under any resultant awards, Offerors may be required to describe the strategy for the inclusion of women and minorities in the clinical trial appropriate to the objectives of the study, including a description of the composition of the proposed study population in terms of sex/gender, race, and ethnicity, and an accompanying rationale for the selection of subjects. Such strategy should provide an anticipated enrollment table(s) with the proposed enrollment distributed on the basis of sex/gender, race, and ethnicity. The suggested Inclusion Enrollment Report format is a one-page fillable PDF form, which can be downloaded from the Documents Library on the MTEC Public Site (mtec-sc.org) and the Members Only Site.
3.9. **Guidance for research studies targeting DOD personnel for survey research**
Protocols that target DoD personnel for research in which the primary data collection tool is a survey require additional administrative review per Department of Defense Instruction (DODI) 1100.13. Investigators will need to coordinate with HRPO to identify current submission requirements.
3.10. **Guidance for research studies targeting military families and children**
In accordance with DODI 1402.5 and Army Directive 2014-23, Child Care National Agency Check and Inquiries (CNACI) background investigations are required for all individuals who have regular contact with military dependents under 18 years of age. All individuals who regularly interact with children under 18 years of age in Army sponsored and sanctioned programs are required to undergo specific initial background checks and periodic re-verifications. Investigators who propose work involving contact with military dependents under 18 years of age should plan for the additional time and funds required for such investigations.
Per Department of Defense Education Activity (DODEA) Administrative Instruction 2071.3, DODEA approval is required for research studies involving DODEA school personnel, school facilities, students, sponsors, and/or data. Investigators proposing to conduct any research activities involving DODEA schools should plan for the additional time (~3-6 months) and effort required to obtain approval from DODEA to conduct such activities. Procedures and requirements for the review and approval of a research study request can be found at http://www.dodea.edu/datacenter/research/requests.cfm
Research studies that address Army Family Advocacy Program (FAP) concerns will need to be coordinated with the Family Advocacy Research Subcommittee (FARS) per Army Regulation 608-18.
3.11. **Guidance for research studies involving US Army Special Operations Command**
Per USASOC policy 24-18, studies involving US Army Special Operations Command (USASOC) Soldiers as human subjects require additional review by the USASOC Research Advisory Committee (RAC) and Human Subjects Research Board (HSRB).
3.12. **Compensation to DOD-affiliated personnel for participation**
Please note that compensation to DoD-affiliated personnel for participation in research while on duty is prohibited with some exceptions. For more details, see Department of Defense Instruction 3216.02, Protection of Human Subjects and Adherence to Ethical Standards in DoD-Conducted and -Supported Research. You may access a full version of the DODI by accessing the following link: https://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodi/321602p.pdf
4 Enhanced White Paper Preparation
4.1 General Instructions
Enhanced White Papers may be submitted at any time during the submission period but no later than the due date and time specified on the cover page using BIDS: https://ati2.acqcenter.com/ATI2/Portal.nsf/Start?ReadForm. The BIDS system will open for submissions on April 20, 2021. Include the MTEC Solicitation Number (MTEC-21-06-MPAI) on each Enhanced White Paper submitted. See RPP Attachment G for further information regarding BIDS registration. Instructions regarding BIDS submissions will be forthcoming.
Evaluations and recommendations for award are expected to be conducted on a first-in, first-out basis. Therefore, we highly encourage Offerors to submit as soon as possible during the open submission period as this may increase the likelihood of available funding for your proposed project as awards will be made on a rolling basis.
Evaluations will be conducted individually on a submission by submission basis. The intent is to provide an evaluation on or about 75 days after the receipt of an Enhanced White Paper submission. NOTE: Some Enhanced White Papers may be sent for external peer review (for example, but not limited to, proposed projects that involve the use of human subjects), which will result in an extended evaluation period (expected at a minimum of 60 days longer). Please do not worry if you do not receive notification within 75 days as we may experience slower timelines dependent on the number of Enhanced White Papers submitted.
Do not submit any classified information in the Enhanced White Paper submission.
The Enhanced White Paper format provided in this MTEC RPP is mandatory and shall reference this RPP number (MTEC-21-06-MPAI). Offerors are encouraged to contact the Points-of-Contact (POCs) identified herein up until the Enhanced White Paper due date/time to clarify requirements.
All eligible Offerors may submit Enhanced White Papers for evaluation according to the criteria set forth herein. Offerors are advised that only ATI as the MTEC’s CM, with the approval of the DoD Agreements Officer, is legally authorized to contractually bind MTEC into any resultant awards.
4.2 Instructions for the Preparation & Submission of the Stage 1 Enhanced White Paper
Offerors submitting Enhanced White Papers in response to this RPP should prepare all documents in accordance with the following instructions:
Offerors should submit files in Microsoft Office formats or Adobe Acrobat (PDF – portable document format) as indicated below. ZIP files and other application formats are not acceptable. All files must be print-capable and without a password required. Filenames must contain the
appropriate filename extension (.docx, .doc, .pptx, .ppt, .xlsx, .xls or .pdf). Filenames should not contain special characters. Apple users must ensure the entire filename and path are free of spaces and special characters.
An automated BIDS receipt confirmation will be provided by email. Offerors may submit in advance of the deadline. Neither MTEC nor ATI will make allowances/exceptions for submission problems encountered by the Offeror using system-to-system interfaces. If the Offeror receives errors and fails to upload the full submission prior to the submission deadline, the submission may not be accepted. It is the Offeror’s responsibility to ensure a timely and complete submission.
**Required Submission Documents (4): Submitted via BIDS**
- **Enhanced White Paper:** One PDF document 5MB or lower.
- **Appendix 1 - Statement of Work:** One Word document 5MB or lower.
- **Appendix 2 - Data Rights Assertions:** One PDF document 5MB or lower.
- **Appendix 3 - Warranties and Representations:** One Word (.docx or .doc) or PDF document 5MB or lower.
Page Limitation: The Enhanced White Paper is limited to ten (10) pages (including cover page). The following Appendices are excluded from the page limitation: (1) Statement of Work, (2) Data Rights, and (3) Warranties and Representations.
The Enhanced White Paper and its Appendices must be in 12 point font (or larger), single-spaced, single-sided, 8.5 inches x 11 inches. Smaller type may be used in figures and tables, but must be clearly legible. Margins on all sides (top, bottom, left, and right) should be at least 0.5 inch. Enhanced White Papers and Appendices exceeding the page limits and/or the specified file size above may not be accepted. Each document shall be uploaded to BIDS separately (see Attachment G of RPP for BIDS instructions).
Enhanced White Papers exceeding the page limit specified in Section 8 of the RPP may not be accepted.
**FOR INFORMATION ONLY:** Please note a full Cost Proposal will be requested if the Enhanced White Paper is selected for funding (see Section 4.3 for additional details). Furthermore, additional attachments/appendices (henceforth referred to as supplemental information) to this proposal submission may be requested after completion of the technical evaluation to include the following:
- **Previous, Current and Pending Support** summarizing other sponsored research for each person who will contribute significantly to the proposed prototype project. The information for previous support should include the past five (5) years, unless otherwise specified in the request.
• **Human Subject Recruitment and Safety Procedures** which details study population, inclusion/exclusion criteria, description of the recruitment process, description of the informed consent process, etc.
• **Letter(s) of Support**, as applicable, if the prototype project will require access to active duty military patient populations and/or DoD resource(s) or database(s).
The exact requirements of any such attachment/appendix is subject to change and will be provided at the time (or immediately following) the technical evaluation summary is provided.
4.3. **Stage 2: Cost Proposal (for Only Those Offerors Recommended for Funding)**
Offerors that are recommended for funding will receive notification letters which will serve as the formal request for a full Cost Proposal (and may contain a request for Enhanced White Paper revisions and/or supplemental information, such as those examples listed in the section above, based on the results of the technical evaluation). These letters will contain specific submission requirements if there are any changes to those contained in this RPP. However, it is anticipated that the following will be required:
**Required Submission Documents (3): Submit to firstname.lastname@example.org**
- Section I: Cost Proposal Narrative as one word or PDF document.
- Section II: Cost Proposal Formats as one excel or PDF document.
- Royalty or Additional Research Project Award Assessment: One signed word or PDF document.
See below for additional instructions. Also refer to Attachment F for details on how the full Cost Proposals will be evaluated:
The Cost Proposal shall be submitted in two separate sections. One Word (.docx or .doc) or PDF file for **Section I: Cost Proposal Narrative** (the MTEC Proposal Preparation Guide will be provided by MTEC to Offerors invited to Stage 2). Separately, **Section II: Cost Proposal Formats** either in Excel (.xlsx or .xls) or PDF format is required.
Each offeror selected for Stage 2 will select either the **MTEC Additional Research Project Award Assessment Fee** or the **Royalty Payment Agreement** (available on the MTEC members only website), not both and submit a signed copy with the full proposal. Please see RPP Section 2.10 for additional information.
**Offerors are encouraged to use their own cost formats such that the necessary detail is provided.** MTEC will make cost proposal formats available on the Members-Only MTEC website. The Cost Proposal formats provided in the MTEC website and within the PPG are NOT mandatory.
Each cost proposal should include direct costs and other necessary components as applicable, for example, fringe, General & Administrative Expense (G&A), Facilities & Administrative (F&A),
Other Direct Costs (ODC), etc. Offerors shall provide a breakdown of material and ODC costs as applicable. Refer to the MTEC PPG for additional details.
Those Offerors invited to submit a Cost Proposal are encouraged to contact the MTEC CM and/or Government with any questions so that all aspects of the Stage 2 requirements are clearly understood by both parties.
4.4. Enhanced White Paper and Cost Proposal Preparation Costs
The cost of preparing Enhanced White Papers and Cost Proposals in response to this RPP is not considered a direct charge to any resulting award or any other contract.
4.5. Freedom of Information Act (FOIA)
To request protection from FOIA disclosure as allowed by 10 U.S.C. §2371(i), Offerors shall mark business plans and technical information with a legend identifying the documents as being submitted on a confidential basis. For more information, please refer to Section 6.1.1. of the MTEC PPG.
4.6. Telecommunications and Video Surveillance
Per requirements from the Acting Principal Director of Defense Pricing and Contracting dated 13 August 2020, the provision at FAR 52.204-24, “Representation Regarding Certain Telecommunications and Video Surveillance Services or Equipment” is incorporated in this solicitation. If selected for award, the Offeror(s) must complete and provide the representation, as required by the provision, to the CM.
5 Selection
The CM will conduct a preliminary screening of submitted Enhanced White Papers to ensure compliance with the RPP requirements. As part of the preliminary screening process, Enhanced White Papers that do not meet the requirements of the RPP may be eliminated from the competition or additional information may be requested by the CM. Additionally, the Government reserves the right to request additional information or eliminate proposals that do not meet these requirements from further consideration. One of the primary reasons for non-compliance or elimination during the initial screening is the lack of significant nontraditional defense contractor participation, nonprofit research institution participation, or cost share (see Attachment B). Proposal Compliance with the statutory requirements regarding the appropriate use of Other Transaction Authority (as detailed within Attachment B) will be determination based upon the ratings shown in Table 1:
| TABLE 1 - COST SHARING/NONTRADITIONAL CONTRACTOR ASSESSMENTS |
|---------------------------------------------------------------|
| RATING | DESCRIPTION |
|--------|-------------|
PASS
Offeror proposing an MTEC research project meets at least ONE of the following:
- Offeror is a Nontraditional Defense Contractor or Nonprofit Research Institution
- Offeror's Enhanced White Paper has at least one Nontraditional Defense Contractor or Nonprofit Research Institute participating to a significant extent
- All significant participants in the transaction other than the Federal Government are small businesses or nontraditional defense contractors
- Offeror provides at least one third of the total project cost as acceptable cost share
FAIL
Offeror proposing an MTEC research project does NOT meet at least ONE of the following:
- Offeror is a Nontraditional Defense Contractor or Nonprofit Research Institution
- Offeror's Enhanced White Paper has at least one Nontraditional Defense Contractor or Nonprofit Research Institution participating to a significant extent
- All significant participants in the transaction other than the Federal Government are small businesses or nontraditional defense contractors
- Offeror provides at least one third of the total project cost as acceptable cost share
Enhanced White Paper (Stage 1) Evaluation:
The CM will distribute all Enhanced White Papers that pass the preliminary screening (described above) to the Government for evaluation. The Government will then conduct the source selection and determine which Offerors will be invited to submit a Stage 2 cost proposal based on the following Stage 1 criteria. In some cases, to ensure scientific excellence, the Government may utilize an additional evaluation process to include an external peer review for the evaluation of Enhanced White Papers against established criteria to determine technical merit. Regardless of whether or not the evaluation includes a peer review, all proposals will be evaluated based on the following factors. The overall award decision will be based upon a best value determination by considering factors in addition to cost/price.
- **Factor 1 - Programmatic Relevance**: The Offeror’s Enhanced White Paper will be assessed for how well the proposed prototype demonstrates alignment and relevancy to the RPP’s Focus Areas of Interest described in Section 3 and overall military impact. The following information will be considered as part of this factor:
The Clinical Problem: The degree to which the Offeror demonstrates an innovative approach/solution and demonstrates an understanding of the research gap described in the RPP.
Minimum Requirements for Submission of an Enhanced White Paper: The Offeror’s ability to clearly and completely demonstrate that the following minimum requirements (as detailed in Section 3.2) have been met or exceeded:
- Military Relevance: The degree to which the proposal demonstrates relevance by proposing medical solutions to support readiness and care in future battlefield scenarios.
- Fits within the prototype definition: The degree to which the proposal describes a prototype as described in Section 3.2 of this RPP.
- KRL/TRL: The Offeror’s ability to clearly demonstrate that the proposed project meets the minimum KRL/TRL requirement at the time of submission (KRL/TRL 3).
- New Submission: Whether the proposal represents a new proposal to MTEC and is not a direct resubmission or modification of a previously submitted proposal.
- Alignment to RPP: The degree to which the proposed project meets the overall intent of this RPP and aligns to a single focus area of interest specified in Section 3.3.
Factor 2 – Technical Approach: The Offeror’s proposal will be assessed for relevancy, thoroughness, and completeness of the proposed approach (e.g., the technical merit). The Government’s evaluation of this factor may include the degree to which the following are addressed:
- Hypothesis and objectives;
- Scientific rationale with supporting preliminary data;
- Experimental design, feasibility, and risks;
- Ability for the technical and management team to execute the proposed SOW in an efficient and effective manner (to include addressing USAMRDC’s ORP approval requirements); and
- SOW and estimated budget.
Factor 3 – Commercialization Readiness Advancement: The Offeror’s proposal will be assessed for its likelihood of achieving and advancing through the development milestones identified in its proposal, thus advancing the Offeror’s commercialization readiness, analogous to Technology Readiness Levels. Examples of the information that may be assessed (if applicable to the proposed project):
- Technical Maturity Advancement - The degree to which the Offeror proposes to advance the technical maturity level during the performance of the project, and advance the technology to the next level of development, from a technical
and financial perspective. As such, the Government may evaluate how well the funding strategy supports that advancement.
- **Market and business model**: Clear articulation of value proposition, competitive position, market opportunity and business model for getting to revenue through commercial use, including a description of the market (civilian and military) and sustainability.
- **Development Strategy (including timing and regulatory)**: Feasibility of the Offeror’s product development strategy, including regulatory and FDA pathway, indication of use and designation, strategy for obtaining FDA approvals or clearances. If commercialization is not relevant to the proposed project, then feasibility of the plan to transition the technology to the government may be assessed.
Table 2 explains the adjectival merit ratings that will be used for the Programmatic Relevance, Technical Approach and Commercialization Readiness Advancement factors.
| TABLE 2 - GENERAL MERIT RATING ASSESSMENTS |
|-------------------------------------------|
| **RATING** | **DESCRIPTION** |
| OUTSTANDING | Proposal meets requirements and indicates an exceptional approach and understanding of the requirements. Strengths far outweigh any weaknesses. Risk of unsuccessful performance is very low. |
| GOOD | Proposal meets requirements and indicates a thorough approach and understanding of the requirements. Proposal contains strengths which outweigh any weaknesses. Risk of unsuccessful performance is low. |
| ACCEPTABLE | Proposal meets requirements and indicates an adequate approach and understanding of the requirements. Strengths and weaknesses are offsetting or will have little or no impact on contract performance. Risk of unsuccessful performance is no worse than moderate. |
| MARGINAL | Proposal does not clearly meet requirements and has not demonstrated an adequate approach and understanding of the requirements. The proposal has one or more weaknesses which are not offset by strengths. Risk of unsuccessful performance is high. |
| UNACCEPTABLE | Proposal does not meet requirements and contains one or more deficiencies. Proposal is not awardable. |
Upon review of the Enhanced White Papers, Offerors who are favorably evaluated may be invited for informal discussions with the Government. Upon completion of the Stage 1 evaluations, Offerors may be selected for funding (receive an overall recommendation of “Award”), placed into the basket, or not selected. Selection of prototype projects is a highly
competitive process and is based on the evaluation of the Enhanced White Paper’s technical merit, programmatic considerations, and the availability of funds. Therefore, an Enhanced White Paper that demonstrates technical merit may receive a “Non-Select” recommendation as a result of funding priority decisions. All Offerors will receive feedback to include a summary of the technical evaluation for their proposal submission. Additionally, Offerors who are recommended for award will be required to submit a full Cost Proposal. See RPP Section 4.3 for additional instructions and Attachment F for details regarding the anticipated Stage 2 evaluation. Offerors are advised that due to the anticipated high number of Enhanced White Paper submissions and the need for a compressed timeline for the review cycles, feedback provided may be VERY BRIEF. Although this may be disappointing, the Government has weighed the benefits vs. costs of this more open-ended type RPP, and in order to provide a mechanism that allows members to submit Enhanced White Papers any time during the lengthy submission period, the reviewers must be allowed the opportunity to provide more succinct feedback.
The RPP review and award process may involve the use of contractor subject matter experts serving as nongovernmental advisors. All members of the technical evaluation panel, to include contractor SMEs, will agree to and sign a Federal Employee Participation Agreement or a Nondisclosure/Nonuse Agreement, as appropriate, prior to accessing any proposal submission to protect information contained in the Enhanced White Paper as outlined in Section 2.6.
**Definition of General Terms Used in Evaluations:**
**Strength** - An aspect of an Offeror’s proposal that has merit or exceeds specified performance or capability requirements in a way that will be advantageous to the Government during award performance.
**Weakness** - A flaw in the proposal that increases the risk of unsuccessful award performance.
**Significant Strength** - An aspect of an Offeror's proposal that has appreciable merit or appreciably exceeds specified performance or capability requirements in a way that will be appreciably advantageous to the Government during award performance.
**Significant Weakness** - A flaw that appreciably increases the risk of unsuccessful award performance.
**Deficiency** - A material failure of a proposal to meet a Government requirement or a combination of weaknesses in a proposal that increases the risk of unsuccessful award performance to an unacceptable level.
**6 Points-of-Contact**
For inquiries, please direct your correspondence to the following contacts:
Questions concerning contractual, cost or pricing related to this RPP should be directed to the MTEC Contracts Administrator, email@example.com.
Technical and membership questions should be directed to the MTEC Director of Research, Dr. Lauren Palestrini, Ph.D., firstname.lastname@example.org.
All other questions should be directed to the MTEC Director of Program Operations Ms. Kathy Zolman, email@example.com.
7 Acronyms/Abbreviations
| Acronym | Description |
|---------|-------------|
| ACURO | U.S. Army Animal Care and Use Review Office |
| AI | Artificial Intelligence |
| ATI | Advanced Technology International |
| CAS | Cost Accounting Standards |
| CFR | Code of Federal Regulations |
| CM | Consortium Manager |
| CMA | Consortium Member Agreement |
| CNACI | Child Care National Agency Check and Inquiries |
| DoD | Department of Defense |
| DODEA | Department of Defense Education Activity |
| DODI | Department of Defense Instruction |
| EC | Ethics Committee |
| F&A | Facilities and Administrative Costs |
| FAP | Family Advocacy Program |
| FAQ | Frequently Asked Questions |
| FARS | Family Advocacy Research Subcommittee |
| FDA | U.S. Food and Drug Administration |
| FOIA | Freedom of Information Act (FOIA) |
| FY | Fiscal Year |
| G&A | General and Administrative Expenses |
| G/L | Glymphatic/Lymphatic |
| GLP | Good Laboratory Practice |
| GMP | Good Manufacturing Practice |
| Government | U.S. Government, specifically the DoD |
| HRPO | U.S. Army Human Research Protections Office |
| HSRB | Human Subjects Research Board |
| IACUC | Institutional Animal Care and Use Committee |
| IP | Intellectual Property (e.g., patents, copyrights, licensing, etc.) |
| IRB | Institutional Review Board |
| IR&D | Independent Research and Development |
| JPC | Joint Program Committee |
| Acronym | Description |
|---------|-------------|
| KRL | Knowledge Readiness Level |
| M | Millions |
| MDO | Multi-Domain Operations |
| MPS | Milestone Payment Schedule |
| MTEC | Medical Technology Enterprise Consortium |
| NDA | Nondisclosure Agreement |
| OCI | Organizational Conflict of Interest |
| ODC | Other Direct Costs |
| ORP | USAMRDC Office of Research Protections |
| POC | Point-of-Contact |
| PoP | Period of performance |
| PPE | Personal Protective Equipment |
| P/T | Pharmacological/Technological |
| PTSD | Post-Traumatic Stress Disorder |
| OTA | Other Transaction Agreement |
| PFC | Prolonged Field Care |
| PPG | Proposal Preparation Guide |
| RAC | Research Advisory Committee |
| ROM | Rough Order of Magnitude |
| RPP | Request for Project Proposals |
| SOW | Statement of Work |
| TBI | Traumatic Brain Injury |
| TRL | Technology Readiness Level |
| USAMRDC | U.S. Army Medical Research and Development Command |
| USASOC | US Army Special Operations Command |
8 Enhanced White Paper Template
Cover Page
[Name of Offeror]
[Address of Offeror]
[Phone Number and Email Address of Offeror]
DUNS #: [DUNS #]
CAGE code: [CAGE code]
[Title of Enhanced White Paper]
[Offeror] certifies that, if selected for award, the Offeror will abide by the terms and conditions of the MTEC Base Agreement.
[Offeror] certifies that this Enhanced White Paper is valid for 3 years from the close of the applicable RPP, unless otherwise stated.
[A proprietary data disclosure statement if proprietary data is included. Sample:
This Enhanced White Paper includes data that shall not be disclosed outside the MTEC Consortium Management Firm and the Government and shall not be duplicated, used, or disclosed, in whole or in part, for any purpose other than to evaluate this Enhanced White Paper and negotiate any subsequent award. If, however, an agreement is awarded as a result of, or in connection with, the submission of this data, the MTEC Consortium Management Firm and the Government shall have the right to duplicate, use, or disclose these data to the extent provided in the resulting agreement. This restriction does not limit the MTEC Consortium Management Firm and the Government's right to use the information contained in these data if they are obtained from another source without restriction. The data subject to this restriction is (clearly identify) and contained on pages (insert page numbers).]
[Title of Enhanced White Paper]
Focus Area
- Indicate which focus area of interest this enhanced white paper is responding to [include only one area per submission], for example, **FA1.1** Control & Sustainment of Critical Organ System & Metabolic Function.
Programmatic Relevance
- Provide the background and the Offeror’s understanding of the problem and/or technology gap/process deficiency.
- Provide a description of how the proposed technology meets the needs specified in this RPP.
- Describe the relevance of your proposed technology to the healthcare needs of military.
- Please indicate the KRL/TRL stage of the proposed solution at the time of submission of the enhanced white paper, as well as anticipated KRL/TRL at project completion. Full definitions of TRLs can be found [here](#). More information regarding KRLs can be found [here](#).
KRL/TRL at Time of Submission:
KRL/TRL at Project End:
Scope Statement
- Define the scope of the effort and clearly state the hypothesis and objectives of the project.
Scientific Rationale / Preliminary Data
- Describe the scientific rationale for the project, including a brief description of the previous studies or preliminary data that support the feasibility of proposed work.
- Describe relevant non-clinical data and/or clinical preliminary data.
- Describe your demonstration of the manufacturing feasibility of the prototype.
Technical Approach
- Describe the experimental design, methods, and materials required to accomplish the proposed approach. Describe the proposed methodology in sufficient detail to show a clear course of action.
- Clinical Research and Trials (if applicable): Clinical trials should be described in adequate detail to assess conformance with IRB/HRPO and FDA regulations, guidance, and the requirements related to its appropriate pathway for development and testing.
- Provide a description of the purpose and objectives of the study.
- Provide a clear strategy for enrollment and attrition to include applicable risks and mitigation strategies.
Describe the clinical intervention, medical drug, biologic, device or human exposure model to be tested. Document the availability and accessibility of the drug/compound, device, or other materials needed for the proposed research.
Include a description of study variables, appropriate controls and the endpoints to be tested.
Outline the proposed methodology (e.g., study design, data analysis, etc.) in sufficient detail to show a clear course of action. Describe potential challenges and alternative strategies where appropriate.
Describe current status of interactions with the U.S. Food and Drug Administration and your plan to meet all regulatory sponsor responsibilities.
**Anticipated Outcomes/Impact**
- Provide a description of the anticipated outcomes from the proposed work. List milestones and deliverables from the proposed work.
- Describe the impact that the proposed project would have, if successful.
**Potential Follow-On Work**
- [As noted in Section 3.6 of the RPP, additional follow-on funding may become available for the continuation of prototype development. Offerors are encouraged as appropriate to discuss potential follow-on work to demonstrate the ability to further advance the project maturity beyond the proposed PoP. This will also allow the Offeror to highlight the potential capabilities that can be explored/achieved through short-term and/or long-term advancement of the project in a way that is beneficial to the Government. Although awards in response to this RPP may initially focus on the scope of work presented above, this section is intended to provide the Sponsor with information on the Offeror’s plan for work beyond the initial proposed PoP.]
- Specify the objective of each proposed follow-on task.
- Briefly outline the proposed methodology by task to the extent possible to demonstrate a course of action that addresses the technical requirements described in this RPP.
- Indicate the proposed PoP (duration) for the potential follow-on work in total.
- Specify a total (including directs and indirects) cost for each task.
**Technical and Management Team**
- Describe the qualifications and expertise of the key personnel and organizations that will perform the proposed work.
- Describe the overall project management plan that clearly defines roles and responsibilities. This plan should include a communication and conflict resolution plan if the proposal involves more than one company/institution/organization.
- Describe the ability of the management team to advance the technology toward later TRLs beyond the scope of the proposed work described in the Enhanced White Paper.
Resources
- Identify any key facilities, equipment and other resources proposed for the effort. Identified facilities, equipment and resources should be available and relevant for the technical solution being proposed.
Market and Business Model
- Clearly articulate the value proposition, competitive position, market opportunity and business model for getting to revenue through commercial use, including a description of the market (civilian and military) and sustainability.
Product Development Strategy
- Describe the final vision of what the product would look like and how that product would be administered or delivered for military use (required) and civilian use (if applicable).
- Describe previous interactions with the FDA related to this proposed prototype solution (e.g., pre-submission meeting).
- Briefly describe the regulatory plan, including FDA pathway and designation, strategy for obtaining FDA approvals or clearances.
- Briefly describe the transition and commercialization plan, including a description of the market (civilian and military) and sustainability.
- Briefly describe your funding strategy to advance the technology to the next level of development and/or delivery to the military or civilian market.
- If commercialization is not relevant to the proposed project, then describe the plan to transition the technology to the military market for government use/implementation.
Schedule
- PoP: Indicate the proposed PoP in months from award.
- Proposed Schedule: Provide a schedule (e.g. Gantt chart) that clearly shows the plans to perform the program tasks in an orderly, timely manner. Provide each major task (to include regulatory-specific tasks) as a separate line. Do not duplicate the level of detail presented in Appendix 1.
Risk Identification and Mitigation
- Identify key technical, schedule, and cost risks. Discuss the potential impact of the risks, as well as potential mitigations.
Rough Order Magnitude (ROM) Pricing
- The Offeror must provide an estimate based on the technical approach proposed in the Enhanced White Paper. The following ROM pricing example format shall be included in the Enhanced White Paper (the number of columns should reflect the proposed PoP, i.e., add or delete the yearly budget columns as needed). [NOTE: If invited to Stage 2, the total cost to the Government must not significantly increase from the estimate provided in the ROM (unless otherwise directed by the Government) as award recommendations.
may be based upon proposed costs within the Enhanced White Paper.] Use the example table format and template below to provide the ROM pricing. The labor, travel, material costs, other direct costs, and indirect costs, information should be entered for Offeror (project prime) only. Subcontractors and/or consultants should be included only in the “Subcontractor” section of the table. If selected for award, a full cost proposal will be requested.
| | Year 1 | Year 2 | Year 3 | TOTAL |
|------------------------|------------|------------|------------|------------|
| Labor | $100,000.00| $100,000.00| $100,000.00| $300,000.00|
| Labor Hours | 1,000.0 hrs| 1,000.0 hrs| 1,000.0 hrs| 3,000.0 hrs|
| Subcontractors | $50,000.00 | $50,000.00 | $50,000.00 | $150,000.00|
| Subcontractors Hours | 500.0 hrs | 500.0 hrs | 500.0 hrs | 1,500.0 hrs|
| Government/Military Partner(s)/Subcontractor(s) (subKTR)* | $0.00 | $0.00 | $0.00 | $0.00 |
| Gov’t/Military Prtnrs / subKTR Hours | 0.0 hrs | 0.0 hrs | 0.0 hrs | 0.0 hrs |
| Consultants | $10,000.00 | $10,000.00 | $10,000.00 | $30,000.00|
| Consultants Hours | 100.0 hrs | 100.0 hrs | 100.0 hrs | 300.0 hrs |
| Material/Equipment | $75,000.00 | $75,000.00 | $75,000.00 | $225,000.00|
| Other Direct Costs | $1,000.00 | $1,000.00 | $1,000.00 | $3,000.00 |
| Travel | $5,000.00 | $5,000.00 | $5,000.00 | $15,000.00|
| Indirect costs | $48,200.00 | $48,200.00 | $48,200.00 | $144,600.00|
| Total Cost | $289,200.00| $289,200.00| $289,200.00| $867,600.00|
| Fee (Not applicable if cost share is proposed) | $0.00 | $0.00 | $0.00 | $0.00 |
| Total Cost (plus Fee) | $289,200.00| $289,200.00| $289,200.00| $867,600.00|
| Cost Share (if cost share is proposed then fee is unallowable) | $290,000.00 | $290,000.00 | $290,000.00 | $870,000.00 |
| Total Project Cost | $579,200.00| $579,200.00| $579,200.00| $1,737,600.00|
*Use the rows above for “Government/Military Partner(s)/Subcontractor(s)” if the project involves one or more Government/Military Facilities (MHS facility, research laboratory, treatment facility, dental treatment facility, or a DoD activity embedded with a civilian medical center) performing as a collaborator in performance of the project.
Estimate Rationale
- The Offeror must provide a **brief** rationale describing how the estimate was calculated and is appropriate for the proposed scope or approach.
APPENDICES (excluded from the page limit, and must be uploaded to BIDS as separate documents)
Appendix 1: Statement of Work (template provided in Attachment D)
- Provide a draft Statement of Work as a separate Word document to outline the proposed technical solution and demonstrate how the contractor proposes to meet the Government objectives. Submitted information is subject to change through negotiation if the Government selects the Enhanced White Paper for award. The format of the proposed Statement of Work shall be completed in accordance with the template provided below.
- The Government reserves the right to negotiate and revise any or all parts of SOW/Milestone Payment Schedule. Offerors will have the opportunity to concur with revised SOW/Milestone Payment Schedule as necessary.
Appendix 2: Data Rights Assertions (template provided in Attachment C)
- The Offeror shall comply with the terms and conditions defined in the Base Agreement regarding Data Rights. It is anticipated that anything delivered under this proposed effort would be delivered to the Government with Unlimited Data Rights.
- If this is not the intent, then you should discuss any restricted data rights associated with any proposed deliverables. If applicable, complete the below table for any items to be furnished to the Government with restrictions. An example is provided.
Appendix 3: Warranties and Representations: (template provided in Attachment E)
- Warranties and Representations are required. One Word (.docx or .doc) or PDF file that contains all Warranties and Representations is required.
Attachment A – Cost Share
Cost Sharing includes any costs a reasonable person would incur to carry out (necessary to) proposed projects’ statements of work (SOW) not directly paid for by the Government. There are two types of cost sharing: Cash Contribution and In-Kind Contribution. If a proposal includes cost share then it cannot include fee. Cost Share may be proposed only on cost type agreements. Prior Independent Research and Development IR&D funds will not be considered as part of the Consortium Member’s cash or In-Kind contributions, except when using the same procedures as those that authorize Pre-Award Costs, nor will fees be considered on a Consortium Member's cost sharing portion.
Cash Contribution
Cash Contribution means the Consortium and/or the Research Project Awardee (or Awardees' lower tier subawards) financial resources expended to perform a Research Project. The cash contribution may be derived from the Consortium's or Research Project Awardee (or Awardees' subawards) funds or outside sources or from nonfederal contract or grant revenues or from profit or fee on a federal procurement contract.
An Offeror’s own source of funds may include corporate retained earnings, current or prospective IR&D funds or any other indirect cost pool allocation. New or concurrent IR&D funds may be utilized as a cash contribution provided those funds identified by the Offeror will be spent on performance of the Statement of Work (SOW) of a Research Project or specific tasks identified within the SOW of a Research Project. Prior IR&D funds will not be considered as part of the Offeror’s cash.
Cash contributions include the funds the Offeror will spend for labor (including benefits and direct overhead), materials, new equipment (prorated if appropriate), awardees' subaward efforts expended on the SOW of a Research Project, and restocking the parts and material consumed.
In-Kind Contribution
In-Kind Contribution means the Offeror’s non-financial resources expended by the Consortium Members to perform a Research Project such as wear-and-tear on in-place capital assets like machinery or the prorated value of space used for performance of the Research Project, and the reasonable fair market value (appropriately prorated) of equipment, materials, IP, and other property used in the performance of the SOW of the Research Project.
Attachment B – Statutory Requirements for the Appropriate Use of Other Transaction Authority
Nontraditional Defense Contractor Definition
A nontraditional defense contractor is a business unit that has not, for a period of at least one year prior to the issue date of the Request for Project Proposals, entered into or performed on any contract or subcontract for DoD that is subject to full coverage under the cost accounting standards (CAS) prescribed pursuant to section 26 of the Office of Federal Procurement Policy Act (41 U.S.C. 1502) and the regulations implementing such section. The nontraditional defense contractor can be an individual so long as he/she has a DUNS Number and meets the requirements in the Warranties and Representations.
Significant Extent Requirements
All Offerors shall submit Warranties and Representations (See Attachment E) specifying the critical technologies being offered and/or the significant extent of participation of the nontraditional defense contractor and/or nonprofit research institution. The significance of the nontraditional defense contractor’s and/or nonprofit research institution’s participation shall be explained in detail in the signed Warranties and Representations. Inadequate detail can cause delay in award.
Per the DoD OT Guide, rationale to justify a significant extent includes:
1. Supplying a new key technology, product or process
2. Supplying a novel application or approach to an existing technology, product or process
3. Providing a material increase in the performance, efficiency, quality or versatility of a key technology, product or process
4. Accomplishing a significant amount of the prototype project
5. Causing a material reduction in the cost or schedule of the prototype project
6. Providing for a material increase in performance of the prototype project
Conditions for use of Prototype OT Authority
Proposals that do not include one of the following will not be eligible for award:
(A) At least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the prototype project; or
(B) All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors; or
(C) At least one third of the total cost of the prototype project is to be paid out of funds provided by sources other than the Federal Government.
This requirement is a statutory element of the Other Transaction Authority and will be regarded as a pass/fail criterion during the Compliance Screening in order to ensure compliance with 10 U.S.C. §2371b.
Attachment C – Intellectual Property and Data Rights
Definitions
- **Intellectual Property (IP) Rights**: for MTEC Research Project Awards will be defined in the terms of an awardee’s Base Agreement, unless specifically negotiated at the RPA level. MTEC Base Agreements are issued by the MTEC CM to MTEC members receiving Research Project Awards. Base Agreements include the applicable flow down terms and conditions from the Government’s Other Transaction Agreement with MTEC, including the IP terms and conditions.
- **Data Rights**: The Offeror shall comply with the terms and conditions defined in the Base Agreement regarding Data Rights. It is anticipated that anything created under a Research Project Award resulting from this RPP would be delivered to the Government with unlimited data rights. If this is not the intent, then the Enhanced White Paper should discuss data rights associated with each item, and possible approaches for the Government to gain unlimited data rights as referenced in the Base Agreement. Rights in technical data in each Research Project Award shall be determined in accordance with the provisions of MTEC Base Agreement.
Directions to the Offeror
If applicable, complete the below table for any items to be furnished to the Government with restrictions. An example is provided. If the Offeror does not assert data rights on any items, a negative response is required by checking the applicable box below.
Failure to complete this attachment in its entirety (including a failure to provide the required signature) may result in removal from the competition and the proposal determined to be ineligible for award.
If the Offeror intends to provide technical data or computer software which existed prior to or was produced outside of the proposed effort, to which the Offeror wishes to maintain additional rights, these rights should be asserted through the completion of the table below.
Note that this assertion is subject to negotiation prior to award.
☐ If Offeror WILL be asserting data rights for the proposed effort, check this box and complete the table below, adding rows as necessary.
| Technical Data or Computer Software to be Furnished with Restrictions | Basis for Assertion | Asserted Rights Category | Name of Organization Asserting Restrictions | Milestone # Affected |
|-----------------------------------------------------------------------|---------------------|-------------------------|--------------------------------------------|----------------------|
| Software XYZ | Previously developed software funded exclusively at private expense | Restricted | Organization XYZ | Milestones 1, 3, and 6 |
|--------------|------------------------------------------------------------------|------------|-----------------|------------------------|
| Technical Data Description | Previously developed exclusively at private expense | Limited | Organization XYZ | Milestone 2 |
| Technical Data Description | Previously developed with mixed funding | Government Purpose Rights | Organization XYZ | Milestone 2 |
☐ If the Offeror will NOT be asserting data rights for the proposed effort, check this box.
_________________________________________ _________________________
Signature of responsible party for the proposing Prime Offeror DATE
Attachment D – Statement of Work Template
The SOW developed by the Lead MTEC member organization and included in the proposal (also submitted as a separate document) is intended to be incorporated into a binding agreement if the proposal is selected for award. If no SOW is submitted with the proposal, there may be no award. The proposed SOW shall contain a summary description of the technical methodology as well as the task description, but not in so much detail as to make the scope inflexible. DO NOT INCLUDE ANY PROPRIETARY INFORMATION OR COMPANYSENSITIVE INFORMATION IN THE SOW TEXT. The following is the required format for the SOW.
Proposal Number:
Organization:
Title:
ACURO and/or HRPO approval needed:
Introduction/Background *(To be provided initially by the Offeror at the time of proposal submission. Submitted information is subject to change through negotiation if the Government selects the proposal for funding.)*
Scope/Project Objective *(To be provided initially by the Offeror at the time of proposal submission. Submitted information is subject to change through negotiation if the Government selects the proposal for funding.)*
This section includes a statement of what the project covers. This should include the focus/technology area to be investigated, the objectives/goals, and major milestones for the effort.
Requirements *(To be provided initially by the Offeror at the time of proposal submission to be finalized by the Government based on negotiation of Scope/Project Objective).*
State the Focus Area of Interest in the first paragraph and follow with delineated tasks required to meet the overall project goals. The work effort should be segregated into major phases, then tasks and identified in separately numbered paragraphs. Early phases in which the performance definition is known shall be detailed by subtask with defined work to be performed. Planned incrementally funded phases will require broader, more flexible tasks that are priced up front, and adjusted as required during execution and/or requested by the Government to obtain a technical solution. Tasks will need to track with established adjustable cost or fixed price milestones for payment schedule. Each major task included in the SOW should be priced separately in the cost proposal. Subtasks need not be priced separately in the cost proposal.
Deliverables *(To be provided initially by the Offeror at the time of proposal submission. Submitted information is subject to change through negotiation if the Government selects the proposal for funding.)*
Results of the technical effort are contractually binding and shall be identified herein. Offerors are advised to read the Base Agreement carefully. Any and all hardware/software to be provided to the Government as a result of this project shall be identified. Deliverables should be submitted in PDF or MS Office format. It must be clear what information will be included in a deliverable either through a descriptive title or elaborating text.
**Milestone Payment Schedule** *(To be provided initially by the Offeror at the time of proposal submission. Submitted information is subject to change through negotiation if the Government selects the proposal for funding. The milestone schedule included should be in editable format (i.e., not a picture))*
The Milestone Payment Schedule should include all milestone deliverables that are intended to be delivered as part of the project, a planned submission date, the monetary value for that deliverable and any cost share, if applicable. For fixed price agreements, when each milestone is submitted, the MTEC member will submit an invoice for the exact amount listed on the milestone payment schedule. For cost reimbursable agreements, the MTEC member is required to assign a monetary value to each milestone. In this case, however, invoice totals are based on cost incurred and will not have to match exactly to the amounts listed on the milestone payment schedule.
The milestones and associated deliverables proposed should, in general:
- be commensurate in number to the size and duration of the project (i.e., a $5M multi-year project may have 20, while a $700K shorter term project may have only 6);
- not be structured such that multiple deliverables that might be submitted separately are included under a single milestone;
- be of sufficient monetary value to warrant generation of a deliverable and any associated invoices;
- include at a minimum Bimonthly Reports (submitted every other month) which include both Technical Status and Business Status Reports (due the 25th of the respective month), Final Technical Report, and Final Business Status Report. Reports shall have no funding associated with them.
| MTEC Milestone Number | Task Number | Significant Event/Accomplishments | Due Date | Government Funds | Cost Share | Total Funding |
|-----------------------|-------------|----------------------------------|--------------|------------------|------------|---------------|
| 1 | N/A | Project Kickoff | 12/1/2019 | $20,000 | | $20,000 |
| | | Description | Date | Amount 1 | Amount 2 | Amount 3 |
|---|---|------------------------------------------------------------------------------|------------|----------|----------|----------|
| 2 | N/A| Bimonthly Report 1 (November - December, Technical and Business Reports) | 1/25/2020 | $ - | | $ - |
| 3 | 1 | Protocol Synopsis | 2/28/2020 | $21,075 | | $21,075 |
| 4 | 2 | Submission for HRPO Approval | 2/28/2020 | $21,075 | | $21,075 |
| 5 | 3 | Submission of Investigational New Drug application to the US FDA | 3/14/2020 | $210,757 | $187,457 | $398,214 |
| 6 | N/A| Bimonthly Reports 2 (January - February, Technical and Business Reports) | 3/25/2020 | $ - | | $ - |
| 7 | 4 | Toxicity Studies | 4/1/2020 | $63,227 | | $63,227 |
| 8 | 5 | FDA authorization trial | 4/1/2020 | $84,303 | | $84,303 |
| 9 | 6 | Research staff trained | 4/15/2020 | $ - | | $ - |
| 10| 7 | Data Management system completed | 4/30/2020 | $ - | | $ - |
| 11| 8 | 1st subject screened, randomized and enrolled in study | 5/15/2020 | $150,000 | $187,457 | $337,457 |
| 12| N/A| Bimonthly Report 3 (March - April, Technical and Business Reports) | 5/25/2020 | $ - | | $ - |
| 13| 9 | Completion of dip molding apparatus | 6/1/2020 | $157,829 | $187,457 | $345,286 |
| 14| 10| Assess potential toxicology | 6/1/2020 | $157,829 | | $157,829 |
| 15| 11| Complete 50% patient enrollment | 6/15/2020 | $350,000 | $187,457 | $537,457 |
| 16| 12| Electronic Report Forms Developed | 6/15/2020 | $315,658 | $187,457 | $503,115 |
| 17| 13| Complete 75% patient enrollment | 7/1/2020 | $157,829 | $93,728 | $251,55 |
| | | Description | Due Date | Gov Funded | Cost Share | Total |
|---|---|------------------------------------------------------------------------------|-----------|------------|-----------|----------|
| 18| N/A| Bimonthly Report 4 (May - June, Technical and Business Reports) | 7/25/2020 | $ - | $ - | $ - |
| 19| 14 | Complete 100% patient enrollment | 8/1/2020 | $157,829 | $93,728 | $251,557 |
| 20| 15 | Report results from data analysis | 8/5/2020 | $157,829 | | $157,829 |
| 21| N/A| Final Reports *(Prior to the PoP End)* | 8/31/2020 | $ - | | $ - |
**Total** $2,025,240 $1,124,741 $3,149,981
**Please Note:**
1. Firm Fixed Price Contracts – Milestone must be complete before invoicing for fixed priced contracts.
2. Cost Reimbursable Contracts – You may invoice for costs incurred against a milestone. Invoicing should be monthly.
3. Cannot receive payment for a report (i.e. Quarterly, Annual and Final Reports should not have an assigned Government Funded or Cost Share amount.)
4. Quarterly and Annual Reports include BOTH Technical and Business Reports (separate).
5. Final Report due date must be prior to PoP end noted in Research Project Award.
6. MTEC Milestone Numbers are used for administrative purposes and should be sequential.
7. Task Numbers are used to reference the statement of work if they are different from the MTEC Milestone Number.
8. Allow at least 3 to 4 months for ACURO regulatory review and approval processes for animal studies.
9. Allow at least 2 to 3 months for HRPO regulatory review and approval processes.
**Shipping Provisions** *(The following information, if applicable to the negotiated SOW, will be finalized by the Government and the MTEC Consortium Manager based on negotiations)*
*The shipping address is:*
Classified Shipments:
Outer Packaging
Inner Packaging
**Reporting**
Bimonthly Reports – The MTEC research project awardee shall prepare a Bimonthly Report which will include a Technical Status Report and a Business Status Report in accordance with the terms and conditions of the Base Agreement. *(Required)*
Final Technical Report – At the completion of the Research Project Award, the awardee will submit a Final Technical Report, which will provide a comprehensive, cumulative, and substantive summary of the progress and significant accomplishments achieved during the total period of the Project effort in accordance with the terms and conditions of the Base Agreement. (Required)
Final Business Status Report – At the completion of the Research Project Award, the awardee will submit a Final Business Status Report, which will provide summarized details of the resource status of the Research Project Award, in accordance with the terms and conditions of the Base Agreement. (Required)
Section 815 of the National Defense Authorization Act (NDAA) for Fiscal Year 2018, authorizes Department of Defense organizations to carry out prototype projects that are directly relevant to enhancing the mission effectiveness of military personnel and the supporting platforms, systems, components, or materials proposed to be acquired or developed by the Department of Defense, or to improvement of platforms, systems, components, or materials in use by the armed forces. The law also requires at least one of the following:
(A) There is at least one nontraditional defense contractor or nonprofit research institution participating to a significant extent in the prototype project.
(B) All significant participants in the transaction other than the Federal Government are small businesses (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)) or nontraditional defense contractors.
(C) At least one third of the total cost of the prototype project is to be paid out of funds provided by sources other than the Federal Government.
A. Prime Contractor: The prime contractor must complete the following table.
| 1. Legal Name: | 2. DUNS #: |
|----------------|------------|
| 3. Point of Contact: Name, Title, Phone #, Email | |
| 4. Prime Contractor is a nontraditional (Y/N)? | |
| 5. Prime Contractor is a nonprofit research institution (Y/N)? | |
| 6. Prime Contractor will provide at least one third of the total cost of the prototype project out of funds provided by sources other than the Federal Government (Y/N)? | |
| 7. Prime Contractor is a small business (Y/N)? | |
If the prime contractor has answered “Y” to question 4, 5, or 6, skip Section B and proceed to Section C.
B. Subcontractor(s)/Vendor(s): If the prime contractor is a traditional defense contractor and proposes the use of one or more nontraditional defense contractors or nonprofit research institutions, the following information is required for each participating nontraditional defense contractor or nonprofit research institution.
| 8. Legal Name: | 9. DUNS #: |
|----------------|------------|
| 10. Dollar Value to be Awarded to Subcontractor: | |
| 11. Point of Contact: (Name, Title, Phone #, Email) | 12. Task/Phase: |
| 13. Subcontractor/Vendor is a nontraditional (Y/N)? | |
| 14. Subcontractor/Vendor is a nonprofit research institution (Y/N)? | |
| 15. Subcontractor/Vendor is a small business (Y/N)? | |
| 16. Significant Contribution: | |
| | |
|---|---|
| A - The significant contribution involves developing, demonstrating or providing a key technology. Please describe what the key technology is; why it is key to the medical technology community, and what makes it key. |
| B - The significant contribution involves developing, demonstrating or providing a new technology that is not readily available. Please describe what the new part or material is and why it is not readily available. |
| C - The significant contribution involves use of skilled personnel (such as modeling & simulation experience, medical technology design experience, etc.), facilities and/or equipment that are within the capabilities of the designated nontraditional and required to successfully complete the program. Please describe the personnel, facilities and/or equipment involved in the proposed program and why they are required to successfully complete the program. |
| D - The use of this designated subcontractor/vendor will cause a material reduction in the cost or schedule. Please describe the specific cost or schedule impact to be realized |
| E - The use of this designated subcontractor/vendor will increase medical technology performance. Please describe what the performance increase will be attained by the use of this designated nontraditional defense contractor |
1 In addition to the above please provide the following information:
| Q1 | What additional capability beyond those described in A through E above does this subcontractor/vendor have that is necessary for this specific effort? |
|----|---------------------------------------------------------------------------------|
| | |
| A1 | |
| Q2 | In which task/phase(s) of the effort will the subcontractor/vendor be used? |
| | |
| A2 | |
| Q3 | What is the total estimated cost associated with the subcontractor/vendor included in the proposal? Note: While cost is an indicator for the level of nontraditional defense contractor participation, there is no particular cost threshold required. |
| | |
| A3 | |
C. Signature
__________________________________________ ____________
Signature of authorized representative of proposing Prime Contractor Date
Warranties and Representations Instructions
Section A must be completed for the Prime Contractor.
1. Insert prime contractor’s legal name.
2. Insert prime contractor’s DUNS #.
3. Insert the Point of Contact (Name, Title, Phone #, Email) for the prime contractor.
4. Indicate Yes (Y) or No (N) if the prime contractor is a nontraditional defense contractor (Note: A nontraditional defense contractor means an entity that is not currently performing and has not performed, for at least the one-year period preceding the issue date of the solicitation, any contract or subcontract for the Department of Defense that is subject to full coverage under the cost accounting standards prescribed pursuant to Section 1502 of Title 41 and the regulations implementing such section.).
5. Indicate Yes (Y) or No (N) if the prime contractor is a nonprofit research institution.
6. Indicate Yes (Y) or No (N) if the prime contractor will provide at least one third of the total cost of the prototype project out of funds provided by sources other than the Federal Government (i.e. will the project contain at least 1/3 cost share).
7. Indicate Yes (Y) or No (N) if the prime contractor is a small business (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)).
Section B must be completed if the Prime Contractor is traditional and has proposed nontraditional defense contractors, nonprofit research institutions, or small businesses. Copy, paste, and complete the table found in Section B for each participating nontraditional defense contractor, nonprofit research institutions, or small business.
8. Insert subcontractor/vendor’s legal name.
9. Insert subcontractor/vendor’s DUNS #.
10. Insert the dollar value (cost and fee) to be awarded to the subcontractor/vendor.
11. Insert the Point of Contact (Name, Title, Phone #, Email) for the subcontractor/vendor.
12. Indicate in which specific task/phase(s) of the effort will the subcontractor/vendor be used.
13. Indicate Yes (Y) or No (N) if the subcontractor/vendor is a nontraditional defense contractor (Note: A nontraditional defense contractor means an entity that is not currently performing and has not performed, for at least the one-year period preceding the issue date of the solicitation, any contract or subcontract for the Department of Defense that is subject to full coverage under the cost accounting standards prescribed pursuant to Section 1502 of Title 41 and the regulations implementing such section.).
14. Indicate Yes (Y) or No (N) if the subcontractor/vendor is a nonprofit research institution.
15. Indicate Yes (Y) or No (N) if the subcontractor/vendor is a small business (including small businesses participating in a program described under section 9 of the Small Business Act (15 U.S.C. 638)).
16. Explain the subcontractor/vendor’s Significant Contribution to the project by answering the questions below.
A - The significant contribution involves developing, demonstrating or providing a key technology. **Please describe what the key technology is; why it is key to the medical technology community, and what makes it key.**
B - The significant contribution involves developing, demonstrating or providing a new technology that is not readily available. **Please describe what the new part or material is and why it is not readily available.**
C - The significant contribution involves use of skilled personnel (such as modeling & simulation experience, medical technology design experience, etc.), facilities and/or equipment that are within the capabilities of the designated nontraditional and required to successfully complete the program. **Please describe the personnel, facilities and/or equipment involved in the proposed program and why they are required to successfully complete the program.**
D - The use of this designated subcontractor/vendor will cause a material reduction in the cost or schedule. **Please describe the specific cost or schedule impact to be realized.**
E - The use of this designated subcontractor/vendor will increase medical technology performance. **Please describe what the performance increase will be attained by the use of this designated nontraditional defense contractor.**
Q1 - What additional capability beyond those described in A through E above does this subcontractor/vendor have that is necessary for this specific effort?
Q2 - In which task/phase(s) of the effort will the subcontractor/vendor be used?
Q3 - What is the total estimated cost associated with the subcontractor/vendor included in the proposal? Note: While cost is an indicator for the level of nontraditional defense contractor participation, there is no particular cost threshold required.
Section C must be signed by an authorized representative of the prime contractor.
**General Guidance**
- Nontraditional defense contractors can be at the prime level, team members, subcontractors, lower tier vendors, or "intra-company" business units, provided that the business unit makes a significant contribution to the prototype project.
- All nontraditional defense contractors must have a DUNS number.
- A foreign business can be considered a nontraditional if it has a DUNS number and can comply with the terms and conditions of the MTEC Base Agreement.
Stage 2
The MTEC Consortium Manager (CM) will evaluate the cost proposed together with all supporting information for realism, reasonableness, and completeness as outlined below. The MTEC CM will then provide a formal assessment to the Government at which time the Government will make the final determination that the negotiated project cost is fair and reasonable.
a) **Realism**. Proposals will be evaluated to determine if Costs are realistic for the work to be performed, reflect a clear understanding of the requirements, and are consistent with the various elements of the Offeror’s technical approach and Statement of Work.
Estimates are “realistic” when they are neither excessive nor insufficient for the effort to be accomplished. Estimates must also be realistic for each task of the proposed project when compared to the total proposed cost. For more information on cost realism, please refer to the MTEC PPG.
The MTEC CM will make a determination by directly comparing proposed costs with comparable current and historical data, evaluator experience, available estimates, etc. Proposed estimates will be compared with the corresponding technical proposals (Enhanced White Papers) for consistency.
b) **Reasonableness**. The Offeror’s cost proposal will be evaluated to determine if it is reasonable. For a price to be reasonable, it must represent a price to the Government that a prudent person would pay in the conduct of competitive business. Normally, price reasonableness is established through cost and price analysis.
To be considered reasonable, the Offeror’s cost estimate should be developed from applicable historic cost data. The Offeror should show that sound, rational judgment was used in deriving and applying cost methodologies. Appropriate narrative explanation and justification should be provided for critical cost elements. The overall estimate should be presented in a coherent, organized and systematic manner.
Costs provided shall be clearly attributable to activities or materials as described by the Offeror. Costs should be broken down using the Cost Proposal Formats that are located on the Members-Only MTEC website. If the MTEC template is not used, the Offeror should submit a format providing for a similar level of detail.
c) **Completeness**. The MTEC CM will evaluate whether the proposal clearly and thoroughly documents the rationale supporting the proposed cost and is compliant with the requirements of the solicitation.
The proposal should clearly and thoroughly document the cost/price information supporting the proposed cost in sufficient detail and depth. The MTEC CM will evaluate whether the Offeror’s cost proposal is complete with respect to the work proposed. The MTEC CM will consider substantiation of proposed cost (i.e., supporting data and estimating rationale) for all elements.
Rate and pricing information is required to properly perform the cost analysis of the proposal. If the Offeror is unwilling to provide this information in a timely manner, its proposal will be lacking information that is required to properly evaluate the proposal and the proposal cannot be selected for award.
**Best Value**
The overall award decision will be based upon the Government’s Best Value determination and the final award selection(s) will be made to the most advantageous offer(s) by considering and comparing factors in addition to cost or price. The Government anticipates entering into negotiations with all Offerors recommended for funding with the MTEC CM acting on the Government’s behalf and/or serving as a liaison. The Government reserves the right to negotiate and request changes to any or all parts of the proposal, to include the SOW.
THIS PAGE IS INTENTIONALLY LEFT BLANK. PLEASE SEE THE PRESENTATION BELOW.
MTEC BIDS REGISTRATION
MTEC BIDS URL:
HTTPS://ATI2.ACQCENTER.COM
Navigate to the MTEC BIDS website and select “New Registration”
Select “New Registration” from the home screen.
Select “Submitter”
Please select the type of account you are registering for:
**Government**
- Government Requirement Submitter/Evaluator/AOR – Select this in order to submit requirements, evaluate whitepapers and proposals, and/or make an award. Please note you must be approved before you will be able to access the system.
**Industry**
- **Submitter** – Select this in order to submit responses to solicitations.
SECURITY NOTICE: Unauthorized attempts to deny service, upload information, change information, or attempt to access a non-public site from this service are strictly prohibited and may be punishable under Title 18 of the U.S. Code to include the Computer Fraud and Abuse Act of 1986 and the National Information Infrastructure Protection Act.
Complete the registration form. Be sure to select how you want to receive the dual factor verification code (SMS text message is recommended).
Select “Submit Registration” to complete BIDS registration.
BIDS registration is instantaneous. It does not require any verification by the MTEC team. After successfully registering, you can submit proposals to any open MTEC RPP.
- MTEC Membership will be verified once a proposal is received and after the proposal deadline.
- Updates to submitted documents can be made anytime prior to the due date and time.
- MTEC RPP links will be opened, within BIDS, at least two weeks prior to the submission deadline.
Please note: For RPPs that are two stages (i.e. White Paper to Full Proposal) only the account that submitted the stage 1 proposal (the White Paper) will be allowed to submit for stage 2 (the Full Proposal), if selected.
**ALL PROPOSALS MUST BE SUBMITTED BEFORE THE SUBMISSION DUE DATE AND TIME. LATE PROPOSALS CAN NOT BE ACCEPTED.**
|
A community loving God by loving our neighbours.
At St. Andrew’s, Brampton, we: learn together to know God’s love through worship, study, and prayer; put our faith into action by loving and caring for each other; use God’s gifts to go forth to bring others to Christ.
**Table of Contents**
| Section | Page |
|--------------------------------|------|
| July & August Birthdays | 2 |
| Rosemary’s Reflections | 3-4 |
| News from the Pews | 5-6 |
| Treasurer’s Report | 7 |
| WMS | 8 |
| GRACE Notes | 9 |
| Call to Prayer | 9 |
| Food for Thought | 10 |
| Stewardship Corner | 10 |
| Faith in Action | 11 |
| Boyd family “thank you” | Back cover |
| Worship Committee Report | Back cover |
| Passages | Back cover |
| Message to the congregation | Back cover |
**This month...**
Birthday boy George “Potsy” Burrows
Fill your minds with those things that are good and deserve praise: things that are true, noble, right, pure, lovely and honourable. Put into practice what you learnt and received from me.
(Philippians 4: 8-9)
St. Andrew’s Presbyterian Church
44 Church St. E., Brampton ON, L6V 1G3
905-451-1723
www.standrewsrampton.ca
## Birthdays
### July 2022
- 2 Victoria Goodman
- 3 Perveen Kousar
- 5 Rukhsana Chand, Denise Sannella
- 6 Muriel Taylor
- 7 Bryen Hallim
- 10 Doreen Barrington, Herbert Eitner, Lauren Kennedy
- 11 Dan Hardat, Geraldine Watt
- 12 John Crilly
- 15 Claudio Cabral, Shawna Van Vliet
- 16 David Linton
- 17 Jholene Massy
- 19 Sardar Anjum Bhatti, Elio Jarjour, Cora McAteer
- 20 Suzetta Ali, Doreen Scott-Dunne
- 21 Colin Gow, Jonathan Wooder
- 22 Shahid Emanuel, Cecil Pervez, Adil Rahi, Juliana Tegzes, Jo-ann Urquhart
- 23 Miles Simpson, Amanda Wattier
- 25 Kevin Jarjour
- 27 Marion Crawford, Urmilla Nawaz, Robert Wightman
- 28 Kyle McDonald, Samuel Odzenma, Sr.
- 29 Natalie Hylands, Laura Roberts
- 30 James Jarjour, Emma Leggett, Mark Nicol, Reginald Odzenma, Steve Whidden
- 31 Liam Leggett, Ken Yates
### August 2022
- 1 Beatrice Amoah, Rosalind Cammidge, David Lachhman
- 2 Amelia Gow
- 3 Lisa Beck, Nicholas Lachhman, Sally McCoy, Lynn McKittrick, Nathan Woods
- 4 Mya Hamid, Kannan Massey-Mubushar, Mason Whidden
- 5 Adesina Barrington, Anthony Halm, Elizabeth Corbett-Nicholson
- 6 Adam Anjum Bhatti, Regan Ross, Debbie Warwick
- 7 Alexander Koloko
- 8 Andrew Artymko
- 9 Loghan Marshall
- 10 Rudolph Sooklall
- 12 Cameron McKnight
- 14 Cheryl Kerfoot, Wendy Wilson
- 16 Robyn Jarjour, Aftab Massey
- 17 Lisa Gilroy, Kenneth Johnston
- 18 Colleen Peyer, Jack Urquhart
- 19 Roger Jarjour, Annisha Massy
- 22 Carly Wilson
- 23 Andrew Emon
- 24 Koreen Ewald
- 26 Katelyn Brusso, Aibek John, Sarah Ann Orrom, Michael Rodine
- 27 Aksa Basharat
- 28 Vanessa Hutchinson, Jacqueline Wooder
- 29 Sarah Dean
- 30 Rohail Massy
- 31 Leticia Acheampong, Marc Juniper
### September 2022
- 1 Isabel Kennedy, Heather Prechner
- 2 Alyssa Decicco
- 4 Darren Ramoutar
- 5 Yasmeen Abbas, Yarousha Iftikhar, Liam Nicol, Alverna Peacock
- 6 Anne Russell
I came across a piece of trivia recently. Q. Why do brides often wear white? A. Because Queen Victoria did! Apparently prior to the royal wedding brides wore whatever colour they chose but then of course all the brides wanted to be like the Queen and so white became THE colour and has largely remained so ever since.
Two things came to my mind when I heard this. 1) How much of our life is governed by what other people think, say or do? Some things are necessarily so of course. As children we need to be taught right from wrong, how to abide by the rules of society etc. But what if some of those rules teach us to look down on or disrespect or even destroy others? I grew up in largely Protestant Northern Ireland where we were taught to avoid Roman Catholics. As a child I can remember deliberately walking on the opposite side of the road from a Catholic church, not sure what would happen to me if I didn’t, except that it would be bad! When I went to university, however, and actually got to know some Catholics, I found that we had a lot in common, including our faith in God. One in particular became a dear friend and I was a bridesmaid at her wedding. (She wore white!)
In today’s society many people base their ideas on the sometimes-craziness of other people, letting themselves be governed by conspiracy theories or rumours or disinformation. It can even happen in the Church. Sometimes when I see or hear about an issue, an action, an attitude that splits a Christian community, I wonder what people outside the walls make of it. How can we “sell” people on the Gospel, if we don’t live by its teachings? Remember WWJD? What Would Jesus Do?
Continued on page 4
Jesus preached love of neighbour. As Christians we are challenged to live this in our religious, political, social and family lives. Which brings me to my second point.
2) The job of the Christian is to model Jesus to the world. If we are honest, we have to admit that this doesn’t always happen. It’s not easy to be a Christian. It can be an exhausting, 24/7 job. But the Bible gives us a road-map. Don’t judge others, says Jesus, for God will judge you in the same way. Do for others what you want them to do for you. Be slow to speak or to become angry, says James. Fill your mind, says Paul, with whatever is true, noble, right, pure, lovely and honorable – and then put it into practice. In Matthew’s parable of the sheep (the good guys) and the goats (the not-so-good) the sheep wonder how they have merited God’s favour. Jesus tells them that whenever they did a good, loving, compassionate thing to someone in need, they did it to him. Let’s remember this, as we respond to the challenges of our society. We are, after all, “Jesus-people!”
---
**INSIDE ST. ANDREW’S**
PUBLISHED MONTHLY (except August) to inform our church community about activities within this congregation and the Presbyterian Church in Canada, and to provide inspiration to our readers.
Submissions can be made by email to email@example.com or to firstname.lastname@example.org
Additional Contributors This Month:
Jean Bradshaw, Helen Collins, Anna-Marie Dewar, Ray Scanlan, Doreen Scott-Dunne, Kim Shepherd, Gord Warren, June Young
Deadline for submissions for the September issue is August 24, 2022
Saturday, June 11 was a beautiful, sunny day, and a group from St. Andrew’s got together for a morning walk around Chinguacousy Park. What started as a L6T/L6P GRACE Group walk grew to include a number of other, most welcome participants. It was a great opportunity for sharing information and catching up on each other’s lives and activities over the past two years while the church was closed.
The group was joined (virtually) by Mike and Molly Harvey who did their longest post-COVID walk in the Cap-à-l’Aigle gardens near to their cottage in Quebec.
On May 29 the Dorans had unexpected visitors, Kiejoon and Chang Hwa Kim, whom they first met in the 1990s in Windsor, ON. At that time Gerry was minister of Knox Presbyterian Church, situated on the edge of the university campus. Students often dropped in to the services and as a result the Dorans frequently had visitors for lunch! So the Kims became part of the church and the family circle. Eventually they moved to Vancouver and contact was usually through Christmas cards, though during one of her trips out west as national President of the WMS, Rosemary was able to meet up with Chang Hwa, who was by then organist at a Presbyterian church in the Vancouver area.
The Kims spoke of the warm welcome they received at St. Andrew’s on the Sunday morning before visiting the Dorans, and of their appreciation of the music and the message. That, coupled with the do-you-remember and catch-up time they spent with the Dorans, made it a very special day for all.
George Burrows celebrated his 104th birthday on June 13 and was presented with a unique birthday card – specially created by Ken Jackson. (See newsletter front cover.)
Above is the inside of the card – showing George in various events and stages of his life.
Congratulations to John and Cynthia Prechner who celebrate their 50th wedding anniversary on July 22. We wish them many more happy and healthy years together.
Our South-East Asian Outreach Ministry members worship in the afternoon, and are led by the Rev. Babar Allahditta. The group held an afternoon BBQ in the courtyard after the service on Sunday, June 12.
Samina (Azaniah Jalal) shared these pictures of the good time they all had. It was a great day for fun, fellowship, laughter, and of course food.
June 4, 2022 was a perfect day for a wedding! Although married in an intimate civil ceremony in August of 2020, Barry and Karen Hutchinson’s daughter, Vanessa and husband Brandon, were thrilled to have their “real” wedding and be able celebrate with friends and family.
The weather was perfect, borders were open, restrictions lessened, and it was a weekend filled with love and happiness. From the Welcome Party on Friday evening, to the beautiful outdoor marriage ceremony at Black Barn Winery & Vineyards (Jackson, Michigan) conducted by Rev. Wes Denyer, the wonderful reception and the Sunday brunch — the celebratory vibe was truly palpable. Friends and family from England, Belgium, Canada and the U.S. were reunited, and new friendships forged. Finishing up with BBQ dinners at Vanessa and Brandon’s lakeside home, it simply couldn’t have been better!
Wilhelmine Strain has not grown an inch during the COVID lockdown, as Felicity Alexander discovered when she visited Wilhelmine and delivered a copy of the June issue of the St. Andrew’s newsletter.
“Happiness. It’s not about what you have. It’s about how much you appreciate what you have.”
The Friendship Book
Church Finances
Shortfall Pie Chart
Purpose of this chart is to show in a graphic form the shortfall of contributions to expenses as of June 21, 2022.
Currently total contributions from January 1 to June 21 are down 20%. Expenses YTD compared to the prior year are comparable but continue to increase as we reopen more. Thank you all for your generosity.
You can contribute by credit card through our website, mail a cheque, do an Interac e-Transfer or go on Pre-Authorized Remittance (PAR).
To process an Interac e-Transfer: Go to your banking website, select Interac e-Transfer, enter the amount you wish to donate and in the message area indicate your name, envelope number and how you want the donation distributed i.e. amount for general funds, Presbyterians’ Sharing, PWS&D and Food Bank. If you do not indicate a split your entire donation will go to the general operating fund, this cannot be changed later. It is vital that you use the email email@example.com
“I do not believe one can settle how much we ought to give. I am afraid the only safe rule is to give more than we can spare.”
- C.S. Lewis
Summer is now here, and as everyone starts to enjoy vacation time with their families, we ask that you continue to support the ministries of St. Andrew’s.
May the peace of Jesus Christ, our Lord and Saviour be with you.
Contributions & Expenses Comparative
| | 1 Jan - 21 Jun 22 | 1 Jan - 21 Jun 21 |
|----------------------|-------------------|-------------------|
| **Contributions** | | |
| Offerings | 101,652.82 | 105,529.34 |
| Other Revenue | 42,412.04 | 74,443.49 |
| **Total Contributions** | 144,064.86 | 179,972.83 |
| **Expense** | | |
| Education | 900.25 | 1,292.77 |
| Mission | 7,694.12 | 6,800.85 |
| Property | 57,584.46 | 81,185.45 |
| Stewardship | 101,804.84 | 91,209.33 |
| Worship | 8,564.59 | 1,980.97 |
| Donation - Ukraine Relief | 2,000.00 | 1,210.36 |
| **Total Expense** | 178,548.26 | 183,679.73 |
| **Net General Surplus (Deficit)** | (34,483.40) | (3,706.90) |
Presbyterian Sharing donations* | 9,837.96 | 9,069.96 |
PWS&D donations* | 3,679.96 | 2,914.96 |
Food Bank donations* | 23,703.79 | 12,739.80 |
*NOTES: 1) Presbyterian Sharing, PWS&D and Food Bank donations are not included in the Offerings numbers above.
2) PWSD donations includes amounts for Ukraine relief over and above the $2,000 donation made by Session
June 2022
It has been a joy and a blessing being able to continue to meet. To see everyone’s smile; to hear of their month and the happenings in their lives, has been something that I, personally, look forward to.
This month we had the honour and blessing to have Ann Campbell join us for our June meeting on Zoom. Lots of laughs, as you can see from the picture, and discussion on lots of TV shows.
It is my prayer that we will be able to meet in person before the end of 2022, but at this time, please stay well, stay safe, and enjoy a wonderful summer.
The evening was closed with the Mizpah Benediction.
**Suggested for Summer Reading or Watching**
**BOOKS**
How I Lost my Hair Raising Teenage Girls by Andrew McKinney
The Women of Pearl Island by Polly Crosby
The President is Missing by Bill Clinton & James Patterson
The President’s Daughter by Bill Clinton & James Patterson
The Lying Club by Annie Ward
They Called Me Number One: Secrets and Survival at an Indian Residential School by Bev Sellars
**MOVIES or TV SHOWS**
Operation Mincemeat – on Netflix
Hudson & Rex
Republic of Doyle
The Rookie
Yellowstone
New Tricks
Miss Scarlett & the Duke
Father Brown
All Creatures Great & Small (Remake on PBS)
Born & Bred
Death in Paradise
Shetland
Bancroft
We will resume our monthly meetings in September starting on Tuesday September 6th, 2022. We will be meeting via Zoom.
Kim Shepherd
President
Dear wonderful folks in our GRACE Group,
It was our pleasure to have you to lunch once again after two long years of COVID. Being outside and “breaking bread together” (we had lots of sandwiches!!) was an absolute treat! Dr. Kellam, Jean, Shirley, Ray, Lauren and Sue - what fun in was to engage in conversation and laugh out loud together. Thank-you for your generosity in bringing wonderful food, so that our luncheon could be a success with minimum fuss. Thank-you Sue for sharing your lovely sister Lauren with us.
Because you were all so gracious and left so promptly, I was able to pick up my granddaughter in good time. I also took Ray for his chest X-ray later this afternoon and I will keep you posted when he gets his results. We have got to get him something for that cough. We are sorry that Jean Bradshaw had a clashing appointment, and that Jim Hunt had a migraine, and that Grace was feeling nauseous. We missed you all. I hope next time we meet, we will all be in good health, and that those we missed today will return to good health very soon.
We pray that you have a wonderful summer, reconnecting with folks you love, and that we can welcome you again when we start up GRACE group in the Fall.
Blessings,
Doreen & Ray
Now we are six - or that is how many our L6X/L6Y group had for our Zoom call on June 16. We talked about how we can support Suzzy and Robyn Kirkpatrick as Suzzy convalesces. We also mentioned how so many of us enjoyed the walk at Ching park in June 11. We then turned to talking about the importance of socializing after the restrictions of COVID. We are all looking forward to celebrating St. Andrew’s 175th anniversary.
CALL TO PRAYER
by Ray Scanlan
It’s difficult to get my head around the fact that we are in our third year of COVID-19. Thinking of all the COVID-related issues that we asked God for help now seem so far away, yet on reflection there are so many ways that God heard and answered our prayers. We have vaccines, most Canadians have had their shots as well as boosters, a vaccine for children is currently going through the approval stages, our health care system, although stretched, has been there for us, and employment is back up. Thank you, Jesus.
Looking back 100 years, I was reading recently that both the Dodge brothers, John and Horace died of complications from the Spanish flu epidemic in 1920. Their company (Chrysler) survived, and it made me think of how many companies failed during COVID and how we will have a new normal going forward.
On the third Friday of every month at 3 pm we continue to spend some time in prayer – after three months the war in Ukraine continues and we continue to hold up the millions of refugees that have fled their country with little hope that they will have a town or village to return to. We pray for peace.
Many thanks to Kim Shepherd who, during the Rev. Geoff’s leave of absence, has hosted our Zoom “Fellowship” time at noon on Sundays after the Worship Service.
Food... for Thought
by Gord Warren
Summer is a fun time for families and children, and the improvement of the weather also assists those who attend your Food Bank. It’s easier to get around, and while local fresh produce starts to appear in stores, Food Bank clients can only hope that there is enough to go around when they attend St. Andrew’s. The number of clients is slowly rising, but while there is a core group who attend, the demographics of the others has changed. The downtown area of Brampton is also changing. Many rooming houses have closed as the properties have been sold and await development, while clients in transient hotels have also been given notice that the buildings will be demolished.
However, the need for assistance from St. Andrew’s Food Bank remains. The clients are travelling further, car pooling and using Brampton Transit to get there on Wednesdays. With the high price of food, the choice remains to feed your family or pay the rent. This is a real problem that I’m happy to say St. Andrew’s Food Bank tries to solve. We still try to provide a balanced diet for those who come. We have fresh fruit, vegetables, milk, eggs as well as the canned staples. When possible, along with a smile and conversation, we provide almost as much as they can carry. The gratitude from the clients is obvious. The volunteers don’t do this alone, everyone who supports the Food Bank helps. Without the Food Bank there would be a large hole to fill in downtown Brampton.
The Stewardship Committee thanks everyone for giving their time, gifts and offerings to St. Andrew’s Presbyterian Church, Brampton, for the year 2022 to date.
Please stay tuned for information and details regarding RALLY SUNDAY that is tentatively scheduled for Sunday, September 18.
As well, the 175th Anniversary Dinner is tentatively set for Saturday, October 15. Details to follow.
More information about these two events will be available in the September newsletter, on the St. Andrew’s website and in an eblast. The weekly bulletins will also have information regarding these events, as the information is updated.
The book fundraiser “How I Lost My Hair Raising Teenage Girls” is still ongoing, and copies will continue to be available through the church over the summer into the fall.
Have a wonderful and safe summer.
Yours in faith,
Helen Collins
Chairperson, Stewardship Committee
June 4 was a beautiful day for a group of volunteers, including the Rev. Wayne Baswick, to start work on tidying up the garden beds and planting flowers around the church. This yearly undertaking was under the direction of master-gardener Paul Willoughby, who continues to take on the responsibility of looking after the garden over the summer. Thanks Paul.
Adriel and Samina Babar, Robyn Kirkpatrick, and Felicity Alexander
Thanks to Samina Babar and Robyn Kirkpatrick who provided snacks, and to Mark and Meaghan Bhim and family who were unable to join the group this year, but provided a delicious pizza lunch.
MINUTE FOR MISSION
By June Young
Summertime is here, and once again, our St. Andrew’s family has answered the call. Eunice Boyd, Carm and Blanche McCreary, and Colin & June Young gathered together and packed toiletries, and other necessities, to be distributed to those in need at both Ellen House and the Ontario Correctional Institute. We were able to provide twenty bags/purses for the women and five backpacks for the men.
Thank you once again, for your continuing kindness.
The family of John Boyd would like to thank the St. Andrew’s congregation for sharing in John’s Celebration of Life and passing on their stories and memories of him. A special thank you to Rev. Geoff Ross, Rev. Wayne Baswick, Shelagh Tyreman and Peter Shepherd for their participation in the service, and also to Michelle Tedder and her crew for the lovely lunch.
Following John’s interment at Avonbank Community Cemetery, Eunice and the grandkids released 10 butterflies in memory of John.
We will be celebrating our 175th Anniversary in October 2022 with a tentative date of October 15. We are appealing for volunteers to help with the planning and set-up. Michelle Tedder will be preparing our Anniversary dinner; however, we need assistance with planning, set-up and tear down of the evening. If you can help with this celebration, please contact Karen Hutchinson, Chair of the Worship Committee.
To Gloria Brown and family on the death of her husband Neil on June 7.
To Emanuel Emanuel whose sister passed away in Pakistan.
The Rev. Geoff Ross is returning to work on Thursday, June 23, and will conduct the worship services starting June 26 and for all five Sundays in July. He will be on vacation beginning August 1, and will return to full-time duty on September 1, 2022.
The Presbytery stated that the Rev. Wayne Baswick will remain Interim Moderator until August 31, 2022. If you need pastoral care, call him at 905-456-1727. For all other matters, contact our Clerk of Session, Jean Bradshaw, at firstname.lastname@example.org or 905-455-6573.
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THERAPEUTIC DRUG MONITORING OF NOVEL IMMUNOSUPPRESSANTS
Dario Cattaneo, Pharmacol.D.
PhD Course – Student #U7199169
Registration: 1 October 2001 – Submission: 29 June 2005
Disciplines: Pharmacology, Transplantation Medicine
Director of Studies: Dr. Norberto Perico
Second Supervisors: Prof. Giuseppe Remuzzi
Prof. Atholl Johnston
This work was supported by a grant from the “Fondazione Monzino”.
Continuous support by the Association for Research on Transplantation (ART) is also gratefully acknowledged.
Contents
Abstract ........................................................................................................... 4
Chapter 1 Introduction ......................................................................................... 6
Chapter 2 Scope of the Thesis ............................................................................. 20
Part I: Development of analytical methods for the measurement of mycophenolic acid, sirolimus and cyclosporine .............................................. 28
Chapter 3 Determination of total, free mycophenolic acid and its glucuronide metabolite using HPLC with UV detection ............................................ 33
Chapter 4 Assessment of sirolimus concentrations in whole blood by HPLC with UV detection .......................................................... 48
Chapter 5 Monitoring of cyclosporine in whole blood using a HPLC-UV method .......................................................... 61
Part II: Therapeutic drug monitoring of mycophenolic acid-releasing formulations ........................................................................................................ 71
Chapter 6 Pharmacokinetics help optimizing mycophenolate mofetil dosing in kidney transplant recipients ....................................................... 72
Chapter 7 Glucocorticoids interfere with mycophenolate mofetil bioavailability in kidney transplantation ....................................................... 94
Chapter 8 Influence of co-medication on mycophenolic acid pharmacokinetics in kidney transplantation ....................................................... 119
Chapter 9 Pharmacokinetics of the new enteric-coated mycophenolate sodium and comparison with the traditional mofetil formulation in stable kidney transplant recipients ....................................................... 142
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Candidate Details
o Cattaneo
PI: U7199169
D.
Sponsoring Establishment: Mario Negri Institute, Milan, Italy
THERAPEUTIC DRUG MONITORING OF NOVEL IMMUNOSUPPRESSANTS
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Part III: Therapeutic drug monitoring of sirolimus ..........................162
Chapter 10 Therapeutic drug monitoring of sirolimus: effect of concomitant immunosuppressive therapy and optimization of drug dosing ...163
Part IV: Pharmacogenetic-based therapeutic drug monitoring: preliminary experience with cyclosporine .................................184
Chapter 11 MDR1 polymorphism in exon 26, but not exon 12, influences individual cyclosporine levels in kidney transplant recipients ...188
Chapter 12 Conclusion and future perspectives ...........................................212
References ....................................................................................................226
List of Abbreviations ..................................................................................249
Acknowledgements .....................................................................................253
Material, published or submitted for publication, contained in the thesis ......255
Therapeutic drug monitoring is primarily undertaken for narrow therapeutic index drugs, such as immunosuppressants. These drugs have reduced the incidence of acute rejection and improved allograft survival. However, due to their narrow therapeutic index, small variations in blood levels may result in inadequate levels of immunosuppression or toxic drug concentrations. To overcome these problems individual dose regimen based-on pharmacokinetic monitoring has been proposed in the past years. Indeed, several studies have previously documented a significant association between cyclosporine whole blood levels and patient’s clinical outcome, expressed as rejection episodes as well as drug-related adverse events.
Novel immunosuppressive agents have been recently introduced on the market (such as rapamycins and mycophenolic acid-releasing formulations). However, data on their pharmacokinetics, which in turn could be useful for the definition of therapeutic ranges, are scanty. To address this issue we have used a chromatographic method for the measurement of mycophenolic acid levels in kidney transplant recipients. Although this immunosuppressant is usually given in a fixed daily dose regimen, we found a positive correlation between drug levels, but not dose, and renal function. As additional analysis, significant pharmacokinetic interactions between mycophenolic acid and concomitant immunosuppressive regimens have been identified. Similarly, novel chromatographic methods for the analysis of rapamycins in the whole blood have been developed in our laboratory, and applied to identify pharmacokinetic interactions between these and other immunosuppressive agents. In the last part of my research project, I have also presented preliminary data on the application of pharmacogenetics analysis in patients given cyclosporine as part of their immunosuppressive regimen.
In conclusion, it can be reasonably speculated that TDM based on pharmacokinetic, as well as novel pharmacogenetic approaches, can be considered as reliable tools to guide drug dosing in organ transplantation setting, ultimately resulting in a significant improvement of long term graft and patient survival.
Chapter 1
INTRODUCTION
Organ transplantation as a treatment modality for patients with end-stage organ diseases of the kidney, heart, liver, pancreas and small bowel has achieved impressive results in the past two decades, thanks to a better understanding of basic immunobiology, more advanced measures for medical and surgical management, and new pharmacological treatments [1]. Indeed, although immunosuppressive therapies to overcome host reaction to allografts have been employed since the early days of clinical transplantation, immunosuppressive agents and treatment protocols are constantly evolving [2].
**Historical perspective**
The pharmacological era of immunosuppression began in 1916, when Hektoen [3] showed that benzene treatment reduced antibody production in experimental animals. Later, Schwartz et al observed that treatment with 6-mercaptopurine, a competitive inhibitor of many purine synthetic pathways, reduced antibody production and prolonged skin allograft survival in rabbits [4]. Subsequently, azathioprine (AZA) - an imidazole derivative developed to prevent the susceptibility of the unshielded mercapto-group of 6-mercaptopurine to hydrolysis in the gut - was shown by Calne and colleagues [5] to prolong the survival of human renal transplants. In the same period, steroids, the second stage in the development of therapeutic immunosuppression, showed various effects to reduce inflammatory processes mediated by mononuclear cells [6]. From 1964 to 1978, renal transplants were carried out using combinations of azathioprine and the steroid prednisone, showing about a one-year graft survival rate in 50% of recipients. However, even in successful cases, this approach was complicated by bone-marrow suppression, gastrointestinal disorders or opportunistic infections [7]. Thus, new, potent, selective and less toxic drugs were urgently needed. Since the introduction of cyclosporine (CsA) in 1978 [8], there has been little doubt about its
value as the single most important agent in the armamentarium of maintenance immunosuppression for organ transplantation. In the middle nineties triple-drug therapy with cyclosporine, corticosteroids and azathioprine became the most frequently used regimen for kidney recipients [9].
More recently, better understanding of the basic immune mechanisms and more insights in the pharmacokinetic properties of different molecules have led to the development of several new xenobiotic immunosuppressants (tacrolimus, mycophenolate mofetil, sirolimus, everolimus, FTY720), novel formulations of traditional drugs (cyclosporine Neoral, mycophenolate sodium), as well as polyclonal antilymphocyte agents (antilymphocyte or antithymocyte globulins [ALG, ATG]) or monoclonal antibodies specifically directed against immunological targets (anti-CD3 [OKT3], anti-CD52 [alemtuzumab or campath-1H], anti-CD20 [rituximab]), which have entered clinical trials in the past few years [2]. Altogether, these new drugs contributed to great evolution of immunosuppressive drug regimens for maintenance of solid organ allografts observed over the past few decades, increasing 1-year graft survival from less than 40% in the early '60 to an actual survival of over 90% [10].
Despite the great results obtained in the short-terms, it should be pointed out that current anti-rejection drugs, however, invariably reduce systemic immunity non-selectively which translates in more risk of infections and cancer. Moreover, these agents present several side effects and, in some instance, can be extremely toxic for the graft, especially for the kidney [11], all factors that can contribute to chronic rejection, ultimately resulting in poor long term graft survival and graft loss [12].
It was soon realized that adverse events associated with pharmacologic immunosuppression were mainly related to daily drug exposure and could be minimized to some extent by carefully titration of the optimal individualized dosage. Several approaches have been used to assess the appropriateness of the dosing regimen for an
immunosuppressive drug. The first involved the assessment of clinical response. This approach, however, has serious limitations, because signs of rejection or toxicity may be difficult to recognize, or the clinical manifestations can appear late, so that patients do not recover also after drug withdrawal [13]. Therefore, it was clear that alternative approaches had to be developed, giving birth to a new important and exciting field of study: Therapeutic Drug Monitoring (TDM).
A TDM program [14] for immunosuppressive drugs must include consideration concerning the use of specific and sensitive analytical methods, identification of the optimal biological matrix, and choice of the best parameter to be assessed as surrogate marker of drug activity. Traditional TDM has been performed using pharmacokinetic approaches [14], but also complementary strategies have been developed in the last few years [15,16]. The ultimate goal of traditional as well as innovative TDM studies is to tailor the best immunosuppressive regimen for each patient.
The pharmacokinetic approach
Pharmacokinetics involves the measurement of drug concentrations in biological fluids and the subsequent relationship of these levels to drug dosing and ultimately to clinical events. The assumption is that the plasma/blood concentration mirrors the concentration at the site of action. Drug levels could be greatly influenced by environmental factors, such as hepatic or renal dysfunction, as well as hormonal levels and/or pharmacokinetic interactions with other co-administered drugs, all combinations that can vary significantly during the course of treatment [17]. These observations provide support for pharmacokinetics, because periodical evaluations of drug exposure are able to identify external influences, and can predict daily drug exposure and clinical outcome. This approach, also termed as clinical pharmacokinetic monitoring, has been applied to the field of organ transplantation starting from the end of 1960s [17]. Since then, several
studies have shown the predictive impact of pharmacokinetics on decreased mortality, morbidity and efficacy/adverse events from immunosuppressive drug therapy [18, 19]. Although pharmacokinetics represents a step forward, as compared to the simply observation of clinical response, it presents some limitations. Pharmacokinetic studies can start only when a given drug is administered to the patients, requiring the assumption of steady state conditions and patient’s compliance. Moreover, there is still controversy about which are the best pharmacokinetic parameters that should be considered to monitor drug effect. The area under the time-concentration curve (AUC) represents the golden standard to assess daily drug exposure. Unfortunately, measuring AUC requires the collection and analysis of multiple samples, which is costly and time-consuming for patients and clinical staff. To overcome these problems, alternative approaches have been developed by limited Sampling Strategy (LSS), a technique aimed to estimate a pharmacokinetic parameter, as AUC, using a small number of samples [20]. Several equations have been developed so far, but there is still lack of agreement on the choice of the optimal LSS for each immunosuppressive agent.
All these limitations provide the rationale for searching complementary/additional strategies to manage narrow therapeutic index drugs beyond pharmacokinetics.
**Pharmacodynamic monitoring of immunosuppressive drugs**
Pharmacokinetics has been used for many years to relate immunosuppressants dose to drug exposure in vivo. Although this is the primary method to measure drug absorption, distribution, metabolism, excretion and interactions with other drugs, it does not directly assess the pharmacological effects on immune cells in vivo. As results, pharmacokinetics cannot account for the inter-subject variability in the sensitivities to immune suppression by similar blood concentrations of immunosuppressants.
Therefore, the current practice of relying solely on pharmacokinetics for clinical decisions on the dosage and the choice of immunosuppressants is far from ideal.
In contrast to pharmacokinetics, pharmacodynamics of immunosuppressants quantitates drug effects at its target site, after drug exposure to immune cells in vivo. If measurement at the target is not possible, the enzyme activity should be measured in a matrix that provides good surrogate marker for enzyme activity at the target site [15]. Pharmacodynamic assays of orally active immunosuppressants either measure the drug effect on a discrete molecule that is important for lymphocyte activation or measure more complex biological events required for normal immune functions [21]. Indeed, pharmacodynamic assays have been reported for the monitoring of CsA, azathioprine, mycophenolate mofetil, and rapamycin [15,21].
Pharmacodynamic monitoring might provide better understanding of mechanisms of actions of different immunosuppressants, as well as direct assessment of pharmacologic-induced immunosuppression. These approaches have, therefore, the potential to augment pharmacokinetic monitoring to optimise the dosing regime of anti-rejection drugs. However, because many of pharmacodynamic assays are time-consuming and not amenable for use in routine clinical laboratories [15], the future challenge is to develop robust methods to facilitate the further evaluation and application of these approaches.
**Pharmacogenetics as a new tool to tailor immunosuppressive therapy**
The advent of the genomic era has brought several new fields of study, including pharmacogenomics, which seeks to link drug treatment with the individual’s genetic make-up. This new science holds many promises for improved treatment of a large variety of medical conditions, including immunosuppression for organ transplantation [22], providing a promising and complementary tool to traditional TDM. The key-point
is to understand whether clinical pharmacogenomics is already applicable today to organ transplantation. Early observations focused simply on drug metabolism [23]. However, today there is great interest in the full spectrum of drug disposition, including absorption, distribution, and pharmacological targets. One of the potential advantages of this type of approach lies on the common metabolic pathways for several immunosuppressive agents. CsA, tacrolimus, sirolimus and the novel rapamycin-analogue everolimus are all transported by P-glycoprotein – a protein encoded by the multidrug resistant gene 1 (MDR1) - and metabolised by the cytochrome 3A4 (CYP3A4) and to a less extent by CYP3A5 [24]. Thus, the study of patient’s genotype can provide predictive value for regimens which include the concomitant administration of several drugs, a common condition for organ transplant recipients.
The presence of variants in genes encoding for the drug targets or other genetic polymorphisms with indirect effects on drug response are less known. Thus, they represent an exciting challenge for the future. However, one should consider that also many non-genomic factors, including concomitant drug administration, pharmacological enzyme-induction, and illness may have a significant impact on the above mentioned proteins, and must be taken into account also when a pharmacogenomic approach is planned.
**Therapeutic drug monitoring of novel immunosuppressants: preliminary experience with MPA**
MMF is widely used in kidney or heart transplantation using a fixed-daily dose regimen. However, data are recently emerging that provide the scientific basis for therapeutic drug monitoring of MPA in transplant patients receiving MMF, the parent drug, in combination with other immunosuppressive agents. There is a significant relationship between the dose-interval MPA AUC and risk for acute rejection based on
retrospective investigations in renal and heart transplant patients and on prospective investigations in renal transplant patients [17, 19]. The MPA dose-interval AUC varies naturally by more than 10-fold in renal and heart transplant patients. Other significant sources of pharmacokinetic variability for MPA include the effects of concomitant medications – especially when new drugs (i.e. sirolimus) are concomitantly used – and the effects of disease states such as renal dysfunction and liver disease on the steady state MPA exposure. MPA is extensively bound to albumin, with a range of protein binding of 97-99% in patients with normal renal and liver function. Factors that alter the protein binding can affect the relationship between total concentration and free concentration which, in turn, is pharmacologically active [114]. For this reason, under circumstances of perturbed binding, the interpretation of total MPA plasma concentration must take into account the altered MPA binding. Further research is, however, needed to draw definite conclusion on this topic.
Individualized MMF dose evaluation, guided by MPA plasma concentrations, is becoming the standard of practice at a growing number of transplant centers worldwide because of these factors and because of the need to closely evaluate the immunosuppression afforded by MPA when a change in the immunosuppression regimen in stable transplant patients is planned. Investigations of therapeutic drug monitoring strategies with the goal to optimize the use of MMF, focusing in particular on drug-to-drug interactions, are ongoing. Based on statistics from the Analytical Services International Ltd, there are nearly 80 centres participating in the MPA program. Most of them are European, whereas only a few centers in America are currently monitoring MPA. However, given the emerging strong support for the clinical outcome benefit of MPA monitoring, it can be expected that greater demand for MPA monitoring will occur, focusing also on the pharmacokinetics of MPA released from the recently developed enteric-coated formulation [107].
Therapeutic drug monitoring of novel immunosuppressants: preliminary experience with SRL
SRL was recently approved in Europe, where the licence specifies its use for prophylaxis of graft rejection in adult kidney transplant recipients, and with the use of blood concentration monitoring. TDM of SRL is still in its infancy but data have accumulated from several clinical trials, some of which were concentration-controlled, showing that there is a good correlation between SRL trough concentration (as surrogate marker of SRL AUC) and clinical outcome, expressed as rejection episodes and drug-related toxicity [17,18]. Therefore, to date, all the monitoring recommendations refer to this sampling. Preliminary evidence is also available that SLR exposure could be significantly influenced by concomitant CsA administration. However, the potential drug-to-drug interactions between SRL and other agents usually administered to organ transplant recipients are unknown. When SRL is used in combination with a calcineurin inhibitors predose concentrations are generally targeted in the range 5-15 ng/mL [17,18], whereas specific SRL ranges in CsA- or TRL-sparing regimen are lacking.
Therapeutic drug monitoring of immunosuppressive agents in the Centre of Bergamo: single-centre experience with CsA
CsA is the principal immunosuppressant currently used to prevent graft rejection after organ transplantation. Given the appreciable interindividual variation both in clinical response and in drug exposure despite the same dosage regimen, it was early realized that close monitoring of CsA blood levels was a useful adjunct to its optimal administration. In particular, the AUC, either calculated from the individual complete pharmacokinetic profile or predicted using LSS, was identified as the best predictor of CsA daily exposure and clinical outcome [25]. These approaches are, however, time
consuming and seldom feasible in routine out-patient clinical monitoring. Thus, TDM of trough ($C_0$) blood CsA concentration has been widely adopted to adjust CsA dose in individual subjects since twenty years ago. In the last few years, however, evidence has accumulated that blood sampling at 2 h post-dosing ($C_2$), might provide a better estimate of CsA exposure than the traditional $C_0$-based monitoring [25]. It should be pointed that the definition of the best single-point sampling ($C_0$ or $C_2$) to monitor patient exposure to CsA is still a matter of debate. This concern is mainly related to the limited data available showing the clinical usefulness of using single point strategy to monitor daily CsA exposure. The utility of CsA $C_0$ was initially proposed based upon reports of a correlation between low trough values and increased incidence of acute rejection episodes, as well as high concentrations and nephro- or hepatotoxicity [26]. Nevertheless, this approach was proven as not always reliable in routine clinical practice due to the fact that some patients experienced a worst outcome despite CsA $C_0$ levels within the therapeutic range. In search of more accurate single point sampling markers of CsA drug monitoring, in the last few years $C_2$ has been proposed as a useful surrogate of the maximum drug concentration ($C_{\text{max}}$), which in turn is effective in predicting acute rejection [27]. It should be pointed, however, that no studies have formally compared the predictive value of these two samplings in term of clinical outcome. Therefore, we have strictly measured serial $C_0$ and $C_2$ levels in over 330 kidney transplant recipients during the first 6 months post-surgery and found that CsA trough levels early post-transplant (day 2, 9 and 14) were the strongest predictor of acute rejection over 6 month follow-up [28]. In particular, $C_0$ levels within 300 to 440 ng/mL were associated with the lowest risk of rejection, while $C_2$ levels considered alone had no predictive value at all. The large number of pharmacokinetic measurements ($C_0$; $N=2236$ and $C_2$; $N=2128$) together with the stringent follow-up protocol, suggests that the predictive value of $C_2$ is overrated, at least in the early phase.
post-surgery. To extend our findings, we have retrospectively analyzed full pharmacokinetic profiles of 58 patients at more than one year post surgery [29]. A logistic regression analysis of the interaction between pharmacokinetic parameters and graft function showed that $C_0$ but not $C_2$ significantly predicted long-term clinical outcome, expressed as renal function deterioration. Altogether, these findings suggest that $C_2$ is not a superior surrogate marker of the daily CsA exposure than $C_0$, either in the short and long-term period post-surgery. Additionally, by analyzing full CsA pharmacokinetic profiles, we have shown that not all kidney transplant recipients behave in the same manner as for absorption, distribution, metabolism and elimination of CsA. In particular, interindividual variation in the absorption process may segregate distinct population of patients [29]. Of note, patients with an “atypical” absorption profile are those which benefit less from single point-based limited sampling strategy to monitor daily CsA exposure [29], a condition that may expose these patients to chronic over- or under-cyclosporine exposure with dramatically clinical consequences. This concept was exemplified by our findings that in some patients the use single point-based monitoring may result in inadequate immunosuppression, leading to a significant increased risk to develop long-term complications of chronic CsA overexposure, such as Kaposi’s Sarcoma (KS), a skin cancer. Indeed, we have compared the incidence of KS in transplant patients receiving Neoral or Sandimmune as a part of their immunosuppressive therapy [30]. 668 kidney transplant recipient followed at our Nephrology Unit from 1970 to 2003 entered this retrospective analysis. 300 were on CsA Sandimmune-based and 308 on CsA Neoral-based therapy. The primary endpoint was the occurrence of KS. The disease was diagnosed in 20 out of 608 patients given CsA with an incidence rate of 4.7 per 1000 patients per year. No episodes of KS were found in the pre-CsA era. Among patients on CsA, those treated with Neoral had 4 fold higher incidence rates of KS than in the Sandimmune group (10.7 vs 2.3 per 1000
patients per year). Kaplan-Meier analysis shows that patients on Neoral had lower cumulative KS-free probability than those on Sandimmune. Cox’s analysis documented that Neoral was a positive predictor of KS development as compared to Sandimmune (hazard ratio: 2.237). Among patients on Neoral those who developed KS had higher daily exposure to the drug assessed by pharmacokinetic studies. Therefore, we concluded that in recipients of kidney transplant CsA Neoral increases the risk of KS as compared to the Sandimmune formulation, possibly due to enhanced drug bioavailability and ultimately patient’s daily CsA exposure. To avoid or limit these dramatic consequences, we would suggest that all transplant recipients, beside $C_0$ or $C_2$ routine monitoring, should undergo at least one pharmacokinetic profile in order to be classified according to CsA absorption pattern.
It should be pointed, however, that drug concentration measurements are only a part of the decision tree for dose adjustment. They must be viewed in the context of other complementary fields that include biochemical and clinical analysis, as well as novel therapeutic monitoring approaches. As an example of this concept, we have conducted a randomized trial aimed at investigating whether per-protocol biopsies, in combination with routine pharmacokinetic studies, could be useful tools to implement steroid or CsA sparing regimens in kidney transplant recipients [187]. As main result, we have found that per-protocol biopsy more than one year after transplantation is a safe procedure to guide change of immunosuppressive regimen and to lower the risk of major drug-related side effects. Alternative approaches, beside pharmacokinetics, have been recently proposed to tailor the best immunosuppressive regimen for each patient. For instance, pharmacodynamic monitoring involves measurement of the biological effect of the drug at its target site [15]. Indeed, we have previously developed a method for the assessment of calcineurin, the pharmacological target of CsA, in whole blood. When we applied this assay to monitor kidney transplant recipients we found that CsA levels did
not predict daily calcineurin activity, whereas a single determination of the enzyme at baseline was a useful surrogate for the daily inhibition of the enzyme by CsA [188]. It should be pointed out, however, that pharmacodynamic tests are actually too complex for clinical use and often require radioactive materials. As additional drawbacks, studies aimed at investigating the potential predictivity of pharmacodynamic approaches in terms of rejection and/or drug toxicity are still lacking.
Those involved in TDM are now realizing that individual patient’s exposure to immunosuppressive agents can be influenced by the genetic background. Indeed, it has been proposed that interindividual differences in CsA response may be due, at least in part, to sequence variants in genes encoding drug-metabolizing enzymes, drug transporters, or drug targets. Recently, genetic variants in the CYP3A4 and CYP3A5 genes, responsible for the metabolism of CsA, have been described, and shown to be associated with an impaired enzyme activity [41]. Another factor that might influence drug disposition is the P glycoprotein (P-gp), the product of the MDR1 gene. This protein is an efflux pump, which removes lipophilic drug, like CsA, tacrolimus and sirolimus, from the intracellular space. Several polymorphisms have been found for the MDR1 gene [41]. Of these, three mutant alleles on exons 12, 21 and 26 correlate with expression of MDR1 gene, and function of P-gp. Actually, only few studies have investigated the impact of these polymorphisms on the bioavailability of CsA or tacrolimus. Most of them showed contradictory results [41]. Many factors can explain the great heterogeneity in the preliminary pharmacogenetic analyses, including limited number of subject considered, and weakness of pharmacokinetic parameters studied, which often do not include full AUCs. The major limitation of these approaches, however, is the study of single polymorphism rather than the potential influence of additive factors such as the haplotypes, that generally contain more information than did individual SNP. Therefore, further investigations in this field are needed.
Aims of the present study
According to the actual knowledge in the field of therapeutic drug monitoring of immunosuppressive agents, my research activity will be devoted to:
- develop an analytical method useful for the assessment of MPA plasma levels in kidney transplant recipients, with the goal to optimizing MMF dosing in these patients;
- study potential drug-to-drug interactions between MPA and other agents commonly administered to kidney transplant recipients;
- compare the pharmacokinetics of MPA from patients given MMF with that derived from the novel enteric-coated mycophenolate sodium formulation;
- develop an UPLC-UV method applicable for TDM of sirolimus in the routine clinical practice, with the goal to study the effect of concomitant immunosuppressive therapy and to optimize drug dosing;
- to assess the role of SNPs in the MDR1 gene in predicting CsA exposure in a large population of kidney transplant recipients.
Chapter 2
SCOPE OF THE THESIS
The aim of this thesis is to apply TDM studies to kidney transplant recipients to optimise the management of new immunosuppressive agents, with the ultimate goal to improve patient clinical outcome. In particular, I have focused my research on the pharmacokinetics of mycophenolic acid (MPA)-releasing formulations – namely mycophenolate mofetil (MMF) as well as mycophenolate sodium (EC-MPS) – and sirolimus (SRL), with particular emphasis on the potential drug-to-drug interactions between these novel immunosuppressants and other agents commonly administered to kidney transplant recipients. Additionally, in the last part of the thesis, I have also presented preliminary data on pharmacogenetics, a new science which could represent a complementary approach to pharmacokinetics for the individualisation of immunosuppressive therapy for each patient.
**Mycophenolic acid**
MPA is a potent immunosuppressive agent commonly used following organ transplantation [31]. At clinically relevant concentrations, MPA is approximately 97% bound to plasma albumin. It has been shown that the unbound, rather than the total concentration of MPA is a predictor of MPA inhibitory effect on inosine monophosphate dehydrogenase (IMPDH). Therefore, the measurement of the free concentration of MPA, in addition to the total drug concentration, is advisable for pharmacokinetic investigations.
MPA is metabolized to an inactive glucuronide conjugate MPAG, a pharmacologically active acyl glucuronide metabolite and a 7-O-glucoside metabolite. MPA is primarily excreted renally as MPAG and to some extent in the bile. MPAG is excreted in the gut and reabsorbed as MPA, a mechanism commonly known as enterohepatic recirculation (EHC) resulting in the occurrence of a secondary plasma peak 6-12 h after oral MMF administration [31].
As a guide to dosage adjustment, it is advisable to measure the concentration of MPA (total and free) and MPAG in transplant recipients. An enzyme multiplied immunoassay technique is available on the market, however this method overestimates the MPA concentrations due to cross-reactivity with the MPA metabolites [32]. Therefore, high-performance liquid chromatography (HPLC) methods remain the standard for determination of MPA and its major metabolite MPAG. Thus, simple and rapid methods for the quantification of total, free MPA and MPAG, which could be reliably applied for TDM studies, are welcome.
**Sirolimus**
Sirolimus (SRL), a 31-membered triene macrolide lactone with a hemiketal-masked α-β-dioxocarboxamide and a molecular weight of 913.6 Da, is a novel antirejection drug with potent immunosuppressive activity both in vitro and in vivo [33,34]. Studies in humans have shown a relationship between trough blood SRL concentrations and immunosuppressive efficacy and toxicity of the drug [18]. This suggests that monitoring of the SRL concentrations is advisable to optimize drug dosing regimen.
Since the drug has a narrow therapeutic index (NTI), it is important to develop an adequate method to quantify SRL in biological matrices. Several HPLC methods have been developed so far for quantifying SRL in whole blood with extraction steps using a variety of solvents and mixtures, or with liquid/liquid and subsequent solid phase extraction [35]. These HPLC methods used both ultraviolet (UV) and mass spectrometry (MS) detection (HPLC-MS or HPLC/MS/MS). Although these methods meet many or all generally accepted criteria for validated analysis of immunosuppressive drugs, they are often cumbersome, have a very long sample preparation and/or chromatographic time, require glassware preparation (silanized or light protected tubes), use toxic solvents (i.e. 1-chlorobutane) or involve equipments
(HPLC-MS) not commonly available in the clinical laboratory that need great investment. Therefore, given the increasing use of SRL in clinical transplantation, there is now need for more feasible methods to be applied in the routine clinical practice which also would allow simultaneous measurement of large number of samples.
**Development and validation of analytical methods for the measurement of immunosuppressants in plasma or whole blood**
The application of TDM to routine clinical practice requires the measurement of drugs concentrations in biological fluids. On this regard, selective and sensitive methods for the quantitative evaluation of drugs are critical for the successful conduct of pharmacokinetic studies. It is, therefore, mandatory to demonstrate that a particular method used for quantitative measurement of analytes in a given biological matrix is reliable and reproducible for the intended use. Thus, before to apply TDM to MPA and SRL monitoring, I have worked for the development of HPLC methods useful for the quantification of these immunosuppressants and, most important, I have assessed whether the performance of the assays was in agreement with the FDA Guidance for Bioanalytical Method Validation [36]. As described in *Chapters 3-5*, I have determined selectivity, accuracy, precision recovery, linearity and stability for each of the analytes assessed in the present thesis (namely, MPA, MPAG, SRL and CsA), using HPLC methods with UV detection developed in our Laboratory. Once proven acceptable performance, these methods have been subsequently applied to TDM of MPA and SRL.
**Therapeutic drug monitoring of MPA**
In the second part of the thesis I have faced with TDM of MPA, the active metabolite of MMF and EC-MPS. MPA is now routinely used in solid organ transplantation in a fixed daily dose regimen. However, no correlation has been shown between drug dose and
clinical outcome [37]. Therefore, alternative approaches to guide MPA dosing have been advocated.
To address this issue, we have taken advantage from the MYcophenolate Steroid Sparing (MY.S.S.) Study [38]. This multicenter, prospective randomised parallel group trial compared clinical outcome in recipients of cadaver-kidney transplant over 6-month treatment with MMF or azathioprine (AZA) along with CsA and steroids (phase A), and over 15 more months without steroids (phase B). Ninety out of the 356 patients in the MY.S.S. study were enrolled from the Centre of Bergamo, and half of these were given MMF. Therefore, we decided to measure MPA plasma levels (trough levels and MPA AUC\(_{0-12}\)) predicted using a LSS with sampling at: 0, 20, 40, 75 and 120 after MMF administration) in the 46 patients from the centre of Bergamo, and try to correlate MPA pharmacokinetic parameters with clinical outcome during the first 6-9 months (Chapter 6). Graft function was expressed as creatinine clearance, and MMF tolerability was evaluated by periodical assessment of blood cell count. At the completion of phase A, patients entered phase B if they had no more than two acute rejection episodes, no episodes of steroid-resistant rejection during phase A and had stable renal function with no proteinuria. Nearly 50% of the patients enrolled in phase A entered phase B [38]. To investigate the impact of steroids withdrawal on MPA pharmacokinetics, we measured MPA plasma trough levels, predicted MPA AUC\(_{0-12}\) and MPA free fraction in 26 patients out of 46 who completed phase B and in an additional control group of patients who did not discontinue steroids. This additional analysis, presented in Chapter 7, introduced a “hot topic” in the field of organ transplantation, the problem of drug-to-drug interactions. Kidney transplant recipients are chronically given with 3 or more immunosuppressive agents which, sometimes, are substrates or act as inducers or inhibitors for the same transport-metabolic system. This might be dangerous for the patients, especially when they are treated with fixed drug regimens, as usually done.
with MMF. Indeed, evidence is available that CsA and tacrolimus exerted a different effect on the entero-hepatic recirculation of MPA from glucuronidated metabolites [39]. However, no data were available on the pharmacokinetics of MPA in patients given MMF in combination with SRL, when compared with that drawn from patients treated with MMF and CsA. Therefore, as a part of a protocol aimed at investigating the efficacy of Campath-1H induction therapy in a steroid-free regimen, we measured MPA plasma levels in patients treated with low-dose SRL or low-dose CsA both in addition to low-dose MMF. To better compare the effects of both drugs on MPA enterohepatic recirculation, full pharmacokinetic profiles (at 0, 20, 40, 75, 120 min and at 3, 4, 5, 6, 7, 8, 10 and 12 h), instead of limited samplings (at 0, 20, 40, 75 and 120 min), were collected. Results of this study are given in Chapter 8. Patients given Campath-1H in combination with CsA and MMF were also used as reference group in a subsequent study aimed at assessing the pharmacokinetics of MPA from a cohort of patients given CsA and the new enteric-coated formulation of MPA (EC-MPS) as part of an intensified, multi-factorial therapy open trial. As described in Chapter 9, MPA exposure after EC-MPS administration was determined using a full sampling (at 0, 20, 40, 75, 120 min and at 3, 4, 5, 6, 7, 8, 10 and 12 h) both at month 6 and 12 post-surgery, and compared with that observed in the control group of patients given MMF and CsA.
**Therapeutic drug monitoring of SRL**
Rapamycins, namely SRL and everolimus, are a new class of immunosuppressive agents characterized by peculiar mechanisms of action, narrow therapeutic index, and strong relation between drug exposure and patients’ outcome [40], all conditions that require strict therapeutic drug monitoring. In 2001, after the development of the HPLC method with ultraviolet detection for the assessment of SRL whole blood levels (described in Chapter 4), our Laboratory has become a centralized institution in Italy to
measure drug concentrations in blood samples from 40 Italian Transplant Centres. Over 2,600 SRL trough levels were assessed from nearly 500 kidney transplant recipients. All Centres referring to our Laboratory for the assessment of SRL concentrations were asked to provide information on SRL daily dose and concomitant immunosuppressive regimen. Given the large number of SRL measurements available, we sought to investigate the possible effect of concomitant immunosuppressive regimens (such as CsA, tacrolimus, MPA and steroids) on SRL exposure, expressed as dose-adjusted whole trough levels (*Chapter 10*). As additional aim, we analysed patients with serial SRL measurements with the goal to assess intra-and interpatient variability, and to develop an algorithm useful to guide changes of SRL dosing.
**Preliminary applications with pharmacogenetics**
The advent of the genomic era gives birth to pharmacogenetics, a science that studies how the genome may affect the action of a drug. This science is of particular importance for drugs characterized by a narrow therapeutic index, such as the immunosuppressants [41]. Preliminary studies focused on polymorphisms of genes encoding for enzymes actively involved in drug metabolism, drug transport, and pharmacological target. Pharmacogenomics holds promise for improvement in the ability to individualize immunosuppressive therapy based on the patient’s genetic profile, and can be viewed as a support to the traditional pharmacokinetic-based therapeutic drug monitoring. Our preliminary experience of pharmacogenetic approaches applied to CsA monitoring was presented in *Chapter 11*. These data referred to 120 out of 356 kidney transplant recipients from the MY.S.S. trial who gave written informed consent for genetic testing. Presence of single nucleotide polymorphisms (SNPs) in the gene encoding for the P-glycoprotein was assessed.
Finally, the findings of all the studies presented above were discussed and put in the perspective of a better improvement of long term patient’s outcome after organ transplantation (Chapter 12).
Part I
DEVELOPMENT OF ANALYTICAL METHODS FOR THE MEASUREMENT OF MYCOPHENOLIC ACID, SIROLIMUS AND CYCLOSPORINE
Bioanalytical method validation
The assessment of MPA (total and free), MPAG, SRL and CsA was done using HPLC methods. Prior to the application of HPLC methods to TDM of novel immunosuppressants, the performance of these assays was tested in accordance with the FDA Guidance for Bioanalytical Methods Validation for Human Studies [36]. Measurement of each analyte in the biological matrix should be validated. Typical method development and establishment for a bioanalytical method include determination of selectivity, accuracy, precision, recovery, and calibration curve, stability of analytes in spiked samples and application of the method to routine drug analysis. Acceptance criteria for each on the above mentioned parameters are described below.
Reference standards
Analysis of MPA, SRL and CsA in the biological matrix (plasma or whole blood) was carried out using samples spiked with reference standards and using quality control samples (QCs). To avoid bias in the preparation of the spiking solutions only authenticated analytical reference standards of known identity and purity were used (either certified reference standards or commercially supplied reference standards obtained from a reputable commercial source).
Selectivity
The selectivity of each method was evaluated as lack of matrix interference by analysis of human drug-free blood samples from different volunteers (n=15). To investigate potential endogenous interference, blank samples were spiked with high concentrations of the most common immunosuppressive agents and analyzed. In addition, to test potential concomitant medication or xenobiotic interference, blood from different
transplant patients on immunosuppressive therapy and most common antifungal, antihypertensive and hypolipidemic agents were analyzed.
**Linearity**
The linearity of each method was tested by constructing standard curves from the lower limit of quantification (LLOQ) to the upper limit of quantification, plotting the peak height ratios of the drug to internal standard (IS) versus the nominal drug concentration, and applying a linear least squares regression analysis without weighing. Each method was considered linear if the coefficients of regression ($r^2$), calculated as mean of 10 curves was equal or better than 0.99.
**Imprecision and inaccuracy**
The within- and between-day coefficient of variation (CV%) and the inaccuracy of each method were assessed by calculating daily and overall CVs and bias values for QC (usually five replicates at each concentration per analytical run) that were assayed in five separate analytical runs. The methods were considered acceptable if imprecision at each concentration was less than 15% for both within and between day variability. The inaccuracy should be between ± 15%.
**Lower limit of quantification**
The lowest standard on the calibration curve was accepted as LLOQ if the analyte response at the LLOQ was at least 5 times the response compared to blank response. In addition the analyte peak should be identifiable, discrete, and reproducible with an imprecision ≤ 20% and inaccuracy between ± 20%.
Recovery
To determine the extraction efficiency, the peak-height ratios of spiked blood samples (plasma for MPA, MPAG) were compared to those obtained from direct injections of the same amount of the analyte. The assay was accepted if recovery exceeded 60%.
Dilution integrity
The ability to dilute samples originally above the upper limit of the standard curve should be demonstrated by inaccuracy and imprecision parameters in the validation. To establish dilution stability, samples at high concentrations were diluted two folds and five folds using the adequate drug-free biological matrix. Deviation from the nominal value was determined on three replicates.
Stability studies
Stability procedures evaluate the stability of the analyte during sample collection and handling, after long-term (frozen at the intended storage temperature) and short-term (bench top, room temperature), storage, and after going through freeze and thaw cycles and the analytical process. Conditions used in stability experiments reflect situations likely to be encountered during actual sampling handling and analysis. The procedure should also include an evaluation of analyte stability in stock solutions.
Each analyte stability (MPA, SRL and CsA) was determined after three freeze-thaw cycles using the appropriate biological matrix. Six aliquots, each at two concentrations (one in the low and one in the high range) were prepared. Three aliquots were analyzed promptly prepared, the other three were stored at -20°C thawed at room temperature and refrozen under the same conditions. The cycle was repeated for two more times and analyzed on the third cycle. Comparison between mean results was performed calculating the percentage difference.
Short term stability of the analytes, simulating work bench conditions, was evaluated on six aliquots, each at two concentrations stored at \(-20^\circ\text{C}\). Three aliquots were thawed at room temperature over a time period of 15 hours. After 15 hours the other three aliquots were thawed and both sets were extracted and processed. Means of the response were compared and percentage difference calculated.
Long term stability has been established storing eighteen aliquots of two concentrations at \(-20^\circ\text{C}\) and measuring the concentration over a period of 28 days. Mean concentrations obtained have been compared to the mean of back-calculated values for the standards at the same concentrations from the first day of long term stability.
Stability of MPA, SRL and CsA in the autosampler was evaluated for 24 hours. Ten sets of quality control were extract and placed in the autosampler at room temperature (at \(+4^\circ\text{C}\) for SRL). Five sets of samples were analyzed immediately, the other five sets 24 hours later. Long term stability of standard working solutions was evaluated at two temperatures (\(+4\) and \(-20^\circ\text{C}\)) and over 28 days.
**Application of validated method to routine drug analysis**
Each calibration curve, generated in each analytical run, covered the expected unknown sample concentration. Samples below LLOQ or above the highest standard were not considered (samples with higher concentrations were diluted and reassayed). During each analytical run a number of QC samples prepared separately were analyzed (usually one at the start and one at the end of the analytical run). If QC (matrix spiked with the analyte) fall out the 15% of their respective nominal values, the run was rejected. When available, samples from the MPA, SRL and CsA International Proficiency Testing Scheme (IPTS), were also processed [42,43].
DETERMINATION OF TOTAL, FREE MYCOPHENOLIC ACID AND ITS GLUCURONIDE METABOLITE USING HPLC WITH UV DETECTION
Total and free MPA plasma concentrations were measured by HPLC, introducing some modifications to already published methods [44, 45, 46]. MPAG was estimated as MPA after hydrolysis mediated by β-glucuronidase (see below).
**Total MPA**
**Human plasma, chemicals and materials**
Calibration standards and QCs were prepared using pools of plasma samples from 15 healthy volunteers and from 20 kidney and liver transplant recipients not given MMF or EC-MPS (used to test potential concomitant medications).
Standards of MPA and MPAG were initially donated by Roche Pharmaceuticals (Palo Alto, CA). After 2002, MPA was bought from Sigma (St Louis, MO), together with p-toluiic acid (PTA, used as internal standard). All the batches of MPA have a purity > 98% and were provided with the certificate of analysis. Acetonitrile, methanol were HPLC grade and were purchased by BDH (UK), all other chemicals were from Sigma. HPLC quality deionized water was prepared using Milli Q50 (Millipore, Bedford, MA). Bond-Elut C18, 200 mg, 3 ml cartridges were obtained from Varian (Leini, Italy).
**Stock solutions, calibrators, and quality control standards**
Stock solutions, containing 10, 100 mg/L of MPA and 50 mg/L PTA were prepared in methanol and stored at 4°C until use. Aliquots of the stock MPA solutions were diluted with drug free plasma to give 6 calibrators (0.1, 1, 5, 10, 20 and 40 MPA mg L). Two in-house QCs were prepared in drug-free plasma with a final concentration of 2 and 20 mg/L MPA. Calibrators and QCs were stored at -20°C until use.
Sample preparation
Over 95% of MPA is bound to albumin, whereas only a limited amount of the drug is distributed within blood cells [39]. Therefore, plasma is the matrix of choice for the assessment of MPA levels in the blood.
Five hundred microliters of plasma was mixed with 1.5 mL of water, 50 μL of internal standard and 750 μL of 0.1 N HCl. The mixture was applied to a C18 solid phase extraction column pre-conditioned with 2 mL of methanol followed by 2 mL of water. The column was dried and then eluted with 1 mL of methanol/0.1 N acetate buffer (80:20 v/v) pH 4. Samples were collected in HPLC vials.
HPLC apparatus and conditions
A System Gold HPLC equipped with a model 166 UV detector set at 254 nm and a model 507 autosampler (Beckman, Fullerton, CA) were used. The autosampler was kept at room temperature, and a 50 μL aliquot sample was injected. The separation was carried out at room temperature using a C18 column, 250 x 4.6 mm, 5 μm (Hypersil BDS, Hewlett Packard, Ge). A guard column (LiChrosper 100 RP-18, 5 μm) was placed just before the column. The mobile phase for elution of the column was 45% acetonitrile and 55% aqueous phosphoric acid (0.05%), at flow rate of 0.8 mL/min. Data were collected and processed using a 32 Karact software for HPLC system (Beckman, Fullerton, CA).
Assay validation
Method performance was determined in accordance with the FDA Guidance for Bioanalytical Methods Validation for Human Studies [36].
**MPAG**
MPAG was enzymatically hydrolyzed to MPA using β-glucuronidase (100,000 U·mL⁻¹; Sigma, St Louis, MO). This enzyme must be stored at 4°C under darkling conditions to avoid degradation. β-glucuronidase solution was diluted with phosphate buffer (0.1 M, pH 6) to reach a concentration of 100 U/mL, and 950 μL of the final solution was added to 50 μL of plasma for each sample. The mixture was incubated for 1 h at 37°C and then processed as for total MPA determination. Final MPA concentration was the sum of the contribution of MPA present in each sample, and MPA derived from MPAG. Therefore, MPAG concentration was estimated by subtracting the MPA concentration (previously analyzed without β-glucuronidase) from total drug concentration, measured after addition of β-glucuronidase, and normalizing for the molecular weight of both compounds.
**Free MPA**
**Materials**
The Centifree Micropartition System (Amicon, Beverly, MA) with a molecular weight cut-off of 30 KD was used to obtain an ultrafiltrate for free MPA determination, and the devices were centrifuged in a Beckman centrifuge with fixed angle rotor (JA21). Because some batches of filters were found to contain impurities that interfered with the chromatograms, all filters were routinely sonicated and washed with methanol/water (1:1) before use.
**Stock solutions, calibrators, and quality control standards**
Working solutions of MPA (1 mg/L) and PTA (2.5 mg/L) were prepared in methanol. The MPA working solution was used to prepare 6 calibrators in ultrafiltrate of drug-free
plasma (0.005, 0.02, 0.04, 0.1, 0.5 and 1 mg/L). Two sets of QCs were prepared in methanol (at concentrations of 0.01 and 0.7 mg/L) and stored at -20°C until use.
**Sample preparation**
For ultrafiltration procedure, 800 µL of plasma was added to the sample reservoir and the tube centrifuged at 5500 rpm (at 20°C) for 40 minutes, yielding approximately 400 µL of ultrafiltrate. Three hundred-fifty µL of ultrafiltrate was mixed with IS (50 µL) and with a phosphate buffer (10 µL, pH 2), and transferred in a polypropylene vial.
**HPLC apparatus and conditions**
HPLC system and column were the same used for the assessment of total MPA. Injection volume was 100 µL. The mobile phase consisted of solution A (250 ml acetonitrile and 300 mL of 20 mM phosphate buffer pH 3.0) and solution B (700 ml of acetonitrile and 300 mL of 20 mM phosphate buffer pH 6.5), eluted at flow rate of 1.2 mL/min with a gradient from 3% B to 100% B as follows:
| Time (min) | %B | Duration (min) |
|------------|------|----------------|
| 4.5 | 25 | 0.5 |
| 12.0 | 100 | 0.5 |
| 14.5 | 3 | 0.5 |
| 30.0 | inject | 0.1 |
Compounds were quantified by absorbance at 215 nm. Data were collected using a recorder Shimadzu and processed with Microsoft Excel.
**Assay validation**
Method performance was determined in accordance with the FDA Guidance for Bioanalytical Methods Validation for Human Studies [36], as previously described.
Results
Total MPA
Chromatographic separation
As shown in Figure 1, MPA (retention time 6.3 min) and IS (retention time 4.6 min) were well resolved and no interference was observed from plasma peaks at the elution times of these analytes. In addition, analysis of plasma samples from transplant recipients receiving immunosuppressants other than MMF revealed no interfering peaks from endogenous and exogenous compounds. The chromatographic run required 8 min per sample.
Linearity
The assay was linear in the concentration range from 0.1 to 100 mg/L with a mean regression coefficient value of 0.999 of 10 replicated curves (0.1, 0.5, 1, 5, 10, 20, 40, 60, 80, and 100 mg/L). For routine assessment of MPA plasma levels we used a 6-point equation (0.1, 0.5, 1, 5, 10, 20 and 40 MPA mg/L).
Imprecision, inaccuracy and LLOQ
Imprecision and inaccuracy were tested, both as intra- and inter-day evaluations, at 5 concentrations (0.1, 1, 10, 20 and 40 mg/L). As shown in Table 1, the method was accurate and precise, with inaccuracy and imprecision less than 10%. LLOQ was set at 0.1 mg/L.
Recovery
The solid-phase extraction procedure had an average recovery of 77% for MPA and 72% for PTA, verified at 2 concentrations (2 and 20 mg/L).
Stability studies
Stability studies were performed using plasma samples spiked with MPA at 2 and 20 mg/L. MPA concentration values were not affected by freeze-thaw cycles as well as by short-term (at room temperature for 10h h) and long-term stability tests (stored at -20°C for 1 month). Moreover, both drug concentrations were stable also in the autosampler, at room temperature, for at least 24 h. Working solutions (MPA 10 and 100 mg/L) were stable at 4°C for at least 1 month (see Table 2).
Application of the validated method to routine MPA analysis
The present method has been used to routinely measure MPA plasma trough levels as well as complete (from 0 to 12 h) and predicted (from 0 to 2 h) MPA AUC$_{0-12}$ in kidney transplant recipients given MMF or EC-MPS as part of their immunosuppressive regimen. Two in-house QCs were used during each analytical run (MPA at 2 and 20 mg/L). The temporal distribution of the inaccuracy of our HPLC method is presented in Figure 2. From June 2005, the method is enrolled in the MPA International Proficiency Testing Scheme, with a mean inaccuracy of 6%.
MPAG
To test the feasibility of the proposed procedure, we added fresh β glucuronidase to 9 samples spiked with known amount of MPAG (namely, 5, 10, 20, 40, 60, 80, 160, 320 and 500 mg/L) and the mixture was incubated for 1 h at 37°C. Subsequently, the samples were processed as previously described for MPA. In these experimental conditions, more than 99% of the glucuronide was converted to MPA.
Beta glucuronidase, stored at °4C and protected from the light, was stable for at least 6 months. When exposed to the light, these enzymes gradually lose its activity (tested periodically using known amount of MPAG).
Free MPA
Chromatographic separation
Figure 3 shows the first part of the chromatograms from ultrafiltrate drug-free samples spiked with different MPA solutions (we did not collect data during the equilibrating period). The retention time of IS and MPA were 7.9 and 12.4 min. The total chromatographic run required 30 min per sample.
Linearity and LLOQ
The method was linear in the concentration range from 0.005 to 1 mg/L of MPA ($r^2=0.992$), and the LLOQ was 0.005 mg/L.
Imprecision and inaccuracy
The performance of the HPLC method for the assessment of free MPA was worse than that used for the measurement of total MPA. However, inaccuracy and imprecision were still in agreement with the FDA Guidelines (see Table 3).
Stability
The concentrations of MPA (0.01 and 0.5 mg/L) prepared in drug free ultrafiltrate remained unchanged after three cycles of freeze and thaw, and were not affected by storage of the samples at room temperature for 12 h or by storage of ultrafiltrate samples in the autosampler for at least 24 h. In every instance the percentage difference from the nominal values was below 15%.
Legend to Figures
Figure 1. Typical chromatograms of mycophenolic acid (MPA) and para-toluic acid (PTA, internal standard) from human plasma spiked with MPA (0.5 mg/L) and from a patient given mycophenolate mofetil (MMF) as part of the immunosuppressive regimen (11.3 mg/L). For comparison drug-free plasma taken from healthy volunteer is also given (Bk).
Figure 2. Temporal distribution of the inaccuracy of the HPLC method used for the assessment of MPA plasma concentrations, calculated from two in-house quality controls (at 2 and 20 mg/L).
Figure 3. HPLC chromatograms of free MPA and PTA of ultrafiltrate from healthy volunteer (Bk) and from a patient under treatment with MMF (free MPA 0.07 mg/L).
Figure 1 - Chromatogram of the separation of PTA and MPA in the presence of Bk at two different concentrations.
Temporal distribution of MPA QCs
*From in-house quality controls*
Figure 3
HPA: 0.07 mg/L
- Figure 3 -
Table 1. Performance of the HPLC method for the determination of plasma MPA concentration
| Spiked MPA concentration (mg/L) | 0.1 | 1 | 10 | 20 | 40 |
|---------------------------------|-------|-------|-------|-------|-------|
| **Within-day assay** | | | | | |
| Mean ± SD (ng/mL) | 0.11 ± 0.01 | 1.1 ± 0.05 | 10.0 ± 0.1 | 19.9 ± 0.4 | 40.1 ± 0.3 |
| Imprecision (CV%) | 9.1 | 4.5 | 1.0 | 2.1 | 0.7 |
| Inaccuracy (%) | 7.9 | 6.5 | 0 | -4.5 | -0.5 |
| **Between-day assay** | | | | | |
| Mean ± SD (ng/mL) | 0.09 ± 0.01 | 1.1 ± 0.1 | 10.1 ± 0.3 | 19.8 ± 0.5 | 40.4 ± 0.7 |
| Imprecision (CV%) | 11.1 | 9.1 | 3.0 | 2.5 | 1.7 |
| Inaccuracy (%) | -8.9 | 7.7 | 1.0 | -1.0 | 1.0 |
Table 2. Results of the stability studies using plasma samples spiked with MPA
| Parameters | Results (%)* |
|-------------------------------------------------|--------------|
| | 2 mg/L | 20 mg/L |
| Freeze-thaw (3 cycles) | -2.4 | +1.7 |
| Short term plasma samples (10 h at room temperature) | +3.2 | +2.1 |
| Long-term plasma sample (28 days at −20°C) | -2.0 | +3.3 |
| Autosampler (24 h at room temperature) | +2.0 | -1.1 |
| Long-term stock solution (28 days at −20°C) | +3.0 | +4.4 |
| Long-term stock solution (28 days at +4°C) | +4.0 | +2.8 |
*comparison between mean results was performed calculating the percentage difference
Table 3. Performance of the HPLC method for the determination of free MPA
| Spiked free MPA concentration (mg/L) | 0.005 | 0.02 | 1.0 |
|-------------------------------------|-------|------|-----|
| **Within-day assay** | | | |
| Mean ± SD (ng/mL) | 0.006 ± 0.0011 | 0.022 ± 0.003 | 1.12 ± 0.08 |
| Imprecision (CV%) | 18.3 | 13.6 | 7.1 |
| Inaccuracy (%) | 20.0 | 10.0 | 12.0 |
| **Between-day assay** | | | |
| Mean ± SD (ng/mL) | 0.006 ± 0.0011 | 0.019 ± 0.002 | 1.15 ± 0.05 |
| Imprecision (CV%) | 18.3 | 10.5 | 4.3 |
| Inaccuracy (%) | 20.0 | -5.0 | 14.9 |
Chapter 4
ASSESSMENT OF SIROLIMUS CONCENTRATIONS IN WHOLE BLOOD BY HPLC WITH UV DETECTION
Human whole blood samples, chemicals and materials
For the preparation of in-house QCs and calibration standards, different pools of whole blood samples from 15 healthy volunteers was used. In addition, subsequent to signing of an informed consent form, EDTA anticoagulated whole blood samples were obtained from 30 kidney, heart and liver transplant recipients not given SRL.
Standard samples of SRL (purity ranging from 97 to 98%, according to different batches) and 32-O-desmethoxyrapamycin (internal standard, IS) were generous gifts from Wyeth-Ayerst Research Laboratories (Princeton, NJ) and furnished with adequate information on drug source, lot number, expiration date and certificate of analysis.
Acetonitrile and methanol (BDH, Milan, Italy) were HPLC grade; acetone and hexane HPLC grade were supplied by Fluka (Milan, Italy). Zinc sulphate heptahydrate, analytical grade, was purchased from Fluka and a 5% solution was prepared in distilled water. All other chemicals were analytical grade. Bond-Elut C18, 200 mg, 3 ml cartridges were obtained from Varian (Leini, Italy).
Stock solutions, calibrators and quality control standards
Stock solutions containing 50 and 100 µg/mL were appropriately prepared in methanol for SRL and IS, respectively. SRL working solutions of 100, 500, and 2000 ng/mL were prepared in 50/50 methanol/water, and for IS a working solution of 1000 ng/mL was prepared in methanol. All the solutions were stored at -20 °C.
Taking into account the therapeutic range of SRL trough levels, calibrator samples were prepared mixing appropriate volumes of SRL from stock working solutions to EDTA anticoagulated human whole blood from healthy volunteers to achieve different concentrations from 2.5 to 60 ng/mL (2.5, 5, 10, 15, 20, 40, and 60 ng/mL). Calibrators were prepared by diluting each spiking solution to 10 ml with K₃EDTA control human whole blood in 10 ml volumetric flasks. The flasks were stopper and shaken to mix.
Pools are measured into 1 mL aliquots in polypropylene tubes and frozen at $-20^\circ$C until use. Three in-house QCs, representing the low, medium and high concentrations, were prepared in drug-free whole blood with a final concentration of 3, 10 and 30 ng/mL SRL. Calibration, QCs and reference standards were aliquoted and stored at $-20^\circ$C until use.
**Sample preparation**
SRL is extensively distributed in red blood cells, independently of concentration and temperature [47], so we decided to use whole blood as the preferred matrix for method validation.
One millilitre volume of whole blood sample was pipetted into disposable polypropylene tubes and supplemented with 50 $\mu$L of IS solution (1000 ng/mL). The tubes were vortex-mixed for 40 seconds; 1.5 mL of zinc sulphate solution was first added followed by a 1.5 mL acetone. The tubes were vortex-mixed for a further 50-60 seconds and centrifuged at 3000 g for 5 minutes at room temperature. The clear supernatant was poured into another polypropylene tube, diluted with 2 mL distilled water, mixed and loaded onto a Bond-Elut cartridge (preconditioned with 1 mL acetonitrile followed by 1 mL methanol and finally by 1 mL distilled water) placed on a Vac Elut 20 Manifold (Varian). The Bond-Elut cartridges were washed with 1.5 mL of 70% methanol/30% water. In each step the solvent was allowed to drop out from the cartridge. Then 500 $\mu$L hexane was added and the column was allowed to go dry under vacuum. SRL and IS were eluted in polypropylene tubes with 1 mL acetonitrile. In all steps the flow rate did not exceed 1 mL/min. The eluate was taken to dryness either under a gentle nitrogen stream in a water bath at 37 °C or in a model RC 10.09 centrifugal evaporator (Jouan, Saint-Herblain, France) and the residue was dissolved in 0.15 mL of water-methanol-acetonitrile (40/30/30) and transferred in a polypropylene
vial. Internal calibration curves for SRL were prepared for each set of samples. At least 60 samples (including controls and calibration curve) can be extracted in 4 h and processed by HPLC in less than 20 h.
**HPLC apparatus and conditions**
A System Gold HPLC equipped with a model 166 UV detector set at 278 nm and a model 508 autosampler (Beckman, Fullerton, CA) with the sample tray kept at 4 °C, were used. A 90 µL aliquot of sample was injected onto reversed-phase C18, 5 µm, guard column (Alltima, 7.5 x 4.6 mm, Alltech, Sedriano, Milan, Italy) connected to a 75 x 4.6 mm column packed with Ultrasphere C8, 3 µm (Beckman) heated at 50 °C by a Model 880 oven (Spark-Holland, Emmen, The Netherlands) and was eluted by a mixture of distilled water/methanol/acetonitrile (34/30/36) pumped at a rate of 1 ml/min. Due to the high percentage of the organic phase that may dry off, resulting in increased retention time, the mobile phase was prepared every one or two days before analysis, filtered and degassed under vacuum using a polycarbonate 0.4-µm membrane. An in-line filter (0.5 µm) was placed between the autosampler and the column. Data were collected and processed using a 32 Karat software (Beckman, Fullerton, CA).
**Method Validation**
Method performance was determined in accordance with the FDA Guidance for Bioanalytical Methods Validation for Human Studies [36], as described above. In addition, the present method has been enrolled in the Sirolimus international Proficiency Testing Scheme [42]. For the Proficiency Test initially 78 blinded samples, packaged as 5 batches of samples each, were analyzed. In addition, ongoing proficiency was tested by analyzing 3 blinded samples from the Reference Laboratory every month.
Results
Chromatographic separation
Figure 4 displays the chromatograms of extracts prepared from a blank blood spiked with known amounts of SRL and from blood of a transplant patient given SRL. The retention time of SRL and IS were 13.1 and 14.5 min, respectively, and the chromatographic step required 18 min per sample. Both SRL and IS eluted as symmetrical and relatively sharp peaks. Blank blood samples from healthy volunteers did not show peaks corresponding to SRL and IS retention times. This was confirmed in 30 kidney, heart and liver transplant recipients in a SRL-free regimen. Representative chromatogram of a blank sample is shown in Figure 4. On the other hand, a concentration-dependent increase in the SRL peak height was documented when known amounts of the drug were added to blood samples to achieve a final concentration of 2.5 and 40 ng/mL, respectively. Moreover, a distinct peak of SRL was found in the blood sample collected from a kidney transplant patient given SRL as a part of the immunosuppressive therapy. Furthermore, no chromatographic interference was found between SRL or IS and other immunosuppressants such as CsA, MPA, azathioprine and steroids as shown when blood samples from transplanted patients were added in vitro with SRL, or when blood from healthy subjects was spiked in vitro with SRL and immunosuppressants. Even high concentration of the above mentioned drugs did not affect the SRL chromatographic profiles.
Occasionally a sharp peak occurred in some chromatograms at about 10.5-11 min - which did not affect the assay's performance - probably dependent on the different lot of Bond-Elut cartridges used.
The minimal overlapping between SRL and IS peaks observed when concentrations higher than 40 ng/mL were analyzed did not influence the accuracy of the analysis. This was confirmed by injecting a lower volume (40 µL) of the same sample at two
concentration levels. The complete separation between the analytes was restored and results were similar (40 µL injection: 39.4±1.1 ng/mL; 90 µL injection: 39.8±1.0 ng/mL. 40 µL injection: 80.7±5.5 ng/mL; 90 µL injection: 82.5±4.7 ng/mL).
**Linearity**
Linearity was determined by least-squares linear regression analysis of the peak height of SRL/IS versus SRL concentration. The method demonstrated excellent linearity over the range of 2.5-100 ng/mL ($r^2$, calculated as mean of 10 curves, was 0.998). Since SRL trough levels from organ transplant recipients were greatly below the upper limit of quantification, we decided to use 7 points ranging from 2.5 to 60 ng/mL for the calibration curves used in the routine clinical practice. Linear regression of the peak height ratio of the drug/IS versus the concentration for calibration curves produced a coefficient of regression greater than 0.998. A typical equation describing the calibration curve was $y=0.02358$ (SE:0.00015)$x + 0.02075$ (SE:0.00313).
**Imprecision and inaccuracy**
The within-day and between-day coefficients of variation for SRL in whole blood are reported in Table 4. The within-day imprecision of the assay, as estimated by the coefficient of variation of the measurement from spiked samples, was below 6.6%. The between-day coefficient of variation was still low (8.0%). The precision of our method was good also when replicates from a patient sample were considered (mean 7.7±0.4 nL/ml; CV 5.7%, n=5). The inaccuracy of the method was low and, as expected, data were better for the highest SRL concentration tested (40 ng/mL). The result of inaccuracy obtained with the lowest concentration of the drug (2.5 ng/mL) was still acceptable (8.8%).
The extraction procedure of the samples was tested with different blood volumes (ranging from 300 to 600 µL) at 7.5 ng/mL (mean 7.9±0.4 ng/mL; n=5) and 22.5 ng/mL (mean 22.0±0.7; n=5). In each instance we obtained an acceptable precision (CV less than 6.0%). These results suggest that there is no need of additional changes in the method protocol when small volume of samples is available.
**LLOQ**
The LLOQ was established at 2.5 ng/mL, in agreement with the FDA Guidelines (signal/noise ratio > 5, imprecision below 20%, inaccuracy between ±20%). This is a suitable value to detect accurately the expected low SRL trough concentration in transplant patients.
**Recovery**
The overall recovery, calculated by comparing the peak-height ratios of spiked samples with those obtained by direct injections of the same amount of SRL and IS, was checked at 5 and 20 ng/mL. The overall recovery was 64.4 ± 3.0% for SRL and 63.3 ± 1.9% for IS.
**Dilution integrity**
To establish dilution stability, blood samples at concentrations of 100 and 200 ng/mL were diluted with SRL-free whole blood, and SRL concentration was determined on three replicates. A two-fold dilution of samples with concentrations of 100 ng/mL and 200 ng/mL was associated with an inaccuracy of -2.1 ± 3.6% and 1.4 ± 3.9%, respectively, while a 5-fold dilution of 200 ng/mL revealed an inaccuracy of -5.4 ± 4.3%.
Stability studies
Stability studies were performed using whole blood samples spiked with SRL at 5 and 50 ng/mL. As shown in Table 5, SRL concentration values were not significantly affected by freeze-thaw cycles as well as by short-term (at room temperature for 15 h) and long-term stability tests (at least 28 days stored at -20°C). Both concentrations of SRL were stable, also when left in the autosampler for at least 24 h.
Working solutions of SRL (methanol/water 50/50) were stable for at least 28 days if kept at -20°C, but not at 4°C.
Application of validated method to routine drug analysis
We have applied the validated method for the assessment of SRL daily blood concentration profile after the morning oral drug administration in several kidney transplanted patients. In addition, the present method has been used to routinely monitor SRL trough levels from heart and kidney transplant recipients given the drug as part of their immunosuppressive regimen. An analytical run was usually performed every 7-10 days. Two or three in-house QC (prepared separately from the calibration curves) were used during each analytical run. In addition monthly samples from the SRL IPTS were processed. Temporal distribution of the inaccuracy of our HPLC method (from results of the SRL IPTS) from November 2001 to September 2005 is presented in Figure 5. The median inaccuracy of the present method was -6.0% (95% confidence intervals: -8.9 to -3.1%).
Legend to Figures
Figure 4. Typical chromatograms of sirolimus (SRL) and internal standard (I.S.) from drug-free blood taken from healthy volunteer (Bk), blood spiked with 2.5, 40 ng/mL SRL, and a trough blood sample (7.1 ng/mL) taken from a kidney transplant recipient immediately before the next oral dose of SRL.
Figure 5. Temporal distribution of the inaccuracy of the HPLC method used for the assessment of SRL whole blood concentrations, derived from the results of the Sirolimus International Proficiency Testing Scheme.
SRL I.S.
-40 ng/mL
7.1 ng/mL
2.5 ng/mL
BK
Time (min)
Figure 4 -
Temporal distribution of SRL IPTS
- Figure 5 -
Table 4. Performance of the HPLC method for the determination of SRL concentration in whole blood
| Spiked SRL concentration (ng/mL) | 2.5 | 5 | 10 | 20 | 40 |
|---------------------------------|-------|-------|-------|-------|-------|
| **Within-day assay** | | | | | |
| Mean ± SD (ng/mL) | 2.7 ± 0.2 | 5.0 ± 0.4 | 10.3 ± 0.2 | 19.1 ± 0.7 | 39.3 ± 0.6 |
| Imprecision (CV%) | 7.4 | 8.0 | 1.9 | 3.7 | 1.5 |
| Inaccuracy (%) | 8.0 | 0.0 | 3.0 | -4.5 | -1.8 |
| **Between-day assay** | | | | | |
| Mean ± SD (ng/mL) | 2.7 ± 0.2 | 5.0 ± 0.2 | 10.3 ± 0.3 | 18.8 ± 0.5 | 42.3 ± 0.8 |
| Imprecision (CV%) | 6.6 | 3.1 | 2.7 | 2.7 | 1.8 |
| Inaccuracy (%) | 8.8 | -0.8 | 3.0 | -5.8 | 5.7 |
Table 5. Results of the stability studies using whole blood samples spiked with SRL
| Parameters | Results (%)* |
|-------------------------------------------------|--------------|
| | 5 ng/mL | 50 ng/mL |
| Freeze-thaw (3 cycles) | -4.1 | +2.5 |
| Short term blood samples (15 h at room temperature) | +7.7 | -1.9 |
| Long-term blood sample (28 days at −20°C) | +2.4 | +3.7 |
| Autosampler (24 h at 4°C) | +4.4 | +3.1 |
| Long-term stock solution (28 days at −20°C) | +4.0 | +6.1 |
| Long-term stock solution (28 days at +4°C) | +32 | +25 |
*comparison between mean results was performed calculating the percentage difference
Chapter 5
MONITORING OF CYCLOSPORINE IN WHOLE BLOOD USING A HPLC-UV METHOD
CsA was measured by UPLC with UV detection, using the method from Kahn et al [48], with some modifications, as described below.
**Human whole blood, chemicals and materials**
Calibration standards, QCs and blanks were prepared using pools of whole blood samples from healthy volunteers (n=15) and from kidney (n=10) and liver (n=10) transplant recipients not given CsA.
CsA and cyclosporine D (IS) were kindly supplied by Novartis Pharma (Basel, CH), with a declared purity of 100%. Methanol and acetonitrile (BDH, UK) were of HPLC grade. All other solvents were of analytical grade (Sigma, St Louis, MO). Deionized water was prepared using a Milli Q50 system (Millipore, Bedford, MA).
**Stock solutions, calibrators and QCs**
Stock solutions containing 100 mg/L of CsA and IS, as well as working solutions (10 mg/L for CsA and 20 mg/L for IS) were prepared in methanol. For calibration of the analytical system appropriate volumes of CsA from stocked working solutions were added to 1 mL EDTA anticoagulated human whole blood to achieve 7 different CsA concentrations (20, 50, 100, 200, 500, 1000 and 2000 ng/mL). QCs were prepared spiking known volumes of CsA from working solutions to drug free whole blood in order to obtain three concentrations (30, 300, 900 ng/mL CsA). CsA solutions, calibrators and QCs were stored at -20°C.
**Sample preparation**
To one mL of peripheral vein blood samples we added IS (50 µL), hydrochloric acid 0.2N (1 mL), and heptane (1 mL). The mixture was vortexed for 10 sec to lyse the blood cells. Subsequently we added diethyl ether (8 mL) and each tube was tightly
capped. Extraction of CsA was effected on a reciprocal shaker. The organic phase was clarified by centrifugation for 15 min at 3000 RPM. The ether layer was decanted into a clear glass tube and washed with sodium hydroxide 0.1 N (1mL). Following a second centrifugation for 10 min, the ether layer was transferred into a clean glass tube and evaporated to dryness under a gentle nitrogen stream in a water bath at 37°C. The residue was redissolved in 200 µL of the mobile phase and washed by vortexing for 30 sec with heptane (1 mL). The sample was finally centrifuged (10 min at 3000 RPM) and the lower aqueous layer transferred in a polypropylene vial.
**HPLC apparatus and conditions**
A system Gold HPLC with a UV detector set at 214 nm and a model 580 autosampler (Beckman, Fullerton, CA) was used. A 50 µL of aqueous layer was injected into a C-8 HPLC column (150 x 4.6 mm, 5 µm, Beckman) heated at 72°C by a LC oven 101 (Perkin Helmer, Milan). Isocratic liquid chromatography separation was carried out using a mobile phase of water/methanol/acetonitrile (27/32/41) at a flow rate of 1 mL/min. Data were collected and processed using a 32 Karact software (Beckman).
**Method Validation**
Method performance was determined in accordance with the FDA Guidance for Bioanalytical Methods Validation for Human Studies [36], as described above. Since July 2003, this method is enrolled in the Cyclosporine international Proficiency Testing Scheme [43]. Ongoing proficiency is tested by analyzing 3 blinded samples from the Reference Laboratory every month.
Results
Chromatographic separation
Figure 6 displays the chromatograms of extracts prepared from a CsA-free sample, a blank blood spiked with known amounts of CsA and from blood of a transplant patient given CsA. The retention time of CsA and IS were 12 and 16.5 min, respectively, and the chromatographic step required 20 min per sample.
Linearity and LLOQ
Linearity was determined by least-squares linear regression analysis of the peak height of CsA/IS versus CsA concentration. The method demonstrated excellent linearity from 20 to 5000 ng/mL ($r^2$, calculated as mean of 10 curves, was 0.996). The LLOQ was established at 15 ng/mL (inaccuracy: $12.3 \pm 3.3\%$, imprecision: $15.8 \pm 4.9\%$).
Imprecision and inaccuracy
The within- and between-day performance of this method was assessed by calculating CV% and bias values for the three QCs (30, 300 and 900 ng/mL in five replicates at each concentration per analytical run) that were assayed in 5 separate analytical runs. As shown in Table 6, the performance was satisfactory.
Recovery
The overall recovery, checked at 50 and 1000 ng/mL of CsA, was $70.4 \pm 3.8\%$ for CsA and $68.3 \pm 4.5\%$ for IS, respectively.
Dilution integrity
To establish dilution stability, blood samples at concentration of 1000 and 4000 ng/mL were diluted with CsA-free whole blood, and CsA concentration was determined on
three replicates. A two-fold dilution of samples with concentration of 1000 ng/mL and 4000 ng/mL was associated with an inaccuracy of 4.5 ± 2.1% and 2.2 ± 3.9%, respectively, while a 5-fold dilution of 4000 ng/mL revealed an inaccuracy of -3.8 ± 2.8%.
**Stability studies**
Stability studies were performed using whole blood samples spiked with CsA at 50 and 1000 ng/mL. CsA concentration values were not significantly affected by freeze-thaw cycles as well as by short-term (at room temperature for 15 h) and long-term stability tests (at least 28 days stored at -20°C). Both concentrations of CsA were stable, also when leaved in the autosampler for at least 24 h at room temperature. Working solutions of CsA were stable for at least 2 months, kept at 4°C (Table 7).
**Application of validated method to routine drug analysis**
The present method has been used to routinely monitor CsA trough levels and full pharmacokinetic profiles from kidney transplant recipients given the drug as part of their immunosuppressive regimen. An analytical run was usually performed every 2-4 days. Three in-house QC were used during each analytical run in addition to samples from the CsA IPTS (when available). Temporal distribution of the inaccuracy of our HPLC method compared with results from the IPTS is presented in Figure 7. The median inaccuracy of the present method was -7.9% (95% confidence intervals: -9.8 to 2.8%).
Legend to Figures
Figure 6. Chromatograms of cyclosporine (CsA) and I.S. (cyclosporine D or CsD) from whole blood sample spiked with 25 ng/mL CsA and from kidney transplant recipients given CsA as part of their immunosuppressive regimen (CsA C₀: 243 ng/mL, CsA C₂: 581 ng/mL).
Figure 7. Temporal distribution of the inaccuracy of the HPLC method used for the assessment of CsA whole blood concentrations, derived from the results of the Cyclosporin International Proficiency Testing Scheme.
CsA
CsD
581 ng/mL
243 ng/mL
25 ng/mL
Time (min)
Figure 6 -
Temporal distribution of CsA IP TS
Inaccuracy (%)*
- Figure 7 -
Table 6. Performance of the HPLC method for the determination of CsA levels
| Spiked CsA concentration (ng/mL) | 30 | 300 | 900 |
|---------------------------------|------|------|------|
| **Within-day assay** | | | |
| Mean ± SD (ng/mL) | 32 ± 2 | 297 ± 15 | 888 ± 23 |
| Imprecision (CV%) | 6.3 | 5.1 | 2.6 |
| Inaccuracy (%) | 6.7 | -1.0 | -1.3 |
| **Between-day assay** | | | |
| Mean ± SD (ng/mL) | 28 ± 3 | 299 ± 12 | 890 ± 21 |
| Imprecision (CV%) | 10.7 | 4.0 | 2.4 |
| Inaccuracy (%) | -6.7 | -0.3 | -1.1 |
Table 7. Results of the stability studies using whole blood samples spiked with CsA
| Parameters | Results (%)* |
|-------------------------------------------------|--------------|
| | 50 ng/mL | 1000 ng/mL |
| Freeze-thaw (3 cycles) | 3.4 | -2.3 |
| Short term blood samples (15 h at room temperature) | +6.7 | -1.7 |
| Long-term blood sample (28 days at -20°C) | +3.1 | +1.3 |
| Autosampler (24 h at room temperature) | +5.0 | -2.2 |
| Long-term stock solution (28 days at -20°C) | +2.0 | +2.1 |
| Long-term stock solution (28 days at +4°C) | +3.2 | -1.5 |
*Comparison between mean results was performed calculating the percentage difference.
Part II
THERAPEUTIC DRUG MONITORING OF MYCOPHENOLIC ACID-RELEASING FORMULATIONS
Chapter 6
PHARMACOKINETICS HELP OPTIMIZING MYCOPHENOLATE MOFETIL DOSING IN KIDNEY TRANSPLANT RECIPIENTS
Introduction
Three large double-blind randomized trials in kidney transplant recipients [49,50,51] have shown that addition of MMF, a novel immunosuppressive drug [52], to CsA and prednisone allowed reduction in the rate of acute rejection during the first 6 or 12 months after transplantation as compared to azathioprine- or placebo-treated patients. Since then, MMF has been widely used in a fixed daily dose of 2 g, in two divided administrations, as a part of a combination regimen with CsA and steroids. A fixed dosage of MMF has been proposed also for patients undergoing heart or liver transplantation, based on results of clinical trials [53,54], as well as for the limited number of patients with chronic nephropathies unresponsive to conventional treatment [55].
MMF is the morpholinoethyl ester prodrug form of the active immunosuppressive molecule MPA, toward which is rapidly converted following oral ingestion [56]. MPA is, itself, metabolized to the phenolic glucuronide (MPAG), which is mostly eliminated in the urine [56]. By selectively and reversibly inhibiting IMPDH, a key enzyme in the de novo pathway of purine synthesis, MPA prevents the proliferation of both T and B lymphocytes [52,56].
Thus, as in the case of CsA and tacrolimus [57,58,59], individualizing MMF dose instead of using a fixed dose, might help to optimize immunosuppression and minimize potential toxic effect. This would require routine therapeutic drug monitoring by measuring plasma MPA concentration. Previous studies have shown a correlation between the MPA AUC and the risk of graft rejection [37]. However, contrary to CsA, data showing the usefulness of monitoring MPA concentration or defining a therapeutic window in terms of plasma MPA concentrations are scanty [60].
In the current study we examined 1) the need of optimizing MMF dosing by MPA pharmacokinetic monitoring in stable kidney transplant patients; 2) the possible association between MPA pharmacokinetic parameters and kidney graft function; and 3) whether measurement of free MPA compared to total plasma MPA concentration provides additional information as for MMF-induced change in blood cell count.
Methods
Patients
Forty-six consecutive adult renal transplant patients (17 female, 29 male) who had received kidney graft from 6 to 9 months before, were studied (Table 8). All were recipients of first kidney transplant from cadaver donors, aged 15 to 58 years. They were on triple immunosuppressive therapy with CsA Neoral, prednisone and MMF. Patients started with the conventional 2g/day MMF dose, in two divided administrations. Eighteen of them, however, required MMF dose reduction within the first 2 months post-transplant due to adverse events, i.e. leukopenia, thrombocytopenia, diarrhoea and CMV infections. Changes in MMF dosing was performed by the physicians on the basis of clinical parameters suggesting drug-induced toxicity and not based on MPA pharmacokinetics. Thereafter MMF daily dose remained fixed, ranging from 500 mg to 2g/day according to patient needs. At the time of the evaluation all patients had stable graft function.
Study design
The study was described in detail to all patients before admission and informed consent was obtained in each instance. On the morning of the study, blood samples were collected for routine haematological analysis, and for determination of trough blood level of CsA and plasma total MPA and MPAG. Then each patient was given the morning dose of CsA and MMF and underwent evaluation of simplified pharmacokinetic profiles. Thus for CsA pharmacokinetics blood samples were collected in heparinized tubes at 60 and 180 minutes after dosing [61] and stored at -20 °C until analysis. For MPA and MPAG pharmacokinetics blood samples in EDTA-tubes were drawn at 20, 40, 75 and 120 minutes [37]. Thereafter samples were centrifuged at 3000
g, plasma separated, and stored at -20 °C until analysis for MPA and MPAG concentration. In a subgroup of patients (n=23) the percentage of free MPA concentration at time 0, in addition to total MPA trough level, was determined.
**MPA, MPAG and CsA measurement**
MPA (total and free) and MPAG plasma concentrations as well as CsA whole blood levels were measured by reverse phase HPLC as described in *Chapter 3*.
**Pharmacokinetic parameters**
Trough levels of MPA and MPAG were determined. The MPA AUC$_{0-12}$ was predicted using the equation of Hale et al [37]. AUC from 0 to 2 h (AUC$_{0-2}$) was calculated using the trapezoidal rule. For the 2- to 12 h interval, the concentrations ($C_t$) at 6, 8 and 12 h were estimated by the empiric equation:
$$C_t = 0.14 + 1.25 \times C_0$$
In which $C_0$ is the predose MPA level. Main MPA pharmacokinetic parameters were adjusted for the daily MMF dose and expressed as per g MMF. Free MPA was expressed as percentage rate of unbound / total MPA.
Trough level of blood CsA was determined and the CsA AUC$_{0-12}$ was calculated using a three-point strategy (sampling at 0, 1 and 3 h post CsA dosing) with the following equation:
$$\text{AUC}_{0-12} = 5.189 \times C_0 + 1.267 \times C_1 + 4.150 \times C_3 + 135.079 \quad [61]$$
Statistical analysis
Results are reported as means ±SD. Data were analyzed with paired or unpaired t test for normally distributed parameters. For non-normally distributed parameters the Wilcoxon test was used. The statistical significance level was defined as P<0.05.
Variability of MPA pharmacokinetics
Table 9 summarizes baseline graft function and MPA pharmacokinetic parameters. Serum creatinine and urea concentrations were widely distributed ranging from normal to moderate renal insufficiency values. In each patient, however, these values were comparable to those measured during the previous 3 months, indicating stable graft function.
Plasma MPA trough levels ranged from 0.24 to 7.04 mg/L, and the estimated MPA AUC$_{0-12}$ values were in parallel from 10.1 to 99.8 mg*h/L. Similar wide range values were found for average MPAG concentration.
Since in these patients the MMF daily dose was not uniform, although fixed for a given patient we normalized MPA pharmacokinetic parameters for the dose regimen. As shown in Figure 8 (panel A), only 37% of patients had similar normalized MPA trough level, the remaining being largely distributed in the low or high range of the frequency profile for a given plasma MPA value. Similarly, a large interindividual variability in MPA AUC$_{0-12h}$ was documented (Figure 8, panel B).
Association between MPA pharmacokinetics and kidney graft function
Figure 9 reports the correlation between MPA pharmacokinetics parameters and graft function. Plasma MPA trough levels were positively and significantly correlated with patients' creatinine clearance values (panel A, $r=0.50$, $p<0.01$). A significant correlation was also found between MPA AUC$_{0-12}$ and renal function measured as creatinine clearance (panel B, $r=0.52$, $p<0.01$). Both MPA trough levels and MPA AUC$_{0-12}$, however, did not correlate with the given MMF dose ($r=0.1$).
Table 10 shows demographic characteristics and functional and pharmacokinetic parameters in two subgroups of transplant patients characterized according to MPA AUC$_{0-12}$ > or <40 mg*h/L. The two groups were comparable for gender, body weight, kidney donor age as well as number of rejection episodes. Patients with MPA AUC$_{0-12}$ group >40 mg*h/L were slightly but significantly younger than those of group <40 mg*h/L (p<0.05). Patients with MPA AUC$_{0-12h}$ >40 mg*h/L had better renal function, as documented by a significantly lower serum creatinine concentration (P<0.05), and higher creatinine clearance (P<0.01) values, than those with lower MPA AUC. This finding was confirmed even after normalizing creatinine clearance values for body surface area to limit the potential influence of gender and body weight on renal function estimation. However, no difference in CsA dose, blood CsA trough level as well as CsA-AUC was found between the two groups of patients. Similar findings were achieved when patients were considered according to plasma MPA trough level > or <1.5 mg/L (data not shown).
We also analyzed values of MPA pharmacokinetic parameters in patients arbitrarily subdivided according to tertiles of serum creatinine concentration, namely ≤1.3 mg/dL (mean 1.1 mg/dL normal graft function), >1.3 to ≤1.6 mg/dL (mean 1.5 mg/dL mild renal insufficiency) and >1.6 mg/dL (mean 2.1 mg/dL moderate renal insufficiency). As shown in Figure 10, the highest MPA AUC$_{0-12}$ value was associated with the lowest tertile of serum creatinine concentration. At variance the lowest mean MPA AUC$_{0-12}$ values were found in patients with the highest serum creatinine (moderate renal insufficiency). Similar findings were observed for MPA trough level: the highest MPA trough level (2.33±1.80 mg/L) was linked to the lowest serum creatinine tertile, whereas the lower MPA trough level (1.17±0.71 mg/L) was associated with the highest tertile of serum creatinine concentration. The difference between MPA AUC or trough levels and serum creatinine tertiles was statistically significant (p<0.05). However, CsA dose (130,
152, 134 mg/day), blood CsA trough level (194.9, 182.5, 168.5 ng/mL) and CsA-AUC (4981, 4825, 5045 ng/mL.h) were comparable between the tertile groups.
**Plasma free MPA fraction and blood cell count**
The percentage of free MPA trough concentration in plasma of patients with anaemia was higher than that in patients with normal red blood cells (RBC) count (RBC <4.2 x10^6/μL: 2.31±0.71 %; RBC >4.2 x10^6/μL: 1.63±0.88 %, P<0.05). Similar findings were observed with free MPA trough concentration (RBC <4.2 x10^6/μL: 0.064±0.025 μg/mL; RBC >4.2 x10^6/μL: 0.030±0.022, P<0.05) By contrast total MPA trough concentration was comparable in anaemic and normocytemic patients (RBC <4.2 x10^6/μL: 3.32±2.26 μg/mL; RBC >4.2 x10^6/μL: 3.53±2.57 mg/L). Moreover, the percentage of free MPA and the free MPA concentration but not total MPA trough values significantly correlated with RBC count (% free MPA: r=0.51, P<0.05; free MPA concentration: r=0.50, P<0.05; total MPA: r=0.13, P=0.54; Figure 11) or hematocrit values (% free MPA: r=0.46, P<0.05; free MPA concentration: r=0.54, P<0.05; total MPA: r=0.27, P=0.21; Figure 11).
A significantly negative correlation was also shown between percent free but not free or total MPA trough level and leukocyte cell count (% free MPA: r=0.45, P<0.05; free MPA concentration: r=0.13 P=0.30; total MPA: r=0.18, P=0.41; Figure 12).
The first finding of the present study is that in kidney transplant recipients with stable graft function given MMF as a part of their antirejection therapy, both plasma MPA trough level and MPA AUC$_{0-12h}$ were highly variable despite patients received a fixed daily dose of the prodrug, even after normalization of values for the different total MMF dosage used by single patients. Difference in MPA pharmacokinetic values can not be attributed to poor reproducibility of the assay, since our coefficient of variation for MPA measurement by HPLC was 3.4%. On the other hand, our results confirm previous observation that, although the bioavailability of MPA is high and approaches 94% in healthy subjects and renal transplant patients [60], the 12-h dose interval MPA AUC showed a >10-fold range for renal transplant patients on a fixed MMF dose of 2 g/day [60,63]. Moreover, it has been reported in healthy subjects and kidney transplant recipients that the plasma MPA concentration-time profile for a single dose of oral MMF, after an overnight fast, rapidly increased and peaked approximately after 1 h, followed by an initial rapid decrease, and then a secondary peak at 6-12 h [64]. This pattern is probably attributable to an enterohepatic pathway involving MPAG passage into the gastrointestinal tract via biliary excretion, conversion to MPA via glucuronidase action in gut flora, and reabsorption of the latter into the systemic circulation [56]. Thus, the interpatient MPA pharmacokinetic variability as well the documentation of an enterohepatic circulation pathway for MPAG/MPA, would suggest that, as currently performed with CsA or tacrolimus, dosage adjustment to achieve an appropriate plasma MPA trough level or MPA AUC target concentration should be advisable.
Somewhat earlier in the clinical development of MMF, a retrospective statistical evaluation of MPA dose-interval AUC data in relation to the incidence of acute rejection was performed in patients enrolled in a MMF Japanese renal transplant clinical
study [65] and given fixed doses of 1, 2, 3, or 4 g MMF daily. A pharmacokinetic/pharmacodynamic correlation between MPA AUC0-12 and the risk for acute rejection [60] was observed in that the risk for acute rejection decreased with increasing MPA AUC. A more recent prospective concentration-clinical response study confirmed a strong significant relationship between rejection risk and MPA AUC but not MMF dose [37]. Moreover, similar results were found in heart transplant patients in which the incidence of acute rejection episodes were clearly related to the MMF plasma trough level [66,67], in the presence of therapeutic CsA or tacrolimus blood levels. These studies strongly support the need of therapeutic drug monitoring to optimize MMF dosing and reduce the risk of graft rejection early post-transplant. Here we extended these observations and found a significant correlation between MPA AUC0-12 and graft function (as creatinine clearance) in kidney transplant recipients 6 to 9 months post-surgery. Moreover patients with renal function in the highest tertile of serum creatinine concentration had the lowest MPA AUC0-12 and trough level, despite no difference in CsA exposure between the tertiles. Certainly these findings do not allow us to conclude for a causal relationship between plasma MPA levels and renal function. However, some considerations may indirectly help to confirm the possible association between these parameters. It is known that MPA levels and probably metabolism are influenced by protein binding, since MPA is avidly and extensively bound to human serum albumin [44]. Many reports describe reduced drug binding in disease associated with hypoalbuminemia, e.g. liver disease, various types of renal dysfunction, burn injuries and malnutrition [68,69]. However, our transplant patients were in good health, with normal serum albumin level, and no clinical and laboratory evidence of liver disease, which could exclude a reduced binding of MPA. Moreover, free MPA concentrations and free fraction of MPA are elevated in many patients with severe renal dysfunction (creatinine clearance <20 mL/min) when on chronic MMF
therapy [70], due to both the uremic state per se and by competition for albumin binding sites with the renally eliminated metabolite MPAG. This was not the case for the patients we studied, who had normal renal function or mild to moderate renal dysfunction and average plasma MPAG level <100 mg/L. Furthermore, differences in graft function in the two groups of patients with MPA AUC > or <40 mg*h/L were not due to different immunological response or CsA exposure, since the number of rejection episodes early post-surgery and CsA dose and pharmacokinetic parameters were comparable. This would also exclude that difference in plasma MPA levels were due to different blood concentrations of CsA, given the fact that CsA has been previously shown to influence MPA trough level in kidney transplant recipients [71].
On the other hand, attempts to define the pharmacokinetic relationship for MMF-related adverse events have not been always successful and experience suggest that drug dose (not MPA pharmacokinetics) provide the most predictive information for adverse events such as diarrhoea [50,51,72]. Others, however, have documented that increased level of MPA were significantly related to the occurrence of overall side-effects, albeit in a small group of patients [73]. Moreover, haematological side-effects such as the low haemoglobin level but not low leukocyte count were also related to MPA trough concentrations [74]. All these MPA pharmacokinetic data related to total plasma MPA concentrations, i.e. the sum of both protein bound and free MPA, but it is only the free MPA concentration that has pharmacological activity [75]. Thus, post-transplant total MPA plasma concentration may not reflect changes in free MPA level and hence the occurrence of MMF-related side-effects. Here, we evaluated the percentage of free MPA trough concentration as compared to total MPA level in relation to different blood cell counts in a subgroup of the same kidney transplant recipients. Actually, the percentage of free MPA concentration over total MPA better reflects the actual exposure of patients to the drug than the free MPA concentration itself. We found that
the percentage of free plasma MPA but not total MPA significantly correlated with the risk of anaemia, indicating the importance of measuring unbound MPA fraction at least to monitor changes in blood cell count possibly related to MMF administration. Although in most of our patients white blood cell count was in the normal range, a significant correlation between free MPA plasma fraction and total leukocyte count was also observed.
In summary, we have confirmed that in kidney transplant recipients given MMF at a fixed dose regimen, as a part of a triple immunosuppressive therapy including CsA and steroid, MPA pharmacokinetics parameters are highly variable. We also showed 1) an association between MPA AUC0-12 or plasma MPA trough level and graft function, and 2) that percentage free but not total plasma MPA trough concentration negatively correlated with RBC as well as leukocyte count.
Altogether these findings suggest that a fixed dose regimen of MMF might no longer be the best approach for the management of transplant patients. MPA pharmacokinetic monitoring might contribute to limit the risk of MMF-related toxicity. Whether optimizing MPA dose by monitoring levels may help to maintain graft function in the long-term is an intriguing possibility raised by the present findings. Prospectively designed clinical trials are required to definitely address this important issue.
Legend to Figures
Figure 8. Frequency distribution plot of plasma MPA trough levels (panel A) and MPA area under the time concentration curve from 0 to 12 h post-MMF dosing (AUC$_{0-12}$) (panel B) in 46 kidney transplant patients.
Figure 9. Relationship between plasma MPA trough levels (panel A) or MPA AUC$_{0-12}$ (panel B) and creatinine clearance values in kidney transplant recipients (n=46).
Figure 10. Relationship between mean MPA AUC$_{0-12}$ values and tertiles of serum creatinine concentration in 46 kidney transplant recipients. Values are mean ± SD. *p<0.05 versus ≤1.3 mg/dL serum creatinine tertile.
Figure 11. Correlation between total MPA trough levels (panel A) or percentage of free MPA (panel B) and red blood cell count (RBC) in 11 kidney transplant recipients. Relationship between total MPA trough levels (panel C) or percentage of free MPA (panel D) and hematocrit in the same patients.
Figure 12. Correlation between total MPA trough levels (panel A) or percentage of free MPA (panel B) and leukocyte cell count (WBC) in 11 kidney transplant recipients.
- Figure 8 -
Creatinine CL (mL/min)
MPA trough level (mg/L/g MMF)
r=0.50
p<0.01
Creatinine CL (mL/min)
MPA AUC_{0-12} (mg*h/L/g MMF)
r=0.52
p<0.01
Figure 9
MPA AUC 0-12h (μg/mL·h)
S. creat ≤1.3 mg/dL
S. creat >1.3 to ≤1.6 mg/dL
S. creat >1.6 mg/dL
*
- Figure 11 -
A. RBC (x10^6/μL) vs Total MPA trough (μg/mL)
r=0.13, p=0.54
B. RBC (x10^6/μL) vs Free MPA (%)
r=0.51, p<0.05
C. Hematocrit (%) vs Total MPA trough (μg/mL)
r=0.27, p=0.21
D. Hematocrit (%) vs Free MPA (%)
r=0.46, p<0.05
Figure 12
A. WBC (x10^3/μL) vs Total MPA trough (μg/mL)
r=0.18
p=0.41
B. WBC (x10^3/μL) vs Free MPA (%)
r=0.45
p<0.05
Table 8. Patient demographics and donor characteristics
| | Range |
|------------------------|------------------------|
| No. of patients | 46 (29 M/17 F) |
| Age (yr) | 19–61 |
| Weight (kg) | 44–97 |
| Time after Tx (months) | 6–9 |
| Cadaver/living donor | 46/0 |
| Donor age (yr) | 15–58 |
M, male; F, female; Tx, transplantation.
Table 9. Baseline graft function and MPA pharmacokinetic parameters
| Parameter | Mean | Range |
|----------------------------------|--------|-----------|
| S.creatinine (mg/dL) | 1.4 | 0.8–2.5 |
| Creatinine clearance (mL/min) | 74.2 | 22.6–117.6|
| S. urea (mg/dL) | 58 | 37–115 |
| C trough MPA (µg/mL) | 1.82 | 0.24–7.04 |
| MPA AUC$_{0-12\text{h}}$ (µg/mL·h)| 42.0 | 10.1–99.8 |
| MPAG (µg/mL) | 35.7 | 12.3–93.6 |
Table 10: demographics, graft function, MPA and CsA pharmacokinetic parameters in kidney transplant recipients according to MPA AYC > or < 40 mg*h/L
| | MPA AUC$_{0-12h}$ | p-values |
|------------------------|--------------------|----------|
| | > 40 µg.mL·h | < 40 µg.mL·h |
| Patients (n) | 21 | 25 |
| Age (yr) | 31.9 ± 9.0 | 39.0 ± 12.4 | p<0.05 |
| Sex | 11 M; 10 F | 18 M; 6 F | – |
| Weight (kg) | 61.7 ± 11.3 | 67.0 ± 12.9 | ns |
| Rejection episodes | 2 | 3 | ns |
| Donor age (yr) | 33.0 ± 15.5 | 38.0 ± 17.0 | ns |
| C trough MPA (µg/mL) | 2.82 ± 1.59 | 0.97 ± 0.46 | p<0.01 |
| MPA AUC$_{0-12h}$ (µg·mL·h) | 61.6 ± 18.8 | 25.6 ± 7.4 | p<0.01 |
| S. creatinine (mg/dL) | 1.3 ± 0.3 | 1.5 ± 0.4 | p<0.05 |
| Creatinine clearance (mL/min) | 85.7 ± 23.2 | 64.5 ± 17.5 | p<0.01 |
| CsA dose (mg·d) | 141 ± 24 | 140 ± 34 | ns |
| C trough CsA (ng/mL) | 190 ± 51 | 197 ± 59 | ns |
| CsA AUC$_{0-12h}$ (ng·mL·h) | 5201 ± 1011 | 5340 ± 1277 | ns |
Chapter 7
GLUCORTICOIDS INTERFERE WITH MYCOPHENOLATE MOFETIL BIOAVAILABILITY IN KIDNEY TRANSPLANTATION
Introduction
Three large double-blind randomized trials [49,50,51] in kidney transplant recipients have shown that the addition of the novel antirejection drug MMF to an immunosuppressive regimen consisting of CsA and prednisone significantly reduced the rate of acute rejection during the first 12 months after transplantation as compared to azathioprine- or placebo-treated patients. Since then, MMF has been widely used in a fixed daily dose of 2 g, in two divided administrations, as adjunctive therapy in combination with a calcineurin inhibitor, CsA or tacrolimus, and steroids. Recent evidence, however, suggests that a fixed dose regimen of MMF might no longer be the best approach for the management of transplant patients, and drug pharmacokinetic monitoring is advised [19,37,60,66].
Following oral administration MMF is rapidly absorbed and hydrolyzed to the active compound MPA, by non-specific intestinal esterases [56]. MPA is then converted to inactive metabolites by glucuronidation mediated by the human uridine diphosphate glucuronosyltransferase (UDP-GT) enzyme family [56]. The main metabolite, 7-hydroxy-glucuronide (MPAG), is excreted in urine but may contribute to the enterohepatic circulation of MPA after excretion into the bile and hydrolysis in the gastrointestinal tract [75]. Recent reports also demonstrate that at least two acyl glucuronides of MPA can be detected in the blood and formed in vitro [76].
Modulation of MPA metabolism by concomitant administration of drugs other than MMF may, therefore, result in the modification of MPA clearance and eventually bioavailability. Previous studies in transplant recipients have indeed shown that CsA influences MPA pharmacokinetics to the extent that a significant difference was found in the MPA trough level between CsA versus non-CsA treated patients, despite they received with an identical MMF dose [71]. Changes in MPA exposure may be
ally and clinically relevant, as indicated by increasing evidence of a causal relationship between MPA pharmacokinetics and acute rejection [19,37,60,66] or incidence of MPA-related side effects [73,77].
Glucocorticoids have been reported to induce glucuronosyltransferase expression, enhancing the activity of UDP-GT in rat hepatocyte cells in culture and in vivo in rodent animal models [78]. Both UDP-GT 1A and 2B isoforms are up-regulated by dexamethasone in a dose- and time-dependent manner [79]. Moreover, a precocious development of UDP-GT activity occurred in fetal rats after glucocorticoid administration to the mothers [80]. All together these observations led us to hypothesize that glucocorticoids, by modulating UDP-GT activity could interfere with MPA metabolism in transplant patients given steroids and MMF as a part of their immunosuppressive therapy. The theoretical impact of steroids on MPA pharmacokinetics, however, has not been investigated so far.
In the current study - which is a part of a multicenter clinical trial aimed at investigating the steroid-sparing potential of a MMF-based regimen in kidney transplants – we sought: 1) to compare the MPA pharmacokinetic profiles in the early post-transplant period (within the first month), when patients were given relatively high dose steroids, with those in the later phase (6 months post-transplant) under a lower maintenance corticosteroid regimen, while receiving a fixed daily dose of MMF; 2) to examine the effect of steroid withdrawal on MPA bioavailability in the same kidney transplant patients by comparing MPA pharmacokinetics at 6 month post-surgery (while on MMF, steroids and CsA), at the end of the steroid tapering phase (9 months post-transplant) and of follow-up (21 months post-transplant).
Patients
Twenty-six consecutive adult renal transplant patients (15 males, 11 females) – enrolled as a part of a clinical trial aimed at investigating the steroid sparing potential of a MMF-based immunosuppressive regimen [38] – were included in the present study. All were recipients of first kidney transplant from cadaver donors, and aged from 19 to 61 years. They were on triple-drug immunosuppressive regimen consisting of CsA Neoral, methylprednisolone (MP) and MMF during the first 6 months. In this period Neoral dosing was established on the basis of blood CsA trough levels targeted to 250-440 ng/mL, 200-300 ng/mL and 150-250 ng/mL from day 0 to 7, day 8 to 30, and month 2 to 6 post-transplant, respectively. After intraoperative infusion of 500 mg methylprednisolone (MP), steroid dosing was then progressively tapered to 16 mg/day up to day 12 post transplant, with maintenance 8 mg/day dose achieved by 4 months post surgery and maintained for 2 months (month 6). MP was then progressively tapered over 90 days, and then withdrawn. Patients in the control group were on triple immunosuppressive therapy with CsA, MP (8 mg/day) and MMF. All patients started with the conventional 2 g/day MMF dose, in two divided administrations. Ten of them, however, required MMF dose reduction within the first 6 months post-transplant due to adverse events. Changes in MMF dosing were performed by the attending physicians based on clinical parameters suggesting drug-induced toxicity, but not on MPA pharmacokinetics. Thereafter, MMF daily dose remained fixed, ranging from 500 mg to 2 g/day according to patient needs.
At 6 months post-transplant, patients were allowed to enter the steroid-sparing phase if the following inclusion criteria were met: serum creatinine ≤ 2.0 mg/dL; stable renal
function in the last 3 months; proteinuria < 1 g/day; no more than 2 acute rejection episodes in the first 6 months; no previous steroid-resistant acute rejection episodes.
The study was described in detail to all patients before admission and informed consent obtained in each instance.
**Study design**
In this prospective study we first examined the effect of steroids on MPA pharmacokinetic profiles by comparing kinetic parameters early post-transplant (within the first month), when patients were given relatively high dose of steroids, with those at 6 months post-surgery under a lower maintenance steroid dosage, but still on triple immunosuppressive drug regimen (Figure 13). In the same patients we then assessed the impact of steroid withdrawal on MPA bioavailability evaluating MPA pharmacokinetic parameters and MPAG trough concentration at different time points, namely at month 9 (end of steroid tapering phase) and month 21 (end of follow-up) post-transplant (Figure 13). As control for this second phase of the study, an additional group of 12 kidney transplant recipients were also monitored at month 21 post-transplant, when they were still on triple-drug therapy with CsA Neoral, steroids, and MMF.
Moreover, in a subgroup of 12 study patients the percentage of free MPA at time 0, in addition to total MPA trough level, was determined within the first month and at 6, 9 and 21 months post-transplant.
On the morning of the pharmacokinetic studies blood samples were collected for routine biochemical analysis and for determination of trough level of plasma MPA, MPAG and blood CsA. Each patient was then given the morning dose of MMF and CsA and underwent evaluation of simplified pharmacokinetic profiles. For MPA pharmacokinetics, blood samples in EDTA-tubes were drawn at 20, 40, 75 and 120 minutes [37]. Thereafter, samples were centrifuged at 3000 g, plasma separated, and
stored at $-20^\circ C$ until analysis by HPLC. For CsA pharmacokinetics, blood samples were collected in heparinized tubes at 60 and 180 minutes after dosing [61] and stored at $-20^\circ C$ until analysis.
**MPA, MPAG and CsA measurement**
MPA (total and free) and MPAG plasma concentrations as well as CsA whole blood levels were measured by reverse phase HPLC as described in *Chapter 3*.
**Pharmacokinetic parameters**
Trough levels of MPA and MPAG were determined. The MPA AUC$_{0-12}$ was predicted using the equation of Hale et al [37]. AUC from 0 to 2 h (AUC$_{0-2}$) was calculated using the trapezoidal rule. For the 2- to 12 h interval, the concentrations ($C_t$) at 6, 8 and 12 h were estimated by the empiric equation:
$$C_t = 0.14 + 1.25 \times C_0$$
In which $C_0$ is the predose MPA level. Main MPA pharmacokinetic parameters were adjusted for the daily MMF dose and expressed as per g MMF. Free MPA was expressed as percentage rate of unbound / total MPA.
Trough level of blood CsA was determined and the CsA AUC$_{0-12}$ was calculated using a three-point strategy (sampling at 0, 1 and 3 h post CsA dosing) with the following equation:
$$\text{AUC}_{0-12} = 5.189 \times C_0 + 1.267 \times C_1 + 4.150 \times C_3 + 135.079 \quad [62]$$
Statistical Analysis
Results are reported as means ± SD. Data were analyzed with paired and unpaired t test. Correlation between CsA AUC$_{0-12}$ and plasma MPA clearance was performed by regression analysis. The statistical significance level was defined as p<0.05.
MPA and MPAG pharmacokinetics in the early post-transplant period
Mean MMF dose was numerically but not significantly higher within the first month than at 6 months post-transplant (1846±375 vs. 1596±530 mg/day). Dose-normalized MPA trough levels in the first month post-transplant tended to be lower than 6 month post-Tx values, but the difference did not reach statistical significance (1.37±0.62 versus 2.00±1.26 mg/L). Similarly, a significantly lower dose-normalized maximum plasma MPA concentration in the first month as compared to 6 months post-transplant was found (7.34±5.47 vs. 17.16±10.01 mg/L; p<0.05). As shown in Figure 14 (panel A), dose-normalized MPA AUC$_{0-12}$ was lower at 1 than 6 months post-surgery, with values achieving statistically significant difference (32.94±10.98 versus 50.87±22.37 mg*h/L/g MMF; p<0.01). Consistent with the change in AUC, mean apparent plasma clearance of MPA was significantly higher in the first month than at 6 months post-transplant (p<0.01, Figure 14, panel B). When absolute, non-normalized values of MPA trough, maximum plasma concentration and AUC were considered, similar results were found.
By contrast, MPAG trough levels were significantly higher in the first month as compared to month 6 post-transplant values (50.72±34.06 versus 33.28±14.22 mg/L; p<0.05).
In the subgroup of patients, in whom the percentage of free MPA was also measured, higher values in the first month as compared to 6 months post-surgery were found (5.98±1.63 versus 2.23±0.59%, p<0.01).
Table 11 summarizes the variation in MPA pharmacokinetic parameters at the end of tapering and after complete steroid discontinuation.
Dose-normalized MPA trough level progressively increased from month 6 (triple therapy) to month 9 (end tapering) and month 21 (dual therapy) post-transplant. The latter MPA trough level value was significantly higher ($p<0.05$) than that measured at the same time point post-surgery in control patients who were still on triple therapy with CsA, steroids and MMF. Dose-normalized peak MPA concentration also tended to increase with time as compared to month 6 values. Therefore, at the end of follow-up (month 21), peak MPA levels were significantly higher ($p<0.05$) than at month 6 and 9 post-transplant. In patients who discontinued steroids, higher ($p<0.05$) peak MPA levels than in controls on triple drug therapy at month 21 post-surgery were also found. Similarly, normalized MPA AUC$_{0-12}$ progressively increased, reaching statistical significance ($p<0.05$) at month 21 as compared to month 6 post-transplant. The difference in MPA AUC$_{0-12}$ values were even more significant ($p<0.01$) when patients who discontinued steroids and controls were compared. Apparent plasma clearance of MPA showed progressive and significant decline ($p<0.01$) up to month 21 post-transplant in patients with steroid withdrawal (Figure 15). A statistically significant difference in plasma MPA clearance between steroid withdrawal and control groups was also documented ($p<0.01$). Consistently, MPAG trough levels progressively declined in patients who discontinued steroids reaching statistical significance at month 21 as compared to month 6 post-transplant (24.30±11.43 versus 33.28±14.22 mg/L; $p<0.05$; Figure 16). At this time point MPAG trough levels were also significantly lower than in control group (36.43±17.65 mg/L; $p<0.05$).
Despite changes in these pharmacokinetic parameters associated with tapering and discontinuation of steroids, percentage of free MPA measured in the subgroup of
patients was comparable at the three observation time points (month 6: $2.23 \pm 0.59\%$; month 9: $2.40 \pm 0.53$; month 21: $2.51 \pm 0.34\%$).
**Impact of CsA on plasma MPA pharmacokinetics**
Since lowering CsA exposure per se may be a factor that affects MPA pharmacokinetics [39,71], we also measured CsA pharmacokinetic parameters in the same patients undergoing steroids tapering and withdrawal, and in controls still on triple-drug regimen up to month 21 post-transplant, and related them to changes in plasma MPA clearance.
As reported in Table 12, there was a numerical reduction in CsA dose in patients who discontinued steroids from month 6 to 21 post-surgery. This was paralleled by a tendency to decline of CsA trough levels and AUC$_{0-12}$ values. Changes in CsA pharmacokinetic parameters were associated with decrease in plasma MPA clearance (Table 12). In control patients at month 21 post-transplant both blood CsA trough and CsA AUC$_{0-12}$ values were even numerically lower than those in patients with steroid withdrawal at the same time-points (Table 12). Nevertheless, control patients on triple-drug therapy had significantly higher plasma MPA clearance than patients on dual-drug regimen at month 21 post-transplant (Table 12). By regression analysis, no significant correlation was found between AUC$_{0-12}$ and plasma MPA clearance values when data of the two groups of patients were considered ($r=0.012$, $P=0.914$, Figure 17).
**Biochemical and haematological parameters**
Table 13 shows renal function, as serum creatinine and serum urea concentration, as well as serum albumin level – factors that could potentially affect MPA binding and pharmacokinetics [44,69] – in the study patients and controls. Serum concentrations of creatinine and urea did not change to a significant extent during the follow-up in patients who discontinued steroids, and mean values were comparable to those of
controls at month 21 post-transplant. Similarly, serum albumin concentration remains stable and comparable in the two groups of patients.
There was a progressive reduction of red and white blood cell count in parallel with tapering and discontinuation of steroids, which was associated with the increased MPA exposure (Table 13). A significant correlation between MPA AUC0-12 and red blood cell count during the study period was also found ($r=0.33; p<0.01$).
Potential pharmacokinetic interactions between MPA and other immunosuppressive agents may induce significant changes in MPA exposure with relevant clinical consequences in terms of efficacy and side effects.
Here we found that in cadaver kidney transplant recipients on immunosuppressive therapy with CsA Neoral, steroids, and fixed dose of MMF, plasma clearance of MPA was higher early post-surgery than at 6 months when patients were still on triple-drug regimen. This translated into a lower MPA daily exposure within the first month post-transplant.
The reasons for lower MPA exposure early post-transplant could be multifactorial. Poor gastrointestinal absorption of MMF in the perioperative phase may account, at least partially, for these MPA pharmacokinetic differences. This possibility is supported by the fact that the maximum MPA concentration achieved in the plasma, which reflects the degree of drug absorption, was also lower in the first month post-transplant than at 6 months.
In addition, a potential effect of CsA on MPAG enterohepatic circulation pathway cannot be excluded [39,71]. Different MPA levels could also reflect differences in the rate of drug metabolism through modulation of the glucuronosyltransferase enzyme in the liver. In this respect, in vitro evidence is available that glucocorticoids, which are usually given at high daily doses in the early postoperative period as part of the immunosuppressive therapy, enhance the activity of UDP-glucuronosyltransferase in adult rat hepatocytes in culture and in human liver specimens [78,79,80]. These findings raise the possibility that in our patients high-dose steroids early post-transplant activate pathways of MPA metabolism, eventually leading to lower than expected exposure to MPA. Induction of liver UDP-glucuronosyltransferase by glucocorticoids might also
enhance the production of the main MPA metabolite, MPAG [75], which in turn displaces MPA from the albumin binding sites increasing the free plasma fraction of the compound [44]. This was indeed what we have found in the present study in which the MPAG concentration and the percentage of free MPA were almost 2 fold higher early post-transplant than at 6 months when patients were on low maintenance steroid dose. On the other hand, the high percentage of free MPA might compensate the overall lower MPA bioavailability early post-transplant, which was expected to translate in less MMF-induced immunosuppression.
While together these results are quite supportive of the involvement of steroids in the metabolism of MPA, at this stage they are still indirect and not conclusive. We therefore sough to examine in the same kidney graft recipients the impact of steroid withdrawal on MPA pharmacokinetic parameters starting at 6 months post-surgery. Although MMF dose was unchanged, the apparent MPA plasma clearance and the MPAG trough levels progressively declined during the three month steroid tapering, and further reduced after discontinuation of the drug, resulting in higher MPA exposure. By contrast, control patients, still on triple-drug therapy including steroids at the end of follow-up, had significantly higher MPA plasma clearance and MPAG trough values. All together, these findings confirm our initial observation that steroids affect MPA pharmacokinetics.
However, an additional confounding factor in the interpretation of our results derives from published observations that also CsA may interfere with MPA metabolism [39,71]. Lowering CsA exposure, as it occurred in patients discontinuing steroids, is indeed a factor that could have decreased the MPA plasma clearance and then enhanced MPA bioavailability. To explore this possibility we compared CsA and MPA bioavailability in patients who underwent steroid withdrawal and in controls still on standard immunosuppression with CsA, steroid and MMF at 21 months post-transplant.
Although in patients who discontinued steroids CsA relative bioavailability was higher than in the control group, MPA plasma clearance was markedly lower in the former group. This indicates that the contribution of CsA to the observed MPA pharmacokinetics changes in patients discontinuing steroids was marginal, if any. Failure of CsA to affect MPA metabolism was also supported by the lack of any correlation between patient exposure to CsA and MPA plasma apparent clearance values considering the whole patient and control population, although possible deficiencies of MPA clearance calculation can not be excluded. These findings are seemingly at variance with results of MPA monitoring in kidney transplant recipients showing highly significant difference in MPA concentration between patients treated with or without a CsA-based regimen [39,71,81]. It should be considered, however, that in the latter studies the influence of CsA on MPA pharmacokinetics was documented through comparison with a completely CsA-free regimen, whereas our patients were still on CsA-treatment. This is in line with evidence by other investigators that in a comparative study on the effect of conventional CsA or tacrolimus dose, no impact of CsA on MPA trough level was reported [82,83]. Thus we can speculate that CsA may interfere with MPA pharmacokinetics only when significant variations in patient's exposure to CsA may occur, or when we compare CsA-based with tacrolimus-based regimens, under comparable treatment with steroids [84].
It is known that MPA concentrations and metabolism are influenced not only by co-medication but also by protein binding – MPA is avidly bound to human serum albumin [44] – renal dysfunction, and liver disease [69] which could have also contributed to the changes in MPA pharmacokinetics we found during follow-up. However, the patients were in good health, with normal serum albumin level and no clinical and laboratory evidence of renal or liver disease during the entire study period.
Changes in MPA exposure may be biologically and clinically relevant. Indeed, according to previous observation [74], RBC count significantly correlated with the MPA AUC0-12 as documented by a progressive reduction in RBC values associated with increase in MPA exposure. More important, however, is the fact that normal renal function and no acute rejection episodes were reported in patients who discontinued steroids but without any changes in the remaining immunosuppressive regimen. This would imply that the enhanced MPA exposure compensates, at least in part, the apparently lower immunosuppressive level achieved with the dual therapy of CsA and MMF.
Our present findings may be of clinical value also in the light of recent data that MMF reduced the risk for development of chronic allograft failure and late renal allograft loss independently of acute rejection [85].
In conclusion, this is the first demonstration that corticosteroids interfere with MPA bioavailability in solid organ transplant patients. Discontinuation of steroid dosing reduces the apparent plasma MPA clearance and thus enhances the total bioavailability of the compound. Higher MPA exposure may help to overwhelm the lower overall immunosuppression provided by the remaining unchanged dual drug regimen, while allowing patients to safely avoid the side effects of long-term steroid administration. Whether MPA pharmacokinetic changes induced by steroid withdrawal translate into lower risk of acute graft rejection than that reported in patients on conventional azathioprine-based therapy undergoing per protocol corticosteroid discontinuation to avoid the long-term sequelae of the treatment [86], is under investigation in a prospectively designed multicenter clinical trial.
Legend to Figures
Figure 13. Study design is reported of MPA pharmacokinetic evaluation during the early period post-transplant (high dose steroids), at month 6 (low maintenance steroid dosage), at month 9 (end of tapering steroids), and at month 21 post-Tx (1 year after steroid withdrawal) in 26 kidney allograft recipients. A control group of 12 kidney transplant patients on triple immunosuppressive therapy at month 21 post-Tx was also evaluated.
Figure 14. AUC (panel A) and plasma clearance (panel B) of MPA within the first month after transplantation (while patients were on high dose steroids) and at month 6 post-transplant (under a lower maintenance steroid regimen) in 26 kidney graft recipients on triple immunosuppression with MMF, CsA and steroids. *p<0.01 versus first month post-surgery.
Figure 15. Changes of plasma MPA clearance during tapering and after steroid withdrawal starting at 6 month post-transplant. Month 6 post-Tx: patients on triple-drug regimen with CsA, steroids, and MMF; month 9 post-Tx: end of steroid tapering; and month 21 post-Tx: one year after steroid withdrawal. #Control patients on triple immunosuppressive therapy still at month 21 post-surgery were also included. *p<0.01 versus month 6 and controls; °p<0.05 versus month 9.
Figure 16. Change of plasma MPAG trough level during tapering and after steroid withdrawal starting at 6 months post-transplant. #Control patients still on triple immunosuppressive therapy at month 21 post-surgery. *p<0.05 versus triple therapy at month 6th and versus controls at month 21st post-transplant.
Figure 17. Regression analysis of the relationship between CsA daily exposure (AUC0-12h) and plasma MPA clearance in study and control kidney transplant patients. R=0.012; P=0.914. Closed and open circles indicate patients who discontinued steroids and controls, respectively.
Kidney-Tx (n=26)
Triple therapy (MMF, CsA, steroids)
Tapering steroids (MMF, CsA, steroids)
Steroid withdrawal (MMF, CsA)
Time post-tx (months)
- MPA, CsA pharmacokinetics
- Evaluation of the percentage of free MPA in a subgroup of 12 patients
Figure 13
Figure 14
AUC$_{0-12}$ MPA (mg*h/mL/g MMF)
Time post-Tx
CL MPA (mL/min)
Time post-Tx
*
- Figure 15 -
MPAG (mg/mL)
- Figure 16 -
CL MPA (mL/min)
CsA AUC 0-12h (ng*h/mL)
r = 0.012
p = 0.914
Figure 17
Table 11: MMF dose and dose-normalized MPA pharmacokinetic parameters
| Time post-tx | MMF dose (mg/day) | Ct MPA (mg/L/g MMF) | C_{\text{max}} MPA (mg/L/g MMF) | AUC_{0-12} MPA (mg*h/L/g MMF) |
|--------------|-------------------|---------------------|-------------------------------|-------------------------------|
| 6^{th} month | 1596 ±530 | 2.00 ±1.26 | 17.16 ±10.91 | 50.87 ±22.37 |
| 9^{th} month | 1500 ±598 | 2.15 ±1.52 | 16.78 ±9.47 | 54.91 ±24.17 |
| 21^{st} month | 1500 ±559 | 3.13 ±2.35 # | 20.49 ±8.77 ° | 66.66 ±30.92 * § |
| 21^{st} month | 1458 ±582 | 1.64 ±0.77 | 15.23 ±5.06 | 45.51 ±13.66 |
Values are mean± SD. *p<0.05 vs month 6; § p<0.01 vs controls; #p<0.05 vs controls; °p<0.05 vs month 6, 9, and controls and controls.
Table 12: Impact of CsA pharmacokinetics on plasma MPA clearance at month 6, 9 and 21 post-transplant
| | CsA dose (mg/12h) | Ct CsA (ng/mL) | AUC$_{0-12}$ CsA (ng*h/mL) | CL MPA (mL/min) |
|----------------|-------------------|----------------|----------------------------|-----------------|
| $6^{th}$ month | 145±26 | 191±52 | 5313±1150 | 398.4±205.4 |
| $9^{th}$ month | 142±31 | 197±63 | 5093±1252 | 368.0±157.5 |
| $21^{st}$ month| 128±26 | 178±71 | 4202±869 * | 298.4±120.9 *#§|
| $21^{st}$ month (Controls) | 125±18 | 106±35 * | 3536±769 * | 402.9±147.2 |
Values are mean ± SD. * p<0.01 vs month 6; #p<0.01 vs month 21 (Controls); §p<0.05 vs month 9.
Table 13: Biochemical and hematological parameters
| Time post-tx | S.Creatinine (mg/dL) | S. Urea (mg/dL) | S. Albumin (g/dL) | RBC (x10^6/ µL) | WBC (x10^3/ µL) |
|--------------|----------------------|-----------------|------------------|-----------------|-----------------|
| 6th month | 1.30 ± 0.33 | 53.5 ± 18.9 | 3.9 ± 0.4 | 4.7 ± 0.9 | 9.2 ± 2.5 |
| 9th month | 1.42 ± 0.41 | 56.6 ± 19.1 | 3.8 ± 0.3 | 4.5 ± 0.8 | 6.8 ± 2.0 |
| 21st month | 1.34 ± 0.16 | 58.3 ± 14.4 | 4.0 ± 0.3 | 4.3 ± 0.8 * | 6.9 ± 1.1 |
| 21st month (Controls) | 1.33 ± 0.37 | 65.1 ± 26.3 | 3.7 ± 0.6 | 4.8 ± 0.6 | 8.0 ± 2.2 |
Values are mean ± SD. *p<0.05 vs controls
Chapter 8
INFLUENCE OF CO-MEDICATION ON MYCOPHENOLIC ACID PHARMACOKINETICS IN ORGAN TRANSPLANTATION
MPA, the active immunosuppressant form of the pro-drugs MMF and the new mycophenolate sodium, is a widely used component of immunosuppressive regimens in organ transplantation [87]. This immunosuppressant is commonly administered in a fixed daily dose. Recent evidence, however, suggests that a fixed dose regimen no longer might be the best approach for the management of transplant patients, and drug pharmacokinetic monitoring is advised [19,37,60,66]. Indeed, a significant predictive value for assessment of the risk for acute rejection [19,37,60], renal function [88] and drug-related side effects [74,77] has been shown for the 12-h dose interval MPA AUC$_{0-12}$ and, although the data are less precise, for the predose trough MPA concentration.
Following oral administration, MPA is converted to inactive metabolites by glucuronidation mediated by the human UDP-GT enzyme family [56,87]. The main metabolite, 7-hydroxy-glucuronide, is excreted in urine but may contribute to the enterohepatic circulation of MPA after excretion into the bile and hydrolysis in the gastrointestinal tract [75]. Recently, three carboxyl-linked additional glucuronides have also been detected in vitro and in vivo [89].
Previous studies have shown that concomitant immunosuppressive therapy significantly influences MPA bioavailability. In particular we have documented that glucocorticoids, by inducing UDP-GT expression, interfere with MMF bioavailability [90]. Other investigators reported significantly increased MPA concentrations in patients treated with MMF plus tacrolimus [81,83]. These findings led to the hypothesis that the major cause for increased MPA levels during co-administration of tacrolimus is inhibition of the glucuronidation of MPA by tacrolimus [83,91]. At variance, Others have shown that combining MMF with the other calcineurin inhibitor CsA reduced MPA exposure [39,71], suggesting that CsA may inhibit the transport of MPA metabolites into bile.
from hepatocytes and reduce enterohepatic cycling of MPA, ultimately leading to a decrease in MPA concentrations in the 4 to 12-h window of the AUC profile [39].
SRL is a new immunosuppressant characterized by a unique mechanism of action and a potential ability to synergize with other antirejection drugs [35]. In the clinical practice SRL is usually given in association with low-dose calcineurin inhibitors and steroids or antimetabolites such as MMF and AZA [92]. However, the use of novel induction therapies (i.e. with the humanized anti-CD52 monoclonal antibody Campath-1 [93]), that provide enough immunosuppression, is allowing the development of different immunosuppressive-sparing regimens [93,94,95]. SRL can, therefore, may be safely used in combination with Campath-1H induction and MMF avoiding the administration of calcineurin inhibitors.
Emerging data suggest that MPA pharmacokinetics in patients receiving concomitant SRL therapy might be comparable to the situation observed for tacrolimus. Indeed some Authors have previously found that MPA trough levels were significantly higher in kidney transplant recipients treated with MMF in combination with SRL as compared with those given MMF with CsA [96,97]. However, prospective studies, with strict drug monitoring and full pharmacokinetic evaluations aimed at formally assess the effects of SRL on MPA exposure are still lacking.
The current study - which is a part of a protocol aimed at investigating the efficacy of Campath-1H induction therapy in a steroid-free regimen in kidney transplantation – was designed to test the different, if any, effects of SRL- or CsA-coadministration on MPA exposure. To address this issue we: 1) measured serially MPA trough levels in patients treated with low-dose SRL or low-dose CsA both in addition to low-dose MMF over 12 months post-operatively; and 2) compared 12-h MPA pharmacokinetic profiles in both groups performed at month 6 and 12 after surgery.
Patients
Twenty-one patients (13 men; 8 women) with end-stage renal disease who underwent primary kidney transplant were enrolled under an Ethics Committee-approved protocol at the Ospedali Riuniti Bergamo, Italy, following written informed consent. They were allocated to one of the following two study groups according to a randomization design: Group 1 (n=11) was assigned to Campath-1H, low-dose SRL and low-dose MMF; group 2 (n=10) entered a regimen with Campath-1H, low-dose CsA and low-dose MMF.
Campath-1 (Alemtuzumab, Schering Plough, Milano, Italy) was given as a single intravenous infusion (30 mg, over 2 hours) intraoperatively on the day of transplant (day 0). Corticosteroids were administered for the first 2 days after transplantation. Thereafter, patients were free of steroids. Patients randomized to SRL received the drug (Wyeth, Rome, Italy) at the oral dose of 4 mg/day in a single morning administration starting on the day 1 after transplant. SRL dosing was adjusted to maintain whole blood levels within the 5-10 ng/mL range. In the CsA-based group, the drug was started just after surgery (1-2 mg/kg/day) and CsA doses were adjusted to achieve trough blood concentration of 120 to 200 ng/mL in the first month post-surgery, and of 70 to 120 ng/mL thereafter. Patients of both groups were given MMF at the oral low dose of 250 to 750 twice a day starting on day 1 postoperatively according to total blood leukocyte count. MMF dosing was adjusted according to plasma trough level targeted to MPA concentration of 0.5-1.5 mg/L.
The administration of prokinetic drugs, resins, or any agent known to interfere with MPA absorption, distribution, metabolism and/or elimination was not allowed during all the study period.
Study Design
This prospective study first examined the effects of SRL and CsA on dose-adjusted MPA trough levels measured every 5 days starting from day 5 post-Tx, when patients reached steady-state of drug distribution, to day 90, and then at month 4, 6 and 12 postsurgery.
Moreover, at month 6 and 12 post-transplant, all patients underwent a 12-hour MPA pharmacokinetic profile. On the morning of the pharmacokinetic studies blood samples were collected for routine biochemical analysis and for the determination of trough levels of plasma MPA and blood SRL or CsA. Each patient was then given the morning dose of MMF and SRL or CsA. All the drugs were given orally (MMF and CsA b.i.d., SRL once a day). The pharmacokinetics of MPA was based on an analysis of EDTA-tubes collected from the antecubital vein at 20, 40, 75, 120 minutes and 3, 4, 5, 6, 7, 8, 10 and 12 h after drug administration. Thereafter, samples were centrifuged at 3000 g, plasma separated, and stored at -20°C until analysis. For SRL and CsA pharmacokinetics, blood samples were collected in heparinized tubes at 0.5, 1, 2, 3, 4, 5, 6, 8, 10 and 12 hours after dosing and stored at -20°C until analysis. All drug measurements were performed by high-performance liquid-chromatography (HPLC) as previously described in Chapters 3-5. MPA, SRL and CsA concentration-time profile was recorded for all patients, together with the time to reach the maximum concentration ($T_{\text{max}}$) and the maximum drug concentration ($C_{\text{max}}$). The AUC from time equal to 0 to the last sampling point (12 h) was calculated by the trapezoidal rule. Experimental studies have shown that CsA, but not tacrolimus, decreased the enterohepatic cycling of MPA [17]. To test this hypothesis, we also estimated the MPA AUC from 4 h to 12 h after drug administration (AUC$_{4-12}$), an interval time corresponding to the appearance of a secondary MPA peak due to enterohepatic cycle with conversion of MPAG to MPA.
The AUC$_{0-12}$ is recognized as the best predictor of drug exposure. This approach is, however, time consuming and increases the discomfort of the patient as it requires multiple sampling analysis. As an alternative, abbreviated AUC profiles with limited sampling protocols have been proposed [98]. Therefore, as additional analysis, we tested the feasibility of a previously published equation to predict daily MPA exposure using a limited sampling strategy [37]. This approach requires only 5 samples collected in the first 2 hours after MMF administration (at 0, 20, 40, 75 and 120 min).
As stated above, MMF dose for each patient was modified according to white cell blood count. To take into account this confounding factor MPA trough levels measured from day 5 to month 6 post-surgery, as well as MPA pharmacokinetic parameters assessed at month 6 and 12 post-Tx, were adjusted for the daily MMF dose.
**Statistical analysis**
Results are reported as means ± SD. Unpaired t-test was used to compare MPA levels (dose-adjusted trough concentrations throughout the study period and MPA pharmacokinetic parameters measured at month 6 and 12 post-surgery) between group 1 (given MMF with SRL) and group 2 (given MMF and CsA). The statistical significance was defined as p < 0.05. The ratio between each MPA value measured in the SRL group and the corresponding value measured in the CsA group was used to estimate the degree of the differences between the two groups as follows:
\[
\text{Ratio} = \frac{\text{MPA Pharmacokinetic parameter (C}_0, \text{AUC) measured in the SRL group}}{\text{MPA Pharmacokinetic parameter (C}_0, \text{AUC) measured in the CsA group}}
\]
Linear regression analysis between MPA AUC$_{0-12}$ predicted with the equation proposed by Hale et al [37] and measured CsA AUC$_{0-12}$ was performed. Agreement between the predicted and measured MPA AUC was estimated using the Bland and Altman approach [99,100], where the percentage difference is plotted against the mean MPA AUC between the two series. We considered acceptable values within 1 SD of the differences.
Results
Recipients' demographics
All patients enrolled in the study were Caucasians. Mean age of recipients was 49 years with a range of 24 to 71 years. The majority of renal transplants were performed from cadaver donors (90%). Patients randomized to SRL- or CsA-based maintenance immunosuppression were comparable as for the distribution of baseline demographics, including age, sex, and HLA matching among the donors and the recipients (data not shown).
Immunosuppressive drugs monitoring
Mean immunosuppressive drug dose, whole blood trough SRL and CsA, and plasma trough MPA concentrations are shown in Table 14. As anticipated, the mean SRL trough levels fell within the planned range of 5 to 10 ng/mL. The mean dose used to achieve these levels was between 3.6 and 4.3 mg/day. Similarly, mean CsA trough levels were maintained within the expected range low target range during the 12 month follow-up (Table 14).
Mean MPA trough levels during this period were within the chosen range of 0.5-1.5 mg/L. However, we observed that, despite quite comparable MMF doses during all the study period, MPA levels were close to the high threshold for patients belonging to the SRL group and to the low threshold for those of CsA group. To better investigate this unexpected finding, we adjusted MPA trough levels for the daily drug given to each patient and then studied the temporal distribution of MPA concentrations in the two groups of patients. As shown in Figure 18, at each time point starting from day 10 post-surgery, dose-adjusted MPA trough levels were significantly higher in patients given
SRL as compared to those treated with CsA. The average ratio of dose adjusted MPA trough levels between SRL and CsA groups was 4.4.
**Pharmacokinetic studies**
As shown in Table 14, there were no differences in SRL or CsA trough levels within all the study period. Similarly, SRL AUC$_{0-24}$ (283 at month 6 vs 334 ng*h/mL at month 12, $p=0.40$) and CsA AUC$_{0-12}$ (3246 at month 6 vs 3080 ng*h/mL at month 12, $p=0.63$) were comparable during the two pharmacokinetic evaluations.
Results of the MPA 12 h pharmacokinetic studies, performed at month 6 and 12 post-transplant, are given in Tables 15 and 16. To take into account different MMF doses as potential confounding factor, we adjusted all pharmacokinetic parameters for the daily drug dose administered to each patient.
At month 6, we found that MPA trough levels were significantly higher in the SRL group compared to CsA. The ratio between the two series of MPA trough levels was 4.5. Although less pronounced, the same trend was confirmed at month 12 ($2.3 \pm 1.3$ vs $0.9 \pm 0.4$ mg/L/g MMF, $p=0.0151$). Despite the observed significant differences of MPA trough levels, looking at the pharmacokinetic profiles (Figures 19-20), we found only slight differences for MPA T$_{max}$ and C$_{max}$ between the two groups of treatment. At variance, dose-adjusted MPA AUC$_{0-12}$ at month 6 was significantly higher in the SRL group as compared with patients given CsA. It should be pointed out, however, that the ratio between the two series of AUC$_{0-12}$ was 1.8, thus greatly inferior to that observed with dose-adjusted MPA trough levels (4.5). Again, at months 12 post-Tx, the differences of MPA AUC$_{0-12}$ were less pronounced, with a ratio between the two groups of 1.4.
Different effects of SRL and CsA on MPA enterohepatic cycle
As shown in Figures 19-20, the main differences in the pharmacokinetic profiles between SRL and CsA groups were found in the late phase starting 4 hours after MMF administration, whereas no significant differences were observed in the first part of the kinetic profile.
It is now well established that metabolites of MPA undergo enterohepatic recirculation (EHC) and, after hydrolysis in the gastrointestinal tract, release a secondary peak of MPA, usually 4 to 12 hours after MMF administration [75]. To assess whether SRL and CsA might affect the MPA EHC we measured MPA AUC from 4 h to 12 h after drug dosing (AUC$_{4-12}$). Using this approach we found that dose-adjusted MPA AUC$_{4-12}$ were significantly higher in patients given SRL as compared with those treated with CsA both at month 6 (19.9 ± 9.2 vs 6.5 ± 3.3 mg*h/L) and 12 post-surgery (17.2 ± 6.5 vs 6.8 ± 2.5, mg*h/L; Figure 21). Of note, the ratio of AUC$_{4-12}$ between SRL and CsA groups were higher (month 6: ratio=3.1; month 12: ratio=2.5) as compared with that estimated for corresponding AUC$_{0-12}$. The lack of secondary MPA peak in patients treated with CsA may therefore explain the significantly low MPA trough levels in these patients. At variance, all patients given SRL had a secondary MPA peak 4 to 12 h after MMF administration, ultimately leading to higher MPA trough levels than those given CsA.
MPA AUC$_{0-12}$ prediction by limited sampling strategy
The above mentioned data suggested that trough levels are not the best way to monitor daily MPA exposure. Therefore, as additional analysis, we also extrapolated AUC$_{0-12}$ using a previously published equation [37] routinely used in our Clinical Centre to monitor patient’s exposure to MPA [88,90]. Despite a tendency to overestimate MPA exposure (Tables 15-16), the correlation between the measured and predicted AUC was good (r=0.90). Bland & Altman analysis [99,100] showed that 85% of values were in
the accepted range of ± 1 SD. Moreover, this approach reliably predicted the effect of concomitant immunosuppressive administration on MPA exposure, as confirmed by similar ratios of MPA AUC$_{0-12}$ between the two groups observed with the measured and predicted AUC$_{0-12}$ (month 6, measured AUC$_{0-12}$: ratio = 1.8, predicted AUC$_{0-12}$: ratio = 2.1; month 12, measured AUC$_{0-12}$: ratio = 1.4, predicted AUC$_{0-12}$: ratio = 1.4). Of note, there ratios were lower than that observed with the trough levels (month 6, ratio=4.5; month 12, ratio=2.6).
Potential pharmacokinetic interactions between MPA and other immunosuppressive agents may induce significant changes in MPA exposure with relevant clinical consequences in terms of efficacy and side effects, especially when a drug is given in a fixed dose regimen.
In this study we found that in kidney transplant recipients on immunosuppressive therapy with MMF, MPA levels were influenced by the concomitant immunosuppressive regimen. Indeed, co-administration of SRL and MMF was associated with higher dose-adjusted MPA trough levels and AUC than those measured under CsA-based regimen.
So far, only two studies have previously investigated the impact of SRL co administration on MPA levels [96, 97]. However, both these observations were retrospective, considered only MPA trough levels as surrogate marker of daily drug exposure, and patients were monitored for a short time after transplantation (3 months). As additional weakness, in these studies MPA concentrations were assessed using an immunoassay, a method that cross reacts with MPA metabolites, ultimately overestimating MPA values [32]. At variance with these studies, we have formally compared two cohorts of kidney transplant recipients randomized to receive SRL or CsA in addition with MMF. Patients were monitored, starting immediately after transplantation, over a long follow-up (1 year), using a strict sampling of MPA levels measured by HPLC, universally recognized as the gold standard method to assess MPA concentrations [63]. With this approach we extended previous finding showing that dose-adjusted MPA trough levels were consistently 4- to 5-fold higher in the SRL arm than in CsA group during all the study period. Of note this difference was present also at 1 year post-transplantation.
SRL and CsA are metabolized by the cytochromes P450 3A [35] with phase I reactions, whereas MPA is mainly detoxified by phase II metabolic reaction, without involvement of the cytochromes P450 3A [75,87]. Indeed, we excluded a potential influence of SRL or CsA on MPA metabolism.
As alternative hypothesis, we speculated that SRL and CsA may exert a different action on MPA absorption, distribution and/or elimination. Therefore, to better investigate the potential mechanisms involved in this unexpected pharmacokinetic interaction, we studied the 12 h MPA kinetic profiles in the two groups of patients, both at month 6 and 12 after transplantation, when patients were in stable clinical conditions and fixed immunosuppressive therapy. Using this approach we confirmed that dose-adjusted MPA trough levels were 3-5 fold higher in the SRL group. Subsequently, we analyzed the daily MPA exposure and found that dose-adjusted MPA AUC$_{0-12}$ was nearly 1.5-2 fold higher in patients given SRL than those treated with CsA. However, moving from time 0 to time 12 h after MMF dosing we observed no significant differences for MPA $C_{\text{max}}$ and $T_{\text{max}}$ between the two groups. This finding led us to conclude that different effects of SRL or CsA on MPA absorption, if any, were negligible.
The plasma concentration-time profile of MPA after oral MMF administration is usually characterized by a sharp initial peak around 1 hour and the occurrence of a secondary peak usually 6 to 12 hours post dose [75]. This late peak has been attributed to glucuronidated MPA metabolites that undergo enterohepatic recirculation (EHC). EHC is the process by which drug, or a drug metabolite, is excreted by the liver into the bile and is then reabsorbed back into the portal circulation [60]. In the case of conjugated drug metabolites, as MPA metabolites, deconjugation mediated by the colonic bacteria in the gut flora precedes the uptake process. After deglucuronidation of the metabolites, MPA was reabsorbed in systemic circulation as shown by the appearance of the secondary peak [75]. Any drugs, such as cholestyramine [101], able to influence EHC
of MPA metabolites may, therefore, affect daily MPA exposure. Indeed, a previous study in animals have shown that CsA, by inhibiting the transport of MPA metabolites into bile from hepatocytes, decreased the enterohepatic cycling of MPA and thereby significantly reduced MPA concentrations in the 4- to 12-h window of the AUC profile as compared with rats treated with MMF alone or in combination with tacrolimus [39]. For the first time, we have documented a similar trend observed in animals by Van Gelder et al [39] also in humans. Indeed, looking at the pharmacokinetic profile we found that, despite no significant differences in MPA AUC in the first few hours after MMF administration, patients in the CsA group experienced the absence of a second MPA peak as documented by significant low MPA AUC\textsubscript{4-12} levels compared to patients given SRL. According to this analysis of the data, therefore, the post-absorption, post-distribution phase of the MPA AUC profile during which enterohepatic cycling of MPA is most prominent was suppressed in the CsA-treated patients. We can therefore speculated that interruption of the EHC secondary to inhibition of MPA conjugated metabolites’ transport across biliary duct epithelium into bile by CsA explained the significantly higher values for dose-adjusted MPA C\textsubscript{0} and AUC in patients receiving concomitant SRL and MMF compared to those given CsA and MMF.
At variance with animal studies [39], we did not measure MPAG levels. We did it in the past [88,90]. However, interest in measuring MPAG levels has declined in the last few years after the understanding of its pharmacological inactivity and the discovery at least other 2-3 acyl glucuronidated MPA metabolites [89]. Although data of MPAG are lacking, we are confident that our results may be strong enough to support the hypothesis that the observed differences in MPA pharmacokinetic profile in patients given SRL or CsA are mainly driven by the different effect on MPA enterohepatic recirculation.
Since EHC usually manifests 6 to 12 hours after MMF dosing, MPA levels 12 h (trough) were mainly influenced by the inhibitory action of CsA, with values 3-5 fold higher in the SRL group. Given the fact that the secondary MPA peak is usually 50-70% lower than the $C_{\text{max}}$, its contribution to daily MPA exposure is less prominent, as documented by only a 1.5-2 fold difference in MPA AUC$_{0-12}$ between the two groups. These findings suggested that trough levels may not be the best way to monitor daily MPA exposure, especially when patients are treated with different MMF-based therapies. In our routine clinical practice, we estimate MPA AUC$_{0-12}$ using an equation that requires 5 samples collected within the first 2 hours after MMF dosing [37]. In the present study we have shown a good correlation between MPA AUC$_{0-12}$ measured and predicted using the equation of Hale et al [37]. Of note, the degree of the pharmacokinetic interaction between MPA and SRL or CsA was better predicted with the estimated AUC rather than by MPA $C_0$ levels. This approach may, therefore, represent a useful tool to monitor daily MPA exposure when the full 0-12h pharmacokinetic sampling can not be performed, as usually happened in the clinical conditions.
In conclusion, to our knowledge this is the first clinical demonstration that CsA inhibit MPA enterohepatic recirculation, ultimately resulting in higher MPA daily exposure as compared with other CsA free regimens. As additional finding, the MPA $C_0$-based monitoring may overestimate the degree of this pharmacokinetic interaction. These results should be carefully taken into account when MMF-based regimen are implemented, especially when the drug is administered at a fixed daily dose and patients are switched to different poly-pharmacological therapies.
Legend to Figures
Figure 18. Mean dose-adjusted MPA trough levels from day 5 to year 1 after transplantation in kidney transplant recipients treated with SRL or CsA, both in addition to MMF. °p<0.01 vs CsA group; *p<0.05 vs CsA group.
Figure 19. Dose-adjusted MPA concentration-time curves from 0 to 12 hours after MMF administration in patients at month 6 post-surgery and treated with SRL or CsA. °p<0.01 vs CsA group; *p<0.05 vs CsA group.
Figure 20. Dose-adjusted MPA concentration-time curves from 0 to 12 hours after MMF administration in patients at month 12 post-surgery and treated with SRL or CsA. °p<0.01 vs CsA group; *p<0.05 vs CsA group.
Figure 21. Area under the curve from 4h to 12 h (AUC$_{4-12}$) after MMF administration in kidney transplant recipients treated with SRL or CsA.
- Figure 18 -
Days from transplantation
Cv/Dose (mg/Lg MMF)
SRL Therapy
CsA Therapy
* Indicates significant difference between SRL and CsA therapy at that time point.
MPA levels (mg/Lg MMF)
- Figure 19 -
MPA levels (mg/L/g MMF)
Time (min)
- Figure 20 -
MPA AUC$_{4-12}$ (mg*h/L/g MMF)
Month 6 post-Tx
Month 12 post-Tx
p=0.0012
p=0.0016
CsA
SRL
CsA
SRL
Figure 21
Table 14. Immunosuppressive drug dosing and trough levels
**Sirolimus group (n=11)**
| Time Post-Tx | Mean SRL Dose (mg/day) | Mean SRL trough (ng/mL) | Mean MMF Dose (mg/day) | Mean MPA trough (µg/mL) |
|--------------|------------------------|-------------------------|------------------------|-------------------------|
| 1 week | 3.6 ± 1.7 | 4.5 ± 1.9 | 542 ± 144 | 0.61 ± 0.56 |
| 2 weeks | 4.3 ± 0.8 | 9.1 ± 2.2 | 484 ± 63 | 0.88 ± 0.63* |
| 1 month | 4.3 ± 1.7 | 9.4 ± 3.2 | 571 ± 182 | 1.73 ± 0.94* |
| 3 months | 4.3 ± 1.8 | 8.3 ± 2.7 | 621 ± 430 | 1.54 ± 1.05* |
| 6 months | 4.0 ± 1.5 | 7.9 ± 2.3 | 591 ± 202 | 1.67 ± 1.12* |
| 12 months | 4.0 ± 1.0 | 10.1 ± 4.5 | 1200 ± 447 | 2.75 ± 1.63* |
**Cyclosporine group (n=10)**
| Time Post-Tx | Mean CsA Dose (mg/day) | Mean CsA trough (ng/mL) | Mean MMF Dose (mg/day) | Mean MPA trough (µg/mL) |
|--------------|------------------------|-------------------------|------------------------|-------------------------|
| 1 week | 343 ± 191 | 145 ± 110 | 688 ± 372 | 0.22 ± 0.14 |
| 2 weeks | 243 ± 106 | 134 ± 59 | 550 ± 158 | 0.33 ± 0.32 |
| 1 month | 279 ± 109 | 133 ± 61 | 559 ± 166 | 0.26 ± 0.14 |
| 3 months | 263 ± 74 | 124 ± 52 | 608 ± 204 | 0.41 ± 0.34 |
| 6 months | 269 ± 78 | 119 ± 34 | 750 ± 267 | 0.49 ± 0.38 |
| 12 months | 207 ± 57 | 101 ± 31 | 813 ± 259 | 0.66 ± 0.24 |
*p<0.05 vs CsA group at same time point; *p<0.01 vs CsA group at same time point
Table 15. MPA pharmacokinetic parameters at month 6 post-transplantation in patients treated with SRL or CsA both in combination with MMF
| MPA Pharmacokinetic parameters | SRL Group (n=11) | CsA Group (n=10) | P-value |
|--------------------------------|-----------------|------------------|---------|
| MMF Dose (mg/day) | 591 ± 202 | 750 ± 267 | 0.1570 |
| MPA C₀ (mg/L) | 1.67 ± 1.12 | 0.49 ± 0.38 | 0.0117 |
| C₀/Dose (mg/L/g MMF) | 2.87 ± 2.08 | 0.63 ± 0.40 | 0.0082 |
| Cₘₐₓ (mg/L) | 10.66 ± 9.28 | 11.74 ± 6.56 | 0.7829 |
| Cₘₐₓ/Dose (mg/L/g MMF) | 17.09 ± 8.97 | 15.28 ± 5.60 | 0.6221 |
| Tₘₐₓ (min) | 63 ± 100 | 46 ± 19 | 0.6444 |
| AUC₀₋₁₂ (mg*h/L) | 24.63 ± 13.88 | 18.78 ± 11.47 | 0.3441 |
| AUC₀₋₁₂/Dose (mg*h/L/g MMF) | 41.52 ± 14.76 | 23.66 ± 7.77 | 0.0006 |
| AUC₀₋₁₂° (mg*h/L) | 32.25 ± 18.41 | 19.97 ± 11.08 | 0.1129 |
| AUC₀₋₁₂°/Dose° (mg*h/L/g MMF) | 54.59 ± 28.54 | 25.53 ± 7.10 | 0.0124 |
| AUC₄₋₁₂ (mg*h/L) | 11.45 ± 6.14 | 5.07 ± 3.73 | 0.0186 |
| AUC₄₋₁₂/Dose (mg*h/L/g MMF) | 19.93 ± 9.31 | 6.46 ± 3.31 | 0.0012 |
* AUC predicted using the equation by Hale et al [37]
Table 16. MPA pharmacokinetic parameters at month 12 post-transplantation in patients treated with SRL or CsA, both in combination with MMF.
| MPA Pharmacokinetic parameters | SRL Group (n=11) | CsA Group (n=10) | P-value |
|--------------------------------|-----------------|------------------|---------|
| MMF Dose (mg/day) | 813 ± 259 | 1200 ± 447 | 0.0706 |
| MPA C₀ (mg/L) | 0.66 ± 0.24 | 2.75 ± 1.63 | 0.0037 |
| C₀/Dose (mg/L/g MMF) | 0.89 ± 0.44 | 2.30 ± 1.30 | 0.0151 |
| Cₘₐₓ (mg/L) | 12.53 ± 3.91 | 13.46 ± 6.32 | 0.7471 |
| Cₘₐₓ/Dose (mg/L/g MMF) | 15.89 ± 4.30 | 11.11 ± 2.96 | 0.0528 |
| Tₘₐₓ (min) | 30 ± 11 | 24 ± 9 | 0.3193 |
| AUC₀₋₁₂ (mg*h/L) | 20.37 ± 6.57 | 43.92 ± 24.60 | 0.0236 |
| AUC₀₋₁₂/Dose (mg*h/L/g MMF) | 26.00 ± 8.61 | 35.45 ± 10.02 | 0.0974 |
| AUC₀₋₁₂ * (mg*h/L) | 23.03 ± 6.08 | 52.88 ± 26.34 | 0.0092 |
| AUC₀₋₁₂*/Dose* (mg*h/L/g MMF) | 30.23 ± 10.77 | 43.89 ± 16.31 | 0.0936 |
| AUC₄₋₁₂ (mg*h/L) | 5.14 ± 2.18 | 21.38 ± 13.04 | 0.0051 |
| AUC₄₋₁₂/Dose (mg*h/L/g MMF) | 6.81 ± 2.52 | 17.18 ± 6.49 | 0.0016 |
* AUC predicted using the equation by Hale et al [37]
Chapter 9
PHARMACOKINETICS OF THE NEW ENTERIC-COATED MYCOPHENOLATE SODIUM AND COMPARISON WITH THE TRADITIONAL MOFETIL FORMULATION IN KIDNEY TRANSPLANT RECIPIENTS
Mycophenolate mofetil (MMF), the ester prodrug of mycophenolic acid (MPA), is a potent immunosuppressive agent actually used as a part of standard immunosuppressive regimens in combination with a calcineurin inhibitor or sirolimus, and steroids [107]. MMF is usually administered at a fixed oral dose of 1000 mg twice daily, and therapeutic drug monitoring is not routinely performed. Recent evidence, however, suggests that a fixed dose regimen of MMF no longer might be the best approach for the management of transplant patients, and drug pharmacokinetic monitoring is advisable [19,88,90].
Despite excellent efficacy, MMF is associated with tolerability problems, particularly because of gastrointestinal (GI) adverse events such as nausea/vomiting, diarrhoea, abdominal pain and gastritis [87,103]. Additionally, also haematological toxicity has been reported after MMF use [74]. These adverse events often lead to a reduction in drug dose or discontinuation of MMF from the immunosuppressive regimen, leading to sub therapeutic dosing and impaired clinical outcomes [104,105].
To overcome the problems associated with MMF use, an enteric-coated form of mycophenolate sodium (EC-MPS, Myfortic®) has been recently developed, which, via its advanced formulation, has the potential to extend the therapeutic window of MPA through enhanced tolerability relative to MPA exposure [87,106]. Unlike MMF, which releases MPA in the stomach, EC-MPS releases MPA in the small intestine.
Previous studies [107,108,109] have shown that 720 mg of EC-MPS and MMF 1000 mg deliver near, equimolar doses of MPA and provide bioequivalent MPA exposure, defined as the AUC. Therefore, it is now generally accepted that these two doses are therapeutically equivalent [106,109]. Results of pivotal phase III studies have shown that EC-MPS has a comparable efficacy and safety profile to MMF in de novo and
maintenance renal transplant patients [109,110]. The incidence of GI adverse events was similar for MMF and EC-MPS, though the severity of GI side effects with EC-MPS tended to be lower in the study of maintenance patients [110]. Furthermore, a non-significant trend for fewer de novo patients receiving the new formulation requiring dose reduction, drug withdrawal, or interruption due to GI adverse events compared to the traditional MMF formulations has been observed [109,110].
Up to now, only few studies have formally compared the pharmacokinetics of MPA released from EC-MPS with that obtained after MMF administration [111,112]. Nevertheless, most of these studies were incomplete, with no baseline patient demographic or statistical analysis included, and an omission of full kinetic profiles. Moreover, they focused on the comparison between the two MPA-releasing formulations only after single drug dose administration [111] or providing only pharmacokinetic data from the early period after transplantation [112]. Therefore, complete data on the pharmacokinetics of MPA after chronic EC-MPS administration in stable kidney transplant recipients are still lacking.
Indeed, the current study was designed to: 1) investigate the full pharmacokinetics of MPA after EC-MPS administration in stable renal transplant patients at month 6 postsurgery; 2) to assess the intra- and inter-patient variability of MPA pharmacokinetics by comparing values at month 6 with those obtained at month 12 post-surgery; 3) to compare the above mentioned pharmacokinetic parameters with those observed in a control group of patients, well matched for concomitant immunosuppressive therapy and time after transplantation, given MMF instead of EC-MPS; 4) to estimate the correlation between each sampling time points and daily MPA AUC$_{0-12}$ for both formulations.
Study population
Ten adult renal transplant patients (4 males/6 females) referred to the Kidney Transplant Centre of the Ospedali Riuniti Bergamo, and enrolled in an intensified multi-factorial therapy open trial, were included in the present study. They were on triple immunosuppressive therapy, including CsA Neoral, corticosteroids and EC-MPS.
All patients received EC-MPS twice daily, every 12 hours in the morning and in the evening, at starting dose of 720 mg (2 enteric coated tablets of 360 mg b.i.d). EC-MPS was commenced as soon as possible after transplant at a daily dose of 1440 mg and drug dose remained fixed through all the study period. Some of the patients, however, required drug dose reduction, due to adverse events. In case of leukopenia (leukocyte count <4000/mm$^3$), neutropenia (absolute neutrophil count <1500/mm$^3$), or other moderate/severe adverse events, EC-MPS dose was reduced by 50%. In any case, changes in EC-MPS dosing were performed by the attending physicians based on clinical parameters suggesting MPA-induced toxicity, but not according to MPA pharmacokinetics. For comparison, ten adult renal transplant recipients (6 males/4 females) transplanted in the same period in our Transplant Unit, well matched for time post-transplantation and concomitant immunosuppressive therapy, given MMF instead of EC-MPS were also included in the pharmacokinetics evaluations.
Only patients with stable renal function in the previous 4 months (defined by less than 15% differences in serum creatinine values during monthly evaluations) were included in the present pharmacokinetic study. Patients with existence of any surgical or medical condition, other than the current transplant, which might significantly alter the absorption, distribution, metabolism or excretion of the study medications, and/or presence of severe diarrhoea or active peptic ulcer disease, were excluded from the
study. The study protocol was described in detail to the patients before admission and written informed consent to enter the study was obtained.
**Study design**
This prospective study first evaluated the MPA pharmacokinetic parameters at month 6 post-surgery in patients given EC-MPS or MMF. The MPA complete 12-hour plasma concentration-time profile was recorded for all patients, together with the time ($T_{\text{max}}$) to reach the maximum concentration ($C_{\text{max}}$) and MPA AUC$_{0-12}$, calculated with the trapezoidal rule. On the morning of the pharmacokinetic studies, blood samples were collected for routine haematological analysis and for the determination of trough levels of plasma MPA. Then, each patient was given the morning dose of EC-MPS or MMF under fasted conditions. Thereafter, no particular restrictions on food intake were applied during the day. For MPA pharmacokinetics, blood samples in EDTA-tubes were drawn at 20, 40, 75, 120 minutes, and 3, 4, 5, 6, 8, 10 and 12 hours. Thereafter, samples were centrifuged at 3800 x g, plasma separated, and stored at $-20^\circ$C until analysis by HPLC as described in *Chapter 3*. At month 12 post-transplantation, all patients given EC-MPS or MMF underwent a second pharmacokinetic evaluation, together with routine haematological analyses. Using this approach, we were able to estimate both intra- and interpatient variability from both MPA-releasing formulations.
As additional analysis, each sampling time was correlated with the daily MPA exposure, expressed as MPA AUC$_{0-12}$, with the goal to identify time points useful for the development of limited sampling strategies aimed at predicting daily MPA exposure after EC-MPS administration.
Patients experiencing drug-related toxicity were allowed to modify the daily EC-MPS or MMF dose. To take into account this potential confounding factors, all the MPA pharmacokinetic parameters were adjusted for the daily drug dose, and expressed as
equivalent of MPA, assuming a 1:1 equivalence between EC-MPS 720 mg and MMF 1000 mg, as previously documented [106-112].
**Statistical analysis**
Results are reported as means ± SD. Differences in MPA pharmacokinetics within and between the two MPA-releasing formulations at month 6 and 12 post-surgery were analyzed using the ANOVA test. Within- and between-patient variability of the main MPA pharmacokinetic parameters were expressed as CV%. Correlation between plasma MPA concentrations ranging from 0 to 12 hour post dosing and MPA AUC$_{0-12}$ were performed by linear regression analysis. The statistical significance level was defined as $p < 0.05$.
Results
Recipients’ demographics
All patients enrolled in the present study were Caucasians, and recipients of first kidney transplant from cadaver donors. As shown in Table 17, patients given EC-MPS were comparable to those given MMF as for demographics, renal and liver function, as well as for haematological profile both at month 6 and 12 post-surgery.
Pharmacokinetics of the two MPA-releasing formulations
The mean MPA pharmacokinetic parameters for the EC-MPS and MMF groups are shown in Table 18. Absorption was slower for EC-MPS than for MMF, consistent with a functional enteric coating for EC-MPS. Indeed, at month 6 post-surgery, mean $T_{\text{max}}$ was 130 min for EC-MPS and 46 min for MMF ($p<0.01$). Mean MPA exposure, defined either by dose-adjusted AUC$_{0-12}$ and MPA $C_{\text{max}}$, were not different between the two groups. The same findings were confirmed also at month 12 post surgery (Table 18). However, at variance with previous observations, we found that dose-adjusted MPA trough levels were 4.7-fold higher in patients given EC-MPS than those given MMF (Table 18, Figure 22). To better investigate potential differences in the MPA pharmacokinetic profiles between the two formulations, we looked at the single kinetic curves for each patient. As shown in Figures 23 and 24, unexpected, atypical kinetic profiles of MPA in patients given EC-MPS were observed both at month 6 and 12 post-transplantation. Of note, all patients given EC-MPS presented multiple peaks of MPA (on an average of 3 peaks per patient). Interestingly, some patients had MPA $C_{\text{max}}$ at 480 minutes after drug dosing (Figure 22), whereas others had MPA $C_{\text{max}}$ peaking at time 0 (basal). Conversely, the control group of patients treated with MMF presented regular MPA pharmacokinetic profiles, consistent with previous observations [75], with
maximum peak of MPA always within 2 hours (Figure 22), and the presence of a second, flat peak at 6-12 hours post MMF dosing, corresponding to the well-known enterohepatic recirculation of MPA metabolites [75].
**Variability of MPA pharmacokinetics parameters**
All patients underwent pharmacokinetic evaluations both at month 6 and 12 after transplantation. As a measure of the intra-patient variability of plasma MPA levels, the CV% was calculated for main pharmacokinetic parameters between the two study visits in patients given EC-MPS and, for comparison, in those given MMF. We found a higher variability of MPA pharmacokinetics in patients given the new enteric coated formulation than those treated with the traditional MMF formulations (Table 19). Despite the low number of patients (n=10 for each group), these differences reached statistical significance ($C_{\text{max}}$: CV: 45.7% vs 15.1%, $p<0.05$).
As additional analysis, we also evaluated the inter-patient variability of MPA pharmacokinetics in the formulations both at month 6 and 12 post-surgery. As documented in Table 19, we confirmed that the use of the new EC-MPS formulation was associated with significant variability in MPA pharmacokinetics as compared with MMF.
**Correlation between MPA AUC$_{0-12}$ and single sampling points**
As demonstrated in Table 20, the regression analysis between individual plasma MPA concentrations and MPA AUC$_{0-12}$ documented an overall better correlation with the MMF formulation. Of note, this finding applied for all single time points (with the only exception of the sampling at 20 minutes), with differences in the correlation coefficient (r) that, in some cases, were more than double (at 20, 75, 120, 240, and 600 minutes post drug administration) between the two MPA-releasing formulations.
Given the observed low correlation between single MPA sampling points and daily MPA exposure, we were not able to develop feasible limited sampling strategies useful to predict MPA AUC$_{0-12}$ in patients given EC-MPS (data not shown).
Discussion
The main finding of the present study was that the pharmacokinetics of MPA released from the new enteric-coated formulation of mycophenolate sodium is extremely variable and irregular as compared with that found in stable kidney transplant recipients given MMF. Despite no apparent differences in mean MPA exposure expressed as MPA AUC\(_{0-12}\), we observed aberrant kinetic curves in single patients, with an extremely high variability both in the \(T_{\text{max}}\) and MPA C\(_0\). Additionally, patients given EC-MPS presented multiple peaks of MPA, an effect never observed after MMF administration.
These findings were at variance with those recently published by Arns et al [111], showing that, after single EC-MPS or MMF administration, the pharmacokinetic curves for all treatments were similar. It should be pointed out, however, that in that study only mean pharmacokinetic profiles were presented, with no data showing the variability associated with single MPA sampling points. Moreover, as stated above, only single drug administration were considered. Therefore, these results can not be applied to patients, as ours, chronically exposed to EC-MPS.
Only a very few studies have compared the pharmacokinetics of MPA released from EC-MPS with that from MMF in patients chronically treated with these drugs [111,112]. As a result of differences in the molecular weight, EC-MPS 720 mg contains a near equimolar quantity of MPA as MMF 1000 mg. Pharmacokinetic analysis have shown that the administration of EC-MPS at 720 mg and MMF 1000 mg resulted in similar MPA C\(_{\text{max}}\) and AUC, documenting bioequivalence between the two formulations. Actually, the bioequivalence guidelines for approval of generic formulations require a similar average bioavailability compared with the reference formulation, with the 90% confidence interval of the relative mean AUC and C\(_{\text{max}}\) of the test to reference formulation within 0.8 to 1.25 [113]. However, this approach presents
some important limitations, one of the most important being the assumption to consider average bioavailability instead of single evaluations. This concept was underlined and emphasized by our findings. Indeed, looking at mean MPA $C_{\text{max}}$ and AUC$_{0-12}$, we found no differences between EC-MPS and MMF, confirming bioequivalence between the two formulations. However, looking at the single MPA pharmacokinetic profiles, we documented enormous differences between the two formulations. In particular, patients given EC-MPS presented MPA trough levels 4- to 5-fold higher that those found in patients given MMF, despite no differences in the MPA AUC$_{0-12}$. It can be reasonably speculated that our results may have important clinical consequences when $C_0$-based monitoring is used as a guide to optimize MPA therapy, as recently suggested by international consensus conferences [114].
Enteric-coating was designed to improve the GI adverse event profile of MMF releasing MPA in the small intestine, an effect evidenced by a delay in the MPA $C_{\text{max}}$ [87,106]. Overall, this trend was confirmed also by our data, showing that mean MPA $T_{\text{max}}$ was longer in patients given EC-MPS than those given MMF. However, when we looked at the single data, we observed a very huge distribution in the $T_{\text{max}}$, covering a period from 0 to 480 min after EC-MPS administration. These unexpected findings allow us to speculate that some patients, actually via unknown mechanisms, may experience some problems in the absorption of EC-MPS, a pattern also confirmed by the presence of multiple MPA peaks. This trend resembles early observations after cimetidine administration [115], suggesting a potential influence of food intake in the absorption of EC-MPS but not MMF. Since all patients from both groups received the morning dose of the study medication under fast conditions, but had no particularly restriction to food thereafter, we were not able to draw definite conclusion on this issue.
It is now generally accepted that the measurement of MPA AUC$_{0-12}$ is the most reliably tool for the assessment of daily MPA exposure [114]. However, this approach is seldom
feasible in the routine clinical practice and, therefore, limited sampling strategies for the prediction of AUC have been early advocated for MMF [37, 75, 114], but are still lacking for EC-MPS. To pursue this goal we have tried to identify a few, near-the-peak, sampling points useful to predict MPA AUC\textsubscript{0-12} in patients given EC-MPS. However, we found a very high variability, both intra- and inter-patient, among all the pharmacokinetic parameters of MPA obtained from patients treated with mycophenolate sodium. This was also documented by poor correlations between single sampling points and MPA AUC\textsubscript{0-12} after EC-MPS, but not MMF, administration. For all these results, we were not able to provide an equation useful to reliably predict MPA daily exposure in patients given the new enteric-coated formulation of MPA.
In conclusion, we have shown that, despite average bioequivalence, the pharmacokinetic of MPA released from EC-MPS is extremely variable and irregular as compared with that observed after MMF administration in stable kidney transplant recipients chronically exposed to these two formulations. Given the emerging strong support for the clinical outcome benefit of MPA monitoring in transplant setting, further studies are warranted to better investigate the mechanisms underlying differences in the absorption processes between EC-MPS and MMF.
Legend to Figures
Figure 22. Distribution of MPA $T_{\text{max}}$ and dose-adjusted $C_0$ in patients treated with EC-MPS or MMF. Data are depicted as mean, minimum and maximum values for each pharmacokinetic parameter. *p<0.01 vs Tmax and C0 in the MMF group.
Figure 23. Temporal distribution (from time 0 to time 720 minutes after drug administration) of single daily MPA concentrations in kidney transplant recipients at month 6 after surgery given EC-MPS or MMF.
Figure 24. Temporal distribution of single daily MPA concentrations in kidney transplant recipients at month 12 after surgery given EC-MPS or MMF.
Dose-adjusted MPA $C_0$ (mg/L/eq MP4)
- Figure 22 -
- Figure 23 -
- Figure 24 -
Table 17. Demographic and hematological data of kidney transplant recipients given mycophenolate sodium (EC-MPS, n=10) or mycophenolate mofetil (MMF, n=10).
| | EC-MPS | MMF |
|------------------------|--------------|--------------|
| | Month 6 | Month 12 | Month 6 | Month 12 |
| Age (yr) | 41 ± 12 | 39 ± 13 | 44 ± 12 | 44 ± 12 |
| Body Weight (kg) | 72.1 ± 18.5 | 70.1 ± 16.9 | 75.3 ± 17.3 | 77.7 ± 17.3 |
| S.Creatinine (mg/dL) | 1.54 ± 0.42 | 1.51 ± 0.56 | 1.66 ± 0.36 | 1.56 ± 0.27 |
| Creatinine cl. (mL/min)| 64.3 ± 17.4 | 67.0 ± 17.8 | 55.4 ± 18.9 | 65.4 ± 17.8 |
| S.Urea (mg/dL) | 64 ± 13 | 59 ± 17 | 66 ± 28 | 63 ± 20 |
| AST (IU/L) | 17 ± 4 | 17 ± 5 | 20 ± 10 | 19 ± 4 |
| ALT (IU/L) | 18 ± 5 | 15 ± 4 | 27 ± 26 | 18 ± 10 |
| GGT (IU/L) | 18 ± 10 | 20 ± 18 | 35 ± 43 | 36 ± 33 |
| RBC (10^6/µL) | 4.28 ± 0.71 | 4.37 ± 0.45 | 4.10 ± 0.31 | 4.37 ± 0.52 |
| WBC (10^6/µL) | 7.70 ± 3.51 | 7.69 ± 2.81 | 5.39 ± 2.18 | 5.90 ± 1.61 |
Table 18. Pharmacokinetic parameters of kidney transplant recipients given EC-MPS (n=10) or MMF (n=10).
| Pharmacokinetic parameters | EC-MPS Month 6 | EC-MPS Month 12 | MMF Month 6 | MMF Month 12 |
|----------------------------|-----------------|-----------------|-------------|--------------|
| Dose (MPA eq/day) | 1040 ± 379 | 997 ± 365 | 750 ± 267 | 850 ± 242 |
| $C_0$ (mg/L) | 4.07 ± 4.07* | 6.50 ± 6.56* | 0.49 ± 0.38 | 0.72 ± 0.26 |
| $C_0$/Dose (mg/L /MPA eq) | 5.93 ± 5.01* | 7.98 ± 7.01° | 1.26 ± 0.80 | 1.64 ± 0.62 |
| $C_{\text{max}}$ (mg/L) | 18.11 ± 10.20 | 15.95 ± 7.03 | 11.74 ± 6.56| 12.23 ± 3.54 |
| $C_{\text{max}}$/Dose (mg/L /MPA eq) | 25.51 ± 11.30 | 25.57 ± 14.78 | 30.56 ± 11.21 | 29.84 ± 8.67 |
| $T_{\text{max}}$ (min) | 130 ± 107* | 118 ± 129* | 46 ± 19 | 30 ± 11 |
| AUC$_{0-12}$ (mg*h/L) | 36.65 ± 11.78° | 41.04 ± 19.53° | 18.94 ± 11.62 | 21.14 ± 6.08 |
| AUC$_{0-12}$/Dose (mg*h/L/MPA eq) | 53.18 ± 12.72 | 58.86 ± 18.29 | 47.64 ± 15.77 | 51.28 ± 15.37 |
*p<0.05 vs MMF, °p<0.01 vs MMF
Table 19: Intra- and inter-patient variability of main MPA pharmacokinetic parameters in kidney transplant recipients given EC-MPS or MMF at month 6 and 12 post-surgery.
| Pharmacokinetic parameters | Intrapatient variability (CV % month 6 vs 12) | Interpatient variability (CV % at month 6) | Interpatient variability (CV % at month 12) |
|----------------------------|---------------------------------------------|-------------------------------------------|-------------------------------------------|
| | EC-MPS | MMF | EC-MPS | MMF | EC-MPS | MMF |
| $C_v$/Dose (mg/L /MPA eq) | 32.8 | 38.7 | 84.4* | 63.9 | 87.8° | 37.8 |
| $C_{\text{max}}$/Dose (mg/L /MPA eq) | 45.7* | 15.1 | 44.3 | 36.7 | 57.8 | 29.1 |
| $T_{\text{max}}$ (min) | 66.7 | 32.5 | 82.4* | 41.2 | 109.4* | 35.1 |
| AUC$_{0-12}$/Dose (mg*h/L/MPA eq) | 24.9 | 12.4 | 23.9 | 33.1 | 31.1 | 29.9 |
*p<0.05 vs MMF, *p<0.01 vs MMF
Table 20: Correlation between single MPA sampling points and MPA AUC\textsubscript{0-12} in patients given EC-MPS or MMF.
| Time-point of sampling (min) | EC-MPS | MMF |
|-----------------------------|--------|-----|
| | r | | r | |
| | Regression equation | | Regression equation |
| C\textsubscript{0} | 0.76 | | 0.87 | |
| | AUC = 2.21 C\textsubscript{0} + 27.08 | | AUC = 18.60 C\textsubscript{0} + 8.87 |
| C\textsubscript{20} | 0.69 | | 0.16 | |
| | AUC = 3.41 C\textsubscript{20} + 25.75 | | AUC = 0.58 C\textsubscript{20} + 22.47 |
| C\textsubscript{40} | 0.14 | | 0.75 | |
| | AUC = 0.57 C\textsubscript{40} + 36.92 | | AUC = 1.93 C\textsubscript{40} + 0.52 |
| C\textsubscript{75} | 0.18 | | 0.89 | |
| | AUC = -0.58 C\textsubscript{75} + 42.8 | | AUC = 2.29 C\textsubscript{75} + 9.6 |
| C\textsubscript{120} | 0.28 | | 0.91 | |
| | AUC = 0.53 C\textsubscript{120} + 35.05 | | AUC = 5.16 C\textsubscript{120} + 7.65 |
| C\textsubscript{180} | 0.53 | | 0.75 | |
| | AUC = 2.41 C\textsubscript{180} + 29.73 | | AUC = 7.82 C\textsubscript{180} + 11.27 |
| C\textsubscript{240} | 0.35 | | 0.80 | |
| | AUC = 2.36 C\textsubscript{240} + 33.96 | | AUC = 11.52 C\textsubscript{240} + 9.18 |
| C\textsubscript{300} | 0.42 | | 0.59 | |
| | AUC = 1.33 C\textsubscript{300} + 33.27 | | AUC = 8.82 C\textsubscript{300} + 13.87 |
| C\textsubscript{360} | 0.58 | | 0.82 | |
| | AUC = 4.29 C\textsubscript{360} + 29.75 | | AUC = 19.19 C\textsubscript{360} + 4.31 |
| C\textsubscript{480} | 0.59 | | 0.93 | |
| | AUC = 3.82 C\textsubscript{480} + 30.94 | | AUC = 23.88 C\textsubscript{480} + 5.58 |
| C\textsubscript{600} | 0.47 | | 0.91 | |
| | AUC = 6.05 C\textsubscript{600} + 27.62 | | AUC = 13.04 C\textsubscript{600} + 13.61 |
| C\textsubscript{720} | 0.68 | | 0.88 | |
| | AUC = 11.05 C\textsubscript{720} + 21.76 | | AUC = 15.65 C\textsubscript{720} + 12.3 |
Part III
THERAPEUTIC DRUG MONITORING OF SIROLIMUS
Chapter 10
THERAPEUTIC DRUG MONITORING OF SIROLIMUS: EFFECT OF CONCOMITANT IMMUNOSUPPRESSIVE THERAPY AND OPTIMIZATION OF DRUG DOSING
SRL is a macrocyclic lactone isolated from *Streptomyces hygroscopicus* characterized by a potent immunosuppressive activity [116]. Interest in the use of sirolimus in organ transplantation derives from its unique mechanism of action, its low side-effect profile, and its ability to synergize with other immunosuppressive agents [117]. SRL has no effect on calcineurin enzyme, but it reduces T-lymphocyte activation at a later stage in the cell cycle, by inhibiting the post interleukin-2 receptor mTOR signal transduction pathway [118].
The drug is metabolized by the cytochrome P450-3A4 isoenzyme (CYP3A4), a family of enzymes involved in the metabolism of several immunosuppressive agents currently used in combination as antirejection treatments in organ transplantation [24]. This may lead to potential pharmacokinetic interactions that eventually affect SRL blood concentrations and ultimately may result in over- or under-immunosuppression or toxicity [119,120]. So far, this issue remains ill defined. Monitoring blood sirolimus levels is mandatory to optimize the drug dosing regimen, since the dose is itself a poor predictor of drug exposure [121]. At variance, SRL trough levels ($C_0$) show good correlation with the daily drug exposure, defined as the area under the time-concentration curve (AUC$_{0-24}$), and with clinical outcomes, both as rejection episodes and drug-related toxicity [40]. HPLC, with either UV or MS detection, is now the only available technique for the assessment of SRL whole blood levels [35,122].
In the past two years our laboratory served as a centralized institution in Italy to measure SRL concentrations in blood samples of kidney transplant recipients on different SRL-based immunosuppressive regimens. These samples referred only to SRL trough levels, and no complete pharmacokinetic profiles were performed to study additional pharmacokinetic parameters. Although the AUC is an accurate index of
patient exposure to the drug, this measurement is quite expensive, time-consuming, and increases the discomfort for the patients, making it seldom feasible in routine clinical monitoring. Therefore, the $C_0$-based SRL monitoring is commonly used as a surrogate marker of daily drug exposure in the routine clinical practice. Thus, given the large number of SRL measurements available in our laboratory referring to different time samplings post transplant and to different settings of drug combination, we sought to investigate the possible effect of concomitant immunosuppressive agents on SRL trough levels ($C_0$) as an index of patient exposure to the drug. In particular, we examined: 1) the potential influence of CsA, tacrolimus (TRL), MMF and steroids on dose-normalized SRL trough concentration; and 2) the variability of SRL trough levels according to different time points post surgery. In addition, we tested an algorithm based on measured SRL trough levels useful to guide changes of SRL dosing.
Patients and blood sampling
Four hundred ninety-five transplant recipients of cadaver kidneys from 40 Italian Transplant Centres were included in the present study. Patients were at a median of 258 days post-surgery (from day 0 to 14 years), and treated with different immunosuppressive regimens that include CsA, TRL, MMF, and steroids. In most patients, SRL was given in association with a calcineurin-inhibitor (CsA 58%; TRL 19%) in dual (28%) or triple therapy with steroids (46%). Alternatively, patients were treated with SRL in combination with MMF (7%), or steroids (9%) alone, or in triple combination (8%). For a detailed description of the different immunosuppressive regimens see Table 22. The patients received SRL 4 hours after the morning CsA dose, as suggested by the drug manufacturer.
Study design
Serial SRL blood levels centrally assayed in our Laboratory between June 2001 and October 2003 were considered (n=2,658). Samples were collected in EDTA-containing tube and sent (frozen at −20°C) to the central Laboratory. At the same time the Centres were asked to provide information on: day of transplant, actual SRL daily dose, concomitant immunosuppressive regimen and graft function as serum creatinine. Complete required data were available for 689 SRL trough levels, which belong to 189 patients. Measured SRL concentrations were initially divided in three groups according to immunosuppressive regimen: 1) SRL, CsA with or without steroids; 2) SRL, TRL with or without steroids; 3) SRL, MMF with or without steroids. The impact of CsA, TRL, MMF, or steroids on SRL trough levels was first examined. We also assessed the consistency of SRL trough levels measured at different time points post transplant with
the recently proposed guidelines of target SRL blood concentrations, according to the adopted immunosuppression regimen [123]. Moreover, similarly to what has been recently proposed for CsA Neoral dose adjustment [124], we also evaluated the feasibility of adjusting SRL dose to a given blood trough target using the following equation:
\[
\text{Predicted SRL Conc.} = \frac{\text{Old SRL Conc.} \times \text{New SRL dose}}{\text{Old SRL dose}}
\]
**SRL concentration measurement**
Whole blood sirolimus concentrations were measured using a validated HPLC method, already described in *Chapter 4* [122].
**Statistical analyses**
Dose-normalized SRL trough values were compared between different groups according to different immunosuppressive regimens by ANOVA. Bonferroni t-tests of difference between means were performed when ANOVA showed a significant difference (p<0.05).
Agreement between blood SRL concentrations measured and predicted with the above mentioned equation was assessed using a linear regression analysis. In addition, the Bland and Altman approach [99], where the percentage difference [100] is plotted against the mean SRL value, was used. We considered acceptable values within 1 standard deviation (SD) of the difference.
Concomitant immunosuppressive therapy and SRL levels
In patients given CsA or TRL as a part of their immunosuppressive therapy, mean SRL dose as well as trough levels were lower than in those receiving MMF but not calcineurin inhibitors (Table 21). Normalization of SRL trough level to drug dose, however, resulted in a significantly higher trough values in patients on CsA than in those treated with TRL ($p<0.05$) or MMF ($p<0.01$).
Since some patients were also given steroids, we further characterize the potential additional effects of corticosteroids on SRL trough levels by comparing dual or triple immunosuppressive regimens with or without steroids. As shown in Table 22, the addition of steroids to CsA- but not to TRL-based immunosuppressive regimen significantly lowered the dose-normalized SRL trough levels as compared to the dual regimen without steroids ($p<0.01$). A similar trend was found for MMF-based immunosuppression, in which steroids resulted in numerically lower normalized SRL trough levels than steroid-free patients.
Considering the impact of MMF on SRL blood concentration, normalized SRL trough levels were lower with $(2.91 \pm 1.52 \text{ ng/mL/mg SRL}; p<0.05)$ than without MMF $(4.15 \pm 2.23 \text{ ng/mL/mg SRL})$ added to a dual regimen of SRL/CsA. Moreover, combining MMF with SRL resulted in a significant reduction in dose-normalized SRL trough levels $(3.26 \pm 1.86 \text{ ng/mL/mg SRL})$ compared with the dual CsA-SRL regimen ($p<0.05$). When dual SRL-based regimens were compared, dose-normalized SRL trough levels were significantly higher with CsA ($p<0.05$) than TRL and MMF but not steroids.
Distribution of SRL trough levels with- or without CsA
Blood SRL trough concentrations measured by HPLC ranged from 1.0 to 46.4 ng/mL. To evaluate the agreement of SRL trough levels with current regulatory guideline ranges - according to whether patients were given or not CsA - SRL concentrations were divided based on samples from patients with or without CsA as a part of their immunosuppressive regimen. As shown in Figure 25, 71.2% of SRL trough levels from patients receiving the drug in combination with CsA fell in the proposed therapeutic range of 5-15 ng/mL. Among these samples, 72% were between 5-10 ng/mL. Conversely, only 36.7% patients without CsA fell in the proposed SRL trough range (10-20 ng/mL), while the majority of samples (75.0%) were in the range of 5-15 ng/mL.
Modelling SRL dose according to drug levels
In 166 patients who did not change SRL dose and concomitant immunosuppressive therapy during consecutive visits (503 determinations), the intrapatient and interpatient variability of SRL trough levels, defined by the mean coefficient of variation, were 19% and 47%, respectively (Table 23). These parameters were significantly affected by the time post-surgery, with the first week after transplantation associated with the greatest intra- and interpatient variability (Table 23).
To provide an algorithm that would help in choosing the appropriate SRL dose and ultimately limiting the drug trough level variability, a simple dose-adjustment formula recently proposed for CsA monitoring [124] was tested. To this purpose we used data from 82 patients who underwent 186 modifications of SRL dose, and correlated the measured and predicted SRL trough levels. As shown in Figure 26, a significant correlation was found between SRL concentrations measured after drug dose change and those predicted with the proposed formula. The mean percentage error of prediction was 4.1 ± 34%, with 71% of estimations within the threshold acceptable error of ± 30%.
This arbitrary value results from the sum of the mean intrapatient variability found in patients who did not undergo to SRL dose change (20%), and the performance of the method used to assess SRL levels (an imprecision and accuracy of nearly 10%). To overcome the limitation of the arbitrary estimate of this threshold in error, a more conservative approach [99], that defines as acceptable 1 SD of the mean in the percentage difference of SRL values [100], was considered. As shown in Figure 27, 73% of predicted SRL values fell in the proposed range.
Discussion
In this study we found that in kidney transplantation the degree of patient exposure to SRL is not only influenced by drug dosing, but also by the concomitant immunosuppressive regimen. Concomitant administration of SRL and CsA was associated with higher dose-normalized SRL blood trough levels than those measured under TRL- or MMF-based regimens. These findings indicate potential pharmacokinetic interaction between different immunosuppressants. They confirmed drug interactions previously reported in animal models [125-127], and in humans [128], in which CsA was found to significantly increase SRL blood levels.
Different mechanisms may underlay this drug interaction. CsA and SRL share common transport and metabolic pathways, thus, both drugs may compete for the binding to P glycoprotein and for the metabolism by intestinal and hepatic CYP3A4 enzyme [129]. Because the molar quantity of CsA in a typical daily dose far exceeds that of SRL (>10 times), it might be expected that CsA preferentially interacts with CYP3A4 and thus inhibits SRL metabolism [35]. In addition, CsA acts not only as substrate but also as inhibitor of CYP3A4 [130]. Both these mechanisms explain the high normalized SRL trough levels we found when the drug was given as part of a CsA based immunosuppressive regimen. Conversely, TRL is only a substrate but not an inhibitor of CYP3A4 [130]. Moreover, therapeutic blood concentrations of TRL are in the molar quantity close to those of SRL. This implies that one molecule of TRL may compete with one molecule of SRL for CYP3A4. Thus, the likelihood of TRL to interact with this enzyme is similar to that of SRL, but far lower than that of CsA. This ultimately may explain why the influence of TRL on SRL metabolism, if any, is less evident. This is further supported by studies in liver and kidney-pancreas transplant recipients showing that neither pharmacokinetic profiles of SRL nor those of TRL were altered by
simultaneous administration of the two drugs [131]. Similarly, Ciancio et al have recently shown that dose-normalized SRL trough levels, expressed as bioavailability index, were significantly higher in patients receiving CsA, than in those given TRL [128].
Intestinal CYP3A4-mediated drug metabolism, P-gp expression, and cell membrane permeability are factors that most likely affect the bioavailability of SRL, CsA and TRL. It is therefore possible that the drugs interact not only at hepatic level but also at the small intestinal level where drug absorption occurs. Experimental studies in rats have indeed shown marked pharmacokinetic interactions when SRL and CsA were administered simultaneously by gavage but not via continuous intravenous infusion, suggesting that the gastrointestinal surface may be an important site of drug interaction [127]. Moreover, in healthy volunteers given a single oral dose of SRL the rate and extent of SRL absorption and exposure were significantly affected not only after simultaneous but also after staggered drug administration with Neoral [132]. This was also true in kidney transplant recipients [133]. The finding that in our patients – who were given SRL dose 4 hours after CsA morning dose – SRL trough levels were still affected by CsA administration, confirm previous observations and implies that the interaction between the two drugs occurs not only in the liver but, at least in part, at the gastrointestinal level.
At variance with CsA, co-administration of MMF resulted in a significant reduction of dose-normalized SRL trough levels. Indirect evidence of mutual pharmacokinetic interaction between MMF and SRL is available in transplant patients. A multicenter clinical trial [96] has shown that, despite low MMF dose employed, patients treated with MMF and SRL have MPA (the active compound of the prodrug MMF) trough levels significantly higher than in patients treated with a calcineurin-inhibitor and normal MMF dose. Similarly, others have found in renal transplant recipients that MMF
may be given at lower dose than conventional when used in association with SRL in renal transplant recipients [134]. Both these studies provide clear evidence that SRL significantly affect MPA pharmacokinetics. Conversely, we found that co-administration of MMF and SRL resulted in a significant reduction of dose-normalized SRL trough levels. The mechanisms of MMF-SRL interaction, however, remain ill defined. The possibility exists that MPA, by affecting cytokine production [135], may induce the expression of P glycoprotein and/or CYP3A4, resulting in a significant reduction in dose-normalized SRL trough levels. Alternatively, but not mutually exclusive, MPA and SRL may interact at metabolic level. This is supported by the fact that a phase I metabolite of MPA produced by CYP3A4/5 (the same enzyme involved in SRL metabolism) has been recently identified [136], although in the past MPA was thought to be metabolized exclusively by phase II reactions.
Here we also documented that even steroids influence SRL trough concentration. So far, available data on the effects of steroids on SRL patient exposure are conflicting, with some studies [137] but not others [138] showing pharmacokinetic interactions between SRL and prednisolone. In vitro and in vivo evidence show that glucocorticoids increase the expression and activity of CYP3A4 [139,140]. These findings raise the possibility that steroids activate pathways of SRL metabolism, eventually leading to a lower exposure than expected to SRL. This was indeed what we found in the present study. The addition of steroids to a dual therapy regimen of CsA and SRL resulted in a significant reduction in dose-normalized SRL trough levels; the same trend was observed when this class of drugs was associated with MMF and SRL. Conversely, the combination of steroids with TRL and SRL, did not result in a significant reduction in dose-normalized SRL concentrations. Several confounding factors may have, however, influenced the latter observation. Indeed, it has been recently shown that steroids influence TRL pharmacokinetics [141], suggesting a complex scenario of interactions.
between TRL, steroids and possibly SRL. Moreover, our patients on triple therapy with steroids, TRL and SRL had higher degree of renal dysfunction (measured as serum creatinine levels) than those given only TRL and SRL, which could have resulted in SRL accumulation and higher than expected SRL blood levels. The accumulation of SRL due to renal dysfunction may have ultimately masked the possible trend to lower SRL levels secondary to TRL/SRL pharmacokinetic interaction.
We then investigated whether the distribution of SRL trough levels in patients given the drug with or without CsA, meets the registration guidelines for SRL target blood ranges [35,40,123,142]. This was feasible since our samples did belong from different Transplant Centres, each with a given drug combination and SRL blood target protocol for routine drug monitoring. The recommended therapeutic window for SRL trough levels, when the drug is given concomitantly with a calcineurin inhibitor, is 5-15 ng/mL [35,40]. More than 70% of the samples assayed in our study fell within this range, although most of them were in the lower 5 to 10 ng/ml window. Two double blind randomized clinical trials [123,142] have recently shown that CsA can be safely discontinued three months after kidney transplantation, provided that SRL dose is increased to target blood trough levels of 20 to 30 ng/mL (if measured by immunoassay) [123] or of 10 to 20 ng/mL (if assayed by HPLC) [142]. Such difference in the target range relates to the fact that the immunoassay gives cross-reaction with SRL metabolites resulting in a significant overestimation [143]. Here we showed by HPLC that most of patients who ‘per protocol’ discontinued CsA had SRL trough levels lower than the recommend blood window of 10 to 20 ng/mL or more close to the expected 5 to 15 ng/mL range for triple therapy including CsA. These findings underline the tendency of most transplant physicians to underdosing SRL in the dual immunosuppressive regimen of SRL and steroid, when CsA has been withdrawn from the initial triple therapy. While this strategy may still be safe in respect to the risk of
acute rejection and/or on long-term graft outcome, formal data derived from *ad hoc* designed study are not yet available. Therefore, they should go forward warily in adopting this SRL regimen without a clear rationale.
As previously reported [144], SRL levels exhibited a great intra-patient variation that further supports the need of therapeutic drug monitoring for this novel immunosuppressant. A correct drug monitoring approach should rely on reliable methods to assess drug level and on adequate tools to calculate the drug dose required to obtain a given drug level. Here we described and provided evidence of reliability of a prediction equation to calculate the new SRL dose required to target a given therapeutic range, when adjustment of SRL dosing is needed to meet clinical requirements. To our knowledge, this is the first attempt to provide such a tool for the improvement of SRL monitoring in transplant patients.
The present study has certainly some shortcomings. This is a retrospective analysis of the available data of SRL trough levels provided by different transplant Units. They, however, did not include doses and levels of the other immunosuppressive agents co-administered with SRL. With this limitation, it should be pointed out that so far data on the effects of currently used immunosuppressive agents on SRL trough levels are scanty. This is the first demonstration that not only CsA and TRL, but also MMF and steroids may affect SRL blood levels in kidney transplant patients.
An additional shortcoming is that the apparent concentration of the drug measured in the blood, as in our study, may not accurately reflect the drug level in the lymphoid organs and in the graft. Alternative approaches have been recently proposed to tailor the best immunosuppressive regimen. For instance, pharmacodynamic monitoring involves measurement of the biological effect of the drug at its target site [15], and pharmacogenomics, a genome-wide approach aimed at identifying the network of genes that govern an individual’s response to drug therapy [41]. These novel strategies hold
many promises for the future. However, they will never replace traditional therapeutic drug monitoring completely but, rather, act as complementary fields resulting in a better patient management.
Prospectively designed multicenter clinical trials are now needed to assess whether SRL pharmacokinetic changes related to drug-drug interaction would translate to a different risk of rejection or graft outcome.
Legend to Figures
Figure 25. Frequency distribution of the dose-normalized SRL trough levels in patients treated with SRL and with- (panel A), or without CsA (panel B). Shaded areas represent SRL therapeutic windows, according to the immunosuppressive therapy (panel A: 5-15 ng/mL; panel B: 10-20 ng/mL).
Figure 26. Linear regression plot between SRL levels measured with a HPLC method and predicted with a proposed formula in 82 patients who underwent 186 modifications of SRL dose.
Figure 27. Bland and Altman plot for measured and predicted SRL concentrations. The percentage difference from the measured SRL concentration is plotted against the mean SRL value. The mean percent difference is displayed by a bold solid line. Dotted lines represent ± 1 SD of difference.
- With CsA -
SRL Trough level (ng/mL)
- Without CsA -
SRL trough level (ng/mL)
Measured SRL Conc (ng/mL)
Predicted SRL Conc. (ng/mL)
\[ y = 0.6594x + 3.22 \]
\[ r = 0.68 \]
\[ p < 0.01 \]
Percent difference
Mean SRL Conc. (ng/mL)
Table 21. SRL blood trough levels according to the immunosuppressive regimens
| Therapy | SRL Dose (mg/day) | SRL $C_t$ (ng/mL) | $C_t /$ Dose (ng/mL/mg SRL) |
|------------------|-------------------|-------------------|-----------------------------|
| SRL + CsA ($n=400$) | 2.7 ± 1.4 | 8.58 ± 4.38 | 3.77 ± 2.35 *° |
| SRL + TRL ($n=128$) | 3.1 ± 1.5 | 8.09 ± 4.44 | 3.24 ± 2.16 |
| SRL + MMF ($n=102$) | 4.3 ± 1.6 | 10.57 ± 4.93 | 2.84 ± 1.81 |
* p<0.01 vs SRL+MMF
° p<0.05 vs SRL+TRL
Table 22. SRL blood trough levels according to different immunosuppressive regimens
| Therapy | SRL Dose (mg/day) | SRL $C_t$ (ng/mL) | $C_t$/Dose (ng/mL/mg SRL) | S. Creat (mg/dL) |
|----------------------------------------------|-------------------|-------------------|---------------------------|------------------|
| SRL + CsA + Ster ($n=221$) | 2.7 ± 1.7 | 7.92 ± 4.07 | 3.53 ± 2.45 | 2.21 ± 1.59 |
| SRL + CsA ($n=165$) | 2.6 ± 1.0 | 9.58 ± 4.66 | 4.15 ± 2.23 $^a,^b$ | 2.03 ± 1.55 |
| SRL + CsA+ MMF ($n=14$) | 2.8 ± 1.3 | 7.21 ± 3.48 | 2.91 ± 1.52 | 2.16 ± 0.80 |
| SRL + TRL + Ster ($n=98$) | 3.1 ± 1.4 | 8.15 ± 4.34 | 3.26 ± 2.22 | 2.64 ± 1.08 $^o$|
| SRL + TRL ($n=30$) | 3.1 ± 1.8 | 7.89 ± 4.84 | 3.18 ± 1.97 | 2.00 ± 0.69 |
| SRL + MMF + Ster ($n=57$) | 4.5 ± 1.1 | 10.54 ± 5.38 | 2.52 ± 1.73 $^c,^d$ | 2.32 ± 1.09 |
| SRL + MMF ($n=45$) | 3.9 ± 2.0 | 10.60 ± 4.35 | 3.26 ± 1.86 | 2.16 ± 1.20 |
| SRL + Ster ($n=59$) | 3.1 ± 2.0 | 8.46 ± 3.77 | 3.85 ± 2.91 | 2.77 ± 1.19 $^*$|
$^a$ p< 0.01 vs SRL + CsA + Ster, SRL + TRL + Ster
$^b$ p< 0.05 vs SRL + TRL, SRL + MMF, and SRL + CsA + MMF
$^c$ p<0.01 vs SRL + CsA
$^d$ p< 0.01 vs SRL + CsA + Ster, SRL + CsA, and SRL + Ster
$^e$ p<0.05 vs SRL + TRL + Ster
$^f$ p<0.05 vs SRL + CsA
Table 23. Intra- and interpatient variability of SRL blood trough levels according to time post-surgery
| Time post-surgery | SRL Dose (mg/day) | SRL $C_t$ (ng/mL) | Intrapatient CV% | Interpatient CV% |
|-------------------|-------------------|-------------------|------------------|------------------|
| 1 week (n=19) | 2.6 ± 1.0 | 7.2 ± 4.5 | 27%* | 63%° |
| 1 month (n=27) | 2.9 ± 1.2 | 7.5 ± 3.9 | 16% | 52% |
| 3 monts (n=21) | 2.9 ± 1.2 | 8.2 ± 3.9 | 15% | 48% |
| 6 months (n=29) | 2.6 ± 1.6 | 7.9 ± 3.9 | 17% | 49% |
| > 6 months (n=70) | 2.9 ± 1.6 | 8.2 ± 3.7 | 18% | 45% |
| Overall (n=166) | 2.9 ± 1.4 | 8.0 ± 3.8 | 19% | 47% |
* p < 0.01 vs month 3; p < 0.05 vs months 1, 6 and > 6
° p<0.05 vs other groups
Part IV
PHARMACOGENETIC-BASED THERAPEUTIC DRUG MONITORING: PRELIMINARY EXPERIENCE WITH CYCLOSPORINE
Immunosuppressive drugs are often associated with high risk of serious adverse events, including infections and cancer [145]. The narrow therapeutic index unique to each patient, as well as variable absorption, distribution and elimination properties give reason for individual response and risk of side effects related to the treatment with immunosuppressants. Therefore, periodic monitoring of plasma/blood concentrations of drugs is required. The goal is to maintain levels of immunosuppressive drugs within their therapeutic ranges, as variations outside these limits are often associated with adverse clinical outcomes or under treatment [64]. Moreover, as emphasized in the previous chapters, pharmacokinetic-based therapeutic drug monitoring may be helpful also to study and eventually predict potential drug-to-drug interactions. It should be pointed out, however that, although the extensive literature on immunosuppressive drug monitoring to guide therapy [17,64], there is still controversy amongst the effective impact of a concentration-controlled based immunosuppressive regimen [14], since in a significant proportion of patients acute rejection or drug-related toxicity occur despite drug levels fell within the therapeutic range [146]. Therefore, we are in need of novel strategies for a better management of transplant recipients, which could support the conventional TDM.
By examining the genetic factors that contribute to variability in drug response in individual patients, pharmacogenetics could provide a promising and complementary tool in this field. The field of pharmacogenetics could not have evolved without the development of new technological resources that allow scientists to access and process the enormous amount of information embedded in the human genome. Actually, the most diffuse technological advances are focused on single-nucleotide polymorphisms (SNPs), which form the backbone of molecular genetics technology. SNPs are common variations in the structure of a gene and consist of one-nucleotide alteration in the sequence of a gene [147]. It has been estimated that there are 30 millions of SNPs in the
human genome, accounting for 90% of all inter-individual variations. These genetic variations can result in altered catalytic activity of enzymes, with gain or loss of function by gene replication, gene deletion or gene miss-splicing. Certain SNP’s will also exert a more indirect influence by altering genes or promoter regions that determine transcription and translation of the gene of interest. Thus, SNPs offer a potentially useful tool for pharmacogenomics to identify genetic markers that might be predictive of toxicity, side effects or lack of response to a drug. However, it should be pointed out that this approach is expected to be clinically relevant for those SNP’s that are strongly linked to a corresponding phenotype [148], whereas those characterized by a bell-shaped distribution [149] and less evident phenotypes might have a limited clinical impact. These promising technologies could be useful tools to address the main challenge of pharmacogenetics: to predict which individual will benefit most from which drug. This task applies for all drugs but is of particular importance for those characterized by a NTI, such as the immunosuppressive agents that represent the ideal candidates for pharmacogenomic approaches.
Today, the key-point is to understand whether clinical pharmacogenetics is already applicable today to organ transplantation. Early observations focused simply on drug metabolism [150,151]. However, there is also great interest in the full spectrum of drug disposition, including absorption, distribution and pharmacological targets. One of the potential advantages of this type of approach lies on the common metabolic pathways for several immunosuppressive agents. CsA, TRL, SRL and the novel rapamycin-analogue everolimus are all mainly transported and metabolized by the cytochrome 3A-P-glycoprotein system [24]. Thus, the study of patient’s genotype can provide predictive value for multiple drug therapy as in transplant patients. In particular, P-glycoprotein, a member of the ATP-binding cassette family encoded by the multidrug resistant gene (MDR1) regulates the cellular efflux of several substrates, including the
immunosuppressive drugs [152]. Several SNP have been identified for MDR1 gene, all potentially important in predicting the efficacy and/or toxicity of these drugs. The presence of variants in genes encoding for drug targets or other genetic polymorphisms with indirect effects on drug response are less known. Thus, they represent an exciting challenge for the future.
Following there are preliminary results of a study aimed at investigating whether the identification of SNPs in the MDR1 gene could be used as useful tool to predict drug exposure in organ transplant recipients. Chapter 11 focused on CsA. However, it can be reasonably speculated that the same approach could be applied in the near future also for other immunosuppressants [41].
Chapter 11
MDR1 POLYMORPHISMS IN EXON 26, BUT NOT 12, INFLUENCES INDIVIDUAL CYCLOSPORINE LEVELS IN KIDNEY TRANSPLANT RECIPIENTS
CsA is one of the main immunosuppressant currently used to prevent graft rejection, which has significantly contributed to improve allograft and patient survival [153]. This drug is, however, characterized by a narrow therapeutic index, an unpredictable absorption profile, and important side effects [11,154]. Given the appreciable inter-individual variation in blood CsA concentration despite the same drug dosage, major efforts have been devoted in the past to individualize CsA dose to maximize the efficacy and minimize toxicity of the treatment. To this purpose, several approaches have been proposed to monitor daily CsA exposure as useful tools to tailor drug dosage for each patient [20]. In particular, two blood sampling points, at time zero (C₀) or at 2 hours after CsA dosing (C₂) are currently used in the clinical practice [25]. However, this pharmacokinetic-based therapeutic drug monitoring is not without pitfalls. Indeed, some Authors failed to document a significant association between CsA pharmacokinetic parameters and patient’s clinical outcome [14]. Therefore, complementary strategies have been advocated.
The advent of the genomic era has provided new insights into the molecular basis of human genetic disorders, and pharmacogenetics – a science that studies how the genome may affect the full spectrum of drug disposition – is undoubtedly a potential source of additional information, as complementary field to the traditional pharmacokinetics. In the past few years, large number of studies has shown that genetic polymorphisms in drug-metabolizing enzymes and transporters may predict drug efficacy as well as drug toxicity [23,41].
CsA disposition is mainly influenced by the P-glycoprotein (P-gp), the product of the MDR1 gene [155]. This protein is an efflux pump, which removes lipophilic drugs, like CsA, from the intracellular space. P-gp is mainly found in the hepatocytes, kidney
proximal tubular cells, and the brush border surface of enterocytes [155]. The function and the anatomic localization of P-gp suggest that this transporter acts as a protective barrier to keep toxins (drugs or xenobiotics) out of the body by excreting these compounds into bile, urine, and the intestinal lumen. To date, about 30 SNPs have been reported for the MDR1 gene [155]. However, only SNPs in exons 12, 21 and 26 were associated with lower P-gp expression/activity. SNP in exon 12 is silent, whereas SNPs at exon 21 result in two distinct amino acid changes, namely, Ala863Ser (G2677T) and Ala893Thr (G2677A). The silent SNP in exon 26 (C3435T) was the first variant to be associated with altered protein expression [156]. More recently, also SNPs in exons 12 and 21 were found to be associated with altered drug disposition [157,158].
Genetic polymorphisms of MDR1 gene in transplant recipients may therefore result in significant reduction in P-gp expression, eventually increasing the exposure of patients to immunosuppressants, such as CsA, with potential clinical consequences in terms of efficacy and adverse effects. So far, only few studies have investigated the impact of MDR1 SNPs on the bioavailability of immunosuppressive agents. Whereas studies focusing on TRL have consistently shown that genetic polymorphisms of the MDR1 gene in exons 12, 21 and 26 can predict drug bioavailability and toxicity [159], those dealing with CsA led to contradictory results [41,159], possibly due to the limited number of patients studied or inadequate pharmacokinetic monitoring.
Therefore, the present study was designed to assess whether single nucleotide polymorphisms in MDR1 gene (exon 12 C1236T and exon 26 C3435T), alone or in combination (as haplotypes and genotypes), were associated with variable CsA levels (at week 1 and at month 1, 3 and 6 after transplantation) in a large cohort of 120 kidney transplant recipients enrolled in the MYcophenolate Steroid-Sparing (MY.S.S.) Trial [38].
Patients
120 Caucasian patients (≥17 years old), enrolled in the MY.S.S. Trial - a prospective, randomized, multicenter, European study of first cadaver renal transplant recipients randomly allocated to receive azathioprine or mycophenolate mofetil in addition to the Neoral microemulsion formulation of CsA and steroids for the first six months post-surgery (for a detailed description of the study see reference [38]) – entered this pharmacogenetic study.
CsA was initially infused intravenously (on average 4 mg/kg daily) from the day of surgery (day 0) to day 3 and then, given orally twice a day (Neoral Novartis, Basel, CH). CsA dose was adjusted to maintain blood drug trough levels within 250-440 ng/mL from day 0 to 7, and within 200-300 ng/mL from day 8 to the end of the first month. Thereafter, CsA trough concentrations were targeted to 150-250 ng/mL up to 6 months postoperatively. Patients were randomly assigned to receive treatment with mycophenolate mofetil (1 g twice a day), or azathioprine (100 or 150 mg/day according to body weight ≤ or > of 75 Kg). Corticosteroid dosing early post-transplant was dictated by the participating centre’s practice, whereas all patients received 16 mg/day of methylprednisolone from day 12 to 60 post-transplant tapered to 8 mg/day thereafter. None of the patients was given medications known to interfere with P-gp function (inducers or inhibitors). A control group of 100 healthy volunteers was also considered to assess the frequency distribution of MDR1 SNPs (exon 12 and 26). All study participants (kidney transplant recipients and controls) provided written informed consent for genetic testing.
CsA pharmacokinetic parameters
Whole blood samples were collected immediately before (C0) and at 2 hours after CsA administration (C2) daily within the first week after surgery, and every two weeks until the end of month 6 post-transplant. To limit intra-individual variability of CsA values, blood drug concentration was calculated as the mean of three replicate measurements by HPLC, using a validated method described in Chapter 5. Each CsA concentration was adjusted for the corresponding 12-h drug dose, expressed as mg/kg body weight. CsA exposure, defined by the area under the time-concentration curve (AUC0-12), was estimated using the two-point equation proposed by Keown et al [160], as follows:
\[ \text{AUC} = 12.34 \times (C_0) + 2.48 \times (C_2) + 441.42. \]
The apparent clearance of CsA was calculated as the ratio between CsA dose and CsA AUC.
DNA collection and isolation
Blood from kidney transplant recipients and healthy volunteers was drawn from an anticubital vein into vacutainer containing K₃EDTA. One vacutainer was collected for each patient (4 mL of whole blood), and the samples were placed at -20°C. For genotype determination, genomic DNA was isolated from EDTA-anticoagulated whole blood using the Nucleon BACC2 kit (Amersham, Biosciences, Buckinghamshire, UK). According to the Manufacturer instruction, in order to minimise damage to DNA in collected blood samples, blood should be extracted within 8-12 months of collection. All the samples used for the present study were processed within one month of collection. Using an aseptic procedure we added 4 times the volume of reagent A to the blood sample, then we rotary mixed 4 minutes at room temperature and centrifuged at 3000 RPM for 8 min. The supernatant was discarded and to the pellet we added 2 mL of reagent B. We vortexed briefly to resuspend the pellet and transferred the suspension to a 15 mL screw capped propylene centrifuge tube. Following resuspension and
transfer to a clean tube we added 3 µL of a 10 µg/mL RNase solution and incubated the tube in a water bath at 37°C for 30 minutes. Subsequently we added 500 µL of sodium perchlorate solution (for the deproteinisation), mixed by hand, inverting the capped tube at least 7 times. For DNA extraction 2 mL of chloroform was added and each sample was mixed by hand, inverting the capped tube at least 7 times. Without remixing the phases we added 300 µL of Nucleon resin and centrifuged at 2800 RPM for 5 min. For DNA precipitation, we transferred the upper phase (holding the tube vertically, without disturbing the brown Nucleon resin layer) to a clean tube of minimum volume 7.5 mL and added 2 volumes of cold absolute ethanol. The tube was mixed by inversion until the DNA precipitate appeared. For DNA washing, we centrifuged at top speed for 5 min to pellet the DNA and discarded the supernatant. We added 2 mL cold 70% (v/v) ethanol, mixed several time by inversion, re-centrifuged and discarded again the supernatant (this step can be repeated if necessary). Finally, we aired dry the pellet for 10 min (ensuring that all the ethanol has been removed), re-dissolved DNA in an appropriate volume of water or TE buffer (TRIS/HCl and EDTA). The DNA should redissolve within 2 h when using a rotary mixer.
**Genotyping**
MDR1 exon 12 (C1236T) and exon 26 (C3435T) SNPs were considered in the present study. The genotypes of MDR1 were identified by a Polymerase Chain Reaction-Single Stranded Conformational Polymorphism analysis (PCR-SSCP). This analysis is based on two steps. First the DNA sequence of interest is PCR-amplified, and second, the amplified DNA is heat-denatured and size-fractionated by native polyacrylamide gel electrophoresis (native PAGE). After heat denaturation the mobility of single-stranded DNA fragments is size-and sequence-dependent with single-stranded DNA molecules adopting secondary structure conformations by intramolecular base pairing. For a given
double-stranded fragment there will be two bands identified following SCCP, one corresponding to each of the two original DNA strands. If the two fragments differ by as little as single base pair the denatured strands are likely to adopt different conformations and therefore to be distinguishable following native PAGE. The difference is identified by a shift in mobility of one or both of the mutant bands relative to the wild-type control strands. The migration of single-stranded DNA and the conformational changes are influenced by the percentage of acrylamide, the electrophoresis temperature and the ionic strength of the electrophoresis buffer. Therefore, before to analyse our samples, I worked to identify the appropriate and reproducible conditions for each of the given fragments from exon 12 and 26.
**PCR-SCCP**
PCR is a process that can amplify minute amounts of nucleic acid, thus generating ample material for further analysis. Subsequently PCR products are analyzed by gel electrophoresis for size separation. Scan for sequence alterations were performed using SCCP and confirmed by direct sequencing. Conventional PCR thermocycling is based on three steps: denaturation (separation of the complementary strands), annealing (the oligonucleotide primers hybridize to the template) and extension (polymerization of the fragment of interest), as three separate reactions that occur after reaching equilibrium at defined temperatures.
For the PCR we need two oligonucleotide primers for each of the exons, which act as sites for initiation of the replication, and the DNA polymerase enzyme, for the amplification of the region of the template DNA that will be copied.
The sense primer: 5'-AGTCAGTTCCCTATATCCTGTGTCCTGTGA-3' and antisense: 5'-GCAGTCACTTGCACATCTTTCT-3' for exon 12 as well as sense primer: 5'-GACTGCAGCATTTGCTGAGAACA-3' and antisense: 5'-
AATTTCTCTTCACTTCTGGGAGACC-3' for exon 26 (Sigma-Aldrich, UK) were designed using the Gene-Jockey Software. For DNA polymerization we used AmpliTaq Gold (PE Applied Biosystems, Foster City, CA, USA), which is a thermostable DNA polymerase. Upon receipt, the AmpliTaq Gold and reagents (GeneAmp PCR Buffer and MgCl₂ solutions) were stored at -20°C.
PCR reaction was performed in a 20 μL volume, containing 100 ng DNA, 15 pmol of each primer, 16 nmol deoxynucleoside triphosphates (dNTP), 2.25 mmol/L magnesium chloride, 1 U AmpliTaq Gold polymerase. The PCR thermal cycling conditions for exon 12 and 26 consisted of a 10 min denaturation at 94°C, then 35 PCR cycles of 94°C for 45 s, 55°C for 30 s, and 72°C for 45 s, followed by a 10 min extension at 72°C. Reaction products were mixed with 20 μL of loading buffer, denatured at 65°C for 10 min and electrophoresed onto non-denaturing 6% (62/1 acryl/bis) acrylamide gel in TAE buffer (pH 6.8) at 35 Watt for 3-5 h at 4°C. SCCP bands were visualized on the gels by silver staining.
Direct sequencing (ABI 377 sequencer, 8000CEQ Beckman Coulter, Fullerton, USA) was used to confirm the results in three individuals (one homozygous, one heterozygous, and one homozygous mutated on SCCP) for each of the two exons, used as controls for genotyping. The different genotypes for C1236T and C3435T SNPs were classified as follows: wild type (C/C), heterozygous (C/T) and homozygous for the allelic variant (T/T).
**Haplotype and combined genotype analysis**
Haplotype and combined genotype analysis included the SNPs 1236C>T and 3435C>T. The term haplotype was originally referred to indicate set of genes that are closely linked, however, it has been also recently used to consider different SNPs allocated in the same gene [161]. Here, haplotype analysis included the SNPs C1236T and C3435T.
Each genotype was assigned a haplotype pair. With the assumption that each haplotype is predominantly inherited, comparisons were performed between carriers and noncarriers of a given haplotype. For haplotype coding "1" is referred as "identical to the reference sequence (1236C and 3435C) and "2" as "different from the reference sequence". The first digit refers to position 1236, the second digit refers to position 3435. For genotype coding "0" refers as "homozygous identical to the reference sequence (1236C, 3535C), "1" as "heterozygous" and "2" as "homozygous different from the reference sequence". Different allelic combinations of both variants of SNPs 1236 and 3435 can result in four possible haplotypes and nine possible genotypes, as shown in Table 24.
**Statistical Analysis**
For analysis of continuous pharmacologic variables, patient genotypes were used as categorical independent variables. The values of CsA pharmacokinetic parameters are expressed as the mean ± standard deviation (SD). Between-group comparisons for MDR1 SNPs and genotypes were performed by one-way ANOVA using, as the multiple comparisons post-test, the Bonferroni test. P value less than 0.05 was considered statistically significant.
Frequency of MDR1 variants in renal transplant patients
The genotype and allelic frequencies for exon 12 and 26 are shown in Table 25. Of the 120 kidney transplant recipients, 35% had the MDR1 wild type genotype in exon 12 (C/C), whereas 42% were heterozygous (C/T) and 23% were homozygous for the polymorphic variant (T/T). The frequency of MDR1 SNP in exon 26 (C3435T) was 39.0% (C/C), 42% (C/T), and 19% (T/T). These frequencies were in agreement with those observed in a control population of healthy subjects (Table 25) and in the available literature [156,158,162].
Effect of MDR1 SNPs on CsA pharmacokinetics
We first examined the potential relationship between each MDR1 SNP and CsA pharmacokinetic parameters. As shown in Table 26, there was no significant difference in dose-adjusted CsA levels among the different exon 12 genotypes (C1236T) both in the early phase (week 1) and in the stable phase (first month) post transplantation. Similarly, no difference was found at the end of month 3 and 6 post surgery. These results were confirmed also when patients carrying the wild-type exon 12 genotypes were compared with those bearing at least one mutant allele (C/C vs C/T + T/T, data not shown).
At variance, mean CsA C₀ and C₂ concentration/dose ratio correlated with exon 26 C3435T SNP (Table 27). Indeed, dose-adjusted CsA levels were significantly lower in patients with the wild-type genotype than in those carrying one or two mutants alleles at 1, 3, and 6 months post transplantation (Table 27). This pattern was confirmed also considering the AUC₀-12 as surrogate marker of daily CsA exposure.
Since it has been previously shown that the T allele was associated with reduced P-gp activity [156], we also compared CsA pharmacokinetic parameters between wild-type subjects (C/C) and those with at least one mutant allele for exon 26 (C/T + T/T). At month 1 post surgery, dose-adjusted CsA C0 and C2 levels were significantly lower in wild-type patients than in those carrying the mutant allele (CsA C0: 35 ± 14 ng/mL/mg/kg vs 46 ± 15 ng/mL/mg/kg, p<0.001; CsA C2: 191 ± 80 ng/mL/mg/kg vs 238 ± 89 ng/mL/mg/kg, p<0.001, Figure 28). The influence of exon 26 C3435T SNP was confirmed also when CsA AUC and oral clearance (CL) were considered (CsA AUC0-12: 6193 ± 1470 ng*h/mL vs 6874 ± 1294 ng*h/mL, p=0.0121; CsA CL: 9.1 ± 5.3 mL/min/kg vs 7.6 ± 4.7 mL/min/kg, p=0.0125, Figure 29).
**Haplotype analysis**
We then examined by haplotype analysis whether the combined SNPs in exon 12 and 26 were predictive of CsA exposure. Different allelic combinations of both variants of SNPs 1326 (exon 12) and 3435 (exon 26) resulted in nine possible genotypes and 4 haplotypes (Table 24). All possible genotypes and haplotypes were detected in the study population. CsA pharmacokinetic parameters were compared between carriers of different SNP variants and different genotypes derived from haplotype pairs, as well as between carriers and noncarriers of each haplotype. As shown in Table 28, at week 1 and month 1 post-transplant patients homozygous wild-types for both SNPs carrying the genotype 22 (TT1236, TT3435) had comparable CsA levels to those with the genotype 00 (CC1236, CC3435), homozygous for the variants in exons 12 and 26. Similarly, no significant differences were observed between genotype 01 (CC1236, CT3435) and genotype 21 (TT1236, CT3435), and between other genotypes. Only a patient carrying the 02 genotype (CC1236/TT3435) showed dose-adjusted CsA trough blood levels 2 to 3-fold higher than with all other genotypes, both at week 1 and at month 1 posttransplant. Together these findings confirmed that SNPs in exon 12 were not predictive of CsA concentrations even when considered together with SNP in exon 26. No significant difference was observed between different haplotype carriers, suggesting that this analysis may be of poor clinical relevance for the prediction of CsA levels, at least when exons 12 and 26 are considered.
Discussion
The present study shows that in 120 kidney transplant recipients CsA pharmacokinetic parameters significantly correlated with exon 26 (C3445T), but not with exon 12 (C1236T) SNP of the MDR1 gene. Patients carrying at least one variant allele of this gene had higher dose-adjusted CsA C₀, C₂ and AUC levels than wild-type subjects. This effect was marginal in the first week post-transplant, but became highly significant in the more stable phase postoperatively, namely at months 1, 3 and 6.
P-glycoprotein (P-gp), the product of the MDR1 gene, is an efflux transporter highly expressed in the enterocyte, and, to a lesser extent, in the liver, kidneys, brain, testis, muscle and adrenals [155]. Its absence or altered expression results in higher than normal absorption of a given drug from the intestine and its accumulation in different tissues, an effect of great relevance for narrow therapeutic index agents, such as CsA [41]. It has been previously shown that some SNPs in the MDR1 gene affect P-gp expression/activity [156]. In particular, patients carrying at least one variant allele in exon 26 of the MDR1 gene (C3435T) had marked reduction in P-gp expression [156]. Since this glycoprotein offers resistance to drug crossing from the enterocyte to the bloodstream, patients with impaired P-gp expression are at risk of being exposed to drug levels higher than expected for a given drug dose, as early documented for digoxin [156].
This could have been occurred in our patients who were given CsA as part of their immunosuppressive therapy initially as i.v. infusion and then orally from day 4 post-surgery. This possibility is supported by the finding that MDR1 SNP in exon 26 was significantly related to CsA levels only later on in a more stable phase, but not in the early post-transplant period. Early postoperatively, when the patients were receiving CsA intravenously, the contribution of MDR1 to CsA exposure by the modulation of
intestinal drug absorption would be negligible. Moreover during the first few days of oral CsA administration, CsA concentrations might be influenced by environmental non-genetic factors, more than MDR1 gene polymorphisms, such as the normalization of gastrointestinal motility, the level of graft function, and the pharmacokinetic interactions with co-administered drugs [17]. Only later, when gastrointestinal function normalizes, graft function stabilizes, and concomitant therapy is fixed, the variants in MDR1 gene become relevant in regulating patients’ exposure to CsA by affecting P-gp expression/activity and eventually drug absorption.
So far, only few studies have investigated the impact of MDR1 SNPs on the bioavailability of CsA, and most of them with contradictory results. Early pharmacogenetic studies failed to document an association between MDR1 exon 26 SNP and CsA pharmacokinetic parameters in healthy volunteers [163], as well as in stable renal and heart transplant recipients [164-166]. However, in some of these studies a trend, although not significant, of higher CsA values in subjects carrying C/T and T/T in exon 26 as compared with the C/C group was reported. Therefore, it can not be excluded that the low number of patients considered, weakness in study design and in pharmacokinetic parameters considered, may have biased the results. At variance with these studies, we have prospectively followed a large cohort of kidney transplant recipients, monitored immediately after surgery and in a more stable phase, considering both the traditional C0-based sampling time and the recently proposed C2-based monitoring, together with a predicted AUC, as surrogate marker of daily CsA exposure. Of note, to reduce intrapatient variability, CsA levels were calculated as the mean of three consecutive measurements and adjusted to the daily CsA dose. These approaches led us to limit the influence of potential confounding factors, and underline the role of MDR1 exon 26 C3435T polymorphism as a major determinant of CsA concentrations. Our findings are in agreement with those recently observed in a small cohort of liver
transplant recipients given CsA as a part of the immunosuppressive regimen [167]. As further support to our results, different studies have documented a significant influence of polymorphisms of the MDR1 gene on tacrolimus bioavailability [159]. Indeed, it has been found that SNPs in exon 21, and 26 were positive predictors of tacrolimus exposure and drug toxicity in liver [168], heart [169] and kidney [158] transplant recipients. As far as exon 26, these studies confirmed that patients carrying at least one T allele had dose-adjusted tacrolimus levels significantly higher than wild-types.
In the past few years, it has been hypothesised that haplotypes, by considering more SNPs together, may provide more information than individual SNPs do. Studies in heart [27] and kidney [28] transplant recipients have shown that CsA levels significantly correlated with the MDR1 haplotype, suggesting that haplotypes, in addition to single SNP genotypes, could influence CsA disposition. Others [170,171], however, argued against this conclusion, showing that MDR1 haplotypes did not affect CsA pharmacokinetics. In our study population four different haplotypes and nine different genotypes were found. Analysis that consider together SNPs from exon 12 and 26, found no statistical differences between carriers of different MDR1 haplotypes as far as pharmacokinetic parameters. Nevertheless, among the 120 studied patients, one was homozygous CC for exon 12 and TT for exon 26 (genotype 02). This patient had the highest mean dose-adjusted C0 values at the end of first week and first month postsurgery compared to other genotypes. Although we can not exclude that this observation could be biased by several confounding factors (i.e. gastrointestinal disorders, altered CsA metabolism, etc), this atypical pattern merits further investigations, as it might potentially affect CsA pharmacokinetics and ultimately clinical outcome.
In conclusion, the present study has shown that patients carrying mutant alleles for exon 26, but not exon 12 of MDR1 gene, are exposed to higher CsA levels compared to wild-type subjects, with potential increased risk to experience drug-related toxicity. The
identification of variant MDR1 alleles performed before transplantation, while patients are in the waiting list, could provide useful information to tailor CsA dose as early as possible after transplantation, with the ultimate goal to improve efficacy, decrease toxicity and increase long term graft survival.
Legend to Figures
Figure 28. Correlation between exon 26 SNP (C3435T) and dose-adjusted CsA levels ($C_0$ and $C_2$) recorded in 120 kidney transplant recipients 1 month after surgery. The box plot showed CsA concentrations, clustered according to the allelic variation in MDR1 exon 26 (pure wild-type versus patients with at least one mutant allele).
Figure 29. Correlation between exon 26 SNP (C3435T), CsA AUC$_{0-12}$ and CsA oral clearance recorded in 120 kidney transplant recipients 1 month after surgery. The box plot showed CsA pharmacokinetic parameters, clustered according to the allelic variation in MDR1 exon 26 (pure wild-type versus patients with at least one mutant allele).
MDR1 exon 26 (C3435T)
CsA C₀/D/BW (ng/mL mg/kg)
- p = 0.0005 -
C/C (Wild-type) C/T – T/T (Mutants)
CsA C₂/D/BW (ng/mL mg/kg)
- p = 0.0072 -
C/C (Wild-type) C/T – T/T (Mutants)
Figure 28
MDR1 exon 26 (C3435T)
CsA AUC (ng*h/mL)
- C/C (Wild-type)
- C/T – T/T (Mutants)
p = 0.0121
CsA Clearance (mL/min/Kg)
- C/C (Wild-type)
- C/T – T/T (Mutants)
p = 0.0125
Figure 29
Table 25: Frequencies of the two SNPs on MDR1 gene evaluated in renal transplant recipients and in healthy controls
| | Exon 12 (C1236T) | | | Exon 26 (C3435T) | | |
|----------------------|------------------|----------|----------|------------------|----------|----------|
| | C/C | C/T | T/T | C/C | C/T | T/T |
| Patient genotype (n=120) | 42 (35.0%) | 50 (41.7%) | 28 (23.3%) | 42 (35.0%) | 49 (40.8%) | 29 (24.2%) |
| Control genotype (n=100) | 30 (30.0%) | 44 (44.0%) | 26 (26.0%) | 31 (31.0%) | 51 (51.0%) | 18 (18.0%) |
Table 26: Distribution of CsA pharmacokinetic parameters in 120 kidney transplant recipients according to MDR1 exon 12 genotype (C1236T)
| CsA pharmacokinetic parameters | MDR1 exon 12 genotype |
|--------------------------------|-----------------------|
| | C/C | C/T | T/T |
| **Week 1 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 252 ± 87 | 253 ± 75 | 265 ± 114 |
| Mean $C_2$ (ng/mL) | 1139 ± 352* | 1404 ± 455 | 1402 ± 482 |
| Mean dose (mg/day) | 511 ± 130 | 486 ± 110 | 501 ± 150 |
| Mean $C_0$/dose/bw (ng/mL/mg/kg) | 32 ± 13 | 35 ± 13 | 36 ± 14 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg) | 189 ± 70 | 196 ± 70 | 186 ± 80 |
| Mean AUC (ng*h/ml.) | 6901 ± 1423 | 6956 ± 1711 | 7212 ± 2284 |
| **Month 1 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 234 ± 62 | 249 ± 67 | 245 ± 63 |
| Mean $C_2$ (ng/mL) | 1293 ± 357 | 1289 ± 344 | 1262 ± 479 |
| Mean dose (mg/day) | 395 ± 98 | 406 ± 133 | 382 ± 132 |
| Mean $C_0$/dose/bw (ng/mL/mg/kg) | 39 ± 13 | 42 ± 17 | 46 ± 13 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg) | 217 ± 73 | 216 ± 87 | 238 ± 123 |
| Mean AUC (ng*h/ml.) | 6541 ± 1304 | 6711 ± 1371 | 6599 ± 1915 |
*ANOVA Test, p = 0.047
Table 27: distribution of CsA pharmacokinetic parameters in 120 kidney transplant recipients according to MDR1 exon 26 genotype (C3435T)
| CsA pharmacokinetic parameters | MDR1 exon 26 genotype |
|--------------------------------|-----------------------|
| | C/C | C/T | T-T |
| **Week 1 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 253 ± 97^ | 250 ± 69 | 296 ± 128 |
| Mean $C_2$ (ng/mL) | 1345 ± 365| 1434 ± 537| 1380 ± 509|
| Mean $C_0$/dose/bw (ng/mL/mg/kg)| 34 ± 14 | 36 ± 15 | 41 ± 18 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg)| 186 ± 80 | 202 ± 73 | 189 ± 70 |
| **Month 1 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 222 ± 70* | 258 ± 53 | 251 ± 70 |
| Mean dose (mg/day) | 412 ± 118 | 403 ± 127 | 376 ± 103 |
| Mean $C_0$/dose/bw (ng/mL/mg/kg)| 35 ± 11* | 44 ± 15 | 44 ± 14 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg)| 199 ± 80° | 234 ± 80 | 231 ± 109 |
| **Month 3 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 200 ± 61 | 217 ± 64 | 197 ± 46 |
| Mean $C_2$ (ng/mL) | 1135 ± 315| 1106 ± 281| 1215 ± 377|
| Mean $C_0$/dose/bw (ng/mL/mg/kg)| 40 ± 11* | 51 ± 19 | 51 ± 18 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg)| 231 ± 67° | 261 ± 99 | 285 ± 94 |
| **Month 6 post-TX** | | | |
| Mean $C_0$ (ng/mL) | 169 ± 50 | 185 ± 61 | 169 ± 37 |
| Mean $C_2$ (ng/mL) | 907 ± 291 | 920 ± 261 | 902 ± 189 |
| Mean $C_0$/dose/bw (ng/mL/mg/kg)| 36 ± 21* | 46 ± 17 | 47 ± 14 |
| Mean $C_2$/dose/bw (ng/mL/mg/kg)| 193 ± 95° | 225 ± 77 | 249 ± 77 |
^p<0.05 vs TT; *p<0.05 vs CT and TT; †p<0.01 vs CT and TT; ^p<0.05 vs CT; ‡p<0.05 vs CT, p<0.01 vs TT
Table 28: CsA Pharmacokinetic parameters in 120 kidney transplant recipients with different MDR1 genotypes and haplotypes
| Genotype | n | Week 1 | Month 1 |
|----------|-----|-----------------|------------------|
| | | C₀/D/BW (ng/mL/mg/Kg) | C₂/D/BW (ng/mL/mg/Kg) | AUC (ng*h/mL) | C₀/D/BW (ng/mL/mg/Kg) | C₂/D/BW (ng/mL/mg/Kg) | AUC (ng*h/mL) |
| 00 | 32 | 34 ± 13 | 188 ± 82 | 6958 ± 1435 | 37 ± 13 | 201 ± 75 | 6303 ± 1446 |
| 01 | 14 | 44 ± 24 | 189 ± 21 | 6084 ± 2911 | 44 ± 13 | 278 ± 4 | 6887 ± 917 |
| 02 | 1 | 97 ± 5* | 144 ± 16 | 9977 ± 212 | 71 ± 8*^ | 178 ± 11 | 7398 ± 58 |
| 10 | 6 | 22 ± 4 | 144 ± 20 | 5817 ± 834 | 28 ± 13 | 164 ± 59 | 6091 ± 2376 |
| 11 | 33 | 35 ± 13 | 200 ± 71 | 6741 ± 1589 | 46 ± 17 | 225 ± 91 | 6981 ± 1129 |
| 12 | 12 | 41 ± 14 | 208 ± 77 | 7838 ± 1741 | 36 ± 14 | 221 ± 85 | 6160 ± 1007 |
| 20 | 4 | 39 ± 16 | 224 ± 78 | 7645 ± 1451 | 45 ± 16 | 241 ± 133 | 5558 ± 817 |
| 21 | 2 | 33 ± 15 | 196 ± 40 | 7313 ± 622 | 46 ± 15 | 216 ± 31 | 6566 ± 214 |
| 22 | 16 | 36 ± 14 | 179 ± 66 | 7002 ± 2615 | 46 ± 14 | 239 ± 125 | 6893 ± 2190 |
| Haplotype | n | Week 1 | Month 1 |
|-----------|-----|-----------------|------------------|
| | | C₀/D/BW (ng/mL/mg/Kg) | C₂/D/BW (ng/mL/mg/Kg) | AUC (ng*h/mL) | C₀/D/BW (ng/mL/mg/Kg) | C₂/D/BW (ng/mL/mg/Kg) | AUC (ng*h/mL) |
| Carrier 11 | 85 | 35 ± 14 | 194 ± 76 | 6857 ± 1613 | 40 ± 15 | 216 ± 80 | 6660 ± 1363 |
| Noncarrier 11 | 35 | 40 ± 18 | 195 ± 89 | 7556 ± 2162 | 44 ± 14 | 231 ± 14 | 6517 ± 1695 |
| Carrier 12 | 27 | 43 ± 20 | 204 ± 79 | 7664 ± 2029 | 41 ± 14 | 241 ± 68 | 6741 ± 924 |
| Noncarrier 12 | 93 | 34 ± 13 | 191 ± 72 | 6873 ± 1702 | 42 ± 15 | 216 ± 92 | 6591 ± 1559 |
| Carrier 21 | 12 | 30 ± 13 | 185 ± 64 | 6872 ± 1437 | 36 ± 16 | 199 ± 88 | 6003 ± 1697 |
| Noncarrier 21 | 108 | 37 ± 15 | 195 ± 75 | 7078 ± 1845 | 42 ± 15 | 223 ± 88 | 6702 ± 1409 |
| Carrier 22 | 63 | 36 ± 13 | 196 ± 69 | 7032 ± 1852 | 44 ± 15 | 228 ± 97 | 6827 ± 1527 |
| Noncarrier 22 | 57 | 36 ± 17 | 191 ± 78 | 7087 ± 1707 | 38 ± 14 | 213 ± 78 | 6413 ± 1430 |
*ANOVA test p<0.001; Bonferroni test p<0.001 vs all other genotypes at week 1
*ANOVA test = 0.0057; Bonferroni test p<0.001 vs genotype 10; *p<0.05 vs genotype 00 at month 1
Chapter 12
CONCLUSION AND FUTURE PERSPECTIVES
During the past decade, as increasing number of more powerful immunosuppressive agents became available, the short-term rate of organ survival significantly improved, yet the long-term results did not. Although graft survival rate at 1 year post-surgery is now exceeding 90%, after a decade it drops to nearly 40% [172]. The initial excitement that followed a report that long-term survival of renal allografts may be improving, especially in recipients who had never had an episode of acute rejection [173], has faded as newer data [174] showed that the long-term risk of graft loss has not improved. The reasons for chronic allograft dysfunction involve many factors that concerned variable tissue injury at the time of transplantation or during subsequent episode of rejection. However, even in the case of grafts with good function in the early years after transplantation, progressive tissue damage and slow decrements in function may develop, most often with considerable vasculopathy. Chronic allograft dysfunction affects all transplanted organs and is the most common cause of graft loss in the long-term.
Both immunologic and non-immunologic factors play a key role in promoting poor long-term graft survival. Among these, long-term use of immunosuppressive agents does contribute to chronic graft injury [175]. Paradoxically, a transplanted organ initially protected from the immunological injury by immunosuppressive drugs may be subsequently damaged and lost to chronic toxicity caused by these same agents. As a matter of fact, all anti-rejection drugs have specific side effects and additively contribute to an overall state of immunosuppression, which leads to an increased risk of various malignant conditions [176], most commonly lymphoproliferative disorders or squamous cell carcinoma of the skin. Such drugs contribute also to the increased risk of cardiovascular disease, which is the most common cause of premature death in transplant recipients [177]. Moreover, excessive total immunosuppression causes a susceptibility to infectious disease [178], such as cytomegalovirus, Epstein-Barr virus,
and the more recently recognized polyomavirus, which causes nephropathy and renal allograft loss [179]. Indeed, over the past decades major efforts have been done to optimize the use of immunosuppressive agents reducing side effects yet maintaining graft survival. Nevertheless, this individualization depends on the judgement of the physicians, as robust treatment guidelines have not yet been established.
**Major finding of the present research project**
Pharmacokinetic studies in humans often involve analysis of large number of samples and therefore require simple, rapid and reliable analytical methods. Furthermore, daily analysis of an increasing number of drugs as part of the routine drug monitoring activity, urges the need for HPLC methods that can be easily run and rapidly set up. Therefore, the first part of my research activity was devoted to the development and validation of analytical methods which could be used to measure plasma levels of MPA as well as blood levels of SRL and CsA.
To date several HPLC methods have been described for determination of total MPA. As potential advantages, the method described in *Chapter 3* utilizes a simple extraction procedures using solid phase extraction (SPE) columns and does not involve any centrifugation, use of vacuum or drying of residues following extraction. Additionally, the use of PTA as IS, which is the first analytical peak eluted, allow us to stop the chromatographic run immediately after the elution of MPA (at 8 min), and to proceed fast with a new injection. Moreover, the robustness of the method makes it easy to generate reproducible results. More difficult is the assessment of free MPA, since we have to manage a signal which is less than 5% of that observed with total MPA. To overcome this problem, we have moved from a wavelength of 254 nm to 215 nm, doubled the injection volume and used a gradient, with a great improvement in the signal. As additional shortcoming, the ultrafiltration procedure is extremely variable.
Indeed, we have observed that small variation in the temperature (i.e., 1°C) and/or in the time of the centrifugation, were associated with great difference in the volume of the ultrafiltrate obtained. To measure unbound MPA it is, therefore, mandatory to strictly monitor the operational conditions. It should be pointed, however, that, despite a greater variability in inaccuracy and imprecision than that observed for total MPA, the performance of the described method for the assessment of free MPA was still in agreement with the FDA Guidelines [36].
Quantification of SRL in biological matrices is not easy, given the very low dose of the drug routinely employed that reflects its high potency. Moreover, the assay may be affected by several variables including the recovery of the analyte during sample processing and potential interfering peaks in the chromatograms. Here, we developed a new method for SRL determination in whole blood specimens, which is robust enough to be run on standard HPLC equipment, using only basic analytical reagents [122]. As shown in Chapter 4, the assay has adequate sensitivity, precision and accuracy for therapeutic monitoring of the drug in transplant patients. Taking into account the sample preparation step and the chromatographic time, at least 60 samples per day can be extracted and analyzed by a single technician, using two Vac Elut Manifold chambers. This method overcomes the analytical difficulties and the long time required for sample preparation described in the previously published procedures together with the need of using special (light protected) or treated (silanized) glassware [35]. As previously documented for total MPA assessment, the Bond-Elut cartridges with 200 mg of sorbent applied also for the determination of SRL allowed the use of very small volumes for either cleaning-up and elution steps, thus speeding up the solid/liquid extraction step and further reducing the time of drug measurement.
Although the present research has mainly focused on TDM of MPA and SRL, some additional aims required the assessment of CsA concentrations (see Chapters 6-11).
Thus, as described in Chapter 5, I have also described and validated a HPLC method with UV detection for the measurement of CsA in whole blood. It must be pointed out, however, that the liquid-liquid extraction procedure, used in this method, presents some problems, mainly related to the use of glass tubes and toxic solvents, as well as a very long time for sample processing. Moreover, this method is associated with a poor recovery. Therefore, we have very recently planned to develop a HPLC method with SPE extraction also for the assessment of CsA concentrations in whole blood, given alone or in combination with everolimus, a new immunosuppressive agent with a structural formula close to that of SRL [180].
The performance of the methods presented in Chapters 3, 4, and 5 was in agreement with the FDA Guidelines [36]. Thus, they were applied for TDM of novel immunosuppressants (namely MPA and SRL), as described in the second and third parts of the thesis (Chapters 6-10).
Although there is little controversy amongst clinicians prescribing CsA that measuring this drug in blood is a useful adjunct to its optimal administration, the same concept does not apply to MMF, a new immunosuppressant characterized by a narrow therapeutic index. Actually, this drug is widely used in a fixed daily dose, despite growing evidence showing that this regimen no longer might be the best approach for the management of transplant patients [181,192]. Indeed, we have explored the possibility to optimize MMF dosing by MPA pharmacokinetic monitoring by studying 46 stable adult kidney transplant patients receiving CsA, steroids and MMF at a fixed daily dose, guided by haematological parameters [88]. As first finding, we observed an over 10-fold variability of MPA dose-adjusted pharmacokinetic parameters, allowing us to speculate that the knowledge of the daily MMF dose was no guide to drug exposure. Moreover, we also found a significant correlation between MPA AUC and graft function. Indeed, patients exposed to higher concentrations of MPA presented lower
serum creatinine values and higher creatinine clearance than those with lower MPA exposure, providing a strong rationale for measuring MPA levels to guide MMF dosing (Chapter 6).
Pharmacokinetic-based monitoring may be useful not only to tailor dosage but also to unmask potential drug-drug interactions. This concept applies generally to all NTI drugs but is of particular relevance in the transplant setting, where patients are chronically treated with several combinations of drugs. For instance, modulation of MPA absorption, distribution, metabolism and/or excretion by concomitant administration of drugs other than MMF might affect MPA bioavailability and eventually clinical outcome [39,71,81]. Indeed, as a part of a steroid-sparing clinical trial, we have found that glucocorticoids, by inducing enzymes involved in MPA metabolism, interfere with drug bioavailability [90]. In particular, steroid reduction and discontinuation paralleled with a progressive increase of MPA exposure (Chapter 7). These results are of particular relevance for those centres that are adopting steroid-sparing regimens with the goal to limit drug-related chronic adverse events. If these approaches are pursued using MMF at fixed daily dose, progressive steroid reduction may, therefore, result in excessive MPA exposure with increased MMF-related toxicity.
Beside steroids, MMF is usually given in combination with CsA or TRL. However, the introduction in the clinical practice of a new class of immunosuppressive agents, namely rapamycins (SRL and everolimus), is allowing the development of calcineurin inhibitor-free regimens that combine MMF with sirolimus. As a part of a protocol aimed at investigating the efficacy of induction therapy with a new monoclonal antibody, Campath-1H, we have found that SRL and CsA exert different effects on MPA exposure. Co-administration of SRL and MMF was associated with higher dose-adjusted MPA levels and AUC than those measured under CsA-based regimens (Chapter 8). As working hypothesis, we suggest that CsA reduces the enterohepatic
recirculation of MPA from MPAG, its glucuronidated metabolite, whereas SRL did not. This was confirmed by the lack of a secondary peak of MPA in almost all patients treated with CsA and MMF [182]. Again, these results should be carefully taken into account when MMF is given at fixed doses and patients are switched to different polypharmacological therapies.
As additional confounding factor, a new formulation of MPA, the enteric coated sodium salt (EC-MPS), is now in development. A formal comparison of the pharmacokinetic profiles of these two formulations, as we did (Chapter 9) has evidenced dramatic differences, especially in the absorption process [183]. In particular, patients given EC-MPS had MPA trough levels 4-fold higher than those found in patients given MMF. Our results may have important clinical consequences when $C_0$-based MPA monitoring is used to optimize MPA therapy, as recently suggested by International Consensus Conferences [114]. The great variability of MPA $C_0$ levels after EC-MPS administration does not allow the implementation of trough-based TDM in patients chronically treated with the novel MPA-releasing formulation, an event that might potentially translate in a sub-optimal clinical outcome. Similarly, the very high variability, both intra- and inter-patient, among all MPA pharmacokinetic parameters from patients treated with EC-MPS and the poor correlations between single sampling points and MPA AUC$_{0-12}$ after the administration of the enteric-coating formulation did not allowed the development of a suitable equation to reliably predict MPA daily exposure in these patients. Therefore, at variance with MMF [37,114], these results argue against the possibility to implement a limited sampling strategy-based therapeutic drug monitoring of MPA in patients given EC-MPS, with potential detrimental effects for the patient and for the graft in the long term.
As mentioned above, a new class of immunosuppressive agents is now available on the market, referred as “rapamycins” (namely SRL and everolimus). For SRL, measurement
of the drug levels is actually a license requirement in Europe and is recommended in specific clinical settings in the USA [184]. In the past 3 years our laboratory served as a centralized institution in Italy to measure SRL trough samples from more than 40 Italian Transplant Units. These samples corresponded to nearly 500 kidney transplant recipients treated with different SRL-based immunosuppressive regimens. A retrospective analysis of all the data evidenced some important pharmacokinetic interaction that involved SRL. In particular, we found that dose-adjusted SRL trough levels were significantly higher in patients given CsA than in those given tacrolimus [185]. Moreover, we observed that MMF and/or steroids reduced SRL bioavailability. As additional analysis, we proposed a dose-adjustment formula which can be used to guide SRL dose changes, with the goal to reduce variability in SRL exposure, a condition known to affect clinical outcome (Chapter 10).
Everolimus is a macrolide bearing a 2-hydroxyethyl chain substitution at position 40 on the SRL structure, rationally developed to improve the pharmacokinetic characteristics of the innovator compound. We have recently developed and validated an HPLC-UV method for determining everolimus concentrations in human whole blood [186]. Unfortunately, this novel immunosuppressant is not yet available on the Italian market. We have, therefore no data on TDM studies focusing on everolimus. As future research, we will apply our recently developed method to measure daily fluctuations of everolimus concentrations, with the goal to assess whether the introduction of the chemical modification in position 40, may effectively translate in a better pharmacokinetic profile of everolimus as compared with SRL.
All together, these results pointed pharmacokinetics as the most useful approach to monitor and optimize drug dosing not only for traditional immunosuppressants (such as CsA and TRL), but also for novel anti-rejection agents, namely MPA and SRL.
It should be pointed, however, that drug concentration measurements are only a part of the decision tree for dose adjustment. They must be viewed in the context of other complementary fields that include biochemical and clinical analysis, as well as novel therapeutic monitoring approaches. As an example of this concept, we have conducted a randomized trial aimed at investigating whether per-protocol biopsies, in combination with routine pharmacokinetic studies, could be useful tools to implement steroid or CsA sparing regimens in kidney transplant recipients [187]. As main result, we have found that per-protocol biopsy more than one year after transplantation is a safe procedure to guide change of immunosuppressive regimen and to lower the risk of major drug-related side effects.
Alternative approaches, beside pharmacokinetics, have been recently proposed to tailor the best immunosuppressive regimen for each patient. For instance, pharmacodynamic monitoring involves measurement of the biological effect of the drug at its target site [21]. Indeed, I have also involved in the development of a method for the assessment of calcineurin, the pharmacological target of CsA, in whole blood. When we applied this assay to monitor kidney transplant recipients we found that CsA levels did not predict daily calcineurin (CN) activity, whereas a single determination of CN at baseline was a useful surrogate for the daily inhibition of the enzyme by CsA [188]. It should be pointed out, however, that pharmacodynamic tests are actually too complex for clinical use and often require radioactive materials. As additional drawbacks, studies aimed at investigating the potential predictivity of pharmacodynamic approaches in terms of rejection and/or drug toxicity are still lacking. Therefore, alternative roads, beside pharmacodynamics, should be travelled.
Those involved in TDM are now realizing that individual patient’s exposure to immunosuppressive agents can be influenced by the genetic background. Indeed, it has been proposed that interindividual differences in drug response may be due, at least in
part, to sequence variants in genes encoding drug-metabolizing enzymes, drug transporters, or drug targets [41,159]. Accordingly, the identification of an individual’s genetic make-up may be useful to choose the best treatment for each patient. As compared to pharmacokinetic studies, pharmacogenetic studies can be conducted even before the beginning of treatment, they do not require the assumption of steady-state conditions, are constant for an individual’s lifetime and can provide predictive value for multiple drugs. Hence, as last part of my research activity, I have attempted to assess the role of pharmacogenetics in the field of organ transplantation. To perform this study we took advantage from the large amount of pharmacokinetic data from patients enrolled in the MY.S.S. trial [28,38]. Over 2,000 CsA trough and C₂ measurements, collected during the first 6 months post-surgery, were available. As preliminary analysis we studied the potential association between CsA pharmacokinetics parameters and genetic variants in the MDR1, the gene encoding for the P-gp (Chapter 11). This protein works as an efflux pump, which removes lipophilic drugs, like CsA, from the intracellular space. As working hypothesis we speculated that genetic polymorphisms of the MDR1 gene could result in significant reduction in P-gp expression, eventually increasing the exposure of these patients to CsA. Indeed, preliminary results, performed in 120 out of the 350 patients enrolled in the MY.S.S. trial, documented that a polymorphism in the exon 26 of the MDR1 (C3435T) was associated with higher CsA levels than wild types, suggesting that also genetic assessments can be considered useful tools to guide drug dosing [189]. Assuming that P-gp exerts its activity on many lipophilic substrates, it can be reasonably speculated that these findings could applied also to other immunosuppressive agents, such as tacrolimus, SRL and everolimus.
Future directions
Transplantation has transformed the treatment of patients with organ failure in a number of clinical settings, and immunosuppressive drug therapy is fundamental to its success. During the past decade several new potent anti-rejection molecules with different modes of action and different side-effect profiles have become available, and some will be available in the near future [190, 191]. They include agents that deplete T cell (anti CD3, CD52-specific monoclonal antibodies) or B cell (CD20-specific monoclonal antibodies) signal transduction pathways, blockers of co stimulatory pathways (CD40-specific antibodies, CTLA4Ig, LEA29Y), agents that interfere with lymphocyte trafficking (LFA-1-specific antibodies, FTY720) and small-molecules drugs (SRL, everolimus, MPA-releasing formulations, mizoribine, leflunomide, FK778, JAK3 inhibitors and the new CsA analogue ISA247). Nowadays immunosuppression after renal transplantation is no longer one single regimen applicable to all patients. In the selection of the optimal immunosuppressive protocol, individual drug-related toxicity, recipient-donor related risk factors as well as all the available information have to be taken into account. It can be reasonably speculated that interest in the measurement of immunosuppressive drugs as a guide to therapy will show no signs of waning. As the number of immunosuppressive drug combinations increases, so does the complexity of interpreting the concentration data. Indeed, also for some of the new immunosuppressive agents mentioned above (such as FK778, mizoribine and ISA247) will benefit from pharmacokinetic-based TDM as a guide to tailor the best dosage for each patient. Periodical evaluations of drug exposure can be able to detect external influences (i.e. drug-drug interactions, hormonal levels, kidney and/or liver dysfunction, etc) that can vary over time. From this point of view, traditional pharmacokinetic-based TDM will undoubtedly play a key role to optimal drug prescription also for the next years.
However, it is expected that, in the future, in addition to targeting a patient’s drug concentrations within a therapeutic range as in traditional TDM, physicians are more than likely to be making dosage recommendations for individual drugs based also on a large amount of additional information, such as pharmacodynamic profiles, as well as according to individual patient’s genotype. On pure mechanistic grounds, measurement of pharmacodynamic parameters (for example, the biological activity of a drug) may more closely correlate with clinical outcomes than pharmacokinetic parameters. This approach has shown great analytical limitations when applied to assess calcineurin activity after CsA or tacrolimus administration or in the attempts to measure P70S6 kinase in patients chronically given SRL or everolimus. At variance, still promising is the assessment of IMPDH activity in peripheral blood mononuclear cells [192]. Indeed, preliminary studies have reported significant associations between IMPDH activity and risk of acute rejection as well as MMF-related toxicity. More data are now needed to fully establish the prognostic value of IMPDH activity, and longitudinal studies are eagerly awaited.
As exemplified in Chapter 11, pharmacogenetics is another promising science which could provide important information for the individualization of the immunosuppressive regimen. Almost all the available literature in this field focuses on AZA, CsA and TRL [41,159], whereas data on novel immunosuppressive agents are scanty. To date, there are only two studies which have investigated the role of SNPs in the MDR1 and CYP3A genes on SRL exposure [193,194]. Results from these observations, derived using SRL trough levels as surrogate markers of daily drug exposure, were controversial. Indeed, both these studies have shown that, unlike TRL, SRL trough concentrations and dose requirements were not affected by MDR1 polymorphisms, whereas the predicting value of CYP3As genotyping was documented by Anglicheau et al [193], but not by Mourad [194]. These findings were not conclusive and provide a rationale for future
investigations focusing on genetic determinants of SRL and everolimus exposure. On the same line, pharmacogenetic studies on MPA are largely inadequate. It is well known that MPA is extensively glucuronidated by several UDP-GTs, a family of enzymes characterized by several genetic polymorphisms [195, 196]. In the only article available, it has been shown that the T-275A and C-2152T SNPs of the UGT1A9 gene promoter are associated with significantly lower MPA exposure in renal transplant recipients treated with the fixed 2 g MMF daily dose and part of this effect was caused by interruption in the EHC of MPA [197]. These observations demonstrated for the first time that, in vivo, interindividual variability in the pharmacokinetics of MPA can be partially explained by genetic variation. Given the high allelic frequency of the UGT1A9 SNPs (approximately 15% in white subjects), as well as the 2-fold reduction in MPA exposure in comparison with noncarriers, these findings are also likely to be clinically relevant and offer both a rationale and a means for a personalization of MMF treatment. As additional confounding factor, it has been recently reported that MPA exposure is influenced by the activity of the multidrug resistance-associated protein 2 (MRP2), a protein expressed at the apical surface of hepatocytes, where it functions to excrete conjugation products (such as MPA glucuronidated metabolites) into bile [198]. Similarly to what has been reported for MDR1, also SNPs in the MRP2 gene have been reported [199]. Therefore, it can be reasonably expected that future pharmacogenetic studies will focused also on the potential association between MRP2 allelic variants and MPA exposure.
To strengthen the role of pharmacogenetics in the field of organ transplantation it is important that genetic studies will not include only information on inheritance variants in gene encoding for enzymes involved in drug disposition but, even more importantly, also in genes involved in the pharmacological response. To date, no publications were available on SNPs in the pharmacological targets of immunosuppressive agents.
(calcineurin, IMPDH, P70S6 kinase, etc). However, it has been recently demonstrated that SNPs in the gene encoding for cytokines actively involved in the modulation of the immune system influence the outcome of kidney transplantation [200]. These results provide indirect evidence that, beside genes encoding for metabolizing enzymes, also allelic variants in the pharmacological target might affect drug response, ultimately affecting the outcome of the graft and patient survival.
It is expected that the availability of complete information on patient’s status (pharmacokinetics, dynamics, genomics, and clinical data) will allow us move from a diagnosis-directed approach to one that is prevention-directed and patient-tailored. However, to pursue this ambitious project, we urge need the development of algorithms working within neural networks able to incorporate the large amount of data from kinetic, clinical, dynamic and genetic testing and providing predictive dosage algorithms useful for personalised therapies. If we succeed, we will be able to identify not only the best drug to be administered to a particular patient, but also the most effective and safest dosage from the outset of therapy, already before transplant surgery. Nevertheless, it should be reminded that, regardless of whether we are referring to traditional TDM or that of the future, we need to ensure that we are providing ideal immunosuppression for our patients and are helping to improve the quality of health care. Indeed, the ultimate goal of personalized therapy is the improvement of long term organ survival, eventually leading to indefinite tolerance of the graft.
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LIST OF ABBREVIATIONS
ANOVA: Analysis of variance
AUC: Area under the time concentration curve
AZA: Azathioprine
Bk: Blank sample
$C_0$: Trough concentration
$C_2$: Concentration at two-hour post-dose
$C_{\text{max}}$: peak of maximum drug concentration
CN: Calcineurin
CsA: cyclosporine
CV: Coefficient of variation
CYP3A4: Cytochrome 3A4
CYP3A5: Cytochrome 3A5
EC-MPS: Mycophenolate sodium
EDTA: Etylen-tetraaminoacetic acid
EHC: Enterohepatic recirculation
FDA: Food and drug administration
GI: Gastrointestinal
GT: Glucuronyltransferase
HLA: Humal lymphocyte antigen
HPLC: high performance liquid chromatography
IMPDH: Inosine monophosphate dehydrogenase
IQC: Internal quality controls
IPTS: International proficiency testing scheme
IS: Internal standard
KS: Kaposi’s sarcoma
LC-MS: Liquid chromatography-mass spectrometry
| Abbreviation | Description |
|--------------|-------------|
| LLOD | Lower limit of detection |
| LLOQ | Lower limit of quantification |
| LSS | Limited sampling strategy |
| MDR1 | Multidrug resistant 1 gene |
| MMF | Mycophenolate mofetil |
| MP | Methylprednisolone |
| MPA | Mycophenolic acid |
| MPAG | Mycophenolic acid glucuronide |
| MS | Mass spectrometry |
| mTOR | Mammalian target of rapamycins |
| MY.S.S. | Mycophenolate steroid sparing study |
| NTI | Narrow therapeutic index |
| PAGE | Poly acrylamide gel electrophoresis |
| PCR | Polymerase chain reaction |
| P-gp | P glycoprotein |
| QC | Quality control samples |
| R | Coefficient of correlation |
| $R^2$ | Coefficient of regression |
| RBC | Red blood cell |
| SD | Standard deviation |
| SE | Standard error |
| SNP | Single nucleotide polymorphism |
| SPE | solid-phase extraction |
| SSCP | Single strand conformational polymorphism |
| SRL | Sirolimus |
| TDM | Therapeutic drug monitoring |
$T_{\text{max}}$: Time corresponding to the maximum drug concentration
TRL: Tacrolimus
UDP-GT: uridine diphosphate glucuronosyltransferase
UV: Ultraviolet
ACKNOWLEDGEMENTS
I wish to express all my gratitude to my dear parents, Alfredo and Rosangela, for their patience, their continuous encouragement, wisdom and love.
I thank Dr Norberto Perico, my Director of Studies, for his continuous supervision in my research activities and for introducing me to the exciting field of clinical transplantation. I am also undoubtedly grateful to Prof. Giuseppe Remuzzi for giving me the opportunity to attend the PhD course and, more importantly, for his expertise, suggestions and helpful discussions over the years. I wish to thank Prof. Atholl Johnston for the useful comments that helped me to improve my research program. Moreover, the work of all the staff of the Mario Negri Institute for Pharmacological Research of Bergamo and Ranica is greatly appreciated.
The work was supported by a grant from the “Fondazione Monzino”. Continuous support by the Association for Research on Transplantation (ART) is also gratefully acknowledged.
"...grazie mamma e papà..."
MATERIAL PUBLISHED OR SUBMITTED FOR PUBLICATION
CONTAINED IN THE THESIS
1. Cattaneo D, Gapari F, Ferrari S, Stucchi N, Del Priore L, Perico N, Gotti E, Remuzzi G. "Pharmacokinetics help optimizing mycophenolate mofetil dosing in kidney transplant patients". *Clinical Transplantation* 2001, 15:402-409.
2. Cattaneo D, Perico N, Gaspari F. "Assessment of sirolimus concentrations in whole blood by high performance liquid chromatography with ultraviolet detection". *Journal of Chromatography B* 2002, 774:187-194.
3. Cattaneo D., Gaspari F, Gotti E, Remuzzi G, Perico N. "Glucocorticoids interfere with mycophenolate mofetil bioavailability in kidney transplantation. *Kidney International* 2002 62:1060-1067.
4. Cattaneo D, Merlini S, Perico N, Pellegrino M, Carrara F, Zenoni S, Murgia S, Gaspari F, Remuzzi G. "Therapeutic drug monitoring of sirolimus: effect of concomitant immunosuppressive therapy and clinical management". *American Journal of Transplantation* 2004, 4:1345-1351.
5. Cattaneo D, Merlini S, Zenoni S, Baldelli S, Perico N, Gotti E, Remuzzi G. Influence of comedication on mycophenolic acid pharmacokinetics in kidney transplantation. *American Journal of Transplantation* 2005, 5: 2937-2944.
6. Cattaneo D, Tankiewicz A, Merlini S, Bucchioni S, Noris M, Gotti E, Salvatori M, Sandrini S, Rigotti P, Remuzzi G, Perico N. "MDR1 polymorphism in exon 26, but not in exon 12, influences individual cyclosporine levels in kidney transplant recipients". *Submitted to Transplantation* 2005.
7. Cattaneo D, Merlini S, Zenoni S, Baldelli S, Perico N, Gotti E, Remuzzi G. Pharmacokinetics of the new enteric-coated mycophenolate sodium and comparison with the traditional mofetil formulation in stable kidney transplant recipients. *Submitted to Clinical Pharmacology & Therapeutics*, 2005.
|
Quantum Gas Microscope With Optical Lattice
A dissertation presented by
Amy Wan-Chih Peng
to
The Department of Physics
in partial fulfillment of the requirements for the degree of Doctor of Philosophy in the subject of Physics
Harvard University
Cambridge, Massachusetts
May 2010
©2010 - Amy Wan-Chih Peng
All rights reserved.
Quantum Gas Microscope With Optical Lattice
Abstract
In this thesis, we demonstrate the feasibility of single site resolution in a two dimensional optical lattice with submicron lattice spacing, suitable for studying condensed matter Hamiltonians in the strong interacting regime. With the combination of magnetic and optical manipulation of atoms, we show how to reproducibly generate two dimensional Bose Einstein Condensates of $^{87}$Rb situated at the focus of our "Quantum Gas Microscope", allowing us to utilise the high numerical aperture for both lattice generation and single atom detection. We then give preliminary evidence of superfluid to mott insulator transition in this setup.
## Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Title Page | i |
| Abstract | iii |
| Table of Contents | iv |
| Acknowledgments | vi |
| Dedication | viii |
1 Introduction 1
1.1 Optical Lattice As A Tool For Condensed Matter 1
1.2 Single Site Resolution 4
1.3 Overview 5
2 Basic Condensate Physics 7
2.1 Condensation Phenomenon 7
2.2 Two Dimensional Condensate 10
2.3 Atom Light Interaction 11
2.3.1 Steady State Solution To Optical Bloch Equation 12
2.3.2 Moving Atom in a Light Field 13
2.3.3 Interaction With Real Atoms 14
2.4 Gaussian Beam Dipole Trap 15
3 Single Atom Imaging 16
3.1 Imaging System 16
3.2 Imaging Procedure 22
3.3 Image Analysis 23
4 Optical Surface Trap 29
4.1 Old Apparatus Setup 29
4.2 The $10\mu m$ Lattice 34
4.3 Dimple Trap 39
4.3.1 Dimple Trap Setup 44
4.4 Axial Lattice 47
4.5 Red dipole 50
5 Theory of Atoms In Optical Lattice 56
5.1 Single Particle In Lattice Potential .......................... 56
5.2 Two Dimensional Optical Lattice ............................. 61
5.3 Bose Hubbard Model ........................................... 62
5.4 Superfluid to Mott Insulator Transition ....................... 66
5.5 Inhomogeneous System - Mott Insulator Shells ................. 67
6 Experiments With Optical Lattice 71
6.1 Optical Lattice Generation .................................... 71
6.2 Adiabatic Loading Into Optical Lattice ......................... 76
6.3 Superfluid to Mott Insulator Transition ....................... 78
6.4 Outlook - Future Experiments .................................. 81
Bibliography 85
A Intensity Stabilisation 89
B Pulsed Laser 93
Acknowledgments
It was often said, that the graduate school experience will change one’s life, for better or worse. Without doubt, the last five years were for me, an incredible path full of trials and tribulations from which I had emerged with immense intellectual and personal growth. I can honestly claim that I will leave here a wiser person from whence I came. Foremost, I owe a deep gratitude to my family for giving me the courage and upbringing to be here in the first place.
The success of the experiment would not have been possible without the astute leadership and tireless hardwork of the four people that led the experiment during my time here: Markus Greiner, Jonathon Gillen, Waseem Bakr and Simon Foelling. Without their ingenuity and tenacity, I would be unable to write these words today. To them, I express my indebtedness for their guidance and the generosity they had shown me.
Much of my years had been made more fun by the members of the “Center for Cool Technology”. To Widagdo Setiawan, Florian Huber, Kate Wooley-Brown and Toby Schuster, for teaching me about computers, electronics and the unhealthy diet of lab snacks. I also thank the past members of Greiner lab whose invaluable work made it possible to do my, Edward Su, Peter Unterwidter, Hannes Brachmann, and my best wishes for the future of the experiment, Eric Tai and Alex Ma.
Many amazing people had contributed to making my life more colourful at Harvard. Amongst them, Daniyar Nurgliev, Alexey Gorshkov, Jonathan Ruel, Brandan Shields, Susanne Pielawa, Anne Sung, Andy Sisson, Stephanie Bush, Susan Choi, Allysa Adams, Christina Smiraglia, Yu-Ju Lin, David Simpson, Jane Lee, Christian Weedbrook, Jason Lo and Magnus Hsu. I thank them all for sharing this exhilarating journey with me.
Finally, there are three people who had stood beside me, without whom I would have given up a long time ago. Haruka Tanji, with her infinite wisdom and foresight that so frequently saved me from self destruction; Yulia Gurevich, for always listening patiently
and never once had any doubt in me; and the one whose strength I leaned on in times good and bad, Jarek Labaziewicz for holding my hands when I needed him the most.
I dedicate the work giving rise to this thesis, to these three remarkable individuals: to Haruka, for inspiring me to be tall and strong; to Yulia who showed me the true meaning of grace; and to Jarek, who taught me how to live.
Chapter 1
Introduction
1.1 Optical Lattice As A Tool For Condensed Matter
The achievement of Bose Einstein Condensation [36, 37, 38] (BEC) and degenerate Fermi gas [39, 40, 41] using ultra-cold dilute gases has ushered in a new era of exciting research in recent years. Not only has it expanded the frontier of our understanding in atomic and molecular physics, but also merged these fields with that of condensed matter physics, where ultra-cold atomic experiments could achieve what was previously thought impossible with real solids.
The initial experiments on these weakly interacting gases focussed mainly on phenomena related to the existence of a macroscopic wavefunction for the many body system. It was realised earlier on, that just like superfluidity, Bose Einstein condensates could be described by a single macroscopic wavefunction (also known as order parameter) which describes all the particles within the condensate. However, unlike the original motivator of superfluidity, $^4$He, for which this description is only phenomenological due to the strong interactions which creates uncondensed atoms from condensed ones, dilute gas BEC on the other hand, are so weakly interacting to be essentially pure condensates at sufficiently low
temperatures. The behaviour of the ensemble is adequately described by the time evolution of the macroscopic/condensate wavefunction where interaction appears only as an additional potential dependent on the local density of atoms [51]. Therefore, in dilute gases the zeroth order solution to the many body problem reduces effectively to a single particle problem. Small fluctuations around this mean value are well described by the Bogoliubov theory which decomposes excitations into non-interacting quasi-particle modes. The validity of these description for dilute gases has been verified quantitatively by several experiments.
To reach into the realm of condensed matter physics, one needs to make the dilute gas strongly interacting such that a description in terms of independent quasi-particles is no longer adequate. Two methods have emerged so far for accomplishing this task, (i) the use of Feshbach resonance to change the scattering length of the atoms and (ii) placing the condensate into a periodic potential created by light, also known as an optical lattice. For bosons, the use of Feshbach resonance creates extraneous losses in condensate fraction due to three body loss [61, 62], so it’s not a feasible route towards strong interaction. In this thesis, we describe our path for reaching correlated many-body systems using $^{87}$Rb condensates in an optical lattice.
Atoms in optical lattices achieve strong interaction by changing the relative magnitudes of the interaction energy and the kinetic energy. At low lattice depth, the atoms favour delocalisation over the entire lattice, since the resultant reduction in kinetic energy is more than sufficient to compensate for the increase in interaction energy incurred from having multiple atoms per lattice site\(^1\). The situation is reversed as the lattice depth is increased. Tunneling becomes prohibitively expensive in comparison to the energy cost of having multiple atoms per lattice site. The dominant energy scale is then set by the
\(^1\)Unlike electrons, interaction between neutral atoms is very short ranged, so that two atoms only interact when they happen to occupy the same lattice site.
interaction energy, thus reaching the regime of strongly interacting.
It was not long, before the community started to recognise the advantages of the optical lattice system over the traditional model system for studying condensed matter - that of real solids. In essence, atoms tunneling in the optical lattice is entirely analogous to electrons tunneling within the periodic potential due to the nuclei of a crystalline material [63]. Indeed, many of the theoretical models that were first motivated by real solids, such as the Hubbard model for describing transition from conducting to insulating phases in metals, have now found parallel realisations using atoms in optical lattice [26].
But there are several advantages to the neutral atoms in lattice toolbox not possible with real solids. First, the energy scales of the optical lattice system is much lower (in the Hz range) than in real solids (in the thousands of THz range), which means that dynamics occurs on a slow enough time scale to allow observation in real time. With the advent of high spatial resolution, such as that described in this thesis, one could observe single atom time evolution within the lattice, analogous to observing a single electron’s dynamic in a solid. Secondly, the optical lattice system affords a much cleaner and controllable system than real solids where defect free and arbitrary lattice potentials could be created and manipulated dynamically. Coupled with single site addressability, known initial states could be prepared either by direct manipulation of the atoms in the lattice or by projective measurements [68].
A spectacular demonstration of some of the above features was the observation of Bloch oscillations using cold cesium atoms in a one dimensional optical lattice [23]. Although it was first theoretical predicted in 1929 [66, 67], Bloch oscillations were not observable in natural crystals until 1993, due to the presence of lattice defects [65] \footnote{Electron scattering time off lattice defects were much shorter than the Bloch oscillation period, preventing their observation until the invention of semiconductor superlattices whose large lattice spacing allows for much shorter Bloch periods so that Bloch oscillations to be observed from THz emission of electrons}. The
optical lattice system is thus an implementation of a "quantum simulator" that was first purposed by Richard Feynman [49, 50] where one may realise model Hamiltonians from condensed matter theory in a much cleaner and controlled way.
1.2 Single Site Resolution
In this thesis, we concentrate on combining the recent achievement of optical single site resolution [48] with the use of optical lattice potential to study the behaviours of strongly correlated many body systems. Even though the current state of technology for generating and controlling atoms in optical lattices is rather advanced, most detection methods to date, still relies on absorption imaging typically applied after time of flight in order to reduce the optical density of the cloud to below saturation\(^3\). Although in-situ detection techniques such as phase contrast imaging exists, there is usually insufficient spatial resolution to detect features on the scale of a few lattice sites which is particularly pertinent for experiments involving inhomogeneous systems where multiple phases of matter coexists in the ensemble but are separated spatially. Catering to the growing need for a versatile, high resolution imaging method, several groups have recently approached the problem with different techniques. One method, with the highest spatial resolution to date (about 150 nm) was achieved using the same principles as a scanning electron microscope [69].
In this experiment, we accomplish high resolution in-situ detection via fluorescence imaging using a high numerical aperture microscope for the atoms in the lattice, similar to that demonstrate in [70] for a \(5 \mu m\) lattice spacing. Our imaging system, or quantum gas microscope utilises the concept of solid immersion microscopy [20]: by placing the atoms
\(^3\)Absorption imaging of in-situ cesium atoms in a two dimensional optical lattice was recently carried out with 3 \(\mu m\) spatial resolution in [15]
very close to a glass surface with refractive index greater than 1, we can increase the numerical aperture without having to increase the physical size of our lenses to impossible values. We then integrate the optical lattice with the microscope system by using it as a part of the imaging system which projects the optical lattice pattern imprinted on a transmission phase hologram, onto the location of the atoms. The high numerical aperture of the microscope allows us to image the lattice with great demagnification, creating optical lattices with small lattice spacing that is a pre-requisite for studying many body physics in optical lattices. At the same time, the lattice projection method allows us to conveniently produce patterned potentials for the atoms simply by changing the graphics on the transmission hologram. With the advent of computer controlled holograms such as a spatial light modulator, it is even possible to produce dynamically varying lattice potentials.
This thesis describes in details, the setup of the second generation of the quantum gas microscope which allows us to perform experiments with more reproducibility than the first generation of the apparatus. With a simple cubic lattice, we study the Bose Hubbard hamiltonian [13] with our optical lattice system, and present the first evidence of the superfluid to mott insulator transition in our experiment directly observed in-situ using the quantum gas microscope.
### 1.3 Overview
- The second chapter review theory of weakly interacting Bose gas and the phenomenon of Bose Einstein condensation as well as interaction of atoms with light fields which gives us the ability to create optical lattice potentials.
- The third chapter describes the details of the quantum gas microscope and the proprocedures that we use to detect atoms on a single lattice site.
- In the fourth chapter, the details of the two dimensional optical trap for the atoms is presented. This part of the experiment generated atomic ensemble in a suitable configuration for use with the high resolution imaging and projection of the optical lattice potential.
- The fifth chapter presents theoretical treatment of atoms in optical lattice and the Bose Hubbard hamiltonian which we simulate with our apparatus.
- The sixth chapter presents experimental evidence of the superfluid to mott insulator transition in our lattice.
Chapter 2
Basic Condensate Physics
This chapter briefly summarise the theoretical concepts of Bose Einstein Condensation (BEC), in particular, the case of a two dimensional BEC in a harmonic trap that is of relevance to our experiment. We also outline the principles behind the optical dipole force which is the main mechanism by which we manipulate the atoms.
2.1 Condensation Phenomenon
The concept of Bose Einstein Condensation (BEC) was first purposed by Bose and Einstein in 1924 [9]. One can think of BEC as occurring when the thermal de Broglie wavelength characterizing the extent of each atom’s wavepacket
\[
\lambda_{dB} = \sqrt{\frac{h^2}{2\pi m k_B T}}
\]
(2.1)
becomes on order of the interatomic distance. Equation (2.1) clearly indicates that this occurs at very low temperatures. When this occurs, the indistinguishability of the bosons then lead to a phase transition where a macroscopic occupation of the lowest energy quantum state is obtained. The atoms in the ground state form the so called “condensate”.
The temperature required to reach condensation for a gas of non interacting bosons in a harmonic trap can be derived as follows: the occupation of each quantum state $i$ with energy $\epsilon_i$ is given by the Bose Einstein distribution, which in the grand canonical formalism is
$$n_i = \frac{1}{e^{\beta(\epsilon_i - \mu)} - 1} \quad \beta = \frac{1}{k_B T},$$
where $\mu$ is the chemical potential, the normalization condition then requires that
$$N = \sum_i \frac{1}{e^{\beta(\epsilon_i - \mu)} - 1} \quad (2.2)$$
we can compute the sum (2.2) by turning it into an integral which includes all the terms except the population in the ground $i = 0$ state. For an isotropic three dimensional harmonic trap with frequency $\omega$ this gives
$$N = \frac{1}{(\beta \hbar \omega)^2} g_3 \left( e^{\beta(\mu - \frac{3}{2} \hbar \omega)} \right) + N_c \quad (2.3)$$
where $N_c$ is the population in the ground state and $g_3$ is the Riemann zeta function. Since $g_3(\eta) \leq 1.202$ for $\eta < 1$ we see that a macroscopic population in the ground state occurs at the condensation temperature of
$$T_c = \left( \frac{N}{1.202} \right) \frac{\hbar \omega}{k_B} \quad (2.4)$$
Note that for realistic cases $k_B T_c > \hbar \omega$ so the condensation phenomenon is not simply just a freezing out of all excited modes due to the lack of thermal energy. It is a consequence of the particles’ indistinguishability which enhances the probability for macroscopic occupation of the ground state when the number of available states becomes comparable to the number of particles.
Real atoms of course do in fact interact with each other. For rubidium 87 that we work with, although inter-atomic interaction is relative weak however, their effect can not
be neglected in describing the behaviour of the BEC. The interaction between two atoms at low energies can be described by a short ranged contact interaction of the form
\[
U_{int} = \frac{4\pi\hbar^2a}{m}\delta(\mathbf{r} - \mathbf{r}') = U_0\delta(\mathbf{r} - \mathbf{r}')
\]
(2.5)
where $\mathbf{r}$ and $\mathbf{r}'$ are the co-ordinates of the two particles in the system and $a$ is the s wave scattering length that characterise the behaviour of the scattered wavefunction at large separations. Only the $l = 0$ collision is of relevance at low energies since higher angular momentum collisions has a centrifugal barrier $l(l + 1)/r$ which the incident particles must overcome. In the condensed state, all bosons are in the same single particle state $\phi(\mathbf{r})$ \footnote{This is not exactly true since for interacting particles, one of the effects of interaction is to create two correlated but uncondensed atoms out of two condensed atoms. This effect is called quantum depletion and is usually of order 4% or less in $^{87}$Rb.}, we can therefore write the wavefunction for the N particle system as
\[
\Psi(\mathbf{r}_1, \mathbf{r}_2, \cdots, \mathbf{r}_N) = \Pi_{i=1}^{N}\phi(\mathbf{r}_i)\quad \int |\phi(\mathbf{r})|^2 d^3\mathbf{r} = 1
\]
(2.6)
We can calculate the mean energy of the system $\langle \Psi | \hat{H} | \Psi \rangle$ with respect to the Hamiltonian
\[
\hat{H} = \sum_{i=1}^{N} \left[ \frac{\mathbf{p}_i^2}{2m} + V_{trap}(\mathbf{r}_i) \right] + U_0 \sum_{i<j} \delta(\mathbf{r}_i - \mathbf{r}_j)
\]
(2.7)
where $V_{trap}(\mathbf{r})$ is an external trapping potential
\[
\langle \hat{H} \rangle = N \int \left[ -\frac{\hbar^2}{2m} \phi^* \nabla^2 \phi + V_{trap}|\phi|^2 \right] d^3\mathbf{r} + \frac{N(N-1)}{2}U_0 \int |\phi|^4 d^3\mathbf{r}
\]
(2.8)
After minimizing (2.8) with respect to $\phi$ subjected to the normalisation constraint we derive the equation of motion for the single particle wavefunction. It is customary to use a different normalization from (2.6) and define the condensate wavefunction as $\psi = \sqrt{N}\phi$ with $\int |\psi(\mathbf{r})|^2 d^3\mathbf{r} = N$. The equation of motion for the condensate wavefunction (also called Gross Pitaevskii equation) is [51, 52]
\[
-\frac{\hbar^2}{2m} \nabla^2 \psi + V_{trap}(\mathbf{r})\psi + U_0|\psi|^2\psi = \mu\psi
\]
(2.9)
2.2 Two Dimensional Condensate
Of particular relevance to our experiment is the case of a two dimensional condensates. It is a long proven fact that condensation does not exist in a uniform 2D gas at finite temperatures due to the proliferation of long wavelength thermal fluctuations (this was encapsulated by the Mermin Wagner theorem) [32, 33]. However, the presence of a finite size confinement restricts the maximal wavelength of thermal fluctuations allowed and condensation will appear again. We can follow the same reasoning as used in the previous section to derive the condensation temperature of a two dimensional harmonically trapped gas of isotropic frequency $\omega$
$$T_c = \frac{\hbar \omega}{\pi k_B} \sqrt{6N}$$ \hspace{1cm} (2.10)
with condensate fraction
$$\frac{N_c}{N} = 1 - \left( \frac{T}{T_c} \right)^2$$ \hspace{1cm} (2.11)
To reach an effectively two dimensional regime, it is necessary to suppress dynamics in the third direction. We achieve this by restricting the tight direction to only zero point oscillations. This occurs when the chemical potential and thermal energy is less than the harmonic oscillator energy of the removed axis $\hbar \omega_z$
$$\mu, k_B T < \hbar \omega_z$$
When this is accomplished, we can take the ansatz for the condensate wavefunction as the product of a two dimensional condensate wavefunction and a harmonic oscillator ground state wavefunction in the frozen z direction
$$\psi(\mathbf{r}) = \Phi(x, y) \left( \frac{m \omega_z}{\pi \hbar} \right)^{1/4} e^{-\frac{m \omega_z}{2\hbar} z^2}$$ \hspace{1cm} (2.12)
We can substitute the ansatz (2.12) into equation (2.9) to derive the two dimensional version of the Gross Pitaevskii equation. In the experimentally relevant regime of
Figure 2.1: Two level atoms driven by a classical laser field of frequency $\omega_L$. The bare atom has resonance frequency of $\omega_{12}$.
$l_z = \sqrt{\hbar/m\omega_z} > a$ where atomic collisions is still three dimensional, the result is
$$\left[-\frac{\hbar^2}{2m}\left(\frac{\partial^2}{\partial x^2} + \frac{\partial^2}{\partial y^2}\right) + \frac{m}{2}(\omega_x^2x^2 + \omega_y^2y^2) + U_0\sqrt{\frac{m\omega_z}{2\pi\hbar}}|\Phi|^2\right]\Phi = \left(\mu - \frac{\hbar\omega_z}{2}\right)\Phi$$ (2.13)
where we have substituted the case of a harmonic trapping in the remaining two dimensions.
In the limit of a large condensate, the kinetic energy term is negligible except near the boundary of the cloud, the transverse density is therefore given by the Thomas Fermi profile [34]
$$n(x,y) = \left[\frac{Nm\omega_x\omega_y}{\pi U_0\sqrt{\frac{m\omega_z}{2\pi\hbar}}}\right]^{1/2}\left[1 - \frac{x^2}{R_x^2} - \frac{y^2}{R_y^2}\right]$$ (2.14)
with the Thomas Fermi radii
$$R_x = \left[\frac{4NU_0\omega_y\sqrt{\frac{m\omega_z}{2\pi\hbar}}}{\pi m\omega_x^3}\right]^{1/4} \quad R_y = \left[\frac{4NU_0\omega_x\sqrt{\frac{m\omega_z}{2\pi\hbar}}}{\pi m\omega_y^3}\right]^{1/4}$$ (2.15)
### 2.3 Atom Light Interaction
In this section we discuss the important interaction between light and atoms which allows us to manipulate and optically confine the atoms.
2.3.1 Steady State Solution To Optical Bloch Equation
Let us first consider the interaction of a single stationary two level atom driven by a classical monochromatic light field. The atom light interaction is given by the Hamiltonian
\[
H_{int} = -\hat{d} \cdot \hat{E} = -d(\sigma_+ + \sigma_-) \cdot (E_L e^{-i\omega_L t} + E_L^* e^{i\omega_L t})
\]
(2.16)
where \(d\) is the real dipole moment for the atom and \(E_L\) is the amplitude of the driving electric field. The raising and lowering operator for the two level atoms are \(\sigma_+ = |2\rangle\langle 1|\), \(\sigma_- = |1\rangle\langle 2|\).
In the rotating wave approximation, we retain only energy conserving terms in (2.16) and move to the frame evolving at the driving field’s frequency \(\omega_L\). The net Hamiltonian for the driven atom system is
\[
H_{tot} = \hbar \delta \sigma_{ee} - \hbar (\Omega \sigma_+ + \Omega^* \sigma_-)
\]
(2.17)
with \(\delta = \omega_{12} - \omega_L\) is the detuning of the laser from the atom’s resonance frequency and \(\Omega = d \cdot E_L / \hbar\) the Rabi frequency characterizing the strength of the atom light interaction.
The master equation of the system (which includes the decay of the excited atomic state due to the interaction with a vacuum reservoir)
\[
\frac{d\rho_A}{dt} = \frac{1}{i\hbar} [H_{tot}, \rho] + \gamma (\sigma_- \rho \sigma_+ - \frac{1}{2} \sigma_+ \sigma_- \rho - \frac{1}{2} \rho \sigma_+ \sigma_-) = 0
\]
(2.18)
allows us to compute the steady state solution of the density matrix for the atom. The coherence of the two level atom is characterised by the off diagonal elements of the density matrix
\[
\rho_{21} = \frac{i\Omega}{\gamma/2 + i\delta} \left( \frac{\gamma}{\gamma + 2R} \right)
\]
(2.19)
and the excited state population as
\[
\rho_{22} = \frac{R}{\gamma + 2R}
\]
(2.20)
with the optical pumping rate
\[ R = \frac{\gamma |\Omega|^2}{\gamma^2/4 + \delta^2} \]
### 2.3.2 Moving Atom in a Light Field
In the next step, let us consider the interaction of a moving atom of momentum \( p \) with a light field. Description of the atomic states must now account for the atom’s motional degrees of freedom so that our Hamiltonian for the atom light interaction is
\[ H_{tot} = -\hbar \Omega(r) \int |2, p + \hbar k\rangle \langle 1, p| dp - \hbar \Omega^*(r) \int |1, p\rangle \langle 2, p + \hbar k| dp \]
(2.21)
since each photon absorption event must necessitate a momentum change by an amount equal to the momentum of a single photon \( \hbar k \).
Note that now, owing to the contribution from the kinetic energy of the atom, the resonance frequency for the transition \( |1, p\rangle \rightarrow |2, p + \hbar k\rangle \) is shifted from the bare resonance of a stationary atom to
\[ \hbar \omega_{res} = \hbar \omega_{21} + \hbar k \cdot v + \frac{\hbar^2 k^2}{2m} \]
(2.22)
The first term on the right hand side is the bare resonance energy for a stationary atom. The second is energy shift due to doppler effect, whilst the third term is the recoil energy which is generally much smaller (300 nK) than the others and is only of relevance at very low temperatures. The doppler term features importantly in the initial steps of laser cooling. By using a light that is of lower frequency than the atom’s resonance, we can bring it into resonance with the atoms that satisfies \( k \cdot v < 0 \). Allowing the atoms to preferentially absorb photons moving opposite to the atom’s motion.
The interaction with the light field induces a force on the atom given by
\[ \langle F \rangle = \frac{1}{i\hbar} \langle [p, H_{tot}] \rangle = \hbar \nabla (\Omega \rho_{12}) + \hbar \nabla (\Omega^* \rho_{21}) \]
Writing $\Omega = |\Omega| e^{i\phi}$ and using the steady state solution for the atomic coherences above
$$\langle \mathbf{F} \rangle = \hbar (\nabla |\Omega|^2) \frac{\delta}{\frac{\gamma^2}{4} + \delta^2} \left( \frac{\gamma}{\gamma + 2R} \right) + \hbar |\Omega|^2 (\nabla \phi) \frac{\gamma}{\frac{\gamma^2}{4} + \delta^2} \frac{\gamma}{\gamma + 2R}$$
We see that the force contains two contributions: the first term, occurs due to a gradient in the intensity of the light field and dominates for large detunings when very little atomic excitation is created. We can interpret this as arising from the spatially varying AC stark shift of the ground state due to the light field. The second term, characterise the dissipative force due to photon absorption which dominates at low detunings. Since upon each absorption event, the atom receives a momentum kick of $\hbar \mathbf{k}$, and subsequent spontaneous emission event occurs in all directions so therefore impart zero momentum transfer onto the atoms on average. Therefore each spontaneous emission event delivers a momentum kick of $\hbar \mathbf{k}$ to the atoms.
### 2.3.3 Interaction With Real Atoms
In this work, we are mainly concerned with the force arising from the conservative interaction of (2.23) as it provides the least amount of disturbance to the atoms. In the limit of large detuning $\delta \gg \gamma, \Omega$ we can write this term as the gradient of a dipole potential
$$V = -\frac{\hbar |\Omega|^2 \delta}{\delta^2 + \frac{\gamma^2}{4}}$$
which is in fact the AC stark shift of the ground state in the presence of the light field. Heuristically, the oscillating electric field of the light induces an oscillating dipole moment in the atom which then interact with the light field to produce this energy shift. For real atoms, like $^{87}\text{Rb}$, with many sub-levels, the light’s interaction with each transition must be accounted for. But for detunings larger than the hyperfine splitting of the excited state we can simplify the interaction to that of the two D lines [53]
$$V_{dipole}(\mathbf{r}) = \frac{\pi c^2 \gamma}{2 \omega_0^3} \left( \frac{2 + \mathcal{P} g_F m_F}{\Delta_{2,F}} + \frac{1 - \mathcal{P} g_F m_F}{\Delta_{1,F}} \right) I(\mathbf{r})$$
Here \( P = \pm 1, 0 \) for \( \sigma_\pm \) and linearly polarized light respectively. \( g_F, m_F \) are the magnetic quantum numbers of the relevant ground states and \( \Delta_{2,F}, \Delta_{1,F} \) are the detunings of the laser light from the D1 and D2 transitions respectively.
### 2.4 Gaussian Beam Dipole Trap
From equation (2.24), we see that it is possible to generate trapping potentials for the atoms using spatially varying intensity in the light field. A simple application of this is the confinement produced by a red detuned beam with a Gaussian profile \( I(x,y) = I_0 e^{-2(x^2+y^2)/w^2} \) where \( w \) is the waist of the beam and the light is traveling along the z axis. For red detuning (\( \Delta_{2,F}, \Delta_{1,F} < 0 \)) the atoms are attracted towards intensity maximums. Hence by simply shining this Gaussian beam onto the atoms, one can create a confining potential in the x,y plane with atoms trapped at the center of the Gaussian profile. If the extent of the cloud is much smaller than the waist of the beam, we can Taylor expand to second order about the trap location to get
\[
V_{Gauss}(r) = \frac{\pi c^2 \gamma}{2 \omega_0^3} \left( \frac{2 + P g_F m_F}{\Delta_{2,F}} + \frac{1 - P g_F m_F}{\Delta_{1,F}} \right) I_0 \left( 1 - \frac{2(x^2 + y^2)}{w^2} \right)
\]
so the gaussian beam produces a harmonic confinement in the x,y plane with trapping frequency proportional to \( \sqrt{I_0/w^2} \).
Chapter 3
Single Atom Imaging
This chapter explains the principles behind our imaging system and elucidate how we operate it to achieve high spatial resolution detection of atoms.
3.1 Imaging System
The center piece of the experiment, or the microscope part of the "Quantum Gas Microscope", is a specially designed imaging system, optimized for near diffraction limited resolution at 780nm. The schematics of the imaging system is shown in Figure 3.1, which consists of three parts. A custom made microscope objective positioned outside of the vacuum chamber, a plane parallel glass plate corresponding to the top face of the glass cell and a hemispherical surface inside the vacuum chamber. In order to achieve diffraction limited resolution, all three elements must be positioned relative to each other in pre-optimized positions. It is for this reason, that the mechanical mounting of both the objective and the hemisphere is designed in such a way that their orientation and position is completely defined by the top surface of the glass cell.
The first piece to be assembled, is the hemisphere shown in Figure 3.2. The
Figure 3.1: Schematics of the imaging system. A custom made objective sits outside of the vacuum chamber and forms a high resolution microscope together with the plane parallel glass plate of the glass cell surface and the hemispherical surface positioned inside the vacuum chamber.
Figure 3.2: Photograph of hemisphere inside the glass cell. The hemisphere is optically contacted to a super-polished substrate surface that is held inside a stainless steel holder. The holder contains three prongs that pushes against the glass cell and define the position of the hemisphere relative to the glass cell surface.
hemispherical surface has 8 facets positioned at equal angular spacing. Their purpose is to prevent direct retro-reflection of beams incident on the center of the hemisphere which can otherwise lead to unwanted disturbances to the formed dipole potentials. The hemisphere is completed by optical contacting to a superpolished substrate which ensures that the glass surface facing the atoms is flat to within 1 angstrom, so that the atoms do not experience any potential disturbances due to surface effects. The entire construction is then clamped within a stainless steel holder with three prongs that pushes against the glass cell surface to position the tip of the hemisphere at a distance of 1.6mm below the inside of the glass cell. We then position the microscope objective (outside of the vacuum chamber) such that its optical axis coincide with the hemisphere center and is orthogonal to the glass cell surface. This was accomplished using a fizeau interferometer. We image the interference pattern of a large beam that traverses the imaging system twice upon reflecting from the flat surface of the hemisphere \(^1\), with a reference wavefront obtained by reflection from a high quality glass surface. As shown in Figure 3.3, the interference patterns give us the capability to diagnose misalignments due to tilt, decentering or defocusing of the objective relative to the remaining pieces as they each give rise to distinctive wavefront aberrations. We then secure the objective to the glass cell via epoxy while monitoring the interferogram as the glue dries to prevent significant position shift as the epoxy cures.
In order to utilise the high spatial resolution, we must position the atoms close to the hemispherical surface. That this is necessary could be understood from the diagram shown in Figure 3.4. The presence of a nearby medium with refractive index greater than one, effectively increases the cone angle of light emanating from the object plane that will be able to pass through the aperture stop but only for objects close to the glass surface.
\(^1\)The microscope focuses a collimated beam to the back surface of the hemisphere and we use the reflection from that surface as a proxy for the wavefront at the focus as it is not directly accessible to us.
This is a commonly known technique of solid immersion microscopy [20] \footnote{An alternative explanation is that the wavelength of light is reduced by a factor of $n$ equal to the refractive index of the dense material, hence the Rayleigh criteria gives a smaller resolution than in air by a factor of $n$.}. In the first version of our apparatus design, we operate with the atomic cloud at a distance of 1.5 $\mu$m below the glass surface. Subsequent investigation led us to abandon this configuration due to its close proximity to the glass surface and we now operate with the atoms positioned approximately 10 $\mu$m below the surface.
As well as placing the atoms close to the surface, we also compress the cloud greatly along the line of sight of the objective such that there is no relevant dynamics occurring along this axis. This is advantageous for two reasons. One, as this axis is invisible to the microscope, we would have to install imaging along another axis in order to reconstruct the
dynamics in this third dimension\(^3\). Secondly, the objective has a finite depth of focus of 1.2 \(\mu m\) therefore images will be obscured by any signals outside of the diffraction limited region. It is for these reasons that we construct a two dimensional optical trap for the atoms just below the surface as described in Chapter 4.
Note that although much care was taken to ensure that the objective is positioned correctly for aberration free wavefront, this need not in fact be necessary, since after gluing, any aberration is likely to be static. Provided that the exact wavefront at the focus could be reconstructed, the aberrations could in principle be fully corrected for by the insertion of an appropriately manufactured phase plate with the conjugated phase distortion, hence restoring the high resolution.
Wavefront reconstruction is generally difficult however, especially when we could
---
\(^3\)This is not necessary for systems contains certain symmetry where it is possible to reconstruct the full image from a projected image, for example the use of inverse Abel transform for axially symmetric condensate in [35]
Figure 3.5: Projections optics for pinning lattice. Two orthogonally oriented 1D lattices are combined on a polarizing beam splitter cube and sent through the remaining 4f imaging system including the microscope objective to form a square lattice at the atoms.
not access directly the other side of the imaging system. Since aberrations due to misalignment of the objective are likely to be random in nature and could not be computed from first principle, this method of reaching diffraction limit is unlikely to be successful.
Nevertheless, phase conjugation was still useful for us, in circumstances where the aberration arose from a known cause and could be computed. Such was the case when it became necessary for us to move the atom trap further away from the superpolished surface. In order to maintain diffraction limited imaging with the atoms 10 $\mu m$ away, the imaging process was simulated using the ray tracing program Oslo, from which the wavefront aberration could be computed and the appropriate phase conjugation plate manufactured.
3.2 Imaging Procedure
Once the imaging system is set up, we may use it to take high quality fluorescence images of the atoms. The imaging process consists of the following sequence of events (see Figure 3.6) in the order which they occur:
1. The atoms are first localized for the duration of the imaging process. We do this by imposing a deep square lattice potential in the plane of the atoms with depth of up to $340 \mu K$. We generate the square lattice pattern by shining 795 nm light 50 GHz to the blue of the rubidium D1 line, on two static transmission phase holograms with orthogonally oriented line patterns as shown in Figure 3.5. We then combine the two patterns on a polarizing beam splitter cube to form a square lattice. This pattern is then projected onto the atoms using two 4f imaging systems with the microscope as the last "lens". The resultant lattice pattern has a lattice spacing of 620 nm after a factor of 0.031 in magnification. Because the lattice pattern is merely an image of the hologram pattern, the structure (i.e. lattice spacing) is independent of the wavelength of light used. Therefore we can use the same imaging path both for projecting far detuned lattice patterns (for doing many body experiment) as well as near resonant ones here as in the pinning lattice. We also impose a deep potential in the vertical direction (about 1 mK) by using the same laser and creating a lattice in the vertical direction similar to the way vertical confinement for our two dimensional quantum gas was made (see section 4.4).
2. After the pinning lattice has reached full power, all previous confinement of the atoms, optical and magnetic are switched off. We also switch on currents through three large coils made using ribbon cables that nulls the magnetic field at the location of the atoms, which is necessary for the next step of the experiment.
3. Two molasses beams with co-propagating repump, 80 MHz to the red of the imaging transition $F = 2, m_F = 2 \rightarrow F' = 3, m'_F = 3'$ are switched on. These serve two purposes: one, the polarization of the molasses are adjusted to give rise to polarization gradient cooling effects [54]. Here polarizations of the pinning lattice beams are important to allow effective operation of the molasses beam, since any nonlinear polarization of the beam effectively generates a vector light shift which mimics a magnetic field. The lattice beams have been carefully aligned to attain as close to linear polarization as possible. The second purpose of the molasses beams are to cause the atoms to scatter 780nm photons which are then collected by the microscope and constitute fluorescence signal of the atoms.
4. After waiting 50 ms for the transients of the molasses to disappear, the camera shutter opens and collects signal for typically 1s. Figure 3.7 shows a typical image of atoms released from the two dimensional surface trap.
A histogram of our images always shows two peaks corresponding to the absence and presence of an atom. We believe the absence of other peaks signifying site occupation greater than one is due to the occurrence of light assisted exothermic molecule formation between two closely spaced atoms which occurs in multiply occupied sites [55]. This removes all sites occupied by even number of atoms and reduces sites with odd occupation to a single atom. So our detection mechanism measures only parity of atom number per site.
### 3.3 Image Analysis
The fluorescence images of the atom allows us to directly measure the point spread function of our imaging system (or response to an impulse, here being the point object of an atom). This was done by taking several pictures with very sparse atom distribution. We
| | experiment in 2D trap | pinning ~1ms | switch off ~1ms | molasses | wait 50 ms | camera open |
|------------------|-----------------------|--------------|-----------------|----------|------------|------------|
| pinning lattice | | | | | | |
| magnetic field compensation | | | | | | |
| molasses | | | | | | |
| all others light and magnetic fields | | | | | | |
Figure 3.6: Sequence of events for fluorescence imaging of atoms.
Figure 3.7: Fluorescence image of atoms released from surface trap 10 $\mu m$ away from the surface.
Figure 3.8: Point spread function of imaging system.
visually identify the locations of isolated atoms in each image, then overlap the peaks of each single atom intensity profile in order to compute an averaged intensity profile of a single atom. The resultant pattern is then fitted with a two dimensional gaussian. Figure 3.8 shows the result of the point spread function computed this way from fluorescence images of atoms at about $10 \mu m$ below the surface. Knowing the magnification of the imaging system, the FWHM of the point spread function are $0.593 \times 0.605 \mu m$ in the horizontal and vertical directions respectively.
The second type of analysis frequently performed on these images is to identify the location of the atoms in the image. Typically this was done by obtaining, prior to each experiment run, the point spread function as described above, and the lattice geometry by Fourier transform of some densely populated images. We then determine the location of atoms in each image by determining the least square multiple of the point spread function for the data at each lattice site. Fit values above a predetermined threshold indicate the presence of an atom.
For the sake of expediency, we also implement a faster algorithm using built-in functions within Matlab’s Image Processing Toolbox. By examining sparsely populated images, we identify the appropriate structuring elements characterizing the intensity profile of a single atom. This here serves the analogous purpose as the point spread function above and need only be determined once for a fixed camera focusing. We then perform morphological opening using this structuring element to probe the image we wish to examine. After subtracting this from the original image and performing a gamma correction, we obtain a high contrast version of the fluorescence image from which the location of the atoms could be easily obtained by searching for local maximums in intensity whose average neighborhood values exceed a threshold hold level that was determined by tests with images where manual identification was feasible. This allowed us to determine the atom number, center
and radii of cloud in less than 5s per typical image.
Chapter 4
Optical Surface Trap
In this chapter, we explain in detail, the setup of how we produce a two dimensional condensate in the experiment suitable for performing optical lattice experiments with the quantum gas microscope. Our current setup is a revised version of an older configuration [56] which suffers from surface effects due to adsorbed rubidium atoms on the superpolished substrate. We circumvent this problem by moving the atoms further away from the glass surface.
4.1 Old Apparatus Setup
The main components of our old setup is shown in Figure 4.1 [57]. We start the experiment by producing an almost pure condensate of Rubidium 87 in the $F = 1$ $m_F = 1$ hyperfine state in a magnetic trap of cigar geometry. In order to produce a two dimensional condensate close to the glass surface, we loosen the confinement in the transverse directions (orthogonal to gravity) by changing the magnetic field configuration to a spherical one and move the center of the magnetic trap 1.6mm into the glass surface. This squeezes the atoms against a repulsive potential at the surface formed by a blue detuned evanescent wave, thus
greatly increasing the vertical trap frequency, typically to about 800 Hz.
To further increase the vertical confinement, in order to reach deeper into the two dimensional regime, in the second stage we load the atoms into the first well closest to the glass surface of a vertical lattice potential produced by a blue detuned vertical standing wave. This one dimensional lattice is formed by the interference of a grazing incidence beam with its reflection from the flat surface of the hemisphere, with the angle of incidence tuned to give a lattice spacing of $1.5 \mu m$. At this stage, we have a two dimensional condensate $1.5 \mu m$ below the superpolished substrate that forms the starting point of all subsequent experiments.
Although this configuration allowed us to utilise the high resolution of the microscope, there were severe limitations due to the close proximity to the glass surface. In detail, we encountered the following technical difficulties:
- There is a slow leakage of atoms out of the evanescent wave trap towards the glass
Figure 4.2: Potential barrier from evanescent wave and Casimir Polder effect with the surface (blue curve), and the same potential added to electric field due to 10 million adsorbed rubidium atoms on the surface (red). The potential barrier to the surface is almost non-existent after including the effects of the adsorbed atoms.
surface. When enough adsorbed rubidium atoms had accumulated at the surface, it created an attractive potential\(^1\) that reduced the barrier to the surface created by the evanescent wave. One can estimate its effect roughly by using the measured electric field from adsorbed rubidium atoms on a glass surface obtained in [71]. We assume the distance dependence of the electric field is consistent with that of a point charge, as would be expected for atoms consistently deposited at the same location on the glass surface. Figure 4.2 shows the resultant potential barrier from the surface for 10 million adsorbed atoms on the surface in comparison to no adsorbed atoms, it is clear that the barrier due to the evanescent wave is rapidly washed away by the adsorbed atoms, making it extremely easy for atoms to tunnel to the surface. Note that the cycle rapidly becomes a run away process as adsorbed atoms leads to reduced barrier which then encourages even more atoms to get stuck to the surface. As a consequence
\(^1\)Adsorbed atoms onto the surface changes its electronic structure leading to the valence electron residing partially inside the surface therefore creating a weak dipole. The effect is dependent on the work function of the surface and is not as severe for glass as it is for metallic surfaces.
we were not able to load the evanescent wave trap using the same location on the surface for longer than about three months.
- The surface impurity impedes our ability to precisely control the repulsive potential that keeps the atoms away from the surface, therefore we lack good control of atom number and temperature in the 2D trap. We also have no reliable method to reproducibly produce the small atom numbers (approximately 2000) needed to load the subsequent two dimensional optical lattice with one atom per lattice site.
- Impurities on the surface also cause an-isotropic expansion in the plane and sometimes even pin atoms to local spots. An example of this is shown in Figure 4.3 where the condensate is allowed to undergo free transverse expansion for 2 seconds within the axial lattice before fluorescence imaging. A significant number of atoms remained pinned to this location. This occurred despite of the fact that the atoms experienced a force parallel to the plane of the surface due to the tilt of the hemisphere axis with respect to gravity (about $0.6^\circ$). One can use this to estimate roughly the sideways gradient in the plane due to the adsorbed atoms. In units of an equivalent magnetic field gradient, this translated to a gradient of 0.36 G/cm. The susceptibility to surface contaminants was a great impediment to our abilities to produce controlled known potentials for the atoms which is necessary when comparing to theory in optical lattice experiments.
It was for these reasons that we decided to modify our surface trap configuration. Our changes were implemented with two major objectives:
- To reduce the effect of surface impurities, we will implement the two dimensional trap for the condensate at a distance of 10 $\mu$m away from the glass surface. We deemed this distance to be large enough to provide immunity against surface impurities and
Figure 4.3: Fluorescence images of atoms after expansion in axial lattice for 2s. Signal shows atoms pinned by surface impurities.
adsorbed rubidium atoms whilst still allowing us to utilise the enhanced numerical aperture afforded by being close to the glass surface. We achieve this by replacing the evanescent wave trap with a vertical lattice of lattice spacing $10 \, \mu m$ and loading into the first well of this lattice after condensation in the cigar trap.
- RF evaporation does not allow us to reproducibly make small condensates as once the RF frequency gets below the chemical potential of the condensate we become susceptible to fluctuations in the magnetic field trap bottom (not actively stabilized). We therefore decided to control the atom number via optical means for which the stability is mainly determined by fluctuations in beam power (which is actively stabilised). Our final configuration utilizes a "dimple" trap, or a red detuned dipole beam of small trap volume, which we use to reduce our atom number beyond the stable operating point of RF evaporation without exuberant increase in temperature or loss in stabiliWe then subsequently put the atoms into a large volume red dipole trap prior to loading into the optical lattice. This trap has a low trap depth (on order of nK) which we use to limit the temperature of the cloud. The powers in both beams are actively stabilized via the setup described in Appendix A. With the combination of both methods we can consistently produce condensates of approximately 1000 atoms with about 4% fluctuation in atom number.
In the remainder of this chapter we will describe in detail, the setup and characteristics of our improved trapping scheme which will take us closer to working on many body physics.
### 4.2 The $10\mu m$ Lattice
In this section, we describe the $10\mu m$ lattice (also referred to as the big lattice) that is used as a bridge between the end of the usual BEC production and the two dimensional optical trap where we will eventually carry out the experiments with optical lattices.
The big lattice consists of a vertical lattice formed from the interference of an incident beam on the flat side of the hemisphere with its reflection (see Figure 4.4) from the glass surface. The light source for the lattice is the output of a titanium sapphire femtosecond laser (Coherent Mira). In order to transport the light from the laser table to the experiment table via single mode fiber without excessive spectral broadening due to nonlinear effects, we broaden the time width of the pulse as described in appendix B with a pair of matched gratings. The resultant light at the fiber output has an autocorrelation full width half maximum of 153$\mu m$ and center wavelength of 757.4nm.
In order to generate a lattice spacing of about $10\mu m$, the incident beam must impinge upon the surface at a very shallow angle of about $2^\circ$ to the glass surface. At this
small angle, a circular incident beam would result in a highly elliptical cross section in the transverse plane, therefore we shape the incident beam to an aspect ratio of 2.6:1 with cylindrical lenses as shown in Figure 4.5. A higher aspect ratio of 28.7:1 would be required to generate a truly circular cross section at the atoms, but such a high aspect ratio would necessitate that one axis of the beam having a very small waist and hence a very short Rayleigh length. The rapid divergence would likely lead to clipping upon entering the glass cell. In any case, at the point of loading into the big lattice, the transverse confinement is still dominated by the magnetic trap, therefore the precise geometry of the big lattice beam is not so important.
In Figure 4.5, we illustrate the sequence of optical elements used to generate and image the big lattice beam onto the atoms. A motorized mirror is placed at the object plane of the two lens imaging system whose image point is at the atoms. When rightly focussed, this allows us to change the beam’s angle of incidence via rotation of this mirror with minimal shift in beam position. A 30mm thick plane parallel glass plate is used to change the beam position in the object plane and allows us to center the beam onto the atoms.
Figure 4.5: Optics setup for the $10\mu m$ lattice. The two lenses in the lattice beam imaging system image the beam position and angle in the object plane (equal to location of the motorized mirror) onto the atoms. The atom absorption imaging system in the upper right hand corner is used to align the lattice beam to the correct location with respect to the atoms.
To position the beam onto the atoms, we pass 780nm imaging light through the same fiber as the big lattice and use it for absorption imaging via the imaging system shown in the upper right hand corner of Figure 4.5. When correctly placed, we see two symmetrically placed images of the atom cloud (the atom’s shadow and its reflection in the glass surface) as shown in Figure 4.6.
In order to measure approximately the lattice spacing of the big lattice, we move the atoms by shifting the minimum of the cigar trap to varying vertical distances below the surface then ramp up the big lattice to full power over 200ms. After holding the atoms in the lattice for 10ms, we do absorption imaging after 10ms time of flight and use a gaussian fit to find the center position of the cloud. The vertical position of the cloud (see Figure 4.7) shows plateaus corresponding to loading into the first, second and third well of the big lattice. This way, we deduce the lattice spacing is approximately $9.75\mu m$.
In order to load the atoms into the big lattice without significant heating or loss, it is necessary to circumvent the high density which results as an increase in the vertical trap frequency from the 140 Hz in the cigar configuration to the 0.9 kHz in the big lattice. To achieve this, we loosen the transverse confinement by converting from a cigar trap to a spherical configuration at the point when the big lattice power is sufficient to prevent
Figure 4.7: Measurement of approximate lattice spacing. The cigar trap center is moved to varying distances below the surface by changing the voltage supplied to a push coil (a higher voltage is closer to the surface). After pushing to desired location, the big lattice is ramped up to full power in 200ms. The atoms are imaged after 10ms hold time in the lattice and 10ms time of flight. We use a gaussian fit to deduce the center of the cloud for each distance. The four lines represents the same experiment taken on different days over a space of one week which shows that our loading distance remains roughly stable over time.
sagging due to gravity. After full conversion to a spherical trap, the big lattice is then ramped up to maximum power. Our optimized parameters give a loading efficiency of 78% into the big lattice with a vertical confinement of 0.95 kHz as measured from parametric heating.
4.3 Dimple Trap
The next stage in the surface trap sequence is the loading of atoms into the red detuned dimple trap. As mentioned previously, the use of the dimple allowed us to reach lower atom numbers and also freed us from the necessity of a magnetic trap (this would be important for experiments involving atoms in differing magnetic states). In this section, we describe the rationale behind its use and how it was implemented.
Previous works on the dimple trap have concentrated on its ability to increase phase space density by modifying the geometry of the trapping potential. The fact that this is possible could be seen readily from thermodynamic relations. Let us consider an ensemble of N thermal atoms subject to a spatially varying trapping potential of the form $U(\mathbf{r})$ where the potential minimum at $\mathbf{r}_{\text{min}}$ satisfies $U(\mathbf{r}_{\text{min}}) = 0$. The atoms will distribute themselves in a spatial pattern given by the Boltzmann distribution, where the spatial density is
$$n(\mathbf{r}) = n_{\text{peak}} \ e^{-\frac{U(\mathbf{r})}{k_B T}} d^3\mathbf{r}$$
and the normalisation condition
$$N = n_{\text{peak}} \int e^{-\frac{U(\mathbf{r})}{k_B T}} d^3\mathbf{r} \quad (4.1)$$
From equation (4.1), we see that one may define an effective volume for the cloud as
$$V = \int e^{-\frac{U(\mathbf{r})}{k_B T}} d^3\mathbf{r} \quad (4.2)$$
such that $n_{peak} = N/V$.
The Hamiltonian for the ensemble $H = \sum_{i=1}^{N} \frac{p_i^2}{2m} + U(\mathbf{r}_i)$ allows us to write the partition function as
$$Z_N = \frac{1}{h^{3N}N!} \int e^{-\frac{H}{k_B T}} d^3\mathbf{p}_i \, d^3\mathbf{r}_i$$ \hspace{1cm} (4.3)
$$= \frac{1}{\lambda_{dB}^3 N!} \left( \int e^{-\frac{U(\mathbf{r})}{k_B T}} d^3\mathbf{r} \right)^N = \frac{Z_1^N}{N!}$$ \hspace{1cm} (4.4)
with the thermal de Broglie wavelength $\lambda_{dB} = \sqrt{\frac{\hbar}{2\pi mk_B T}}$ and the single particle partition function
$$Z_1 = \frac{1}{\lambda_{dB}^3} \int e^{-\frac{U(\mathbf{r})}{k_B T}} d^3\mathbf{r}$$
The entropy per particle in the cloud is related to the partition function via
$$\frac{S}{N} = \frac{1}{N} \frac{\partial}{\partial T} (k_B T \log Z_N)$$ \hspace{1cm} (4.5)
$$= k_B \left( \frac{5}{2} + \frac{T}{V} \frac{\partial V}{\partial T} - \log(n_{peak}\lambda_{dB}^3) \right)$$ \hspace{1cm} (4.6)
$$= k_B \left( \frac{5}{2} + \gamma - \log(n_{peak}\lambda_{dB}^3) \right)$$ \hspace{1cm} (4.7)
where we assume that $V$ has a functional dependence on temperature as $V \propto T^\gamma$.
From equation (4.6) we see that in an adiabatic operation that conserves the total number of particles (hence constant entropy per particle) one has the possibility of greatly increasing the phase space density $n_{peak}\lambda_{dB}^3$ by changing the parameter $\gamma$. But this could not be accomplished simply by a change in the strength of the potential ($U(\mathbf{r}) \rightarrow KU(\mathbf{r})$) as this corresponds only to a scaling of the temperature so that the volume changes as $V \propto (T/K)^\gamma$ without a change in the $\gamma$ parameter. However $\gamma$ could be modified by a change in the functional form of the trapping potential. In Figure 4.8, we illustrate some sample potentials with their respective $\gamma$. Realisation of increasing the phase space density this way was first achieved by Pinkse et. al. [1] with spin polarized atomic hydrogen where a deformation of the magnetic trap from harmonic to nearly linear gave rise to an increase
in phase space density by a factor of 2. It was also utilised in later experiments on all optical production of Bose Einstein condensation [4].
A more general type of deformation is illustrated in Figure 4.8, the two box potential. This was first implemented by Stamper-Kurn et. al. in [3] and later in [2]. Such a configuration is easier to achieve experimentally as it could be accomplished by simply superimposing two potentials of different depths and sizes. In the case of [3], this was accomplished by a tightly focussed optical trap combined with a large volume magnetic trap. In the Cs experiment of [2], this was done using two different sized dipole traps. Our approach uses a combination of the above two methods.
We extend the original idea of [3] by considering an extension of the "two-box" model illustrated in Figure 4.9. N particles are originally confined in a box potential of volume $V_0 = V_1 + V_2$ with initial temperature $T_0$, density $n_0$ and phase space density $\Gamma_0$. The potential within a subvolume $V_2$ of the box is then lowered adiabatically by an amount $U$ to form a "dimple" so that the peak density in the dimple exceeds that of the reservoir by an amount $e^{U/k_B T}$ and the ensemble equilibrates to a higher temperature $T_2$ with phase space density $\Gamma_2$ within $V_2$.
The application of equation (4.6) to equate the entropy per particle in steps 1 and 2 shows that the phase space density in $V_2$ will exceed the original phase space density by an amount
$$\log \left( \frac{\Gamma_2}{\Gamma_0} \right) = \frac{\frac{U}{k_B T_2}}{1 + \frac{V_2}{V_1} e^{\frac{U}{k_B T_2}}}$$ \hspace{1cm} (4.8)
For $V_2 \ll V_1$ and $e^{U/k_B T_2} \ll V_1/V_2$ (potential not so deep as to encompass all the atoms) one can obtain an almost arbitrarily large increase in phase space density $\Gamma_2 = \Gamma_0 e^{U/k_B T_2}$ and give rise to condensation of atoms in $V_2$ as shown in [3]. But note that condensation was a local phenomenon here, as the dimple perturbs the eigenstates only locally. As shown in [3], the atoms in the reservoir remains thermal.
Next we consider utilising the local increase in phase space density in the following ways as shown in steps 3 and 4 of Figure 4.9. In step 3, we remove the reservoir atoms in a one step "evaporation" process and allow the atoms in the dimple to equilibrate afterwards. By computing the average energy per particle before and after the evaporation, the
equilibrium temperature in step 3 is [5, 6]
\[
T_3 = T_2 \frac{1 + \frac{V_2}{V_1} e^{\frac{U}{k_B T_2}}}{1 + \frac{V_2}{V_1} e^{\frac{U}{k_B T_2}} + \frac{2U}{3k_B T_2}}
\]
(4.9)
By letting the reservoir atoms escape carrying above the average kinetic energy per atom, the remaining smaller number of atoms equilibrate to a lower temperature. Note that one can also use this method to lower the atom number in a way that is more deterministic than RF evaporation since the final number of atoms retained depend only on the initial density (which is weakly dependent on the total atom number) and the properties of the dimple beam. The proportion of atoms retained is
\[
p = \frac{\frac{V_2}{V_1} e^{\frac{U}{k_B T_2}}}{1 + \frac{V_2}{V_1} e^{\frac{U}{k_B T_2}}}
\]
(4.10)
In step 4, we expand \( V_2 \) adiabatically back to the original size \( V_0 \). Since phase space density is conserved and the density of atom is reduced by a factor of \( V_0/V_2 \), the final temperature of the atom is
\[
T_4 = T_3 \left( \frac{V_2}{V_1 + V_2} \right)^{(2/3)}
\]
In Figures 4.10 and 4.11, we show the final temperature and proportion of atoms remaining as a function of the dimple depth for various volumes and initial temperatures. Both final temperature and atom number are approximately linear functions of the dimple depth (proportional to dimple power here) in this region (this will not be true in the parameter regimes of very high phase space density, or very low temperatures since the density in the dimple becomes constrained by three-body losses [7]) and that for a lower initial temperature, it becomes progressively harder to cool and still retain atoms since very low dimple depth are required and atom number declines more quickly with decreasing dimple depth at lower temperature. Note that although \( V_2 \ll V_1 \) is optimal for reaching lower temperatures, it also retains much less atoms which will be more susceptible to residue heating such as from spontaneous scattering from the dimple trap light, an effect not included here.
Figure 4.10: Final temperature of dimple cooling (a) and proportion of atoms retained (b) as a function of dimple depth for various initial temperatures of the cloud as labeled on the graphs. $V_2/V_1 = 0.5$
Instead of expanding the dimple, one can also perform further evaporation in the dimple by lowering the depth as was done in [8]. Evaporation in the dimple can be very efficient for species with low inelastic decay rate, due to the high density which encourages thermalization.
### 4.3.1 Dimple Trap Setup
The dimple trap in our experiment serves two main purposes:
1. Reproducibly make controllable small atom number clouds.
2. Prevent atom loss or shaking during magnetic field shut off.
We did not focus on the cooling aspect of the dimple as there are further stages subsequent to loading the dimple that would lead to temperature increase, although it is likely that some variant of the above mechanism is in operation. In future experiments, it may be possible to utilize the cooling properties of the dimple as well as the above two.
We create the dimple beam using a superluminescent diode module (Superlum S840-B-I-20) as a seed for a tapered amplifier (Eagleyard 850nm, 500mW). The output of
the amplifier is shared between two dipole traps, the dimple and the red-dipole that is used in the final stages of the experiment. After filtering out residue 780nm light (Semrock 808 long pass filter), up to 5mW of light can be delivered to the experiment table centered at 824nm with correlation length of 63 $\mu m$. We combine the dimple beam path with the fluorescence imaging beam path via a dichroic beamsplitter (Semrock LM01-659-25) as shown in Figure 4.12. To position the beam onto the atoms, we first image the atoms using the Andor camera, then position the reflection of the dimple beam from the superpolished substrate to the same location on the camera. This provides us with only a rough positioning of the beam since the imaging system, focussed on the atom using 780nm light has non negligible focal shift at 840nm. We can also use this to estimate the dimple beam size at the atoms as $7.78 \mu m$ $2/e^2$ waist. A more precise alignment is achieved by looking at fluorescence images of atoms in the dimple and ensuring the atoms are in the same position prior to and after loading into the dimple trap.
To load the atoms into the dimple, we ramp up the dimple power to desired values over 200ms as soon as the big lattice reaches full power. The resultant combined potential is shown in Figure 4.13. On completion of the ramp, we reduce the current in all magnetic
field coils in 200 ms before shutting them off completely. At this point, the reservoir atoms not held by the dimple are no longer confined in the transverse direction so will drift out of the region. We typically wait for 100 ms before releasing the atoms from the dimple into a large volume dipole trap in order to ensure that no reservoir atoms remain to the next stage of the sequence. The magnetic fields turn off here prevents us from using arbitrarily low dimple depth since a reasonable large confinement is required to protect the atoms from the violence during the field turn off. This also limits our ability in using the dimple as a tool to reach lower temperature. In order to test whether the dimple satisfies our criteria, we perform fluorescence imaging on the atoms after all the reservoir atoms has been removed. In Figure 4.14, we show the number of atoms retained as a function of the dimple power with the error bar indicating atom number fluctuation calculated over 10 runs. As expected from our previous argument, the atom number is approximately a linear function of the dimple power. Note that the fluctuation in atom number is about 3% on average (with
the exception of 6% at the lowest dimple power where the atoms probably feel the effect of the field shut off) which is better than our usual 10% fluctuation in atom number in the cigar trap. We can understand this from equation (4.10). The atom number depends only on the initial density and the geometric properties of the dimple, its width and depth, both are close to being static quantities. Since the peak density in the center of the condensate depends on atom number as $N^{2/5}$, we also have a 60% reduction in fluctuation. For this low atom number, it is almost impossible to achieve such stability with RF evaporation alone.
### 4.4 Axial Lattice
While the atoms are in the dimple, we execute an exchange of the vertical confinement by replacing the big lattice with a vertical lattice of greater confinement. The necessity of doing this, stems from the fact that the interaction energy of the atoms in a two dimensional optical lattice is proportional to $\sqrt{\omega_z}$ where $\omega_z$ is the frequency in the
Figure 4.14: Atom number in dimple for varying dimple voltages measured using fluorescence imaging, averaged over 10 repeats. The error bar indicate fluctuation in atom number. A measurement at higher atoms numbers could not be obtained as the cloud size becomes bigger than the effective molasses region.
frozen out vertical direction (see equation (2.13)). It is therefore advantageous for reaching strongly interacting to have as high vertical frequency as possible.
Like the big lattice, the axial lattice is also formed by interference of an incident beam on the flat side of the hemisphere with its reflection from the surface. Here we adjust the angle of incidence to $14.5^\circ$ from the surface in order to give a lattice spacing of $1.5 \mu m$. We shape the beam to an aspect ratio of $4:1$ in order to avoid a highly elliptical cross section at the atoms.
The light source for the axial lattice consists of an amplified spontaneous emission source (Exalos) seeding a tapered amplifier (Eagleyard 765nm, 1.5 W). After filtering out resonant light at 780nm, up to 200 mW of laser power is usable in the experiment with a center wavelength of 756nm and coherence length of 324 $\mu m$.
The axial lattice ramps up as soon as all the reservoir atoms not held by the dimple have exited the region. Once reaching full power, the potential due to the big lattice becomes relatively unimportant and can be ramped to 0 rather quickly. After this point, the atoms are held only by optical potentials. Parametric heating measurements here reveal the trap frequencies in the vertical direction reaches 7.1 kHz maximum.
A priori, the location of the atoms in the big lattice need not coincide with the minimum of the axial lattice. The consequence of this being that fluorescence images reveal atoms trapped in the "not in focus planes" of the axial lattice. The motorized mirror in Figure 4.5 allows us to remedy this problem by tuning the big lattice spacing slightly until the big lattice and axial lattice sites coincide. We detect this through a minimum number of background atoms seen in fluorescence images.
4.5 Red dipole
After the atoms are in the axial lattice and the big lattice has been turned off, we execute the very last step of our two dimensional trap formation, by releasing the atoms from the small dimple trap into a large volume red dipole trap. The red dipole is powered by the same light source as the dimple beam. Using the optics setup as shown in Figure 4.15, we center the beam onto the atoms in the same way as for the dimple. Since this beam has a rather large waist of $86 \mu m$, it is not crucial to position the beam waist exactly onto the atoms. We therefore secure all elements in the beam path to fixed positions which should help with beam stability.
As soon as the big lattice has been turned off, we ramp on the red dipole to its final value over 200 ms to a depth of 42 nK. A low trap depth is deliberately chosen here to provide a temperature shield and allow the hot atoms to escape the cloud. The atoms are then released from the dimple to the dipole trap by reducing the dimple power to 0.
We sometimes hold the atoms in this configuration for 6 - 8 seconds to allow the hot atoms produced from the ramp sequences to escape the weak transverse potential. Figure 4.16 shows an example of the fluorescence image of atoms in the all optical trap with frequencies 8 Hz x 7.5 Hz (from red dipole) x 3.4 kHz (from axial lattice) and a 1/e lifetime of 15s. A measurement of the condensate fraction averaged over 10 pictures gives a temperature of 2.6 nK with 1058 atoms. The experimental sequence from the end of RF evaporation in the cigar trap to the end of the all optical surface trap which we use to take the image 4.16 is shown in Figure 4.17.
Although we have used a spatially coherent light from a single mode fiber to make the red dipole beam, it is also possible to do this with the output from a multimode fiber. Since the input light is of short correlation length (temporally incoherent), when
Figure 4.15: Optics setup for the red dipole beam. The beam is combined with the imaging path via a non polarizing beamsplitter.
Figure 4.16: Fluorescence image of atoms in the optical trap. The solid ellipse shows the boundary of the Thomas Fermi profile from which the condensate fraction was determined.
| | RF evaporation cigar | big lattice ramp | dimple | axial lattice | red dipole | equilibration in dipole 6~8s | fluorescence imaging ~1s |
|------------------|----------------------|-----------------|--------|---------------|-----------|-------------------------------|--------------------------|
| Big Lattice | | | | | | | |
| Magnetic Fields | cigar | spherical | | | | | |
| Dimple | | | | | | | |
| Red Dipole | | | | | | | |
| Axial Lattice | | | | | | | |
Figure 4.17: Ramp sequences from end of evaporation to all optical surface trap.
the path difference of the various fiber modes exceeds the coherence length, the output is free of speckle patterns. The use of such beam has two advantages over spatially coherent light. One, the potential is less susceptible to local perturbations in the beam path since such disturbances are unable to produce long range modulations by interference with the remainder of the beam. This is particularly helpful when the size of the beam needs to be very large (such as the beams that forms the two dimensional optical lattice), as spatially coherent beams in such instances often suffer from inhomogeneous profile due to dust or scratches on optical elements in the beam path. Secondly, beam profile from multimode fibers can differ from Gaussian depending on the distribution of the fiber modes, which could be changed by the in-coupling condition into the fiber or by applying force on a segment of the fiber (this changes the local cross section and allows the different fiber modes to mix). We can use this property to generate different confinement geometry for the atoms.
Working with spatially incoherent light can be rather troublesome however, as most beams diverges very fast unless it is large already. Because of this, distances between consecutive optical elements must be kept short and large sized optics must be used to prevent unwanted beam clipping. Note that unlike a spatially coherent beam from a single mode fiber, any unintended apertures here can change the beam profile and power significantly since there are a significant number of spatial modes with extent far from the beam center.
To test the feasibility of incoherent light, we take the single mode fiber output previously used for the red dipole and butt couple it to a multimode fiber. The multimode fiber used here is a 105 $\mu m$ core diameter, 100 m long step index fiber. We purchase the fiber without a jacket so as to allow mode scrambling by applying pressure to the fiber. The fiber tip is then imaged by a succession of four lenses onto the atoms.
Again we examine the beam profile at the atoms by looking at the reflection from
Figure 4.18: Atoms in dipole trap made with a. spatially incoherent light and b. spatially coherent light.
the superpolished substrate. In Figure 4.19, the beam shows a rather large gaussian profile with some small corrugations that arose from residue spatial coherent of the beam and its large size. Significant care was taken here to ensure that beam clipping is kept to a minimum. The fluorescence images of the atoms (see Figure 4.18) in this dipole trap and one made with a spatially coherent light exhibit no major differences.
By applying pressure to the fiber and aperturing the beam afterwards, it is also possible to obtain a more flat topped profile as shown in Figure 4.19. The power loss in this process is quite significant therefore we did not have enough power to make a dipole
Figure 4.19: a. Reflection from superpolished surface of spatially incoherent dipole beam. b. After mode scrambling, the beam profile become flat topped.
trap using this geometry.
As a check to see if this configuration satisfied our original motivation, we have verified that the atoms in this 2D trap expanded freely within the axial lattice and no atoms were pinned due to adsorbed atoms on the glass surface.\(^2\) After almost one year in operation, we have yet to detect any evidence of this trap suffering from surface effects.
The end of the red dipole ramp is also the starting time for our experiments in two dimensional optical lattice. The following chapters are devoted to the details of our lattice beam set up and the experiments we are able to realise.
\(^2\)The expansion within the axial lattice is still anisotropic due to the corrugations in the profile of the axial lattice beam which is unrelated to the problem of adsorbed atoms on the glass surface.
Chapter 5
Theory of Atoms In Optical Lattice
In this chapter, we introduce the theoretical concepts related to neutral bosons in optical lattice potentials and how they can be used for simulating the Bose Hubbard Hamiltonian. Previously considered a toy model in condensed matter theory, the Bose Hubbard Hamiltonian has been studied extensively by cold atom experimentalists in recent years. This has yielded several interesting insights into the nature of its quantum phase transition.
5.1 Single Particle In Lattice Potential
We start by considering the dynamics of one neutral particle subjected to the periodic potential of a blue detuned one dimensional lattice in the x direction. The single particle Hamiltonian applicable to us is
\[
\mathcal{H} = -\frac{\hbar^2}{2m} \nabla^2 + \frac{V_L(y,z)}{2} (1 - \cos(2kx))
\]
(5.1)
The second term of (5.1) denotes the periodic potential created by the interference of the two light beams that forms the lattice. The lattice wave vector \( k \) is related to the lattice
spacing $a_L$ via $k = \pi/a_L$ and defines the characteristic energy scale of the lattice, the recoil energy $E_R = \frac{\hbar^2 k^2}{2m}$ to which we measure all other energy scales with respect to. Here we assume counter propagating beams parallel to the x axis, so the transverse profile of the beam occurs in the (y,z) plane. In general, due to the Gaussian intensity profile of the beam, there is a slow variation in the lattice depth as one moves away from the center of the beam. However for distances close to the center of the Gauss beam, we can treat the lattice depth as approximately constant, given by its value at the beam center and account for the effect of the Gaussian profile by the addition of a slowly varying parabolic potential.
Let us first consider the solution of (5.1) with a spatially constant lattice depth. According to Bloch’s theorem [11], the eigenstates of (5.1) with a constant $V_L$ can be chosen to be of the form
$$\psi_{nq}(x) = e^{iqx} u_{nq}(x)$$ \hspace{1cm} (5.2)
where the function $u_{nq}(x)$ has the same periodicity as the lattice. The indices n,q of the Bloch wavefunction (5.2) denotes the band index and Bloch wavevector respectively where the wavevector is restricted to within the first Brillouin zone $q \in [-k, k)$ only. The eigenvalues of (5.2), $\epsilon_{nq}$ shown in Figure 5.1 gives the energy bands of the atoms in the lattice and characterise the energy of single particle dynamics in the potential.
The Bloch wavefunction provides an adequate description of the atoms in the lattice at low lattice depths when the atomic wavefunction is spread over many lattice sites. Furthermore, we carry out our experiment by loading a stationary condensate into a stationary lattice, thereby populating primarily the lowest n = 0 energy band and quasimomentum q = 0.
To account for the Gaussian profile of the lattice beams, we first observe that for a red detuned lattice where the lattice sites corresponds to location of maximal light intensity, the primary effect of the beam profile is to provide a spatially varying energy offset (stark
Figure 5.1: Energy of the first two Bloch bands in units of recoil energy ($E_R = 1.48$ kHz) for one dimension lattice of spacing 620 nm. Horizontal axis is quasi-momentum in units of lattice reciprocal wavevector and vertical axis shows band energy in units of $E_R$. The lattice depths are a) 1 $E_R$, b) 5 $E_R$, c) 10 $E_R$ and d) 20 $E_R$. Notice that the gap between the bands at $q = 0$ is bounded below by about 4 $E_R$, which is not true for $q = k$ at the edge of the Brillouin zone. The band width becomes increasing flat as the lattice depth increases signifying the much reduced tunnel coupling between the lattice sites.
shift) to each lattice site owing to the different local light intensity. The secondary effect of the intensity profile is to modify the local lattice depth, causing the atomic wavefunction and hence the band energy to change in space. Although this contribution is also present for a red detuned lattice, its effect is considerably less than the variation in local AC Stark shift. For a blue detuned lattice however, the former effect is almost absent since the lattice sites correspond to intensity minimum. Therefore, the consequence of the beam profile is to cause the atoms to experience reduced lattice depth further away from the center of the beam, hence the eigen energy of the atomic wavefunction will vary in space. To calculate this effect we note that the intensity variation occurs on the scale of a beam waist (about 145 $\mu$m for us) which is much greater than the lattice spacing of 620 nm. Thus over the distance scale of a few lattice sites, the lattice depth can be considered as approximately constant, we can therefore perform a local density approximation: that is, for low lattice
Figure 5.2: Energy of condensate in the $n = 0$, $q = 0$ state across the lattice beam with Gaussian waist of 145 $\mu$m, calculated in the local density approximation (red) and the parabolic approximation using the curvature at the beam center (blue) as described in the text.
depths (in the superfluid regime) the atoms are in the Bloch state $n = 0 = q$ whose energy at any point in space is simply the band energy calculated for a homogeneous system at the locally prevailing lattice depth. The resultant spatial variation is shown in Figure 5.2 from which we can extract the parabolic approximation valid near the beam center. This allows us to write an approximation to the full Hamiltonian (5.1) as
$$\mathcal{H} = -\frac{\hbar^2}{2m} \nabla^2 + \frac{V_L}{2} (1 - \cos(2kx)) - \frac{1}{2} m (\omega_y^2 y^2 + \omega_z^2 z^2)$$ \hspace{1cm} (5.3)
where $V_L$ is the lattice depth at the beam center and the overall deconfinement from the lattice beams is given by
$$m \omega_y^2 = \left| \frac{\partial^2}{\partial y^2} \epsilon_{n=0,q=0} \left( V_L e^{-\frac{2y^2}{w^2}} \right) \right|$$ \hspace{1cm} (5.4)
where $w$ is the lattice beam waist.
When the lattice is sufficiently deep to localize the atoms, the Bloch function is no longer a good description of the atom’s wavefunction. Instead, we switch to a different basis wavefunction, describing atoms partially localized to a single lattice site. Such a basis
function (called Wannier function) can be constructed from the Bloch states as
$$w_0(x - R) = \frac{1}{\sqrt{\mathcal{N}}} \sum_q e^{-iqR} \psi_{n=0,q}(x)$$
where $\mathcal{N}$ is a normalisation constant and the sum is over all quasimomentums in the first Brillouin zone. Note that the Wannier function shows increase localization at greater lattice depth but nevertheless has small penetration into adjacent lattice sites.
With this new set of basis, valid for deep lattices we can return to examine the consequence of a spatially varying lattice intensity for deep lattices. The local density approximation still applies, except we must now calculate the energy not in the $n = q = 0$ Bloch state but with respect to the Wannier state. Figure 5.4 shows the resultant energy variation across the lattice beam together with the parabolic approximation calculated using the *Bloch band energy*, equation (5.4). Although not exact, we see that the curvature from the band structure calculation continues to be good at deeper lattice depths. We may have expected this result following the observation that the mean energy in the Wannier state is
simply the average Bloch energy within the lowest band.
\[
\langle w_0 | H(V_L) | w_0 \rangle = \frac{1}{N_{lat}} \sum_q \epsilon_{n=0,q}(V_L)
\]
As the lattice depth increases, the band becomes flatter so that asymptotically we have
\[
\lim_{V_L \to \infty} \frac{1}{N_{lat}} \sum_q \epsilon_{n=0,q}(V_L) = \epsilon_{n=0,q=0}(V_L)
\]
hence we recover the same expression as in (5.4). We fit equation (5.4) to a sixth order polynomial plus a square root in \( V_L/E_R \), this function is then used during the experiment for adjusting the overall external confinement during the lattice ramp up.
### 5.2 Two Dimensional Optical Lattice
For the simple cubic lattice in two dimensions, which we use in our experiment, the lattice potential is
\[
U_{Lat}(x,y) = \frac{V_L^x}{2} (1 - \cos(2kx)) + \frac{V_L^y}{2} (1 - \cos(2ky))
\]
since the two orthogonal axes are decoupled, the dynamics therefore reduces to two independent one dimensional lattices. The first Brillouin zone of the lattice is a square in quasimomentum space and Figure 5.5 shows the energy of the lowest band in the two dimensional first Brillouin zone which is simply the sum of the Bloch energies in the two axes
\[ \epsilon_{n,(q_x,q_y)} = \epsilon_{n,qx} + \epsilon_{n,qy} \]
The two dimensional Bloch function and Wannier functions are simply products of the corresponding functions in each directions
\[ w_0(x,y) = w_0(x)w_0(y) \quad \psi_{n,q_x,q_y}(x,y) = \psi_{n,q_x}(x)\psi_{n,q_y}(y) \]
### 5.3 Bose Hubbard Model
Much of the driving force behind the recent surge of research into optical lattices stem from the pioneering work of D. Jaksch *et. al.* [12] when they showed that neutral bosons in optical lattice realises the Bose Hubbard Hamiltonian. In this section we show
how this is possible and give estimation of the Bose Hubbard parameters realisable with our system.
Let us first examine how the cold atoms in optical lattice system could be transformed into the Bose Hubbard Hamiltonian. In second quantisation, the Hamiltonian for a weakly interacting bose gas in a two dimensional lattice is
\[
\mathcal{H} = \int \hat{\Psi}^\dagger(\mathbf{r}) \left[ -\frac{\hbar^2}{2m} \nabla^2 + U_{Lat}(\mathbf{r}) + \frac{1}{2} m \omega^2 r^2 \right] \hat{\Psi}(\mathbf{r}) \ d^3\mathbf{r} + \frac{1}{2} \frac{4\pi \hbar^2 a}{m} \sqrt{\frac{m \omega_z}{2\pi \hbar}} \int \hat{\Psi}^\dagger(x) \hat{\Psi}^\dagger(x) \hat{\Psi}(x) \hat{\Psi}(x) \ d^3\mathbf{r}
\]
(5.5)
where the parabolic confinement on top of the lattice potential in our experiment arises from the combined effect of an auxiliary red detuned dipole trap and the blue detuned lattice beams.
![Graphs showing onsite (left) and nearest neighbour (right) interaction energy for various lattice depth.]
Figure 5.6: Comparison of onsite (left) and nearest neighbour (right) interaction energy for various lattice depth showing that we are justified in ignoring the next nearest neighbour contribution. Parameters calculated for a two dimensional simple cubic lattice with 7.1 kHz trap frequency in the frozen out direction.
Within the tight binding approximation and occupation of only the lowest band, we can expand the field operator as a sum over all the lattice sites using the Wannier
Figure 5.7: Comparison of nearest neighbour tuneling and next nearest neighbour tunelling for various lattice depth. The nearest neighbour tuneling dominates. Parameters calculated for a simple cubic lattice with 7.1 kHz trap frequency in the frozen out direction.
functions as the basis
$$\hat{\Psi}(x) = \sum_i w_0(r - r_i) \hat{b}_i$$ \hspace{1cm} (5.6)
where $\hat{b}_i$ is the annihilation operator for the lattice site $i$ and $w_0(r - r_i)$ is the Wannier function characterising the wavefunction of an atom localised at lattice site $i$. Substituting (5.6) into (5.5) we obtain the many body Hamiltonian as
$$\hat{H} = -\sum_{i,j} J_{ij} \hat{b}_i^\dagger \hat{b}_j + \frac{1}{2} \sum_{i,j,k,l} U_{ijkl} \hat{b}_i^\dagger \hat{b}_j^\dagger \hat{b}_k \hat{b}_l + \sum_i \epsilon_i \hat{b}_i^\dagger \hat{b}_i - \mu \sum_i \hat{b}_i^\dagger \hat{b}_i$$ \hspace{1cm} (5.7)
the chemical potential $\mu$ occurs in the grand canonical ensemble to ensure normalisation to the correct total atom number, and $\epsilon_i$ is the energy offset at lattice site $i$ due to an external parabolic confinement.
The two Bose Hubbard parameters can be calculated from the Wannier function as
$$J_{ij} = -\int w_0^*(r - r_i) \left( -\frac{\hbar^2 \nabla^2}{2m} + U_{Lat}(r) \right) w_0(r - r_j) d^3r$$ \hspace{1cm} (5.8)
which characterise the kinetic energy term inducing hopping from lattice sites i to lattice site j. And the interaction term that characterise the repulsion between atoms close to each
other
\[ U_{ijkl} = \frac{4\pi\hbar^2a}{m} \sqrt{\frac{m\omega_z}{2\pi\hbar}} \int w_0^*(\mathbf{r} - \mathbf{r}_i) w_0^*(\mathbf{r} - \mathbf{r}_j) w_0(\mathbf{r} - \mathbf{r}_k) w_0(\mathbf{r} - \mathbf{r}_l) d^3\mathbf{r} \tag{5.9} \]
In accordance with the tight binding approximation, we may keep only the dominant nearest neighbour hopping terms in (5.8) corresponding to \( i \) and \( j \) being nearest neighbours, and the onsite interaction term in (5.9) corresponding to \( i = j = k = l \). Figures 5.6 and 5.7 shows that our approximation is well justified since the next order terms are indeed much smaller. This then leads to a simplified Bose Hubbard Hamiltonian [13]
\[ \hat{H}_{BH} = -J \sum_{\langle i,j \rangle} \hat{b}_i^\dagger \hat{b}_j + \frac{U}{2} \sum_i \hat{b}_i^\dagger \hat{b}_i^\dagger \hat{b}_i \hat{b}_i + \sum_i \epsilon_i \hat{b}_i^\dagger \hat{b}_i - \mu \sum_i \hat{b}_i^\dagger \hat{b}_i \tag{5.10} \]
with
\[ J = J_{10} = - \int w_0^*(\mathbf{r} - \mathbf{r}_i) \left( -\frac{\hbar^2\nabla^2}{2m} + U_{Lat}(\mathbf{r}) \right) w_0(\mathbf{r} - \mathbf{r}_j) d^3\mathbf{r} \]
\[ U = U_{0000} = \frac{4\pi\hbar^2a}{m} \sqrt{\frac{m\omega_z}{2\pi\hbar}} \int |\omega_0(\mathbf{r})|^4 d^3\mathbf{r} \tag{5.11} \]
The ground state of the many body Hamiltonian at a fixed \( \mu \) is determined by the relative magnitude of \( U \) and \( J \). Their ratio is shown in Figure 5.8 together with the value that marks the quantum phase transition into the \( n = 1 \) mott insulator state.
It is useful here to obtain some approximation expressions for $U$ and $J$ that captures their qualitative dependence on the lattice depth within the tight binding approximation. The probability for an atom localized at site 0 to tunnel to the adjacent lattice site a distance $a_L$ away could be calculated using the WKB approximation for transmission through a deep barrier
$$J = e^{-2\sqrt{\frac{2m}{\hbar^2} \int_0^{a_L} \sqrt{U_{Lat}(x') - E} dx'}} \approx e^{-2\sqrt{\frac{2m}{\hbar^2} \int_0^{a_L} V_L \sin(\frac{\pi x'}{a_L}) dx'}} = e^{-4\sqrt{\frac{V_L}{E_R}}}$$
A more precise calculation as shown in [25], gives that
$$\frac{J}{E_R} \approx \sqrt{\frac{8}{\pi}} \left(\frac{V_L}{E_R}\right)^{3/4} e^{-2\sqrt{\frac{V_L}{E_R}}}$$
The approximate behaviour of $U$ can be captured by noting that the Wannier function within a lattice site is well approximated by the lowest energy harmonic oscillator state within each well. Substituting this for the Wannier function in (5.9) gives
$$\frac{U}{E_R} \approx 4a \sqrt{\frac{m\omega_z}{2\pi\hbar}} \sqrt{\frac{V_L}{E_R}}$$ \hspace{1cm} (5.12)
so we see that for deep lattices, the tunneling decreases exponentially with the lattice depth while the interaction increases only polynomially.
### 5.4 Superfluid to Mott Insulator Transition
It was shown in [13] that the Bose Hubbard Hamiltonian undergoes a zero temperature phase transition when the ratio of $U/J$ exceeds a critical value \(^1\). We can see this might be the case heuristically, by considering the two extremal cases for a homogeneous system (\(e_i = 0\) in equation (5.9)). In the limit of $J \ll U$, the eigenstates of (5.9) tends to integer number of atoms $n_0 = [\mu/U]$ on each lattice site with no phase correlations between
---
\(^1\)This transition also occurs at finite temperatures up to 0.2 U [29]
the lattice sites (since there is very little hopping between them). As $U$ is the dominant energy scale in this regime, there are expensive energy costs to having more than $n_0$ atoms per site which discourages fluctuations in site occupation. This state is usually referred to as the Mott insulator state and is characterised by the features of reduced atom number fluctuation on lattice sites, absence of phase correlation between lattice site, and zero compressibility. In the opposite extreme, when $U \ll J$, tunneling is prevalent throughout the entire lattice and every site maintains a fixed phase relation relative to the other lattice sites. This state is termed the superfluid and is characterised by the existence of long range phase coherence across the lattice.
The phase diagram of (5.9) for a homogeneous system can be calculated in the mean field approximation [14]. The result shows lobe like regions (Figure 5.9) in phase space where the ground state of the system is a Mott insulator with integer number of atoms per lattice sites. For a square lattice in two dimensions, the mean field prediction gives transition from superfluid to Mott insulator of one atom per site as occurring first at $U/J = 23.8$ which is different from the actual transition at $U/J = 16$ confirmed by recent experiments [17, 16, 15] and by Monte Carlo simulations [21].
### 5.5 Inhomogeneous System - Mott Insulator Shells
In the presence of an external harmonic confinement, one can have a co-existence of superfluid and mott insulator states. We consider the experimentally relevant case when the external confinement is slowly varying such that the local density approximation is applicable.
In the superfluid phase, $zJ \ll U$, we expect the wavefunction of each atom to be delocalized over the whole cloud (just as in the case of a Bose Einstein Condensate)
Figure 5.9: Phase diagram of the Bose Hubbard hamiltonian for a two dimensional homogeneous system simple cubic lattice calculated using mean field. The lobe like regions is where the system ground state is a mott insulator. Here we attempt to account for the inadequacy of the mean field theory by adjusting the number of nearest neighbours parameter to match the superfluid to $n = 1$ Mott insulator transition point to the value determined from experiments. The resultant phase diagram match closely with Monte Carlo simulation in location of the lobe tips in parameter space but is unable to capture the asymmetry between the upper and lower branch of the lobes. In an inhomogeneous system, as in the presence of an external harmonic trap the local chemical potential sweep through various values as shown by the vertical arrow in the phase diagram which leads to the occurrence of mott insulator shells.
so that the overall density profile should resemble that of a harmonically confined BEC with modification to account for the increase in interaction strength due to the presence of the lattice. We apply the mean field approach here and replace the operators in (5.10) with complex numbers $\hat{b}_i \rightarrow \psi_i$ such that the occupation of site $i$ is given by $n_i = |\psi_i|^2$. Substituting for $\epsilon_i = 1/2m\omega_{tot}^2r_i^2$ as for a harmonic potential, we obtain the following equation for the energy of the system
$$\langle \hat{H}_{BH} \rangle = -J \sum_{<i,j>} \psi_i^* \psi_j + \frac{U}{2} \sum_i |\psi_i|^4 + \frac{1}{2}m\omega_{tot}^2 \sum_i r_i^2 |\psi_i|^2 + \mu \sum_i |\psi_i|^2$$ \hspace{1cm} (5.13)
in the limit of a large cloud, we can apply the Thomas Fermi approximation and neglect the kinetic energy term proportional to $J$. After minimizing with respect to $\psi_i$ we obtain its equation of motion
$$U|\psi_i|^2\psi_i + \frac{1}{2}m\omega_{tot}r_i^2\psi_i = \mu\psi_i$$
so that the density profile is
$$n(\mathbf{r}_i) = \max\left[\frac{\mu - \frac{1}{2}m\omega_{tot}^2r_i^2}{U}, 0\right] = n_{peak}\max\left[1 - \frac{r_i^2}{R^2}, 0\right]$$
(5.14)
where the Thomas Fermi radii is
$$R^2 = \sqrt{\frac{4NUa_L^2}{\pi m\omega_{tot}^2}}$$
(5.15)
for a total of $N$ atoms in the cloud.
In the Mott insulator regime, the situation is more complicated. Since the local chemical potential ($\mu_i = \mu - \epsilon_i$) sweeps through various values in the phase diagram as shown in Figure 5.9. This leads to the presence of a Mott insulator shell structures. We can obtain some estimates for the size of the shell structure in the following ways: for $J = 0$, the transition from $n \rightarrow n-1$ Mott insulator state occurs at the radius $R_n$ such that $\mu - 1/2m\omega_{tot}^2R_n^2 = (n-1)U$. The constant chemical potential $\mu$ at the center of the trap is chosen in such a way that the total atom number is correct. For a circularly symmetric geometry, each successive Mott insulator region contributes an extra 1 particle per lattice site so that
$$N = \sum_{n=1}^{\lfloor \frac{U}{J} \rfloor} \frac{\pi R_n^2}{a_L^2} = \frac{2\pi U}{ma_L^2\omega_{tot}^2} \left(\frac{\mu}{U}\left\lfloor \frac{\mu}{U} \right\rfloor + \frac{1}{2}\left\lfloor \frac{\mu}{U} \right\rfloor \left(1 - \left\lfloor \frac{\mu}{U} \right\rfloor\right)\right)$$
(5.16)
For a given set of experimental parameters, we solve equation (5.16) for $\mu$ graphically.
At finite but small tunneling, we assume that the value of $\mu$ calculated for the zero tunneling case persists and use the mean field phase diagram of Figure 5.9 to solve for the local chemical potentials at the upper and lower boundary of each Mott lobe. As an improvement over just mean field calculation, we adjust the number of nearest neighbour
Figure 5.10: Theoretical region of Mott insulator shells calculated for initial confinement $\omega_{tot} = 17 Hz$ with final lattice depth of $22 E_R$ and 1800 atoms in total
parameter in the mean field model such that the tip of the lobes matches the lobe location from the more precise quantum Monte Carlo calculations, resulting in the effective number of nearest neighbours $z = 2.9$. Although this fails to capture the asymmetry between the upper and lower branches of each Mott lobe, the discrepancy appears small at low tunneling values. An example of the calculated Mott insulator regions is shown in Figure 5.10, calculated for realisable parameters in our experiment. Notice that the size of the superfluid region in between the Mott shells have a spatial extent on order of a few lattice spacing, which preclude them from direct observation except for experiments using high resolution imaging systems. The presence of Mott insulator shells has been verified in previous experiments using spin changing collisions [18] and atom number induced shift to atomic clock resonance frequency [19].
Chapter 6
Experiments With Optical Lattice
In this chapter, we describe our setup for generating the optical lattice potential which is unlike the method utilised by most other groups. Our technique affords us many possibilities for extending the current repertoire of optical lattice experiments, such as the study of dynamical and arbitrary lattice potentials.
We then describe how the atoms are loaded into the lattice in order to maintain the system in the ground state of the many body Hamiltonian. Our procedure allows us to see signatures of superfluid to mott insulator phase transition in the time of flight images of atoms released from the optical lattice. Finally we briefly outline some in-situ observation of mott insulator shells in our experiment which is only possible through the use of high resolution imaging system.
6.1 Optical Lattice Generation
Most optical lattice experiments to date generate the lattice potential by interfering independent pairs of counter-propagating beams. Because of the proximity of our atoms location to the hemispherical surface, generating the lattice pattern this way is rather
cumbersome. However the high numerical aperture microscope offers a convenient solution to overcome this problem: it is possible to image the lattice pattern from a transmission hologram or mask onto the atoms. We achieve this using the same set of optics as was used to generate the lattice that pins the atoms during imaging (see section 3.2).
The possibility of imaging the light potential is not new [58, 59, 60]. This method of lattice generation affords us several flexibilities not possible with interfering separate generated beams. Because the light pattern is imaged onto the atoms, one simply has to manufacture a new mask pattern in order to generate different potential landscapes which need not even be periodic\(^1\). Secondly because the lattice pattern is imaged onto the atoms, the lattice structure is independent of the wavelength or light used to illuminate the hologram. This allows us to use the same optics setup to generate lattice potentials near resonance and far detuned wavelength which is the crucial ingredient that allows our imaging procedure to work. Thirdly, we can easily generate time varying potentials by using computer controlled hologram patterns such as a spatial light modulator, which is useful for studying the dynamical behaviour within the Bose Hubbard model. Note that the high numerical aperture is necessary for generating lattices suitable for Bose Hubbard type experiments since it is crucial to have lattices with small lattice spacing in order to get a significant tunneling parameter (recall from section 5.3, tunneling decreases exponentially with the lattice spacing). The high numerical aperture allows us to image the pattern onto the atoms with a significant demagnification.
We use two custom manufactured static phase patterns, as shown in Figure 6.1 that is deposited onto a glass substrate via photolithography. A beam passing through the line pattern would generate the corresponding diffraction orders. The diffraction orders from the two orthogonal line patterns are then combined on a polarization beam splitter
\(^1\)Interfering beams necessarily generate periodic or semi periodic patterns
Figure 6.1: Schematics of setup to generate two dimensional optical lattice. Two oppositely polarized beams pass through orthogonally oriented transmission holograms. The holograms each contains lines with alternating phase shift of 0 and $\pi$ with periodicity of 40 $\mu$m. After passing through the hologram, each beam splits into several diffraction order in the Fourier plane, the $\pm 1$ orders are isolated and combined on a polarizing beam splitter cube. The four beams continue traveling down the imaging path and are combined by the microscope objective to interfere at the plane of the atoms to form a simple cubic lattice pattern.
cube. We then isolate the +1 and -1 orders which are combined to interfere at the location of the atoms using two stages of 4f imaging system with the microscope as the very last lens. Our choices of lenses, gives us a demagnification of 0.031, resulting in a lattice spacing of 620nm. Four slits are positioned just before the last Fourier plane outside of the objective. Their purposes are to remove high frequency components in the beams spatial structure, leaving behind a cleaner slowly varying Gaussian beam profile. The high frequency noise often arise from imperfection or dust particles in the beam path. Note the slits can only remove imperfections that occurs before it, so it is not able to correct for corrugations in the profile due to dusts in the objective itself.
The light source for the two dimensional lattice derive from a femtosecond laser centered at 757nm with full width half maximum of 5nm. The laser output was stretched out in time as described in Appendix B to avoid excessive spectral broadening when passing through a single mode fiber. The use of broadband light source allows us to mitigate the effects of stray reflection from glass surfaces situated close to the atom’s location in the experiment, which is important for creating known and smooth lattice potentials.
To roughly focus the lattice beams to the right location, we first focus the Ixon camera shown in Figure 6.2 to the plane of the atoms using the fluorescence signal of the atoms in the two dimensional trap. We then overlay the reflection of the lattice beam from the flat surface of the hemisphere to be at the same location on the camera as the location of the atoms. This gives us only a rough positioning of the lattice beams due to the non-negligible focal shift from 780 nm (atom’s fluorescence wavelength) to 757 nm (optical lattice wavelength). However we can get close enough for the lattice beam coverage to encompass the entire atomic cloud. A more precise alignment was then performed using the atoms by looking at the direction of atom outflow when the lattice deconfinement overcomes the red dipole confinement. The optimal position minimizes the gradient experienced by the
atoms, or the directional flow of the atom leakage.
After positioning the atoms in the correct location, we calibrate the lattice depth by pulsing the lattice beams onto the atoms for a variable period of time $t_{pulse}$ [22, 31]. For $t_{pulse}$ much shorter than the inverse recoil frequency of the atoms, the atoms will not have enough time to redistribute themselves in response to the light field, the BEC wavefunction thus evolve according to the stark shift provided by the lattice beams
\begin{align}
|\psi_{BEC}\rangle & \rightarrow |\psi_{BEC}\rangle e^{-\frac{i}{\hbar} \int_0^{t_{pulse}} \frac{V_L}{2} (1-\cos(2kx)) \, dx} \\
& = |\psi_{BEC}\rangle e^{-\frac{i V_L t_{pulse}}{2\hbar}} \sum_{n=-\infty}^{\infty} i^n J_n \left( \frac{V_L t_{pulse}}{2\hbar} \right) e^{in2kx}
\end{align}
we see that the BEC is split into plane waves separated by twice the lattice wavevector $2k$ and the population in each diffraction order $n$ is given by $|J_n(\frac{V_L t_{pulse}}{2\hbar})|^2$. We calibrate the lattice depth $V_L$ at a fixed lattice power by finding the corresponding pulse time that minimizes the zeroth order.
6.2 Adiabatic Loading Into Optical Lattice
We want to load the atoms into the optical lattice in such a way that the wavefunction of the condensate remains in the many body ground state at all times. In order to accomplish this, the time over which the lattice ramps up must be adiabatic with respect to two time scales.
The first adiabatic criteria, requires that the ramp be slow enough such that the atoms remain in the lowest energy $n=0$ band. From the general adiabatic condition, we therefore require [22, 23]
$$|\langle n,q| \frac{d}{dt} |0,q\rangle| \ll \frac{|E_{n,q} - E_{0,q}|}{\hbar} \quad (6.3)$$
We need only consider the contribution from the $n = 1$ band, since it is the one closest in energy to the $n = 0$ band which we wish to populate. Furthermore, only $q = 0$ need be considered as we work with condensates that are loaded into a stationary lattice from rest, so populating mostly the $q = 0$ state with a spread $\delta q \ll k$ in quasi-momentum given by the inverse of the condensate size prior to loading which is much less than the size of the Brillouin zone. For this special case, equation (6.3) simplifies to
$$|\langle 1,0| \frac{d}{dt} |0,0\rangle| = \frac{\dot{V}_L}{2} \frac{\langle 1,0| \cos(2kx)|0,0\rangle}{E_{1,0} - E_{0,0}} \ll \frac{|E_{1,0} - E_{0,0}|}{\hbar} \quad (6.4)$$
Fortunately $|E_{1,0} - E_{0,0}|$ remains nonzero even at low lattice depth and is bounded below by $4E_R$ while $\langle 1,0| \cos(2kx)|0,0\rangle$ is bounded above by $1/\sqrt{2}$. We can therefore simplify (6.4) to
$$\frac{\dot{V}_L}{E_R} \ll \frac{32\sqrt{2}E_R}{\hbar} \quad (6.5)$$
Equation (6.5) implies that the characteristic time scale for lattice ramp to be adiabatic with respect to band structure is on order of $1/E_R$ which for our lattice structure, requires the ramp time to be longer than 675 $\mu$s.
The second adiabatic criteria requires the condensate to stay in the many body Hamiltonian’s ground state which demands a much longer time scale [24]. For atoms in optical lattice, there are three relevant time scales to consider: the energy associated with the “external confinement” of frequency $\omega_{tot}$ which in our case arise from a combination of an auxiliary red detuned (see section 4.5) dipole beam plus an overall deconfinement from the blue detuned lattice beams, the onsite repulsive energy $U$ and the tunneling time in the lattice $J$. The effects of changing $U$ and $\omega_{tot}$ during the lattice ramp up is to modify the equilibrium Thomas Fermi size of the condensate which necessitate atom redistribution during the ramp in order to remain in the many body ground state. In order to counteract this effect, we compute numerically the increase in $U$ and lattice deconfinement as a result of the increase in lattice depth using the expression (5.9) and (5.4) from the tight binding approximation. We then increase the red dipole frequency during the ramp in such a way that $U/\omega_{tot}^2$ remains constant throughout the ramp. From section 5.4, this then ensures that the Thomas Fermi radii for the condensate in the superfluid regime remains constant during the lattice ramp up. We test this by imaging the condensate afterwards with the lattice ramped slowly in this way to various superfluid lattice depths.
The longest time scale requires adiabaticity with respect to the tunneling time in the lattice. The general adiabatic theorem suggests the criteria [24]
$$\max \left[ \frac{\hbar |\dot{J}|}{J^2} \right] \ll 1$$
(6.6)
We can roughly estimate the time scale required by using the analytical estimate of [25]
$$\frac{J}{E_R} \approx \sqrt{\frac{8}{\pi}} \left( \frac{V_L}{E_R} \right)^{3/4} e^{-2\sqrt{\frac{V_L}{E_R}}}$$
(6.7)
and our lattice ramp form
$$V_L(t) = V_L^F 10^{\alpha(t/\tau_{ramp}-1)} \quad \alpha = 6.26$$
with $V_L^F$ the final lattice depth, the condition (6.6) then requires that
$$\tau_{ramp} \gg \alpha \log(10) \sqrt{\frac{V_L^F}{E_R}} \frac{\hbar}{J}$$ \hspace{1cm} (6.8)
To get an estimate of the time required for the ramp, we use the tunneling and lattice depth at the superfluid to mott insulator transition point since redistribution of atoms to the new equilibrium size will be strongly suppressed in the mott insulator regime. With a lattice depth of $V_L^F = 12E_R$ the time required is $\tau_{ramp} \gg 536$ ms.
The adiabatic criterium place a lower bound on the time for lattice ramp, an upper bound also exists since too slow ramp leads to heating of the atoms during the loading process. It is unclear whether the source of the heating is due to spontaneous emission from the atoms (there are some evidence that this is the cause for a red detuned lattice, see [24]) since in a blue detuned lattice, the atoms experience little of the light’s intensity. There may also be technical source to the heating due to beam position fluctuation or intensity fluctuation.
### 6.3 Superfluid to Mott Insulator Transition
To recap, the experimental sequence consists of the following steps, illustrated in Figure 6.3
1. MOT loading, molasses cooling and transport of atoms from the MOT chamber to the science chamber. After end of transport, 24s of RF evaporation takes place ending in the production of a Bose Einstein Condensate of atoms in a cigar shaped magnetic trap.
2. The center of the magnetic trap is shifted upwards towards the hemisphere while the intensity of the 10 $\mu$m spacing lattice is increased. At the end of this step most of the atoms are loaded into the 10 $\mu$m lattice.
| | Load big lattice | Load dimple | Magnetic field off, gravity compensation on | Load axial lattice | Load red dipole | Load optical lattice | Experiment | Pinning | Molasses and imaging |
|------------------|------------------|-------------|---------------------------------------------|--------------------|-----------------|--------------------|------------|--------|---------------------|
| Axial Lattice | | | | | | | | | |
| Big Lattice | | | | | | | | | |
| Magnetic Fields | | | | | | | | | |
| Dimple | | | | | | | | | |
| Red Dipole | | | | | | | | | |
| Conservative Lattice | | | | | | | | | |
| Pinning Lattice | | | | | | | | | |
| Molasses | | | | | | | | | |
Figure 6.3: Sequence of events for optical lattice experiment.
3. The small volume red detuned dimple beam turns on after which all magnetic fields are switched off completely for 100 ms to allow the atoms not held in the dimple to escape the region. After the wait time, magnetic fields which null the gradient due to gravity are turned on.\footnote{The plane of the atoms is defined by the hemisphere whose center axis is tilted by about 0.6 degrees from the direction of gravity}
4. The atoms are transferred from the $10 \mu m$ lattice to the $1.5 \mu m$ vertical lattice (axial lattice).
5. The atoms are released from the small dimple into the large volume red dipole trap. At this point we have a two dimensional condensate of about 2000 atoms with vertical trap frequency of 7.1 kHz provided by the axial lattice and transverse confinement of 20 Hz provided by the red dipole.
6. The two dimensional optical lattice ramps on, at the same time the red dipole power is also increased to keep the Thomas Fermi radius of the trap constant during the ramp. Then experiment is performed.
7. When imaging is ready to be performed, we turn on the near resonant pinning lattice, molasses beams, and magnetic fields nulling current. After waiting 50 ms for the atoms to equilibrate in this configuration, the camera is exposed for 1s to collect fluorescence from the atoms.
Our first experiment is to look for evidence of superfluid to mott insulator transition. One of the most commonly used signatures is via loss of coherence as one crosses the transition point [26, 28, 27]. After a long time of flight (neglecting the effects of interaction during expansion), the atomic density distribution $n_{TOF}(r)$ is related to the in-situ
wavefunction via
\[
n_{TOF}(\mathbf{r}) \propto \left| \int \psi(\mathbf{r}') e^{i \frac{m\mathbf{r}}{\hbar t} \cdot \mathbf{r}'} d^2 \mathbf{r}' \right|^2 \\
= \sum_k \sum_j \langle \hat{b}_k^\dagger \hat{b}_j \rangle e^{i \frac{m\mathbf{r}}{\hbar t} \cdot (\mathbf{r}_j - \mathbf{r}_k)} \left| \tilde{w}\left( \frac{m\mathbf{r}}{\hbar t} \right) \right|^2
\]
(6.9)
The qualitative behaviours in the two regimes is encapsulated in the sum
\[
S = \sum_k \sum_j \langle \hat{b}_k^\dagger \hat{b}_j \rangle e^{i \frac{m\mathbf{r}}{\hbar t} \cdot (\mathbf{r}_j - \mathbf{r}_k)}
\]
(6.10)
in the case of the superfluid, the two site coherence is simply a constant \( \langle \hat{b}_k^\dagger \hat{b}_j \rangle = \alpha \) so that \( S \) exhibits peaks at positions corresponding to the reciprocal lattice vector \( \frac{m\mathbf{r}}{\hbar t} \cdot a_L = 2\pi \) owing to the periodicity of the lattice structure. In the case of the Mott insulator, the correlation tends to a delta function \( \langle \hat{b}_k^\dagger \hat{b}_j \rangle = n_k \delta_{kj} \) so that \( S \) reduces to a constant and \( n_{TOF}(\mathbf{r}) \) is structureless except for the broad envelope corresponding to the Fourier transform of the Wannier function.
In figure 6.4, we show the time of flight images of atoms released from the optical lattice at various lattice depths. The secondary peaks corresponding to the reciprocal lattice vectors could clearly be seen at lattice depths below \( 12 - 14E_R \) which closely match the theoretical transition point of \( 12E_R \). This demonstrates that the different lattice sites maintain phase coherence with each other. Beyond \( 14E_R \), the system enters a Mott insulator state and only an unstructured broad envelope corresponding to the atoms’ wavefunction (Wannier function) is seen, demonstrating the loss of global phase coherence as we cross the transition.
### 6.4 Outlook - Future Experiments
Further demonstration of the superfluid to mott insulator transition could be attained by looking at the change in atom number statistics as the transition point is crossed.
Figure 6.4: Fluorescence images of atoms released from the lattice. The lattice is ramped up exponentially over 400ms to the final depth as labeled above each picture, and held in lattice for 20 ms before releasing the horizontal confinement allowing the atoms to expand in the plane for 9ms prior to imaging. The right peak in the superfluid images has lower signal owing to the weaker molasses beam intensity in that region. The superfluid to mott insulator transition point occurs at $12E_R$ lattice depth.
As mentioned in section 5.4, the superfluid state is characterised by a coherent state number statistics at each site, hence we expect a poissonian distribution for the site occupation
$$Pr(n_i = s) = e^{-\bar{n}_i} \frac{(\bar{n}_i)^s}{s!}$$
where $\bar{n}_i$ is the mean occupation of site $i$. As our detection method gives only parity of atom number, we expect to measure a mean atom number of $e^{-\bar{n}_i} \sinh(\bar{n}_i) < 0.5$ per lattice site in the superfluid state. In the mott insulator state, the suppression of tunneling lead to a Fock state of atom number per lattice site, so that our measured mean atom number is
$$if \quad \bar{n}_i \in odd \quad \rightarrow \quad 1$$
$$if \quad \bar{n}_i \in even \quad \rightarrow \quad 0$$
Hence a measured occupation per site greater than 0.5 would indicate a non poissonian atom number distribution, implying the existence of a Mott insulator state. Figure 6.5 shows the average atom number per site over 100 images taken deep in the Mott insulator regime. Notice the annulus like region of high occupation interspersed by rings of low occupation. The spatial distribution resembles structures as one would expect from Mott insulator shells. We believe the non circularly symmetric structure arise primarily due to corrugations in the lattice beam profile after passing through the dusty objective.
Figure 6.5: Average site occupation over 100 experiment runs. The red regions with high occupation is indicative of non-poissonian number statistics pointing to the existence of Mott insulator state.
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Appendix A
Intensity Stabilisation
For all the dipole traps and lattice beams used in the experiment, it is important to actively stabilise the intensity, as residue fluctuations leads to time varying modulations and can lead to heating of atoms. For the red dimple and red dipole beams it is especially important as we use the light power to control the atom number and temperature in the 2D trap.
In order to lock the laser powers over the range of a few orders of magnitudes, we extract a small portion of the beam after the fiber output on the experiment table and direct it to a logarithmic photodiode. For this, we use a silicon photodiode (BPX65) connected to a logarithmic amplifier (Analog Devices AD8304) with modifications to give a slope of 500 mV per decade. That is the photodiode output voltage is $V_{LOG} = 0.5 \log_{10} P_{in}/P_0$ where $P_0 = 1.8 \times 10^{-7}$ mW. The use of a logarithmic photodiode allows us to lock the intensity over a range of five orders of magnitude in laser power. The output voltage of the photodiode is then fed into the input signal port of a specially designed PI loop, whose output actuates an exponential amplifier (Analog Devices ADL 5330) that controls the RF power driving an acousto-optic modulator (AOM). The first order of the AOM is used for
the experiment. The schematic of the setup is depicted in Figure A.1.
The main protagonist of the stabilisation setup is the specially designed PI circuitry whose schematic is illustrated in Figure A.2. The circuit consists of four major blocks where the output of each block is given as the input to the next block. In the order in which they are implemented, they are P, I, rectifier which prevents the output voltage from being negative and upper limit restriction that ensures the out voltage is less than the 7V limit of the exponential amplifier. The appropriate P,I values is determined by the system’s response function which was measured separately.
We find that the servo loop is able to lock to control signals all the way up to 5 kHz in modulation. In locking to a square pulse of frequency 1 kHz, the servoed intensity
Figure A.2: Schematic of circuitry used to stabilise intensity of laser beam to computer specified set point.
has a rise time of 28 $\mu$s and fall time of 26 $\mu$s. A measurement of the residue noise on the servoed light using an independent photodiode shows the rms intensity noise is 0.04 % mostly above 10 kHz in frequency.
Appendix B
Pulsed Laser
Due to the large number of glass surfaces in our experiment close to the vicinity of the atoms, we are very susceptible to the intensity modulations due to interference with uncontrolled reflected beams. The way we have chose to overcome this problem is to use light of short coherence length of broadband light. The idea is that any reflection that leaves from the atoms and return, provided it has traveled a distance longer than the coherence length of the laser, will no longer bear sufficient phase correlation relative to the light at the atoms to be able to interfere with it.
All the dipole traps in our experiment are made using broadband light. One of our sources of broadband light for the experiment is a titanium sapphire femto/pico second pulsed laser (Coherent Mira pumped by a Verdi). The ultra-fast laser technology is an active field of research, its uses includes but are not limited to biomedical imaging, micromachining, femtochemistry and frequency combs that are used to spectroscopy and clock. There are several different methods of generating trains of short pulses but all of them relies on the combination of two elements:
- A medium in the laser cavity that promotes the gain of pulsed output. Usually this
utilises the high peak energy feature of the pulses or a frequency synchronisation to the repetition rate.
- Dispersion compensation within the cavity. This is essential since the different frequency components in the pulse must maintain a constant and well defined phase relative to each other for a pulse to remain the same shape during propagation. For most materials, this can be very difficult as dispersive effects upon reflection, refraction, interference or diffraction would lead to pulse broadening.
Our laser operates via a Kerr lensing effect. The large peak energy of the pulses causes the titanium sapphire crystal to act like a lens and leads to focusing of the beam. A slit is placed near the focus position so that only a focussed beam can pass. In this way, the formation of pulses is encouraged. Dispersion compensation is achieved via a pair of prisms which when placed in the right orientation relative to each other gives rise to anomalous dispersion to compensate for the normal dispersion due to all other optical elements in the laser cavity and hence maintain the pulse shape. We operate our laser in the femtosecond mode where the transform limited output has a time width of about $\tau_p = 150 \text{ fs}$ and a repetition rate of 75.4 MHz (determined by the physical length of the laser cavity). As with most Ti-Sapph lasers, the output intensity profile is of the form $I(t) = I_0 sech^2(1.76t/\tau_p)$.
Because the peak energy of the pulse is so high (about 90 kW) when focussed down to a small area, the large intensity can give rise to nonlinear effects in materials. Such is the case when we attempted to transport the output light via a single mode fiber (mode diameter 5 $\mu m$), the self phase modulation (i.e. dependence of refractive index on intensity) lead to the generation of many frequencies. As a result, the spectrum at the output of the fiber becomes very broad as shown in Figure B.1. In order to circumvent this problem, we
reduce the peak power of the pulses by stretching it out in time. Although this happens naturally due to dispersion when light travels through materials, the physical size required to stretch the pulse sufficiently is simply too large to be practical; we therefore utilize a technology commonly used in pulse compression.
Consider the arrangement shown in Figure B.2 [10]. The output from the laser is incident upon a grating of line spacing $d$ at angle $\gamma$ to the grating normal. The first order diffraction travels at an angle $\alpha(\lambda)$ to the normal and is dependent on the wavelength. Upon hitting the second grating, we see that red light has traveled a longer path than blue light. An identical second grating $G_2$ collimates the beam so that all frequencies are traveling parallel to each other. The roof prism reflects the beam back in the same direction but displaced vertically below so that in total the pulse traverses the gratings 4 times and exits the stretched with almost the same profile as initially but now the frequencies have a greater phase difference with respect to each other.
The amount of phase shift due to distance traveled after the first grating is a
Figure B.2: Schematics of pulse stretcher setup. A gratings G1 with 1800 lines per mm separates the difference frequency components spatially by causing them to travel at different angles. A second identical grating G2 that is positioned parallel to G1 causes the frequencies to be laterally displaced with respect to each other but traveling parallel. A roof prism retro-reflect the beam while displacing it vertically down. The beam then pass through the two gratings one more time to exit the stretched below the incident beam.
function of frequency $\omega$
$$\phi(\omega) = \frac{\omega}{c} \frac{L}{\cos \alpha(\omega)} \quad (B.1)$$
where $L$ is the distance between the gratings measured along their normals. The group delay dispersion (characterising the change in group velocity per frequency of light) is given by the curvature of B.1 evaluated at the center frequency $\omega_c$, $\phi''(\omega_c)$. The amount of pulse stretching after four passes is then
$$\tau = \frac{4 \Delta \omega \phi''(\omega_c)}{\omega_c} = 4 \frac{\lambda_c L \Delta \lambda}{cd^2 \cos^3 \alpha(\lambda_c)} \quad (B.2)$$
where $\Delta \lambda$ is the width of the incident pulse.
For our stretcher design, we calculate the final pulse width to be 94 ps. One can compare this to the pulse width of the same input after traveling 24m through synthetic fused silica, 15ps. We see that the stretched design using gratings is indeed far more efficient than using materials alone. As shown in Figure B.4, the output spectrum of the laser is
Figure B.3: Stretcher for pulsed laser. The red lines show the path of the laser beam in the stretcher. The return path of the beam is vertically displaced below the incident beam path. G1, G2 are the two gratings used (volume phase hologram gratings from Wasatch Photonics). RP is the roof prism for retro reflecting the beam.
significantly improved.
Figure B.4: Spectrum of pulsed laser light at the experiment table
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• Faults and errors
• Backups success / failure
Introduction to Auditing
• What to log (Source: How to Do Application Logging Right Anton Chuvakin & Gunnar Peterson)
– Timestamp + TZ (when)
– System, application or component (where)
– User (who)
– Action (what)
– Status (result)
– Priority (severity, importance, rank, level, etc)
– Reason
• Logging Context
– Source IP (DNS name, other name, etc)
– Logging system (process, application, component, sub-component)
– Affected system (process, application, component, sub-component)
Designing For Failure
- Developer build applications to accomplish functional requirements - “Place Order”, “Set Price”, “Execute trade”
- Secure coding involves analyzing the software’s failure modes and then design and development for modules to handle these failures in accordance with security policy, for example secure exception handlers that filter sensitive data out of raw exception messages
Security Principles: Defensible Networks
| Principle | Software Security Example |
|------------------------------------------------|-------------------------------------------------------------------------------------------|
| Defensible Networks can be watched | Audit logging coverage is required for monitoring threats and control efficacy |
| Defensible Networks limit an intruder’s freedom| Audit logging differs from protection mechanisms, goal of audit logging Is facilitating response activities |
| Defensible Networks offer a minimum number of services | Audit logging must be placed in the key application and service chokepoints |
| Defensible networks can be kept current | Must understand the patching and version management of apps and services |
- Adapted from the “Tao of Network Security Monitoring” by Richard Bejtlich
Detection Lifecycle
- Collection: observed message exchanges and events
- Identification: first level categorization of audit log events
- Validation: categorizing audit log events and gathering additional context
- Escalation: forwarding audit log event and context for further handling
Adapted from the “Tao of Network Security Monitoring” by Richard Bejtlich
Response Lifecycle
- Adapted from the “Incident Response” by van Wyk and Forno
| Consumer | Developer Logs | Audit Logs |
|----------------|-------------------------|--------------------------|
| Usage | As needed | Always on |
| Content | Exceptions, faults, errors | Security incidents, attacks |
| Scope | Not known | Pre-defined |
| Time Scope | Useful for limited time | Useful for years |
And now a message from the Payment Card Industry
- Regularly Monitor and Test Networks
- Requirement 10: Track and monitor all access to network resources and cardholder data.
- Logging mechanisms and the ability to track user activities are critical in preventing, detecting, or minimizing the impact of a data compromise. The presence of logs in all environments allows thorough tracking, alerting, and analysis when something does go wrong. Determining the cause of a compromise is very difficult without system activity logs.
- 10.1 Establish a process for linking all access to system components (especially access done with administrative privileges such as root) to each individual user.
And now a message from the Payment Card Industry
• 10.2 Implement automated audit trails for all system components to reconstruct the following events:
– 10.2.1 All individual accesses to cardholder data
– 10.2.2 All actions taken by any individual with root or administrative privileges
– 10.2.3 Access to all audit trails
– 10.2.4 Invalid logical access attempts
– 10.2.5 Use of identification and authentication mechanisms
– 10.2.6 Initialization of the audit logs
– 10.2.7 Creation and deletion of system-level objects
And now a message from the Payment Card Industry
• 10.3 Record at least the following audit trail entries for all system components for each event:
– 10.3.1 User identification
– 10.3.2 Type of event
– 10.3.3 Date and time
– 10.3.4 Success or failure indication
– 10.3.5 Verify success or failure indication is included in log entries.
– 10.3.5 Origination of event
– 10.3.6 Identity or name of affected data, system component, or resource
And now a message from the Payment Card Industry
• 10.4 Synchronize all critical system clocks and times.
– 10.4.a Verify that a known, stable version of NTP (Network Time Protocol) or similar technology, kept current per PCI DSS Requirements 6.1 and 6.2, is used for time synchronization.
– 10.4.b Verify that internal servers are not all receiving time signals from external sources. [Two or more central time servers within the organization receive external time signals [directly from a special radio, GPS satellites, or other external sources based on International Atomic Time and UTC (formerly GMT)], peer with each other to keep accurate time, and share the time with other internal servers.]
– 10.4.c Verify that specific external hosts are designated from which the timeservers will accept NTP time updates (to prevent a malicious individual from changing the clock). Optionally, those updates can be encrypted with a symmetric key, and access control lists can be created that specify the IP addresses of client machines that will be provided with the NTP service (to prevent unauthorized use of internal time servers).
See www.ntp.org for more information.
• 10.5 Secure audit trails so they cannot be altered.
– 10.5.1 Limit viewing of audit trails to those with a job-related need.
– 10.5.2 Protect audit trail files from unauthorized modifications.
– 10.5.3 Promptly back up audit trail files to a centralized log server or media that is difficult to alter.
– 10.5.4 Write logs for external-facing technologies onto a log server on the internal LAN.
– 10.5.5 Use file-integrity monitoring or change-detection software on logs to ensure that existing log data cannot be changed without generating alerts (although new data being added should not cause an alert).
And now a message from the Payment Card Industry
- 10.6 Review logs for all system components at least daily. Log reviews must include those servers that perform security functions like intrusion-detection system (IDS) and authentication, authorization, and accounting protocol (AAA) servers (for example, RADIUS). Note: Log harvesting, parsing, and alerting tools may be used to meet compliance with Requirement 10.6.
- 10.7 Retain audit trail history for at least one year, with a minimum of three months immediately available for analysis (for example, online, archived, or restorable from back-up).
- More information at https://www.pcisecuritystandards.org
Audit Logging Domain Model
- Event Observer
- Collects and records information based on policy
- Amount and type of information collected based on policy
- Collects sufficient information and context, example time and timezone based on policy and event types
- Output is directed based on configuration
- Often utilized at chokepoints
Log Analyzer
- Reads log data from log source
- Discriminates based on event types
- May pull in additional context
- May perform correlation
Audit Logging Domain Model
- **Originator**
- **Initiator**
- **Audit Log Event Observer**
- **Audit Record**
- **Audit Log Event Analyzer**
- **Audit Log**
- **Audit Log Event Observer**
- **Audit Record**
- **Target**
**Notifier:**
- Used to inform Log Analyst
- Facilitates response activities
**Auditor**
- Browse
---
Sanitizer:
- Logs often contain sensitive information, the log sanitizer filters or otherwise alters data
- Can use anonymous and pseudonymous data
- Anonymizer: deletes or alters data so the recipient or originator cannot be identified
- Pseudonymizer: deletes or alters data so that administrators can perform correlation such as for demographic purposes
Audit Logging Design Considerations
- Audit Log Event Record Format
- Publishing & Storing Audit Log data
- Protecting the Log Data repository
- Integrating the Audit Logger to your application
- Building an Audit Log Browser
- What Goes Wrong (and how to fix it)
Audit Log Records
- Sources of Log Entry information
- Making the data useful
- What Events to Log
- AAA (Authentication, Authorization, Access)
- Change
- “Badness”/ Threats
- Resource exhausted, capacity exceeded, etc
- Startups and shutdowns
- Securing the Audit Log events
XDAS Audit Log Record Format
- Header
- Originator
- Initiator
- Target
- Source
- Event-specific data
XDAS Audit Log Record Format
• Header
– Record Length
– XDAS Record Format Version
– Event Time Stamp
– Time Uncertainty Interval
– Time Uncertainty Indicator
– Time Source
– Time Zone
– Event Number (user-provided)
– Event Outcome (user-provided).
• Originator
– Originator Location Name
– Originator Location Address
– Originator Service Type
– Originator Authentication Authority (required)
– Originator Principal Name (optional)
– Originator Principal ID (required)
XDAS Audit Log Record Format
• Initiator
– Initiator Authentication Authority
– Initiator Domain-Specific Name (optional)
– Initiator Domain-Specific ID
• Target
– Target Location Name
– Target Location Address
– Target Service Type
– Target Authentication Authority
– Target Principal Name (optional)
– Target Principal ID
XDAS Audit Log Record Format
- Source
- Source Information String
- Event-specific data
- Event-Specific Data Information String
XDAS Event Types
- Account Management Events
- Create Account
- Delete Account
- Disable Account
- Enable Account
- Query Account
- Modify Account
XDAS Account Management Events
- Account Created
- Account Disabled
- Account Enabled
- Account Queried
- Account Modified
XDAS Event Types
- User Session Events
- Create Session
- Terminate Session
- Query Session
- Modify Session
XDAS Event Types
- Data Item or Resource Element Management Events
- Create Data Item
- Delete Data Item
- Query Data Item
- Modify Data Item
XDAS Event Types
- Service or Application Management Events
- Install Service
- Remove Service
- Query Service Config
- Modify Service Config
- Disable Service
- Enable Service
- Service or Application Utilization Events
- Invoke Service
- Terminate Service
- Query Process Context
- Modify Process Context
XDAS Event Types
- Peer Association Management Events
- Create Peer Association
- Terminate Peer Association
- Query Association Context
- Modify Association Context
- Receive Data via Association
- Send Data via Association
- Data Item or Resource Element Content Access Events
- Create Data Item Association
- Terminate Data Item Association
- Query Data Item Association
- Modify Data Item Association
- Query Data Item Contents
- Modify Data Item Contents
XDAS Event Types
- Exceptional Events
- Start System
- Shutdown System
- Resource Exhaustion
- Resource Corrupted
- Backup Data Store
- Recover Data Store
- Audit Service Management Events
- Audit Subsystem Config
- Audit Subsystem Diskspace Full
- Audit Subsystem Diskspace Corrupt
Publishing & Storing Audit Log data
- Logging Subsystem architecture
- Logging to database
- Logging to file system
- Building an Audit Logger API
Protecting the Log Data repository
- Tamper proof logs
- Authentication
- Through the looking glass - Logging access to the log data repository
- Encrypting Log Data
- Maintenance issues - key escrow
Building an Audit Log Browser
- Log browser design issues
- Log browser metadata
- Sorting audit log events
- Common report types
Sanitizer Placement
Audit Logging Subsystem → Log → Sanitizer → Browser
Audit Logging Subsystem → Sanitizer → Log → Browser
Analyst
Analyst
What Goes Wrong (and how to fix it)
- Sensitive Data in Logs
- Debug logging turned on in production
- Sensitive personal, financial or PII written to logs
- Logging System Unavailable
- Encoding Issues
- Handling Malicious data in logs
- Log Tampering Revisited
- Storage Issues
- Delayed Events
- Sequence Attacks
Audit Logging Checklist
| Concern | Originator | Initiator | Target |
|--------------------|------------|-----------|--------|
| Event Observer | | | |
| Event Publisher | | | |
| Auditable Events | | | |
| Audit Record Format| | | |
• References & Resources
– “Build Visibility In”, Richard Bejtlich, http://taasecurity.blogspot.com/2009/08/build-visibility-in.html
– App Sensor at OWASP ESAPI
– CEE (Arcsight/Mitre)
– XDAS (Open Group)
– “How to Do Application Logging Right” by Anton Chuvakin & Gunnar Peterson http://arctecgroup.net/pdf/howtoapplogging.pdf
• Email: firstname.lastname@example.org
|
THE COLLECTOR'S FEDERAL EDITION OF THE WORKS OF ALEXANDER HAMILTON IS LIMITED TO SIX HUNDRED SIGNED AND NUMBERED SETS OF WHICH THIS IS NUMBER____________.
G.P. Putnam's Sons
OLIVER WOLCOTT
Oliver Wolcott
The Works of Alexander Hamilton in Twelve Volumes
Federal Edition
"The sacred rights of mankind are not to be rummaged for among old parchments or musty records. They are written, as with a sunbeam, in the whole volume of human nature, by the hand of the Divinity itself, and can never be erased or obscured by mortal power."
[Hamilton—The Farmer Refuted, 1775, Act. 18.]
"We are laboring hard to establish in this country principles more and more national, and free from all foreign ingredients, so that we may be neither 'Greeks nor Trojans,' but truly Americans."—[Hamilton to King, 1794, El. 39.]
Volume X
G. P. Putnam's Sons
New York and London
The Knickerbocker Press
1904
\[ \{ E_{302} \} \]
\[ H_24 \]
\[ v.10 \]
The Knickerbocker Press, New York
## CONTENTS
**PRIVATE CORRESPONDENCE—Continued:**
| To | Page |
|----|------|
| Rufus King | 3 |
| Colonel Edward Carrington | 5 |
| Rufus King | 6 |
| Washington | 7 |
| Elias Boudinot | 14 |
| John Adams | 15 |
| William Seton | 16 |
| John Jay | 18 |
| — | 19 |
| Rufus King | 20 |
| — | 21 |
| Gen. C. C. Pinckney | 22 |
| John Steele | 25 |
| John Adams | 28 |
| John Jay | 29 |
| Richard Harrison | 30 |
| William Short | 31 |
| Rufus King | 33 |
| Washington | 36 |
| John Jay | 38 |
| Rufus King | 40 |
| Jefferson | 40 |
| — | 42 |
| Rufus King | 46 |
| Gen. Otho H. Williams | 48 |
| Washington | 48 |
| One of the Creditors of Col. Duer | 49 |
## Contents
**Private Correspondence—Continued:**
| To | Page |
|----|------|
| Rufus King | 50 |
| Mrs. General Greene | 54 |
| Jeremiah Wadsworth | 56 |
| Miss Angelica Hamilton | 57 |
| —— | 58 |
| Colonel Olney | 59 |
| United States Senate | 60 |
| Washington | 63 |
| Jay | 66 |
| Washington | 67 |
| Rufus King | 69 |
| George Matthews, Governor of Georgia | 71 |
| Oliver Wolcott | 76 |
| Rufus King | 77 |
| A Friend in Europe | 78 |
| Thomas Fitzsimmons | 78 |
| Washington | 79 |
| Willink, Van Staphorst, & Hubbard | 84 |
| Washington | 84 |
| Washington to Hamilton | 85 |
| Washington | 86 |
| Theodore Sedgwick | 89 |
| Rufus King | 89 |
| Oliver Wolcott | 92 |
| Rufus King | 98 |
| William Bradford | 98 |
| Rufus King | 101 |
| Oliver Wolcott | 102 |
| Rufus King | 103 |
| Oliver Wolcott | 104 |
| Robert Troup | 107 |
| Oliver Wolcott | 112 |
| Washington | 122 |
| Oliver Wolcott | 125 |
| Washington | 129 |
| Pickering | 133 |
## Contents
**PRIVATE CORRESPONDENCE—Continued:**
| To | PAGE |
|----|------|
| Rufus King | 135 |
| Washington | 137 |
| Timothy Pickering | 139 |
| Washington | 140 |
| Rufus King | 141 |
| Washington | 142 |
| Oliver Wolcott | 145 |
| Washington | 145 |
| William Smith | 147 |
| Rufus King | 149 |
| Washington | 151 |
| Rufus King | 156 |
| Washington | 157 |
| Rufus King | 157 |
| Oliver Wolcott | 161 |
| Rufus King | 163 |
| Timothy Pickering | 164 |
| Washington | 165 |
| Oliver Wolcott | 170 |
| James McHenry | 171 |
| Washington | 171 |
| Oliver Wolcott | 173 |
| Washington | 177 |
| Oliver Wolcott | 179 |
| Washington | 180 |
| Oliver Wolcott | 182 |
| Elias Boudinot | 182 |
| Oliver Wolcott | 183 |
| Timothy Pickering | 184 |
| Oliver Wolcott | 185 |
| Washington | 186 |
| Greenleaf | 187 |
| Oliver Wolcott | 187 |
| Washington | 189 |
| Phineas Bond | 191 |
| Timothy Pickering | 194 |
PRIVATE CORRESPONDENCE—Continued:
To ——— ........................................ 195
To Oliver Wolcott ............................... 196
To Washington .................................. 198
To Oliver Wolcott ............................... 201
To Washington .................................. 204
To Oliver Wolcott ............................... 209
To Rufus King .................................. 215
To Oliver Wolcott ............................... 218
To Theo. Foster, Esq. ........................... 220
To Oliver Wolcott ............................... 224
To William Smith ............................... 224
To ——— ........................................ 227
To Washington .................................. 229
To William Smith ............................... 230
To Theodore Sedgwick ........................... 231
To Washington .................................. 233
To Timothy Pickering ............................ 236
To Rufus King .................................. 237
To Oliver Wolcott ............................... 238
To Theodore Sedgwick ........................... 239
To James McHenry ............................... 241
To Timothy Pickering ............................ 243
To Oliver Wolcott ............................... 248
To Timothy Pickering ............................ 250
To Oliver Wolcott ............................... 251
To William Smith ............................... 253
To Rufus King .................................. 254
To William Smith ............................... 256
To Oliver Wolcott ............................... 256
To ——— Hamilton ............................... 257
To Timothy Pickering ............................ 261
To Rufus King .................................. 266
To Oliver Wolcott ............................... 267
To Timothy Pickering ............................ 272
To Washington .................................. 272
To Oliver Wolcott ............................... 273
## Contents
### Private Correspondence—Continued:
| To | Name | Page |
|----|-----------------------|------|
| | Rufus King | 274 |
| | Timothy Pickering | 275 |
| | Theodore Sedgwick | 278 |
| | Timothy Pickering | 279 |
| | John Jay | 281 |
| | James McHenry | 281 |
| | Rufus King | 283 |
| | Washington | 284 |
| | Oliver Wolcott | 288 |
| | Rufus King | 291 |
| | Timothy Pickering | 292 |
| | Oliver Wolcott | 295 |
| | Washington | 295 |
| | Timothy Pickering | 297 |
| | General Duportail | 298 |
| | Washington | 299 |
| | Oliver Wolcott | 304 |
| | General Dayton | 305 |
| | Benjamin Stoddert | 306 |
| | James McHenry | 307 |
| | Washington | 310 |
| | Oliver Wolcott | 312 |
| | Rufus King | 314 |
| | Francisco Miranda | 315 |
| | Oliver Wolcott | 316 |
| | James McHenry | 317 |
| | Theodore Sedgwick | 318 |
| | Timothy Pickering | 319 |
| | James McHenry | 320 |
| | Washington | 320 |
| | Rufus King | 321 |
| | Count Latour Dupin Gouvernet | 322 |
| | William Heth | 324 |
| | Harrison Gray Otis | 325 |
| | Theodore Sedgwick | 327 |
| | Jonathan Dayton | 329 |
PRIVATE CORRESPONDENCE—Continued:
To Lafayette . . . . . . . . 336
To Harrison Gray Otis . . . . 338
To Theodore Sedgwick . . . . 340
To Timothy Pickering . . . . 342
To Washington . . . . . . . 343
To Timothy Pickering . . . . 343
To Theodore Sedgwick . . . . 345
To Oliver Wolcott . . . . . . 346
To General Knox . . . . . . . 348
To James McHenry . . . . . . 349
To Oliver Wolcott . . . . . . 349
To Timothy Pickering . . . . 350
To Oliver Wolcott . . . . . . 351
To Washington . . . . . . . 352
To Colonel Taylor . . . . . . 353
To James McHenry . . . . . . 354
To Josiah O. Hoffman . . . . 354
To Washington . . . . . . . 356
To Tobias Lear . . . . . . . 356
To Rufus King . . . . . . . 357
To Mrs. Martha Washington . . 360
To Captain George Izard . . . 361
To Theodore Sedgwick . . . . 362
To Henry Lee . . . . . . . 363
To William Smith . . . . . . 364
To Oliver Wolcott . . . . . . 365
To Timothy Pickering . . . . 366
To Oliver Wolcott . . . . . . 368
To General Charles Cotesworth Pinckney, 368
To Timothy Pickering . . . . 369
To Theodore Sedgwick . . . . 371
To John Jay . . . . . . . 371
To Theodore Sedgwick . . . . 374
To Timothy Pickering . . . . 376
To Oliver Wolcott . . . . . . 377
To Charles Carroll . . . . . . 378
## Contents
**Private Correspondence—Continued:**
| To | Page |
|---------------------|------|
| Samuel Dexter | 380 |
| John Adams | 382 |
| Oliver Wolcott | 383 |
| James Ashton Bayard | 384 |
| James McHenry | 388 |
| Oliver Wolcott | 389 |
| John Adams | 390 |
| Timothy Pickering | 391 |
| Oliver Wolcott | 392 |
| Theodore Sedgwick | 397 |
| Gouverneur Morris | 398 |
| James A. Bayard | 402 |
| John Rutledge | 404 |
| James Ross | 405 |
| Gouverneur Morris | 407 |
| James A. Bayard | 412 |
| Gouverneur Morris | 419 |
| Theodore Sedgwick | 420 |
| Mrs. Hamilton | 421 |
| Dr. Benjamin Rush | 424 |
| Gouverneur Morris | 425 |
| General Charles Cotesworth Pinckney | 428 |
| Gouverneur Morris | 429 |
| James A. Bayard | 432 |
| Rufus King | 437 |
| Editor of the "Evening Post" | 441 |
| Oliver Wolcott | 442 |
| Gouverneur Morris | 443 |
| General Charles Cotesworth Pinckney | 444 |
| Timothy Pickering | 446 |
| Rufus King | 448 |
| Governor George Clinton | 450 |
| Talleyrand | 455 |
| — | 456 |
| Philip J. Schuyler | 457 |
PRIVATE CORRESPONDENCE—Continued:
To James A. Hamilton . . . . 457
To Theodore Sedgwick . . . . 457
To General John Sullivan . . . 458
To Washington . . . . . . 459
A. Burr to General Hamilton . . 460
Hamilton to Burr . . . . . . 461
Burr to Hamilton . . . . . . 463
Hamilton to Burr . . . . . . 464
W. P. Van Ness to Hamilton . . 464
Van Ness to Major Nathaniel Pendleton . 465
Pendleton to Van Ness . . . . 466
Van Ness to Pendleton . . . . 468
Remarks by Hamilton on the Letter of June 27, 1804 . . . . . . 470
Statement by Hamilton as to His Motives in Meeting Burr . . . . 471
To Mrs. Hamilton . . . . . . 475
Statement by Hamilton as to His Pecuniary Affairs . . . . . . 476
Rules for Mr. Philip Hamilton . . 480
Last Will and Testament of Alexander Hamilton . . . . . . 481
Epitaph . . . . . . . . . . 483
Index to Private Correspondence . . . . 485
General Index to Vols. I. to X., Inclusive . . . . 489
List of Letters and Other Papers Written by Hamilton and Printed in the John C. Hamilton Edition of 1850, which are Omitted in this Edition . . . . . . 509
PRIVATE CORRESPONDENCE—Continued
السؤال: ما هو أصل كلمة "الله"؟
الإجابة: أصل كلمة "الله" هو "الله"، وهو اسم الله تعالى.
PRIVATE CORRESPONDENCE
(Continued)
TO RUFUS KING
PHILADELPHIA, July 25, 1792.
My Dear Sir:
I received, lately, a letter from you, in which you expressed sentiments according with my own on the present complexion of your party politics, as, if a letter of mine to you did not miscarry, you will have seen. I wished that Clinton and his party should be placed in a just light before the people, and that a spirit of dissatisfaction, within proper bounds, should be kept alive; and this for national purposes, as well as from a detestation of their principles and conduct.
But a resort to first principles, in any shape, is decidedly against my judgment. I don't think the occasion will, in any sense, warrant it. It is not for the friends of good government to employ extraordinary expedients, which ought only to be resorted to in cases of great magnitude and urgent necessity. I reject as well the idea of a convention as of force.
To rejudge the decision of the canvassers by a convention, has to me too much the appearance of reversing the sentence of a court by a legislative decree. The canvassers had a final authority in all the forms of the Constitution and laws. A question
arose in the execution of their office, not absolutely free from difficulty which they have decided (I am persuaded wrongly), but within the power vested in them. I do not feel it right or expedient to attempt to reverse the decision by any means not known to the Constitution or laws.
The precedent may suit us to-day; but to-morrow we may see its abuse.
I am not even sure that it will suit us at all. I see already publications aiming at a revision of the Constitution, with a view to alterations which would spoil it. It would not be astonishing, if a convention should be called, if it should produce more than is intended. Such weapons are not to be played with. Even the friends of good government, in their present mood, may fancy alterations desirable which would be the reverse.
Men's minds are too much unsettled everywhere at the present juncture. Let us endeavor to settle them, and not to set them more afloat. I find that strong-minded men here view the matter in the same light with me, and that even Mr. Jay's character is likely in a degree, to suffer by the idea that he fans the flame a little more than is quite prudent. I wish this idea to be conveyed to him with proper management. I have thoughts of writing to him.
You see, out of the reach of the contagion, I am very cool and reasonable. If I were with you I should probably not escape the infection.
Francis Childs¹ is a very cunning fellow. In
¹ Editor of the New York Daily Advertiser, and proprietor, with Freneau, of the National Gazette.
Philadelphia, in the person of his proxy, Freneau, he is a good Anti-federalist and Clintonian; in New York, he is a good Federalist and Jayite. Beckley and Jefferson pay him for the first, and the Federal citizens of New York for the last. Observe a paragraph in his *Daily Advertiser* of the 18th instant. These things ought, in a proper way, to be brought into view.
TO COLONEL EDWARD CARRINGTON
PHILADELPHIA, July 25, 1792.
My Dear Sir:
I have received and thank you for your two letters of the 11th instant.
When I asked your opinion concerning the most fit position for a branch of the bank, I had no idea that the question would have been decided with so much precipitation as has happened. After some loose conversation with individual directors, in which the comparative merits of different places were slightly discussed, and left, as I understood, for further information, I was surprised with an intimation that the place had been decided upon, that Richmond was that place, and that some day in August had been assigned for choosing directors. A predominating motive, though an insufficient one, appears to have been that most of the bank-stock held in Virginia is held by persons in and about Richmond.
The reasons assigned in your letter in favor of another place are prodigiously weighty. Without
committing you, they shall be made known before the thing is finally finished. But I suspect it has gone too far.
Your observations concerning the temper of the people of your State are, as far as they go, consoling. Reflections according with them had arisen in my mind, though I could not be sure that I might not overrate circumstances. I shall wait with expectation for the further communication which you are so obliging as to promise.
What you remark concerning the non-execution of the excise law in North Carolina is very interesting. The probable effect of a continuance of the affair in the same posture is obvious. It has been the wish to win the object from time and reflection. But this can no longer be relied upon. The thing must be brought to an issue, and will be, as soon as the new arrangement respecting compensations is completed. If process should be violently resisted in the parts of North Carolina bordering on your State, how much could be hoped from the aid of the militia of your State?¹
TO RUFUS KING
July 27, 1792.
Desirous of examining accurately the question decided by the canvassers, I will thank you for a
¹ This letter is now first printed from the original in the possession of the same gentleman to whom I owe another letter already given on page 230 of Vol. IX., and whose name I am unfortunately prevented from giving, as I have explained in a note on page 231.
minute of all the authorities which were consulted by you when you gave your opinion.\(^1\)
I shall be glad to have them as soon as convenient.
TO WASHINGTON
PHILADELPHIA, July 30, 1792.
SIR:
I received the most sincere pleasure at finding in our late conversation, that there was some relaxation in the disposition you had before discovered to decline a re-election. Since your departure, I have left no opportunity of sounding the opinions of persons, whose opinions were worth knowing on these two points. 1st. The effect of your declining, upon the public affairs, and upon your own reputation. 2dly. The effect of your continuing, in reference to the declarations you have made of your disinclination to public life; and I can truly say that I have not found the least difference of sentiment on either point. The impression is uniform, that your declining would be to be deplored as the greatest evil that could befall the country at the present juncture,
\(^1\) This letter, and those which precede, refer to one of the earliest and worst of our election frauds. Burr wished to run against Clinton, but was baffled by Hamilton, the result being that Jay was nominated, and, after a most heated canvass, elected. His election depended, however, on the votes of three counties, and the Clintonian board of canvassers threw out, on the most technical and flimsy grounds, the votes of these counties and burned them. There was great wrath and excitement over this "count out," as it would now be called, and a convention and other violent measures were proposed, which Hamilton resisted. The Legislature, by a party vote, sustained the canvassers, and declared Clinton elected by a majority of 108 votes.
and as critically hazardous to your own reputation; that your continuance will be justified in the mind of every friend to his country, by the evident necessity for it. 'T is clear, says every one with whom I have conversed, that the affairs of the national government are not yet firmly established—that its enemies, generally speaking, are as inveterate as ever—that their enmity has been sharpened by its success, and by all the resentments which flow from disappointed predictions and mortified vanity—that a general and strenuous effort is making in every State to place the administration of it in the hands of its enemies, as if they were its safest guardians—that the period of the next House of Representatives is likely to prove the crisis of its permanent character—that if you continue in office nothing materially mischievous is to be apprehended, if you quit, much is to be dreaded—that the same motives which induced you to accept originally ought to decide you to continue till matters have assumed a more determined aspect—that indeed it would have been better, as it regards your own character, that you had never consented to come forward, than now to leave the business unfinished and in danger of being undone—that in the event of storms arising, there would be an imputation either of want of foresight or want of firmness—and, in fine, that on public and personal accounts, on patriotic and prudential considerations, the clear path to be pursued by you will be, again to obey the voice of your country, which, it is not doubted, will be as earnest and as unanimous as ever.
On this last point, I have some suspicion that it will be insinuated to you, and perhaps (God forgive me if I judge hardly) with design to place before you a motive for declining—that there is danger of a division among the electors, and of less unanimity in their suffrages than heretofore. My view of this matter is as follows:
While your first election was depending, I had no doubt that there would be characters among the electors, who, if they durst follow their inclinations, would have voted against you; but that in all probability they would be restrained by an apprehension of public resentment—that nevertheless it was possible a few straggling votes might be found in opposition, from some headstrong and fanatical individuals—that a circumstance of this kind would be in fact, and ought to be estimated by you, as of no importance, since there would be sufficient unanimity to witness the general confidence and attachment towards you.
My view of the future accords exactly with what was my view of the past. I believe the same motives will operate to produce the same result. The dread of public indignation will be likely to restrain the indisposed few. If they can calculate at all, they will naturally reflect that they could not give a severer blow to their cause than by giving a proof of their hostility to you. But if a solitary vote or two should appear wanting to perfect unanimity, of what moment can it be? Will not the fewness of the exceptions be a confirmation of the devotion of the community to a character which has so generally
united its suffrages after an administration of four years at the head of a new government, opposed in its first establishment by a large proportion of its citizens, and obliged to run counter to many prejudices in devising the arduous arrangements requisite to public credit and public order? Will not those who may be the authors of any such exceptions, manifest more their own perverseness and malevolence than any diminution of the affection and confidence of the nation? I am persuaded that both these questions ought to be answered in the affirmative, and that there is nothing to be looked for, on the score of diversity of sentiment, which ought to weigh for a moment.
I trust, sir, and I pray God, that you will determine to make a further sacrifice of your tranquillity and happiness to the public good. I trust that it need not continue above a year or two more; and I think that it will be more eligible to retire from office before the expiration of a term of election, than to decline a re-election.
The sentiments I have delivered upon this occasion, I can truly say, proceed exclusively from an anxious concern for the public welfare, and an affectionate personal attachment. These dispositions must continue to govern in every vicissitude one who has the honor to be, very truly and respectfully, etc.
August 3d. Since writing the foregoing, I am favored with your interesting letter of the 29th of July. An answer to the points raised is not difficult, and shall as soon as possible be forwarded.
TO WASHINGTON
Treasury Department, Aug. 10, 1792.
Sir:
I have been duly honored with your letters of the 1st and 5th instant. A copy of the letter is inclosed according to your desire.
You may depend upon it, sir, that nothing shall be wanting in this department to furnish all requisite supplies for the army with efficiency and economy, and to bring to exact account all persons concerned in them as far as shall consist with the powers of the department. Hitherto moneys have been furnished to the War Department as they have been called for, for procuring all those articles which have not been objects of direct contract with the Treasury. And I learn from the Secretary of War that everything is in great maturity.
Under the former system, provisions and clothing were the only articles which the Treasury had the charge of procuring; the receiving, issuing, and inspecting their quality belonged to the Department of War by usage.
The act of the last session, entitled "An act making alterations in the Treasury and War Departments," prescribes that all purchases and contracts for all supplies for the use of the Department of War, be made by or under the direction of the Treasury Department.
As much progress has been made in the preparation for the campaign, prior to the passing of this act, by the Secretary of War, I thought it best to continue the business under his immediate care for
some time—till in fact all the arrangements begun should be completed. It is now, however, determined that on the first of September the business of procuring all supplies will be begun under the immediate direction of the Treasury, upon estimates and requisitions from time to time furnished and made by the Department of War.
The arrangement which is contemplated for this purpose is the following:—Provisions and clothing will be provided as heretofore, by contracts made by the Secretary of the Treasury pursuant to previous advertisements. Articles in the quartermaster’s department will be to be procured by him, or his agents or deputies; for which purpose, advances of money will be made to him directly, to be accounted for to the Treasury by him. Ordnance stores, Indian goods, and all contingent supplies, will be procured by an agent who will be constituted for the purpose, with an allowance of eight hundred dollars a year in lieu of commission. Accounts for his purchases, in every case in which it can conveniently be done (which will comprehend the greatest number of cases), will be settled immediately with the Treasury, and the money paid directly to the individuals. In other cases, advances on account will be made to the agent, to be accounted for directly to the Treasury.
A leading object of this arrangement is to exempt the officers, both of the War and Treasury Departments, from the ill-natured suspicions which are incident to the actual handling and disbursements of public money. None of the inferior officers of
either department, except the Treasurer, will have any concern with it.
The supplies of every kind will be delivered to the order of the Department of War. The issuing of them and the accounting for the issues (except as to provisions, which are directly issued by the contractors to the troops, and which are proved to the Treasury upon vouchers prescribed for the purpose) appertain to the Department of War. The regulations which have been adopted for the purpose, will no doubt be eagerly reported to you by the Secretary of War, as well as those which have been concerted with the Treasury respecting the paying and accounting for the pay of the troops.
I beg leave to assure you, that, in the application of the general arrangement which you have adopted respecting the execution of the act concerning distilled spirits, the greatest attention will be paid to economy, as far as the precautions of the Treasury can insure it.
I presume it to have been your intention that the opinion of the Attorney-General should be taken as to the power of the President to appoint the supplementary officers contemplated during the recess of the Senate; which shall accordingly be done.
It affords me much satisfaction to observe that your mind has anticipated the decision to enforce the law, in case a refractory spirit should continue to render the ordinary and more desirable means ineffectual. My most deliberate reflections have led me to conclude, that the time for acting with decision is at hand; and it is with pleasure I can add, that an
increasing acquiescence is likely to render this course the less difficult in the cases in which an uncomplying temper may finally prevail.
I shall without delay execute your directions respecting the officers of the cutters.
TO ELIAS BOUDINOT
PHILADELPHIA, Aug. 13, 1792.
My Dear Sir:
Some skirmishing having begun in the Gazette of the United States respecting Mr. Freneau's receiving a salary from government, I mentioned in conversation with a friend all that I knew of the matter, and among other things, but without naming you, the information you had given me concerning Mr. Madison's negotiation with Freneau. Upon this he founded a very pointed attack upon Mr. Freneau and Mr. Jefferson, which I dare say you have seen, as also Mr. Freneau's affidavit denying all negotiation with "Thomas Jefferson, Esq., Secretary of State," etc., etc. The gentleman has since applied to me to obtain, if possible, an authentication of the fact of the negotiation.
If I recollect right, you told me that this, if necessary, could be done; and, if practicable, it is of real importance that it should be done. It will confound and put down a man who is continually machinating against the public happiness.
You will oblige me in the most particular manner by obtaining and forwarding to me without delay the particulars of all the steps taken by Mr. Madison
—the when and where—and with liberty to use the name of the informant. His affidavit to the facts, if obtainable, would be of infinite value. Care ought to be taken that nothing is asserted which is not unquestionable.
TO JOHN ADAMS
PHILADELPHIA, Aug. 16, 1792.
DEAR SIR:
I have been duly favored with your letter of the 4th inst. A warrant for one thousand dollars in your favor has issued. If any authorization from you had been sent to your son or any one else, your signature on the warrant would have been unnecessary. But as it is, it will be indispensable. Perhaps, however, the Treasurer may pay in expectation of it.
The question when the Vice-President entered on the duties of his office is open at the Treasury, though an opinion has obtained that the taking of the oath was the criterion. This has been founded on two considerations—analogy to the case of the President. The Constitution requires that he shall take an oath before he enters upon the execution of his office. He cannot enter upon the duties of it without entering upon the execution of it, and he cannot legally do the latter till he has taken the oath prescribed. The same injunction, however, is not laid upon the Vice-President, and therefore, except by analogy, resort must be had to the second consideration, namely, that the taking of the oath of office is the legal act
of acceptance and may be supposed to date the commencement of service.
But this reasoning, it must be confessed, is not conclusive, and therefore the opinion of the Attorney-General will be taken, both as to the President and Vice-President, and I presume will guide in the adjustment.
Twenty thousand dollars have been appropriated, and the advances by anticipation may reach that limit.
You forgot that Mr. Clinton could feast upon what would starve another. He will not, however, have an opportunity of making the experiment, and I hope the starvation policy will not long continue fashionable.
Your confirmation of the good disposition of New England is a source of satisfaction. I have a letter from a well-informed friend in Virginia who says: "All the persons I converse with are prosperous and happy, and yet most of them, including the friends of the government, appear to be much alarmed at a supposed system of policy tending to subvert the republican government of the country." Were ever men more ingenious to torment themselves with phantoms?
TO WILLIAM SETON
My Dear Sir:
August 17, 1792.
Your letter mentioning certain particulars respecting the two banks has been received and will be duly attended to. I trust, however, that certain
appearances have in no degree proceeded from any unkind disposition. The solution, I believe, is to be found in the necessity of sending here a considerable sum in specie. Large payments into the Bank of North America on account of the State of Pennsylvania, subscriptions to canals, etc., and large calls upon the Bank of the United States for the services of government, joined to liberal discounts, had produced a considerable balance in favor of the Bank of North America, which rendered it expedient to draw a sum of specie from New York, not to leave the National Bank in any degree in the power of the Bank of North America, which once manifested a very mischievous disposition, that was afterwards repaid by acts of kindness and generosity. The tide is now changing and must speedily reverse the balance, and I mention it in confidence, because I wish by explaining to cherish the confidence between the two institutions at New York so necessary to their mutual interest.
Inclosed, my dear sir, is a letter to Mr. Donald, of St. Vincents, which I beg your most particular care in forwarding. I presume he is a merchant there, but a gentleman lately mentioned to me that he thought the name of the Governor of St. Vincents was Donald. If so, he is probably the person intended. I received a letter from him giving me some information of my father. The letter to Mr. Donald covers one to my father, who, from a series of misfortunes, was reduced to great distress. You will perceive from this that I must be anxious for the safe conveyance of my letter. If there is any person
of whom you can make previous inquiry concerning Mr. Donald, you will oblige me by doing it as a guide in forwarding the letter. I mean to send a duplicate from this place.
TO JOHN JAY
(Private.)
PHILADELPHIA, Sept. 3, 1792.
MY DEAR SIR:
The proceedings at Pittsburgh which you will find stated in the inclosed papers and other incidents in the western parts of this State announce so determined and persevering a spirit of opposition to the laws, as in my opinion to render a vigorous exertion of the powers of government indispensable. I have communicated this opinion to the President, and I doubt not his impressions will accord with it. In this case, one point for consideration will be the expediency of the next Circuit Court's noticing the state of things in that quarter, particularly the meeting at Pittsburgh and its proceedings. You will observe an avowed object is to "obstruct the operation of the law." This is attempted to be qualified by a pretence of doing it by "every legal measure." But "legal measures" to "obstruct the operation of a law" is a contradiction in terms. I therefore entertain no doubt that a high misdemeanor has been committed. The point, however, is under submission to the Attorney-General for his opinion.
There is really, my dear sir, a crisis in the affairs of the country which demands the most mature consideration of its best and wisest friends.
I beg you to apply your own most serious thoughts to it, and favor me as soon as possible with the result of your reflections. Perhaps it will not be amiss for you to converse with Mr. King. His judgment is sound—he has caution and energy.
Would a proclamation from the President be advisable, stating the criminality of such proceedings, and warning all persons to abstain from them as the laws will be strictly enforced against all offenders?
If the plot should thicken and the application of force should appear to be unavoidable, will it be expedient for the President to repair in person to the scene of commotion?
These are some of the questions which present themselves. The subject will doubtless open itself in all its aspects to you.
TO
PHILADELPHIA, Sept. 21, 1792.
DEAR SIR:
I take the liberty to inclose you the copy of a letter from a very respectable friend in New York. The contents surprised me—nor am I quite persuaded that the appearance of Mr. Burr on the stage is not a diversion in favor of Mr. Clinton.\(^1\)
Mr. Clinton’s success I should think very unfortunate; I am not for trusting the government too much in the hands of its enemies. But still Mr. C. is a man of property, and in private life, as far as I know, of probity. I fear the other gentleman is
\(^1\)This refers to the contest for the Vice-Presidency at the second national election. The struggle finally settled down to Clinton and Adams, and the latter was elected.
unprincipled, both as a public and a private man. When the Constitution was in deliberation, his conduct was equivocal, but its enemies, who, I believe, best understood him, considered him as with them. In fact, I take it, he is for or against nothing, but as it suits his interest or ambition. He is determined, as I conceive, to make his way to be the head of the popular party, and to climb *per fas aut nefas* to the highest honors of the State, and as much higher as circumstances may permit. Embarrassed, as I understand, in his circumstances, with an extravagant family, bold, enterprising, and intriguing, I am mistaken if it be not his object to play the game of confusion, and I feel it to be a religious duty to oppose his career.
I have hitherto scrupulously refrained from interference in elections; but the occasion is, in my opinion, of sufficient importance to warrant in this instance a departure from that rule. I therefore commit my opinion to you without scruple; but in perfect confidence. I pledge my character for discernment, that it is incumbent upon every good man to resist the present design.
TO RUFUS KING
September 23, 1792.
My Dear Sir:
Though I had had a previous intimation of the possibility of such an event, yet the intelligence contained in your letter of the 17th surprised me. Even now I am to be convinced that the movement is anything more than a diversion in favor of Mr. Clinton;
yet, on my part, it will not be neglected. My attention, as far as shall be in any degree safe, will be directed to every State south of New York. I do not go beyond it, because other influences would be quite as efficacious there as mine.
A good use will be made of it in this State. I wish a letter could be written here, stating the plan, and Mr. Dallas' assertion respecting Pennsylvania, which could be made use of without reserve. You well know who could write such a letter, and of course to whom it might be addressed. Mr. Lewis would be the most proper person to be written to. This is a matter of importance, and if practicable no time should be lost.
I wrote Mr. Jay a long letter, which I fear reached New York after he had set out on the circuit, informing him that I had concluded to advise a proclamation; and my reasons for it, which included some material facts not before communicated, I have not leisure to repeat. The proclamation has been signed by the President, and sent to Mr. Jefferson for his counter-signature; I expect it here on Tuesday, and have taken correspondent measures. I believe all is prudent and safe.
TO
PHILADELPHIA, Sept. 26, 1792.
My Dear Sir:
Some days since I was surprised with the following intelligence in a letter from Mr. King, whose name I disclose to you in confidence.
"Burr is industrious in his canvass, and his object is well understood by our Antis. Mr. Edwards is to
make interest for him in Connecticut, and Mr. Dallas, who is here, and quite in the circle of the Governor and the party, informs us that Mr. Burr will be supported as Vice-President in Pennsylvania. Nothing which has heretofore happened so decisively proves the inveteracy of the opposition. Should they succeed, much would be to be apprehended."
Though in my situation I deem it most proper to avoid interference in any matter relating to the elections for members of the government, yet I feel reasons of sufficient force to induce a departure from that rule in the present instance.
Mr. Burr's integrity as an individual is not unimpeached. As a public man, he is one of the worst sort—a friend to nothing but as it suits his interest and ambition. Determined to climb to the highest honors of the State, and as much higher as circumstances may permit, he cares nothing about the means of effecting his purpose. 'T is evident that he aims at putting himself at the head of what he calls the "popular party" as affording the best tools for an ambitious man to work with, secretly turning liberty into ridicule. He knows as well as most men how to make use of the name. In a word, if we have an embryo-Cæsar in the United States, 't is Burr.
TO GEN. C. C. PINCKNEY
PHILADELPHIA, Oct. 10, 1792.
MY DEAR SIR:
I duly received your letter of the 6th September, and have sent an extract to Mr. Church for the ex-
¹ General Charles Cotesworth Pinckney, of South Carolina.
planation which is necessary. I feel myself truly obliged by your friendly allusion to my unpleasant situation, and for the consolation which you are so kind as to offer me. The esteem of discerning and virtuous men must always support a mind properly formed under the pressure of malevolence and envy. I will not pretend that I am insensible to the persecution which I experience; but it may be relied upon that I shall desert no post which I ought to endeavor to maintain, so long as my own reputation or the public good may render perseverance necessary or proper. When it is not requisite, either to the one or the other, my friends will excuse me if I recollect that I have a growing and hitherto too much neglected family. It is to be lamented that so strong a spirit of faction and innovation prevails at the present moment in a great part of the country. The thing is alarming enough to call for the attention of every friend to government. Let me not be thought to travel out of my sphere, if I observe that a particular attention to the election for the next Congress is dictated by the vigorous and general effort which is making by factious men to introduce everywhere, and in every department, persons unfriendly to the measures, if not the constitution, of the national government. Either Governor Clinton, or Mr. Burr, of New York, both decidedly of the description of persons I have mentioned, is to be run in this quarter as Vice-President, in opposition to Mr. Adams. The former has been invariably the enemy of national principles. The latter has no other principles than to mount, at all events, to the
full honors of the State, and to as much more as circumstances will permit—a man in private life not unblemished. It will be a real misfortune to the government if either of them should prevail. 'T is suspected by some that the plan is only to divide the votes of the Northern and the Middle States, to let in Mr. Jefferson by the votes of the South. I will not scruple to say to you, in confidence, that this also would be a serious misfortune to the government. That gentleman whom I once very much esteemed, but who does not permit me to retain that sentiment for him, is certainly a man of sublimated and paradoxical imagination, entertaining and propagating opinions inconsistent with dignified and orderly government. Mr. Adams, whatever objections may lie against some of his theoretic opinions, is a firm, honest, and independent politician. Some valuable characters are about to be lost to the House of Representatives of their own choice. I feared once that this would be the case with Mr. Smith,¹ of your State; but I believe his present intention is rather to continue to serve. I trust there can be no doubt of his success, and I wish means to be used to determine his acquiescence. He is truly an excellent member—a ready, clear speaker, of a sound analytic head, and the justest views. I know no man whose loss from the House would be more severely felt by the good cause. The delicacy of these observations from me will, of course, occur to you; I make them without reserve, confiding equally in your friendship and prudence. Accept the assurances of the cordial
¹ Hon. Wm. Smith, South Carolina.
esteem and regard with which I have the honor to remain.
TO JOHN STEELE
PHILADELPHIA, Oct. 15, 1792.
My Dear Sir:
The letter which you did me the favor to write me, of the 19th of September, came to hand two days ago. The late symptoms of acquiescence in the duty on distilled spirits, which you announce in your quarter, are particularly satisfactory. If the people will but make trial of the thing, their good-will towards it will increase. This has hitherto happened everywhere, where the law has gone into operation. There certainly can be no tax more eligible or less burthen-some. Though I impose on myself great circumspection on the subject of elections for the federal government, yet, in relation to the characters you mention, I feel myself more at liberty, and my entire confidence in you will not permit me to affect reserve. I take it for granted that in all the Northern and Middle States, the present President will have a unanimous vote. I trust it will be so in the South also. A want of unanimity would be a blot on our political hemisphere, and would wound the mind of that excellent character to whom the country is so much indebted. For Vice-President, Mr. Adams will have a nearly unanimous vote in the Eastern States. The same thing would happen in New York if the electors were to be chosen by the people; but as they will be chosen by the Legislature, and as a
* Member of Congress from North Carolina, 1790 to 1793.
majority of the existing Assembly are Clintonians, the electors will, I fear, be of the same complexion. In Jersey, Mr. Adams will have a unanimous vote, and, according to present appearances, in Pennsylvania likewise. The parties have had a trial of their strength here for representatives, and though the issue is not finally ascertained, there is a moral certainty, from the returns received, that the ticket supported by the federal interest will prevail by a large majority. The electors nominated by the same interest will all, or nearly all, favor Mr. Adams. I believe the weight of Delaware will be thrown into the same scale. And I think it probable there will be votes for Mr. Adams in Maryland. I presume none in Virginia or Georgia. Of North Carolina, you can best judge. In South Carolina he will have votes, but I am at a loss to judge of the proportion.
This statement will inform you that Mr. Adams is the man who will be supported in the Northern and Middle States, by the friends of the Government. They reason thus: "Mr. Adams, like other men, has his faults and foibles; some of the opinions he is supposed to entertain, we do not approve, but we believe him to be honest, firm, faithful, and independent—a sincere lover of his country—a real friend to genuine liberty, but combining his attachment to that with love of order and stable government. No man’s private character can be fairer than his. No man has given stronger proofs than he of disinterested and intrepid patriotism. We will therefore support him as far preferable to any one who is likely to be opposed to him."
Who will be seriously opposed to him, I am yet at a loss to decide. One while, Governor Clinton appeared to be the man. Of late, there have been symptoms of Col. Burr’s canvassing for it. Some say one or both of these will be played off as a diversion in favor of Mr. Jefferson. I do not scruple to say to you that my preference of Mr. Adams to either of these is decided. As to Mr. Clinton, he is a man of narrow and perverse politics, and as well under the former as under the present government, he has been steadily, since the termination of the war with Great Britain, opposed to national principles. My opinion of Mr. Burr is yet to form—but, according to the present state of it, he is a man whose only political principle is to mount at all events, to the highest legal honors of the nation, and as much further as circumstances will carry him. Imputations not favorable to his integrity as a man rest upon him, but I do not vouch for their authenticity.
There was a time when I should have balanced between Mr. Jefferson and Mr. Adams; but I now view the former as a man of sublimated and paradoxical imagination—cherishing notions incompatible with regular and firm government.
Thus have I opened myself to you with frankness; I doubt not I am perfectly safe in doing it.
You give me pain by telling me that you have declined serving in the House of Representatives after the third of March next, and that it is doubtful whether you will attend the next session. I anxiously hope that you will find it convenient to attend, and that you will change your resolution as to
not serving in a future House. The ensuing session will be an interesting one, and the next Congress will either anchor the government in safety or set it afloat.
My apprehension is excited when I see so many valuable members dropping off. Mr. Lawrence¹ and Mr. Benson² will not serve again. Mr. Barnwell³ also declines. The House will, I fear, lose more of its talents than it can spare.
TO JOHN ADAMS
October, 1792.
I trust you are sufficiently convinced of my respect for you and attachment to you to render an apology for the liberty I am going to take, unnecessary. I learn with pain that you may not probably be here till late in the session. I fear that this will give some handle to your enemies to misrepresent, and though I am persuaded you are very indifferent personally to the event of a certain election, yet I hope you are not so as regards the cause of good government. The difference in that view is, in my conception, immense between the success of Mr.
¹ John Lawrence, an Englishman by birth and a soldier in the Revolution, was an eminent lawyer of New York, at this time a member of Congress, and afterwards U. S. District Judge and Senator from New York.
² Egbert Benson, at this time a member of Congress from New York, and again in 1813. Attorney-General of New York, 1780–1789, and from 1794 to 1801 a Judge of the Supreme Court of the State.
³ Robert Barnwell, member of Congress from South Carolina from 1791 to 1793.
Clinton or yourself, and some sacrifices of feeling are to be made. But this is not the only relation in which I deem your early presence here desirable. Permit me to say it best suits the firmness and elevation of your character to meet all events, whether auspicious or otherwise, on the ground where station and duty call you. One would not give the ill-disposed the triumph of supposing that an anticipation of want of success has kept you from your post.
You observe, my dear sir, I speak without much ménagement. You will ascribe it to my confidence and esteem. It is not necessary in any view to multiply words. I forbear it; but allow me to add that it is the universal wish of your friends you should be as soon as possible at Philadelphia.\(^1\)
TO JOHN JAY
My Dear Sir:
PHILADELPHIA, Dec. 18, 1792.
Your favors of the 26th of November and 16th inst. have duly come to hand. I am ashamed that the former has remained so long unacknowledged, though I am persuaded my friends would readily excuse my delinquencies could they appreciate my situation. 'T is not the load of proper official business that alone engrosses me, though this would be enough to occupy any man. 'T is not the extra attention I am obliged to pay to the course of legislative manoeuvres that alone adds to my burden and perplexity. 'T is the malicious intrigues to stab me
\(^1\) Reprinted from the History of the Republic, v., 92.
in the dark, against which I am too often obliged to guard myself, that distract and harass me to a point which, rendering my situation scarcely tolerable, interferes with objects to which friendship and inclination would prompt me.
I have not, however, been unmindful of the subject of your letters. Mr. King will tell you the state the business was in. Nothing material has happened since. The representation will probably produce some effect, though not as great as ought to be expected. Some changes for the better, I trust, will take place.
The success of the Vice-President is as great a source of satisfaction as that of Mr. Clinton would have been of mortification and pain to me. Willingly, however, would I relinquish my share of the command to the Anti-federalists if I thought they were to be trusted. But I have so many proofs of the contrary, as to make me dread the experiment of their preponderance.\(^1\)
---
TO RICHARD HARRISON \(^2\)
PHILADELPHIA, Jan. 5, 1793.
DEAR SIR:
Le Roy has not yet appeared with the powers and receipts mentioned in your letter of the 31st
---
\(^1\) Reprinted from *Life of Jay*, ii., 213.
\(^2\) Richard Harrison was born in 1750. He was our Consul at Cadiz for five years, and this letter seems to have been written at the time of his return from his consulship and on the presentation of his accounts. In this year, 1793, he was appointed Auditor of the Treasury, a position which he held until his death, in 1841.
December. Every practicable facility will be given to the business when it comes forward. But I believe, according to the course of the Treasury, a certificate, not money, will be given for the balance. Your account is returned with directory remarks upon it. I am sorry you should have the trouble of so many different applications, but the course of public business requires it.
I am more sorry that we have been deprived of the pleasure of seeing you. Every friend I see from a place I love is a cordial to me, and I stand in need of something of that kind now and then.
The triumphs of vice are no new thing under the sun, and I fear, till the millennium comes, in spite of all our boasted light and purification, hypocrisy and treachery will continue to be the most successful commodities in the political market. It seems to be the destined lot of nations to mistake their foes for their friends, their flatterers for their faithful servants.
TO WILLIAM SHORT
(Private.)
PHILADELPHIA, Feb. 5, 1793.
SIR:
The spirit of party has grown to maturity sooner in this country than perhaps was to have been counted upon. You will see a specimen of it in
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1 William Short, of Virginia, was Minister to the Hague and in charge of our financial negotiations in Holland, and was afterwards Minister to Spain.
the inclosed speech of Mr. Giles, a member from Virginia. The House of Representatives adopted the resolutions proposed by him, *nemine contradicente*. The object, with a majority, was to confound the attempt, by giving a free course to investigation.
I send you, also, a printed copy of a letter from me to the House of Representatives, of yesterday’s date being the first part of an answer to those resolutions. The statements referred to in it could not yet be printed, but lest the thing should pass the Atlantic and be made an ill use of to the prejudice of our country, I send you the antidote, to be employed or not, as you may see occasion.
An investigation intended to prejudice me is begun with respect to the circumstances attending the last payment on account of the French debt, which, in its progress, may draw your conduct into question. I think, however, you need be under no anxiety for the result. Your hesitations, at a certain stage, were so natural, and your reasons so weighty for them, that they will give little handle against you, besides the coincidence in opinion here about the expediency of a suspension of payment. The popular tide in this country is strong in favor of the last revolution in France; and there are many who go, of course, with that tide, and endeavor always to turn it to account. For my own part, I content myself with praying most sincerely that it may issue in the real advantage and happiness of the nation.
TO RUFUS KING
PHILADELPHIA, April 2, 1793.
My Dear Sir:
When you are acquainted with all the facts, I think you will alter the opinion you appear to entertain. My application comes literally within your rule. The loan is necessary for the current expenditure, independent of any new advance to France, or of purchases of the debt. This has arisen from my having been under the necessity of remitting to Holland, for a payment in June of 1,000,000 guilders, as an instalment of the principal, and 470,000 guilders for interest of the Dutch debt.
Late advices rendering it problematical whether a loan could be obtained for the purpose of the instalment, it became necessary to make this remittance to avoid danger to the public credit.
Hence, without a loan from the bank, I ought to calculate upon a deficiency in the present quarter (remember we are in April) of 672,023 dollars and 26 cents, and in the next, of 325,447 dollars and 28 cents.
This is the result of as accurate a view of receipts and expenditures as can now be taken. You will anticipate that, by all the expenditures not falling actually within the periods to which they are applicable, the real deficiency would not be so great as the calculated; but you will, at the same time, perceive that the view given supposes a state of the Treasury which renders an auxiliary indispensable.
At the same time, I cannot but think that you apply your principle too rigorously. I ought not to
be forced to divert for a length of time funds appropriated for other purposes, to the current expenditure. To compel this would be, in substance to withhold the means necessary for the public service; for it would oblige the Treasury to employ an adventitious resource, which ought not be so employed, and that too at a time when it could be employed advantageously, according to its original and true destination. I therefore think, independent of the real exigency, the bank ought to make the loan.
The loans to government stand on very different considerations from those to individuals. Besides the chartered privileges, which are the grant of the government, the vast deposits constantly on hand, and which ordinarily exceed the loans from the bank, frequently very greatly, are an advantage which, generally speaking, bears no proportion to the advantages of the dealings between individuals and the bank. Consider, too, what has been the state of things for some time past, and the real sacrifices which have been made not to distress the institution.
If for such accommodations equivalent services are not to be rendered, they could not easily be defended.
Besides, from the necessity of having a considerable sum on hand in the Treasury, and the natural course of the business, the bank is pretty sure of having always on deposit a large part of what it lends to the government. This does not exist in anything like the same degree, in the case of individuals.
You seem to calculate that the past advances will not be replaced. On the contrary, it is my intention, pursuant to stipulation, to repay as fast as the funds come in applicable to it; and in the last quarter of the year I hope to make a considerable progress in the reimbursement; till then, it will not be practicable.
I do not know whether Mr. Kane stated to you the nature of my proposal. It was that the payments should be made in four equal monthly instalments—the first on the first of June—and that each instalment should be reimbursed in six months. The real advance of the bank will be very temporary indeed before greater sums will come into its vaults from the duties. In the last quarter of the present and the first quarter of the ensuing year, very large receipts may be expected.
You are sure that while I seek to put myself in a proper posture, I shall not fail to have a due regard to the safety of the institution.
It is much to be wished that I could be enabled to make some purchases, though this will not be the case with the loan in question, unless a loan shall also have been obtained in Europe.
A meeting of the commissioners has lately been called by Mr. Jefferson, out of the course heretofore practised, in which I have been pressed to declare whether I had or had not funds applicable to purchases. I answered so as to be safe. But you readily perceive the design of this movement. There is no doubt in my mind that the next session will revive the attack with more system and earnestness—and it is surely not the interest of any body or any thing that a serious handle should be furnished.
On the whole, I am persuaded that the bank can do what I ask without real inconvenience to itself; and my situation is such that I shall be compelled to find an auxiliary.
All the cry here is for peace. How is it with you?
TO WASHINGTON
PHILADELPHIA, April 5, 1793.
SIR:
The ship John Buckley is just arrived here from Lisbon, which place she left on the 23d of February.
The Messrs. Walns, a respectable mercantile house here, have received a letter from Mr. John Buckley, a respectable merchant of Lisbon, after whom the ship is named, of which the following is an extract:
"By letters from France, by this day's post, we find that an embargo took place there the 2d instant on all English, Russian, and Dutch vessels, which is certainly the prelude of war." This letter is dated the 22d of February.
Messrs. Walns, in addition, inform ——, that on the 23d of February, the moment the ship was getting under way, Mr. Buckley came on board with a letter from Mr. Fenwick, of Bordeaux, informing him that war had been declared by France against England, Russia, and Holland. The foregoing particulars I have directly from the Walns.
The report in the city is that the war was declared on the 8th of February.
Combining this with the letter of Lord Grenville to
Mr. Chauvelin, requiring his departure, and the king’s message to the House of Commons, founded upon it—there seems to be no room for doubt of the existence of war.
P. S.—I this instant learn that there are English papers in town, by way of St. Vincent, which mention that on the 8th of February the late Queen of France was also put to death, after a trial and condemnation.
TO WASHINGTON
PHILADELPHIA, April 8, 1793.
SIR:
The papers of to-day, which I take it for granted are forwarded to you, will inform you of the confirmation of the war between France, England, and Holland, and of such other leading particulars as are contained in the English papers brought by the packet.
The object of this letter is merely to apprise you that the whole current of commercial intelligence, which comes down to the 11th of February, indicates thus far an unexceptionable conduct on the part of the British Government towards the vessels of the United States.
The information is received here with very great satisfaction, as favorable to the continuance of peace, the desire of which may be said to be both universal and ardent.
P. S.—Lest the papers may not be regularly transmitted, I enclose the two of this morning.
TO JOHN JAY
PHILADELPHIA, April 9, 1793.
Dear Sir:
When we last conversed together on the subject, we were both of opinion that the minister expected from France should be received.
Subsequent circumstances have perhaps induced an additional embarrassment on this point, and render it advisable to reconsider the opinion generally, and to raise this further question, Whether he ought to be received absolutely or with qualifications. The king has been decapitated. Out of this will arise a regent, acknowledged and supported by the powers of Europe almost universally, in capacity to act, and who may himself send an ambassador to the United States. Should we in such case receive both? If we receive one from the republic and refuse the other, shall we stand on ground perfectly neutral? If we receive a minister from the republic, shall we be afterward at liberty to say, We will not decide whether there is a government in France competent to demand from us the performance of the existing treaties? What the government of France shall be is the very point in dispute. Till that is decided, the applicability of the treaties is suspended. When that government is established, we shall consider whether such changes had been made as to render their continuance incompatible with the interest of the United States. If we shall not have concluded ourselves by any act, I am of opinion that we have at least a right to hold the thing suspended. Till the point in dispute is decided, I doubt whether we
could bona fide dispute the ultimate obligation of the treaties. Will the unqualified reception of a minister conclude us? If it will, ought we so to conclude ourselves? Ought we not rather to refuse receiving, or to receive with qualifications; declaring that we receive the person as the representative of the government, in fact, of the French nation, reserving to ourselves the right to consider the applicability of the treaties to the actual situation of the parties? These are questions which require our utmost wisdom. I would give a great deal for a personal discussion with you. Imprudent things have already been done, which render it proportionally important that every succeeding step should be well considered.
TO JOHN JAY
PHILADELPHIA, April 9, 1793.
My Dear Sir:
I have already written you by this post. A further question occurs—Would not a proclamation prohibiting our citizens from taking commissions on either side be proper? Would it be well that it should include a declaration of neutrality? If you think the measure prudent, could you draught such a thing as you would deem proper? I wish much you could.
1 Reprinted from Life of Jay, i., 298. 2 Ibid., 300.
TO RUFUS KING
PHILADELPHIA, May 2, 1793.
The failures in England will be so seriously felt in this country as to involve a real crisis in our money concerns.
I anxiously wish you could be here to assist in the operations of the Bank of the United States. Never was there a time which required more the union of courage and prudence than the present and approaching juncture. You can imagine all that I could add on this subject. Is it possible for you to spend a month with us?
TO JEFFERSON
TREASURY DEPARTMENT, May 3, 1793.
SIR:
I regret extremely that I did not receive your letter respecting Mr. Ternant’s application till two o’clock yesterday, after a warrant had issued in his favor for the sum requested.
Agreeing entirely in opinion with you, that all applications from diplomatic characters, as well those relating to pecuniary matters as others, ought to be addressed to your department, I should have taken no step on the present occasion, had it not been put on the footing of a previous arrangement (as you will perceive by the copy of Mr. Ternant’s note to me), and had I not myself carried along in my mind a
¹ This, and the other letters to Jefferson which follow, simply show the strained relations between Jefferson and Hamilton, and the widening of the breach which finally resulted in open enmity.
general impression that the spirit of what had passed would comprise the advance requested in the particular case.
For greater caution, however, I thought it advisable to mention the matter to the President, which was followed (if I remember right, upon my own suggestion) by the conversation which I had with you.
You will remember that though your recollection at the time of what had passed from you agreed with what had been the result of your subsequent examination, yet you expressed an opinion that in the special case (adhering as a general rule to the spirit of your late communication) it ought to be advisable to make the advance desired, as it would be well "to part friends." And it was at my request, subsequent to this declaration, that you engaged to review your communications to Mr. Ternant.
Having told Mr. Ternant that the matter would be terminated the day succeeding his application—not having heard from you on that day—understanding it to be your opinion that, on the whole, it would be well to make the advance,—I waited on the President yesterday morning, stated what had passed between us, and obtained his consent for making the advance.
I am thus particular from a desire that you may see the ground upon which I have proceeded, as it would give me pain that you should consider what has been done as the infringement of a rule of official propriety. I assure you this was not my intention.
TO ——— *
May, 1793.
You ask me if the newspapers of Philadelphia give a true picture of the conduct of its citizens on the occasion of the arrival of Mr. Genet, and whether the great body of them are really as indiscreet as those papers represent them.
It gives me pleasure to be able to answer you in the negative. I can assure you upon the best evidence that, comparatively speaking, but a small proportion of them have had agency in the business.
Though the papers, on the morning of the day of Mr. Genet’s arrival, announced his approach, and at —— o’clock ——, three guns were fired from the frigate as a signal to those who were disposed to go to meet him at Gray’s ferry, as had been previously concerted and notified in the papers, and though we are told by some of the printers that all the outlets from the city were crowded with persons going out to meet Mr. Genet, the fact is that a very inconsiderable number indeed went out. It is seldom easy to speak with absolute certainty in such cases, but from all I could observe or have been able to learn, I believe the number would be stated high at a hundred persons.
In the evening of the same day, according to notice in an evening paper which came out earlier than usual for the purpose, a meeting was convened at the State House yard under the direction of the same
* This letter is undated, but it must have been written at this time, as Genet reached Philadelphia May 16, 1793, and the letter relates to that event.
persons who had projected the going out to Gray's. This meeting was also inconsiderable. From forty to one hundred persons give you the extremes of the numbers present, as reported by those who were at the meeting or in a situation to observe it.
Here a committee was appointed to prepare an address to Mr. Genet; and another meeting of the citizens was advertised for the ensuing evening at the same place, the object of which, it seems, was to consider and approve the address.
This last meeting is stated differently from three hundred to one thousand. An accurate observer, who was a by-stander and paid particular attention to the matter, assures me that there were between five and six hundred assembled. I rely upon this as about the truth.
The persons who were met approved the address which had been prepared, and, as you have seen, nominated a committee to present it, whom they accompanied to Mr. Genet's lodging at the City Tavern.
On their way to the City Tavern their number was, as you will imagine, considerably increased. A crowd will always draw a crowd, whatever be the purpose. Curiosity will supply the place of attachment to or interest in the object. What number may have been assembled in the vicinity of the City Tavern, it is impossible to say. The evening being pretty far advanced, was alone an obstacle to judging.
But the true test was the meeting in the State House yard. 'Tis there we are to look for the real
partisans of the measure. And, according to this standard, it may be pronounced that not a tenth part of the city participated in it.
You ask who were its promoters. I answer, that with very few exceptions they were the same men who have been uniformly the enemies and the disturbers of the government of the United States. It will not be surprising if we see ere long a curious combination growing up to control its measures, with regard to foreign politics, at the expense of the peace of the country—perhaps at a still greater expense.
We too have our disorganizers. But I trust there is enough of virtue and good sense in the people of America to baffle every attempt against their prosperity, though masked under the specious garb of an extraordinary zeal for liberty. They practically, I doubt not, adopt this sacred maxim, that without government there is no true liberty.
I agree with you in the reflections you make on the tendency of public demonstrations of attachment to the cause of France. 'T is certainly not wise to expose ourselves to the jealousy and resentment of the rest of the world, by a fruitless display of zeal for that cause. It may do us much harm, and it can do France no good (unless indeed we are to embark in the war with her, which nobody is so hardy as to avow, though some secretly machinate it). It cannot be without danger and inconvenience to our interests to impress on the nations of Europe an idea that we are actuated by the same spirit which has for some time past fatally misguided the measures of those who conduct the affairs of France,
and sullied a cause once glorious, and that might have been triumphant. The cause of France is compared with that of America during its late revolution. Would to Heaven that the comparison were just. Would to Heaven we could discern in the mirror of French affairs the same humanity, the same decorum, the same gravity, the same order, the same dignity, the same solemnity, which distinguished the cause of the American Revolution. Clouds and darkness would not then rest upon the issue as they now do. I own I do not like the comparison. When I contemplate the horrid and systematic massacres of the 2d and 3d of September; when I observe that a Marat and a Robespierre, the notorious prompters of those bloody scenes, sit triumphantly in the convention and take a conspicuous part in its measures—that an attempt to bring the assassins to justice has been obliged to be abandoned; when I see an unfortunate prince, whose reign was a continued demonstration of the goodness and benevolence of his heart, of his attachment to the people of whom he was the monarch, who, though educated in the lap of despotism, had given repeated proofs that he was not the enemy of liberty, brought precipitately and ignominiously to the block without any substantial proof of guilt, as yet disclosed—without even an authentic exhibition of motives, in decent regard to the opinions of mankind; when I find the doctrines of atheism openly advanced in the convention, and heard with loud applause; when I see the sword of fanaticism extended to force a political creed upon citizens who
were invited to submit to the arms of France as the harbingers of liberty; when I behold the hand of rapacity outstretched to prostrate and ravish the monuments of religious worship, erected by those citizens and their ancestors; when I perceive passion, tumult, and violence usurping those seats, where reason and cool deliberation ought to preside, I acknowledge that I am glad to believe there is no real resemblance between what was the cause of America and what is the cause of France—that the difference is no less great than that between liberty and licentiousness. I regret whatever has a tendency to compound them, and I feel anxious, as an American, that the ebullitions of inconsiderate men among us may not tend to involve our reputation in the issue.
TO RUFUS KING
June 15, 1793.
Dear Sir:
The ideas expressed in your letter of the 14th correspond with my view of the subject in general. I did not perceive that any process could be devised to detain the privateer, and concluded that the issue would be to leave her in military custody. Indeed, I believe this was rather the expectation with all, though it was thought advisable to make the experiment of a reference to the civil tribunal.
With regard to the Catharine, I also entertain the doubt you appear to have. In the case of the Grange, the surrender was brought about by a demand of Mr. Genet and his interposition. But it was in contemplation of employing the military in case of refusal.
Yet, since that time, a libel has been filed in the District Court in the case of another vessel alleged to have been captured within the limits of our jurisdiction. And both Mr. Lewis and Mr. Rawle, Attorney of the District, hold that the District or Admiralty Court will take cognizance of this question. They argue that it would be a great chasm in the law that there should not be some competent judicial authority to do justice between parties in the case of an illegal seizure within our jurisdiction. That the Court of Admiralty has naturally cognizance of tortious takings on the high seas, and as she gives relief in rem, may cause a re-delivery. That though, as a general principle, a court of a neutral nation will not examine the question of prize or not prize between belligerent powers, yet this principle must except the case of the infraction of the jurisdiction of the neutral power itself. Quoad this fact, its courts will interpose and give relief.
This is their reasoning, and it has much force. The desire of the Executive is to have the point ascertained, and if possible to put the affair in this train. There may arise nice difficulties about the fact, and nice points about the extent of jurisdiction at sea, which the courts had best settle.
The contest in form must, as you say, be between the owners and the captors. For this purpose Mr. Hammond is to cause the proper instructions to be given.
There is a letter from me to Harrison.\textsuperscript{1} If Troup has not opened it, let him do it.
TO GEN. OTHO H. WILLIAMS
(Private and Confidential.)
PHILADELPHIA, June 21, 1793.
MY DEAR SIR:
I learnt with real pleasure your return from the West Indies in improved health. Be assured that I interest myself with friendship in your welfare.
The Collector of Annapolis has announced his intention to resign by the first of next month. Do you know a character there fit and probably willing to serve? There is a salary of 200 dollars a year, besides the percentage and fees. The whole, however, is moderate enough.
If any inquiry is made, it must be so as to avoid all possible commitment. For it is the President’s practice to seek information through different channels and to decide according to the result of the whole.\textsuperscript{2}
TO WASHINGTON
PHILADELPHIA, June 21, 1793.
SIR:
Considerations relative to both the public interest and to my own delicacy have brought me, after mature reflection, to a resolution to resign the office
\textsuperscript{1} Richard Harrison mentioned above.
\textsuperscript{2} Now first printed from the original in the possession of Mr. Otho H. Williams, of Baltimore.
I hold towards the close of the ensuing session of Congress.
I postpone the final act to that period, because some propositions remain to be submitted by me to Congress which are necessary to the full development of my original plan, and, as I suppose, of some consequence to my reputation, and because, in the second place, I am desirous of giving an opportunity, while I shall still be in office, to the revival and more deliberate prosecution of the inquiry into my conduct which was instituted during the last session.
I think it proper to communicate my determination thus early, among other reasons, because it will afford full time to investigate and weigh all the considerations which ought to guide the appointment of my successor.
TO ONE OF THE CREDITORS OF COL. DUER
August, 1793.
Dear Sir:
Poor Duer has now had a long and severe confinement, such as would be adequate punishment for no trifling crime. I am well aware of all the blame to which he is liable and do not mean to be his apologist, though I believe he has been as much the dupe of his own imagination as others have been the victims of his projects. But what then? He is a man—he is a man with whom we have both been in
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2 Colonel Duer remained in prison for five years (Reminiscences of James A. Hamilton, p. 5). I give this letter as dated in the edition of 1850, where it is misplaced, but its language would suggest a later period, somewhat near the end of Duer's confinement in 1797.
habits of friendly intimacy. He is a man who, with a great deal of good zeal, has in critical times rendered valuable services to the country. He is a husband who has a most worthy and amiable wife perishing with chagrin at his situation; your relation by blood, mine by marriage. He is a father who has a number of fine children destitute of the means of education and support, every way in need of his future exertions.
These are titled to sympathy, which I shall be mistaken if you do not feel. You are his creditor. Your example may influence others. He wants permission, through a letter of license, to breathe the air for five years. Your signature to the inclosed draft of one will give me much pleasure.
TO RUFUS KING
DEAR SIR:
PHILADELPHIA, Aug. 13, 1793.
The post of to-day brought me your letter of the 10th, but I was too much engaged to reply to it by return of post.
The facts with regard to Mr. Genet’s threat, to appeal from the President to the people, stand thus:
On Saturday, the 6th of July last, the warden of this port reported to Governor Mifflin that the brig Little
¹ Chief-Justice Jay and Mr. King had declared publicly that Genet had threatened to appeal to the people against the President, which produced profound indignation, and turned the current of public feeling against Genet and his partisans. Freeman’s Gazette was frantic in its abuse of the informers, as it called them, and Genet denied the charge. Finally Jay and King made a decisive counter-statement, and this letter was written probably to aid in its preparation.
Sarah, since called the Petit Democrat (an English merchant vessel, mounting from two to four guns, taken off our coast by the French frigate the Ambuscade, and brought into this port), had very materially altered her military equipments, having then fourteen iron cannon and six swivels mounted, and it being understood that her crew was to consist of one hundred and twenty men.
Governor Mifflin, in consequence of this information, sent Mr. Dallas to Mr. Genet to endeavor to prevail upon him to enter into an arrangement for detaining the vessel in port, without the necessity of employing for that purpose military force.
Mr. Dallas reported to Governor Mifflin that Mr. Genet had absolutely refused to do what had been requested of him, that he had been very angry and intemperate, that he had complained of ill-treatment from the government, and had declared that "he would appeal from the President to the people"; mentioned his expectation of the arrival of three ships of the line, observing that he would know how to do justice to his country, or, at least, he had a frigate at his command, and could easily withdraw himself from this; said that he would not advise an attempt to take possession of the vessel, as it would be resisted.
The refusal was so peremptory that Governor Mifflin, in consequence of it, ordered out 120 men for the purpose of taking possession of the vessel.
This conversation between Genet and Dallas was in toto repeated by General Mifflin to General Knox the day following, and the day after that the governor confirmed to me the declaration with regard to appealing to the people, owned that something like
the threat to do justice to his country by means of the ships of the line was thrown out by Mr. Genet, but showed an unwillingness to be explicit on this point, objecting to a more particular disclosure, that it would tend to bring Mr. Dallas into a scrape.
Mr. Jefferson, on Sunday, went to Mr. Genet, to endeavor to prevail upon him to detain the Petit Democrat until the President could return and decide upon the case, but, as Mr. Jefferson afterwards communicated, he absolutely refused to give a promise of the kind, saying only that she would not probably be ready to depart before the succeeding Wednesday, the day of the President’s expected return. This, however, Mr. Jefferson construed into an intimation that she would remain. Mr. Jefferson also informed that Mr. Genet had been very unreasonable and intemperate in his conversation (though he did not descend to particulars), and that Dallas had likewise told him (Mr. Jefferson) that Genet had declared he would appeal from the President to the people.
The Petit Democrat, instead of remaining, as Mr. Jefferson had concluded, fell down to Chester previous to the Wednesday referred to, where she was when the President returned. A letter was written to Mr. Genet, by order of the President, informing him that the case of the vessel, among others, was under consideration, and desiring that she might be detained until he should come to a decision about her, but this requisition was disregarded. She departed in defiance of it.
I give this detail that you may have the whole subject before you, but I cannot authorize you to make use of it all. The circumstance of the letter
may be omitted. It may be said generally that a requisition was made of Mr. Genet, by order of the President, for the detention of the vessel. All that part, however, which is scored or underlined, may be freely made up. This part is so circumstanced as to take away all scruples of personal or political delicacy. 'T is not so with the rest. It can therefore only be confidentially disclosed to persons whose discretion may be relied on, and whose knowledge of it may be useful.
It is true (as you have heard) that things, if possible still more insulting, have since been done by Mr. Genet; but of this at present no use can be made, no more than of some antecedent transactions nearly, if not quite, as exceptional. The mass would confound Mr. Genet and his associates. Perhaps it may not be long before a promulgation will take place.
I am of opinion with you that the charge ought to be insisted upon.
P. S.—The case does not require the naming General Knox or myself, and it will therefore not be done. It is to be observed that the equipments of the *Petit Democrat* are, in the strictest sense, an original fitting out. She was before a merchant vessel; here she was converted into a vessel commissioned for war, of considerable force.
TO RUFUS KING
My Dear Sir:
August, 1793.
It is not yet finally determined that there shall be a publication, and there has been some difference of
opinion on the point. But it seems to me the publication of the letters renders it indispensable that the whole should be told. Yet, when it appears, it will probably include only what is regularly official, so that the present question may be pursued independently.
Perhaps you will not think it necessary at first to say to whom Dallas reported the conversation. Yet, if you deem it essential, it may be done, and should it be finally necessary, which is not at all probable, General Knox and myself will come forward as witnesses.
TO MRS. GENERAL GREENE
PHILADELPHIA, Sept. 3, 1793.
It is not an uncommon thing for you women to bring us poor men into scrapes. It seems you have brought me into one. You will wonder how. Hear the tale.
Shortly after I came into office, Wadsworth informed me that Baron Glaubeck was indebted to General Greene (to whom he had behaved in a very exceptionable manner), and that it was intended to endeavor to purchase of Glaubeck some pay which had been just granted to him by Congress, upon the plan of advancing to him a certain sum of money to satisfy his immediate necessities, and the residue that was due to him to be applied towards the indemnification of the General’s estate for what Glaubeck owed to it. I afterwards understood that the execution of this plan was committed to Flint or
Duer, or one or both of them, and that a purchase of the claim was, in fact, made—not, indeed, to Glaubeck, but of some person to whom he had parted with it for some trifling consideration—the object being throughout to benefit you by way of indemnification as above mentioned.
It likewise would appear from the Treasury records that you have in fact received the whole benefit of the purchase. The conversations we had together when you were last in Philadelphia assure me at least that the certificate for four fifths of his claim accrued immediately to your use.
Francis, late a clerk in my department (partly from resentment at a disappointment he has met with at the Treasury, and partly, I believe, from it having been made worth his while by some political enemies of mine), endeavors to have it believed that this transaction was a speculation in which I was engaged, and in proof of it, shows a draft of a power of attorney, corrected by some interlineations in my handwriting, as he asserts.
I do not recollect this part of the business, though I think it very possible that such a correction, in such a draft, may have been made by me.
For Duer or Flint, it seems, employed Francis to make the purchase, and it is not unlikely that a draft of a power for the purpose may have been brought to me, to know from me whether it would answer the purpose of the Treasury as a competent instrument, and that I (believing the design to be such as I have represented—one not only unexceptionable, but laudable—one in which my friendship
for you would naturally take part), may have taken up my pen and made such corrections as the draft might appear to stand in need of.
I give you this detail to show you how I may have been implicated.
What I wish of you is that you will have the goodness to state in writing what you know of the affair, ascertaining that the purchase was for your benefit and the cause of it, and that you will take the trouble to make affidavit to the statement, and forward it to me.
As it is an affair of delicacy, I will thank you to request some gentleman of the law to give form and precision to your narrative.
You perceive that it is not in one way only that I am the object of unprincipled persecution; but I console myself with these lines of the poet—
But optics sharp it needs, I ween,
To see what is not to be seen;
and with this belief, that in spite of calumny the friends I love and esteem will continue to love and esteem me.
TO JEREMIAH WADSWORTH
PHILADELPHIA, Sept. 3, 1793.
My Dear Wadsworth:
Shortly after I came into office I remember your having told me that Glaubeck (whom you represented as a worthless and ungrateful fellow) was indebted to General Green’s estate, I think for money lent him, and that it was your intention to endeavor
to effect a purchase of his public claim, and allow him some part of it for his immediate necessities, letting the residue be an indemnification [original illegible] estate; or, in other words, go to the [original illegible] that he would [original illegible] something [original illegible] you left the city; that you had left the business in charge with Flint.
The purchase of the claim was afterwards made through a second hand, and it appears in fact that Mrs. Greene has had the benefit of it.
Francis, lately a clerk in my department, prompted partly by resentment and partly, I believe, by some political enemies, gives out that I assisted in this affair as a speculation, and, to prove it, shows the draft of a power for assigning the claim, with some corrections, which are said to be in my handwriting.
Whether this be so or not I really do not now recollect, but I think it very possible that, having understood the matter in the light I have stated from you, and viewing the transaction [original illegible] precision the course of the transaction as it stands in your recollection, particularly what passed between you and myself in the first instance. If not inconvenient to you, I should even be glad that you would attest to it.
TO MISS ANGELICA HAMILTON
September 21, 1793.
I was very glad to learn, my dear daughter, that you were going to begin the study of the French language. We hope you will in every respect
behave in such a manner as will secure to you the good-will and regard of all those with whom you are. If you happen to displease any of them, be always ready to make a frank apology. But the best way is to act with so much politeness, good manners, and circumspection as never to have occasion to make any apology. Your mother joins in best love to you. Adieu, my very dear daughter.*
TO ————
ALBANY, October 1, 1793.
Contemptible as you are, what answer could I give to your last letter? The enclosed is a copy of what shortly will appear in one of the gazettes of the City of New York:
"One Andrew G. Francis, late clerk in the Treasury Department, has been endeavoring to have it believed that he is possessed of some facts of a nature to criminate the official conduct of the Secretary of the Treasury, an idea to which, for obvious reasons, an extensive circulation has been given by a certain description of persons.
"The public may be assured that the said Francis has been regularly and repeatedly called upon to declare the grounds of his suggestion, that he has repeatedly evaded the inquiry, that he possesses no facts of the nature pretended, and that he is a despicable calumniator."*
* Reprinted from Reminiscences of J. A. Hamilton, p. 4.
* This letter is reprinted from the History of the Republic, vol. v., p. 424. At the previous session Giles and Madison had made this attack
TO COLONEL OLNEY
DEAR SIR:
PHILADELPHIA, Nov. 26, 1793.
Some embarrassment has arisen on the subject of a fit person for District Attorney of Rhode Island. Mr. Howell has been strongly recommended on the one hand, and positively objected to on another, and Mr. —— has been proposed in opposition. Your opinion does not appear on either side.
The President is desirous of further information, and I have undertaken to procure it for him. In addressing myself to you on the point, I proceed on an assurance of your judgment and candor. I request your ideas of the candidates fully and freely, promising that it shall not in any shape compromit you. Be so good as to state not only the qualifications of each, but the collateral circumstances affecting the public service, which will be likely to attend the appointment of either.
on Hamilton, who had replied to them, and who then, on December 16, 1792, asked for another inquiry. Before this his enemies attempted to arouse feeling against him by procuring one Francis, a dismissed clerk, to declare that Hamilton had speculated in soldiers' certificates, and they are said even to have sent a lawyer to Philadelphia to collect evidence. Hamilton thereupon published the card quoted above, which dashed the whole slander to pieces. It was in this connection that this letter was written, but the whole matter is so blindly stated in the History of the Republic that it is impossible to tell whether the letter was addressed to the lawyer just referred to, to some anonymous assailant, or to some one of the Secretary's open enemies.
Colonel Jeremiah Olney, of Rhode Island, a soldier of the Revolution and Collector of Customs at Providence.
David Howell, of Rhode Island, Professor of Law in Brown University. He had been delegate to Congress, 1782-1785, and Attorney-General and Judge of the Supreme Court of Rhode Island. He was appointed District Attorney, and from 1812 till his death, in 1824, was U. S. District Judge.
It is regretted that the affair has assumed too much a party complexion. This suggests an inquiry whether there be not some third character competent, eligible, and who would not be liable to a similar difficulty. The more speedy your answer, the more it will oblige.
TO THE UNITED STATES SENATE
Treasury Department, Feb. 22, 1794.
Sir:
I have received a late order of the Senate on the subject of a petition of Arthur Hughes. Diligent search has been made for such a petition, and it has not been found. Neither have I now a distinct recollection of ever having seen it. Whether, therefore, it may not have originally failed in the transmission to me, or may have become mislaid by a temporary displacement of the papers of my immediate office, occasioned by a fire which consumed a part of the building in the use of the Treasury, or by some of those accidents which in an extensive scene of business will sometimes attend papers, especially those of inferior importance, is equally open to conviction. There is no record in the office of its having been received, nor do any of my clerks remember to have seen it. A search in the Auditor's office has brought up the enclosed paper, which it is presumed relates to the object of the petition; but this paper, it will appear from the memorandum accompanying it, was placed in that office prior to the reference of the petition.
The Auditor of the Treasury is of opinion, though his recollection is suppositive, that the claim had relation to the services of John Hughes as forage master. Two objections opposed its admission: (1) the not being presented in time; (2) the name of John Hughes, in the capacity in which he claimed, not appearing upon any return in the Treasury.
If these be the circumstances, I should be of opinion that it would not be advisable by a special legislative interposition to except the case out of the operation of the acts of limitation.
The second order of the Senate on the subject of this petition leads to the following reflections:
Does this hitherto unusual proceeding (in a case of no public and no peculiar private importance) imply a supposition that there has been undue delay or negligence on the part of the Secretary of the Treasury?
If it does, the supposition is unmerited; not merely from the circumstances of the paper, which have been stated, but from the known situation of the officer. The occupations necessarily and permanently incident to the office are at least sufficient fully to occupy the time and faculties of one man. The burden is seriously increased by the numerous private cases, remnants of the late war, which every session are objects of particular reference by the two Houses of Congress. These accumulated occupations again have been interrupted in their due course by unexpected, desultory, and distressing calls for lengthy and complicated statements, sometimes with a view to general information, sometimes for the
explanation of points which certain leading facts, witnessed by the provisions of the laws and by information previously communicated might have explained without those statements, or which were of a nature that did not seem to have demanded a laborious, critical, and suspicious investigation, unless the officer was understood to have forfeited his title to a reasonable and common degree of confidence. Added to these things, it is known that the affairs of the country in its external relations have for some time past been so circumstanced as unavoidably to have thrown additional avocations on all the branches of the Executive Department, and that a late peculiar calamity in the city of Philadelphia has had consequences that cannot have failed to derange more or less the course of public business.
In such a situation, was it not the duty of the officer to postpone matters of mere individual concern to topics of public and general concern, to the preservation of the essential order of the department committed to his care? Or, is it extraordinary that in relation to cases of the first description there should have been a considerable degree of procrastination? Might not an officer who is conscious that public observation and opinion, whatever deficiencies they may impute to him, will not rank among them want of attention and industry, have hoped to escape censure, expressed or implied, on that score?
I will only add that the consciousness of devoting myself to the public service to the utmost extent of my faculties and to the injury of my health, is a
tranquillizing consolation of which I cannot be deprived by any supposition to the contrary.
With perfect respect, etc. ¹
TO WASHINGTON
March 8, 1794.
The present situation of the United States is undoubtedly critical, and demands measures vigorous, though prudent. We ought to be in a respectable military posture, because war may come upon us, whether we choose it or not; and because, to be in a condition to defend ourselves, and annoy any who may attack us, will be the best method of securing our peace. If it is known that our principal maritime points are out of the reach of any but formal serious operations, and that the government has an efficient active force in its disposal for defence or offence on an emergency, there will be much less temptation to attack us, and much more hesitation to provoke us.
It seems then advisable—
1. To fortify the principal ports in the several States (say one in each State), so as to be able to resist a merely maritime attack, or any thing but a regular siege.
2. To raise 20,000 auxiliary troops, upon a plan something like the following, viz.:
To be divided into ten regiments.
¹ Reprinted from American State Papers, "Claims," p. 77. This letter has also been reprinted in Adams's Life of Gallatin, p. 116. It is a very interesting and somewhat amusing document, and it may be doubted if any other Secretary of the Treasury ever dared to lecture the Senate in this way.
Each regiment to consist of two battalions, and of the following officers and men:
1 colonel, 2 majors, 10 captains, 20 lieutenants, 2 lieutenants and adjutants, 2 sergeant-majors, 40 sergeants, 4 musicians, and 1,000 rank and file.
These troops to be engaged upon the following terms:
To be enlisted for two years; but upon condition, that if a war should break out with any European power, they shall be obliged to serve four years from the commencement of such war, upon the same terms as the troops of the establishment.
To receive as a bounty, clothes with 12 dollars per man.
To be under an obligation to meet forty days in the year, and thirty of these days to encamp. When assembled, to be paid, officers and men, as the troops of the establishment, and to have the same subsistence and rations. To be furnished with arms and accoutrements by the United States, to be surrendered at the expiration of their term of service.
The officers in time of war to rank and rise with the officers of the military establishment. The arrangement to cease, ipso facto, at the expiration of a certain term (about two years).
The expense of these operations would be,
| Description | Cost |
|--------------------------------------------------|--------|
| For the fortifications | $150,000 |
| For the auxiliary troops, per annum | 350,000 |
$500,000
In addition to this, the Legislature ought to vest the President of the United States with the power
to lay an embargo, partial or general, and to arrest the exportation of commodities, partially or generally.
It may also deserve consideration whether the Executive ought not to take measures to form some concert of the neutral powers for common defence.
Mr. Hamilton presents his respects to the President—submits to him some reveries which have occupied his imagination. It may be interesting for the President to consider whether some such plan is not demanded by the conjunction of affairs; and if so, whether there ought not to be some Executive impulse. Many persons look to the President for the suggestion of measures corresponding with the exigency of affairs. As far as this idea may be founded, many important and delicate ideas are involved in the consideration.
The pains taken to preserve peace, include a proportional responsibility that equal pains be taken to be prepared for war.
TO WASHINGTON
PHILADELPHIA, May 27, 1794.
Sir:
I some time since communicated my intention to withdraw from the office I hold, towards the close of the present session.
This I should now put in execution, but for the events which have lately accumulated, of a nature to render the prospects of the continuance of our peace in a considerable degree precarious. I do not perceive that I could voluntarily quit my post at
such a juncture consistently with considerations either of duty or character; and therefore I find myself reluctantly obliged to defer the offer of my resignation.
But if any circumstances should have taken place in consequence of the intimation of an intention to resign, or should otherwise exist, which serve to render my continuance in office in any degree inconvenient or ineligible, I beg leave to assure you, sir, I should yield to them with all the readiness naturally inspired by an impatient desire to relinquish a situation opposed by the strongest personal and family relations, and in which even a momentary stay could only be produced by a sense of duty or reputation.
TO JAY
PHILADELPHIA, June 4, 1794.
MY DEAR SIR:
The session of Congress is about to close better than I expected. All mischievous measures have been prevented, and several good ones have been established. Among these, additional provisions of revenue and some of force, are not the least important.
But as more immediately connected with the objects of your mission, you will learn with satisfaction, that the bill which had passed the Senate before you left this, for punishing and preventing practices contrary to neutrality, has become a law with only one material alteration, the rejection of the clause which forbids the selling of prizes. I now consider the Executive and the Judiciary, as armed with adequate means for repressing the fitting out of privateers, the taking of commissions, or enlisting in foreign service, the unauthorized undertaking of military expeditions, etc.
At Charleston some considerable irregularities have lately happened. But means have been taken, and are in train, which will no doubt arrest their progress, and correct the evil.
I believe it would be useful for you to collect and communicate exact information with regard to the usage of Europe as to permitting the sale of prizes in neutral countries. If this should be clearly against the toleration of the practice, the Executive might still, perhaps, disembarrass itself.
Men's minds have gotten over the irritation by which they were some time since possessed, and if Great Britain is disposed to justice, peace, and conciliation, the two countries may still arrive at a better understanding than has for some time subsisted between them. Is there not a crisis which she ought not to suffer to pass, without laying a solid foundation for future harmony? I think there is.
Adieu, my dear sir: not knowing how far any press of business on the Department of State might delay its communications, I thought a few hasty lines would not be unacceptable.
TO WASHINGTON
Treasury Department, July 13, 1794.
I have considered the two subjects upon which you desire my opinion, as maturely as my situation has permitted.
With regard to the proceedings in Kentucky, I perceive nothing that can, with propriety or utility, be done, unless the attorney-general, on full and careful examination, should be of opinion that they furnish indictable matter, in which case I should think it very material that prosecutions against the ostensible and leading characters should be instituted.
With regard to the affair in Georgia, the following course presents itself as eligible:
1. To urge the Governor of Georgia to employ, efficaciously, all the means in his power (that of military coercion, if necessary, excepted) to prevent the establishment supposed to be meditated, referring him to the late act of Congress, and informing him that the expense will be borne by the United States. The commanding officer of the troops of the United States to be directed to co-operate.
2. To apprise the Creek nation of the information which has been received, and to assure them that the United States will co-operate with them to prevent the intrusion in the first instance, and afterwards to dispossess the intruders. It may, perhaps, be made a consideration for urging them to run the line of the last treaty.
3. To mention the matter informally to the Spanish commissioners, expressing the disapprobation of the government, and its intention to exert all the measures in its power to frustrate the enterprise.
TO RUFUS KING
PHILADELPHIA, Sept. 17, 1794.
When you recollect that I have two departments on my shoulders, and when I tell you that I have been out of health in the bargain, you will perhaps admit an excuse for my not answering sooner your letter some time since received.
Mr. Jay has given nothing conclusive. His letters to the 26th of June barely gave the idea that appearances were not unfavorable. The last letter, I forget the date, but it came by the last arrival at New York, refers to letters which were not received, but which are supposed to have been confided to the Portuguese Minister. This letter is couched in the same cautious terms, considers the scale as capable of turning either way, and advises not to relax in military preparation. The ministry, however, have certainly continued to countenance shipments to this country, and very large ones were making. It is a strange, mysterious business. The change in administration had made some pause in the negotiation.
Nothing from the Western country authorizes an expectation of a pacific termination of that business. All the militia are going forward as fast as they can be got forward. Virginia, all below the mountains, is zealous; beyond, neutral in conduct and divided in affection. Jersey is also zealous; so are the eastern shore of Maryland and the town of Baltimore. Thence to Frederictown a pretty good temper prevails; beyond that a very insurgent spirit and some insurrection. In Philadelphia an excellent and
productive zeal, embracing all parties, has been kindled. A good spirit will generally pervade the old counties. But there is much bad leaven in the new counties, this side of as well as beyond the mountains—Cumberland, Franklin, Mifflin, and even Northumberland.
Governor Lee is at the head of the Virginia militia, and will command if the President does not go out; he is all zeal. Governor Howell, with equal zeal, was to march from Trenton to-day with the van of the Jersey militia, consisting of 500 horse. Mifflin, who at first showed some untoward symptoms, appears now to be exerting himself in earnest and with great effect, and goes at the head of his militia.
The President will be governed by circumstances. If the thing puts on an appearance of magnitude, he goes; if not, he stays. There is a pro and a con in the case. If permitted, I shall at any rate go.
TO RUFUS KING
September 22, 1794.
I thank you, my dear sir, for your letter of the ——. A few days previously I wrote you pretty fully. I hope my letter got to hand.
The inclosed paper gives you the substance of our European intelligence under the Philadelphia head.
The returns from the western counties of this State are just come to hand. They show a valuable division, ranging on the side of the laws the most influential men, and a respectable body of others—but leaving a great number still uncomplying and
violent, so as to afford no appearance of submission to the laws without the application of force. It will give you pleasure to learn that there is every prospect of our being able to apply this effectually, and of the issue being favorable to the authority of the laws. It will occasion a large bill of costs, but what is that compared with the object? Adieu.
TO GEORGE MATTHEWS, GOVERNOR OF GEORGIA
WAR DEPARTMENT, Sept. 25, 1794.
SIR:
In the absence of the Secretary of War, I have the honor to acknowledge the receipt of your letters to his department of the 5th, 19th, and 30th of August, and to reply to such parts as are the most pressing, referring the others to the return of that officer.
Among the posts which have been established, that of Doctor’s Town creates a question, in consequence of Lieutenant Colonel Gaither’s information that it is within the Indian boundary.
This is a matter which ought to be unequivocally ascertained, and if found to be within the Indian line, or if it be even doubtful whether that be the case, the post must be immediately removed. It is deemed essential that no encroachment should take place. And your Excellency is relied upon for a strict and scrupulous adherence to this principle.
Under the circumstances which led to it, the President has thought proper to authorize the adoption by the United States of the new troop ordered by you into service, from the time of its
commencement, and to continue until the first of November ensuing, when it is to be disbanded.
And you are at liberty, if the state of things shall render it, in your judgment essential, to substitute at that time a company of infantry for the same purpose. Corps of horse, upon the terms on which that in question is engaged, are expensive in the extreme, and in a much greater proportion, compared with infantry, than any supposable superiority of usefulness can justify. Indeed, it would require a treasury much better supplied than that of the United States to support the expense of a multiplication or extension of such corps. Consequently, that multiplication or extension would tend to defeat its own object, for our instruments of defence, to be durable, must be relative to our means of supporting them. And when we find, as in the instance of the insurrection now existing in the western parts of Pennsylvania, that those for whose immediate benefit the objects of military expenditure occur are among the first to resist, even to violence, the necessary means of defraying them, it is easy to appreciate the perplexing dilemma to which the government is reduced, between the duty and the means of affording protection, and the necessity, consequently, of economy in the modes of effecting it.
Your Excellency is pleased to express your concern at being so repeatedly compelled to solicit protection for the State of Georgia.
'This is not understood as implying any want of due disposition on the part of the Executive of this government to afford all the protection which is
within the compass of the means placed within its power, having regard to all the objects which, along a very extended frontier, equally demand attention. It is not doubted that you render justice, in this respect, to the views of the Executive.
But the observation you have made in this particular naturally leads to another, which calls for the most serious attention of the governments of the States exposed to Indian depredations. It is this, that there is a reciprocal duty in the case. The obligation upon the United States to afford adequate protection to the inhabitants of the frontiers is no doubt of the highest and most sacred kind. But there is a duty no less strong upon those inhabitants to avoid giving occasion to hostilities by an irregular and improper conduct, and upon the local governments sincerely and effectually to punish and repress instances of such conduct, and the spirit which produces them. If these inhabitants can with impunity thwart all the measures of the United States for restoring or preserving peace, if they can with impunity commit depredations and outrages upon the Indians, and that in violation of the faith of the United States, pledged not only in their general treaties, but even in the special (and among all nations peculiarly sacred) case of a safe conduct, as in the instance of the attack upon the Indians while encamped within our protection, on the 10th of May last, can it be surprising if such circumstances should abate the alacrity of the national councils to encounter those heavy expenses which the protection of the frontiers occasions, and the readiness
of the citizens of the United States distant from the scenes of danger to acquiesce in the burdens they produce? It is not meant by these remarks to diminish the force of the excuse within due limits which is drawn from the conduct of the Indians towards the frontier inhabitants. It cannot be denied that frequent and great provocations to a spirit of animosity and revenge are given by them, but a candid and impartial survey of the events which have from time to time occurred can leave no doubt that injuries and provocations have been too far mutual, that there is much to blame in the conduct of the frontier inhabitants, as well as in that of the Indians. And the result of a full examination must be that, unless means to restrain by punishing the violences which those inhabitants are in the habit of perpetrating against the Indians can be put in execution, all endeavors to preserve peace with them must be forever frustrated.
An example worthy of imitation in its spirit has lately been given by the surrender to Governor Blount of some Indians who lately committed a murder upon one John Ish, an inhabitant of the southwestern territory, and who have been tried and executed. The record of such an example of justice and fair dealing will give occasion to us to blush, if we can cite no instance of reciprocity amidst the numerous occasions which are given for the exercise of it.
These reflections, your Excellency may be assured, are merely designed to present to consideration some very important truths—truths a due
attention to which is of the most serious concern to those States which have an exposed frontier. To give full weight to their claims upon the exertions of the Union to afford the requisite protection, it is of great moment to satisfy the United States that the necessity for them has not been created or promoted by a culpable temper, not sufficiently restrained among those to whom the protection is immediately to be extended.
The President learns with great pleasure the measures your Excellency had begun and was about to pursue for the removal of the settlers under General Clarke. It is impossible to conceive a settlement more unjustifiable in its pretexts, or more dangerous in its principle than that which he is attempting. It is not only a high-handed usurpation of the rights of the general and State governments, and a most unwarrantable encroachment upon those of the Indians, but proceeding upon the idea of a separate and independent government, to be erected on a military basis, it is essentially hostile to our republican systems of government, and is pregnant with incalculable mischiefs. It deeply concerns the great interests of the country that such an establishment should not be permitted to take root, and that the example should be checked by adequate punishment, in doing which no time is to be lost, for such is the nature of the establishment that it may be expected rapidly to attain to a formidable magnitude, involving great expense and trouble to subvert it.
The President therefore depends absolutely upon
measures equally prompt and efficacious to put an end to it.
TO OLIVER WOLCOTT
Treasury Department, Sept. 29, 1794.
SIR:
Being about to leave the seat of government for a few weeks, to accompany the army in its march against the western insurgents of Pennsylvania, I commit to you during my absence the management of those matters which are reserved to my superintendence, under the constitution and regulations of the department, especially the receipts and expenditures of money, and I rely upon your diligence and zeal that nothing will suffer during my absence. With regard to remissions and mitigations of penalties and forfeitures, it will be best to avoid acting in any case in which particular inconvenience will not arise from delay, as there is not time to explain the principles which have governed in the past, and the course of policy may, without such explanation, be innovated upon so as to occasion something like inconsistency. But in urgent cases you will act, consulting the most recent precedents in similar cases. To preserve the usual forms, I have signed and left in my office a large number of blank warrants of the different kinds which issue. Enclosed is a letter to the President and Directors of the Bank of New York. If they agree to loan you will conclude it. You will find in the office a power from the President
¹ Comptroller of the Treasury.
for the purpose. It will be regular in any contract which may be made to pursue the terms of the power as to parties.\(^1\)
TO RUFUS KING
JONES’ MILL, Oct. 30, 1794.
Dear Sir:
Our light corps, the Jersey infantry, and a brigade of cavalry, are about eight and a half miles in front, beyond all the mountains. This division, which has been delayed by a somewhat worse route and the incumbrance of the public stores, will be at the same place this evening. The left wing is at a corresponding point. All is essentially well; no appearance of opposition. It is of great consequence that a law should, if possible, be expedited through Congress for raising 500 infantry and 100 horse, to be stationed in the disaffected country. Without this, the expense incurred will be essentially fruitless.
A law regulating a peace process of outlawry is also urgent; for the best objects of punishment will fly, and they ought to be compelled by outlawry to abandon their property, homes, and the United States. This business must not be skinned over. The political putrefaction of Pennsylvania is greater than I had any idea of. Without rigor everywhere, our tranquillity is likely to be of very short duration, and the next storm will be infinitely worse than the present one.
\(^1\) Reprinted from *Administrations of Washington and Adams*, i., 155.
TO A FRIEND IN EUROPE
1794.
My own hope of making a short excursion to Europe the ensuing spring increases. Believe me, I am heartily tired of my situation, and wait only the opportunity of quitting it with honor and without decisive prejudice to the public affairs. This winter, I trust, will wind up my plans so as to secure my reputation. The present appearance is that the depending elections will prove favorable to the good cause and obviate anxiety for the future. In this event my present determination is to resign my political family and set seriously about the care of my private family. Previous to this I will visit Europe. There I shall have the happiness of meeting you once more. But will not a few months afterwards give us the pang of a final separation? Let us hope the best. Adieu.¹
TO THOMAS FITZSIMMONS
PHILADELPHIA, Nov. 27, 1794.
DEAR SIR:
Seeing the debates on the subject of Democratic Societies, I called at your house to state some facts.
It is true that the opposition to the excise laws began from causes foreign to Democratic Societies, but it is well ascertained by proof in the course of
¹ Reprinted from the History of the Republic, vi., 193, where it has neither address nor date. This letter, however, must have been written in the autumn of 1794, as the reference to the pending elections and the writer's resignation in the following winter shows.
judiciary investigations that the insurrection immediately is to be essentially attributed to one of those societies sometimes called the Mingo-Creek Society, sometimes the Democratic Society. An early and active member of it commanded the first attack at Neville's House; another active member of that Society, McFarlane, the second attack. Benjamin Parkinson, the president, and several other members of it seemed to have directed the second attack as a committee. This may be asserted as founded upon good proof and information recently received, though it would not be consistent with decorum to name me. Make what use you please of this, and communicate it to other friends.\(^1\)
TO WASHINGTON
PHILADELPHIA, Dec. 1, 1794.
SIR:
I have the honor to inform you that I have fixed upon the last of January next as the day for the resignation of my office of Secretary of the Treasury. I make the communication now that there may be time to mature such an arrangement as shall appear to you proper to meet the vacancy when it occurs.
TO WASHINGTON
December 2, 1794.
The Secretary of the Treasury has the honor respectfully to make the following representation to the
\(^1\) Reprinted from the *History of the Republic*, vi., 123.
President of the United States, in order that he may determine on the expediency of laying the subject of it before Congress.
The procuring of military supplies generally is, with great propriety, vested by law in the Department of the Treasury. That department, from situation, may be expected to feel a more habitual solicitude for economy than any other, and to possess more means of information respecting the best modes of obtaining supplies.
It is, however, important that the particular arrangement should be such as to enable the department to execute the trust in the best manner. This branch of business forms a very considerable one of the public expenditure. Including supplies for the navy, it is so extensive as, to be well executed, would occupy the whole time and attention of one person, possessing the requisite qualifications. This, with the growth of the country, must be every year more and more the case. It cannot, therefore, be conducted in detail by the head of the department, or by any existing officer of it, now charged with other duties, and without being less well executed than it ought to be, or interfering with other essential duties, or without a portion of both these inconveniences, to the material detriment of the public service. Experience has already verified the position.
It must then, of necessity, either be confided to a special agent, employed by the head of the department, or to a new officer of the department, to be constituted by law, and to act under the discretion
and superintendence of that head. The last mode is preferable to the first, for obvious reasons.
Whenever an object of public business is likely to be permanent, it is more fit that it should be transacted by an officer of the government, regularly constituted, than by the agent of a department, specially intrusted.
The officer can be placed, by law, under more effectual checks. In the present case, that idea is particularly important. The person intrusted ought to be prohibited, under penalties, from all dealing, on his own account, in the objects of supply.
The duration and emoluments of mere agency being precarious, a well-qualified man, disposed to make the necessary sacrifices of other pursuits, and to devote himself exclusively to the business, could with much greater difficulty, if at all, be found.
The compensation to such an officer ought, it is conceived, to weigh nothing as an objection. Independent of the equivalent expense, arising from the necessity of employing and compensating an agent, it is morally certain that the close, constant, undivided attention of a person, charged exclusively with this object, and in condition, for that reason, to make the minute as well as extensive inquiries and investigations which are often requisite, would produce savings to the United States with which the salary of the officer could bear no comparison. It is equally evident that it would contribute greatly to punctuality, despatch, and efficiency in procuring the supplies.
TO WASHINGTON
PHILADELPHIA, Jan. 26, 1795.
SIR:
Mr. Wolcott has just informed me that the Secretary of State had called upon him as by your direction, to confer on the subject of a person to be appointed Comptroller, in the event of his appointment as Secretary of the Treasury; and intimated that you had concluded to take some gentleman from the South; that Mr. Habersham (brother of the collector of Savannah) was more particularly in your eye, and that if he or I had any different view of the subject, it was your wish that it might be speedily communicated, as you were desirous of coming to a conclusion.
This I accordingly feel it my duty to do.
It is of the greatest importance to the proper conducting the business of the Treasury Department that the Comptroller should be a man of the following description: of strong sense, of clear discernment, sound judgment, indefatigable industry, firmness, and prompt decision of temper; possessing a comprehensive knowledge of accounts, and of course good principles.
As well from the nature of the office as from the particular situation of the department, as it will stand at the moment of my resignation, it is of peculiar consequence that there should be no mistake in the selection of the proper character for Comptroller. It will be easy for the department to run into disorder if such a mistake should happen.
From all the light I have been able to obtain on the subject, though it results in a favorable impression of Mr. Habersham generally, yet it leaves a considerable doubt on my mind that he would be an eligible appointment as Comptroller of the Treasury. I cannot, therefore, add my opinion to the rest of the opinions which may favor it.
There is one gentleman South, whom I have before mentioned, of whose fitness in every respect, from trial of him in different public situations, it appears to me impossible to entertain a doubt—I mean Colonel Edward Carrington. I will pledge my reputation to the President for his proving, if appointed, an excellent Comptroller, and a valuable acquisition to the department.
I have fully reflected on the objection which from the distributive geographical rule, is supposed to be against him—and I beg leave to submit, as my opinion, that it ought not to be conclusive. This rule is doubtless a good one; but if carried so far as to hazard the appointment of unqualified persons to offices of material importance to the general administration of the government, it will become a bad one, sacrificing primary to secondary considerations.
I have offered my opinion with the less reserve because I ought to be explicit in a case not only of much moment to the public service, but when the arrangements which may be made, may, naturally from situation, be presumed to have had the concurrence of my opinion, and where, therefore, my reputation is more particularly concerned.
TO WILLINK, VAN STAPHORST, & HUBBARD
TREASURY DEPARTMENT, Jan. 31, 1795.
GENTLEMEN:
It is probable that before this reaches you, you will have heard of my determination to resign my office as Secretary of the Treasury as on this day. The event will accordingly take place.
I could not permit myself to renounce my official situation without placing among my last acts the expression of the high sense I continue to entertain of the fidelity and ability with which you have uniformly served the United States. This testimony is due to you, and it is with great pleasure I give it.
The gentleman whom the President has determined to nominate as my successor, and who will be no doubt appointed, is Oliver Wolcott, Esquire, the present Comptroller of the Treasury. I do him no more than justice by assuring you that he is a gentleman of undoubted intelligence, probity, and good principles with regard to public credit. The confidence of yourself and your countrymen may be safely reposed in him.
TO WASHINGTON
TREASURY DEPARTMENT, Jan. 31, 1795.
SIR:
Agreeably to the intimation heretofore given, I have the honor now to tender you my resignation of the office of Secretary of the Treasury, and to be
* The Dutch bankers who had charge of our financial negotiations in Holland.
with sincere respect and affectionate attachment, sir, etc.
WASHINGTON TO HAMILTON
Sunday, Feb. 1, 1795.
Dear Sir:
I received the enclosed letter, with the document therein, last night.
For reasons which will appear obvious, I make you acquainted with the contents of them—being yours,
G. Washington.
Endorsement on this letter by A. H.
This covered a letter from Mr. Coxe, of the 31st January,¹ 1795, containing a charge against Mr. Wolcott, for my having committed to him, and he having exercised, the duties of Secretary of the Treasury in my absence on the Western expedition.
A. H.
WASHINGTON TO HAMILTON
Philadelphia, Feb. 2, 1795.
Dear Sir:
After so long an experience of your public services, I am naturally led, at this moment of your departure from office—which it has always been my wish to prevent—to review them.
In every relation which you have borne to me I have found that my confidence in your talents, exertions, and integrity, has been well placed.
¹ This letter curiously shows the hostility which pursued Hamilton even when leaving office. The writer was Tench Coxe, who was an officer in the Department. See following letter of Feb. 12, to Washington.
I the more freely render this testimony of my probation, because I speak from opportunities of information which cannot deceive me, and which furnish satisfactory proof of your title to public regard.
My most earnest wishes for your happiness will attend you in your retirement, and you may assure yourself of the sincere esteem, regard, and friendship of, etc.
TO WASHINGTON
PHILADELPHIA, Feb. 3, 1795.
SIR:
My particular acknowledgments are due for your very kind letter of yesterday. As often as I may recall the vexations I have endured, your approbation will be a great and precious consolation.
It was not without a struggle that I yielded to the very urgent motives which impelled me to relinquish a station in which I could hope to be in any degree instrumental in promoting the success of an administration under your direction; a struggle which would have been far greater had I supposed that the prospect of future usefulness was proportioned to the sacrifices to be made.
Whatsoever may be my destination hereafter, I entreat you to be persuaded (not the less for my having been sparing in professions) that I shall never cease to render a just tribute to those eminent and excellent qualities which have been already productive of so many blessings to your country, that you will always have my fervent wishes for your public and personal felicity, and that it will be my pride to cultivate a continuance of that esteem, regard, and
friendship of which you do me the honor to assure me. With true respect and affectionate attachment, etc.
TO WASHINGTON
(Private.)
PHILADELPHIA, Feb. 12, 1795.
SIR:
I have maturely reflected on the subject of the within papers. I do not hesitate to give it as my opinion that, if it were not for very peculiar personal circumstances, the fittest arrangement, upon the whole, would be to consign the temporary execution of the comptroller's office to the commissioner of the revenue. But I could not advise this, because it could not fail, for strong reasons, to be unpleasant to Mr. Wolcott, and because there is real danger that Mr. Coxe would first perplex and embarrass, and afterward misrepresent and calumniate.
The treasurer would by no means answer, because, as the keeper of the money, it is particularly essential that all the checks upon him should be maintained in full vigor, and the comptroller is the officer who, in the last resort, settles his accounts, as well as concurs, in the first instance, in authorizing, by the warrants which are issued by the secretary, and countersigned by the comptroller, the payments and receipts of the treasurer.
The register is also one of the principal checks of the department: first, upon the secretary and comptroller, whose warrants he must register and sign before they can take effect; and secondly, upon the
settlements of the comptroller and auditor, by recording their acts, and entering them upon the books to the proper accounts.
Of any of the officers of the department, except the commissioner of the revenue, the business can be best managed through the auditor, consistently with the preservation of the most material checks, with the restriction I mentioned this morning, of his not deciding, as comptroller, upon any account he may have settled as auditor. The temporary suspension of the final conclusion of the accounts—all the previous examinations going on, cannot be attended with any serious inconvenience. If the laws admit of it (which I doubt, as they now stand), the appointment of the auditor's first clerk to act as the auditor in his stead will be a conveniency. I do not think this would be liable to the same objections as the appointing a clerk to act as comptroller, whose office imports the second trust in the department. In one sense, to appoint the auditor to act as comptroller, would comport best with the spirit of the constitution of the department. This is, that the officer who is to settle the accounts by countersigning the warrants for receipts and payments, shall have an opportunity to observe this conformity with the course of business as it appears in the accounts, and shall have notice in the first instance of all payments and receipts, in order to the bringing all persons to account for public moneys. This reason operates to make the auditor, who is the coadjutor of the comptroller in settlements, his most fit substitute in this particular view.
On the whole, I am of opinion that it is most advisable to appoint the auditor.\footnote{Richard Harrison.}
A clerk, for reasons already mutually adverted to, does not appear to be expedient. I have the honor to be, etc.
P. S.—The restriction above suggested, for greater caution, had best be in writing in a letter to the Secretary of the Treasury.
The instrument appears to me to be in proper form.
TO THEODORE SEDGWICK
BRISTOL, Feb. 18, 1795.
My Dear Sedgwick:
Every moment's reflection increases my chagrin and disgust at the failure of the propositions concerning the unsubscribed debt. I am tortured by the idea that the country should be so completely and unnecessarily dishonored. A day of reckoning must come. I pray you let the yeas and nays separate the wheat from the chaff. I may otherwise have to feel the distress of wounding a friend by a shaft levelled at an enemy. The case is an extreme one. Managements are every way improper.
TO RUFUS KING
KINGSTON, Feb. 21, 1795.
My Dear King:
The unnecessary and capricious and abominable assassination of the national honor by the rejection
of the propositions respecting the unsubscribed debt in the House of Representatives haunts me every step I take, and afflicts me more than I can express. To see the character of the government and the country so sported with—exposed to so indelible a blot—puts my heart to the torture. Am I, then, more of an American than those who drew their first breath on American ground? Or what is it that thus torments me at a circumstance so calmly viewed by almost everybody else? Am I a fool—a romantic Quixote—or is there a constitutional defect in the American mind? Were it not for yourself and a few others, I could adopt the reveries of De Paux \(^1\) as substantial truths, and could say with him that there is some thing in our climate which belittles every animal, human or brute.
I conjure you, my friend, make a vigorous stand for the honor of your country! Rouse all the energies of your mind, and measure swords in the Senate with the great slayer of public faith—the hackneyed veteran in the violation of public engagements. Prevent him if possible from triumphing a second time over the prostrate credit and injured interests of his country.\(^2\) Unmask his false and horrid hypothesis. Display the immense difference between an able statesman and the man of subtleties. Root out the distempered and noisome weed which is at-
\(^1\) The Abbé de Paux, or Pauw, a distinguished scholar, born in Amsterdam. The work referred to is his *Recherches Philosophiques sur les Américains*. He wrote similar works on the Chinese, Egyptians, Greeks, and ancient Germans.
\(^2\) Witness the forty for one scheme—a most unskilful measure, to say the best of it.
tempted to be planted in our political garden, to choke and wither in its infancy the fair plant of public credit.
I disclose to you without reserve the state of my mind. It is discontented and gloomy in the extreme. I consider the cause of good government as having been put to an issue and the verdict rendered against it.
Introduce, I pray you, into the Senate, when the bill comes up, the clause which has been rejected, freed from embarrassment by the bills of credit, bearing interest on the nominal value. Press its adoption in this, the most unexceptionable shape, and let the yeas and nays witness the result.
Among the other reasons for this is my wish that the true friends of public credit may be distinguished from its enemies. The question is too great a one not to undergo a thorough examination before the community. It would pain me not to be able to distinguish. Adieu. God bless you!
P. S.—Do me the favor to revise carefully the course of the bill respecting the unsubscribed debt and let me know the particulars. I wish to be able to judge more particularly of the under-plot I suspect.
TO RUFUS KING
NEW YORK, Feb. 26, 1795.
My Dear Sir:
I have received your letter with the printed bills. The new clause is an additional bad feature, yet 't is
better the thing should pass as it is than not at all. Every thing should be gained that can be.
So it seems that under the present administration of the department, Hillhouse \(^1\) and Goodhue \(^2\) are to be the ministers in the House of Representatives, and Ellsworth \(^3\) and Strong \(^4\) in the Senate. Fine work we shall have!
But I swear the nation shall not be dishonored with impunity.\(^5\)
TO OLIVER WOLCOTT
ALBANY, April 10, 1795.
DEAR SIR:
I wrote you a few lines by the last post. I sit down to fulfil my promise then made.
The fulfilment of our foreign engagements under the existing circumstances is no doubt a perplexing task. But I hope it will not be found impracticable to effect enough to preserve character and credit.
Every thing must be done to this end, though with considerable sacrifices, provided you do not go so far as to endanger credit at home. This must at all events be kept sound, since a shock there will be fatal, while the extraordinary situation of the times will furnish an apology for any omissions which may
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\(^1\) James Hillhouse, of Connecticut.
\(^2\) Benjamin Goodhue, of Massachusetts.
\(^3\) Oliver Ellsworth, of Connecticut.
\(^4\) Caleb Strong, of Massachusetts.
\(^5\) All the persons mentioned in this letter were staunch Federalists and warm friends of Hamilton. He wrote evidently in great but momentary irritation on account of the course of Congress as to the unsubscribed debt.
happen abroad; and, by eventual indemnification, the wounds which may be given to foreign credit may be healed. The opinion which some entertain is altogether a false one—that it is more important to maintain our credit abroad than at home. The latter is far the most important nursery of resources, and, consequently, far the most important to be inviolably maintained. A failure here would be the more material, because it would argue want of means, and could not shelter itself under the plea of temporary embarrassments from external causes, and because it would derange our whole internal economy.
But, except the compromitting our whole domestic credit, nothing must be left undone to preserve external credit.
I do not doubt that the means which have been taken down to the first of June, inclusively, will be deemed adequate, considering the circumstances. They may, however, fail of the effect intended. But I do not apprehend any material evil from the delay of reimbursing the instalment of principal, if the interest is but punctually and honestly paid. I hope our commissioners, with the public and their own resources, will effect this, till further provision can be brought into action.
As to sending specie from this country, 't is out of the question. 'T would derange every thing, and our commissioners ought to be frankly told that it is impracticable, owing to the interruption by the war of some of the usual channels through which we have derived our supplies of specie.
But commodities may be remitted on the public
account, and this (the resource of stock failing) must, for aught I see, be done, unless what I shall now mention can be accomplished, with the judgment of our commissioners in its favor, to wit:
Let them enter into an arrangement with the constituted authorities of Holland or France (preferring the former) to receive at Amsterdam the sums necessary for paying those which we shall owe, giving drafts upon our treasury for equivalent sums. This will enable the French or Dutch government to obtain supplies here, which they will want.
But may they for this purpose receive and pay assignats? Not so, if assignats are not the general currency of the country; but if they are, there may be no choice. Gold and silver may not then be obtainable at all. Perhaps the commissioners may be able to raise funds by the sale of bills upon this country; otherwise, as many may wish, to remit from the Netherlands.
Yet our creditors must not be paid without a reasonable indemnification in depreciated paper. Consequently our commissioners must be authorized, if obliged to pay in assignats, to augment the rate, so as to allow an equivalent.
Accordingly, if the arrangement I have intimated can be effected, the commissioners may give bills, florin for florin, of gold or silver (or a dollar for 2½ florins); but if they are obliged to receive assignats, they ought to secure a premium of exchange equal to the depreciation.
This transaction ought to be managed under the superintendence of our minister.
What I wish you were able immediately to do is this: To ship without delay commodities sufficient, together with the moneys certainly in the command of the commissioners, independent of sales of stock, to pay interest to September, inclusively, writing them a letter suggesting the above plan, and authorizing them to act upon it if they approve.
The stock remitted may be ordered to be sold in England, which will furnish a fund upon which you can draw, in order to prosecute other methods of remittance.
At the same time, I think it may be well to take measures for ascertaining whether some arrangement could not be relied upon for remitting through England to Amsterdam. I know of no impediment, even now, to sending bullion (including Spanish and other foreign gold and silver coin) in American bottoms to Amsterdam, but impediments might arise. Perhaps in this case London might be made an intermediary of remittances to Holland, either by sales of stock or commodities there.
The commodities to be remitted ought to be such as to be liable to as little casualty as possible from war considerations, and they ought to be most effectually insured, and ought to appear authentically as those of the United States sent to pay their debts on their own account and risk. I suspect, however, the other plan will be found practicable on satisfactory principles, but no agreement ought to be for a longer term than a year.
If you are not able to send, immediately, commodities for payment of interest to September, it
may then be of necessity to wait further information, giving full latitude, if it has not already been given, to sell stock for payment of interest at any price; suggesting the possibility of doing some thing through London, and proposing the plan of the arrangement which has been suggested. All the stock not salable in Amsterdam ought to be placed in London, under due precautions for security, to be sold there as a fund.
The co-operation of our minister in Holland will be proper throughout; and pretty large discretions must be confided.
If a very trusty and a clever fellow could go from hence, as agent for the treasury, with alternative instructions according to circumstances, it might be very useful. I believe William Smith, of South Carolina, would go and he would be safe and competent. Would not James Watson go? He would also do.
In contemplating a possible course of things, I had my eye upon the expedient of issuing warrants upon the treasurer, payable at future periods, from two to twelve months, in nature of exchequer bills. This may be a means of providing for the current service of credit, besides the expedient of loans from the bank. By being negotiable, they may answer the purposes of contractors, though articles may thereby cost some thing more to the public, than on the plan of anticipated or prompt payment.
I mention this, because I foresee that, from the embarrassment of foreign events, there may be a press upon the treasury.
If any thing further occurs, you shall have it. Write me as freely as you please.
P. S.—There is one idea which may deserve attention—a depreciated paper naturally gives to gold and silver an artificial and exaggerated value. This may even occasion an undue loss to a debtor who is honorable enough to pay in gold and silver, when a depreciated paper is the general currency. This is more than just. But it may be policy in a government to submit to it. Yet there may be bounds. The idea may be brought into the view of our minister and commissioners for this purpose: To suggest, that if such an artificial advancement of gold and silver takes place, the compensation for depreciation may be adjusted upon some equitable ratio. But a moderate sacrifice, for simplicity of proceeding, may, in this case, be best.
I send a letter to the Attorney-General which you will read, seal, and deliver. You will easily divine my reason for addressing it to him. The President ought to view this matter as it is, but I do not write to him, because I do not wish to appear officious.
Have you taken any arrangement at Amsterdam, to facilitate the change of foreign and domestic debt, according to the law of last session? The moment is favorable. Facilities on the spot may promote the object. Our commissioners and our minister are worthy of trust.
TO RUFUS KING
April 24, 1795.
Dear Sir:
I return you a certain draft, with a little substitute for the close of it proposed by Mr. J——, with an eye to your suggestion.
Our petition went yesterday by express. It had more than 3,200 signers, which is within about 300 of the highest poll we ever had in this city on both sides, at the most controverted election. Nothing can more clearly demonstrate our unanimity, and I feel no doubt of equal or greater unanimity throughout the State.
The meeting-men have not dared to publish the names of the committee, because it impudently contained a considerable proportion of persons hostile to its object, several of them actually on our petition. You see by this their embarrassment and their weakness.
TO WILLIAM BRADFORD
May, 1795.
Dear Sir:
Yours of the twenty-first of May, by going to Albany, did not reach me till yesterday. The expectation of Mr. Adet properly varied the course of proceeding. I am glad the impression with you corresponded with mine.
¹ William Bradford, of Pennsylvania, at this time Attorney-General of the United States. He had been a soldier of the Revolution and a judge and Attorney-General of Pennsylvania. He was a man of ability and character, and his premature death shortly after the date of this letter, on August 23, 1795, was deeply regretted.
If Mr. Randolph showed Fauchet any part of the instructions to Mr. Jay, I do not much regret that he manifests displeasure at the withholding of a part. When shall we cease to consider ourselves as a colony of France? To assure her minister that the instructions to Mr. Jay contained nothing which could interfere with our engagements to France might, under all the circumstances, have been expedient; but to communicate specifically any part of the instructions to our envoy, was, in my judgment, improper in principle and precedent.
I expect the treaty will labor. It contains many good things, but there is one ingredient in it which displeases me—of a commercial complexion. I am, however, of opinion, on mature reflection, that it is expedient to ratify, accompanied by a declaration that it is our intention, till there be a further explanation and modification of the article, to forbear the exercise of a certain privilege, and consequently the performance of the condition of it, or some thing equivalent. This, it is true, may or may not be accepted. But I believe it will create no difficulty, and I would rather risk it than take the treaty unqualifiedly. I prefer this course to that of sending back the treaty for a new negotiation, because (among other reasons) it may save time, and more speedily close certain matters which I deem it very important to terminate. I am also glad to learn that, since the date of your letter, there have been some convictions of the insurgents. This was very essential to the permanent good effects of the measures which were pursued on that subject. You see,
I have not entirely lost my appetite for a little politics; you must not infer that I have not a very good one for law.
P. S.—I had almost forgotten a principal object of this letter. It concerns the Marquis Lafayette. In conversation, I think, but certainly by letter (this entre nous), I suggested to Mr. Jay that, in case the treaty with Great Britain turned favorably, it will be well to hint to the British minister that the United States took a very particular interest in the welfare of Lafayette, and that the good offices of that country, to procure his liberation, would be regarded as a valuable mark of friendship. I believe I also had some conversation, in the same spirit, either with the President or the Secretary of State; but I do not remember if any thing was done. If the thing has not been tried, and if the treaty is ratified, will it not be advisable to instruct the person who is to exchange it, to accompany it with an observation of the above import? The moment will be a favorable one—and I imagine the time is fast approaching when Lafayette will recover his popularity in his own country. The chief thing against this is the rivalship of those who hold the power. But will they not be glad to consolidate their general plan by weight of a man who with all parties, has maintained the character of well-intentioned, and who probably has the good-will of the multitude, spite of all that has passed. I see no inconvenience in your taking occasion to ask Mr. Jay if the Marquis Lafayette was ever the subject of conversation
between him and the British ministry, and how it terminated. And I will thank you, if you feel yourself at liberty, to let me know whether any thing like the step I have suggested obtains.
TO RUFUS KING
NEW YORK, June 11, 1795.
Dear Sir:
I thank you for your letter of the 10th. The case has been with me as with you. Reflection has not mitigated the exceptionable point. Yet it will be to be lamented, if no mode can be devised to save the main object and close the irritable questions which are provided for. Everything besides an absolute and simple ratification will put some thing in jeopardy. But while, on the one hand, I think it advisable to hazard as little as possible, on the other, I should be willing to hazard something, and unwilling to see a very objectionable principle put into activity.
It is to be observed that no time is fixed for the ratification of the treaty. It may then be ratified with a collateral instruction to make a declaration, that the United States considers the article in question, aggregately taken, as intended by the king of Great Britain as a privilege; that they conceive it for their interest to forbear the exercise of that privilege, with the condition annexed to it, till an explanation in order to a new modification of it shall place it on a more acceptable footing, or till an article to be
---
2 Reprinted from the History of the Republic, vi., 216.
sent to our minister containing that modification shall be agreed upon between him and the British court as a part of the treaty—the ratification not to be exchanged without further instruction from this country, unless accepted in this sense and with this qualification.
This course appears to me preferable to sending back the treaty to open the negotiation anew, because it may save time on the points most interesting to us, and I do not see that if the ratifications be exchanged with this saving, there can be any doubt of the matter operating as intended. Adieu.
TO OLIVER WOLCOTT
NEW YORK, June 13, 1795.
DEAR SIR:
Your letter from New York, after a circuit by Albany, found me here.
I forgot to observe to you in my last, that unless there were objections to it which did not occur to me, it appeared advisable, if not done, to institute at Amsterdam a plan for subscribing the Dutch and Antwerp debt. It may be conducted under the management of our commissioners with the superintendence of our minister. In all such cases a considerable deal depends on facilities on the very spot, and the moment seems particularly favorable.
P. S.—I will willingly testify what you mention respecting Mr. Cabot,¹ but having torn up your letter,
¹ George Cabot, Senator from Massachusetts, an intimate friend of Hamilton and Wolcott. It is impossible now to tell the meaning of the reference here made to him.
trusting to my memory, it has left me in the lurch, and I do not know where Cabot is, whether here or in Europe. What prospects as to the treaty?¹
TO RUFUS KING
New York, June 20, 1795.
My Dear Sir:
A considerable alarm has been spread this morning by a report that the treaty had been disagreed to. I have assured those I have seen that I was convinced any rumor of a decision must be premature. The anxiety, however, about the result is extreme. The common opinion among men of business of all descriptions is that a disagreement to the treaty would greatly shock and stagnate pecuniary plans and operations in general. This is not a small source of disquietude. Others, who are not likely to be affected in that sense (and among these myself), look forward to the result with great solicitude, as fixing or endangering the stability of our present beneficial and desirable situation.
My influence in seconding the wishes of our friend General Greene is, I fear, overrated. Unwilling to raise expectation which may not be realized, I will only say that it will give me real pleasure to be able to promote his accommodation or advantage, as my opinion of him entirely corresponds with yours. In
¹ Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society. I owe this and other letters from the same source to the kindness of the Hon. J. Hammond Trumbull, of Hartford.
the meantime I will, as far as circumstances permit, have an eye to the affair.
TO OLIVER WOLCOTT
NEW YORK, June 22, 1795.
Dear Sir:
I have received your letter of the 18th instant. I will reply to one or two points now, and to the rest hereafter.
With regard to the measure of receiving Dutch bonds here to be exchanged, as is usual, it has different sides. To do it may be, in some measure, necessary to effectuate the main object, as there may be many individuals who, from circumstances, might not think themselves safe in employing the mode which has been adopted, and which is no doubt proper. Yet it is easy to see it might be attended with hazard of imposition. But some thing may depend on the nature of the checks which the course of the business originally gives to our agents at Amsterdam. If similitude of handwriting is the only internal check, perhaps it may be possible to manage the matter here. A conversation with Cazenove may furnish you with the requisite data. Yet I feel great doubts of the safety of the operation, and, if adopted at all, it ought to be upon condition that no definitive or alienable evidences are to be given in exchange for the original bonds till after a period (to be named) long enough to receive at the treasury the result of the operation in Holland, and a particular and detailed statement of it; and that no interest be payable (in the meantime) without a guaranty for repayment. With these checks none
but respectable men will come forward, and there may be little or no risk. Yet, as I intimated, even the expediency of this depends on the nature of the original checks, and it ought to be announced that the treasury reserves to itself entire discretion as to the admission or non-admission of the bonds presented here.
With regard to the contract proposed by Mr. Swan, I answer, that I doubt much the advisability of concluding any thing with him here, for being concluded, it must be relied upon as a primary resource with the auxiliary and contingent expedient of drawing in case of failure; and Mr. Swan is not of standing, or character, to justify the leaving the public credit to depend primarily upon his punctuality. If Mr. Swan is able to do what he offers, it must be on the basis of French government funds, or that of a powerful moneyed combination in Europe. If either, why cannot he be referred to our commissioners and minister, under letters from the treasury stating the offer, the desirableness that such a contract could be formed under adequate guards for its performance, and leaving it to them to judge of the adequateness of the guards which shall be proposed? It appears to me very material that they should be satisfied with the arrangement, and essential that there should be good security and known resources for the execution of it.
Else no loss on shipping commodities, or otherwise, for the short time it can last, will counterpoise the risk of disappointment and censure of reliance on an incompetent character.
I will barely observe on one point of the latter part
of your letter, namely, the payment of interest under the direction of the commissioners of the sinking fund. I have not the act by me, and can only speak from memory; but I am persuaded it does not require it. I am sure it will be highly inexpedient to place any extra clogs on that operation, and I do not perceive why the manner of keeping the accounts may not obviate any embarrassment from a separate management of the two things. I will write again more particularly, on this as well as on other points. I am glad to know that there is a probability of a proper issue to the affair of the treaty.
TO OLIVER WOLCOTT
NEW YORK, June 26, 1795.
DEAR SIR:
I have direct information, in confidence, that the minister of France, by a letter received yesterday, has ordered a fast-sailing vessel for France to be prepared at this port. No doubt this has connection with the treaty with England. I presume, with the reserves that decorum requires, he is apprised of the contents of that treaty. This ought, at least, to go so far as to satisfy him that there is nothing in it inimical to his country, especially as I suppose it to have been adopted. It is well to guard our peace on all sides, as far as shall consist with dignity.
Indeed, I am of opinion, on the whole, that all further mystery at present is unnecessary, and ought to be waived, for the satisfaction of the public mind. I do not think any scruples of diplomatic decorum of weight enough to stand in the way.
TO OLIVER WOLCOTT
NEW YORK, June 30, 1795.
Dear Sir:
Doctor Livingston some time since left with me a bundle of vouchers relating to the questions between Phil. Livingston's estate and the public. There was, among other things, a little register or book with a marble cover, doubled up. I do not find it among my papers, and if my memory does not deceive me it was sent, on breaking up at Philadelphia, to one of the officers of the treasury. Mr. Jones may know some thing of it. It is interesting to the estate. Let a careful search be made, and when found let it be forwarded by a careful hand to me.
P. S.—I find the non-publication of the treaty is working as I expected—that is, giving much scope to misrepresentation and misapprehension. The Senate, I am informed by several members, did not take any step towards publication, because they thought it the affair of the President to do as he thought fit.\(^1\)
TO ROBERT TROUP \(^2\)
NEW YORK, July 25, 1795.
My Dear Troup:
Confiding in your integrity and friendship to me, I have made you executor of my will. My concerns are not very extensive and of course will not give you much trouble. Indeed, I might have dispensed
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
\(^2\) Robert Troup, of New York, a gallant officer in the war for independence. He was a successful lawyer, a United States district judge, and one of Hamilton's closest friends.
with the ceremony of making a will as to what I may myself leave, had I not wished that my little property may be applied as readily and as fairly as may be to the benefit of my few creditors. For after a life of labor I leave my family to the benevolence of others, if my course shall happen to be terminated here.
My property will appear on the list herewith marked A.
My creditors are John Barker Church,\(^1\) to whom I owe about five thousand pounds, as will appear by account marked B.
The Office of Discount and Deposit, New York, who hold a note of mine for five hundred dollars endorsed by Nicholas Fish. The holders, unknown, of two drafts drawn upon me by my father, one for five hundred, the other for two hundred, dollars. Mr. Meade, to whom Ceracchi gave a bill on me for six hundred and odd dollars, which I told Mr. Ludlow it was my intention to pay.
Mr. Sheaf, of Philadelphia, wine merchant, to whom I owe a balance of account not very considerable. Gaspard Joseph Armand Ducher, who has my bond in duplicate for £698 principal, being for money which he left in my hands when he went to France, having no better disposition of it. This, being a bond debt, will claim a preference, and from the nature of it I am glad of it.
Arthur Noble, Esquire, who has my bond for the fourth part of the lands purchased of him in company with yourself, Lawrence, and Fish. The lands them-
\(^1\) His brother-in-law.
selves will be a fund for the payment of these bonds. I hope the poor fellow may be alive. He was a member of the convention.
I have left in the hands of Col. Fish the obligations mentioned in the list of Cortland and of Wickham & Thompson, to secure him in this mere act of friendship from the possibility of loss, and to accelerate his reimbursement.
I hesitated whether I would not also secure a preference to the drafts of my father, but these, as far as I am concerned, being a voluntary engagement, I doubted the justice of the measure, and I have done nothing. I regret it, lest they should return upon him and increase his distress. Though, as I am informed, a man of respectable connections in Scotland,¹ he became, as a merchant, bankrupt at an early day in the West Indies and is now in indigence. I have pressed him to come to me, but his great age and infirmity have deterred him from the change of climate.
I hope what I leave may prove equal to my debts. If it does not, I have the consolation of hoping that the loss will be permitted by himself to fall upon my brother-in-law, Mr. Church, whose friendship and generosity I do not doubt.
I regret that his affairs as well as my own have suffered by my devotion to the public service. But I trust, upon the whole, that the few operations I have made for him will more than recompense him for my omissions, though they will not have been as
¹ When Hamilton speaks in this way of his father, it is not surprising that so much mystery should overhang his birth and parentage.
profitable to him as they ought to have been, and as they would have been if I could have paid more attention.
Purchases of lands have been made for Mr. Church, first, in Pennsylvania, in company with Tench Coxe, to whom I advanced ten thousand dollars; second, in this City of New York, in company with J. Lawrence, to whom I have advanced the sums mentioned in the account marked C, in bundle AA. Besides these advances, I have put into his hands a draft of Fitzsimmons upon Constable, accepted by the latter, for four thousand dollars, and a set of bills for five hundred pounds sterling, received from Robert Morris, drawn by Harrison & Sherret upon the house of Cazenove & Co., London. These are all on the same account of the purchases.
You will find, in the bundle marked AB, a smaller bundle marked D, which will explain the nature and state of the business with Mr. Coxe, by which also you will see that Mr. Anthony, who is a very good man, is my agent in that affair.
You will also find in bundle AA a note of Mr. Morris for nine thousand five hundred dollars, on account of which the above bills are. This note was for money lent belonging to Mr. Church. Mr. Morris will not dispute that it bears interest from the date. Indeed, the real sum was ten thousand dollars, but Mr. Morris after some time paid me five hundred. The interest ought to be calculated accordingly. Mr. Morris can furnish the data.
As this money was thus disposed of without being warranted by the spirit of Mr. Church’s instructions,
I considered myself as responsible for it. And I trust that Mr. Morris will exert himself to pay the balance speedily, to be applied to the investments which Mr. Lawrence is making.
I have received some large fees for which the parties could not have had equivalents: from Williamson, one hundred pounds; from Constable, one hundred pounds; from Macombe, one hundred pounds; from Mr. Bayard, on behalf of Wilken and Jared Willink, one hundred pounds. It would be just, if there were means, that they should be repaid. But what can I direct who am, I fear, insolvent?
God bless you, my friend. Be assured always of the attachment of, etc.
P. S.—I remitted Sheaf, on my way through Jersey, an order on the Bank of the United States for a good part of his demand. This will appear by my bank account.
In my leather trunk, where the bundles above mentioned are, is also a bundle I. R. inscribed thus:
To be forwarded to Oliver Wolcott, Jun., Esqr.
I entreat that this may be early done by a careful hand.
This trunk contains all my interesting papers.¹
¹This long and interesting letter is now first printed from the Hamilton papers in the State Department. It furnishes a striking commentary on the charges of corruption made against Hamilton by Jefferson and his tools, and on Madison's cold sneer that Hamilton retired from office alleging poverty as the cause.
TO OLIVER WOLCOTT
NEW YORK, July 28, 1795.
DEAR SIR:
We have some cause to suspect, though not enough to believe, that our Jacobins meditate serious mischief to certain individuals. It happens that the militia of this city, from the complexion of its officers in general, cannot be depended on, and it will be difficult for some time to organize a competent armed substitute. In this situation our eyes turn as a resource in a sudden emergency, upon the military now in the forts, but these, we are told, are under marching orders. Pray converse confidentially with the Secretary of War, and engage him to suspend the march. Matters in eight or ten days will explain themselves.
How are things truly in Philadelphia? I have good reason to believe that the President, before he left Philadelphia, had concluded to ratify the treaty according to the advice of the Senate. Has anything finally been done, or are we where we were?
TO OLIVER WOLCOTT
NEW YORK, August 5, 1795.
DEAR SIR:
I have received yours of the 3d instant. You make no mention of having received one from me, enclosing another for the Attorney-General, in which I tell him that I will attend the cause which involves the question respecting direct taxes when notified of the time it will come on.
The silence of your letter makes me fear it may have miscarried.
I do not wonder at what you tell me of the author of a certain piece.\(^1\) That man is too cunning to be wise. I have been so much in the habit of seeing him mistaken, that I hold his opinion cheap.\(^2\)
TO OLIVER WOLCOTT
NEW YORK, August 10, 1795.
DEAR SIR:
I have received your letter by Saturday’s post. The one you enquire about was received.
I incline very much to the opinion that this will be the proper course of conduct in reference to the order to seize our vessels with provisions—viz., to send to our agent the treaty ratified as advised by the Senate, with this instruction: that if the order for seizing provisions is in force when he receives it, he is to inform the British ministry that he has the treaty ratified, but that he is instructed not to exchange the ratification till that order is rescinded, since the United States cannot ever give an implied sanction to the principle. At the same time a remonstrance ought to go from this country, well considered and well digested, even to a word, to be delivered against the principle of the order.
My reasons for this opinion are summarily these:
\(^1\) Note by Oliver Wolcott: “Tench Coxe, author of a piece signed *Juriscola*.” Tench Coxe was commissioner of revenue, and, as has appeared above, had already made charges against and attempted to injure both Hamilton and Wolcott.
\(^2\) Now first printed from the Wolcott papers, in the possession of the Connecticut Historical Society.
Firstly.—That in fact we are too much interested in the exemption of provisions from seizure to give even an implied sanction to the contrary pretensions.
Secondly.—That the exchange of ratifications pending such an order would give color to an abusive construction of the eighteenth article of the treaty, as though it admitted of the seizure of provisions.
Thirdly.—That this would give cause of umbrage to France, because it would be more than merely to refrain from resisting by force an innovation injurious to her, but it would be to give a sanction to it in the midst of a war.
Fourthly.—It would be thus construed in our country, and would destroy confidence in the government.
Fifthly.—It would scarcely be reputable to a nation to conduct a treaty with a Power to heal past controversies, at the very moment of a new and existing violation of its rights.
P. S.—Deliver the enclosed as soon as it gets to hand. If an order has existed, and has been rescinded, the remonstrance ought still to be presented, after the exchange of ratifications, as a protest against the principle, etc.
TO OLIVER WOLCOTT
NEW YORK, Sept. 20, 1795.
My Dear Sir:
A slight indisposition prevented my meeting you at E. Town, which I should otherwise have done with great pleasure.
It is wished for a particular purpose to know who are the writers of Valerius, Hancock, Belisarius, Atticus. If any thing about them is known in a manner that can be depended upon, I will thank you for it in confidence.
The fever in this town has become serious. The alarm, however, exceeds the quantum of disease and danger. It is not ascertained that the fever is contagious. It is clearly traced to local causes, but it is sufficiently mortal. Bleeding is found fatal. Most of our physicians purge more or less, some with calomel, I fear more than does good; bark, wine, etc., plentifully used, and with good effect. They, however, all behave well, and shrink not from their duty.
Show the last paragraph of this letter to Doctor Stevens, from whom, though I have written to him, I have not received a line since I came to New York.\(^1\)
---
TO OLIVER WOLCOTT
New York, Oct. 3, 1795.
My Dear Sir:
I have received your letter of the ——, and thank you for the information. As to Randolph, I shall be surprised at nothing, but if the facts come out, his personal influence is at all events damned. No coloring will remove unfavorable impressions. To do mischief, he must work in the dark.
What you say respecting your own department
\(^1\)Now first printed from the Wolcott papers, in the possession of the Connecticut Historical Society.
disquiets me, for I think we shall, for the present, weather all storms but those from real deficiencies in our public arrangements. Not knowing details, I can attempt to suggest nothing, except the general observation, that if the means heretofore provided, are seriously likely to prove inadequate, Congress ought to be explicitly told so, in order to a further provision. It was a maxim in my mind, that executive arrangements should not fail for want of full disclosure to the Legislature. Then, if adequate provision be not made, the responsibility is theirs. The worst evil we can struggle with is inefficiency in the measures of government.
If I remember right, it never appeared that Fauchet had any power to make a commercial treaty with us, and the late Attorney-General (Bradford) informed me that Adet had power only to treat, none to conclude. How are these things? I ask for special reasons.*
What is the object of the dispatch-boat from France? Nothing menacing, I hope.
* Col. Pickering writes Wolcott in reference to the above:
"Dear Sir:—Mr. Taylor informs me that Mr. Fauchet never to his knowledge made even any overtures relative to a treaty of any kind. I have cast my eye over those of Mr. Adet, by which it appears, that he is authorized to digest with the American Government a new treaty of commerce and a new consular convention, but not to conclude any thing. Mr. Randolph agreed to meet him on this ground. If the articles digested should meet the approbation of the respective governments, they might give full powers to constitute of these articles the proposed new treaties.
"Sincerely yours,
"T. Pickering."
TO OLIVER WOLCOTT
NEW YORK, Oct. 3, 1795.
DEAR SIR:
I have received your letter of the 6th instant.
I am of opinion that the commissioners to be appointed under the seventh article are competent to grant relief, in all cases of captures and condemnations of our property, during the present war, and antecedent to the treaty, which were contrary to the laws of nations, and in which there is adequate evidence (of which they are to judge bona fide), that compensation could not, at the time of the treaty, for whatever reason, be actually obtained. I think their power competent to relief, after a decision, in the last resort; that is, by the Lords Commissioners of Appeals, and if the proper steps have been taken to ascertain that justice cannot be had, in the ordinary course of justice, before and without such decision.
This opinion is founded upon the following reasons:
Firstly.—The subject of complaint to be redressed is irregular or illegal captures or condemnations. The word "condemnations" is general. It is not restricted to condemnations in the inferior courts, or in the final Court of Appeals. It may then apply to either. Condemnation in the last resort may have been had prior to the treaty. There being no restriction, they, like those in inferior tribunals, were equally within the terms of complaint. But could they be illegal? Yes, in controversies between nations, respecting the application of the rules of the laws of nations, decisions of the highest court of one of the parties, if contrary to those rules, are illegal.
In other words, they are contrary to that law, which is the standard of legality and illegality between nations; and, if manifestly so, are a cause of war. Moreover, this rule of legality or illegality, is recognized by the article itself, in that part which authorizes the commissioners to decide according to the merits of the several cases, to justice, equity, and the law of nations.
Secondly.—The article contemplates that "various circumstances" may obstruct compensation in the ordinary course of justice. These terms would not be fully satisfied by tying the article down, as has been attempted, to cases of insolvency and absconding.
Thirdly.—The article expressly declares, that when compensation cannot, "for whatever reason," be had in the ordinary course of justice, it shall be made by the British Government upon the award of the commissioners. It is inadmissible to narrow down these very comprehensive terms to the two cases of insolvency or absconding. They are commensurate with every cause of irregularity or illegality, pronounced such by the laws of nations. The exceptions of manifest delay, or negligence, or willful omission, confirm the extensive interpretation.
Fourthly.—The commissioners are not restricted in the description of cases they are to take up; and they are to decide them according to their merits, to justice, equity, and the laws of nations. These terms are as latitudinary as they could be made. They seemed formed on purpose to overrule any technical difficulties, with regard to local tribunals, or positive rules of decision in those tribunals.
Fifthly.—The nature of the circumstance which led to the article, and which involved a controversy between the two nations, respecting the rules of the laws of nations, as well as the application of those rules. The natural presumption is that it was meant to refer this controversy, in all its latitude, to the extraordinary tribunal created; to transfer the right of judgment of each nation, which, being exercised differently, might have ended in war, to that tribunal. Anything less than this would be inadequate to the origin of the business, to the solemnity of the provision, or to the views which, from the facts, must be conceived to have governed the parties.
All this appears so clear to me that I confess I am confounded at an opinion which I have seen of Messrs. Lewis and Rawle. They seem to pare away the object of the articles to the two cases mentioned above, founding their opinion upon the maxim that the courts of the belligerent power are the competent tribunals to decide similar questions between that power and a neutral nation.
This maxim is true, but how can it be deemed to apply to the instance of a controversy between two nations about the interpretation of the laws of nations, and about the decisions of courts founded upon an interpretation concerning which they disagreed? And this when an extraordinary tribunal has been constituted by the joint acts of the two parties, to decide their differences plainly as a substitute for a controversy by arms? Is not the constitution of such a tribunal by the two parties a manifest abandonment of the pretension of one to administer
justice definitely through its tribunals? How can it be presumed, after such a proceeding, that the neutral power meant to be concluded by the decisions of those tribunals? Is not the reverse the obvious presumption? Why else was it not left to the British Courts of Admiralty to liquidate the damages in the admitted cases of insolvency and absconding to be paid by the government? These circumstances could call for a substitute only in the person to pay, not in the person, or tribunal, which was to liquidate. There was no need, on the principle set up, for an extraordinary tribunal to liquidate and award damages.
I confess that the opinion referred to appears to me destitute of color; contrary to the antecedent course of the transaction, contrary to the positive expressions of the article, and to what can reasonably be presumed to be the intention of the parties. It fritters away to nothing a very solemn and important act between two contending nations.
The exception of the cases in which justice might be obtained, in the ordinary course, appears to me to decide nothing. It might be unobtainable in that course as well from the obstructions of positive regulations of the belligerent parties controlling the courts, and from false principles adopted by the courts, as from the inability or default of the captors. The commissioners, who are the court of the two nations, are to pronounce whether justice is unobtainable in the ordinary course for any of these reasons. As the tribunals of both parties, they are necessarily superior to the tribunals of either. And they are the judges, in their own way, and upon their own grounds,
of the question whether and when justice can or cannot be obtained in the ordinary course.
But they ought to exercise their discretion reasonably—not to abuse it, otherwise they may release the party injured from the obligation to perform.
Hence, though it is not necessary that every individual case of capture should be prosecuted to a decision in the last resort, it appears to me proper that, by such prosecution of some one case of the several classes of cases, it may be ascertained, by a final decision on the principle of each class, that redress cannot be obtained. Else the commissioners may object that there has been a neglect to procure for them satisfactory evidence that justice could not be had in the ordinary course.
I would advise, then, that our agent be instructed to lay all the cases, with the evidence, before our counsel, and to desire them to make a selection of one of each class in which a defence can be made with probability of success, on some difference of principle; to have these cases prosecuted to an ultimate decision, and to leave all the rest pending, if possible, undecided in a course of appeal. This will give reasonable evidence to the commissioners, strengthened, in view of those appointed by the other party, by the character of our counsel, who, I learn, are every way men of respectability.
The other points in your letter I shall pursue hereafter.
P. S.—In a consultation on an insurance case between our district attorney, Mr. Burr, B. Livingston,
and myself, the above points incidentally occurred, and I understood all these gentlemen as agreeing in the opinion I have stated. You are at liberty to communicate this to Mr. Pickering.
TO WASHINGTON
NEW YORK, Oct. 16, 1795.
SIR:
About a fortnight since arrived here Mr. Frestel, with G. W. Fayette, the son of the marquis. The former, who is in capacity of tutor to the latter, requested me to mention their arrival to you, and that they meant to retire to some place in the neighboring country until they should receive some direction from you. Thus, at least, I understood him, and accordingly they are gone to a house between Hackensack and Ramapo, in the Jerseys, to which may be conveyed any letter you may confide to me for them. They are incog.
Having been informed you were speedily expected from Philadelphia, and being oppressed with occupation, I delayed writing till this time.
Mr. Frestel, who appears a very sedate, discreet man, informs me that they left France with permission, though not in their real characters, but in fact with the privity of some members of the Committee of Safety who were disposed to shut their eyes and facilitate their departure.
The young Fayette also appears to me very advantageously modest, of very good manners, and expressing himself with intelligence and propriety.
Shall I trespass on your indulgence by hazarding a
sentiment upon the subject of this young gentleman? If I do, let it be ascribed to the double interest I take in the son of the marquis, and in whatever interests the good fame and satisfaction of him to whom I write.
On mature reflection, and on sounding opinions as far as opportunity and the nature of the case have permitted, I fully believe that the President need be under no embarrassment as to any good offices his heart may lead him to perform towards this young man. It will not, I am persuaded, displease those in possession of the power of the country from which he comes, and in ours it will be singularly and generally grateful. I am even convinced that the personal and political enemies of the President would be gratified, should his ideas of the policy of the case restrain him from that conduct which his friendship to the marquis and his feelings otherwise would dictate. The youth of this person, joined to the standing of his father, make the way easy.
I even venture to think it possible that the time is not very remote when the marquis will again recover the confidence and esteem of his country, when perhaps the men in power may be glad to glorify themselves and their cause with his alliance. This, however, is supposition, merely to be indulged as a reflection, not to be counted upon as a fact.
There is another subject upon which I will hazard a few words. It is that of Mr. Randolph. I have seen the intercepted letter, which, I presume, led to his resignation. I read it with regret, but without much surprise, for I never had any confidence in Mr. Randolph, and I thought there were very suspicious
appearances about him on the occasion to which the letter particularly refers.
I perceive that, rendered desperate, he meditates as much mischief as he can. The letter he calls for, I presume, is that above alluded to. His object is, if he obtains it, to prejudice others; if any part is kept back, to derive advantage to his cause from the idea that there may be some thing reserved which would tend to his exculpation, and to produce the suspicion that there is some thing which you are interested to keep from the light.
Though, from the state of public prejudices, I shall probably for one be a sufferer by the publication; yet, upon the whole, I incline to the opinion that it is most advisable the whole should come before the public. I acknowledge that I do not express this opinion without hesitation, and therefore it will deserve, as it will no doubt engage, your mature reflection; but such is the present bias of my judgment. I am the more inclined to the opinion, as I presume that the subject being in part before the public, the whole letter will finally come out through the quarter by which it was written, and then it would have additional weight to produce ill impressions.
With great respect and affectionate attachment, I have the honor to be, etc.
TO WASHINGTON
NEW YORK, Oct. 26, 1795.
SIR:
I have noticed a piece in the Aurora, under the signature of the "Calm Observer," which I think requires explanation, and I mean to give one with my name.\textsuperscript{1} I have written to Mr. Wolcott for material from the books of the treasury.
Should you think it proper to meet the vile insinuation in the close of it, by furnishing for one year the account of expenditure of the salary, I will with pleasure add what may be proper on that point. If there be any such account signed by Mr. Lear, it may be useful.
I wrote to you some days since, directed to you at Philadelphia, chiefly on the subject of young La Fayette. I mention it merely that you may have knowledge that there is such a letter, in case it has not yet come to hand.
I touched in it upon a certain \textit{intercepted} letter. The more I have reflected, the more I am of opinion that it is advisable the whole should speedily appear.
\begin{center}
TO OLIVER WOLCOTT
NEW YORK, Oct. 26, 1795.
\end{center}
\textbf{Dear Sir:}
I have observed in the \textit{Aurora}, a piece under the signature of “A Calm Observer,” which I think merits attention. It is my design to reply to it, with my name, but for this I wish to be furnished, \textit{as soon as possible}, with the account of the President, and of the appropriations for him, as it stands in the Secretary’s office, the Comptroller’s, and the account rendered to Congress, and also the account of appropriations for this object. Of one point I am
\textsuperscript{1} This reply was duly published. See above, “The Explanation,” vol. viii., p. 122.
sure—that we never exceeded the appropriations, though we may have anticipated the service. Add any remarks you may judge useful. The sooner the better.
TO OLIVER WOLCOTT
NEW YORK, Oct. 27, 1795.
DEAR SIR:
I wish the statements requested in my letter of yesterday may contain each particular payment, not aggregates for periods. It runs in my mind that once, there being no appropriation, I procured an informal advance for the President from the bank. If this is so, let me know the time and particulars. If the account has been wound up to an exact adjustment, since the period noticed by the "Calm Observer," it may be useful to carry it down to that period.
I should like to have a note of other instances of advances on account of salaries.
TO OLIVER WOLCOTT
NEW YORK, Oct. 30, 1795.
DEAR SIR:
I wrote you yesterday i & a statement of the advances and appropriations for the Department of State.
I am very anxious that Fauchet's whole letter should appear just as it is. Strange whispers are in circulation of a nature foreign to truth, and implicating honest men with rascals. Is it to come out? Can’t you send me a copy? I will observe any condition you annex.
The secret journals, and other files of the Department of State, will disclose the following facts:
That during the war a commission to negotiate a treaty of commerce with Great Britain, was given to Mr. Adams, and afterwards revoked.
That our commissioners for making peace were instructed to take no step whatever, without a previous consultation with the French ministry, though there was at that time reason to believe that France wished us to make peace, or truce, with Great Britain, without an acknowledgment of our independence, that she favored a sacrifice to Spain of our pretensions to the navigation of the Mississippi, and the relinquishment of a participation in the fisheries.
It will appear that instructions were actually given to Mr. Jay to yield the navigation of the Mississippi to Spain, in consideration of an acknowledgment of our independence; that Mr. Jay made a proposal accordingly, but clogged with some condition or qualification to bring it back to Congress before a final conclusion, and expostulated with Congress against the measure.
It will appear that this was effected by a Southern party, who would also have excluded the fisheries from being an ultimatum, in which they were opposed by the North, who equally contended for Mississippi and fisheries.
It will appear that Chancellor Livingston, as Secretary of State, reported a censure on our
commissioners for breaking their instructions in the negotiations for peace.
It will appear that shortly after the arrival in this country of the preliminary articles, I made a motion in Congress to renew the commission to negotiate a treaty of commerce with Great Britain, that a committee was appointed to prepare one, with instructions, of which Mr. Madison was one, and that the committee never reported.
Thus stand the facts in my memory.
It is very desirable, now that a free access to the files of the department can give the evidence, to examine them accurately; noting times, places, circumstances, actors, etc. I want this very much for a public use, in my opinion essential.
It would also be useful to have a copy of Mr. Jefferson’s letter to Congress concerning the transfer of the French debt to private money-lenders, on which the report of the Board of Treasury is founded.
Nov. 12th. This letter, by accident, has lain in my desk since it was written. I send it still. Bache’s paper of the eleventh has a Valerius, which I think gives an opportunity of oversetting him. The leading ideas may be:
Firstly.—He discloses the object of the party to place Mr. Jefferson in contrast with the President.
Secondly.—He discloses the further object—an intimate and close alliance with France—to subject us to the vortex of European politics, and attributes it to Mr. Jefferson.
Thirdly.—He misrepresents totally Mr. Jefferson’s returning from France.
A solid answer to this paper, with facts, would do great good.
TO WASHINGTON
NEW YORK, Nov. 5, 1795.
SIR:
I received on the second instant your two letters of the 29th of October with the enclosures. An answer has been delayed to ascertain the disposition of Mr. King, who, through the summer, has resided in the country, and is only occasionally in town. I am now able to inform you he would not accept. Circumstances of the moment conspire with the disgust which a virtuous and independent mind feels at placing itself en but to the foul and venomous shafts of calumny which are continually shot by an odious confederacy against virtue, to give Mr. King a decided disinclination to the office.
I wish, sir, I could present to you any useful ideas as a substitute; but the embarrassment is extreme as to the Secretary of State. An Attorney-General, I believe, may easily be fixed upon by a satisfactory choice. Either Mr. Dexter or Mr. Gore would answer. They are both men of undoubted probity. Mr. -Dexter has most natural talent, and is strong in his particular profession. Mr. Gore, I believe, is equally considered in his profession, and has more various information. No good man doubts Mr. Gore's purity, but he has made money by agencies for British houses in the recovery of debts, etc., and by operations in the funds, which a certain party
object to him. I believe Mr. Dexter is free from every thing of this kind. Mr. King thinks Gore on the whole preferable. I hesitate between them. Either will, I think be a good appointment.
But for a Secretary of State, I know not what to say. Smith, though not of full size, is very respectable for talent, and has pretty various information. I think he has more real talent than the last incumbent of the office. But there are strong objections to his appointment. I fear he is of an uncomfortable temper. He is popular with no description of men, from a certain hardness of character; and he, more than most other men, is considered as tinctured with prejudices towards the British. In this particular his ground is somewhat peculiar. It may suit party views to say much of other men, but more in this respect is believed with regard to Smith. I speak merely as to bias and prejudice. There are things, and important things, for which I would recommend Smith—thinking well of his abilities, information, industry, and integrity; but, at the present juncture, I believe his appointment to the office in question would be unadvisable.
Besides, it is very important that he should not now be removed from the House of Representatives.
I have conferred with Mr. King with respect to Mr. Potts. We both think well of his principles and consider him as a man of good sense. But he is of a cast of character ill-suited to such an appointment, and is not extensive either as to talents or information. It is also a serious question whether the Senate at this time ought to be weakened.
Mr. Innis, I fear, is too absolutely lazy for Secretary of State. The objection would weigh less as Attorney-General.
The following characters, in the narrowness of the probable circle as to willingness, have occurred to me. Judge Pendleton, of Georgia; Mr. Desaussure (late Director of the Mint), of South Carolina; Governor Lee, or Mr. Lee, late Collector of Alexandria, of Virginia; McHenry, of Maryland—I mean the Doctor.
Judge Pendleton writes well, is of respectable abilities, and a gentleman-like, smooth man. If I were sure of his political views, I should be much disposed to adopt his appointment under the circumstances, but I fear he has been somewhat tainted with the prejudices of Mr. Jefferson and Mr. Madison, and I have afflicting suspicions concerning these men. Desaussure, I believe, has considerable talents, is of gentleman-like manners, good views, and only wants sufficient standing to put him upon a footing with any attainable man.
Governor Lee\(^1\) has several things for him and several against him. He ought to have a good secretary under him. His brother I only know enough of to think him worth considering.
McHenry you know. He would give no strength to the administration, but he would not disgrace the office. His views are good. Perhaps his health, etc., would prevent his accepting.
I do not know Judge Bee. I have barely thought of him.
In fact, a first-rate character is not attainable. A
\(^1\) "Light-Horse Harry," of Virginia.
second-rate must be taken with good dispositions and barely decent qualifications. I wish I could throw more light. 'T is a sad omen for the government.
By the fifteenth I will carefully attend to the other parts of your letters. I regret that bad health and a pressure of avocations will permit nothing earlier.
TO WASHINGTON
NEW YORK, Nov. 19, 1795.
SIR:
Your letters of the 16th and 18th instant, with the enclosures, are received.
An extraordinary pressure of professional business has delayed my reply on the subject of young La Fayette, in which another cause co-operated. I wished, without unveiling the motives incidentally, to sound the impressions of other persons of judgment, who, I know, had been apprised of his being in the country.
The bias of my inclination has been that you should proceed as your letter of yesterday proposes, and I cannot say it is changed, though it is weakened. For I find that in other minds, and judicious ones, a doubt is entertained, whether at the actual crisis it would be prudent to give publicity to your protection of him. It seems to be feared that the factious might use it as a weapon to represent you as a favorer of the anti-revolutionists of France; and it is inferred that it would be inexpedient to furnish at this moment any aliment to their slanders.
These ideas have enough of foundation and importance to make me question my own impressions, which, from natural disposition, are in similar cases much to be distrusted.
I shall therefore do nothing more at present than write to La Fayette and his preceptor to come to New York, and I shall forbear any definite communication to them till I hear further from you, after you have reflected on the information I now give.
Should you on reconsideration conclude on yielding to the doubt as a matter of greater caution, perhaps it will be then left for you to write to La Fayette a letter, affectionate as your feelings will naturally lead you to make it, announcing your resolution to be to him a parent and friend, but mentioning that very peculiar circumstances of the moment impose on you the necessity of deferring the gratification of your wishes for a personal interview, desiring him at the same time to concert with me a plan of disposing of himself satisfactorily and advantageously in the meantime. I shall with pleasure execute any commands you may give me on the subject. The papers respecting this matter are herewith returned. I shall without delay attend to all the others.
TO PICKERING
NEW YORK, Nov. 20, 1795.
MY DEAR SIR:
I duly received your letter of the 17th, which needed no apology as it will always give me pleasure
to comply with any wish of yours connected with the public service, or your personal satisfaction.
Good men, in the idea of your appointment to the office of Secretary of State, will find many consolations for your removal from one in which your usefulness was well understood.
I wish it was easy to replace you in the department you will leave. But this is a most difficult point.
I consider it as absolutely necessary that the person shall come from some State south of Pennsylvania. All the great offices in the hands of men from Pennsylvania northward, would do the lord knows what mischief. I speak as to public opinion. Hence I forbear any remarks on characters from that quarter.
Of those South, notwithstanding there are real and weighty objections, I incline on the whole to Lee.\(^1\)
Of the others whom you present (and none others have occurred to me), whose qualifications are known to me, I believe I should prefer Howard.\(^2\)
Yet I speak with hesitation, for I am afraid he is not enough a man of sense or business. But he is of perfect worth, is respectable in the community, and has reputation as a soldier.
There are others who would stand better as to talents, but temper or fairness of character is wanted. I do not know enough of Winden.
Since writing the above, Judge Pendleton, of
\(^1\) Henry Lee, of Virginia.
\(^2\) John Eagar Howard, a soldier of the Revolution, and Governor of Maryland. The Secretaryship of War was offered to him, and he declined.
Georgia, has occurred to me. He was a military man, Aide to General Greene, and esteemed by him. He is certainly a man of handsome abilities. I have, however, within a few days, heard that he had some agency in the purchase of the Georgia lands. If he has had any interested concern in this transaction, it would be an immense objection. Otherwise, if he would accept, all things considered, I should prefer him. He is tinctured with Jeffersonian politics, but I should be mistaken if, among good men and better informed, he did not go right.
I have received the French copy of a certain paper, and thank you for it. The translation you mention has not yet come to hand. I will with pleasure revise, if requisite, and correct it. I even wish for the opportunity; for, as you say, it much concerns me, and it is also very important to the public, and there are many nice turns of expression, which, to be rendered perfectly, demand a very critical knowledge of the language.\(^1\)
TO RUFUS KING
December 14, 1795.
My Dear Sir:
An extraordinary press of occupation has delayed an answer to your letter on the subject of Mr. R.\(^2\) Though it may come too late, I comply with your request as soon as I can.
\(^1\) Now first printed from the Pickering papers, in the possession of the Massachusetts Historical Society.
\(^2\) John Rutledge, of South Carolina, nominated by Washington for Chief-Justice of the United States, and rejected by the Senate on account of his habits and consequent mental condition.
The subject is truly a perplexing one; my mind has several times fluctuated. If there was nothing in the case but his imprudent sally upon a certain occasion, I should think the reasons for letting him pass would outweigh those for opposing his passage. But if it be really true that he is sottish, or that his mind is otherwise deranged, or that he has exposed himself by improper conduct in pecuniary transactions, the bias of my judgment would be to negative. And as to the fact, I would satisfy myself by careful inquiry of persons of character who may have had an opportunity of knowing.
It is now, and, in certain probable events, will still more be of infinite consequence that our judiciary should be well composed. Reflection upon this in its various aspects weighs heavily upon my mind against Mr. R. upon the accounts I have received of him, and balances very weighty considerations the other way.
P. S.—From what a Mr. Wadsworth, lately in Philadelphia tells me of a conversation between Burr, Baldwin, and Gallatin, it would seem that the two last gentlemen have made up their minds to consider the treaty, if ratified by Great Britain, as conclusive upon the House of Representatives. I thought it well this should be known to you, if not before understood from any other quarter.
TO WASHINGTON
NEW YORK, Dec. 24, 1795.
SIR:
I have received your letter of the ____.
Young La Fayette is now with me. I had before made an offer of money in your name, and have repeated it; but the answer is, that they are not as yet in want, and will have recourse when needed.
Young La Fayette appears melancholy, and has grown thin. A letter lately received from his mother, which speaks of some thing which she wishes him to mention to you (as I learn from his preceptor), has quickened his sensibility and increased his regret. If I am satisfied that the present state of things is likely to occasion a durable gloom, endangering the health, and in some sort the mind of the young man, I shall conclude, on the strength of former permission, to send him to you for a short visit; the rather, as upon repeated reflection, I am not able to convince myself that there is any real inconvenience in the step, and as there are certainly delicate opposite sides. But it will be my endeavor to make him content to remain away.
I have read with care Mr. Randolph's pamphlet. It does not surprise me. I consider it as amounting to a confession of guilt; and I am persuaded this will be the universal opinion. His attempts against you are viewed by all whom I have seen, as base. They will certainly fail of their aim, and will do good, rather than harm, to the public cause and to yourself. It appears to me that, by you, no notice can be, or ought to be, taken of the publication. It contains its own antidote.
I perceive that Mr. Fauchet, and with him Mr. Randolph, have imputed to me the having asked to accompany you on the Western expedition.
The true course of the fact was as follows: You had mentioned, and that early in the affair, as a question for consideration, the propriety and expediency of your going out with the militia. But no opinion had been given to you, and you had not announced any determination on the point when my letter to you, of the 19th of September, was written. That letter does not ask to accompany you, but to be permitted to go on the expedition. A short time after it was sent, you mentioned to me that you had concluded to go as far as Carlisle in the first instance, and to take your ulterior determination according to circumstances, and proposed to me to accompany you.
My request was independent of your going or not going. Its objects were—1st. That mentioned in my letter. 2d. An anxious desire that, by being present, I might have in my power, in a case very interesting to my department, as well as the government generally, to promote, in the event of your not going on the expedition, a course of conduct the best calculated to obviate impediments, and secure its object. I had serious fears of treachery in Governor Mifflin, and I thought that even Lee might miss the policy of the case in some particulars, etc., etc.
These were the considerations that determined me, and not the little cunning policy by which Mr. Fauchet supposes me to have been governed.
I greatly miscalculate if a strong and general current does not now set in favor of the government on the question of the treaty.
TO TIMOTHY PICKERING
NEW YORK, Dec. 26, 1795.
Dear Sir:
Mr. Cutting has given to me a perusal of his papers, respecting his agency in relieving our seamen from British impress. He wished my opinion professionally respecting the validity of his claim, which I declined to give, because it would contradict certain maxims I have prescribed to myself with regard to public questions pending while I was part of the administration.
But there are reasons which induce me to convey to you privately my view of the subject.
It appears to me clearly established that Mr. Cutting rendered a very meritorious and an important service to the United States. Its value is not to be estimated merely by the number of persons relieved, but by the influence of the exertion upon other cases—indeed, upon our trade generally with the English ports at the juncture. It is also a service very interesting to the feelings of all our citizens—and there was certainly much good zeal and address displayed upon the occasion. It sufficiently appears, too, that the nature of the case must have involved considerable expense, and in ways which frequently would not admit of after authentication.
Under these circumstances I feel a strong impression that it is of the policy, as well as of the justice
of the government, to go lengths in giving satisfaction to Mr. Cutting. 'Tis a case which calls for liberality, not scrupulous or prying investigation. Mr. Cutting's own testimony from necessity ought to be received as to expenditures. This observation, to be sure, has reasonable limits. But still the case demands that the testimony should be received with influential effect.
Mr. Dorhman is an example of similar compensation in circumstances not unlike. Our own citizen has not an inferior claim.
What has been hitherto done for Mr. Cutting appears to be manifestly inadequate. If it could be supposed that there was risk of doing too much, it is of the reputation of the government that the error should be on that side. Care ought to be taken that a zealous citizen, who has rendered real service, should not be out of pocket, and out of reputation, too, by his bargain. I include a reasonable compensation for service, as well as reimbursement of expenses.
These ideas will, I am sure, be received as they are intended.
TO WASHINGTON
December, 1795.
SIR:
I have the pleasure to send you enclosed two letters—one from young Lafayette, the other from his preceptor. They appear reconciled to some further delay.
I take the liberty to enclose a copy of a letter to
the Secretary of State respecting Mr. Cutting. I do not know upon the whole what sort of a man Mr. Cutting is; but as to the particular subject of his claim, I really think it deserves an indulgent consideration, and that it is expedient and right to favor it to a liberal extent. Some reflections have made me think it advisable to place the matter under your eye. Neither the Secretary of State nor Mr. Cutting will be informed of this.
I wrote you a few lines two or three days ago in answer to your letter concerning Mr. Randolph's pamphlet.
TO RUFUS KING
January, 1796.
My Dear Sir:
If the newspapers tell truth, it would appear that Massachusetts has anticipated New York. But it is intended by our friends in the Legislature to give some pointed discountenance to the propositions. It was expected that it would have been done to-day, but by the divergings of some men who seek popularity with both sides, they have gotten into an unnecessary debate upon the proposition in detail, which will lose time; but in the result a handsome majority will do right.
Lawrence is hurt, and as far as I see, not without some reason, from particular circumstances, at being left out of the direction of the bank. It will be balm to his feelings to be put into the direction of the office here, and I believe it will be an improvement of the direction to do it. I wish you would
endeavor to bring it about. Speak to Bayard of our city and to Wharton of Philadelphia. This is a suggestion of my own, for Lawrence rather rides a high horse upon the occasion. Yours truly.
TO WASHINGTON
Jan. 19, 1796.
SIR:
The bearer of this letter is Doctor Bollman,\(^1\) whom you have heard of as having made an attempt for the relief of the Marquis La Fayette, which very nearly succeeded. The circumstances of this affair, as stated by Doctor Bollman and Mr. Huger,\(^2\) son of B. Huger, of South Carolina, deceased, who assisted, do real credit to the prudence, management, and enterprise of the doctor, and show that he is a man of sense and energy.
He appears to have been induced to think that he attempted a service which would strongly recommend him to the favor of this country, in which idea I have reason to believe that Mr. Pinckney, among others, encouraged him, and, as a consequence of it, he hopes for some civil employment under our government. His expectations of what he may begin with are not high, it being principally his object to
\(^1\) Eric Bollman, M.D., a Hanoverian by birth, concerned, as here stated, in the effort to liberate La Fayette. Banished for this, he came to the United States, and was a friend of Burr, and mixed up in his conspiracy, after which he returned to Europe.
\(^2\) Francis Kinloch Huger, whose father, Col. Benj. Huger, was killed in the war, at Charleston, in 1780. He returned after the affair at Olmutz and entered the army. He died in 1855, aged 81.
obtain some present provision in a way which may lead him, if he discovers talents, to something better: He appears to be a man of education, speaks several languages, converses sensibly, is of polite manners, and, I dare say, has the materials of future advancement.
I have not left him unapprised of the difficulties in his way, but he concludes to go to Philadelphia to ascertain what is, or is not possible, relying at least on a kind reception from you.
He brought me letters from Mr. and Mrs. Church, which speak handsomely of him. I believe they had a chief agency in promoting his undertaking.
P. S.—The doctor is a German.
TO WASHINGTON
New York, Feb. 25, 1796.
SIR:
The evening I had last the pleasure of seeing you, you asked my opinion whether any and what measures might be taken with the Senate with reference to the treaty with Great Britain, in the event of its not arriving before the adjournment of the Legislature.
I mentioned as a hasty thought, that I feared it would be impossible to detain them long in expectation of a treaty not arrived, but that it might be advisable, immediately after the adjournment, to notify another meeting, as little distant as might be compatible with reasonable time of notice.
On reflection this opinion appears to me not to be well founded as to the last point. I fear the first part will be found true, and that the body would not upon casualty remain many days together after the expiration of the session.
In place of the course which I at first mentioned I submit the following:
"That the Secretary of State write a letter to each member present and absent, announcing the expectation of the treaty, and that, when arrived, the Senate will be convened by a proclamation for a time not exceeding six weeks."
The letter of the Secretary of State to be sent by land, and by water also, to the most remote members, and when the proclamation for convening the Senate issues, the same be done, upon special expresses for the land conveyance, and having ready some swift-sailing vessel for the water conveyance.
With these precautions, I think six weeks' notice will be enough.
The President cannot specially convene the Senate without announcing that an extraordinary occasion exists. He had, when I left Philadelphia, no such advice of the treaty as would warrant the assertion, and even if he had, until it arrives there is a possibility of a miscarriage, which might prevent his having it ready to lay before the Senate at the time of meeting, if they should be convened upon contingency. These reflections have led to the change of opinion.
TO OLIVER WOLCOTT
March, 1796.
Dear Sir:
Enclosed are two letters which I will thank you to send on. I have just seen Livingston's motion concerning instructions, etc. My first impression is that the propriety of a compliance with the call, if made, is extremely doubtful. But much careful thought on the subject is requisite.
P. S.—I send you also a letter from Mrs. Church to Mr. Beaumete, which I will thank you to send to Mr. Talleyrand.
TO WASHINGTON
New York, March 7, 1796.
Sir:
I found young La Fayette here, and delivered him your letter, which much relieved him. I fancy you will see him on the first day of April.
Mr. Livingston's motion in the House of Representatives concerning the production of papers, has attracted much attention. The opinion here of those who think, is that if the motion succeeds, it ought not to be complied with. Besides, that in a matter of such a nature the production of the papers cannot fail to start new and unpleasant game. It will be fatal to the negotiating power of the government if
1 This was the demand for papers relating to the Jay treaty which caused so much discussion, and with which Washington finally declined to comply.
2 Reprinted from Administrations of Washington and Adams, i., 310. Vol. x.—10.
it is to be a matter of course for a call of either House of Congress to bring forth all the communications, however confidential.
It seems to me that some thing like the following answer by the President will be advisable:
"A right in the House of Representatives to demand and have, as a matter of course, and without specification of any object, all communications respecting negotiations with a foreign power, cannot be admitted without danger of much inconvenience. A discretion in the executive department how far and when to comply in such cases is essential to the due conduct of foreign negotiations and is essential to preserve the limits between the legislative and executive departments. The present call is altogether indefinite, and without any declared purpose. The Executive has no basis on which to judge of the propriety of a compliance with it, and cannot, therefore, without forming a very dangerous precedent, comply.
"It does not occur that the view of the papers asked for can be relative to any purpose of the competency of the House of Representatives but that of an impeachment. In every case of a foreign treaty, the grounds for an impeachment must primarily be deduced from the nature of the instrument itself, and from nothing extrinsic. If at any time a treaty should present such grounds, and it shall have been so pronounced by the House of Representatives and a further inquiry shall be necessary to ascertain the culpable person, there being then a declared and ascertained object, the President would attend
with due respect to any application for necessary information."
This is but a hasty and crude outline of what has struck me as an eligible course. For, while a too easy compliance will be mischievous, a too peremptory and unqualified refusal might be liable to just criticism.
TO WILLIAM SMITH
March 10, 1796.
Dear Sir:
I observe Madison brings the power of the House of Representatives in the case of the treaty into question. Is the agency of the House of Representatives on the subject deliberative or executive? On the sophism that the Legislature, and each branch of it, is essentially deliberative, and consequently must have discretion, will he, I presume, maintain the freedom of the House to concur or not.
But the sophism is easily refuted. The Legislature, and each branch of it, is deliberative, but with various restrictions; not with unlimited discretion. All the injunctions and restrictions of the Constitution, for instance, abridge its deliberative faculty, and leave it quoad hoc, merely executive. Thus the constitution enjoins that there shall be a fixed allowance for the judges, which shall not be diminished. The Legislature cannot, therefore, deliberate whether they will make a permanent provision, and when the allowance is fixed, they cannot deliberate whether they will appropriate and pay the money. So far
* William Smith, Member of Congress from South Carolina.
their deliberative faculty is abridged. The mode of raising and appropriating the money only remains matter of deliberation.
So, likewise, the constitution says that the President and Senate shall make treaties, and that these treaties shall be supreme laws. It is a contradiction to call a thing a law which is not binding. It follows that by constitutional injunction the House of Representatives quoad the stipulations of treaties, as in the case cited, respecting the judges, are not deliberative, but merely executive, except as to the means of executing.
Any other doctrine would vest the Legislature and each House with unlimited discretion, and destroy the very idea of a constitution limiting its discretion. The constitution would at once vanish.
Besides, the legal power to refuse the execution of a law is a power to repeal it. Thus, the House of Representatives must, as to treaties, concentrate in itself the whole legislative power, and undertake, without the Senate, to repeal a law. For the law is complete by the action of the President and Senate.
Again. A treaty, which is a contract between nation and nation, abridges even the legislative discretion of the whole Legislature by the moral obligation of keeping its faith; a fortiori, that of one branch. In theory, there is no method by which the obligations of a treaty can be annulled but by mutual consent of the contracting parties, by ill-faith in one of them, or by a revolution of government, which is of a nature so to change the condition of parties as to render the treaty inapplicable.
TO RUFUS KING
NEW YORK, March 16, 1796.
My Dear Sir:
I thank you for your letter of the ——. My opinion on the resolution when it first appeared was that the President should answer in substance as follows, viz.:
"That it could not be admitted as a right of course in the House of Representatives to call for and have papers in the Executive department, especially those relating to foreign negotiations, which frequently embrace confidential matters. That, under all the circumstances, upon so indefinite a call, without any declared specific object, he did not think it proper nor consistent with what he owed to a due separation of the respective powers to comply with the call. That if, in the course of the proceedings of the House, a question of their competency should arise, for which any of the papers in question might be necessary, an application made on that ground would be considered with proper respect," etc.
But after what has taken place in the discussion, if it can with propriety be got in as to form, I think a stand ought to be made by the President against the usurpation. The following propositions comprise an obvious ground.
I.—The Constitution empowers the President, with the Senate, to make treaties.
II.—A treaty is a perfected compact between two nations, obligatory on both.
III.—That cannot be a perfect contract or treaty to the validity of which the concurrence of any other
power in the State is constitutionally necessary.
Again:
IV.—The Constitution says a treaty is a law.
V.—A law is an obligatory rule of action prescribed by the competent authority. But—
VI.—That cannot be such a rule of action, or law, to the validity of which the assent of any other person is requisite. Again:
VII.—The object of the legislative power is to prescribe a rule of action for our own nation, which includes foreigners coming among us.
VIII.—The object of the treaty power is, by agreement, to settle a rule of action between two nations, binding on both.
IX.—These objects are essentially different and, in a constitutional sense, cannot interfere.
X.—The treaty power binding the will of the nation, must, within its constitutional limits, be paramount to the legislative power, which is that will; or, at least, the last law being a treaty must repeal an antecedent contrary law. And,
XI.—If the legislative power is competent to repeal this law by a subsequent law, this must be the whole legislative power, by a solemn act in the forms of the Constitution, not one branch of the legislative power by disobeying the law.
XII.—The foregoing construction reconciles the two powers, and assigns them distinguishable spheres of action; while
XIII.—The other construction, that claiming that a right of assent is a sanction for the House of Representatives, destroys the treaty, making powerless and negative two propositions in the Constitution, *to wit*: 1. That the President, with the Senate, is competent to make treaties. 2. That a treaty is a law.
On these grounds, with the President’s name a bulwark not to be shaken is erected. The propositions, in my opinion, amount to irresistible demonstration.
TO WASHINGTON
NEW YORK, March 24, 1796.
SIR:
I had the honor to receive yesterday your letter of the 22d. The course you suggest has some obvious advantages, and merits careful consideration. I am not, however, without fear that there are things in the instructions to Mr. Jay—which good policy, considering the matter externally as well as internally, would render it inexpedient to communicate. This I shall ascertain to-day. A middle course is under consideration—that of not communicating the papers to the House, but of declaring that the Secretary of State is directed to permit them to be read by the members individually. But this is liable to a great part of the objections which militate against a full public disclosure. I throw it out, however, here, that you may be thinking of it, if it has not before occurred. In the course of this day, I shall endeavor to concentrate my ideas, and prepare some thing, the premises of which may be in any event proper, admitting of the conclusion being modified and adapted to your eventual determination.
TO WASHINGTON
March 26, 1796.
SIR:
I perceive by the newspaper that the resolution has been carried. I have not been idle as far as my situation would permit, but it will not be in my power, as I had hoped, to send you what I am preparing by this day's post; the next will carry it. It does not, however, appear necessary that the Executive should be in a hurry.
The final result, in my mind, for reasons I shall submit in my next, is that the papers ought all to be refused. I am persuaded that the communication of the instructions in particular would do harm to the President and to the government.
TO WASHINGTON
March 28, 1796.
SIR:
I am mortified at not being able to send you by this post a certain draft. But the opinion that reasons ought to be given, and pretty fairly, has extended it to considerable length and a desire to make it accurate as to idea and expression keeps it still upon the anvil. But it is so far prepared that I can assure it by to-morrow's post. Delay is always unpleasant. But the case is delicate and important enough to justify it.
I mentioned as my opinion, that the instructions to Mr. Jay, if published, would do harm. The truth, unfortunately, is that it is in general a crude mass, which will do no credit to the administration. This
was my impression of it at the time, but the delicacy of attempting too much reformation in the work of another head of department, the hurry of the moment, and a great confidence in the person to be sent, prevented my attempting that reformation.
There are several particular points in it which would have a very ill effect to be published.
I.—There is a part which seems to admit the idea that an adjustment might be made respecting the spoliations which should leave that matter finally to the ordinary course of the British courts. This is obscurely and ambiguously expressed, but the least color for such a construction would give occasion for infinite clamor.
II.—The negotiator is expressly instructed to accede to the entire abolition of alienism as to inheritances of land. You have seen what clamor has been made about the moderate modification of this idea in the treaty, and can thence judge what a load would fall on this part of the instructions.
III.—He is instructed to enter into an article against the employment of privateers in war. This is manifestly against the policy of a country which has no navy in a treaty with a country which has a large navy. For it is chiefly by privateers that we could annoy the trade of Great Britain. Some would consider this as a philosophic whim; others as an intentional sacrifice of the interests of this country to Great Britain.
IV.—There are several parts which hold up the disreputable and disorganizing idea of not being able to restrain our own citizens.
V.—There are parts the publication of which, though proper to our own agent, would be a violation of decorum towards Great Britain, after an amicable termination of the affair, and offensive because contrary to the rules of friendly and respectful procedure.
VI.—The instructions have too little point (in the spirit of the framer, who was in the habit of saying much and saying little), and would be censured as altogether deficient in firmness and spirit.
On the whole, I have no doubt that the publication of these instructions would do harm to the Executive, and to the character and interest of the government.
The draft will be so prepared as to admit of this conclusion.
If the President concludes to send papers, they ought only to be the commissions, and Mr. Jay's correspondence, saying that these are all that it appears to him for the public interest to send.
But he may be then prepared for as much clamor as if he had sent none. It would be said that what was done showed that the principle had not been the obstacle—and that the instructions were withheld because they would not bear the light. Or, at most, only that part of the instructions should go which begins at these words, "4. This enumeration presents, generally, the objects which it is desirable to comprise in a commercial treaty," etc., to the end of the instructions.
But after the fullest reflection I have been able to give the subject (though I perceive serious degrees of inconveniencies in the course), I entertain a final
opinion that it will be best, after the usurpation attempted by the House of Representatives, to send none, and to resist in totality.
TO WASHINGTON
March 29, 1796.
Dear Sir:
I wish the enclosed¹ could have been sent in a more perfect state. But it was impossible. I hope, however, it can be made out and may be useful. It required some time to say all that was proper in a more condensed form. In considering the course to be pursued by the President, it may be well he should be reminded, that the same description of men who call for the papers have heretofore maintained, that they were not bound by any communication in confidence, but were free afterwards to do as they pleased with papers sent them.²
TO WASHINGTON
New York, April 2, 1796.
Sir:
The express is this morning gone off with your letter to young La Fayette. I foresaw when in Philadelphia a certain machination on the subject.
I rejoice at the decision you have come to in regard to the papers. Whatever may happen, it is right in itself, will elevate the character of the President,
¹ Draft of an answer to the request of the House of Representatives for papers. See above, vol. viii., p. 161.
² Reprinted from the History of the Republic, vi., 377.
and inspire confidence abroad. The contrary would have encouraged a spirit of usurpation, the bounds of which could not be foreseen.
If there is time, I should like to have back the paper lately sent to correct, prune, guard, and strengthen—I have no copy. But of the expediency of this the circumstances on the spot will decide. There is great fitness in the message to the House. I see only one point the least vulnerable, the too direct notice of the debate in the House—which may be attacked as contrary to parliamentary usage. I hear the criticism here among the L—s.\(^1\) But this cannot be very material.
TO RUFUS KING
April 2, 1796.
Thank you for yours of yesterday. I have no copy of the paper sent: the greatest part went in the original draft, though considerably reformed according to joint ideas, and somewhat strengthened by new thoughts. A letter I have received tells me that it came to hand after the ground which was acted upon had been formally considered and taken in council, and that it is referred for future use in the event of an expected criticism of the message.
I have asked for it conditionally, to prune, correct, etc. If I get it you shall have a copy. But you must take care that there is no crossing of paths.
\(^1\) Livingstons.
TO WASHINGTON
NEW YORK, April 9, 1796.
SIR:
It gives me great pleasure to have the opportunity of announcing to you one whom I know to be interesting to you as a bearer of this—Mr. Motier La Fayette. I allow myself to share, by anticipation, the satisfaction which the meeting will afford to all parties—the more, as I am persuaded, that time will confirm the favorable representation I have made of the person, and justify the interest you take in him.
I have pleasure, also, in presenting to you Mr. Frestel, who accompanies him, and who more and more convinces me that he is entirely worthy of the charge reposed in him, and every way entitled to esteem.
TO RUFUS KING
NEW YORK, April 15, 1796.
MY DEAR SIR:
A letter by yesterday's post from our friend Ames,\(^1\) informed me that the majority (fifty-seven concurring) had resolved in a private meeting to refuse appropriation for the treaty. A most important crisis ensues. Great evils may result, unless good men play their card well and with promptitude and decision. For we must seize and carry along with us the public opinion, and loss of time may be loss of everything.
\(^1\) Fisher Ames, of Massachusetts.
To me our true plan appears to be the following (I pre-suppose that a certain communication has been made):
1st. The President ought, immediately after the House has taken the ground of refusal, to send them a solemn protest. This protest ought to contain reasons in detail against the claim of the House in point of constitutional right, and ought to suggest summarily, but with solemnity and energy, the danger to the interest and peace of the country from the measures of the House, the certainty of a deep wound to our character with foreign nations, and essential destruction of their confidence in the government, concluding with an intimation that in such a state of things he must experience extreme embarrassment in proceeding in any pending or future negotiations which the affairs of the United States may require, inasmuch as he cannot look for due confidence from others, nor give them the requisite expectation that stipulations will be fulfilled on our part.
A copy of this protest to be sent to the Senate for their information. The Senate, by resolutions to express strongly their approbation of his principles, to assure him of their firm support, and to advise him to proceed in the execution of the treaty on his part in the confidence that he will derive from the virtue and good sense of the people, constitutionally exerted, eventual and effectual support, and may still be the instrument of preserving the Constitution, the peace, and the honor of the nation.
Then the merchants to meet in the city, and
second by their resolutions the measures of the President and Senate, further addressing their fellow-citizens to co-operate with them. Petitions afterwards to be handed throughout the United States.
The Senate to hold fast, and consent to no adjournment till the expiration of the term of service of the present House, unless provision made.
The President to cause a confidential communication to be made to the British minister, stating candidly what has happened, his regrets, his adherence nevertheless to the treaty, his resolution to persist in the execution, as far as depends on the Executive, and his hope that the faith of the country will be eventually preserved.
I prefer that measures should begin with a protest of the President, as it will be in itself proper, and there will be more chance of success if the contest appears to be with him and the Senate auxiliaries than in the reverse.
But in all this business, celerity, decision, and an imposing attitude are indispensable. The glory of the President, the safety of the Constitution—the greatest interests—depend upon it. Nothing will be wanting here. I do not write to the President on the subject.
An idea has come from Cooper of an intention in our friends in the House of Representatives to resist the execution of the other treaties—the Spanish and Algerine—unless coupled with the British. But this will be altogether wrong and impolitic. The misconduct of the other party cannot justify in us an imitation of their principles. "T is best, I think, that
the first course should be given to the other treaties. Or at most, if a feint of opposition is deemed advisable, it ought to be left to the Senate by postponement, etc. But even this is very delicate and very questionable.
Let us be right, because to do right is intrinsically proper, and I verily believe it is the best means of securing final success. Let our adversaries have the whole glory of sacrificing the interests of the nation.
P. S.—If the treaty is not executed, the President will be called upon, by regard to his character and the public good, to keep his post till another House of Representatives has pronounced.
TO RUFUS KING
NEW YORK, April 18, 1796.
DEAR SIR:
I thank you for your letter received to-day. Our merchants here are not less alarmed than those of Philadelphia, and will do all they can. All the insurance people meet to-day. The merchants and traders will meet to-morrow or the next day. A petition will be prepared and circulated among the other citizens.
I regret that a certain communication was not made. Indeed, I think that the Executive will be hereafter blamed for keeping back the fact in so critical a posture of things.
TO RUFUS KING
April 20, 1796.
Dear Sir:
Yesterday's post brought me a letter from you, which gave me pleasure. The papers will apprise you of the proceedings of the merchants and traders here on yesterday. There is among them, also, "unexampled unanimity," and, as far as I can judge, the current is in our favor throughout the city. Persons to-day are going through the different wards.
P. S.—Our friends in the House will do well to gain time.
TO OLIVER WOLCOTT
New York, April 20, 1796.
Dear Sir:
I have received your letter of the eighteenth instant. The money paid me for you shall be placed to your credit in the office of discount and deposit, as you desire.
The British ministry are as great fools or as great rascals as our Jacobins, else our commerce would not continue to be distressed as it is by their cruisers; nor would the Executive be embarrassed as it now is by the new proposition.
Not knowing the precise form of that proposition, I cannot have an opinion what is right on the part of the Executive. But, if I understand it, it ought to be sufficient for the Executive to declare that the article in the treaty with the Indians can never
operate, nor will be permitted to operate, in contravention with the treaty of Great Britain. It relates to a right reserved for our benefit, which we can and will waive; and, being in a treaty of subsequent date, it naturally gives way to another of prior date, with which it is consistent. The Executive ought to be careful about admitting the propriety of a new condition, though it ought to be ready to give all due satisfaction. It should not even shun a new explanatory article, if reasonable in itself, but should agree to it upon the strength of its own reasonableness, not as a new condition foreign to the treaty. This affair requires great caution; but, as I said, I do not know enough to give advice worth much.
Yet the government must take care not to appear pusillanimous. I hope a very serious remonstrance has long since gone against the wanton impressment of our seamen. It will be an error to be too tame with this overbearing Cabinet.
Our city is in motion against the plan of the majority in the House of Representatives with regard to the treaty. The current appears to be strong with us. The papers will tell you the measures in contemplation.
But I was sorry to learn that a proper qualified communication was made to the House of Representatives of the late communication from the British agent. The Executive may hereafter be blamed for withholding so important a fact; yet, not knowing the whole affair, I cannot judge well on this point more than on the other.
TO RUFUS KING
April 23, 1796.
Dear Sir:
I have received your two letters, and shall this day attend to the one which requires it. I see, however, no objection to it as it stands, and I do not now perceive how the further object you aim at could be accomplished in the manner you seem to desire.
I have written to Ames this day concerning the course of things in our city. He will communicate to you, as I have not time to repeat. We are decidedly well. But it is intended to-day to continue the petition in circulation, and to-morrow it will be sent. I have thought it advisable to publish an extract from your letter without naming you.
TO RUFUS KING
May 4, 1796.
Dear Sir:
Since my last I have received two or three letters from you. The late turn of the treaty question makes us all very happy. I hope no future embarrassment will arise.
I am entirely of opinion that, Patrick Henry declining, Mr. Pinckney¹ ought to be our man. It is even an idea of which I am fond in various lights. Indeed, on latter reflection, I rather wish to be rid of Patrick Henry, that we may be at full liberty to take up Pinckney.
¹ Thomas Pinckney, of South Carolina. He was Minister to England, and had just concluded a treaty with Spain, securing the free navigation of the Mississippi.
In the event of Pinckney’s return to this country, I am of opinion, all circumstances considered, it is expedient you should replace him. I hope no great question will in a short period agitate our councils, and I am sure you will do much good on the scene in question. I have called on Jay, but happened not to find him disengaged. I shall quickly see him, and shall, with great pleasure, do every thing requisite on my part.
We believe, confidently, our election in the city has succeeded; the other party, however, also claims success. Our Senator ticket seems admitted on both sides to have prevailed, and all accounts assure us of great success throughout the State. The vile affair of whipping Burke and McCredy made our election, in the view of the common people, a question between the rich and the poor. You will easily conceive how much this must have embarrassed and jeoparded.
TO TIMOTHY PICKERING
May 10, 1796.
DEAR SIR:
Inclosed is a letter which I will thank you to hand to its destination.
While I have my pen in my hand, give me leave to mention a particular subject to you. Mr. Pinckney, it is said, desires to return to the United States. In this case a successor will be wanted. If we had power to make a man for the purpose, we could not imagine a fitter than Mr. King.\(^1\) He is tired of the
\(^1\) Rufus King, who was appointed and accepted.
Senate, and I fear will resign at all events. I presume he would accept the mission to England. Can there be a doubt that it will be wise to offer it to him?¹
TO WASHINGTON
NEW YORK, May 10, 1796.
SIR:
When last in Philadelphia you mentioned to me your wish that I should re-dress a certain paper which you had prepared. As it is important that a thing of this kind should be done with great care, and much at leisure, touched and re-touched, I submit a wish that as soon as you have given it the body you mean it to have, it may be sent to me.²
TO WASHINGTON
NEW YORK, May 20, 1796.
SIR:
A belief that the occasion to which they may be applicable is not likely to occur, whatever may have been once intended, or pretended in terrorem, has delayed the following observations in compliance with your desire, and which are now the result of conferences with the gentlemen you named.
The precise form of any proposition or demand
¹ Now first printed from the Pickering papers in possession of the Massachusetts Historical Society.
² "Copied from Writings of Washington. Whether it is an extract from, or the entire letter, is unknown to the editor." (Note by J. C. Hamilton.) The paper referred to is the "Farewell Address."
which may be made to or of the government, must so materially influence the course proper to be pursued with regard to such proposition or demand, that it is very difficult to judge by anticipation what would be fit and right. The suggestions which can be submitted must therefore be very general and liable to much modification, according to circumstances.
It would seem in almost any case advisable to put forward a calm exhibition of the views by which our government has been influenced in relation to the present war of Europe,—making prominent the great interest we have in peace, in our present infant state; the limitedness of our capacity for external effort; the much greater injury we should have suffered than good we could have done to France, by taking an active part with her; the probability that she would have derived more advantage from our neutrality than from our direct aid; the promptitude with which, while all the world was combined against her, we recognized the new order of things and the continuance of our treaties, and before any other power had done so; the danger to which we exposed ourselves in so doing; the fidelity with which we have adhered to our treaties, notwithstanding formal violations of certain parts of them on the other side; our readiness, to the utmost extent of our abilities, to discharge our debt without hesitation in the earliest period of the revolution, and latterly having facilitated an anticipated enjoyment of the balance; the zeal and confidence of our merchants, by which they are now creditors for very large sums to France; the patience with which we have seen infractions of our
rights; the peculiar nature of the war as it regarded the origin of our relations to France (quare?); the declaration of the war by France against the maritime powers; her incapacity for maritime effort and to supply our deficiency in that particular so as to render a war not absolutely ruinous to us; the early expectations given to us by her agents that we were not expected to become parties; the exposed state of our commerce at this time with an immense property of our merchants afloat, relying on the neutral plan which they have understood our government to be pursuing, even with the concurrence of France, at least without its opposition; the extreme mischiefs to us of a sudden departure from the plan, and the little advantage to France from our aid; the merely peace views which influenced our treaty with Great Britain; the nature of that treaty involved no ingredient of political connection reserving the obligation of our prior treaties; the commercial articles terminating in two years after the present war; nothing in it to change the nature of our relations with France. All this will, of course, require great caution and delicacy, so as not to compromise the dignity of the country or give umbrage elsewhere, and I think the observations ought to hold out the idea that, under all the circumstances of the case, the government of the country thought itself at full liberty consistently with its treaties with France, to pursue a neutral plan. And they ought to hold up strongly our desire to maintain friendship with France; our regret that any circumstance of dissatisfaction should occur; our hope that justice and reason will
prevail, and preserve the good understanding, etc. The conclusion of this preliminary exposition will be according to the nature of the proposition.
If it should claim a renunciation of the British treaty, the answer will naturally be that this sacrifice of the positive and recent engagements of the country is pregnant with consequences too humiliating and injurious to allow us to believe that the expectation can be persisted in by France, since it is to require a thing impossible, and to establish, as a price of the continuance of friendship with us, the sacrifice of our honor by an act of perfidy which would destroy the value of our friendship to any nation. That, besides, the Executive, if it were capable of complying with a demand so fatal to us, is not competent to it, it being the province of Congress, by a declaration of war, or otherwise, in the proper cases, to annul the operation of treaties.
If it should claim the abandonment of the articles of the present treaty respecting free ships, free goods, etc., the answer may be that our treaties with France are an entire work, parts of a whole; that nevertheless the Executive is disposed to enter into a new negotiation by a new treaty to modify them, so as may consist with a due regard to mutual interest and the circumstances of parties, and may even tend to strengthen the relations of friendship and good understanding between the two countries.
If the guaranty of the West Indies should be claimed, the answer may be, "that the decision of this question belongs to Congress, who, if it be desired, will be convened to deliberate upon it." I presume and hope they will have adjourned—for to gain time is every thing.
The foregoing marks the general course of our reflections. They are sketched hastily, because they can only be general ideas, and much will depend on minute circumstances.
I observe what you say on the subject of a certain diplomatic mission. Permit me to offer with frankness the reflections which have struck my mind.
The importance of our security, and commerce, and good understanding with Great Britain, renders it very important that a man able and not disagreeable to that government, should be there. The gentleman in question, equally with any who could go, and better than any willing to go, answers this description. The idea hinted in your letter will apply to every man fit for the mission, by his conspicuousness, talents, and dispositions. 'T is the stalking-horse of a certain party, and is made use of against every man who is not in their views and of sufficient consequence to attract their obloquy. If listened to, it will deprive the government of the services of the most able and faithful agents. Is this expedient? What will be gained by it? Is it not evident that this party will pursue its hostility at all events as far as public opinion will permit? Does policy require anything more than that they shall have no real cause to complain? Will it do, in deference to their calumniating insinuations, to forbear employing the most competent men, or to entrust the great business of the country to unskilful, unfaithful, or doubtful hands? I really feel a conviction that it will be very dangerous
to let party insinuations of this kind prove a serious obstacle to the employment of the best qualified characters. Mr. King is a remarkably well-informed man, a very judicious one, a man of address, a man of fortune and economy, whose situation affords just ground of confidence;—a man of unimpeached probity where he is best known, a firm friend to the government, a supporter of the measures of the President—a man who cannot but feel that he has strong pretensions to confidence and trust.
I might enlarge on these topics, but I have not leisure, neither can it be necessary. I have thrown out so much in the fulness of my heart, and too much in a hurry to fashion either the idea or the expression as it ought to be. The President, however, will, I doubt not, receive what I have said—as it is meant, as dictated by equal regard to the public interest and to the honorable course of his administration.
TO OLIVER WOLCOTT
May 30, 1796.
Dear Sir:
I perceive Congress are invading the Sinking Fund system. If this goes through, and is sanctioned by the President, the fabric of public credit is prostrate, and the country and the President are disgraced. Treasury bills, and every expedient, however costly, to meet exigencies, must be preferable, in the event, to such an overthrow of system.
TO JAMES McHENRY ¹
NEW YORK, June 1, 1796.
MY DEAR MC.:
I am told the Executive Directory have complained of Mr. ——, our consul at ——. Perhaps the complaint may be ill-founded, but perhaps also he was indiscreet in giving color for it. Admit too that he is a good man, yet we must not quarrel with France for pins and needles. The public temper would not bear any umbrage taken, where a trifling concession might have averted it. 'T is a case for temporizing, reserving our firmness for great and necessary occasions. Let Mr. —— be superseded with a kind letter to him. I do not write to Pickering, or the President, because I am not regularly possessed of the information, but I hope you will attend to the matter, even at the expense of being a little officious.
TO WASHINGTON
NEW YORK, June 1, 1796.
SIR:
Your letter of the 29th was delivered me by Mr. King yesterday afternoon. I thought I had acknowledged the receipt of the paper inquired for in a letter written speedily after it—or in one which transmitted you a draft of a certain letter by Mr. Jay. I hope this came to hand.
I am almost afraid to appear officious in what I am going to say; but the matter presses so deeply on my
¹ James McHenry, of Maryland, Secretary of War.
mind, that fearing you may not recollect the situation of the thing, and that it may happen not to be brought fully under your eye, I cannot refrain from making the suggestion to you. It regards a bill which, I am told, has lately passed the two Houses of Congress, authorizing a sale of bank stock, for paying off a sum due to the bank. You will perceive by the 8th and 9th sections of the act entitled, "An Act making further provision for the support of the public credit," and for the redemption of the public debt, passed the 3d of March, 1795, that the dividends of the bank stock are appropriated to the sinking fund, with all the force and solemnity of which the language is capable, and that to divert them in the manner proposed (and this too without any substitute in the act which so diverts) will be a formal, express, and unequivocal violation of the public faith, will subvert the system of the sinking fund, and with it all the security which is meant to be given to the people for the redemption of the public debt, and, violating the sanctity of an appropriation for the public debt, will overturn at once the foundation of the public credit. These are obvious and undeniable consequences; and though I am aware that great embarrassments may ensue to the Treasury if the bill by the objection of the President is lost, and no substitute for it takes place towards the reimbursement of the bank; yet I am sure no consequences can ensue of equal moment from the rejection as from the principle of the bill going into execution.
All the President's administration has effected for
establishing the credit of the country will be prostrate at a single blow. He will readily make all necessary comments upon this position. It grieves my heart to see so much shocking levity in our representative body.
TO OLIVER WOLCOTT
New York, June 9, 1796.
Dear Sir:
I called at your house the morning of my departure, but you were not then up. While I was in the city, we had a little conversation concerning an affair of an arrangement with Swan¹ for effecting a remittance to Holland. I intended to resume it for two reasons: one, because it has been represented to the disadvantage of the conduct of the Treasury; another because Swan, who lodged at the same house with me, begged me to converse with you on the subject, and give my opinion both to you and him of what I thought of the matter. The latter I should of course have managed with due regard to all prudential considerations.
But I wished chiefly to apprise you that it is industriously circulated that Monroe and Skipwith, as
¹ Colonel James Swan, of Boston. He had a most romantic and adventurous life, beginning as one of the Boston Tea-Party, and a soldier of the Revolution. In 1787, he went to Paris a bankrupt, where he speculated successfully, and whence he returned with a fortune in 1795. He went back to Europe in 1798, engaged in still larger enterprises, and failed. At the suit of a creditor he was thrown into Ste. Pelagie in 1815, and remained there fifteen years, litigating constantly in French courts. He died in 1831.
agents for the Treasury, received Swan’s money at Paris to remit to Holland, that they mismanaged the fund, produced, besides, delay and loss, and that the Treasury now endeavors to turn the loss on Swan. If you have not been apprised of this, it is requisite you should be.
TO OLIVER WOLCOTT
June 15, 1796.
Dear Sir:
The post of to-day brought me a letter from you. From some recent information which I have obtained here, I have scarcely any doubt that the plan of the French is—
Firstly.—To take all enemy property in our ships contrary to the treaty between the two countries.
Secondly.—To seize and carry in all our vessels laden with provisions for any English port.
Among this, all that they choose to think enemy property will be seized, and for the residue they will promise to pay.
This state of things is extremely serious. The government must play a skilful card, or all is lost. No doubt an explanation has been asked of Mr. Adet. There is room enough for asking it, and the result, if explanatory, ought, in some convenient way, to be made known.
Moreover, the government must immediately set in earnest about averting the storm. To this end, a person must be sent in place of Monroe. General
* Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
Pinckney, John Marshall, Mr. Desaussure, of South Carolina, young Washington, the lawyer, McHenry, Secretary at War, Judge Peters, occur as eligible in different degrees, either of them far preferable to Monroe. It may be understood that the appointment is permanent or temporary, at the choice of the person sent. Under this idea, perhaps Pinckney may be prevailed upon, perhaps Marshall, it being well urged as a matter of great importance to the country.
I mentioned to Colonel Pickering an idea, which has since dwelt powerfully on my mind. Mr. King ought not to be empowered to do any thing to prolong the treaty beyond the two years after the war. This will afford the government a strong argument. I earnestly hope this idea will prevail in the instructions.
P. S.—After turning the thing over and over in my mind, I know of nothing better that you have in your power than to send McHenry. He is not yet obnoxious to the French, and has been understood formerly to have had some kindness towards their revolution. His present office would give a sort of importance to the mission. If he should incline to an absolute relinquishment, his mission might be temporary, and Colonel Pickering could carry on his office in his absence. He is at hand, and might depart immediately, and I believe he would explain very well, and do no foolish thing. Though unusual, perhaps it might be expedient for the President to write, himself, a letter to the Executive Directory,
explaining the policy by which he has been governed, and assuring of the friendship. But this would merit great consideration. Our measures, however, should be prompt.
Sometimes I think of sending Pinckney, who is in England; but various uncertainties and possible delays deter one from this plan.
Remember always, as a primary motive of action, that the favorable opinion of our country is to be secured.
A frigate or two to serve as convoys would not be amiss. If the English had been wise, they would neither have harassed our trade themselves, nor suffered their trade with us to be harassed. They would see this a happy moment for conciliating us by a clever little squadron in our ports and on our coast.
A hint might not perhaps do harm.
TO OLIVER WOLCOTT
June 16, 1796.
Dear Sir:
It appears to me material, under our present prospects, to complete three frigates without delay. They may be useful with reference to the Algerines. They may be useful to convoy our vessels out of the reach of picaroon privateers hovering on our coast. I know you want money; but could not the merchants, by secret movements, be put in motion to make you a loan? I think some thing of this kind may be done here, and I should presume at Philadelphia, etc. The sole ostensible object may be the
Algerines, but the second object may circulate in whispers. If you conclude on any thing, I will second you.
Perhaps no bad form of the thing may be to place in the hands of your agents for building, Treasury bills from one hundred to one thousand dollars, payable in a year with interest; and to let it be known among the merchants that they are lodged exclusively to facilitate the equipment of the ships. But a more direct operation may be attempted, and I should hope with success, for the sum you may want for the frigates.
TO WASHINGTON
June, 1796.
SIR:
I have received information this morning of a nature which, I think, you ought to receive without delay. A Mr. Le Guen,¹ a Frenchman—a client of mine, and in whom I have inspired confidence, and who is apparently a discreet and decent man—called on me this morning to consult me on the expediency of his becoming naturalized, in order that certain events between France and the United States might not prejudice him in a suit which I am directed to bring for him for a value of 160,000 dollars. I asked
¹ Louis Le Guen brought suit to recover money for goods sold by his factors, a Jewish house in New York. The first verdict was for the factors and was set aside. The verdict on the new trial was for Le Guen for $120,000, and this was affirmed in the Court of Errors (February, 1800) after a great argument by Hamilton. The case was a famous one. Gouverneur Morris appeared for the factors and Burr was associated with Hamilton.
him what the events to which he alluded were. He made me the following reply under the strictest injunctions of confidence: "I have seen a letter from St. Thomas to Mr. Labagarde of this city, informing him that a plan was adopted to seize all American vessels carrying to any English port provisions of any kind, to conduct them into some French port; if found to be British property, to condemn them; if American, to take them on the accountability of the government; adding that he must not thence infer that it was the intention to make war upon the United States, but it was with a view to retaliate the conduct of Great Britain, to keep supplies from her, and to obtain them for themselves, and was also bottomed on some political motives not necessary to be explained." "That it was also in contemplation when Admiral Richery arrived, if the ships could be spared, to send five sail of the line to this country." Fearing, he said, that this might produce a rupture between the two countries, he had called to consult me on the subject, etc.
I asked his permission to make the communication to you. He gave me leave to do it, but with the absolute condition that the knowledge of names was on no account to go beyond you and myself. I must therefore request, sir, that this condition be exactly observed. He has promised me further information.
I believe the information, as well because the source of it under all the circumstances engages my confidence, as because the thing appears in itself probable. France wants supplies, and she has not
the means of paying, and our merchants have done crediting.
It becomes very material that the real situation should as soon as possible be ascertained, and that the merchants should know on what they have to depend. They expect that the government will ask an explanation of Mr. Adet, and that in some proper way the result will be made known.
It seems to become more and more urgent that the United States should have some faithful organ near the French government to explain their real views and ascertain those of the French. It is all important that the people should be satisfied that the government has made every exertion to avert a rupture, and as early as possible.
TO OLIVER WOLCOTT
June 26, 1796.
Dear Sir:
I learn from a gentleman of character, that a prize, brought into Boston by a French privateer, is about to be sold. This being in direct breach of our treaty with Great Britain, how does it happen? Though no particular law passed, the treaty being the law of the land, our custom-houses can, and ought to, prevent the entry and sale of prizes, upon Executive instruction. If any thing is wanting to this end, for God’s sake, my dear sir, let it be done, and let us not be disgraced.
Considering what is going on, and may go on, in the West Indies, it appears to me essential that the
President should be empowered to lay embargoes in the interval between the present and the next session of Congress.
TO WASHINGTON
July 5, 1796.
Dear Sir:
I was in due time favored with your letter of the 26th June, and consulted the gentleman you named on the subject of it. We are both of opinion there is no power in the President to appoint an envoy extraordinary, without the concurrence of the Senate, and that the information in question is not a sufficient ground for extraordinary convening the Senate. If, however, the President from his information collectively be convinced that a dangerous state of things exists between us and France, and that an envoy extraordinary to avert the danger is a necessary measure, I believe this would, in the sense of the Constitution, warrant the calling of the Senate for the purpose. But this measure may be questionable in point of expediency, as giving a stronger appearance of danger than facts warrant. If further depredations on our commerce take place, if new revivals of the principle of the last capture should appear, it may alter the case. But without some thing more the measure would scarcely seem advisable. Mr. Jay and myself, though somewhat out of your question, talked of the expediency of removing Monroe, and though we perceive there are weighty reasons against it, we think those for it preponderate, if a proper man can be found. But here we feel, both
immense embarrassment, for he ought to be at the same time a friend to the government and understood to be not unfriendly to the French Revolution. General Pinckney is the only man we can think of who fully satisfies the idea, and unfortunately every past experiment forbids the hope that he would accept, though but for a short time. But if a character of tolerable fitness can be thought of, it would seem expedient to send him. At any rate, it is to be feared, if under the symptoms of discontent which have appeared on the part of the French government, no actual and full explanation takes place, it will bring serious censure upon the Executive. It will be said that it did not display as much zeal to avoid misunderstanding with France as with Great Britain; that discontents were left to rankle; that if the agent of the government in France was negligent or unfaithful, some other mode ought to have been found.
As to your resignation, sir, it is not to be regretted that the declaration of your intention should be suspended as long as possible, and suffer me to add that you should really hold the thing undecided to the last moment. I do not think it is in the power of party to throw any slur upon the lateness of your declaration. And you have an obvious justification in the state of things. If a storm gathers, how can you retreat? This is a most serious question. The proper period now for your declaration seems to be two months before the time for the meeting of the electors. This will be sufficient. The parties will in the meantime electioneer conditionally, that is to
say, if you decline; for a serious opposition to you will, I think, hardly be risked. I have completed the first draft (his own draft) of a certain paper, and shall shortly transcribe, correct, and forward it. I will then also prepare and send forward, without delay, the original paper (Washington's draft), corrected upon the general plan of it, so that you may have both before you for a choice in full time, and for alteration if necessary.\(^1\)
TO OLIVER WOLCOTT
July 7, 1796.
DEAR SIR:
I have had some conversation with some influential members of the Bank of New York, who are disposed to do all that shall be found possible. But I wish to know without exaggeration the least sum that will be a material relief to you, and when and how the payments will be desired.\(^2\)
TO ELIAS BOUDINOT
July 7, 1796.
MY DEAR SIR:
You will oblige me by letting me have an extract from that part of your mortgage law in New Jersey which regulates the mode of cancelling mortgages; also an extract from the registering book of the usual manner in which entries for cancelling were made about the years 1771, 1772, and 1773, and by
\(^1\) Reprinted from the *History of the Republic*, ii., 468, 522.
\(^2\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
informing me whether these entries have been adjudged conclusive—though the order or certificate of the mortgage is not to be found, the mortgage money not paid, and the fact should appear that the entry was a fraudulent act of the registering officer.
Excuse the trouble I give you, and use me freely in a like case.
How are your election prospects? Do not let the discontent with Dayton hazard the main point. 'T is better by a coalition with him to secure that, though you make some sacrifice of opinion, than to produce a dangerous schism.
Our affairs are critical, and we must be dispassionate and wise.
TO OLIVER WOLCOTT
July 15, 1796.
Dear Sir:
The application for a loan from the Bank of New York, though powerfully supported by some of the leading directors, labors, owing to the jealousy and narrowness of certain ones, who see in it a plan to increase the active capital of the Branch Bank, and put them in its power. Unluckily, the President suddenly went off to Rhode Island with his wife and some sick children. I pursue the affair, and I hope still to accomplish it.
There will be no difficulty in obtaining a postponement of the existing loan. But this I tell them will not be sufficient.
1 Jonathan Dayton, of New Jersey.
2 Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
TO TIMOTHY PICKERING
July 21, 1796.
DEAR SIR:
I communicated your letter to Mr. Jay, and now give you our joint sense.
Considering the nature of the transaction and what must necessarily have been presumed to be the intent, and that the authority is on a public subject, and between two nations, we think that a decision by two out of three commissioners must be sufficient.
We know nothing but an immediate personal interest in property which may be affected by the decision, that can be a conclusive objection to the person nominated—but this interest must be known, not suspected. The rest must be matter of negotiation. In point of property, neither government ought to name a person liable from local situation to the suspicion of particular interest or bias. But one cannot formally object to the nomination of the other on this general ground.
Declarations like those ascribed to Mr. Barkely, if well authenticated and unequivocal, importing clearly that he thought himself at liberty to gain advantages, and bound not to act impartially, would justify the government in stopping, and representing the matter to the British Government. But we ought to act with great caution not to give occasion to impute to us a spirit of procrastination or subterfuge. 'T is so much more important that the dispute should be settled than how it is settled (at least according to my idea of the object); that we should
by no means seek for difficulties, but rather facilitate than impede.\(^1\)
TO OLIVER WOLCOTT
July 28, 1796.
Dear Sir:
I have not lost sight of the negotiation with the bank, though it labors, and I have thought it best to let it lie by till the President returns. Mr. McCormick is violent against it, and plays on little jealousies and, what is still more efficacious, private interests, representing the consequent inability of the bank to accommodate the merchants, many of whom, from the unfortunate issue of some recent speculations, are likely to want much aid.\(^2\)
TO OLIVER WOLCOTT
July 30, 1796.
Dear Sir:
I have written you a short line previous to the receipt of your letter of the 26th, to which, indeed, I can add nothing material.
It will, as things stand, be imprudent to push the point of a further loan till the President arrives—for, though a majority of the directors are well disposed to the thing, they are afraid of Mr. McCormick’s clamors and want the sanction of the President to control and counterbalance him. All, I am told,
\(^1\) Now first printed from the Pickering papers in the possession of the Massachusetts Historical Society.
\(^2\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
that can now be relied upon, is a postponement of the payment of the 200,000 dollars heretofore lent, to which Mr. McCormick assents.\(^1\)
TO WASHINGTON
NEW YORK, July 30, 1796.
SIR:
I have the pleasure to send you herewith a certain draft which I have endeavored to make as perfect as my time and engagements would permit. It has been my object to render this act importantly and lastingly useful, and, avoiding all just cause of present exception, to embrace such reflections and sentiments as will wear well, progress in approbation with time, and redound to future reputation. How far I have succeeded, you will judge. I have begun the second part of the task—the digesting of the supplementary remarks to the first address,—which, in a fortnight, I hope also to send you; yet I confess the more I have considered the matter, the less eligible this plan has appeared to me. There seems to me to be a certain awkwardness in the thing, and it seems to imply that there is a doubt whether the assurance without the evidence would be believed. Besides that, I think that there are some ideas which will not wear well in the former address, and I do not see how any part can be omitted, if it is to be given as the thing formerly prepared. Nevertheless,
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society. This letter, and those preceding on the same subject, give a curious idea of the conduct of the government and the scale of financial dealings in 1796 as compared with those of to-day.
when you have both before you, you can judge. If you should incline to take the draft now sent, and after perusing and noting any thing that you wish changed, will send it to me, I will, with pleasure, shape it as you desire. This may also put it in my power to improve the expression, and perhaps, in some instances, condense. I rejoice that certain clouds have not lately thickened, and that there is a prospect of a brighter horizon.
TO GREENLEAF
NEW YORK, July 30, 1796.
DEAR SIR:
I have carefully reflected upon the subject of your letter of the 27th instant.
Though the data which it presents authorize an expectation of large pecuniary advantage, and though I discern nothing in the affair which an individual differently circumstanced might not with propriety enter into, yet, in my peculiar situation, viewed in all its public, as well as personal relations, I think myself bound to decline the overture.
TO OLIVER WOLCOTT
August 3, 1796.
DEAR SIR:
I have received your letter of the 1st. I deplore the picture it gives, and henceforth wish to forget
---
1 Reprinted from the History of the Republic, vi., 523.
2 Greenleaf described himself as worth five millions, and in debt for twelve hundred thousand dollars. He offered, if Hamilton would help him, and lend him his name, to give a third of his property, and make him his partner in a banking-house.
there is a bank or a treasury in the United States, though I shall not forget my regard to individuals.
I do not see one argument in any possible shape of the thing, for the sale of bank stock, or against that of the other stock, which does not apply *vice versa*, and I shall consider it as one of the most infatuated steps that ever was adopted.
It will be known on Thursday whether anything is to be expected here.
---
TO OLIVER WOLCOTT
August 5, 1796.
Dear Sir:
The Bank of New York is willing to make the loan of $324,000 dollars to you (I mean the exact sum of about this amount, if you desire it, which one of the laws you mention authorizes to borrow), on these terms: to advance all but $200,000 dollars when you please to advance the $200,000 dollars, by way of re-loan, when that sum, payable in October, becomes due. The term of credit to be, in each case, six months from the time of the advance. The interest, six per cent., with a deposit of stock (6 per cent.) at par, so placed as to permit the sale of it at the market price, if there be a failure of reimbursement at the stipulated periods. The treasury, upon honor, to draw immediately upon the bank as the money is wanted for expenditure, not to transfer it beforehand. On this point, sincerity and delicacy will be expected.
It was mentioned, too, as desirable, *though not*
made a condition, that it should be understood that in case a real pressing emergency in the course of the winter should exist, the bank, on giving previous notice of the necessity to the Treasury might be at liberty to sell the stock at the then market price. The directors to be, upon honor, not to use this permission but in case of real necessity. Their honor, I know, may be entirely relied upon, and it may be well to gratify.
The deposit of stock was suggested by myself, upon your first letter. It is an ingredient in the negotiation which the bank values.\(^1\)
The bank wishes a speedy decision.
---
TO WASHINGTON
August 10, 1796.
SIR:
About a fortnight ago I sent you a certain draft. I now send you another on the plan of incorporation. Whichever you may prefer, if there be any part you wish to transfer from one to another, any part to be changed, or if there be any material idea in your own draft which has happened to be omitted, and which you wish introduced, in short, if there be any thing further in the matter in which I can be of any (service), I will, with great pleasure, obey your commands.\(^2\)
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
\(^2\) Reprinted from the *History of the Republic*, vi., 523. This letter, and those which follow, all relate to the preparation of the farewell address which was published September 17, 1796.
TO WASHINGTON
NEW YORK, Sept. 4, 1796.
SIR:
I have received your two late letters, the last but one transmitting me a certain draft. It will be corrected and altered with attention to your suggestions, and returned by Monday's or Tuesday's post. The idea of the University is one of those which, I think, will be properly reserved for your speech at the opening of the session. A general suggestion respecting education will very fitly come into the address.¹
TO WASHINGTON
NEW YORK, Sept. 4, 1796.
SIR:
I return the draft, corrected agreeably to your intimations. You will observe a short paragraph added respecting education. As to the establishment of a university, it is a point which, in connection with the military schools, and some other things, I meant, agreeably to your desire, to suggest to you as parts of your speech at the opening of the session. There will several things come there much better than in a general address to the people, which likewise would swell the address too much. Had I health enough, it was my intention to have written it over, in which case I would both have improved and abridged. But this is not the case. I seem now to have regularly a period of ill health every summer. I think it will be advisable simply to send
¹ Reprinted from the History of the Republic, vi., 529.
the address by your secretary to Dunlap. It will, of course, find its way into all the other papers. Some person on the spot ought to be charged with a careful examination of the impression by the proofsheet.\(^1\)
TO WASHINGTON
NEW YORK, Sept. 8, 1796.
SIR:
I have received your letter of the 6th by the bearer. The draft was sent forward by the post on Tuesday. I shall prepare a paragraph with respect to the University and some others for consideration respecting other points which have occurred.\(^2\)
TO PHINEAS BOND
NEW YORK, Sept. 15, 1796.
SIR:
Two days since a letter was delivered to me with a declaration of the bearer that it came from Mr. Lyston.\(^3\) On opening the cover I found nothing except a letter from Captain Cochran (which, though not addressed, would appear to have been written to some public agent of Great Britain) and a declaration of David Wilson and Thomas Marshall respecting the ship *Eliza*. The superscription of the packet resembling your handwriting, I concluded that it might have come from you, and that by some
---
\(^1\) Reprinted from the *History of the Republic*, vi., 530.
\(^2\) Reprinted from the *History of the Republic*, vi., 531.
\(^3\) The British minister.
mistake the letter you had written me had been omitted, and that on discovery of omission it would have been forwarded by another opportunity. Finding after two days' waiting that the expectation has not been realized, I have determined to write to you on the subject.
Mr. Charles Wilkes had previously applied to me concerning this affair, and had submitted to my consideration various papers. The result was that I discouraged a judicial prosecution. My reasons are these:
Taking it to be true, as stated, that Captain Huffey brought from the shore within our territory persons who, by force, aided him to rescue the captured vessel, I am of opinion that this circumstance would give jurisdiction of the case to our courts on the application of the capturing party.
But when on such application any of our courts should hold jurisdiction, it would in my judgment go into the merits and examine the validity of the capture.
Here these facts occur: that the *Eliza*, being a transport vessel in the service of Great Britain, was captured by a French privateer fitted out of some port of France by Barney, an American citizen, in quality of armateur—Levelle, probably a Frenchman, captain by commission, and was afterwards condemned as prize by the sentence of a Court of Admiralty at Dunkirk; and, as far as the direct proof goes, purchased in virtue of that sentence by an American citizen.
It is conjectured that two thirds of the vessel
may have belonged to a French house—Messrs. De Baques—because it appears that Huffey paid two thirds of the purchase-money in a bill drawn by that house. But this is evidently a mere circumstance of suspicion, and wholly inconclusive. Why may not the De Baques have been factors or agents for Huffey? Why may not Huffey have purchased their draft towards the payment? One or the other of the two latter suppositions would no doubt prevail with the court if there was no collateral proof to the contrary.
It is also conjectured that the *Eliza* may have continued the property of Barney, but all the documents now in the power of the captor speak a contrary language. This suspicion, then, however just it may be in fact, cannot be supported.
The question then is, would the equipment of the privateer by Barney be sufficient to invalidate the purchase by a neutral citizen under the sentence of a court of the capturing power?
No opinion of any theoretic writer, nor, as I believe, any usage of any nation, nor the decisions of courts of admiralty, will authorize, in my judgment, an affirmative answer to that question.
If Mr. Barney comes within the 21st article of our treaty with Great Britain, it would make him liable, if taken by Great Britain, to be punished as a pirate. But it will be observed that the stipulation would not oblige the United States to treat him as such. And the article being confined to personal punishment, may be supposed not to contemplate the confiscation of property captured by such a person.
VOL. X.—13.
But it would be to go an unheard-of length to pronounce null the prize made under such circumstances by a vessel fitted out of the ports of the belligerent power, and regularly commissioned, and after a sentence of condemnation.
Therefore, and as the property in question is of little value, and as smart damages would be likely to attend a failure of the prosecution, I advised against it, as I now still do.
Yet, if Captain Cochran, or any person acting on his behalf, shall desire the experiment to be made, however unpromising in my view, I shall esteem it a professional duty, and due to justice to a foreign power, to put the affair in a course of judicial investigation.
TO TIMOTHY PICKERING
New York, Sept. 21, 1796.
Dear Sir:
Some time since Mr. McCormick spoke to me about the case of his kinsman, Mr. Pitcairn, whom Mr. Monroe had prevented from exercising the functions of consul. I can, in justice, inform you that this gentleman is well considered in our city, and that his political principles have been understood to be very friendly to the French Revolution; nor have we any doubts that his sentiments towards our own government are altogether American, so that in truth there can be no shadow of political objection to him as to the office for which he was intended.¹
¹ Now first printed from the Pickering papers in the possession of the Massachusetts Historical Society.
Our excellent President, as you have seen, has declined a re-election. 'T is all-important to our country that his successor shall be a safe man. But it is far less important who of many men that may be named shall be the person, than that it shall not be Jefferson. We have every thing to fear if this man comes in, and from what I believe to be an accurate view of our political map I conclude that he has too good a chance of success, and that good calculation, prudence, and exertion were never more necessary to the Federal cause than at this very critical juncture. All personal and partial considerations must be discarded, and every thing must give way to the great object of excluding Jefferson. It appears to be a common opinion (and I think it a judicious one), that Mr. Adams and Mr. Pinckney (late minister to England) are to be supported on our side for President and Vice-President. New York will be unanimous for both. I hope New England will be so too. Yet I have some apprehensions on this point, lest the fear that he may outrun Mr. Adams should withhold votes from Pinckney. Should this happen, it will be, in my opinion, a most unfortunate policy. It will be to take one only instead of two chances against Mr. Jefferson, and, well weighed, there can be no doubt that the exclusion of Mr. Jefferson is far more important than any difference between Mr. Adams and Mr. Pinckney. At foot, is my calculation of chances between Adams and Jefferson. 'T is too precarious. Pinckney has
the chance of some votes southward and westward, which Adams has not. This will render our prospect in the main point, the exclusion of Jefferson, far better.
Relying on the strength of your mind, I have not scrupled to let you see the state of mine. I never was more firm in an opinion than in the one I now express, yet in acting upon it there must be much caution and reserve.\(^1\)
TO OLIVER WOLCOTT
ALBANY, Oct. 27, 1796.
Dear Sir:
Your letter of the 17th instant found me at Albany, attending the Supreme Court. I have no copy of the treaty with Great Britain at hand, but I am well satisfied, from memory, that the true interpretation of the treaty, enforcing, in this respect, the true rule of neutrality, forbids our permitting the sale of a prize, taken and brought in by a French national ship equally as if by a privateer, and that the prize vessel herself, with her cargo, ought to depart our ports. I hasten to give you my opinion thus far. I reserve to consider more at leisure what exceptions absolute necessity may justify. But this is clear: that as far as it may admit any, the exceptions must be measured and restricted by the necessity, and as soon as possible you must return into the path of the treaty.
Thus, if the prize vessel was absolutely insufficient to proceed to sea, her cargo ought to be sent out of
\(^1\) Reprinted from the History of the Republic, vi., 538.
the country in another vessel, and care ought to be taken that it does not go out under false colors. Our own officers, no doubt, must inspect and ascertain any case of necessity which may be suggested.
Pray, my good friend, let there be no evasions.
TO OLIVER WOLCOTT
November 1, 1796.
Dear Sir:
I wrote you a line from Albany, expressing an opinion from memory that our treaty with Great Britain prohibited the sale of prizes made by French national ships. Being just returned to town, I have looked into the article which related to the point, and I fear that opinion was wrong. In a day or two I will write to you more particularly.
Adet's late communication demands a very careful and well-managed answer.
TO OLIVER WOLCOTT
November 3, 1796.
Dear Sir:
I have more carefully examined our treaty with Great Britain and I return to the opinion given you from Albany. My hesitation yesterday arose from the terms of the twenty-fourth article, which were confined to privateers, a word that has an appropriate sense, meaning ships of private persons commissioned to cruise. But the following article contains the equivalent one to that with France, upon
which we refused all bringing in and sale of prizes by her enemies. The words are, "no refuge," etc., the major including the minor. And though France, by our treaty with her, may bring in prizes, yet the treaty gives her no right to sell. The clause in question, in the English treaty, cannot take away the right she before had to bring in her prizes; but as she had not a positive right to sell, it will oblige her to depart with them: in other words, it will preclude her from whatever she has not a positive right to. This also is Mr. Jay's opinion, and it is certainly agreeable to the whole spirit of the treaty.
TO WASHINGTON
November 4, 1796.
SIR:
I have lately been honored with two letters from you, one from Mount Vernon, the other from Philadelphia, which came to hand yesterday. I immediately sent the last to Mr. Jay, and conferred with him last night. We settled our opinion on one point, viz.: that whether Mr. Adet acted with or without instruction from his government in publishing his communication, he committed a disrespect towards our government, which ought not to pass unnoticed, and would most properly be noticed to him as the representative or agent. That the manner of noticing it, in the first instance, at least, ought to be negative; that is, by the personal conduct of the President towards the Minister. That the true rule on this point would be to receive the Minister
at your levees with a dignified reserve, holding an exact medium between an offensive coldness and cordiality. The point is a nice one to be hit, but no one will know better how to do it than the President.
Self-respect and the necessity of discouraging further insult, requires that sensibility should be manifested; on the other hand, the importance of not widening a breach, which may end in rupture, demands great measure and caution in the mode.
Mr. Jay and myself are both agreed also, that no immediate publication of the reply which may be given ought to be made, for this would be like joining in an appeal to the public—would countenance and imitate the irregularity, and would not be dignified; nor is it necessary for any present purpose of the government. Mr. Jay inclined to think that the reply ought to go through Mr. Pinckney to the Directory, with only a short note to Adet, acknowledging the reception of his paper and informing him that this mode will be taken. I am not yet satisfied that this course will be best. We are both to consider further, and confer. You will shortly be informed of the result.
But whatever be the mode adopted, it is certain that the reply will be one of the most delicate papers that has proceeded from our government, in which it will require much care and nicety to steer between sufficient and too much justification, between self-respect and provocation of further insult or injury; and that will at the same time save a great political interest which this step of the French Government opens to us. Did I not know how guarded you will
yourself be, I should be afraid of Mr. Pickering’s warmth. We must, if possible, avoid a rupture with France, who, if not effectually checked, will, in the insolence of power, become no less troublesome to us than to the rest of the world.
I dedicate Sunday to the execution of your commands in preparing certain heads. You will speedily hear again from me.
TO WASHINGTON
November 5, 1796.
SIR:
Yesterday, after the departure of the post, I received your letter of the 3d. I have since seen the answer to Adet. I perceive in it nothing intrinsically exceptionable, but some thing in the manner a little epigrammatical and sharp. I make this remark freely, because the card now to be played is perhaps the most delicate that has occurred in our administration, and nations, like individuals, sometimes get into squabbles from the manner more than the matter that passes between them. It is all-important to us—first, if possible, to avoid rupture with France; secondly, if that cannot be, to evince to the people that there has been an unequivocal disposition to avoid it. Our discussions, therefore, ought to be calm, smooth, inclined to be argumentative; when remonstrance and complaint are unavoidable, carrying upon the face of them a reluctance and regret, mingling a steady assertion of our rights and adherence to principle with the language of moderation, and, as long as it can be done, of friendship.
I am the more particular in these observations, because I know that Mr. Pickering, who is a very worthy man, has nevertheless something warm and angular in his temper, and will require much a vigilant, moderating eye.
I last evening saw Doctor Bailey, our health officer, who tells me that the French Consul here, in conversation with an assistant of the doctors, who is a refugee from St. Domingo, expressed a desire to make arrangements for the sick of a French fleet expected shortly to arrive at this port. I thought this circumstance worth communication.
TO OLIVER WOLCOTT
November 9, 1796.
Dear Sir:
I received yesterday your letter of the 6th, and immediately wrote some additional letters to the eastward, enforcing what I had before written. Pennsylvania does not surprise me.
I have reconsidered the opinion given to you on the third, and see no reason to change it. The reasoning which leads me to the conclusion, has not been sufficiently explained, I will therefore be more particular.
The articles in our treaty with France, which respect the subject, are the seventeenth and twenty-second.
The seventeenth consists of two parts.
First.—It grants asylum in our ports for French ships of war and privateers, with their prizes; and
with liberty to carry them freely thence to their own ports.
Secondly.—It prohibits the giving refuge, in our ports, to such as shall have made prize of the subjects, or property, of the French. It grants no right to sell prizes in our ports, neither does the letter of the article prohibit prizes, made of the French, from coming into our ports. It only prohibits the instrument of making the prizes. But the construction justly adopted by the President was, that the prohibition, in its true spirit, excluded the bringing in of prizes, whether coming with, or without, the capturing vessels. 'T is upon this part of the treaty, alone, that prizes made by national vessels of Great Britain, were excluded from our ports. For,—
The twenty-second article with France is wholly confined to privateers; prohibiting those of other nations to fit or to sell their prizes in our ports.
This article, had it stood alone, would have left us as free to admit British national ships, with their prizes, into our ports, as our twenty-fourth article with Great Britain leaves us free to admit French national ships, with their prizes. For these articles are the exact equivalents of each other. So that, as before remarked, the prohibition of the coming in, or sale in, our ports, of prizes made upon the French by British national ships, was derived, by construction and implication, from the seventeenth article of our treaty with France.
It follows, that this article was considered as competent to prevent the coming in and sale of prizes.
If so, the same, or equivalent, terms in the British treaty, must be competent to the same thing.
Now the twenty-fifth article of our treaty with Great Britain has equivalent terms. We there read, that "no shelter or refuge shall be given in their ports to such as have made a prize upon the subjects, or citizens, of either of the contracting parties; but if forced, by stress of weather or the danger of the sea, to enter therein, particular care shall be taken to hasten their departure; and to cause them to retire as soon as possible." This prohibition includes here, as in the seventeenth article of our treaty with France, a prohibition to sell prizes in our ports; not the prizes of privateers only, but prizes generally.
But France, it is answered, had a prior right, by the seventeenth article of our treaty with her, "to come and bring prizes into our ports."
True, she had this right, and must have it still, notwithstanding the twenty-fifth article of our treaty with Great Britain: but she had no prior right, by treaty, to sell prizes in our ports; and consequently, as the twenty-fifth article of our treaty with Great Britain excludes, as the minor of a major, the selling of prizes in our ports, the exclusion, so far, is in force, because it contravenes no prior right of France. As far as the treaty with France gives a right, inconsistent with the above twenty-fifth article, that right forms an exception; but the exception must be only co-extensive with the right. The conclusion is that France retains the right of asylum, but is excluded from the right of selling. This gives effect to the twenty-fifth article with Great Britain, so far as
the treaty-right of France does not require an exception.
And this construction ought to be favored, because it best comports with the rule of neutrality.
It will also best agree with the President's former decisions. He permitted France to sell prizes; not because treaty gave her a right, but because he did not see clearly any law of the country, or of nations, that forbids it. But consistency does not require that this permission shall continue, if there be any thing in the treaty with Great Britain against it. Consistency, however, does require that the same latitude of construction should be given to the twenty-fifth article of our treaty with Great Britain, as was before given to the seventeenth article of our treaty with France. The same latitude will, as I apprehend, exclude the sale of prizes, by France, in the case in question.
I regret extremely the publication of the reply to Adet, otherwise than through the channel of Congress. The sooner the Executive gets out of the newspapers the better. What may now be in its power, will depend on circumstances which are to occur.
TO WASHINGTON
NEW YORK, Nov. 10, 1796.
SIR:
I have been employed in making, and have actually completed a rough draft on the following heads: "National University; Military Academy;"
Board of Agriculture; establishment of such manufactories on public account as are relative to the equipment of army and navy, to the extent of the public demand for supply, and excluding all the branches already well established in the country; the gradual and successive creation of a navy; compensations to public officers; reinforcement of provision for public debt." I send you this enumeration, that you may see the objects which I shall prepare for. But I must beg your patience till the beginning of the next week for the transmission of the draft, as I am a good deal pressed for time.
The Legislature having appointed Mr. Lawrence district judge, a successor will of course be to be provided. A conviction of his competency, a high opinion of his worth, and a long-established personal friendship, induce me to take the liberty of precipitating a recommendation to you of Mr. Troup, the present clerk of the District and Circuit Court (the attorney of the district being known to be disinclined to the office). Mr. Troup is a lawyer, professionally very respectable, so that his practice is inferior in productiveness to no other; but he has by the most unexceptionable means acquired a property sufficient to make it reasonable in him to withdraw from practice, upon a salary such as that of the district judge, and latterly his health has somewhat suffered from a long course of excessive application. His moral character is without an imputation of any sort; indeed, no man in the State is better esteemed than this gentleman; so that, I believe the appointment would be considered as altogether fit. I trust,
however, that in expressing myself thus strongly, it will not occasion to you a moment's embarrassment, if any candidate more agreeable to you shall occur.
TO WASHINGTON
November 11, 1796.
SIR:
My anxiety for such a course of things as will most promise a continuance of peace to the country, and in the contrary event a full justification of the President, has kept my mind dwelling on the late reply to Mr. Adet; and, though it is a thing that cannot be undone, yet, if my ideas are correct, the communication of them may not be wholly useless for the future. The more I have considered the paper, the less I like it.
I think it is to be regretted that answers were not given to the preceding communications of Mr. Adet. For silence commonly carries with it the appearance of *hauteur* and *contempt*. And even if the paper to be answered is offensive, 't is better and less hazardous to harmony to say so, with calmness and moderation, than to say nothing. Silence is only then to be adopted when things have come to such a state with a minister, that it is the intention to break with him. And even in this case, if there is still a disposition to maintain harmony with his government, a reply ought to go through our own organ to it, so as to distinguish between the minister and the government.
The reason given for not having answered the inquiry respecting the impressment of our seamen is
too broad. When two nations have relations to each other, and one is at war, the other at peace, if the one at peace suffers liberties to be taken with it by the enemy of the one at war, which turns to the detriment of the latter, it is a fair subject of inquiry and discussion. The questions may be asked: How does this happen? What measures are taken to prevent a repetition or continuance? There is always possibility of connivance, and this possibility gives a right to inquire, and imposes an obligation to enter into friendly explanation. 'T is not a matter of indifference to our friend, what conduct of its enemy we permit towards ourselves. Much indeed in all these cases depends on the manner of the inquiry; but I am satisfied the principle is as I state it, and the ground assumed by Mr. Pickering, in the latitude of the expression, untenable.
These opinions are not confined to me. Though most people like the air of what is called spirit in Mr. Pickering's letter, yet some of the best friends of the cause whisper cautiously remarks similar to the above.
It is a question now well worth considering, whether, if a handsome opportunity of rectifying should not occur with Mr. Adet, it may not be expedient, specially to instruct Mr. Pinckney, to make the explanations, putting our backwardness here to the score of the manner of the inquiry, and qualifying the generality of our principle—without giving up our right of judging of the measure of our compliance in similar cases.
I know you will so well appreciate the motives to
these observations, that I run no risk in being thought officious, and I therefore freely transmit them, being always, etc.
TO WASHINGTON
NEW YORK, Nov. 19, 1796.
SIR:
I duly received your letter of the 12th instant. My avocations have not permitted me sooner to comply with your desire. I have looked over the papers, and suggested alterations and corrections; and I have also numbered the paragraphs, I., II., III., etc., in the order in which it appears to me eligible they should stand in the speech.
I thought, upon full reflection, you could not avoid an allusion to your retreat, in order to express your sense of the support of Congress, but that the simplest manner of doing it was to be preferred. A paragraph is offered accordingly.
I believe the commencement of a navy ought to be contemplated. Our fiscal concerns, if Congress please, can easily be rendered efficient; if not, 't is their fault, and ought not to prevent any suggestion which the interest of the country may require.
The paragraph in your letter respecting our Mediterranean commerce may well be incorporated in this part of the communication.
You will observe a paragraph I have framed contemplates a full future communication of our situation with France. At present it seems to me that this will be effected in the following mode:
Let a full reply to Mr. Adet's last communication
be made, containing a particular review of our conduct and motives from the commencement of the Revolution. Let this be sent to Mr. Pinckney, to be imparted to the Directory; and let a copy of it, with a short auxiliary statement of facts, if necessary, be sent to the House of Representatives. As Mr. Adet has suspended his functions, I presume no reply can be made to him; but, not having seen his paper, I cannot judge.
The crisis is immensely important to the glory of the President, and to the honor and interest of the country.
It is all-important that the reply to Adet's last communication, to whomsoever made, should be managed with the utmost possible prudence and skill, so that it may be a solid justification—an inoffensive remonstrance—the expression of a dignified seriousness—reluctant to quarrel, but resolved not to be humbled. The subject excites the greatest anxiety.
TO OLIVER WOLCOTT
November 22, 1796.
Dear Sir:
I thank you for your note sending me Adet's letter. The present is, in my opinion, as critical a situation as our government has been in, requiring all its prudence, all its wisdom, all its moderation, all its firmness.
Though the thing is now passed, I do not think it useless to say to you that I was not well pleased with the Secretary of State's answer to Adet's note.
communicating the order respecting neutral vessels. There was some thing of hardness and epigrammatic sharpness in it. Neither did I think the position true that France had no right to inquire respecting the affair of seamen. I am of opinion that whenever a neutral power suffers liberties to be taken with it by a belligerent one, which turns to the detriment of the other party, *as the acquiring strength by impressing our seamen*, there is a good ground of inquiry, demanding candid explanation.
My opinion is, that our communication should be calm, reasoning, and serious, showing steady resolution more than feeling, having force in the idea rather than in the expression.
I am very anxious that our government should do right on the present occasion.
My ideas are these:
As Adet has declared his functions suspended, the reply ought not to be to him, but through Mr. Pinckney to the Directory.
It ought to contain a review of our conduct from the beginning, noticing our first and full acknowledgment of the Republic, and the danger we ran by it. Also the dangers we incurred by other large interpretations of the treaty in favor of France, adverting to the sale of prizes.
It should meet all the suggestions of the Minister, correct his misstatements of facts, and meet, argumentatively, his principles. Where arguments already used are repeated, it ought to be in a new language, or by quotations in the body of the reply, not by reference to other communications annexed,
or otherwise, which embarrass the reading and attention.
It should review calmly the conduct of France and her agents, pointing out fully and clearly the violations of our rights, and the spirit which was manifested, but in terms the most cautious and inoffensive.
It should advert to the policy of moderation towards the enemies of France, which our situation and that of France, especially as to maritime power, imposed upon us.
It should briefly recapitulate the means of obtaining redress from Great Britain employed by our government, and the effects they have produced.
It should explain why the government could not adopt more expeditious modes; why the Executive could not control the Judiciary, and should show that, in effect, the opposite party, as well as France, suffered the inconveniences of delay.
It should make prominent the consequences upon the peace and friendship of governments, if all accidental infractions from situation, from the negligences, etc., of particular officers, are to be imputed with severity to the government itself, and should apply the remark to the case of the injuries we have suffered, in different ways, from the officers and agents of France.
It should make prominent two ideas: the situation in which we were with Great Britain prior to the last treaty, so as to show that, by the laws of nations, as admitted to us and declared to France and the world, prior to that treaty, all the things
complained of as resulting from that treaty previously existed. And it should dwell on the exception, in that treaty, of prior treaties.
It should point out strongly the idea that the inconvenience at particular junctures of particular stipulations is no reason for one party superseding them, but should intimate that the President is willing to review the relations between the two countries, and, by a new treaty, if the same shall be approved by the Senate, to readjust the terms of those relations.
The article in the treaty with France respecting an admission of the same privileges which are granted to other powers should be examined. This plainly means where there is any concession of a positive privilege which the United States were free to refuse, not where there is a mere recognition of the principles of the laws of nations.
It should be made prominent that the United States have always wished, and still wish, to cultivate the most amicable relations, and are still disposed to evince this disposition by every method in their power; that in what they said they mean only to show that they have acted in sincerity and good faith, and have rather received than given cause to complain; that they have been disposed to make a candid construction of circumstances which might seem inconsistent with a friendly conduct in France, and claim a similar candor in the estimate of their situation and conduct.
There should be an animadversion upon the unfitness of looking beyond the government to the citizens. And there should be these ideas, properly couched:
that the United States cannot admit that a just cause of resentment has been given; that they appeal from the misapprehension which dictated this sentiment to the justice and magnanimity of France, for a retraction of it, and for meeting them freely in the complete restoration of a friendly intercourse; that France will not deliberately expect that they could make a sacrifice of self-respect, since she must be sensible that a free people ought, in every event, to cherish it as a sacred duty, and to encounter with firmness every danger and calamity which an attempt to make them forget it, or degrade them from their independent character, may involve.
This would be the general complexion of the reply which I would give. The manner should be extremely cautious, smooth, even friendly, but yet solemn and dignified.
The alliance, in its future operation, must be against our interest. The door to escape from it is opened. Though we ought to maintain with good faith our engagements, if the conduct of the other party releases us, we should not refuse the release, so far as we may accept without compromising our peace. This idea is very important.
TO OLIVER WOLCOTT
December 6, 1796.
Dear Sir:
The president of the Bank of New York called upon me yesterday and manifested considerable anxiety about the state of the bank. It seems the course of things lately and their large accommodations to
the Government have produced a balance against them in favor of the office of discount at this place, which has lately called for 100,000 dollars in specie and it is apprehended may speedily call for more.
The president mentioned this situation generally, with only this view, to show that the bank would probably be under the necessity of selling the stock pledged with them, if the government should not be punctual. It was at the same time declared that nothing but necessity would lead to any measure inconvenient to the government, yet it was thought advisable to admonish of the probable necessity.
A director two or three days since also mentioned to me that there was a sum of about 26,000 dollars of interest due to the bank, of which an account had been rendered, but which was not paid, adding that in the present situation every little would help. Observations like these are of course confidential. But the situation requires, and it will make it good policy that, if in your power, you should come to the aid of the Bank of New York. It would be wise, if possible, to anticipate a particular payment. It will be also useful to arrest for a time too free calls from the office.
Friendly attention and good offices on your part will inspire confidence and embolden the bank to assist in future emergencies, and it is very much the policy of the Treasury not to be exclusively dependent on one institution.
P. S.—Let me hear from you on this subject. What is doing with Adet?
TO RUFUS KING
NEW YORK, Dec. 16, 1796.
I have received, my dear sir, your several letters of the 25th of August, 10th and 11th of September. You know my sentiments towards you too well to ascribe my delay in answering them to any other cause than the imperiousness of avocations with which I could not dispense.
Public opinion, taking the country at large, has continued since you left us to travel on a right direction, and, I trust, will not easily deviate from it. You will have seen before this reaches you Mr. Adet's communications. We conjecture, as to the timing of them, that they were intended to influence the election of president by the apprehension of war with France. We suppose also they are designed in the same way to give support to the partisans of France, and that they have for eventual object the placing things in just such a state as will leave France at liberty to slide easily either into a renewal of cordiality or an actual or virtual war with the United States. If the war of Europe continues, the efforts of France will be likely to be levelled as a primary object against the commerce and credit of Great Britain; and to injure these, she may think it advisable to make war upon our trade,—forgetting perhaps that the consequence may be to turn it more entirely into the channels of Great Britain. These reflections will be obvious to you. I only make them to apprise you of the view which is taken of the subject here. Thus far appearances do not
indicate that the purpose of influencing the country has been obtained. I think, in the main, the effect has been to impress the necessity of adhering more firmly to the government.
You need not be told that every exertion not degrading to us will be made to preserve peace with France. Many of the opposite party, however they may be pleased with appearances of ill-humor in France, will not wish to go to the length of war. And we shall endeavor to avoid it in pursuance of our general plan of preserving peace with all the world. Yet you may depend that we shall not submit to be dictated to, or to be forced into a departure from our plan of neutrality, unless to repel an attack upon us.
Our anxiety has been extreme on the subject of the election for president. If we may trust our information, which we have every reason to trust, it is now decided that neither Jefferson nor Burr can be president. It must be either Adams or Pinckney—the first most probably. By the throwing away of votes in New England, lest Pinckney should outrun Adams, it is not unlikely that Jefferson will be vice-president. The event will not a little mortify Burr. Virginia has given him only one vote.
It was expected of course that the Senate’s answer to the President would be flattering to him. But the speech in the House of Representatives has been better than was expected. An address, which I have not seen, but stated by our friends to be a very good one, has passed the House with only twelve dissenting, consisting of the most fiery spirits.
The address is not only generally complimentary to the President, but includes, it is said, an explicit approbation of his administration, which caused the division. Edward Livingston is in the minority.
After giving you these consolatory accounts, I am now to dash the cup a little by telling you that Livingston is in all probability re-elected in this city. The principal cause has been an unacceptable candidate on our part—James Watson. There were four gentlemen who would certainly have succeeded, but none of them would accept. In Watson we could not unite opinions. He was more disagreeable than I had supposed to a large body of our friends, and yet, after the declining of the persons alluded to, we could not do otherwise than support him; for he had gotten a strong hold upon most of the leading mechanics who act with us.
But in the State at large we shall better our representation, and I hope for a majority in the House of Representatives. As an omen of this there are several new members in Congress from different States who hitherto vote with our friends.
The favorable change in the conduct of Great Britain towards us strengthens the hands of the friends of order and peace. It is much to be desired that a treatment in all respects unexceptionable from that quarter should obviate all pretext to inflame the public mind.
We are laboring hard to establish in this country principles more and more national and free from all foreign ingredients, so that we may be neither "Greeks nor Trojans," but truly Americans.
TO OLIVER WOLCOTT
NEW YORK, Dec. 21, 1796.
DEAR SIR:
I did not understand by your letter of the 17th of November whether you meant or not to authorize the immediate commencement of the sale of stock. If you think this measure will become indispensable, it may be well to anticipate the execution; though, indeed, sales of stock are at this juncture nearly impracticable. Yet I imagine it will be agreeable to the bank to have permission to anticipate.
A very prudent letter has lately been written by the president of the Bank of the United States to the Office of Discount here, among other things advising a reduction of the balance due from the Bank of New York to 100,000 dollars. This letter, which in my opinion leaves, as it ought to do, to the directors of the office here, discretion to execute the idea with due regard to circumstances, has, however, been construed by them in too peremptory a light; and accordingly they have drawn from the Bank of New York pretty rapidly 150,000 dollars, which begets an apprehension that subsequent calls may be equally rapid, and, exciting fear and jealousy, is likely to produce too sudden a retrenchment of the business of the Bank of New York. And as the office, being confined, as they suppose, to discounting twice their capital, cannot, by increased accommodations, fill the void, there is danger of stagnating and convulsing the business of the city so as to give a shock to credit. The directors here are sensible of the danger, but several of them take the intimation
from Philadelphia in too strict a sense, and cannot resolve to alleviate the apprehensions of the Bank of New York.
Though the Bank of New York has reduced and is reducing its discounts, there are circumstances of the moment which continue to incline the balance in favor of the office, but it is easy to see, taking in the payments of the government in February, that there will be a natural change, and consequently it is every way imprudent to force them.
If the last loan of the Bank of New York to government had no other use than that which you hint, this still was very important. And it is interesting all round that a disposition should exist to repeat similar accommodations. But you easily see how cautious and disaffected spirits are armed against it when they can say, "We told you that you would embarrass yourself by your loan to government," and in truth if this had not been made the Bank of New York would now stand on high ground.
Pray interpose with Mr. Willing to obtain an explanatory letter leaving more clearly the time and manner of accomplishing the reduction of the present balance to their discretion.
I will say nothing more of an anticipated payment, but if this were practicable to the extent of 50,000 or 100,000 dollars it would be consolatory to the directors and leave the residue more to your convenience.
Don't derive from this letter any source of alarm. Everything is sound with both banks here. I know the state of both. But there is danger that fear and jealousy in the directors of the Bank of New York
may produce evil which it is unnecessary to hazard. I wish to see your report on direct taxes.
I shall send you, the first opportunity, the volume of "Reports of Courts."
P. S.—Mr. Caleb Brewster is a candidate for the office of first mate in the revenue cutter here. I remember he rendered very meritorious services in the war, and I am told has been bred a seaman. In these respects he has a good claim. His character otherwise is not known to me. But if it affords no objection, I think he will be an eligible man.
It is said Walker is to resign. In this case Jonathan Burrall wishes to succeed. There cannot, you know, be a more fit man, and he will be entirely acceptable here.\(^1\)
---
TO THEO. FOSTER, ESQ.\(^2\)
PHILADELPHIA, 1 Sept., 1791.
DEAR SIR:
I have had the pleasure of receiving your two letters of the 23rd July & 4th of August. You concluded rightly that it could require no apology for entering into the detail with which you have favored me. On a subject so interesting to your State, your desire to communicate information was indulged
\(^1\) Now first printed from the Wolcott papers, in the possession of the Connecticut Historical Society.
\(^2\) This letter of Hamilton's to Theo. Foster is now (1904) for the first time printed. The publishers are indebted to the courtesy of Mr. G. H. Crawford and to the Hamilton Club, of Brooklyn, for permission to use the letter in this set. Theo. Foster was United States Senator from Rhode Island in 1790.
with peculiar propriety, & on any subject I shall always esteem myself obliged by your sentiments. Thoroughly impressed with the hardship of a decision against the certificates which had been surrendered to the State by their Proprietors, I did not come to it without a serious struggle between my Judgment & my Wishes; but after mature deliberation I saw no way of allowing those Certificates to be received on the proposed loan which would not involve inextricable embarrassment. All the States have called in large portions of their respective Debts.
There is good reason to believe, that on a close investigation Rhode Island might not be found to be the only State in which they had been so called in for a very inadequate consideration. And tho' it might be urged to distinguish the case, that Rhode Island alone compelled the surrender, on pain of forfeiture, it might be answered that in sound equity, there is no very material distinction between obliging Persons to surrender their property for less than its value, under the penalty of confiscation and laying them under a necessity of doing the same thing, from the total and deliberate neglect of a better provision. Be this as it may, I saw no safe rule, that would be admitted to be such by even the candid part of those, whose interest it might be to dispute it, by which I could pronounce that Certificates surrendered and cancelled by the Mutual Acts of the Creditor and Debtor should be permitted to receive and acquire validity in respect to one State and not in respect to another. And without such rule, all the extinguished portions of the Debts of all the
States might, if they should think proper to make it so, acquire a capacity of being subscribed towards the assumption. Where this would lead it is not necessary to say. The two Carolinas have actually passed laws for subscribing the portions of their respective Debts which have been extinguished by them—the only answer I can give is that a Bond surrendered as discharged constitutes no Debt and that in every such case, there is no Debt to be assumed.
I cannot allow an after act of a State to create a Debt within the meaning of the funding Act, which it cannot be admitted to have contemplated as then in existence. It may be asked, How then shall the Certificates which remained in the hands of Individuals, but which were forfeited by the law of the State, be admitted upon the Loan, any more than those which were surrendered? This is a question not wholly free from difficulty; but if I had found no distinction satisfactory to my own mind, I should have been obliged to reject the whole. Such a distinction, however, was in my opinion to be found. Upon principle, it is a general rule, that the dissolution of a contract by one party without the concurrence of the other, is void.
The Creditors who did not concur may claim the benefit of that rule and it is to be supposed that it was the intention of Congress, they should have it. It may be said to be a legal presumption that Congress, at the time of passing the funding Act, was acquainted with the laws of Rhode Island respecting the Certificates. And in point of fact the generality
of them were so at least in substance. They must, therefore, have been apprised, that if the forfeiture annexed in those laws to the not bringing in the certificates for payment was to prevail, there was no debt of the State of Rhode Island to be assumed. By assuming a Sum of 200,000 Dollars, a sum by the way nearly corresponding with the amount of the outstanding Certificates, the clear inference is that they meant to consider those Certificates as in force, and the forfeiture as far as regarded the assumption, as inoperative. But it is not a reasonable presumption, that they could have intended to comprise the surrendered Certificates, which could not even be repossessed by the individual proprietors without a subsequent act of the State.
I have made some suggestions in this letter, which I should perhaps have omitted if I had considered it as strictly official, and therefore request that it may be received as a private and in some sort a confidential communication.
I cannot lose the opportunity of expressing to you that I feel myself truly and very much indebted to the Senators of Rhode Island for the very flattering manner in which they have made mention of the Secretary of the Treasury in their late communication to the State.
The measure of their approbation certainly exceeds that of his services or pretentions.
With respectful consideration and real regard, I have the honor to be
Dear Sir
Your obedient Servant.
TO OLIVER WOLCOTT
December 23, 1796.
My Dear Sir:
I wrote to you two days ago on the subject of obtaining an instruction from the Bank of the United States to the direction of the office here to prevent a speedy repetition of these calls on the Bank of New York. This bank has so large a proportion of its whole capital in the power of the office that, if it be not tranquillized on the subject of demands from that quarter, it will be driven to such violent operations as cannot fail to convulse credit, and, among other evils, prevent the collection of the revenues. The danger is urgent, and a prompt explanation is essential.
The situation of the Bank of New York is, no doubt, materially owing to the prolongation of the old and the new loan to government. Its capital is 900,000 dollars; its discount, 1,600,000. Here is certainly no imprudence.
Many of the merchants here are anxious for an accommodation for the duties similar to that which I upon certain trying occasions made. I know not what is possible on your part.\(^1\)
TO WILLIAM SMITH
1797.
My Dear Sir:
I received your letter of the _______. Though I do not like in some respects the answer of the House to the speech, yet I frankly own that I had no objection
\(^1\) Now first printed from the Wolcott papers, in the possession of the Connecticut Historical Society.
to see it softened down. For I think there is no use in hard words—and in public proceedings would almost always unite the suaviter in modo with the fortiter in re.
But I must regret that there is no prospect of the fortier in re. I perceive clearly that your measures will wear upon the whole the aspect of resentment, without means or energy sufficient to repel injury. Our country will be first ruined, and then we shall begin to think of defending ourselves.
I will not enter much into detail, but I will observe that instead of three frigates of thirty-two, I would prefer an increase of the number of cutters. Surely twenty of these cannot embarrass the most squeamish, and less than this number will be useless.
But from all I can see you will have no revenue. Overdriven theory everywhere palsies the operations of our government, and renders all rational practice impossible.
My ideas of revenue would be:
A tax on buildings . . . . . . $1,000,000
Stamp tax, including perfumeries—a percentage on policies of insurance—on collateral successions to real and personal estate—on hats—say . . . 500,000
5 cents for the worst, 10 for the middling, and 20 for the best saddle-horses 250,000
Salt, so as to make the whole 25 per cent. 250,000
$2,000,000
I have explained my ideas of the house tax to Wolcott and Sedgwick.
It is to take certain criteria of different buildings,
and annex to them ratios, not rates. (What I gave to Sedgwick as rates may serve as ratios.) Then apportion the tax among the States, and distribute the quota of each among the individuals according to ratios. The aggregate of the ratios will represent the quota of the State—then, as that aggregate is to be the sum of the quota, so will be the sum of the ratios of each building to the tax to be paid by each individual.
I am told an objection will arise from the negro houses in the South. Surely there is no impracticability in annexing ratios to them which will be proportional to their taxable value. This plan will avoid the worst of all inconveniences—arbitrary valuations; and will avoid the embarrassment for the present of a land tax; will be also consistent with expedition. I entertain no doubt it can be adjusted so as to be free from any material objection. The smallness of the tax will render any material inequality impossible. You cannot compute fewer than six hundred thousand houses, which, at an average, would be about a dollar and a half a house. The proportions of the better houses on the proposed plan would make the tax fall light on the inferior and country houses, which is desirable for recommending the first essay; nor would any house I am persuaded have to pay ten dollars. What room for serious objection? You then lay a foundation for an annual million on real property, which will become a permanent accession to your revenue; whereas you will feel an endless embarrassment about agreeing upon any tax on lands.
TO ———
1797.
You seem to be of opinion to defer to a future period the commencement of direct taxation. I acknowledge I am inclined to lay hold of it now. The leaders (Findley, Gallatin, Madison, Nicholas) of the opposite party favor it now perhaps with no good design. But it will be well to take them while in the humor, and make them share the responsibility. This will be the more easy, as they are inclined to take the lead. Our external affairs are so situated, that it seems to me indispensable to open new springs of revenue, and press forward our little naval preparation, and be ready for augmenting it.
I have been reading the report of the Secretary of the Treasury on this subject. I think it does him credit. The general principles and objects are certainly good; nor am I sure that any thing better can be done. I remember that I once promised you to put in writing my ideas on the subject. I intended to have done it, and communicated them to the Secretary. My hurry and press of business prevented me, but I concluded lately to devote an evening to a rude sketch and to send it to you. You may show it to the Secretary and confer. If, in the course of the thing, it can be useful to the general end we all have in view, it will give me pleasure. If not, there will have been but little time misspent. Of course, no use will be made of it in contradiction to the views of the Treasury department.
As to the part which relates to land, I do not feel
any strong preference of my plan to that in report; for this, in my opinion, ought to be considered only as an auxiliary, and not as the pith of the tax. But I have a strong preference of my plan of a house tax to that in the report. These are my reasons: It is more comprehensive, embracing all houses, and will be proportionally more productive. It is more certain, avoiding the evasions and partialities to which valuations will forever be liable, and I think is for that reason likely to be at least as equal. I entertain no doubt that the rules of rates, adapted as they are to characterize circumstances, will in fact be more favorable to equality than appraisements. I think the idea of taxing only houses of above a certain annual value will be dissatisfactory. The comparison of the proprietors of houses immediately above with those immediately below the line will beget discontent, and the errors of valuation will increase it. I think there will be a great advantage in throwing the weight of the tax on houses, as well because lands are more difficult to manage, as because it will fall in a manner less dissatisfactory. I would not bear hard in this way. I would add, as aid, the taxes contemplated last session on stamps, collateral successions—new modifications of some articles of imports, and, let me add, saddle-horses. The idea of taxing slaves generally will not work well. If confined to all menial servants for luxury, as coachmen, footmen, cooks, etc., it would be eligible.
* Reprinted from the History of the Republic, vi., 592.
TO WASHINGTON
NEW YORK, Jan. 19, 1797.
SIR:
Mrs. De Neuville, widow of Mr. De Neuville, formerly of Holland, lately passed through this city. On her way she called upon me, and announced her intention to make application to Congress, on the ground of the political services rendered the United States by her husband as, in fact, a principal cause of his pecuniary misfortunes, and expressed a wish that I would lay the case under your eye. I told her that your situation did not permit you to take an agency in similar matters depending before Congress, and that you were very delicate on such subjects. She replied that you might, perhaps, indirectly promote her cause, and that from a letter from you to her husband, she was encouraged to think you would be disposed to befriend her. I yielded at last to female importunity, and promised to mention the matter. I do not know what the case admits of, but from papers which she showed me, it would seem that she has pretensions on the kindness of this country.
Our merchants here are becoming very uneasy on the subject of the French captures and seizures. They are certainly very perplexing and alarming, and present an evil of a magnitude to be intolerable,
2 John De Neuville, of the Dutch banking-house of John De Neuville & Sons. He was an active, agreeable, speculative man, who had more or less to do with our financial efforts during the war. He made propositions to Franklin, which were dismissed as extravagant, and John Adams, with many misgivings and ultimate disapproval, had some dealings with him.
if not shortly remedied. My anxiety to preserve peace with France is known to you, and it must be the wish of every prudent man that no honorable expedient for avoiding a rupture be omitted. Yet there are bounds to all things. This country cannot see its trade an absolute prey to France without resistance. We seem to be where we were with Great Britain when Mr. Jay was sent there, and I cannot discern but that the spirit of the policy, then pursued with regard to England, will be the proper one now in respect to France—viz.: a solemn and final appeal to the justice and interest of France, and if this will not do, measures of self-defence. Anything is better than absolute humiliation. France has already gone much further than Great Britain ever did.
I give vent to my impressions on this subject, though I am persuaded your own reflections cannot materially vary.
TO WILLIAM SMITH
January 19, 1797.
My Dear Sir:
Mrs. De Neuville, widow of Mr. De Neuville, formerly of Holland, is on her way to Philadelphia to solicit the kindness of Congress in virtue of services rendered the American cause by her husband. You probably know their history, as South Carolina was particularly concerned. From what I have heard, it seems to me her pretensions, on the score of her
¹ See above to Washington, January 19, 1797.
husband, to the kindness of this country, are strong; as a distressed and amiable woman, she has a claim to everybody's kindness.
What are you about in Congress? Our affairs seem to be at a very critical point with France. We seem to be brought to the same point with her as we were with Great Britain when Mr. Jay was sent there. One last effort of negotiation to produce accommodation and redress, or measures of self-defence. Have you any thoughts of an embargo? There may be ere long a necessity for it. Are you in earnest about the additional revenue? this is very necessary.
TO THEODORE SEDGWICK
January 20, 1797.
Dear Sir:
I received your late letter in due time. You seem to be of opinion to defer to a future period the commencement of direct taxation. I acknowledge I am inclined to lay gently hold of it now. Leaders of the opposite party favor it now, perhaps, with no good design. But it will be well to take them while in the humor, and make them share the responsibility. This will be the more easy as they are inclined to take the lead. Our external affairs are so situated, that it seems to me indispensable to open new springs of revenue, and press forward our little naval preparation, and be ready for augmenting it. But, on the whole, I have always leaned to the opinion that half a million from direct taxes was not enough to begin with, nor should I have proposed more.
What are we to do with regard to our good allies? Are we to leave our commerce a free prey to them? I hope not. It seems to me we are even beyond the point at which we were with Great Britain when Mr. Jay was sent thither, and that some thing like a similar plan ought to be pursued—that is, we ought to make a final effort to accommodate, and then resort to measures of defence. I believe ere long an embargo on our own vessels will be advisable—to last till the conduct of France changes, or till it is ascertained it will not change. In the last event, the following system may be adopted: to grant special letters of marque, with authority to repel aggressors and capture assailants; to equip our frigates; to arm a number of sloops-of-war of existing vessels to convoy our merchantmen. This may be a middle term of general hostility, though it may slide into the latter. Yet, in this case, it may be well to let France make the progress. But at all events we must protect our commerce and save our honor.
As to the balance business, the agitation has been every way unfortunate. There is not an individual in the State of New York who is not profoundly convinced that the settlement was wholly artificial, and as it regarded the rule of quoting, manifestly unjust, and consequently, that there is no justice in paying it. I never saw but one mode of getting through the business, which is for Congress to call for a certain sum of each debtor State annually, say a fiftieth part, declaring that if not paid, each installment shall bear interest from the time it becomes due, but till then the principal to carry no interest.
I believe the State for harmony’s sake would yield to such an arrangement. It may be said this will be only a nominal payment. I answer, true, but an artificial balance ought only to be nominally paid. The conduct of some gentlemen in the late question has pained me much. It is inconsistent with a tacit pledge of faith. Every New Yorker who had anything to do with our fiscal arrangements has been personally compromised.
TO WASHINGTON
January 22, 1797.
SIR:
The sitting of the court and an uncommon pressure of business have unavoidably delayed an answer to your last favor. I have read with attention Mr. Pickering’s letter. It is, in the main, a substantial and satisfactory paper—will, in all probability, do considerable good in enlightening public opinion at home, and I do not know that it contains any thing which will do harm elsewhere. It wants, however, in various parts, that management of expression and suaviter in modo which a man more used to diplomatic communications could have given it, and which would have been happy if united with its other merits.
I have reflected as maturely as time has permitted on the idea of an extraordinary mission to France, and, notwithstanding the objections, I rather incline to it under some shape or other. As an imitation of what was done in the case of Great Britain, it will argue to the people equal solicitude. To France it will
have a similar aspect (for Pinckney will be considered there as a mere substitute in ordinary course to Mr. Monroe), and will in some degree soothe her pride. The influence on party, if a man in whom the opposition has confidence is sent, will be considerable in the event of non-success; and it will be to France a bridge over which she may more easily retreat.
The best form of the thing, in my view, is a commission including three persons, who may be called commissioners plenipotentiary and extraordinary. Two of these should be Mr. Madison and Mr. Pinckney; a third may be taken from the Northern States, and I know of none better than Mr. Cabot, who, or any two of whom, may be empowered to act.
Mr. Madison will have the confidence of the French and of the opposition. Mr. Pinckney will have some thing of the same advantage in an inferior degree. Mr. Cabot, without being able to prevent their doing what is right, will be a salutary check upon too much Gallicism, and his real commercial knowledge will supply their want of it. Besides that, he will enjoy the confidence of all the friends of the Administration. His disposition to preserve peace is ardent and unqualified.
This plan, too, I think, will consist with all reasonable attention to Mr. Pinckney's feelings.
Or (which, however, I think less eligible) Mr. Madison and Mr. Pinckney only may be joint commissioners, without a third person. Mr. Cabot, if appointed without being consulted, will, I think, certainly go. If not, the other two may act without him.
The power to the commissioners will be to adjust amicably mutual compensations and the compensations which may be due by either party, and to revise and remodify the political and commercial relations of the two countries.
In the exercise of their power they must be restrained by precise instructions to do nothing inconsistent with our other existing treaties, or with the principles of construction of those with France adopted by our executive government, as declared in its public acts and communications; and nothing to extend our political relations in respect to alliance, but to endeavor to get rid of the mutual guaranty in the treaty, or, if that shall be impracticable, to stipulate specific succors in lieu of it, as so many troops, so many ships, so much money, etc.; strictly confining the casus foederis to future defensive wars, after a general and complete pacification terminating the present war, and defining offensive war to be, where there is either a full declaration of war against the ally, or a first commission of actual hostility on the territory or property of the ally by invasion or capture. As to commerce, with the above restrictions, there may be full discretion. These are merely inaccurate outlines.
Unless Mr. Madison will go, there is scarcely another character that will afford advantage.
Cogent motives of public utility must prevail over personal considerations. Mr. Pinckney may be told, in a private letter from you, that this is an unavoidable concession to the pressure of public exigency and the state of internal parties.
TO TIMOTHY PICKERING
January 23, 1797.
Dear Sir:
I remember that very early in the day, and prior to any act of Great Britain, the French passed a decree violating, with regard to all the neutral powers, the principle of free ships, free goods, and I think making provisions liable to seizure. This decree was afterwards rescinded as to America—then again revived, and then again revoked. I want copies of these decrees for a particular purpose useful to the government, and presuming they must be on the files of your department, you will oblige me much by letting me have copies as speedily as may be convenient.
TO TIMOTHY PICKERING
New York, Feb. 6, 1797.
Dear Sir:
I duly received your letter of the 23d of January, with its enclosure, for which I am much obliged to you. I have read it with great pleasure. It is a substantial, satisfactory paper; will do good in this country; and as to France, I presume events will govern there.
Is it not proper to call upon the merchants to furnish your department with statements and proofs of the spoliations which we have suffered from the French, as was done when the English were in their mischievous career?
I received your other letter with certain enclosures.
TO TIMOTHY PICKERING
February 10, 1797.
Dear Sir:
If I recollect right, Chancellor Livingston, while Secretary of Foreign Affairs, reported a censure upon our commissioners who made the peace with Great Britain, for not obeying their instructions with regard to France. Will you favor me in confidence with the real state of this business? I was at the time a member of Congress. It was immediately on the arrival of the provisional articles.
I hope, my dear sir, effectual measures are taking to bring us to some issue with France to ascertain whether her present plan is to be persisted in or abandoned. For, surely, our commerce ought not to be thus an undefended prey.
TO RUFUS KING
February 15, 1797.
My Dear Sir:
Give me leave to recall to your recollection and acquaintance Mr. De Galon the bearer of this, who, as he informs me, goes to Europe on private business. I need not observe that he is an interesting man, as you know all his titles to the attention which your situation permits you to afford.
You must not think I forget you because I do not write (for this is only my third letter). I am overwhelmed in professional business, and have scarcely a moment for any thing else.
You will have learned the terrible depredations which the French have committed upon our trade in the West Indies, on the declared principle of intercepting our whole trade with the ports of her enemies. This conduct is making the impression which might be expected, though not with that electric rapidity which would have attended similar treatment from another power. The present session of Congress is likely to be very unproductive. That body is in the situation which we foresaw certain anti-executive maxims would bring them to.
Mr. Adams is President, Mr. Jefferson is Vice-President. Our Jacobins say they are well pleased, and that the lion and the lamb are to lie down together. Mr. Adams' personal friends talk a little in the same way. "Mr. Jefferson is not half so ill a man as we have been accustomed to think him. There is to be a united and a vigorous administration." Skeptics like me quietly look forward to the event, willing to hope, but not prepared to believe. If Mr. Adams has vanity 't is plain a plot has been laid to take hold of it. We trust his real good sense and integrity will be a sufficient shield.
TO OLIVER WOLCOTT
New York, Feb. 17, 1797.
I groan, my dear sir, at the disgraceful course of our affairs. I pity all those who are officially in the vortex. The behavior of Congress in the present crisis is a new political phenomenon. They must be
severely arraigned before the bar of the public. How unfortunate that our friends suffer themselves, by their passiveness, to be confounded in the guilt.\footnote{Reprinted from the \textit{Administrations of Washington and Adams}, i., p. 443.}
TO THEODORE SEDGWICK
February 26, 1797.
My Dear Sir:
The present inimitable course of our public affairs proves me to be a very bad politician, so that I am afraid to suggest any idea that occurs to me. Yet I will give over my timidity and communicate for your consideration a reverie which has struck me.
It is a fact that the resentment of the French Government is very much levelled at the actual President. A change of the person (however undesirable in other respects) may give a change to the passion, and may also furnish a bridge to retreat over. This is a great advantage to a new president, and the most ought to be made out of it. For it is much our interest to preserve peace, if we can with honor, and if we cannot, it will be very important to prove that no endeavor to do it has been omitted.
Were I Mr. Adams, then, I believe I should begin my presidency by naming an extraordinary commission to the French republic, and I think it would consist of three persons: Mr. Madison, Mr. Pinckney, and Mr. Cabot. I should pursue this course for several reasons, because I would have a man as influential with the French as Mr. Madison, yet I
would not trust him alone, lest his Gallicism should work amiss, because I would not wound Mr. Pinckney, so recently sent in the same spirit; thirdly, I think Cabot would mix very useful ingredients in the cup.
The commission should be charged to make explanations, to remonstrate, to ask indemnification, and they should be empowered to make a new treaty of commerce, not inconsistent with our other treaties, and perhaps to abrogate or remodify the treaty of alliance.
That treaty can only be inconvenient to us in the future. The guaranty of our sovereignty and independence henceforth is nominal. The guaranty of the West India Islands of France, as we advance in strength, will be more and more real. In future, and in a truly defensive war, I think we shall be bound to comply efficaciously with our guaranty. Nor have I been able to see that it means less than obligation to take part in such a war with our whole force. I have no idea of treaties which are not executed.
Hence, I want to get rid of that treaty by mutual consent, or liquidate its meaning to a treaty of definite succor, in a clearly defensive war; so many men, so many ships, so much money, and to be furnished by one ally to the other. This, of course, must be so managed as to exclude unequivocally the present war in all its possible mutations. The idea of a definite duration would also be useful.
Such objects are important enough for three. In executive matters, I am as little fond as most people of plurality, but I think it pedantry to admit no exceptions to any general rule, and I believe, under the present circumstances of the case, a commission would be advisable. I give my dream of it as it occurred; you will do with it what you please.
The idea here given, to be useful ought to be executed at once. The Senate should not be permitted to disperse.
TO JAMES McHENRY.
March 22 (?), 1797.
My Dear Friend:
Take my ideas and weigh them of a proper course of conduct for our Administration in the present juncture.
You have called Congress. 'T is well.
When the Senate meets (which I should be glad to see anticipated), send a Commission Extraordinary to France. Let it consist of Jefferson or Madison, Pinckney, and a third very safe man, say, Cabot (or Jay).
Proclaim a religious solemnity to take place at the meeting of Congress.
When Congress meet, get them to lay an embargo, with liberty to the Executive to grant license to depart to vessels armed or sailing with convoys.
Increase the revenues vigorously and provide naval forces for convoys.
Purchase a number of vessels now built the most fit for sloops-of-war and cutters, and arm and commission them to serve as convoys. Grant qualified letters of marque to your merchantmen to arm,
defend themselves, and capture those who attack, but not to cruise or attack.
Form a provisional army of 25,000 men, to be engaged eventually and have certain emoluments. Increase your cavalry and artillery in immediate service.
Or do as much of all this as you can. Make a last effort for peace, but be prepared for the worst.
The Emperor Paul is at best equivocal. A successor is apt to differ from a predecessor. He seems to be a reformer, too. Who can say into what scale his weight may be finally thrown?
If things shall so turn that Austria is driven to make peace and England left to contend alone, who can guarantee us that France may not sport in this country a proselyting army?
Even to get rid of the troops if it fails may be no bad thing to the government of that country. There is a possible course of things which may subject us even to an internal invasion by France. Our calculations to be solid should contemplate this possibility.
I know in your Administration there is a doubt about a Commission or Envoy Extraordinary. I am very sorry for it, because I am sure it is an expedient measure. But perhaps France has said she will receive no minister till her grievances shall be redressed.
'T is hardly possible this can refer to any but a minister who is to reside. A special extraordinary mission cannot be intended to be excluded, because it is at least necessary to know what measure of redress will satisfy if any is due. But grant she will refuse to hear.
Still, the great advantage results of showing in the most glaring light to our people, her unreasonableness, of disarming a party of the plea that all has not been done which might be done, and of refuting completely the charge that the actual administration desires war with France.
But the enemies of the government desire the measure. 'T is the strongest reason for adopting it. This will meet them on their own ground and shut their mouths.
But to answer the end, a man who will have their confidence must be sent—Jefferson or Madison. To do this and to be safe, others must be united—Jay, Pinckney, and Cabot. Hence the idea of a commission.
I am really, my friend, anxious that this should be your plan. Depend on it, it will unite the double advantage of silencing enemies and satisfying friends.
I write you this letter on your fidelity. No mortal must see it or know its contents.\(^1\)
TO TIMOTHY PICKERING
March 22, 1797.
Dear Sir:
It is now ascertained that Mr. Pinckney has been refused, and with circumstances of indignity. What is to be done? The share I have had in the public
\(^1\) Now first printed entire from the Hamilton papers in the State Department. A portion of this letter is given in the History of the Republic, vii., 18.
administration, added to my interest as a citizen, makes me extremely anxious that at this delicate crisis a course of conduct exactly proper may be adopted. I offer to your consideration, without what appears to me ceremony, such a course.
First.—I would appoint a day of humiliation and prayer. In such a crisis this appears to me proper in itself, and it will be politically useful to impress our nation that there is a serious state of things—to strengthen religious ideas in a contest, which in its progress may require that our people may consider themselves as the defenders of their country against atheism, conquest, and anarchy. It is far from evident to me that the progress of the war may not call on us to defend our firesides and our altars. And any plan which does not look forward to this as possible, will, in my opinion, be a superficial one.
Second.—I would call Congress together at as short a day as a majority of both houses can assemble.
Third.—When assembled, I would appoint a commission extraordinary, to consist of Mr. Jefferson or Mr. Madison, together with Mr. Cabot and Mr. Pinckney. To be useful it is important that a man agreeable to the French should go. But neither Madison nor Jefferson ought to go alone. The three will give security. It will flatter the French pride. It will engage American confidence and recommend the people to what shall be eventually necessary. The commission should be instructed to explain; to ask a rescinding of the order under which we suffer, and reparation for the past—to remodify our treaties
under proper guards. On the last idea I will trouble you hereafter.
Fourth.—The Congress should be urged to take defensive measures, these to be an embargo, unless with convoy by special license.
1. Additional revenue for additional expenses.
2. The creation of a naval force—including the prompt purchase and equipment of sloops-of-war—this force to serve as convoys to our trade.
3. Commissions to be granted to our merchant vessels, authorizing them to arm to defend themselves; to capture when attacked, but not to cruise. The same instructions to our convoys.
4. The organization of a provisional army of twenty-five thousand men, to be ready to serve if a war breaks out—in the meantime to receive certain compensations, but not full pay. The actual increase of our establishment in artillery and cavalry.
The following considerations appear to me weighty. The Empress of Russia is dead. Successors are too apt to contradict predecessors. The new emperor may join Prussia. The emperor of Germany by this means or by the fortune of war may be compelled to make peace. England may be left alone. America may be a good outlet for troublesome armies which the government is at a loss to manage. The governing passion of the rulers of France has been revenge. Their interest is not to be calculated upon. To punish us, to force us into a greater dependence, may be the plan of France.
At any rate we shall best guarantee ourselves against calamity by preparing for the work. In this
time of general convulsion, in a state of things which threatens all civilization, 't is a great folly to wrap ourselves up in a cloak of security.
The Executive before Congress meet ought to have a well-digested plan and to co-operate in getting it adopted.
TO TIMOTHY PICKERING
NEW YORK, March 29, 1797.
Dear Sir:
The post of yesterday brought me your letter of the day before.
I regret that the idea of a commission extraordinary appears of doubtful propriety. For after very mature reflection I am entirely convinced of its expediency. I do not understand the passage you cite as excluding the reception of a special extraordinary minister, but of an extraordinary resident minister. It seems impossible that the Directory can mean to say that they will shut the door to all explanation, even as to the nature and measure of the redress of grievances which they require. They speak too hastily not to authorize a large interpretation of what they say.
But if I were certain they would not hear the commission, it would not prevent my having recourse to it. It would be my policy, if such a temper exists in them, to accumulate the proofs of it with a view to union at home.
This union (I do not expect to proselyte all the leaders of faction) appears to me a predominant
consideration; and, with regard to France, more than ordinary pains are requisite to attain it.
That the enemies of the government desire the measure, is a cogent reason with me for adopting it; because I would meet them on their own ground and disarm them of the argument that all has not been done which might have been done towards preserving peace.
The estimation of the merit of all our past measures depends on the final preservation of peace. This, besides the interest of the country in peace, is a very powerful reason for attempting every thing. The best friends of the government will expect it, and if this expedient be not adopted, it seems to me rupture will inevitably follow.
There is an opinion industriously inculcated (which nobody better than myself knows to be false), that the actual administration are endeavoring to provoke a war. It is all important by the last possible sacrifice to confound this charge. I cannot but add that I have not only a strong wish, but an extreme anxiety, that the measure in question may be adopted.
To attain the end of it, however, it is very material to engage in the errand a man who will have the full confidence of the adverse party, and who will be agreeable to France.
This cannot be done without employing others with him. Hence the idea of a commission, which to me appears capable of attaining every advantage and obviating every danger.
I am also desirous of impressing the public mind
strongly by a religious solemnity, to take place about the meeting of Congress. I also think the step intrinsically proper.
TO OLIVER WOLCOTT
March 30, 1797.
My Dear Sir:
Every one who can properly appreciate the situation of our affairs at this moment, in all the extent of possible circumstances, must be extremely anxious for such a course of conduct in our government, which will unite the utmost prudence with energy. It has been a considerable time my wish, that a commission extraordinary¹ should be constituted to go to France, to explain, demand, negotiate, etc. I was particularly desirous that the first measure of the present president’s administration should have been that. But it has not happened. I now continue to wish earnestly that the same measure may go into effect, and that the meeting of the Senate may be accelerated for that purpose. Without opening a new channel of negotiation, it seems to me the door to accommodation is shut, and rupture will follow, if not prevented by a general peace. Who, indeed, can be certain that a general pacification of Europe may not leave us alone to receive the law from France? Will it be wise to omit any thing to parry, if possible, these great risks?
Perhaps the Directory have declared they will not receive a minister till their grievances shall have been redressed.
¹ Madison, Pinckney, and Cabot.
This can hardly mean more than that they will not receive a resident minister. It cannot mean that they will not hear an extraordinary messenger, who may even be sent to know what will satisfy.
Suppose they do. It will still be well to convince the people that the government has done all in its power, and that the Directory are unreasonable.
But the enemies of the government call for the measure. To me this is a very strong reason for pursuing it. It will meet them on their own ground, and disarm them of the plea that some thing has been omitted.
I ought, my good friend, to apprise you, for you may learn it from no other, that a suspicion begins to dawn among the friends of the government, that the actual administration is not much averse to war with France. How very important to obviate this!
The accounts just received offer a great danger, that the Emperor may be compelled to make peace. Paul of Russia is evidently lukewarm in the cause of the allies. From lukewarmness to enmity, when fortunes take the other side, is but a step.
If England is left to bear the burthen alone, who can say that France may not venture to sport an army to this country? It may get rid of troublesome spirits.
As in the case of England, so now, my opinion is, to exhaust the expedients of negotiation; and, at the same time, to prepare vigorously for the worst. This is sound policy. Any omission or deficiency either way, will be a great error.
TO TIMOTHY PICKERING
April 1, 1797.
My Dear Sir:
I have received your letter of the 30th, with the statement enclosed. I do not believe that its publication would have any influence upon the question of a rupture with France, but yet, as it seems that those who surround the President are not agreed in the matter—as an opinion is industriously circulated that too much fuel has been added by the publications of the government—as it is important to disarm a certain party of the weapons of calumny,—as it is in general best to avoid unofficial publications of official matter—as it may be even useful, for the sake of impression, to reserve the disclosure till the meeting of Congress, when the accumulation of insult may be the instrument of giving a strong impulse,—I rather advise the withholding of the statement. When Congress meet, it will be very useful to have a statement ready, as the abstract of the communication, to present to the people a summary view.
Such, my dear sir, is the infatuation of a great part of our community, that it will be policy in our government to do a great deal too much to make the idea palpable that rupture was inevitable. Adieu.
Yours truly, etc.
If the statement is published, I would close with the words "January last" in the last paragraph. The residue will make a good separate newspaper paragraph. Pray, who is the emigrant alluded to?
TO OLIVER WOLCOTT
April 5, 1797.
Dear Sir:
I have received your letter of March 31st. I hope nothing in my last was misunderstood. Could it be necessary, I would assure you that no one has a stronger conviction than myself of the purity of the motives which direct your public conduct, or of the good sense and judgment by which it is guided. If I have a fear (you will excuse my frankness), it is lest the strength of your feelings, the companions of energy of character, should prevent that pliancy to circumstances which is sometimes indispensable. I beg you only to watch yourself on this score, and the public will always find in you an able as well as a faithful servant.
The situation of our country, my dear sir, is singularly critical. The map of Europe is every way discouraging. There is too much reason to apprehend that the Emperor of Germany, in danger from Russia and Prussia, perhaps from the Porte, as well as from France, may be compelled to yield to the views of the latter. England, standing alone, may be driven to a similar issue. It is certain that great consternation in court and country attended the intelligence of Bonaparte's last victories. Either to be in rupture with France, united with England alone, or singly, as is possible, would be a most unwelcome situation. Divided as we are, who can say what would be hazarded by it?
In such a situation, it appeared to me we should rather err on the side of condescension than on the
opposite side. We ought to do everything to avoid rupture, without unworthy sacrifices, and to keep in view, as a primary object, union at home.
No measure can tend more to this than an extraordinary mission. And it is certain to fulfil the ends proposed. It ought to embrace a character in whom France and the opposition have full credit. What risk can attend Madison, if combined, as I propose, with Pinckney and Cabot, or such a man (two deciding)? Depend on it, Pinckney is a man of honor, and loves his country. Cabot we both know. Besides, there ought to be certain leading instructions from which they may not deviate.
I agree with you that we have nothing to retract; that we ought to risk everything before we submit to any dishonorable terms. But we may remould our treaties. We may agree to put France on the same footing as Great Britain by our treaty with her. We may also liquidate, with a view to future wars, the import of the mutual guaranty in the treaty of alliance, substituting specific succors, and defining the casus foederis. But this last may or may not be done, though with me it is a favorite object.
Ingersol will not fulfil the object, but I would rather have him than do nothing.
I am clearly of opinion with you that the President shall come forward to Congress in a manly tone, and that Congress shall adopt vigorous defensive measures. Those you propose are proper, and some others on which I may write hereafter.
If Madison is well coupled, I do not think his
intrigues can operate as you imagine. Should he advocate dishonorable concessions to France, the public opinion will not support. His colleagues, by address, and showing a disposition to do enough, may easily defeat his policy, and maintain the public confidence. Besides that, it is possible too much may be taken for granted with regard to Mr. Madison.
TO WILLIAM SMITH
New York, April 5, 1797.
I have received, my dear sir, your letter of the 2d of April, (1797,) with your little work accompanying it, which I shall read with the interest I take in the author, the first leisure hour. I have cast my eye over it, and like very much the plan.
Our affairs are indeed very critical. But I am sorry to find that I do not agree with several of my friends. I am clearly of opinion for an extraordinary mission, and as clearly that it should embrace Madison. I do not think we ought to construe the declaration of the Directory against receiving a Minister Plenipotentiary, as an extraordinary mission pro hac vice. And if it does, it would be no reason with me against it. I would accumulate the proofs of French violence, and demonstrate to all our citizens that nothing possible has been omitted. That a certain party desires it is with me a strong reason for it—since I would disarm them of all plea that we have not made every possible effort for peace. The idea is a plausible one, that as we sent an Envoy
Extraordinary to Britain, so we ought to send one to France. And plausible ideas are always enough for the multitude.
These and other reasons (and principally to avoid rupture with a political monster, which seems destined soon to have no competitor but England) make me even anxious for an extraordinary mission.
And to produce the desired effect, it seems to me essential that it shall embrace a distinguished character agreeable to France, and having the confidence of the adverse party. Hence I think of Madison, but I think of him only as one, because I would not trust him alone. I would unite with him Pinckney, and some strong man from the North, Jay, Cabot, and two of the three should rule. We should then be safe.
I need not tell you that I am disposed to make no sacrifices to France. I had rather perish myself and family than see the country disgraced. But I would try hard to avoid rupture, and if that cannot be, to unite the opinions of all good citizens of whatever political denomination. This is with me a mighty object.
I will give you hereafter my ideas of what ought to be done when Congress meet. My plan ever is to combine energy with moderation.
TO RUFUS KING
April 8, 1797.
I thank you, my dear sir, for your letter of the 6th of February. The intelligence that the Directory
have ordered away our minister is every way unpleasant. It portends, too, a final rupture as the only alternative to an ignominious submission. Much public feeling has been excited; but the government, I trust and believe, will continue prudent, and do every thing that honor permits towards accommodation. It is, however, to be feared that France, successful, will be too violent and imperious to meet us on any admissible ground.
Congress are called together. I can give you no conjecture as to what will be done. Opinions are afloat. My idea is, another attempt to pacify by negotiation, vigorous preparation for war, and defensive measures with regard to our trade. But there never was a period of our affairs in which I could less foresee the state of things.
I believe there is no danger of want of firmness in the Executive. If he is not ill-advised, he will not want prudence. I mean, that he is himself disposed to a prudently firm course.
You know the mass of our Senate. That of our House of Representatives is not ascertained. A small majority on the right side is counted upon. In Virginia it is understood that Morgan comes in place of Rutherforth, and Evans in place of Page. The whole result of the Virginia election is not known.
The conduct of France has been a very powerful medicine for the political disease of our country. I think the community improves in soundness.
TO WILLIAM SMITH
April 10, 1797.
Dear Sir:
Since my last to you I have perused with great satisfaction your little work on our governments. I like the execution no less than the plan. If my health and leisure should permit, I would make some notes; but you can not depend on it, as I am not only extremely occupied, but in feeble health.
I send you my ideas of the course of conduct proper in our present situation. It is unpleasant to me to know that I have for some time differed materially from many of my friends on public subjects, and I particularly regret that, at the present critical juncture, there is in my apprehension much danger that sensibility will be an overmatch for policy. We seem now to feel and reason as the Jacobins did when Great Britain insulted and injured us, though certainly we have at least as much need of a temperate conduct now as we had then. I only say, God grant that the public interest may not be sacrificed at the shrine of irritation and mistaken pride. Farewell.
TO OLIVER WOLCOTT
New York, April 13, 1797.
My Dear Sir:
The post of to-day brought me a letter from you. I am just informed that an order is come to the custom-house not to clear out any vessels if armed, unless destined for the East Indies. Under the present circumstances, I very much doubt the expediency of this measure. The excesses of France justify passiveness in the government; and its inability to protect the merchants requires that it should leave them to protect themselves. Nor do I fear that it would tend to rupture with France, if such be not her determination otherwise. The legality of this prohibition cannot be defended; it must stand on its necessity. It would, I think, have been enough to require security that the vessel is not to be employed to cruise against any of the belligerent powers. Perhaps even now, where vessels have been armed previous to the receipt of the prohibition, it is safe and advisable to except them on the condition of such security. Think of this promptly. The general measure may be further considered at leisure. Nor am I prepared to say that, having been taken, it ought to be revoked.
I will send you shortly some remarks in reply to questions you propose.
TO —— HAMILTON
ALBANY, STATE OF NEW YORK, May 2, 1797.
My Dear Sir:
Some days since I received with great pleasure your letter of the 10th of March. The mark it affords of your kind attention, and the particular account it gives me of so many relations in Scotland are extremely gratifying to me. You, no doubt, have understood that my father's affairs at a very early day went to wreck, so as to have rendered his
situation during the greatest part of his life far from eligible. This state of things occasioned a separation between him and me, when I was very young, and threw me upon the bounty of my mother's relatives, some of whom were then wealthy, though by vicissitudes to which human affairs are so liable, they have been since much reduced and broken up. Myself, at about sixteen, came to this country. Having always had a strong propensity to literary pursuits, by a course of study and laborious exertion, I was able, by the age of nineteen, to qualify myself for the degree of Bachelor of Arts in the College of New York, and to lay the foundation by preparatory study for the future profession of the law.
The American Revolution supervened. My principles led me to take part in it; at nineteen, I entered into the American army as captain of artillery. Shortly after I became, by his invitation, aide-de-camp to General Washington, in which station I served till the commencement of that campaign which ended with the siege of York in Virginia, and the capture of Cornwallis' army. The campaign I made at the head of a corps of light infantry, with which I was present at the siege of York, and engaged in some interesting operations.
At the period of the peace with Great Britain I found myself a member of Congress, by appointment of the legislature of this State.
After the peace, I settled in the city of New York, in the practice of the law, and was in a very lucrative course of practice, when the derangement of our public affairs, by the feebleness of the general confederation, drew me again reluctantly into public life. I became a member of the Convention which framed the present Constitution of the United States; and having taken part in this measure, I conceived myself to be under an obligation to lend my aid towards putting the machine in some regular motion. Hence, I did not hesitate to accept the offer of President Washington to undertake the office of Secretary of the Treasury.
In that office I met with many intrinsic difficulties, and many artificial ones, proceeding from passions, not very worthy, common to human nature, and which act with peculiar force in republics. The object, however, was effected of establishing public credit and introducing order in the finances.
Public office in this country has few attractions. The pecuniary emolument is so inconsiderable as to amount to a sacrifice to any man who can employ his time with advantage in any liberal profession. The opportunity of doing good, from the jealousy of power and the spirit of faction, is too small in any station to warrant a long continuance of private sacrifices. The enterprises of party had so far succeeded as materially to weaken the necessary influence and energy of the executive authority, and so far diminish the power of doing good in that department, as greatly to take away the motives which a virtuous man might have for making sacrifices. The prospect was even bad for gratifying in future the love of fame, if that passion was to be the spring of action.
The union of these motives, with the reflections of
prudence in relation to a growing family, determined me as soon as my plan had attained a certain maturity, to withdraw from office. This I did by a resignation about two years since, when I resumed the profession of the law in the city of New York under every advantage I could desire.
It is a pleasant reflection to me, that since the commencement of my connection with General Washington to the present time, I have possessed a flattering share of his confidence and friendship.
Having given you a brief sketch of my political career, I proceed to some further family details.
In the year 1780, I married the second daughter of General Schuyler, a gentleman of one of the best families of this country, of large fortune, and no less personal and political consequence. It is impossible to be happier than I am in a wife; and I have five children, four sons and a daughter, the eldest a son somewhat past fifteen, who all promise as well as their years permit, and yield me much satisfaction. Though I have been too much in public life to be wealthy, my situation is extremely comfortable, and leaves me nothing to wish for but a continuance of health. With this blessing, the profits of my profession and other prospects authorize an expectation of such addition to my resources, as will render the eve of life easy and agreeable; so far as may depend on this consideration.
It is now several months since I have heard from my father, who continued at the island of St. Vincent. My anxiety at this silence would be greater than it is, were it not for the considerable interruption and precariousness of intercourse which is produced by the war.
I have strongly pressed the old gentleman to come and reside with me, which would afford him every enjoyment of which his advanced age is capable; but he has declined it on the ground that the advice of his physicians leads him to fear that the change of climate would be fatal to him. The next thing for me is, in proportion to my means, to endeavor to increase his comforts where he is.
It will give me the greatest pleasure to receive your son Robert at my house in New York, and still more to be of use to him; to which end, my recommendation and interest will not be wanting, and I hope not unavailing. It is my intention to embrace the opening which your letter affords me to extend my intercourse with my relations in your country, which will be a new source of satisfaction to me.
TO TIMOTHY PICKERING
May 11, 1797.
My Dear Sir:
On my return here I found your letter of the 29th. The sitting of a court of chancery, and important business there, have unavoidably delayed a reply; now, it must be much more cursory than I could wish.
As to the mission, in some shape or other, the more I have reflected upon it, the more has it appeared to me indispensable. To accomplish, with certainty,
a principal object of it—the silencing of Jacobin criticism, and promoting union among ourselves,—it is very material to engage in it a person who will have the Jacobin confidence; else, if France should still refuse to receive, or if receiving, the mission should prove unsuccessful, it will be said that this was because a suitable agent was not employed. Hence, my mind was led to Jefferson or Madison; but, as it would be unsafe to trust either alone, the idea of associates occurs as an essential part of the plan. This, likewise, is an expedient for saving Mr. Pinckney’s feelings.
But will either of them go on this footing? If offered, and they refuse, they will put themselves in the wrong; for on so great an emergency, they cannot justifiably decline the service without a good reason; and it would not be a good reason for refusal, that there was to be a commission. The refusal, too, if it happened, would furnish a reply to Jacobin clamor. It was offered to your leaders, and they would not act.
I confide in Pinckney’s integrity and federal attachments; why, then, name a third? Because, first, two may disagree, and there may be inaction. Second, though I have the confidence I mention, I think Pinckney has had too much French leaning to consider him, in conjunction with Jefferson or Madison, as perfectly safe. A third on whom perfect reliance could be placed would secure Pinckney’s cooperation. I do consider him, as in some sort, a middle character.
As to the two gentlemen named (Jefferson and
Madison), it may be fairly observed to either of them that the combination of character is essential to combine the confidence of the country, and to render the result, whatever it may be, acceptable. It may also be observed that delicacy to Mr. Pinckney dictates this course—not to exclude him after what has happened. To Mr. Pinckney the state of parties here may also be pleaded.
The French Directory may also be made to understand indirectly that the association has proceeded from a desire in the Executive to unite confidence in the mission and secure its success at home.
I should not despair that in such a crisis men of opposite politics might agree. I verily believe that Jefferson, Pinckney, and King would agree. There might be a joint commission for action and a separate commission to Jefferson as envoy or ambassador extraordinary for representation.
I miscalculate if Jefferson will not be anxious for peace. I only fear that alone he would give too much for it.
If this plan is thought liable to too strong objections, the next best thing is to send the commission of ambassador extraordinary to Pinckney, and send him also some clever fellow as secretary of embassy.
But I repeat it with extreme solicitude, another mission is absolutely indispensable.
On the subject of permitting our vessels to arm, there is some difficulty. You are right in the idea that merchant vessels under the convoy of ships-of-war are exempt from search. But I know no book where it is to be found. Yet I have so constantly
understood it to be the usage, that I venture to rely upon it. But I believe the privilege is confined to public ships of war, and could not, according to usage, be transferred to private armed vessels. The measure must, therefore, be justified by the extremity.
Moreover, I understand no other consequence as resulting from the being armed than that it exposes the vessel to confiscation for resisting a search. It is no breach of neutrality to permit the being armed.
But I would avoid the formality of a commission, and would substitute some permit, perhaps to be signed by the head of a department. This should be united with great precautions to prevent abuse by cruising, by driving contraband trade by transfers to foreigners.
At all events our trade must have protection; for our whole mercantile capital will else be destroyed, our seamen lost, and our country involved in extreme distress.
As to a provisional army, I reason thus: no plan of a militia which is not the equivalent, in other words, which is not under a positive engagement to constitute a permanent army in case of invasion, will be worth any thing. For we want a stable force created beforehand to oppose to the first torrent, which, with mere militia, would involve incalculable dangers and calamities. Hence, as a substitute for a standing army, I offer a provisional one. It would be composed thus: the officers to be appointed by the United States and rank with those of the establishment, to receive some pay till called into actual service—say
half, a third, or a fourth; those employed to recruit to be fully paid.
The men to be regularly enlisted upon condition not to be called into actual service, except in case of invasion, and then to serve during the war; to receive a uniform coat and a dollar, perhaps two dollars per month when not in the field; to be obliged to assemble for exercise so many days in the year, and then to have full pay and rations; when called into actual service to have the same compensations, etc., with the establishment; in short, to become part of it. To be armed by the United States; to be liable from the beginning to the articles of war.
I think such a corps, from the certainty of advantage, and the uncertainty of service, might be engaged sooner than a standing force, and, with precautions in the enlistment, would be a solid resource in case of need.
I am much attached to the idea of a large corps of efficient cavalry, and I cannot allow this character to militia. It is all-important to an undisciplined against a disciplined army. It is a species of force not easy to be brought by an invader—by which his supplies may be cut off and his activity extremely checked. Were I to command an undisciplined army, I should prefer half the force with a good corps of cavalry to twice the force without one.
TO TIMOTHY PICKERING
Saturday, May 13, 1797.
My Dear Sir:
Mr. Goodhue takes on with him a Boston paper, the printer of which states that he has obtained, by a ship just arrived, a London paper of March 24th, mentioning in positive terms an account just received from the Emperor, that in consequence of a combination between Prussia and France, he is driven to the necessity of making an immediate peace for the safety of the empire; that in consequence of this, the king, who was at Windsor, had been sent for, etc.
The manner of announcing it is too positive to allow much doubt that the thing is substantially true.
This intelligence confirms the expediency of a further attempt to negotiate, but I hope it will not carry us too far. A firm and erect countenance must be maintained, and the vigor of preparation increased. Safety can only be found in uniting energy with moderation. Honor certainly is only to be found there, and either as a man or citizen, I, for one, had rather perish than submit to disgrace.
TO RUFUS KING
June 6, 1797.
I thank you, my dear sir, for two letters lately received from you, the last by Mr. Church. I feel very guilty for my negligence. But how can I help it?
The public prints will inform you of the course of public proceedings hitherto. You will perceive that the general plan is analogous to what was done in the
case of Great Britain, though there are faults in the detail. Some people cannot learn that the only force which befits a government is in the thought and action, not in words, and many reverse the golden rule. I fear we shall do ourselves no honor in the result, and we shall remain at the mercy of events, without those efficient preparations which are demanded by so precarious situations; and which, not provoking war, would put us in condition to meet it. All the consolation I can give is, that the public temper of this country mends daily, and that there is no final danger of our submitting tamely to the yoke of France.
TO OLIVER WOLCOTT
June 6, 1797.
My Dear Sir:
You some time ago put a question to me which, through hurry I never answered, viz.—whether there can be any distinction between the provision in the treaty with Great Britain respecting British debts and that respecting spoliations as to the power of the commissioners to rejudge the decisions of the courts? I answer that I can discover none.
I am of the opinion, however, that in the exercise of this power two principles ought to be strenuously insisted upon. One—that the commissioners ought not to intermeddle but when it is unequivocally ascertained that justice cannot now be obtained through our courts. The other—that there ought to be no revision of the question of interest where abatements were made by juries undirected by any special
statute. For it is certain that interest is capable of being affected by circumstances, and that the law leaves a considerable discretion on this point with juries. I take it for granted also, that where compromises were made between creditor and debtor without the intervention of courts, or the injunctions of positive law, there will be no revision. This is all a very delicate subject, one upon which great moderation on the part of the British commissioners is very important to future harmony.
I like very well the course of Executive conduct in regard to the controversy with France, and I like the answer of the Senate in regard to the President’s speech.
But I confess, I have not been well satisfied with the answer reported in the House. It contains too many hard expressions; and hard words are very rarely useful in public proceedings. Mr. Jay and other friends here have been struck in the same manner with myself. We shall not regret to see the answer softened down. Real firmness is good for every thing. Strut is good for nothing.
Last session I sent Sedgwick, with request to communicate to you, my project of a building tax. Enclosed is the rough sketch. I do not know whether there was any alteration in the copy sent to him.
But the more I reflect, the more I become convinced that some such plan ought to be adopted, and the idea of valuation dropped, and I have also become convinced that the idea of a tax on land ought to be deferred. The building tax can be accommodated to the quota-rule. For what were intended as rates may be considered as ratios of each individual's tax only, and then, as the aggregate of these ratios within a State is to the sum of the ratios on a particular building, so will the sum to be raised in the State be to the sum to be paid by the owner of that building, and so the very bad business of valuations may be avoided in general. In regard to stores, if they are comprehended, rents or valuations may be adopted, and these rents may also be represented by ratios equivalent to the proportion of the specific ratios to the rents of houses to be estimated in the law.
If these ideas are not clear I will on your desire give a further explanation.
My plans of ways and means then for the present would be:
A tax on buildings equal to $1,000,000
On stamps, including a small percentage on policies of insurance and a percentage on collateral successions 500,000
A duty on hats, say 5 per cent. for the commonest kind, 10 per cent. for the middling, and 20 for the best, to be decided by the materials
On saddle-horses —— dollars per horse 250,000
On salt, so much as will make the whole duty 25 cents—suppose 250,000
$2,000,000
I should like also a remodification of the duties on licenses to sell spirituous liquors by multiplying discriminations.
I would then open a loan for five millions of dollars, to be repaid absolutely within five years, upon which I would allow a high interest, say eight per cent., payable quarterly, and redeemable at pleasure by paying off, and I would accept subscriptions as low as one hundred dollars. In case of pressure, Treasury-bills bearing a like interest may be used.
If unfortunately war breaks out, then every practicable object of taxation should at once be seized hold of, so as to carry our revenue in the first instance to the extent of our ability. Nor is the field narrow.
I give you my ideas full gallop and without management of expression. I hope you always understand me aright and receive my communications as they are intended, in the spirit of friendly frankness.
TO OLIVER WOLCOTT
June 8, 1797.
Dear Sir:
I have received your two letters of the 6th and 7th. The last announced to me no more than I feared. Nor do I believe any sufficient external impulse can be given to save us from disgrace. This, however, will be thought of.
I regret that you appear remote from the idea of a house tax simply, without combining the land. I do not differ from your general principle. The truth is a solid one that the sound state of political economy depends, in a great degree, on a general repartition of taxes on taxable property, by some equal rule.
But it is very important to relax in theory, so as to accomplish as much as may be practicable. I despair of a general land tax without actual war. I fear the idea of it; it keeps men from the augmentation of revenue by other means which they might be willing to adopt. The idea of a house tax alone is not so formidable. If placed upon a footing which would evince practicability and moderation in the sum, I think it might succeed. Now, one million of dollars, computing the number of houses at six hundred thousand, would be an average of about a dollar and a half. The tax would be very low on the worst houses, and could not be high on the best. This idea would smooth a great deal.
As to the circumstance of the habitations of the Southern negroes, I see no insuperable difficulty in applying ratios to them which would tend to individual equity. As between the States, the quota principle would make this point unimportant.
As to the inequality in certain States, I believe, on the plan suggested, there could be no general tax which in fact would operate more equally. The idea of equalization by embracing lands does not much engage my confidence. Besides that, this may be an after-object, and we are to gain points successively.
As to the productiveness of the stamp tax, with the items I suggest, it is difficult, in the first instance, to judge. But I am persuaded it would go far towards the point aimed at. There cannot be much fewer than three millions of hats consumed in a year in this country. At an average of eight cents per
hat, this would be two hundred and forty thousand dollars, a large proportion of the five hundred thousand dollars. If law proceedings can be included, directly or indirectly, the produce will be very considerable. I think you mistake when you say these taxes in England are inconsiderable in proportion. According to my recollection, the reverse is the truth.
TO TIMOTHY PICKERING
August 27, 1797.
Dear Sir:
Some time since I received the enclosed, being directions concerning measures requisite to be pursued to obtain indemnification in case of capture by British cruisers. I laid it by in haste, and have since overlooked it. I do not recollect to have seen it in the newspapers, and yet it appeared to me necessary that it should be so. As it came to me from some one of our public characters in London, I presume you must have received the equivalent. I am curious to know if this has been the case, and if anything has been done upon it.
After perusal, and making such use as you may think proper, you will oblige me by returning it.
TO WASHINGTON
New York, August 28, 1797.
My Dear Sir:
The receipt two days since of your letter of the 21st instant gave me sincere pleasure. The token of your
regard which it announces is very precious to me, and will always be remembered as it ought to be.
Mrs. Hamilton has lately added another boy to our stock; she and the child are both well. She desires to be affectionately remembered to Mrs. Washington and yourself.
We have nothing new here more than our papers contain, but are anxiously looking forward to a further development of the negotiations in Europe, with an ardent desire for general accommodation. It is at the same time agreeable to observe that the public mind is adopting more and more sentiments truly American, and free from foreign tincture.
I beg my best respects to Mrs. Washington.
TO OLIVER WOLCOTT
November 20, 1797.
Dear Sir:
Give me leave to remind you of your promise to send me the documents and information which authenticate the situation of Mr. Beaumarchais as to the unaccounted-for million.
Allow me also to mention to you another point. I hear there is a plan among the directors of the bank to transfer the management of their concerns from the house of Cazenove to that of Baring. When the arrangement was originally upon the tapis, I felt some preference to the house of Baring as of more known solidity. But after its having taken a different course I should regret a change unless upon grounds which I am persuaded do not exist—circumstances of insecurity in the conduct of affairs of the existing agents. I verily believe they unite prudence and solidity. The change might, without cause, injure their credit and do them positive harm. It was one thing to have entrusted them in the first instance. It is another to recall that trust, which neither justice nor the reputation of the bank will countenance, but for valid reasons of change of opinion. My friendship for Mr. Cazenove, the father, corresponds with my sense of propriety, to induce the wish that you may see fit to exert your influence in every proper way to prevent a change.
TO OLIVER WOLCOTT
1797.
Dear Sir:
I thank you for your last letter. The opinion with regard to the conduct of the President is very important.
As to our finances, all will be well if our councils are wise and vigorous; if not, all will go to ruin. I fear there is not among the friends sufficient capaciousness of views for the greatness of the occasion.
I send the enclosed because it requires correction.
TO RUFUS KING
(Probably March, 1798.)
It is a great while, my dear friend, since I have written to you a line. You will not, I am sure, im-
1 Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
pute my silence to any cause impeaching my friendship, for that must be always cordial and entire. The truth is that my professional avocations occupy me to the extent of the exertions my health permits, and I have been unwilling to sit down to write you without leisure to say something interesting. But I now depart from the rule, that my persevering silence may not make me sin beyond redemption. I have, however, only time to tell you that your friends are generally well, and as much attached to you as ever, and that I hear of no cabals against you.
Being just returned from Albany, I would say nothing about the political juncture as it is affected by the unpleasant advices from our commissioners in France. I will only say, that the public mind is much sounder than that of our representatives in the national council, and that there is no danger of our entirely disgracing ourselves—that is, by any unworthy compliances with the exorbitant pretensions of "The Great Monster."
TO TIMOTHY PICKERING
NEW YORK, March 17, 1798.
DEAR SIR:
I make no apology for offering you my opinion on the present state of our affairs.
I look upon the question before the public as nothing less than whether we shall maintain our independence; and I am prepared to do it in every
1 Soi-disant, "The Great Nation."
event, and at every hazard. I am therefore of opinion that our Executive should come forth on this basis.
I wish to see a temperate, but grave, solemn, and firm communication from the President to the two houses on the result of the advices from our commissioners; this communication to review summarily the course of our affairs with France from the beginning to the present moment; to advert to her conduct towards the neutral powers generally, dwelling emphatically on the last decree respecting vessels carrying British manufactures, as an unequivocal act of hostility against all of them; to allude to the dangerous and vast projects of the French government; to consider her refusal to receive our ministers as a virtual denial of our independence, and as evidence that, if circumstances favor the plan, we shall be called to defend that independence, our political institutions, and our liberty, against her enterprises; to conclude, that leaving still the door to accommodation open, and not proceeding to final rupture, our duty, our honor, and safety, require that we shall take vigorous and comprehensive measures of defence, adequate to the immediate protection of our commerce, to the security of our ports, and to our eventual defence in case of invasion, and with a view to these great objects, calling forth and organizing all the resources of the country. I would, at the same time, have the President to recommend a day of fasting, humiliation, and prayer. The occasion renders it proper, and religious ideas will be useful. I have this last measure at heart.
The measures to be advocated by our friends in Congress to be these:
I.—Permission to our merchant vessels to arm and to capture those which may attack them.
II.—The completion of our frigates, and the provision of a considerable number of sloops-of-war not exceeding twenty guns. Authority to capture all attacking, and privateers found within twenty leagues of our coast.
III.—Power to the President, in general terms, to provide and equip ten ships of the line in case of open rupture with any foreign power.
IV.—The increase of our military establishment to twenty thousand, and a provisional army of thirty thousand, besides the militia.
V.—The efficacious fortification of our principal ports, say Portsmouth, Boston, Newport, New London, New York, Philadelphia, Norfolk, Baltimore, Wilmington, N. C., Charleston, Savannah. It is waste of money to be more diffusive.
VI.—The extension of our revenue to all the principal objects of taxation, and a loan commensurate with the contemplated expenditures.
VII.—The suspension of our treaties with France till a basis of connection shall be re-established by treaty.
In my opinion, bold language and bold measures are indispensable. The attitude of calm defiance suits us. It is vain to talk of peace with a power with which we are actually in hostility. The election is between a tame surrender of our rights or a state of mitigated hostility. Neither do I think that
this state will lead to general rupture if France is unsuccessful; and if successful, there is no doubt in my mind that she will endeavor to impose her yoke upon us.
P. S.—If Robert Troup resigns his office of district judge, the President cannot make a better choice than of Samuel Jones, Esq., the present Comptroller of the State. I understand he will accept.
TO THEODORE SEDGWICK
March, 1798.
The President ought to make a solemn and manly communication to Congress—the language grave and firm, but without invective, in which, after recapitulating the progress of our controversy with France, the measures taken toward accommodation, and stating their degrading result, he ought to advert to the extremely critical posture of Europe, the excessive pretensions of France externally, her treatment of the neutral powers generally, and dwelling emphatically on the late violent invasion of their commerce, as an act destructive of the independence of nations, to state that eventual dangers of the most serious kind hang over us, and that we ought to consider ourselves as bound to provide with the utmost energy for the immediate security of our invaded rights, and for the ultimate defence of our liberty and independence, and conclude with a recommendation in general terms to adopt efficient
measures for increasing our revenue, for protecting our commerce, for guarding our sea-ports, and ultimately for repelling invasion; intimating also, that the relations of treaty which have subsisted between us and France, and which have been so entirely disregarded by her, ought not to remain by our Constitution and laws binding upon us, but ought to be suspended in their operations, till an adjustment of differences shall re-establish a basis of connection and intercourse between two countries, taking especial care, however, that merely defensive views be indicated.\(^1\)
TO TIMOTHY PICKERING
(Post-marked March 23, 1798.)
My Dear Sir:
I understand that the Senate have called upon the President for papers. Nothing certainly can be more proper; and such is the universal opinion here; and it appears to me essential that as much as possible can be communicated. Confidence will otherwise be wanting, and criticism will ensue which it will be difficult to repel. The observation is that Congress are called upon to discharge the most important of all their functions, and that it is too much to expect that they will rely on the influence of the Executive from materials which may be put before them. The recent examples of the British king are cited. Pray, let all that is possible be done.
\(^1\) Reprinted from the *History of the Republic*, vii., 114.
TO TIMOTHY PICKERING
10 o'clock, Tuesday, March 27, 1798.
My Dear Sir:
I have this moment received your two favors of the 25th. I am delighted with their contents, but it is impossible for me to reply particularly to them so as to reach you to-morrow as you desire. I will therefore confine myself to one point. I am against going immediately into alliance with Great Britain. It is my opinion that her interests will insure us her co-operation to the extent of her power, and that a treaty will not secure her further. On the other hand, a treaty might entangle us. Public opinion is not prepared for it. It would not fail to be represented as to the point to which our previous conduct was directed; and, in case of offers from France satisfactory to us, the public faith might be embarrassed by the calls of the people for accommodation and peace.
The desideratum is that Britain could be engaged to lodge with her minister here powers commensurate with such arrangement as exigencies may require and the progress of opinion permit. I see no good objection on her part to this plan.
It would be good policy in her to send to this country a dozen frigates to pursue the directions of this government.
If Spain would cede Louisiana to the United States, I would accept it absolutely if obtainable absolutely, or with an engagement to restore, if it cannot be obtained absolutely. I shall write again to-morrow.
TO JOHN JAY
NEW YORK, April 24, 1798.
DEAR SIR:
I have received your two favors of the 19th instant. I feel, as I ought, the mark of confidence they announce. But I am obliged by my situation to decline the appointment. This situation you are too well acquainted with to render it necessary for me to enter into explanation. There may arrive a crisis when I may conceive myself bound once more to sacrifice the interests of my family to public call. But I must defer the change as long as possible.
I do not at present think of a person to recommend adapted to the emergency. I shall reflect and consult, and write you by the next post. This, the first day, is not decisive of our election here, but there is as yet nothing to discourage.*
---
TO JAMES McHENRY
May 17, 1798.
MY DEAR SIR:
I have received your letter of the 12th instant. Not having seen the law which provides the naval armament, I cannot tell whether it gives any new power to the President; that is, any power whatever with regard to the employment of the ships. If not, and he is left at the foot of the Constitution, as I understand to be the case, I am not ready to say that he has any other power than merely to employ the ships as convoys, with authority to repel force
*Jay was at this time Governor of New York, and he had written Hamilton, asking his permission to appoint him U. S. Senator in place of Judge Hobart, who had resigned.
by force (but not to capture), and to repress hostilities within our waters, including a marine league from our coasts.
Any thing beyond this must fall under the idea of reprisals, and requires the sanction of that department which is to declare or make war.
In so delicate a case, in one which involves so important a consequence as that of war, my opinion is that no doubtful authority ought to be exercised by the President; but, that as different opinions about his power have been expressed in the House of Representatives, and no special power has been given by the law, it will be expedient for him, and his duty, and the true policy of the conjuncture, to come forward by a message to the two houses of Congress, declaring that "so far and no farther" he feels himself confident of his authority to go in the employment of the naval force; that as, in his opinion, the depredations on our trade demand a more extensive protection, he has thought it his duty to bring the subject under the review of Congress by a communication of his opinion of his own powers, having no desire to exceed the constitutional limits.
This course will remove all clouds as to what the President will do; will gain him credit for frankness and an unwillingness to chicane the Constitution, and will return upon Congress the question in a shape which cannot be eluded.
I presume you will have heard before this reaches you that a French privateer has made captures at the mouth of our harbor. This is too much humiliation after all that has passed.
Our merchants are very indignant; our government very prostrate in the view of every man of energy.
TO RUFUS KING
May, 1798.
My Dear Sir:
It is a great while since I received a line from you, nor, indeed, have I deserved one; the vortex of business in which I have been having kept me from writing to you. At this moment, I presume, you will not be sorry to know my opinion as to the course of our public affairs.
In Congress a good spirit is gaining ground, and, though measures march slowly, there is reason to expect that almost everything which the exigency requires will be done. The plan is present defence against depredations by sea, and preparations for eventual danger by land. In the community, indignation against the French Government, and a firm resolution to support our own, discover themselves daily by unequivocal symptoms. The appearances are thus far highly consoling.
But, in this posture of things, how unfortunate is it that the new instructions offered by Great Britain, which appear, according to the reports of the day, to be giving rise to many abusive captures of our vessels, are likely to produce a counter-current, and to distract the public dissatisfaction between two powers, who, it will be said, are equally disposed to plunder and oppress. In vain will it be urged that the British Government cannot be so absurd as at
such a juncture to intend us injury. The effects will be alone considered, and they will make the worst possible impression. By what fatality has the British Cabinet been led to spring any new mine, by new regulations, at such a crisis of affairs? What can be gained to counteract the mischievous tendency of abuses? Why are weapons to be furnished to our Jacobins?
It seems the captured vessels are carried to the Mole, where there is a virtuous judge, of the name of Cambault, disposed to give sanction to plunder in every shape. Events are not yet sufficiently unfolded to enable us to judge of the extent of the mischief, but nothing can be more unlucky than that the door has been opened. The recency of the thing may prevent your hearing any thing about it from the government by this opportunity.
P. S.—It is said privateers are fitting out at Antigua and St. Kitts.
TO WASHINGTON
NEW YORK, May 19, 1798.
My Dear Sir:
At the present dangerous crisis of public affairs, I make no apology for troubling you with a political letter. Your impressions of our situation, I am persuaded, are not different from mine. There is certainly great probability that we may have to enter into a very serious struggle with France; and it is more and more evident that the powerful faction which has for years opposed the government, is
determined to go every length with France. I am sincere in declaring my full conviction, as the result of a long course of observation, that they are ready to new-model our Constitution under the influence or coercion of France, to form with her a perpetual alliance, offensive and defensive, and to give her a monopoly of our trade by peculiar and exclusive privileges. This would be in substance, whatever it might be in name, to make this country a province of France. Neither do I doubt that her standard, displayed in this country, would be directly or indirectly seconded by them, in pursuance of the project I have mentioned.
It is painful and alarming to remark, that the opposition faction assumes so much a geographical complexion. As yet, from the south of Maryland nothing has been heard but accounts of disapprobation of our government, and approbation of or apology for France. This is a most portentous symptom, and demands every human effort to change it.
In such a state of public affairs, it is impossible not to look up to you, and to wish that your influence could in some proper mode be brought into direct action. Among the ideas which have passed through my mind for this purpose, I have asked myself whether it might not be expedient for you to make a circuit through Virginia and North Carolina, under some pretence of health, etc. This would call forth addresses, public dinners, etc., which would give you an opportunity of expressing sentiments in answers, toasts, etc., which would throw the weight of your character into the scale of the government, and
revive an enthusiasm for your person, that may be turned into the right channel.
I am aware that the step is delicate, and ought to be well considered before it is taken. I have even not settled my own opinion as to its propriety, but I have concluded to bring the general idea under your view, confident that your judgment will make a right choice; and that you will take no step which is not well calculated. The conjuncture, however, is extraordinary, and now, or very soon, will demand extraordinary measures.
You ought also to be aware, my dear sir, that in the event of an open rupture with France, the public voice will again call you to command the armies of your country; and, though all who are attached to you will, from attachment, as well as from public considerations, deplore an occasion which should once more tear you from that repose to which you have so good a right, yet it is the opinion of all those with whom I converse, that you will be compelled to make the sacrifice. All your past labor may demand to give it efficacy this further, this very great sacrifice. Adieu, my dear sir.
TO WASHINGTON
NEW YORK, June 2, 1798.
MY DEAR SIR:
I have before me your favor of the 27th of May. The suggestion in my last was an indigested thought, begotten by my anxiety. I have no doubt that your view of it is accurate and well founded.
It is a great satisfaction to me to ascertain what I
had anticipated in hope, that you are not determined in an adequate emergency against affording once more your military services. There is no one but yourself that would unite the public confidence in such an emergency, independent of other considerations, and it is of the last importance that this confidence should be full and complete. As to the wish of the country, it is certain that it will be ardent and universal. You intimate a desire to be informed what would be my part in such an event as to entering into military service. I have no scruple about opening myself to you on this point. If I am invited to a station in which the service I may render may be proportionate to the sacrifice I am to make, I shall be willing to go into the army. If you command, the place in which I should hope to be most useful is that of Inspector-General, with a command in the line. This I would accept. The public must judge for itself as to whom it will employ, but every individual must judge for himself as to the terms on which he will serve, and consequently must estimate his own pretensions.
I have no knowledge of any arrangement contemplated, but I take it for granted the service of all the former officers worth having may be commanded, and that your choice would regulate the Executive. With decision and care in the selection an excellent army may be formed.
The view you give of the prospects in the South is very consoling. The public temper seems everywhere to be travelling to a right point. This promises security to the country in every event.
TO OLIVER WOLCOTT
NEW YORK, June 5, 1798.
MY DEAR SIR:
The answer from the President to the Commander-in-Chief, etc., of New Jersey, contains in the close a very indifferent passage. The sentiment is intemperate and revolutionary. It is not for us, particularly for the government, to breathe an irregular or violent spirit. Hitherto I have much liked the President's answers, as, in the main, within proper bounds, and calculated to animate and raise the public mind. But there are limits which must not be passed, and from my knowledge of the ardor of the President's mind, and this specimen of the effects of that ardor, I begin to be apprehensive that he may run into indiscretion. This will do harm to the government, to the cause, and to himself. Some hint must be given, for we must make no mistakes.
Enclosed is a sketch of some ideas which have run through my mind. They are perhaps none of them new, but they are offered as the evidence of my opinion on the point. As yet we are far short of the point of vigor.
Further measures advisable to be taken without delay.
First.—To authorize the President to proceed forthwith to raise the ten thousand men already ordered.
Secondly.—To establish an academy for naval and military instruction. This is a very important measure, and ought to be permanent.
Thirdly.—To provide for the immediate raising of
a corps of non-commissioned officers, viz.: sergeants and corporals, sufficient, with the present establishment, for an army of fifty thousand men. The having these men prepared and disciplined will accelerate extremely the disciplining of an additional force.
Fourthly.—To provide, before Congress rise, that in case it shall appear that an invasion of this country by a large army is actually on foot, there shall be a draft from the militia, to be classed, of a number sufficient to complete the army of fifty thousand men. Provision for volunteers in lieu of drafts. A bounty to be given.
Fifthly.—To authorize the President to provide a further naval force of six ships of the line and twelve frigates, with twenty small vessels not exceeding sixteen guns. It is possible the ships of the line and frigates may be purchased of Great Britain, to be paid for in stock. We ought to be ready to cut up all the small privateers and gun-boats in the West Indies, so as at the same time to distress the French islands as much as possible, and protect our own trade.
Sixthly.—Is not the independence of the French colonies, under the guaranty of the United States, to be aimed at? If it is, there cannot be too much promptness in opening negotiations for the purpose. Victor Hugues is probably an excellent subject. This idea, however, deserves mature consideration.
Seventhly.—It is essential the Executive should have half a million of secret-service money. If the measure cannot be carried without it, the expenditure may be with the approbation of three members
of each house of Congress. But it were better without this incumbrance.
Eightly.—Revenue in addition to the two millions of land tax, say:
| Description | Probable Produce |
|------------------------------------------------------------------------------|------------------|
| A stamp duty on hats, as well manufactured at home as imported, distributed into three classes: ten, fifteen, and twenty-five cents, | $500,000 |
| Saddle-horses one dollar each, excluding those engaged in agriculture | 100,000 |
| Salt, add so as to raise the present duty to twenty-five cents per bushel. | |
| Male servants of these capacities, by whatever name: maître d’hotel, house steward, valet de chambre, butler, under butler, confectioner, cook, house porter, waiter, footman, coachman, groom, postilion, stable-boy.¹ | |
| For one such servant | $1 |
| For two servants and not more | 2 |
| For three servants and not more | 3 |
| Above three | 4 500,000 |
| (One dollar additional by bachelors.) | |
| New modification, with greater diversity of licenses for sale of wines, etc | 100,000 |
| One per cent. on all successions by descent or devise | 100,000 |
Ninthly.—A loan of ten millions of dollars. The interest to be such as will insure the loan at par. It is better to give high interest redeemable at pleasure, than low interest with accumulation of capital, as in England.
¹ In lieu of tax on slaves, which is liable to much objection.
TO RUFUS KING
June 6, 1798.
My Dear Sir:
Official information and the public papers will give you all the information I could give of the measures going on in this country. You will have observed with pleasure a spirit of patriotism kindling everywhere. And you will not be sorry to know that it is my opinion, that there will shortly be national unanimity, as far as that idea can ever exist. Many of the leaders of faction will persist, and take ultimately a station in the public estimation like that of the tories of our revolution.
Our chief embarrassment now is, the want of energy among some of our friends, and our councils containing too strong an infusion of those characters who cannot reform, and who, though a minority, are numerous enough and artful enough to perplex and relax. We do far less than we ought towards organizing and maturing for the worst the resources of the country. But I count that there is a progress of opinion which will probably shortly overcome this obstacle.
How vexatious that at such a juncture there should be officers of Great Britain, who, actuated by a spirit of plunder, are doing the most violent things, calculated to check the proper amount of popular feeling, and to furnish weapons to the enemies of government. Cambault at the Mole is acting a part quite as bad as the Directory and their instruments. I have seen several of his condemnations. They are wanton beyond measure. It is not enough that his
acts are disavowed, and a late and defective redress given through the channels of the regular courts. Justice, and the policy of the crisis, demand that he be decisively punished and disgraced. I think it probable you will be instructed to require this. It would be happy if the government where you are would anticipate.
It is unlucky, too, that Cochran, of the *Thetis*, appears to be doing some ill things. The Southern papers announce a number of captures lately made by him, and in some instances, if they say true, on very frivolous pretexts. The character of that gentleman would lead me to hope that there is in this some misrepresentation, but the present appearances against him are strong.
There seems a fatality in all this. It cannot be doubted that the British cabinet must at this time desire to conciliate this country. It is to be hoped they will not want vigor to do it with effect, by punishing those who contravene the object.
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TO TIMOTHY PICKERING
June 7, 1798.
My Dear Sir:
As McHenry will probably have left Philadelphia before this reaches that place, I take the liberty to address the subject of it to you.
I have received a letter from Capt. Van Rensselaer, in which he informs me that he is a candidate for a commission on board our navy, and requests my recommendation of it. As a connection of our
family, I cannot refuse it, as far as truth and propriety will warrant.
When he first began his career, the young man did things which were not pretty, but he has since that retrieved his character by a conduct which has rapidly raised him to the command of a ship, which he has had of several. I have particularly inquired concerning him, and my inquiries have been satisfactorily answered, so that I really conclude he is a deserving man. But of this you can be better ascertained from persons in Philadelphia, in whose employ I believe he has sailed.
My only intention is to request attention to his pretensions, as far as they appear to be good, and in the proportion which they bear to those of other candidates. I owe this to him as a family connection, and I may add that he is of a brave blood.
What do the British mean? What are these stories of the *Thetis*, etc.? In my opinion, our country is now to act in every direction with spirit. Will it not be well to order one of our frigates to Charleston, to protect effectually our commerce in that quarter, and, if necessary, control the *Thetis*? This conduct will unite and animate.
P. S.—If an alien bill passes, I would like to know what policy, in execution, is likely to govern the Executive. My opinion is, that while the mass ought to be obliged to leave the country, the provisions in our treaties in favor of merchants ought to be observed, and there ought to be guarded exceptions of
characters whose situation would expose them too much if sent away, and whose demeanor amongst us has been unexceptionable. There are a few such. Let us not be cruel or violent.
TO TIMOTHY PICKERING
June 8, 1798.
My Dear Sir:
Though I scarcely think it possible that the British Administration can have given the orders which accounts from various quarters attribute to them, yet the circumstance of these accounts coming from different quarters, and the conduct of such a man as Capt. Cochran, make me apprehensive. I take the liberty to express to you my opinion that it is of the true policy as well as of the dignity of our government, to act with spirit and energy as well toward Great Britain as France. I would mete the same measure to both of them, though it should ever furnish the extraordinary spectacle of a nation at war with two nations at war with each other. One of them will quickly court us, and by this course of conduct our citizens will be enthusiastically united to the government. It will evince that we are neither Greeks nor Trojans. In very critical cases bold expedients are often necessary. Will not a pointed call on the British Minister here to declare whether he has any knowledge of the instructions alleged be proper? The making this call and the answer public may have good effect.
No one who does not see all the cards can judge
accurately. But I am sure the general course I indicate cannot but be well.
TO OLIVER WOLCOTT
June 29, 1798.
Dear Sir:
I have this moment seen a bill brought into the Senate, entitled "A Bill to define more particularly the crime of Treason," etc. There are provisions in this bill, which, according to a cursory view, appear to me highly exceptionable, and such as, more than any thing else, may endanger civil war. I have not time to point out my objections by this post, but I will do it to-morrow. I hope sincerely the thing may not be hurried through. Let us not establish a tyranny. Energy is a very different thing from violence. If we make no false step, we shall be essentially united, but if we push things to an extreme, we shall then give to faction body and solidity.
TO WASHINGTON
July 8, 1798.
Dear Sir:
I was much surprised on my arrival here to discover that your nomination had been without any previous consultation of you. Convinced of the goodness of the motives, it would be useless to scan the propriety of the step. It is taken, and the question
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* Now first printed from the Pickering papers in possession of the Massachusetts Historical Society.
* The first draft or project of what afterwards became the Alien and Sedition laws.
is, what, under the circumstances, ought to be done? I use the liberty which my attachment to you and to the public authorizes, to offer my opinion that you should not decline the appointment. It is evident that the public satisfaction at it is lively and universal. It is not to be doubted that the circumstance will give an additional spring to the public mind—will tend much to unite, and will facilitate the measures which the conjuncture requires. On the other hand, your declining would certainly produce the opposite effects, would throw a great damp upon the ardor of the country, inspiring the idea that the crisis was not really serious or alarming. At least, then, let me entreat you, and in this all your friends, indeed, all good citizens will unite, that if you do not give an unqualified acceptance, that you accept provisionally, making your entering upon the duties to depend on future events, so that the community may look up to you as their certain commander. But I prefer a simple acceptance.
It may be well, however, to apprise you that the arrangement of the army may demand your particular attention. The President has no relative ideas, and his prepossessions on military subjects in reference to such a point are of the wrong sort. It is easy for us to have a good army, but the selection requires care. It is necessary to inspire confidence in the efficient part of those who may incline to military service. Much adherence to routine would do great harm. Men of capacity and exertion in the higher stations are indispensable. It deserves consideration whether your presence at the seat of government is not necessary. If you will accept it will be conceived that the arrangement is yours, and you will be responsible for it in reputation. This, and the influence of a right arrangement upon future success, seem to require that you should, in one mode or another, see efficaciously that the arrangement is such as you would approve.
TO TIMOTHY PICKERING
NEW YORK, July 17, 1798
My Dear Sir:
I thank you for your friendly letter by the post. I had not contemplated the possibility that Knox might come into service, and was content to be second to him, if thought indispensable. Pinckney, if placed over me, puts me a grade lower. I don't believe it to be necessary. I am far from certain that he will not be content to serve under me, but I am willing that the affair should be so managed as that the relative ranks may remain open to future settlement, to ascertain the effect of the arrangement which has been contemplated.
I am not, however, ready to say that I shall be satisfied with the appointment of Inspector-General, with the rank and command of Major-General, on the principle that every officer of high rank in the late army, who may be appointed, is to be above me.
I am frank to own that this will not accord with my opinion of my own pretensions, and I have every reason to believe that it will fall far short of public opinion.
Few have made so many sacrifices as myself. To few would a change of situation for a military appointment be so injurious as to myself. If, with this sacrifice, I am to be degraded below my just claim in public opinion, ought I to acquiesce?
TO GENERAL DUPORTAIL
NEW YORK, July 23, 1798.
My Dear General:
Though it is a great while since I have heard from you, I have not ceased to inquire after you, and I shall never cease to interest myself in your welfare.
You have seen the progress of things between this country and France, and you must have made reflections on your own situation. I am aware that the idea of your entering in any way into the military service of this country, on such an occasion, is one of great delicacy, and opposed by many motives. But knowing your opinion as to the revolution and revolutionary leaders of your country, I have thought it not wholly impossible that such an idea would not be entirely disagreeable to you, and I am desirous of ascertaining, in the most scrupulous confidence, the state of your mind on this point. The subject may divide itself into employment in the field and employment out of the field.
When I take the liberty to sound you on this head,
¹ The Chevalier Louis Duportail, a distinguished officer of engineers among our French allies. He was denounced after the fall of Lafayette, and fled to this country. He died on the voyage home, after the 18th Brumaire made it possible for him to return.
I ought to assure you, as is truly the case, that the step is wholly from the suggestion of my own mind, and that I am altogether at a loss to conjecture whether those who must decide the matter would be at all disposed to avail themselves of your services.
I pray you nevertheless to open to me freely your heart on this point, in the fullest reliance upon my prudence, honor, and delicacy. If it were not to intrude too much upon you, I would request you to favor me with a digested plan of an establishment for a military school. This is an object I have extremely at heart.
TO WASHINGTON
PHILADELPHIA, July 29, 1798.
My Dear Sir:
Your letter of the 14th instant did not reach me till after the appointments mentioned in it were made.
I see clearly in what has been done a new mark of your confidence, which I value as I ought to do.
With regard to the delicate subject of the relative rank of the major-generals, it is very natural for me to be a partial judge, and it is not very easy for me to speak upon it. If I know myself, however, this, at least, I may say, that, were I convinced of injustice being done to others in my favor, I should not hesitate even to volunteer a correction of it, as far as my consent would avail. But in a case like this, am I not to take the opinion of others as my guide? If I am, the conclusion is that the gentlemen concerned ought to acquiesce. It is a fact of which
there is a flood of evidence that a great majority of leading Federal men were of opinion that in the event of your declining the command of the army, it ought to devolve upon me, and that in case of your acceptance, which everybody ardently desired, the place of second in command ought to be mine.
It is not for me to examine the justness of this opinion. The illusions of self-love might be expected too easily to give it credit with me. But finding it to exist, am I at liberty to seek to postpone myself to others, in whose hands, according to that opinion, the public interests would be less well confided? Such are the reflections which would have determined me to let the business take its course.
My own opinion, at the same time, is, that of the two gentlemen postponed to me, the cause of complaint, if any, applies emphatically to General Knox. His rank in the army was much higher than that either of Pinckney or myself. Pinckney’s pretensions on the score of real service are not extensive; those of Knox are far greater. Pinckney has, no doubt, studied tactics with great care and assiduity, but it is not presumable that he is as well versed in the tactics of a general as Knox.
Pinckney’s rank at the close of the war was only nominally greater than mine; it was, indeed, of more ancient date. But when, in the year 1777, the regiments of artillery were multiplied, I had good reason to expect that the command of one of them would have fallen to me, had I not changed my situation. And this, in all probability, would have led further.
I am aware, at the same time, that there were accidental impediments to Pinckney's progress in preference, but an accurate comparison would, I imagine, show that, on the score of rank merely, the claim of superiority on his part is not strongly marked. As to military service, I venture to believe that the general understanding of the late army would allow a considerable balance to me.
As to civil services since the war, I am extremely mistaken if, in the minds of Federal men, there is any comparison between us. The circumstances of the moment, it is true, give him a certain éclat, but judicious men reduce the merit to the two points of judicious forbearance and the firmness not to sacrifice his country by base compliances. In all this, it is very far from my inclination to detract from General Pinckney. I have a sincere regard for him, and hold him in high estimation. At the same time, endeavoring to view the matter with all the impartiality which my situation permits, I must conclude that General Pinckney, on a fair estimate of all circumstances, ought to be well satisfied with the arrangement.
After saying this much, I will add that regard to the public interest is ever predominant with me; that if the gentlemen concerned are dissatisfied, and the service likely to suffer by the preference given to me, I stand ready to submit our relative pretensions to an impartial decision, and to waive the preference. It shall never be said, with any color of truth, that my ambition or interest has stood in the way of the public good.
Thus, sir, have I opened my heart to you with as little reserve as to myself, willing, rather, that its weakness should appear than that I should be deficient in frankness. I will only add that I do not think it necessary to make public beforehand the ultimate intentions I have now disclosed.
It is possible the difficulties anticipated may not arise. But, my dear sir, there is a matter of far greater moment than all this, which I must do violence to my friendship by stating to you, but of which it is essential you should be apprised. It is that my friend McHenry is wholly insufficient for his place, with the additional misfortune of not having himself the least suspicion of the fact. This generally will not surprise you, when you take into view the large scale upon which he is now to act. But you perhaps may not be aware of the whole extent of the insufficiency. It is so great as to leave no probability that the business of the War Department can make any tolerable progress in his hands. This has been long observed, and has been more than once mentioned to the President by members of Congress.
He is not insensible, I believe, that the execution of the department does not produce the expected results; but the case is of course delicate and embarrassing.
My real friendship for McHenry, concurring with my zeal for the service, predisposed me to aid him in all that he could properly throw upon me, and I thought that he would have been glad, in the organization of the army, and in the conduct of the recruiting service, to make me useful to him. With this view, I came to this city, and I previously opened the way as far as I could with the least decency. But the idea has thus far been very partially embraced, and to-morrow or next day I shall return to New York, without much fruit of my journey. I mention this purely to apprise you of the course of things, and the probable results.
It is to be regretted that the supposition of cooperation between the Secretary of War and the principal military officers will unavoidably throw upon the latter a part of the blame which the ill success of the operations of the War Department may be expected to produce. Thus you perceive, sir, your perplexities are begun.
P. S.—Since writing the above, I have concluded to write a letter, of which the enclosed is the copy.\(^1\) This effort to save a man I value, and promote the service, has, under the circumstances, cost something to my delicacy.
Mr. Harper, of the House of Representatives, is desirous of being in your family. He is a man of very considerable talents and has the temper of a soldier. The shade of his useful qualities is vanity, but I think the good much outweighs the ill. Pardon this liberty in a point so delicate.
New York, Aug. 1, 1798.
The above was written at Philadelphia, but a very pressing call to this place, added to occupation there,
\(^1\) The writer of the enclosed letter is a man of respectability. I could recommend his primary object. (This is in the MS.)
prevented my being able to copy and forward it till now.
Give me leave to suggest the expediency of your asking of McHenry a statement of all the military supplies, cannon, arms, etc., etc., which are already provided, and of the means and measures provided and in execution for augmenting the quantity. This will give you necessary information and prompt to exertion.
TO OLIVER WOLCOTT
August 6, 1798.
My Dear Sir:
You are probably apprised that in announcing to the general officers their appointments they are told that the emoluments are to be suspended until called into actual service, and that, as a consequence of this plan, they are to remain inactive.
This project suits admirably my private arrangements, by leaving me to pursue in full extent my profession. But I believe it accords neither with the intention of the individuals who framed the laws nor with the good of the service. It is impossible for McHenry to get through all that is now upon his hands in a manner honorable to himself, satisfactory to the public, or proportioned to the energy of the conjuncture. You will see by the enclosed that I have sacrificed my delicacy to my friendship and public zeal. I have heard nothing in reply. I thought it expedient that you and Colonel Pickering should understand in confidence the situation of things. Without a change of plan they will not go
well, and the government and all concerned will be discredited.
TO GENERAL DAYTON
NEW YORK, Aug. 6, 1798.
My Dear Sir:
I received at Philadelphia your letter of the 27th of July, the answer to which has been delayed by excessive occupation.
You know, I trust, sufficiently my sentiments of you not to need being told how much pleasure your appointment gave me, and how highly I value the confidence you express in me.
It will probably be unexpected to you to be told that I am not yet in the exercise of the functions of my military office, and that my participation in the preliminary arrangements is only occasional and very limited.
Such, however, is the course of the plan which has been adopted by the Executive.
But I have, notwithstanding, had conversation with the Secretary at War on the points you mention, and to the extent of my opportunity have endeavored to promote a right direction. You no doubt have before this received a letter from the Secretary on the subject of proper characters for officers. It seems to be determined in his mind to
* Elias Dayton, of New Jersey, a distinguished revolutionary officer and father of Jonathan Dayton, at this time Speaker of the National House, and grandfather of William L. Dayton, senator from New Jersey, candidate on the Fremont ticket in 1856 for vice-president, and minister to France.
appoint Col. Aaron Ogden to the command of a regiment.
Everybody must consider him as a great acquisition in this station. The part of your letter which respects him, announcing the certainty of his acceptance, was particularly grateful to me.
Enclosed you will receive the instructions for the recruiting service, which were previously prepared by the Secretary at War. I made such remarks upon them as hastily occurred. Examine them carefully, and suggest to me whatever amendments or additions may present themselves to you. You will oblige me by free communications at all times.
TO BENJAMIN STODDERT
NEW YORK, Aug. 7, 1798.
Dear Sir:
Capt. Robert Hamilton, a first cousin of mine, is desirous of employment in this country in the line of his profession. He is regularly bred to the sea, which he has followed since he was fourteen years old, and has had the best opportunities of improvement—among others that of voyages to the East Indies. He has also commanded a ship and has acted as supercargo. I venture with confidence to recommend him as well qualified and every way worthy; adding to skill in his profession the sentiments of a gentleman, good morals, intelligence, and prudence. I in-
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1 Benjamin Stoddert, of Maryland, at this time Secretary of the Navy.
terest myself very much in his success, and shall esteem it as a personal favor to myself whatever may be done for his interest.
TO JAMES McHENRY
(Private.)
NEW YORK, Aug. 19, 1798.
My Dear Sir:
I write you herewith an official letter. Your private one of the 14th is before me. I regret that you have been unwell and rejoice that you are better.
The affair of General Knox perplexes me. I wish him to serve. I am pained to occasion to him pain for I have truly a warm side for him, and a high value for his merits; but my judgment tells me, and all I consult confirm it, that I cannot reasonably postpone myself in a case in which a preference so important to the public in its present and future consequences has been given me. In denominating the preference important, I do not intend to judge whether it will be well or ill founded; in either case its tendency is so important, I am willing to confer, to adjust amicably, with the advice of mutual friends. But how can I abandon my pretension?
At foot, my dear sir, I transmit you the draft of such a reply as it seems to me proper for you to make to General Knox. It may also be well for you, in a private letter, to advise him to accept, with a reservation of his claim ad referendum, upon the ground of the rule he quotes, and with the understanding that it will not be understood to engage him to continue,
if the matter be not finally settled according to his claim.
(Draft above referred to)
SIR:
An answer to your letter of the 5th instant has been delayed by some degree of ill health on my part.
The general disposition it marks accords well with the patriotic sentiments you have so constantly manifested. It is extremely regretted that any circumstances should induce you to hesitate about the acceptance of an appointment in which it is not to be doubted your services would be eminently useful.
The paragraph of my former letter which you quote explains to you my conception of the relative rank of the generals in question as resulting from the order of the nominations and appointments. This conception, however, cannot affect the claim of either, if there be any subsisting binding rule in our military code which will arrange the priority of rank between officers nominated on the same day, according to their relative stations in the late army. This will naturally be the subject of some future decision in some proper mode. It is not understood that there has been any former repeal of the rule to which you allude.
It remains, then, for you to determine whether you will or not accept the appointment, with the reservation of a claim to the benefit of that rule.
TO JAMES McHENRY
New York, Aug. 19, 1798.
Sir:
An absence from the city, upon some urgent avocations, prevented my receiving till yesterday your letters of the 10th and 11th instant.
I observe the suggestion which you have made to the President towards calling General Knox and myself into immediate service. If he shall approve, I stand ready to execute, in the best manner I shall be able, whatever business may be confided to me; but I must earnestly hope that it will not be attended with the necessity of an immediate change of residence. The nature of my arrangements would render this absolutely ruinous to me, and I trust I shall not be reduced to such an alternative, unless events portending public danger shall ripen faster than, according to present appearances, they are likely to do. I do not object to a frequent attendance at the seat of government, for this can be reconciled with my other engagements, till they can be gradually prepared for a total relinquishment and a new position. With this, I am satisfied, every desirable end can be obtained, especially when the promptness of communication between this place and the seat of government is considered. Be assured that none but very imperious motives could induce this hesitation on my part. In accepting the appointment I did not contemplate as probable a speedy dislocation of residence.
The tenor of General Knox's letter, transmitted by you and now returned, occasions to me no small
regret and embarrassment. My esteem and friendship for that gentleman would lead me far; but there is a very great difficulty in waiving a station to which, I am well convinced, I have been called, no less by the public voice of the country than by the acts of the Commander-in-Chief and of the President and Senate. The intention as to the relative grades of the officers appointed is presumed to be unequivocal. It is believed that the rule to which General Knox refers can have no application to the case of the formation of a new army at a new epoch, embracing officers not previously *in actual* service.
It was not a permanent provision of law, but a regulation adapted to the peculiar circumstances of the late army, and governing, as far as I can recollect, only in the cases of promotions from lower subsisting grades to higher ones. At the same time, it is very delicate for me to give an opinion in a matter in which I am so personally interested.
I send you back the list of applications which you transmitted to me, with remarks, and with the addition of names. It has been in my power to do little as to candidates in any State but New York. I have supposed that you have had recourse to better sources of information as to others.
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TO WASHINGTON
NEW YORK, Aug. 20, 1798.
My Dear Sir:
A necessary absence from this city prevented the receipt of your letter of the 9th instant till yesterday. It is very grateful to me to discover in each succeeding occurrence a new mark of your friendship towards me. Time will evince that it makes the impression that it ought on my mind.
The effect which the course of the late military appointments has produced on General Knox, though not very unexpected, is very painful to me. I have a respectful sense of his pretensions as an officer, and I have a warm personal regard for him. My embarrassment is not inconsiderable between these sentiments, and what I owe to a reasonable conduct on my own part, both in respect to myself and to the public. It is a fact, that a number of the most influential men in our affairs would think that in waiving the preference given to me I acted a weak part, in a personal view, and an unwarrantable one, in a public view; and General Knox is much mistaken if he does not believe that this sentiment would emphatically prevail in that region to which he supposes his character most interesting. I mean New England.
Yet, my dear sir, I can never consent to see you seriously compromitted or embarrassed. I shall cheerfully place myself in your disposal, and facilitate any arrangement you may think for the general good. It does not, however, seem necessary to precipitate any thing. It may be well to see first what part Gen. Pinckney will act when he arrives.
The Secretary at War has sent me a copy of General Knox's letter to him on the subject of his appointment. It does not absolutely decline, but implies the intention to do it, unless a rule of the late army, giving, in cases of promotion on the same
day, priority according to the former relative rank, is understood to govern. I have addressed a reply of which a copy is enclosed.
The commissions have issued, so that no alteration can now be made as between Generals Knox and Pinckney, if there were not the serious difficulties in the way which you seem to have anticipated.
The Secretary at War has proposed to the President a change of the plan announced in the first instance—which may bring into immediate activity the Inspector-General and Gen. Knox. In this case you may depend on the best efforts in my power, with a peculiar attention to the objects you mention, and you shall be carefully and fully advised of whatever it interests you to know.
Col. Walker resides at present in the western part of this State. He is occupied in some important agencies for persons abroad, which renders it doubtful whether he would now accept military employment. He has been written to, and will be proposed for the command of a regiment.
Heth is, in many respects, very desirable, in the capacity you mention. But you are, I presume, aware of the impracticability of his temper.
The papers sent by you are now returned.
TO OLIVER WOLCOTT
New York, Aug. 21, 1798.
My Dear Sir:
Your two letters of the 9th reached this place during an absence on necessary business which only terminated on Saturday.
Our friend Mr. McHenry has adopted the ideas suggested to him. And you may rely on my effectual co-operation. At the same time, as a total dislocation of residence, to fulfil in all its extent the idea you intimate, would be unqualified ruin to me, I must endeavor to avoid it. Frequent visits and constant communication, and the immediate charge of certain branches of the service will, I doubt not, substantially suffice.
The objects you indicate as deserving primary attention will engage it.
In respect to Mr. Wharton, I shall with pleasure promote whatever may suit him and the service. But I do not know that there is in the establishment any provision for a clerk or secretary to a general officer. It is usual, except in case of the Commander-in-Chief for aides-de-camp to perform the duties of such characters. In reference to *aides*, my situation is this—I have already yielded to the strong wishes of Mr. and Mrs. Church the promise to appoint their eldest son as one; for the other I must endeavor to find an experienced officer. If Mr. Wharton desires an appointment in some regiment to take his chance for a place in the family of some general officer, I will assist the wish. Let me, if you please, understand this matter with precision.\(^1\)
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
TO RUFUS KING
New York, Aug. 22, 1798.
My Dear Sir:
Your several letters of May 12th, June the 6th and 8th, have regularly come to hand.
You will be, no doubt, fully instructed of the measures which have taken place on the part of our government, and you will have seen in the numerous addresses to the President a confirmation of the opinion I gave you respecting the disposition of this country. From both you will have derived satisfaction, though you should not think we are yet where we now ought to be. But console yourself with the assurance that we are progressing in good. The indications are to my mind conclusive that we are approaching fast to as great unanimity as any country ever experienced, and that our energies will be displayed in proportion to whatever exigencies shall arise.
I have received several letters from General Miranda. I have written an answer to some of them, which I send you to deliver or not, according to your estimate of what is passing in the scene where you are. Should you deem it expedient to suppress my letter you may do it, and say as much as you think fit on my part in the nature of a communication through you.
With regard to the enterprise in question, I wish it much to be undertaken, but I should be glad that the principal agency be in the United States,—they to furnish the whole land force if necessary. The command in this case would very naturally fall upon me,
and I hope I shall disappoint no favorable anticipation. The independence of the separate territory under a moderate government, with the joint guaranty of the co-operating powers, stipulating equal privileges in commerce, would be the sum of the results to be accomplished.
Are we yet ready for this undertaking? Not quite. But we ripen fast, and it may, I think, be rapidly brought to maturity if an efficient negotiation for the purpose is at once set on foot upon this ground. Great Britain cannot alone insure the accomplishment of the object. I have some time since advised certain preliminary steps to prepare the way consistently with national character and justice. I was told they would be pursued, but I am not informed whether they have been or not.
TO FRANCISCO MIRANDA
New York, Aug. 22, 1798.
SIR:
I have lately received by duplicates your letter of the 6th of April, with the postscript of the 9th of June. The gentleman you mention in it has not made his appearance to me, nor do I know of his
---
1 Francisco Miranda, born in Caracas, 1750, was a South American revolutionist and adventurer. He took part in our war, and then went to France and engaged in the revolution. He served with Dumouriez, was put in prison for his intrigues, was ordered to leave France, and twice afterwards (in 1797 and 1804) expelled. He was always setting on foot abortive revolutions, and finally, in 1811, in an attempt at Caracas, he was seized and carried to Spain, and died in prison at Cadiz in 1816.
arrival in this country; so that I can only divine the object from the hints in your letter.
The sentiments I entertain with regard to that object have been long since in your knowledge, but I could personally have no participation in it unless patronized by the government of this country. It was my wish that matters had been ripened for a co-operation in the course of this fall on the part of this country.
But this can now scarcely be the case. The winter, however, may mature the project, and an effectual co-operation by the United States may take place. In this case I shall be happy, in my official station, to be an instrument of so good a work.
The plan in my opinion ought to be: A fleet of Great Britain, an army of the United States, a government for the liberated territory agreeable to both co-operators, about which there will be no difficulty. To arrange the plan a competent authority from Great Britain to some person here is the best expedient. Your presence here will, in this case, be extremely essential.
We are raising an army of about twelve thousand men. General Washington has resumed his station at the head of our armies. I am appointed second in command.
TO OLIVER WOLCOTT
New York, Aug. 22, 1798.
My Dear Sir:
No one knows better than yourself how difficult and oppressive is the collection even of taxes very
moderate in their amount, if there be a defective circulation. According to all the phenomena which fall under my notice, this is our case in the interior parts of the country.
Again, individual capitalists, and consequently the facility of direct loans, are not very extensive in the United States. The banks can only go a certain length, and must not be forced. Yet government will stand in need of large anticipations.
For these and other reasons which I have thought well of, I have come to a conclusion that our Treasury ought to raise up a circulation of its own. I mean by the issuing of Treasury-notes payable, some on demand, others at different periods, from very short to pretty considerable—at first having but little time to run.
This appears to me an expedient equally necessary to keep the circulation full and to facilitate the anticipations which government will certainly need. By beginning early the public eye will be familiarized, and as emergencies press it will be easy to enlarge without hazard to credit.
Think well of this suggestion, and do not discard it without perceiving well a better substitute.
TO JAMES McHENRY
NEW YORK, Aug. 25, 1798.
Dear Sir:
I perceive it would be agreeable to the Commander-in-Chief to receive frequent communications from you, and particularly to understand the state of
public supplies; that is, the quantities on hand and the measures in execution to procure others.
I give you this hint as a guide, and would advise to have a full statement made out, with notes of what is further doing, and send it to him.
TO THEODORE SEDGWICK
NEW YORK, Aug. 29, 1798.
My Dear Sir:
Your letter of the 3d instant came seasonably to hand. Business and absence from this place have delayed the acknowledgment.
The persons you mention have been correspondently placed before the Secretary of War.
As to military affairs, they lag not a little—no appointments of regimental officers yet made. McHenry, as you know, is loaded beyond his strength. It was an obvious idea to derive aid from among general officers; but instead of embracing this resource, they have all been told that the President hoped they would think it proper to waive the emoluments of their offices till called into actual service.
Steps have been taken towards the correction of this obvious mistake, the success of which now depends on the President, and on that success the alternative of some or no energy.
TO TIMOTHY PICKERING
NEW YORK, Aug. 29, 1798.
My Dear Sir:
Your friendly letters of the 21st, 22d, and 23d of August have been duly received. I feel myself at once much flattered and truly indebted for the very favorable opinion of me which you manifest. The good estimation of men of sense and virtue is an ample consolation for the censure and malice of those of a different character, while the expression of your sentiments has all the value which a well-known sincerity and integrity of disposition can give. Be assured that I shall be happy to be ranked by you in the number of your friends. The course of the thing in a particular quarter does not surprise. Besides the direct influence which would be exerted, I am aware that the circumstances of the late election for president have made some unfortunate impressions.
The Commander-in-Chief, I am authorized by his own communications to me to believe, will not easily relinquish the original spirit of the primitive arrangements; but, in the last resort, I shall be inclined to have much deference for his wishes. It is important he should well understand, what I verily believe to be an undoubted fact, that New England would rather see high command in my hands than in those of Gen. Knox.
TO JAMES McHENRY.
New York, Sept. 8, 1798.
My Dear Sir:
Yours, dated by mistake August 6th, I received yesterday. I postponed a reply till to-day, because I wished first to reflect maturely. My mind is unalterably made up. I shall certainly not hold the commission on the plan proposed, and only wait an official communication to say so.
I return you the enclosure in your letter. You may depend on my fidelity to your friendly confidence. I shall regret whatever of inconvenience may attend you. You doubtless will take care that you retain in your own power all the evidences of this transaction.
TO WASHINGTON
New York, Sept. 30, 1798.
My Dear Sir:
Your obliging favor of the 24th instant has duly come to hand. I see in it a new proof of sentiments towards me which are truly gratifying. But permit me to add my request to the suggestions of your own prudence that no personal considerations for me may induce more on your part than on mature reflection you may think due to public motives. It is extremely foreign to my wish to create to you the least embarrassment, especially in times like the present, when it is more than ever necessary that the interests of the whole should be paramountly consulted.
I shall strictly comply with the recommendation in the close of your letter.
TO RUFUS KING
NEW YORK, Oct. 2, 1798.
My Dear Sir:
Mr. R. delivered me your letter of the 31st of July. The opinion in that and other of your letters concerning a very important point has been acted upon by me from the very moment that it became unequivocal that we must have a decisive rupture with France. In some things my efforts succeeded; in others they were disappointed; in others I have had promises of conformity to lay the foundation of future proceeding, the performance and effect of which promises are not certainly known to me. The effect, indeed, cannot yet be known.
The public mind of this country continues to progress in the right direction. That must influence favorably the present Congress at the ensuing session. The next will be, in all appearance, intrinsically better.
Of the executive I need say little; you know its excellent dispositions, its general character, and the composition of its parts. You know also how widely different the business of government is from the speculation of it, and the energy of the imagination dealing in general propositions from that of execution in detail.
These are causes from which delay and feebleness are experienced. But the difficulty will be surmounted, and I anticipate with you that this country will, erelong, assume an attitude correspondent with its great destinies—majestic, efficient, and operative of great things. A noble career lies before it.
Why does not Gouverneur Morris come home? His talents are wanted. Men like him do not superabound. Indeed, I wish that you were here rather than where you are, though I think your position an important one at the present juncture. But we want to infuse more abilities into the management of our internal affairs.
Governor Jay is well. He and all your friends continue to take a lively interest in all that concerns you.
TO THE COUNT LATOUR DUPIN GOUVERNET
New York, Oct. 3, 1798.
I had yesterday, my dear sir, the pleasure of receiving your letter of the 15th of July, accompanied by two others, one for Messrs. Le Roy and Bayard, the other for Mr. Olive, which will be sent to them in the country, where they now continue, in consequence of the sickness in this city. The letters which you mention to have before written have also been received. To mine I replied shortly after; nor can I imagine how it has happened that you have received no answer from either of the parties.
On the subject of the sale of your farm Mr. Bayard
¹ Frederic Seraphin, Marquis de la Tour Du Pin Gouvenet, son of General Jean Frederic Latour Du Pin Gouvenet, Comte de Paulin. General Latour Du Pin, with his cousin, the Marquis Latour Du Pin, were distinguished soldiers and statesmen. They were summoned as witnesses at the trial of Marie Antoinette, and their devotion to the queen only hastened their own doom. They were both guillotined on the same day, in April, 1794. Frederic Seraphin, son of the General, fled to America, bought an estate, no doubt the one referred to in Hamilton’s letter, and turned farmer. He returned to Europe after
and I myself had a conference, and we agreed that a sale at this time was inexpedient, as it could not be hoped that the farm would bring near its value, owing to the embarrassments in pecuniary operations produced by the prospect of war. I shall, however, now advise that an experiment be made. The offers received, if any, will determine whether a sale can take place without an imprudent sacrifice for you, and the result can be regulated accordingly.
Be assured, my dear sir, that I shall be happy to be useful to you in this or any other matter. In doing so, I shall equally gratify the esteem and friendship with which you have inspired me for yourself, and that lively and affecting interest in whatever concerns Madame de Gouvernet, which cannot but be felt by all who have had an opportunity to know her value.
If it shall conduce to her and your happiness to return to this country, it will certainly add to ours; and if you will beforehand apprise me of your reso-
the 9th Thermidor, and to France permanently after the 18th Brumaire, taking service under the Empire. During the Restoration he filled many high posts, but after the revolution of July he was obliged to leave France on account of Legitimist intrigues, and died in exile at Lausanne, in 1837 (Larousse, Dict. Universel). This letter is correctly addressed in the original draft in the State Department, but in the edition of 1850 it is changed to Count Latour Dupin Gouvion. Mr. J. C. Hamilton knew of no officer among our allies by such a name as Gouvernet, whereas there was one named Gouvion, and for this reason, apparently, he printed it Gouvion. Jean Baptiste Gouvion was an officer in the war, but he had no connection whatever with the Latour Dupin family, except that his last name, like theirs, began with G. If Mr. J. C. Hamilton had either looked up the Latour Dupin family, or if he had recollected that Frenchmen came to America in other capacities than that of military allies, he would have saved himself from the complicated blunder which he made in the address of this letter.
lution, when taken, and your general plan, you will find me zealous to co-operate in giving it effect.
I would invite you to return with the more confidence from the assurance in the stability of affairs in this country, which is derived from the late happy course of the public mind. An extraordinary union among the people in the support of their own government, and in resistance to all foreign encroachments, leaves nothing to be feared for our future security and prosperity. The most reasonable ideas in every respect prevail.
Accept, whenever you shall come, under the roof of Mrs. Hamilton and myself, an asylum where you may be perfectly at home until you shall have completed your arrangements for your future establishment. She joins me in cordial remembrance to Madame de Gouvernet and yourself.
TO WILLIAM HETH
NEW YORK, Dec. 18, 1798.
DEAR SIR:
Your letter of the 30th of July was duly received. It gave me much pleasure as a proof of your friendly remembrance, and as an indication that you were not disposed to be idle in a crisis of national danger. You are indeed one of those men who cannot be permitted to be idle, and you will no doubt be called to take the field in some eligible station, if the impending storm shall not subside. You can imagine the
¹ William Heth, of Virginia, a gallant soldier of the Revolution who now came forward to again offer his services in case of war.
multiplicity and extent of my avocations, and I hope you will make a kind allowance for my silence. Attribute it to any thing but want of regard for you; on this score depend that I have no retribution to make, being very cordially and truly yours, etc.
P. S.—What do the factions in your State really aim at? *
TO HARRISON GRAY OTIS
New York, Dec. 27, 1798.
Dear Sir;
I did not receive till yesterday your letter dated 21st instant. No apology was necessary for so gratifying a mark of your good opinion, upon which I set the high value it so justly deserves.
In the enclosed extract of a letter to another of the government, you will find my ideas generally on the subject of your letter. I adopt this method of communication as equally effectual and best adapted to the multiplicity of my avocations. Some additional remarks in direct reference to your particular questions, may perhaps be requisite to fulfil your object.
Any reduction of the actual force appears to me inexpedient. It will argue to our enemy that we are either very narrow in our resources, or that our jealousy of his designs is abated. Besides, that with a
* Reprinted from Reminiscences of James A. Hamilton, p. 38.
† Harrison Gray Otis, of Boston, distinguished as a lawyer and orator, at this time member of Congress and one of the younger Federalist leaders. He was afterwards, 1817–1822, United States Senator, and died in 1848, at the age of eighty-three.
view to the possibility of internal disorders alone, the force authorized is not too considerable. The efficacy of militia for suppressing such disorders is not too much to be relied upon. The experience of the Western expedition ought not to be [forgotten?]. That was a very uphill business. There were more than once appearances to excite alarm as to the perseverance of the troops, and it is not easy to foresee what might have been the result had there been serious resistance. The repetition of similar exertions may be found very difficult, insomuch as to render it extremely [needful?], in these precarious times, to have the government armed with the whole of the force which has been voted.
There are several defects in the military establishment which demand reform as well for economy as efficiency. On these there has been an ample communication from the Commander-in-Chief to the Department of War. I cannot conceive why nothing has yet gone to Congress. Certainly this cannot be much longer delayed. Will it be amiss informally to interrogate the Minister? If the silence is persisted in, you shall know from me the objects.
The extract answers your questions as to the provisional army. I think the act respecting the eighty thousand militia ought likewise to be revived. The effect abroad will be good, and it will likewise be so at home, as the evidence of a reliance of the government on the militia.
Good policy does not appear to me to require extensive appropriations for fortifications at the present juncture. Money can be more usefully employed in
other ways. A good deal of previous examination ought to lead to a plan for fortifying three or four cardinal points. More than this will be a misapplication of money. Secure positions for arsenals and dock-yards are in this view a primary object.
Your last question respecting the West India Islands I shall reserve for a future communication.
TO THEODORE SEDGWICK
1798.*
Dear Sir:
I have been reading the report of the Secretary of the Treasury on the subject of direct taxes. I think it does him credit. The general principles and objects are certainly good, nor am I sure that anything better can be done.
I remember, however, that I once promised you to put in writing my ideas on the subject. I intended to have done it and communicated them to the Secretary. My hurry and press of business prevented me; but I concluded lately to devote an evening to a rude sketch, and to send it to you. You may show it to the Secretary and confer. If, in the course of the thing, it can be useful to the general end we all have in view, it will give me pleasure; if not, there will have been but little time misspent. Of course, no use will be made of it in contradiction to the views of the Treasury Department.
As to the part which relates to land, I do not feel
* This is the date and place given this letter in the edition of 1850. The original is undated.
any strong preference of my plan to that in the report; for this, in my opinion, ought to be considered only as an auxiliary, and not as the *pith* of the tax. But I own I have a strong preference of my plan of a house-tax to that in the report. These are my reasons:
It is more comprehensive, embracing all houses, and will be proportionately more productive. It is more certain, avoiding the evasions and partialities to which valuations will be forever liable, and I think it for that reason likely to be at least as equal. I entertain no doubt that the rule of rates, adapted as they are to characteristic circumstances, will in fact be more favorable to equality than appraisements. I think the idea of taxing only houses of above a certain annual value will be dissatisfactory. The comparison of the proprietors of houses immediately above with those immediately below the line will beget discontent, and the errors of valuations will increase it.
I think there will be a great advantage in throwing the weight of the tax *on houses*, as well because lands are more difficult to manage as because it will fall in a manner less dissatisfactory.
My plan as to houses can be easily combined with that in the report as to land.
Some years ago I proposed a similar plan in the Legislature of this State. It went through three readings and had a great majority in its favor, but as it was essentially different from what had always before obtained in the State it was thought best to postpone, to feel the sense of constituents. I left
the Legislature—changes in our political situation rendered the plan of State taxation less important, and the business shrunk out of sight. But there was every appearance that the plan would have been popular in this State.
You observe I confine myself to a million. It would not bear hard in this way. I would add, as aid, the taxes contemplated last session—on stamps, collateral successions, new modifications of some articles of imports, and, let me add, saddle-horses. The idea of taxing slaves generally will not work well. If confined to all menial servants for luxury, as coachmen, footmen, cooks, etc., it would be eligible.
TO JONATHAN DAYTON
1799.
An accurate view of the internal situation of the United States presents many discouraging reflections to the enlightened friends of our government and country. Notwithstanding the unexampled success of our public measures at home and abroad—notwithstanding the instructive comments afforded by the disastrous and disgusting scenes of the French Revolution—public opinion has not been ameliorated; sentiments dangerous to social happiness have not been diminished; on the contrary, there are symptoms which warrant the apprehension that among the most numerous class of citizens, errors of
* Of New Jersey, at this time Speaker of the national House. This letter, like the preceding, has no date in the original, and is placed and dated according to the edition of 1850.
a very pernicious tendency have not only preserved but have extended their empire. Though some thing may have been gained on the side of men of information and property, more has probably been lost on that of persons of a different description. An extraordinary exertion of the friends of government, aided by circumstances of momentary impression, gave, in the last election for members of Congress, a more favorable countenance to some States than they had before worn; yet it is the belief of well-informed men that no real or desirable change has been wrought in those States. On the other hand, it is admitted by close observers that some of the parts of the Union which, in times past, have been the soundest, have of late exhibited signs of a gangrene begun and progressive.
It is likewise apparent that opposition to the government has acquired more system than formerly, is bolder in the avowal of its designs, less solicitous than it was to discriminate between the Constitution and the administration, and more open and more enterprising in its projects. The late attempt of Virginia and Kentucky to unite the State Legislatures in a direct resistance to certain laws of the Union can be considered in no other light than as an attempt to change the government.
It is stated in addition that the opposition party in Virginia, the headquarters of the faction, have followed up the hostile declarations which are to be found in the resolutions of their General Assembly by an actual preparation of the means of supporting them by force, that they have taken measures to put
their militia on a more efficient footing—are preparing considerable arsenals and magazines, and (which is an unequivocal proof how much they are in earnest) have gone so far as to lay new taxes on their citizens. Amidst such serious indications of hostility, the safety and the duty of the supporters of the government call upon them to adopt vigorous measures of counteraction. It will be wise in them to act upon the hypothesis that the opposers of the government are resolved, if it shall be practicable, to make its existence a question of force. Possessing, as they now do, all the constitutional powers, it will be an unpardonable mistake on their part if they do not exert them to surround the Constitution with more ramparts and to disconcert the schemes of its enemies.
The measures proper to be adopted may be classed under heads.
First.—Establishments which will extend the influence and promote the popularity of the government. Under this head three important expedients occur. First. The extension of the judiciary system. Second. The improvement of the great communications, as well interiorly as coastwise, by turnpike roads. Third. The institution of a society with funds to be employed in premiums for new inventions, discoveries, and improvements in agriculture and in the arts.
The extension of the judiciary system ought to embrace two objects: one, the subdivision of each State into small districts (suppose Connecticut into four, and so on in proportion), assigning to each a
judge with a moderate salary; the other, the appointment in each county of conservators or justices of the peace, with only ministerial functions, and with no other compensation than fees for the services they shall perform. This measure is necessary to give efficacy to the laws, the execution of which is obstructed by the want of similar organs and by the indisposition of the local magistrates in some States. The Constitution requires that judges shall have fixed salaries; but this does not apply to mere justices of the peace without judicial powers. Both those descriptions of persons are essential, as well to the energetic execution of the laws as to the purposes of salutary patronage.
The thing, no doubt, would be a subject of clamor, but it would carry with it its own antidote, and when once established, would bring a very powerful support to the government.
The improvement of the roads would be a measure universally popular. None can be more so. For this purpose a regular plan should be adopted, co-extensive with the Union, to be successively executed; and a fund should be appropriated sufficient for the basis of a loan of a million of dollars. The revenue of the post-office naturally offers itself. The future revenue from tolls would more than reimburse the expense, and public utility would be promoted in every direction. The institution of a society, with the aid of proper funds, to encourage agriculture and the arts, besides being productive of general advantage, will speak powerfully to the feelings and interests of those classes of men to whom the benefits
derived from the government have been heretofore the least manifest.
SECOND.—Provision for augmenting the means and consolidating the strength of the government. A million of dollars may without difficulty be added to the revenue, by increasing the rates of some existing indirect taxes, and by the addition of some new items of a similar character.
The direct taxes ought neither to be increased nor diminished. Our naval force ought to be completed to six ships of the line, twelve frigates, and twenty-four sloops of war. More at this juncture would be disproportionate to our resources, less would be inadequate to the ends to be accomplished. Our military force should, for the present, be kept upon its actual footing; making provision for a re-enlistment of the men for five years in the event of a settlement of differences with France,—with this condition, that in case of peace between Great Britain, France, and Spain, the United States being then also at peace, all the privates of the twelve additional regiments of infantry, and of the regiment of dragoons, not exceeding twenty to a company, shall be disbanded. The corps of artillerists may be left to retain the numbers which it shall happen to have, but without being recruited until the number of officers and privates shall fall below the standard of the infantry and dragoons. A power ought to be given to the President to augment the four old regiments to their war establishment.
The laws respecting volunteer companies, and the eventual army, should be rendered permanent, and
the Executive should proceed without delay to organize the latter. Some modifications of the discretion of the President will, however, be proper in a permanent law. And it will be a great improvement of the plan, if it shall be thought expedient to allow the enlistment, for the purpose of instruction, of a corps of sergeants equal to the number requisite for the eventual army. The institution of a military academy will be an auxiliary of great importance. Manufactories of every article, the woollen parts of clothing included, which are essential to the supply of the army, ought to be established.
Third.—Arrangements for confirming and enlarging the legal powers of the government. There are several temporary laws which, in this view, ought to be rendered permanent, particularly that which authorizes the calling out of the militia to suppress unlawful combinations and insurrections.
An article ought to be proposed, to be added to the Constitution, for empowering Congress to open canals in all cases in which it may be necessary to conduct them through the territory of two or more States, or through the territory of a State and that of the United States. The power is very desirable for the purpose of improving the prodigious facilities for inland navigation with which nature has favored this country. It will also assist commerce and agriculture, by rendering the transportation of commodities more cheap and expeditious. It will tend to secure the connection, by facilitating the communication between distant portions of the Union, and it will be a useful source of influence to the government. Happy would it be if a clause could be added to the Constitution, enabling Congress, on the application of any considerable portion of a State, containing not less than a hundred thousand persons, to erect it into a separate State, on the condition of fixing the quota of contributions which it shall make toward antecedent debts, if any there shall be, reserving to Congress the authority to levy within such State the taxes necessary to the payment of such quota, in case of neglect on the part of the State. The subdivision of the great States is indispensable to the security of the general government, and with it of the Union.
Great States will always feel a rivalship with the common head; will often be supposed to machinate against it, and in certain situations will be able to do it with decisive effect. The subdivision of such States ought to be a cardinal point in the federal policy, and small States are doubtless best adapted to the purposes of local regulation and to the preservation of the republican spirit. This suggestion, however, is merely thrown out for consideration. It is feared that it would be inexpedient and even dangerous to propose, at this time, an amendment of the kind.
Fourth.—Laws for restraining and punishing incendiary and seditious practices. It will be useful to declare that all such writings, etc., which at common law are libels, if levelled against any officer whatsoever of the United States, shall be cognizable in the courts of the United States. To preserve confidence in the officers of the general government, by preserving their reputations from malicious and unfounded
slanders, is essential to enable them to fulfil the ends of their appointment. It is, therefore, both constitutional and politic to place their reputations under the guardianship of the courts of the United States. They ought not to be left to the cold and reluctant protection of State courts, always temporizing, and sometimes disaffected. But what avail laws which are not executed? Renegade aliens conduct more than one of the most incendiary presses in the United States—and yet, in open contempt and defiance of the laws, they are permitted to continue their destructive labors. Why are they not sent away? Are laws of this kind passed merely to excite odium and remain a dead letter? Vigor in the executive is at least as necessary as in the legislative branch. If the President requires to be stimulated, those who can approach him ought to do it.
TO LAFAYETTE
New York, Jan. 6, 1799.
Dear Sir:
I have been made happy, my dear friend, by the receipt of your letter of the 12th of August last. No explanation of your political principles was necessary to satisfy me of the perfect consistency and purity of your conduct. The interpretation may always be left to my attachment for you. Whatever difference of opinion may on any occasion exist between us, it can never lessen my conviction of the goodness both of your head and heart. I expect
from you a return of this sentiment so far as concerns the heart. 'T is needless to detail to you my political tenets. I shall only say that I hold with Montesquieu, that a government must be fitted to a nation, as much as a coat to the individual; and, consequently, that what may be good at Philadelphia may be bad at Paris, and ridiculous at Petersburgh.
I join with you in regretting the misunderstanding between our two countries. You will have seen by the President's speech that a door is again opened for terminating them amicably. And you may be assured that we are sincere, and that it is in the power of France, by reparation to our merchants for past injury, and the stipulation of justice in future, to put an end to the controversy.
But I do not much like the idea of your being any way implicated in the affair, lest you should be committed in the opinion of one or the other of the parties. It is my opinion that it is best for you to stand aloof. Neither have I abandoned the idea that it is most advisable for you to remain in Europe till the difference is adjusted. It would be very difficult for you here to steer a course which would not place you in a party, and not remove you from the broad ground which you now occupy in the hearts of all. It is a favorite point with me that you shall find in the universal regard of this country all the consolations which the loss of your own (for so I consider it) may render requisite.
Mrs. Church and Mrs. Hamilton unite in assurance of their affectionate remembrance.
Vol. x.—22.
TO HARRISON GRAY OTIS
NEW YORK, Jan. 26, 1799.
DEAR SIR:
You will recollect that I reserved for a future answer part of a letter which I had the pleasure of receiving from you some time since. These are my ideas on that subject.
I should be glad to see, before the close of the session, a law empowering the President, at his discretion, in case a negotiation between the United States and France should not be on foot by the first of August next, or being on foot should terminate without an adjustment of differences, to declare that a state of war exists between the two countries, and thereupon to employ the land and naval forces of the United States in such manner as shall appear to him most effectual for annoying the enemy, and for preventing and frustrating hostile designs of France, either directly or indirectly through any of her allies.
This course of proceeding, by postponing the event, and giving time for the intervention of negotiation, would be a further proof of moderation in the government, and would tend to reconcile our citizens to the last extremity, if it shall ensue, gradually accustoming their minds to look forward to it.
If France be really desirous of accommodation, this plan will accelerate her measures to bring it about. If she have not that desire, it is best to anticipate her final vengeance, and to throw whatever weight we have into the scale opposed to her. This conduct may contribute to disable her to do the mischief which she may meditate.
As it is every moment possible that the project of taking possession of the Floridas and Louisiana, long since attributed to France, may be attempted to be put in execution, it is very important that the Executive should be clothed with power to meet and defeat so dangerous an enterprise. Indeed, if it is the policy of France to leave us in a state of semi-hostility, 't is preferable to terminate it, and by taking possession of those countries for ourselves, to obviate the mischief of their falling into the hands of an active foreign power, and at the same time to secure to the United States the advantage of keeping the key to the Western country. I have been long in the habit of considering the acquisition of those countries as essential to the permanency of the Union which I consider as very important to the welfare of the whole.
If universal empire is still to be the pursuit of France, what can tend to defeat the purpose better than to detach South America from Spain, which is only the channel through which the riches of Mexico and Peru are conveyed to France? The Executive ought to be put in a situation to embrace favorable conjunctures for effecting that separation. 'T is to be regretted that the preparation of an adequate military force does not advance more rapidly. There is some sad nonsense on this subject in some good heads. The reveries of some of the friends of the government are more injurious to it than the attacks of its declared enemies.
When will men learn to profit by experience?
TO THEODORE SEDGWICK
February 2, 1799.
What, my dear sir, are you going to do in Virginia? This is a very serious business, which will call for all the wisdom and firmness of the government. The following are the ideas which occur to me on the occasion. The first thing in all great operations of such a government as ours is to secure the opinion of the people. To this end the proceedings of Virginia and Kentucky, with the two laws complained of,¹ should be referred to a special committee. That committee should make a report, exhibiting with great luminousness and particularity the reasons which support the constitutionality and expediency of those laws, the tendency of the doctrines advanced by Virginia and Kentucky to destroy the Constitution of the United States, and with calm dignity united with pathos the full evidence which they afford of a regular conspiracy to overturn the government. And the report should likewise dwell upon the inevitable effect, and probably the intention, of the proceedings to encourage hostile foreign powers to decline accommodation and proceed in hostility.
The government must not merely defend itself, it must attack and arraign its enemies. But in all this there should be great care to distinguish the people of Virginia from their Legislature, and even the greater part of those who may have concurred in the Legislature from their chiefs, manifesting, indeed, a strong confidence in the good sense and
¹ The Alien and Sedition laws.
patriotism of the people that they will not be the dupes of an insidious plan to disunite the people of America, to break down their Constitution, and expose them to the enterprise of a foreign power. This report should conclude with a declaration that there is no cause for a repeal of the laws. If, however, on examination, any modifications consistent with the general design of the laws, but instituting better guards, can be devised, it may be well to propose them as a bridge for those who may incline to retreat over. Concessions of this kind, adroitly made, have a good rather than a bad effect. On a recent, though hasty, revision of the Alien law, it seems to me deficient in precautions against abuse and for the security of citizens. This should not be. No pains or expense should be spared to disseminate this report. A little pamphlet containing it should find its way into every house in Virginia. This should be left to work and nothing to court a shock should be adopted. In the meantime the measures for raising the military force should proceed with activity. 'T is much to be lamented that so much delay has attended the execution of this measure. In times like the present, not a moment ought to have been lost to secure the government so powerful an auxiliary. Whenever the experiment shall be made to subdue a refractory and powerful State by militia, the event will shame the advocates of their sufficiency. In the expedition against the Western insurgents, I trembled every moment lest a great part of the militia should take it into their heads to return home rather than to go forward. When a
clever force has been collected, let them be drawn toward Virginia, for which there is an obvious pretext, then let measures be taken to act upon the laws and put Virginia to the test of resistance. This plan will give time for the fervor of the moment to subside, for reason to resume the reins, and, by dividing its enemies, will enable the government to triumph with ease.
TO TIMOTHY PICKERING
NEW YORK, Feb. 9, 1799.
DEAR SIR:
I am this moment favored with your letter of the 9th instant. I shall immediately reflect on the most important point, and to-morrow give you the result.
The provision in the law is ample. But in this, my dear sir, as in every thing else, we must unite caution with decision. The United States must not be committed on the independence of St. Domingo. No guaranty—no formal treaty—nothing that can rise up in judgment. It will be enough to let Toussaint be assured verbally, but explicitly, that upon his declaration of independence a commercial intercourse will be opened, and continue while he maintains it, and gives due protection to our vessels and property. I incline to think the declaration of independence ought to precede.
* Reprinted from the History of the Republic, vii., 277.
TO WASHINGTON
(Private.)
NEW YORK, Feb. 16, 1799.
DEAR SIR:
Different reasons have conspired to prevent my writing to you since my return to New York—the multiplicity of my avocations, an imperfect state of health, and the want of some thing material to communicate.
The official letter herewith transmitted, will inform you of the disposition of our military affairs which has been recently adopted by the department of war. There shall be no want of exertion on my part to promote the branches of the service confided to my care.
But I more and more discover cause to apprehend that obstacles of a very peculiar kind stand in the way of an efficient and successful management of our military concerns. These it would be unsafe at present to explain.
It may be useful that I should be able to write to you hereafter some confidential matters relating to our administration without the mention of names. When this happens, I shall designate the President by X, the Secretary of State by V, of the Treasury by I, and of the Department of War by C.
Every thing in the northern quarter, as far as I can learn, continues favorable to the government.
TO TIMOTHY PICKERING
NEW YORK, Feb. 21, 1799.
MY DEAR SIR:
The multiplicity of my avocations joined to imperfect health has delayed the communication you
desired respecting St. Domingo. And what is worse, it has prevented my bestowing sufficient thought to offer at present any thing worth having.
No regular system of liberty will at present suit St. Domingo. The government, if independent, must be military—partaking of the feudal system.
A hereditary chief would be best, but this I fear is impracticable.
Let there be then, a single Executive, to hold his place for life.
The person to succeed on a vacancy to be either the officer next in command in the island at the time of the death of the predecessor, or the person who by plurality of voices of the commandants of regiments shall be designated within a certain time. In the meantime the principal military officers to administer.
All the males within certain ages to be arranged in military corps, and to be compellable to military service. This may be connected with the tenure of lands.
Let the supreme judiciary authority be vested in twelve judges to be chosen for life by the generals or chief military officers.
Trial by jury in all criminal causes not military to be established. The mode of appointing them must be regulated with reference to the general spirit of the establishment.
Every law inflicting capital or other corporal punishment, or levying a tax or contribution in any shape, to be proposed by the Executive to an assembly composed of the generals and commandants of regiments for their sanction or rejection.
All other laws to be enacted by the sole authority of the Executive.
The powers of war and treaty to be in the Executive.
The Executive to be obliged to have three ministers—of finance, war, and foreign affairs—whom he shall nominate to the generals for their approbation or rejection.
The colonels and generals, when once appointed, to hold their offices during good behavior, removed only by conviction of an infamous crime in due course of law or the sentence of a court-martial cashiering them.
Court-martials for trial of officers and capital offences to be not less than twelve, and well guarded as to mode of appointment.
Duties of import and export, taxes on lands and buildings to constitute the chief branches of revenue.
These thoughts are very crude, but perhaps they may afford some hints.
How is the sending an agent to Toussaint to encourage the independency of St. Domingo, and a minister to France to negotiate an accommodation reconcilable to consistency or good faith?¹
TO THEODORE SEDGWICK
New York, Feb. 21, 1799.
The step announced in your letter just received, in all its circumstances, would astonish, if any thing from that quarter could astonish.
¹ Now first printed from the Pickering papers in the possession of the Massachusetts Historical Society.
But as it has happened, my present impression is that the measure must go into effect with the additional idea of a commission of three.
The mode must be accommodated with the President. Murray is certainly not strong enough for so immensely important a mission.\(^1\)
I will write to-morrow if my impression varies.
TO OLIVER WOLCOTT
NEW YORK, March 13, 1799.
DEAD SIR:
It is natural for people, where their interest is concerned, to die hard. Mr. Juhel, the bearer of this, goes to Philadelphia to lay before you some supplementary evidence with regard to the ship Germania, which he hopes may vary your determination. At his request I give him this line to you, merely to say that he is a merchant of this city, of reputation, and, so far as his conduct has fallen under my observation, of candor and probity. I wish him success as far as personal considerations alone are concerned and no general rule of policy is contravened.
But having occasion to write you on a subject connected with the law prohibiting intercourse with the French territories, I ought not to withhold from you an opinion which I deliberately entertain. It is that whatever may have been the intention of the Legis-
\(^1\) This letter refers to the message of John Adams of February 18, 1799, announcing his intention of reopening negotiations with France and nominating William Vans Murray as Minister to the French Republic. This action on the part of the President, taken without consulting even his Cabinet, astonished the country and fell like a thunderbolt upon the Federalists.
lature in framing this law, it is in fact so worded that it will be a very violent thing in a court of justice to pronounce that the prohibition of the third section extends to any but a French bottom.
The leading and prominent feature of the prohibition, as to the subject, is a "French ship or vessel." There are subsequent words which, by implication, look to vessels of other descriptions, but they may be understood consistently with the main and preliminary feature.
Thus the proviso excepts ships or vessels "bona fide the property of, or hired or employed by, the citizens of the United States." A French bottom, by her build and registry, may be the property of citizens of the United States. Again, these words will be satisfied by supposing that they intend ships and vessels which were French immediately before the voyage in question, but were purchased for the voyage by citizens of the United States.
And this construction will better consist with the principles which govern the interpretation of penal laws, than to extend the prohibition which is to constitute the penalty beyond the letter by implication and force of proviso which is introduced to make an exception to the general terms.
I am well aware of the course which in such a case policy will dictate to the Executive, but if this view of the law be correct, it may afford an argument for a mitigated course where no actual intention to evade appears.
¹ Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
TO GENERAL KNOX
MY DEAR SIR: NEW YORK, March 14, 1799.
The enclosed letters, as I concluded from others which accompany them, have been a long time getting to hand. There was a moment when their object seemed to present itself as one not entirely chimerical, but the probability has diminished. 'Tis, however, a thing on which the mind may still speculate as in the chapter of extraordinary events which characterize the present wonderful epoch.
My judgment tells me I ought to be silent on a certain subject; but my heart advises otherwise, and my heart has always been the master of my judgment. Believe me I have felt much pain at the idea, that any circumstance personal to me should have deprived the public of your services or occasioned to you the smallest dissatisfaction. Be persuaded, also, that the views of others, not my own, have given shape to what has taken place—and that there has been a serious struggle between my respect and attachment for you and the impression of duty. This sounds, I know, like affectation, but it is nevertheless the truth. In a case in which such great public interests were concerned, it seemed to me the dictate of reason and propriety, not to exercise an opinion of my own, but to leave that of others, who could influence the issue, to take a free course. In saying this much, my only motive is to preserve, if I may, a claim on your friendly disposition towards me, and to give you some evidence that my regard for you is unabated.*
*This last paragraph refers to Hamilton's having been placed at the head of the provisional army, which had so much chagrined Knox that he had resigned his commission.
TO JAMES McHENRY
(Private.)
NEW YORK, March 18, 1799.
Beware, my dear sir, of magnifying a riot into an insurrection, by employing, in the first instance, an inadequate force. 'T is better far to err on the other side.
Whenever the government appears in arms, it ought to appear like a Hercules, and inspire respect by the display of strength. The consideration of expense is of no moment compared with the advantages of energy. 'T is true this is always a relative question, but 't is always important to make no mistake. I only offer a principle and a caution.
A large corps of auxiliary cavalry may be had in Jersey, New York, Delaware, Maryland, without interfering with farming pursuits.
Will it be inexpedient to put under marching orders a large force provisionally, as an eventual support of the corps to be employed, to awe the disaffected?
Let all be well considered.¹
TO OLIVER WOLCOTT ²
NEW YORK, March 21, 1799.
DEAR SIR:
It is a good principle for the United States to employ directly its own means, only do not let this be
¹ Reprinted from the History of the Republic, vii., 313.
² This letter and the preceding refer to the troubles which became known as the Fries rebellion, and which grew out of the resistance in Pennsylvania to the direct taxes. The disturbances were violent and riotous, and at last the President issued a proclamation and ordered out some troops, and the whole affair ended. Fries was arrested, tried, convicted of treason, sentenced to death, and pardoned by President Adams.
carried so far as to confine it to the use of inadequate means, or to embarrass the auxiliary means which circumstances may require.
The idea of the late President's administration of considering the governor of each State as the first general of the militia, and its immediate organ in acting upon the militia, was wisely considered, and, in my opinion, wisely adopted, and well to be adhered to. In its final operation, it will obviate many difficulties and collisions, and by enhancing their importance, tend to draw the State Executives to the general government. Take good care that in the present instance the force be not inadequate.
TO TIMOTHY PICKERING
New York, April 4, 1799.
Sir:
I observe, by the Boston papers, that some dispatches have been lately found on board a vessel from this port which was carried into Gibraltar. The late consul here, Mr. Rosier, has just been with me, and suggested that the dispatches are probably from him, and allude (but without naming me) to some conversations with me relating to his being received as consul-general some time last winter. Being so much engaged as not to have been able conveniently to call upon you, I mentioned the subject while in Philadelphia to Mr. Wolcott, and was informed by him that Mr. Rosier could not then be received. In the interviews respecting this object,
some general conversation took place about the state of things between the two countries. Mr. Rosier will write to you offering the means of deciphering his dispatches, which he assures me, with every appearance of candor, will be found to contain nothing unfriendly to this country. It is his wish, in the meantime, that no idea may circulate of his being a conspirator.
TO OLIVER WOLCOTT
NEW YORK, April 8, 1799.
DEAR SIR:
I send you in confidence the copy of a letter of this date to the Secretary of War and of the plan to which it refers. Consider it well. Make the Secretary of War talk to you about it, without letting him know that I have sent it to you. And urge the establishment of some plan which will effectually organize this important branch of our military service. The proper course in the interest of the army is indicated by the plan I present. The connections between the agents with the army and the principal officers at the seat of the government admit of such modifications as may be deemed best. I think it desirable to separate the quartermaster-general from the business of procuring supplies, and make him and his deputies, in this respect, checks. In addition to this duty he will have numerous military functions of great importance which will give him abundant employment.\(^1\)
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society.
TO WASHINGTON
(Private.)
NEW YORK, June 15, 1799.
DEAR SIR:
I wrote to you a few days since, chiefly to inform you of the progress of the measures respecting the recruiting service, and that the symptoms with regard to it were sufficiently promising. The accounts continue favorable.
I have just received a letter from General Wilkinson,¹ dated the 13th April, in which he assures me he will set out in the ensuing month for the seat of government. The interview with him will be useful.
It strikes me forcibly that it will be both right and expedient to advance this gentleman to the grade of major-general. He has been long steadily in service and long a brigadier. This in so considerable an extension of the military establishment gives him a pretension to promotion.
I am aware that some doubts have been entertained of him, and that his character on certain sides gives room for doubts. Yet he is at present in the service, is a man of more than ordinary talent—of courage and enterprise,—has discovered upon various occasions a good zeal, has embraced military
¹ James Wilkinson, a soldier of the Revolution, and conspicuous at the time of Burr's conspiracy and in the War of 1812. He was a born intriguer. During the Revolutionary War he was mixed up in the Conway cabal. He was involved with Burr, whom he finally decided to give up, at the time of the latter's conspiracy, and in the War of 1812 he was singularly unsuccessful and contentious. Hamilton's apparently favorable opinion is rather curious, although it is obvious that he recommends Wilkinson's promotion with many doubts.
pursuits as a profession, and will naturally find his interest, as an ambitious man, in deserving the favor of the government. While he will be apt to become disgusted if neglected, and through disgust may be rendered really what he is now only suspected to be. Under such circumstances it seems to me good policy to avoid all just grounds of discontent and to make it the interest of the individual to pursue his duty.
If you should be also of this opinion, I submit to your consideration whether it would not be advisable for you to express it in a private letter to the Secretary of War.\(^1\)
---
TO COLONEL TAYLOR \(^2\)
New York, July 3, 1799.
Sir:
I have written to the Secretary of War agreeably to the suggestion of your letter of the 26th of June, respecting Abijah Fenn. It is to be lamented that the most circumspect men are apt to have too much facility about recommendations. Warned by this instance, it is hoped that you will in future not present a candidate without personal knowledge or inquiry through various channels.
\(^1\) Now first printed from the Hamilton papers in the State Department.
\(^2\) I have not been able to determine absolutely the identity of Col. Taylor, but I think it must have been Robert Barnard Taylor, of Virginia, afterwards Brigadier-General of Virginia militia and finally General in the regular army. This letter is now first printed from the Hamilton papers in the State Department.
TO JAMES McHENRY
(Private.)
NEW YORK, July 10, 1799.
Why, my dear friend, do you suffer the business of providing to go on as it does? Every moment proves the insufficiency of the existing plan and the necessity of auxiliaries. I have no doubt that at Baltimore, New York, Providence, and Boston additional supplies of clothing may promptly be procured and prepared by your agents, and it ought to be done, though it should enhance the expense. 'T is terrible at this juncture that there should be wants anywhere.
So of tents. Calls for them are repeated from Massachusetts, where, better and cheaper than anywhere else, they can certainly be provided.
Pray, take a resolution adequate to the emergency, and rescue the credit of your department.
TO JOSIAH O. HOFFMAN
SIR:
Greenleaf's New Daily Advertiser of this morning contains a publication entitled, "Extract of a Letter from Philadelphia, dated September 20th," which charges me with being at the "bottom of an effort recently made to suppress the Aurora" (a newspaper of that city) by pecuniary means.
1 Now first printed from the Hamilton papers in the State Department.
2 Attorney-General of New York. This letter is undated in original, and is dated and placed here according to the edition of 1850. It was probably written in September or October of this year.
It is well known that I have long been the object of the most malignant calumnies of the faction opposed to our government through the medium of the papers devoted to their views. Hitherto I have forborne to resort to the laws for the punishment of the authors or abettors, and were I to consult personal considerations alone, I should continue in this course, repaying hatred with contempt.
But public motives now compel me to a different conduct. The designs of that faction to overturn our government, and with it the great pillars of social security and happiness in this country, become every day more manifest, and have of late acquired a degree of system which renders them formidable.
One principal engine for effecting the scheme is by audacious falsehoods to destroy the confidence of the people in all those who are in any degree conspicuous among the supporters of the government—an engine which has been employed in time past with too much success, and which, unless counteracted in future, is likely to be attended with very fatal consequences.
To counteract it is therefore a duty to the community. Among the specimens of this contrivance, that which is the subject of the present letter demands peculiar attention. A bolder calumny—one more absolutely destitute of foundation—was never propagated, and its dangerous tendency needs no comment; being calculated to inspire the belief that the independence and liberty of the press are endangered by the intrigues of ambitious citizens aided by
foreign gold. In so flagrant a case the force of the laws must be tried.
I therefore request that you will take immediate measures towards the prosecution of the persons who conduct the enclosed paper.
TO WASHINGTON
NEW YORK, Oct. 21, 1799.
DEAR SIR:
On my return from Trenton the day before yesterday I found your private letter of the 13th as well as your public letter of the 15th instant.
The newspapers have probably informed you that poor Avery is dead of the yellow fever.
The President has resolved to send the commissioners to France, notwithstanding the change of affairs there. He is not understood to have consulted either of his ministers; certainly not either the Secretary of War or of Finance. All my calculations lead me to regret the measure. I hope that it may not in its consequences involve the United States in a war on the side of France with her enemies.
My trust in Providence, which has so often interposed in our favor, is my only consolation.
TO TOBIAS LEAR *
NEW YORK, Jan. 2, 1800.
DEAR SIR:
Your letter of the 15th of December last was delayed in getting to hand by the circumstance of its
* Washington's private secretary.
having gone to New York while I was at Philadelphia, and of its having arrived at Philadelphia after I had set out on my return to New York.
The very painful event which it announces had, previous to the receipt of it, filled my heart with bitterness. Perhaps no man in this community has equal cause with myself to deplore the loss. I have been much indebted to the kindness of the General, and he was an *Aegis very essential to me*. But regrets are unavailing. For great misfortunes it is the business of reason to seek consolation. The friends of General Washington have very noble ones. If virtue can secure happiness in another world, he is happy. In this the seal is now put upon his glory. It is no longer in jeopardy from the fickleness of fortune.
P. S.—In whose hands are his papers gone? Our very confidential situation will not permit this to be a point of indifference to me.
TO RUFUS KING
New York, Jan. 5, 1800.
It is indeed a long time, my dear sir, since I have written to you, and I feel my obligation to you for the continuance of your correspondence, notwithstanding my delinquency.
Had it been true that I had left every thing else to follow the drum, my delinquency would not have been so great. But our military establishment offers too little inducement, and is too precarious to
have permitted a total dereliction of professional pursuits. The double occupation occasioned by these added military duties, and the attention which circumstances call me to pay to collateral objects, engage my time more than ever, and leave me less leisure to communicate with distant friends.
If the projected cipher was established, I should now have very much to say to you. But for this the arrangement is not yet mature. Soon, however, I hope to make it so, by forwarding to you the counterpart, which is in preparation. I must, however, give you some sketch of our affairs.
At home every thing is in the main well; except as to the perverseness and capriciousness of one, and the spirit of faction of many.
Our measures from the first cause are too much the effect of momentary impulse. Vanity and jealousy exclude all counsel. Passion wrests the helm from reason.
The irreparable loss of an inestimable man removes a control which was felt, and was very salutary.
The leading friends of the government are in a sad dilemma. Shall they risk a serious schism by an attempt to change? Or shall they annihilate themselves and hazard their cause by continuing to uphold those who suspect or hate them, and who are likely to pursue a course for no better reason than because it is contrary to that which they approve?
The spirit of faction is abated nowhere. In Virginia it is more violent than ever. It seems demonstrated that the leaders there, who possess completely all the powers of the local government,
are resolved to possess those of the national, by the most dangerous combinations; and, if they cannot effect this, to resort to the employment of physical force. The want of disposition in the people to second them will be the only preventive. It is believed that it will be an effectual one.
In the two houses of Congress we have a decided majority. But the dread of unpopularity is likely to paralyze it, and to prevent the erection of additional buttresses to the Constitution, a fabric which can hardly be stationary, and which will retrograde if it cannot be made to advance.
In the mass of the people the dispositions are not bad. An attachment to the system of peace continues. No project contrary to it could easily conciliate favor. Good-will towards the government, in my opinion, predominates; though a numerous party is still actuated by an opposite sentiment, and some vague discontents have a more diffused influence. Sympathy with the French Revolution acts in a much narrower circle than formerly, but the jealousy of monarchy, which is as actual as ever, still furnishes a handle by which the factions mislead well-meaning persons.
In our councils there is no fixed plan. Some are for preserving and invigorating the navy and destroying the army. Some among the friends of government for diminishing both on pecuniary considerations.
My plan is to complete the navy to the contemplated extent: say, six ships of the line, twelve frigates, and twenty-four sloops of war; to make no
alteration for the present as to the military force; and, finally, to preserve the organs of the existing force, reducing the men to a very moderate number. For this plan there are various reasons that appear to me solid. I must doubt, however, that it will finally prevail.
The recent depredations of British cruisers, sanctioned in various instances by the courts, have rekindled in many hearts an animosity which was fast being extinguished. Such persons think they see in this circumstance a new proof that friendship towards this country on the part of Great Britain will always be measured by the scale of her success. A very perplexing conflict of sensations is the result of this impression.
I must hasten to a conclusion. It was unnecessary for me to have told you that for the loss of our illustrious friend every heart is in mourning. Adieu.
Who is to be Commander-in-Chief?
Not the next in command. The appointment will probably be deferred.
TO MRS. MARTHA WASHINGTON
New York, Jan. 12, 1800.
I did not think it proper, madam, to intrude amidst the first effusions of your grief; but I can no longer restrain my sensibility from conveying to you an imperfect expression of my affectionate sympathy in the sorrows you experience. No one better than myself knows the greatness of your loss, or how much your excellent heart is formed to feel it in all its extent. Satisfied that you cannot receive consolation, I will attempt to offer none. Resignation to the will of Heaven, which the practice of your life insures, can alone alleviate the sufferings of so heartrending an affliction.
There can be few who equally with me participate in the loss you deplore. In expressing this sentiment, I may, without impropriety, allude to the numerous and distinguished marks of confidence and friendship of which you have yourself been a witness, but I cannot say in how many ways the continuance of that confidence and friendship was necessary to me in future relations. Vain, however, are regrets. From a calamity which is common to a mourning nation, who can expect to be exempt? Perhaps it is even a privilege to have a claim to a larger portion of it than others.
I will only add, madam, that I shall esteem it a real and a great happiness if any future occurrence shall enable me to give you proof of that respectful and cordial attachment with which, etc.
TO CAPTAIN GEORGE IZARD
New York, Feb. 27, 1800.
Sir:
Your letter of the 25th instant was received yesterday. I should certainly regret any occurrence
---
1 Son of Ralph Izard, delegate and Senator from South Carolina. He was at this time Hamilton's aid, and remained in the army until 1803, when he resigned. He re-entered the army in 1812, and at the close of the war was a major-general, when he again resigned from the army, and was appointed governor of the Territory of Arkansas, a post he held until his death in 1825.
which might deprive me of your services, unless being one which was likely to redound to your own honor and advantage.
It is very certain that the military career in this country offers too few inducements, and it is equally certain that my present station in the army cannot very long continue under the plan which seems to govern. With these impressions it would consist with a candid and friendly part towards you to discourage your acceptance of the invitation you mention. You are doubtless aware of the uncertainties which rest on the diplomatic state also, and after balancing well you will make your election, perfectly assured of my cordial acquiescence in either event and of my constant wishes for your success.
Major Toussard has informed me of his progress in preparing the regulations. The necessity of your further attention to this object has ceased.\(^1\)
---
TO THEODORE SEDGWICK
NEW YORK, Feb. 27, 1800.
DEAR SIR:
When will Congress probably adjourn? Will anything be settled as to a certain election? Will my presence be requisite as to this or any other purpose, and when?
I observe more and more that by the jealousy and envy of some, the miserliness of others, and the concurring influence of all foreign powers, America, if
\(^1\) Now first printed from the Hamilton papers in the State Department.
she attains to greatness, must creep to it. Will it be so? Slow and sure is no bad maxim. Snails are a wise generation.
P. S.—Unless for indispensable reasons, I had rather not come.
TO HENRY LEE
NEW YORK, March 7, 1800.
My Dear Sir:
The letters to which you allude in yours of the 5th instant have never been seen by me. The truth is, that I pay very little attention to such newspaper ebullitions, unless some friend points out a particular case which may demand attention.
But be assured once for all, that it is not easy for these miscreants to impair the confidence in and friendship for you, which are long habits of my mind; so that you may join me in looking with indifference upon their malicious efforts.
You have mistaken a little an observation in my last. Believe me, that I feel no despondency of any sort. As to the country, it is too young and vigorous to be quacked out of its political health; and as to myself, I feel that I stand on ground which, sooner or later, will insure me a triumph over all my enemies.
But in the meantime I am not wholly insensible of the injustice which I from time to time experience, and of which, in my opinion, I am at this moment the victim.
Perhaps my sensibility is the effect of an exaggerated estimate of my services to the United States; but on such a subject a man will judge for himself; and if he is misled by his vanity, he must be content with the mortifications to which it exposes him. In no event, however, will any displeasure I may feel be at war with the public interest. This in my eyes is sacred. Adieu.
TO WILLIAM SMITH
NEW YORK, March 11, 1800.
DEAR SIR:
You will probably have heard, before this reaches you, that I had appointed Captain Izard one of my aids. I part with him to you with all the reluctance that a strong impression of his merit can inspire. Yet I do not resist his going, because our military prospects in general, and mine in particular, are very uncertain.
Though we have had no communication since your departure, you may be assured that I have not ceased to interest myself in your welfare. If you go to Constantinople, I wish you good luck. It is, perhaps, past the time for you to play the false Ibrahim. You see I am in a humor to laugh. What can we do better in this best of all possible worlds? Should you even be shut up in the seven towers, or get the plague, if you are a true philosopher you will consider this only a laughing matter. Adieu.
TO OLIVER WOLCOTT
NEW YORK, March 12, 1800.
SIR:
I have written to you heretofore respecting Mr. Benjamin Wells, who acted as an excise officer in the western part of Pennsylvania at the time of the disturbances there. But this gentleman has just arrived here, and requests me to mention his case again to you. I comply with his request.
It appeared from what I saw and heard at the time, that Mr. Wells distinguished himself by persevering exertion to carry the laws into effect. He was, of course, marked out as an object of vengeance. The losses which he sustained were very considerable, and proceeded from the zeal he had displayed in support of the government. To repair his losses and reward his zeal, is therefore a duty imposed on the government by the principles both of justice and policy. It is imposed by justice—for the injuries were committed by persons in disguise, or under circumstances which render it impossible to discover the offenders. It is vain, therefore, to refer Mr. Wells to the individuals by whose acts he suffered. This is to tell him that his losses will never be repaired.
Policy speaks in this case the same language with justice. Mr. Wells suffered in consequence of his efforts to support the government, and of his attention to duty. Will the government then refuse to make him compensation? To do so, will be to violate the plainest maxims of policy, as it will effectually damp the zeal of public officers in every future
case of difficulty. It is not to be expected that individuals will expose their persons to violence, and their property to destruction, in support of a government that has not generosity sufficient to reward those who suffer in its cause.
There appears to me to be no doubt of the meritorious exertions of Mr. Wells. Even if there were some doubt, yet the excellent effect which the measure is calculated to produce on public officers, will prove a full compensation for the money that may be advanced. I recollect to have mentioned to Mr. Wells, and other persons in the same capacity, that I considered the government as bound to indemnify them. So far, therefore, as my opinion could pledge the government, it was pledged. In giving this opinion I thought I was promoting the best interests of the nation, and it appears to me that the government will very widely mistake its policy in refusing to allow these men all reasonable claims.
TO TIMOTHY PICKERING
New York, March 15, 1800.
Dear Sir:
The bearer of this, Mr. DuPont, formerly consul at Charleston, is personally known to you. He comes with the rest of his family to establish themselves in the United States. They are desirous of being favorably viewed by our government, and my intervention for this purpose has been requested.
Inclosed is a letter from General Pinckney, which
speaks for itself. All that has come to my knowledge of this particular gentleman is recommendatory of him, as far as situation has permitted. I have always understood that his sentiments towards this country have been amicable, and that he has not been very deeply tinctured with the revolutionary spirit of his own, though circumstances have placed him in office under the new government. And I believe, if ever diseased, he is now perfectly cured. He is afraid that some expressions respecting the influence of the British Government in this country may have given an ill impression. He explains by saying, first, that they are qualified; second, that they were a necessary concession to the prejudices of the persons to whom his observations were addressed, calculated to procure attention to the conciliatory plan which he recommended, by screening him from the suspicion of being a corrupted partisan of this country. This solution seems to me an admissible one. In addressing enthusiasts, it is commonly requisite to adopt a little of their nonsense.
He has delivered me a paper which he sent to the Aurora to be published, but which he said was suppressed, and some thing of an insidious complexion substituted. He delivers the true communication, that it may be seen what he really did.
I am much mistaken if his father be not really a benevolent, well-disposed man. Indeed, the family generally impress us here agreeably, and we are inclined to augur well of them.*
* Now first printed from the Pickering papers in the possession of the Massachusetts Historical Society.
TO OLIVER WOLCOTT
NEW YORK, April 7, 1800.
DEAR SIR:
I thank you for the disposition shown to accommodate Mr. Robertson. When I saw him some days ago, he hoped that the matter would be placed upon the footing which was indicated.
I would readily comply with the wish of Mr. Evans, was I sure that it would not be a breach of propriety towards Mr. Madison. But if my memory does not deceive me, there was a sort of understanding between us that there should be no disclosure but by mutual consent. You will be sensible that I ought to be peculiarly circumspect with regard to this gentleman.\(^1\)
TO GENERAL CHARLES COTESWORTH PINCKNEY
(Private.)
NEW YORK, April 10, 1800.
DEAR SIR:
I am perfectly content with the delay of communication to the Rev. Mr. Hill until the effect of your experiments with the Secretary of War shall be known.
I have heard nothing as to the impression made by our mission to France upon the combined powers,
\(^1\) Now first printed from the Wolcott papers in the possession of the Connecticut Historical Society. Mr. Evans's question must have referred, I think, to the authorship of the *Federalist*, and one cannot help contrasting Hamilton's nice sense of honor, as shown here, with the course of Monroe in the Reynolds case. With Hamilton his differences with Madison only served to make him more circumspect.
but I cannot doubt that it is a disagreeable one, and certainly the course of events lately has not said much for the good policy of the measure. This calculation of the President on a general peace as the main argument for what was done, proves at least to be as fallacious as I ventured to predict to him just after he had resolved to consummate the error. Captain Izard has accepted his appointment under Mr. Smith, and has sailed for Europe.
Mrs. H. and myself have learned with great pleasure the amendment of Mrs. P.'s health. Offer her and accept yourself our felicitations and best wishes.
TO TIMOTHY PICKERING
April 25, 1800.
Dear Sir:
I send you the paragraph of a newspaper just published. I hope it is an electioneering lie; but as it is likely to do mischief, I will thank you, by return of post, to inform me whether you have any thing to confirm or refute, and particularly whether you have heard of the list with which Commodore Truxtun's name is connected.
¹ Thomas Truxtun, the first of our naval officers to win distinction. He had been Captain of the Constellation, and in that frigate captured the French frigate L'Insurgente, Feb. 9, 1799. A year later he overcame another—La Vengeance, but she escaped by an accident to one of the masts of Truxtun's ship. In 1802, he was given the command of the Tripoli expedition, but refusing to go because the department would not allow him a captain as usual for his flag-ship, Jefferson dismissed him from the service. It is needless to add that he had always been a strong Federalist.
Captain James Stewart, of Chatham, in the brig *Sally*, arrived at New London on the 4th instant, from Jamaica, brings the most unpleasant accounts from that quarter. He states that the British capture all American vessels that afford the slightest pretext for condemnation, and impress all their seamen without discrimination. Captain Stewart was taken by his majesty's ship *Acasto*, of forty-four guns, the commander of which, Edward Fellows, came on board the *Sally* himself, ordered Captain Stewart's chest open, and, with his own hands, took out $4250$ dollars, besides plundering the captain of other articles.
On the arrival of the brig at Kingston, every man on board except the captain and boy, all natives of Connecticut, were impressed, and are left there. Captain Nathan Allyn, of Groton, had all his people impressed, with their protections in their hands. Captain Waterman, of New York, was treated in the same manner, with many others. And Mr. Savage, the American agent in Kingston, informed Captain Stewart that he had forwarded to the Secretary of State, by Commodore Truxtun, an attested list of the names of one thousand and one *bona fide* American seamen who have lately been impressed by the British in that single port. American vessels and cargoes were constantly condemned in that place, a full account of which must soon be made public. Several masters and supercargoes of condemned vessels came home with Captain Stewart, who, besides the general usage, was himself treated with personal incivilities and contempt.
TO THEODORE SEDGWICK
May 4, 1800.
Dear Sir:
You have heard of the loss of our election in the city of New York. This renders it too probable that the electors of President for this State will be anti-federal. If so, the policy which I was desirous of pursuing at the last election is now recommended by motives of additional cogency.
To support Adams and Pinckney equally is the only thing that can possibly save us from the fangs of Jefferson.
It is, therefore, essential that the Federalists should not separate without coming to a distinct and solemn concert to pursue this course bona fide.
Pray attend to this, and let me speedily hear from you that it is done.
TO JOHN JAY
New York, May 7, 1800.
Dear Sir:
You have been informed of the loss of our election in this city. It is also known that we have been unfortunate throughout Long Island and in Westchester. According to the returns hitherto, it is too probable that we lose our senators for this district.
The moral certainty therefore is, that there will be an anti-federal majority in the ensuing Legislature; and the very high probability is that this will bring Jefferson into the chief magistracy, unless it be
prevented by the measure which I shall now submit to your consideration, namely, the immediate calling together of the existing Legislature.
I am aware that there are weighty objections to the measure, but the reasons for it appear to me to outweigh the objections; and in times like these in which we live, it will not do to be over-scrupulous. It is easy to sacrifice the substantial interests of society by a strict adherence to ordinary rules.
In observing this, I shall not be supposed to mean that any thing ought to be done which integrity will forbid, but merely that the scruples of delicacy and propriety, as relative to a common course of things, ought to yield to the extraordinary nature of the crisis. They ought not to hinder the taking of a legal and constitutional step to prevent an atheist in religion, and a fanatic in politics, from getting possession of the helm of state.
You, sir, know in a great degree the anti-federal party; but I fear you do not know them as well as I do. It is a composition, indeed, of very incongruous materials; but all tending to mischief—some of them, to the overthrow of the Government, by stripping it of its due energies; others of them, to a Revolution, after the manner of Bonaparte. I speak from indubitable facts, not from conjectures and inferences. In proportion as the true character of the party is understood, is the force of the considerations which urge to every effort to disappoint it; and it seems to me, that there is a very solemn obligation to employ the means in our power.
The calling of the Legislature will have for its object the choosing of electors by the people in districts; this (as Pennsylvania will do nothing) will insure a majority of votes in the United States for a federal candidate. The measure will not fail to be approved by all the federal party; while it will, no doubt, be condemned by the opposite. As to its intrinsic nature, it is justified by unequivocal reasons of Public Safety.
The reasonable part of the world will, I believe, approve it. They will see it as a proceeding out of the common course, but warranted by the particular nature of the crisis and the great cause of social order.
If done, the motive ought to be frankly avowed. In your communication to the Legislature they ought to be told that temporary circumstances had rendered it probable that, without their interposition, the executive authority of the general government would be transferred to hands hostile to the system heretofore pursued with so much success, and dangerous to the peace, happiness, and order of the country; that under this impression, from facts convincing to your own mind, you had thought it your duty to give the existing Legislature an opportunity for deliberating whether it would not be proper to interpose, and endeavor to prevent so great an evil by referring the choice of electors to the people distributed into districts.
In weighing this suggestion you will doubtless bear in mind that popular governments must certainly be overturned, and, while they endure, prove engines of mischief, if one party will call to its aid all the
resources which vice can give, and if the other (however pressing the emergency) confines itself within all the ordinary forms of delicacy and decorum.
The Legislature can be brought together in three weeks, so that there will be full time for the object; but none ought to be lost.
Think well, my dear sir, of this proposition—appreciate the extreme danger of the crisis; and I am unusually mistaken in my view of the matter, if you do not see it right and expedient to adopt the measure.\(^1\)
TO THEODORE SEDGWICK
New York, May 8, 1800.
I thank you, my dear sir, for your letter of the 5th instant, which was received yesterday. The measure you mention has been attempted, but without much hope of success.
Yet our friends are to-day in good spirits. The accounts from the northward, apparently authentic, give us the strong hope of still having a majority in our Legislature. But, be this as it may, our welfare depends absolutely on a faithful adherence to the plan which has been adopted. New York, if federal, will not go for Mr. Adams unless there shall be as firm a pledge as the nature of the thing will admit, that Mr. Pinckney will be equally supported in the Northern States.
\(^1\) The proposition in this letter was one entirely unworthy of Hamilton. It was due to his anger and disgust at the result of the election in New York. Jay endorsed the letter "Proposing a measure for party purposes which it would not become me to adopt."
TO THEODORE SEDGWICK
NEW YORK, May 10, 1800.
Dear Sir:
I am very sorry for the information contained in your letter of the 7th. But I am not intimate enough with Dexter to put myself upon paper to him.
If on his return I can catch him at New York I shall have a particular conversation with him.
He is, I am persuaded, much mistaken as to the opinion entertained of Mr. Adams by the federal party. Were I to determine from my own observation, I should say most of the most influential men of that party consider him as a very unfit and incapable character.
For my individual part my mind is made up. I will never more be responsible for him by my direct support, even though the consequence should be the election of Jefferson.
If we must have an enemy at the head of the government, let it be one whom we can oppose, and for whom we are not responsible, who will not involve our party in the disgrace of his foolish and bad measures. Under Adams, as under Jefferson, the government will sink. The party in the hands of whose chief it shall sink will sink with it, and the advantage will all be on the side of his adversaries.
'T is a notable expedient for keeping the federal party together, to have at the head of it a man who hates and is despised by those men of it who, in time past, have been its most efficient supporters. If the cause is to be sacrificed to a weak and perverse man, I withdraw from the party and act upon
my own ground—never certainly against my principles, but in pursuance of them in my own way. I am mistaken if others do not do the same.
The only way to prevent a fatal schism in the federal party is to support General Pinckney in good earnest.
If I can be perfectly satisfied that Adams and Pinckney will be upheld in the East with entire good faith, on the ground of conformity, I will, wherever my influence may extend, pursue the same plan.
If not, I will pursue Mr. Pinckney as my single object. Adieu.
TO TIMOTHY PICKERING
May 14, 1800.
My Dear Sir:
I perceive that you as well as McHenry are quitting the administration. I am not informed how all this has been, though I conjecture. Allow me to suggest that you ought to take with you copies and extracts of all such documents as will enable you to explain both Jefferson and Adams. You are aware of a very curious journal of the latter when he was in Europe—a tissue of weakness and vanity.
The time is coming when men of real integrity and energy must write against all empirics.*
* Now first printed from the Pickering papers in the possession of the Massachusetts Historical Society.
TO OLIVER WOLCOTT
NEW YORK, July 1, 1800.
Dear Sir:
I send you the enclosed; if any good use can be made of it, you will do it. I have been in Massachusetts, New Hampshire, and Rhode Island. There is little doubt of federal electors in all, but there is considerable doubt of a perfect union in favor of Pinckney.
The leaders of the first class are generally right, but those of the second class are too much disposed to be wrong. It is essential to inform the most discreet of this description of the facts which denote unfitness in Mr. Adams. I have promised confidential friends a correct statement. To be able to give it, I must derive aid from you, and any thing you may write shall, if you please, be returned to you. But you must be exact, and much in detail. The history of the mission to France, from the first steps connected with the declarations in the speech to Congress down to the last proceeding, is very important.
I have serious thoughts of writing to the President, to tell him that I have heard of his having repeatedly mentioned the existence of a British faction in this country, and alluded to me as one of that faction, requesting that he will inform me of the truth of this information, and, if true, what have been the grounds of the suggestion. His friends are industrious in propagating the idea, to defeat the efforts to unite for Pinckney. The inquiry I propose may furnish an antidote and vindicate character. What think you of this idea? For my part, I can set malice at defiance.
TO CHARLES CARROLL
NEW YORK, July 1, 1800.
DEAR SIR:
I yesterday returned from an excursion through three of the four Eastern States, and found your letter of the 18th of April. It is very necessary that the true and independent friends of the government should communicate and understand each other at the present very embarrassed and dangerous crisis of public affairs. I am glad, therefore, of the opportunity which your letter affords me of giving you some explanations which may be useful. They are given without reserve, because the times forbid temporizing, and I hold no opinions which I have any motives to dissemble. As to the situation of this State with regard to the election of President, it is perfectly ascertained that, on a joint ballot of the two houses of our Legislature, the opposers of the government will have a majority of more than twenty, a majority which can by no means be overcome. Consequently all our electors will vote for Mr. Jefferson and Mr. Burr. I think there is little cause to doubt that the electors in the four Eastern States will all be federal.
The only question seems to be as to Rhode Island, where there is some division, and a state of things rather loose. Governor Fenner, as far as he may dare, will promote the interest of Jefferson.
A considerable diversion in favor of the opposition
---
1 Charles Carroll, of Maryland, who lived to be the last survivor of the signers of the Declaration of Independence. Among the Hamilton papers in the State Department is a draft of this letter addressed to Jonathan R. Wilmer, also of Maryland.
has lately been made in New Jersey, but the best and best-informed men there entertain no doubt that all her electors will still be federal, and I believe this opinion may be relied upon.
I go no further south, as I take it for granted your means of calculation with regard to that quarter are at least equal to mine.
The result of a comprehensive view of the subject seems to me to be that the event is uncertain, but that the probability is that a universal adherence of the Federalists to Pinckney will exclude Jefferson.
On this point there is some danger, though the greatest number of strong-minded men in New England are not only satisfied of the expediency of supporting Pinckney as giving the best chance against Jefferson, but even prefer him to Adams; yet, in the body of that people there is a strong personal attachment to this gentleman, and most of the leaders of the second class are so anxious for his re-election that it will be difficult to convince them that there is as much danger of its failure as there unquestionably is, or to induce them faithfully to co-operate in Mr. Pinckney, notwithstanding their common and strong dread of Jefferson.
It may become advisable, in order to oppose their fears to their prejudices, for the middle States to declare that Mr. Adams will not be supported at all, when, seeing his success desperate, they would be driven to adhere to Pinckney. In this plan New Jersey, and even Connecticut, may be brought to concur. For both these States have generally lost confidence in Mr. Adams.
But this will be best decided by future events and elucidations. In the meantime, it is not advisable that Maryland should be too deeply pledged to the support of Mr. Adams.
That this gentleman ought not to be the object of the federal wish is, with me, reduced to demonstration. His administration has already very materially disgraced and sunk the government. There are defects in his character which must inevitably continue to do this more and more. And if he is supported by the federal party, his party must, in the issue, fall with him. Every other calculation will, in my judgment, prove illusory.
Doctor Franklin, a sagacious observer of human nature, drew this portrait of Mr. Adams: "He is always honest, sometimes great, but often mad." I subscribe to the justness of this picture, adding, as to the first trait of it, this qualification: "as far as a man excessively vain and jealous and ignobly attached to place can be."
TO SAMUEL DEXTER
New York, July 9, 1800.
SIR:
From a letter (not, however, couched in very explicit terms) which I have received from Mr. Bureaux de Pusy, I am induced to think that this
1 Samuel Dexter, the eminent lawyer of Massachusetts, at this time Secretary of War.
2 Jean Xavier Bureaux de Pusy was, as here said, a distinguished French officer and friend of Lafayette, whose imprisonment he shared at Olmutz. He came to this country in 1797, but returned after the 18th Brumaire, and filled in succession three important prefectures under Napoleon.
gentleman would be willing to accept an appointment in the service of the United States.
He was, under the royal government, an engineer of distinction in the service of France. You are, I dare say, informed of his political history. He was a member and once president of the constituent assembly. Attached warmly to Lafayette and involved in his fortunes, he withdrew with him and was his fellow prisoner with the Russians and Austrians. Tired of the tempest of Europe himself, with his father-in-law DuPont de Nemours; and the whole connection have removed to this country and made a little establishment in Bergen County, New Jersey.
His professional pretensions admit of no dispute. His private character is amiable; his intelligence and information are highly respectable.
After mature reflection I am well satisfied that it is advisable for the United States to engage him if they can. He may be one of the two engineers whom the President is empowered to employ with the grade of colonel and such emoluments as he may think proper to agree for.
As the grade is rather below the pretensions of Mr. de Pusy, he may expect an increase of emoluments, which indeed is agreeable to the spirit of the provision made for this object.
There is a little probability of finding a person
* Pierre Samuel DuPont de Nemours, an eminent French economist and statesman. He took an active part in the Revolution, sustaining the moderate party, was thrown into prison, and narrowly escaped transportation. He came to this country in 1797, returned in 1802, but declined office under Napoleon, and in 1815 came back to the United States, where he died two years later.
better qualified than in all probability is this gentleman.
The institution of a military academy being an object of primary importance, will, I doubt not, be zealously pursued. Whenever it shall take place, Mr. de Pusy will be a most desirable character to be at the head of it.\(^1\)
TO JOHN ADAMS
NEW YORK, Aug. 1, 1800.
SIR:
It has been repeatedly mentioned to me that you have on different occasions asserted the existence of a British faction in this country, embracing a number of leading or influential characters of the federal party, as usually denominated; and that you have sometimes named me, at others plainly alluded to me, as one of this description of persons. And I have likewise been assured that of late some of your warm adherents, for electioneering purposes, have employed a corresponding language. I must, sir, take it for granted that you cannot have made such assertions or insinuations without being willing to avow them, and to assign the reasons to a party who may conceive himself injured by them. I therefore trust that you will not deem it improper, that I apply directly to yourself, to ascertain from you, in reference to your own declarations, whether the information I have received is correct or not, and if correct, what are the grounds upon which you have founded the suggestion.
\(^1\) Now first printed from the Hamilton papers in the State Department.
TO OLIVER WOLCOTT
NEW YORK, Aug. 3, 1800.
DEAR SIR:
I have, two days since, written to Mr. Adams a respectful letter on the subject I heretofore mentioned to you. Occupation at court prevented its being done sooner.
But I wait with impatience for the statement of facts which you promised me. It is plain that, unless we give our reasons in some form or other, Mr. Adams' personal friends, seconded by the Jacobins, will completely run us down in the public opinion. Your name, in company with mine, that of T. Pickering etc., is in full circulation, as one of the British faction of which Mr. Adams has talked so much.
I have serious thoughts of giving to the public my opinion respecting Mr. Adams, with my reasons, in a letter to a friend, with my signature. This seems to me the most authentic way of conveying the information, and best suited to the plain dealing of my character. There are, however, reasons against it; and a very strong one is, that some of the principal causes of my disapprobation proceed from yourself, and other members of the administration, who would be understood to be the sources of my information, whatever cover I might give the thing.
What say you to this measure? I could predicate it on the fact that I am abused by the friends of Mr. Adams, who ascribe my opposition to pique and disappointment; and could give it the shape of a defence of myself.
You have doubtless seen the Aurora publication
of treasury documents, and the manner in which my name is connected with it. These publications do harm with the ignorant, who are the greatest number. I have thoughts of insinuating an action of slander, to be tried by a struck jury, against the editor. If I do it, I should claim you and the supervisors, collectors, and loan officers of all the States, from Maryland to New York, inclusively, as witnesses, to demonstrate completely the malice and falsity of the accusation. What think you of this? You see I am in a very belligerent humor.
But I remember that, at the outset, before the sums payable for interest, pensions, etc., were ascertained, I placed the money in the hands of the paying officers, upon estimate, and that, to avoid disappointment, I made the estimates large. Pray look into this, and see how far it may give any color to the calumny.
Let me hear from you soon.
TO JAMES ASHTON BAYARD
NEW YORK, Aug. 6, 1800.
DEAR SIR:
The president of Columbia College, in this city, has resigned, and we are looking out for a successor. Dr. Wharton has occurred to me as a character worthy of inquiry; and the great confidence I feel in your judgment and candor, induces me to have recourse to you.
¹ At this time member of Congress, from Delaware; afterwards for many years Senator from that State. He was one of the peace commissioners at Ghent, and died soon after his return, in August, 1815.
We are extremely anxious to have a well-qualified man, as this is the only thing wanted to render our institution very flourishing. We have two very good professors—one of the languages, the other of the mathematics and natural philosophy; and we have a professor of chemistry—this branch having been lately made a part of the academic course,—together with better funds, as I believe, than any similar institution in the United States. I mention these particulars to impress you with the importance of our college to the cause of literature, and with the duty which thence results of peculiar circumspection and care in the choice of a president. It is essential that he be a gentleman in his manners, as well as a sound and polite scholar; that his moral character be irreproachable; that he possess energy of body and mind, and be of a disposition to maintain discipline without undue austerity; and, in the last place, that his politics be of the right sort. I beg you to inform me particularly how far Dr. Wharton meets this description, in what, if any thing, he fails. You will, of course, see the propriety of mentioning nothing about this inquiry.
In the present eventful crisis of our affairs, a mutual communication of informations and opinions among influential men of the federal party, may be attended with some advantage to their cause. Under this impression I shall give you a summary of the state of things north of the Delaware; south of it, your information is likely to be as good as mine; and, accordingly, I shall request your view of what is to be expected from that quarter. In New Hampshire
there is no doubt of federal electors; but there is a decided partiality for Mr. Adams. I took pains to possess Governor Gilman, whose influence is very preponderating, of the errors and defects of Mr. Adams, and of the danger that no candidate can prevail, by mere federal strength; consequently of the expediency and necessity of unanimously voting for General Pinckney (who, in the South, may get some anti-federal votes) as the best chance of excluding Mr. Jefferson. The Governor appeared convinced of the soundness of these views, and cautiously gave me to expect his co-operation. Yet I do not count upon New Hampshire for more than two things: one, a unanimous vote for Mr. Adams; the other, no vote for any Anti-federalist. In Massachusetts, almost all the leaders of the first class are dissatisfied with Mr. Adams; and enter heartily into the policy of supporting General Pinckney. But most of the leaders of the second class are attached to Mr. Adams, and fearful of jeopardizing his election by promoting that of General Pinckney; and the mass of the people are well affected to him and to his administration. Yet I have strong hopes that, by the exertions of the principal Federalists, Massachusetts will unanimously vote for Adams and Pinckney. Rhode Island is in a state somewhat uncertain. Schisms have grown up from personal rivalships, which have been improved by the Anti-federalists, to strengthen their interests. Governor Fenner expresses a hope that there will be two anti-federal electors; but our friends reject this idea as wholly improbable. But I am not quite convinced that they know the ground.
In every event, however, I expect that Mr. Adams will have there an unanimous vote.
I think nothing can be relied upon as to General Pinckney. Connecticut will, I doubt not, unanimously vote for General Pinckney, but, being very much displeased with Mr. Adams, it will require the explicit advice of certain gentlemen to induce them to vote for him. No Anti-federalist has any chance there. About Vermont I am not as yet accurately informed, but I believe Adams and Pinckney will both have all the votes. In New York, all the votes will certainly be for Jefferson and Burr. New Jersey does not stand as well as she used to do. The Antis hope for the votes of this State, but I think they will be disappointed. If the electors are federal, Pinckney will certainly be voted for, and Adams will be, or not, as leading friends shall advise. Adding to this view of the Northern what I have understood of the Southern quarter, our prospects are not brilliant. There seems to be too much probability that Jefferson or Burr will be President. The latter is intriguing with all his might in New Jersey, Rhode Island, and Vermont, and there is a possibility of some success in his intrigues. He counts positively on the universal support of the Anti-federalists, and that, by some adventitious aid from other quarters, he will overtop his friend Jefferson. Admitting the first point, the conclusion may be realized; and if it is so, Burr will certainly attempt to reform the government à la Bonaparte. He is as unprincipled and dangerous a man as any country can boast—as true a Catiline as ever met in midnight conclave.
TO JAMES McHENRY
NEW YORK, Aug. 27, 1800.
Indeed, my dear Mac., I have not enough the gift of second sight to foresee what New England will do. The mass of the people there are attached to Adams and the leaders of the second class pretty generally. The leaders of the first class pretty generally promote the joint support of Adams and Pinckney, either because they dislike Adams, or hate or fear Jefferson.
Upon the whole, I believe, though not with perfect assurance, that Pinckney will have almost all the votes of New England. Adams will have all.
The State of New Jersey is more uncertain than I could wish. Parties will be too nicely balanced there. But our friends continue confident of a favorable result. If the electors in this State are federal, they will certainly vote for Pinckney, and I rather think will do, with respect to Mr. Adams, what may be thought right.
In New York, there is no chance for any federal candidate.
I think, at all events, Maryland had better choose by the Legislature. If we have a majority of federal votes throughout, we can certainly exclude Jefferson, and, if we please, bring the question between Adams and Pinckney to the House of Representatives.
We fight Adams on very unequal grounds, because we do not declare the motives of our dislike. The exposition of these is very important—but how? I would make it and put my name to it, but I cannot
do it without its being conclusively inferred that as to very material facts I must have derived my information from members of the administration. Yet, without this, we have the air of mere caballers, and shall be completely run down in the public opinion.
I have written a letter, of which I shall send a copy to you, another to Wolcott. If I am not forbidden, Colonel Ogden, to whom it will be addressed, will commit it to the newspapers.
P. S.—I have concluded to send the enclosed to you instead of Major Jackson.
TO OLIVER WOLCOTT
NEW YORK, Sept. 26, 1800.
DEAR SIR:
As I hinted to you some time since, I have drafted a letter which it is my wish to send to influential individuals in the New England States. I hope from it two advantages—the promoting of Mr. Pinckney’s election and the vindication of ourselves.
You may depend upon it, a very serious impression has been made on the public mind, by the partisans of Mr. Adams, to our disadvantage; that the facts hitherto known have very partially impaired the confidence of the body of the Federalists in Mr. Adams, who, for want of information, are disposed to regard his opponents as factious men. If this cannot be counteracted, our characters are the sacrifice.
¹ Now first printed from the Hamilton papers in the State Department.
To do it, facts must be stated with some authentic stamp. Decorum may not permit going into the newspapers, but the letter may be addressed to so many respectable men of influence as may give its contents general circulation.
What say you to the measure? Anonymous publications can now effect nothing.
Some of the most delicate of the facts stated I hold from the three ministers, yourself particularly, and I do not think myself at liberty to take the step without your consent. I never mean to bring proof, but to stand upon the credit of my own veracity.
Say quickly what is to be done, for there is no time to spare. Give me your opinion not only of the measure, but of the fashion and spirit of the letter in regard to utility and propriety. If there are exceptionable ideas or phrases, note them.
As it is a first draught, there is much I should myself mend. But I have not now leisure for it previous to your inspection.*
---
TO JOHN ADAMS
NEW YORK, Oct. 1, 1800.
SIR:
The time which has elapsed since my letter of the 1st Aug. was delivered to you precludes the further expectation of an answer.
From this silence I will draw no inference, nor will I presume to judge of the fitness of silence on such an
* Reprinted from the Administrations of Washington and Adams, ii., 421.
occasion on the part of the chief magistrate of a republic towards a citizen who, without a stain, has discharged so many important public trusts.
But this much I will affirm, that by whomsoever a charge of the kind mentioned in my former letter may at any time have been made or insinuated against me, it is a base, wicked, and cruel calumny, destitute even of a plausible pretext to excuse the folly or the depravity which must have dictated it.
TO TIMOTHY PICKERING
New York, Nov. 13, 1800.
Dear Sir:
You no doubt have seen my pamphlet respecting the conduct and character of President Adams. The press teems with replies, and I may finally think it expedient to publish a second time. In this case I shall reinforce my charges by new anecdotes. My friends will, no doubt, be disposed to aid me. You probably possess some which are unknown to me. Pray let me have them without delay.
You will observe that a prejudice is attempted to be excited against you as wishing to bring about an alliance with Great Britain. Explain to me fully this affair. I remember that you once consulted me about the expediency of the measure, and that I in reply gave you my opinion. I think it was that the thing was in any event problematical—that it was not advisable to go into at the time—that the most prudent course would be for Great Britain to have a power competent to the purpose vested in her
Minister in this country, and to take the matter *ad referendum* to be governed by future circumstances.
I have not a copy of my letter. You will oblige me by letting me have it.
TO OLIVER WOLCOTT
NEW YORK, Dec. 16, 1800.
It is now, my dear sir, ascertained that Jefferson or Burr will be President, and it seems probable that they will come with equal votes to the House of Representatives. It is also circulated here that, in this event, the Federalists in Congress, or some of them, talk of preferring Burr. I trust New England, at least, will not so far lose its head as to fall into this snare. There is no doubt but that, upon every virtuous and prudent calculation, Jefferson is to be preferred. He is by far not so dangerous a man; and he has pretensions to character.
As to Burr, there is nothing in his favor. His private character is not defended by his most partial friends. He is bankrupt beyond redemption, except by the plunder of his country. His public principles have no other spring or aim than his own aggrandizement, *per fas et nefas*. If he can, he will certainly disturb our institutions, to secure to himself *permanent power*, and with it *wealth*. He is truly the Catiline of America; and, if I may credit Major Wilcocks, he has held very vindictive language respecting his opponents.
But early measures must be taken to fix on this point the opinions of the Federalists. Among them,
from different motives, Burr will find partisans. If the thing be neglected, he may possibly go far.
Yet it may be well enough to throw out a lure for him, in order to tempt him to start for the plate, and then lay the foundation of dissension between the two chiefs.
You may communicate this letter to Marshall¹ and Sedgwick. Let me hear speedily from you in reply.
TO OLIVER WOLCOTT
December 17, 1800.
Your last letter, my dear sir, has given me great pain, not only because it informed me that the opinion in favor of Mr. Burr was increasing among the Federalists, but because it also told me that Mr. Sedgwick was one of its partisans. I have a letter from this gentleman, in which he expresses decidedly his preference of Mr. Jefferson. I hope you have been mistaken, and that it is not possible for him to have been guilty of so great duplicity.²
There is no circumstance which has occurred in the course of our political affairs that has given me so much pain as the idea that Mr. Burr might be elevated to the Presidency by the means of the Federalists. I am of opinion that this party has hitherto solid claims of merit with the public, and so long as it does nothing to forfeit its title to confidence, I
¹ John Marshall, at this time Secretary of State, and afterwards Chief-Justice.
² Hamilton was right, and Wolcott mistaken; Sedgwick preferred Jefferson.
shall continue to hope that our misfortunes are temporary, and that the party will ere long emerge from its depression. But if it shall act a foolish or unworthy part in any capital instance, I shall then despair.
Such, without doubt, will be the part it will act, if it shall seriously attempt to support Mr. Burr, in opposition to Mr. Jefferson. If it fails, as, after all, is not improbable, it will have riveted the animosity of that person; will have destroyed or weakened the motives to moderation which he must at present feel, and it will expose them to the disgrace of a defeat, in an attempt to elevate to the first place of the government one of the worst men in the community.
If it succeeds, it will have done nothing more nor less than place in that station a man who will possess the boldness and daring necessary to give success to the Jacobin system, instead of one who, for want of that quality, will be less fitted to promote it.
Let it not be imagined that Mr. Burr can be won to the federal views. It is a vain hope. Stronger ties and stronger inducements than they can offer will impel him in a different direction. His ambition will not be content with those objects which virtuous men of either party will allot to it, and his situation and his habits will oblige him to have recourse to corrupt expedients, from which he will be restrained by no moral scruple. To accomplish his ends, he must lean upon unprincipled men, and will continue to adhere to the myrmidons who have hitherto seconded him. To these he will, no doubt, add able rogues of the federal party, but he will employ the
rogues of all parties to overrule the good men of all parties, and to prosecute projects which wise men of every description will disapprove.
These things are to be inferred, with moral certainty, from the character of the man. Every step in his career proves that he has formed himself upon the model of Catiline, and he is too cold-blooded and too determined a conspirator ever to change his plan.
What would you think of these toasts and this conversation at his table within the last three or four weeks?
1st. The French republic.
2d. The commissioners on both sides who negotiated the convention.
3d. Bonaparte.
4th. Lafayette.
What would you think of his having seconded the positions, that it was the interest of this country to allow the belligerent powers to bring in and sell their prizes, and build and equip ships in our ports? Do you not see in this the scheme of war with Great Britain, as the instrument of power and wealth? Can it be doubted that a man who has all his life speculated upon the popular prejudices, will consult them in the object of a war when he thinks it is expedient to make one? Can a man who, despising democracy, has chimed in with all its absurdities, be diverted from the plan of ambition which must have directed his course? They who suppose it must understand little of human nature.
If Jefferson is President, the whole responsibility of bad measures will rest with the Anti-federalists.
If Burr is made so by the Federalists, the whole responsibility will rest with them. The other party will say to the people: We intended him only for Vice-President; here he might have done very well, or been at least harmless. But the Federalists, to disappoint us, and a majority of you, took advantage of a momentary superiority to put him in the first place. He is therefore their President, and they must answer for all the evils of his bad conduct. And the people will believe them.
Will any reasonable calculation on the part of the Federalists uphold the policy of assuming so great a responsibility in the support of so unpromising a character? The negative is so manifest that, had I not been assured of the contrary, I should have thought it impossible that assent to it would have been attended with a moment's hesitation.
Alas! when will men consult their reason rather than their passions? Whatever they may imagine, the desire of mortifying the adverse party must be the chief spring of the disposition to prefer Mr. Burr. This disposition reminds me of the conduct of the Dutch moneyed men, who, from their hatred of the old aristocracy, favored the admission of the French into Holland, to overturn every thing.
Adieu to the Federal Troy, if they once introduce this Grecian horse into their citadel.
Trust me, my dear friend, you cannot render a greater service to your country than to resist this project. Far better will it be to endeavor to obtain from Jefferson assurances on some cardinal points:
1st. The preservation of the actual fiscal system.
2d. Adherence to the neutral plan.
3d. The preservation and gradual increase of the navy.
4th. The continuance of our friends in the offices they fill, except in the great departments, in which he ought to be left free.
TO THEODORE SEDGWICK
NEW YORK, Dec. 22, 1800.
I entirely agree with you, my dear sir, that, in the event of Jefferson and Burr coming to the House of Representatives, the former is to be preferred. The appointment of Burr as President would disgrace our country abroad. No agreement with him could be relied upon. His private circumstances render disorder a necessary resource. His public principles offer no obstacle. His ambition aims at nothing short of permanent power and wealth in his own person. For heaven's sake, let not the federal party be responsible for the elevation of this man!
The convention with France is just such an issue as was to have been expected. It plays into the hands of France, by the precedent of those principles of navigation which she is at this moment desirous of making the basis of a league of the northern powers against England. This feature will be peculiarly disagreeable to the latter, and, as it relates to the general politics of the world, is a make-weight in the wrong scale.
The stipulation about privateers and prizes is of
questionable propriety. If third powers are entitled to the benefit of annulling our treaties with France, it is a plain violation of our compact with Great Britain.
But I rather think it the better opinion that, pending the differences which produced that measure, it is a matter purely between France and ourselves, by which no third power has a right to profit, and that even the status quo would not have been a violation of our engagements with Great Britain.
Thus situated, I am of opinion the treaty must be ratified. The contrary condition would, I think, utterly ruin the federal party and endanger our internal tranquillity. Moreover, it is better to close the thing where it is, than to leave it to a Jacobin to do much worse.
This is a deliberately formed sentiment, and I hope will accord with the conclusions of our friends. At the same time, I wish it to be declared by our friends in the Senate, that they think the treaty liable to strong objections and pregnant with dangers to the interests of this country, but having been negotiated, they will not withhold their assent.
Reasons should be given.
TO GOVERNEUR MORRIS
NEW YORK, Dec. 24, 1800.
Dear Sir:
I will run the risk with you of giving countenance to a charge lately brought against me, though it has
¹ At this time Senator from New York.
certainly had a very false direction. I mean that of being fond of giving advice.
Several friends at Washington inform me that there is likely to be much hesitation in the Senate about ratifying the convention with France. I do not wonder at it, and yet I should be sorry that it should mature itself into a disagreement to the instrument. Having received its present form, I think it should be ratified.
In my opinion, there is nothing in it contrary to our treaty with Great Britain. The annulling of our former treaties with France was an act of reprisal in consequence of hostile differences, of which no other power had a right to benefit, and which, upon an accommodation, might have been rescinded, even to the restoration of the status quo. Great Britain is now, in this respect, in a better situation than she was when she made the treaty. She has, so far, no good cause to complain.
There are, indeed, features which will not be pleasant to the British cabinet, particularly the principle that free ships shall make free goods, and that the flag of ships-of-war shall protect. As these are points upon which France was endeavoring to form hostile combinations against Great Britain, the giving place to them in the convention will have an unfriendly countenance towards her and us, and is to be regretted in the present moment. Yet we had a right to make these stipulations, and as they may be fairly supposed to be advantageous to us, they are not in fact indications of enmity. They give no real cause of umbrage, and, considering the general
interests of Great Britain and her particular situation, it does not seem probable that they will produce on her part a hostile conduct.
As to the indemnification for spoliations, that was rather to be wished than expected, while France is laying the world under contribution. The people of this country will not endure that a definitive rupture with France shall be hazarded on this ground.
If this convention is not closed, the leaving of the whole subject open will render it easier for the Jacobin administration to make a worse thing.
On the whole, the least evil is to ratify. The contrary would finish the ruin of the federal party, and endanger our internal tranquillity. It is better to risk the dangers on the other hand, than on this side.
Another subject. Jefferson or Burr? the former without all doubt. The latter, in my judgment, has no principle, public or private; could be bound by no agreement; will listen to no monitor but his ambition, and for this purpose will use the worst part of the community as a ladder to climb to permanent power, and an instrument to crush the better part. He is bankrupt beyond redemption, except by the resources that grow out of war and disorder, or by a sale to a foreign power, or by great peculation. War with Great Britain would be the immediate instrument. He is sanguine enough to hope everything, daring enough to attempt everything, wicked enough to scruple nothing. From the elevation of such a man may heaven preserve the country!
Let our situation be improved to obtain from Jefferson assurances on certain points: the maintenance
of the present system, especially on the cardinal articles of public credit—a navy, neutrality. Make any discreet use you may think fit of this letter.
TO GOUVERNEUR MORRIS
NEW YORK, Dec. 26, 1800.
Dear Sir:
The post of yesterday gave me the pleasure of a letter from you. I thank you for the communication. I trust that a letter which I wrote you the day before the receipt of yours will have duly reached you, as it contains some very free and confidential observations ending in two results.
1st. That the convention with France ought to be ratified as the least of two evils.
2d. That on the same ground Jefferson ought to be preferred to Burr.
I trust the Federalists will not finally be so mad as to vote for the latter. I speak with an intimate and accurate knowledge of character. His elevation can only promote the purposes of the desperate and profligate.
If there be a man in the world I ought to hate, it is Jefferson. With Burr I have always been personally well. But the public good must be paramount to every private consideration.
My opinion may be freely used with such reserves as you shall think discreet.
TO JAMES A. BAYARD
NEW YORK, Dec. 27, 1800.
Dear Sir:
Several letters to myself and others from the city of Washington, excite in my mind extreme alarm on the subject of the future President. It seems nearly ascertained that Jefferson and Burr will come into the House of Representatives with equal votes, and those letters express the probability that the federal party may prefer the latter. In my opinion, a circumstance more ruinous to them, or more disastrous to the country, could not happen.
This opinion is dictated by a long and close attention to the character of B., with the best opportunities of knowing it—an advantage of judging which, few of our friends possess, and which ought to give some weight to my opinion.
Be assured, my dear sir, that this man has no principle, public nor private. As a politician, his sole spring of action is an inordinate ambition; as an individual, he is believed by friends as well as foes to be without probity; and a voluptuary by system—with habits of expense that can be satisfied by no fair expedients. As to his talents, great management and cunning are the predominant features; he is yet to give proofs of those solid abilities which characterize the statesman. Daring and energy must be allowed him; but these qualities, under the direction of the worst passions, are certainly strong objections, not recommendations. He is of a temper to undertake the most hazardous enterprises, because he is sanguine enough to think nothing impracticable; and of an ambition that will be content with nothing less than permanent power in his own hands. The maintenance of the existing institutions will not suit him; because under them his power will be too narrow and too precarious. Yet the innovations he may attempt will not offer the substitute of a system durable and safe, calculated to give lasting prosperity, and to unite liberty with strength. It will be the system of the day, sufficient to serve his own turn, and not looking beyond himself. To execute this plan, as the good men of the country cannot be relied upon, the worst will be used. Let it not be imagined that the difficulties of execution will deter, or a calculation of interest restrain. The truth is, that under forms of government like ours, too much is practicable to men who will, without scruple, avail themselves of the bad passions of human nature. To a man of this description, possessing the requisite talents, the acquisition of permanent power is not a chimera. I know that Mr. Burr does not view it as such, and I am sure there are no means too atrocious to be employed by him. In debt, vastly beyond his means of payment, with all the habits of excessive expense, he cannot be satisfied with the regular emoluments of any office of our government. Corrupt expedients will be to him a necessary resource. Will any prudent man offer such a President to the temptations of foreign gold? No engagement that can be made with him can be depended upon; while making it, he will laugh in his sleeve at the credulity of those with whom he makes it;—and the first moment it suits his views to
break it, he will do so.\textsuperscript{1} Let me add, that I could scarcely name a discreet man of either party in our State, who does not think Mr. Burr the most unfit man in the United States for the office of President. Disgrace abroad, ruin at home, are the probable fruits of his elevation. To contribute to the disappointment and mortification of Mr. J., would be, on my part, only to retaliate for unequivocal proofs of enmity; but in a case like this, it would be base to listen to personal considerations. In alluding to the situation, I mean only to illustrate how strong must be the motives which induced me to promote \textit{his} elevation in exclusion of another.
For heaven's sake, my dear sir, exert yourself to the utmost to save our country from so great a calamity. Let us not be responsible for the evils, which in all probability will follow the preference. All calculations that may lead to it must prove fallacious.
\begin{center}
TO JOHN RUTLEDGE
December, 1800.
\end{center}
As long as the federal party pursue their high ground of integrity and principle, I shall not despair
\textsuperscript{1} A recent incident will give you an idea of his views as to foreign politics. I dined with him lately. His toasts were: "The French Republic," "The Commissioners who Negotiated the Convention," "Buonaparte," "The Marquis La Fayette." His doctrines, that it would be the interest of this country to permit the indiscriminate sale of prizes by the belligerent powers; and the building and equipment of vessels—a project amounting to nothing more nor less (with the semblance of equality) than to turn all our naval resources into the channel of France, and compel Great Britain to war. Indeed, Mr. Burr must have war, as the instrument of his ambition and cupidity. The peculiarity of the occasion will excuse my mentioning in confidence the occurrences of a private table.
of the public weal; but if they quit it and descend to be willing instruments of the elevation of the most unfit and most dangerous man of the community to the highest station in the government, I shall no longer see any anchor for the hopes of good men. I shall at once anticipate all the evils that a daring and unprincipled ambition, wielding the lever of Jacobinism, can bring upon an infatuated country. 'T is not to the chapter of accidents that we ought to trust the government, peace, and happiness of our country. 'T is enough for us to know that Mr. Burr is one of the most unprincipled men in the United States, to determine us to decline being responsible for the precarious issues of his calculations of interest. You cannot, in my opinion, render a greater service to your country than by exerting your influence to counteract the impolitic and impure idea of raising Mr. Burr to the chief magistracy.'
TO JAMES ROSS
1801.
Letters which myself and others have received from Washington give me much alarm at the prospect that Mr. Burr may be supported by the Federalists in preference to Mr. Jefferson. Be assured, my dear sir, that this would be a fatal mistake.
1 Reprinted from the History of the Republic, vii., 445. General John Rutledge, of South Carolina, to whom this letter is addressed, was the son of the revolutionary patriot and statesman of the same name. He was at this time Member of Congress from South Carolina.
2 James Ross, Senator from Pennsylvania, was one of the leaders of the Federalists and a lawyer of distinguished ability.
a thorough knowledge of the characters, I can pronounce with confidence that Mr. Burr is the last man in the United States to be supported by the Federalists.
First. It is an opinion firmly entertained by his enemies and not disputed by his friends, that, as a man, he is deficient in honesty. Some very sad stories are related of him. That he is bankrupt for a large deficit, is certain. Second. As a politician, discerning men of both parties admit that he has but one principle—to get power by any means, and to keep it by all means. Third. Of an ambition too irregular and inordinate to be content with institutions that leave his power precarious, he is of too bold and sanguine a temper to think anything too hazardous to be attempted, or too difficult to be accomplished. Fourth. As to talents, they are great for management and intrigue—but he is yet to give the first proofs that they are equal to the act of governing well. Fifth. As to his theory, no man can tell what it is. Institutions that would serve his own purposes (such as the government of France of the present day), not such as would promise lasting prosperity and glory to the country, would be his preference, because he cares only for himself, and nothing for his country or glory. Sixth. Certain that his irregular ambition cannot be supported by good men, he will court and employ the worst men of all parties as the most eligible instruments. Jacobinism in its most pernicious form will scourge the country. Seventh. As to foreign politics, war will be a necessary means of power and wealth. The animosity to
the British will be the handle by which he will attempt to wield the nation to that point. Within a fortnight he has advocated positions, which, if acted upon, would in six months place us in a state of war with that power. From the elevation of such a man may heaven preserve the country. Should it be by the means of the Federalists, I should at once despair. I should see no longer any thing upon which to rest the hope of public or private prosperity.
No. Let the Federalists vote for Jefferson.
But, as they have much in their power, let them improve the situation to obtain assurances from him:
1. The preservation of the actual system of finance and public credit.
2. The support and gradual increase of the navy.
3. A bona fide neutrality towards belligerent powers.
4. The preservation in office of our friends, except in the great departments, in respect to which and to future appointments he ought to be at liberty to promote his friends.¹
TO GOUVERNEUR MORRIS
New York, Jan. 9, 1801.
I have lately, my dear sir, written you two letters. As they contained some delicate topics, I shall be glad to know that they got to hand.
It has occurred to me that perhaps the Federalists may be disposed to play the game of preventing an election, and leaving the executive power in the
¹ Reprinted from the History of the Republic, vii., 445.
hands of a future President of the Senate. This, if it could succeed, would be, for obvious reasons, a most dangerous and unbecoming policy. But it is well it should be understood that it cannot succeed. The Anti-federalists, as a body, prefer Jefferson, but among them are many who will be better suited by the dashing, projecting spirit of Burr, and who, after doing what they will suppose to be saving appearances, they will go over to Mr. Burr. Edward Livingston has declared among his friends that his first ballot will be for Jefferson; his second for Burr.
The present is a crisis which demands the exertions of men who have an interest in public order.
TO GOVERNEUR MORRIS
New York, Jan. 10, 1801.
I thank you, my dear sir, for your letter of the 5th instant. The scruples you express about the ratification of the convention are very respectable. No well-informed man can doubt that it is an exceptional instrument, but I continue of the opinion that it is best, upon the whole, to ratify it unconditionally.
It does not appear to me that, on fair construction, the existence of the old treaties is recognized, though a right of mutual indemnities as to the past is admitted. But inasmuch as it is declared that they shall hereafter have no effect until a future agreement, this appears to me to amount to the consent of France that they shall become inoperative and null, unless they shall be revived by the consent of
the United States. So far I think that some thing is gained. For the right of one party to annul a treaty is a litigious right, never consummated till the other party waives its opposition. This is now in substance done by France. And, in my opinion, to have advanced so far is a matter of considerable importance.
The indemnification for spoliation is, I admit, virtually relinquished as the price of the waiver of the treaties; but considering our situation, and the immense and growing power of France, that price is not too great.
Further, there are such potent obstacles in the nature of things to the obtaining of effectual indemnification, that it is very well to leave it to the chapter of accidents.
The restoration of ships-of-war is an unpleasant, and, I do not deny, rather a humiliating thing.
But as it is in form reciprocal, it does not seem to me that unequivocal species of dishonor which ought to induce us to run great risks. Our conduct heretofore has gone on the ground that, though we ought not to submit to unequivocal disgrace, yet we ought not to be too susceptible or overcurious and nice. In this spirit we have borne a great deal, sometimes too much, from all the belligerents. Circumstances do not now invite to a different course. Our rapid progress to strength will, ere long, encourage to and warrant higher pretensions.
You seem to have gotten over the difficulty of the supposed collision between the convention and our treaty with Britain. You already know that this
accords with my opinion. Yet it seems to me the most thorny point, as it draws into question our faith towards a third power.
This gotten over, there is not, in my apprehension, any remaining obstacle to a full ratification which may not be overcome.
The limitation of the treaty as to time is doubtless desirable, but we may be sure it will not be eternal in fact. Perpetual peace will not exist. A war cuts the knot, and leaves us free to renew or not, to renew absolutely, or with qualifications.
With this view of the subject, I do not consider the objections to a simple ratification to be strong enough to countervail the dangers of a qualified one, which certainly will leave it in the option of the other party to recede.
It is possible that, in the pride of success, our backwardness to ratify may be the pretext of a rupture to punish the presumption. Under existing circumstances, such an event would be disastrous, if not for the evils which the arms of France might inflict, yet for the hazard of internal schisms and discord. The mania for France has in a great degree revived in our country, and the party which should invite a rupture would be likely to be ruined.
Perhaps, with the administration we are going to have, there may be less danger of rupture than with one of a different cast; yet not much reliance can be placed on this circumstance, and there is another side to the question which deserves attention.
If the present convention be ratified, our relations to France will have received a precise shape. To
take up the subject anew and mould it into a shape better according with Jacobin projects will not be as easy as finding the whole business open to give it that shape. I think it politic, therefore, to close as far as we can.
Again, it will be of consequence to the federal cause in future to be able to say the federal administration steered the vessel through all the storms raised by the contentions of Europe into a peaceful and safe port. This cannot be said if the contest with France continues open.
Inclosed you have some recent intelligence which seems to strengthen the argument for a simple ratification. Great Britain stands on a precipice. The misfortune for her is that there are manifest symptoms of a depreciated and depreciating paper currency. This may cut deep.
The result is that good understanding with the United States is more than ever necessary to Great Britain. She will not lightly take umbrage while France is in a position to ride a high horse. These facts cannot prudently be excluded from the calculation.
So our eastern friends want to join the armed neutrality and make war upon Britain. I infer this from their mad propensity to make Burr President. If Jefferson has prejudices leading to that result, he has defects of character to keep him back. Burr, with the same propensities, will find the thing necessary to his projects, and will dare to hazard all consequences. They may as well think to bind a giant by a cobweb as his ambition by promises.
TO JAMES A. BAYARD
NEW YORK, Jan. 16, 1801.
I was glad to find, my dear sir, by your letter that you had not yet determined to go with the current of the federal party in the support of Mr. Burr, and that you were resolved to hold yourself disengaged till the moment of final decision. Your resolution to separate yourself in this instance from the federal party, if your conviction shall be strong of the unfitness of Mr. Burr, is certainly laudable. So much does it coincide with my ideas, that if the party shall, by supporting Mr. Burr as President, adopt him for their official chief, I shall be obliged to consider myself as an isolated man. It will be impossible for me to reconcile with my notions of honor or policy the continuing to be of a party which, according to my apprehension, will have degraded itself and the country.
I am sure, nevertheless, that the motives of many will be good, and I shall never cease to esteem the individuals, though I shall deplore a step which, I fear, experience will show to be a very fatal one. Among the letters which I receive assigning the reasons pro and con for preferring Burr to J., I observe no small exaggeration to the prejudice of the latter, and some things taken for granted as to the former, which are at least questionable. Perhaps myself the first, at some expense of popularity, to unfold the true character of Jefferson, it is too late for me to become his apologist; nor can I have any disposition to do it.
I admit that his politics are tinctured with fanaticism; that he is too much in earnest in his democracy; that he has been a mischievous enemy to the principal measures of our past administration; that he is crafty and persevering in his objects; that he is not scrupulous about the means of success, nor very mindful of truth, and that he is a contemptible hypocrite. But it is not true, as is alleged, that he is an enemy to the power of the Executive, or that he is for confounding all the powers in the House of Representatives. It is a fact which I have frequently mentioned, that, while we were in the administration together, he was generally for a large construction of the Executive authority and not backward to act upon it in cases which coincided with his views. Let it be added that in his theoretic ideas he has considered as improper the participations of the Senate in the Executive authority. I have more than once made the reflection that, viewing himself as the reversioner, he was solicitous to come into the possession of a good estate. Nor is it true that Jefferson is zealot enough to do any thing in pursuance of his principles which will contravene his popularity or his interest. He is as likely as any man I know to temporize—to calculate what will be likely to promote his own reputation and advantage; and the probable result of such a temper is the preservation of systems, though originally opposed, which, being once established, could not be overturned without danger to the person who did it. To my mind a true estimate of Mr. Jefferson’s character warrants the expectation of a temporizing rather than a violent system. That Jefferson has manifested a
culpable predilection for France is certainly true; but I think it a question whether it did not proceed quite as much from her popularity among us as from sentiment, and, in proportion as that popularity is diminished, his zeal will cool. Add to this that there is no fair reason to suppose him capable of being corrupted, which is a security that he will not go beyond certain limits. It is not at all improbable that under the change of circumstances Jefferson’s Gallicism has considerably abated.
As to Burr these things are admitted, and indeed cannot be denied, that he is a man of extreme and irregular ambition; that he is selfish to a degree which excludes all social affections, and that he is decidedly profligate. But it is said (1) that he is artful and dexterous to accomplish his ends; (2) that he holds no pernicious theories, but is a mere matter-of-fact man; (3) that his very selfishness \(^1\) is a guard against mischievous foreign predilections; (4) that his local situation has enabled him to appreciate the utility of our commercial and fiscal systems, and the same quality of selfishness will lead him to support and invigorate them; (5) that he is now disliked by the Jacobins; that his elevation will be a mortal stab to them, breed an invincible hatred to him, and compel him to lead on the Federalists; (6) that Burr’s ambition will be checked by his good sense, by the manifest impossibility of succeeding in any scheme of usurpation, and that, if attempted, there is nothing to fear from the attempt. These topics are, in my judgment, more plausible than solid. As
\(^1\) It is always very dangerous to look at the vices of men for good.
to the first point, the fact must be admitted, but those qualities are objections rather than recommendations, when they are under the direction of bad principles. As to the second point, too much is taken for granted. If Burr's conversation is to be credited, he is not very far from being a visionary. He has quoted to me Connecticut as an example of the success of the democratic theory, and as authority, I have serious doubts whether it was not a good one. It is ascertained in some instances that he has talked perfect Godwinism. I have myself heard him speak with applause of the French system, as unshackling the mind and leaving it to its natural energies, and I have been present when he has contended against banking systems\(^1\) with earnestness and with the same arguments that Jefferson would use.
The truth is, that Burr is a man of a very subtle imagination, and a mind of this make is rarely free from ingenious whimsies. Yet I admit that he has no fixed theory, and that his peculiar notions will easily give way to his interest. But is it a recommendation to have no theory? Can that man be a systematic or able statesman who has none? I believe not. No general principles will hardly work much better than erroneous ones.
As to the third point, it is certain that Burr, generally speaking, has been as warm a partisan of France as Jefferson; that he has, in some instances,
\(^1\) Yet he has lately, by a trick, established a bank—a perfect monster in its principles, but a very convenient instrument of profit and influence.
shown himself to be so with passion. But if it was from calculation, who will say that his calculations will not continue him so? His selfishness, so far from being an obstacle, may be a prompter. If corrupt as well as selfish, he may be a partisan for gain. If ambitious as well as selfish, he may be a partisan for the sake of aid to his views. No man has trafficked more than he in the floating passions of the multitude. Hatred to Great Britain and attachment to France, in the public mind, will naturally lead a man of his selfishness, attached to place and power, to favor France and oppose Great Britain. The Gallicism of many of our patriots is to be thus resolved, and, in my opinion, it is morally certain that Burr will continue to be influenced by this calculation.
As to the fourth point, the instance I have cited with respect to banks, proves that the argument is not to be relied on. If there was much in it, why does Chancellor Livingston maintain that we ought not to cultivate navigation, but ought to let foreigners be our carriers? France is of the opinion too, and Burr, for some reason or other, will be very apt to be of the opinion of France.
As to the fifth point, nothing can be more fallacious. It is demonstrated by recent facts that Burr is solicitous to keep upon anti-federal ground, to avoid compromitting himself by any engagements with the Federalists. With or without such engage-
1 Unprincipled selfishness is more apt to seek rapid gain in disorderly practices than slow advantages from orderly systems.
2 My letter to Mr. Morris states some of them.
3 He trusts to their prejudices and hopes for support.
ments, he will easily persuade his former friends that he does stand on that ground, and after their first resentment they will be glad to rally under him. In the meantime he will take care not to disoblige them, and he will always court those among them who are best fitted for tools. He will never choose to lean on good men, because he knows that they will never support his bad projects; but instead of this he will endeavor to disorganize both parties, and to form out of them a third, composed of men fitted by their characters to be conspirators and instruments of such projects.
That this will be his future conduct may be inferred from his past plan, and from the admitted quality of irregular ambition. Let it be remembered that Mr. Burr has never appeared solicitous for fame, and that great ambition, unchecked by principle or the love of glory, is an unruly tyrant, which never can keep long in a course which good men will approve. As to the last point, the proposition is against the experience of all times. Ambition without principle never was long under the guidance of good sense. Besides that, really, the force of Mr. Burr's understanding is much overrated. He is far more cunning than wise, far more dextrous than able.
(Very, very confidential.—In my opinion he is inferior in real ability to Jefferson. There are also facts against the supposition. It is past all doubt that he has blamed me for not having improved the situation I once was in to change the government. That when answered that this could not have been done without guilt, he replied, "Les grandes âmes
se souciant peu des petits moraux"; that when told the thing was never practicable from the genius and situation of the country, he answered, "That depends on the estimate we form of the human passions, and of the means of influencing them." Does this prove that Mr. Burr would consider a scheme of usurpation as visionary?)
The truth is, with great apparent coldness he is the most sanguine man in the world. He thinks everything possible to adventure and perseverance, and, though I believe he will fail, I think it almost certain he will attempt usurpation, and the attempt will involve great mischief. But there is one point of view which seems to me decisive. If the Anti-federalists who prevailed in the election are left to take their own man, they remain responsible, and the Federalists remain free, united, and without stain, in a situation to resist, with effect, pernicious measures. If the Federalists substitute Burr, they adopt him and become answerable for him. Whatever may be the theory of the case abroad and at home (for so from the beginning will be taught), Mr. Burr will become in fact the man of our party; and if he acts ill, we must share in the blame and disgrace. By adopting him we do all we can to reconcile the minds of the Federalists to him, and we prepare them for the effectual operation of his arts. He will doubtless gain many of them, and the Federalists will become a disorganized and contemptible party. Can there be any serious question between the policy of leaving the Anti-federalists to be answerable for the elevation of an exceptionable man, and that of adopting
ourselves and becoming answerable for a man who, on all hands, is acknowledged to be a complete Catiline? 'T is enough to state the question to indicate the answer, if reason, not passion, presides in the decision.
You may communicate this, and my former letter, to discreet and confidential friends.
TO GOVERNEUR MORRIS
NEW YORK, January, 1801.
Dear Sir:
I hasten to give you some information which may be useful. I know as a fact that overtures have been made by leading individuals of the federal party to Mr. Burr, who declines to give any assurances respecting his future intentions and conduct, saying that to do it might injure him with his friends, and prevent their co-operation; that all ought to be inferred from the necessity of his future situation, as it regarded the disappointment and animosity of the Anti-federalists; that the Federalists, relying upon this, might proceed in the certainty that, upon a second ballot, New York and Tennessee would join him. It is likewise ascertained that he perfectly understands himself with Edward Livingston, who will be his agent at the seat of government.
Thus you see that Mr. Burr is resolved to preserve himself in a situation to adhere to his former friends, engagements, and projects, and to use the Federalists as tools of his aggrandizement.
The hope that by his election he will be separated from the Anti-federalists, is a perfect farce.
He will satisfy them that he has kept himself free to continue his relations with them, and as many of them are secretly attached to him, they will all be speedily induced to rally under his standard, to which he will add the unprincipled of our party, and he will laugh at the rest.
It is a fact that Mr. Burr is now in frequent and close conference with a Frenchman, who is suspected of being an agent of the French Government, and it is not to be doubted that he will be the firm ally of Buonaparte.
You are at liberty to show this letter to such friends as you think fit, especially Mr. Bayard, of Delaware, in whose principles and sound sense I have much confidence.
Depend upon it, men never played a more foolish game than will do the Federalists if they support Burr.
TO THEODORE SEDGWICK
ALBANY, Jan. 21, 1801.
Dear Sir:
Being in a hurry to leave New York for this place, I compressed, in a letter to Bayard, some observations which, had I time, I should have put in a reply to your last. I requested him to communicate it to you, and I beg of you, as you love your country, your friends, and yourself, to reconsider dispassionately the opinion you have expressed in favor of Burr.
I never was so much mistaken as I shall be if our friends, in the event of their success, do not rue the preference they will give to that Catiline. Adieu.
TO MRS. HAMILTON
ON THE ROAD TO ALBANY, Feb., 1801.
The roads are too bad for you to venture in your carriage, if you can possibly avoid it. Don’t forget to visit the Grange. From what I saw there, it is very important the drains should be better regulated. Leave, in particular charge of Philip, what you cannot yourself accomplish.
TO MRS. HAMILTON
February 19, 1801.
I arrived here, my beloved, about five this afternoon. I ought now to be much further advanced. But somehow “Riddle” sprained the ankle of one of his hind legs, which very much retarded my progress to-day. By care and indulgence, he is much better this evening. I have travelled comfortably, and my health is better. Wife, children, and hobby are the only things upon which I have permitted my thoughts to run. As often as I write, you may expect to hear some thing of the latter. Don’t lose any opportunity which may offer of ploughing up the new garden spot, and let the wagon make a tour
of the ground lately purchased. When it is too cold to go on with grubbing, our men may be employed in cutting and clearing away the underbrush in the grove and the other woods; only let the centre of the principal wood in the line of the different rocks remain rough and wild.
(Again he writes): I am less and less pleased with the prospect of so long a separation from my beloved family, and you may depend shall shorten it as much as possible. "Dumphy" had planted the tulip trees in a row along the outer fence of the garden in the road, and was collecting some hemlock trees to plant between them. I desired him to place these in a row along the inner fence. But, having attended to them in my route, I shall be glad, if white pines are not conveniently to be had, that besides those along the inner fence, there may be one hemlock between every two of the tulip trees along the outer fence.
TO MRS. HAMILTON
POUGHKEEPSIE, Feb. 20, 1801.
I am in much better health than spirits. The Swiss malady grows upon me very fast. In other words, I am more and more homesick. This, added to some other circumstances that do not give me pleasure at the present moment, makes me rather heavy-hearted. But we must make the best of those ills that cannot be avoided. The occupation I shall have at Albany will divert my mind from
painful reflections; and a speedy return to my dear family will bring me a cure. Write me often, and receive every wish that is due to the best of women. Kiss my children for me. Adieu.
TO
ALBANY, Feb. 22, 1801.
Dear Sir:
After my ill success hitherto, I ought, perhaps, in prudence, to say nothing further on the subject. But, situated as things now are, I certainly have no advice to give. Yet I may, without impropriety, communicate a fact; it is this:
Colonel Burr is taking an active personal part in favor of Mr. Clinton against Mr. Rensselaer, as governor of this State. I have, upon my honor, direct and indubitable evidence, that between two and three weeks past, he wrote a very urgent letter to Oliver Phelps, of the western part of this State, to induce his exertions in favor of Clinton. Is not this an unequivocal confirmation of what I predicted that he will, in every event, continue to play the Jacobin game? Can any thing else explain his conduct at such a moment, and under such circumstances? I might add several other things to prove that he is resolved to adhere to and cultivate his old party, who lately, more than ever, have shown the cloven foot of rank Jacobinism.
¹ These three letters to Mrs. Hamilton are reprinted from the History of the Republic, vii., 488 and ff.
TO DR. BENJAMIN RUSH
NEW YORK, Feb. 12, 1802.
DEAR SIR:
I felt all the weight of the obligation which I owed to you and your amiable family for the tender concern they manifested in an event beyond comparison the most afflicting of my life, but I was obliged to wait for a moment of greater calm to express my sense of the kindness.
My loss is indeed great. The brightest as well as the eldest hope of my family has been taken from me. You estimated him rightly. He was a fine youth. But why should I repine? It was the will of heaven, and he is now out of the reach of the seductions and calamities of a world full of folly, full of vice, full of danger—of least value in proportion as it is best known. I firmly trust, also, that he has safely reached the haven of eternal repose and felicity.
You will easily imagine that every memorial of the goodness of his heart must be precious to me. You allude to one recorded in a letter to your son. If no special reasons forbid it, I should be very glad to have a copy of that letter.
Mrs. Hamilton, who has drunk deeply of the cup of sorrow, joins me in affectionate thanks to Mrs. Rush and yourself; our wishes for your happiness will be unceasing.
¹ The distinguished physician and patriot of Philadelphia. The letter refers to the death of Hamilton's eldest son, Philip, who was killed in a duel arising from a political quarrel.
TO GOUVERNEUR MORRIS
NEW YORK, Feb. 27, 1802.
My Dear Sir:
Your letter of the 22d is the third favor I am indebted to you since you left New York.
Your frankness in giving me your opinion as to the expediency of an application of our bar to Congress, obliged me. But you know we are not readily persuaded to think we have been wrong. Were the matter to be done over, I should pursue the same course. I did not believe the measure would be useful as a preventive, and for the people an expression of an opinion by letter would be as good as a memorial.
It appeared to be best, because it saved our delicacy, and because in the abstract, I am not over fond of the precedent of the bar addressing Congress. But I did what I thought likely to do more good. I induced the Chamber of Commerce to send a memorial. As to the rest, I should be a very unhappy man, if I left my tranquillity at the mercy of the misinterpretations which friends as well as foes are fond of giving to my conduct.
Mine is an odd destiny. Perhaps no man in the United States has sacrificed or done more for the present Constitution than myself; and contrary to all my anticipations of its fate, as you know from the very beginning, I am still laboring to prop the frail and worthless fabric. Yet I have the murmurs of its friends no less than the curses of its foes for my reward. What can I do better than withdraw from the scene? Every day proves to me
more and more, that this American world was not made for me.
The suggestions with which you close your letter suppose a much sounder state of the public mind than at present exists. Attempts to make a show of a general popular dislike of the pending measures of the government, would only serve to manifest the direct reverse. Impressions are indeed making, but as yet within a very narrow sphere.
The time may ere long arrive when the minds of men will be prepared to make an effort to recover the Constitution, but the many cannot now be brought to make a stand for its preservation. We must wait a while.
I have read your speeches with great pleasure. They are truly worthy of you. Your real friends had many sources of satisfaction on account of them. The conspiracy of dulness was at work. It chose to misinterpret your moderation in certain transactions of a personal reference.
A public energetic display of your talents and principles was requisite to silence the cavillers. It is now done. You, friend Morris, are by birth a native of this country, but by genius an exotic. You mistake, if you fancy that you are more of a favorite than myself, or that you are in any sort upon a theatre suited to you.
TO GOUVERNEUR MORRIS
NEW YORK, March 4, 1802.
MY DEAR SIR:
You have seen certain resolutions unanimously pass our Legislature for amending the Constitution; 1st, by designating separately the candidates for President and Vice-President; 2d, by having electors chosen by the people in districts under the direction of the national Legislature.
After mature reflection, I was thoroughly confirmed in my full impression, that it is true federal policy to promote the adoption of these amendments.
Of the first, not only because it is in itself right, that the people should know whom they are choosing, and because the present mode gives all possible scope to intrigue, and is dangerous (as we have seen) to the public tranquillity; but because in every thing which gives opportunity for juggling arts, our adversaries will nine times out of ten excel us.
Of the second, because it removes thus far the intervention of the State governments, and strengthens the connection between the Federal head and the people, and because it diminishes the means of party combination, in which also, the burning zeal of our opponents will be generally an overmatch for our temperate flame.
I shall be very happy that our friends may think with me, and that no temporary motive may induce them to let slip the precious occasion in which personal motives induce the other party to forget their true policy.
We are told here, that at the close of your birthday feast, a strange apparition, which was taken for the Vice-President, appeared among you, and toasted "the union of all honest men." I often hear at the corner of the streets important federal secrets, of which I am ignorant. This may be one.
If the story be true, 't is a good thing, if we use it well. As an instrument, the person will be an auxiliary of some value; as a chief, he will disgrace and destroy the party.
I suspect, however, the folly of the mass will make him the latter, and from the moment it shall appear that this is the plan, it may be depended upon much more will be lost than gained. I know of no more important character, who has a less founded interest than the man in question. His talents may do well enough for a particular plot, but they are ill suited to a great and wise drama. But what has wisdom to do with weak men? Adieu.
TO GENERAL CHARLES COTESWORTH PINCKNEY
March 15, 1802.
You will probably have learned before this reaches you that the act of last session for the better organization of the Judiciary Department has been repealed, and I take it for granted that you will, with me, view this measure as a vital blow to the Constitution. In my opinion it demands a systematic and persevering effort by all constitutional means to produce a revocation of the precedent, and to restore the Constitution. For this purpose I deem it
essential that there should be, without delay, a meeting and conference of a small number of leading Federalists from different States. Unless there shall be a plan of conduct proceeding from such a source, our measures will be disjointed, discordant, and of course ineffectual. There is also a further danger which may attend the want of a plan capable of fixing opinions and determining objects. There are among us incorrect men with very incorrect views, which may lead to combinations and projects injurious to us as a party and very detrimental to the country. These considerations have determined me to make an attempt to bring about such a meeting. And it has occurred that the first Monday of May next, at the city of Washington, may be a good time and place. A general meeting of the Society of the Cincinnati is to be then and there held. I have likewise taken the liberty to request the attendance of Governor Davie, of North Carolina. In the event of your concurring in sentiment with me, it will be expedient for you to second my invitation to him.\(^1\)
TO GOUVERNEUR MORRIS
New York, April 6, 1802.
Amidst the humiliating circumstances which attend our country, all the sound part of the community must find cause of triumph in the brilliant display of talents which have been employed, though without success, in resisting the follies of an in-
\(^1\) Reprinted from the *History of the Republic*, vii., 564.
fatuated administration; and your personal friends will not have much reason for mortification on account of the part you have performed in the interesting scene. But, my dear sir, we must not content ourselves with a temporary effort to oppose the approach of evil. We must derive instruction from the experience before us; and learning to form a just estimate of things to which we have been attached, there must be a systematic and persevering endeavor to establish the fortune of a great empire on foundations much firmer than have yet been devised. What will signify a vibration of power if it cannot be used with confidence or energy, and must be again quickly restored to hands which will prostrate much faster than we shall be able to rear under so frail a system? Nothing will be done until the structure of our national edifice shall be such as naturally to control eccentric passions and views, and to keep in check demagogues and knaves in the disguise of patriots. Yet I fear a different reasoning will prevail, and an eagerness to recover lost power will betray us into expedients which will be injurious to the country and disgraceful and ruinous to ourselves. What meant the apparition and the toast which made part of the after-piece of the birthday festival? Is it possible that some new intrigue is about to link the Federalists with a man who can never be anything else than the bane of a good cause? I dread more from this than from all the contrivances of the bloated and senseless junto of Virginia.
The Federalists and Anti-federalists of this State united in certain amendments to the Constitution
now before your House, having for objects, 1st, to discriminate the candidates for the Presidency and Vice-Presidency; 2d, to have the electors of these officers chosen by the people, in districts, under the direction of Congress. Both these appear to me points of importance in true federal calculation. Surely the scene of last session ought to teach us the intrinsic demerits of the existing plan. It proved to us how possible it is for a man in whom no party had confidence, and who deserved the confidence of none, by mere intrigue and accident, to acquire the first place in the government of our nation; and it also proves to us how serious a danger of convulsion and disorder is incident to the plan. On this point things have come to my knowledge, improper for a letter, which would astonish you. Surely, we ought by this time to have learnt that whatever multiplies the opportunities and means of cabal, is more favorable to our adversaries than to us. They have certainly the advantage in the game by greater zeal, activity, and subtlety, and especially by an abandonment of principle. On all these accounts it is our true policy to abridge the facilities to cabal as much as possible in all our public institutions and measures. As to the second of the amendments, it has ever appeared to me as sound principle to let the federal government rest, as much as possible, on the shoulders of the people, and as little as possible on those of the State Legislatures. The proposition accords with this principle, and, in my view, it is further recommended by its tendency to exclude combinations, which, I am persuaded, in the general
and permanent course of things, will operate more against than for us. Colonel Burr, without doubt, will resist these amendments; and he may induce some of our friends to play into his hands; but this will be a very bad calculation, even admitting the inadmissible idea that he ought to be adopted as a chief of the federal party. We never can have him fairly in our power, till we render his situation absolutely hopeless with his old friends. While the indiscriminate voting prevails, he will find it his interest to play fast and loose, and to keep himself in a state to be at the head of the anti-federal party. If these hopes are cut off, he will immediately set about forming a third party, of which he will be at the head; and then, if we think it worth the while, we can purchase him with his flying squadron.
These observations are, of course, hypothetical, for, to my mind, the elevation of Mr. Burr, by federal means, to the chief magistracy of the United States, will be the worst kind of political suicide.
TO JAMES A. BAYARD
NEW YORK, April, 1802.
My Dear Sir:
Your letter of the 12th instant has relieved me from some apprehension. Yet it is well that it should be perfectly understood by the truly sound part of the Federalists that there do, in fact, exist intrigues in good earnest between several individuals not unimportant, of the federal party, and the person in question, which are bottomed upon motives
and views by no means auspicious to the real welfare of the country. I am glad to find that it is in contemplation to adopt a plan of conduct. It is very necessary; and, to be useful, it must be efficient and comprehensive in the means which it embraces, at the same time that it must meditate none which are not really constitutional and patriotic. I will comply with your invitation by submitting some ideas which, from time to time, have passed through my mind. Nothing is more fallacious than to expect to produce any valuable or permanent results in political projects by relying merely on the reason of men. Men are rather reasoning than reasonable animals, for the most part governed by the impulse of passion. This is a truth well understood by our adversaries, who have practised upon it with no small benefit to their cause; for at the very moment they are eulogizing the reason of men, and professing to appeal only to that faculty, they are courting the strongest and most active passion of the human heart, vanity! It is no less true, that the Federalists seem not to have attended to the fact sufficiently; and that they erred in relying so much on the rectitude and utility of their measures as to have neglected the cultivation of popular favor, by fair and justifiable expedients. The observation has been repeatedly made by me to individuals with whom I particularly conversed, and expedients suggested for gaining good will, which were never adopted. Unluckily, however, for us, in the competition for the passions of the people, our opponents have great advantages over us; for the plain reason that the
vicious are far more active than the good passions; and that, to win the former to our side, we must renounce our principles and our objects, and unite in corrupting public opinion till it becomes fit for nothing but mischief. Yet, unless we can contrive to take hold of, and carry along with us some strong feelings of the mind, we shall in vain calculate upon any substantial or durable results. Whatever plan we may adopt, to be successful, must be founded on the truth of this proposition. And perhaps it is not very easy for us to give it full effects; especially not without some deviations from what, on other occasions, we have maintained to be right. But in determining upon the propriety of the deviations, we must consider whether it be possible for us to succeed, without, in some degree, employing the weapons which have been employed against us, and whether the actual state and future prospect of things be not such as to justify the reciprocal use of them. I need not tell you that I do not mean to countenance the imitation of things intrinsically unworthy, but only of such as may be denominated irregular; such as, in a sound and stable order of things, ought not to exist. Neither are you to infer that any revolutionary result is contemplated. In my opinion, the present Constitution is the standard to which we are to cling. Under its banners, bona fide, must we combat our political foes, rejecting all changes but through the channel itself provides for amendments. By these general views of the subject have my reflections been guided. I now offer you the outline of the plan which they have suggested.
Let an association be formed to be denominated "The Christian Constitutional Society." Its objects to be:
1st. The support of the Christian religion.
2d. The support of the Constitution of the United States.
Its organization
1st. A council, consisting of a president and twelve members, of whom four and the president to be a quorum.
2d. A sub-directing council in each State, consisting of a vice-president and twelve members, of whom four, with the vice-president, to be a quorum.
3d. As many societies in each State as local circumstances may permit to be formed by the sub-directing council.
The meeting at Washington to nominate the president and vice-president, together with four members of each of the councils, who are to complete their own numbers respectively.
Its means
1st. The diffusion of information. For this purpose not only the newspapers, but pamphlets, must be largely employed, and to do this a fund must be created; five dollars annually, for eight years, to be contributed by each member who can really afford it (taking care not to burthen the less able brethren), may afford a competent fund for a competent term. It is essential to be able to disseminate gratis useful
publications. Wherever it can be done, and there is a press, clubs should be formed, to meet once a week, read the newspapers, and prepare essays, paragraphs, etc.
2d. The use of all lawful means in concert to promote the election of fit men; a lively correspondence must be kept up between the different societies.
3d. The promoting of institutions of a charitable and useful nature in the management of Federalists. The populous cities ought particularly to be attended to; perhaps it would be well to institute in such places—1st, societies for the relief of emigrants; 2d, academies, each with one professor, for instructing the different classes of mechanics in the principles of mechanics and the elements of chemistry. The cities have been employed by the Jacobins to give an impulse to the country; and it is believed to be an alarming fact that, while the question of presidential election was pending in the House of Representatives, parties were organizing in several of the cities in the event of there being no election, to cut off the leading Federalists and seize the government.
The foregoing to be the principal engine, and, in addition, let measures be adopted to bring as soon as possible the repeal of the judiciary law before the Supreme Court; afterwards, if not before, let as many Legislatures as can be prevailed upon instruct their Senators to endeavor to procure a repeal of the repealing law. The body of New England, speaking the same language, will give a powerful impulse. In Congress our friends to propose little, to agree cordially to all good measures, and to resist and expose all bad. This is a general sketch of what has occurred to me. It is at the service of my friends for so much as it may be worth.
TO RUFUS KING
New York, June 3, 1802.
My Dear Sir:
I have been long very delinquent towards you as a correspondent, and am to thank you that you have not cast me off altogether as an irretrievable reprobate. But you know how to appreciate the causes, and you have made a construction equally just and indulgent.
In your last you ask my opinion about a matter delicate and important, both in a public and in a personal view. I shall give it with the frankness to which you have a right, and I may add that the impressions of your other friends, so far as they have fallen under my observation, do not differ from my own. While you were in the midst of a negotiation interesting to your country, it was your duty to keep your post. You have now accomplished the object, and with the good fortune, not very common, of having the universal plaudit. This done, it seems to me most advisable that you return home. There is little probability that your continuance in your present station will be productive of much positive good. Nor are circumstances such as to give reason to apprehend that the substitute for you, whoever he may be, can do much harm. Your stay or return, therefore, as it regards our transatlantic concerns,
is probably not material, while your presence at home may be useful in ways which it is not necessary to particularize. Besides, it is questionable whether you can long continue in the service of the present administration consistently with what is due, as well to your own character as to the common cause. I am far from thinking that a man is bound to quit a public office merely because the administration of the government may have changed hands. But when those who have come into power are undisguised persecutors of the party to which he has been attached, and study with ostentation to heap upon it every indignity and injury, he ought not, in my opinion, to permit himself to be made an exception, or to lend his talents to the support of such characters. If, in addition to this, it be true that the principles and plans of the men at the head of affairs tend to the degradation of the government, and to their own disgrace, it will hardly be possible to be in any way connected with them without sharing in the disrepute which they may be destined to experience.
I wish I had time to give you a comprehensive and particular map of our political situation; but more than a rude outline is beyond my leisure, devoted as I am more than ever to my professional pursuits.
You have seen the course of the administration hitherto, especially during the last session of Congress, and I am persuaded you will agree with me in opinion, that it could hardly have been more diligent in mischief. What, you will ask, has been and is likely to be the effect on the public mind?
Our friends are sanguine that a great change for the better has been wrought and is progressive. I suppose good has been done—that the Federalists have been reunited and cemented; have been awakened, alarmed. Perhaps, too, there may be some sensible and moderate men of the opposite party who are beginning to doubt. But I as yet discover no satisfactory symptoms of a revolution of opinion in the mass—"informe ingens cui lumen ademptum." Nor do I look with much expectation to any serious alteration until inconveniences are extensively felt, or until time has produced a disposition to coquet it with new lovers. Vibrations of power, you are aware, are of the genius of our government.
There is, however a circumstance which may accelerate the fall of the present party. There is certainly a most serious schism between the chief and his heir-apparent; a schism absolutely incurable, because founded in the hearts of both, in the rivalship of an insatiable and unprincipled ambition. The effects are already apparent, and are ripening into a more bitter animosity between the partisans of the two men, than ever existed between the Federalists and Anti-federalists.
Unluckily, we are not as neutral to this quarrel as we ought to be. You saw, however, how far our friends in Congress went in polluting themselves with the support of the second personage for the Presidency. The cabal did not terminate there. Several men of no inconsiderable importance among us like the enterprising and adventurous character
of this man, and hope to soar with him to power. Many more, through hatred to the chief, and through an impatience to recover the reins, are linking themselves to the new chief almost without perceiving it, and professing to have no other object than to make use of him; while he knows that he is making use of them. What this may end in, it is difficult to perceive.
Of one thing only I am sure, that in no event will I be directly or indirectly implicated in a responsibility for the elevation or support of either of two men who, in different senses, are in my eyes equally unworthy of the confidence of intelligent or honest men.
Truly, my dear sir, the prospects of our country are not brilliant. The mass is far from sound. At headquarters a most visionary theory presides. Depend upon it, this is the fact to a great extreme. No army, no navy, no active commerce; national defence, not by arms, but by embargoes, prohibitions of trade, etc.; as little government as possible within; —these are the pernicious dreams which, as far and as fast as possible, will be attempted to be realized. Mr. Jefferson is distressed at the codfish having latterly emigrated to the southern coast, lest the people there should be tempted to catch them, and commerce, of which we have already too much, receive an accession. Be assured this is no pleasantry, but a very sober anecdote.
Among Federalists old errors are not cured. They also continue to dream, though not quite so preposterously as their opponents. All will be very
well (say they) when the power once gets back into federal hands. The people, convinced by experience of their error, will repose a permanent confidence in good men. *Risum teneatis.*
TO THE EDITOR OF THE "EVENING POST"
NEW YORK, Aug. 10, 1802.
SIR:
Finding that a story, long since propagated, under circumstances which it was expected would soon consign it to oblivion (and by which I have been complimented at the expense of Generals Washington and Lafayette), has of late been revived, and has acquired a degree of importance by being repeated in different publications, as well in Europe as America, it becomes a duty to counteract its currency and influence by an explicit disavowal. The story imports in substance, that General Lafayette, with the approbation or connivance of General Washington, ordered me, as the officer who was to command the attack on a British redoubt, in the course of the siege of York Town, to put to death all those of the enemy who should happen to be taken in the redoubt, and that, through motives of humanity, I forbore to execute the order. Positively and unequivocally I declare, that no such nor similar order, nor any intimation nor hint resembling it, was ever by me received, or understood to have been given. It is needless to enter into an explanation of some occurrences on the occasion alluded to, which may be conjectured to have given rise to the calumny. It is
enough to say that they were entirely disconnected with any act of either of the generals who have been accused.
With esteem, I am, sir, your most obedient servant.\(^1\)
TO OLIVER WOLCOTT
GRANGE, Aug. 14, 1802.
My Dear Sir:
When you were last in town, I proposed to communicate to you the outline of a project, by which I think you may enter upon a career of business beneficial to yourself and friends. My almost constant attendance at court ever since you were here, has retarded the communication which I shall now make.
Let a commercial capital be found, to consist of 100,000 dollars, divided into shares of $100 each. A subscriber to pay in cash one tenth of his subscription, and for the residue 7 per centum per annum. It will then be his interest to pay up as soon as he can.
The subscribers to form a partnership, under the firm of Oliver Wolcott & Co.; Oliver Wolcott alone to have the signature of the firm, and the active management of the affairs of the company, with an allowance of $1,500 per annum out of the profits for the trouble of management, besides his share of profits as a partner.
Oliver Wolcott and two others of the partners to form a board of direction, to plan, etc.
Clerks and all incidental expenses to be paid out of the fund.
\(^1\) Reprinted from the *History of the Republic*, ii., 271.
The objects of the company.
1. Agencies of purchase and sales of land, stocks, etc.
2. Factorage of cargoes, consigned on commission; purchase of goods on commission, etc.; in brief, "the business of a commission merchant merely."
3. Purchases at auction, and sales of the articles purchased.
4. Loans of money on deposit of goods, with a right, if not redeemed in time, to sell on commission, perhaps.
Speculative enterprises in navigation and commerce to be excluded.
In a company thus formed under your management, I should be willing to become a partner for from 5 to 10,000 dollars, and I have no doubt that the capital will be readily formed of confidential and trustworthy characters, who would insure great credit to the house. I am also confident, that when it should be known in Europe that certain characters were of the company, it would attract a good portion of profitable employment.
I will enter into no further detail. If the project impresses you favorably, come to New York, and we will give it form, and finish and prepare for execution. Do not lightly reject it.
TO GOVERNEUR MORRIS
Grange, Sept. 4, 1802.
My Dear Sir:
I fully intended to have dined with you today, but, going to town the two last days, and forgetting
that I ought to observe a regimen, I have brought back, in some degree, the complaint which lately annoyed me, and which requires to be well watched. This must deprive me of the pleasure of seeing you.
I send schedules of the papers required of Tillier, all which have been put into my hands; the bills to remain till the close of the affair; the other documents to be delivered to your order.
I also send a draught of the trust deed. It endeavors to comply with your suggestion, as far as can be done without running foul of the danger desired to be avoided.
Your guests are invited to dine with us Thursday next.
Will you make one?
TO GENERAL CHARLES COTESWORTH PINCKNEY
GRANGE (New York), Dec. 29, 1802.
My Dear Sir:
A garden, you know, is a very useful refuge of a disappointed politician. Accordingly, I have purchased a few acres about nine miles from town, have built a house, and am cultivating a garden. The melons in your country are very fine. Will you have the goodness to send me some seed, both of the water and musk melons? My daughter adds another request, which is for three or four of your paroquets. She is very fond of birds. If there be any thing in this quarter the sending of which can give you pleasure, you have only to name them.
As farmers, a new source of sympathy has arisen between us, and I am pleased with everything in which our likings and tastes can be approximated. Amidst the triumphant reign of democracy, do you retain sufficient interest in public affairs to feel any curiosity about what is going on? In my opinion, the follies and vices of the administration have as yet made no material impression to their disadvantage. On the contrary, I think the malady is rather progressive than upon the decline in our Northern quarter. The last lullaby message, instead of inspiring contempt, attracts praise. Mankind are forever destined to be the dupes of bold and cunning imposture. But a difficult knot has been twisted by the incidents of the cession of Louisiana, and the interruption of the deposit of New Orleans. You have seen the soft turn given to this in the message. Yet we are told that the President, in conversation, is very stout. The great embarrassment must be how to carry on the war without taxes. The pretty scheme of substituting economy to taxation will not do here. And a war would be a terrible comment upon the abandonment of the internal revenue. Yet how is popularity to be preserved with the Western partisans if their interests are tamely sacrificed? Will the artifice be for the chief to hold a bold language, and the subalterns to act a feeble part? Time must explain. You know my general theory as to our Western affairs. I have always held that the unity of our empire and the best interests of our nation require that we shall annex to the United States all the territory east of the Mississippi, New
Orleans included. Of course I infer that, in an emergency like the present, energy is wisdom.
Mrs. Hamilton joins me in affectionate compliments to Mrs. Pinckney.
TO TIMOTHY PICKERING
NEW YORK, Sept. 18, 1803.
My Dear Sir:
I will make no apology for my delay in answering your inquiry, some time since made, because I could offer none which would satisfy myself. I pray you only to believe that it proceeded from anything rather than want of respect or regard. I shall now comply with your request. The highest-toned propositions which I made in the convention were for a President, Senate, and Judges during good behavior—a House of Representatives for three years. Though I would have enlarged the legislative power of the general government, yet I never contemplated the abolition of the State governments, but on the contrary, they were, in some particulars, constituent parts of my plan. This plan was, in my conception, conformable with the strict theory of a government purely republican, the essential criteria of which are that the principal organs of the executive and legislative departments be elected by the people, and hold their offices by a responsible and temporary or defeasible tenure. A vote was taken on the proposition respecting the executive. Five
¹ At this time Senator from Massachusetts.
States were in favor of it, among these Virginia, and though, from the manner of voting—by delegations,—individuals were not distinguished, it was morally certain, from the known situation of the Virginia members (six in number, two of them, Mason and Randolph, professing popular doctrines), that Madison must have concurred in the work of Virginia; thus, if I sinned against republicanism, Mr. Madison was not less guilty. I may truly then say that I never proposed either a President or Senate for life, and that I neither recommended nor meditated the annihilation of the State governments. And I may add that, in the course of the discussions in the convention, neither the propositions thrown out for debate, nor even those voted in the earlier stages of the deliberation, were considered as evidences of a definitive opinion in the proposer or voter.\footnote{See Madison Papers, ii., 724-762.} It appeared to me to be in some sort understood that, with a view to free investigation, experimental propositions might be made, which were to be received merely as suggestions for consideration. Accordingly, it is a fact that my final opinion was against an Executive during good behavior, on account of the increased danger to the public tranquillity incident to the election of a magistrate of this degree of permanency. In the plan of a constitution which I drew up while the convention was sitting, and which I communicated to Mr. Madison about the close of it, perhaps a day or two after, the office of President has no greater duration than for three years.\footnote{Ibid., iii.; Appendix xvi. and xxi.} This
plan was predicated upon these bases: 1. That the political principles of the people of this country would endure nothing but republican government. 2. That in the actual situation of the country, it was in itself right and proper that the republican theory should have a fair and full trial. 3. That to such a trial it was essential that the government should be so constructed as to give all the energy and stability reconcilable with the principles of that theory.
These were the genuine sentiments of my heart, and upon them I acted. I sincerely hope that it may not hereafter be discovered that, through want of sufficient attention to the last idea, the experiment of republican government, even in this country, has not been as complete, as satisfactory, and as decisive as could be wished.
TO RUFUS KING
ALBANY, Feb. 24, 1804.
My Dear Sir:
You will have heard before this reaches you of the fluctuations and changes which have taken place in the measures of the reigning party, as to a candidate for governor; and you will probably have also been informed that, pursuant to the opinions professed by our friends, before I left New York I had taken an active part in favor of Mr. Lansing.
It is a fact to be regretted, though anticipated, that the Federalists very extensively had embarked with zeal in the support of Mr. Burr; yet an impression to the contrary, and in favor of Mr. Lansing, had
been made, and there was good ground to hope that a proper direction in the main might have been given to the current of Federalism. The substitution of Mr. Lewis has essentially varied the prospect, and the best informed among us here agree that the Federalists, as a body, could not be diverted from Mr. Burr to Mr. Lewis, by any efforts of leading characters, if they should even deem the support of the latter expedient.
Though I have no reason to think that my original calculation was wrong, while the competition was between Clinton and Burr, yet from the moment the former declined, I began to consider the latter as having a chance of success. It was still, however, my reliance that Lansing would outrun him; but now that Chief-Justice Lewis is the competitor, the probability in my judgment inclines to Mr. Burr.
Thus situated, two questions have arisen; first, whether a federal candidate ought not to be run, as a means of defeating Mr. Burr, and of keeping the Federalists from becoming a personal faction allied to him. Second, whether, in the conflict of parties as they now stand, the strongest of them disconcerted and disjointed, there would not be a considerable hope of success for a federal candidate.
These questions have received no solution in scarcely any one's mind; but it is agreed that, if an attempt is to be made, you must be the candidate. There is no other man among us under whose standard either fragment of the democratic party could as easily rally. It is enough to say, you have been absent during the time in which party animosities
have become matured and fixed, and, therefore, are much less than any other distinguished Federalist, an object of them.
To detach the Federalists from Burr, they must believe two things: one, that we are in earnest as to our candidate, and that it is not a mere diversion; the other, that there is some chance of success. All believe, and some leading candidates admit, that if either of the two democratic rival parties should come to expect a defeat, they will range themselves under your banner.
Reflect well on all these things, and make up your mind in case you should be invited to consent. I have not time to enlarge.
TO GOVERNOR GEORGE CLINTON
ALBANY, Feb. 27, 1804.
SIR:
It is now a long time since a very odious slander has been in circulation to the prejudice of my character.
It has come to my ears in more than one way, but always, till lately, without the disclosure of any source to which I could resort for explanation or detection. Within a few days, Mr. Kane, of this city, related to me a story as coming from Judge Purdy, in substance very similar to the calumny to
---
1 To the effect that he was the author of a letter proposing a monarchical government, in 1788, with Prince Frederick, Duke of York, and titular Bishop of Osnaburg, as king. Clinton finally disclaimed all belief in the accusation.
which I have alluded. The amount of his information, and the result of an interview with Judge Purdy, are contained in the enclosed paper.* You will observe, sir, that your name is implicated in the transaction. With what warrant, it would be improper
* The following letter is the paper referred to. It is taken from the Clinton papers, and I owe it to the kindness of Mr. Henry A. Homes, State Librarian of New York:
"Some time in the month of January last I called on the Hon. Jacob Snell, a member of the Council of Appointment, where I found the Hon. Ebenezer Purdy, together with a Mr. Hughes and one or two other gentlemen, whose names I do not recollect. Mr. Purdy immediately asked me if I had any objection to hear an oration read that was delivered on the Fourth of July by a young Irishman, who, if I mistake not, then resided in his family. I replied, Certainly not. It was a violent philippic against the Federal administration; the stamp act, sedition law, standing army, etc., were represented as the leading features of the Federal faction. After some considerable conversation on the merits of the oration, between Mr. Purdy and myself, he remarked that he fully believed monarchy was the object of the Federalists; that there was a person who did not wish to have his name mentioned who could prove the fact, and stood ready to make affidavit of it. That some time in the year of '98 a negotiation was opened between Gen. Hamilton, Mr. Adams, and the King of England, for the purpose of introducing monarchy into this country, at the head of which was to be placed one of the royal family, and that Canada was to be ceded to the States. For the truth of the above, Mr. Purdy referred me to Governor Clinton, who he said would not deny it, altho' he did not wish to say any thing about it.
"On the 23d of January, 1804, Gen. Hamilton and myself called upon Mr. Purdy for the purpose of investigating the affair. Gen. Hamilton introduced the subject to Mr. Purdy by telling him he had received information from Mr. Kane of certain declarations [of] a nature very interesting to his character, which he was determined to have explained and investigated. I then related to Mr. Purdy the conversation he had with me, as above stated. Mr. Purdy replied: 'What you have said, Mr. Kane, is pretty nearly correct [or words to that effect], with this difference: I did not mention Mr. Adams' name, and that affair which I spoke of to you did not happen in '98, but some time previous to the convention which formed the present Constitution of the United States. What I told you was nearly this: That somebody in England had made proposals to somebody at the Eastward
for me to prejudge. But the very mention of your name adds importance to the affair, and increases the motives to investigation.
The charge, even in the mitigated form to which it is reduced by Judge Purdy's admission, is of a nature too derogatory to permit me to pass it lightly over. It is essential that its origin and progress should be traced as fully as may be practicable, in order to the thorough exposure of its falsehood and malignity.
The assertions of Judge Purdy authorize me to appeal to you for a frank and candid explanation of so much of the matter as relates to yourself. This explanation I request as speedily as may be.
for establishing a monarchy in this country, and placing at the head of it a son of the King of Great Britain; that some letters or papers containing these proposals were sent to Gen. Hamilton, copies of which were made in his office to be distributed amongst certain persons.' Mr. Purdy then asked me if this was not the substance of what he had told me. I said that the difference was between that and what I had before stated, and recapitulated what I have before said. I also pressed upon Mr. Purdy what I had before stated respecting Gov. Clinton, and questioned him whether he had not made such an appeal to Gov. Clinton, and also whether he had not affirmed that there was a person who could attest the truth of the story. Mr. Purdy persisted in the statement which he had just made. As to Gov. Clinton, he admitted that he had mentioned to the Governor the story he had heard, and that the Governor had replied that he had had one of the letters. On being interrogated by Gen. Hamilton, whether he had mentioned his name to Gov. Clinton, he answered he was not sure whether he had done it or not. On being further interrogated as to his having said there was a person ready to prove the transaction he had stated, he answered there was a person who had assured him of his knowledge of the transaction as it was now stated by him. A variety of other conversation passed, but the above comprises the most material particulars.
(Signed) "James Kane."
TO GOVERNOR GEORGE CLINTON
ALBANY, March 2, 1804.
SIR:
If our correspondence does not terminate with your letter of the 29th February, received yesterday, I wish it to be understood that it proceeds merely from the desire of removing all ambiguity from a transaction in which my character may be materially interested.
It is perhaps the natural inference from what you have stated, that nothing took place on your part to sanction or corroborate the story related to you by Judge Purdy, in reference to any agency or co-operation of mine in the supposed project. Yet some of the circumstances are such, that a different inference might possibly be drawn.
I therefore trust that you will be sensible of the propriety of dissipating all obscurity on this point.
If the letter, which you mention to have been put in your hands by General Malcolm, was not withdrawn by him, or if any copy was retained by you, it would be satisfactory to me to have an inspection of the one or the other, with leave to take a copy, in order that I may have an additional clue to the source of a story, which I verily believe originated entirely in a fabrication.
TO GOVERNOR GEORGE CLINTON
ALBANY, March 7, 1804.
SIR:
On Saturday last I sent you a letter, of which the foregoing is a copy, to which, as yet, I have received no reply.
Intending to leave this place for New York on Saturday next, it is important that I should receive an answer before that day.
TO GOVERNOR GEORGE CLINTON
ALBANY, March 9, 1804.
SIR:
I had the honor of receiving yesterday your Excellency’s letter of the 6th instant. It is agreeable to me to find in it a confirmation of the inference that you had given no countenance to the supposition of my agency or co-operation in the project to which the story of Judge Purdy relates; and it only remains for me to regret that it is not in your power to furnish the additional clue, of which I was desirous, to aid me in tracing the fabrication to its source.
I shall not only rely on the assurance which you give as to the future communication of the copy of the letter in question, should it hereafter come to your hands, but I will take the liberty to add a request, that you will be pleased to make known to me any other circumstances, if any should reach you, which may serve to throw light upon the affair. I feel an anxiety that it should be thoroughly sifted, not merely on my own account, but from a conviction that the pretended existence of such a project, long travelling about in whispers, has had no inconsiderable influence in exciting false alarms, and unjust suspicions to the prejudice of a number of
individuals, every way worthy of public confidence, who have always faithfully supported the existing institutions of the country, and who would disdain to be concerned in an intrigue with any foreign power, or its agents, either for introducing monarchy, or for promoting or upholding any other scheme of government within the United States.
TO TALLEYRAND
New York, March 25, 1804.
Sir:
Presuming on the acquaintance, from which I derived so much pleasure during your stay in this country, I am going to take a very great liberty. It concerns a near relation of mine, Mr. Alexander Hamilton, now a prisoner of war on parole at Paris.
His brother, from whom I have just received a letter, informs me that, being on a visit to the continent as a traveller, he was overtaken by the war between France and Great Britain, and has been since that time in the situation which I have mentioned. He is a Scotch gentleman of education and literary acquirements, who, having amassed a pretty handsome fortune in the East Indies, had returned to his own country to devote himself to the pursuits of knowledge, and was induced to pass over to the continent to indulge his curiosity, with a particular eye to the very interesting monuments of the arts, of which Paris is now the depository.
I will ask nothing specific for him, because I know not what could with propriety be done, contenting
myself with merely saying, that if your interposition can procure for him any facility, indulgence, or favor, it will confer a personal obligation on one who has the honor to remain, etc.
TO
NEW YORK, April 12, 1804.
DEAR SIR:
The post of to-day brought me a letter from you, and another from Mr. ——. I have no doubt but the latter would serve you if he could; but he cannot at this time.
On the whole, I would advise you to return to New York, and accept any respectable employment in your way, till an opportunity of something better shall occur. 'T is by practice and perseverance that we can expect to vanquish difficulties, and better an unpleasant condition.
Arraign not the dispensations of Providence, they must be founded in wisdom and goodness; and when they do not suit us, it must be because there is some fault in ourselves which deserves chastisement; or because there is a kind intent, to correct in us some vice or failing, of which, perhaps, we may not be conscious; or because the general plan requires that we should suffer partial ill.
In this situation it is our duty to cultivate resignation, and even humility, bearing in mind, in the language of the poet, "that it was pride which lost the blest abodes."¹
¹ Now first printed from the Hamilton papers in the State Department.
TO PHILIP J. SCHUYLER
April 20, 1804.
My Dear Sir:
I did not write to you on the subject of the awards, because I was in correspondence with Mr. Jacob Van Rensselaer respecting the matter.
He has sent me the draughts of deeds which I shall in a few days inspect, and return with such suggestions as may be requisite.
The things most urgent are—1. The completion of the survey, which Mr. R. writes me is in train.—2. The appointment of a guardian for Mr. Kane’s daughter at Schenectady. On both objects, I have written particularly to Mr. J. Van Rensselaer.
I say nothing on politics, with the course of which I am too much disgusted to give myself any future concern about them.
TO JAMES A. HAMILTON
1804.
My Dear James:
I have prepared for you a Thesis on Discretion. You may need it. God bless you.
Your affectionate father.
TO THEODORE SEDGWICK
New York, July 10, 1804.
My Dear Sir:
I have received two letters from you since we last saw each other, that of the latest date being the 24th
1 Hamilton's brother-in-law.
2 This letter, now first printed, I owe to the kindness of Mr. Henry A. Homes, State Librarian at Albany.
3 Reprinted from the Reminiscences of James A. Hamilton, p. 40.
of May. I have had on hand for some time a long letter to you, explaining my view of the course and tendency of our politics, and my intentions as to my own future conduct. But my plan embraced so large a range that, owing to much avocation, some indifferent health, and a growing distaste to politics, the letter is still considerably short of being finished. I write this now to satisfy you that want of regard for you has not been the cause of my silence.
I will here express but one sentiment, which is, that dismemberment of our empire will be a clear sacrifice of great positive advantages without any counterbalancing good, administering no relief to our real disease, which is democracy, the poison of which, by a subdivision, will only be the more concentrated in each part, and consequently the more virulent. King is on his way for Boston, where you may chance to see him, and hear from himself his sentiments. God bless you.\(^1\)
[This letter and the next were omitted by an oversight, and are therefore given here.]
TO GENERAL JOHN SULLIVAN
HEADQUARTERS, 1778.
SIR:
His Excellency has received your two last favors to-day. In the first you hint the want of a reinforcement, but as the intention of your body is chiefly for observation and skirmishing, and not to
\(^1\) The day after this letter was written Hamilton was killed by Burr.
make any serious stands, it is the less necessary it should be powerful in numbers. It will, however, depend upon circumstances how far it will be expedient to reinforce; and as soon as anything can be determined from them, you shall have whatever addition of strength you may stand in need of.
The information contained in your last, of the enemy's being encamped on the road leading from New Brunswick to Princeton, about the Third Mile Run, is not well founded. We have had parties and officers, reconnoitring as far as the Mile Run, and there is no sign of an encampment. They seem to be taking their old position with their right at Amboy, their left at Brunswick; but how long they will remain so it is hard to tell. His Excellency desires you will engage some trusty person at South Amboy, on whom you can depend for faithful and early intelligence of the appearance of shipping in the river, or any preparation for a movement by water, that we may be in time prepared to counteract them.
TO WASHINGTON
AMBOY, March 17, 1780.
Dear Sir:
I duly received your letter of the fourteenth, and shall not fail, in conjunction with General St. Clair, to attend to the military object of it. I am much obliged to your Excellency for the communication of your Southern advices. The enemy are still in the dark about their fleet and army gone that way, as we gather from the commissioners. They pretend to have little European news, though a vessel arrived two or three days since from England, after ten weeks' passage. We send you some late New York papers.
The commission has been several days at an end. The enemy, as was supposed, had no idea of treating on national ground. We are now in private conversation, and so far not without hopes that the liberation of our prisoners will be effected on admissible terms. Two or three days more will probably put an end to the interview. General St. Clair and Colonel Carrington beg their respects may be presented to your Excellency.
[Correspondence relating to the duel with Burr. Reprinted from the History of the Republic, vii., 805, et seq.]
A. BURR TO GENERAL HAMILTON
New York, June 18, 1804.
Sir:
I send you for your perusal a letter signed Charles D. Cooper, which, though apparently published some time ago, has but very recently come to my knowledge. Mr. Van Ness, who does me the honor to deliver this, will point out to you that clause of the letter to which I particularly request your attention. You must perceive, sir, the necessity of a prompt, unqualified acknowledgment or denial of the use of any expressions which would warrant the assertions of Dr. Cooper.
HAMILTON TO BURR
NEW YORK, June 20, 1804.
SIR:
I have maturely reflected on the subject of your letter of the eighteenth instant, and the more I have reflected, the more I have become convinced that I could not, without manifest impropriety, make the avowal or disavowal which you seem to think necessary. The clause pointed out by Mr. Van Ness is in these terms: "I could detail to you a still more despicable opinion which General Hamilton has expressed of Mr. Burr." To endeavor to discover the meaning of this declaration, I was obliged to seek in the antecedent part of this letter for the opinion to which it referred, as having been already disclosed. I found it in these words: "General Hamilton and Judge Kent have declared in substance that they looked upon Mr. Burr to be a dangerous man, and one who ought not to be trusted with the reins of government."
The language of Dr. Cooper plainly implies that he considered this opinion of you, which he attributes to me, as a despicable one; but he affirms that I have expressed some other, more despicable, without, however, mentioning to whom, when, or where. It is evident that the phrase "still more despicable" admits of infinite shades, from very light to very dark. How am I to judge of the degree intended, or how shall I annex any precise idea to language so indefinite?
Between gentlemen, despicable and more despicable are not worth the pains of distinction; when,
therefore, you do not interrogate me as to the opinion which is specifically ascribed to me, I must conclude that you view it as within the limits to which the animadversions of political opponents upon each other may justifiably extend, and consequently as not warranting the idea of it which Dr. Cooper appears to entertain. If so, what precise inference could you draw as a guide for your conduct, were I to acknowledge that I had expressed an opinion of you still more despicable than the one which is particularized? How could you be sure that even this opinion had exceeded the bounds which you yourself deem admissible between political opponents?
But I forbear further comment on the embarrassment to which the requisition you have made naturally leads. The occasion forbids a more ample illustration, though nothing could be more easy than to pursue it. Repeating, that I cannot reconcile it with propriety to make the acknowledgment you desire, I will add that I deem it inadmissible, on principle, to consent to be interrogated as to the justness of the inferences which may be drawn by others from what I may have said of a political opponent in the course of fifteen years' competition. If there were no other objection to it, this is sufficient, that it would tend to expose my sincerity and delicacy to injurious imputation from every person who may at any time have conceived the import of my expressions differently from what I may then have intended or may afterwards recollect. I stand ready to avow or disavow, promptly and explicitly, any precise or definite opinion which I may be
charged with having declared of any gentleman. More than this cannot fitly be expected from me, and especially it cannot be reasonably expected that I shall enter into an explanation upon a basis so vague as that which you have adopted. I trust, on mature reflection, you will see the matter in the same light with me. If not, I can only regret the circumstance, and must abide the consequences.
The publication of Dr. Cooper was never seen by me until after the receipt of your letter.
BURR TO HAMILTON
NEW YORK, June 21, 1804.
SIR:
Your letter of the 20th inst. has been this day received. Having considered it attentively, I regret to find in it nothing of that sincerity and delicacy which you profess to value.
Political opposition can never absolve gentlemen from the necessity of a rigid adherence to the laws of honor and the rules of decorum. I neither claim such privilege nor indulge it in others.
The common-sense of mankind affixes to the epithet adopted by Dr. Cooper, the idea of dishonor. It has been publicly applied to me under the sanction of your name. The question is not whether he has understood the meaning of the word, or has used it according to syntax and with grammatical accuracy, but whether you have authorized this application, either directly or by uttering expressions or opinions derogatory to my honor. The time "when" is in your own knowledge, but no way
material to me, as the calumny has now first been disclosed, so as to become the subject of my notice, and as the effect is present and palpable. Your letter has furnished me with new reasons for requiring a definite reply.
HAMILTON TO BURR
NEW YORK, June 22, 1804.
SIR:
Your first letter, in a style too peremptory, made a demand, in my opinion, unprecedented and unwarrantable. My answer, pointing out the embarrassment, gave you an opportunity of taking a less exceptionable course. You have not chosen to do it; but by your last letter, received this day, containing expressions indecorous and improper, you have increased the difficulties to explanation intrinsically incident to the nature of your application. If by a "definite reply," you mean the direct avowal or disavowal required in your first letter, I have no other answer to give, than that which has already been given. If you mean any thing different, admitting of greater latitude, it is requisite you should explain.
W. P. VAN NESS¹ TO HAMILTON
June 23, 1804.
SIR:
In the afternoon of yesterday, I reported to Col. Burr the result of my last interview with you and
¹ Burr's second in the duel.
appointed the evening to receive his further instructions. Some private engagements, however, prevented me from calling on him till morning. On my return to the city, I found upon inquiry, both at your office and house, that you had returned to your residence in the country.
Lest an interview there might be less agreeable to you than elsewhere, I have taken the liberty of addressing you this note to inquire when and where it will be most convenient to you to receive a communication.
VAN NESS TO MAJOR NATHANIEL PENDLETON
June 26, 1804.
SIR:
The letter which you yesterday delivered me, and your subsequent communication, in Col. Burr's opinion, evince no disposition on the part of General Hamilton to come to a satisfactory accommodation. The injury complained of and the reparation expected are so definitely expressed in Col. Burr's letter of the 21st instant, that there is not perceived a necessity for further explanation on his part. The difficulty that would result from confining the inquiry to any particular times and occasions must be manifest. The denial of a specified conversation only, would leave strong implication that on other occasions improper language had been used. When and where injurious opinions and expressions have been uttered by General Hamilton
---
1 Pendleton was Hamilton's second in the duel.
must be best known to him, and of him only will Col. Burr inquire. No denial or declaration will be satisfactory, unless it be general, so as to wholly exclude the ideas that rumors derogatory to Col. Burr’s honor have originated with General Hamilton, or have been fairly inferred from any thing he has said. A definite reply to a requisition of this nature was demanded by Col. Burr’s letter of the twenty-first inst. This being refused, invites the alternative referred to in General Hamilton’s letter of the 20th. It was required by the position in which the controversy was placed by General Hamilton on Friday last, and I was immediately furnished with a communication demanding a personal interview. The necessity of this measure has not, in the opinion of Col. Burr, been diminished by the General’s last letter, or any communication which has since been received. I am consequently again instructed to deliver to you a message, as soon as it may be convenient for you to receive it. I beg, therefore, you will be so good as to inform me at what hour I can have the pleasure of seeing you.
---
PENDLETON TO VAN NESS
June 26, 1804.
Sir:
I have communicated the letter which you did me the honor to write to me of this date, to General Hamilton. The expectations now disclosed on the part of Col. Burr appear to him to have greatly extended the original ground of inquiry, and instead
of presenting a particular and definite case for explanation, seem to aim at nothing less than an inquisition into his most confidential conversations, as well as others, through the whole period of his acquaintance with Col. Burr. While he was prepared to meet the particular case fairly and fully, he thinks it inadmissible that he should be expected to answer at large as to every thing that he may possibly have said, in relation to the character of Col. Burr, at any time, or upon any occasion. Though he is not conscious that any charges which are in circulation to the prejudice of Col. Burr have originated with him, except one which may have been so considered, and which has long since been fully explained between Col. Burr and himself, yet he cannot consent to be questioned generally as to any rumors which may be afloat derogatory to the character of Col. Burr, without specification of the several rumors, many of them probably unknown to him. He does not, however, mean to authorize any conclusion as to the real nature of his conduct in relation to Col. Burr, by his declining so loose and vague a basis of explanation, and he disavows an unwillingness to come to a satisfactory, provided it be an honorable, accommodation.
His objection is, the very indefinite ground which Col. Burr has assumed, in which he is sorry to be able to discern nothing short of premeditated hostility. Presuming, therefore, that it will be adhered to, he has instructed me to receive the message which you have it in charge to deliver. For this purpose I shall be at home and at your
accommodation to-morrow morning, from eight to ten o'clock.\(^1\)
VAN NESS TO PENDLETON
June 27, 1804.
SIR:
The letter which I had the honor to receive from you, under date of yesterday, states, among other things, that in General Hamilton's opinion, Col. Burr has taken a very indefinite ground, in which he evinces nothing short of pre-determined hostility, and that General Hamilton thinks it inadmissible that the inquiry should extend to his confidential as well as other conversations. In this Col. Burr can only reply, that secret whispers, traducing his fame and impeaching his honor, are, at least, equally injurious with slanders publicly uttered; that General Hamilton had at no time and in no place a right to use any such injurious expressions, and the partial negative he is disposed to give, with the reservation he wishes to make, are proofs that he has done the injury specified.
Col. Burr's request was, in the first instance, proposed in a form the most simple, in order that Gen-
\(^1\) Note from the *History of the Republic*, vii., 812.—"T is not unworthy of notice, that on the very day of this communication, Hamilton, who had been consulted by a poor, illiterate man, in the humblest walk of life, wrote this note: "Dear Sir: I should like to see you on the subject of a poor fellow, Peter Drinker, who says he has been employed by you, and appears unfortunate, which is his title to my attention. Yours truly, A. H. June 26, 1804. P. G. Stuyvesant, Esq." This much-respected gentleman relates: "I reproved the man for the freedom in which he had indulged, and undertook to convince him of the impropriety of troubling General Hamilton with his concerns." His reply was: "Oh, no, sir, he treated me very kindly."
eral Hamilton might give to the affair that course to which he might be induced by his temper and his knowledge of facts. Col. Burr trusted with confidence that, from the frankness of a soldier and the candor of a gentleman, he might expect an ingenuous declaration. That if, as he had reason to believe, General Hamilton had used expressions derogatory to his honor, he would have had the magnanimity to retract them; and that if, from his language, injurious inferences had been improperly drawn, he would have perceived the propriety of correcting errors which might thus have been widely diffused. With these impressions, Col. Burr was greatly surprised at receiving a letter which he considered as evasive, and which in manner he deemed not altogether decorous. In one expectation, however, he was not wholly deceived, for the close of General Hamilton's letter contained an intimation that if Col. Burr should dislike his refusal to acknowledge or deny, he was ready to meet the consequences. This Col. Burr deemed a sort of defiance, and would have felt justified in making it the basis of an immediate message. But as the communication contained something concerning the indefiniteness of the request, as he believed it rather the offspring of false pride than of reflection, and as he felt the utmost reluctance to proceed to extremities while any other hope remained, his request was repeated in terms more explicit. The replies and propositions on the part of Gen. Hamilton have, in Col. Burr's opinion, been constantly in substance the same.
Col. Burr disavows all motives of premeditated
hostility, a charge by which he thinks insult added to injury. He feels as a gentleman should feel when his honor is impeached or assailed; and without sensations of hostility or wishes of revenge, he is determined to vindicate that honor at such hazard as the nature of the case demands.
The length to which this correspondence has extended, only tending to prove that the satisfactory redress, earnestly desired, cannot be obtained, he deems it useless to offer any proposition, except the simple message, which I shall now have the honor to deliver.
REMARKS BY HAMILTON ON THE LETTER OF JUNE 27, 1804
Whether the observations on this letter are designed merely to justify the result which is indicated in the close of the letter, or may be intended to give an opening for rendering any thing explicit which may have been deemed vague heretofore, can only be judged of by the sequel. At any rate, it appears to me necessary not to be misunderstood. Mr. Pendleton is therefore authorized to say, that in the course of the present discussion, written or verbal, there has been no intention to evade, defy, or insult, but a sincere disposition to avoid extremities, if it could be done with propriety. With this view, Gen. Hamilton has been ready to enter into a frank and free explanation on any and every object of a specific nature, but not to answer a general and abstract inquiry embracing a period too long for any
accurate recollection, and exposing him to unpleasant criticisms from, or unpleasant discussions with, any and every person who may have understood him in an unfavorable sense. This (admitting that he could answer in a manner the most satisfactory to Col. Burr) he should deem inadmissible in principle and precedent, and humiliating in practice. To this therefore he can never submit. Frequent allusion has been made to slanders said to be in circulation. Whether they are openly or in whispers, they have a form and shape and might be specified. If the alternative alluded to in the close of the letter is definitely tendered, it must be accepted; the time, place, and manner to be afterwards regulated. I should not think it right in the midst of a Circuit Court to withdraw my services from those who may have confided important interests to me and expose them to the embarrassment of seeking other counsel, who may not have time to be sufficiently instructed in their case. I shall also want a little time to make some arrangements respecting my own affairs.
STATEMENT BY HAMILTON AS TO HIS MOTIVES IN MEETING BURR
On my expected interview with Col. Burr, I think it proper to make some remarks explanatory of my conduct, motives, and views. I was certainly desirous of avoiding this interview for the most cogent reasons:
(1) My religious and moral principles are strongly opposed to the practice of duelling, and it would
ever give me pain to be obliged to shed the blood of a fellow-creature in a private combat forbidden by the laws.
(2) My wife and children are extremely dear to me, and my life is of the utmost importance to them in various views.
(3) I feel a sense of obligation towards my creditors; who, in case of accident to me by the forced sale of my property, may be in some degree sufferers. I did not think myself at liberty as a man of probity lightly to expose them to this hazard.
(4) I am conscious of no ill-will to Col. Burr, distinct from political opposition, which, as I trust, has proceeded from pure and upright motives.
Lastly, I shall hazard much and can possibly gain nothing by the issue of the interview.
But it was, as I conceive, impossible for me to avoid it. There were intrinsic difficulties in the thing and artificial embarrassments, from the manner of proceeding on the part of Col. Burr.
Intrinsic, because it is not to be denied that my animadversions on the political principles, character, and views of Col. Burr have been extremely severe; and on different occasions I, in common with many others, have made very unfavorable criticisms on particular instances of the private conduct of this gentleman. In proportion as these impressions were entertained with sincerity and uttered with motives and for purposes which might appear to me commendable, would be the difficulty (until they could be removed by evidence of their being erroneous) of explanation or apology. The disavowal required of
me by Col. Burr in a general and indefinite form was out of my power, if it had really been proper for me to submit to be questioned, but I was sincerely of opinion that this could not be, and in this opinion I was confirmed by that of a very moderate and judicious friend whom I consulted. Besides that, Col. Burr appeared to me to assume, in the first instance, a tone unnecessarily peremptory and menacing, and, in the second, positively offensive. Yet I wished, as far as might be practicable, to leave a door open to accommodation. This, I think, will be inferred from the written communication made by me and by my directions, and would be confirmed by the conversations between Mr. Van Ness and myself which arose out of the subject. I am not sure whether, under all the circumstances, I did not go further in the attempt to accommodate than a punctilious delicacy will justify. If so, I hope the motives I have stated will excuse me. It is not my design, by what I have said, to affix any odium on the conduct of Col. Burr in this case. He doubtless has heard of animadversions of mine which bore very hard upon him, and it is probable that as usual they were accompanied with some falsehoods. He may have supposed himself under a necessity of acting as he has done. I hope the grounds of his proceeding have been such as ought to satisfy his own conscience. I trust, at the same time, that the world will do me the justice to believe that I have not censured him on light grounds nor from unworthy inducements. I certainly have had strong reasons for what I have said, though it is possible
that in some particulars I may have been influenced by misconstruction or misinformation. It is also my ardent wish that I may have been more mistaken than I think I have been; and that he, by his future conduct, may show himself worthy of all confidence and esteem and prove an ornament and a blessing to the country. As well, because it is possible that I may have injured Col. Burr, however convinced myself that my opinions and declarations have been well-founded, as from my general principles and temper in relation to similar affairs, I have resolved, if our interview is conducted in the usual manner, and it pleases God to give me the opportunity, to reserve and throw away my first fire, and I have thoughts even of reserving my second fire, and thus giving a double opportunity to Col. Burr to pause and reflect. It is not, however, my intention to enter into any explanations on the ground. Apology from principle, I hope, rather than pride, is out of the question. To those who, with me, abhorring the practice of duelling, may think that I ought on no account to have added to the number of bad examples, I answer that my relative situation, as well in public as private, enforcing all the considerations which constitute what men of the world denominate honor, imposed on me (as I thought) a peculiar necessity not to decline the call. The ability to be in future useful, whether in resisting mischief or in effecting good, in those crises of our public affairs which seem likely to happen, would probably be inseparable from a conformity with public prejudice in this particular.
TO MRS. HAMILTON
July 10, 1804.
This letter, my dear Eliza, will not be delivered to you, unless I shall first have terminated my earthly career, to begin, as I humbly hope, from redeeming grace and divine mercy, a happy immortality. If it had been possible for me to have avoided the interview, my love for you and my precious children would have been alone a decisive motive. But it was not possible, without sacrifices which would have rendered me unworthy of your esteem. I need not tell you of the pangs I feel from the idea of quitting you, and exposing you to the anguish I know you would feel. Nor could I dwell on the topic, lest it should unman me. The consolations of religion, my beloved, can alone support you; and these you have a right to enjoy. Fly to the bosom of your God, and be comforted. With my last idea I shall cherish the sweet hope of meeting you in a better world. Adieu, best of wives—best of women. Embrace all my darling children for me.
TO MRS. HAMILTON
Tuesday evening, 10 o'clock.
My Beloved Eliza:
Mrs. Mitchell¹ is the person in the world to whom, as a friend, I am under the greatest obligation. I have not hitherto done my duty to her. But resolved to repair my omission to her as much as
¹ The sister of Mr. Peter Lytton and of Hamilton's mother, according to the statements in J. C. Hamilton's unfinished life of his father.
possible, I have encouraged her to come to this country, and intend, if it shall be in my power, to render the evening of her days comfortable. But if it shall please God to put this out of my power, and to enable you hereafter to be of service to her, I entreat you to do it, and to treat her with the tenderness of a sister. This is my second letter. The scruples of a Christian have determined me to expose my own life to any extent, rather than subject myself to the guilt of taking the life of another. This much increases my hazards, and redoubles my pangs for you. But you had rather I should die innocent than live guilty. Heaven can preserve me, and I humbly hope will; but, in the contrary event, I charge you to remember that you are a Christian. God's will be done! The will of a merciful God must be good.
Once more,
Adieu, my darling, darling wife.
[This interesting paper or letter, now first printed, is unaddressed and undated, but it must have been written after 1800, and perhaps not long before the writer's death. I owe it to the kindness of the gentleman in New York, whose letter I am so unfortunate as to have lost. See page 231 of Vol. IX.]
Herewith is a general statement of my pecuniary affairs, in which there can be no material error.
The result is that calculating my property at what it stands me in, I am now worth about £10,000, and that estimating according to what my lands are now
selling for and are likely to fetch, the surplus beyond my debts may fairly be stated at nearly double that sum; yet I am pained to be obliged to entertain doubts, whether, if an accident should happen to me, by which the sales of my property should come to be forced, it would even be sufficient to pay my debts. In a situation like this, it is perhaps due to my reputation to explain why I have made so considerable an establishment in the country. This explanation shall be submitted.
To men who have been so much harassed in the base world as myself, it is natural to look forward to a comfortable retirement, in the sequel of life, as a principal desideratum. This desire I have felt in the strongest manner, and to prepare for it has latterly been a favorite object. I thought I might not only expect to accomplish the object, but might reasonably aim at it and pursue the preparatory measures, from the following considerations:
It has been for some time past pretty well ascertained to my mind, that the emoluments of my profession would prove equal to the maintenance of my family and the gradual discharge of my debts, within a period to the end of which my faculties for business might be expected to extend in full energy. I think myself warranted to estimate the annual product of those emoluments at twelve thousand dollars at the least. My expenses while the first improvements of my country establishment were going on have been great, but they would this summer and fall reach the point at which, it is my intention they should stop, at least till I should be better able than at present
to add to them; and after a fair examination founded upon an actual account of my expenditures, I am persuaded that a plan I have contemplated for the next and succeeding years would bring my expenses of every kind within the compass of four thousand dollars yearly, exclusive of the interest of my country establishment. To this limit I have been resolved to reduce them, even though it should be necessary to lease that establishment for a few years. In the meantime, my lands now in a course of sale and settlement would accelerate the extinguishment of my debts, and in the end leave me a handsome clear property. It was also allowable for me to take into view collaterally the expectations of my wife: which have been of late partly realized. She is now entitled to a property of between 2,000 and 3,000 pounds (as I compute), by descent from her mother, and her father is understood to possess a large estate. I feel all the delicacy of this allusion, but the occasion, I trust, will plead my excuses, and that venerable father, I am sure, will pardon. He knows well all the nicety of my past conduct.
Viewing the matter in these different aspects, I trust the opinion of candid men will be that there has been no impropriety in my conduct, especially when it is taken into the calculation, that my country establishment, though costly, promises, by the progressive rise of property on this island and the felicity of its situation, to become more and more valuable. My chief apology is to those friends who have from mere kindness endorsed my paper discounted at the banks. On mature reflection I have
thought it justifiable to secure them in preference to other creditors, lest perchance there should be a deficit. Yet, while this may save them from eventual loss, it will not exempt them from present inconvenience. As to this I can only throw myself upon their kindness and entreat the indulgence of the banks for them. Perhaps the request may be supposed entitled to some regard. In the event which would bring this paper to the public eye, one thing at least would be put beyond doubt. This is that my public labors have amounted to an absolute sacrifice of the interests of my family, and that in all pecuniary concerns the delicacy no less than the probity of conduct in public stations has been such as to defy even the shadow of a question.
Indeed, I have not enjoyed the ordinary advantages incident to my military services. Being a member of Congress while the question of the commutation of the half pay of the army for a sum in gross was in debate, delicacy and a desire to be useful to the army by removing the idea of my having an interest in the question, induced me to write to the Secretary of War and relinquish my claim to half pay, which or the equivalent I have never received. Neither have I even applied for the lands allowed by the United States to officers of my rank. Nor did I ever obtain from this State the allowance of lands made to officers of similar rank. It is true that having served through the latter periods of the war on the general staff of the United States and not in the line of this State, I could not claim the allowance as a matter of course; but having before the
war resided in this State, and having entered the military career at the head of a company of artillery raised for the particular defence of this State, I had better pretensions to the allowance than others to whom it was actually made, yet it has not been extended to me.
A. H.
RULES FOR MR. PHILIP HAMILTON
From the first of April to the first of October he is to rise not later than six o’clock; the rest of the year not later than seven. If earlier, he will deserve commendation. Ten will be his hour of going to bed throughout the year.
From the time he is dressed in the morning till nine o’clock (the time for breakfast excepted), he is to read law. At nine he goes to the office, and continues there till dinner time. He will be occupied partly in writing and partly in reading law.
After dinner he reads law at home till five o’clock. From this time till seven he disposes of his time as he pleases. From seven to ten he reads and studies whatever he pleases.
From twelve on Saturday he is at liberty to amuse himself.
On Sunday he will attend the morning church. The rest of the day may be applied to innocent recreations.
He must not depart from any of these rules without my permission.
LAST WILL AND TESTAMENT OF ALEXANDER HAMILTON
In the name of God, Amen!
I, Alexander Hamilton, of the State of New York, counsellor at law, do make this my last will and testament, as follows: First, I appoint John B. Church, Nicholas Fish, and Nathaniel Pendleton, of the city aforesaid, esquires, to be executors and trustees of this my will, and I devise to them, their heirs and assigns, as joint tenants, and not as tenants in common, all my estate, real and personal, whatsoever and wheresoever upon trust, at their discretion to sell and dispose of the same at such time and times, in such manner, and upon such terms as they the survivors and survivor shall think fit, and out of the proceeds to pay all the debts which I shall owe at the time of my decease, in whole, if the fund shall be sufficient, proportionally, if it shall be insufficient, and the residue, if any there shall be, to pay and deliver to my excellent and dear wife, Elizabeth Hamilton.
Though, if it please God to spare my life, I may look for a considerable surplus out of my present property; yet if he should speedily call me to the eternal world, a forced sale, as is usual, may possibly render it insufficient to satisfy my debts. I pray God that something may remain for the maintenance and education of my dear wife and children. But should it on the contrary happen that there is not enough for the payment of my debts, I entreat my dear children, if they or any of them shall ever be able, to make up the deficiency. I without
hesitation commit to their delicacy a wish which is dictated by my own. Though conscious that I have too far sacrificed the interests of my family to public avocations, and on this account have the less claim to burthen my children, yet I trust in their magnanimity to appreciate, as they ought, this my request. In so unfavorable an event of things, the support of their dear mother, with the most respectful and tender attention, is a duty all the sacredness of which they will feel. Probably her own patrimonial resources will preserve her from indigence. But in all situations they are charged to bear in mind that she has been to them the most devoted and best of mothers. In testimony whereof, I have hereunto subscribed my hand, the ninth day of July, in the year of our Lord one thousand eight hundred and four.
Alexander Hamilton.
Signed, sealed, published, and as and for his last will and testament in our presence, who have subscribed our names in his presence.
Dominick T. Blake.
Graham Newell.
Inez B. Valleau.
EPITAPH ON A TABLET, BY THE SOCIETY OF THE CINCINNATI, IN TRINITY CHURCH, NEW YORK
This Tablet
does not profess to perpetuate
the memory of a man,
to whom the age has produced
no superior;
nor to emblazon worth,
eminently conspicuous in every feature
of his country's greatness;
nor to anticipate posterity in their
judgment of the loss which she has
sustained by his premature death;
but to attest,
in the simplicity of grief,
the veneration and anguish which fill
the hearts of the members of the
New York State Society of
Cincinnati
on every recollection
of their illustrious brother,
Major-General
Alexander Hamilton.
The following is a list of the most common types of data that can be collected and analyzed using the methods described in this paper:
- **Demographic Data**: Information about the age, gender, race, ethnicity, education level, income, employment status, and other demographic characteristics of individuals or groups.
- **Behavioral Data**: Information about the behaviors and actions of individuals or groups, such as their online activities, purchasing habits, and social interactions.
- **Geospatial Data**: Information about the location and movement of individuals or groups, such as their travel patterns, residential addresses, and business locations.
- **Health Data**: Information about the health and well-being of individuals or groups, such as their medical records, health outcomes, and disease prevalence.
- **Financial Data**: Information about the financial transactions and assets of individuals or groups, such as their bank accounts, investments, and credit scores.
- **Environmental Data**: Information about the natural environment and its impact on individuals or groups, such as air quality, water quality, and climate change.
- **Educational Data**: Information about the educational experiences and achievements of individuals or groups, such as their academic records, test scores, and graduation rates.
- **Legal Data**: Information about the legal status and history of individuals or groups, such as their criminal records, court cases, and legal proceedings.
- **Political Data**: Information about the political affiliations and activities of individuals or groups, such as their voting records, campaign contributions, and political activism.
- **Social Media Data**: Information about the online activities and interactions of individuals or groups, such as their social media profiles, posts, and comments.
- **Sports Data**: Information about the performance and achievements of individuals or groups in sports, such as their game statistics, team rankings, and tournament results.
- **Technology Data**: Information about the use and development of technology by individuals or groups, such as their smartphone usage, app downloads, and software development.
- **Transportation Data**: Information about the transportation systems and infrastructure used by individuals or groups, such as their commute times, travel routes, and public transit usage.
- **Weather Data**: Information about the weather conditions and forecasts for individuals or groups, such as their temperature, humidity, precipitation, and wind speed.
- **Workplace Data**: Information about the work environments and practices of individuals or groups, such as their job titles, salary ranges, and benefits packages.
INDEX TO
PRIVATE CORRESPONDENCE
Hamilton, Alex., to —
Adams, John (1792), x., 15, 28;
(1800) 382, 390
Allison, William (1777), ix., 45
Auldjo (1787), ix., 421
Bayard, James Ashton (1800),
x., 384, 402; (1801) 412;
(1802) 432
Bond, Phineas (1796), x., 191
Boudinot, Elias (1778), ix., 147,
149; (1792) 541; x., 14;
(1796), 182
Bradford, William (1795), x.,
98
Brooks, Colonel John (1779),
ix., 168, 172
Broome, Samuel (1788), ix., 442
Burke, Edmundus (1790), ix., 467
Burr, Aaron (1804), x., 461, 464
Carrington, Col. Edward (1792),
ix., 513; x., 5
Carroll, Charles (1800), x., 378
de Chastellux, François Jean
(1785), ix., 403
Chipman, Nathaniel (1788),
ix., 438, 447
Church, John Barker (1784),
ix., 396
Clinton, Gov. George (1778),
ix., 122, 127; (1782) 263,
266, 281, 308, 313, 339, 342,
382, 388; (1804) 450–454
Cruger, Tileman (1771), ix., 38
Dayton, General Elias (1798),
x., 305
Dayton, Jonathan (1799), x.,
329
Dexter, Samuel (1800), x., 380
Dickinson, John (1783), ix., 350
Duane, James (1779), ix., 169,
171, 176, 178; (1780) 192,
204, 225
Duer, William (1777), ix., 63;
(1778) 132; (1790) 466;
(1791) 493; (1792) 502, 510
Duportail, General (1798), x.,
298
Editor of Evening Post (1802),
x., 441
Fitzsimmons, Thomas (1784),
ix., 399; (1794) x., 78
Gates, General (1777), ix., 109,
117
Goodhue, Benjamin (1791), ix.,
483
Gordon, Dr. Wm. (1779), ix.,
169, 188
Gouvernet, Count (1798), x.,
322
Gouverneur, Nicholas (1791),
ix., 504
Greene, General (1780), ix.,
194, 237; (1782) 301
Greene, Mrs. General (1793), x.,
54
Greene, William, Governor of
Rhode Island (1782), ix., 306
Greenleaf (1796), x., 187
Hamilton, Angelica (1793), x.,
57
Hamilton, James (1785), ix., 405
Hamilton, James A. (1804), x.,
457
Hamilton, Mrs. (Eliz. Schuyler),
(1781), ix., 243–247; (1782)
250, 380; (1801) x., 421, 422,
475
Hamilton, Philip (1791), ix.,
499; x., 480
Hamilton (1797), x., 257
Hancock, John (1777), ix., 101,
102
Harrison, Col. R. H. (1789), ix.,
464; (1793) x., 30
HAMILTON, Alex., to—
Hazard, Nathaniel (1786), ix., 413
Henley, Colonel David (1779), ix., 167
Heth, Colonel and others (1792), ix., 539; x., 324
Hoffman, Josiah O. (1799), x., 354
Izard, Captain George (1800), x., 361
Jay, John, Pres. of Continental Congress (1779), ix., 159; (1783) 381; (1790) 473; (1792) x., 18, 20; (1793) 38, 39; (1794) 66; (1800) 371
Jefferson, Thomas (1793), x., 40
King, Rufus (1787), ix., 423, 457; (1791) 485; (1792) 540; x., 3, 6, 20; (1793) 33, 40, 46, 50, 53; (1794) 69, 70, 77; (1795) 89, 91, 98, 101, 103, 135; (1796) 141, 149, 161, 163, 215, 237; (1797) 254, 266; (1798) 274, 283, 291, 321; (1800) 357; (1802) 437; (1804) 448
Knox, General (1782), ix., 256; (1791) 497; (1799) x., 348
Knox, Hugh (1777), ix., 82
Lafayette, Marquis (1778), ix., 137; (1781) 247; (1782) 303; (1789) 459; (1799) x., 336
Laurens, Colonel (1778), ix., 156; (1779) 176, 184; (1780) 209; (1782) 280
Lear, Tobias (1800), x., 356
Lee, Henry (1789), ix., 465; (1800) x., 363
Lee, Major (1779), ix., 166
Livingston, Miss (1779), ix., 163
Livingston, Robert (1777), ix., 45, 77, 95
Livingston, Wm. (1777), ix., 59, 61; (1788) 422
Madison, James, Jr. (1783), ix., 377, 379; (1788), 427, 428, 430, 432–437, 440, 453, 462
Matthews, George, Gov. of Georgia (1794), x., 71
McHenry, James (1796), x., 171; (1797) 241; (1798) 281, 307, 309, 317, 320; (1799) 349; (1800) 388
Meade, Richard K. (1782), ix., 253, 282
Mifflin, Thomas (1783), ix., 394
Miranda, Francisco (1798), x., 315
Morris, Gouverneur (1777), ix., 45, 47, 54, 65, 68, 71, 74, 86, 89, 99; (1784) 399, 402; (1788) 428; (1792) 537; (1800) x., 398, 401; (1801) 407, 408, 419; (1802) 425, 427, 429, 443
Morris, Robert (1782), ix., 255, 259, 262, 264, 282, 284, 286, 288, 289, 292, 294, 295, 302
Noailles, Vicomte de (1782), ix., 296
Olney, Colonel (1793), x., 59
Otis, Harrison Gray (1799), x., 338
Pickering, Timothy (1782), ix., 287; (1786) 464; (1790) 468; (1791) 487; (1795) x., 133, 139, 164, 184, 194; (1797) 236, 237, 243, 246, 250, 261, 266, 272; (1798) 275, 279, 280, 292, 294, 297, 319; (1799) 342, 343, 350; (1800) 306, 309, 376, 391; (1803) 446
Pinckney, Gen. Chas. Cotesworth (1792), x., 22; (1800) 368; (1802) 428, 444
Putnam, General (1777), ix., 120
Ross, James (1801), x., 405
Rush, Dr. Benj. (1802), x., 424
Rutledge, John (1800), x., 404
Sands, Comfort (1782), ix., 261
Schuyler, Elizabeth (1780), ix., 202, 206, 208
Schuyler, Philip (1781), ix., 232; x., 457
Sears, Isaac (1780), ix., 224
Sedgwick, Theodore (1788), ix., 446, 451; (1795) x., 89; (1797) 231, 239, 278; (1798) 318, 327; (1799) 345; (1800) 362, 371, 374, 375, 397; (1801) 420; (1804) 457
Semphill, Messrs., & Co. (1786), ix., 415
Seton, William (1791), ix., 476, 490, 491, 495, 496, 498; (1792) 501, 503, 506, 507, 509, 512, 540; x., 16
Short, William (1792), x., 31
Smith, William (1796), x., 147; (1797) 224, 230, 253, 256; (1800) 364
Index to Private Correspondence
HAMILTON, ALEX., to—
Steele, John (1792), x., 25
Steuben, Baron (1778), ix., 155; (1779) 165, 170; (1780) 191, 193, 199-201
Stevens, Edward (1769), ix., 37
Stirling, Lord (1778), ix., 142
Stoddert, Benjamin (1798), x., 306
Sullivan, John, Pres. of New Hampshire (1778), x., 458; (1788), ix., 432
Talleyrand (1804), x., 455
Taylor, Colonel (1799), x., 353
Ternay, Chevalier de (1780), ix., 196
Thomas, John, Sheriff of Westchester (1786), ix., 416
Troup, Robert (1795), x., 107
Verplanck, Gulian (1792), ix., 501
Wadsworth, Jeremiah (1787), ix., 422; (1793) x., 56
Walker, Martha (1791), ix., 484
Washington, George (1777), ix., 103, 111, 115, 119; (1778) 138, 139, 144, 146, 179; (1780) 189, 195, 205, 226, 228, 459; (1781) 238, 240, 243; (1782) 251; (1783) 310, 322-338, 385, 386; (1785) 412; (1787) 417, 423, 425; (1788) 441, 444, 452; (1789) 463; (1790) 409, 470, 472, 474; (1791) 478, 479, 482, 497; (1792) 542; x., 11; (1793) 36, 37; (1794) 63, 65, 67, 79; (1795) 82, 84, 86, 87, 122, 124, 129, 132, 137, 140; (1796) 142, 143, 145, 151, 152, 155, 165, 171, 177, 180, 186, 189-191, 198, 200, 204, 206, 208, 229; (1797) 233, 272; (1798) 284, 286, 295, 299, 310, 320; (1799) 343, 352, 356
Washington, Mrs. Martha (1800), x., 360
Wayne, Gen. Anthony (1780), ix., 200
Wilkes, Israel (1785), ix., 406
Williams, Gen. Otho H. (1779), ix., 166; (1792) 536
Willink, Van Staphorst & Hubbard (1795), x., 84
Winn (1790), ix., 468
Wolcott, Oliver (1789), ix., 459; (1794) x., 76; (1795) 92, 102, 104, 106, 107, 112-117, 125, 126; (1796) 145, 161, 170, 173-176, 179, 182, 183, 185, 187, 188, 196, 197, 201, 209, 213, 218, 224; (1797) 238, 248, 251, 256, 267, 270, 273, 274; (1798) 288, 295, 304, 312, 316; (1799) 346, 349, 351; (1800) 365, 368, 377, 383, 389, 392, 393; (1802) 442
MISCELLANEOUS
Burr, Aaron, to Hamilton, x., 460, 463
HAMILTON, ALEX., to—
———, (1781), ix., 230; (1787) 419; (1791) 477; (1793) x., 58; (1796) 195; (1797) 227; (1801) 423
County Treasurers (1782), ix., 208, 285
Creditor of William Duer (1793), x., 49
Friend in Europe (1794), x., 78
N. Y. Bank (1792), ix., 508
N. Y. Congress (1776), ix., 40, 42, 44, 56, 58
U. S. Senate (1794), x., 60
Pendleton, Major Nathan, to W. P. Van Ness, x., 466
Statements concerning duel with Burr, x., 470, 471
Van Ness, Maj. W. P., to Major Pendleton, x., 465, 468
Washington to Hamilton (1795), x., 85
GENERAL INDEX
VOLS. I.-X., INCLUSIVE
(The index for Vols. XI. and XII., containing the Federalist, will be found at the close of Vol. XII.)
Achaian League, ii., 223
Adams, John, quarrel with Hamilton, vii., 309; administration of, 309, et seq.; opinion on British troops in U. S., iv., 313; slandered by Croswell, viii., 387
Adams controversy (John Adams) vii., 309-365; Hamilton's attack on Adams, 309; letters to Adams, 364
Additional supplies for 1792, communication to Congress, ii., 408
Addresses, at Annapolis Convention (1786), i., 335; on Clinton, candidate for N. Y. governor (1789), ii., 103, 113; (1801) viii., 223; to public creditors (1790), ii., 472
Adet, French minister to U. S., vi., 206, 213, 215, 217
Aix-la-Chapelle, treaty of, v., 465
Albany, representation from, ii., 30; supervisors of, 103
Alexander, practice regarding private debts in war time, v., 430
Allegorical Device by Hamilton, vi., 332
Allen, Ira, viii., 53
America, British rule in, i., 3, et seq. (See Colonies and United States.)
Americans, example to France, iv., 466; manufactures of, i., 144; property of, iv., 215; supplies, v., 78; uniformity of, ii., 38
"Americanus," papers on U. S. obligations to France (1794), v., 74; vi., 215
Amsterdam, bills, iii., 68, 71, 119; loans from, 93, 174
Annapolis, Convention at, i., 243, 335
"Answer" paper signed "Americanus," in Minerva (Dec., 1796), on French decree against neutrals, vi., 215
Anti-Federalists, address of candidates of (1801), viii., 223; character of, 224; sympathy with France, 225; charges against administration of U. S., 231; administration of N. Y. by, 242
Arrears of pay (1790), Hamilton to Washington on soldiers' petition (Cabinet paper), ii., 327
Atlantic States, commerce of, iv., 327
Augustus, policy of, iv., 248
Austria, i., 259; iii., 322; iv., 482; v., 258
Austria, Empress of, result of death of, i., 259
d'Autun, Bishop (see Talleyrand), iv., 3
Bacon's insurrection in Virginia, i., 112
Baldwin, Abraham, vi., 184
Baltic, flax-seed from, i., 26
Banks, essential to government, iii., 167; examples in other countries, i., 234; iii., 428; of
Banks (Continued)
North America, iii., 119, 119, 140; State, 110, 140. (See National Bank and State names.)
Barbeyrac cited, iv., 316, 397; v., 383
Barré, i., 132
Barthelemy, vi., 287
Beaumarchais (de), supplies furnished by, iv., 430; vi., 322, 323
Beckwith, Major, iv., 296, 298, et seq., 343
Bellegarde, Marquis, right to hold Georgia land, v., 400
Benson, Egbert, ii., 139
Biddle, Charles, v., 4; vi., 351, 352
Blackstone cited, i., 62, 89, 146, 412; viii., 394
Bland, Colonel, i., 300
Blockade runners, v., 120
Boston, i., 37, 38, 133, 140, 142; v., 370
Bournonville, secretary of French legation, v., 67, 73
Bradford, Wm., ii., 179
Bradley, Major, vii., 162
Breckenridge in Whiskey Rebellion, vi., 456
British, colonization, v., 336; Courts of Admiralty, 309; creditors, compensation stipulated in Jay's treaty, 347, 350; debts, proposition for sequestration of, 106; dominions defined, i., 85; evacuation, terms of, v., 146; Government, fallacious comparison with U. S., ii., 33; manufactures and shipping, i., 144, 148; protection of industries, vi., 54; trade, colonial and coasting, 32; treaties, v., 189, et seq.; vi., 72, 73; viii., 238; troops in America, iv., 313, 329, et seq.
Buel, Major, vii., 162
Building-tax, plan submitted to Sec. of Treasury, 1797, iii., 312
Burbeck, Colonel, vii., 91
Burgoyne, General, vi., 206
Burke, Edmund, i., 132
Burlemaqui, i., 61; iv., 397, 448
Burlington, i., 276
Burr, Aaron, published Hamilton's attack on Adams, vii., 309; nomination for Gov. of N. Y., 1804, viii., 373; opposed by Lansing, defeated (note), personal character and ancestry, 373
Bussy, French minister to London, v., 404
Butler, Major, vi., 408
Butler, Col. R., letter from, i., 304, 314
Bynkerschoeck cited, v., 29, 36, 41, 383, 411, 427, 429; vi., 87, 131
Cesar, ii., 461; iii., 5; v., 77
Caldwell, John, deputy quartermaster, iii., 23
Calhoun, J. C., free-trader, iv., 200
Callendar, James, accused of slander, viii., 388
Calonne (de), M., French Minister of Finance, iv., 421
"Camillus" papers: Defence of Jay's treaty with England (1795), v., 189; state of affairs in U. S., 198; English breaches of treaty, 210; U. S. breaches, 224; objects to be gained, 238; compromise, 241; Jay's bearing in England, 242; surrender of western posts, 251; reason for delay in evacuation, 264; indemnification, 273; citizenship, 284; peace of Utrecht, 289; stipulations on trade and commerce, 292; fur trade, 305, 320; Mississippi River, 327, 338; compensation to British creditors, 347, 377; compensation to U. S. citizens, 361; seizure of U. S. vessels (1793), 372; law of nations on restitution, 382; commissioners appointed, 388; right of British to hold land in U. S., 389; authorities quoted, 395; private debts in war, 404; opinion of jurist on confiscation, 421; necessity of protecting foreigners in commerce, 442; other treaties, 456; articles relative to intercourse, commerce, and navigation, 474; colonial laws in war time, vi., 4; Genet's negotiations, ii.; U. S. owes no debt to France, iv., 478; articles on trade, vi., 21, 59; import and tonnage duties, 27, 61; navigation,
"Camillus" papers (Continued)
32, 59; East India trade, 39;
relations between U. S. and Gt.
Britain, 47; other commercial
treaties, 56; consuls, 76; law of
nations, 88; principles of armed
neutrality, 94, 100; contraband
articles, 114, 127; maritime
regulations, 140, 150; enlist-
ment in foreign service, 144;
reception of ships of war, 148;
foreign residents, 156; criminal
refugees, 158; duration of arti-
cles, 159; constitutionality of
treaty, 160; Gerry's objection
to Constitution, 184; consular
convention of France, 195;
authorship of papers, v., 189;
vi., 3, 140
Campo Formio, treaty of, vii., 91
Canada, boundaries of, v., 321,
322; communication with the
sea, 310; through Champlain,
331; criminal law, jury, i., 185,
186; French law in, 181; fur
trade, v., 273; legislature of, i.,
186; population of, 28; power
of Catholic Church in, 187, 191;
situation of, 37; tithes, 188,
viceroy of, viii., 55
Carriage tax, 1793, fragment of
brief, viii., 378
Cass, Major, vii., 162
Catherine of Russia, vi., 101
Cato attacks Jay's treaty, v., 273,
397; vi., 59
Chalmers's collection of treaties,
vi., 92
Champlain, Lake, i., 154; v., 331
Charlemagne, i., 385
Charles II., i., 106
Charleston, evacuation of, viii., 81
Charters, history of the various, i.,
93-113
Chauvelin, M., note to Lord Gren-
ville, iv., 403
Chester County, indictment in,
vi., 346
Childs' newspaper, i., 424
China, gold and silver in, iv., 18
Cincinnati, Society of the, viii., 63
"Civis to Mercator": Letters on
the public debt (1792), iii., 28
Clarkson, Mayor, vi., 351
Clavière, Minister of Finance, iv.,
421
Clay compromise, iv., 200
Clingman connection with Rey-
nolds affair, vii., 369-413, 417-
448
Clinton, George, Governor of New
York (1787), viii., 5; candidate
for re-election, 1789, ii., 103;
addresses against, 103-130; let-
ters of H. G. against, 133-175
(see also Addresses and Letters
of H. G.); candidate for N. Y.
governor (1801), viii., 223; ad-
ministration of, 242; antipathy
to U. S. Constitution, 245; late
Governor of N. Y. (1795), v.,
194
Clinton, Sir Henry, iv., 259
Cochran, Wm., vi., 377
Coinage and the Mint: Hamil-
ton's report to Jefferson on
establishment of mint (1790),
iv., 3; suggestion of examina-
tion of foreign coinage, 58; Ham-
ilton to Washington (1795), 59
Coke, Lord, quoted, i., 68; v.,
319, 391; vii., 29, 395, 406, 407
Collectors of customs, instruc-
tions to, regarding foreign ves-
sels, v., 49
Colonies, controversy with Eng-
land, i. 7; independent, 64;
declared by James I. not sub-
ject to Parliament, 100; danger
of variance among, 129; prepa-
rations for war, 167; act of
General Assembly (1692), 172
Commercial relations with Great
Britain and France: Hamil-
ton's draft of Smith's speech,
(1794), iv., 205, 222-224
Commercial treaties, vi., 72, 73
Commissioners of Trade and
Plantation, i., 107; appointed
by the States, 336, 339
Confederation, defects of, i., 215,
223, 262, 303, 343, 381; ii.,
5
Congress, Speeches and resolu-
tions in (1783), revenue, i., 209;
State funds, 300; interest of
creditors, 303; mutiny of
troops, 303, 314, et seq.; resolu-
tion for general convention,
305; special session of, v., 54;
treaty papers, demand for, viii.,
161. (See United States.)
Connecticut, charter of, i., 106, 108; connection with sea, 276; excise duties in, ii., 344; legislature of, 410; payments to U. S., 211, 218; population in, 17; delegates fear expense of U. S., 40
Continental Congress (1774), attacks on, i., 3; vindication of (see "Full Vindication" and "Farmer Refuted"), 3, 53
Continental conventions, i., 123; money, 329; treasury, 222
Continentalist: Series of papers on State matters (1781), i., 243; necessity for central power, 245; situation of U. S., 253; evils to be apprehended, 254; provision for revenue, 262, 263; imports as a source of revenue, 272; necessity of central regulation of trade, 277
Contraband articles, v., 169
Contracts, obligations of, ii., 332
Convening Congress: Hamilton to Washington (1793), viii., 110
Convention of New York (see New York), ii., 3 (see also Annapolis and Federal)
Cook, Edward, petitioner from Penn. concerning excise duty, ii., 394
Cornwallis, Lord, i., 255
Corsica, i., 163
Cortland, Lieutenant-Governor, ii., 110
Cotton, i., 157
Court-martials, vii., 114
Craig, in Penn. insurrection, vi., 409
"Crassus, Lucius." Hamilton's signature, viii., 252
Croft, Sir James, case of, v., 319
Crosswell, Harry, indicted for libelling Jefferson, U. S. Pres., Hamilton's defence of (see also Libel) (1804), viii., 387; liberty of press, 380; definitions of libel, 394; common law and U. S. Constitution, 421
Dallas, Alex. James, Secretary of Penn., iv., 200; v., 8
Davis, Brigadier-General, vii., 8
Deane, Silas, v., 450
Debts, private, in time of war, v., 145, 155, 162, 404
"Decius," misstatement of, on Jay treaty, v., 307, 401
Declaration of Independence, ii., 200
De la Forêt, M., iv., 365
Delaware, commissioners to Annapolis Convention, i., 336; member from, in convention, 413-415; number of representatives, ii., 17, 23; payments to U. S., 211; river, i., 276; v., 3
Democrats, viii., 374
Denmark, i., 231; iii., 322; v., 201, 305
"Detector": Answer to "X. Y. Z." on French affairs (1798), vi., 318
De Wolf, G., iii., 84
Dollars, value of, iv., 7, et seq.
Dorchester, Lord (Sir Guy Carleton), iv., 296, 299, et seq., 313, 343
Douglass quoted, v., 29
Doyer, Hendrick, ii., 385
Drapier's letter, style compared to Hamilton's, i., 33
Duane, James, letter to, i., 213; member of committee, 239
Dumourier, vi., 287
Dunlap, Wm., vii., 302
Dunmore, Lord, iv., 259
Du Plaine, M., French Consul at Boston, v., 58
Durival, M., letter on French payments, iv., 428
Dutch company, proposition to buy U. S. paper, iv., 421
Dutch republics, ii., 10
Dutchess County, member from (Smith), ii., 30, 34
Duties, general and special (see Taxation), i., 126, 127; effect of, on commerce, 279; on imports, communication to Congress (1790), ii., 291; on vessels (see Improvement of revenue), v., 165
Duties on imports, operation of act, communication to Congress (1790), ii., 291
East India, goods in Canada, v., 311; U. S. trade with, 311
East India Company, i., 38, 47, 132, 204
Egg Harbor, i., 276
Election addresses (see Addresses), ii., 103
Elections, disadvantage of frequent, i., 407
Electors, appointment of, left to State legislatures, ii., 168
Elizabeth, charters given by, i., 93
Ellery, Captain, vii., 218
Elliot's Debates, ii., 39, 59, 73, 74, 91
Ellsworth, Oliver, i., 300, 314, 318
Emigrants from Catholic countries, i., 195
Emmett, act drawn up by, in 1691, i., 172
England, restricts exportations of corn to France (1792), iv., 401; withdraws her minister, 400; dismissal of French minister, 407. (See Great Britain.)
English (see British)
English common law, v., 429; republican societies, iv., 402
Enlistment of foreign citizens, iv., 409
Ephori, check on Senate in Sparta, ii., 22
Esopus, burning of, ii., 137
Excise laws (see Taxation and Whiskey Rebellion)
Explanation of treasury expenditures, viii., 122
"Fact": article in National Gazette (1792), defence of funding public debt, iii., 40
"Farmer Refuted": Advertisement, i., 53; second paper in defence of Congress (1775), 55; allegiance owed to British king, 67; Parliament, 75; charters of colonies, 92, 100, 104; stamp act and revenue act, 131; British national debt, 146; resources and imports of America, 157, 161; imports from France and Holland, 162
Fauchet, successor to Genet, vi., 14, 212
Faulkner, William, house of, vi., 368
Fay, of Vermont, viii., 53
Federal Convention (1787), propositions for a constitution of government, i., 347; brief of speech on plan, 370; government, paper on, 335
Federalist, quoted, vi., 186
Federalist party, i., 243; v., 98; vii., 318; viii., 224, 229, 246, 373
Fenno, editor of Gazette of United States, v., 74; vi., 32; vii., 230
Finance, ii., 227; papers on (see Additional Supplies for 1792, Arrears of Pay, Building Tax, Civis, Coinage and the Mint, Funding System, Hamilton's Writings, Import Duty, Improvement of Revenue, Loans, National Bank, Public Credit, Public Debt, Taxation, Vindication of Funding System)
Finance under Confederation, i., 225, 231, 254; plans for, 301
Findlay, James, vi., 375
Fisheries, iv., 97, 205
Fitzsimmons, Mr., ii., 179
Florida, i., 26; iv., 326, 360
Foreign fund, bills upon, iii., 171
Foreign influence, danger of, to a republic, iv., 481
Foreign policy, v., 348; vi., 201
Foreign relations: Speech on the treaty of Paris (1783), iv., 227; letters from "Phocion," discussion of treaty with England (1784), 230; right of Tories to hold land in the U. S., 231; danger of general descriptions, 233; position of Tory citizens in N. Y., 236; alienism of inhabitants of N. Y., southern district, 266; Gt. Britain forced to make peace with U. S., 281; treaty of Paris, speech on, in N. Y. Legislature (1787), 291
Foreigners, danger of investment in U. S. funds, viii., 454.
Fort Fayette, troops at, vii., 119, 122; Wayne, 119, 122; Massac, 119, 122; Knox, 119, 123; Pickering, 119, 123; Adams, Loftus Height, 119, 123; Stoddard, 119, 123, 165; Niagara, 120; Presque Isle, 125
Fort Harman, treaty of, iv., 299
Fort Montgomery, ii., 137
Fox, Charles James, iv., 343; bill of libel, viii., 416
Fox, Joseph, deputy marshal of Penn., report of vi., 362
France, aid in Am. Revolution, iv., 359; vi., 206; action on private debts, v., 440; and Am. colonies (1775), i., 146, et seq., 265, 270, 386; annexation of territory, iv., 405, 453, et seq.; attacks British commerce, vi., 229; bills on, ii., 356; coinage in, iv., 32; colonial policy of, vi., 3; consular convention of, 195; debt of, iii., 322; debt of U. S. to, 90, 103, 106, 128, 163, 169; iv., 395; v., 62; efforts to control U. S. election, vi., 206; endeavors to excite revolution in Eng., 207, 281; excesses of, v., 103; executive council charges to Genet, vi., 15, et seq.; and Gt. Britain, iv., 400; and Holland, 399; ingratitude towards, 460; national convention, 401, et seq.; position of, in 1793, 466; relations with European nations, vi., 269; rate of exchange, iv., 310; trade with, 346, 358; tables of U. S. commerce with, 222-224; treaties of U. S. with, v., 14, 385, 456; war with Spain and Portugal, iv., 407; violation of neutrality, vi., 249-253; wealth of, iii., 345
France, papers on (see "Americanus," "Answer," "Detector," Foreign Relations, France, French, "No Jacobin," "Pacificus," "Pericles," "Stand," Warning)
Franklin, Benjamin, iv., 349, 429; v., 460, 478; ix., 46
Franklin, new State of, ii., 16
Fraunces, A. G., vii., 376
Frederick the Great, v., 439
Freneau, Philip, iii., 28; vii., 229
French, affairs in 1793 (Cabinet opinion on), iv., 360; faction, paper on France (1798), vi., 328; king, suspension of, iv., 363, 370; laws revised in Canada, i., 183; privateers, iv., 414; vi., 217; Revolution, fragment on, viii., 425; opinion on, v., 75; uncertainty of success, iv., 386; "an offensive war, 397; vessels, 346; sympathizers in U. S. Rev., vi., 328
"Full Vindication," papers in defence of Congress (1774), i., 3; attacks on Congress by Westchester Farmer (Dr. Seabury), 5, 20, 39, 43; American resources, 18; address to N. Y. farmers, 33
Funding system, ii., 443, 444; vindication of (1791), iii., 3; defended, viii., 232, 240; defence of (1795), note, 430; government debts after Revolution, 430; advantages of funding, 450; assumption of State debts, 467; Hamilton's plan, 474; federal taxation essential, 492
Funds, investment of, iii., 172, et seq.
Fur trade, v., 309
Gallatin, Albert, report on national bank (1811), iii., 493; Sec. of Treasury, viii., 288
Gates, General, misfortune of, viii., 69
Gazette of United States, letters in, iv., 432
General Advertiser, v., 17
Genet, M. Edm. Charles, appointed minister to U. S., iv., 479; arrival of, 408, et seq.; behavior, v., 45; declaration to Dallas, 8; excitement regarding, iv., 432; irregular measures, v., 70; letters, report on, 62; proposes treaty with U. S., vi., 11; refuses to promise about privateers, v., 3; reference to affair of, vi., 102, 103, 210, 291; threatens appeal to people of U. S., v., 17
Genoa, vi., 240, 278
Georgia, i., 26, 336; ii., 34; debt of, viii., 482, et seq.; ix., 16; laws on money, v., 350; payments to U. S., ii., 211; taxation in, iii., 352
German, Diet, i., 252, 255, 382, 394, 397; Confederacy, lesson of, 385; ii., 10; elections in, i., 392
Germanic corps, i., 218
Gerry, Elbridge, member of Congress, ii., 463; moves amendments to U. S. Constitution, i., 419; refuses to sign Constitution, 421; vi., 184
Giles, tool of Madison and Jefferson, iii., 62; viii., 353
Gilleland, James, ix., 44
Glaubeck (de), Baron, pension of, vii., 376
Gloucester, i., 276
Gore, letter to Lear, v., 58
Government and the Constitution, letter to James Duane (1780), i., 213; result of letter, 239
Grain, consumption of, in America, i., 153
Grand, Ferdinand, iv., 429
Grange, an English vessel, v., 19
Graves, Rufus, vii., 91
Great Britain, action on private debt, v., 440; aggressions of, vi., 246; coinage in, iv., 31; colonial system of, v., 292; vi., 4; debt of, i., 146; iii., 322; detention of U. S. posts, viii., 376; disadvantage in conquering America, i., 165; excise duties in, ii., 344; extent and population of, v., 332; interest in America, 90; instructions to ships of war, 59; Jay treaty with U. S. (see Camillus); judiciary of, viii., 360; national bank of, iii., 362; Parliament of, i., 4, et seq., 119, et seq., 380; policy in Canada, 195; principles of navigation act, vi., 25; privateers of, v., 378; resources, 85; state of, iv., 246, 281; steps to satisfy U. S., v., 366; system of credit, viii., 446; trade with America, i., 116, et seq.; iv., 220; treaty with France (1786), vi., 92, 142; with other countries, v., 454, 462; vi., 92; with U. S. (see Camillus and Message), viii., 155, 161; and Vermont, 53, et seq.; violation of neutral rights, vi., 250; and West Indies, i., 156
Greece, leagues among republics of, i., 217; commonwealth of, 246; Amphictyonic Council of, 251, et seq.; not an example for U. S., 282
Greene, Major-General, eulogium on, delivered before the Society of the Cincinnati (1789), viii., 63
Grenville, Lord, iv., 404; v., 136, 149
Grotius, quoted, i., 61; v., 383, 426; vi., 87, 117, 132
Guilder, value of a, iii., 108
Guildford Court-House, battle of, viii., 75, et seq.
H. G., letters of, on Clinton, ii., 133-175
Habeas Corpus Act, i., 72
Hait, Captain, iv., 299
Haldimand, General, viii., 53
Halloway on libel, viii., 405
Hamilton, Colonel, implicated in Whiskey Rebellion, vi., 457, 458
Hamilton, Alexander, chronology, i., xvii.; drafts of Washington's speeches (see Washington); influence on establishment of gov., 239; opposed to State sovereignty, 381; plan for national bank adopted, iii., 493; views on protection, iv., 67; effect on U. S. tariff, note, 108. (Writings arranged chronologically, private correspondence excepted): 1774 (in college), Vindication of Congress, i., 3; 1775, "Farmer Refuted," 55; Quebec bill, 181; 1780 (Washington's aide-de-camp), Letters on government, 213; letter on national bank, iii., 319; 1781 (quarrel with Washington), Papers on system of gov., the Continentalist, i., 243; letter on national bank, iii., 342; 1782 (admitted to N. Y. bar, appointed Receiver of Taxes, entered Continental Congress), Resolutions in N. Y. legislature for convention of States, i., 201; report on impost duty, ii., 179; 1783 (in Congress), Speeches on revenue, i., 299; inefficacy of State funds, 300; public credit, 301; appropriation of impost to army, 302; mutiny of troops, 303, 314, 318; resolutions for general convention, 305; speech on treaty of Paris,
Hamilton, Alexander (Continued)
iv., 227; report to Congress on military peace establishment, vi., 463; 1784 (in private life and practice), "Phocion" letters on treaty with England, iv., 230; 1786 (delegate to Annapolis, elected to N. Y. legislature), Address at Annapolis, i., 335; order of Cincinnati, viii., 3, 63; 1787 (member of N. Y. legislature and delegate to federal convention), Resolutions and speeches in N. Y. leg., i., 343; ii., 192; iv., 201; viii., 5-42; proposition for Constitution, i., 347; draft of, 350; speeches on gov., 381; 1788 (delegate to N. Y. con.), Speech on Constitution, ii., 3; draft of proposed ratification, 95; 1789 (appointed Sec. of Treasury), Addresses on election of N. Y. governor, ii., 103, 113; letters of H. G. on Clinton as governor, 133-175; eulogium on Maj.-Gen. Greene, viii., 63; to Wm. Short, at Paris, iv., 294; 1790 (Sec. of Treasury), Reports, ii., 227, 291; viii., 87; to Washington, on back pay to army, ii., 327; march of foreign troops through U. S., iv., 341; on Morris's mission, 297, 299; to Goodhue, on U. S. fisheries, 67; to Wm. Short, on loans, 302; 1791 (Sec. of Treasury), Vindication of funding system, iii., 3; bank of U. S., 445; reports and letters on mint, iv., 3, 59; on manufactures, 70; to Jefferson, on French treaty, 345, 347, 351, 352; to Washington, on French payments, 354; 1792 (Jefferson's hostility to Hamilton), Reports as Sec. of Treas., ii., 353, 368, 408, 423, 426; iii., 24, 28, 40, 46; to Washington on apportionment of representations, viii., 96; on Indian affairs, 100; explaining Treasury management, ii., 425; 1793 (war between France and England), Loans, reports to House of Rep., iii., 61, 82, 126, 137, 139, 178; defence of Sec. of Treas., 178; to Washington on relations with France, iv., 369, 418; v., 61, 62; reception of French minister, iv, 408, 426; convening Congress, viii., 116; Indian affairs, 109; to Jefferson on Henfield's sentence, iv., 417; on contracts with France, 428; on neutrality laws, v., 12; privateers, 46, 58; letters on Genet, "Pacificus," iv., 432-480; "No Jacobin," v., 17-49; instructions to customs collectors, 49; 1794 (Jay treaty, Whiskey Rebellion), Loans, reports to House of Rep., iii., 179, 180, 185, 187; papers on relations with France, v., 74, 86; to Washington on Treasury affairs, iii., 183, 190, 104; on possible war with Great Britain, v., 97; Jay treaty, 115, 121, 123, 129, 138; captured vessels, 131-133; to Randolph, Secretary of State, 119, 135, 136; letters and papers on Whiskey Rebellion, vi., 339-460; resignation, iii., 199; 1795 (resigns Sec. of Treas. and resumes law practice), Reports as Sec. of Treas., 199, 200, 259, 301; to Washington on Jay treaty, v., 138; defence of Jay treaty, "Horatius," 181; "Camillus," 189-vi., 197; explanation of Treas. methods, viii., 122; on carriage tax, 378; defence of the funding system, 429; 1796 (in private life). Papers on France, vi., 206, 215; 1797, Papers on France, 229-259; Reynolds pamphlet, defence of himself, vii., 369; 1798 (appointed Inspector-General of Army), Papers on France, vi., 259-318; military matters, 483-vii., 45; 1799 (Washington's death), On military matters, 45-194; paper on war in Europe, vi., 330; allegorical device, 332; 1800 (retires from army), Letters and papers on military matters, vii., 196-224; paper on John Adams, 309; letters to John Adams, 364, 365
Hamilton, J. C., *History of the Republic*, i., 301; vi., 140
Hammond, letter from, on compensation to vessels, v., 131
Hand, Gen. Edw., vi., 351
Harper in N. Y. Assembly, viii., 18, 21
Harrison, Col. R. H., vii., 110
Heinecius, quoted, vi., 87, 117, 131
Helvetic league, i., 252
"Helvidius," letter signed, iv., 432
Henfield, Gideon, case of, iv., 478; v., 56
Henry, Patrick, vii., 255
Heth, William, balance of U. S. money in hands of, iii., 172
High sea, limits of, v., 27
Highways, viii., 262
Hill, coast survey, vii., 44
Hobbes, i., 61
Holcroft, John, vi., 459
Holland, i., 26, 152, 169, 259; iv., 310, 483; v., 259; vi., 278; and her colonies, v., 485; debt to, iii., 197; interest in America, v., 90; loans from, iii., 90; national debt of, ii., 428, 442, 449 (see also United Netherlands); iv., 399; v., 53
Holt, Lord, on libel, viii., 403, 405, 414
*Holt's Journal*, i., 181, 199
Homes, H. A., State Librarian of N. Y., ii., 113
Hoops, Major, vi., 486
"Hortatius" on Jay treaty, v., 181
House of Representatives, order of, ii., 337; resolution of, 227. (*See Congress and United States.*)
Howe, Major-General, i., 314
Howell, member from R. I., vii., 325
Hubbard, banker, iv., 302
Hudson Bay territories, boundaries of, v., 321
Hudson River, foreign vessels not allowed above New York, v., 297
Hume, quoted, i., 73, 81, 269, 409; iii., 346
Hunt, Richard, sentence of, vii., 76, 100
Hunter, Governor, vii., 221
Huntingdon, General, vii., 47
*Hylton vs. United States*, viii., 378
Ignardi, consul at Cadiz, vi., 231
Import duty (*see Taxation*), ii., 291; v., 129
Imports, registry of, ii., 306
Impost duty, report on, ii., 179; eligible mode of taxation, i., 271; not unfavorable to commerce, ii., 189; officers for collecting, 182; product of, 214; rate of, 186. (*See Taxation.*)
Improvement of revenue, communication to Congress (1795), iii., 301
Independence of Vermont (*see Vermont*), viii., 42
Indian affairs, viii., 100, 154
Indians, attack of, threatened, vi., 408; depredations of, iv., 298; liberty to trade, v., 289; war with, iii., 46, 105
Industry and commerce (*see also Taxation*): fisheries, Hamilton to Goodhue (1790), iv., 67; manufactures, report to Congress (1791), expediency of protection, 70; methods of protection, 143; articles to be protected specified, 164
Inspectors of customs, ii., 398, 323
Iredell, James, associate justice, v., 12
Ireland, i., 23, 151
Italy, commerce of, vi., 86
Jackson, Major, instructions to, i., 317; vii., 198
Jackson, Andrew, attack on national bank (1836), iii., 494
Jacobin club in Paris, iv., 372
James I., charters given by, i., 94
*Jane of Dublin*, vessel taken by French privateer, v., 380
Jay, John, character of mission to England, iv., 229; v., 121, 134, 138, 189; vii., 359; treaty of (*see Camillus*)
Jefferson, Thomas, iii., 28, 191; iv., 302; v., 460, 478; vi., 106; viii., 232, 237; answer to Bellegarde and Meziere case, v., 400; arrêt of, iv., 219; attacked by Hamilton (1792), vii., 229; communication with Fraunces, 376; commercial report, v., 74; efforts to discredit Hamilton, iii., 62; free trader, iv.,
Jefferson (Continued)
190; on Genet, 421, 425; v., 54; vi., 13; Jay treaty, v., 387; message to Congress (1801) examined, viii., 246; letter to Hammond, v., 379; on Reynolds, vii., 471; trade with Spain, iv., 358; retires to Monticello, v., 119
Jenkins, Leoline, life and papers, v., 29, 41, 43
Johnson, Robert, assault on, vi., 361
Johnston, Governor, i., 202
Jones in N. Y. Assembly, viii., 18, 19, 22, 25, 26
Joseph, Emperor, and the Netherlands, iv., 399
"Juba," v., 18
Kent, Duke of, visit to America, vii., 221
Kentucky, ii., 16, 400; viii., 107
Kiddoe, James, vi., 378
King, Charles I., i., 100, 104, 105; Charles II., bill framed by, 112; makes Carolina a principality, 100; James's answer to Parliament, 100; council at Plymouth, 103; arbitrary power of, in Canada, 186; William, 110; of Prussia, ii., 11
King, Rufus, author of eight "Camillus" papers, v., 476
King vs. Horne, viii., 414
King vs. Tutchin, viii., 414
Kirkpatrick, Major, vi., 383
Knox, Maj.-Gen., vi., 484; viii., 96
Knyphausen at Springfield, viii., 69
La Fayette, Marquis, iv., 296, 472
Lake of the Woods, v., 340
Lancaster, meeting at, i., 303, 315-317
Lands, disposal of unoccupied, i., 285
Lansdowne, Lord, on libel, viii., 416
Lansing refuses to sign U. S. Constitution, i., 421
Lansing or Burr, viii., 373; support of Lansing in election for N. Y. governor (1804), Burr democrat from policy, 374; effect of election by aid of Federalists, 374; Lansing's personal character, 376
Laurens, case of, vi., 254
Law, John, Mississippi scheme, i., 233; iii., 332
Law briefs, validity of British detention of U. S. Western posts, viii., 376
Lear, Mr., iii., 192; viii., 150
Ledyard, Isaac, letter of, iv., 250
Lee, on captures, v., 29
Lee, Arthur, i., 300; v., 459
Leeds, Duke of, relations with the Pinckneys, vii., 323
Le Grand, Monsieur, banker, ii., 305
Lenox, Major, vi., 351, 352
Lewis, Morgan, elected governor of N. Y. (1804) note, viii., 373
Lexington, Greene at, viii., 66
Libel, law of (see Croswell), brief in Croswell case (1804), viii., 383; Hamilton's speech on, 387; definitions of, 394; province of judge and jury in, 397
Little Democrat, privateer, v., 47, 58
Little Sarah, French privateer, v., 3, 5, 39
Loans, i., 265; (1) report to Congress (1792), U. S. finances, ii., 333; money owed to foreign officers, 365; funding of Western lands, 366; (2) resolutions on, in Congress (1793), report of Sec. of Treas., iii., 61; responsibility of Sec., 83; Dutch loan, Wm. Short, 83, 130; payments to France, 85; terms of foreign loans, 98; documents of Sec. of Treasury, 126; acts of Washington relative to Treasury, 129, 130; (3) report to Congress (1793), 139; relations between banks and U. S. Treasury, 140, 159; foreign and domestic loans, 138, 148, 154; import duties, 165; sinking fund, 170; (4) "Observer's" defence of Sec. of Treas., 178; Hamilton's request for investigation, 179; report on request, 180; Hamilton to Washington on loans, 183, 190, 194; Hamilton to Congress, 185, 187; acts of legislature regarding, iv., 302
Local governments, ii., 207
Locke, John, i., 61
Loftus Height, vii., 154, 163
London, N. Y. Packet Company, i., 243
Loughborough, Lord, on libel, viii., 306, 400, 415
Louis XIV., edicts of, i., 270
Louis XVI., iv., 385, 474
Louisiana, iv., 199, 326; vi., 284
Lovely Lass, ship captured by French privateer, v., 380
Lynde, Cornelius, vii., 91
Lyons, Lord, asked permission to march troops through Maine, iv., 313
McCulloch, John, vi., 382
McDougall, General, i., 226
McHenry, Sec. of War, letters to (see Military papers), vi., 483; dismissed by Adams, vii., 349
McPherson, General, vii., 45
Madeira wine, i., 43
Madison, James, ii., 179, 463, 469, iii., 191; iv., 199; vi., 184; vii., 255; viii., 232, 237; aid to Freneau, vii., 237; answers "Pacificus," iv., 432; author of Federalist, viii., 337; debates, i., 209; efforts to discredit Hamilton, iii., 62; reports, i., 370, 393, 404, et seq.; resolutions in Congress, iv., 205, 220; v., 74
Magna Charta, i., 69, 112
Malmedy, ix., 63
Malsherbes, M. de, counsel of French king, iv., 371
Mansfield, Lord, on libel, viii., 392, 399, 408, 425
Manufactures, encouragement of, in U. S. (see Industry and Commerce, also Taxation), iv., 70-198
Marat, fate of, v., 76
Marblehead, i., 168
Marius, v., 77
Marshy Lake, v., 340
Martin, quoted, v., 28
Martin, Luther, of Maryland, i., 421
Maryland, bank of, iii., 141; charter of, i., 100, 104; commissioners to Annapolis convention, 336; member from, 390; representatives from, ii., 17; legislature, 53; payments to U. S. Treasury, 211
Mason, Col. Geo., ii., 426; refused to sign Constitution, vi., 184
Massachusetts, i., 124, 336, 384; Assembly of, ii., 16; bank of, iii., 141; charter of, i., 100, 110; debt of, ii., 440; viii., 482, 485; excise duties in, ii., 344; payments to United States Treasury, 211, 215; taxation in, iii., 352; viii., 487
Massachusetts Bay, petition of, i., 9
Maury, Isaac, v., 59
Mediterranean, i., 146, 150
"Mentor," answer to "Phocion," iv., 250
Mercator, letters of Hamilton to, iii., 28
Mercer, John Francis, dread of coalition between France and England, iv., 228
Merchandise, ii., 306, 315
Meredith, Samuel, iii., 117
Mexican War, iv., 201
Meziere, Chevalier, right to hold Georgia land, v., 400
Mifflin, governor of Pennsylvania (1794), vi., 394, 427; vii., 353
Military defences, viii., 261
Military papers: Military peace establishment (note), vi., 463; detailed plan for (1783), 467-472; comments on plan, 472-482; letters on military matters (Hamilton, Inspector and Major-General): To McHenry, Sec. of War (1798), vi., 483, 485; vii., 3, 42, 44, 47, 50; (1799) 53, 58, 59, 62, 69, 76, 77, 80, 85, 87, 88, 94, 95, 97, 98, 100, 103, 105, 107, 111, 113, 125, 134, 141, 144, 149, 170, 179, 187-189, 194; (1800) 197, 203, 206, 208, 215, 221, 224; Adams, John (1800), 216; Jay, John (1798), vi., 486; De Noailles (1800), vii., 207, 212; Gibbs, Caleb (1799), 159; Gunn (1798), 41, 45; Hamtranck (1799), 82, 89; Harrison, Col. R. H. (1799), 110; Moore, Col. (1799), 140, 147, 148; Pinckney, Gen. (1800), 190, 213; Rivardi
Military papers (Continued)
(1800), 221; Smith, Col. (1799), 170; (1800) 196, 211; Stevens, Col. (1799), 86; Stoddert, Sec. of Navy (1799), 102; Swan, Caleb (1800), 218; Washington (1798), vi., 486; (1799) vii., 67, 77, 90, 92, 117, 174; Wilkinson (1799), 64, 67, 75, 154; circulars, 61, 83, 102, 111, 116; to ——, 92; regulations respecting supplies and extra expense, 135; paper on military step, 200
Miller, Colonel Henry, vi., 351
Minerva, "Camillus" papers published in, vi., 32
Mississippi, i., 26, et seq., 155; navigation of, iv., 334; v., 127; negotiations on, iv., 359; position of, v., 338; trade on, 325
Molasses, price of, ii.; 384
Monarchy, dangers of, in United States, v., 91
Monmouth, battle of, viii., 69
Monroe, James, connection with Reynolds affair, vii., 369, 397; documents from, on Reynolds affair, 413, 417, 452, 455, 462, 464, 473, 475, 477
Montague, James, Hamilton's nom-de-plume, iii., 341
Montesquieu, i., 61, 185, 374
Montgomery County, ii., 35
Monticello, Jefferson retires to, v., 119
Montmorin, quoted, vi., 16
Montreal, navigation to, from Quebec, v., 299
Morgan, General, viii., 73, et seq.
Morocco, Emperor of, viii., 154
Morris, Chief-Justice, ii., 110
Morris, Gouverneur, ii., 289, 426; iii., 81, 128; iv., 343; v., 56, 60; vi., 348
Morris, Robert, i., 226, 239, 266; iii., 310
Moustier, Count de, iv., 296
Muhlenberg, F. A., connection with Reynolds affair, vii., 369, 397, 413; documents from, on Reynolds affair, 412, 417, 452, 453, 455
Murray nominated envoy to France, vii., 337
Mutiny of troops, i., 303, 314
National bank, necessity of, ii., 314; proposed, i., 267; established (1781), iii., 493; subsequent history of, 493, 494; present system, 495
National bank, papers on: (1) Hamilton to Robert Morris (1780), critical position of government, iii., 319; necessity for a foreign loan, 325. (2) To Robert Morris (1781), 342; Morris, appointment, 343; proportion of cash to revenue, 347; taxes of year 1780, 354; annual expense of civil and military establishments, 355; institution of national bank, 360; plan for bank submitted, 367; solvency of States, 385. (3) To Congress (1790), national banks, 388; answer to charge of usury, 397; banks in U. S., 415; presidents of banks in foreign cities, 428; plan for national bank of U. S. submitted, 431. (4) Washington to Hamilton, on constitutionality of national bank, 443. (5) Hamilton to Washington (1791), constitutionality of national bank, 445
National credit must be retrieved, ii., 231
National Gazette, iii., 28; v., 18; vii., 229, 236, 239
Naturalization of foreigners, viii., 284
Naughton, Sir Robert, protects Puritans, i., 101
Neckar M., praises British Constitution, i., 389
Negroes, representation for, ii., 14
Netherlands (see Holland), i., 218; iv., 399
Neutral nation, power to trade, iv., 416
Neutrality, definition of, iv., 434
Neville, General, vi., 363
Neville, Colonel Presley, vi., 385, 429
New England, settlement of, i., 101; intolerance of, 196; protection in, iv., 200
New Hampshire, i., 336; ii., 7, 40, 359; viii., 48
New Jersey, i., 336, 381, 385; ii., 212, 218; v., 349
New London, i., 276
Newspaper letters on public matters, i., 141
Newton, Sir Isaac, estimate of proportion between gold and silver, iv., 20
New York, Convention of, on U. S. Constitution (1788), ii., 3; speech on compromises of Constitution, radical defects of Confederation, 3; confederacies liable to wars, 10; State interests, 12; check on increase of representation, 19; advantages of large districts of election, 26; powers of national government and State legislation, 34; speech on U. S. Senate (1788), 40; stability essential to government, 41; relation between senators and State legislatures, 48; danger of factions, State of Rhode Island, 53; ratio of representation, 62; leading objects of federal government, 63; State governments, 68; brief of argument on U. S. Constitution, 91
New York, foreign vessels in, v., 297; governor of, ii., 103; v., 194; viii., 242; legislature, speeches in, i., 291, 343; iv., 291; viii., 5, 42; payments to U. S. Treasury, ii., 211; State debt, 215; iii., 21; southern district of, iv., 254; Tories in, 230, et seq.; and Vermont, viii., 42, et seq.
Nichols, Colonel Francis, vi., 351, 352
"No Jacobin" articles by Hamilton in Daily Advertiser (1793), on career of Genet, minister from France, in U. S., v., 17
North Carolina, i., 336; ii., 7; vi., 342; currency of, ii., 211, 215, 216; laws on money, v., 350; officers of, ii., 328; opposition to excise duties, vi., 339, et seq.
Oaths, dangers of, ii., 343
"Observer," reply to Mr. Findley's accusations, iii., 177
Officers on half-pay, i., 228
Ohio River, importance of, vii., 157, 166
Osgood, Mr., iv., 229
Otto, Mr., iv., 422
"Pacificus," letters of Hamilton in U. S. Gazette (1793), defence of neutrality proclamation, iv., 432; power of President to issue it, 439; proclamation inconsistent with French treaty, 445; French aggressions, 450; France engaged in war with all Europe, 456; U. S. debt to France, 460; state of French affairs, U. S. influence, 465; Louis XVI. and France, 472; necessity for U. S. to avoid war, 484; papers under Hamilton's signature, vii., 369
Pennsylvania, affairs in, vi., 394, 429; commerce of, i., 276; compared with N. C., 386; contribution to government, ii., 7; excise duties in, 344; vi., 339, et seq.; Farmer, i., 126; insurrection (see Whiskey Rebellion), vii., 351; payments to U. S. Treasury, ii., 211, 218
Perezius, viii., 403
"Pericles," paper by Hamilton on cession of Louisiana to France, vi., 333
Peters, Richard, Judge, committee concerning mutiny, i., 314; vi., 448
Petition presented by officers to Washington, asking for back pay, ii., 327
Petitions, futility of, i., 9-14; from London and Massachusetts, 9, 10; Continental Congress, 20
Philadelphia, charter, i., 110; mutiny at, 303; convention at, 339; ii., 95; yellow fever in, viii., 110
Philip of Macedon, i., 385; ii., 10
"Phocion," letters on relations with England (1784), iv., 230; disfranchisement of tories, 230; dangers of disqualifications, 247; inhabitants of southern N. Y., 254; British subjects, 258; breaches of treaty, 264; danger of British supremacy in America absurd, 281; effect of letters, 250
Phocian war, i., 385
Pichegru, vi., 287
Pinckney, Charles, vii., 325
Pinckney, General Charles Cotesworth, vii., 6, 8, 65, et seq., 159, 174, 187, 213, 309, 323, 329, 362
Pinckney, Thomas, v., 59; vi., 318, et seq., 362
Pitt, William, i., 128
Pittsburgh, meeting in, vi., 341
Pittsburgh Gazette, vi., 359, 368, 379
Platæans, incident of, iv., 238
Plymouth, original constitution of, i., 102
Poland, i., 392; iv., 241; v., 90; vi., 216
Portugal, i., 145, 147; iv., 358, 407; v., 485; vi., 148, 283, 320
Postlethwait quoted, i., 144, 148
Postmaster-General, new plan, ii., 282
Presbyterians, i., 190
Presidential etiquette, Hamilton to Washington (1789), Washington to Hamilton in reply, viii., 87
Price, Dr., quoted, iii., 346
Prince William Henry, vessel taken by French privateer, v., 380
Prince's Bay, i., 276
Princeton, Congress at, i., 323
Privateering, Cabinet meeting on, v., 3
Privateers, v., 5, et seq., 19, 380; vi., 140
Proclamation of neutrality, objections to, iv., 433, et seq.
Property tax contrary to principles of public credit, ii., 353
Providence, Bank of, iii., 141
Prussia, i., 231; iii., 322; iv., 482; v., 458
Public credit (see also Loans), i., 301; report on, by Hamilton as Sec. of Treasury (1790), ii., 227; nature of U. S. debt, 231; classes of creditors, 236; rates of interest, 257, 258; proposition for loan, 260; interest to be paid from duties, 272; assumption of State debts, 286; importance of this report, 289; schedules, 290; report to Congress (1790), deficit for 1791, 337; plan of supplying deficit, 337; duty on spirits, 338; excise versus other duties, 340; to Supervisors of Boston on inspection of U. S. Treasury, 352; report to Senate (1795), iii., 199; plan for redemption of debt, 201; duties, 202, et seq.; Bank of U. S., 203; U. S. Post-Office, 207; provisions for funding debt, 211; application of revenues, 216; proceeds of Western lands, 219; loans, 221; propositions for completing system of public credit, 237; discussion of propositions, 247
Public debt (see Public credit), iii., 28; v., 419; viii., 235, 239; report of Sec. of Treasury to Congress (1792), iii., 46; measures for regular redemption of public debt, 46
Public lands, report to U. S. Senate, objects of disposition, viii., 87
"Publius," letters (1778) incited by the feebleness and laxity of Congress, i., 199; to member of Congress, personal attack, 201
Puffendorf quoted, i., 61; iv., 315, 382, 398, 459; vi., 218
Puritans in Holland, arrival in America, i., 101
Quartermaster-General, i., 231
Quebec, navigation to, from Montreal, v., 299
Quebec bill, remarks on (1775), Canada under the French, i., 181; Roman Catholic religion established, 193; dangers to New England from Quebec bill, 196
Questions and answers (see United States), ii., 427
Randolph, Edmund, i., 335, 382, 393, 421; iii., 191; v., 119; vi., 184, 408, 445; viii., 96
Rawle, William, v., 131; vi., 448
Raymond, Lord, on libel, viii., 405, 408
Red Lake, v., 340
Red Stone Old Fort, meeting at, vi., 359
Religion, difference between, tolerated and established, i., 190
Report on public credit, ii., 227; schedules to, 290
Representatives, apportionment of: Hamilton to Washington (1792), answer to President's request for opinion on constitutionality of act of apportionment, viii., 96
Republican, sloop, v., 57
Resolutions for a general convention of the States, passed by N. Y. legislature, July, 1782, i., 201
Revenue (see Taxation and Public credit); i., 131, 139; ii., 341, 370
Revenue system, speech on a grant of impost to U. S. for twenty-five years, in N. Y. legislature (1787), ii., 102
Reynolds pamphlet, Hamilton's refutation of charges of speculation, vii., 369; public and private accounts, 374; his real crime in the Reynolds case, 378; Reynolds' letters, 391; History of U. S. for 1790, 369, 443; Clingman's evidence, 403; Hamilton's desire to avoid exposure; affidavits: Muhlenberg's, 412; Monroe and Venable's, 413; Mary Williams's, 467; Noah Webster, Jun's, 469; letters: to Hamilton from Monroe, 452, 455, 461, 462, 464, 473, 476, 478; from Muhlenberg, 451, 452, 456; from Mrs. Reynolds, 423, 429–431, 433, 438; from James Reynolds, 423, 425–428, 431, 434–441; from Venable, 453; from Hamilton to Monroe, 451, 458, 461–463, 471, 475, 477, 478; from Clingman to Wolcott, 448; Reynolds to Wolcott, 467; from Jefferson, 471; statements: from Seckel, 442; from Wolcott, 443
Rhode Island, charter, i., 106; debt of, ii., 359; v., 349; viii., 482, et seq.; objections to imposts, i., 302; ii., 148, 179; commissioners to Annapolis, i., 336; representation from, ii., 17; legislature of, 53; objection to U. S. appointing internal officers, 182; payments to U. S. Treasury, 211, 215
Rives's Life of Madison, i., 301
Robespierre, v., 76
Roland, privateer, v., 58
Roman law, v., 424; viii., 403
Rome, example of, i., 15, 87, 282; ii., 223; vi., 285
Rutgers and Waddington, suit of, v., 227
Rutherforth, Institutes of Natural Law, quoted, vi., 134
Rutledge, John, motion and resolution, i., 302
Russia, i., 145, 147, 167, 231; iii., 322
St. Clair, General, i., 323; ii., 155; letter from, iii., 105
St. Domingo, iii., 95, 107, 122, 163, 169, et seq.; iv., 362
St. Lawrence, i., 26
Salem, petition from, ii., 384
Salt tax, ii., 54
Sans Culottes, privateer, v., 6
Savannah, evacuation of, viii., 81
Schuyler, General Philip, i., 226; ii., 135, 138
Scotland, trade in, i., 146
Seckel, Henry, vii., 385, 442
Secretary of Treasury, report of, iii., 41, 187
Sedgwick, Theodore, on loans, iii., 180
Senate (see New York convention)
Senates, i., 390
Senators, term of, ii., 47, 48
Seward's policy in 1862, iv., 313
Shawhan, Robert, vi., 377
Sherman, Roger, member of convention, i., 410, 411
Shipley, speech of, i., 172
Ships, unloading of, ii., 306
Short, William, correspondence with U. S., ii., 423; iii., 80, 81, 106, 121, 123, 126, 130, 136; Chargé d'Affaires, Paris, iv., 296, 302; mission to Holland, 303; limitations of power, 311
Sieyès, Abbé, vi., 288
Silesian loan, confiscation of, v., 437, 447
Skipwith, letter of, to Monroe, vi., 258
Slaves not considered altogether as property, ii., 14
Smilie, Robert, vi., 382
Smith, Adam, *Wealth of Nations*, ii., 450; iv., 108
Smith, Melancthon, opinion on presidential term, ii., 124
Smith, Col. W. S., negotiations on payment to France, iv., 419
Smith, William, ii., 133; iv., 220
Smith, Col. William, application of, vii., 216
Smuggling lawful in war-time, i., 162
Soldiers petition for back pay, ii., 327
South Carolina, act of (1784), v., 228; Assembly, ii., 16; commissioners to Annapolis, i., 336; currency of, ii., 211, 216; debt of, vii., 498, *et seq.*
Spain, i., 146, 150, 169, 266; iv., 483; v., 207; viii., 155; amity towards, iv., 335, *et seq.*; capture of American ships, vi., 96; and colonies, v., 485; conduct of, iv., 322; connection with U. S., 298, 313; debt of, iii., 127, 322; and Great Britain, iv., 325; v., 258; interest in America, 90; loans to America, iii., 358; trade with America, iv., 358; trade with Indians, v., 289; war with France, iv., 407
Spaniards on Mississippi, v., 327
Sparta, i., 252; ii., 22
Spencer, Attorney-General, viii., 418
Spinoza, i., 83
Spirits, report to Congress on (1792), ii., 368; consumption of in U. S., 435 (*see also Taxation*)
Stamp acts, i., 9, 127, 131, 133, 137, 138, 139, 143, 148
"Stand" letters published in *Commercial Advertiser* (1798) on U. S. relations with France, vi., 259; treaty of Pillnitz, 268; necessity of preparing for war, 309; design of France to make war between U. S. and Great Britain, 315
State constitutions, i., 214; ii., 46; debts, 248, 337, 358, 362, 429, 439; iii., 18; funds, inefficacy of, i., 300; interests, 383, 396, 405; ii., 12, 44; interference, 326, 332; papers, 368; representatives, 44; rights, viii., 295; securities, ii., 477
States, creation of new, ii., 16, fearful of federal encroachments, 17, 56; sovereignty of, 100, 104, 195, 196
Stevens, Edward, friend of A. H., vii., 198; ix., 37
Stile, Captain, affair of, vii., 223
Strong, Colonel, vii., 77
Suffrage, equality impossible, i., 412
Sugar-cane, i., 152
*Swallow* and other vessels, v., 58
Sweden, i., 167, 231, 391; debt of, iii., 322; example of, v., 44, 201; terms with English, 365
Swiss cantons, i., 217, 252, 385, 397; vi., 280
Sylla, v., 77
Talleyrand, comment on Hamilton, i., 169
Tarleton, Colonel, viii., 74
Warling, Timothy, vii., 91
Taxation, amount proposed, iii., 56; best modes of, i., 271, 272, 279, 283; colonial, act relative to (1691), 172; British demands (1774), 7, *et seq.*; plans for, 119; constitutional provision for (1787), 364; ii., 245; direct, 219; during the Revolution, v., 78; excise duties, ii., 221, 341, 368, *et seq.*; iii., 204, *et seq.*; in different States, ii., 439; result of imposition in Penn. (*see Whiskey Rebellion*); import duties (impost), 179-192, 272, 291, 306, 346, 414; iii., 202, 208, 226, 265, 276; v., 129, 308, 320; *ad valorem*, ii., 416, 419; iii., 202, 301; iv., 164-168; discrimination by Great Britain, 206, 207; federal and State interests conflicting, ii., 54, *et seq.*; history of, in U. S. (note), iv., 198; in British colonies, vi., 6, 21, 202, *et seq.*; French colonies, 4, 23, *et seq.*; limit of time for paying, ii.,
Taxation (Continued)
349; on manufactured articles, 378; iv., 164-198; on miscellaneous articles, ii., 293, 415, et seq.; on raw materials, 293, 295; v., 328; on salt, ii., 54, 418; iv., 68; on snuff, sugar, etc., iii., 208, 226, 308; on spirits, ii., 282, 293, 338, 368-408, 415; iii., 216, 221, 226, 265, 305; on wines, spirits, tea, and coffee, ii., 276, 349, 415; on reciprocity with Great Britain, vi., 32-76; in Europe, iii., 349, 357; in Mass., 352; in New York, viii., 40; ix., 270, et seq.; miscellaneous taxes: of auctions, iii., 209, 226, 307; of buildings, 312; of horses, conveyances, etc., 58, 207, 226, 309; viii., 378; of land, ii., 380; of licenses, iii., 207, 226, 306; of patents, 226; of peltry, v., 320, 328, et seq.; of postage, iii., 226; poll tax, ii., 80; iv., 161; protective duties, policy due to Hamilton, tonnage duties, ii., 298, 301, 321; iii., 202, 226, 265; v., 166; vi., 18, 51, 61, 202; under Confederation: inability to enforce (1780), i., 214; plan for, 231, 239, 306; unpopular methods of, in U. S., ii., 179, 434; iii., 349, iv., 161; U. S. funds, ii., 352, 353; U. S. military, special tax for, i., 302; vii., 45, 49; U. S., and States, ix., 3, et seq.; U. S. tariff, history of (note), iv., 108
Taylor, Colonel, vii., 91, 208
Tazewell, act drawn up by, i., 172
Tea, duty on, i., 7; arrival in Boston, 132
Ternant, application of, iv., 362
Territory, examples of cession, viii., 49
Thompson, Thomas, ix., 43
Thurlow, Lord, on libel, viii., 396
Ticonderoga, viii., 53
"Titus Manlius," signature to "Stand" letters, vi., 267, 274, 281, 289
Toussard, Major, vii., 198
Trade, between Gt. Britain and America, i., 12, 116; iv., 220; loss of, to Gt. Britain, i., 22; illicit, 47; regulations, 114, 118, 129, 261, 278; rise in England, 270; centres, lack of, in U. S., 276; promoted by public credit, ii., 233
Transportation, difficulty of, in America, i., 160
Treasury (see United States), ii., 227; iii., 30
Treaties, Executive's power to make, iv., 436; force of, under political changes, 374; with various powers, v., 29
Treaty, commercial, with France, v., 19, 26; of Fontainebleau, iv., 399; with Great Britain, Jay's (1795), (see "Camillus"); Great Britain (1796), viii., 161; of Munster, iv., 241; of Paris (see Foreign relations), 227, 325; of Utrecht, vi., 222
Trenton, i., 276, 304
Tribunes in Rome, ii., 23
Tripoli, war with, viii., 247
Trumbull, Speaker of House, iii., 77
Tryon, Governor, iv., 259
"Tully," papers on Whiskey Rebellion, vi., 410
Turkey, i., 145
United Netherlands (see Holland), ii., 437; iii., 322, et seq., 345, 359; v., 429, 457; ix., 29
United States (see Continentalist, and Government and the Constitution), admission of British shipping into waters of, v., 141; army (see Military papers), i., 221, 308; ii., 100, and (see Arrears of pay), vii., 224; viii., 230; assumed debts of Confederation, ii., 243, 263, 286; arsenals and magazines, vii., 130; Bank of (see National bank), ii., 456; iii., 34, 46, 110, 157, 203, 223, 333; v., 471; bill for regulating trade of, ii., 205; capital of, viii., 232; citizens on foreign privateers, v., 16; coinage, viii., 107; condition of (1795), 155; Congress, convening of (1793), 110; defects of (see "Publius"), i., 199; remedies for (see Government), 213,
United States (Continued)
(see Continentalist), 243; demands papers on treaty, viii., 161; journals of, ii., 100; federal functions of, 200; legislative power of, 194; nature of two branches, 52, et seq.; power to declare war, viii., 249, et seq.; power of legislating on judiciary, 314, 322, 329; ratio of representation (see New York convention), ii., 14, 98; resolution of, 356; regarding neutral ships, vi., 96; special session, v., 54; credit of (see Public credit), ii., 227; iii., 247, 257; communication with sea, v., 310; Constitution (see Federal convention and New York convention); sketch of, i., 224, 225; draft of, by Hamilton, 350; ratified, ii., 103; adopted by ten States, 162; amendments to, 166; in relation to Jay treaty, v., 359; vi., 161, et seq. (see "Camillus"); militia, 430; court-martial, extra pay in, vii., 114; courts, viii., 277; customs officers, compensation to, ii., 292, 310; dangers of war to (1794), v., 86; danger of responsibility without power, ii., 101, 204; debt of (see Public credit, Loans): 188, 211, 337, 356, 427; foreign and domestic, 366; iii., 30; in France (1793), iv., 422, 429; Hamilton's treatment of, ii., 289; plan for funding of, 256, 444; iii., 228, 237; iv., 118; purchased by, iii., 220; payable in Western lands, ii., 366 (see also Finance, vol. ii.); diplomatic services, viii., 297; duties (see Taxation), iii., 176; Executive: duties of, iv., 437, et seq.; necessary, i., 390; for life, 391, 392; extent and population of, iv., 117; v., 332; vi., 260, 332, 333; viii., 284; and France (see France), iv., 227, 366, et seq., 432, 472; v., 17, 75; vi., 229; federal courts, defence of, viii., 271, 276; government, collection of taxes, ii., 185; forts, disposition of troops at, vii., 119, 151, 161; fund, ii., 185; Government not responsible for State governments, iii., 37; History for 1796, vii., 369, 443; importance of, to Gt. Britain, v., 126; impost benefit of (see Taxation), ii., 181, 379; internal revenue, vii., 252, 258; judicial authority of, i., 349; ii., 100; judges, tenure of office, 100; viii., 314, 323, 330, 341, 349, 353; lack of coin in, iii., 100; legislatures, State and federal interests not identical, i., 349, 407; ratio of representation, ii., 17, et seq.; branches of, 170; legislative, executive, and judiciary departments of, viii., 333, 338, 347, 353; loan-office certificate, ii., 355; map of (1793), v., 339; maxims of free intercourse, 291; military supplies, vii., 128; naval agents, viii., 300; navy, i., 308; viii., 160, 218; officers, impeachment of, i., 349; office, rotation of, ii., 124; parties in, v., 97; people of, inclined to State sovereignty, i., 383; powers of: to lay taxes, ii., 198, 295, 395; to erect corporations, iii., 459; to regulate trade, 390; President: forms, viii., 83; charges against (1795), 122; message on treaty, 161; protection for frontiers, ii., 409; representatives, apportionment of (1791), viii., 96; revenue: from duties on spirits (see Taxation): ii., 340; and appropriations in 1792, iii., 174; system (1789), 198, 202; inspectors of, viii., 301; right to alienate territory, iv., 360; Senate, i., 347, 405, 411; ii., 56, 103; and Spain, vii., 168; viii., 155; and State debts, 467; stock, ii., 354, 432; tariff, history of (note) (see Taxation), iv., 198; Treasury (see Public credit, etc.): ii., 210; iii., 145, 207; bills used as cash, 159; expenditures, explanation of (see Explanation), viii., 122; Jefferson's proposition to specify appropriations, 304; Sec. of Treasury, 150; surplus in
United States (Continued)
(1790), iii., 170; treaty with Gt. Britain (see "Camillus"), papers of (1796), viii., 161; with Portugal, 298; with Spain, vi., 247; various nations, v., 38, 457; vi., 56; reciprocity in treaties, 67; troops, organization of (see Military papers), vii., 6, 77, 149; war of, 76; Western posts of (see "Camillus"), v., 139; viii., 376; vessels, seizure of, v., 372
Utrecht, treaty of, v., 327, 465
Valin quoted, v., 28, 41, 42; vi., 218, 224
Van Rensselaer, Jeremiah, viii., 223; Stephen, 223
Van Staphorst & Hubbard, bankers, correspondence with U. S., iii., 81, 83, 126; agents of U. S., 133, 134; iv., 302, 305
Vatel cited, iv., 315, et seq., 355, 380, 410, 435, 436, 451, 458; v., 29, 36, 41, 44, 372, 383, 430–436, 438, 442, 477; vi., 87, 110, 117, 131, 224; viii., 50
Venable, Abraham, documents from, on Reynolds affair, vii., 369, 397
Venice, vi., 278–280, 302
Vergennes quoted, vi., 16
Vermont, speech on independence of, in N. Y. Assembly (1787), viii., 42; separation from N. Y., constitutionality of, 48, 51, 58; affair of Fay and Allen, 53
Vindication of Congress fragment of paper defending Congress for incurring debts, i., 327–331
Vindication of the Funding System, iii., 3
Vinnius, viii., 404
Virginia, acts of, v., 211, 229; accounts, i., 168; aids Gates, viii., 77; charters, i., 94; commissioners to Annapolis, 335; convention of, ii., 157; vii., 253, 274; debt of, ix., 22; excise duties in, vi., 339; legislature of, ii., 53; opposes Constitution, 165; payments to U. S. Treasury, 211, 215; representatives in federal con-
vention, i., 382, 393; riots in, vi., 357
Wadsworth, General, i., 204
Warning papers, attempt to rouse Americans from French influence (1797), vi., 229; power of France, 235; French excesses, 240; national convention, 249; neutral ships, 254
Wascowitch, vi., 321
Washington, George, accepts Jefferson's advice on back pay, ii., 327; Brigadier-General, vii., 8; desire for federal city, viii., 232; distress at quarrel between Jefferson and Hamilton, vii., 303; farewell address (draft by A. H.) (authorship of, see note), viii., 187; to Hamilton, on loans to U. S., iii., 129, 190; on national bank, 443; adopts plan, 493; on French affairs, iv., 366; on presidential etiquette, vi., 439; to Jay and justices of Supreme Court, on legality of French privateers, v., 12; to heads of depts. (draft by A. H.), 17; instructions to Jay (draft by A. H.), 121; message on British treaty (draft by A. H.), viii., 161; on Genet (1793) (draft by A. H.), 119; to Penn. and Carolina gov. (draft by A. H.), vi., 349; position, defence of, v., 98; to President of French Assembly (draft by A. H.), iv., 349; president of Cincinnati Society, viii., 3; proclamation for Thanksgiving, 120; on Whiskey Rebellion, vi., 389, 442 (drafts by A. H.); speeches to Congress, (drafts by A. H.), viii., 102, 116, 153, 214; slandered, 122; to McHenry, on raising troops, vii., 6; death and funeral of, 190, 191
Wasp, viii., 388, 402
Watson, James, viii., 223
Webster, Daniel, protectionist, iv., 200
Wells, John, vi., 379
West Indies, supplies, i., 26, 27, 152–154, 170
"Westchester Farmer" answered, i., 3
Western islands, wine from, i., 43
Western lands, ii., 261
Western posts, iv., 334
Whigs, iv., 231
Whiskey Rebellion, resistance to excise laws in Penn., vi., 339; Hamilton's letters on, to Washington (1792), 339, 341, 342, 345, 347, 349–351 (1794), 353, 358, 368, 408, 409, 441; from Penn., 451–460; to Craig, 410, 426; to Maj.-Gen. Lee, 445; Sec. of State to Mifflin, Gov. of Penn., 394; proclamations (Hamilton's drafts), 389, 442; Tully papers, to inform public of facts, 410
White Bear Lake, v., 340
Wilkinson, General, vii., 14, 67, 93, 95, 117, 141, 151, 160, 171
William, ship, v., 27, 35, 57
William and Mary, i., 110, 135, 173
Williams, Mary, affidavit in Reynolds affair, vii., 467
Williamson, motion to increase number of Representatives, i., 418
Willink, Wilhelm and Jan, correspondence with U. S., iii., 83, 126; agents of U. S., 134; iv., 302, 305, 312
Wilson outrage in Pennsylvania, vi., 365
Wilson, of Pennsylvania, i., 404
Wilson, James, associate-justice, v., 12
Wolcott, Oliver, iii., 312; vii., 399, 443; viii., 151, 238
Woodeson's lectures, v., 29
Wool, i., 157
"X. Y. Z." letters, vi., 259
Yates, reports, i., 393, 403, et seq.; hostile to Hamilton, 417; refuses to sign Constitution, 421; withdraws from convention, 424; proposed for Governor of N. Y., ii., 110; character of, 110, 118, 128
Yeardley, Sir George, arrival in Virginia, i., 99
Yellow fever, v., 49; viii., 110
List of letters and other papers written by Hamilton and printed in the John C. Hamilton edition of 1850, which are omitted in this edition.
(The page and volume references are to the edition of 1850.)
VOLUME I
PRIVATE CORRESPONDENCE
Page.
3 Letter to Capt. William Newton, November 16, 1771.
3 Routine business letter for house in which Hamilton was clerk.
4 Pay-book of artillery company, and memoranda of books read.
12 Convention, March 17, 1777.
60 Letter from Hamilton to General Sullivan, 1778.
60 Routine letter written for Washington, and conveying Washington's orders.
VOLUME II
139 Reorganization of the Army. Supposed to have been addressed by Washington to committee of Congress, January 28, 1778. From two rough drafts in Hamilton's handwriting.
153 Inspector-General. Report by Washington. Draft by Hamilton, May 5, 1778.
164 Military Remarks and Queries. Submitted by Washington to committee of Congress. Draft by Hamilton.
168 Inspector-General. Report of Washington and committee, January 28, 1779. Draft by Hamilton.
171 Mission to France. Washington to Laurens. Draft by Hamilton.
176 Military Regulations. Submitted to Washington. Draft by Hamilton.
183 Discipline. Submitted by Washington to Congress, February 3, 1781. Draft by Hamilton.
These papers did not seem to merit reprinting. In those which were used substantially as Hamilton drafted them, it is obvious that they embodied Washington's ideas, and Hamilton's part was merely clerical; and, moreover, they can all be found in Washington's writings, or elsewhere. Those not used, like the first and fourth, are also shown by comparison with Washington's writings to be merely attempts by Hamilton to embody the General's views. They have no independent value.
Omitted Letters
204 Plan of specific taxation for the State of New York. Merely a list of articles and tax proposed for each.
212 to 283 inclusive. Resolutions and committee reports in Congress. These can all be found in the journals of Congress, and are not therefore reprinted in this edition. Moreover, it is impossible to say how much in each case was Hamilton's, or how far he was mouthpiece of his committee, or his petitioners. The appropriate place for these papers seemed to be in the published journals, etc. Three only of these papers have been retained: one is on public credit; the second, open debate; third, on a plan for a military peace establishment—an important part of Hamilton's scheme for a new system of government.
330 Constitution of Bank of New York.
333 Petition as to Revenue System.
341 Act to institute University of New York. Mr. Proctor, the editor of the forthcoming edition of Hammond's Political History of New York, has, I think, shown conclusively that this act was the work of Ezra L'Hommedieu.
374 Act to ratify independence of Vermont.
426 Resolutions in Congress—I., to admit Kentucky.
471 Resolutions in Congress—II., as to ratification of new constitution.
472 Resolutions in Congress—III., as to fugitive slaves.
473 Resolutions in Congress—IV., as to free navigation of Mississippi.
VOLUME III
46 Report, Treasury—revision of forfeitures.
48 Additional estimates, 1790.
50 Tax scheme for interest on State debts.
80 Report accompanying abstract of tonnage duties, May 11, 1790; account of money received from or paid to the States, May 11, 1790.
82 Report on taking West Point by Government, June 10, 1790.
89 Estimates, August 7, 1790.
93 Renewal of final settlement certificates, August 7, 1790.
146 Estimates for 1791, Jan. 6, 1791.
147 Duties on imports, Jan. 7, 1791.
188 Trade with India and China, Feb. 10, 1791.
190 Dutch loan; statement of terms, etc., Feb. 25, 1791.
192 Spirits—draft of an act, March 3, 1791, and Executive order, Oct. 31, 1791.
284 Estimates, 1791–1792.
337 Remission of duties in the case of Eliphalet Ladd, April 20, 1792.
350 Loans, drafts of resolutions for, Dec. 24 and 27, 1792.
351 Loans, transmitting statement of, Jan. 10, 1793.
352 Bank deposits, transmitting statement of, Jan. 16, 1793.
441 Spirits, revenue from—statement of March 1 and 2, 1793.
442 Spirits, revenue from—statement of Jan. 20, 1794.
444 Balance in Treasury, and domestic loans, Feb. 4, 1794.
446 Public debt, receipts and expenditures, statement of, Feb. 6, 1794.
451 Loan and contract with bank, April 25, 1794.
529 to 574 Revenue circulars.
Omitted Letters
578 Interest on claims of South Carolina line, March 18, 1790.
580 to 590 Reports on private claims.
All the above papers from Vol. III. (ed. 1850), omitted in this edition, are purely of a routine nature and of no historical value. They can all be found also in State Papers, Finance, Vol. I.
VOLUME IV
CABINET PAPERS
12 Hamilton to Willink & Co., May 7, 1790. Business letter as to loans.
13 Hamilton to Washington,—1790. Communicating letters from Amsterdam bankers, and discussing the loans and the acts authorizing them.
22 Hamilton to W. Short, May 29, 1790. As to loans.
23 Hamilton to Washington, June 18, 1790. Report as to lighthouses.
30 Hamilton to Washington, June 18, 1790. Submitting contract with a light-house keeper.
30 Hamilton to Washington, June 21, 1790. Submitting contract for lumber, etc.
37 Hamilton to Washington, August 28, 1790.
37 Hamilton to W. Short, August 29, 1790. Routine letter as to loans.
46 Hamilton to Washington, Sept. 10, 1790. As to revenue matters.
75 Hamilton to Benj. Lincoln, Oct. 4, 1790. As to light-house at Portland.
81 Hamilton to Washington, Nov. 4, 1790. As to frauds in old certificates.
93 Hamilton to W. Seton, Dec. 7, 1790. As to assay of coins.
93 Hamilton to Washington, Dec. 13, 1790. Transmitting report on national bank.
94 Hamilton to Washington, Dec. 15, 1790. Transmitting request of collector of Boston.
95 Hamilton to Washington, Dec. 22, 1790. Transmitting report on post-office.
147 Hamilton to W. Duer, April 7, 1791. As to government contract.
149 Hamilton to Washington, April 10, 1791. As to Dutch loans.
150 Hamilton to Washington, April 11, 1791. Giving an extract from a letter of R. King.
152 Hamilton to W. Short, April 13, 1791. As to Dutch loans.
154 Hamilton to Washington, April 14, 1791. As to Dutch loans.
157 Hamilton to W. Short, May 9, 1791. As to Dutch loans.
157 Hamilton to W. Short, May 24, 1791. As to Dutch loans.
162 Hamilton to W. Short, June 23, 1791. Loans.
162 Hamilton to W. Short, June 30, 1791. Loans.
167 Hamilton to Washington, July 29, 1791. Foreign loans.
168 Hamilton to W. Short, Aug. 1, 1791. Loans.
170 Hamilton to Jefferson, Aug. 26, 1791. Transmitting drafts of powers.
170 Hamilton to W. Short, Sept. 2, 1791. Loans.
174 Hamilton to Washington, Sept. 16, 1791. Enclosing letter.
176 Hamilton to W. Short, Oct. 3, 1791. Loans.
| Page | Description |
|------|-------------|
| 176 | Hamilton to Messrs. Willink, Oct. 3, 1791. Loans. |
| 177 | Hamilton to Washington, Oct. 6, 1791. Giving extract from letter of Church. |
| 180 | Hamilton to W. Short, Nov. 1, 1791. Loans. |
| 181 | Hamilton to W. Short, Nov. 30, 1791. Loans. |
| 183 | Hamilton to Thos. Mifflin, Dec. 21, 1791. As to certificates of State debts. |
| 184 | Heads of topics for President's speech, Dec. 25, 1791. |
| 185 | Hamilton to W. Short, Jan. 28, 1792. Loans. |
| 186 | Hamilton to W. Short, Feb. 14, 1792. Loans. |
| 187 | Hamilton to Willink, Feb. 14, 1792. Loans. |
| 188 | Hamilton to Washington, March 1, 1792. Submitting report on excise. |
| 188 | Hamilton to W. Short, March 5, 1792. Loans. |
| 193 | Hamilton to Washington, March 8, 1792. Transmitting draft of letter to French Minister. |
| 193 | Hamilton to Washington, March 16, 1792. Transmitting draft of report on ways and means. |
| 193 | Hamilton to W. Short, March 21, 1792. Loans. |
| 194 | Hamilton to W. Short, April 2, 1792. Loans. |
| 216 | Hamilton to W. Short, April 10, 1792. Loans. |
| 217 | Hamilton to Washington, April 12, 1792. Transmitting resolve as to sinking fund. |
| 217 | Hamilton to W. Short, May 7, 1792. Loans. |
| 220 | Hamilton to Washington, May 9, 1792. Adjustment of warrants. |
| 221 | Hamilton to W. Short, June 14, 1792. Loans. |
| 222 | Hamilton to Washington, June 19, 1792. As to a light-house. |
| 223 | Hamilton to W. Short, June 23, 1792. Loans. |
| 225 | Hamilton to W. Short, June 30, 1792. Loans. |
| 226 | Hamilton to W. Short, July 25, 1792. Loans. |
| 239 | Hamilton to Washington, Aug. 3, 1792. As to supply of a light-house. |
| 239 | Hamilton to W. Short, Aug. 4, 1792. Loans. |
| 240 | Hamilton to Jefferson, Aug. —, 1792. Suggesting a change of a sentence in a report. |
| 279 | Hamilton to W. Short, Aug. 16, 1792. Loans. |
| 282 | Hamilton to Washington, Aug. 27, 1792. As to mode of paying foreign debt. |
| 283 | Hamilton to W. Short, Aug. 28, 1792. Loans. |
| 307 | Hamilton to W. Short, Sept. 13, 1792. Loans. |
| 308 | Hamilton to G. Morris, Sept. 13, 1792. Loans. |
| 318 | Hamilton to W. Short, Oct. 1, 1792. Loans. |
| 319 | Hamilton to W. Short, Oct. 16, 1792. Loans. |
| 319 | Hamilton to Washington, Oct. 31, 1792. Enclosing statement of pay of revenue officers. |
| 319 | Hamilton to Washington, Oct. 31, 1792. Enclosing loan contract. |
| 320 | Hamilton to W. Short, Nov. 5, 1792. Loans. |
| 331 | Hamilton to W. Short, Nov. 26, 1792. Loans. |
| 332 | Hamilton to Jefferson, Dec. 26, 1792. As to information from consuls. |
| 333 | Hamilton to W. Short, Dec. 31, 1792. Loans. |
| 337 | Hamilton to Washington, Jan. 24, 1793. Enclosing statement of account. |
| 337 | Hamilton to W. Short, Feb. 1, 1793. Loans. |
| 339 | Cabinet opinion of four heads of departments as to payments of French debt. Feb. 25, 1793. |
| Page | Description |
|------|-------------|
| 340 | Cabinet opinions as to treaty with Indians. Feb. 25, 1793. |
| 342 | Cabinet opinions as to President qualifying. Feb. 27, and March 1, 1793. |
| 343 | Cabinet opinions as to French debt. March 2, 1793. |
| 343 | Cabinet opinions as to Kentucky expeditions. March 10, 1793. |
| 345 | Hamilton to W. Short, March 15, 1793. Loans. |
| 346 | Hamilton to Willink and others, March 15, 1793. Loans. |
| 347 | Hamilton to Washington, March 18, 1793. Loans. |
| 392 | Hamilton to Washington, May 4, 1793. Enclosing draft of circular. |
| 394 | Hamilton to Jefferson, May 9, 1793. As to passports. |
| 406 | Hamilton to Washington, May 25, 1793. |
| 411 | Hamilton to Washington, June 3, 1793. Loans. |
| 424 | Cabinet opinion as to seizure of sloop Polly. June 12, 1793. |
| 426 | Hamilton to Washington, June 15, 1793. Statement of account. |
| 434 | Cabinet opinion as to French privateers. June 20, 1793. |
| 435 | Hamilton to Washington, June 24, 1793. Statement of account. |
| 448 | Hamilton to Washington, July 19, 1793. Enclosing a letter. |
| 449 | Hamilton to Washington, July 24, 1793. Loans. |
| 462 | Cabinet opinion as to French privateers. Aug. 5, 1793. |
| 465 | Hamilton to W. Short, Aug. 12, 1793. Loans. |
| 466 | Hamilton to Willink, etc., Aug. 12, 1793. Loans. |
| 467 | Hamilton to Washington, Aug. 14, 1793. Enclosing a letter. |
| 467 | Cabinet opinion as to French prizes. Aug. 15, 1793. |
| 467 | Cabinet opinion as to Genet’s correspondence. Aug. 23, 1793. |
| 490 | Hamilton to Jefferson, Nov. 30, 1793. As to case of St. Domingo vessel. |
| 491 | Hamilton to Washington, Dec. 2, 1793. Payments of French debt. |
| 506 | Hamilton to Washington, Feb. 10, 1794. Case of defaulting collector. |
| 508 | Cabinet opinion as to payment of French debt. Mar. 11, 1794. |
| 509 | Hamilton to Washington, March 21, 1794. Enclosing statement of accounts. |
| 532 | Hamilton to Washington, April 10, 1794. Transmitting two letters. |
| 533 | Hamilton to Washington, April 21, 1794. As to foreign loans. |
| 534 | Hamilton to Washington, April 23, 1794. Loans. |
| 540 | Hamilton to Washington, April 28, 1794. Loans. |
| 546 | Hamilton to Washington, April 30, 1794. Sending translation of letter and as to payments to France. |
| 547 | Hamilton to Washington, May 3, 1794. Enclosing letter from Attorney-General. |
| 560 | Hamilton to Washington, May 27, 1794. Loans. |
| 562 | Hamilton to Washington, June 4, 1794. Loans. |
| 568 | Hamilton to Washington, June 22, 1794. As to case of a collector. |
**VOLUME V**
| Page | Description |
|------|-------------|
| 14 | Hamilton to Washington, Aug. 18, 1794. Transmitting letter. |
| 14 | Hamilton to Washington, Aug. 21, 1794. Explaining delay in sending certain papers. |
| 60 | Hamilton to Washington, Dec. 23, 1794. Loans. |
| 63 | Hamilton to Washington, Jan. 12, 1795. As to commissioner of loans in New York. |
| Page | Letter | Subject |
|------|------------------------------------------------------------------------|-------------------------------------------------------------------------|
| 63 | Hamilton to Washington, Jan. 12, 1795. | As to appointment of a marshal |
| 65 | Hamilton to Washington, Jan. 21, 1795. | As to excise |
| 66 | Hamilton to Willink, etc., Jan. 25, 1795. | Loans |
| 69 | Hamilton to Washington, Jan. 31, 1795. | As to French consul |
| 77 | Hamilton to Washington, Feb. 4, 1795. | Enclosing report |
**MILITARY PAPERS**
| Page | Letter | Subject |
|------|------------------------------------------------------------------------|-------------------------------------------------------------------------|
| 138 | Hamilton to McHenry, July 28, 1798. | Recommending Philip Church for an army appointment |
| 142 | Hamilton to John Jay, Oct. 29, 1798. | Asking an interview on military business |
| 142 | Hamilton to Washington (?), October 29, 1798. | |
| 185 | Hamilton to McPherson, December 26, 1798. | Asking for draft of surveys |
| 215 | Hamilton to McHenry, February 16, 1799. | Asking for distribution of troops |
| 215 | Hamilton to Washington, Feb. 18, 1799. | Enclosing letters for approval |
| 215 | Hamilton to Theo. Sedgwick, Feb. 19, 1799. | As to division of Massachusetts into military districts |
| 222 | Hamilton to Rivardi, March 1, 1799. | Ordering him to visit certain posts |
| 223 | Draft of an act for organizing troops, March 1, 1799. | |
| 232 | Hamilton to ———, ———, 1799. | As to transportation contracts |
| 232 | Hamilton to C. C. Pinckney, March 7, 1799. | Distribution and recruiting of troops |
| 233 | Hamilton to Washington, March 14, 1799. | Residence of Paymaster-General |
| 234 | Hamilton to McHenry, March 16, 1799. | Recruiting |
| 234 | Hamilton to McHenry, March 16, 1799. | Recruiting |
| 236 | Hamilton to McHenry, March 19, 1799. | Asking for lists, etc. |
| 239 | Hamilton to Washington, March 27, 1799. | Recruiting |
| 240 | Hamilton to Washington, April 3, 1799. | Announcing carrying out of certain orders |
| 248 | Hamilton to McHenry, April 17, 1799. | Acknowledging letters |
| 248 | Hamilton to Walbach, April 17, 1799. | Ordering certain cavalry evolutions to be tried |
| 251 | Hamilton to McHenry, April 26, 1799. | Submitting plan for artillery regiments |
| 262 | Hamilton to McPherson, May 26, 1799. | Asking suggestions as to organization |
| 264 | Hamilton to Capt. Ellery, May 29, 1799. | Giving orders |
| 268 | Hamilton to Capt. Allum, June 8, 1799. | Ordering him to his command |
| 269 | Hamilton to Maj. Hoops, June 10, 1799. | Giving orders |
| 272 | Hamilton to McHenry, June 18, 1799. | Enclosing report |
| 273 | Circular to commandants, June 19, 1799. | |
| 275 | Hamilton to McHenry, June 21, 1799. | As to organization of cavalry |
| 279 | Hamilton to M. Clarkson, June 25, 1799. | Asking suggestions of names for officers |
| 279 | Hamilton to McHenry, June 25, 1799. | As to clothing of army |
| 284 | Hamilton to McHenry, July 2, 1799. | As to raising cavalry |
| Page | Letter |
|------|------------------------------------------------------------------------|
| 291 | Hamilton to John Jay, July 29, 1799. New York fortifications. |
| 291 | Hamilton to General Stevens, July 29, 1799. Uniforms. |
| 292 | Hamilton to McHenry, July 30, 1799. Straw and fuel. |
| 296 | Hamilton to Wolcott, August 10, 1799. Hospital in Rhode Island. |
| 302 | Hamilton to Washington, Aug. 21, 1799. Recruiting returns. |
| 308 | Hamilton to McHenry, Sept. 2, 1799. Barracks and quarters. |
| 309 | Hamilton to Toussard, Sept. 6, 1799. Fort at Portsmouth. |
| 336 | Hamilton to Swan, Sept. 22, 1799. Pay-rolls. |
| 337 | Hamilton to Washington, Sept. 23, 1799. Winter quarters. |
| 341 | Hamilton to McHenry, Oct. 3, 1799. Hutting troops. |
| 342 | Hamilton to ———, Oct. 4, 1799. Winter quarters. |
| 353 | Hamilton to Washington, Oct. 21, 1799. Barracks. |
| 355 | Hamilton to McHenry, Oct. 22, 1799. Disposition of Western troops. |
| 356 | Hamilton to McHenry, Oct. 25, 1799. Transmitting proceedings of court-martial. |
| 356 | Hamilton to McHenry, Oct. 25, 1799. Lt. Smith's claim. |
| 359 | Hamilton to John Adams, Oct. 29, 1799. Acknowledging an order. |
| 360 | Hamilton to McHenry, Oct. 29, 1799. Works at Loftus Heights. |
| 368 | Hamilton to ———, Oct. 31, 1799. Relative rank. |
| 369 | Conjectures as to wagons, ———, 1799. |
| 370 | Hamilton to Col. Reade, Nov. 2, 1799. Forage. |
| 383 | Hamilton to Washington, Nov. 28, 1799. Enclosing a letter. |
| 391 | Hamilton to North, Dec. 21, 1799. As to funeral ceremonies at Washing- |
| 393 | Hamilton to Toussard, Dec. 22, 1799. Artillery regulations. |
| 396 | Hamilton to McHenry, Jan. 15, 1800. Act regulating commands. |
| 399 | Hamilton to ———, Jan. 6, 1800. Quarters. |
| 400 | Circular, Jan. 25, 1800. Enlistment of troops. |
| 401 | Hamilton to McHenry, Feb. 21, 1800. Arrangement of officers. |
| 402 | Hamilton to McHenry, Feb. 28, 1800. Travelling expenses of an officer.|
| 404 | Hamilton to C. C. Pinckney, March 7, 1800. Instructions to officers, etc. |
| 413 | Remarks on organization, ———, 1800. |
| 415 | Hamilton to C. C. Pinckney, March 26, 1800. Enclosing a plan. |
| 416 | Hamilton to Ogden, April 15, 1800. Duties of Quartermaster-General. |
| 434 | Hamilton to ———, May 27, 1800. Length of step. |
**PRIVATE CORRESPONDENCE**
| Page | Letter |
|------|------------------------------------------------------------------------|
| 469 | Hamilton to Pintard, April 23, 1791. Asking suggestions as to revenue laws. |
| 471 | Hamilton to Bayard and others, ——— ———, 1791. As to site for a factory. |
| 506 | Hamilton to Van Schaack, April 20, 1792. As to certain manu- |
| 517 | Hamilton to E. Boudinot, July 30, 1792. Making an appoint- |
| 633 | Hamilton to Washington, May 5, 1795. Enclosing a letter from G. Morris. |
VOLUME VI
PRIVATE CORRESPONDENCE
| Page | Letter |
|------|------------------------------------------------------------------------|
| 64 | Hamilton to Wolcott, Nov. 15, 1795. Enclosing draft of "The Explanation." |
| 92 | Hamilton to John Jay, March 10, 1796. Declining to act as counsel for the State. |
| 101 | Hamilton to Washington, April 8, 1796. Enclosing a draft. |
| 267 | Hamilton to McHenry, Feb. 13, 1798. Asking him to sell some stock. |
| 370 | Hamilton to John Adams, Oct. 29, 1798. Acknowledging order. |
| 381 | Hamilton to Oliver Wolcott, Dec. 28, 1798. As to loan. |
| 428 | Hamilton to Swan, Feb. 17, 1800. Soldier's claim. |
| 549 | Hamilton to Oliver Wolcott, Aug. 14, 1802. Plan for a business partnership. |
| 550 | Hamilton to G. Morris. Enclosing law papers. |
VOLUME VII
| Page | Letter |
|------|------------------------------------------------------------------------|
| 836 | Resolutions for amendment of Constitution as to presidential election, 1802. |
| 837 | Petition for act to supply New York with water, 1802. |
| 838 | Plan of Merchants' Bank. |
END OF VOLUME X.
|
FOR IMMEDIATE RELEASE
PR-84-73 (11-19-73)
PROBING THE FUTURE OF THRIFT INSTITUTIONS
Address of
Frank Wille, Chairman
Federal Deposit Insurance Corporation
Before the
80th Annual Convention
of the
Savings Banks Association of New York State
White Sulphur Springs
West Virginia
November 13, 1973
This has been a summer of discontent for the thrift industry in general, and for no single group within the industry more than the savings banks of New York State. It is they which have absorbed some 60 percent of the net outflow of funds from the nation's savings banks since the first of July, and it is they which have the most at stake in the regulatory response, both legislative and administrative, to the competitive pressures in which savings banks operate today. You are entitled to know my assessment of where things stand for the savings bank industry and where they seem to be heading.
First off, let me say that I am not given to gloom and despair. Thrift institution outflows have been severe during the past four months, but they look much less severe if payments of interest and dividends are taken into account. The savings and loan industry, despite its cries of anguish over the summer, actually shows an increase in total deposits for this period. The nation's savings banks have not been so fortunate, however: total deposits have dropped by about $850 million over the same period. On the other hand, savings bank inflows were substantial for the first half of 1973; most of you are reporting modest inflows since November 1; and virtually all of you are likely to end the year with deposits up over year-end 1972 even after interest and dividends paid during the year are deducted. Put another way, 1973 is likely to show some net deposit gain for the nation's savings banks despite the trauma of disintermediation experienced this past summer and despite the dislocations caused by reductions in forward mortgage commitments, by higher than normal borrowings and by losses realized on the sale of securities.
Moreover, the present rate structure for four-year certificates offers you some protection against commercial bank competition, even if future events may show the new 7.50 percent rate to be of only limited utility against the pull of market instruments. On that score, pressure from market rates has been reduced but not yet eliminated, with Treasury bill rates fluctuating between 7 and 8.50 percent, few issues of Treasury notes in prospect and Federal agency rates apparently declining. Savings banks, accordingly, are likely to recoup some of their recent deposit outflows over the months immediately ahead with both 6.75 and 7.50 percent certificates. The longer term results will, of course, depend on intervening movements of interest rates and our success (or lack of success) as a nation in reducing inflation generally. But for the moment the worst appears to be behind you.
Unlike a number of your speakers, I do not view this past summer as an unmitigated disaster and I don't think you should either. You now have a far greater capacity to stretch out your deposit maturities than ever before, which gets at one half of the "borrow short, lend long" syndrome that has afflicted thrift institutions for years. Rates on these deposits may be higher than you would like, but thanks to the new penalty provisions and to the further restrictions which a growing number of savings banks are placing on certificate accounts, you have today a better chance than ever before of holding on to these deposits regardless of changes in these
market conditions during the term of the certificate. In addition, while the process of public education is by no means complete, we are succeeding in our efforts to convince depositors of the distinction between a time deposit and a regular passbook account. And bringing the penalty provisions of all three rate-setting agencies into relative conformity, after years of difference, was a significant accomplishment even if it took two months longer than you would have liked. As to those July 5 rate changes and the so-called "wild cards" in particular, I for one remain convinced that your deposit outflows would have been far, far worse than they were in the third quarter if these changes had not been made. Finally, I think it fair to say that there are some valuable lessons in this summer's experience, both for the rate-setting agencies as well as for savings bank managements. We might look at the regulatory side of this first.
The July 5 changes in deposit rate ceilings were designed by the regulatory agencies with a number of purposes in mind, the principal ones being to give all deposit institutions some means of checking the massive outflow of funds which seemed likely to begin in early July, to maintain the approximate competitive balance between commercial banks and thrift institutions that existed before July 5, and to give the average saver some of the benefits of higher rates available to institutional investors and those individuals with $100,000 or more to invest. The creation of a four-year, ceiling-free certificate was one part -- and an experimental part at that -- of several interrelated changes in rates made at the time, but it soon became the lightning rod of public attention, largely because the rate-setting agencies miscalculated the degree of popular appeal it would have. We erroneously assumed that only a few savers would in fact be attracted to a fixed or even a variable rate instrument which required them either to leave their funds on deposit a full four years or to revert to the regular passbook rate less an additional penalty if they didn't. To that one miscalculation can be traced virtually all the twists and turns of interest rate policy this summer, including the imposition and subsequent modifications of the 5 percent limitation, the change in policy as to penalties on pre-July 5 certificates and the Congressional directive last month that a ceiling be placed on all consumer-type deposits held by the nation's commercial banks and thrift institutions. As a result of this summer's experiences, I think it likely that the Federal Reserve, the FDIC and the Federal Home Loan Bank Board will be following these general guidelines in setting deposit rates in the future:
1. Some differential between the deposit rate ceilings of commercial banks and those of thrift institutions is likely to be maintained in all time deposit categories and in the regular passbook accounts until such time as the asset powers of thrift institutions are significantly broadened.
2. This differential may be either \( \frac{1}{4} \) or \( \frac{1}{2} \) of one percent depending on our experience with the present mix of differentials. Put another way, you should not count on always having a 50 basis point differential. Such a differential did not exist across the board prior to July 5, does not exist now and can seriously restrict your future flexibility in responding to market conditions in a manner consistent with your earnings capabilities.
3. Future rate changes when competing interest rates are rising are likely to emphasize the rates payable on time deposits rather than the regular passbook rates, just as the July 5 changes did. Changes in the regular passbook rates are likely only if residual earnings, after the demands imposed by time deposit contracts and net worth considerations, permit such an increase.
4. On the other hand, the agencies are unlikely to maintain a status quo on deposit rate ceilings when thrift institution earnings, after all expenses are met and after crediting dividends and interest, reach the levels they did prior to July 5. One of the more disappointing arguments heard from thrift institutions during the summer was that everything would have been just fine if only the rate agencies hadn't stirred up depositors by announcing the rate changes when they did. "Disappointing" because these arguments came in the face of widespread publicity as to competing market rates and in the face of thrift institution earnings at their highest levels in more than seven years; "disappointing" because these arguments seemed to run counter to the concept that thrift institutions, and particularly savings banks, are managed with the interests of their depositors uppermost in mind. While the agencies will continue to be "depositor-oriented" to the extent I have indicated, I can assure you we will also be taking into account the likely impact of higher deposit costs on your ability to retain earnings and on the general level of home mortgage rates throughout the country.
5. On one important procedural issue, we recognize now that rate changes on consumer deposits need not be announced with immediate effective dates merely to stop newsleaks and the possible misuse of information others don't have simultaneously. The same results can be achieved by immediate announcement of the rate decisions reached but with a future effective date. The contrast between the orderly way the November 1 rate changes took effect and the scramble which occurred after the July 5 rate changes needs no further elaboration from me.
Savings bank managements can also profit from a re-examination of this summer's experience. The following items seem relevant:
1. The time deposit is not a regular passbook account and it should not be treated like one. The headlong rush by a few savings banks to raise interest rates on preexisting certificates struck me as particularly unfortunate, since it defeated the very flexibility in meeting higher interest costs that time deposits were designed to achieve -- namely that an increase in regular passbook accounts would not require an across-the-board increase over the entire deposit structure. When your time deposit authority was enacted by the New York State Legislature, it was the clear assumption of the Mills Committee, the New York State Legislature and the State Banking Department that the only quid pro quo a time depositor would get for his commitment to keep funds on deposit for a specified term was the higher rate of interest to which he agreed when he took out his certificate accounts. Across-the-board increases on preexisting certificates destroyed that assumption, blurred the distinction between regular and time accounts and used up scarce earnings that the rate-setting agencies fully expected to be used for new or maturing time deposits.
Fortunately, the new penalty provisions make a repetition of this reaction unlikely in the future but it does indicate that savings bankers themselves need to keep the distinctions in the two basic types of accounts ever before them in their policy decisions.
2. The relatively high cost of the four-year certificates requires careful planning as to the total principal amount of such certificates which a savings bank management is willing to have in its overall deposit structure. Many savings banks first offered their "ceiling free" certificates without such a self-imposed limitation, but it now seems to be the rule rather than the exception as an increasing number of newspaper ads attest. I would suggest that if mortgage rates drop in the future to the levels that prevailed only one year ago, you might wish to go through the same analysis with respect to the shorter term, lower-yielding certificates you also offer.
3. The range of time deposits now allowed by regulation, with varying rates for varying terms, provides you with some new flexibility in your marketing strategies, which you can tailor to your specific earnings capabilities. No longer should every savings bank feel it must run continuous advertisements offering every type of account permitted. Necessity is the mother of invention, and the 5 percent limitation led to some increasingly sophisticated advertising as the summer wore on which should not now be forgotten. Shorter term certificates and even regular passbook and day of deposit-day of withdrawal accounts were once again touted as able to fill the needs of particular types of depositors. In smaller communities as well as major cities, individual banks have proven that they can survive quite well competitively by stressing one type of account even when the competition is stressing another type. I would expect more of this discrimination and fine tuning as savings banks face up to their individual earnings limitations.
4. The new competitive environment, no less than the rate increases the industry successfully weathered in 1965-66 and again in 1969-70 requires of every savings bank management increased attention to the details of your revenue structure as well as to the details of your operating expenses, so that your net income available for dividends, interest and net worth additions can by maximized. A policy commitment to 8.50 percent home mortgages on properties located in New York State may require correspondingly greater effort to raise the yields on nonmortgage income or to lower your expenses than other types of lending policies, but it can and is being done even within the framework of the new deposit rate ceilings.
5. On a point of detail in the new time deposit competition, the attentive savings bank knows that the new penalty provisions in our Regulations specify a minimum penalty only and do not preclude other restrictions that may be agreed to between the bank and its deposit customers. You are, accordingly, free to offer time deposits with no redemption option at all, or none for the first 90 days or none for some other specified part of the time deposit term. So long as you collect the minimum penalty, you may continue to require the showing of some "emergency" even though this is no longer mandated by regulation. More and more savings banks are using this discretionary authority to
further stabilize their deposit structures. If you follow their example, I would caution you that we will expect a specific and complete disclosure of these additional restrictions to your prospective depositors when they open a time deposit account, and appropriate references to the substance of such restrictions in your newspaper advertising.
Continued pressure on your earnings to meet interest and dividend requirements and to make continuing additions to net worth places a premium on further progress in your efforts to obtain increased asset authority and operating powers, including access to and authority to participate in electronic funds transfer systems -- the credit system of the very near future.
No one in Washington expects final action this year or next on the President's legislative recommendations for reforms in the nation's financial structure. But the groundwork is being laid for serious deliberations on the whole gamut of Hunt Commission recommendations and their implications for action in the Congressional Session which starts in January 1975. In the background hearings which Senator McIntyre started last week, I reaffirmed the FDIC's support for the basic reforms proposed by the Administration. The various proposals are obviously controversial, but we believe they are basically sound, and we hope that Congress will ultimately come to share this view.
We continue to believe that the eventual removal of interest rate ceilings on deposits is very much in the public's interest -- so long as banks and thrift institutions both have adequate time to adjust their asset and liability structures before we enter a world without Q. The Administration proposes that we approach that point in time over a five and one-half year period. We at FDIC believe that it might be helpful if, immediately following the five and one-half year phase-out of Regulation Q, a temporary standby authority to set deposit ceilings were vested in the rate-setting agencies for a short period so that they and the Congress can assess the results of the transition period and the competitive reactions of different institutions to their new powers and to the new environment. If the changes proposed are made carefully and deliberately, I fail to see the need for a permanent standby authority such as your national representatives have proposed. If such a crutch remains permanently available, it is likely to be used without regard to necessity. Yet if the necessity exists, I for one believe the Congress can be relied upon to respond quickly.
The Administration's recommendations, as well as those of the Hunt Commission, include much broader operating powers for all Federally chartered thrift institutions, a mortgage tax credit which would replace your special tax reserves as a means of stimulating continued investment in residential housing and a Federal charter option for the nation's mutual savings banks. The recommendations as to operating powers will mean much more to the savings and loan industry than they will to mutual savings banks because limited consumer loan powers and most of the other operating powers proposed to be authorized are already in effect in a number of the States where savings banks operate. A general purpose consumer lending power, however, is particularly important to both types of institutions, since it will increase short term cash flows, improve the yield on a limited portion of the total portfolio, and help to attract younger customers who may be tomorrow's depositors.
New York savings banks lack this broad consumer loan power as well as the demand deposit, NOW account and branching powers envisaged by the Administration's bill, but the branching part of this equation will be largely resolved by the advent of statewide branching in 1976. Even if no progress is made in Albany on a general purpose consumer loan bill, you would have to weigh carefully the surrender of your very broad authority under New York law to invest in corporate debt obligations and a number of other differences, before opting to select the Federal charter alternative currently proposed. I suspect that for many of you a Federal charter will remain largely a stick in the closet to influence the State Legislature in Albany.
Even if your primary legislative efforts are directed at the Legislature in Albany over the next few years, as I believe they should be, you would be well advised to continue your efforts simultaneously on behalf of the Administration's Hunt Commission proposals in Washington. At either level, judging from what I've heard here this weekend, several years of patient, persistent and unwavering lobbying will be required to attain your goals. But on that lobbying, in my judgment, your future will depend.
There is a clear danger that the course of events, stimulated by bank technology, the aggressive behavior and packaging of services by your commercial bank friends, and their long headstart in electronic funds transfer systems, will overtake the thrift industry competitively. But I am optimistic about the vigor of your response, the determination you have to build upon a long history of service to New York residents and families, and the underlying strength I know to exist among the savings banks of New York State.
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EXHIBIT 1
SETTLEMENT AGREEMENT AND RELEASE
This Settlement Agreement and Release ("Agreement"), dated as of June 18, 2019, is entered into by Plaintiffs, James Walters, Michelle Dixon, Charles Powell, and Deana Polcare (Plaintiffs Dixon, Powell, and Polcare will be referred to as “Minnesota Plaintiffs” and collectively with Plaintiff Walters, they shall be referred to as “Plaintiffs”) individually and on behalf of the Settlement Class defined herein, and Defendant Target Corporation (“Target”). Plaintiffs and Target are each individually a “Party” and are collectively the “Parties.” The Parties hereby agree to the following terms in full settlement of the actions entitled Walters v. Target Corp., No. 3:16-cv-1678-L-MDD (S.D. Cal.) (“California Action”) and Dixon, et al. v. Target Corp., No. 0:18-cv-02660 (D. Minn.) (“Minnesota Action”) (California Action and Minnesota Action collectively, the “Actions”), subject to Final Approval, as defined below, by the United States District Court for the Southern District of California (“Court”).
I RECITALS
WHEREAS, on June 29, 2016, Plaintiff Walters filed the California Action and alleged that the TDC, as defined below, is deceptively marketed. Walters further alleged that Target breaches the TDC Agreement, defined below, as well as the duty of good faith and fair dealing by the manner in which Target processes TDC Transactions, defined below, and assesses RPFs, defined below, on consumers. Plaintiff Walters filed the First Amended Complaint on August 15, 2016. The First Amended Complaint asserted causes of action for (I) breach of contract, including the implied covenant of good faith and fair dealing; (II) unjust enrichment; (III) unconscionability; (IV) conversion; (V) violation of the “unfair” prong of California’s unfair competition law (“UCL”); (VI) violation of the “fraudulent” prong of the UCL; (VII) violation of the “unlawful” prong of the UCL; and (VIII) violation of the Consumers Legal Remedies Act;
WHEREAS, on September 14, 2016, Target moved to dismiss the California Action on the basis that the First Amended Complaint failed to state a cause of action, which motion was granted in part and denied in part by the Court on February 14, 2017. Plaintiff’s UCL, CLRA, and breach of the implied covenant of good faith and fair dealing claims survived;
WHEREAS, on June 26, 2017, Target filed a motion for reconsideration of the Court’s order on its motion to dismiss;
WHEREAS, on October 19, 2017, the Court issued an order granting in part and denying in part the motion for reconsideration, further limiting the scope of the good faith and fair dealing count;
WHEREAS, the Parties engaged in extensive fact and class discovery, retained experts, and exchanged expert reports;
WHEREAS, on September 7, 2018, Target filed a motion for summary judgment, which Plaintiff Walters opposed and remains pending:
WHEREAS, on September 12, 2018, Plaintiff Walters filed a motion for class certification, which Target opposed and remains pending;
WHEREAS, on September 12, 2018, Plaintiffs Dixon and Powell filed the Minnesota Action. On January 22, 2019, Plaintiffs Dixon, Powell, and Polcare filed the First Amended Class Action Complaint in which they alleged similar conduct by Target and included counts for: (I) violation of the Minnesota Consumer Fraud Act, Minn. Stat. §§ 325D.44, 325F.68; (II) violation of the Minnesota False Statements in Advertising Act; (III) breach of contract; (IV) violation of the Florida Deceptive and Unfair Trade Practices Act on behalf of Plaintiff Dixon and a Florida Subclass; (V) violation of the North Carolina Consumer Protection Law on behalf of Plaintiff Powell and a North Carolina Subclass; and (vi) violation of the New York General Business Law § 349 on behalf of Plaintiff Polcare and the New York Subclass;
WHEREAS, on April 18, 2019, Target filed an answer in the Minnesota Action and denied liability to Plaintiffs Dixon, Powell, and Polcare on any basis or in any amount;
WHEREAS, Target has denied, and continues to deny each and every claim and allegation of wrongdoing asserted in the Actions, and Target believes it would ultimately be successful in its defense of all claims asserted in the Actions;
WHEREAS, Target has nevertheless concluded that because further litigation involves risks and could be protracted and expensive, settlement of the Actions is advisable;
WHEREAS, Plaintiffs, individually and on behalf of the Settlement Class, as defined below, believe that the claims asserted in the Actions have merit and that there is evidence to support their claims;
WHEREAS, Plaintiffs nevertheless recognize and acknowledge the expense and length of continued litigation and legal proceedings necessary to prosecute the Actions through trial and through any appeals; and
WHEREAS, Plaintiffs have also, in consultation with their counsel, assessed the legal risks faced in the Actions, and on the basis of that assessment believe that the Settlement set forth in this Agreement, and as defined below, provides substantial benefits to Plaintiffs and the Settlement Class; is fair, reasonable, and adequate; and is in the best interests of Plaintiffs and the Settlement Class.
NOW THEREFORE, in light of the foregoing, for good and valuable consideration, the Parties agree that the Actions shall be fully and finally compromised, settled, released, and dismissed with prejudice, subject to the terms and conditions of this Agreement and subject to Final Approval as set forth herein.
II TERMS OF THE SETTLEMENT
Section 1. Definitions
In addition to the terms defined elsewhere in this Agreement, the following capitalized terms used in this Agreement shall have the meanings specified below:
1.1 “Administrative Costs” means all out-of-pocket costs and third-party expenses of the Settlement Administrator that are associated with providing notice of the Settlement to the Settlement Class, administering and distributing the Settlement Class Member Cash Payments to Settlement Class Members, or otherwise administering or carrying out the terms of the Settlement, including but not limited to postage and telecommunications costs. Administrative Costs shall include the Administrator’s hourly charges for administering the Settlement and providing notice.
1.2 “Adjustments” means, collectively, the Class Representative Service Awards, the Fee & Expense Award, and the amount of the Administrative Costs.
1.3 “First Amended Complaint” means the complaint filed in the California Action on August 15, 2016.
1.4 “Cash Settlement Amount” means the $5,000,000 payable by Target to establish the Settlement Fund.
1.5 “Class Counsel” means Kopelowitz Ostrow Ferguson Weiselberg Gilbert, Kaliel PLLC, and Tycko & Zavareei LLP.
1.6 “Class Period” means the period between June 29, 2012 and the date of the Preliminary Approval Order.
1.7 “Class Representatives” means the Plaintiffs in the Actions, James Walters, Michelle Dixon, Charles Powell, and Deana Polcare, individually or collectively, if and when the Court appoints them as representatives of the Settlement Class.
1.8 “Class Representative Service Awards” means the service awards that Plaintiffs will seek for their service to the Settlement Class in an amount not to exceed $19,000 total.
1.9 “Debt Reduction Cash Amount” means twenty-five percent of the value of the RPFs that were the first RPFs incurred by Settlement Class Members during the Class Period and remain outstanding and unpaid as of the Effective Date.
1.10 “Debt Reduction Payment” or, plural, “Debt Reduction Payments,” means the credit to be given to a Settlement Class Member out of the Debt Reduction Cash Amount.
1.11 “Effective Date” shall mean the date when the last of the following has occurred: (1) the day following the expiration of the deadline for appealing Final Approval if no timely appeal is filed, or (2) if an appeal of Final Approval is taken, the date upon which all appeals (including any requests for rehearing or other appellate review), as well as all further appeals therefrom (including all petitions for certiorari) have been finally resolved without material change to the Final Approval Order, as determined by
Target, and the deadline for taking any further appeals has expired such that no future appeal is possible; or (3) such date as the Parties otherwise agree in writing.
1.12 “Fee & Expense Award” means the attorneys’ fees, costs and expenses that Class Counsel will seek from the Court as more fully described in Section 3.2.
1.13 “Final Approval” means entry of the Final Approval Order.
1.14 “Final Approval Hearing” means the date the Court holds a hearing on Plaintiffs’ motion seeking Final Approval.
1.15 “Final Approval Order” means the order the Court will enter granting Final Approval of the Settlement.
1.16 “Linked Deposit Account” means the deposit account linked to a consumer’s TDC from which the TDC withdraws funds to pay TDC Transactions.
1.17 “National Change of Address Database” means the change of address database maintained by the United States Postal Service.
1.18 “Net Settlement Fund” means the Cash Settlement Amount, less the Adjustments.
1.19 “Objection Deadline” means 130 days after Preliminary Approval (or other date as ordered by the Court).
1.20 “Opt-Out Deadline” means 130 days after Preliminary Approval (or other date as ordered by the Court).
1.21 “Preliminary Approval” means entry of the Preliminary Approval Order.
1.22 “Preliminary Approval Order” means the order entered by the Court granting Preliminary Approval of the Settlement, a proposed form of which is attached as Exhibit D hereto.
1.23 “RPF” or, plural, “RPFs,” means the Returned Payment Fee that Target applies to a TDC when a TDC transaction is returned unpaid by the customer’s financial institution holding the Linked Deposit Account.
1.24 “Settlement” means the settlement of the Actions by the Parties and the terms thereof contemplated by this Agreement.
1.25 “Settlement Administrator” means Epiq Systems.
1.26 “Settlement Class” means all TDC holders in the United States who, within the Class Period, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
1.27 “Settlement Class member” means a person who falls within the definition of the Settlement Class.
1.28 “Settlement Class Member” means a person who falls within the definition of the Settlement Class and did not opt out of the Settlement.
1.29 “Settlement Class Member Cash Payment” means an award to a Settlement Class Member of funds from the Net Settlement Fund.
1.30 “Settlement Class Notices” means the notices given to the Settlement Class, which includes Exhibits A, B, and C, attached hereto.
1.31 “Settlement Fund” means the $5,000,000 cash fund created by the deposit of the Cash Settlement Amount.
1.32 “Settlement Fund Account” means the account into which Target will deposit the Cash Settlement Amount.
1.33 “Settlement Value” means, collectively, the Cash Settlement Amount and the Debt Reduction Cash Amount.
1.34 “TDC” means the Target Debit Card.
1.35 “TDC Agreement” means the TDC terms and conditions as may be amended from time to time that all consumers accept when they open a TDC account.
1.36 “TDC Transaction” means a transaction with Target whether in a brick-and-mortar Target store or on Target’s website where a customer uses their TDC to make a purchase.
Section 2. The Settlement
2.1 Conditional Certification of the Settlement Class
(a) Solely for purposes of this Settlement, the Parties agree to certification of the following Settlement Class under Federal Rules of Civil Procedure 23(b)(2) and (b)(3):
All TDC holders in the United States who, within the Class Period, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
(b) In the event that the Settlement does not receive Final Approval, or in the event the Effective Date does not occur, the Parties shall not be bound
by this definition of the Settlement Class, shall not be permitted to use it as evidence or otherwise in support of any argument or position in any motion, brief, hearing, appeal, or otherwise, and Target shall retain its right to object to the maintenance of the Actions as class actions and the suitability of the Plaintiffs to serve as class representatives.
2.2 **Settlement Benefits**
(a) **Business Practice Changes**
(1) Beginning on or before the Effective Date, Target agrees not to implement or assess RPFs, or any equivalent fee, in connection with TDC transactions that are less than $7.00, for a period of two years from the Effective Date. Nothing herein shall prohibit Target from continuing the practice change beyond the time period provided herein.
(2) Beginning on or before the Effective Date, Target agrees that any RPFs charged will be the lesser of the RFP as disclosed by the TDC Agreement or the amount of the TDC transaction that was returned unpaid, for a period of two years from the Effective Date. Nothing herein shall prohibit Target from continuing the practice change beyond the time period provided herein.
(3) The Parties will work collaboratively up to the time of Final Approval to amend the TDC Agreement to provide additional information to TDC Holders regarding how they may incur RPFs from Target and non-sufficient funds or overdraft fees from their banks and/or credit unions in connection with the use of the TDC, with Target maintaining final discretion regarding the amended disclosures.
(b) **Monetary Relief**
(1) **Settlement Amount**. Target has agreed to pay $5,000,000.00 in cash for the benefit of the Settlement Class; and
(2) **Debt Reduction Cash Amount**. For Settlement Class Members who did not pay the first RPF they incurred during the Class Period that was not refunded or waived, Target has agreed to waive twenty-five percent of that RPF, which amounts to approximately $3,222,330.00.
(3) **Escrow Account**. Within 15 days following Preliminary Approval, Target shall deposit the Cash Settlement Amount into the Settlement Fund Account, which shall be held in an account selected by the Settlement Administrator.
(4) **Class Member Monetary Relief**. Each Settlement Class Member will receive relief from either the Cash Settlement Amount or Debt Reduction Cash Amount. If the Settlement Class Member paid the first RPF incurred during the Class Period, in whole or part, the Settlement Class Member shall be entitled only to the monetary relief in Section 2.2(b)(5). If the Settlement Class Member has not paid the first RPF incurred during the Class Period, the Settlement Class Member shall be entitled only to the monetary relief in Section 2.2(b)(6).
(5) **Calculation of Settlement Class Member Cash Payments.** Subject to the limitations set forth in Section 2.2(b)(4), each Settlement Class Member who has paid all or part of the first RPF he or she incurred during the Class Period shall be entitled to receive a Settlement Class Member Cash Payment from the Net Settlement Fund. Each Settlement Class Member Cash Payment shall be equal to the Settlement Class Member’s *pro rata* share of the Net Settlement fund based on the dollar amount of the first RPF paid by the Settlement Class Member.
(6) **Calculation of Debt Reduction Payments.** Subject to the limitations set forth in Section 2.2(b)(4), for each Settlement Class Member who has not paid the first RPF he or she incurred during the Class Period at the time the Settlement Class Member Cash Payments are to be distributed, the Debt Reduction Cash Amount will be used by Target to reduce such outstanding RPF by twenty-five percent. Under no circumstances will Target be required to make any cash payments as a result of the Debt Reduction Payments. No Debt Reduction Payment shall be considered an admission by any Settlement Class Member that the underlying debt is valid.
(7) **Complete Relief.** In exchange for the releases described below, dismissal with prejudice of the Minnesota Action described below, and a final judgment in the California Action pursuant to the terms of this Settlement Agreement, Target agrees to make the business practice changes described in Section 2.2(a) and to pay the Cash Settlement Amount and Debt Reduction Cash Amount. The Parties agree that the Cash Settlement Amount and Debt Reduction Cash Amount represent the total amount that Target must pay to settle the claims of Settlement Class Members arising from both Actions, and that in no event shall Target be responsible for any payments, costs, expenses, or claims beyond these amounts. No portion of the Cash Settlement Amount shall revert to Target, except where the Settlement is terminated pursuant to the terms of the Agreement.
2.3 **Amendment of the California Action and Dismissal of the Minnesota Action.** It is the Parties’ intent that this Agreement shall resolve the California Action and the Minnesota Action and any and all claims that were brought in both of the Actions. The Parties agree that members of the proposed class in the Minnesota Action are members of the proposed nationwide Settlement Class and shall receive the relief provided in the Agreement to resolve their claims against Target. Therefore, upon Preliminary Approval, the Parties further agree to move the Court in the California Action for leave to amend the First Amended Complaint to add the Minnesota Plaintiffs as plaintiffs in the California Action. It is the intent of the Parties that this will be effectuated for the sole purpose of bringing all Plaintiffs before the Court in the California Action to allow all of the Plaintiffs to be named as Class Representatives in the California Action for the purpose of Settlement only. The motions for Class Representative Service Awards and Fee & Expense Award in the California Action shall encompass and resolve the claims of the Minnesota Plaintiffs for class representative incentive awards, and for the Minnesota Plaintiffs’ counsel’s attorneys’ fees and expense reimbursement. Pursuant to Federal Rule of Civil Procedure 41(A)(1)(ii), Plaintiffs Dixon, Powell, and Polcare will dismiss with prejudice the Minnesota Action within 10 days of the Effective Date. Target shall join in the Minnesota Plaintiffs’ stipulation of dismissal.
2.4 **Releases.**
(a) **Settlement Class Member Release.** Upon the Effective Date, Plaintiffs and each Settlement Class Member, including any present, former, and future spouses, as well as the present, former, and future heirs, executors, estates, administrators, representatives, agents, attorneys, partners, successors, predecessors, and assigns of each of them, shall release, waive, and forever discharge Target and each of its present, former, and future parents, predecessors, successors, subsidiaries, assigns, assignees, affiliates, conservators, divisions, departments, subdivisions, owners, partners, principals, trustees, creditors, shareholders, joint venturers, co-venturers, officers, and directors (whether acting in such capacity or individually), attorneys, vendors, insurers, accountants, nominees, agents (alleged, apparent, or actual), representatives, employees, managers, administrators, and each person or entity acting or purporting to act for them or on their behalf (collectively, “Target Releasees”) from any and all claims that: (a) arise from or relate to the conduct alleged in the Actions; (b) arise out of, relate to, or are in connection with the TDC or any fees assessed in connection with the TDC; or (c) arise out of, relate to, or are in connection with the administration of the Settlement (“Released Target Claims”).
(b) **Unknown Claims.** With respect to the Released Target Claims, Plaintiffs and the Settlement Class Members shall be deemed to have, and by operation of the Settlement shall have, expressly waived and relinquished, to the fullest extent permitted by law, the provisions, rights and benefits of Section 1542 of the California Civil Code (to the extent it is applicable, or any other similar provision under federal, state or local law to the extent any such provision is applicable), which reads:
A GENERAL RELEASE DOES NOT EXTEND TO CLAIMS THAT THE CREDITOR OR RELEASING PARTY DOES NOT KNOW OR SUSPECT TO EXIST IN HIS OR HER FAVOR AT THE TIME OF EXECUTING THE RELEASE AND THAT, IF KNOWN BY HIM OR HER, WOULD HAVE MATERIALLY AFFECTED HIS OR HER SETTLEMENT WITH THE DEBTOR OR RELEASED PARTY.
Thus, subject to and in accordance with this Agreement, even if the Plaintiffs and/or Settlement Class Members may discover facts in addition to or different from those which they now know or believe to be true with respect to the subject matter of the Released Target Claims, Plaintiffs and each Settlement Class Member, upon entry of Final Approval of the Settlement, shall be deemed to have and by operation of the Final Approval Order, shall have, fully, finally, and forever settled and released all of the Released Target Claims. This is true whether such claims are known or unknown, suspected, or unsuspected, contingent or non-contingent, whether or not concealed or hidden, which now exist, or heretofore have existed upon any theory of law or equity now existing or coming into existence in the future, including, but not limited to, conduct which is negligent, intentional, with or without malice, or a breach of any duty, law, or rule, without regard to the subsequent discovery or existence of such different or additional facts.
(c) **Named Plaintiffs Release.** In addition to the releases made by Plaintiffs and the members of the Settlement Class above, Plaintiffs Walters, Dixon, Powell, and Polcare, including each and every one of their respective agents, representatives, attorneys, heirs, assigns, or any other person acting on their behalf or for their benefit, and any person claiming through them, makes the additional following general release of all claims, known or unknown, in exchange and consideration of the Settlement set forth in this Agreement. These named Plaintiffs agree to a general release of the Target Releasees from all claims, demands, rights, liabilities, grievances, demands for arbitration, and causes of action of every nature and description whatsoever, known or unknown, pending or threatened, asserted or that might have been asserted, whether brought in tort or in contract, whether under state or federal or local law.
(d) **Covenant Not to Sue.** Plaintiffs Walters, Dixon, Powell, and Polcare and the Settlement Class Members covenant not to sue or otherwise assert any claims for deceptive practices against Target challenging Target’s practices with respect to RPFs, including, but not limited to, the processing of TDC transactions and the marketing of the TDC, during the period of time the changes to business practices set forth in Section 2.2(a) remain in effect, but in no case beyond two years from the Effective Date. Nothing in this paragraph shall be construed as a covenant not to sue if Target does not properly change its business practices as set forth in Section 2.2(a).
2.5 **Notice Procedures**
(a) **Settlement Administrator.** The Parties have jointly selected Epiq Systems as the Settlement Administrator of the Settlement. Class Counsel will oversee the Settlement Administrator. The Settlement Administrator shall perform the duties, tasks, and responsibilities associated with providing notice and administering the Settlement. The Administrative Costs will be paid out of the Settlement Fund.
(b) **Provision of Information to Settlement Administrator.** Within 15 business days of Preliminary Approval, Target will provide the Settlement Administrator with the following information, which will be kept strictly confidential between the Settlement Administrator and Target, for each Settlement Class member: (i) name; (ii) last known e-mail address if available; (iii) last known mailing address; (iv) TDC Account Number, or some sort of unique identifier that can be used to identify each separate Settlement Class member; (v) the date and amount of the first RPF incurred by each Settlement Class member during the Class Period that has not been refunded or waived; and (vii) for each RPF in item number (v), an identifier that distinguishes whether the RPF was paid by the customer or remains due and owing. The Settlement Administrator shall use the data provided by Target to make the calculations required by the Settlement, and the Settlement Administrator shall share the calculations with Class Counsel. The Settlement Administrator shall use this information solely for the purpose of administering the Settlement.
(c) **Settlement Class Notices.** Within 70 days of Preliminary Approval, or by the time specified by the Court, the Settlement Administrator shall send
the Settlement Class Notices in the forms attached hereto as *Exhibits A, B, and C*, or in such form as is approved by the Court, to the Settlement Class.
(1) The Administrator shall send the “Email Notice,” attached hereto as *Exhibit A*, to all Settlement Class members for whom Target has provided the Settlement Administrator with an e-mail address.
(2) The Settlement Administrator shall send the “Postcard Notice,” attached hereto as *Exhibit B*, to all Settlement Class members for whom Target has not provided an email address and to all Settlement Class members to whom the Settlement Administrator sent the Email Notice via email but for whom the Settlement Administrator receives notice of an undeliverable email. The Postcard Notice shall be mailed after the Settlement Administrator updates mailing addresses provided by Target with the National Change of Address database and other commercially feasible means.
(3) The Settlement Administrator shall also maintain a website containing the Second Amended Complaint, the “Long Form Notice,” attached hereto as *Exhibit C*, Plaintiffs’ motion seeking Preliminary Approval, the Preliminary Approval Order, Plaintiffs’ motion seeking Final Approval, and the Final Approval Order until at least 120 days after Final Approval. The Settlement Administrator shall send the Long Form Notice by mail to any Settlement Class member who requests a copy.
(4) It will be conclusively presumed that the intended recipients received the Settlement Class Notices if the Settlement Administrator did not receive a bounce-back message and if mailed Settlement Class Notices have not been returned to the Settlement Administrator as undeliverable within fifteen days of mailing.
2.6 Opt-Outs and Objections.
As set forth below, Settlement Class members shall have the right to opt-out of the Settlement Class and the Settlement and Settlement Class Members shall have the right to object to the Settlement.
(a) Requirements for Opting-Out. If a Settlement Class member wishes to be excluded from the Settlement Class and the Settlement, that Settlement Class member is required to submit to the Settlement Administrator at the address listed in the Settlement Class Notices, a written, signed, and dated statement that he or she is opting-out of the Settlement Class and understands that he or she will not receive a Settlement Class Member Cash Payment or a Debt Reduction Payment from the Settlement of the Action. To be effective, this opt-out statement (i) must be postmarked by the Opt-Out Deadline; (ii) include the Settlement Class member’s name and TDC account number(s); and (iii) must be personally signed and dated by the Settlement Class member(s). The Settlement Administrator will, within 7 days of receiving any opt-out statement, provide counsel for the Parties with a copy of the opt-out statement. Any Settlement Class member who does not timely and validly request exclusion shall be a Settlement Class Member and shall be bound by the terms of this Agreement. The Settlement Class will not include any individuals who send timely and valid opt-out
statements, and individuals who opt-out are not entitled to receive a Settlement Class Member Cash Payment or Debt Reduction Payment under the Settlement.
(b) **Objections.** Any Settlement Class Member who has not submitted a timely opt-out form and who wishes to object to the fairness, reasonableness, or adequacy of the Settlement must send a written objection to the Clerk of the Court, Target’s counsel, and Class Counsel by the Objection Deadline.
(1) To be valid and considered by the Court, an objection must (i) be postmarked no later than the Objection Deadline; (ii) be sent to the Clerk of Court, Class Counsel, and Target’s counsel, by first class mail and postmarked no later than the Objection Deadline; (iii) include the case name and case number and the objector’s name, address, telephone number, and signature; (iv) contain an explanation of the nature of the objection and citation to any relevant legal authority; (v) indicate the number of times the objector has objected to a class action settlement in the past 5 years and the caption for any such case(s); (vi) identify any counsel representing the objector; and (vii) indicate whether the objector (whether *pro se* or through representation) intends to testify at the Final Approval Hearing.
(2) Plaintiffs and Target may file responses to any objections that are submitted. Any Settlement Class Member who timely files and serves an objection in accordance with this section may appear at the Final Approval Hearing, either in person or through an attorney. Failure to adhere to the requirements of this section will bar a Settlement Class Member from being heard at the Final Approval Hearing, either individually or through an attorney, unless the Court otherwise orders.
(3) The Parties shall have the right to take discovery, including via subpoenas *duces tecum* and depositions, from any objector.
(c) **Waiver of Objections.** Except for Settlement Class members who opt-out of the Settlement Class in compliance with the foregoing, all Settlement Class Members will be deemed to be members of the Settlement Class for all purposes under this Agreement, the Final Approval Order, and the releases set forth in this Agreement and, unless they have timely asserted an objection to the Settlement, shall be deemed to have waived all objections and opposition to its fairness, reasonableness, and adequacy.
(d) **No Encouragement of Objections.** Neither the Parties nor any person acting on their behalf shall seek to solicit or otherwise encourage anyone to object to the Settlement or appeal from any order of the Court that is consistent with the terms of this Settlement.
2.7 **Benefit Distribution.**
(a) Within 10 days of Final Approval, the Settlement Administrator shall provide to Target: (1) a list of the Settlement Class Members who are entitled to receive Settlement Class Member Cash Payments, along with the unique identifier associated with and the amount of the Settlement Class Member Cash Payment due each such Settlement Class Member; and (2) a list of the Settlement Class Members who are
entitled to receive Debt Reduction Payments, along with the unique identifier associated with and the amount of debt to be forgiven for each such Settlement Class Member. The information provided by the Settlement Administrator shall be considered conclusive as to which individuals are entitled to receive Settlement Class Member Cash Payments or Debt Reduction Payments and as to the amounts.
(b) **Distribution of Settlement Class Member Cash Payments.** Within 30 days of the Effective Date, the Settlement Administrator shall send Settlement Class Member Cash Payments to all eligible Settlement Class Members from the Settlement Fund Account via check.
(c) **Mailing Addresses.** Prior to mailing Settlement Class Member Cash Payments, the Settlement Administrator shall attempt to update the last known addresses of the Settlement Class Members through the National Change of Address Database or similar databases. No skip-tracing shall be done as to any checks that are returned by the postal service with no forwarding address. Settlement Class Member Cash Payments returned with a forwarding address shall be re-mailed to the new address within 7 days. The Settlement Administrator shall not mail Settlement Class Member Check Payments to addresses from which Settlement Class Notices were returned as undeliverable.
(d) **Interest.** All interest on the funds in the Settlement Fund Account shall accrue to the benefit of the Settlement Class. Any interest shall not be subject to withholding and shall, if required, be reported appropriately to the Internal Revenue Service by the Settlement Administrator. The Settlement Administrator is responsible for the payment of all taxes on interest on the funds in the Settlement Fund Account.
(e) **Time for Depositing Settlement Class Member Cash Payment Checks.** If a Settlement Class Member's Cash Payment check is not deposited (or cashed) within 120 days after the check is mailed, (a) the check will be null and void; and (b) the Settlement Class Member will be barred from receiving a further Settlement Class Member Cash Payment under this Settlement.
(f) **Completion of Debt Reduction Payments.** Within 60 days of the Effective Date, Target shall make the Debt Reduction Payments as described in Section 2.2(b)(6). Within 105 days of the Effective Date, the Administrator shall send notifications of such Debt Reduction Payments to each eligible Settlement Class Member, which notice shall include the amount of the Debt Reduction Payment.
(g) **Deceased Settlement Class Members.** Any Settlement Class Member Cash Payment paid to a deceased Settlement Class Member shall be made payable to the estate of the deceased Settlement Class Member, provided that the Settlement Class Member’s estate informs the Administrator of the Settlement Class Member’s death at least 30 days before the date that Settlement Class Member Cash Payment checks are mailed and provides a death certificate confirming that the Settlement Class Member is deceased. If the Settlement Class Member’s estate does not
inform the Administrator of the Settlement Class Member’s death at least 30 days before the Settlement Class Member Cash Payment checks are mailed, the deceased Settlement Class Member will be barred from receiving a Settlement Class Member Cash Payment under this Settlement. In the event of any other complications arising in connection with the issuance or cashing of a refund check, the Administrator shall provide written notice to Class Counsel and Target’s Counsel. Absent specific instructions from Class Counsel and Target’s Counsel, the Administrator shall proceed to resolve the dispute using its best practices and procedures to ensure that the funds are fairly and properly distributed to the person or persons who are entitled to receive them.
(h) **Tax Obligations.** The Parties shall have no responsibility or liability for any federal, state, or other taxes owed by Settlement Class Members as a result of, or that arise from, any Settlement Class Member Cash Payment, Debt Reduction Payment or any other term or condition of this Agreement.
(i) **Tax Reporting.** The Administrator shall prepare, send, file, and furnish all tax information reporting forms required for payments made from the Settlement Fund Account as required by the Internal Revenue Service pursuant to the Internal Revenue Code and related Treasury Regulations. The Parties hereto agree to cooperate with the Administrator, each other, and their tax attorneys and accountants to the extent reasonably necessary to carry out the provisions set forth in this section.
**Section 3. Service Awards and Class Counsel’s Fee & Expense Award**
3.1 **Class Representative Service Awards.** Plaintiffs, through their counsel, shall each be entitled to apply to the Court for an award from the Settlement Fund for their participation in the Actions and their service to the Settlement Class. Based on their respective levels of participation in the Actions, Plaintiff Walters shall be entitled to apply for a Class Representative Service Award in an amount not exceeding $10,000.00 in recognition of his service to the Settlement Class and Plaintiffs Dixon, Powell, and Polcare shall be entitled to apply for a Class Representative Service Award in an amount not exceeding $3,000.00 in recognition of their service to the Settlement Class. Target shall not oppose or appeal such applications that do not exceed these amounts. The Class Representative Service Awards shall be paid from the Settlement Fund.
3.2 **Fee & Expense Award.** The Parties consent to the Court appointing Class Counsel in this Action for purposes of the Settlement. Class Counsel shall be entitled to apply to the Court for an award from the Settlement Fund not to exceed 30% of the Settlement Value to reimburse Class Counsel for attorneys’ fees incurred in researching, preparing for, and litigating the Actions, and Class Counsel may also apply for reimbursement for costs and expenses incurred in the Actions. Target agrees not to oppose or appeal any such application that does not exceed 30% of the Settlement Value plus reimbursement for costs and expenses incurred in the Actions.
(a) The Fee & Expense Award shall constitute full satisfaction of any obligation on the part of Target to pay any person, attorney, or law firm for costs,
litigation expenses, attorneys’ fees, or any other expense incurred on behalf of Plaintiffs or the Settlement Class in the Actions.
(b) The Settlement Administrator shall pay the Class Representative Service Awards to Plaintiffs and the Fee & Expense Award to Class Counsel from the Settlement Fund within 10 days of the Effective Date.
(c) In the event the Court approves the Settlement, but declines to award Class Representative Service Awards or Class Counsel’s attorneys’ fees or costs in the amount requested by Class Counsel, the Settlement will nevertheless be binding on the Parties to the extent permissible under applicable law.
3.3 Qualified Settlement Fund. The funds in the Settlement Fund Account shall be deemed a “qualified settlement fund” within the meaning of United States Treasury Reg. § 1.468B-1 at all times since creation of the Settlement Fund Account. All taxes (including any estimated taxes, and any interest or penalties relating to them) arising with respect to the income earned by the Settlement Fund Account or otherwise, including any taxes or tax detriments that may be imposed upon Target, Target’s counsel, Plaintiffs and/or Class Counsel with respect to income earned by the Settlement Fund Account for any period during which the Settlement Fund Account does not qualify as a “qualified settlement fund” for the purpose of federal or state income taxes or otherwise (collectively “Taxes”), shall be paid out of the Settlement Fund Account. Target and Target’s counsel and Plaintiffs and Class Counsel shall have no liability or responsibility for any of the Taxes. The Settlement Fund Account shall indemnify and hold Target and Target’s counsel and Plaintiffs and Class Counsel harmless for all Taxes (including, without limitation, Taxes payable by reason of any such indemnification).
3.4 Residual. In the event that there is any residual in the Settlement Fund Account after the distributions required by this Agreement are completed, said funds shall in no circumstance revert to Target. At the election of Class Counsel and counsel for Target, and subject to the approval of the Court, the funds may be distributed to Settlement Class Members via a secondary distribution if economically feasible or through a residual *cy pres* program, National Endowment for Financial Education. Any residual secondary distribution or *cy pres* distribution shall be paid as soon as reasonably possible following the completion of distribution of funds to the Settlement Class Members.
Section 4. Settlement Approval
4.1 Preliminary Approval. On or before June 28, 2019, Plaintiffs will submit for the Court’s consideration a motion seeking Preliminary Approval of the Settlement and apply to the Court for entry of the Preliminary Approval Order. In the event the Court does not enter the Preliminary Approval Order in materially the same form as Exhibit D, Target has the right to terminate this Agreement and the Settlement and will have no further obligations under the Agreement unless Target waives in writing its right to terminate the Agreement due to any changes or deviations from the form of the Preliminary Approval Order. In Plaintiffs’ motion seeking Preliminary Approval, Plaintiffs
shall request that the Court approve the Settlement Class Notices. The Court will ultimately determine and approve the content and form of the Settlement Class Notices to be distributed to Settlement Class Members.
The Parties further agree that in Plaintiffs’ motion seeking Preliminary Approval, Plaintiffs will request that the Court enter the following schedule governing the Settlement:
| Event | Days after Entry of Preliminary Approval Order |
|----------------------------------------------------------------------|-----------------------------------------------|
| Notice Complete | 70 Days |
| Filing of Motion for Class Representative Service Awards and Fee & Expense Application | 70 Days |
| Opt-Out Deadline | 130 Days |
| Objection Deadline | 130 Days |
| Filing of Motion for Final Approval | 170 Days |
| Proposed Final Approval Hearing | 200 Days (or when convenient for the Court) |
4.2 **Final Approval.** Plaintiffs will submit for the Court’s consideration, by the deadline set by the Court, a proposed Final Approval Order. The motion for Final Approval of this Settlement shall include a request that the Court enter the Final Approval Order and, if the Court grants Final Approval of the Settlement and incorporates the Agreement into the final judgment, that the Court dismiss the California Action with prejudice, subject to the Court’s continuing jurisdiction to enforce the Agreement.
(a) In the event that the Court does not enter the Final Approval Order in materially the same form as what the Parties propose, Target has the right to terminate this Agreement and the Settlement and will have no further obligations under the Agreement unless Target waives in writing its right to terminate the Agreement due to any material changes or deviations from the form of the Final Approval Order. Notwithstanding the foregoing, changes to the legal reasoning or analysis in the Final Approval Order that does not affect the substance of the Parties’ agreement, the scope of the releases given, or any other obligations of the Parties in this Agreement, shall not be considered material changes or deviations permitting Target to terminate this Agreement.
(b) In the event that the Effective Date does not come to pass, the Final Approval Order is vacated or reversed or the Settlement does not become final and binding, the Parties agree that the Court shall vacate any dismissal with prejudice.
4.3 **Effect of Disapproval**. If the Settlement does not receive Final Approval or the Effective Date does not come to pass, Target shall have the right to terminate this Agreement and the Settlement and will have no further obligations under the Agreement unless Target waives in writing its right to terminate the Agreement under this section. In addition, the Parties agree that if this Agreement becomes null and void, Target shall not be prejudiced in any way from opposing class certification in the Actions, and Plaintiffs and the Settlement Class members shall not use anything in this Agreement, in any terms sheet, or in the Preliminary Approval Order or Final Approval Order to support a motion for class certification or as evidence of any wrongdoing by Target. No Party shall be deemed to have waived any claims, objections, rights or defenses, or legal arguments or positions, including but not limited to, claims or objections to class certification, or claims or defenses on the merits. Additionally, the amended complaint required by Section 2.3 shall be void, and the First Amended Complaint shall be the operative complaint in the California Action. Each Party reserves the right to prosecute or defend the Actions in the event that this Agreement does not become final and binding.
4.4 **Termination Based on Percentage of Opt-Outs**. Target shall have the right to terminate the Settlement by serving on Class Counsel and filing with the Court a notice of termination within 15 days of the Opt-Out Deadline, if the number of persons in the Settlement Class who timely request exclusion from the Settlement Class equals or exceeds 2.5% of the Settlement Class.
Section 5. **General Provisions**
5.1 **Cooperation**. The Parties agree that they will cooperate in good faith to effectuate and implement the terms and conditions of this Settlement.
5.2 **Extensions of Time**. Unless otherwise ordered by the Court, the Parties may jointly agree to reasonable extensions of time to carry out any of the provisions of this Agreement.
5.3 **Judicial Enforcement**. If the Court enters the Final Approval Order, then the Court shall have continuing authority and jurisdiction to enforce this Agreement. The Parties shall have the authority to seek enforcement of this Agreement and any of its aspects, terms, or provisions under any appropriate mechanism, including contempt proceedings. The Parties will confer in good faith prior to seeking judicial enforcement of this Agreement.
5.4 **Effect of Prior Agreements**. This Agreement constitutes the entire agreement and understanding of the Parties with respect to the Settlement of the Actions, contains the final and complete terms of the Settlement of the Actions and supersedes all prior agreements between the Parties regarding Settlement of the Actions. The Parties agree that there are no representations, understandings, or agreements relating to the Settlement of the Actions other than as set forth in this Agreement. Each Party acknowledges that it has not executed this Agreement in reliance upon any
promise, statement, representation, or warranty, written or verbal, not expressly contained herein.
5.5 **No Drafting Presumption.** All Parties hereto have participated, through their counsel, in the drafting of this Agreement, and this Agreement shall not be construed more strictly against any one Party than the other Parties. Whenever possible, each term of this Agreement shall be interpreted in such a manner as to be valid and enforceable. Headings are for the convenience of the Parties only and are not intended to create substantive rights or obligations.
5.6 **Notices.** All notices to the Parties or counsel for the Parties required or desired to be given under this Agreement shall be in writing and sent by overnight mail as follows:
To Plaintiffs and the Settlement Class:
Jeff Ostrow
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
1 West Las Olas Blvd.
Suite 500
Fort Lauderdale, FL 33301
Jeffrey D. Kaliel
KALIEL PLLC
1875 Connecticut Avenue NW
10th Floor
Washington, DC 20009
Hassan Zavareei
TYCKO & ZAVAREEI LLP
1828 L Street, NW
Suite 1000
Washington, DC 20036
To Target:
James McGuire, Esq.
MORRISON & FOERSTER LLP
425 Market St.
San Francisco, CA 94105
5.7 **Modifications.** No modifications to this Agreement may be made without written agreement of all Parties and Court approval.
5.8 **No Third-Party Beneficiaries.** This Agreement shall not inure to the benefit of any third party.
5.9 **Execution in Counterparts.** This Agreement may be executed in counterparts. Each signed counterpart together with the others shall constitute the full Agreement. Each signatory warrants that the signer has authority to bind his/her party.
5.10 **CAFA.** The Administrator shall timely send the notices required by 28 U.S.C. § 1715 within 10 days after Plaintiffs file the motion seeking Preliminary Approval of the Settlement.
5.11 **Deadlines.** If any of the dates or deadlines specified herein falls on a weekend or legal holiday, the applicable date or deadline shall fall on the next business day.
5.12 **Governing Law.** This Agreement shall be construed in accordance with, and be governed by, the laws of the State of California, without regard to the principles thereof regarding choice of law.
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
DEFENDANT TARGET CORPORATION
Title:
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
TARGET'S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
Date: Jun 13, 2019
DEFENDANT TARGET CORPORATION
Title:
Date
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Date
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Date
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
Date
TARGET’S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
Date
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
DEFENDANT TARGET CORPORATION
Title:
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
TARGET’S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
DEFENDANT TARGET CORPORATION
Title:
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
TARGET’S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
DEFENDANT TARGET CORPORATION
Title: ____________________________
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
TARGET’S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
6/13/2019
PLAINTIFFS
James Walters
Michelle Dixon
Charles Powell
Deana Polcare
DEFENDANT TARGET CORPORATION
Scott Kennedy
Title: President, Financial & Retail Services
June 18, 2019
CLASS COUNSEL
Jeff Ostrow, Esq.
KOPELOWITZ OSTROW
FERGUSON WEISELBERG GILBERT
Jeffrey D. Kaliel, Esq.
KALIEL PLLC
Hassan Zavareei, Esq.
TYCKO & ZAVAREEI LLP
TARGET’S COUNSEL - APPROVED AS TO FORM
James R. McGuire, Esq.
MORRISON & FOERSTER LLP
June 18, 2019
EXHIBIT A
EMAIL NOTICE
If You Had a Target Debit Card and Paid a Return Payment Fee, You May Be Eligible for a Payment or Debt Reduction from a Class Action Settlement.
A Settlement has been reached in a class action lawsuit called Walters v. Target Corp., No. 3:16-cv-01678-L-MDD, pending in the United States District Court for the Southern District of California. The lawsuit alleges that Target deceptively marketed its Target Debit Card (“TDC”), and breached consumer agreements in the way it processed TDC Transactions and assessed Returned Payment Fees (“RPFs”). The RPFs were assessed when the bank account the consumer chose to link to his or her TDC did not have sufficient funds to cover a TDC Transaction and the bank returned the transaction to Target unpaid. Target maintains that there was nothing wrong with its marketing of the TDC and that it complied, at all times, with applicable laws and regulations and the terms of its agreements with its customers.
Who is Included? You were sent this email because Target’s records show you are a member of the Settlement Class. The Settlement Class includes all TDC holders in the United States who, between June 29, 2012 and Month Day, 2019, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
What Are the Settlement Terms? Target has agreed to establish a Settlement Fund of $5,000,000 from which eligible Settlement Class Members will receive payments, and a Debt Reduction Cash Amount of approximately $3,222,330 from which eligible Settlement Class Members will receive reductions on outstanding balances on their TDC accounts. Once the Court approves the Settlement, eligible Settlement Class Members will automatically receive their payments by check or debt reductions to their accounts. The Settlement also includes several business practice changes to how RPFs are assessed on TDC transactions.
Your Rights May Be Affected. If you do not want to be legally bound by the Settlement, you must exclude yourself from the Settlement Class by Month Day, 2019. If you do not timely exclude yourself you will not be able to sue Target in a future lawsuit about the claims covered by the Settlement. If you stay in the Settlement Class, you may object to the Settlement in writing by Month Day, 2019. The Detailed Notice explains how to exclude yourself from or object to the Settlement. The Court will hold a hearing on Month Day, 2019, Time, to consider whether to approve the Settlement and Class Counsel’s request for attorneys’ fees of up to 30% of the Settlement Fund, plus expenses and Class Representative Service Awards. You may appear at the hearing, but you are not required to attend. To appear and speak at the hearing, you must object to the Settlement in writing pursuant to the instructions in the Settlement Agreement. You may also hire your own attorney, at your own expense, to appear or speak for you at the hearing. Click here for a copy of the full Detailed Notice or call 1-XXX-XXX-XXXX to request a paper copy be mailed to you.
EXHIBIT B
POSTCARD NOTICE
If You had a Target Debit Card and Paid a Return Payment Fee, You May Be Eligible for a Payment or Debt Reduction from a Class Action Settlement.
A Settlement has been reached in a class action lawsuit called Walters v. Target Corp., No. 3:16-cv-01678-L-MDD, pending in the United States District Court for the Southern District of California. The lawsuit alleges that Target deceptively marketed its Target Debit Card (“TDC”), and breached consumer agreements in the way it processed TDC Transactions and assessed Returned Payment Fees (“RPFs”). The RPFs were assessed when the bank account the consumer chose to link to his or her TDC did not have sufficient funds to cover a TDC Transaction and the bank returned the transaction to Target unpaid. Target maintains that there was nothing wrong with its marketing of the TDC and that it complied, at all times, with applicable laws and regulations and the terms of its agreements with its customers.
Who is Included? You were sent this notice because Target’s records show you are a member of the Settlement Class. The Settlement Class includes all TDC holders in the United States who, between June 29, 2012 and Month Day, 2019, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
What Are the Settlement Terms? Target has agreed to establish a Settlement Fund of $5,000,000 from which eligible Settlement Class Members will receive payments, and a Debt Reduction Cash Amount of approximately $3,222,330 from which eligible Settlement Class Members will receive reductions on outstanding balances on their TDC accounts. Once the Court approves the Settlement, eligible Settlement Class Members will automatically receive their payments by check or debt reductions to their accounts. The Settlement also includes several business practice changes to how RPFs are assessed on TDC transactions.
Your Rights May Be Affected. If you do not want to be legally bound by the Settlement, you must exclude yourself from the Settlement Class by Month Day, 2019. If you do not timely exclude yourself, you will not be able to sue Target in a future lawsuit about the claims covered by the Settlement. If you stay in the Settlement Class, you may object to the Settlement in writing by Month Day, 2019. The Detailed Notice available at the website below explains how to exclude yourself from or object to the Settlement. The Court will hold a hearing on Month Day, 2019, Time, to consider whether to approve the Settlement and Class Counsel’s request for attorneys’ fees of up to 30% of the Settlement Fund, plus expenses and Class Representative Service Awards. You may appear at the hearing, but you are not required to attend. To appear and speak at the hearing, you must object to the Settlement in writing pursuant to the instructions in the Settlement Agreement. You may also hire your own attorney, at your own expense, to appear or speak for you at the hearing. Visit the website below for a copy of the full Detailed Notice or call to request a paper copy be mailed to you.
www.XXXXXXXXXXXXX.com 1-XXX-XXX-XXXX
EXHIBIT C
If You Had a Target Debit Card and Paid a Return Payment Fee, You May Be Eligible for a Payment or Debt Reduction from a Class Action Settlement.
A federal court authorized this notice. You are not being sued. This is not a solicitation from a lawyer.
- A Settlement has been reached in a class action lawsuit alleging that Target deceptively marketed its Target Debit Card (“TDC”), and breached consumer agreements in the way it processed TDC Transactions and assessed Returned Payment Fees (“RPFs”). The RPFs were assessed when the bank account the consumer chose to link to his or her TDC did not have sufficient funds to cover a TDC Transaction and the bank returned the transaction to Target unpaid. Target maintains that there was nothing wrong with its marketing of the TDC and that it complied, at all times, with applicable laws and regulations and the terms of its agreements with its customers.
- Class Members may be entitled to either an automatic payment or an automatic reduction of any outstanding balance on their TDC account. As part of the Settlement, Target has also agreed to several business practice changes related to TDC Transactions.
- The Settlement Class includes all TDC holders in the United States who, between June 29, 2012 and Month Day, 2019, incurred at least one RPF in connection with their TDC that was not refunded or waived.
- Your legal rights are affected whether you act or don’t act. Read this notice carefully.
### SUMMARY OF YOUR LEGAL RIGHTS AND OPTIONS IN THIS SETTLEMENT
| Option | Description |
|-------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Participate in the Settlement (Do Nothing) | You are entitled under the Settlement to a Settlement Class Member Cash Payment or Debt Reduction Payment. You do not have to do anything to receive your Settlement Class Member Cash Payment or Debt Reduction Payment. If the Court approves the Settlement and it becomes final and effective, and you remain in the Settlement Class and are entitled to receive a payment or debt reduction, you will automatically receive a Settlement Class Member Cash Payment by check or Debt Reduction Payment. All Settlement Class Members will benefit from the business practice changes to which Target has agreed. |
| Exclude Yourself from the Settlement | Receive no benefit from the Settlement. This is the only option that allows you to retain your right to bring any other lawsuit against Target about the claims in this case. |
| Object | Write to the Court if you do not like the terms of the Settlement. |
| Go to a Hearing | Ask to speak in Court about the fairness of the Settlement. |
| Do Nothing | You will receive any payment or reduction of debt to which you are entitled, and will give up your right to bring your own lawsuit against Target about the claims in this case. |
Questions? Call 1-XXX-XXX-XXXX or visit www.XXXXXXXXXXXXXXXXXX.com
• These rights and options — and the deadlines to exercise them — are explained in this notice.
• The Court in charge of this case still has to decide whether to approve the Settlement. Settlement Class Member Cash Payments and Debt Reduction Payments will be provided if the Court approves the Settlement and after any appeals are resolved. Please be patient.
WHAT THIS NOTICE CONTAINS
BASIC INFORMATION .................................................................................................................. PAGE 3
1. Why is there a notice?
2. What is this lawsuit about?
3. What do “Linked Deposit Account,” “TDC,” “TDC Agreement,” “TDC Transaction,” and “RPF” mean?
4. Why is this a class action?
5. Why is there a Settlement?
WHO IS IN THE SETTLEMENT ................................................................................................. PAGE 3
6. Who is included in the Settlement?
THE SETTLEMENT’S BENEFITS ............................................................................................... PAGE 4
7. What does the Settlement provide?
8. How do I receive a payment or debt reduction?
9. What am I giving up to stay in the Settlement Class?
EXCLUDING YOURSELF FROM THE SETTLEMENT ............................................................. PAGE 5
10. How do I get out of the Settlement?
11. If I do not exclude myself, can I sue Target for the same thing later?
12. If I exclude myself from the Settlement, can I still receive a payment?
THE LAWYERS REPRESENTING YOU .................................................................................... PAGE 5
13. Do I have a lawyer in this case?
14. How will the lawyers be paid?
OBJECTING TO THE SETTLEMENT ........................................................................................... PAGE 6
15. How do I tell the Court that I don’t like the Settlement?
16. What’s the difference between objecting and excluding?
THE COURT’S FINAL APPROVAL HEARING ........................................................................... PAGE 7
17. When and where will the Court decide whether to approve the Settlement?
18. Do I have to come to the hearing?
19. May I speak at the hearing?
IF YOU DO NOTHING ............................................................................................................... PAGE 7
20. What happens if I do nothing at all?
GETTING MORE INFORMATION ............................................................................................... PAGE 7
21. How do I get more information?
Questions? Call 1-XXX-XXX-XXXX or visit www.XXXXXXXXXXXXXXXXX.com
1. Why is there a notice?
A Court authorized this notice because you have a right to know about the proposed Settlement of this class action lawsuit, and about all of your options, before the Court decides whether to give Final Approval to the Settlement. This notice explains the lawsuit, the Settlement, and your legal rights.
Judge M. James Lorenz of the United States District Court for the Southern District of California is overseeing this case. The case is known as Walters v. Target Corp., No. 3:16-cv-1678-L-MDD (the “Action”). The persons who sued are called the “Plaintiffs.” The Defendant is Target.
A separate lawsuit pending in the United States District Court for Minnesota, Dixon v. Target Corp., No. 0:18-cv-02660, will be dismissed with prejudice as part of the proposed Settlement.
2. What is this lawsuit about?
The Action claims that the TDC (as defined below) is deceptively marketed. The Action further alleges that Target breached the TDC Agreement as well as the duty of good faith and fair dealing by the manner in which Target processes TDC Transactions and assesses RPFs (also defined below). The First Amended Complaint is posted at www.XXXXXXXXXXX.com and contains all of the allegations and claims asserted against Target.
Target denied, and continues to deny, each and every claim and allegation of wrongdoing asserted in the Action, and Target believes it would ultimately be successful in its defense of all claims asserted in the Action.
3. What do “Linked Deposit Account,” “TDC,” “TDC Agreement,” “TDC Transaction,” and “RPF” mean?
“Linked Deposit Account” means the deposit account linked to a consumer’s TDC from which the TDC withdraws funds to pay TDC Transactions.
“TDC” means the Target Debit Card.
“TDC Agreement” means the TDC terms and conditions as may be amended from time to time that all consumers accept when they open a TDC account.
“TDC Transaction” means a transaction with Target whether in a brick-and-mortar Target store or on Target’s website where a customer uses their TDC to make a purchase.
“RPF” or, plural, “RPFs,” means the Returned Payment Fee that Target applies to a TDC when a TDC transaction is returned unpaid by the customer’s financial institution holding the Linked Deposit Account, as described in the TDC Agreement.
4. Why is this a class action?
In a class action, one or more people called class representatives (in this case, Plaintiffs James Walters, Michelle Dixon, Charles Powell, and Deana Polcare) sue on behalf of people who have similar claims. The people included in the class action are called the Settlement Class or Settlement Class members. One court resolves the issues for all Settlement Class members, except for those who timely exclude themselves from the Settlement Class.
5. Why is there a Settlement?
The Court has not decided in favor of either the Plaintiffs or Target. Instead, both sides agreed to the Settlement. By agreeing to the Settlement, the Parties avoid the costs and uncertainty of a trial, and
Settlement Class Members receive the benefits described in this notice. The Class Representatives and Class Counsel believe the Settlement is best for everyone who is affected.
**WHO IS IN THE SETTLEMENT?**
To see if you will be affected by the Settlement or if you can get a payment or debt reduction from it, you first have to determine if you are a Settlement Class member.
6. **Who is included in the Settlement?**
All TDC holders in the United States who, within the Class Period, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
Based on a review of Target’s data, it is estimated that the Settlement Class numbers approximately 954,805. You may contact the Settlement Administrator if you have any questions as to whether you are in the Settlement Class.
**THE SETTLEMENT’S BENEFITS**
7. **What does the Settlement provide?**
Under the Settlement Target has agreed to provide both business practice changes and monetary relief (money) to Settlement Class Members.
**Business Practice Changes**
Beginning on Month Day, 2019, Target agrees not to implement or assess RPFs, or any equivalent fee, in connection with TDC Transactions of less than $7.00. Beginning on Month Day, 2019, Target agrees that any RPFs charged will be the lesser of the RPF as disclosed by the TDC Agreement or the amount of the TDC Transaction that was returned unpaid. Both changes will remain in effect for a period of 2 years, or until Month Day, 20__.
Plaintiffs and Target will work collaboratively to amend the TDC Agreement to provide additional information to TDC Holders regarding how they may incur RPFs from Target and non-sufficient funds or overdraft fees from their banks and/or credit unions in connection with the use of the TDC.
**Monetary Relief**
Target has agreed to pay a Cash Settlement Amount of $5,000,000 and to waive approximately $3,222,330 in RPFs currently due and owing by Settlement Class Members.
*How will Settlement Class Member Cash Payments be Calculated?* Each Settlement Class Member who incurred a RPF during the Class Period and paid all or part of the first RPF incurred during the Class Period will be entitled to receive a cash payment from the Net Settlement Fund. The Net Settlement Fund means the $5,000,000 Cash Settlement Amount minus Class Representative Service Awards and Fee & Expense Award. Each Settlement Class Member Cash Payment shall be equal to the Settlement Class Member’s *pro rata* share of the Net Settlement fund based on the dollar amount of the first RPF paid by the Settlement Class Member.
*How will Debt Reduction Payments be Calculated?* For Settlement Class Members who have not paid the first RPFs they incurred during the Class Period at the time the Settlement Class Member Cash Payments are to be distributed, the Debt Reduction Cash Amount will be used by Target to reduce such outstanding RPFs by twenty-five percent.
Under the Settlement a Class Member may not qualify for relief from both the Cash Settlement Amount and Debt Reduction Cash Amount even if they paid one or more RPFs during the Class Period.
that was not refunded and were assessed at least one other RPF during the Class Period that is still due and owing.
8. How do I receive a payment or debt reduction?
If you are in the Settlement Class and entitled to receive a Settlement Class Member Cash Payment or Debt Reduction Payment, you do not need to do anything to receive it. If the Court approves the Settlement and it becomes final and effective, you will automatically receive a payment by check or reduction of your debt.
9. What am I giving up to stay in the Settlement Class?
Unless you exclude yourself from the Settlement Class, you cannot sue or be part of any other lawsuit against Target about the legal issues in this Action. It also means that all of the decisions by the Court will bind you. The “Release” included in the Settlement Agreement describes the precise legal claims that you give up if you remain in the Settlement. The Settlement Agreement is available at www.XXXXXXXXXXXXXXXXXX.com.
EXCLUDING YOURSELF FROM THE SETTLEMENT
If you do not want benefits from the Settlement, and you want to keep the right to sue Target on your own about the legal issues in this Action, then you must take steps to get out of the Settlement. This is called excluding yourself — or it is sometimes referred to as “opting-out” of the Settlement Class.
10. How do I get out of the Settlement?
To exclude yourself from the Settlement, you must send a letter that includes the following:
- Your name and your TDC account number(s);
- A short statement that you are opting-out of the Settlement Class and that you understand that you will not receive a Settlement Class Member Cash Payment or a Debt Reduction Payment from the Settlement of the Action; and
- Your signature and the date you sign.
You must mail your exclusion request, postmarked no later than Month Day, 2019, to:
TDC Settlement
P.O. Box XXXX
Portland, OR XXXXX-XXXX
11. If I do not exclude myself, can I sue Target for the same thing later?
No. Unless you exclude yourself, you give up the right to sue Target for the claims that the Settlement resolves. You must exclude yourself from the Settlement Class in order to try to pursue your own lawsuit.
12. If I exclude myself from the Settlement, can I still receive a payment?
No. You will not receive a payment or debt reduction if you exclude yourself from the Settlement.
THE LAWYERS REPRESENTING YOU
13. Do I have a lawyer in this case?
The Court has appointed a number of lawyers to represent you and others in the Settlement Class as “Class Counsel,” including the law firms Kopelowitz Ostrow Ferguson Weiselberg Gilbert, Kaliel PLLC, and Tycko & Zavareei LLP.
Class Counsel will represent you and others in the Settlement Class. You will not be charged for these lawyers. If you want to be represented by your own lawyer, you may hire one at your own expense.
14. How will the lawyers be paid?
Class Counsel intends to request up to 30% of the Settlement Value (the total value of the Cash Settlement Amount plus the Debt Reduction Cash Amount) to reimburse Class Counsel for attorneys’ fees incurred in researching, preparing for, and litigating this Action, and Class Counsel may also apply for reimbursement for costs and expenses incurred in the Action. The fees and expenses awarded by the Court will be paid out of the Settlement Fund. The Court will determine the amount of fees and expenses to award.
Based on their respective levels of participation in the Actions, Class Counsel will request for Plaintiff Walters a Class Representative Service Award in an amount not exceeding $7,500.00 in recognition of his service to the Settlement Class and will request for Plaintiffs Dixon, Powell, and Polcare a Class Representative Service Award in an amount not exceeding $3,000.00 in recognition of their service to the Settlement Class.
OBJECTING TO THE SETTLEMENT
15. How do I tell the Court that I don’t like the Settlement?
If you are a Settlement Class Member, you can object to any part of the Settlement, the Settlement as a whole, Class Counsel’s requests for fees and expenses and/or Class Counsel’s request for Service Awards for the Class Representatives. To object, you must submit a letter that includes the following:
- The case name and case number and your name, address, telephone number, and signature;
- An explanation of the nature of your objection and citation to any relevant legal authority;
- The number of times you have objected to a class action settlement in the past 5 years and the caption for any such case(s);
- The name of any counsel representing you; and
- Whether you (on your own or through your attorney) intend to testify at the final approval hearing (see below).
You must send your objection to the Clerk of Court, class counsel, and defense counsel at the addresses below, by first class mail and postmarked no later than Month Day, 2019.
| Clerk of the Court | Class Counsel | Defense Counsel |
|--------------------|---------------|-----------------|
| Office of the Clerk of the Court for the United States District Court for the Southern District of California 333 West Broadway, Suite 420 San Diego, CA 92101 | Jeff Ostrow, Esq. KOPELOWITZ OSTROW FERGUSON WEISELBERG GILBERT 1 West Las Olas Blvd., Suite 500 Fort Lauderdale, FL 33301 | James McGuire, Esq. MORRISON & FOERSTER LLP 425 Market St. San Francisco, CA 94105 |
The Parties have the right to take discovery, including subpoenas and depositions, from any objector.
Questions? Call 1-XXX-XXX-XXXX or visit www.XXXXXXXXXX.com
16. What’s the difference between objecting and excluding?
Objecting is telling the Court that you do not like something about the Settlement. You can object to the Settlement only if you do not exclude yourself from the Settlement. Excluding yourself from the Settlement is telling the Court that you don’t want to be part of the Settlement. If you exclude yourself from the Settlement, you have no basis to object to the Settlement because it no longer affects you.
THE COURT’S FINAL APPROVAL HEARING
The Court will hold a Final Approval Hearing to decide whether to approve the Settlement, and the request for attorneys’ fees, expenses and Service Awards for the Class Representatives. You may attend and you may ask to speak, but you don’t have to do so.
17. When and where will the Court decide whether to approve the Settlement?
The Court will hold a Final Approval Hearing at __:__ a.m. on Month Day, 2019, at the Edward J. Schwartz United States Courthouse, 221 West Broadway, San Diego, CA 92101, Courtroom 5B. The hearing may be moved to a different date or time without additional notice, so it is a good idea to check www.XXXXXXXXXXXXXXXXXX.com for updates. At this hearing, the Court will consider whether the Settlement is fair, reasonable and adequate. The Court will also consider any request by Class Counsel for attorneys’ fees and expenses and for Service Awards for the Class Representatives. If there are objections, the Court will consider them at this time. After the hearing, the Court will decide whether to approve the Settlement. We do not know when the Court will make its decision. It is a good idea to check www.XXXXXXXXXXXXXXXXXX.com for updates.
18. Do I have to come to the hearing?
No. Class Counsel will answer any questions the Court may have. But, you may come at your own expense. If you send an objection, you do not have to come to Court to talk about it. As long as you submit your written objection on time, to the proper addresses and it complies with the requirements set forth previously, the Court will consider it. You may also pay your own lawyer to attend, but it is not necessary.
19. May I speak at the hearing?
You may speak at the Final Approval Hearing if you have filed and served a timely objection to the Settlement according to the procedures set out in Section ___ above.
IF YOU DO NOTHING
20. What happens if I do nothing at all?
If you do nothing, you will still receive the benefits to which you are entitled under the Settlement Agreement. Unless you exclude yourself, you will not be able to start a lawsuit or be part of any other lawsuit against Target relating to the issues in this Action.
GETTING MORE INFORMATION
21. How do I get more information?
This Detailed Notice summarizes the proposed Settlement. More details can be found in the Settlement Agreement. You can obtain a copy of the Settlement Agreement at www.XXXXXXXXXXX.com. You may also write with questions to TDC Settlement, P.O. Box
Questions? Call 1-XXX-XXX-XXXX or visit www.XXXXXXXXXX.com
XXXX, Portland, OR XXXXX-XXXX, or call the toll-free number, 1-XXX-XXX-XXXXX. Do not contact Target or the Court for information.
Questions? Call 1-XXX-XXX-XXXX or visit www.XXXXXXXXXXX.com
EXHIBIT D
This case comes before the Court on the motion of Plaintiffs, James Walters, Michelle Dixon, Charles Powell and Deana Polcare (“Plaintiffs”), on behalf of themselves and the Settlement Class they seek to represent, for an order, pursuant to Rule 23(e) of the Federal Rules of Civil Procedure, granting Preliminary Approval of Settlement Agreement and Release (“Agreement”) entered into between Plaintiffs and Defendant Target Corp. (“Target”) dated June 18, 2019.
The definitions and capitalized terms in the Agreement and Memorandum in Support of Plaintiffs’ Unopposed Motion for Preliminary Approval of Class Settlement and for Certification of Settlement Class are hereby incorporated as though fully set forth in this Order and shall have the same meanings attributed to them in those documents.
Having considered the matter, Plaintiffs’ motion, the proposed Agreement, and the Joint Declaration of Class Counsel for the proposed Settlement Class, and good cause appearing therefore,
IT IS HEREBY ORDERED THAT:
1. The Agreement is preliminarily approved as fair, reasonable, and adequate. Plaintiffs and the Settlement Class, by and through their counsel, have investigated the facts and law relating to the matters alleged in the First Amended Complaint, including
through dispositive motion practice, legal research as to the sufficiency of the claims, an evaluation of the risks associated with continued litigation, trial, and/or appeal, including risks associated with the currently pending interlocutory appeal, and confirmatory discovery.
2. The Agreement appears to be the product of arm’s length negotiations between Class Counsel and counsel for Target, which occurred following mediation before Robert J. Meyer, Esq. of JAMS.
3. The Court conditionally certifies, for settlement purposes only, the following Settlement Class:
All TDC holders in the United States who, within the Class Period, incurred at least one RPF in connection with their TDC, that was not refunded or waived.
4. The Court finds, for settlement purposes only, that the prerequisites for a class action under Rules 23(a), (b)(2), and (b)(3) of the Federal Rules of Civil Procedure have been satisfied in that: (a) the number of Settlement Class members is so numerous that joinder of all members thereof is impracticable; (b) there are questions of law and fact common to the Settlement Class; (c) the claims of the Plaintiffs are typical of the claims of the Settlement Class they seek to represent for purposes of settlement; (d) Plaintiffs have fairly and adequately represented the interests of the Settlement Class and will continue to do so, and Plaintiffs have retained experienced counsel to represent them; (e) for purposes of settlement, the questions of law and fact common to the Settlement Class members predominate over any questions affecting any individual Settlement Class member; and (f) for purposes of settlement, a class action is superior to the other available methods for the fair and efficient adjudication of the controversy.
5. The Court also concludes that, because this Action is being settled rather than litigated, the Court need not consider manageability issues that might be presented by the trial of a nationwide class action involving the issues in this case. *See Amchem Prods., Inc. v. Windsor*, 521 U.S. 591, 620 (1997). Additionally, for purposes of settlement only,
the Court finds that Target has acted on grounds that apply generally to the Settlement Class, so that the final injunctive relief to which the Parties have agreed is appropriate respecting the Settlement Class as a whole.
6. For purposes of the Settlement only, the Court finds and determines, pursuant to Rule 23(a)(1) of the Federal Rules of Civil Procedure, that Plaintiffs James Walters, Michelle Dixon, Charles Powell, and Deana Polcare will fairly and adequately represent the interests of the Settlement Class in enforcing their rights in the Action and appoints them Class Representatives of the Settlement Class.
7. For purposes of the Settlement only and pursuant to Rule 23(a)(1) of the Federal Rules of Civil Procedure, the Court appoints as Class Counsel Jeff Ostrow, Jeffrey Kaliel, Hassan Zavareei, Sophia Gold and Joshua Levine to act on behalf of the Settlement Class and the Class Representative with respect to the Settlement.
8. The Court designates Epiq Systems as Settlement Administrator to administer the notice procedures. The Settlement Administrator shall abide by the terms and conditions of the Agreement that pertain to the Settlement Administrator.
9. Pursuant to Rule 23(e) of the Federal Rules of Civil Procedure, the terms of the Agreement (and the Settlement provided for therein) are preliminarily approved as (a) fair, reasonable, and adequate in light of the relevant factual, legal, practical, and procedural considerations of the Action, (b) free of collusion, and (c) within the range of possible final judicial approval, subject to further consideration at the Final Approval Hearing.
10. The Court approves, as to form and content, the Settlement Class Notices attached to the Agreement as Exhibits A, B, and C for the purpose of notifying the Settlement Class as to the proposed Settlement, the Final Approval Hearing, and the rights of Settlement Class members. The Court finds that the Settlement Class Notices are reasonable; constitute due, adequate, and sufficient notice to all persons entitled to receive notice; and that they meet the requirements of due process and Rule 23 of the Federal Rules
of Civil Procedure. Specifically, the Court finds that the Settlement Class Notices comply with Rule 23(e) of the Federal Rules of Civil Procedure as they are a reasonable manner of providing notice to those Settlement Class members who would be bound by the Agreement. The Court also finds that the manner of dissemination of notice complies with Rule 23(c)(2), as it is also the most practicable notice under the circumstances, provides individual notice to all Settlement Class members who can be identified through a reasonable effort, and is reasonably calculated, under all the circumstances, to apprise Settlement Class members of the pendency of this Action, the terms of the Settlement, and their right to object to the Settlement or exclude themselves from the Settlement Class.
11. As soon as possible after the entry of this order, but not later than 70 days after the entry of this Order, the Settlement Administrator will complete notice to the Settlement Class as provided in the Agreement.
12. The Settlement Class Notices shall be updated by Plaintiffs and/or the Settlement Administrator to identify the Opt-out and Objection Deadlines of 130 days after the entry of this Order, as well as the date and time of the Final Approval Hearing as set forth below.
13. Target shall deposit the Cash Settlement Amount into an escrow account selected by the Settlement Administrator within 15 days of this Order.
14. Any person falling within the definition of the Settlement Class may, upon request, be excluded from the Settlement by submitting to the Settlement Administrator at the physical address listed in the Notices, a written, signed, and dated statement that he or she is opting-out of the Settlement Class and understands that he or she will receive no money from the Settlement of this Action. To be effective, this opt-out statement (i) must be postmarked no later than the Opt-Out Deadline; (ii) include the Settlement Class member’s name address, telephone number, and TDC account number(s); and (iii) be personally signed and dated by the Settlement Class member. All persons who timely submit properly completed requests for exclusion shall have no rights under the Agreement.
and shall not share in the benefits of the Settlement and shall not be bound by the Agreement. Any members of the Settlement Class who fail to submit a valid and timely opt-out request shall be bound by all terms of the Agreement and the Final Approval Order, regardless of whether they have requested to be opted-out from the Settlement.
15. Any person falling within the definition of the Settlement Class, and who does not opt-out from the Settlement, may object to the terms of the proposed Settlement as reflected in the Agreement, the certification of the Settlement Class, the entry of the Final Approval Order, the amount of attorneys’ fees and expenses requested by Class Counsel, and/or the amount of the Service Awards requested by the Plaintiffs. To be valid and considered by the Court, an objection must (i) be postmarked no later than the Objection Deadline; (ii) be sent to the Clerk of Court, Class Counsel, and Target’s counsel, by first class mail; (iii) include the case name and case number and the objector’s name, address, telephone number, and signature; (iv) contain an explanation of the nature of the objection and citation to any relevant legal authority; (v) indicate the number of times the objector has objected to a class action settlement in the past 5 years and the caption for any such case(s); (vi) identify any counsel representing the objector; and (vii) indicate whether the objector (whether pro se or through representation) intends to testify at the Final Approval Hearing.
16. Plaintiffs and Target may file responses to any objections that are submitted. Any Settlement Class Member who timely files and serves an objection in accordance with this order may appear at the Final Approval Hearing, either in person or through an attorney. Failure to adhere to the requirements of this section will bar a Settlement Class Member from being heard at the Final Approval Hearing, either individually or through an attorney, unless the Court otherwise orders.
17. Any Settlement Class Member who does not make his or her objections in the manner and by the date set forth above of this Order shall be deemed to have waived any objections, and shall be forever barred from raising such objections in this or any other
action or proceeding, absent further order of the Court.
18. All pretrial proceedings in this action are stayed and suspended until further order of this Court, except such actions as may be necessary to implement the Agreement and this Preliminary Approval Order.
19. Upon the entry of this Order, the Class Representatives and Settlement Class members shall be provisionally enjoined and barred from asserting any claims against Target and the Target Releasees arising out of, relating to, or in connection with the Released Target Claims prior to the Court’s decision as to whether to grant Final Approval of the Settlement.
20. This Settlement, and any and all negotiations, statements, documents, and/or proceedings in connection with the Settlement, shall not be construed or deemed to be evidence of an admission or concession by Target of any liability or wrongdoing by Target or any of its affiliates, agents, representatives, vendors, or any other person or entity acting on its behalf with respect to the assessment of overdraft fees or that the case was properly brought as a class action, and shall not be construed or deemed to be evidence of an admission or concession that any person suffered compensable harm or is entitled to any relief with respect to Target’s assessment of RPFs. Target may file the Agreement in any action or proceeding that may be brought against it in order to support a defense or counterclaim based on principles of res judicata, collateral estoppel, release, good faith settlement, judgment bar or reduction, or any other theory of claim preclusion or issue preclusion or similar defense or counterclaim.
21. The Settlement will not become effective unless the Court enters a Final Approval Order. If the Settlement does not receive Final Approval or the Effective Date does not come to pass, Target shall have the right to terminate the Agreement and the Settlement and will have no further obligations under the Agreement unless Target waives in writing its right to terminate the Agreement under this section. In addition, if the Agreement becomes null and void, Target shall not be prejudiced in any way from
opposing class certification in the Actions, and Plaintiffs and the Settlement Class members shall not use anything in the Agreement, in any terms sheet, or in the Preliminary Approval Order or Final Approval Order to support a motion for class certification or as evidence of any wrongdoing by Target. The amended complaint filed by the Parties for purposes of Settlement shall be void, and the First Amended Complaint shall be the operative complaint in this Action. No Party shall be deemed to have waived any claims, objections, rights or defenses, or legal arguments or positions, including but not limited to, claims or objections to class certification, or claims or defenses on the merits. Each Party reserves the right to prosecute or defend the Actions in the event that this Agreement does not become final and binding.
22. The dates of performance contained herein may be extended by order of the Court, for good cause shown, without further notice to the Settlement Class.
23. Plaintiffs’ Motion for Final Approval of the Settlement must include the required and customary filings. In addition, the motion papers shall include:
a. A declaration evidencing Target’s compliance with the Class Action Fairness Act notice requirement under 28 U.S.C. § 1715, including responses from any government officials to the notice.
b. A declaration from the Settlement Administrator regarding compliance with its duties under the Settlement and this Order; a copy of the actual Notices (Email, Postcard, and Long Form) sent to the class; and a report on (1) the number of Settlement Class members to whom Email Notice was sent, (2) the number of returned undelivered email notices, (3) the number of Settlement Class members to whom Postcard Notices were initially sent, (4) an explanation of efforts to locate correct addresses for returned undelivered Postcard Notices after the first mailing, (5) the number of notices sent to the updated addresses in a second mailing, and (6) the number of such notices returned undelivered.
c. An explanation of how class counsel calculated the most likely recoverable damages.
24. For the benefit of the Settlement Class and to protect this Court’s jurisdiction, this Court retains continuing jurisdiction over the Settlement proceedings to ensure the effectuation thereof in accordance with the Settlement preliminarily approved herein and the related orders of this Court.
25. Class Counsel and Target Counsel are hereby authorized to use all reasonable procedures in connection with approval and administration of the Settlement that are not materially inconsistent with this Order or the Agreement, including making, without further approval of the Court, minor changes to the form or content of the Settlement Class Notices, and other exhibits that they jointly agree are reasonable or necessary.
26. The Final Approval Hearing will be conducted in Courtroom 5B, Suite 5145, of the U.S. District Court for the Southern District of California, located at 221 West Broadway, San Diego, CA 92101 on ____________, 2020, at 10:30 am to determine: (a) whether the Settlement should be approved as fair, reasonable, and adequate to the Settlement Class; (b) whether the Final Approval Order should be entered in substance materially the same form as the Parties propose; (c) whether to approve any motion for attorneys’ fees and costs and expenses and/or any application for Class Representative Service Awards; and (d) any other matters that may properly be brought before the Court in connection with the Settlement. The Final Approval Hearing is subject to continuation or adjournment by the Court without further notice to the Settlement Class. The Court may approve the Settlement with such modifications as the Parties may agree to, if appropriate, without further notice to the Settlement Class.
27. The Parties must file all papers in support of Final Approval of the Agreement and in response to objections to the Agreement on or before 170 days after the date of entry of this Order (“Final Approval Motion Deadline”). Any motion for attorneys’
fees and costs and expenses and/or any application for Class Representative Service Awards shall be filed within 70 days of entry of this Order.
28. The Court hereby sets the following schedule of events:
| Event | Calendar Days After Entry of this Order | Date |
|----------------------------------------------------------------------|----------------------------------------|------|
| Notice Complete | 70 Days | |
| Motion for Class Representatives’ Service Awards and Attorneys’ Fee and Expense Awards | 70 Days | |
| Opt-Out Deadline | 130 Days | |
| Objection Deadline | 130 Days | |
| Motion for Final Approval | 170 Days | |
| Final Approval Hearing | 200 Days (or when convenient for the Court) | |
Dated: ___________________________ ___________________________
Hon. M. James Lorenz
United States District Judge
|
The Officers and Trustees of The Forest Hills Jewish Center cordially invite you to attend the Journal Gala on Zoom Celebrating 40 years of Dedication & Leadership of Rabbi Gerald & Robin Skolnik
March 14, 2021 | 3:00 PM | 1 Nisan 5781
This year we are honoring Rabbi Gerald Skolnik and Robin Segal Skolnik at our Annual Gala Journal Event which will take place virtually on March 14, 2021.
Rabbi Skolnik is celebrating his 40th year as the spiritual leader of our community, a remarkable milestone. Our community has been immeasurably enriched as the Rabbi and Robin shared our most joyous moments and consoled us during times of individual and community-wide loss. Whether it has been with acts of kindness, a gesture, insightful words of Torah, or just simply a hug, the Rabbi and Robin have been a resource for all of us seeking guidance, a shoulder to lean on or an answer when words fail us and we find even asking the question difficult.
In the greater Jewish community their outstanding work has contributed so much to so many. Rabbi Skolnik is a past President of the Rabbinical Assembly, the 1700-member international organization of Conservative rabbis, a Vice-President of the Zamir Choral Foundation, and a member of the Board of Directors of the Masorti and Masorti Olami Foundations and UJA/Federation. Robin is recognized for her passionate work as Middle School Librarian at the Abraham Joshua Heschel School in Manhattan. She is an outspoken supporter of Israel and Camp Ramah, and cares deeply about Judaism, our Jewish community and educational issues. As a member of the Committee on Education of the Solomon Schechter School of Queens, she was one of the driving forces behind the creation of the annual eighth-grade trip to Israel, and in this time of the COVID-19 pandemic,
Robin has spent countless days ensuring that the FHJC family is fully engaged on a virtual platform.
Our Annual Gala Journal Event this year will be unlike anything we have ever done before. We are planning a joyous celebration worthy of the honor we are bestowing on the Skolniks, and we hope that every member of FHJC will join us to show them our respect and appreciation. Your support of the journal which will accompany this celebration recognizes Rabbi Skolnik and Robin’s countless and boundless contributions to our community and to every member of FHJC.
We thank you in advance for generously giving and soliciting ads for this journal in their honor.
With warmest wishes,
The Current and Past Presidents of Forest Hills Jewish Center: Ilana Altman, Matt Beizer, Henry Burger, Joe Fox, Jack Gostl, Temma Kingsley, Haskell Klaristenfeld, Carl Koerner, Jack Leibler, Valerie Leibler, Romi Narov, Mark Raphael and Meir Toshav.
RSVP & Purchase Journal Ads at www.FHJC.org/Gala-RSVP
FROM THE RABBI’S STUDY
Rabbi Gerald C. Skolnik
Hoping for Something Better…
As we move slowly but inexorably towards marking a full year since we began to deal in earnest with COVID-19– if you remember, it was right around Purim last year, and we are now, as I write, barely six weeks from Purim this year– it is only natural to wonder if, when, and how things are going to get seriously better. The way these questions are most commonly phrased is “when are we going to get back to normal?”
The classically Jewish way to respond to these questions would be to say “lo navi anohi, v’lo ben-navi anohi”; I am neither a prophet, nor the son of a prophet. Anyone who claims to have definitive answers to these vexing questions is, at best, being disingenuous; either wildly optimistic, or unnecessarily pessimistic. By nature, I tend to be skeptical of our waking up one morning and discovering that we have “turned a corner” and there’s no going back. I’d love to be wrong, but like I said, my nature is other than that.
Having said that, though, I do believe that there are reasons to be more positive now as we look towards the future, and hopeful that, while “returning to normal” may be a pipe dream, returning to a “new normal” that is better than where we are now is a realistic reason to feel better.
First and foremost, though so many of us have experienced great frustration in our efforts to secure even a first injection of vaccine, the bottom line is that there is a vaccine– actually a number of them– and the difficulties that we have all been experiencing will, ultimately, be resolved. The roll-out of the immunization efforts has been achingly slow and arguably inexcusable, but the challenge of vaccinating millions of Americans is daunting in previously unimaginable ways. It is quite a remarkable thing that multiple vaccines have been developed in such a relatively short period of time, and if we are able to maintain those basic health practices that we can all recite in our sleep about social distancing, washing hands, and wearing masks, we will, indeed, move steadily towards a better and healthier future.
Second– with the inauguration of a new President and Vice President on January 20, we will have national leadership that will devote its fullest attention to dealing with this crisis. The reality on the ground won’t change overnight. People will still be sick, and there will be many more thousands of deaths. But what will change immediately is that our government won’t pretend that this pandemic is going to disappear on its own. No one in national leadership will insult our intelligence by claiming that. Our leadership will care– and the difference will be palpable.
Like all of you, I long for that “new normal” that will enable us once again to be in the same physical space, for prayer, for celebration and also for mourning, and just for the sheer pleasure of each other’s company. I believe that it is coming, sooner than later. I hope you can believe that too.
Rabbi Gerald C. Skolnik
Dear friends,
Susan and I were overwhelmed by the outpouring of love and support surrounding the outstanding evening honoring us for the past 10 years of service to the Synagogue. It was wonderful to see so many of you on the screen and to receive so many beautiful letters, emails, texts and even “chat” messages. We were so glad that we could share some of our close friends and performers with you, helping to make the evening so festive. It was so special to receive the “in person” messages from our 3 children, Leora, Shira and Ari, and our dear, dear friends, Rabbi Gerald and Robin Skolnik. Maybe even above all, we also loved seeing our delicious grandchildren steal the show together with our son-in-law Hazzan Jesse Holzer. This was a truly memorable event for us.
The Forest Hills Jewish Center very quickly became a home for us and you all became our extended family. In spite of the complications brought on by quarantining, social distancing and forced separations, we have remained a supportive and loving community. We are so fortunate that we are able to join together virtually for study, services, classes, lectures, Sisterhood and Men’s Club programs, support groups, and so much more. If you have not yet taken advantage of all that continues to be offered, we strongly urge you to start now. This wonderful community is here for you and at the same time, needs you. Join us for the next lecture in the Lecture Series that will be presented by the new JTS Chancellor, Dr. Shuly Rubin Schwartz. Plan to make your reservation soon for the March 14th Gala honoring Rabbi Gerald and Robin Skolnik on their 40th Anniversary at FHJC and start submitting your photos featuring them at your family s’mahot ASAP. We can emerge from this pandemic stronger than ever if you will continue investing in the spiritual and physical wellbeing of our shul. It’s up to you! Our thanks once again for the virtual “Anniversary party.” We loved every moment of it!!
Wishing you all a safe and healthy 2021.
Hazzan Henry Rosenblum
Thankfully, we have the year 2020 in our rearview mirror. It has not been an easy year. For 9 out of 12 months we were confined to our homes with rare occasions of venturing out, mostly to take care of most urgent needs: A trip to the supermarket, a visit to the doctor and a rare socially distanced meeting with friends or family. So, when 2021 showed up on our threshold we were all wishing each other a “better year.” Well, it has yet to keep that promise. It did not exactly start on the right foot but I remain optimistic that things are going to get better.
After almost three months of in-person presence in the sanctuary, we had to retreat to an all-virtual calendar due to an increase in infection rate combined with a very cold sanctuary (we kept the windows open to circulate fresh air while we were in the sanctuary). We do hope to be able to return to the sanctuary in February when we are again celebrating a number of B’nai/B’not Mitzvah.
We are very busy, however in our virtual world. Over Hanukkah we celebrated Hazzan Rosenblum and Susan Ticker’s tenth anniversary in Forest Hills. It was an amazingly moving event and we were joined by family, friends and colleagues of Henry’s and Susan’s for an evening of singing and reminiscing.
We had two magnificent lectures in our FHJC Lecture Series. We heard from Professor Sarna and Cantor Schiller and are looking forward to hearing a lecture by the new JTS Chancellor, Dr. Shuly Rubin Schwartz on January 31, 2021. These lectures are sponsored by the Sevin family in memory of Malvin Peace Sevin. Our thanks are extended to the Sevin family for their generosity that enables us to create such a magnificent program.
We also found a new format for our Shabbaton At Home thanks to a very creative adult education committee. Our weeks are full of learning and community opportunities. I am looking forward to a time when all of these can migrate back into our physical space but am thankful, like most of you, for the opportunity to see and talk to each other even if it is on small Zoom boxes.
In a couple of weeks we will be celebrating Tu B’Shvat which in Israel is the harbinger of spring, followed a month later, by Purim. Purim was the last holiday we celebrated in person last year. I hope and pray that it may close the cycle on the virtual world, or at least be the beginning of the transition to the world the way we knew it before the pandemic.
Last but most definitely not least I am looking forward to this year’s gala event. On March 14th we will be celebrating Rabbi Skolnik’s and Robin Segal Skolnik’s 40th anniversary at the FHJC. By now you may have already received some information about the event. I hope that all of you will join in the celebration.
Finally, I hope and pray that in this New Year we will be able to get vaccinated for COVID-19 which will enable us to greet each other with a hug instead of an elbow “shake.”
Romi Narov
FHJC Scholars Lecture Series
Leading JTS in a Uniquely Challenging Time
Sunday, January 31, 2021 – 10:15 AM
Dr. Shuly Rubin Schwartz
Chancellor of the Jewish Theological Seminary
Watch the Listserv for the link to RSVP for this Zoom event.
This series of lectures is made possible by the Sevin family in memory of Malvin Peace Sevin.
Bake with Malka Challah
Thursday, January 28
8:00PM
Amy Bochner Newman,
baking instructor
Amy will not only teach us how to bake delicious challah but will also explain what is required to fulfill the mitzvah in order to recite the blessing.
$5.00 for Sisterhood Members
$10.00 for Friends of Sisterhood
Email email@example.com by January 25 to receive the ingredients list and the unique Zoom link.
As the incoming VP of Education this past June, I knew how fortunate I was that things were in great hands and running smoothly. During the months that followed, I gained a deeper understanding of just how fortunate all of us at FHJC are in this regard. Having our Nursery School’s efforts recognized by the greater Jewish Community, as you’ll read about below, really brings this to life.
We’ve used the word “pivot” a lot since last Spring, when we quickly switched from learning in person to learning online. Since March, outreach has been extended, to ensure our FHJC community was safe and cared for. From providing the opportunity to purchase Passover meals to those who weren’t able to shop, to popular weekly online support sessions, TV watch parties, Thanksgiving and New Year’s Eve drop-in sessions, and more, including an upcoming plan to match those who need technical help arranging for a COVID vaccine with those who can better navigate the online world, Community Engagement has been strong, if not stronger, than ever.
Adult Education has taken advantage of the digital shift. Through Rabbi Skolnik’s connections and a generous gift from the Sevin family, we’ve had the opportunity to learn from distinguished speakers who might not have otherwise been available to travel to Forest Hills for a Scholar-in-Residence program. Similarly, our Members Teach program has allowed each of us to attend every program, as opposed to having to choose two at our in-person Shabbaton.
Our Nursery and Religious Schools have mastered the challenges of in-person and virtual learning, varying with grade and day of the week, sometimes shifting to all virtual, always keeping our children engaged. Extra-curricular Youth programs, too, have evolved. They went from learning how to Zoom, to being “Zoomed out,” to finding the sweet spot and providing the right amount of fun and engaging programming just when the urge to connect started to set in. From musical outdoor havdalah for our young ones, to holiday fun for all, and Youth group and Kadima activities for older children, attendance has been great, with smiling faces all around. It’s been especially nice to see grandparents who live across the country have the opportunity to attend family events.
So much has been done without fanfare, and if you weren’t paying attention or directly involved, you might not know about it. As I mentioned earlier, our Nursery School was honored by United Synagogue and we should all know about it and feel proud.
FHJC’s Nursery School and Pre-K for All has been so dedicated in finding creative ways to keep our littlest learners safe and feeling connected throughout the pandemic. Their hard work was acknowledged this past December with METNY USCJ’s Gold Solomon Schechter Award in Early Childhood Education. I love taking every opportunity to repeat what this award recognizes, specifically, “the incredible resilience, imagination, and diligence that has resulted in some of the most creative programming and ideas that any synagogue has likely undertaken for many decades.” Yes, that says they did it better than “any synagogue… for many decades”. That’s pretty impressive, and so well-deserved.
I invite you all to keep up with FHJC’s virtual opportunities to learn and connect via the FHJC listserv, reading The Message, and the weekly eShabbat Shalom. There is truly something for everyone.
As early childhood educators, our staff spends much of their time building a child’s success in their first years of school. They provide structure and help children grow as our educational methods encourage children to become confident, independent, responsible and creative thinkers. Our children are exposed to language arts, science, music, pre-reading and pre-writing skills and math curriculum to give them a solid foundation for moving forward.
As we watch skills develop in our students, for example when children begin to learn to write, we know that they are often trying to reproduce what they see in adults. We see this beginning writing or mark making stage as an important milestone. Drawing is a central aspect of a child’s learning to write, as it demonstrates their understanding to visualize how they feel and convey a message. The scribbles that children make in their early years give them the opportunity to express. Research shows that mark-making is crucial for a child’s development and learning. When children are making these early marks, they are practicing to hold a pencil and are attempting to control their marks with their muscles. This enhances their physical development by improving their fine motor skills and helps to develop their hand-eye coordination. Mark-making can also represent a child’s thoughts and ideas. It gives children the opportunity to express themselves creatively and allows them to communicate their feelings through their drawings or even use their marks to tell a story! As they develop, their marks become more complex and sophisticated and their creativity blossoms. By giving children the opportunity to explore different mediums of mark-making, it engages them in sensory play and allows them to discover new, exciting materials. This enhances a child’s critical thinking, brain development and language development, which gives them the ability to build towards more complex learning tasks in the future.
Along with these education responsibilities, our teachers also perform caring tasks. In the past, it may have felt as though tasks such as changing diapers or wiping noses were getting in the way of teaching. However, we have adopted a way of thinking about care and incorporated it into our pedagogy. We know that for a young child, each moment is a learning opportunity. Each moment of caring for a child holds all the essential components of teaching such as observing, listening, and scaffolding. We take the ordinary tasks of caring and value them as educational.
Our basic caring stance is to respect the child. Children are learning from the moment they are born and the most meaningful lessons are embedded in care. Our early childhood teachers practice slowing down and creating respectful, intelligent care partnerships throughout the day. Daily rituals such as hand washing, serving meals, diapering and zipping coats transform into teachable moments. In the past, caring tasks may have been viewed as babysitting. We view care as an honorable teaching practice requiring specialized knowledge about learning and early development. These tasks encourage relationship building, independence, and even problem solving. Caring rituals include thoughtful organization that allows us to celebrate the teaching opportunities that exist in everyday moments. Teachers are skillful in using care as teaching tools—such as voice, touch, listening, and being present. We think about time as a material and practice slowing down. We offer children the opportunities to care for materials, small animals, plants, and one another.
Milton Mayeroff, an American philosopher, wrote the book *On Caring* in 1971 providing a detailed description and explanation of the experiences of caring and being cared for. “We sometimes speak as if caring did not require knowledge, as if caring for someone, for example, were simply a matter of good intentions or warm regard. But in order to care I must understand the other’s needs and I must be able to respond properly to them, and clearly good intentions do not guarantee this. To care for someone, I must know many things.”—Milton Mayeroff
Almost 50 years later, this concept is in the forefront of our education philosophy in our Nursery School. To care for another is to help the other grow, whether the “other” is one of our students or a member of their family, an idea, a work of art, or our community.
Religious School: It’s Not Just What You Expect
I am sure that when I say “Religious School” you have a mental image of what that looks like. And you may be accurate. At FHJC we teach and learn. Our students practice Hebrew. Our young learners are led by Morah Marcy in Hanukkah songs and begin to learn foundational prayers. Our middle grades learn about holidays, Torah stories and the rituals of the Jewish life cycle. Our older learners learn about the Holocaust, Jewish values and midrash and commentary.
And it is so much more than that. This year we look very different. Some of our students are in person and some are online, sometimes in the same classroom. All of our students in 3rd – 7th grade are engaging in Hebrew Reading Tutoring. Besides minyan and Hebrew in class, students meet online weekly in pairs with a wonderful and engaging teacher. They drill their Hebrew reading and letters and play games while getting personal attention to advance their Hebrew reading ability.
This month we have three very different family programs coming up that will challenge our ideas of what a Religious School looks like. Our fifth-grade families are going on a virtual field trip to the Jewish Museum. They will be guided by Museum staff to explore the Museum resources relating to the Jewish Lifecycle. Our fourth-graders will be enjoying a family book group. This virtual book group will be reading the book Wonder by R.J. Pallacio and delve into issues of friendship, kindness and empathy. The second grade families will expand their knowledge of the Shema by each creating a beautiful mezuzah. Each family will have its own kit at home and also be sharing and learning together on zoom.
The Rabbis say that “there are seventy faces to the Torah (Numbers Rabbah 13:15-16)” to emphasize that there are multiple entry points to Judaism. Engaging students both in the traditional classroom setting and in ways very far from what one might expect is one way that we work to strengthen their Jewish identity and their link to l’dor v’dor.
Mindfully Helping our Children Deal with Stress
A Grant for Our Nursery and Religious School!
We recognize that our children today are growing up in a high-pressured and uncertain world. Compounded by the profound difficulties of living through a global pandemic, the strains on families are enormous. At FHJC we believe that it is crucially important that we provide emotional support for our children and parents, and that we teach them tools for managing adversity with resilience, awareness, kindness and joy.
The Religious School and Nursery School are excited to announce that FHJC has been selected to receive a grant from the Jewish Education Project to do just that!
The grant will fund Klei Kodesh, Holy Tools, a program to support the mental health of our students ages 3-teens. Within the loving Jewish context of our education programs, we will train students from the Nursery through the Religious School to identify feelings of stress and anxiety and give them tools to express and manage these emotions using mindfulness-based practices. Teachers and parents will have their own training to support our children and to receive the powerful benefits of these valuable tools. This will help maintain our own sense of balance and perspective in these troubling times. We are grateful to have the opportunity to work with Liz Slade, an experienced teacher and consultant in the area of social and emotional learning.
Parents: Please save the evening of February 10th for your opportunity to experience Klei Kodesh for yourself and learn how to support your child.
As the cycle of the year progresses, I always feel kind of lost when we get to January and February. We are well past the High Holidays and the beginning of a New Year, and Hanukkah has come and gone. It’s cold, wet (sometimes snowy) and rather gray, with little to look forward to except work, school, and routine. I always try to plan a trip or something special to do during these months, just to give me something to look forward to.
Fortunately for me, FHJC Sisterhood is providing some exciting programs coming up for the FHJC community. We are continuing our Zoom programming with Challah Baking with Amy Bochner Newman on January 28th (who knew you could bake on Zoom?!), Our Torah Fund Tea honoring Lorain Wankoff on February 7th, and Trivia Games on February 21st together with the Men’s Club. Although we are still all at home, participating in these programs helps us to be together and socialize together.
This time of year also brings Tu Be’shvat – the New Year of the Trees. In Israel the trees and the flowers are getting ready to bloom, as the rainy season provides needed water for them to grow. If we can’t actually travel to Israel, Sisterhood will be having a “virtual” trip to Israel on Sunday, March 14th, when we will welcome speakers from Masorti who will be taking us on a virtual tour of the Kotel, and will be speaking about the Women of the Wall and their struggle for religious pluralism in Israel. If we can’t actually travel to Israel, this will be the next best thing to being there (without the high cost of a ticket and hotel).
By the time we get back from our “visit” to Israel it will be Spring; Purim will have passed by and it will be time to prepare for the next “big” holiday. With so much to look forward to – who has time for Winter Doldrums! Be in touch with us at firstname.lastname@example.org; looking forward to seeing you on Zoom!
-Debra Schlesinger Weil
Tu B’Sh’vat is January 27-28
FHJC Nursery & Religious School
Plant a Tree for Tu B’Sh’vat
https://my.jnf.org/FHJC-nursery-and-religious-school/Donate/Tickets
Tu B’Sh’vat is the New Year for Trees, and we have partnered with the Jewish National Fund (JNF) to celebrate this holiday. Support the Nursery and Religious schools by visiting our personalized page here to plant one or more trees.
Each tree costs $18.
If not already selected, please select General as the recipient on the page. Family and friends are welcome to participate. Each school has the chance to plant trees in Israel by participating in JNF’s annual tree competition.
Participating schools will be entered for a chance to win two round-trip tickets to Israel, as well as earn cash prizes.
Online tree sales must be completed by Monday, March 1, 2021 to be included in the raffle and to win some great cash prizes!
MARK YOUR CALENDAR!
Saturday night, February 27
7:30PM
It's...
Cough-Free House 2021!
(aka Coffee House)
Live music from your FHJC faves!
Stay tuned for Zoomin' details!
Adult Education is off to a good start for this 2020/2021 study year. We had a wonderful turnout on Zoom for Jay Luger’s opening lecture for the Shabbaton from Home: Our Members Teach series. If you missed it, you may find the recording of this lecture on the FHJC website under the Adult Education heading.
Three lectures are coming up in this series in January, one in February and two in March. Each requires a separate reservation in order to get the Zoom link.
This is all in addition to The FHJC Scholar Lecture Series that replaced the Scholar-in-Residence weekend and is underwritten by the Sevin family in memory of Malvin Peace Sevin. The Hebrew Literature group is meeting one Thursday a month at 5:00 PM. Rabbi Skolnik is teaching Parshat HaShavuah each week on Mondays at 1:30 PM and ShimonYaakov Laxer is teaching on Thursdays.
The most up-to-date information is always in the weekly online eShabbat Shalom.
Judy & Lisa
**Shabbaton from Home**
**Session 3 - Wednesday, January 20, 8:00 PM**
Finding Hope in Text and Tech
Jessica Braginsky, presenter
This evening will bring together text and tech to unlock meaning, creativity, and connection. We will explore Jewish text by using some fun apps. Whether you like tinkering on the internet or are a complete technophobe, if you can click you can enjoy a new way to engage with Jewish learning.
**Session 4 - Saturday, January 30, after havdalah**
The Epic of Mount Tabor
ShimonYaakov Laxer, presenter
Once upon a time, armies of Israelites and Canaanites would clash on the slopes of Mount Tabor, fighting to the death for control of the Jezreel Valley. Shortly after the war, a master-poet and storyteller would take all of this and weave it into The Epic of Mount Tabor, a poem whose greatness matches the grandeur of the events. In this limud, we explore some of the wonders of this ancient epic.
**Session 5 - Saturday, February 20, after havdalah**
Who was Haman, really?
Rabbi Chana Thompson Shor, presenter
What was an Agagite doing in Persia? Why did he expect Mordecai to bow down to him? Learn the surprising answers to these and other questions as we explore the structure and intertextuality of the Book of Esther.
Tuesday,
January 26, 8:00 PM
Virtual Cocktail Lessons
Men’s Club Invites You to Happy Hour at Home!
Join the Mens Club January 26th as we take you into the world of cocktail crafting. You’re going to need some items so take a look below if your bar is stocked accordingly.
In addition to the ingredients, the Men’s Club is asking for a $12 donation to participate with us for what will be a delightful evening of safe imbibing.
Payment for this event will be via PayPal only. Paypal payment should be sent to: email@example.com (Only if you still do not have a PayPal account, we can PayPal invoice you for it.) Please send your request for the participation portion to: firstname.lastname@example.org.
Once we’ve received your donation, you will receive a special Zoom invite. Cheers to another great year!
We hope to see you January 26th!
For questions, please contact the organizer, Peter Taub at email@example.com
MAZAL TOV TO OUR B’NEI MITZVAH
ABIGAIL SARAH CHASE
Bat Mitzvah, February 6, 2021
Abby is very excited to be celebrating her Bat Mitzvah here at FHJC, which she has attended since she was in the toddler class with Morah Rina and Morah Riki. Abby is in seventh grade and is in the Honors Program at Stephen A. Halsey Junior High School. She loves to dance and is on the competitive dance team of All Star Studios, where she has taken a variety of classes since she was three years old. She has performed in numerous recitals and, along with the other students at her dance school, has raised money for Autism Speaks. Abby goes to Camp Perlman in Lake Como, Pennsylvania, and cannot wait to return there this summer. For her Mitzvah project, Abby partnered with an organization, Donate2Dance, and collected used dancewear for individuals in need. Abby enjoys spending time with her friends, family and her cat, Nala.
JACOB SCOTT CHASE
Bar Mitzvah, February 6, 2021
Jacob is very thankful to be celebrating his Bar Mitzvah here at FHJC. He is a seventh grade honor student at Stephen A. Halsey Junior High School and has been attending FHJC his whole life, beginning with the Nursery School. Jacob loves sports, but his true passion is basketball. He was named the Most Valuable Player of the Freshman Basketball Division of the Forest Hills Youth Athletic League during the 2017-18 season and helped his team win the championship twice. He is also on the Travel Basketball Team of Commonpoint Queens. Jacob loves spending time with his friends and family, and riding his scooter, skateboard and bicycle. For his Mitzvah project, Jacob coached young children with special needs at Commonpoint Queens. Unfortunately, when COVID-19 started, he was unable to continue this very meaningful endeavor. However, he soon decided to raise money for The Parkinson’s Foundation to help combat Parkinson’s Disease, an illness his grandfather suffered from for several years. Jacob would like everyone to know that he is the older twin, by one minute.
2021 Forest Hills Jewish Center Gala
honoring
Rabbi Gerald & Robin Skolnik
As our Rabbi, Rabbi Skolnik has shepherded generations of families through every stage of life - joyous and sad - from baby namings and brit milah, to Bar and Bat Mitzvah, weddings and finally funerals. In these, our most emotionally intense moments, Rabbi Sklonik has touched our lives forever. The babies he named and welcomed to our tribe, the young men and women whom he blessed on the bima as B’nei and B’not Mitzvah, the brides and grooms who stood nervously before him under the chuppah, and the people he embraced as they buried loved ones - all are an unending testimony to the impact of these 40 years of his remarkable career.
Please consider honoring Rabbi Skolnik in our celebratory journal with a Simcha listing. Visit www.FHJC.org/Journal to add your occasion to our Simcha listing.
Ilana Altman, Carl Koerner, Howard Pollack and Mark Raphael, Gala Journal Chairs
Chag Tu B'Sh'vat Sameach
January 27-28
De-Stress with FHJC
Mondays, 5:00 pm via Zoom
Warm company and professional support from Mitchell Frank and Ariela Frieder.
Come share your concerns and hopes.
See the FHJC listserv for the link.
Schedule of Services
Unless otherwise indicated, our current schedule of services is as follows:
Ma'ariv, Tuesday, Thursday -- In-Person (By RSVP) and Zoom, 7:30 PM
Limud, Sunday, Monday, Wednesday evenings -- Zoom, 7:30 PM
Friday Kabbalat Shabbat, Zoom, 5:45 PM
Shabbat Morning, In-Person (By RSVP), Zoom, 9:30 AM
Havdalah, Zoom, See Calendar
All events/classes will meet on Zoom unless otherwise noted.
Schedule of Services
Unless otherwise indicated, our current schedule of services is as follows:
**Ma’ariv**, Tuesday, Thursday -- In-Person (By RSVP) and **Zoom**, 7:30 PM
**Limud**, Sunday, Monday, Wednesday evenings -- **Zoom**, 7:30 PM
**Friday Kabbalat Shabbat**, **Zoom**, 5:45 PM
**Shabbat Morning**, In-Person (By RSVP), **Zoom**, 9:30 AM
**Havdalah**, **Zoom**, See Calendar
All events/classes will meet on Zoom unless otherwise noted.
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### February 2021 ~ Sh’vat-Adar 5781~
| Sun | Mon | Tue | Wed | Thu | Fri | Sat |
|-----|-----|-----|-----|-----|-----|-----|
| | | | | | | |
| 1 | 2 | 3 | 4 | 5 | 6 | |
| 19th of Sh’vat
1:30pm Par’shat Hashavua Study with Rabbi Skolnik (Zoom)
5pm De-stress with Mitchell Frank and Ariela Frieder
7:30pm Limud (Zoom)
20th of Sh’vat
2pm Sisterhood Woolgatherers
7:30pm Limud (Zoom)
21st of Sh’vat
2:15pm Online Limud with ShimonYaakov Laxer
4:30pm The Good Place (Zoom)
7:30pm Limud (Zoom)
22nd of Sh’vat
12pm Study with ShimonYaakov
7:30pm Limud (Zoom)
23rd of Sh’vat
10:30am Study with ShimonYaakov
5:01pm Candle Lighting
5:45pm Kabbalat Shabbat (Zoom)
24th of Sh’vat
B’nai Mitzvah of Jacob and Abigail Chase
Parashat Yitro
Shabbat Mevarchim Chodesh Adar
9:30am Shabbat Services (Zoom/In Person by RSVP)
5:55pm Limud and Havdallah (Zoom) |
| 7 | 8 | 9 | 10 | 11 | 12 | 13 |
| 25th of Sh’vat
7:30pm Limud (Zoom)
26th of Sh’vat
1:30pm Par’shat Hashavua Study with Rabbi Skolnik (Zoom)
5pm De-stress with Mitchell Frank and Ariela Frieder
7:30pm Limud (Zoom)
27th of Sh’vat
2pm Sisterhood Woolgatherers
7:30pm Limud (Zoom)
28th of Sh’vat
4:30pm The Good Place (Zoom)
7:30pm Limud (Zoom)
8pm Parenting Workshop
29th of Sh’vat
12pm Study with ShimonYaakov
7:30pm Limud (Zoom)
30th of Sh’vat
Rosh Chodesh Adar
10:30am Study with ShimonYaakov
5:10pm Candle Lighting
5:45pm Kabbalat Shabbat (Zoom)
1st of Adar
Parashat Mishpatim
Rosh Chodesh Adar
Shabbat Shekalim
9:30am Shabbat Services (Zoom/In Person by RSVP)
6:05pm Limud and Havdallah (Zoom) |
| 14 | 15 | 16 | 17 | 18 | 19 | 20 |
| 2nd of Adar
7:30pm Limud (Zoom)
3rd of Adar
Building Closed
1:30pm Par’shat Hashavua Study with Rabbi Skolnik (Zoom)
5pm De-stress with Mitchell Frank and Ariela Frieder
7:30pm Limud (Zoom)
4th of Adar
2pm Sisterhood Woolgatherers
7:30pm Limud (Zoom)
5th of Adar
4:30pm The Good Place (Zoom)
7:30pm Limud (Zoom)
6th of Adar
12pm Study with ShimonYaakov
7:30pm Limud (Zoom)
7th of Adar
10:30am Study with ShimonYaakov
5:18pm Candle Lighting
5:45pm Kabbalat Shabbat (Zoom)
8th of Adar
Parashat Terumah
Shabbat Zachor
9:30am Shabbat Services (Zoom/In Person by RSVP)
6:15pm Limud and Havdallah (Zoom)
7pm Shabbaton from Home, Rabbi Chana Thompson Shor (Zoom) |
| 21 | 22 | 23 | 24 | 25 | 26 | 27 |
| 9th of Adar
3pm Trivia with Sisterhood and Men’s Club
7:30pm Limud (Zoom)
10th of Adar
1:30pm Par’shat Hashavua Study with Rabbi Skolnik (Zoom)
5pm De-stress with Mitchell Frank and Ariela Frieder
7:30pm Limud (Zoom)
11th of Adar
2pm Sisterhood Woolgatherers
7:30pm Limud (Zoom)
12th of Adar
4:30pm The Good Place (Zoom)
7:30pm Limud (Zoom)
13th of Adar
Erev Purim
Ta’anit Esther
12pm Study with ShimonYaakov
Erev Purim: Megillah Reading
7:30pm Limud (Zoom)
14th of Adar
Megillah Reading
10:30am Study with ShimonYaakov
5:26pm Candle Lighting
5:45pm Kabbalat Shabbat (Zoom)
15th of Adar
Parashat Tetzaveh
9:30am Shabbat Services (Zoom/In Person by RSVP)
6:20pm Limud and Havdallah (Zoom)
7pm Cough-Free House (Zoom) |
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Purim is Coming!
February 25-26
Watch for details about this year's Mishloach Manot
HEBREW LITERATURE GROUP
The Hebrew Literature Group has continued to meet on Zoom through these months of COVID. We’ve taken advantage of meeting on a weekday instead of Shabbat by combining text study with listening to music. Our text selections these past months have either been classic texts put to music or lyrics to contemporary songs. We’ve had sessions devoted to songs taken from Shir HaShirim (the Biblical Song of Songs), poems of Yehudah HaLevi that have been put to music, as well as modern Israeli songs. In our most recent meeting we listened to Hanukkah songs in Hebrew, Yiddish and Ladino, a few of them with fascinating musical back stories. We’ve had guest presenters – David Silberfeld (Former organizer of the Hebrew Lit Group and now living in Miami) co-presented the session on Yehudah HaLevi and Ruth Baran co-presented our recent Hanukkah fest, providing backdrops to the Yiddish and one of the Ladino selections and singing live one of the Ladino songs. In short, the Hebrew Literature Group is active and thriving! Our next meeting will be via Zoom (link to be provided at a later date) on Thursday, January 21, 2021, at 5:00 pm. Sessions last about an hour or a bit more. You don’t need to be conversant in Hebrew to participate and enjoy. Texts are in Hebrew with English translation, and discussion is in English. One of the greatest miracles of Jewish history is the revival of our ancient language. In the Hebrew Literature Group we participate in that miracle, and read texts as ancient as the psalms and as modern as yesterday. Come join us!
Mitchell Frank
WEEKLY ONLINE LEARNING
ShimonYaakov Laxer
Our weekly Isaiah Havura continues to go strong! We just recently finished a unit that we’ve been working on for some time; Chapters 7–12, a section which includes the oracles that Isaiah delivered during the infamous Syro-Ephramite Crisis of the 730s BCE. This was a hugely impactful episode, when the growing threat of the ever-expanding Assyrian Empire sent the smaller kingdoms throughout the ancient near east panicking. It was during this crisis that Isaiah would optimistically look forward to a moment when a heroic, kingly figure from the royal-Davidic line would one day usher in an era of total peace, such that even predator and prey (wolf and lamb) would be able to lie together in tranquility (chapter 11).
We have since jumped ahead to chapter 24, which begins a section called Isaiah’s Apocalypse. The author of this section, which might not have been Isaiah himself, is one of the most playful of poets in the TaNaKh, relishing opportunities to play around with words and sounds as he describes in vivid detail what the totality of humankind has to look forward to if we bring the wrath of the Almighty upon us. (Spoiler alert – It’s not pleasant!) While we’ve been meeting on Friday mornings for awhile, our schedule might change moving forward. For anyone with an interest in joining, please feel free to email me for more information as well as for final updates to the schedule, at firstname.lastname@example.org.
SURJE: Standing Up for Racial Justice & Equity
Interested in participating in (or even leading) community conversations about racial justice in a Jewish context? SURJE is currently developing an exciting new project to help make our community more welcoming and inclusive! We recently received a competitive grant from the UJA to help us better implement long-term structural change as an organization working on racial justice. Beginning in February, we are bringing in a talented, Jewish Diversity, Equity, and Inclusion (DEI) consultant who will train a cadre of FHJC members from nearly every demographic in the shul. These trained facilitators will spend the month of March leading their own community conversations, reaching every member of the shul, from Nursery School parents to clergy. Rooted in Jewish text and themes, these conversations will be an opportunity to connect with and learn from each other in unique ways. A flyer and schedule of events will be released in the coming weeks. If you’re interested in being a leader in this project, and participating in a unique training opportunity, please contact us at email@example.com. No matter your skills or knowledge, we each have a voice in creating a community that is welcoming to all types of people from all walks of life.
Sisterhood woolgatherers
Tuesdays at 2:00 PM, via Zoom
Email firstname.lastname@example.org to receive the Zoom link.
Acknowledgements
PULPIT FUND
Helen Newton – in honor of Helaine & Joe Fox
Leora Rezak – in honor of Nira Avidor
Esther Wolberger- in memory of Malka Jagendors
Marian & Martin Krasilovsky – in memory of Harry Krasilovsky
Marian & Martin Krasilovsky – in memory of Irving Thorner
Esther Wolberger – in memory of her beloved sister, Shoshana Strauss
Cindy & Ami Megiddo – in memory of Mark Weinblatt’s mother, Eileen Weinblatt
Romi Narov- in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Marian & Martin Krasilovsky – in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Joanne & Haskell Klaristenfeld - in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Joanne & Haskell Klaristenfeld - in memory of Hilda Chusid’s mother, Greta Mares
Jeremy Loewenberger – in memory of Bradley Chain
Barbara Finkel – in memory of Ruth Goldschmidt
Tikva, Zahava, Hanna & Dorothy Mahlab – in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Monica, Ezra, Caroline & Evelyn Lagnado – in memory of Jenny Friedlich (16th yahrzeit)
Rita & Michael Lieberman – in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Marian & Martin Krasilovsky – in memory of Norman Fassler’s brother Leonard Fassler
YOUTH ACTIVITIES FUND
Rae & Gary Kerzner – in honor of the birth of their grandson, Zeke Theise Firestone
Romi Narov – in honor of the birth of Rae & Gary Kerzner’s grandson, Zeke Theise Firestone
Nancy Chase –in memory of her mother, Barbara Berkson (yahrzeit)
Pauline & Mark Raphael – in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Tikva, Zahava, Hanna & Dorothy Mahlab – in memory of their dear friend, Bernie Berko
Monica Lagnado – with appreciation to Judy Beizer for honors received
Pauline & Mark Raphael – in memory of Murray Miller
Pauline & Mark Raphael – in memory of Leonard Fassler
JACK VOGEL FUND
Rita & Michael Lieberman – in memory of Nicole & Adam Malitz’ grandmother, Jack’s great-grandmother, Martha Drossman
HAZZAN’S MUSIC FUND
Judy & David Zipkowitz – in honor of Ben Leeman’s special birthday
RELIGIOUS SCHOOL DONATION
Lottie & Henry Burger – in memory of Jerry Klibanoff’s brother, Dr. Edward Klibanoff
Sisterhood Day Time Readers Presents THE HENNA ARTIST by Alka Joshi
Thursday, January 21, 2021 - 2:00 PM (Zoom)
Email email@example.com to receive the Zoom link.
Trivia with Sisterhood and Men’s Club
Sunday, February 21 - 3 PM (ZOOM)
Get ready to play trivia on Zoom with Jessica Braginsky, Director of Education and Engagement, for fun and prizes.
Registration Opens for FHJC Nursery
We are so excited to announce that it is registration time for the 2021-2022 school year at FHJC!
As the current school year continues and we watch the children thrive at school, we are looking forward to filling the halls with more smiling faces while still adhering to all COVID health and safety protocols.
PLEASE NOTE: We are offering the 2020-2021 tuition rates to those who register by February 28, 2021.
Please email firstname.lastname@example.org for further information.
Life Cycles
Mazal Tov
...to those in our Center family who are celebrating a simcha:
to Roz Feuer on the marriage of her granddaughter Alison to Matt Borkonsky
to Nancy and Richard Chase on the B’nei Mitzvah of their children, Abigail and Jacob
to Rae Theise-Kerzner and Gary Kerzner on the birth of their grandson, Zeke Theise Firestone
to Fern & Paul Karchawer on the birth of their grandson, Miles
to Rita & Michael Lieberman on the birth of their grandson, Levi Max Ellman
to Lottie & Henry Burger on the birth of their great grandson, Levi Max Ellman
Hamakom Y’nahem
...may God grant comfort and consolation to those who have lost a loved one:
Jerry Klibanoff in memory of his dear brother, Edward Klibanoff
Heidi & Herbert Chain in memory of their dear son, Bradley Chain
Norman Fassler in memory of his dear brother, Leonard Fassler
We mourn the loss of our dear Center members:
Bernie Berko
Harold Bloom
Ruth Goldschmidt
Dr. Murray Miller
May their memories be for a blessing
Mazal Tov to our Gimmel students and their families on receiving their first siddur!
Aaron Chays
Naomi Fisher
Maddy Hellman
Jordan Melzer-Mitchell
Hailey Pollack
Melissa Pollack
Benjamin Rubenstein
Nora Stern
Ezra Wolf
Eitan Yavelberg
Be Happy, It’s Adar!
PURIM
Thursday evening, February 25
Friday, February 26
Watch for Megillah Reading Info!
The Good Place Watch Party
Wednesdays, 4:30 PM via Zoom
Watch an episode of The Good Place with your FHJC friends. We begin with a recap, so you can join in even if you have never watched the show before. And if you have, it’s even funnier the second time.
See online calendar for Zoom link or click here.
Kim F. Trigoboff
Attorney at Law
Wills | Guardianships | Estate Planning
Medicaid, Special Needs and Disability Planning
Probate and Estate Administration
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New York, NY 10036
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Navigating Choppy Waters
China’s Economic Decisionmaking at a Time of Transition
AUTHORS
Matthew P. Goodman
David A. Parker
A Report of the CSIS Simon Chair in Political Economy
Navigating Choppy Waters
China’s Economic Decisionmaking at a Time of Transition
AUTHORS
Matthew P. Goodman
David A. Parker
A Report of the CSIS Simon Chair in Political Economy
March 2015
CSIS | CENTER FOR STRATEGIC & INTERNATIONAL STUDIES
ROWMAN & LITTLEFIELD
Lanham • Boulder • New York • London
About CSIS
For over 50 years, the Center for Strategic and International Studies (CSIS) has worked to develop solutions to the world’s greatest policy challenges. Today, CSIS scholars are providing strategic insights and bipartisan policy solutions to help decisionmakers chart a course toward a better world.
CSIS is a nonprofit organization headquartered in Washington, D.C. The Center’s 220 full-time staff and large network of affiliated scholars conduct research and analysis and develop policy initiatives that look into the future and anticipate change.
Founded at the height of the Cold War by David M. Abshire and Admiral Arleigh Burke, CSIS was dedicated to finding ways to sustain American prominence and prosperity as a force for good in the world. Since 1962, CSIS has become one of the world’s preeminent international institutions focused on defense and security; regional stability; and transnational challenges ranging from energy and climate to global health and economic integration.
Former U.S. senator Sam Nunn has chaired the CSIS Board of Trustees since 1999. Former deputy secretary of defense John J. Hamre became the Center’s president and chief executive officer in 2000.
CSIS does not take specific policy positions; accordingly, all views expressed herein should be understood to be solely those of the author(s).
© 2015 by the Center for Strategic and International Studies. All rights reserved.
ISBN: 978-1-4422-4078-0 (pb); 978-1-4422-4079-7 (eBook)
Contents
List of Acronyms v
Acknowledgments vii
Executive Summary viii
1. Introduction: China’s New Economic Navigators 1
2. China’s Economy at an Inflection Point 5
The Chinese Economic Miracle 5
The Need for a New Growth Model 9
The Third Plenum Reform Agenda 11
3. China’s Economic Policymaking Apparatus 13
The Communist Party 14
The State Council 16
Operational Consequences 19
Structural Changes under Xi Jinping 20
4. Traditional Characteristics of Chinese Economic Policymaking 22
Coordination Challenges 22
Center-Local Relations 24
Experimentation 25
External Pressure 26
5. Decisionmaking in the Financial Sector 28
Introduction 28
The Evolution of China’s Financial System 32
China’s Financial Regulatory Institutions 39
Case Studies 44
The Xi Administration’s Approach to Financial Reform 63
6. Assessing Policymaking under Xi Jinping 68
Centralized Economic Decisionmaking 68
Fragmented Policy Implementation 70
Comprehensive, Inconclusive 73
7. Implications for Chinese Economic Reform 76
China’s Economic Challenges and the Imperative of Reform 76
Implications of the Xi Administration’s Policymaking Style 78
Obstacles to Successful Implementation 80
Progress Likely, but Risks Abound 82
8. Recommendations for the U.S. Government 84
Engaging with China 85
Organizing the U.S. Government 92
Appendix I: The Comprehensively Deepening Reform Leading Small Group 95
Appendix II: The Central Finance and Economics Leading Small Group 97
Appendix III: China’s Formal Government Structure 99
Appendix IV: Major Regular Events in the CCP Political Cycle and the National Five-Year Plan 101
Appendix V: Key Meetings in China’s Policymaking Calendar 103
About the Authors 107
| Acronym | Description |
|---------|-------------|
| AIIB | Asian Infrastructure Investment Bank |
| AML | Anti-Monopoly Law |
| APEC | Asia-Pacific Economic Cooperation |
| BIT | Bilateral Investment Treaty |
| CBRC | China Banking Regulatory Commission |
| CCOD | Central Committee Organization Department |
| CCP | Chinese Communist Party |
| CDIC | Central Discipline Inspection Commission |
| CDRLSG | Comprehensively Deepening Reform Leading Small Group |
| CFELSG | Central Finance and Economics Leading Small Group |
| CFIUS | Committee on Foreign Investment in the United States |
| CFWC | Central Financial Work Commission |
| CIRC | China Insurance Regulatory Commission |
| CSRC | China Securities Regulatory Commission |
| CPPCC | Chinese People’s Political Consultative Conference |
| FDI | Foreign Direct Investment |
| FTAAP | Free-Trade Area of the Asia-Pacific |
| FTZ | Free-Trade Zone |
| G20 | Group of 20 |
| GDP | Gross Domestic Product |
| IMF | International Monetary Fund |
| ISDS | Investor-State Dispute Settlement |
| JCCT | Joint Commission on Commerce and Trade |
| LSG | Leading Small Group |
| LGFV | Local Government Financing Vehicle |
| MIIT | Ministry of Industry and Information Technology |
| MOF | Ministry of Finance |
| MOFCOM | Ministry of Commerce |
| NDRC | National Development and Reform Commission |
| NSA | National Security Adviser |
| NSC | National Security Council |
| PBOC | People’s Bank of China |
| PBSC | Politburo Standing Committee |
| RMB | Renminbi |
| Acronym | Description |
|---------|-------------|
| S&ED | Strategic and Economic Dialogue |
| SAFE | State Administration of Foreign Exchange |
| SHIBOR | Shanghai Interbank Offer Rate |
| SLF | Standing Lending Facility |
| SLO | Standing Liquidity Operations |
| SMEs | Small and Medium-Sized Enterprises |
| SOE | State-Owned Enterprise |
| TPP | Trans-Pacific Partnership |
| UNFCCC | United Nations Framework Convention on Climate Change |
| WTO | World Trade Organization |
Acknowledgments
This report is the result of a two-year project by the CSIS Simon Chair in Political Economy, with assistance from the CSIS Freeman Chair in China Studies. Through intensive research drawing on primary and secondary materials in Chinese and English, as well as numerous research trips to Beijing, Shanghai, and Hong Kong, roundtables, public events, and over 100 interviews with current and former economic policymakers, academics, think-tank experts, journalists, and other analysts both within and outside China, we sought to analyze and assess the institutions and processes of economic decisionmaking in China at a time of challenging economic and political transition.
The authors are extremely grateful for the invaluable time and insights we received from all of our interlocutors. Special thanks go to the following individuals who met with us several times over the course of the two years and provided critical insights:
Kenneth Lieberthal
Nicholas Lardy
Olin Wethington
Dan Wright
Zhang Bin
Jin Ligang
Barry Naughton
Kevin Nealer
Simon Rabinovitch
Dinny McMahon
Ye Yu
Zhang Haibing
He Fan
David Dollar
Jamil Anderlini
Li Xinxin
William A. Reinsch
Claire Reade
We would like to thank the Smith Richardson Foundation for providing the generous funding that first enabled this project, as well as Alcoa Foundation, the Japan External Trade Relations Organization, and the GE Foundation, whose additional support helped see it through to completion.
The authors would like to acknowledge with appreciation the invaluable assistance of our colleagues at CSIS: Chris Johnson, Freeman Chair in China Studies, for his ever-sharp insights into the dynamics of China’s new leadership; Grace Hearty, Simon Chair program manager, for her tireless administrative support; Amy Studdart, Simon Chair deputy director, for her assistance in structuring and reviewing the final report; and Bonnie Glaser and Scott Kennedy of the Freeman Chair for their assistance in its final review; as well as our colleagues in the CSIS Publications Department, led by James Dunton and Alison Bours, for their editing and design work. Any errors that remain are our own.
We would also like to thank CSIS Simon Chair interns Xinyi Yang, Daniel Sofio, Daniel Remler, Alyssa Briggs, Ted Liu, Mikael Lindfors, Zheng Zhu, Laiyin Yuan, and Curtis Yibing Che, all of whom provided able research assistance throughout this project.
After 35 years of spectacular growth, the Chinese economy is in a challenging transition. The old model of subsidized finance, massive investment in low-end manufacturing, and export-led growth that propelled China to its current position as the world’s second-largest economy is no longer sustainable. Acknowledging a “new normal” of slower growth, Beijing’s leadership team of President Xi Jinping and Premier Li Keqiang has put economic reform at the core of their agenda since assuming office in early 2013. By the end of their first year, they had launched an ambitious reform plan designed to rebalance the Chinese economy toward a new consumption-led growth model, with the market playing a “decisive” role in resource allocation.
But despite their predecessors’ highly successful management of the economy, it remains to be seen whether China’s policymakers today have the “right stuff” to navigate this difficult transition. The economic challenges themselves are of a nature and degree unseen before. Few countries have escaped the so-called middle-income trap that China faces today. The demands on economic policy have burgeoned from a single-minded focus on growth to a multitude of goals including clean air, clean government, and greater equality. Moreover, China’s political economy has become increasingly pluralized over the past decade; the range of actors competing to influence economic policy, from state-owned enterprises to environmental activists, has proliferated. All of this makes economic reform both more important and more challenging than at any time since Deng Xiaoping launched the “reform and opening” strategy in 1979.
This project was conceived in response to this uncertainty. Its focus has been on exploring the institutions and processes of economic decisionmaking in China, in an effort to assess the prospects for meaningful reform and a successful transition to a new model of sustainable economic growth. We have put special emphasis on financial reform, both because this is an area of central importance in China’s overall reform agenda and because it usefully highlights the institutional dynamics of China’s economic decisionmaking. The fundamental question underlying this study is whether China’s current economic decisionmakers will be able to steer the world’s second-largest economy toward a new model of sustainable growth.
The answer to this question carries enormous significance for the United States. Whether Beijing succeeds or fails in its efforts, China’s economic trajectory in coming years will have a substantial impact on the prospects for U.S. and global growth, as well as on broader American interests in the Asia-Pacific region and the world.
After two years of research, our answer to whether China’s current crop of policymakers will be able to navigate a challenging economic transition is a qualified yes.
Contrary to initial expectations, Xi Jinping has emerged as the most powerful Chinese leader since Deng Xiaoping. He has demonstrated an impressive command over the levers of power in China’s Communist Party-led political system, from personnel to propaganda, as well as a keen sense of political stagecraft. He has reorganized the structure of the Chinese policymaking apparatus to position himself at its apex and center. In November 2013, at the landmark Third Plenum of the 18th Communist Party Central Committee, he put his personal capital behind a sweeping economic and social reform agenda designed to give markets “a decisive role in resource allocation” and to achieve the goal of turning China into a “moderately prosperous society” by 2020.
Through these and other actions, Xi has demonstrated a rapid, opaque, and personalized style of decisionmaking designed to reassert centralized control over economic policymaking and allow experts in Beijing to design and drive a “top-level design” of reform. At the same time, he is using traditional tools of experimentation, incentives to direct local economic actors, and external pressure to advance a comprehensive reform agenda that in many respects echoes successful reform drives of past eras. While there are weaknesses and contradictions in his approach, we assess that Xi’s efforts so far have increased the likelihood of achieving the self-declared objective of “major progress” on the ambitious Third Plenum reform agenda by 2020. This is in spite of strong resistance from vested interests and an implementation process that has been uncertain, uncoordinated, and, in many respects, unenthusiastic on the part of the bureaucracy and local governments.
There are risks to this outlook. These range from the potential negative side effects of Xi’s centralization of power to the consequences of an intensive anticorruption campaign on the willingness of local officials to implement market-oriented reforms. There is also an underlying tension that animates China’s economic reform agenda. The same administration that has proposed giving the market “a decisive role in resource allocation” and is seeking to build an “innovative society” is overseeing the most severe crackdown on the free flow of ideas and information within China in over two decades. It would seem, in other words, that Xi is on track to test whether there truly is a contradiction between authoritarian Party politics and the “modern, harmonious, and creative high-income society” that Beijing hopes to build.
Against this fluid and uncertain backdrop, Washington needs a new mindset in dealing with the China of 2015 and beyond. China poses unique risks, challenges, and opportunities for the United States; no foreign nation will have more impact on U.S. economic, security, and diplomatic interests over coming decades. Accordingly, and in light of the economic decisionmaking dynamics in China described in this study, the report concludes with a dozen specific recommendations for the U.S. government on how best to engage with China on economic issues and how to organize itself better to do so. The starting point is to lead from strength, by getting America’s own economic house in order and mobilizing an all-out effort to manage the challenges and opportunities of a rising China.
This project began in the spring of 2013, just as China completed its once-in-a-decade leadership transition. As Xi Jinping and Li Keqiang assumed their official roles as president and premier, respectively, it was a time of major economic and political uncertainty.
The previous year, the economy had grown only 7.7 percent in real terms, at the time its lowest rate of expansion since 1999. The Chinese growth model, in the famous words of former premier Wen Jiabao, was “unstable, unbalanced, uncoordinated, and unsustainable.”¹ Intensified by an enormous 2009 stimulus package, deployed in response to the global financial crisis, the country’s economic imbalances were becoming more apparent by the day: years of overinvestment had led to endemic industrial overcapacity and ghost cities rising up in the midst of deserts; debt levels were exploding, outpacing even the still-breakneck rate of economic growth; and, just as China’s working-age population was scheduled to begin a long period of decline, productivity growth was slowing. Despite promises of a managed slowdown, intense anxiety swirled across the pages of the international press, as experts debated whether the world’s second-largest economy—and the single-largest driver of global growth for over a decade—might soon face a hard landing.
It was clear that a major economic reform push was essential to securing China’s future growth. As a major World Bank study released in 2012 emphasized, without reform China could well find itself stuck in the “middle-income trap,” in which the benefits of surplus labor dwindled before China could compete with advanced countries in high-value-added production.² To avoid this and address the imbalances described above, Beijing would have to engineer a difficult shift away from the investment- and export-led growth model of the past, and toward a new domestic consumption-led growth model, with the service sector as its primary driver. However, the “soft” reforms required to achieve this—such as modernizing China’s regulatory systems and public services, and allowing more market-based
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1. “Premier: China confident in maintaining economic growth,” Xinhua, March 16, 2007, http://news.xinhuanet.com/english/2007-03/16/content_5856569.htm.
2. World Bank and Development Research Center of the State Council, People’s Republic of China, *China 2030: Building a Modern, Harmonious, and Creative Society* (Washington, DC: World Bank, 2013), http://www.worldbank.org/content/dam/Worldbank/document/China-2030-complete.pdf.
resource allocation—were complex, contested, and far reaching. Whether or not China’s new leaders would be capable of delivering was far from clear.\(^3\)
Meanwhile, the Bo Xilai scandal that broke in early 2012 marked the most severe political disturbance that the top levels of Communist Party power had seen in decades. Ascending to leadership in the scandal’s wake, the Xi-Li duo was widely expected to be handicapped from the start. Not only would Xi and Li be forced to work within the norms of consensus-based decisionmaking that had produced policy paralysis under their predecessors, but in the context of a newly intensified imperative within the party for its leaders to seek stability above all else.
Moreover, Xi and Li entered office facing a more pluralized political economy than any previous generation of Chinese leaders. Hu and Wen had overseen a decade’s proliferation of vested interests, from sprawling state-owned firms to corrupt local governments, and the rise of new interest groups, including China’s “netizens,” industry associations, and environmental activists. All of these actors (and others) had become adept at inserting their interests into the policymaking process, for example, by exploiting cleavages across China’s stove-piped state bureaucracy. This had exacerbated China’s traditional coordination challenges, and contributed to the policy paralysis of the Hu-Wen era.
The broader array of demands facing Xi and Li reflected this pluralized political economy and illustrated the clear imperative to shift toward a new model of growth. For three and a half decades, growth had provided a unifying goal for Chinese leaders, officials at all levels of government, and the Chinese people to unite around. By 2012, the consequences of China’s breakneck development had shattered this consensus. In the face of severe pollution of China’s air, soil, and waterways, rising inequality and pervasive local corruption, and a string of high-profile safety scandals over food and consumer goods, the Chinese public had begun to demand more: not only growth, but clean air, clean government, and greater equality. These were goods less easily supplied through quantitative targets and rapid investment. They would require enhancing China’s “soft infrastructure,” such as its regulatory and public services systems, and overcoming the powerful vested interests that benefited from the status quo. Against this backdrop, prospects for the Xi administration to achieve major reform seemed slim.
Today the picture is markedly different: contrary to almost all initial expectations, Xi Jinping has now emerged as the most powerful Chinese leader since Deng Xiaoping. Demonstrating an impressive command over the levers of party power, from personnel to propaganda, and a keen sense of political stagecraft, Xi has reorganized the structure of the Chinese policymaking apparatus to position himself at its apex and center. In November 2013, at the landmark Third Plenum of the 18th Central Committee of the Chinese Communist Party (CCP), he put forward and personally backed a sweeping reform agenda
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3. Dhara Ranasinghe, “Reform With Zeal—Can China’s New Leadership Deliver?” CNBC, November 8, 2012, http://www.cnbc.com/id/49705797.
designed to give markets “a decisive role in resource allocation”\(^4\) and achieve the goal of turning China into a “moderately prosperous society.”\(^5\) In the same move, he engineered a restructuring of China’s economic policymaking apparatus, shifting the locus of decision-making into new party institutions—chaired by Xi and staffed by trusted advisers—and out of the hands of China’s gridlocked state bureaucracy. In a further sign of his confidence, conviction, and continued consolidation of power, Xi has also overseen the most intensive and sustained anticorruption drive in over two decades, going so far as to purge from the Communist Party ranks a former member of the elite Politburo Standing Committee, onetime security czar Zhou Yongkang.
None of this guarantees that Xi and China’s current policymakers will be able to navigate the economic rapids ahead to deliver a “new normal” of strong, sustainable, and balanced growth.\(^6\) Just as the Third Plenum reform package is impressive in its scope, it is daunting in its technical complexity and sheer ambition. It provides a powerful reminder that for all the rapidity of its ascent on the world stage, China remains very much a developing country in many important respects. It is still struggling to guarantee its people access to such basic goods as safe food and clean water, even as it pursues its vision of creating world-class Chinese companies in sectors from biotechnology to cloud computing.
Moreover, there is a deep tension at the heart of China’s economic reform agenda. The same administration that has proposed giving the market “a decisive role in resource allocation” and is seeking to build an “innovative society” is also tightening political control and overseeing the most severe crackdown on the free flow of ideas and information in over two decades. Much hinges on how the current crop of party leaders can manage this fundamental tension, as they continue their pursuit of the “China Dream” of the “great rejuvenation of the Chinese nation.”\(^7\)
This project focuses on a small part of this story, but one vital to the future of the whole: the processes and institutions of Chinese economic policymaking. Against the backdrop of a pluralized political economy and facing a broader array of policy objectives, Chinese economic decisionmakers must address a more complex set of challenges than ever before. This report assesses whether the country’s decisionmakers, its policymaking processes,
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4. For the Chinese-language version of the Third Plenum resolutions, see “授权发布：中共中央关于全面深化改革若干重大问题的决定,” Xinhua, November 15, 2013, http://news.xinhuanet.com/politics/2013-11/15/c_118164235.htm. For an English translation, see Rogier Creemers, “CCP Central Committee Resolution Concerning Some Major Issues in Comprehensively Deepening Reform,” China Copyright and Media, November 15, 2013, https://chinacopyrightandmedia.wordpress.com/2013/11/15/ccp-central-committee-resolution-concerning-some-major-issues-in-comprehensively-deepening-reform/.
5. “Full text of Hu Jintao’s report at 18th Party Congress,” English.news.cn, November 17, 2012, http://news.xinhuanet.com/english/special/18pcnc/2012-11/17/c_131981259_4.htm.
6. Xi Jinping first introduced the “new normal” during a May 2014 inspection tour in Henan Province. A Xinhua backgrounder on the subject describes the “new normal” as “not just about speed . . . [but] an improved economic structure which relies more on the tertiary industry and consumption demand, and innovation.” From “Xi’s ‘new normal’ theory,” Xinhua, November 9, 2014, http://news.xinhuanet.com/english/china/2014-11/09/c_133776839.htm.
7. “Xi pledges ‘great renewal of Chinese nation,’” Xinhua, November 29, 2012, http://news.xinhuanet.com/english/china/2012-11/29/c_132008231.htm.
and its institutions—after 35 years of spectacular success—are still well suited to carry out the difficult transition to a new model of strong, sustainable, and balanced growth.
This study is designed to complement the considerable work that many talented analysts have done on China’s economic challenges. It does not attempt to provide a quantitative assessment of the Chinese economy’s growth trajectory, nor does it focus on the substance of economic reform; instead it explores the institutional dynamics of economic decisionmaking. As China’s Communist Party leadership seeks to implement the most ambitious economic reform agenda in decades, these institutional dynamics will play a critical role. Specifically, they will have an important bearing on whether Chinese leaders can implement comprehensive reform without triggering the wracking political and economic instability that so many other developing and transitional economies have endured in the past.
Whether or not China’s economic “navigators” can manage this transition will have enormous implications not only for 1.36 billion Chinese but also for the United States. Key U.S. economic and security interests are at stake in China’s reform agenda. U.S. growth and employment increasingly depend on the pace and quality of growth in the world’s second-largest economy. Moreover, in addition to China’s growth, Beijing’s approach to economic reform will shape U.S. economic interests and policy responses. For example, greater service sector liberalization and fairer treatment of foreign enterprises will likely strengthen the cooperative aspects of the U.S.-China relationship, while industrial policy, ideological campaigns, and information control will likely fuel the competitive aspects. Beijing’s success or failure at economic reform will also inevitably shape its behavior in the Asia-Pacific region and beyond, with important implications for U.S. foreign policy interests.
The Chinese Economic Miracle
REFORM AND OPENING, 1978–1989
At the start of “reform and opening” in 1978, China had a gross domestic product (GDP) of only $148.2 billion, and a GDP per capita of $155. By the end of 2013, the Chinese economy was 25 times as large in real terms, and GDP per capita had passed $6,500, placing China within the ranks of upper-middle-income economies.\(^1\) Enabled by a combination of smart politics and favorable economics, this enormous transformation lifted more than 600 million people out of poverty\(^2\) and made China the second-largest economy and single-largest trading nation in the world.
Alongside the structural advantages of cheap labor, high savings and investment rates, and open and expanding export markets, incentives are central to understanding this miraculous growth: it was by craftily aligning China’s people and policymakers behind the overarching goal of growth that Deng Xiaoping and his successors made possible the country’s miraculous economic transformation.
The first green shoots of a market economy first emerged in the Chinese countryside, following the landmark Third Plenum of the 11th Central Committee of the CCP in 1978.\(^3\) Previously, the Chinese state and economy were inseparable: guided by broad five-year plans developed by the State Planning Commission, the government determined the allocation of resources, set production quotas, and managed the distribution of goods. At the Third Plenum, the decision was made to “give farmers a chance to catch their breath” by reducing overambitious production targets, which, accompanied by an overall relaxing of
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1. These figures are from the World Bank’s “World Development Indicators” and are calculated in current U.S. dollars. The World Bank DataBank, http://databank.worldbank.org/data/home.aspx.
2. World Bank, “Results Profile: China Poverty Reduction,” March 19, 2010, http://www.worldbank.org/en/news/feature/2010/03/19/results-profile-china-poverty-reduction.
3. This change was not immediate, nor did the plenum mark the decisive shift toward a greater role for the market with which it is often credited. The actual process of introducing the early reforms was uncertain and incremental. See Chris Buckley, “Portrait of Deng as Reformer in 1978 Plenum Ignores History,” *New York Times*, November 9, 2013, http://sinosphere.blogs.nytimes.com/2013/11/09/portrait-of-deng-as-reformer-in-1978-plenum-ignores-history/.
the political environment, created new opportunities for local experimentation.\textsuperscript{4} Such experimentation eventually gave rise to the famous “household responsibility system,” which allowed farmers to manage individual plots of land and to sell at market rates what they produced in excess of official targets. Where Beijing’s earlier exhortations to produce for the sake of plans had failed to spur the desired burst in grain production, the introduction of even these modest market incentives succeeded in stimulating a revolution in Chinese agricultural productivity.
Improvements in Chinese agricultural productivity also had the side effect of freeing up labor in the countryside to engage in other forms of economic activity, leading to a proliferation of locally run factories (referred to as township and village enterprises). Operating outside of the dictates of China’s central planners, these factories created vital competition for inefficient state-owned enterprises (SOEs), in addition to meeting unmet market demands. Accompanied by increased openness to foreign investment, the result was that China began to rapidly “grow out of the plan.” From 1980 to 1988, the Chinese economy averaged 10.4 percent annual GDP growth, more than doubling its size in less
\textsuperscript{4} This account draws heavily from the work of Barry Naughton. Barry Naughton, \textit{The Chinese Economy: Transitions and Growth} (Cambridge, MA: MIT Press, 2006), 88–90.
than a decade.\textsuperscript{5} Over the same period, the Chinese government downsized significantly, with the number of state agencies reduced from 100 to 60.\textsuperscript{6}
Of course, this simple narrative overstates the stability of China’s political and macro economy during this period. Growth and inflation fluctuated enormously, while the process of reform moved in fits and starts. At the time, Chinese leaders were not only grappling with the issue of how to manage a gradual and piecemeal reduction of the central government’s control over the economy, but debating among themselves the extent to which it was appropriate or desirable to do so. A major landmark was reached in 1987 at the 13th Party Congress, when the party formally recognized the private sector as a “necessary supplement” to the public sector. This demonstrated a major shift in consciousness among party elites regarding the proper relationship between state, party, and economy. For the first time, Chinese leaders made the key determination that diminishing the role of state and party in the economy was necessary. The shift in awareness led to 1988 legislation that separated corporate and government management structures for the first time—arguably the most important reform of this period.
FROM THE SOUTHERN TOUR TO THE 18TH PARTY CONGRESS, 1989–2012
Events in Tiananmen Square in 1989 brought this revolution to a screeching halt, leading to the ouster of then general secretary Zhao Ziyang and reempowering conservative elements within the Communist Party.\textsuperscript{7} The contemporaneous collapse of the Soviet Union spurred a tense debate over whether reform could save the party or would destroy it, leading conservatives to aggressively reassert their control over the economy and the central planning bureaucracy. This spurred Deng Xiaoping’s famous “Southern Tour” in 1992, on which he highlighted the tremendous boom taking place in coastal “special economic zones.” While successful in marginalizing the ideological opponents of reform, the Southern Tour also saw Deng further devolve authority to the provinces, which would pose challenges later as they functionally came to resemble independent fiefdoms more than extensions of the central authorities.
Deng’s gambit freed the 14th Party Congress to officially endorse a “socialist market economy” in 1992 and announce its intention to create a modern corporate system, priming the pump for a decade of reforms under Zhu Rongji (first as vice premier from 1993 to 1998, later as premier from 1998 to 2003). Major impetus and direction for reform also came from external sources, as China sought accession to the World Trade Organization (WTO). This reflected the view among Chinese leaders during this period that economic growth was the condition for continued party rule, and would be best sustained by increased competition through integration with the global economy.\textsuperscript{8} In 1994, the government
\textsuperscript{5} International Monetary Fund (IMF), \textit{World Economic Outlook: Legacies, Clouds, Uncertainties} (Washington, DC: IMF, October 2014), https://www.imf.org/external/pubs/ft/weo/2014/02/pdf/text.pdf.
\textsuperscript{6} Organization for Economic Cooperation and Development (OECD), \textit{Governance in China} (Paris: OECD, September 2005), http://www.oecd.org/gov/governanceinchina.htm.
\textsuperscript{7} Naughton, \textit{The Chinese Economy}, 98–100.
\textsuperscript{8} Nicholas R. Lardy, “Issues in China’s WTO Accession” (speech before the U.S.–China Security Review Commission, May 9, 2001), http://www.brookings.edu/research/testimony/2001/05/09foreignpolicy-lardy.
passed major reforms to simplify China’s foreign exchange regime and establish a degree of current account convertibility, accompanied by a devaluation of its currency, the renminbi (RMB).\(^9\) While these reforms were intended as an immediate precursor to WTO membership, the process of accession ultimately took nearly a decade, finally reaching completion in December 2001.
During this period, Zhu Rongji used the WTO as a club to beat back vested interests and drive the reform process forward. Simultaneously, he fought to further disentangle the state from the economy through an enormous downsizing of the bureaucracy and state-owned sector. Over the course of the decade ending in 2003, public enterprise employment declined by more than 40 percent, or nearly 50 million workers.\(^{10}\) In addition, Zhu, with the support of the then general secretary Jiang Zemin, oversaw a major overhaul of the Chinese tax system, pushed for more coherent national regulatory policies, and implemented dramatic and far-reaching reforms of the financial system. As a result, the Chinese economy was positioned for a decade of breakneck expansion at the end of Zhu’s tenure: further spurred by China’s WTO accession and positive external conditions, real GDP growth averaged 10.6 percent annually from 2003 to 2012.
At the same time, Chinese society had been exhausted by the pace and extent of the Zhu-era reforms, and the next generation of Chinese leaders took note. In response, the leadership duo of President Hu Jintao and Premier Wen Jiabao centered its policy agenda on the promotion of a “harmonious society,” seeking to improve social welfare and narrow urban-rural and coastal-inland wealth disparities.\(^{11}\) Not only did this strategy fail in its stated aims, but these and other policies pursued by the Hu-Wen leadership also ended up empowering a new breed of SOEs\(^{12}\) and failed to prevent the continued weakening of central control over provincial governments. This trend deepened with the onset of the global financial crisis, which forced Beijing to announce a $586 billion (RMB 4 trillion) stimulus package in November 2008. While successful in arresting the economy’s free fall, the stimulus not only exacerbated China’s overreliance on investment-led growth but also further entrenched the aforementioned vested interests. By the end of the Hu-Wen leadership’s decade in power three years later, a new approach was necessary.
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9. The official name of China’s currency is the renminbi. It is counted in units of yuan and is often referred to as such.
10. Kevin Hamlin and Scott Lanman (ed.), “Li’s Shock Treatment to China Lenders Evokes Ex-Reformer,” Bloomberg, June 26, 2013, http://www.bloomberg.com/news/articles/2013-06-26/li-s-shock-treatment-to-china-lenders-evokes-ex-reformer.
11. Kin-man Chan, “Harmonious Society,” in *International Encyclopedia of Civil Society*, ed. Helmut K. Anheier and Stefan Toepler (New York: Springer, 2009), https://www.cuhk.edu.hk/centre/ccss/publications/km_chan/CKM_14.pdf.
12. Some analysis has questioned conventional wisdom regarding China’s SOEs having become more empowered during the Hu-Wen period. For the most thorough critique of this view, see Nicholas R. Lardy, *Markets Over Mao: The Rise of Private Business in China*, Peterson Institute for International Economics, September 10, 2014.
The Need for a New Growth Model
As the Xi administration took office, two things were clear: China had reached the end of its old growth model, and the days of double-digit growth were over.\textsuperscript{13} In a 2012 report coauthored with the Development Research Center of the State Council, the World Bank cautioned, “The opportunities and challenges in the next two decades will be unlike those [China has] encountered in the past and will demand a new development strategy.”\textsuperscript{14} These echoed the less diplomatic words of the then premier Wen, who had argued since 2007 that China’s growth was “unstable, unbalanced, uncoordinated, and unsustainable.”\textsuperscript{15}
Under Hu and Wen, China relied on external demand to propel its growth, using an array of explicit and hidden subsidies—including an undervalued currency—to boost exports and suppress imports. The result was massive current account surpluses and accumulation of over $3.5 trillion in foreign-exchange reserves. Since the global financial crisis of 2008–2009, as advanced economies struggled to grow, Chinese leaders opted to use public investment to take up the slack. Artificially low deposit rates and a lack of social protections forced Chinese consumers to save excessively,\textsuperscript{16} while state banks used these funds to provide cheap capital to poorly run SOEs.\textsuperscript{17} These companies then overinvested in unproductive assets, on average providing a negative 6.29 percent return on equity.\textsuperscript{18} The state firms (in conjunction with local governments) also used their access to cheap credit to pursue speculative investments in the real estate sector, fueling property bubbles in major municipalities and unsustainable property booms in minor ones.
By 2012, China had been investing more than 40 percent of its GDP per year for a decade.\textsuperscript{19} Consumption as a share of GDP had fallen from 42 percent in 2003 to 35 percent in 2012—roughly 20 percent lower than in a typical emerging market economy.\textsuperscript{20} The industrial sector, which benefited from below-market prices for capital, land, energy, and other
\textsuperscript{13} World Bank and Development Research Center of the State Council, People’s Republic of China, \textit{China 2030: Building a Modern, Harmonious, and Creative Society} (Washington, DC: World Bank, 2013), http://www.worldbank.org/content/dam/Worldbank/document/China-2030-complete.pdf.
\textsuperscript{14} Ibid.
\textsuperscript{15} “Premier: China confident in maintaining economic growth,” Xinhua, March 16, 2007, http://news.xinhuanet.com/english/2007-03/16/content_5856569.htm.
\textsuperscript{16} The reasons underpinning China’s high household savings rates are much debated, and deposit rate controls are not the only factor. For example, Liu (2014) estimates that job uncertainty resulting from market-based reforms accounted for about a third of Chinese urban household wealth accumulation from 1995 to 2002. Another key factor is China’s relatively threadbare social safety net. For more, see Zheng Liu, “Job Uncertainty and Chinese Household Savings,” Federal Reserve Bank of San Francisco, February 3, 2014, http://www.frbsf.org/economic-research/publications/economic-letter/2014/february/job-uncertainty-china-household-savings-state-owned-enterprises-iron-rice-bowl/.
\textsuperscript{17} Nicholas R. Lardy, \textit{Sustaining China’s Economic Growth after the Financial Crisis} (Washington, DC: Peterson Institute for International Economics, 2012).
\textsuperscript{18} Hong Sheng and Nong Zhao, \textit{China’s State-Owned Enterprises: Nature, Performance and Reform} (Singapore: World Scientific, 2012).
\textsuperscript{19} IMF, “People’s Republic of China: 2012 Article IV Consultation,” IMF Country Report No. 12/195, July 2012, https://www.imf.org/external/pubs/ft/scr/2012/cr12195.pdf.
\textsuperscript{20} Nicholas R. Lardy and Nicholas Borst, “A Blueprint for Rebalancing the Chinese Economy,” Peterson Institute for International Economics Policy Brief no. 13-2, February 2013, http://www.iie.com/publications/pb/pb13-2.pdf.
resources, was overdeveloped and overcapacity. The services sector was its mirror image. A host of factors, from excessive regulations and administrative monopolies to weak intellectual property rights protection and repressed domestic consumption, had left services industries severely underdeveloped for a country of China’s income level. To unlock a new model of consumption- and services-led growth, the new leaders would have to rectify these imbalances, modernize the “soft infrastructure” of regulations and institutions, and overcome the powerful vested interests that had benefited from the status quo.
They would have to do so in the context of a secular economic slowdown. The size of China’s working-age population had begun to decline and the country was entering a period of rapid aging. The major gains from reallocating labor from agricultural to industrial activities had already been realized. By moving ever closer to the technological frontier, China had achieved dramatic productivity gains, but also become a victim of its own success. Future gains would require an ever more skilled labor force and the master of ever more sophisticated technologies. And even in the best-case scenarios projected at the time, this transition would still see China’s growth rate moderate to around 5 percent by the mid-2020s.\(^{21}\)
At the same time, the negative consequences of China’s breakneck development had undermined the consensus surrounding growth as a national project. Land seizures used by cash-strapped local governments to raise revenue and fund growth-boosting local investment had become a source of social unrest. Income inequality had risen sharply nationwide and deepened the divide between inland provinces and richer coastal areas, between urban and rural citizens, and even within cities.\(^{22}\) Industrial activity had tainted China’s arable land and waterways, while high concentrations of airborne particulate routinely produced choking haze and grounded flights along the coast.\(^{23}\) A parade of high-profile corruption investigations, pervasive local corruption, and scandals involving everything from tainted infant formula\(^{24}\) to disastrous train crashes had undermined public trust in government.\(^{25}\)
As the First Plenum of the 18th CCP Central Committee drew to a close in November 2012 and the new seven-member Politburo Standing Committee (PBSC) was revealed, few
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21. For a fuller description of these and other challenges facing the Chinese economy at the time, see World Bank and Development Research Center of the State Council, People’s Republic of China, *China 2030*.
22. For an overview of some of the sources and dimensions of Chinese economic inequality, see Martin King Whyte, “China’s Post-Socialist Inequality,” in *Current History* 111, no. 746 (September 2012), http://scholar.harvard.edu/files/martinwhyte/files/whyte-current_history.pdf; and Nan Wu, “Income inequality in China and the urban-rural divide,” Journalist’s Resource, August 19, 2014, http://journalistsresource.org/studies/international/china/income-inequality-todays-china.
23. Bloomberg, “Beijing ‘barely suitable’ for life as heavy pollution shrouds China’s capital,” *Sydney Morning Herald*, February 26, 2014, http://www.smh.com.au/environment/beijing-barely-suitable-for-life-as-heavy-pollution-shrouds-chinas-capital-20140225-33ghq.html; Penny Ping and Gregory Turk, “Xi Jinping Calls Pollution Beijing’s Biggest Challenge,” Bloomberg, February 27, 2014, http://www.bloomberg.com/news/articles/2014-02-26/xi-calls-pollution-beijing-s-biggest-challenge-as-smog-eases.
24. “Formula for disaster,” *The Economist*, September 18, 2008, http://www.economist.com/node/12262271.
25. Evan Osnos, “Boss Rail,” *New Yorker*, October 22, 2012, http://www.newyorker.com/magazine/2012/10/22/boss-rail.
predicted a decisive transition was imminent. Xi and his fellow members of the CCP’s fifth-generation leadership were seeking to reform an economy that had more than quadrupled in size since the start of the last major reform push in 1998. Moreover, they faced a more pluralized policy environment than any Chinese leaders before them. Influential SOEs, large private-sector actors, empowered provincial leaders, fractious government ministries, and a more vocal civil society were all competing intensely to influence policy—and doing so through a host of ever more sophisticated techniques and technologies.\textsuperscript{26} To many longtime observers, it seemed an economic crisis was inevitable, if not imminent.\textsuperscript{27}
\section*{The Third Plenum Reform Agenda}
On November 12, 2013, the 18th Central Committee released a brief communiqué summarizing the resolution endorsed at its just-concluded Third Plenum. Analysts panned the document for its vague language, lack of detail, and overall failure to meet expectations stoked by months of promises of “unprecedented” reforms.\textsuperscript{28} As one veteran analyst explained to this study’s authors that night in Beijing, “this is beyond disappointing—there is nothing here.” Chinese stocks fell on its release.\textsuperscript{29}
This assessment proved premature.\textsuperscript{30} Two days later, the full Decision of the Central Committee of the Communist Party of China on Some Major Issues Concerning Comprehensively Deepening Reform (henceforth the “Decision”) was released, alongside a detailed explanation from Xi Jinping himself. The Decision and Xi’s accompanying explanation highlighted a major theoretical achievement, the upgrading of the market’s role in resource allocation from “basic” to “decisive”—a move described by Nicholas Lardy, a veteran analyst of the Chinese economy, as “potentially revolutionary.”\textsuperscript{31} Beneath this bold headline commitment was what economist Barry Naughton has described as the economic
\begin{footnotesize}
\begin{enumerate}
\item For fuller accounts of some of the ways in which new actors are entering into China’s economic policymaking process, see Scott Kennedy, “Comparing Formal and Informal Lobbying Practices in China,” \textit{China Information}, July 2009, http://chinatrack.typepad.com/files/Kennedy_20Comparing_CI_PUB_July_09.pdf; Andrew Mertha, \textit{China’s Water Warriors: Citizen Action and Policy Change} (Ithaca, NY: Cornell University Press, 2010).
\item For example, see James McGregor, \textit{No Ancient Wisdom, No Followers: The Challenges of Chinese Authoritarian Capitalism} (Westport, CT: Prospecta Press, 2012); Chris Buckley, “China must reform or risk crisis, experts warn new leader,” Reuters, October 7, 2012, http://www.reuters.com/article/2012/10/07/us-china-politics-reform-idUSBRE8960K320121007.
\item Megha Rajagopalan and Michael Perry, ed., “China leader promises ‘unprecedented’ reforms at key Party meeting,” Reuters, October 26, 2013, http://www.reuters.com/article/2013/10/26/us-china-reforms-plenum-idUSBRE99P02220131026.
\item Mamta Badkar, “The Shanghai Composite Took a Beating after China’s Big Meeting on Reforms,” \textit{Business Insider}, November 13, 2013, http://www.businessinsider.com/shanghai-composite-falls-after-3rd-plenum-2013-11.
\item Christopher K. Johnson, “China Announces Sweeping Reform Agenda at Plenum,” CSIS, November 15, 2013, http://csis.org/publication/china-announces-sweeping-reform-agenda-plenum.
\item Nicholas Lardy (remarks at “Deciphering China’s Third Plenum: Politics, Policy, and Prospects,” CSIS, Washington, DC, November 22, 2013), http://csis.org/event/deciphering-chinas-third-plenum-politics-policy-and-prospects.
\end{enumerate}
\end{footnotesize}
equivalent of “shock and awe,” a comprehensive “vision statement with a to-do list” for the next stage of China’s reform and opening.\textsuperscript{32}
Across 60 articles and the 336 specific reform measures covered therein, the Decision delivered on PBSC member Yu Zhengsheng’s pre-plenum promise that reforms would be “unprecedented and will promote profound changes in every area of the economy and society.”\textsuperscript{33} An extensive Asia Society report on the plan groups the reforms into nine major substantive categories under the overarching theme of redefining the role of government in the Chinese economy: center-local fiscal reform; competition policy reform; financial system reform; foreign trade and investment reform; state-owned enterprise reform; land policy rationalization; labor and shared welfare; environmental policy reform; and innovation policy reform.\textsuperscript{34} This extensive agenda sent a strong signal that China’s leaders grasped the challenges facing the economy and were committed to addressing them.
The outcomes from the Third Plenum also signaled Xi Jinping’s growing authority within the Chinese political system. While the Decision was a consensus document officially endorsed by the full Central Committee, Xi’s accompanying explanation of its contents\textsuperscript{35} (along with detailed accounts of his involvement in the drafting process released by official media outlets) showed his intent to personally brand the agenda. Xi’s role was further highlighted in the Decision’s announcement that he would head a new “leading small group” (discussed in more detail below) to oversee the implementation of reform. The creation of this new body demonstrated that Xi had the clout to create structural solutions at the highest levels of decisionmaking to get around the gridlock and stovepiping of China’s state bureaucracy.
Policymaking takes place in three broad stages: problem identification, policy generation, and policy implementation. The Third Plenum showed that China’s leaders had successfully navigated this first stage and possessed a firm grasp of the country’s economic challenges. Furthermore, the Decision illustrated that Beijing was at least partway through the process of policy generation: a “vision statement” for reform was evident, even if clear priorities and the promulgation of specific metrics and regulations remained to be completed. The major question remaining was implementation, and whether or not the Chinese economic policymaking apparatus would be up for the challenge of pushing through reforms in a more pluralized political economy.
\textsuperscript{32}. Barry Naughton, “After the Third Plenum: Economic Reform Revival Moves toward Implementation,” \textit{China Leadership Monitor}, no. 43 (Spring 2014), http://www.hoover.org/sites/default/files/uploads/documents/CLM43BN.pdf.
\textsuperscript{33}. Wenxin Fan, “China Signals ‘Unprecedented’ Changes on Agenda at Plenum,” Bloomberg, October 28, 2013, http://www.bloomberg.com/news/articles/2013-10-27/china-signals-unprecedented-policy-changes-on-agenda-at-plenum.
\textsuperscript{34}. Daniel H. Rosen, \textit{Avoiding the Blind Alley} (Washington, DC: Asia Society Policy Institute, 2014), http://asiasociety.org/policy-institute/china-economy.
\textsuperscript{35}. “Xi explains China’s reform plan,” Xinhua, November 15, 2013, http://news.xinhuanet.com/english/china/2013-11/15/c_132891949.htm.
Almost 40 years after Mao Zedong’s death, the Chinese economic policymaking apparatus reflects as much his legacy as that of Deng Xiaoping. Indeed, to ignore the extent of continuity across the eras that these two leaders defined is to miss much of what drives and is distinctive to China’s economic policymaking process and system. This is of particular importance given the fluidity of the formal institutions of the Chinese policymaking apparatus. Over nearly four decades of rapid growth, these have been constantly reformed and rearranged to address the needs of a modernizing economy. They have also been adjusted to serve successive generations of Chinese leaders’ policymaking styles, preferences, and political circumstances—meaning that a narrow focus on formal lines of authority almost invariably misses the true centers of power and decisionmaking.
The most important enduring characteristic that links the eras of Mao and Deng and persists through the present is, of course, the centrality of the CCP. In the words of one Chinese professor at a prominent Beijing university, “The Party is like God. He is everywhere. You just can’t see him.”¹ Over the course of reform and opening, the extent of the party’s involvement in day-to-day economic decisionmaking has swelled and shrunk in cycles. On balance, it has gradually ceded to the market a more important role in resource allocation and given the formal state apparatus greater responsibility for day-to-day administration of economic affairs. However, the CCP continues to define the context within which economic policymaking takes place. Its enduring goals as a political entity—maintaining CCP rule and achieving the “great rejuvenation of the Chinese nation”—together with the underlying realities of China’s vast and varied geography and enormous population, have in turn shaped the dominant features that characterize the structure of China’s economic policymaking apparatus and its manner of operation through the present.
Chinese economic decisionmaking and the policymaking apparatus are characterized by contradictions. It is no accident that the Chinese system has been described as both “fragmented” and “authoritarian” for over two decades.² Such contradictions reflect the
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1. Quoted in Richard McGregor, *The Party: The Secret World of China’s Communist Rulers* (New York: Harper Perennial, 2012), 1.
2. The most popular and enduring model of the Chinese political system is the “fragmented authoritarianism” model put forward by Michel Oksenberg and Kenneth Lieberthal in 1988, which has continued to influence much of the academic discussion of China’s political system through the present. See Kenneth Lieberthal
vast array of forces at work in China’s modern political economy, many of which tug in opposite directions. Just as the party exerts a strong general pressure toward the centralization of policymaking, China’s sheer size and the diversity of local interests exert an opposing force in favor of greater decentralization. Successive generations of Chinese leaders have extended the economic miracle of the past 35 years by accommodating these pressures through policies that satisfied both the political and economic imperatives of each moment. The particular challenge of the present is that the objectives of policy have become diffuse, and growth no longer provides a unifying force and clear direction for economic policy.
The remainder of this chapter describes the major structural characteristics of the Chinese economic policymaking apparatus. It first reviews the structure of the Communist Party and the functions of key party organs. A second section examines the state apparatus, with attention to the structure and roles of both the central and local governments. The final section reviews major structural changes to the institutions of Chinese economic policymaking that have been introduced under the Xi administration.\(^3\)
**The Communist Party**
At 86.7 million members, the CCP is the world’s largest Communist party. If it remains in power through 2019, it will also be the longest-ruling Communist party in history. Although its membership accounts for only about 6 percent of China’s total population, the CCP dominates Chinese society and permeates the formal apparatus of government. At its heart, the CCP is a Leninist system: structured to ensure central control of the major levers of power (including most especially arms, personnel, and propaganda) and to limit opportunities for horizontal collaboration that could threaten central control.
The CCP is led from the top down, starting with the seven-member Standing Committee of the Politburo of the 18th Central Committee (more commonly referred to as the Politburo Standing Committee, or PBSC). These seven leaders concurrently sit on the full Politburo, which has 25 members and is next in terms of functional authority. Politburo members are in turn part of the larger Central Committee, a body made up of 205 full members and 171 alternate members. The Central Committee meets at least once every year in plenary sessions. The documents endorsed at these meetings are among the CCP’s most authoritative statements of policy.
The CCP’s presence in the institutions of state and society is extensive. Almost every high-ranking state official is additionally a party member and required to participate in party activities, such as periodically organized nationwide study campaigns. Party
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\(^3\) As the focus of this report is on economic policymaking, it does not cover in depth many aspects of the Chinese political cycle. For a further discussion of this, and other features of the Chinese political system, see Susan V. Lawrence and Michael F. Martin, “Understanding China’s Political System,” Congressional Research Service, March 20, 2013, https://www.fas.org/sgp/crs/row/R41007.pdf.
committees exist in every ministry, at all levels of government, in universities and unions, and in public and private companies throughout China—including many foreign enterprises. Most senior SOE managers are party members and are linked to their counterparts in the government and party via a network of secure red phones.\(^4\) Even outside of formal party channels, officially sanctioned organizations, such as the Chinese People’s Political Consultative Conference (CPPCC)\(^5\) and party-approved unions and trade federations,\(^6\) provide a further means of monitoring and co-opting groups not directly under the CCP umbrella.
In addition, the party has its own specialized organs that control key levers of power, such as personnel appointments, propaganda, and anticorruption investigations. These institutions are typically cloned at all government levels. Some key institutions include the following:
*Central Committee Organization Department (CCOD):* The CCOD oversees administration of the party’s central *nomenklatura* system, which controls appointments to the top several thousand positions in the party, state, and other relevant organizations. It also has responsibilities for party member recruitment, performance evaluation, investigation, and training.
*Central Discipline Inspection Commission (CDIC):* Party officials are officially subject to the party’s discipline and can only be prosecuted for violations of Chinese law if they are first expelled from the party. The CDIC is the party’s powerful internal antigrift body, though its remit extends beyond anticorruption. It is also responsible for ensuring that party officials maintain ideological discipline. The current head of the CDIC is Wang Qishan, China’s former financial policy czar and a member of the PBSC.\(^7\)
Although the party has delegated much of the authority for day-to-day administration of economic affairs to the state apparatus, a key channel for its continued oversight and management is secretive, high-level party committees known as “leading small groups” (LSGs). The relevant body for economic affairs has long been the Central Finance and
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4. McGregor, *The Party*, 8–10.
5. The CPPCC is a political advisory body overseen by the United Front Work Department of the CCP. Delegates include members of China’s officially recognized non-Communist parties, unions, trade federations, minority groups, and other segments of Chinese society. Local branches of the CPPCC exist in all jurisdictions down to the county level.
6. For example, the All-China Federation of Trade Unions. For a fuller treatment of trade unions and government-business relations in China, see Scott Kennedy, *The Business of Lobbying in China* (Cambridge, MA: Harvard University Press, 2005).
7. For a discussion of the evolution of the CDIC, see Guo Yong, “The Evolvement of the Chinese Communist Party Discipline Inspection Commission in the Reform Era,” *China Review* 12, no. 1 (Spring 2012), http://connection.ebscohost.com/c/articles/74698354/evolvement-chinese-communist-party-discipline-inspection-commission-reform-era. For a discussion of its current workings, see William Wan, “Secretive agency leads most intense anti-corruption effort in modern Chinese history,” *Washington Post*, July 2, 2014, http://www.washingtonpost.com/world/asia_pacific/secretive-agency-leads-most-intense-anti-corruption-effort-in-modern-chinese-history/2014/07/02/48aff932-cf68-11e3-937f-d3026234b51c_story.html.
Economics Leading Small Group (CFELSG), which has operated continuously since March 1980.\(^8\)
The exact role of the CFELSG (and other LSGs) has not been consistent across different generations of leadership. Instead, the CFELSG’s function has varied depending on the preferences and style of the leaders at the time. However, in general, the CFELSG’s role is to provide a venue for bringing together top-level leaders to coordinate and reach consensus on key economic issues. Like each permanent LSG, which has a small general office located within a party, government, or military agency that carries out the day-to-day work of managing paper flow, drafting documents, and coordinating across the relevant aspects of the policymaking apparatus, the CFELSG has its own general office.\(^9\) The staffing of this office has reportedly been expanding under Xi Jinping.
**The State Council**
Although the party has consistently maintained a “leading role” in setting China’s economic policy priorities, the state manages most day-to-day administration of economic affairs. At the top of China’s governmental policymaking hierarchy is the State Council, effectively China’s cabinet. The State Council and its ministries directly issue many of the regulations that govern the Chinese economy, though major legislation\(^{10}\) formally requires the approval of the National People’s Congress (NPC), China’s legislature.\(^{11}\) While China is formally a unitary country in terms of administration, the policymaking apparatus is in fact extremely decentralized, as discussed below.
The full State Council has 35 members: the premier, four vice premiers,\(^{12}\) and five state councilors\(^{13}\)—who together comprise the executive committee—and 25 heads of ministry-
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8. Alice Miller, “The CCP Central Committee’s Leading Small Groups,” *China Leadership Monitor*, no. 26 (Fall 2008), http://www.hoover.org/sites/default/files/uploads/documents/CLM26AM.pdf.
9. For more extensive coverage of these bodies, see Carol Lee Hamrin, “The Party Leadership System” in *Bureaucracy, Politics, and Decision-making in Post-Mao China*, ed. Kenneth G. Lieberthal and David M. Lampton (Berkeley: University of California Press, 1992); Alice Miller, “The CCP Central Committee’s Leading Small Groups,” *China Leadership Monitor*, no. 26 (Fall 2008), http://www.hoover.org/sites/default/files/uploads/documents/CLM26AM.pdf; and Alice Miller, “More Already on the Central Committee’s Leading Small Groups,” *China Leadership Monitor*, no. 44 (Summer 2014), http://www.hoover.org/sites/default/files/research/docs/clm44am.pdf.
10. For a description of the major categories of legislation in the Chinese system, see appendix III in Nathaniel Ahrens, *China’s Industrial Policymaking Process* (Washington, DC: CSIS, January 2013), http://csis.org/files/publication/130124_Ahrens_ChinaPolicymaking_Web.pdf.
11. The NPC is formally the “highest organ of state power,” authorized to approve the annual budget and to appoint or remove state leaders. Functionally, however, the NPC has little power and almost always votes in favor of state proposals. See Susan V. Lawrence and Michael F. Martin, “Understanding China’s Political System,” Congressional Research Service, March 20, 2013, https://www.fas.org/sgp/crs/row/R41007.pdf.
12. Vice Premier Zhang Gaoli is frequently referred to as the “executive vice premier.” While this is not a title used in official Chinese media, it reflects Zhang’s position as both a vice premier and a member of the top-ranked PBSC (see below).
13. State councilors frequently serve in multiple positions simultaneously. For example, State Councilor Yang Jing serves concurrently as the State Council secretary-general and as president of the Chinese Academy of Governance (among other positions). State Councilors Guo Shengkun and Chang Wanquan serve concurrently as ministers of public security and national defense, respectively.
level bodies.\textsuperscript{14} The executive committee meets weekly, and members rank above ordinary ministers. Their cross-cutting portfolios, particularly those of the vice premiers, allow them to play a key role in mediating disputes and coordinating policy among China’s panoply of government agencies. Like all Chinese government and party agencies, the State Council has a general office, which plays a vital role in coordinating the flow of information and access to top leaders (though it is not a policymaking body).\textsuperscript{15}
The full State Council meets only twice annually. Between these meetings, the executive committee is the primary decisionmaking body. Below the State Council executive, a wide array of committees and working groups bring together representatives from relevant ministries to coordinate on specific issues. There are also many ministerial- and vice-ministerial-level government agencies subordinate to (but not officially represented on) the State Council. These include influential official think tanks, policy research and legislative offices, news agencies, and other functional offices and commissions. Representatives from
\textsuperscript{14} A full list of government agencies represented on or subordinate to the State Council is available at http://english.gov.cn/state_council/2014/09/03/content_281474985533579.htm. While the roles of many agencies are in flux, among the most important ministerial-level bodies involved in the economic policymaking process and represented on the State Council are the National Development and Reform Commission (NDRC), the Ministry of Industry and Information Technology (MIIT), the Ministry of Finance (MOF), the Ministry of Commerce (MOFCOM), and the People’s Bank of China (PBOC).
\textsuperscript{15} The current head of the State Council general office is State Councilor Yang Jing, who serves concurrently as the secretary-general of the State Council and secretary of the CCP Secretariat (its party equivalent).
these bodies sometimes attend plenary meetings, but only when invited and generally in a nonvoting capacity.\textsuperscript{16}
Government agencies also wield significant influence in their own right. They (and their affiliated institutions) play major roles in conducting research, making policy recommendations, interpreting policy directives from higher levels of government, and promulgating regulations. Disagreements between ministries often create gridlock due to a combination of factors: equally ranked agencies cannot issue binding orders to one another; many ministries share overlapping mandates on functional issues; and decision-making at the ministry level is consensus based.\textsuperscript{17} Despite their importance, ministries at the central level are relatively lightly staffed: out of more than 40 million civil servants nationwide, only about 60,000 are posted directly to ministries and commissions in Beijing.\textsuperscript{18}
Most policy implementation authority is delegated to the local level. There are four formal levels of administration below the center\textsuperscript{19}; in descending order of authority: provincial, prefectural, county, and township.\textsuperscript{20} There are 31 provinces,\textsuperscript{21} roughly 300 prefectures, nearly 3,000 counties, and over 40,000 townships.\textsuperscript{22} Even where the central government in Beijing sets the rules, such as those governing taxation and public service provision, responsibility for implementing policy often falls to local governments. Units at the provincial level and below accounted for over 80 percent of official budgetary expendi-
\textsuperscript{16} Many of these institutions, while formally organized under the State Council, receive primary oversight from a separate party institution. For example, Xinhua News Agency is technically a ministry-level organization under the supervision of the State Council, but is in fact more closely overseen by the Central Committee Propaganda Office.
\textsuperscript{17} For example, the Ministry of Environmental Protection (MEP) is nominally the lead agency on environmental issues (along with the NDRC), yet it has historically had little power to enforce its mandate. Not only is it competing with the interests of more growth-focused ministries and provincial leaders, but management of critical issues, such as water pollution or heavy metal contamination of China’s farmland, falls within the portfolios of other independent functional ministries, in this case the Ministry of Water Resources and Ministry of Agriculture, respectively. Meanwhile, local branches of the MEP, known as environmental protection bureaus, receive technical guidance from the MEP, but are funded and have their leadership appointed by local governments. For a more thorough treatment of this and other environmental issues, see Judith Shapiro, \textit{China’s Environmental Challenges} (Cambridge, UK: Polity Press, 2012).
\textsuperscript{18} According to Christine Wong, China has roughly 41 million public employees, excluding the armed forces and state-owned enterprises, while most central ministries have fewer than 1,000 each. Christine Wong, \textit{Toward Building Performance-Oriented Management in China: The Critical Role of Monitoring and Evaluation and the Long Road Ahead}, ECD Working Papers No. 27 (Washington, DC: Independent Evaluation Group, World Bank, September 2012), http://siteresources.worldbank.org/EXTEVACAPDEV/Resources/wp_27_china_me.pdf.
\textsuperscript{19} The prefectural level is in fact not mentioned in China’s state constitution, and some have argued it should be abolished to streamline interactions between levels of government.
\textsuperscript{20} Subprovincial, subprefectural, and sub-country-level units also exist, providing an additional level of complexity. For example, while both enjoy broadly comparable rights and responsibilities, a subprovincial-level city outranks a prefectural unit.
\textsuperscript{21} This is a slight oversimplification. Officially, there are 34 province-level administrative divisions in China. One of these is Taiwan, which China claims but does not administer. Two are the special administrative regions of Hong Kong and Macau, which enjoy a greater degree of autonomy than the 31 main Chinese provinces. Within these 31, 22 are provinces, 4 are province-level municipalities (Beijing, Tianjin, Shanghai, and Chongqing), and 5 are categorized as autonomous regions, due to the greater proportion of ethnic minority inhabitants.
\textsuperscript{22} For scale, an average county has half a million inhabitants. An average province has around 40 million.
tures in 2009, and for the vast majority of spending in areas such as education and environmental protection.\textsuperscript{23} This makes their cooperation essential to achieving central objectives.
Local governments can also be important agents in the policymaking process; they compete for resources and attention from top-level leaders, for example, by conducting independent policy experiments or seeking support and funding for experimentation from higher administrative levels. Their superior local knowledge and de facto control over local branches of central-level ministries, such as the Ministry of Land and Resources, also means they have the capacity to subvert or covertly resist Beijing’s policy objectives.\textsuperscript{24}
\section*{Operational Consequences}
Throughout the post-Mao period, resources and authority have been divided between central and local government, with bargaining taking place vertically (within institutions) and horizontally (among them) to determine policy outcomes.\textsuperscript{25} Rank within the Communist Party has been the main factor determining hierarchy within these relationships, creating a more expansive policy space than indicated solely by the structure of the Chinese state.\textsuperscript{26} This complex policymaking space expanded during the Hu-Wen era to include a broad array of new or revitalized political actors, including activists, the media, and SOEs. At the same time, there remained a strong emphasis on consensus-based decisionmaking that prevailed since the immediate post-Mao period. The result was a pluralized system where the state maintained a major presence in the economy, but functional hierarchies were opaque, authority was fragmented, and policymaking was slowed by the need to seek consensus at a variety of levels and from a wide variety of gatekeepers.
By the end of the Hu-Wen administration, these developments and the increasing range of actors with influence on policy had reinforced fragmentation of decisionmaking and raised new barriers to policy implementation. Operationally, this meant that policies entailing substantive change from the status quo required sustained support and attention from officials at the highest levels in order to bypass cross-institutional disputes and ensure faithful implementation. Alongside the continued need for consensus across factions within the party, the consequence was an extremely laborious policymaking process (despite giving the outward appearance of authoritarian decisiveness).
\begin{footnotesize}
\begin{enumerate}
\item[23.] Xiao Wang and Richard Herd, “The System of Revenue Sharing and Fiscal Transfers in China,” OECD Economics Department Working Papers, February 27, 2013, http://www.oecd.org/officialdocuments/publicdisplaydocumentpdf/?cote=ECO/WKP%282013%2922&docLanguage=En.
\item[24.] The exact reporting relationship between central government ministries and their local counterparts varies with the agency. For example, the NDRC directly supervises branches in all 31 provinces; MOFCOM functions are handled by both directly managed officials and locally managed commerce commissions at the provincial level; and, as discussed above, the MEP provides technical guidance to local environmental protection bureaus, but their funding and appointments are controlled by local officials.
\item[25.] Kenneth G. Lieberthal and David M. Lampton, eds., \textit{Bureaucracy, Politics, and Decision Making in Post-Mao China} (Berkeley: University of California Press, 1992).
\item[26.] Susan V. Lawrence and Michael F. Martin, “Understanding China’s Political System,” Congressional Research Service, March 20, 2013, https://www.fas.org/sgp/crs/row/R41007.pdf.
\end{enumerate}
\end{footnotesize}
Structural Changes under Xi Jinping
The Xi administration, and Xi Jinping himself, has acted to decisively reverse these trends. Where Hu and Wen left economic policymaking largely in the hands of the state and favored heavy state intervention in day-to-day economic affairs, Xi has sought to reemphasize the party’s role in economic policymaking and withdraw the state from unnecessary activities.
Beginning in the lead-up to the Third Plenum, Xi Jinping relied on officials seconded from the CFELSG to draft what would become the Decision. The drafting committee was chaired by Xi Jinping and composed of other top leaders—including fellow PBSC members Liu Yunshan and Zhang Gaoli—and key experts. Meanwhile, the committee’s day-to-day administration and work were overseen by Liu He,\(^{27}\) a noted economist often referred to as “China’s Larry Summers,”\(^{28}\) who simultaneously serves as the director of the office of the CFELSG.
The Third Plenum then announced the creation of a new Comprehensively Deepening Reform Leading Small Group (CDRLSG), marking an enhanced role for LSGs in the economic policymaking process under Xi. Party documents have designated this body to play the central role in coordinating China’s reforms through 2020, when its remit officially expires. Xi heads the body and three additional PBSC members serve as deputy chairs, giving it unrivaled authority as it seeks to implement reform.\(^{29}\) The CDRLSG also has its own general office, or nerve center, led by Wang Huning, a Politburo member and head of the influential Central Committee Policy Research Office, where the staff for this office is located. Below the main LSG are six functional offices, each dedicated to managing a different aspect of reform, such as the economy and environment.\(^{30}\)
The creation of this group demonstrated that Xi had the clout to create structural solutions at the highest levels of China’s policymaking apparatus to get around the gridlock that had characterized the state machinery for much of the past decade. In a move unprecedented for an LSG, the group has even been replicated at all provincial and prefectural-level governments in China and in all ministries and government agencies. Each of these groups is headed by the most senior official in the relevant administrative jurisdiction.
\(^{27}\) Liu He also provides an example of the many hats worn by high-level Chinese leaders. He is a member of the CCP Central Committee, a minister-level vice director of the NDRC, a codirector of the office of the CDRLSG, and the director of the office of the CFELSG.
\(^{28}\) This moniker was first applied by Cheng Li, a specialist in China’s leadership. Michael Forsythe and Dune Lawrence, “Liu He as China’s Larry Summers Makes Politburo Appreciate U.S.,” Bloomberg, September 24, 2009, http://www.bloomberg.com/apps/news?pid=newsarchive&sid=aKp9wybwC4HM.
\(^{29}\) The three are Li Keqiang, Liu Yunshan, and Zhang Gaoli. They are ranked 2nd, 5th, and 7th on the PBSC, respectively. For a list of their primary areas of responsibility, see Susan V. Lawrence, “China’s Political Institutions and Leaders in Charts,” Congressional Research Service, November 12, 2013, https://www.fas.org/sgp/crs/row/R43303.pdf.
\(^{30}\) The six groups are economy and ecology, democracy and justice, culture, society, party construction, and discipline and supervision. See Appendix I for details.
That the CDRLSG is a party body designated as the primary driver of reform, and that Xi is seeking to ensure implementation through party rather than official state channels, underscores his emphasis on the centrality of the CCP in both setting policy priorities and driving their implementation. Its creation may also have finally put to rest the enduring intraparty debate running throughout the reform era over the wisdom and efficacy of seeking to separate party and government functions.
The new LSG also provides a reminder of the nature of the challenges Xi and top leaders are seeking to overcome. As discussed earlier, despite the CCP’s continued monopoly on political power, various actors compete intensely to influence policy. Powerful vested interests, such as giant SOEs, fight to insulate themselves from reform. Government agencies, such as the influential NDRC, are divided over reform, and many seek to protect the interests of those they regulate. Scholars, think tanks, and government research institutes compete to shape the ideas of top leaders. Provincial leaders lobby for projects and initiatives that will support local priorities. Even institutions once less influential in policymaking, such as traditional and social media, nongovernmental organizations, and civil society groups, are finding new opportunities to advance their agendas. All of this has contributed to making China’s policymaking space increasingly messy, complicated, and, in a word, pluralistic.
Although the shape of the Chinese economic policymaking apparatus has proven quite fluid during the period of “reform and opening,” many characteristics of policymaking have remained consistent. These reflect the enduring realities of China’s vast population and geography, its one-party political system, and the overarching goal that has guided successive generations of Chinese leaders: to achieve the great rejuvenation of the Chinese nation under the leadership of the Chinese Communist Party.
**Coordination Challenges**
All large organizations, especially governments, face coordination challenges, but China’s are particularly severe, despite (and in part because of) the top-down nature of the Chinese political system. This has improved as successive reform drives and the gradual retreat from direct state control over the economy have slimmed China’s bureaucracy:¹ in 1981, there were exactly 100 government ministries; by 2013, that number had fallen to 25 (though the number of ministry-ranked agencies is much higher).² Nonetheless, serious coordination problems remain.
One factor is the frequent jurisdictional overlap between government ministries. This is in part deliberate. Lacking any formal system of checks and balances, the fragmentation of authority and information across functional agencies serves the political purpose of helping to avoid concentrations of power growing up outside of Zhongnanhai.³ On the other hand, it is an impediment to coherent policymaking. Combined with a strong emphasis on consensus-based policymaking, fragmentation makes cooperation essential to developing and implementing policy shifts. However, because ministries often face competing
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1. This restructuring took place over repeated cycles of contraction and expansion. For example, the 100 organizations of 1981 were downsized to 61 in 1982, but had expanded to 72 by 1987. For more, see the chapter “Bureaucracy and Governance,” in Yongnian Zheng, *Contemporary China: A History since 1978* (Malden, MA: Wiley-Blackwell, 2013).
2. For example, the heads of China’s three financial regulatory commissions are ministry-ranked, as are the heads of Xinhua News, the Chinese Academy of Social Sciences, and the Development Research Center of the State Council, but none are represented on the State Council.
3. Zhongnanhai is the Chinese equivalent of the White House, a leadership compound located in central Beijing that houses the main offices of both the State Council and the Communist Party.
The structure for enforcing China’s 2010 AML helps to illustrate China’s coordination challenges. AML enforcement is technically overseen by the Anti-Monopoly Commission (AMC), an 18-member interministerial body directly under the State Council. It is chaired by a vice premier (previously Wang Qishan, currently Wang Yang). The agency responsible for hosting the AMC office is the Ministry of Commerce (MOFCOM), which is supposed to coordinate day-to-day AML enforcement on behalf of the AMC; in fact, each of the three ministry-level agencies responsible for AML implementation often acts autonomously. The NDRC oversees price-related rules, MOFCOM oversees mergers, and the State Administration of Industry and Commerce (SAIC) handles non-price-related rules, such as abuse of market dominance.
objectives and cannot issue binding orders to bodies of equal formal rank (i.e., other ministries), gridlock and stovepiping are common. Other aspects of Chinese politics further exacerbate this challenge: high-ranking officials must compete with each other for future promotions and to gain the favor of top leaders, which often reduces the incentive to compromise.
Another issue behind China’s poor coordination is its approach. When addressing issues that range across functional mandates, representatives of all relevant agencies (and others that deem the issue within their “turf”) become part of an ad hoc committee. Either after extensive negotiation or based on a mandate from above, one agency is then designated as the lead and placed in charge of coordinating on the project. This usually results in the establishment of a specialized coordinating office within that ministry. But in the highly rank-conscious environment of Chinese public administration, the effectiveness of
coordination is then almost completely dependent on the lead ministry’s influence within the broader policymaking apparatus—or its ability to attract and retain the attention of top leaders.\(^4\)
Efforts to solve this problem through institutional redesigns—such as the creation of “super ministries” with broad portfolios and explicit mandates to oversee coordination—had little positive effect during the Hu-Wen administration. The NDRC is the most obvious example of this: rather than improving coordination, its role as a “mini-State Council” became a major contributing factor to gridlock and helped concentrate and empower vested interests opposed to structural reform. Instead, most examples of effective coordination are the result of sustained attention from top leaders—typically at the vice-premier level and above—with both the authority and cross-cutting portfolios needed to overcome bureaucratic resistance.
**Center-Local Relations**
There is a Chinese saying that “the mountains are high and the emperor far away.” This reflects China’s history of decentralized government and the modern reality that much policy is made outside Beijing. This is clearest when looking at trends in public spending. Reforms in 1994 aggressively recentralized tax revenues. However, since the mid-2000s, spending at the provincial level and below has regularly accounted for more than 75 percent of total government expenditure and the vast majority of spending on public services, such as health care, education, and social welfare.\(^5\)
The center-local divide is even more important than the fiscal situation suggests. Since the early stages of reform, local leaders at all levels have been evaluated for promotion according to their ability to meet targets set by the immediately superior level of government.\(^6\) The precise metrics used for performance assessment have evolved with time, but two targets have consistently remained top priorities: economic growth and social stability. This system carried distinct advantages in the early stages of China’s development, spurring intense competition among local leaders to generate growth-boosting policy
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4. Even a powerful ministry does not guarantee a speedy or coherent process of policy generation. For example, the NDRC, long regarded as China’s single most powerful government bureaucracy, was the lead agency in charge of developing China’s urbanization plan jointly with over a dozen additional ministries. But the plan, released in March 2014, nonetheless suffered multiple delays and arrived a year later than initially promised.
5. These “unfunded mandates” have been a major factor behind the rapid buildup of local government debt and the growth of local government financing vehicles. While the central government does transfer a significant portion of fiscal revenues to the provinces, the process for deciding the size of transfers is opaque, largely subjective, and not directly tied to expenditure responsibilities. See Christine Wong, *Toward Building Performance-Oriented Management in China: The Critical Role of Monitoring and Evaluation and the Long Road Ahead*, ECD Working Papers No. 27 (Washington, DC: Independent Evaluation Group, World Bank, September 2012), http://siteresources.worldbank.org/EXTEVACAPDEV/Resources/wp_27_china_me.pdf.
6. This so-called one-level-down management system entails the appointee at each administrative level being appointed and managed by the post at the next higher level. Under this system, promotion decisions and supervision are dependent on immediate superiors rather than central authorities. See Wang Xiaoqi, *China’s Civil Service Reform* (London: Routledge, 2013).
innovations in their jurisdictions, the most successful of which provided templates for pilot policies elsewhere. Even when tasked with conflicting objectives, such as environmental protection, local officials’ incentives were clear. In addition to being a hard target and easily measurable, growth had the advantage of indirectly promoting social stability, enabling greater expenditure on public works, and providing officials with opportunities for personal enrichment.
But as Beijing has sought to balance a growing array of national policy priorities, such as improved social welfare and clean government, and to impose more “top-level design,” the downsides of decentralization have also become clear. Inconsistent standards and regulations across internal borders complicate the operating environment for businesses. Detailed local knowledge, which allows provincial leaders to interpret Beijing’s often vague policy pronouncements to suit conditions on the ground, have turned from advantage to obstacle as national leaders’ objectives have come into conflict with local priorities. Difficulties in addressing widespread air pollution are an example of this: while the pollution itself is widespread, the costs of addressing it in terms of reduced growth, lower revenues, and higher unemployment are borne locally. This makes the decision to impose antipollution measures highly political, requiring costly efforts (and compensation) to avoid instability and create incentives for compliance.
Much of the responsibility for these problems also falls on Beijing. In attempting to bridge the central-local divide and establish specific metrics for how to govern 1.36 billion people, national leaders have often created incentives for their subordinates to meet measurable targets at the expense of policy outcomes, or to create new problems by blindly pursuing unrealistic targets. For example, central mandates for local governments to improve health care coverage and to increase spending on public education and infrastructure—unaccompanied by any new formal sources of revenue—were major factors behind the worrisome growth in local debt over recent years.\footnote{Another was the growth targets themselves, which incentivized local leaders to generate revenues from land sales and other extrabudgetary financing that could then be funneled into GDP-boosting investments.} Despite Beijing’s promises that it has moved away from “GDP-obsessed” assessments and embraced a wider set of priorities, the continued posting of an annual growth target—even one that central leaders have stressed in recent years is nonbinding\footnote{For an optimistic view of the changing nature of Chinese targets, see Stephen Roach, “The End of Chinese Central Planning,” \textit{Project Syndicate}, March 27, 2014, http://www.project-syndicate.org/commentary/stephen-s--roach-reports-that-the-country-s-top-economic-officials-have-all-but-abandoned-traditional-growth-targets.}—underscores that Chinese leaders will face significant challenges in creating the right mix of incentives to implement more balanced policies.
\section*{Experimentation}
Experimentation has been a hallmark of Chinese leaders’ approach to advancing reform ever since Deng Xiaoping’s famous decision in 1980 to open the Shenzhen Special Economic
Zone and allow foreign direct investment into China. Experiments advanced from Beijing limit the political and economic risk of testing new policies. If these pilots prove successful, they provide evidence for those interested in implementing reform more broadly. Further pilots can then be tested in new areas, and the most successful approaches expanded nationwide. If an experiment fails, the failure is localized and cannot independently generate a large-scale threat to economic or social stability. This practice of experimentation is in keeping with the halting, risk-averse approach that has been typical of the Chinese economic reform process and is in keeping with Beijing’s strong emphasis on maintaining social stability.
Ambitious local officials interested in improving their chances at promotion can also generate experiments independently. Top-level Chinese documents, such as the Third Plenum Decision, are typically rife with vague, confusing, and often contradictory language, with the specifics then left to the functional agencies and lower levels of government to define and implement. At its best, this ambiguity allows ambitious local leaders to produce innovative policies based on knowledge of ground-level conditions, which then attract the attention of higher-level policymakers, who can scale up and implement these reforms on a broader basis. Local leaders might also secure tacit support from higher-level leaders to pilot pet projects, the success of which can advance the aforementioned leaders’ agenda (while providing plausible deniability in case of failure). This system has long been vital to China’s ability to achieve reforms despite its overall top-down political system.
Experimentation also carries risks. The decision to launch the Shanghai Free-Trade Zone (FTZ) in September 2013 (discussed in more detail in Chapter 5) as a trial for capital market reforms and new models of administration indicates that Chinese leaders are still most comfortable advancing reform through contained experiments. But there is some question of whether or not this approach of “crossing the river while feeling the stones” will work as reforms enter deeper water—and whether this preference for experimentation could become an excuse to avoid embracing bolder reforms. For example, the development of service industries that is at the heart of the Shanghai experiment is qualitatively different from the manufacturing-sector development that took place in Shenzhen. There is a distinct possibility that trying to isolate these industries and reforms from impacting the broader economy will undermine the increased service-sector competitiveness that Beijing seeks to encourage.
**External Pressure**
Despite the primacy of domestic drivers in Chinese policymaking, external pressure exerts an important influence on the incentives facing China’s leaders. At the central government level, it can provide leverage and an organizing principle for leaders taking on domestic opposition. As discussed earlier, former premier Zhu Rongji famously used the process of negotiating China’s accession to the WTO as a club to beat back vested interests, downsizing a bloated state-owned sector to lay the groundwork for a decade of phenomenal growth. At the local level, competition for foreign direct investment (FDI) has had an important
impact in shaping leaders’ incentives. Officials seeking to boost growth, generate employment, and move into higher value-added production areas have strong incentives to compete for foreign direct investment, particularly in technology-intensive sectors.
At the same time, China’s subsequent foot-dragging on implementing its WTO commitments and frequent examples of outright or circumspect noncompliance illustrate the limits of external pressure to produce change.\(^9\) Chinese leaders use external pressure as a pragmatic tool for advancing their specific interests. Their commitment to general principles, such as free trade, remains selective and narrow.\(^10\) Thus, it is important to distinguish Beijing’s use of external pressure as a tool to drive its own reform agenda and the effectiveness of external pressure in shaping Chinese domestic economic policy—particularly given the views of the Chinese leadership on economic development as central to China’s “comprehensive security.”
Today, growing momentum in international negotiations, such as those to establish a Trans-Pacific Partnership (TPP) and a U.S.-China Bilateral Investment Treaty (BIT), are creating changes in China’s external environment that may be playing a similar role to the WTO accession process in encouraging Chinese leaders to advance new pilots, such as the Shanghai FTZ. However, it is uncertain whether these will have a comparable transformative impact. Moreover, as the Xi administration considers how to pursue reforms in the context of new external pressures, it also faces new challenges. Not only is the Chinese economy far larger than it was in Deng or Zhu’s time, but it is much more deeply intertwined with the global economy than in the past. Thus, for example, the effort to liberalize and open China’s capital markets is complicated by the risk of rapid capital inflows and/or outflows in a globalized financial system.
\(^9\) The Office of the U.S. Trade Representative (USTR) prepares an annual report to Congress on China’s WTO compliance, which remain extensive. See USTR, 2014 Report to Congress on China’s WTO Compliance (Washington, DC: USTR, December 2014), https://ustr.gov/sites/default/files/2014-Report-to-Congress-Final.pdf.
\(^10\) Robert Sutter, “China’s Grand Strategy in Asia” (testimony before the U.S.-China Economic and Security Review Commission, March 13, 2014), http://www.uscc.gov/sites/default/files/SUTTER_Testimony.pdf.
Decisionmaking in the Financial Sector
Introduction
Financial reform is central to rebalancing the Chinese economy toward a new model of consumption-led growth. Since the global financial crisis, China’s financial system has generated an estimated $6.8 trillion in “wasted investment,” at the same time that GDP and productivity growth have dramatically slowed.\(^1\) China’s current leaders have accordingly identified financial reform as a priority in their overall economic reform agenda, released in November 2013. This agenda promises reform in the three primary areas where significant controls still prevent the market from playing a “decisive role” in capital allocation: interest rates, the exchange rate, and the capital account.
If implemented, these reforms have the potential to not only transform China’s financial system but also help unlock the new sources of growth required for China to become a “modern, harmonious, and creative high-income society.”\(^2\) At the same time, efforts to remove existing controls and build a modern financial system also highlight the challenges facing China’s reformers, and provide a window into Chinese economic policymaking under the Xi Jinping administration. Against a backdrop of slowing growth and rising debt, the reforms are risky and technically complex and face opposition from a host of powerful vested interests. This makes the strategy and process of reform implementation as important as the substance of the reforms themselves, and allows financial reform to serve as a lens for understanding the process of economic policymaking under the Xi Jinping administration.
This study focuses on financial reform for three primary reasons. First, financial reform is an area where success or failure has clear implications for the health of the overall economy. Second, Beijing has signaled that financial reform is a priority area within its own overall economic agenda. This makes it a useful test of the leadership’s credibility—both its ability to deliver on its reform agenda and its willingness to give
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1. Jamil Anderlini, “China has ‘wasted’ $6.8tn in investment, warn Beijing researchers,” *Financial Times*, November 27, 2014, www.ft.com/intl/cms/s/0/002a1978-7629-11e4-9761-00144feabdc0.html.
2. This is the original title of a 2012 report coauthored by The World Bank and the Development Research Center of the State Council, a Chinese government think tank. The report was later released with the words “high-income” removed from the title. See World Bank and Development Research Center of the State Council, People’s Republic of China, *China 2030: Building a Modern, Harmonious, and Creative Society* (Washington, DC: World Bank, 2013), http://www.worldbank.org/content/dam/Worldbank/document/China-2030-complete.pdf.
markets the promised “decisive role.” Third, finance is an area where policymaking is comparatively centralized and the number of bureaucratic players relatively small. This gives Zhongnanhai important advantages in implementing financial reform according to “top-level design.” Progress (or the lack thereof) on financial reform can thus, to a certain extent, provide a barometer for how Beijing is faring with its overall reform agenda.
FINANCIAL REFORM AND CHINA’S ECONOMIC REBALANCING
The structure of the Chinese financial system is a major factor behind the country’s macroeconomic imbalances. Controls over key prices, most notably bank deposit rates, systematically subsidize investment at the cost of consumption. In recent years, this “financial repression” has caused investment as a share of GDP to regularly approach 50 percent, contributed to sustained current account surpluses, and helped to push China’s debt-to-GDP ratio above 250 percent.\(^3\) The tendency of Chinese banks, which still supply the majority of credit, to favor larger borrowers in the industrial sector has further exacerbated this issue. Instead of supporting the growth of small and medium-sized enterprises (SMEs) in the services sector,\(^4\) where employment and productivity gains are greatest, banks have concentrated on lending to well-connected industrial concerns in overcapacity sectors.\(^5\)
This has left financing gaps that a large “shadow banking” sector has developed to fill. Shadow banking includes all forms of nonbank credit intermediation—both licit and illicit—as well as nontraditional lending activities by banks (often conducted on an off-balance-sheet basis). Examples of these activities include “trust loans, company-to-company entrusted loans, corporate bonds, and bankers’ acceptances.”\(^6\) These nontraditional lending activities fill unmet demand for credit and, to an extent, encourage more market-based pricing of risk.\(^7\) They have also contributed to China’s rapid debt build-up and magnified the overall level of risk and opacity in the domestic financial system.
The remaining controls on China’s financial system are relatively few in number but have been large in impact. The first is a deposit-rate ceiling set by the PBOC. China lacks strong social welfare protections, and channels for individuals to invest their savings are limited. In this context, by imposing a cap on the interest rate banks can pay depositors,
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3. Pedro Nicolaci da Costa, “China’s Total Debt Load Equals 282% of GDP, Raising Economic Risks,” *Wall Street Journal*, February 4, 2015, http://blogs.wsj.com/economics/2015/02/04/chinas-total-debt-load-equals-282-of-gdp-raising-its-economic-risks/.
4. Financing for SMEs is a problem many countries face. In international comparison, the Chinese financial system performs fairly well in providing SMEs with *access* to financing, though the *cost* of that financing is often prohibitive. For a more detailed discussion of this evolving issue, see Nicholas Borst, “Does China have an SME Lending Problem?” *China Economic Watch*, August 22, 2014, http://blogs.piie.com/china/?p=4025.
5. There has been some improvement on this issue in recent years, which is discussed in considerably more detail by Nicholas Lardy in his most recent book. See Nicholas R. Lardy, *Markets over Mao: The Rise of Private Business in China* (Washington, DC: Peterson Institute for International Economics, 2014).
6. Nicholas Borst, “Flying Blind,” *International Economy* (Winter 2014), http://www.international-economy.com/TIE_W14_Borst.pdf.
7. Chi Lo, “China’s Systemic Risk: Shadow Banking,” BNP Paribas, June 2014, http://institutional.bnpparibas-ip.com/chinas-systemic-risk-shadow-banking/.
the Chinese authorities force households to accept a below-market rate of return on their savings, encouraging oversaving and underconsumption—or the seeking of higher rates of return via risky wealth management products.\(^8\) For banks and their borrowers, the deposit rate ceiling acts as a subsidy, artificially lowering their funding costs and contributing to overinvestment in capital-intensive industries.\(^9\)
Complementing this policy is China’s closed capital account.\(^10\) Despite significant moves to liberalize China’s direct investment regime, opportunities for both inbound and outbound portfolio investment remain limited. This restricts the ability of savers to move their funds abroad in search of a higher return, dampening their ability to consume and confining them to the limited pool of assets available domestically (such as real estate and, increasingly, wealth management products). A third pillar of this system is China’s managed exchange rate regime, the maintenance of which has led to the accumulation of over $3.5 trillion in official reserves.\(^11\) An undervalued RMB has historically helped to fuel exports and make imports artificially expensive in the Chinese market, protecting domestic industry at the cost of suppressed household consumption.
**FINANCIAL REFORM IN THE THIRD PLENUM AGENDA**
Financial reform features prominently within the Third Plenum Decision and is a key element of the overall strategy to give the market a “decisive role” in resource allocation. Section 12 of the document presents a sweeping array of market-based reforms. These include liberalization of interest rates, the exchange rate, and the capital account, precisely the reforms needed to address the aforementioned imbalances. Section 12 also describes the institutional reforms needed to support this liberalization and greater marketization of the Chinese financial system. These include the introduction of a deposit insurance scheme, strengthened and better-coordinated regulatory supervision, and the development
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8. The reasons underpinning China’s high household savings rates are much debated, and deposit rate controls are not the only factor. For example, Liu (2014) estimates that job uncertainty resulting from market-based reforms accounted for about a third of Chinese urban household wealth accumulation from 1995 to 2002. Another key factor is China’s relatively threadbare social safety net. For more, see Zheng Liu, “Job Uncertainty and Chinese Household Savings,” Federal Reserve Bank of San Francisco, February 3, 2014, http://www.frbsf.org/economic-research/publications/economic-letter/2014/february/job-uncertainty-china-household-savings-state-owned-enterprises-iron-rice-bowl/.
9. The effect of the deposit ceiling as a subsidy has been reduced in recent years, as a host of new vehicles for savings has emerged to compete with banks for deposits, such as wealth management products and Internet finance. Many of these benefit from an implicit guarantee that the local or central government will step in to prevent default, though the expected introduction of a new deposit insurance system designed to make explicit what products are and are not guaranteed will likely impact this dynamic.
10. For a review of China’s capital account restrictions as of October 2014, see IMF, *Annual Report on Exchange Arrangements and Exchange Restrictions 2014* (Washington, DC: IMF, October 2014), https://www.imf.org/external/pubs/nft/2014/areareas/ar2014.pdf.
11. The extent of China’s RMB undervaluation is much debated. For example, Subramanian and Kessler (2014) use a purchasing-power-parity-based methodology to argue that the RMB is fairly valued. In its 2014 Article IV review for China, the IMF assessed that the RMB remained “moderately undervalued” as of July 2014. However, in the first months of 2015, the RMB has instead faced pressure to depreciate. Martin Kessler and Arvind Subramanian, “Is the Renminbi Still Undervalued? Not According to New PPP Estimates,” *RealTime Economic Issues Watch*, May 1, 2014, http://blogs.piie.com/realtim/?p=4300; IMF, *People’s Republic of China: 2014 Article IV Consultation* (Washington, DC: IMF, July 2014), https://www.imf.org/external/pubs/ft/scr/2014/cr14235.pdf.
of more direct financing methods. Financial reform is also identified throughout the Decision as key to solving other problems, such as improving the allocation of funds to support technological advancement.\textsuperscript{12}
Since the Third Plenum, a host of high-profile Chinese financial policymakers—and People’s Bank of China Governor Zhou Xiaochuan in particular—has further clarified the direction of reform. In December 2013, Governor Zhou presented a roadmap for financial reform, promising to “speed up” reforms in all three of the aforementioned areas.\textsuperscript{13} In a speech the following March and again in July 2014, he went even further, suggesting that bank deposit rates could be liberalized “within about two years.” These statements from the PBOC have been echoed by the leadership of other key regulatory agencies, including the China Banking Regulatory Commission (CBRC). In an October 2014 article published in the leading Communist Party journal \textit{Seeking Truth}, CBRC Chairman Shang Fulin stressed the need to use market-based reforms of interest rates and greater financial innovation to improve the efficiency of capital allocation, while improving financial regulation to ensure stability.\textsuperscript{14} Along with repeated mentions by President Xi and Premier Li, these statements indicate the high priority that Chinese leaders are placing on financial reform.
\section*{FINANCIAL REFORM AND ECONOMIC POLICYMAKING}
Three factors make financial reform a useful lens for understanding the characteristics of Chinese economic policymaking under Xi, as well as the challenges of overall economic reform.
First, financial reform is an area where success or failure has clear implications for the health of the overall economy. Should China fail to build a financial system capable of efficiently allocating credit to a modern market economy, the imbalances described above could deepen rather than correct. The country will likely struggle in its transition to a new consumption-led growth model as inefficient capital allocation harms productivity growth (particularly in the services sector), leading the overall macro environment to deteriorate, and raising the risk that unproductive debts will further mount and eventually produce a crisis. While carrying its own set of risks—among them, a weakening of the party’s direct influence over economic outcomes—transitioning to a competitive, market-based financial system capable of promoting free entry and exit of firms and efficient allocation of credit is almost universally regarded as essential to China’s continued economic development. Market-based financial reforms would not only provide a boost to growth but also generate
\textsuperscript{12} For a comprehensive review of the Third Plenum Decision, see Daniel H. Rosen, \textit{Avoiding the Blind Alley: China’s Economic Overhaul and Its Global Implications} (New York: Asia Society Policy Institute, October 2014), http://asiasociety.org/files/pdf/AvoidingtheBlindAlley_FullReport.pdf.
\textsuperscript{13} Zhou Xiaochuan, “Road map for financial reform,” \textit{China Daily}, December 11, 2013, http://usa.chinadaily.com.cn/opinion/2013-12/11/content_17166127.htm; Zhou Xiaochuan, “Road map for financial reform,” \textit{China Daily}, December 28, 2013, http://usa.chinadaily.com.cn/opinion/2013-12/11/content_17166127.htm.
\textsuperscript{14} Shang Fulin, “Finding the Right Balance between Financial Innovation and Stability,” \textit{Qiushi} 6, no. 4 (October 2014), http://english.qstheory.cn/2014-11/15/c_1113078071.htm.
strong pressures for reform in other areas and help to rebalance the Chinese economy toward a more sustainable growth model.
Second, Beijing has signaled that financial reform is a priority area within its own overall economic agenda. This makes it a useful test of the leadership’s credibility—particularly its willingness to give markets the promised “decisive role.” Beijing has long sought to exercise strict control over finance as a core part of not only its development strategy but also its efforts to maintain the Communist Party’s “leading role” in the domestic political system.\(^{15}\) How leaders proceed with financial reform implementation can provide indication of how they will attempt to balance this “leading role” for the party with the “decisive role” accorded the market. Given the array of vested interests that benefit from the current financial system, such as local governments and SOEs, financial reform will also be a key test of political will.
Third, finance is a good testing ground for the ability of the current leadership in Beijing to manage the overall reform process at a difficult time of transition—the focus of this study. Contrary to other aspects of the reform agenda, such as urbanization, Beijing has direct influence over all of the main levers of financial policy, from interest rates to the payments system. This gives Chinese leaders and central technocrats a strong hand in shaping the reform process—and therefore less excuse for failure. At the same time, financial reform will test some of the enduring characteristics of Chinese policymaking described in Chapter 4. For example, experimentation may not be a viable approach in a porous sector like financial services where both innovation and risk can spread rapidly. Similarly, external forces both facilitate and complicate financial reform, as pressure builds up for capital to flow both in and out of the country. And it remains to be seen whether Beijing’s policymakers can pull off the proper sequencing of interest-rate deregulation and capital-account liberalization while avoiding financial instability, against the backdrop of an opaque and fast-evolving set of risks.
The remainder of this chapter is divided into four sections. The first provides background on the development of China’s financial system over the past 35 years. The next describes the structure of the financial policymaking apparatus. This is followed by three case studies covering interest rate, exchange rate, and capital account reform. A final section reviews characteristics of policymaking illustrated by these case studies and assesses their implications for financial reform moving forward.
**The Evolution of China’s Financial System**
Since the start of “reform and opening,” the evolution of the Chinese financial system has mirrored the transformation of the economy. In 1978, the PBOC managed over 90 percent of China’s financial assets, acting as both a central and commercial bank. Central planners
\(^{15}\) Carl Walter and Fraser Howie, *Red Capitalism: The Fragile Financial Foundation of China’s Extraordinary Rise* (Hoboken, NJ: Wiley, 2012); Victor C. Shih, *Factions and Finance in China: Elite Conflict and Inflation* (Cambridge, UK: Cambridge University Press, 2009).
determined the allocation of real and financial resources, rather than expected rates of return. Today, the Chinese financial system is far more diverse and, like the economy as a whole, far more market-oriented. New financial intermediaries and nontraditional lending platforms, such as Internet finance vehicles, have proliferated alongside state-owned megabanks and traditional commercial lenders. The size of the financial system relative to the overall economy has swelled from 32 percent of GDP in 1978 to over 250 percent today.
As this system has grown in size and complexity, China has built a sophisticated financial regulatory apparatus charged with its oversight. In many respects, this apparatus closely resembles that of many Western economies: it features a modern central bank, responsible for managing overall credit conditions and maintaining financial stability, as well as specialized regulatory institutions, such as the CBRC and China Insurance Regulatory Commission (CIRC). If the financial reforms outlined in the Third Plenum Decision are implemented, these similarities will continue to deepen over time, as Beijing introduces new institutions, such as a planned deposit insurance facility, that are standard features of a modern financial system.
However, the resemblance between the Chinese and Western financial systems can be overstated. The evolution of China’s financial system reflects its dual mandate: to allocate capital in a manner that promotes stable growth and the modernization of the Chinese economy; and to serve as a tool for maintaining the power and control of the Communist Party. This has meant both a gradual introduction of market discipline in the financial system and the maintenance of a high degree of political control over market participants. This closeness of finance and politics in China is evidenced both by the formal structure of the system, which is dominated by large state-owned banks with government-appointed leadership, and by the close informal ties that exist between financial institutions and governments at the central and local levels.\(^{16}\)
The Third Plenum reforms promise to reshape this relationship, minimizing political interference in everyday decisions where market-determined outcomes more effectively serve party objectives. However, in the minds of Chinese leaders, giving the market a decisive role in capital allocation does not mean eliminating public ownership and control. The stated goal of the reforms is to produce a stable and efficient financial system capable of supporting a new, more sustainable, consumption-led growth model. Or, to borrow a phrase from a 2009 document released by the State Council, to create a financial system “commensurate with [China’s] economic strength.”\(^{17}\) History suggests this implies a reduc-
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16. For a concise overview of the Chinese financial system in the context of Western financial systems, see Douglas J. Elliott and Kai Yan, *The Chinese Financial System: An Introduction and Overview*, John L. Thornton China Center Monograph Series, No. 6 (Washington, DC: Brookings, July 2013), http://www.brookings.edu/~media/research/files/papers/2013/07/01%20chinese%20financial%20system%20elliott%20yan/chinese%20financial%20system%20elliott%20yan.pdf.
17. The State Council, “Opinions on Accelerating Shanghai’s Developing Its Modern Service and Advanced Manufacturing Industries, and Its Development into an International Financial Center and an International Shipping Center,” endorsed by an executive meeting of the State Council on March 25, 2009. Quoted in Patrick Hess, “China’s Financial System: Past Reforms, Future Ambitions, and Current State,” *Currency Cooperation in East Asia*, ed. Frank Rövekamp and Hanns Günther (New York: Springer, 2014).
tion in direct state ownership and control over the financial system and greater international openness, but only to the extent and in a manner that serves Chinese leaders’ enduring political goals: maintaining stability and achieving the “great rejuvenation of the Chinese nation.”
THE EARLY REFORM PERIOD: 1978–1992
At the start of “reform and opening” in 1978, the sophistication of China’s financial system reflected both the country’s overall low level of development and the ancillary role of finance in a planned economy. As previously mentioned, the PBOC managed upwards of 90 percent of the country’s financial assets, serving as both China’s central and sole commercial bank under the control of the Ministry of Finance (MOF). Central planners determined the allocation of resources, rather than financial considerations, and investment was financed through government budgets. Domestic stock, bond, and insurance markets were nonexistent, and all foreign currency was controlled by the central government, which distributed it at an officially determined rate of exchange. Only 15 years later, banks had become the dominant source of financing in the Chinese economy, Beijing was on the verge of ending a cumbersome dual-track exchange rate system, and China’s first stock markets had been formally established in Shanghai and Shenzhen.
The current shape of China’s domestic financial system first began to emerge in a period of intense institutional change that lasted from 1978 to 1984. During this time, the PBOC was made separate from the MOF and placed under the direct supervision of the State Council. The State Administration of Foreign Exchange (SAFE) was established under the PBOC to manage and approve distribution of China’s foreign exchange reserves. The commercial banking aspects of the PBOC’s operations were spun off to establish what would become China’s “Big Four” state-owned megabanks: Bank of China, focused on foreign trade and investment financing; Agricultural Bank of China, which emphasized serving the needs of the rural economy; China Construction Bank, specialized in fixed asset investment; and the Industrial and Commercial Bank of China, which, as the last created, took over the mixed remainder of the PBOC’s operations in 1984. Other smaller financial intermediaries, such as credit cooperatives and trust and investment companies, proliferated alongside these new institutions and would continue to expand throughout the 1980s. At the same time, and preempting central approval, Shanghai and Shenzhen also began building the institutions needed to establish a domestic stock market.
18. Zheng Wang, “Not Rising, But Rejuvenating: The ‘Chinese Dream,’” *The Diplomat*, February 5, 2013, http://thediplomat.com/2013/02/chinese-dream-draft/.
19. For a more detailed account of the structure of China’s financial system and administrative reforms during this period (on which this section draws heavily), see Franklin Allen, Jun “Qi” Qian, Chenying Zhang, and Mengxin Zhao, *China’s Financial System: Opportunities and Challenges*, NBER Working Paper No. 17828 (Cambridge, MA: National Bureau of Economic Research, February 2012), http://www.nber.org/papers/w17828.pdf.
20. For a more comprehensive review of the evolution of the Chinese financial system, see Allen et al., *China’s Financial System*.
The institutional reforms that took place during this period produced a dramatic shift in who allocated credit within the Chinese economy: state-owned banks replaced government budget appropriations as the dominant source of firms’ investment financing by the early 1980s. However, the new role of banks did little to make the allocation of capital less political. Instead of focusing on commercial considerations, China’s banks found themselves struggling to manage competing political objectives. On the one hand, they were required to focus a large share of their lending on supporting nonviable firms threatened by competition. This was needed in order to avoid mass unemployment and maintain stability. On the other hand, central government measures to insulate savers’ deposits from the high inflation of the 1980s often resulted in narrow—or even negative—spreads between lending and deposit rates. This led to a steady deterioration of bank balance sheets through the 1980s and into the 1990s. Among other factors, pervasive interference in lending decisions by local party officials (who often controlled the appointments of banks’ branch managers) and banks’ limited technical capacity for assessing borrower creditworthiness further exacerbated the issue.
The financial reforms undertaken during this period had important positive effects for the development of China’s domestic financial system. In particular, the establishment of new institutions patterned on those of a market economy laid the foundation for future rounds of reform. On the international front, China also made progress toward bringing its overvalued official exchange rate more closely in line with market fundamentals through a series of gradual devaluations of the RMB, and allowed the first foreign investors to enter the previously closed Chinese market. At the same time, the growing pains were significant. The inflation that resulted from the surge in lending and new money creation during the 1980s was a major factor behind the unrest that triggered the Tiananmen Square protests of 1989 and the subsequent period of political retrenchment. Following Tiananmen, financial reforms (and economic reform in general) were largely put on hold until after Deng Xiaoping embarked on his famous Southern Tour in 1992.
**FINANCIAL REFORM DEEPENS: 1992–2005**
The period from 1992 to 2005 saw Chinese leaders push deep and painful reforms that transformed the country’s ailing financial system, strengthened its market orientation, and laid the foundations for a decade of rapid economic growth. On the domestic front, reformers in Beijing, led by Premier Zhu Rongji, oversaw the recapitalization and public listing of China’s ailing Big Four banks, and introduced reforms to strengthen their subsequent performance and profit orientation. The PBOC was restructured to improve its surveillance capacity, and new regulatory institutions, including the CBRC, CIRC, and China Securities Regulatory Commission (CSRC), were established to improve financial regulation and support broadening of China’s financial system. After earning official government approval in 1991, the capitalization of the Shanghai and Shenzhen stock markets grew remarkably (particularly through 2000). Bond markets were arguably the only aspect of China’s financial system that did not experience significant development during this period.
The most significant financial system reforms that took place during this period were almost certainly the start of interest rate liberalization (in 1996) and the massive overhaul of China’s banking system, which, as discussed previously, had become increasingly impaired by a rapidly growing stock of nonperforming loans (NPLs) over the course of the 1990s.
By 1998, the extent of China’s bad loans were estimated at as much as 40 to 50 percent of total lending and roughly 30 percent of GDP.\(^{21}\) Responding to the shock of the Asian Financial Crisis, Premier Zhu Rongji oversaw an ambitious strategy that recapitalized China’s banks, transferred their bad loans to government-backed asset management companies, forced aggressive restructuring of operations (including significant cuts in staff), and invited foreign banks to take equity stakes in the Big Four as strategic investors as a means of introducing international best practices in technology and management. In addition to these and other measures designed to strengthen banks’ commercial orientation, Beijing also began implementing a policy of financial repression to protect bank profitability and support a high rate of investment. This was, in effect, a reversal of the policy of the previous decade, which had sacrificed bank balance sheets for the sake of protecting depositors. While effective in its time, this policy shift would contribute to deepening the macroeconomic imbalances that China is still struggling to address today.
China also undertook significant reforms to bring its exchange rate more in line with market fundamentals during this period. In 1994, Beijing devalued the RMB by 33 percent and eliminated the dual-track exchange rate system. Over the next three years, it allowed the RMB to gradually appreciate to 8.28 yuan per dollar by September 1997. In response to the Asian financial crisis, the RMB was then repegged to the dollar until 2005. During this period, the PBOC intervened consistently to maintain the peg, while allowing consistent real appreciation (due to the consistent inflation differential between the United States and China).\(^{22}\)
Another important outcome of this period of intensive reform was the continued modernization of China’s financial regulatory apparatus. By the end of 2003, the PBOC had undergone structural reform to reduce the influence of provincial officials over its branch offices, and been stripped of its functions as a bank regulator, strengthening its institutional orientation as a “pure” central bank (though it remained under the direction of the State Council). The PBOC’s bank supervisory responsibilities (and around 200 members of its staff) were then transferred to the CBRC, a new ministry-level body that officially opened its doors in April 2003 with a mandate to oversee regulation of the banking
\(^{21}\) Yukon Huang and Canyon Bosler, *China’s Debt Dilemma: Deleveraging While Generating Growth* (Washington, DC: Carnegie Endowment for International Peace, September 2014), http://carnegieendowment.org/files/china_debt_dilemma.pdf; for a thorough review of China’s financial challenges at the time, see Bank for International Settlements (BIS), *Strengthening the Banking System in China: Issues and Experience*, BIS Policy Papers No. 7 (Basel: BIS, October 1999), http://www.bis.org/publ/plcy07.htm.
\(^{22}\) Wayne M. Morrison and Marc Labonte, “China’s Currency Policy: An Analysis of the Economic Issues,” Congressional Research Service, July 22, 2013, https://www.fas.org/sgp/crs/row/RS21625.pdf.
system.\textsuperscript{23} This period also saw the creation of the CSRC (in 1992) and the CIRC (in 1998), such that by end-2003 all the formal structures of China’s current financial policymaking apparatus were in place.
At the same time, another lesser-known party organization was at work behind the scenes, managing reforms designed to use improved personnel management to reassert the party’s control over the financial system. The Central Financial Work Commission (CFWC), established in mid-1998 with the backing of Zhu and headed by then vice premier Wen Jiabao, was responsible for the appraisal and appointment of thousands of senior executives in national financial institutions (ostensibly chosen for their technical skills and party loyalty).\textsuperscript{24} Until its dissolution in 2003, the CFWC played a major role in recentralizing party control and supervision of bank managers within the national institutions that, at the time, held roughly 80 percent of financial industry assets in China.\textsuperscript{25}
**KEY FEATURES OF THE FINANCIAL SYSTEM AT THE START OF THE XI ADMINISTRATION**
From 2005 through end-2012, China’s financial reform process stalled. The Zhu-era reforms had restored China’s major financial institutions to positions of strength, and the Hu-Wen administration directed its focus elsewhere. Meanwhile, with net interest margins protected by the PBOC-set deposit rate ceiling and other controls, China’s major commercial banks were able to improve their profitability without significantly raising their lending standards or risk assessment capacity. Instead, they concentrated on lending to state-owned firms (mainly in industrial sectors), which enjoyed implicit government backing and could pledge large stocks of physical collateral. The development of China’s direct financing channels, such as stock and bond markets, also stalled. However, this period did see the growth of a large shadow-banking sector, which expanded rapidly following the financial crisis. On the external front, the RMB appreciated almost 40 percent against the dollar in real terms from 2005 through 2012, even as China’s foreign exchange reserves expanded at double-digit rates (a product of the PBOC’s efforts to limit the rate and extent of appreciation through intervention).
At the start of the Xi administration and through the present, banks remain the primary source of credit within the Chinese economy, but the financial system has also become significantly more diverse and complicated with time.\textsuperscript{26} As of end-2012, bank credit was equal to 128 percent of GDP, with the Big Four (plus Communication Bank of China, the country’s fifth-largest lender) accounting for around half of this lending. Joint-stock com-
\textsuperscript{23} Barry Naughton, “Government Reorganization: Liu Mingkang and Financial Restructuring,” \textit{China Leadership Monitor}, no. 7 (Summer 2003), http://www.hoover.org/sites/default/files/uploads/documents/clm7_bn.pdf.
\textsuperscript{24} For a more thorough account of this process, see Sebastian Heilmann, “Regulatory Innovation by Leninist Means: Communist Party Supervision in China’s Financial Industry,” \textit{China Quarterly} 181 (March 2005), http://journals.cambridge.org/action/displayAbstract?fromPage=online&aid=290062.
\textsuperscript{25} Notably, the CFWC left control over appointments at local financial institutions to local party committees.
\textsuperscript{26} This section and many of the statistics contained herein draw from the thorough and highly accessible work of Douglas Elliott and Kai Yan, \textit{The Chinese Financial System}.
mercial banks were the second-largest source of bank credit, followed by rural financial institutions and city commercial banks. Despite China’s pledges to open the financial sector to greater foreign participation as part of its WTO accession package, foreign banks had less than a 2 percent market share as of end-2013.\(^{27}\)
Political influence over the banking system remains extensive at the national and local levels and continues to exert an influence on bank lending patterns (though the precise extent of this influence is debated). The heads of China’s largest banks are appointed by the CCOD, and enjoy ministerial or vice-ministerial rank within the state system, in addition to whatever party rank they might hold. Local governments continue to exert both active and passive influence on bank lending decisions (though their direct influence appears to be lessening with time). For example, a loan officer at a local branch of a national bank is likely to be more inclined to lend to a local SOE, which enjoys the implicit guarantee of the local government, rather than lend to a private enterprise, which might default and harm the loan officer’s career.
While efforts are under way to further develop China’s domestic stock and bond markets, these channels for direct financing remain significantly underdeveloped relative to the banking system. At the start of the Xi administration, bonds accounted for credit equivalent to only 41 percent of GDP, and China’s stock market capitalization was roughly 45 percent of GDP. The reasons for this underdevelopment are many and varied, ranging from the complicated regulatory framework surrounding bond issuance to the limited rights shareholders can exercise over major listed companies (most of which are least partly state owned). However, Chinese leaders have identified the strengthening of direct financing channels as an important priority of future financial reforms in order to improve the ability of China’s financial system to serve the needs of the real economy.
Even as these financing channels have been slow to develop, China’s tight regulatory controls have had the side effect of spawning a thriving shadow-banking sector, which grew up particularly in the aftermath of the global financial crisis and accounted for 42 percent of new credit creation in 2012.\(^{28}\) This has had the important effect of magnifying the complexity and opacity of the Chinese financial system, and has been a major source of concern for Chinese financial regulators for some time.\(^{29}\) On the other hand, it has also been tolerated, and even encouraged to some degree, as a means of introducing more market pricing of risk and creating competition for deposits without lifting existing controls. Another more recent, but rapidly growing, source of competition is China’s Internet finance platforms. In comparison with established players, these institutions are small,
\(^{27}\) “Lenders of little resort,” *The Economist*, June 28, 2014, http://www.economist.com/news/finance-and-economics/21605920-china-enticing-elusive-market-foreign-banks-lenders-little-resort.
\(^{28}\) Borst, “Flying Blind.”
\(^{29}\) Along with other aspects of China’s overall financial deepening, the growth of the shadow banking sector has also reduced the effectiveness of the PBOC’s quantitative tools for overseeing the money supply’s rate of expansion and encouraging its gradual and ongoing shift toward more market-based tools for liquidity management. See Wei Liao and Sampawende J.-A. Tapsoba, *China’s Monetary Policy and Interest Rate Liberalization: Lessons from International Experiences*, IMF Working Paper No. WP/14/75 (Washington, DC: IMF, May 2014), https://www.imf.org/external/pubs/ft/wp/2014/wp1475.pdf.
but by intensifying competition for deposits at the margin they have the potential to exert a powerful effect on bank behavior moving forward.
**China’s Financial Regulatory Institutions**
This section covers the basic structure of the Chinese financial regulatory and supervisory system and provides brief outlines of the responsibilities and histories of some of the main functional ministries. It focuses on the formal institutions of the state, but this is not to suggest the party is absent. Through the Central Committee Organization Department and the *nomenklatura* system, the party controls appointments at the major banks and regulatory institutions. Under the Xi administration, the CFELSG and its office staff have also exercised greater control over the Chinese financial regulatory system and the process of financial reform.
The State Council has formal authority for supervising China’s financial regulatory apparatus, and major decisions regarding monetary policy or financial regulation must be approved by the State Council or its 10-member executive committee. The main financial regulators—the PBOC, MOF, CBRC, CSRC, and CIRC—are all ministry-ranked agencies and members of the State Council. They are entitled to attend its full meetings and may be called to executive committee meetings as necessary. SAFE, as a vice-ministerial agency under the PBOC, is not officially a member of the State Council. While the NPC nominally has responsibility for oversight of the State Council and must approve any major legislative changes, in practice it is a rubber stamp, lacking the time or capacity to effectively perform this function.
**PEOPLE’S BANK OF CHINA (PBOC)**
Established in 1949, the PBOC functioned as both a central and commercial bank under the control of the MOF until 1978, when it was established as an independent agency under the State Council and given full ministerial rank.\(^{30}\) Over the subsequent years, its commercial banking operations were gradually spun off, and the scope of the PBOC’s mandate narrowed to reduce its involvement in commercial operations (although it retained responsibility for bank oversight). In 1998, a round of structural reforms reorganized the PBOC along lines similar to the U.S. Federal Reserve, consolidating its provincial operations into nine regional branches. This was designed to reduce the influence of provincial officials on policy implementation.\(^{31}\) In March 2003, yet another bureaucratic reshuffle stripped the PBOC of its responsibility for bank oversight, allowing it to focus its attentions on the conduct of monetary policy and maintenance of overall financial stability.\(^{32}\)
\(^{30}\) Allen et al., *China’s Financial System*, 5.
\(^{31}\) Arthur J. Rolnick, “Interview with Ping Xie,” *The Region*, December 1, 2013, https://www.minneapolisfed.org/publications/the-region/interview-with-ping-xie.
\(^{32}\) Ibid.
While not formally independent (being under the supervision of the State Council), the PBOC and its staff have earned a reputation for strong technical capacity and effectiveness in the conduct of monetary policy. As an institution, the PBOC has long advocated in favor of a more liberalized domestic financial system, a more flexible exchange rate in line with market fundamentals, and a more open capital account (taking into account internal and external conditions). These views are in particular associated with longtime PBOC governor Zhou Xiaochuan, who has served as the bank’s head since December 2002 (he is also secretary of the PBOC’s party committee).\(^{33}\) In late 2013, Zhou was revealed to be a member of both the CDRLSG and the CFELSG, illustrating his continued importance in the Xi administration’s system of economic policymaking. The PBOC successfully argued in favor of avoiding broad monetary stimulus measures for the first two years of the Xi administration to promote restructuring, staving off calls from the NDRC (among others) for a loosening of rates.\(^{34}\)
The PBOC conducts monetary policy through its control over the required reserve ratio for banks, the discount rate for interbank lending, and open market operations. In contrast to the U.S. Federal Reserve and central banks in other advanced economies, the PBOC has often used the required reserve ratio as its primary tool for adjusting the money supply, and makes comparatively heavy use of quantity-based targets (such as M2) for monitoring money supply growth. For the first two years of the Xi administration, the PBOC largely eschewed broad easing measures, instead making more targeted efforts to encourage the flow of credit to priority sectors, such as by making credit lines selectively available to banks focused on lending to agricultural concerns. The goal of these operations was to ease selectively, limiting further borrowing by overleveraged SOEs or investment in overcapacity sectors while avoiding a sharp overall slowdown. This reflected the PBOC’s general concerns about structural bias in how the Chinese financial system allocates capital.\(^{35}\) As the economy struggled in the latter half of 2014 and early 2015, the PBOC changed its approach, cutting its benchmark interest rate twice in an effort to stabilize the economy. At the same time, demonstrating its commitment to continuing the gradual process of interest rate liberalization, the PBOC paired both rate cuts with increases in the benchmark lending rate.\(^{36}\)
\(^{33}\) Bob Davis and Lingling Wei, “China’s Central Banker Leads Push to Overhaul Economy,” *Wall Street Journal*, November 5, 2013, http://www.wsj.com/articles/SB10001424052702304200804579164003669215172.
\(^{34}\) Lingling Wei and Bob Davis, “China’s Central Bank Prevails in Policy Battles Over Economic Future,” *Wall Street Journal*, June 8, 2014, http://www.wsj.com/articles/chinas-central-bank-prevails-in-policy-battles-over-economic-future-1402270855.
\(^{35}\) In February 2015, the PBOC did announce an across-the-board cut in its required reserve ratio, with an additional cut for city commercial banks and certain rural commercial banks, as well as the Agricultural Development Bank of China. This reflected both deepening concern about China’s overall growth and a continued effort to encourage lending to priority sectors. See Xiaoqing Pi, “China Joins Global-Easing Wave with Bank Reserve Ratio Cut,” *Bloomberg*, February 4, 2015, http://www.bloomberg.com/news/articles/2015-02-04/china-cuts-banks-reserve-ratio-in-liquidity-move-to-spur-growth.
\(^{36}\) Jing Yang, “China’s central bank announces long-awaited rate cut to boost economy,” *South China Morning Post*, February 28, 2015, http://www.scmp.com/news/china/article/1725806/china-cut-benchmark-interest-rates-25-basis-points-pboc-announces.
STATE ADMINISTRATION OF FOREIGN EXCHANGE (SAFE)
Established in 1978, SAFE is a vice-ministerial agency under the PBOC,\textsuperscript{37} charged with the management of China’s more than $3.5 trillion in foreign exchange reserves.\textsuperscript{38} SAFE’s core functions are foreign exchange management, maintenance of balance of payments statistics, and the oversight of foreign exchange transactions (as well as the issuance of related regulations). It is also responsible for managing the qualified foreign institutional investors program. While the Chinese government does not officially acknowledge SAFE as such, it also functions in many ways like a sovereign wealth fund, and is the world’s third-largest in terms of assets-under-management.\textsuperscript{39} It oversees fund management arms located in four major financial centers around the world: Singapore, Hong Kong, London, and New York. The current head of SAFE is Administrator Yi Gang, who also serves concurrently as a deputy governor of the PBOC and, as of April 2014, a deputy director of the office of the CFELSG—effectively the secretariat for implementing the current leadership’s reform agenda.
CHINA BANKING REGULATORY COMMISSION (CBRC)
The CBRC was formally established in 2003, as a ministry-ranked agency. It holds broad responsibility for supervising and regulating China’s banking system and ensuring that the interests of depositors and consumers are protected. The CBRC was initially staffed by personnel transferred from the PBOC and the now-defunct CFWC.\textsuperscript{40} Under the leadership of its first director, Liu Mingkang (2003–2011), the CBRC earned a reputation for taking a proactive approach to limiting the accumulation of risk in the banking sector, even when doing so came at the cost of tighter credit conditions.\textsuperscript{41}
Unlike the PBOC, the CBRC is organized along provincial lines, which, along with its necessarily close working relationships with China’s banks, has led to some concerns over its independence. The CBRC’s comparatively cautious attitude toward financial liberalization has also reportedly led to disagreements with the more liberally minded PBOC and impaired the effectiveness of a financial regulatory coordinating body established in August 2013.\textsuperscript{42} Since 2011, the CBRC has been headed by Shang Fulin, a member of the 18th CCP Central Committee and an experienced technocrat who served previously as the head of the CSRC, as president of the Agricultural Bank of China, and, in the late 1990s, as a deputy governor of the PBOC.
\textsuperscript{37} Despite being an agency under the PBOC, the relationship has not always been harmonious. For example, see Pete Sweeney, “Insight: China turf war over yuan reform rattles foreign firms,” Reuters, August 4, 2013, http://www.reuters.com/article/2013/08/04/us-china-economy-yuan-idUSBRE9730B220130804.
\textsuperscript{38} Allen et al., \textit{China’s Financial System}.
\textsuperscript{39} Iacob N. Koch-Weser and Owen D. Haacke, \textit{China Investment Corporation: Recent Developments in Performance, Strategy, and Governance} (Washington, DC: U.S.-China Economic and Security Review Commission, June 2013), http://www.uscc.gov/sites/default/files/Research/China%20Investment%20Corporation_Staff%20Report_0.pdf.
\textsuperscript{40} Naughton, “Government Reorganization.”
\textsuperscript{41} Ibid.
\textsuperscript{42} For example, see Jamil Anderlini, “Fear of crisis intensifies China’s political battles,” \textit{Financial Times}, April 9, 2014, http://www.ft.com/intl/cms/s/0/b28aed1e-bfc6-11e3-b6e8-00144feabdc0.html?siteedition=intl.
MINISTRY OF FINANCE (MOF)
Established in 1949, MOF is a ministry-ranked agency and sits on the full State Council. It is responsible for macroeconomic surveillance and for compiling the national annual budget. While not directly involved in the collection of taxes, which falls within the purview of the State Administration of Taxation, MOF is responsible for managing the vital system of fiscal transfers between central and local governments (though it does not determine their distribution). It is also an important source of data used for benchmarking economic activity, including closely watched statistics related to central government debt and borrowing. Through share holdings in major commercial banks and its control over the Central Huijin Company, MOF is loosely involved in financial regulation, though it does not exercise direct regulatory authority over said banks. It is also in charge of China’s official sovereign wealth fund, the China Investment Corporation.
For much of reform and opening, MOF experienced a gradual decline in importance, as progressive rounds of reform split its once-extensive portfolio across several more specialized agencies. As a result, it is often noted (even on the State Council’s own website) that MOF exercises relatively little authority when compared to its international counterparts. Other Chinese ministries have responsibility for key elements of economic policy: the NDRC for macroeconomic management; separate commissions for banking, insurance, and securities regulation; and the PBOC for monitoring of money markets. However, today MOF is playing an increasingly important role. Under Minister Lou Jiwei, a highly respected technocrat who also serves on the Comprehensively Deepening Reform and Finance and Economics central leading small groups, MOF has developed, and is now in charge of implementing, a much-touted comprehensive fiscal reform plan. This plan, which has received endorsement from the CDRLSG and been consistently stressed by the Xi leadership as a top priority, is expected to be a major focus of reform in 2015.
NATIONAL DEVELOPMENT AND REFORM COMMISSION (NDRC)
The NDRC was the most powerful ministry under the State Council during the Hu-Wen administration, responsible for oversight of many key prices and investment approvals processes, as well as coordination of the national five-year planning process (and more). Established in its current form in 2003, through the merging of the State Council Office for Restructuring the Economic System and part of the State Economic and Trade Commission,
---
43. Yuen Yuen Ang, “Centralizing Treasury Management in China: The Rationale of the Central Reformers,” *Public Administration and Development* 29, issue 4 (October 2009).
44. Elliott and Yan, *The Chinese Financial System*.
45. Itsself a fascinating agency, the history of which provides a useful illustration of the interministerial disputes common within the Chinese bureaucracy. For details of this, see Koch-Weser and Haacke, *China Investment Corporation*.
46. Ministry of Finance of the People’s Republic of China State Council website, http://english.gov.cn/state_council/2014/09/09/content_281474986284115.htm.
47. Barry Naughton, “‘Deepening Reform’: The Organization and the Emerging Strategy,” *China Leadership Monitor*, no. 44 (Summer 2014), http://www.hoover.org/sites/default/files/research/docs/clm44bn.pdf.
48. For details, see Barry Naughton, “It’s All in the Execution: Struggling with the Reform Agenda,” *China Leadership Monitor*, no. 45 (Fall 2014), http://www.hoover.org/sites/default/files/research/docs/clm45bn-its_all_in_the_execution-struggling_with_the_reform_agenda.pdf.
the NDRC traces its origins to the powerful State Planning Commission, a central planning authority established in 1952.\textsuperscript{49} Even as the process of “growing out of the plan” had gradually reduced the authority of its precursor agencies throughout the course of “reform and opening,” the NDRC was a force to be reckoned with during the first decade of the new millennium. Often referred to as the “mini-State Council,” the NDRC was designed to help the State Council coordinate China’s massive bureaucracy, with many of its subdivisions corresponding to the remits of other State Council ministries.\textsuperscript{50}
However, by the end of the Hu-Wen administration, the NDRC had come to be viewed as the primary bureaucratic obstacle to reform, rather than the organizer and enabler its name suggested.\textsuperscript{51} As a result, under the Xi-Li leadership, the NDRC’s power has been sharply curtailed. Many of its administrative approval items have been eliminated, and its coordination role is reportedly much diminished. While it is still the only ministry-level agency with four minister-level officials in leadership positions, the personnel chosen for these positions reflects the new leadership’s determination to monitor and control the agency rather than to empower it.\textsuperscript{52} Current director Xu Shaoshi is an outsider to the NDRC, having served previously as Minister of Land and Resources, while minister-ranked vice director Liu He is a close confidante of Xi Jinping and head of the secretariat of the CFELSG. This has resulted in the NDRC becoming much more closely aligned with the priorities of the current leadership, both as a result of its own internal leadership change and in an effort to maintain its relevance through a new period of more market-oriented reform.
**MINISTRY OF COMMERCE (MOFCOM)**
In 2003, MOFCOM was created out of a merger of the State Economic and Trade Commission and State Development Planning Commission into the Ministry of Foreign Trade and Economic Co-Operation. MOFCOM is a ministry-level agency that serves as the State Council’s interface for international economic cooperation, overseeing policy toward foreign trade and direct investment, as well as the negotiation of bilateral and multilateral trade and investment agreements. The current minister of commerce is Gao Hucheng, a member of the 18th Central Committee.
The Ministry consists of 29 internal departments (both functional and regional) that administer a collection of offices domestically and overseas, as well as affiliate bureaus. Its responsibilities also include oversight of industry trade associations and institutes, as well as chambers of commerce. Relative to other China’s bureaucratic agencies, MOFCOM has a reputation for being liberal on matters related to trade and foreign investment. However,
\textsuperscript{49} Peter Martin, “The Humbling of the NDRC,” \textit{China Brief} 14, no. 5 (March 7, 2014), http://www.jamestown.org/uploads/media/China_Brief_Vol_14_Issue_5_-_Copy__2__01.pdf.
\textsuperscript{50} Lance L. P. Gore, “China’s ‘Mini-State Council’: National Development and Reform Commission,” EAI Background Brief No. 614, East Asian Institute, April 8, 2011, http://www.eai.nus.edu.sg/BB614.pdf.
\textsuperscript{51} Victoria Ruan, “Reform underway for China’s top economic planning agency,” \textit{South China Morning Post}, December 3, 2013, http://www.scmp.com/news/china/article/1370795/reform-underway-chinas-top-economic-planning-agency.
\textsuperscript{52} Martin, “The Humbling of the NDRC.”
in the past it has also been a staunch opponent of RMB appreciation, particularly in the years immediately following the global financial crisis, reflecting its role as a champion of China’s export-oriented industries.\textsuperscript{53}
\section*{Case Studies}
The following three case studies were undertaken to illuminate the processes and institutions of Chinese decisionmaking in a key area of economic reform. Each case was chosen to provide an example of policymaking in one of the three primary areas of financial reform discussed earlier: interest rate deregulation, exchange rate marketization, and capital account liberalization. In order to illustrate how the Xi administration’s approach to financial reform has evolved (and, in some ways, remained consistent), each of the case studies covers a different time period.
The first case reviews the June 2013 interbank market shock, wherein the PBOC engineered a dramatic liquidity crunch in order to contain growing risks in the interbank market as part of the overall shift toward greater interest rate deregulation. The second case study covers the widening of the RMB trading band in the first quarter of 2014, and the actions undertaken by the PBOC to discipline speculators and create its preferred conditions for a more market-determined exchange rate. The third case study reviews the evolution of the Shanghai FTZ from its conception and opening through the present, with emphasis on reforms within the zone to promote greater capital account liberalization.
Following the case studies, a concluding section provides an overview assessment of the Xi administration’s approach to financial reform thus far.
\section*{THE JUNE 2013 INTERBANK MARKET SHOCK}
In June 2013, China’s interbank markets seized up in response to an unexpected withdrawal of liquidity. This represented a deliberate effort by the PBOC, acting with the private support of top Chinese leaders but without the full knowledge or endorsement of other regulators, to force banks to improve their liquidity management and crack down on the excess credit creation then taking place through interbank channels. If left unchecked, these problems would raise the risks to stability posed by greater interest rate liberalization. Coming only eight months into the new leadership’s term, the events of June 2013 illustrate many of the policymaking patterns that have since come to characterize the first two years of the Xi administration: rapid, opaque, informal, and centralized decisionmaking; lack of coordination or information-sharing among functional ministries; and a willingness to use untested and unorthodox tools in the service of policy objectives.
\textsuperscript{53} Charles W. Freeman III and Wen Yin Yuan, \textit{China’s Exchange Rate Politics} (Washington, DC: CSIS, June 2011), http://csis.org/files/publication/110615_Freeman_ChinaExchangeRatePolitics_Web.pdf.
Sequence of Events
Since the global financial crisis, China’s debt-to-GDP ratio has grown rapidly, even as credit has gone to increasingly unproductive uses. Over this same period, the Chinese financial system has become ever more complex and, to a large extent, opaque. This owes in part to the rapid growth of shadow banking, shorthand for a slew of nontraditional lending activities that in 2012 accounted for 42 percent of new domestic credit creation.\(^{54}\) In the lead up to June 2013, these two trends of excess credit growth (accompanied by poor liquidity management on the part of China’s banks) and an expanding shadow banking sector represented major concerns for Chinese financial regulators seeking ways to move toward eventual interest rate liberalization without triggering major financial instability.
Continuing the trends of previous years, the rate of credit growth reached record highs in the first half of 2013, and the share of shadow banking in total social financing (an aggregate measure of lending activity) continued to rise. Contributing to the rate of increase was a combined capital and financial account surplus of $102 billion in the first quarter, which helped to create excess domestic liquidity.\(^{55}\) Regulators responded beginning in March, with the CBRC, PBOC, and SAFE issuing a succession of public warnings and new regulations designed to slow down credit growth.\(^{56}\) The CBRC in particular warned banks to be careful in engaging in shadow banking activities, urging them to “serve the real economy” and “stay risk averse.”\(^{57}\) But during the first weeks of June, it seemed clear these warnings were not producing the desired effects. Credit in the first 10 days of the month grew at a rate that, according to the PBOC, “had never been seen in history,” with 70 percent of that growth taking place through precisely the short-term, off-balance-sheet channels that were regulators’ particular area of concern.\(^{58}\)
However, the PBOC had in fact already begun to act. In January 2013, it had quietly announced the establishment of two new tools, Standing Liquidity Operations (SLO) and the Standing Lending Facility (SLF), which would enable it to conduct targeted, short-term
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54. Borst, “Flying Blind.”
55. Gabriel Wildau, “China targets hot money inflows with new forex rules,” Reuters, May 6, 2013, http://www.reuters.com/article/2013/05/06/us-china-economy-forex-idUSBRE94500Y20130506.
56. For example, see Grace Zhu, “China Regulators Move to Restrict Lending,” *Wall Street Journal*, February 5, 2013, http://www.wsj.com/articles/SB10001424127887324445904578283413907968812; China Banking Regulatory Commission, “Notice of the China Banking Regulatory Commission on Relevant Issues concerning Regulating the Investment Operation of Wealth Management Business of Commercial Banks,” *Lawinfochina*, March 25, 2013, http://www.lawinfochina.com/display.aspx?lib=law&id=138298&CGid; State Administration of Foreign Exchange, “Notice of the State Administration of Foreign Exchange on Issues concerning Strengthening the Administration of Foreign Exchange Capital Inflows,” *Lawinfochina*, May 5, 2013, http://www.lawinfochina.com/display.aspx?lib=law&id=13294.
57. See Shang Fulin, “Opening Speech by CBRC Chairman SHANG Fulin at the 18th International Conference of Banking Supervisors,” China Banking Regulatory Commission (CBRC), September 24, 2014, http://www.cbrc.gov.cn/Eng/docView.do?docID=A0BD73C45F0A42A29D5FABE9EB487F3B; CBRC, “Guiding Opinions on Banking Services Should Serve Real Economy,” in *China Banking Regulatory Commission: 2013 Annual Report* (Beijing: CBRC, September 2014), http://www.cbrc.gov.cn/chinese/files/2014/A2726BEBE1AA406BB5CAC4ADA3875D35.pdf.
58. Lingling Wei and Bob Davis, “Inside China’s Bank-Rate Missteps,” *Wall Street Journal*, July 2, 2013, http://www.wsj.com/articles/SB10001424127887324251504578579292237914344.
easing operations in the event of stress in interbank markets.\textsuperscript{59} Beginning in May, it had also begun withdrawing liquidity from the financial system through repurchase operations and the issuance of large volumes of central bank bills.\textsuperscript{60}
This came in advance of a time of cyclical stress in the Chinese financial system, when the June overlap of the annual Dragon Boat holiday and quarter-end regulatory checks lead to an upswing in demand for deposits. In past years, the PBOC had reliably provided additional short-term liquidity to cope with this surge. By instead moving policy in the exact opposite direction, without announcement and contrary to expectations, it amplified the effect of relatively modest tightening measures on overall conditions. Poor liquidity management was another major factor. Through the interbank markets, China’s largest banks were net lenders to smaller banks, which were creating maturity mismatches by borrowing short term and using the funds to finance longer term lending.\textsuperscript{61} The first sign that the drawdown was beginning to bite came on June 5, when (later confirmed) rumors broke that China Everbright Bank, the country’s 11th largest lender, had experienced a technical default in the interbank market.\textsuperscript{62} The next day, an auction of government debt overseen by the Ministry of Finance came in undersubscribed.\textsuperscript{63} This led the overnight Shanghai Interbank Offer Rate (SHIBOR) to begin to spike upward, closing above 8 percent on June 7.\textsuperscript{64}
As these stresses intensified, market confusion mounted and many smaller banks that had been borrowing short term in the interbank market began experiencing severe funding difficulties. On June 14, a second MOF bond auction came in undersubscribed.\textsuperscript{65} To this point, the PBOC had not acknowledged that anything out of the ordinary was under way and had made no specific public comment on liquidity conditions. Privately, staff were considering how to convey the PBOC’s view to the market: that overall liquidity was sufficient, provided large banks stopped hoarding deposits and lent to smaller lenders experiencing shortages. After staff reaffirmed this assessment at an internal PBOC meeting on June 19, the State Council ratified its decision that same day and Premier Li Keqiang gave it
\textsuperscript{59}. Monetary Policy Analysis Group of the People’s Bank of China (PBOC), “China Monetary Policy Report: Quarter One, 2013,” PBOC, May 9, 2013, http://www.pbc.gov.cn/image_public/UserFiles/english/upload/File/13Q1MPR_EN_%5BafterNancy%5D1.pdf.
\textsuperscript{60}. For a more technical account of this and other aspects of the June shock, see Daniel H. Rosen and Beibei Bao, “China’s Interbank Squeeze: Understanding the 2013 Drama and Anticipating 2014,” Rhodium Group, January 22, 2014, http://rhg.com/notes/chinas-interbank-squeeze-understanding-the-2013-drama-and-anticipating-2014.
\textsuperscript{61}. This situation was in large part an outgrowth of the stimulus package China deployed in response to the financial crisis. Many smaller banks had lent in support of long-term infrastructure and development projects, but faced short-term repayment obligations, which they managed through borrowing on the interbank market.
\textsuperscript{62}. Dinny McMahon and Grace Zhu, “China Everbright Admits to Interbank-Loan Default,” Wall Street Journal, December 16, 2013, http://blogs.wsj.com/chinarealtime/2013/12/16/china-everbright-admits-to-interbank-loan-default/.
\textsuperscript{63}. William Kazer and Shen Hong, “China Cash Crunch Squeezes Banks,” Wall Street Journal, June 14, 2013, http://www.wsj.com/articles/SB10001424127887324188604578545184149408090.
\textsuperscript{64}. Mamta Badkar, “Yesterday’s Huge Chinese Interest Rate Spike Has People Freaked Out about a Looming Credit Crisis,” Business Insider, June 7, 2013, http://www.businessinsider.com/what-shibors-surge-says-about-chinas-financial-system-2013-6.
\textsuperscript{65}. Kazer and Hong, “China Cash Crunch Squeezes Banks.”
public voice.\textsuperscript{66} Rather than reassuring rattled markets, in his remarks Li urged banks to “make better use of existing credit” and “step up efforts to contain financial risks”—in effect, giving the top leadership’s public endorsement of the PBOC’s efforts.\textsuperscript{67}
In response, interbank rates spiked even higher, as markets interpreted the decision to mean that no relief would be forthcoming. Later that same day, the unexpected announcement of the U.S. Federal Reserve’s “taper” added another major source of uncertainty.\textsuperscript{68} On June 20, the following day, the crisis peaked: a rumor emerged in Shanghai that Bank of China, one of China’s Big Four banks, had experienced a temporary default. This rumor was then picked up in the widely circulated 21st Century Business Herald.\textsuperscript{69} Despite Bank of China’s having issued a swift denial via its Sina Weibo social media account, the overnight SHIBOR subsequently spiked above 30 percent in intraday trading. Both Bank of China and Industrial and Commercial Bank of China then announced they would temporarily halt lending. Behind the scenes, Vice Premier Ma Kai responded by ordering an investigation into the source of the Bank of China rumor.\textsuperscript{70}
By this time, the PBOC was facing widespread criticism for being irresponsible in its management of the interbank market, and for its perceived refusal to ease liquidity conditions.\textsuperscript{71} In fact, it had once again already begun to act.
Following the State Council and Premier Li’s statements on June 19, PBOC officials had called in a number of banks to privately alert them that they would be receiving injections of fresh funds (via the aforementioned SLO)—and to warn them to use these funds wisely.\textsuperscript{72} However, these private assurances were insufficient to stem the market’s panic. A public statement issued on June 24, asserting that there was sufficient liquidity in the financial system, would prove similarly ineffective. It was only on June 25, when the PBOC issued an official statement that it would take steps to “safeguard stability,” that it began to make headway.\textsuperscript{73} While not reversing its earlier stance that there was sufficient liquidity and continuing to call on large banks to act as market stabilizers, the PBOC’s insertion of this key language (along with public statements from senior officials) signaled to markets that the worst of the crisis was over. A similar statement by the State Council released the
\textsuperscript{66} Wei and Davis, “Inside China’s Bank-Rate Missteps.”
\textsuperscript{67} It was also an accurate assessment of aggregate liquidity conditions. Data available to the PBOC showed that the aggregate level of reserves available in the system was on the order of 1.5 trillion RMB. It was the allocation of these reserves that was the source of stress: larger banks began hoarding and refused to lend to smaller banks, which had borrowed short term and were facing significant liquidity shortages.
\textsuperscript{68} Agustino Fontevecchia, “China’s Central Bank Is Engineering a Liquidity Crunch to Tackle the Shadow Banking System,” \textit{Forbes}, June 20, 2013, http://www.forbes.com/sites/afontevecchia/2013/06/20/chinas-central-bank-is-engineering-a-liquidity-crunch-to-tackle-the-shadow-banking-system/.
\textsuperscript{69} “Bank denies default allegations,” China.org.cn, June 21, 2013, http://www.china.org.cn/business/2013-06/21/content_29184731.htm.
\textsuperscript{70} Wei and Davis, “Inside China’s Bank-Rate Missteps.”
\textsuperscript{71} Bob Davis and Shen Hong, “China Faces Fallout of Self-Made Cash Crisis,” \textit{Wall Street Journal}, June 21, 2013, http://www.wsj.com/articles/SB10001424127887323300004578558963563872992.
\textsuperscript{72} Ibid.
\textsuperscript{73} Xin Zhou, “PBOC Says It Will Ensure Stability of China Money Market,” \textit{Bloomberg}, June 26, 2013, http://www.bloomberg.com/news/articles/2013-06-25/china-s-liquidity-risks-are-controllable-pboc-official-says.
following day provided further reassurance, and rates subsequently began to return to more normal levels.
**Aftermath and Implications**
Following the crisis, many reports suggested that the incident was the result of PBOC mismanagement, which had allowed liquidity conditions to get out of hand, and suggested that some form of punishment for its leadership would likely result.\(^{74}\) This both misinterpreted the origins of the crisis and failed to anticipate its subsequent impact. While the PBOC underestimated the severity of the market’s response (and could not have anticipated the amplifying effect of the Fed’s surprise “taper” announcement), it had acted with the knowledge and endorsement of top leaders in response to what the PBOC, and other regulators, agreed was a major problem: excessive credit growth and risk taking in the interbank market, coupled with an insensitivity of financial market players to regulators’ prior warnings. Despite having acted without the support—and evidence from interviews with regulators suggests without even the knowledge—of its fellow ministries, it was the assessment of top leaders as to the PBOC’s effectiveness and the consequences of the crunch that ultimately mattered.
In many respects, the shock was a success and appears to have been judged as such. As a June 26 Xinhua commentary put it, “It takes pains to get through the liquidity crunch, but it also paves [the] way for future gains.”\(^{75}\) Credit growth via interbank markets slowed in the second half of 2013, and interbank market rates remained on average 50 percent above historical levels through April 2014.\(^{76}\) Defying expectations that it had lost face with Zhongnanhai, the leadership subsequently placed the PBOC in charge of a new financial regulatory coordinating body announced in August 2013.\(^{77}\) In a further show of support, following the Third Plenum that November, PBOC Governor Zhou was revealed as a member of both the Comprehensively Deepening Reform and Central Finance and Economics leading small groups. PBOC policy preferences have also continued to hold sway in terms of outcomes:\(^{78}\) even in the face of an ongoing slowdown in economic growth, leaders have
---
\(^{74}\). Jamil Anderlini, “Fear of crisis intensifies China’s political battles,” *Financial Times*, April 9, 2014, http://www.ft.com/intl/cms/s/0/b28aed1e-bfc6-11e3-b6e8-00144feabdc0.html?siteedition=intl.
\(^{75}\). Liu Jie, “Commentary: No pains, no gains for China’s economy,” Xinhua, June 26, 2013, http://news.xinhuanet.com/english/indepth/2013-06/26/c_132489507.htm.
\(^{76}\). The impact of the shock in curtailing the use of interbank funding to fuel shadow banking activities also created a window for policymakers to generate an effective regulatory response. In May 2014, the PBOC, CBRC, CSRC, CIRC, and SAFE jointly released Document 127, designed to crack down on the regulatory arbitrage that had been so problematic in the lead-up to June. This had the effect of further discouraging abuse of the interbank markets, though the size of the shadow banking sector has continued to grow at a rate faster than GDP (amounting to 71 percent of GDP at the end of 2014, up from 66 percent at the end of 2013, according to Moody’s).
\(^{77}\). Bettina Wassener and Chris Buckley, “New Chinese Agency to Increase Financial Coordination,” *New York Times*, August 20, 2013, http://www.nytimes.com/2013/08/21/business/global/chinese-agency-to-increase-financial-coordination.html.
\(^{78}\). Wei and Davis, “China’s Central Bank Prevails in Policy Battles Over Economic Future.”
generally attempted to talk down the likelihood of stimulus and refrained from any broad loosening of monetary policy until November 2014.\footnote{The November 2014 PBOC decision to lower its benchmark interest rate for the first time since 2012 was accompanied by expansion of the floating range for deposit rates. Specifically, the PBOC began allowing banks to offer deposit rates up to 20 percent above its benchmark (previously the ceiling had been 10 percent above benchmark). This represented an important step toward eventual liberalization of deposit rates that partially offset the effect of the cut in the benchmark lending rate. The PBOC would repeat this maneuver in late-February 2015, simultaneously lowering its benchmark rate and raising the deposit rate ceiling to 30 percent above the benchmark. For a translation of the PBOC’s statement on the first cut and related actions, see John Liu, Xin Zhou, and Sarah Chen, “China’s Central Bank Comments on Interest Rate Cut (Translation),” Bloomberg, November 21, 2014, http://www.bloomberg.com/news/articles/2014-11-21/china-s-central-bank-comments-on-interest-rate-cut-translation-.}
The events of June 2013 provide an early illustration of several characteristics of the Xi administration’s approach to financial reform, and economic policymaking more generally, that have emerged during its first two years. The most obvious is a preference for an opaque, rapid, and personalized approach to economic decisionmaking. The decision to engineer the liquidity shock was taken at the highest levels, implemented by a single agency, and, interview evidence suggests, carried out without significant consultation or coordination with other relevant ministries (let alone with market players). This decisive, one-ministry approach has benefits, but also carries risks, including, as noted in one Xinhua commentary, that of unintended consequences.\footnote{Zhang Yi and Yao Yujie, “Xinhua Insight: PBOC ends credit crunch, needs to go further,” Xinhua, June 26, 2013, http://news.xinhuanet.com/english/indepth/2013-06/26/c\_132489308.htm.} While the liquidity crunch did help to curtail interbank borrowing, many banks’ liquidity needs forced them to aggressively seek deposits through other, equally risky, channels.\footnote{For example, through the issuance of new, high-yield wealth management products.}
A lack of transparency and clear communication was also evident even as the policy was being implemented.\footnote{There is some debate on the clarity of the PBOC’s communication prior to the shock, given its earlier warnings to banks to manage their liquidity better. What is clear is that the PBOC’s warnings were not effective, whether due to a lack of clarity, credibility, the influence of vested interests, or other factors. Some analysts have also argued that there was a deliberate lack of transparency as part of an effort to preempt opposition. For example, see Rosen and Bao, “China’s Interbank Squeeze.”} Although regulators had warned banks previously to improve their risk management, neither the PBOC nor higher authorities publicly acknowledged that the liquidity shortage was deliberate. Instead, they held that liquidity was sufficient, and urged banks to play their role as market stabilizers. This approach was unorthodox, generated significant resentment, and, at the time, exacerbated market confusion and the stress placed on smaller banks. It also exposed the PBOC to accusations of mismanagement, and, while the lack of transparency did not initially impair the policy’s effectiveness, it did once the crisis reached a fever pitch on June 20.\footnote{As Jiang Jianqing, the head of Industrial and Commercial Bank of China and himself an alternate member of the 18th CCP Central Committee, opined after the shock, “We hope that in the future, policy expectations can be clearer. That would help us understand the overall market situation better and more deeply. . . . If we’re going to be of help, we also need policy expectations to be even clearer and more stable.”} At that point, the failure of the PBOC’s behind-the-scenes reassurances to restore order illustrates the authorities’ limits in managing markets behind the scenes, and suggests that, for a ruling party steeped in secrecy,
learning to manage expectations in a modern, mostly market economy remains a work in progress.
Lastly, June provides a useful example of an important, and often overlooked, characteristic of Chinese economic policymaking: its flexibility on details. Despite the Chinese government’s well-known penchant for planning and numerical targets, the plans themselves are also notable for their vagueness and rarely prescribe precise means to achieve specified ends. This vagueness, however much it may reflect uncertainty on the part of Chinese policymakers, also provides crucial space for decisionmaking to evolve in light of changing circumstances. In the case of June, it was clear that Beijing was concerned about the pace of credit growth during the first half of 2013, and viewed curtailing financial excesses as an important policy objective. When initial warnings and regulatory measures failed to take effect and, indeed, the problem continued to worsen, a different—arguably riskier—approach emerged. Even as the initial failure speaks to the extent of the challenges in China’s financial system, the leadership’s flexibility in engineering and authorizing an unorthodox response augurs well for its future effectiveness.
THE WIDENING OF THE RENMINBI TRADING BAND IN THE FIRST QUARTER OF 2014
In the first quarter of 2014, Beijing took an important step toward the liberalization of its exchange rate by widening the daily RMB trading band. To do so, the PBOC used an unorthodox strategy of first intervening sharply in foreign exchange markets to break entrenched expectations of RMB appreciation against the U.S. dollar. This arrested a sustained inflow of foreign portfolio flows into China and generated two-way fluctuation in the exchange rate: the PBOC’s desired conditions for widening the band. The events of the first quarter of 2014 illustrate the evolving domestic politics of China’s exchange rate; how different types of external pressure factor into economic decisionmaking; and the incremental, sequenced approach to financial reform preferred by Chinese policymakers.
Intervening to Reduce Intervention
Despite earning only a single mention in the November 2013 Third Plenum Decision, moving toward a more market-determined RMB exchange rate remains a key pillar of Beijing’s financial reform agenda. A more market-determined exchange rate system would not only simplify other aspects of Chinese financial reform but also reduce or remove the need for Beijing to continue accumulating foreign reserves. It would also help to eliminate a long-standing, high-profile irritant in U.S.-China relations, and is an important component of Beijing’s efforts to internationalize the RMB.
The RMB exchange rate has long been an issue of contest domestically and abroad. For example, responding to the global financial crisis, Beijing decided in July 2008 to peg the RMB to the dollar in order to support growth and economic stability. With China’s annual current account surplus approaching 10 percent that year, this decision triggered strong pressure from the United States and others to allow the RMB to appreciate in line with
market fundamentals.\textsuperscript{84} Chinese officials rejected this pressure, with Premier Wen Jiabao insisting that “a stable yuan is not only good for the Chinese economy, but the world.”\textsuperscript{85} It was not until June 2010 that the PBOC announced the RMB would be allowed to resume gradual appreciation and enjoy more flexibility moving forward, while warning that it remained “important to avoid any sharp and massive fluctuations of the exchange rate.”\textsuperscript{86}
China’s domestic debate over the value of the RMB has tended to center around MOFCOM and the PBOC jockeying for the support of top leaders. The former, arguing in support of Chinese exporters threatened by the prospect of a stronger currency (mostly in coastal provinces), has long sought to limit the rate of RMB appreciation. The PBOC, focusing on the risks to inflation and financial stability posed by maintaining an undervalued currency, has tended to argue for faster appreciation. Other bureaucratic actors involved in the debate, though to a lesser degree, include the NDRC, which looks at the RMB through the lens of its impact on the structural adjustment of the economy; the Ministry of Industry and Information Technology,\textsuperscript{87} which has in the past intervened on behalf of exporters; and MOF, which is responsible for disbursing subsidies to export companies through export tax rebates.\textsuperscript{88}
From the start of the Xi administration (and even before), this debate had largely swung in favor of the PBOC viewpoint. Top leadership was increasingly concerned about structural imbalances in the economy and convinced of the need to rebalance toward more consumption-led growth. A stronger RMB would support this process by making imports cheaper. Moreover, as China’s foreign exchange reserves had grown into the trillions, they had become more and more expensive to sterilize and maintain. Appreciation would reduce the need for further intervention, both in the foreign exchange markets and to avoid inflationary pressure at home. A more market-based process for determining the exchange rate would also provide an automatic stabilizing mechanism for adjusting to capital inflows and outflows.
Since April 2012, the PBOC had allowed the RMB to fluctuate within a band of ±1 percent around a daily reference rate.\textsuperscript{89} This provided policymakers with a means to gauge market sentiment, while still controlling the pace and extent of fluctuations in the RMB’s value. Since being introduced in 1994, the band had been widened in stages, and Chinese policymakers had established their intent to continue this process as part of the overall process of RMB liberalization. In April 2013, SAFE Administrator Yi Gang indicated
\begin{footnotesize}
\begin{enumerate}
\item Morrison and Labonte, “China’s Currency Policy.”
\item Li Xiaokun and Cheng Guangjin, “Protectionism, yuan pressure ‘unfair’: Wen,” \textit{China Daily}, December 1, 2009, http://www.chinadaily.com.cn/china/2009-12/01/content_9081886.htm.
\item Morrison and Labonte, “China’s Currency Policy.”
\item He Xingqiang, “The RMB Exchange Rate: Interest Groups in China’s Economic Policy Making,” \textit{China Security}, issue 19 (2011), http://ias.cass.cn/en/show_project_ls.asp?id=1569.
\item Wen Jin Yuan, “China’s Export Lobbying Groups and the Politics of the Renminbi,” CSIS, February 2012, http://csis.org/files/publication/fr12n0102.pdf.
\item The band, set at 0.3 percent in 1994, had been widened over the years as part of a gradual liberalization of the exchange rate, expanding to 0.5 percent in 2007.
\end{enumerate}
\end{footnotesize}
that China would widen its trading band “in the near future.”\textsuperscript{90} Toward the end of that year, both Yi and PBOC Governor Zhou made further statements to this effect, raising expectations that the band would be widened sometime in the first half of 2014.
As of February 2014, the RMB had enjoyed an 18-month run of near-continuous appreciation and, by some estimates, was nearing a “fair value” relative to the U.S. dollar.\textsuperscript{91} This had triggered a surge of disguised portfolio inflows into China, which sought to take advantage of the RMB as a “one way bet.”\textsuperscript{92} These inflows increased domestic liquidity at a time when Beijing was seeking to both rein in excess credit growth and pursue greater financial liberalization. Responding to this, former PBOC deputy governor Hu Xiaolian issued a statement on February 18, in which she joined other officials in expressing concern about the dangers posed by “hot money” flowing into China.\textsuperscript{93} The next day, the PBOC began guiding the daily reference rate lower and instructing state-owned banks to purchase dollars, driving the exchange rate sharply downward.\textsuperscript{94} On February 26 alone, the RMB fell 0.46 percent against the dollar, its largest single-day fall since 2010.
From mid-February through April, the RMB lost 3.2 percent of its value against the dollar in real terms.\textsuperscript{95} This triggered enormous losses for speculators who had bet on the RMB’s continued steady appreciation, estimated to be on the order of $5.5 billion.\textsuperscript{96} It also introduced two-way fluctuation in the value of the RMB, signaling that it would not be a one-way bet going forward and thereby creating a deterrent against future speculation. This also created the space for the PBOC to fulfill its pledges to widen the RMB trading band. On March 15, during the annual “two meetings” of the NPC and CPPCC\textsuperscript{97} where Chinese leaders present the annual government work report and announce the coming year’s growth target, the PBOC announced that it would double the RMB trading band to ±2 percent per day.\textsuperscript{98}
The PBOC, SAFE, and other government agencies denied that intervention had triggered the depreciation. Governor Zhou and Minister of Finance Lou Jiwei publicly dismissed the RMB’s fall as a sign of normal market processes, and SAFE issued a statement to the same
\textsuperscript{90} Natasha Brereton-Fukui and Bob Davis, “China Vows Wider Yuan Movement,” \textit{Wall Street Journal}, April 17, 2013, http://www.wsj.com/articles/SB10001424127887323309604578429253732688858.
\textsuperscript{91} Martin Kessler and Arvind Subramanian, “Is the Renminbi Still Undervalued? Not According to New PPP Estimates,” \textit{RealTime Economic Issues Watch}, May 1, 2014, http://blogs.piie.com/realtime/?p=4300.
\textsuperscript{92} Pete Sweeney, “Hot money distorts China’s exports as speculators seek to cash in on yuan, rate reforms,” Reuters, December 11, 2013, http://www.reuters.com/article/2013/12/11/us-china-economy-hot-money-idUSBRE9BA0DA20131211.
\textsuperscript{93} Lingling Wei, “China Allows Wider Currency Fluctuation,” \textit{Wall Street Journal}, March 15, 2014, http://www.wsj.com/articles/SB10001424052702303546204579440813396189476.
\textsuperscript{94} Ibid.
\textsuperscript{95} Bob Davis, “Yuan Depreciation Is Deeper Than You Think,” \textit{Wall Street Journal}, April 18, 2014, http://blogs.wsj.com/chinarealtime/2014/04/18/yuan-depreciation-is-deeper-than-you-think/.
\textsuperscript{96} Ye Xie and Kyoungwha Kim, “China Burns Speculators as $5.5 Billion Lost on Yuan Bets,” Bloomberg, April 1, 2014, http://www.bloomberg.com/news/2014-04-01/china-burns-speculators-as-5-5-billion-lost-on-yuan-bets.html.
\textsuperscript{97} The NPC and CPPCC both meet in full plenary sessions annually in early March. Referred to as the “two meetings,” this is an important event in China’s annual political calendar.
\textsuperscript{98} Josh Noble, “China relaxes controls on exchange rate,” \textit{Financial Times}, March 15, 2014, http://www.ft.com/intl/cms/s/0/ea819706-ac37-11e3-b510-00144feab7de.html?siteedition=intl.
effect. “Uncertainty is always present,” Zhou remarked to Bloomberg News on February 21; “there’s nothing big to worry about.”\textsuperscript{99} However, the subsequent release of data on China’s reserve accumulation during this period revealed that the PBOC had indeed intervened to drive the exchange rate downward. Around the time of the data release, stories in official media would also confirm the PBOC’s intervention.\textsuperscript{100}
\textit{Depreciation and Decisionmaking}
It is often noted that the PBOC is not an independent central bank. It is under the supervision of the State Council, which approves all major decisions on monetary policy. The PBOC may voice its views on these issues during State Council meetings (where MOFCOM has equal ability to do the same), and through the monetary policy committee. This advisory committee meets on a quarterly basis, and is composed of representatives from the PBOC, SAFE, the financial regulatory commissions, MOF, the NDRC, an academic expert, and others.\textsuperscript{101} Its role is to advise the State Council on the decisions regarding monetary policy.
The widening of the band was a decision of enough significance to warrant discussion by the State Council, though interlocutors gave conflicting reports of the precise process and the level at which consultations took place. Analysts and policymakers interviewed for this report indicated that the PBOC likely received official permission to widen the band well in advance of doing so, and was simply waiting for the right conditions to do so. In other words, while the policy direction was determined at the State Council level (or above), the PBOC was given control over the tactics and timing of its implementation. The decision to widen immediately after intervening to introduce two-way volatility in the market can be seen as a pragmatic approach to achieving two simultaneous objectives: an incremental step toward greater exchange rate flexibility; and the breaking of entrenched inflation expectations that were encouraging excessive portfolio inflows.
This highlights Chinese financial policymakers’ pragmatic, incremental, and evidence-based approach to reform. The last time the PBOC widened the band was in April 2012, during a period of unusual two-way volatility in the RMB’s exchange rate against the dollar. In 2014, having committed to a near-term widening of the band in statements following the Third Plenum, the PBOC then acted decisively to break entrenched expectations of appreciation, simultaneously hitting back at speculators and created the conditions for smoothly widening the band. Doing so both enhanced the PBOC’s credibility in meeting self-imposed reform deadlines and demonstrated that it was not afraid to discipline the market when it deemed necessary. It also maintained the PBOC’s control over the exchange rate: the PBOC-set daily reference rate continues to determine the rate of the RMB’s appreciation.
\textsuperscript{99} Paul Panckhurst, “China Sees Expansion Outweighing Yuan, Shadow Bank Risk,” Bloomberg, February 23, 2014, http://www.bloomberg.com/news/articles/2014-02-23/china-downplays-yuan-banking-risk-as-zhou-sees-7-to-8-growth.
\textsuperscript{100} “March forex purchases by PBOC behind falling yuan,” Xinhua, May 7, 2014, http://news.xinhuanet.com/english/china/2014-05/07/c_133316949.htm.
\textsuperscript{101} People’s Bank of China, “Monetary Policy Committee,” http://www.pbc.gov.cn/publish/english/980/index.html.
decision to widen the band was an important step toward a more market-determined exchange rate, but hardly a decisive one.
The PBOC’s actions highlight the impact of external factors on Chinese policymaking. As mentioned, large portfolio capital inflows at the start of 2014 complicated the PBOC’s management of domestic liquidity and posed a hurdle to widening the RMB trading band. In response, Chinese policymakers devised the unorthodox solution of intervening through state-owned banks. By doing so, the PBOC revealed two things about its decisionmaking. First (and unsurprisingly), it showed the PBOC’s keen attention to the movements of international capital markets when making decisions related to monetary policy. Careful, evidence-based policymaking is essential in an environment where stability is of paramount importance. Second, it demonstrated that Beijing was willing to court the almost inevitable ire of the United States and others in order to achieve its domestic objectives.
Finally, the events of the first quarter of 2014 illustrate the evolving domestic politics and debate surrounding China’s exchange rate. Following the global financial crisis, the PBOC had to fight in favor of faster RMB appreciation against MOFCOM and others focused on representing interests resistant to structural change in the economy.\(^{102}\) For a period afterward, it was clear that Chinese leaders understood gradual appreciation of the RMB as supporting the desired shift toward more services- and consumption-led growth. This was a victory for the PBOC, helping to limit its need to intervene in the foreign exchange markets or conduct offsetting sterilization operations, and thereby simplifying the overall task of maintaining financial stability.
Given that the PBOC has long been the strongest bureaucratic advocate in favor of a more market-based exchange rate (which has historically made it an advocate of appreciation), it is unlikely it faced any major opposition in temporarily shifting tactics to encourage depreciation. However, that the RMB subsequently resumed appreciation from late April through the end of 2014 reveals an important shift in China’s domestic politics regarding the exchange rate. In the main, China has been pragmatic in managing its exchange rate.\(^{103}\) At the same time, internal pressure against appreciation was an important factor behind the gradual rate of the RMB’s rise and the delay in ending the dollar peg instituted in response to the global financial crisis.\(^{104}\) That such infighting was not evident in early 2014 and did not appear to influence the RMB’s movements through the rest of the year is evidence that the PBOC’s view continued to hold sway. It is also evidence that the RMB’s nearness to “fair valuation” (alongside China’s growing macroeconomic difficulties) has introduced new nuance into the debate. Two-way volatility, while initially artificially induced, now appears likely to sustain itself.
\(^{102}\). Nicholas R. Lardy, *Sustaining China’s Economic Growth after the Global Financial Crisis* (Washington, DC: Peterson Institute for International Economics, 2012).
\(^{103}\). Arthur R. Kroeber, “New Rules of the Game for China’s Renminbi,” Brookings Institution, May 14, 2014, http://www.brookings.edu/research/opinions/2014/05/14/new-rules-china-renminbi-kroeber.
\(^{104}\). Freeman and Yuan, *China’s Exchange Rate Politics*.
THE CHINA (SHANGHAI) PILOT FREE-TRADE ZONE (FTZ)
In July 2013, Beijing announced with great fanfare the China (Shanghai) Pilot Free-Trade Zone, with the promise of freer trade, greater financial openness, and fewer government controls in a 29-square-kilometer zone located in China’s largest city. More than a year after its debut, reforms implemented in the FTZ have been more incremental than decisive, due in part to disagreements and coordination challenges between the leadership in Beijing, officials in Shanghai, and the ministries tasked with designing the zone’s reforms. Limited progress on capital account liberalization, one of the main reforms emphasized in the zone’s initial framing, also underscores the leadership’s continued risk-averse approach to financial reform.
The evolution of what is so far the highest-profile economic experiment undertaken by the Xi leadership highlights China’s persistent internal coordination challenges, as well as other established patterns of Chinese policymaking. These include the importance of external pressure in guiding the overall reform process, and the leadership’s continued preference for experimentation and “crossing the river by feeling the stones,” even as reforms enter “deeper water.” At the same time, the experiment is ongoing—the initial proposed timeline for the zone to meet “international standards” was three years—and any final verdict on its impact remains premature.
Initial Stages: “Not a Special Zone or a New Area . . . A New System”
Shanghai is one of the wealthiest and most developed provinces in China, with long ambitions of becoming a global financial center.\(^{105}\) It is also a province with deep significance for the Communist Party leadership: seven former Shanghai party secretaries have gone on to membership on the PBSC over the past two decades, and two have served as its head (including Xi Jinping). The choice of Shanghai to host what remains the highest-profile liberalization experiment so far introduced by the Xi administration reflects both of these factors: the relative sophistication of the Shanghai government was critical to piloting the “transformation of government functions” and financial liberalization at the heart of the initiative; and its closeness to Beijing was a key guarantor that Shanghai would stick to the script in implementing a potentially risky reform agenda.
The idea for creating a Shanghai FTZ dates back over a decade, having been first publicly introduced by the then Shanghai party secretary Chen Liangyu in early 2003.\(^{106}\) Following Chen’s 2006 ouster in a major corruption scandal, the idea then lay dormant until 2009, when a proposal for such a zone reached the desk of the then premier Wen Jiabao. Prepared at the behest of one of Shanghai’s district governments by the Chinese Association of Productivity Sciences (a Beijing think tank), the plan intrigued Wen enough
\(^{105}\). Cheng Li, “Reclaiming the ‘Head of the Dragon’: Shanghai as China’s Center for International Finance and Shipping,” *China Leadership Monitor*, no. 28 (Spring 2009), http://www.hoover.org/sites/default/files/uploads/documents/CLM28CL.pdf.
\(^{106}\). A report by the Shanghai Institute for Productivity on the possibility of a Shanghai FTZ published in the 1990s predates this initiative, but was shelved soon after completion. The 2003 proposal emerged in response to a call from Beijing to improve existing tax-free zones following China’s 2001 WTO accession.
for him to rebrand it as a “free-trade park” and order the NDRC to send an inspection team to Shanghai to conduct further study. This proved to be the end of the initiative for the time being: it foundered on opposition from the NDRC and other central ministries. With Premier Wen unwilling or uninterested in committing major political capital to its advancement, the free-trade park quietly failed to materialize.
The revival of the Shanghai FTZ initiative began in early 2013. In January, Shanghai Party Secretary Han Zheng published an article on the importance of reform for Shanghai in a leading party journal, “Seeking Truth,” spurring subsequent media reports that Shanghai was developing an FTZ initiative,\(^{107}\) which was presented to Xi Jinping during the annual NPC meetings in mid-March.\(^{108}\) Premier Li Keqiang then visited Shanghai later that month,\(^{109}\) reportedly asking Han and Mayor Yang Xiong whether Shanghai was seeking favorable policies or tough reform (the answer: tough reform).\(^{110}\) Internal processes to establish the FTZ subsequently began in earnest at both the central and local levels.\(^{111}\) In early May, the Shanghai municipal government called a meeting to begin drafting a general plan for the FTZ, while later that month MOFCOM began soliciting opinions from “25 relevant ministries” regarding the plan for the zone’s establishment.\(^{112}\)
Between Premier Li’s Shanghai visit and the start of these internal processes, another event had taken place that, according to senior Chinese policy advisers, provided a major impetus for the Shanghai experiment. On April 12, 2013, the United States had announced its support for Japan to enter the ongoing TPP negotiations.\(^{113}\) While Tokyo would not formally join the talks until late July, the de facto addition of the world’s third-largest economy—and a major Chinese rival—lent the TPP critical credibility and momentum. It also sparked a dramatic change in China’s attitude toward the initiative. Having mostly dismissed the TPP as a form of economic containment prior to Japan’s joining,\(^{114}\) China subsequently adopted a position of cautious interest in the negotiations, and to consider the possibility of eventual Chinese participation in such a high-standard agreement.
\(^{107}\). Ying Liqi, “韩正：上海要先行先试 走在全国改革开放最前列” [Han Zheng: Shanghai Need to Take Action and Trials to be the Forerunner of China’s Economic Reform and Liberalization], January 30, 2013, http://news.sohu.com/20130130/n365044617.shtml.
\(^{108}\). Hu Shuli, “How Shanghai’s Free Trade Zone Works,” Caixin, January 8, 2014, http://www.chinafile.com/how-shanghais-free-trade-zone-works.
\(^{109}\). “Premier underlines developing scale farming,” Xinhua, March 31, 2013, http://www.china.org.cn/china/2013-03/31/content_28408103_2.htm.
\(^{110}\). Lydia Guo, “Shanghai free-trade zone: Low key start, big future,” Financial Times, October 4, 2013, http://blogs.ft.com/beyond-brics/2013/10/04/shanghai-free-trade-zone-low-key-start-big-future/.
\(^{111}\). Hu Shuli, “How Shanghai’s Free Trade Zone Works,” Caixin, January 8, 2014, http://www.chinafile.com/how-shanghais-free-trade-zone-works.
\(^{112}\). Ibid.
\(^{113}\). William H. Cooper and Mark E. Manyin, “Japan Joins the Trans-Pacific Partnership: What Are the Implications?” Congressional Research Service, August 13, 2013, https://www.fas.org/sgp/crs/row/R42676.pdf.
\(^{114}\). Joseph Xiaojin Zhang, “News Analysis: May U.S. expand influence in region through TPP?,” Xinhua, December 3, 2012, http://news.xinhuanet.com/english/indepth/2012-12/03/c_132016308.htm; “China to study possibility of joining TPP: MOC,” Xinhua, May 30, 2013, http://news.xinhuanet.com/english/china/2013-05/30/c_132420541.htm; “China weighs choices on pacific trade pacts: Experts,” Xinhua, June 19, 2013, http://usa.chinadaily.com.cn/business/2013-06/19/content_16638291.htm.
Developments gathered pace on both the domestic and international fronts through the following months. On June 28, the Shanghai municipal government submitted its application to establish an FTZ to the State Council, receiving approval from its executive committee less than a week later. Shortly afterward, the annual Strategic and Economic Dialogue commenced in Washington. To the surprise of its U.S. counterparts, the Chinese delegation sought during the dialogue to revive negotiations over a bilateral investment treaty (BIT), stalled since 2010.\textsuperscript{115} While the restart of the BIT negotiations was on its face unrelated to the proposed Shanghai experiment, Washington had set two preconditions for their resumption: that China guarantee American companies preestablishment right to national treatment, and that Beijing transition to a negative list approach to regulating FDI. These same reforms would feature at the center of Shanghai’s efforts to “transform government functions” and “build the FTZ up to international standards,” indicating the leadership’s intent to link China’s domestic and international economic agendas as part of its reform strategy.\textsuperscript{116}
Around this time, unconfirmed reports also began to emerge of ministerial opposition to the Shanghai initiative, similar to that which stifled the “free-trade park” initiative under Wen. On July 15, the \textit{South China Morning Post} broke an exclusive story that Premier Li Keqiang had “lost his temper . . . [and] slammed his fist on the table” in reaction to financial industry regulators’ resistance to the FTZ reforms at a closed-door cabinet meeting.\textsuperscript{117} Along with reports of a new direct reporting arrangement between the Shanghai municipal government and the premier’s office, ostensibly designed to prevent ministerial logjams from impeding the zone’s development, this strengthened impressions of the FTZ as the premier’s personal initiative—and served as a warning of the challenges ahead.\textsuperscript{118}
Notwithstanding these reports, throughout the summer leading up to the FTZ’s end-September launch expectations were stoked and duly mounted. Referencing the famous coastal experiment that helped jump-start China’s early reforms, articles in the official Chinese press heralded the Shanghai FTZ as “the country’s most significant reform push since . . . the Shenzhen Special Economic Zone.”\textsuperscript{119} The FTZ would allow the leadership to realize “‘season two’ of China’s economic miracle,” help China escape the middle-income trap, “get involved in the process of writing global trade rules,” and make Shanghai into a
\textsuperscript{115} U.S. Department of the Treasury, “U.S. Fact Sheet—Economic Track Fifth Meeting of the U.S.-China Strategic and Economic Dialogue,” July 12, 2013, http://www.treasury.gov/press-center/press-releases/Pages/jl2011.aspx.
\textsuperscript{116} “China’s Congress discusses Shanghai FTZ,” Xinhua, August 26, 2013, http://news.xinhuanet.com/english/china/2013-08/26/c_125251562.htm.
\textsuperscript{117} George Chen, “Exclusive: Li Keqiang fought strong opposition for Shanghai free-trade zone plan,” \textit{South China Morning Post}, July 15, 2013, http://www.scmp.com/news/china/article/1282793/li-fought-strong-opposition-shanghai-free-trade-zone-plan.
\textsuperscript{118} Shirley Yam, “Leaders bypass ministries on Shanghai free-trade zone,” \textit{South China Morning Post}, September 28, 2013, http://www.scmp.com/business/article/1319531/leaders-bypass-ministries-shanghai-free-trade-zone.
\textsuperscript{119} “News Analysis: Shanghai FTZ outlines roadmap of China’s new reform drive,” Xinhua, September 29, 2013, http://news.xinhuanet.com/english/indepth/2013-09/29/c_132761883.htm.
“free port” of RMB internalization.\textsuperscript{120} Such was the level of excitement that domestic stocks with the word “Shanghai” in their name rose nearly 30 percent from mid-August to mid-September, trading on expectations and enthusiasm alone (the FTZ’s general plan had not yet been released).\textsuperscript{121} Foreign analysts were somewhat more hesitant in their endorsements, but most saw the leadership’s decision to introduce a major economic reform initiative so soon after entering office as at least a strong signal of Beijing’s reformist intent.\textsuperscript{122}
\textit{The FTZ in Action: Gnawing Through Hard Bones}
The Shanghai FTZ officially debuted on September 29, 2013, with a first draft of the much-touted negative list released the following day.\textsuperscript{123} With expectations so high, many observers predictably reacted with some disappointment. New reports noted with puzzlement the absence of the premier at the opening ceremony, given perceptions of the zone as “his” project.\textsuperscript{124} As one Beijing-based interviewee later noted, “This put a damper on the FTZ—if they wanted a bang, they should have at least waited for a vice premier” (the highest-ranking representative from the central government at the ceremony was Minister of Commerce Gao Hucheng). The substance of the reforms also disappointed for their vagueness and perceived lack of ambition. The first draft of the negative list was as restrictive, and arguably more burdensome, than the existing positive list regime. Initial comments from many central government agencies, the PBOC in particular, appeared to stress the importance of caution over the need for bold reforms.\textsuperscript{125}
Given the proposed three-year timeline for the FTZ experiment, these negative reactions were at least somewhat premature, reflecting the management of expectations in the lead up to the zone’s unveiling more than its actual prospects. After all, there were other clear signs that the FTZ was a serious priority for China’s leadership. The Politburo had lent its support in late August, urging the State Council, Shanghai municipal government, “and all related government departments to work together to forge ahead with the program.”\textsuperscript{126} In late September, the State Council had also made clear its support, and took the unusual additional step of announcing that “should the Shanghai municipal government encounter
\begin{itemize}
\item \textsuperscript{120} “Shanghai FTZ to further promote China’s reform, opening up: Experts,” Xinhua, August 24, 2013, http://news.xinhuanet.com/english/china/2013-08/26/c_132662557.htm.
\item \textsuperscript{121} Bloomberg, “It’s Shanghai or Burst,” \textit{South China Morning Post}, September 19, 2013, http://www.scmp.com/business/money/markets-investing/article/1312519/its-shanghai-or-burst.
\item \textsuperscript{122} Beina Xu, “What Shanghai’s Free Trade Zone Bodes for China,” Council on Foreign Relations, October 8, 2013, http://www.cfr.org/china/chinas-free-trade-zone-bodes-china/p31585.
\item \textsuperscript{123} The State Council also released a draft of the FTZ’s general plan two days in advance of the zone’s opening. The State Council, “国务院关于印发中国（上海）自由贸易试验区总体方案的通知” [The State Council’s Notice of Establishing the China (Shanghai) Pilot Free-Trade Zone], September 27, 2013, http://www.gov.cn/zwjk/2013-09/27/content_2496147.htm.
\item \textsuperscript{124} Andrew Browne, “Questions Arise about Beijing’s Support for Free-Trade Zone: Premier Li Keqiang Doesn’t Attend Launch of Shanghai Free-Trade Zone,” \textit{Wall Street Journal}, October 7, 2013, http://online.wsj.com/news/articles/SB10001424052702304626104579121011334166376.
\item \textsuperscript{125} Not unjustifiably, given the potential for improperly sequenced financial liberalization to create instability. See Nicholas Borst, “The Shanghai Free Trade Zone: Ring-Fencing Financial Liberalization,” \textit{China Economic Watch}, September 30, 2013, http://blogs.piie.com/china/?p=3272.
\item \textsuperscript{126} “China’s central authorities back Shanghai FTZ,” Xinhua, August 27, 2013, http://news.xinhuanet.com/english/china/2013-08/27/c_132668049.htm.
\end{itemize}
any major problem, it should be promptly reported to the State Council”—in effect confirming that Shanghai would have a direct line to the premier’s office.\textsuperscript{127} This effort to empower the Shanghai government reflected the leadership’s concern that bureaucratic stalling, similar to that which had undermined the earlier “free-trade park” proposal, could scuttle the FTZ initiative. By making clear that Shanghai, with its direct stake in seeing the zone succeed, enjoyed direct access to top leaders, it was hoped this might be avoided.\textsuperscript{128}
The remainder of 2013 saw a flurry of zone-related activity. By end-December, a dozen ministries, including the four ministry-level financial regulators, had released regulations related to the zone’s implementation.\textsuperscript{129} Nearly 3,500 companies,\textsuperscript{130} including 228 foreign-invested enterprises and 12 foreign banks, had used the newly created FTZ administration to register in the zone.\textsuperscript{131} A dedicated Financial Work Coordination Group, chaired by Shanghai Executive Vice Mayor Tu Guangshao, had been established to advance the FTZ’s financial reform agenda. The zone had also received a high-profile endorsement from the November Third Plenum, with the Decision describing it as “a major measure to move reform and opening under new circumstances.” Coming in a document designed to set the agenda for a decade of reforms, this reference was particularly meaningful and a further demonstration of the leadership’s support.
Despite this extensive surface-level activity, however, it was unclear whether implementation of any truly significant reforms was under way. Many measures, such as those put forward by the PBOC, seemed to focus less on market-based reform and more on preventing the effects of any Shanghai initiatives from spilling over into the rest of China.\textsuperscript{132} These concerns would deepen through the first half of 2014. Foreign companies in particular began to complain about a lack of meaningful reforms,\textsuperscript{133} and representatives of a number of those invested in the zone privately acknowledged that their decision had been more politically than commercially motivated. In off-the-record conversations, senior Shanghai policy advisers described growing tension between the Shanghai authorities, which were seeking a faster pace of reform, and the more cautious approach preferred by central government agencies. A debate was also ongoing as to the priorities of the zone: whether its first focus
\textsuperscript{127} Yam, “Leaders bypass ministries on Shanghai free-trade zone.”
\textsuperscript{128} The institutional setup for the FTZ’s implementation also reflected this concern. Prior to its opening, the State Council established two leading groups in Beijing and Shanghai. The higher-level Beijing body brought together representatives from roughly 20 agencies under the joint leadership of the Shanghai municipal government, MOFCOM, and the NDRC. The Shanghai-level group was similarly structured. Thus, while the NDRC and MOFCOM would take leadership in the actual design of the FTZ plan, Shanghai, with its direct line to the State Council, would have unusual sway in ensuring its implementation.
\textsuperscript{129} MOFCOM, the PBOC, MIIT, MOF, the Ministry of Culture, the Ministry of Transport, the General Administration of Customs, State Administration of Taxation, State Administration of Industry and Commerce, General Administration of Quality Supervision, Inspection, and Quarantine, CBRC, CSRC, and CIRC.
\textsuperscript{130} Sina Finance, “上海自贸区2013年新设企业3405户” [The Addition of 3405 Companies in Shanghai FTZ in 2013], January 6, 2014, http://finance.sina.com.cn/stock/t/20140106/172717859094.shtml.
\textsuperscript{131} Sina News, “上海自贸区：改革红利初现” [Shanghai FTZ: The Emerging Benefits of the Reform], January 9, 2014, http://news.sina.com.cn/c/2014-01-09/162529199303.shtml.
\textsuperscript{132} Nicholas Borst, “The Shanghai Free Trade Zone’s Financial Firewall,” \textit{China Economic Watch}, December 6, 2013, http://blogs.piie.com/china/?p=3593.
\textsuperscript{133} Michelle Chen, “Reform paralysis, slow progress cloud Shanghai free trade zone project,” Reuters, September 15, 2014, http://www.reuters.com/article/2014/09/14/china-shanghai-ftz-idUSL3N0RB1JR20140914.
should be on promoting financial and capital account liberalization (and the strengthening of Shanghai as a financial center), or the “transformation of government functions” and other measures to strengthen the “real economy,” such as by eliminating registered capital requirements, shifting from an approval to a registration system for foreign investment, and establishing a “one-stop shop” registration process for new companies.
During his first visit to the zone in May 2014, President Xi sharpened rather than allayed these concerns, deepening the sense of a contradiction between the FTZ’s grand purported purpose and the realities on the ground. In remarks reported by CCTV, he stressed that management of the FTZ would require a combination of “structural reform and the exploration of new methods, while controlling risks and gradually making improvements.”\(^{134}\) Although consistent with China’s traditional pattern of achieving reform through “crossing the river by feeling the stones,” this call for caution sat uncomfortably alongside leaders’ earlier exhortations on the need to act decisively in moving through the “deeper waters” of reform. A *China Daily* article published shortly after Xi’s visit neatly captured the apparent contradictions in his remarks: “Few experiments can shun risks. But some must. President Xi Jinping . . . again urged [Shanghai] to push the envelope in exploring a transplantable path for financial reform . . . and stressed risk prevention as the baseline for reform.”\(^{135}\)
In an unusual rambling critique, this same article went on to launch criticisms at many of the actors involved in establishing the FTZ. Shanghai’s failure to “take the ox’s nose” in steering reforms had left enterprises registered in the zone “disappointed with the slow progress.” Stalled financial reform was due to opposition from SOEs, banks, and corrupt officials “seeking illegal profits from the power-money trade.” Coordination was hindered, according to an official from the FTZ administration quoted in the piece, by the fact that the overlapping responsibilities of central ministries meant that “almost every important reform policies we made is related to more than two central government departments.” Even Xi earned some criticism: while “[his] vigilance to the risks of financial reform is justifiable . . . he needs to give more support to help Shanghai coordinate interests and actions of different ministries . . . or, an experimental field will only become a showcase.”\(^{136}\)
While far from representing any official or systematic assessment of the zone’s progress, this strange polemic is revealing of many of the issues that were in fact hindering the zone’s development: an unclear mandate; a fragmented bureaucratic apparatus, lacking any functional coordination mechanism; uneven capacity for implementing reforms within the bureaucracy; and an apparent absence of sustained, high-level attention. In interviews conducted in July 2014, several interlocutors also noted that, while many Shanghai bureaus (and the financial services office in particular) were enthusiastic about faster
---
134. Zhang Jianfeng, “Chinese president urges Shanghai stronger competitiveness,” Xinhua, May 24, 2014, http://english.cntv.cn/2014/05/24/ARTI1400937821852811.shtml.
135. Li Yang, “Shanghai FTZ needs neat, stable reforms to make it,” *China Daily USA*, June 6, 2014, http://usa.chinadaily.com.cn/epaper/2014-06/06/content_17568119.htm.
136. Ibid.
reforms in the zone, the main financial regulators—the PBOC, CBRC, CSRC, and CIRC—were less interested, if not outright opposed. When asked about one of the other major zone reforms, the negative list, one senior government-affiliated researcher said simply, “Expectations are too high,” citing the sheer number of agencies involved in the list’s compilation as reason enough to justify its excessive length. That this was seen as the case in spite of the clear and deliberate enlistment of external pressure as a lever for reform says much about the strength of bureaucratic intransigence and domestic interests.
*The Shanghai FTZ: Harbinger or Red Herring?*
As a result, and despite some official rhetoric to the contrary, at the one-year anniversary of the Shanghai FTZ’s opening, the *Financial Times* summarized the mood surrounding the experiment as one of palpable disappointment, “with scant progress on loosening capital controls or liberalizing interest rates.”\(^{137}\)
A raft of reforms announced earlier in the year, including a new system of free-trade accounts, liberalization of interest rates on corporations’ foreign currency deposits, and the elimination of registered capital requirements, while directionally positive, had failed to stem an emerging consensus that the FTZ experiment was floundering. Even MOFCOM’s revised version of the negative list, released in July 2014 with a “27 percent reduction in listed items,” was roundly panned. As analysts—and the U.S. Treasury\(^{138}\)—quickly noted, the reduction mainly reflected the elimination of redundancies in the original list rather than any major new opening.\(^{139}\) Adding to Shanghai’s troubles, Dai Haibo, the FTZ administration’s executive deputy director for daily operations, was suspended for suspected disciplinary violations in mid-September.\(^{140}\)
The full and final fate of the Shanghai FTZ is not clear. The trial was initially slated for three years, and it still has some support in Zhongnanhai, as illustrated by Premier Li’s one-year anniversary visit to the zone\(^{141}\) and President Xi’s comments on the zone at the end of October in a meeting of the CDRLSG.\(^{142}\) In September 2014, the PBOC promised that
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137. Gabriel Wildau, “Shanghai free-trade zone struggles to live up to its hype,” *Financial Times*, September 2, 2014, http://www.ft.com/intl/cms/s/0/b6985580-324f-11e4-b929-00144feabdc0.html#axzz3CY6nqGEL; Shen Hong, “One Year On, Shanghai Free-Trade Zone Disappoints,” *Wall Street Journal*, September 28, 2014, http://www.wsj.com/articles/one-year-on-shanghai-free-trade-zone-disappoints-1411928668.
138. “Lew says China update of Shanghai FTZ list contains no major U.S. benefits,” *Inside U.S. Trade*, July 1, 2014, https://www.uschina.org/media/inthenews/lew-says-china-update-shanghai-ftz-list-contains-no-major-us-benefits.
139. Lu Jianxin and John Ruwitch, “Shanghai trade zone cuts FDI restrictions, but avoids significant changes,” Reuters, July 1, 2014, http://www.reuters.com/article/2014/07/01/china-ftz-negativelist-idUSL4N0PC2LY20140701.
140. “Head of Shanghai’s free-trade zone, Dai Haibo, to step down amid graft probe,” *South China Morning Post*, September 15, 2014, http://www.scmp.com/news/china/article/1592689/head-shanghais-free-trade-zone-dai-haibo-step-down-amid-graft-probe.
141. “Premier urges more Shanghai FTZ innovation,” Xinhua, September 9, 2014, http://www.globaltimes.cn/content/882397.shtml.
142. At the meeting, Xi compared the experience gained through the FTZ to “seeds cultivated in an experimental plot,” and promised that China would copy the practices piloted in Shanghai in other places “as soon as possible.” This presaged the December approval of the three additional FTZs discussed below. “Xi says China to
financial reform would move faster,\textsuperscript{143} and the zone was subsequently expanded in January 2015 to include the central Lujiazui financial district, which will increase the impact of future financial reforms.\textsuperscript{144} Even if these are not forthcoming, Shanghai Party Secretary Han Zheng has argued that “the core reform was to transform the government’s role,”\textsuperscript{145} meaning that an excessive focus on finance or the treatment of foreign enterprises could perhaps be missing the main thrust of the effort (though this does not explain the continued emphasis on capital account opening in official statements).\textsuperscript{146}
More likely, however, it appears that the leadership is changing its approach and Shanghai is losing some of its initial prominence. After having denied applications from other provinces to establish their own zones for over a year, in December 2014 the State Council approved the establishment of new zones in three additional provinces.\textsuperscript{147} “Following the success of the pilot free-trade zone in Shanghai,” the official statement said, “new parks will be opened in Tianjin, Guangdong and Fujian.”\textsuperscript{148} Coming from a party famous for never officially acknowledging mistakes, this may be a tacit admission of the zone’s underperformance to date.
The experiment of the Shanghai FTZ exhibits many traditional characteristics of Chinese economic policymaking, as discussed in Chapter 4 above: persistent coordination challenges within the bureaucracy; a preference for a cautious and incremental approach to liberalization (particularly in finance); the continued challenge of negotiating the gap between the center and the localities; and the use of external pressure and international standards to provide organizing principles for reform.
This last point bears particular attention in understanding an experiment such as the Shanghai FTZ. While China’s initial coastal opening to FDI may have been in part about preferential policies to attract foreign investors, the current leadership has explicitly rejected such “favorable policies” in the Shanghai zone. At least conceptually, the primary focus of the zone is not to improve the operating environment for foreign investors, but to improve China’s overall business environment and economic outlook through reforms to its administration system. A narrow focus on the demands of foreign companies—and
\textsuperscript{143} “Financial reform to speed up in Shanghai FTZ,” Xinhua, September 29, 2014, http://usa.chinadaily.com.cn/business/2014-09/29/content_18683829.htm.
\textsuperscript{144} Li Yang, “Shanghai FTZ heft quadruples,” \textit{China Daily USA}, January 9, 2015, http://usa.chinadaily.com.cn/epaper/2015-01/09/content_19281568.htm.
\textsuperscript{145} Hu Shuli, “How Shanghai’s Free Trade Zone Works,” Caixin, January 8, 2014, http://www.chinafile.com/how-shanghais-free-trade-zone-works.
\textsuperscript{146} “Shanghai to speed up FTZ reforms: Mayor,” Xinhua, November 2, 2014, http://news.xinhuanet.com/english/china/2014-11/02/c_133760807.htm.
\textsuperscript{147} Jamil Anderlini, “New China free trade zones to lift growth,” \textit{Financial Times}, December 14, 2014, http://www.ft.com/intl/cms/s/0/dfac8e5e-834f-11e4-9a9a-00144feabdc0.html.
\textsuperscript{148} These zones will replicate many of the administrative reforms first piloted in the Shanghai FTZ, but each will seek to pilot specialized reforms suited to local conditions and available capacity (just as Shanghai was intended to specialize in promoting financial reform).
their dissatisfaction with zone’s progress—can thus be misleading, even as Beijing’s apparent disinterest in addressing many of their concerns is itself revealing.
The zone also highlights the difficult challenge facing Chinese officials as they attempt to “let market forces play a decisive role,” while remaining proactive in risk prevention. For example, the Chinese administration system has long relied on cumbersome up-front approval processes, but maintained little capacity for follow-up supervision. The reforms under way in the Shanghai FTZ are in large part about reversing this emphasis: lowering barriers to entry and activity, while raising the standards for supervision. Making this system work will require a significant retooling of China’s governance apparatus and mindset, one that will be essential to allowing the market a “decisive role” in resource allocation. It is important to recognize that the goal to “transform government functions” is not the empty talk it might seem to Western ears.
At the same time, it would be a mistake to simply write off the limited progress made so far on capital account liberalization as observers misreading Beijing’s intentions en masse. The initial framing of the Shanghai experiment put finance front and center on the reform agenda along with administrative reform, and most observers agree that progress on the former has been disappointing. This frustration is not by design. To some degree, it is likely that China’s leaders initially oversold the zone, and have since had to roll back their ambitions in light of the difficulties so far encountered. For all Beijing’s (real and perceived) penchant for planning, China’s leaders are fallible, time-pressed individuals making policy in the context of incomplete information. Their extreme emphasis on maintaining stability makes them hyperaware of the need to adapt policy to changing circumstances, even as their political culture makes public backpedaling difficult.
**The Xi Administration’s Approach to Financial Reform**
**POLICYMAKING PATTERNS**
As the above cases suggest, the Xi administration’s approach to financial reform demonstrates both important aspects of continuity with earlier periods and its own distinct characteristics. Perhaps the most distinct characteristic of the Xi leadership’s approach to financial reform is a decisive, centralized style of decisionmaking. When a specific, short-term problem is identified, a decisive deployment of specific countermeasures follows. In two of the three cases, this approach proved largely successful in achieving policy objectives. However, as the development of the Shanghai FTZ shows, when the goals of reform are less explicit, the reform requires implementation over a longer time frame, and there is a broader range of actors involved, achieving decisive outcomes has proven more challenging. This suggests that successful implementation in finance and other areas of reform will require the leadership to employ strategies beyond those demonstrated in these case studies.
In other ways, the approach of the Xi leadership has been in keeping with established patterns of Chinese economic policymaking. For example, achieving coordination between Chinese ministries clearly remains a major challenge, and one not easily solved by top leadership’s sweeping policy pronouncements. While such pronouncements and the promise to “give the market a decisive role” have set the tone for policies to be implemented, achieving concrete outcomes and effective coordination will additionally require top leaders to take ownership of initiatives and supply the close supervision and clear directives needed to drive processes forward. Even if leaders do take a more hands-on approach, the Shanghai experience shows that there remain important capacity and mindset gaps for designing and implementing more market-based reforms (let alone administering the resulting system) at the local level. These will inevitably take time to address.
Alternatively, leaders may attempt to sidestep coordination altogether, as they did in June 2013 and the first quarter of 2014, empowering one ministry to act decisively to achieve a narrow objective. However, this tactic is not universally applicable; some mechanism for achieving coordination will ultimately be necessary, and such a mechanism is not yet evident. For example, reports suggest the PBOC-led financial regulatory coordinating body established in August 2013 (following the June shock) has been hobbled by interministerial conflict.\(^{149}\) This is the same problem that frustrated earlier attempts to establish such a regulatory coordinating mechanism, and more general attempts to achieve effective coordination between state agencies of equal formal rank. Coordination also clearly remains a challenge between the central and local governments: even in Shanghai, despite its leaders’ close ties to Zhongnanhai and Xi’s own experience as its party secretary, this has proven difficult.
A continued preference for experimentation remains evident in financial reform, albeit of an unusually cautious and incremental kind. In the case of the Shanghai FTZ, this “incremental” approach is due at least in part to coordination challenges and other factors discussed earlier. However, it also likely reflects another characteristic of Chinese policymakers’ tactics in financial reform more generally: a careful attention to sequencing, widely accepted as central to avoiding instability. This is evident in Beijing’s approach to interest rate liberalization, where, among other reforms, deposit insurance has been stressed as an essential prerequisite to full liberalization. It is also the case in exchange rate and capital account reform, where the widening of the RMB trading band and the creation of the Hong Kong–Shanghai stock exchange connection, respectively, represent incremental advancements rather than dramatic leaps toward the eventual (stated) goal of full liberalization.
As is evident in the Shanghai case, the current leadership is also drawing from the tried-and-true playbook of wielding external pressure to drive reform. However, the relatively lackluster progress thus far serves as an important reminder that external pressure alone cannot drive reform; it must be wielded. For example, China’s WTO
\(^{149}\) Jamil Anderlini, “China bank regulators caught in turf war,” *Financial Times*, April 9, 2014, http://www.ft.com/intl/cms/s/0/0eb56cf4-bfc7-11e3-b6e8-00144feabdc0.html?siteedition=intl.
accession was closely overseen by the premier with direct investment in the process, guided and coordinated by the state councilor directly reporting to the premier, and coordinated by two major ministries in close cooperation with the State Council general office.\textsuperscript{150} No such approach to the BIT negotiations, or to financial reform, is so far evident, nor is an organizing principle as comprehensive as the WTO accession process necessarily available. In contrast to external \textit{pressure}, however, external \textit{forces}, particularly from financial markets, clearly constrain the options available to Chinese policymakers and influence their policy choices, as demonstrated by June 2013 and the widening of the RMB trading band (as well as China’s challenges in dealing with capital outflows in the first quarter of 2015).\textsuperscript{151}
\section*{LOOKING AHEAD}
The Xi administration has emphasized financial reform as a key element of its overall reform agenda, and it has been an important priority in the administration’s first two years. Top leaders and key bureaucrats have repeatedly emphasized its importance in public speeches\textsuperscript{152} and major meetings,\textsuperscript{153} and maintained that major progress is on the way.\textsuperscript{154} Already, incremental progress has been made on all three key areas emphasized in this chapter and by China’s leaders: interest rate, exchange rate, and capital account liberalization. Among other reforms, draft rules for deposit insurance were introduced in late 2014, with expected implementation this year, and the RMB’s daily trading band was widened. The Hong Kong–Shanghai Stock Connect was announced, marking an important step toward greater capital account liberalization, and authorities have pledged to accelerate financial reforms in the Shanghai FTZ. The continued growth of the shadow-banking sector and Beijing’s recent endorsement of Internet finance companies have strengthened competition for deposits within the financial system.
At the same time, it is clear that financial reform has not been the Xi administration’s number-one priority since taking office. Other issues, such as the anticorruption campaign and fiscal reform, have taken center stage instead. This may reflect continued uncertainty about how to give the market a “decisive role” in capital allocation without triggering some form of financial instability (and while maintaining party control). It is also possible that China’s leaders see anticorruption, fiscal, and SOE reform as prerequisites (or at least necessary complements) for advancing more dramatic, market-oriented financial reforms.
\textsuperscript{150}. Yong Wang, “China’s Stakes in WTO Accession: The Internal Decision-making Process,” in \textit{China’s WTO Accession: National and International Perspectives}, ed. Heike Holbig and Robert Ash (London: RoutledgeCurzon, 2002).
\textsuperscript{151}. Fitch Ratings, “China’s RRR Cut Less of an Easing Than It Appears,” \textit{Fitch Wire}, February 5, 2015, https://www.fitchratings.com/gws/en/fitchwire/fitchwirearticle/China%27s-RRR-Cut?pr_id=979217.
\textsuperscript{152}. For example, Li Keqiang, “Chinese Premier Li Keqiang’s speech at Davos 2015” (speech at World Economic Forum, Davos, January 23, 2015), https://agenda.weforum.org/2015/01/chinese-premier-li-keqiangs-speech-at-davos-2015/.
\textsuperscript{153}. “Spotlight: China’s continuous reforms, development to boost global economic recovery,” Xinhua, December 11, 2014, http://news.xinhuanet.com/english/indepth/2014-12/11/c_133848741.htm.
\textsuperscript{154}. Bob Davis, “China Central Bank Said Committed to Rate Reform,” \textit{Wall Street Journal}, July 10, 2014, http://www.wsj.com/articles/pbocs-zhou-still-committed-to-interest-rate-liberalization-in-two-years-1404970714.
This would indicate that Beijing has assessed the risks in the financial system remain manageable at present, and a gradual, sequenced approach is preferable to chancing instability through premature liberalization. During the last major round of economic reforms in China, Zhu Rongji used a similar approach, pursuing financial reform at the same time as he pushed forward a massive campaign to downsize the public sector. This was needed to break up problematic linkages between Chinese banks and uncompetitive SOEs that had led to the NPL buildup in the first place.
There are risks should the Xi administration delay decisive financial reform too long. The McKinsey Global Institute has estimated that China’s overall debt-to-GDP ratio reached 282 percent as of mid-2014, accounting for more than a third of postcrisis debt growth in the entire global economy.\(^{155}\) Even under what it views as favorable assumptions, Goldman Sachs has estimated it would take half a decade of slowing credit growth for this ratio to stabilize.\(^{156}\) Given the complexity, opacity, interconnectedness, and sheer size of China’s financial system, the risk of financial instability—perhaps stemming from a deeper-than-expected property market downturn—cannot be fully discounted.
However, it is not likely that China will experience a full-blown financial crisis in the near term. It has limited external vulnerabilities, and the banking sector is relatively healthy.\(^{157}\) The IMF has assessed that, even taking into account the rapid growth of local government debt in recent years, the Chinese government has policy tools adequate to avoiding a sharp slowdown.\(^{158}\) These include a large pool of domestic savings, significant public-sector assets, and low public debt levels. Moreover, China’s financial technocrats—in particular, Governor Zhou—are talented reformers of long experience and appear to enjoy the confidence of top leaders.
On balance, it is likely that China will muddle through on financial reform and make some incremental progress. However, the process will almost certainly generate some surprises along the way and may take significantly longer than initially expected.\(^{159}\) The Chinese financial system is orders of magnitude more complex than during the last major round of reforms, which required the better part of a decade to complete. This magnifies the challenge of advancing reform without upsetting stability. Indeed, in the Third Plenum Decision and elsewhere,\(^{160}\) top leaders have illustrated that they have a vision for financial reform and a market-based system for capital allocation, even as their actions have demonstrated concern over how to realize this roadmap. For example, the PBOC’s attempts to use
\(^{155}\). Pedro Nicolaci da Costa, “China’s Total Debt Load Equals 282% of GDP, Raising Economic Risks,” *Wall Street Journal*, February 4, 2015, http://blogs.wsj.com/economics/2015/02/04/chinas-total-debt-load-equals-282-of-gdp-raising-its-economic-risks/.
\(^{156}\). David Keohane, “ICYMI, China’s credit buildup was pretty damn fast,” *Financial Times*, January 26, 2016, http://ftalphaville.ft.com/2015/01/26/2100092/icymi-chinas-credit-buildup-was-pretty-damn-fast/.
\(^{157}\). Huang and Bosler, *China’s Debt Dilemma*.
\(^{158}\). IMF, “People’s Republic of China: 2012 Article IV Consultation,” IMF Country Report No. 12/195, July, 2012, https://www.imf.org/external/pubs/ft/scr/2012/cr12195.pdf.
\(^{159}\). Gabriel Wildau, “China slowdown threatens timetable for financial reform,” *Financial Times*, September 28, 2014, http://www.ft.com/intl/cms/s/0/fe7e75b6-43c3-11e4-baa7-00144feabdc0.html.
\(^{160}\). Xiaochuan, “Road map for financial reform.”
targeted interventions throughout 2014 to encourage lending to priority sectors (rather than relying on more market-based tools) is a clear message that financial policymakers do not yet trust China’s financial system to allocate credit in a manner consistent with their objectives without guidance.\textsuperscript{161} This was likely the right policy at the time, but also underscores the challenges that Beijing will face in letting go and ceding the market a decisive role—and the risks it sees in doing so.
\textsuperscript{161} Gabriel Wildau, “Chinese monetary policy undergoes big shift,” \textit{Financial Times}, February 11, 2015, http://www.ft.com/intl/cms/s/0/baee0b5c-b1b1-11e4-8396-00144feab7de.html; Fitch Ratings, “China’s RRR Cut Less of an Easing than It Appears.”
Assessing Policymaking under Xi Jinping
Centralized Economic Decisionmaking
Most analysts of Chinese leadership now accept that Xi Jinping is the most powerful Chinese leader since Deng Xiaoping. A few have even argued that Xi is the most powerful man to occupy Zhongnanhai since Mao Zedong.\(^1\) Whatever the precise extent of Xi’s power and whichever comparison is more exactly appropriate, it should come as no surprise that a leader of such widely acknowledged potency has significantly centralized economic decisionmaking and placed a renewed emphasis on the “top-level design” of reform. This has resulted in a much more rapid, opaque, and personalized style of economic decisionmaking under Xi than was evident under his immediate predecessors.
Given that the Hu-Wen leadership was plagued by unusual indecisiveness, this comparison perhaps sets the bar too low. Post-Mao, every generation of Chinese leaders has emphasized the need for consensus-based decisionmaking, but this emphasis reached its apex under Hu and Wen, to the point where it undermined the effectiveness of their leadership.\(^2\) Like Zhu Rongji, the Hu-Wen leadership relied on the state bureaucracy to play the central role in economic policymaking, but proved less effective in managing it. Hu and Wen also struggled to address unintended negative consequences of the decentralization that had begun after Deng’s Southern Tour and significantly enhanced the power of the provinces in economic policymaking. Ex post facto assessments of their approach largely agree that it contributed to the stagnation of reform during their tenure and the deepening of China’s structural economic problems.
Clearly Xi shares this assessment, and has moved to ensure these problems do not recur under his leadership. Using the CDRLSG and the CFELSG, he has in effect sidestepped the state apparatus and used party channels to create a “counterbureaucracy” for coordinating his reform agenda and “strengthening top-level design.” The three adjectives used above to describe Xi’s economic decisionmaking style—rapid, opaque, and personalized—follow in
\(^1\) Michael Forsythe, “Q. and A.: Roderick MacFarquhar on Xi Jinping’s High-Risk Campaign to Save the Communist Party,” *New York Times*, January 30, 2015, http://sinosphere.blogs.nytimes.com/2015/01/30/q-and-a-roderick-macfarquhar-on-xi-jinpinings-high-risk-campaign-to-save-the-communist-party/.
\(^2\) Christopher K. Johnson, “Beijing’s Cracked Consensus,” *Foreign Affairs*, April 18, 2012, http://www.foreignaffairs.com/articles/137413/christopher-k-johnson/beijings-cracked-consensus.
part from this tactical shift in the center of economic policymaking toward these high-level party institutions, and in part stem from Xi’s characteristics as a leader.
By its nature, the party is a more opaque and personalized institution than the formal bureaucracy of the state, particularly at the highest levels. While there has been an unprecedented level of transparency surrounding the membership and agendas of the CDRLSG and CFELSG—even including the partial televising of meetings—their internal workings remain little understood by all but a few high party officials. However, it is clear that these institutions, along with his own keen grasp of party doctrine, have helped Xi to make an unusually fast start in putting forward his economic reform agenda (as well as policy priorities in other areas such as foreign affairs).
Xi’s own personal political style reinforces these trends toward rapidity, opacity, and the personalization of economic decisionmaking. His experiences, first as the privileged son of one of the Communist Party regime’s founding fathers and later as a victim of the Cultural Revolution, provided him eloquent early instruction in party language, politics, and process. As CSIS scholar Christopher Johnson has phrased it, this background has enabled Xi “to skillfully play to all of the tones in the CCP’s ideological register.” He relies heavily on centralized control over the varied tools of the party apparatus, from personnel and propaganda to anticorruption and mass-line campaigns, to advance his political agenda, and uses the extent of his arsenal and unpredictability in its employment to keep opponents off-balance.
These trends have reduced the already-limited transparency and predictability of Chinese economic policymaking and disrupted established top-level decisionmaking patterns. The conversation on economic decisions has been elevated and, as a consequence, to a certain degree narrowed. Ministries in key areas headed by trusted technocrats, such as Governor Zhou of the PBOC and MOF’s Lou Jiwei, have been empowered, though not through any formal institutional mechanism. Fewer ministries, and fewer officials beyond the top levels, are involved in deciding policy direction, leading both to more rapid decisionmaking and to more decisive action, but also raising the risk of unintended consequences. While centrally controlled economic levers, such as fiscal revenue, financial conditions, and the anticorruption campaign, provide a powerful arsenal for shaping the environment in which officials and economic actors make decisions, they are not without limits. The increased personalization of policymaking in the context of such a broad reform agenda also raises questions as to whether the top leadership, and Xi in particular, will have the bandwidth needed to supervise its implementation—and whether or not trusted implementers, such as Liu He, have enough personal clout to drive top-down change through the system.
3. Christopher K. Johnson, *Decoding China’s Emerging “Great Power” Strategy in Asia* (Washington, DC: CSIS, June 2014), http://csis.org/files/publication/140603_Johnson_DecodingChinasEmerging_WEB.pdf.
4. The full CFELSG has 26 full members, not all of whom are involved in economic policymaking. This is a larger number than were involved in the plenum drafting body. See Appendix II for a full roster.
Regardless of these challenges, it is clear that Xi is determined to reverse the trends in decisionmaking that handicapped his predecessors, and to ensure more “top-level design” of economic policy. Given the record of the Hu-Wen administration on economic reform, this can only be a good thing, even as it reduces the transparency of decisionmaking. Strategic ambiguity, alongside more rapid decisionmaking, may help Xi to keep opponents of his reforms off-balance and his agenda moving forward. From a substantive perspective, successful top-level design could have enormous positive effects, from promoting more consistent national standards and regulations and limiting local protectionism to encouraging more rational patterns of infrastructure investment and restructuring of regional economies. As an overall trend, this should be read as a net—though not unqualified—positive for China’s economic reform prospects.
**Fragmented Policy Implementation**
This narrative of new decisiveness only extends so far beyond Zhongnanhai and the top levels of economic decisionmaking. In many respects, the mountains remain high, and the emperor, while powerful, far away. Xi has sidestepped the official bureaucracy in much of top-level decisionmaking, but he remains reliant on it for technical expertise in implementing reform. He has built new channels within the party in an effort make local officials more accountable—and better incentivized—to implement reform, but he has not made new officials.\(^5\) Those in office are the same who flourished for decades under the old “growth first” model of governance. As a result of these and other enduring factors, down to the vast and rugged geography of China itself, the implementation of reform has been, in many ways, uncoordinated and uncertain—as well as unenthusiastic.
Deng Xiaoping was not an economic genius; he was an extremely canny politician. His enduring brilliance was in harnessing positive incentives to build a durable coalition across Chinese society in favor of growth, and reform as a means to achieve it. This meant that, for the most part, bottom-up innovations in policy complemented, and even sometimes inspired, top-down reform initiatives. Today’s more pluralized political economy has no such comparable unifying objective. Although present reforms are, in the aggregate, designed to ensure the continued and more sustainable expansion of the economic pie, in their details they represent a major reshuffling of winners and losers across different sectors of the economy and across society. Local bureaucrats and party officials, for example, are set to lose many of their most cherished tools for generating wealth and dispensing patronage if the current reforms go forward.
This helps to explain why implementation of economic reform has so far been unenthusiastic: many measures, such as Premier Li’s campaign to reduce excess approval measures, cut hard against vested interests. Local leaders in particular have gone from having among the most privileged, empowered, and influential positions in government, to being
\(^5\) The authors would like to thank Kenneth Lieberthal for highlighting this point in several conversations.
squeezed from all sides. Below them, Internet-enabled citizens armed with mobile-phone cameras are watching for signs of graft or bad behavior. From above, they face more varied and difficult-to-accomplish targets, as well as stricter discipline and strengthened scrutiny. Xi himself has warned that party members must “align themselves with the [Central Committee] in deed and thought, at all times and in any situation.”\textsuperscript{6} Meanwhile, Beijing’s efforts to more closely manage the process of reform and restrain the growth of local debt are reducing local leaders’ autonomy and cutting off old sources of revenue before new ones have been made clear.\textsuperscript{7} This shift has sharpened tensions between the center and the localities and, along with the anti-corruption campaign (discussed below), had the unintended consequence of producing near-paralysis in local decisionmaking.
Implementation has also been uncoordinated, in part as a side effect of Xi’s decision-making style, as discussed above. By using officials from the CFELSG as a “kitchen cabinet” for drafting the Third Plenum resolution, Xi largely bypassed the ministries in developing a reform agenda they would bear the burden of implementing and enforcing. This likely led to some significant disgruntlement within the state bureaucracy. Moreover, by shifting the center of economic policy coordination into party channels and away from the state, Xi has disrupted established patterns of coordination and communication that, however clogged they may have been, will take time to reorient to the new decisionmaking structure.\textsuperscript{8} In the meantime, China’s traditional coordination challenges have persisted and in some respects been amplified, with even high-ranking officials in Beijing often unaware of policy direction in their area of responsibility.
Implementation of reform has also been uncertain. This is due in part to another hallmark Xi initiative: the anticorruption campaign, which has cast a chill over the Chinese political system with its unexpected extent and ferocity.\textsuperscript{9} Such a clear sign of unrest at the apex of China’s political hierarchy as the arrest of a former PBSC member, coupled with the newly enhanced threat of anticorruption probes into bureaucrats and local officials alike, have undermined Xi’s calls for “activeness and bold efforts” in implementing market-oriented reforms.\textsuperscript{10} While the campaign has undoubtedly helped disincentivize many forms of corruption, it has also created a climate of fear that has strengthened the bureaucracy and local officialdom’s “wait and see” bias with regard to many market-based reforms.
\textsuperscript{6} “Xi stresses Party discipline, rules,” Xinhua, January 13, 2015, http://news.xinhuanet.com/english/china/2015-01/13/c_133916942.htm.
\textsuperscript{7} Fiscal reform is underway, and the government has been piloting a municipal bond program since May 2014, which could have a significant impact in rationalizing China’s fiscal system and addressing this issue. However, as of mid-February 2015, both fiscal reform and the municipal bond program remained in their early stages, while efforts to restrain local government borrowing (often conducted through opaque local government financing vehicles) were significantly more advanced.
\textsuperscript{8} This description somewhat elides the relationship between the CFELSG and the CDRLSG. The latter has six subgroups, one of which is focused on “economic system and ecological system” reforms. The office of this group is coheaded by Liu He and NDRC Director Xu Shaoshi, and is closely related but not perfectly overlapping with the CFELSG. For more details on this arrangement, see Naughton, “‘Deepening Reform.’”
\textsuperscript{9} Gabriel Wildau, “China’s anti-corruption probe broadens into finance sector,” \textit{Financial Times}, February 3, 2015, http://www.ft.com/intl/cms/s/0/e50b1036-ab73-11e4-8070-00144feab7de.html.
\textsuperscript{10} Lu Hui, “Xi explains China’s reform plan,” Xinhua, November 15, 2013, http://news.xinhuanet.com/english/china/2013-11/15/c_132891949.htm.
Moreover, it has done so without creating countervailing positive incentives for more active implementation.\textsuperscript{11}
This effect is enhanced by another persistent characteristic of traditional policymaking: the vagueness of top-level documents. The Third Plenum resolution, for example, is a “vision statement with a to-do list,” designed to establish the “general line” and overall “guiding ideology” for reform, but not to lay out its technical details.\textsuperscript{12} These fall to the line agencies and local governments to promulgate and implement. In the right circumstances, this vagueness creates vital space for innovation in generating new local reform initiatives and making tweaks to top-level edicts to better suit them to local conditions. However, it can also provide an excuse for local officials to hide behind the contradictions inevitably embedded in the dialectical language of official party documents: announcing their support for the general line and giving the impression of sincere activity, while stalling on implementation of specific measures. Much of this is evident today.
At the same time, it is clear that Xi and current leadership are attempting to shift officials’ incentive structures in favor of reform. For example, underneath the CDRLSG there are over 800 corresponding reform leading groups located within central government agencies and down to the prefectural level, each headed by the top-ranking party official in that body.\textsuperscript{13} This unprecedented move was clearly designed to strengthen local accountability for reforms, as well as reporting arrangements between the center and localities. Reforms to the criteria used by the Central Committee Organization Department in conducting officials’ annual evaluation have also been introduced. These reforms were designed to end “GDP obsession” and encourage more balanced local policy.\textsuperscript{14} On the party side, Xi has pointedly sought to strengthen cadres’ adherence to CCP rules, warning that they must “align themselves with the [Central Committee] in deed and thought, at all times, and in any situation.”\textsuperscript{15} Here the focus seems to be on reducing local leaders’ incentives and ability to depart from central directives in policy implementation, and instead encouraging them to faithfully implement Beijing’s vision for reform.
However, these structural reforms will take time to generate results, and their implementation represents a major technical as well as political challenge. Within China’s unitary system, it is much easier to assess officials’ performance using a clear, consistent, quantitative metric like GDP growth than their ability to “promote the formation of a unified market in which fair competition can take place.”\textsuperscript{16} Promoting a more hands-off approach to managing the economy more generally—while also strengthening the consistent application of standards, such as for food safety—will also require a culture shift and
\begin{itemize}
\item Johnson, \textit{Decoding China’s Emerging “Great Power” Strategy in Asia}.
\item Naughton, “After the Third Plenum.”
\item Naughton, “‘Deepening Reform.’”
\item “China Focus: China’s reformed official assessment hailed as landmark,” Xinhua, December 11, 2013, http://news.xinhuanet.com/english/indepth/2013-12/11/c_132960340.htm.
\item “Xi stresses Party discipline, rules.”
\item Li Keqiang, “On Deepening Economic Reform,” \textit{Qiushi} 6, no. 1 (October 2014), http://english.qstheory.cn/2014-11/02/c_1113067968.htm.
\end{itemize}
the cultivation of new capacities, regulations, and approaches. Such changes will inevitably take time.
All of this serves to underscore the challenges Xi faces, and to illustrate why much of the implementation of reform has been uncertain, uncoordinated, and unenthusiastic. However, it would be a mistake to take the progress made over two years as a final assessment of what is achievable over a decade. Xi and his allies have taken a running start at disrupting many of the formal and illicit incentive structures that underpinned China’s old growth model. In doing so, they have shown they understand the centrality of incentives in shaping policy, recognized the old system was misaligned, and are demonstrating their determination to generate new incentives to encourage the comprehensive deepening of reform—even if they are not yet certain what these incentives will be. Moreover, these and other reforms, such as those in the legal system, illustrate that Xi’s economic reform agenda is not just economic policy. As discussed below, the Third Plenum resolution is as much about comprehensive governance reforms, designed to strengthen the party’s ability to effectively lead China further toward the great rejuvenation of the Chinese nation, and should be read in this context.
Comprehensive, Inconclusive
Since assuming the leadership of the CCP, Xi has stressed as his overarching goal the realization of the “China Dream,” defined as “the great rejuvenation of the Chinese nation.”\(^{17}\) In his explanation of the Third Plenum resolution a year later, he went on to explicitly link his updated vision of reform and opening with the overarching goal of achieving China’s rejuvenation.\(^{18}\) Giving the market a “decisive role” and establishing a “proper relationship between the market and government” are at the core of this agenda.
As the midpoint of Xi’s first five-year term in office nears, a central question about the implementation of this reform agenda remains unanswered. On the one hand, the so-far incremental, experimental, and populism-tinged approach to economic reform may be evidence of opposition from vested interests, strong risk aversion, and general uncertainty. This would suggest reform is struggling amid “deeper waters.” Alternatively, some evidence suggests Xi may be employing a sequenced strategy for achieving not only economic reform but also a complementary overhaul of China’s current governance system. This would suggest that 2015 could well be a breakout year for reform. So far, the evidence as to which outcome is more likely remains inconclusive—though, to some degree, the answer will almost inevitably be “both.”
On the former interpretation, it is clear that the Xi administration’s approach to implementing substantive economic reform in its first two years has been incremental rather than decisive. With the exception of fiscal reform, where the CDRLSG has approved a
\(^{17}\) “Xi pledges ‘great renewal of Chinese nation,’” Xinhua, November 29, 2012, http://news.xinhuanet.com/english/china/2012-11/29/c_132008231.htm.
\(^{18}\) Hui, “Xi explains China’s reform plan.”
comprehensive plan to be implemented by 2016, reforms even in identified priority areas have moved cautiously. In the case of finance, for example, draft rules for deposit insurance were introduced at the end of 2014, but a clear timeline for implementation, and for greater liberalization of deposit rates, remains unclear. The introduction of the Hong Kong–Shanghai Stock Connect was an important step toward openness, but China’s capital account remains largely closed. In the area of SOE reform, the Third Plenum called for local governments to develop plans for converting public enterprises to “mixed ownership,” and they have complied, but actual conversion pilots have moved slowly.\(^{19}\) The CDRLSG has also approved reductions in the compensation packages for central SOE managers. This move could be an important sign that SOEs will be more closely managed moving forward, though it could also plausibly read as a populist measure to reduce perceptions of privilege rather than a substantive reform.\(^{20}\)
Reliance on experimentation has also persisted from earlier eras, but with arguably more caution and less success than in the past. The Shanghai FTZ is the most high-profile example of this. Just 18 months into the experiment, the leadership has already begun to explore alternative strategies for building successful FTZs, having given permission in December 2014 for three additional provinces to establish their own zones. Capital account reforms have been largely absent in Shanghai, with those introduced featuring heavy emphasis on risk management over bold reforms. Even those initiatives most often cited as evidence of the Shanghai zone’s success, notably the elimination of registered capital requirements for new firms (now policy nationwide), were not pilots unique to Shanghai, but measures simultaneously trialed elsewhere. While it remains premature to dismiss the Shanghai FTZ as a failure (and it is worth noting that the “negative list” approach to FDI represents a more significant shift in governance than is commonly recognized), the difficulties encountered in developing the zone present a microcosm of the overall challenge facing Chinese reform.
On the other hand, the same evidence cited above regarding the Xi administration’s so-far uncertain, incremental, and experimental implementation style could be read differently: as the initial steps in a sequenced, strategic approach to comprehensive reform of not only China’s economy, but its system of governance.\(^{21}\) In other words, Xi could be preparing the ground for a “big swing” at decisive reforms.
\(^{19}\) There are some signs that SOE reform is gathering momentum. Reports in early 2015 from Xinhua and *Economic Information Daily* have indicated that an SOE reform package had been approved and was scheduled for release at the “two meetings” in March 2015. See “News Analysis: Policy design to propel China’s SOE reforms,” *Xinhua*, January 9, 2015, http://news.xinhuanet.com/english/china/2015-01/09/c_133909001.htm; Paul Pennay, “China gives green light for SOE reform package: Report,” *China Spectator*, February 13, 2015, https://www.businessspectator.com.au/news/2015/2/13/china/china-gives-green-light-soe-reform-package-report; and “国企改革顶层方案或两会后出台,” *Economic Information Daily*, February 13, 2015, http://jjckb.xinhuanet.com/2015-02/13/content_538313.htm.
\(^{20}\) Barry Naughton, “Leadership Transition and the ‘Top-Level Design’ of Economic Reform,” *China Leadership Monitor*, no. 37 (Spring 2012), http://www.hoover.org/sites/default/files/uploads/documents/CLM37BN.pdf.
\(^{21}\) Arthur R. Kroeber, “Xi Jinping’s Reform Express Gathers Steam,” Brookings Institution, December 15, 2014, http://www.brookings.edu/research/opinions/2014/12/15-xi-jinpin-reform-kroeber.
Since the release of the Third Plenum resolution, many analysts have remarked on the impressive breadth of the reforms contained therein, while lamenting its failure to include precise time lines or a clear sense of priorities. This very breadth, they (correctly) point out, coupled with the endless idiosyncrasies of the Chinese economic system, make it difficult to benchmark or effectively assess the progress of reform. Nonetheless, for China to achieve major economic reform, while limiting the risk of major economic instability, such a comprehensive approach is undoubtedly necessary. Moving toward financial liberalization without first limiting implicit guarantees for state-linked borrowers would be courting disaster. Similarly, efforts to privatize much of China’s enormous stock of public assets without first cracking down on corruption and strengthening supervision of local governments would be a recipe for a Russian-style selloff. Reforms in other areas are similarly intertwined.
Viewed in this light, the approach taken so far can be seen to make sense. Upon entering office, Xi focused immediately on dual anticorruption and mass-line campaigns, designed to clean up the party in practice and, to the extent possible, in the minds of the public. The campaigns also allowed Xi to solidify his position at the top of the party pile, and to assert greater control over the party’s rank and file. He has since overseen the approval of China’s first comprehensive fiscal reform plan since 1994, designed to clarify fiscal rights and responsibilities at all levels of government. If implemented, this will help tame China’s local debt troubles, and reduce localities’ reliance on land sales for revenue—a major source of risk and social unrest. Coupled with initially little-noticed legal reform initiatives introduced at the Fourth Plenum, aimed at taming the arbitrary exercise of power by local officials, and efforts to strengthen party discipline at all levels, these measures could together “make Chinese governance fairer, more transparent, and more responsive to citizens’ concerns.”22 They would also help clear the way for more decisive reforms of China’s financial system and SOEs, and create a more favorable environment for the growth and flourishing of a modern services sector.
While this strategic scenario and the alternative hesitant, incremental, and experimental interpretation articulated above each contain elements of truth, it is likely that neither is entirely accurate. Whichever way the balance tips, all available evidence suggests Xi Jinping is a leader of extraordinary ambition, deeply committed to achieving the “great rejuvenation of the Chinese nation” through the leadership of the Chinese Communist Party. This will make 2015 a critical year to watch for several reasons. Xi is two years into what is a presumed 10-year term. He has consolidated control over the key levers of power more decisively than any leader in decades. This leaves him with a window of opportunity to drive reform between now and when political jockeying in advance of the next party congress in 2017 begins in earnest. Given that the risks of delaying reform, whether from a slowing economy or rising debt, are continuing to mount with time, the present is as good a time as any—and better than most—for a major reform push.
22. Ibid.
Implications for Chinese Economic Reform
China’s Economic Challenges and the Imperative of Reform
China has reached the end of its days of double-digit growth.\(^1\) The IMF projects the country’s real GDP will grow below 7 percent in 2015, and even slower the year after.\(^2\) This is an undisputed secular downturn. The size of China’s labor force is shrinking and the country is aging.\(^3\) The major gains from reallocating labor from agricultural to industrial activities have already been realized. China’s overall debt-to-GDP ratio has risen to over 250 percent at a dizzying pace, and will likely continue to rise over the near term.\(^4\) Further accumulation of capital, while necessary and desirable, will inevitably yield diminishing marginal returns to growth. By moving ever closer to the technological frontier, China has achieved dramatic productivity gains, but future gains will be harder to achieve.\(^5\)
Today, many aspects of the “hard” work of China’s industrialization are complete: China has the world’s largest high-speed rail network; the world’s largest steel and cement industry; and three of the world’s ten largest subway lines by length. The “soft” work of transforming China into a high-income economy—with modern services industries, modern regulatory systems, modern public services, and efficient, market-based resource allocation—is ongoing. The path ahead will be more treacherous.
These are only China’s economic challenges. Beijing is also struggling to manage a host of social, environmental, and governance issues. On governance, as Xi himself has explained it, “China has to . . . work on the problems of an underdeveloped market system,
---
1. World Bank and Development Research Center of the State Council, People’s Republic of China, *China 2030: Building a Modern, Harmonious, and Creative Society* (Washington, DC: World Bank, 2013), http://www.worldbank.org/content/dam/Worldbank/document/China-2030-complete.pdf.
2. International Monetary Fund (IMF), “World Economic Outlook: Update: Cross Currents,” January 2015, https://www.imf.org/external/pubs/ft/weo/2015/update/01/index.htm.
3. Xin Zhou, “China’s One-Child Policy Backfires as Labor Pool Shrinks Again,” Bloomberg, January 20, 2015, http://www.bloomberg.com/news/articles/2015-01-20/china-s-one-child-policy-backfire-deepens-as-labor-pool-shrinks.
4. David Keohane, “ICYMI, China’s credit buildup was pretty damn fast,” *Financial Times*, January 26, 2016, http://ftalphaville.ft.com/2015/01/26/2100092/icymi-chinas-credit-buildup-was-pretty-damn-fast/; Wei Yao, “The Risks to China from Rapid Credit Growth,” *Barron’s*, January 30, 2015, http://online.barrons.com/articles/the-risks-to-china-from-rapid-credit-growth-1422612058.
5. World Bank and Development Research Center of the State Council, People’s Republic of China, *China 2030*.
excessive government intervention, and weak supervision of the market.\textsuperscript{6} Despite the country’s rapid growth and rising living standards, dissatisfaction is widespread. Land seizures and illegal evictions by local governments remain common. Severe air pollution in major urban areas kills more Chinese every year than smoking,\textsuperscript{7} rivers are polluted with runoff from coal mines and paper plants,\textsuperscript{8} and safety scandals over food and consumer goods remain a regular occurrence.\textsuperscript{9} Income inequality has risen sharply nationwide and deepened the divide between inland and coastal provinces, between rural and urban areas, and between the working migrant poor and entrenched local elites.
To address these challenges, the Xi Jinping administration has put forward China’s most comprehensive reform agenda in decades. The 2013 Third Plenum resolution represents a bold vision statement for comprehensive reform, with a self-described goal of achieving major progress by 2020, and offers a to-do list for reaching these goals.\textsuperscript{10} It promises to give markets a “decisive role” in resource allocation, “perfect a mixed public-private economy,” and “build an ecological civilization.”\textsuperscript{11} Xi has simultaneously promised to fight corruption, restrict “power within the cage of regulations,”\textsuperscript{12} and make innovation the driver of China’s development.\textsuperscript{13} Through so doing, Xi and his allies seek to transform China into a “moderately prosperous society” by 2020 and achieve the “China Dream” of the “great rejuvenation of the Chinese Nation” under the leadership of the Chinese Communist Party.\textsuperscript{14}
Success will require implementing deep reforms in a country that has arguably endured more rapid, wrenching, and transformational change than any other over the past four decades. At its core, the Third Plenum reforms are about renegotiating the balance between the market and the state in economic affairs. Markets will need to be allowed a decisive role in allocating resources where they can do so most efficiently: for capital, for energy, and for labor. The state, even as it releases control in some areas, will gain new responsibilities and new powers, and face new expectations. Chinese citizens will continue
\begin{footnotes}
\item Lu Hui, “Xi explains China’s reform plan,” Xinhua, November 15, 2013, http://news.xinhuanet.com/english/china/2013-11/15/c_132891949.htm.
\item Li Jing, “Air pollution is bigger killer in China than smoking, says new Greenpeace study,” South China Morning Post, February 4, 2015, http://www.scmp.com/news/china/article/1701625/air-pollution-bigger-killer-mainland-china-smoking-says-new-greenpeace.
\item Elizabeth C. Economy, \textit{The River Runs Black: The Environmental Challenge to China’s Future} (Ithaca, NY: Cornell University Press, 2010).
\item For example, Patrick Boehler, “Starbucks, Dicos withdraw sandwiches as China launches nationwide probe into ‘rotten meat’ firm,” South China Morning Post, July 21, 2014, http://www.scmp.com/news/china/article/1556953/mcdonalds-kfc-supplier-closed-shanghai-authorities-investigate-rotten.
\item Naughton, “After the Third Plenum.”
\item “The Decision on Major Issues Concerning Comprehensively Deepening Reforms in Brief,” China.org.cn, November 16, 2013, http://www.china.org.cn/china/third_plenary_session/2013-11/16/content_30620736.htm.
\item “Xi Jinping vows ‘power within cage of regulations,’” Xinhua, January 22, 2013, http://news.xinhuanet.com/english/china/2013-01/22/c_132120363.htm.
\item “Xi urges independent innovation in science, technology,” Xinhua, June 9, 2014, http://news.xinhuanet.com/english/china/2014-06/09/c_133394743.htm.
\item “Xi pledges ‘great renewal of Chinese nation,’” Xinhua, November 29, 2012, http://news.xinhuanet.com/english/china/2012-11/29/c_132008231.htm.
\end{footnotes}
to ask for more from their government, and seek to hold it ever more accountable for deploying its power in a just and evenhanded manner.\textsuperscript{15}
These changes will have enormous consequences for both 1.36 billion Chinese and the rest of the world. They give rise to the several questions that inspired this report:
- In a more pluralized political economy, are China’s decisionmakers, its policymaking processes, and its institutions still well suited to transition China toward a “new normal” of strong, sustainable, and balanced growth?
- Can Zhongnanhai implement these reforms without triggering the wracking political and economic instability so many other developing and transitional economies have endured in the past?
- To what extent will the Communist Party be willing to give the market a truly “decisive role” in resource allocation—and, if it does so, what will the impact be on its continued power and legitimacy?
This last question reflects the underlying tension that animates China’s reform agenda. The Xi administration has proposed giving the market a “decisive role” and relying more on innovation to drive China’s growth. At the same time, it has overseen the most severe crackdown on the free flow of ideas and information in over two decades,\textsuperscript{16} and worked to strengthen ideological indoctrination.\textsuperscript{17} It has placed new restrictions on the use of foreign technology products and pressured foreign suppliers of high-tech goods to surrender access to their intellectual property in order to retain or gain entry to the Chinese market.\textsuperscript{18} It would seem, in other words, that Beijing is putting to the test whether there is a contradiction between authoritarian party politics and the “modern, harmonious, and creative high-income society” that China hopes to become.
\section*{Implications of the Xi Administration’s Policymaking Style}
As stressed throughout this report, the Xi administration’s style of policymaking demonstrates both continuity and change with respect to earlier eras. Indeed, while Xi’s approach is a departure from that of the Hu-Wen era, Xi in many ways appears to be drawing from the playbook of former premier Zhu Rongji in how he has gone about pursuing reform.
\textsuperscript{15} David M. Lampton, “How China Is Ruled,” \textit{Foreign Affairs} 93, no. 1 (January/February 2014), http://www.foreignaffairs.com/articles/140344/david-m-lampton/how-china-is-ruled.
\textsuperscript{16} Helen Gao, “China Sharpens Its Censorship Blade,” \textit{New York Times}, February 2, 2015, http://www.nytimes.com/2015/02/03/opinion/china-sharpens-its-censorship-blade.html.
\textsuperscript{17} Catherine Wong Tsoi-lai, “Marxism key to problem solving: Xi,” \textit{Global Times}, January 26, 2015, http://www.globaltimes.cn/content/903934.shtml.
\textsuperscript{18} Simon Denyer, “Why Internet users all around the world should be worried about China’s Great Firewall,” \textit{Washington Post}, February 2, 2015, http://www.washingtonpost.com/blogs/worldviews/wp/2015/02/02/why-internet-users-all-around-the-world-should-be-worried-about-chinas-great-firewall/.
Zhu was the architect of China’s last major reform push in the late 1990s and early 2000s, widely viewed as successful.\textsuperscript{19} Why did his approach succeed? One factor was Zhu himself: experienced as both a politician and a technocrat; hard-driving, sharp, smart, and decisive; an evidence-based decisionmaker endowed with his own firm and comprehensive vision for reforming the Chinese economy. Another was Zhu’s close working relationship with the then general secretary Jiang Zemin in the critical several years following the 15th Party Congress in 1997.\textsuperscript{20} Jiang gave Zhu the political cover needed to decisively pursue wrenching reforms—and, when necessary, reined him in.\textsuperscript{21} A third factor was the institutions that Zhu adapted or established, such as the Central Financial Work Commission, the State Commission for Restructuring the Economy, and the State Council WTO Work Leading Group.\textsuperscript{22} He directly supervised these bodies and empowered talented teams of technocrats to aggressively drive forward reform. Finally, Zhu was helped by events abroad and external pressure. Specifically, the 1997 Asian financial crisis strengthened the conviction among Chinese policymakers that reform was urgently required. This helped to empower Zhu, who seized on the process of China’s WTO accession as a vital source of external pressure with which to bludgeon vested interests into line.
The Xi administration’s approach to economic reform illustrates some of these same characteristics: rapid, personalized, top-level decisionmaking; a comprehensive reform agenda with strong political backing; tailoring of policymaking institutions to support said agenda; and strong external pressure.
- By introducing a comprehensive market-oriented reform blueprint at the Third Plenum, top leaders in Beijing demonstrated that they understood China’s economic challenges. They identified the fundamental problem—that the government interferes too much in resource allocation—and through the resolution’s comprehensive sweep illustrated a keen grasp of the essential interrelatedness between key reform areas, from anticorruption to China’s fiscal and financial systems.
- Xi has invested the Third Plenum agenda with his personal prestige as well as that of the Central Committee. Through skillful wielding of party ideology, he has also given it ironclad official legitimacy. As CSIS scholar Christopher Johnson has phrased it, to openly oppose the resolution to give markets a “decisive role” would be “to suggest that the CCP’s overall ideological line is somehow in error. There is arguably no more serious charge in the CCP’s political culture.”\textsuperscript{23}
\textsuperscript{19} Barry Naughton, “Zhu Rongji: The Twilight of a Brilliant Career,” \textit{China Leadership Monitor}, no. 1 (Winter 2002), http://media.hoover.org/sites/default/files/documents/clm1_BN.pdf.
\textsuperscript{20} For a variety of reasons, this relationship did deteriorate somewhat in the later years of the 15th Central Committee, leading to a notably sharp divide at the time of the 16th Party Congress.
\textsuperscript{21} “Chinese Economic Reform: Past, Present and Future” (conference, Brookings Institution, Washington, DC, January 9, 2015), http://www.brookings.edu/events/2015/01/09-chinese-economic-reform-zhu-rongji.
\textsuperscript{22} Yong Wang, “China’s Stakes in WTO Accession: The Internal Decision-making Process,” in \textit{China’s WTO Accession: National and International Perspectives}, ed. Heike Holbig and Robert Ash (London: RoutledgeCurzon, 2002).
\textsuperscript{23} Johnson, \textit{Decoding China’s Emerging “Great Power” Strategy in Asia}.
• Through key party leading groups, Xi has demonstrated his ability to engineer structural solutions at the apex of decisionmaking to get around China’s gridlocked state bureaucracy. While not a technocrat himself, he has elevated and empowered a trusted and talented team of economic policymakers to oversee the reform agenda. His chosen advisers, such as Liu He, are known as capable and eloquent advocates of market-oriented reform, and key technocrats—notably Lou Jiwei and Zhou Xiaochuan—were even Zhu’s subordinates during the last reform push.\(^{24}\) They are powerful intellects and skilled bureaucratic navigators in their own right.
• China faces strong external pressure to pursue market reforms. This stems in particular from U.S. efforts to complete a TPP, as well as ongoing negotiations on a U.S.-China BIT. While the reforms required to conclude the BIT are not as sweeping as those necessitated by China’s WTO accession, many of the necessary changes in Chinese governance—such as the shift from an approval-based to an ex-post supervision-based regulatory model for FDI—represent reforms with potentially far-reaching implications.
These signs augur well for China’s reform prospects, but they do not guarantee success. There are also important differences between Zhu and Xi’s policymaking styles. In sharp contrast to Xi’s party-centered approach, Zhu consistently emphasized the role of the state in economic policymaking, and spent significant time and energy working to strengthen and modernize its institutions. By moving in the opposite direction, Xi is addressing the problem of gridlock that had emerged under his predecessors, but there is also clear potential for unintended consequences to emerge from this approach.
The substantive difference between the challenges and political economy facing Xi relative to Zhu are also clear. The Chinese economy is more than four times as large as when Zhu began implementing his reform agenda, and far more complex. In the past, China could rely on investment and exports to grow out of its challenges, but no such option exists today. Instead, it must look to the service sector as the chief driver of growth.\(^{25}\) While it has substantial room to grow, creating a permissive environment will be a major challenge. Perhaps most importantly, in Zhu’s time, there remained a strong national consensus behind growth as an overarching ambition. In the pluralized political economy of the present, there is no comparable unifying objective.
### Obstacles to Successful Implementation
Noted China scholar Barry Naughton has observed that there are three major risks to reform moving forward: that the reforms will stall or stumble on opposition; that they will
\(^{24}\). Barry Naughton, “Since the National People’s Congress: Personnel and Programs of Economic Reform Begin to Emerge,” *China Leadership Monitor*, no. 41 (Spring 2013), http://www.hoover.org/sites/default/files/uploads/documents/CLM41BN.pdf.
\(^{25}\). Ryan Rutkowski, “Services Sector Reform in China,” Peterson Institute for International Economics Policy Brief No. 15-2, January 2015, http://www.piie.com/publications/pb/pb15-2.pdf.
be overtaken by events; or that the reform strategy itself will fail.\textsuperscript{26} This provides a useful lens for examining likely obstacles to successful implementation of reform.
- \textit{On the prospect of reforms stalling}, much commentary on Chinese economic reform focuses on the challenges posed by vested interests, in public enterprises, in protected sectors, and within local governments and the bureaucracy.\textsuperscript{27} These vested interests could put up fierce resistance to reform. Even as the Third Plenum resolution is strengthened by its breadth, without a clear organizing principle and lacking a clear sense of priorities, it will be vulnerable to pushback from vested interests wielding deep insider knowledge.
Xi alone will not have the bandwidth or expertise to counter such resistance by himself. Nor will Premier Li, or even Liu He. While Xi’s chosen implementers will be essential in their own right, they will also need to rely on the professional bureaucracy for assistance in developing specific reform measures—or, at the least, for their compliance in implementing them. Yet the manner in which the Third Plenum documents were drafted almost certainly frustrated some in the bureaucracy.\textsuperscript{28} A lack of strong bureaucratic support or particularly fierce resistance from vested interests could result in the reform agenda being nicked to death by a thousand cuts.
- \textit{On reforms being overtaken by events}, it is clear that the major risk to China’s economic outlook stems from rising leverage in the overall economy and the potential for some form of financial crisis. Most analysts believe this is not an imminent risk, and measures introduced over the past 18 months have succeeded in slowing China’s rate of overall credit growth; however, credit continued to expand at a rate around double that of GDP in 2014.\textsuperscript{29} In this context, an overly incremental, risk-averse approach to reform is a risk in and of itself, raising the likelihood of an eventual crisis.
There is also political risk in delay. While in the broadest sense the need for and nature of reform may seem obvious, the agenda is contentious in its details. Should experiments like the Shanghai FTZ or other incremental measures fail to show results—or, even worse, generate instability—they could spawn a backlash against reform. Arguably the establishment of more than 800 local clones of the Communist Party’s new Comprehensively Deepening Reform Leading Small Group, each competing to show its commitment to the new “vision statement,” has further elevated the risk that ill-conceived measures may be introduced.\textsuperscript{30}
\textsuperscript{26} Naughton, “After the Third Plenum.”
\textsuperscript{27} Brian Spegele, “Are Chinese Leaders Ready to Take on Vested Interests?,” \textit{Wall Street Journal}, November 11, 2013, http://blogs.wsj.com/chinarealtime/2013/11/11/are-chinese-leaders-ready-to-take-on-vested-interests/; and Keyu Jin, “Reforms will stall unless Beijing tackles vested interests,” \textit{South China Morning Post}, January 27, 2015, http://www.scmp.com/comment/insight-opinion/article/1693301/reforms-will-stall-unless-beijing-tackles-vested-interests.
\textsuperscript{28} Johnson, \textit{Decoding China’s Emerging “Great Power” Strategy in Asia}.
\textsuperscript{29} Mark Mangier, “China Bank Move Leaves Companies Cold,” \textit{Wall Street Journal}, February 5, 2015, http://www.wsj.com/articles/china-bank-move-leaves-companies-cold-1423137091.
\textsuperscript{30} Naughton, “Since the National People’s Congress.”
On the prospect of the reform strategy failing, China’s top-down Leninist political system often sits uncomfortably astride China’s mostly modern, mostly market economy. The system is designed to inhibit rather than enable effective horizontal and cross-regional coordination, and its tiered, top-down evaluation structure relies on centrally established metrics to assess official performance. Along with social stability, GDP growth has historically been chief among these metrics. As discussed earlier, GDP targets had unique value in terms of aligning central and local incentives and will be difficult to replace. Moreover, in the present pluralized political economy, it is possible that Chinese officials do not have the capacity or tools available to flexibly address Chinese society’s growing variety of demands.
Lastly, as Naughton points out,\(^{31}\) the central vision of the Third Plenum resolution is rebalancing the role of the market and the state to reduce distortions in the allocation of resources. However, Xi Jinping is also seeking to strengthen the central government’s ability to enforce a top-level design of reform. There is a tension between these two trends, one toward more democratized economic decisionmaking, and one in the direction of greater central control. An additional challenge will lie in ensuring that whatever reforms are introduced, they are supported by institutional reforms to ensure that they are sustained. For example, to support fair competition and consistent regulation will require not only a temporary crackdown on local approvals, but sustained supervision to see they do not reemerge.
**Progress Likely, but Risks Abound**
While the hurdles to successful reform are high, it would be a mistake to count China’s leaders out. When it comes to generating and sustaining economic growth, successive generations of Chinese decisionmakers have proven themselves adaptable and pragmatic adherents to two of Deng Xiaoping’s most famous sayings: “It doesn’t matter whether a cat is black or white, as long as it catches mice,” and “Seek truth from facts.” Xi and his administration have demonstrated a level of ambition and urgency in pursuing reform not seen in over a decade. They have gathered a core cadre of respected economic policymakers to help guide them, sought advice from a global community of experts to inform their decisionmaking, and made dedicated efforts to learn from their own history and the experiences of other countries.
They also have advantages in pushing reform enjoyed by few other regimes. Xi and his colleagues in Zhongnanhai may face a more pluralized policymaking environment, but they also maintain control over all major levers of power in the Chinese political system. They have access to enormous financial resources and considerable space for near-term fiscal and monetary easing.\(^{32}\) They have powerful tools available to sideline potential
\(^{31}\) Naughton, “After the Third Plenum.”
\(^{32}\) IMF, “People’s Republic of China: 2012 Article IV Consultation,” IMF Country Report No. 12/195, July 2012, https://www.imf.org/external/pubs/ft/scr/2012/cr12195.pdf.
opponents of reform, ranging from anticorruption investigations and personnel appointments to information control and an enormous internal security apparatus.
Overall, Beijing’s policymakers have a better-than-even chance of navigating the Chinese economy toward a new model of sustainable, consumption-led growth and achieving their own goal of “major progress” on the Third Plenum reform agenda by 2020. Even in this scenario, growth will continue to slow—an optimistic estimate in 2020 would be for 6 percent potential growth\(^{33}\)—but this slower growth will likely be more balanced and therefore more sustainable.
However, an underlying risk to this outlook is how Xi’s agenda beyond the economic realm will impact China’s economic performance. Specifically, even as Beijing is pursuing “reform and opening,” the party’s search for “comprehensive security” is generating a countervailing impulse toward retrenchment and restriction. This is evident in aggressive ongoing campaigns to crack down on the free flow of information and ideas, strengthen ideological indoctrination (and purge “Western values”),\(^{34}\) and “indigenize” China’s information technology infrastructure. All of these efforts are likely to make China a more closed society and relations with trading partners more contentious, even as Beijing is seeking greater economic integration with the world economy. Moreover, beyond their social and political ramifications, these trends could have enormous negative consequences for China’s future productivity growth, its ability to innovate and produce unique Chinese intellectual property, the quality of its overall business environment, and its ability to attract and retain top talent. The central tension between Xi’s grasp for greater political control, on one hand, and the imperative of “letting go” economically, on the other, will continue to put a cloud over China’s growth trajectory in the coming years.
\(^{33}\). Daniel H. Rosen, *Avoiding the Blind Alley* (Washington, DC: Asia Society Policy Institute, 2014), http://asiasociety.org/policy-institute/china-economy.
\(^{34}\). Chris Buckley, “China Warns Against ‘Western Values’ in Imported Textbooks,” *New York Times*, January 30, 2015, http://sinosphere.blogs.nytimes.com/2015/01/30/china-warns-against-western-values-in-imported-textbooks/; Donald Clarke, “Shen Kui and his Three Questions,” *Chinese Law Prof Blog*, January 31, 2015, http://lawprofessors.typepad.com/china_law_prof_blog/2015/01/shen-kui-and-his-three-questions.html.
The central question underlying this study—do China’s policymakers today have the “right stuff” to successfully navigate a challenging transition to a new model of sustainable economic growth?—is more than an academic one for the United States. In fact, the answer will have far-reaching consequences for U.S. prosperity and security over the coming decades. Whether Beijing succeeds or fails in its efforts, the trajectory of the world’s second-largest economy will have a substantial impact on the prospects for U.S. growth, as well as for American policy interests in and beyond the economic realm.
Thus policymakers in Washington have a significant stake in understanding economic decisionmaking dynamics in China, both their enduring characteristics and their evolution under the administration of Xi Jinping. This will enhance U.S. officials’ ability to assess the prospects for Chinese economic reform and sustained growth. It will also better enable Washington to pursue policies that maximize U.S. interests in its relations with China, particularly as Beijing increasingly asserts itself as a regional and global power.
More broadly, Washington needs a new mindset in dealing with the China of 2015 and beyond. This is not the China of a decade ago, nor is it just another country with which the United States has a few commercial opportunities to be seized and tensions to be managed. China poses unique risks, challenges, and opportunities for the United States. After 35 years of rapid growth, China has resumed its historical place as the largest economy in Asia and will soon be the largest in the world by any measure; no other economy will have more impact on U.S. growth and prosperity over the coming decades. At the same time, Beijing has made clear that it intends to play a greater role in the regional and global order. Vice Premier Wang Yang has insisted, “A growing China poses no threat to America’s leading role in today’s world.”¹ Yet China’s rise will inevitably disrupt American leadership of the global order that has prevailed over the past 70 years.
Thus senior U.S. policymakers need to devote more time, resources, and policy bandwidth to China than they have to date. What is needed today is akin to the broad mobilization of the U.S. government during the Cold War—though of course China is not the Soviet Union, and the objective is not containment but rather informed, proactive engagement. It
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1. “Chinese vice premier urges U.S. to treat China with ‘strategic foresight,’” Xinhua, December 18, 2014, http://news.xinhuanet.com/english/china/2014-12/18/c_133863755.htm.
will not be enough to add a Mandarin speaker or two in each government agency, or to gear up the policy machinery once a year ahead of a presidential visit. Instead, the U.S. policymaking apparatus needs to be systematically enhanced to deal with the ongoing challenges and opportunities of a country that will be America’s principal global competitor—and a potential partner—in the decades ahead.
Substantively, Washington’s economic policies toward China should be aimed at two broad objectives: first, incentivizing Beijing to play by established rules, both in maintaining an open, level playing field at home and in supporting the global rules-based economic order; and second, encouraging Beijing to continue reform and rebalancing of its economy toward sustainable, consumption-led growth. A stable, growing, rule-abiding China is in America’s best interest.
An effective economic strategy toward China begins with leading from strength. This means Washington must pursue sound macroeconomic and structural policies that support strong, sustainable, balanced U.S. growth. It means having strategic foreign economic policies that build on our national advantages and enlist our allies in support of shared interests and values. It means deploying the resources to back up these strategies. It means following through on our commitments—notably governance reform of the Bretton Woods institutions—to give the United States the credibility it requires to remain a leader in global economic affairs.
We offer below a number of specific recommendations to the U.S. government about managing economic policy toward China. In keeping with the procedural and institutional focus of this study, these are organizational suggestions divided into two broad categories: engaging with China, and organizing the U.S. government.
**Engaging with China**
1. **Support China’s economic reforms where they align with U.S. interests.** Of course, China will be guided in its economic decisionmaking first and foremost by its own interests, not by U.S. preferences. The good news is that many of the reforms Beijing is pursuing would advance the U.S. objectives of more balanced growth in China and a more level playing field. From an American perspective, there is much that is consistent with U.S. priorities in the “Decision” document released at the Third Plenum in 2013: giving the market a decisive role in the Chinese economy; prioritizing financial reform, which is key to better resource allocation and more consumption-led growth; and subjecting SOEs to greater market discipline.
In their public statements and in interactions with Chinese counterparts, U.S. officials should offer support whenever appropriate to the positive elements of China’s reform program. This can build goodwill (up to a point). It can also bolster advocates of reform within the Chinese system. As this study has shown, despite the impression of Chinese policymaking as monolithic, the reality is that numerous
actors are vying for policy influence in an increasingly pluralized political economy. Some of these actors have interests that are aligned with those of the United States—albeit for their own reasons. U.S. policymakers should identify and focus on the benefits to these actors in their messaging, while being careful not to taint them by explicit association with American interests.
A related point is that, when making requests for policy changes that advance U.S. interests, Washington should link these to Beijing’s own declared reform plans. A “win-win” argument is more likely to sway a Chinese official than one put forward from a parochial U.S. perspective. For example, Washington has long made the case that Beijing would benefit from boosting household income and transitioning toward a more consumption-led growth model. This argument has gained significant traction with time, and engineering this transition has been made a central objective of the Xi administration’s overall reform agenda.
2. **Challenge Beijing when its policies are out of step with U.S. interests—pressure can work.** There is a popular view among U.S. commentators that Beijing keeps its own counsel, has little concern for what outsiders—especially the U.S. government—say, and does not respond well to outside criticism. Like most conventional wisdom, there is some validity to this view, but the truth is more complicated. The fact is that pressure—defined broadly as both carrots and sticks—works in China, and the U.S. government should exploit it to advance its economic interests.
As this study has shown, one of the enduring characteristics of Chinese economic decisionmaking is Beijing’s use of external competitive pressure to drive domestic economic reform. Soon after Japan joined the TPP negotiations in 2013, the Xi Jinping administration appears to have seized on this tool, much as Zhu Rongji did with WTO accession in the 1990s, to soften resistance to pending Third Plenum reforms. The BIT negotiations with the United States may be playing a similar role at the moment, with the added “carrot” that Beijing is seeking more certainty for its investors in the United States. From a U.S. perspective, this makes initiatives like TPP and the BIT powerful tools not only to promote market-based reform in China but also to incentivize China to deepen its integration in the global rules–based order. (This point is discussed further in recommendations 7 and 8 below.) By better understanding internal decisionmaking processes and policy objectives in China—in other words, knowing what Beijing wants and how it reacts to external pressure—Washington can use these incentives to shape Beijing’s policy behavior.
The stick can also be effective. The United States has a number of commercial grievances with China, from long-standing concerns like intellectual property rights violations and currency manipulation to newer complaints about cyber theft and regulatory harassment of U.S. investors via implementation of the anti-monopoly law. These problems are far from being solved, but Washington has made progress in chipping away at them through a range of bilateral and global tools, from prioritizing them in the Joint Commission on Commerce and Trade (JCCT) to pursuing WTO dispute-settlement cases. This kind of pressure should be applied whenever it would
clearly advance U.S. interests. Moreover, by working with allies to shape rules and norms for economic activity—including by filing joint WTO cases—Washington can shift Beijing’s calculus in favor of compliance even when the two capitals disagree.
In using pressure and incentives, Washington should ensure consistency of messaging, both over time and among different elements of the U.S. government; Chinese officials are quick to pick up on and exploit inconsistencies in U.S. positions. The National Security Council (NSC) should ensure that all senior agency officials work from a common set of messages. A related issue is that Washington should be smarter about publicly responding to Chinese actions that cause it concern; the moody silence following Beijing’s announcement of an Asian infrastructure bank in the summer of 2014 allowed others to portray Washington as blocking a reasonable-seeming Chinese initiative and twisting the arms of its allies behind the scenes.
3. **Ensure that Beijing engages at an appropriate political level.** As highlighted in this study, the U.S. and Chinese governments are structured very differently. While China’s State Council notionally corresponds to the U.S. president’s cabinet, the two are not equivalent in terms of actual policymaking functions, in two important ways. First, the State Council includes not only heads of government departments but also a tier of vice premiers and state councilors who outrank mere ministers. Second, the CCP—specifically, the seven-member PBSC—sits atop the decisionmaking pyramid in a way that no political party or steering group in the United States does.
Thus ministers are not the political equivalent of U.S. cabinet officers, but more like senior departmental administrators. Ministers have little or no authority to effect policy change across the government—or in many cases even in their own area of jurisdiction. This means that in order to engage on policy matters at a political level, U.S. cabinet officers need to interact with vice premiers or state councilors with relevant responsibility.
This was the organizational logic behind the original U.S.-China Strategic Economic Dialogue led by former treasury secretary Henry Paulson and its Obama administration successor, the Strategic and Economic Dialogue (S&ED). These forums enabled U.S. cabinet officers to sit across the table from their real peers, vice premiers and state councilors, who had been empowered to work across policy bailiwicks. Recommendation 6 below discusses the S&ED further, but the broader point is that Washington should take pains to identify appropriate senior interlocutors in China and use White House intervention to ensure that Beijing delivers the appropriate counterpart to U.S. cabinet officers and their delegates. Proper identification means not only getting the level right but ensuring appropriate substantive responsibility; for example, the S&ED currently has a mismatch in that Treasury Secretary Jacob Lew’s counterpart, Wang Yang, does not have responsibility for most of the financial issues on the U.S. agenda. In reality, there may not always be a single ideal counterpart: under the Xi administration, different elements of the economics portfolio—for example, trade and finance—are scattered across several vice premiers.
In addition to established governmental counterparts, Washington should play closer attention to China’s “leading small groups,” especially the CFELSG. As this study has shown, these groups have taken on a significant new role in policy formulation under Xi Jinping. As Communist Party bodies, leading small groups are not formally accessible to U.S. policymakers. However, most key members of the groups are dual-hatted in senior governmental roles—for example, Liu He, director of the secretariat of the CFELSG, is also vice chairman of the NDRC—and can be approached in the latter capacity, including through the long-standing State Department–NDRC dialogue. To better understand China’s decisionmaking processes and priorities, and potentially to shape policy outcomes, it is important that Washington have better line of sight into the leading small groups.
4. **Establish an informal back channel between the White House and Zhongnanhai.**
The U.S.-China relationship, particularly in its economic dimensions, has reached a scope and significance that require more than episodic involvement of the two countries’ leaders, principally via annual summit meetings. While significantly more frequent interaction between the leaders themselves is unrealistic, there should be more opportunities—at least twice a year—for quiet, informal dialogue among top proxies in the White House and Zhongnanhai. The purpose of this back channel would be to enhance trust between the two sides, reduce the scope for misunderstanding or miscalculation, anticipate problems, and engage on both opportunities and challenges in the relationship.
A series of such interactions was held in the first term of the Obama administration, when the national security adviser and director of the National Economic Council met in alternating capitals with key advisers to the top Chinese leadership in corresponding policy areas. This is one model; other structures and participants are conceivable. But the lack of a top-level back channel in the late Obama and early Xi administrations has been noted with concern by observers on both sides, and such a channel should be established as a matter of course. At the same time, Washington should be wary of Beijing’s preference for negotiating with “old friends” and avoid overreliance on personal guarantees to produce tangible outcomes. A team approach internally, and close coordination with U.S. allies (such as Australia, Japan, and South Korea), is essential to maximize the chances of positive outcomes.
5. **Pay more attention to center-local relationships.** A key feature of Chinese economic decisionmaking highlighted in this study is the tension between central and local levels of government. Given the critical role that provincial and subprovincial leaders in the Communist Party, government, and SOEs play in policy formulation and implementation, the U.S. government should do more to engage with these local leaders. This would help build understanding of local perspectives, support for U.S. policy objectives, and relationships with key decisionmakers—including the top tier of party officials who often go on to leadership roles in Beijing. Local leaders are likely to be more solicitous of inward direct investment than is Beijing and to have a
growing stake in investment opportunities in the United States for their local SOEs, which should make them receptive to this engagement.
Foreign Service, Foreign Commercial Service, and other officers posted at the five U.S. consulates around China already do vital work at the local level, as does the ambassador himself through his periodic travels around the country; all of this should be encouraged and expanded. Cabinet secretaries and other top officials visiting from Washington should also make more regular trips to the provinces to meet with key local governors and party officials. When American governors, mayors, and congressional delegations visit Chinese provinces—as they increasingly do—they should be briefed by senior policymakers in Washington before they travel and debriefed when they return. This is vital to ensure that these delegations understand the objectives and key points of the administration’s China strategy and to allow senior policymakers to better understand what U.S. delegations are seeking to accomplish through their visits. Such strengthened engagement would also boost the consistency of American messaging, improve internal coordination, and potentially provide useful information on local affairs in China.
6. **Maintain but streamline the S&ED.** As noted in recommendation 3 above, the U.S.-China S&ED and its predecessor, the Strategic Economic Dialogue, have been useful innovations in management of the bilateral relationship. By involving an empowered vice premier and state councilor, the S&ED has served the important organizational function of ensuring top-level political engagement in Beijing on U.S. policy priorities. Substantively, the forum has been valuable in setting an agenda for bilateral discussion on key political and economic issues, managing short-term challenges in the relationship, and promoting longer-term cooperation. If the S&ED did not exist, something like it would need to be created.
However, numerous observers—including CSIS in a 2013 report\(^2\)—have pointed out that the S&ED has become unwieldy, involving half a dozen cabinet agencies and hundreds of U.S. government officials. Moreover, the annual gatherings have inevitably been driven more by short-term “deliverables” than by longer-term strategic issues. Our 2013 report offered some suggestions for streamlining the S&ED. As a practical matter, it may be too late at this point in the Obama and Xi terms to do a substantial overhaul of the forum, but a new administration in Washington in 2017 and President Xi at the start of his second term could consider ways to restructure the forum to make it more focused, substantive, and strategic.
7. **Keep BIT negotiations high on the bilateral agenda.** Washington and Beijing have been negotiating a bilateral investment treaty for several years, but this has recently become a top priority on the bilateral agenda. At the S&ED meeting in July 2014, the
---
\(^2\) Matthew P. Goodman et al., *Crafting Asia Economic Strategy in 2013* (Washington, DC: CSIS, January 2013), http://csis.org/files/publication/130123_Goodman_CraftingAsiaEconStrat_Web.pdf; “U.S.-China Trade and Economic Relations,” in U.S-China Economic and Security Review Commission, *2014 Annual Report to Congress*, November 2014, http://origin.www.uscc.gov/sites/default/files/Annual_Report/Chapters/Chapter%201%20U.S.-China%20Economic%20and%20Trade%20Relations.pdf.
two governments agreed to accelerate the negotiations, after Beijing had agreed the previous year to adopt a “negative list” approach to investment approvals and to offer preestablishment national treatment for U.S. investors. Given the two countries’ sometimes conflicting interests and different historical approaches to investment policy, progress in the negotiations has been understandably slow, and early completion of the agreement will be challenging. Moreover, even a completed BIT agreement will face a difficult political path to approval by the U.S Congress, particularly in light of concerns from both organized labor and parts of the business community.
Nevertheless, Washington should keep the BIT high on the bilateral agenda, for several reasons. First, it could help to address some of the growing concerns among U.S. investors about an increasingly unfriendly investment climate in China, including persistent equity restrictions, perceived bias in enforcement of the antimonopoly law, and preferential treatment of domestic champions. Also, China has a growing stake in direct investment in the United States and sees the BIT as a way of ensuring greater certainty for Chinese companies hoping to invest in the United States. (In fact, a BIT will do little to address one of China’s long-standing concerns, i.e., the workings of the Committee on Foreign Investment in the United States [CFIUS], which screens investments that pose national security concerns; but inclusion of investor-state dispute settlement [ISDS] in a U.S.-China BIT would give Chinese investors recourse on investment barriers not related to national security.) Finally, a BIT could be a way station on the path to Chinese participation in TPP or a successor regional trade agreement, since it includes many of the investment-related disciplines at the core of TPP.
Thus the BIT serves many of the carrot-and-stick functions described in recommendation 2 above. While it is not a panacea, and the political calendars in both the United States and China in 2016–2017 mean the chances of a BIT agreement being completed and approved soon are very uncertain, the administration should continue to prioritize the negotiations as an incentive for Beijing to adopt a more level playing field in China and support the global rules-based order.
8. **Pursue a robust regional and global economic strategy.** The previous seven points focus on direct management of bilateral relations with China. A successful U.S. economic strategy toward China also requires robust engagement by Washington in institution-building and norm-setting in the Asia-Pacific region and globally. The goal of these efforts is to incentivize Beijing to promote market-based reform and work constructively within the existing rules-based order, by demonstrating that the order largely works for China.
Regionally, the U.S. government should continue its longtime championing of the Asia-Pacific Economic Cooperation (APEC) forum and its more recent pursuit of a TPP trade agreement. Although underappreciated in Washington, APEC is an important part of the regional architecture: it is a consensus-based organization that does valuable pick-and-shovel work to deepen regional economic integration by bringing
together officials from across the region—including China and the United States—to work on common economic challenges, from streamlining customs procedures to empowering women. Meanwhile, TPP is a self-described “high-standard, 21st century” trade negotiation that brings together the United States, Japan, and 10 other APEC economies (not yet including China).
APEC and TPP have recently proven their value in drawing China more deeply into the regional rules-based system. As APEC host in 2014, Beijing ultimately brokered a set of outcomes on regional trade and investment liberalization that were largely consistent with U.S. interests. With TPP nearing completion in 2015, Beijing has shown greater interest in the agreement (and in a broader Free-Trade Area of the Asia-Pacific [FTAAP], which would need to be built on TPP rules), because it sees many aspects of TPP’s high standards as consistent with its own efforts to drive economic reform at home. Washington should continue to invest heavily in APEC and TPP as important strategic tools of its economic strategy toward China.
Meanwhile, at the global level, Washington should continue to use multilateral organizations and forums such as the WTO, the United Nations Framework Convention on Climate Change (UNFCCC), and the Group of 20 (G20) to seek cooperation from China in supporting and updating the global rules–based economic order. While Beijing has sometimes resisted specific norm-setting efforts by these bodies, or violated existing rules, it appears to recognize the value of these institutions in promoting Chinese interests, from driving reform at home to curbing greenhouse gas emissions; and, when challenged, Beijing has generally complied with the letter of its obligations in these organizations.
Yet Beijing’s recent efforts to create parallel institutions such as the New Development Bank (“BRICS Bank”) and Asian Infrastructure Investment Bank (AIIB) demonstrate an ambition to play a greater leadership role in global economic governance—with Chinese characteristics. To ensure that these efforts support the existing rules-based order and do not undermine it, Washington needs to follow through on its commitment to reform the governance and operations of existing Bretton Woods institutions and give China a greater voice in running them. An urgent priority is for the U.S. administration and Congress to work together to ratify quota and governance reforms at the International Monetary Fund.
Finally, Washington should work with its allies in Asia and Europe to ensure a united front on market-based economic reform in China and Beijing’s support for the rules-based order. China does not like to be seen as an outlier and is more likely to be responsive to consistent messages from a number of countries, rather than just from the United States.
9. Prepare a presidential strategy document on China, with economic policy at the core. China poses unique challenges and opportunities for the United States in the twenty-first century. Washington needs to think about how it deals with China differently from the way it deals with other countries, and differently from the way it has in the past. It needs to organize a more robust, better-resourced set of structures, processes, and policies that address all facets of the China challenge.
The first step is for the White House to convene an interagency process to develop a comprehensive strategy on China that is codified in a National Security Presidential Directive or equivalent document. (Ideally this would include both a classified internal version and an unclassified version for public release.) The mere process of pulling U.S. government agencies together to go through this exercise would be useful, since it would underscore the priority that the White House places on China policy, allow for airing of agency views and experiences dealing with China in a number of cross-cutting policy areas, and help ensure that all agencies are aligned on strategy and messaging. Setting down the strategy in a presidential directive would help ensure consistency of approach across agencies and over time. As far as the authors of this report are aware, no such comprehensive written strategy on China has ever been produced by a U.S. administration, but the scope, scale, and complexity of U.S.-China relations today demand it.
10. Prioritize senior White House engagement on China, including economic policy. During the Cold War, U.S. presidents and their national security advisers (NSAs) considered it a matter of course to devote a substantial part of their foreign policy time to European affairs, and to visit the region several times a year if necessary to attend NATO summits or meetings with allies. By contrast, the White House today has relatively few resources devoted to Asia, with only one senior director in the NSC, focused primarily on political and security issues; and it is a significant scheduling challenge to get the president to Asia even once a year.
Given that Asia is the world’s largest economic region, containing the second- and third-largest economies, China and Japan; that the region is home to a number of critical security issues from North Korea’s nuclear program to maritime tensions; and that China’s growing regional role poses substantial challenges and opportunities for the United States, more senior policy time and resources in the White House on Asia, and especially China, are urgently called for.
This starts at the top. It may be unrealistic to sustain two presidential trips to Asia every year, but the White House should plan on regular spring and fall meetings with the Chinese leader. The APEC and East Asia Summit meetings provide a reliable opportunity for a bilateral meeting in the fall; a regular spring summit in alternating capitals should be added to the presidential calendar. The leaders’ meetings should be informal, and economics should be high on the agenda—focusing not
only on pressing commercial issues but also on longer-term strategic topics like regional trade and investment architecture and global economic governance. It is important to consistently seek ways to keep these meetings fresh and avoid their becoming routinized or staff driven.
In addition to accompanying the president to the region, the NSA should find at least one other opportunity to go to China each year for the kind of back-channel dialogue discussed in recommendation 4 above. The NSA’s role is not to replace the secretary of state in operational management of U.S.-China relations, but regular interaction with Chinese counterparts is essential. When in Washington, the NSA should give more share of mind to Asia and China—including economic strategy—as a matter of course.
To drive China economic strategy, the deputy NSA for international economics should convene a regular (at least monthly) “deputies group” of relevant senior officials from the State, Treasury, and Commerce departments, the U.S. Trade Representative’s office, and other economic agencies (see also recommendation 11 below). The purpose would be to refine strategy and messaging and to ensure that agencies implement the strategy effectively and consistently.
Finally, improvements in White House organizational structure are called for to enhance coverage of Asian economic issues, especially longer-term strategic questions involving China. Jurisdiction for these issues in the NSC is currently divided between the Asia regional office and the international economics directorate, and neither has sufficient resources to handle the array of issues that arise. One tangible improvement would be to create a dedicated China economics director in the NSC who co-reports to the senior director for international economics and the senior director for Asia. The role of this officer—like all NSC officials—should not be to operationally manage U.S.-China economic relations, but to coordinate policy formulation and implementation by line agencies such as State and Treasury.
This is an issue of not only resources but mindset: senior White House policy officials from the president to the NSA to senior directors should treat China—including in the economic sphere—as the top priority that it is.
11. **Enhance China economic expertise—and accountability—in cabinet agencies.** Given the stakes for the United States in China’s economic performance and policies, no economic agency of the U.S. government can afford to be without a deep bench of analysts and policy staff dedicated to China and Asia more broadly. The numbers are growing but remain inadequate to the task. Even the State Department, where the bulk of China expertise is appropriately housed, has gaps: after an organizational change early in the Obama administration, there is currently no deputy assistant secretary (DAS) in the Bureau of East Asia and Pacific Affairs responsible for economic issues; arguably there should be one DAS solely dedicated to U.S.-China economic relations. Other economic agencies such as Treasury and Commerce should
make recruiting and training of Asia policy experts a priority, and should consider beefing up their offices in China through secondments of State officers.
Moreover, each economic agency needs at least one official at deputy- or under-secretary level who is held accountable for steering the agency’s contributions to China economic policy. This official need not be a China expert but should have a substantial portion of his or her portfolio focused on China issues, have sufficient staff dedicated to these issues, and be clearly designated as the point of contact with the White House, other agencies, and the Chinese government. (See also recommendation 10.)
12. **Work closely with Congress and other stakeholders (including business) to shape China economic strategy.** Effectively partnering with Congress and other stakeholders in the U.S.-China relationship is critical to any U.S. administration’s economic strategy toward China. Congress of course provides the necessary resources to the administration and enacts trade and other relevant legislation that underpins the strategy. Several of the recommendations above would require additional funding—for example, more China economic officers at executive agencies—or legislative approval—for example, Senate advice and consent on a BIT.
Moreover, Congress can reinforce administration messaging regarding both China’s domestic economic policy and support for the rules-based order, through oversight hearings, resolutions, and delegations to the country (including, as indicated in recommendation 5 above, provincial-level visits). For all of these reasons, senior administration officials should consult frequently with key members and staffers from both houses, both parties, and all relevant committees—those with jurisdiction over foreign affairs as well as finance and commerce. This should include mutual briefings before and after trips to China, as well as around visits by senior Chinese officials to the United States.
A similarly comprehensive approach should be used in coordinating with other stakeholders, and the business community in particular. Successive U.S. administrations have consistently advocated on behalf of American commercial interests with the Chinese government. Ensuring that the administration has strong channels to receive input from businesses, and that business is aligned with U.S. policy priorities, is essential to a comprehensive and successful economic strategy toward China.
The 23-member Comprehensively Deepening Reform Leading Small Group (CDRLSG) is a party body established following the Third Plenum of the 18th Central Committee. It is tasked with oversight of China’s overall reform agenda and ensuring “major progress” on reform by 2020 (when its remit theoretically expires). Between its official establishment on December 30, 2013 and mid-February 2015, the CDRLSG held nine meetings. In a first for a body of this type, portions of these meetings have been shown on Chinese state television, providing unusual insight into its membership. According to public releases, measures approved by the CDRLSG range from a comprehensive fiscal reform plan to measures for encouraging the development of “think tanks with Chinese characteristics.” Despite its high profile, as is the case for central LSGs more generally, the internal procedures of the CDRLSG are not publicly disclosed.
As illustrated below, the CDRLSG is headed by Xi Jinping, and three additional members of the PBSC serve as vice chairmen—including Liu Yunshan, China’s propaganda czar. The CDRLSG’s general office is housed within the Central Policy Research Office and headed by Politburo member Wang Huning. The body also has six subgroups, including one focused on “Economic Structure and Ecological Reform,” which is jointly headed by NDRC Director Xu Shaoshi and NDRC Deputy Director Liu He. Out of the 336 initiatives contained within the Third Plenum document, 181 have been delegated to one of these six groups. Of those measures so far delegated, the economics group is responsible for 118. In an unprecedented institutional innovation, beneath the central CDRLSG, there are more than 800 corresponding groups located within functional agencies and down to the prefectural level of government. These are headed by the highest-ranking party official within each administrative unit.
Comprehensively Deepening Reform Leading Small Group
Chairman
Xi Jinping
President, General Secretary, CPC; Chairman, Central Military Commission
Vice Chairmen
Li Keqiang
Premier, State Council
Liu Yunshan
CPC First-ranked Secretary, President, the Central Party School
Zhang Gaoli
First-ranked Vice Premier, State Council
Members
Ma Kai
Vice Premier
Wang Huning
Director, Central Policy Research Center
Liu Yandong
Vice Premier
Liu Qibao
Head, Central Propaganda Department
Xu Qiliang
Vice Chairman, Central Military Commission
Li Jianguo
Vice Chairman, NPC Standing Committee
Wang Yang
Vice Premier
Meng Jianzhu
Head, Central Political and Legal Affairs Commission
Zhao Leji
Head, Central Organization Department
Li Zhanshu
Director, CPC General Office
Du Qinglin
Vice Chairman, CPPCC
Zhao Hongzhu
Deputy Secretary, Central Commission for Discipline Inspection
Wang Chen
Vice Chairman and Secretary-General, NPC
Guo Shengkun
Minister, Ministry of Public Security
Zhou Qiang
President, Supreme People's Court
Cao Jianming
Procurator-General, Supreme People's Procuratorate
Zhang Qingli
Vice Chairman and Secretary-General, CPPCC
Zhou Xiaochuan
Governor, People's Bank of China
Wang Zhengwei
Vice Chairman, CPPCC
General Office
Wang Huning
Director, Central Policy Research Center
Mu Hong
Deputy Director, NDRC
Subgroups
1. Economic Structure and Ecological Reform Group
Xu Shaoshi
Director, NDRC
Liu He
Deputy Director, NDRC
2. Cultural System Reform Group
Liu Qibao
Head, Central Propaganda Department
Liu Yandong
Vice Premier
3. Discipline Inspection Structural Reform Group
Zhao Hongzhu
Deputy Secretary, Central Commission for Discipline Inspection
Huang Shuxian
Minister, Ministry of Supervision
4. The Building of the Party System Reform Group
Zhao Leji
Head, Central Organization Department
Unknown
5. Democracy and Rule of Law Reform Group
Unknown
6. Social Institutional Reform Group
Unknown
Note: As of February 2015.
Appendix II: The Central Finance and Economics Leading Small Group
Chairman
Xi Jinping
President; General Secretary, CPC; Chairman, Central Military Commission
Vice Chairman
Li Keqiang
Premier, State Council
Members
Liu Yunshan
First-ranked Secretary, CPC Central Committee; President, the Central Party School
Zhang Gaoli
First-ranked Vice Premier, State Council
Liu Yandong
Vice Premier, State Council
Wang Yang
Vice Premier, State Council
Ma Kai
Vice Premier, State Council
Wang Huning
Director, Central Policy Research Center
Li Zhanshu
Director, CPC General Office
Yang Jiechi
State Councilor, State Council
Yang Jing
Secretary, CPC Central Committee; Secretary-General, State Council
Zhou Xiaochuan
Governor, People’s Bank of China
Fang Fenghui
Chief of General Staff, PLA
Xiao Jie
Deputy Secretary-General, State Council
Xu Shaoshi
Director, NDRC
Miao Wei
Minister, Ministry of Industry and Information Technology
Jiang Daming
Minister, Ministry of Land and Resources
Jiang Weixin
Minister, Ministry of Housing and Urban-Rural Development
Chen Lei
Minister, Ministry of Water Resources
Liu He
Deputy Director, NDRC
Wang Yi
Minister, Ministry of Foreign Affairs
Wang Zhigang
Vice Minister, Ministry of Science and Technology
Lou Jiwei
Minister, Ministry of Finance
Zhou Shengxian
Minister, Ministry of Environmental Protection
Yang Chuantang
Minister, Ministry of Transport
Wu Xinexiong
Director, National Energy Administration
Retired 12/2014
General Office
Director
Liu He
Deputy Director, NDRC
Deputy Directors
Chen Xiwen
Director, Agricultural Affairs Office under the State Council
Yang Weimin
Vice Minister, Ministry of Science and Technology
Yi Gang
Vice Governor, People’s Bank of China; Director, SAFE
Han Jun
Currently has no additional appointments
Shu Guozeng
Currently has no additional appointments
Note: As of February 2015.
The 26-member Central Finance and Economics Leading Small Group (CFELSG) is a party body first established in 1957. It has existed continuously since March 1980. The CFELSG’s role in overall economic decisionmaking and composition have varied across generations of China’s leadership. Under the Xi administration, it is playing an unusually large role in overseeing China’s economic reform agenda. Much of the drafting of the reform plan released in November 2013 at the Third Plenum was performed by officials seconded from the CFELSG. The drafting committee was chaired by Xi Jinping and composed of other top leaders—including fellow PBSC members Liu Yunshan and Zhang Gaoli—as well as key experts. In a further illustration of its current importance, in the past the CFELSG has been chaired by the premier, but at present Xi himself heads the body and Li Keqiang serves as vice chair.
The CFELSG’s general office director is Liu He, and five deputy directors have so far been revealed. Reports suggest that under Xi, the staff of this office has expanded considerably, in keeping with its new functional role as the secretariat for overseeing and implementing the overall reform agenda. As of mid-February 2015, official reports indicate the full CFELSG had held nine meetings since the beginning of the Xi administration, the last five of which have been publicly reported. The announcement of these meetings, as well as confirmation of the CFELSG’s composition, is unprecedented for an LSG, the membership and meetings of which are typically not disclosed. Topics discussed at meetings so far include the Asian Infrastructure Investment Bank and the “One Belt, One Road” strategy, as well as China’s innovation and energy security strategies.
Appendix III: China’s Formal Government Structure
This stylized depiction of China’s formal governance structure illustrates several key points about Chinese administration.
The first is its hierarchical nature, and the overlap between the party and the state apparatus. The second is the “one-level-down” supervision system, a common feature of the party and state organization. In this system, each level of government supervises its immediately subordinate level (e.g., the central government supervises the provinces; provinces supervise prefectures). The third is that, just as lower levels of government account for the majority of fiscal expenditures, they also employ the vast majority of China’s civil servants.
One key point this graphic does not capture is the dual reporting relationships many local branches of functional agencies face: they are often subject to the immediately superior level of their functional agency for implementing technical standards, but most rely on local government officials for funding and personnel. These local officials often face different incentives and objectives from functional agencies, which can complicate the faithful enforcement of consistent standards.
Appendix IV: Major Regular Events in the CCP Political Cycle and the National Five-Year Plan
The 10th Five-Year Plan, 2001-2006
- NPC ratifies five-year plan "outline"
- Implementation and monitoring (ongoing through year five)
- Formal midterm revision
- Form principles and begin drafting next plan
- 5th Plenum introduces guidelines for the next plan
The 11th Five-Year Plan, 2006-2011
- NPC ratifies five-year plan "outline"
- Implementation and monitoring (ongoing through year five)
- Formal midterm revision
- Form principles and begin drafting next plan
- 5th Plenum introduces guidelines for the next plan
The 12th Five-Year Plan, 2011-2016
- NPC ratifies five-year plan "outline"
- Implementation and monitoring (ongoing through year five)
- Formal midterm revision
- Form principles and begin drafting next plan
- 5th Plenum introduces guidelines for the next plan
The 15th National Congress of the CPC, 1997-2002
- 6th Plenum in early October
- 7th Plenum in early November
- 1st Plenum in mid-November
The 16th National Congress of the CPC, 2002-2007
- 2nd Plenum: State leadership revealed
- 3rd Plenum: Introduce new reform agenda
- 4th Plenum: Discusses improving the CCP's governing capacity
- 5th Plenum: Introduces guidelines for the next five-year plan
- 6th Plenum: Discusses morality in society and cultural reforms
- 7th Plenum: Prepare for leadership transition
- 1st Plenum: New CCP leadership revealed
The 17th National Congress of the CPC, 2007-2012
- 2nd Plenum: State leadership revealed
- 3rd Plenum: Introduce new reform agenda
- 4th Plenum: Discusses improving the CCP's governing capacity
- 5th Plenum: Introduces guidelines for the next five-year plan
- 6th Plenum: Discusses morality in society and cultural reforms
- 7th Plenum: Prepare for leadership transition
- 1st Plenum: New CCP leadership revealed
The 18th National Congress of the CPC, 2012-2017
- 2nd Plenum in late February
- 3rd Plenum in early November
- 4th Plenum in late October
- 5th Plenum in the fall
The graphic above illustrates two of the most important cycles in Chinese economic policymaking:
The left side shows the stages in which China’s five-year plans are developed, approved, and implemented. While these plans have diminished in importance over the course of “reform and opening,” they remain an important exercise in coordination across the breadth of the Chinese economic policymaking apparatus and have an important impact on investment patterns and priorities. The NDRC is responsible for coordinating the development of the five-year plan.\(^1\)
The right side outlines the timing and general agendas of the Central Committee plenary sessions that take place regularly over the course of China’s five- and ten-year leadership transition cycles. These plenary sessions are the most important regular party meetings outside the quinquennial national party congresses. Due to informal age limits, PBSC members are limited to a maximum of two five-year terms, though some serve only one.
The imperfect overlap of these two cycles is one source of inertia in China’s economic policymaking process. For example, a new leadership team has the opportunity to lay out the reform agenda that will set the tone for its tenure at the Third Plenum. This is the first major CCP gathering following the completion of the full leadership transition process. However, even after the Third Plenum is complete and new leaders have put forward their agenda, their freedom of action is partially constrained by investment plans “baked-in” as part of the remaining two years of the current Five-Year Plan.
\(^1\) For more details on the five-year planning process see “China’s 12th Five-Year Plan: How it actually works and what’s in store for the next five years,” APCO Worldwide, December 10, 2010.
## Appendix V: Key Meetings in China’s Policymaking Calendar
| Five-Year Meetings | National Congress of the Communist Party of China 中国共产党全国代表大会 | Leadership changes within the Communist Party take place at the National Congress, a gathering held every five years, usually in October or November. This is when the composition of the new PBSC is formally revealed for the first time. |
|-------------------|-------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | National Financial Work Conference 全国金融工作会议 (NFWC) | Held every five years (usually at the beginning of a year in which the NCCPC will be held), the National Financial Work Conference outlines the direction and objectives of financial reform for the five years to follow. The last conference was held in January 2012 under the leadership of the then premier Wen Jiabao and emphasized that the financial sector must “serve the real economy . . . and prevent overspeculation and virtual bubbles from inflating the economy.” |
| Annual or Semiannual Meetings with Fixed Dates | National People’s Congress 全国人民代表大会 (NPC) | The NPC is China’s legislature, which meets in plenary session every year in the spring. This takes place alongside the annual meetings of the Chinese People’s Political Consultative Conference, in a gathering referred to as China’s “Two Meetings.” This is when the annual growth target is announced, and the premier delivers the annual government work report. Outside of the annual plenary sessions, the smaller NPC standing committee exercises the authority of the NPC. It meets on a bimonthly basis. |
|-----------------------------------------------|-------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | U.S.-China Strategic and Economic Dialogue 中美战略与经济对话 (S&ED) | The S&ED was established in April 2009 as an upgrade of the Strategic Economic Dialogue. It meets annually, usually around midyear, and its location alternates between Washington and Beijing. It is the highest-level regular bilateral dialogue between the United States and China. It contains both a Strategic Track and an Economic Track, the latter of which is chaired by the secretary of the treasury on the U.S. side and the vice premier with responsibility for foreign trade on the Chinese side. |
| Annual or Semiannual Meetings with Fixed Dates | Beidaihe Summer Summit 北戴河会议 | The Beidaihe Summit takes place during the summer in Beidaihe, a coastal city and a summer resort in the province of Hebei. The attendance and content of the meetings vary with the preference of the current leadership generation. Under Xi, PBSC members (and some members of the Politburo) have used Beidaihe as a venue for informal private discussions regarding pressing policy issues and priorities for the coming year. |
| --- | --- | --- |
| | Central Economic Work Conference 中央经济工作会议 (CEWC) | The Central Economic Work Conference is a joint party-state meeting held annually over two to three days in December. The meeting itself is closed to the press. The Work Conference sets priorities for economic reform for the coming year, and puts forward a key phrase to guide reform. The 2014 CEWC identified the "new normal" as the "main logic" for reform and the key phrase for 2015. |
| | U.S.-China Joint Commission on Commerce and Trade 中美商贸联合联委会 (JCCT) | The U.S.-China Joint Commission on Commerce and Trade (JCCT) is a bilateral dialogue held once a year in December. It is cochaired by the secretary of commerce and the U.S. trade representative on the U.S. side, and by the vice premier responsible for foreign trade on the Chinese side. In terms of substantive focus, the JCCT has significant overlap with the economic track of the S&ED, but is designed to focus more on the nuts and bolts of trade and investment-related issues. |
| | Central Fiscal Work Conference 全国财政工作会议 (CFWC) | Moderated and led by the minister of finance, the Central Fiscal Work Conference takes place at the end of every year following the Central Economic Work Conference. Its function is to evaluate the past fiscal year, and set the tone and agenda for fiscal policy in the upcoming year. |
| Meetings without Fixed Dates | Politburo Study Sessions 中共中央政治局集体学习 |
|-----------------------------|------------------------------------------------|
| | Since the 16th CCP National Congress, the CCP Politburo has held "group study sessions" on topics deemed to be of interest to the Party's top leaders. These events are attended by the full Politburo. They feature a guest lecturer delivering a carefully scripted presentation, followed by more free-form questions and answers between the Party leadership and the presenter. The 18th National Congress has held 20 group sessions as of mid-February 2015. Topics have ranged from anticorruption campaigns to the development of free-trade zones and from adherence to socialism to dialectical materialism. |
| | Politburo 中共中央政治局 and Politburo Standing Committee 中共中央政治局常务会议 (PBSC) |
|-----------------------------|----------------------------------------------------------------------------------|
| | The Politburo and the Politburo Standing Committee represent the top leadership of the CCP. The full Politburo meets roughly nine times annually, while the PBSC meets more frequently and exercises the full authority of the Politburo when the latter is not in session. Documents endorsed by the full Politburo carry more weight than those endorsed only by the PBSC, and documents endorsed by the full Central Committee are considered more authoritative still. |
| | State Council Executive Meeting 国务院常务会议 |
|-----------------------------|-----------------------------------------------|
| | The executive committee of the State Council meets on roughly a weekly basis, and exercises the authority of the State Council outside of its biannual plenary sessions. It functions as the State Council’s primary decision-making body. Representatives from ministries are often invited to report or attend, depending on the matter under discussion. Meeting summaries are now regularly posted (complete with summary infographics) on the State Council website (http://english.gov.cn/). |
Matthew P. Goodman is senior adviser for Asian economics and holds the William E. Simon Chair in Political Economy at CSIS. The Simon Chair examines current issues in international economic policy, with a focus on the Asia-Pacific region. Previously, he served as director for international economics on the National Security Council staff, working on the G-20, APEC, and other presidential summits. Before joining the White House, Goodman was senior adviser to the undersecretary for economic affairs at the U.S. Department of State. He has also worked at Albright Stonebridge Group, Goldman Sachs, and the U.S. Treasury Department. Goodman holds an M.A. from the Johns Hopkins School of Advanced International Studies and a B.Sc. from the London School of Economics.
David A. Parker is a research associate with the Simon Chair in Political Economy at CSIS. He manages research projects on Northeast Asian states’ economic policy and policymaking and U.S. economic strategy toward the Asia-Pacific region. His current research interest is in Chinese, Japanese, and American economic strategies in the Asia Pacific. Parker is the coauthor of *China’s Economic Policymaking at a Time of Transition* (CSIS, April 2014) and a contributing author of *Enhancing Value Chains: An Agenda for APEC* (CSIS, November 2013). He holds an M.A. in international economic relations from the School of International Service at American University with a concentration in international finance, a B.A. in Japan studies with a minor in economics from Tufts University, and studied at Doshisha University in Kyoto.
ROWMAN & LITTLEFIELD
Lanham • Boulder • New York • London
4501 Forbes Boulevard
Lanham, MD 20706
301-459-3366 | www.rowman.com
Cover photo: https://www.flickr.com/photos/stevecadman/117962067/sizes/l/in/photostream/.
|
PASTOR
Residence: 904 Central Ave, Coon Valley, WI 54623
Cell Phone: 608-738-6806
Email: email@example.com
Office Hours: Thursdays and by appointment, off on Mondays.
WEEKEND MASS SCHEDULE
Saturday.........................................................4:00pm
Sunday..........................................................8:00am
WEEKDAY MASS SCHEDULE
Tuesday............................................................6:30pm
Thursday.........................................................8:00am
CONFESIONS
Upon request
PARISH OFFICE
Amy Stafford, Admin. Assist...........608-452-3841
Bulletin deadline .........................Wednesday
E-mail: firstname.lastname@example.org
Open most Wednesdays and Thursdays
COORDINATOR of RELIGIOUS EDUCATION
Niki Haugh
PARISH FINANCE COUNCIL
Nancy Peters (Secretary), John Mislivecek, Bryan Berg and John Roesler (Buildings and Grounds)
PARISH PASTORAL COUNCIL
Ryan Goodwin, Marlene Humfeld, Sue Humfeld, Mike Kammel, Jim Prindle and Steve Schulte.
(2 appointed vacancies)
PCCW - Parish Council of Catholic Women
Clarice Kammel (President), Nancy Peters (Treasurer), Linda Berg (Secretary)
ORANISTS
Mary Beth Smith, Linda Schulte, and Chris Carskadon.
Fr. Matt also serving:
Annunciation of the BVM Parish, Viroqua
Mass Times: Weekend........Saturday.......6:30 PM
Sunday ......10:30 AM
Weekday, Wednesdays - 6:30 PM & Fridays - 8:00 AM
New Parishioners: Welcome to our parish! Please introduce yourself to Fr. Matt and contact the parish office for registration and information. https://www.stmarycv.org/visit-us
Sacrament of Reconciliation: Call or email Fr. Matt. You can also use our website under the Sacraments tab: https://www.stmarycv.org/sacraments
Sacrament of Baptism: Please submit a registration by mail, or e-mail to both email@example.com AND firstname.lastname@example.org. You will be contacted by the parish office to finalize your requested date. The registration form at: https://www.stmarycv.org/sacraments.
Sacrament of Anointing / Visitation of the Sick: Please contact the parish office or Fr. Matt when someone you know is in need of the Sacrament or a pastoral visit. Requests may also be made from our website under the Sacraments tab. https://www.stmarycv.org/sacraments
Mass Intentions: Please use the Mass Intention envelopes available in the church.
Book of Prayer Requests: Located in the back of church. Feel free to add your own prayer requests. The requests will be included in the parish prayers.
**Intentions**
- Mar 05 – 4:00 PM - †Edward and Anna Kerska
- Mar 06 – 8:00 AM - Our Parish Family
- Mar 08 – 6:30 PM - NO Mass
- Mar 10 – 8:00 AM - NO Mass
- Mar 12 – 4:00 PM - †Linda Jeffers
- Mar 13 – 8:00 AM - †Gavin Williams
**Next Week in Service — Mar 12/13**
If you are not able to serve as scheduled below, please find a substitute. Thank you!
| Reader: | Saturday - Robert Kerska |
|---------|--------------------------|
| | Sunday – Volunteer |
| Money Counters: | Mike Kammel and Mark Boland |
Sign up for AmazonSmile and select St. Mary Parish as your preferred charity at smile.amazon.com/ch/39-1216730. Remember to shop for deals at smile.amazon.com, or with AmazonSmile ON in the Amazon app, and AmazonSmile will donate to us at no cost to you.”
---
**Lenten Regulations**
1. Catholics who have celebrated their 14th birthday are to abstain from meat on Ash Wednesday, all Fridays in Lent, and Good Friday.
2. In addition to abstaining from meat, Catholics who have celebrated their 18th birthday, until they celebrate their 59th birthday, are to fast on Ash Wednesday and Good Friday. Those who are bound to this regulation may eat only one full meal. Two smaller meals are permitted if necessary to maintain strength according to one’s needs, but eating solid foods between meals is not permitted.
---
**Upcoming Events/Calendar**
- **March 6** ~ Baby Bottle Campaign for Birthright ends
- **March 6** ~ Religious Ed Class following Mass
- **March 7-11** ~ Fr. Matt on PTO, NO weekday Masses
- **March 9** ~ Stations of the Cross (M.S. leading)
- **March 13** ~ Daylight Savings begins at 2 AM ~Religious Ed Class after Mass, no class for 8th Grade
- **March 16** ~ Stations of the Cross (Volunteer leader needed)
- **March 20** ~ NO Religious Education Classes
- **March 23** ~ Stations of the Cross (M.S. leading)
- **March 27** ~ Religious Ed Class after Mass
- **March 30** ~ Stations of the Cross (M.S. leading)
- **April 3** ~ Religious Ed Class after Mass
- **April 6** ~ Stations of the Cross (C.K. leading)
- **April 9/10** ~ Palm Sunday (regular Mass times)
- **April 10** ~ Religious Ed after Mass
- **April 12** ~ Chrism Mass at the Cathedral 10:30 AM
- **April 13** ~ Stations of the Cross (C.K. leading)
- **April 14** ~ Holy Thursday—7:30 PM
- **April 15** ~ Good Friday—6:30 PM
- **April 16** ~ Holy Saturday—7:30 PM
- **April 17** ~ Easter Sunday—8:00 AM
~ NO Religious Ed ~ Happy Easter!
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**Sunday Mass streaming Live on Facebook:**
https://www.facebook.com/StMarysCoonValley
Church will be open for private prayer Tuesday through Friday from 9AM until 7 PM and Sunday until 7 PM (please practice good social distancing)
---
**Annual Appeal 2020-21**
| As of 2/24/2022 | Total Pledged | Total Payments |
|-----------------|---------------|---------------|
| Pledged/Paid | $10,825.00 | $10,045.00 |
| Target Amount | $14,020.00 | $14,020.00 |
| Under Target | ($3,195.00) | ($3,975.00) |
| Percent Pledged:| 77.21% | Percent Received: 71.65% |
| Number Contributing: | 28 |
Give online at https://dioc.org/donate-online/ be sure and choose "2021 (445) St. Mary Parish, Coon Valley"
---
**Giving Last Week**
| | Week 09 | 2/27/2022 |
|----------------|---------|-----------|
| Adult Env.(33) | $1575.00| Needed Weekly $2,000.00 |
| Offertory | $152.00 | Received This Week $1,737.00 |
| Cath. Life | $10.00 | Running total needed $18,000.00 |
| Total | $1737.00| YTD Received $13,987.50 |
| Food Pantry | $15.00 | Difference (4,012.50) |
This Lenten Season
Convenience is a big deal in our culture. Convenient is also how St. Thomas Aquinas described the Cross. Wait...what?!? The Cross was convenient? Really? Here’s how St. Thomas thought about it. The word *convenient* in his time meant ‘suitable’ or ‘fitting’. Literally, ‘things really came together’. Something or someone was *convenient* when everything lined up nicely, when things worked out and something helpful happened.
So, was the Cross convenient? Yeah, it was. It didn’t need to come out the way it did, in fact, it would have been better if we didn’t murder God…but the Cross allowed Jesus to sort things out at last in a way that really helped the situation. The situation of His time then, and of all time.
The Cross responds very fittingly to our need to scapegoat one another; it responds just right to the gaping desire we have for unconditional love. So, yeah, the Cross was convenient. It fits. But it also, clearly, wasn’t easy.
That brings me to some thought about this Lent time. In this season the Spirit calls out to us to seek and find a more fitting way to live. A way that really works, that really helps. We might be called to make some changes that aren’t easy, but that actually help us to live better. I think of something like a convenience store or a big box store. Yes, they offer a lot of things, and they offer them easy. But are they high quality? Maybe not. Do they taste good? Probably not. They are cheaper usually too, but are they worth it?
Reminds me of the prophet Isaiah: *Why spend your money on what isn’t bread? Your wages for what don’t satisfy? Behold, the LORD says, listen to Me and you will eat well, you will delight in a richer fare.*
Lent asks us similar questions. Of all the habits of our life, can we admit that some are not really that convenient at all. Some habits though deeply engrained and easy to slip in to, really don’t make us feel that great. Not deep down. Often, we make our Lenten penances just as trite. “I’m gonna exercise! Hitting the treadmill for 30 minutes a day!” (‘cause I want to look better, we think but don’t say). But is that really what’s needed?
Maybe we aren’t meant to prep like we’re running a marathon. Maybe just going for a walk is good for us even though it won’t really change our figure. It will just make us happier, relieve stress, and improve overall cardiovascular functioning. Huh…maybe that’s good enough. Maybe that actually fits what our lifestyle allows and needs. It won’t be easy, but it is do-able. I think of that example. Can you tell I have thought of it before! Well, here’s to a *convenient* Lent then. Learning from God and allowing ourselves to seek some changes that really fit the bill. Changes that really, *actually* help our life.
Peace, Fr. Matt
Listen to Fr. Matt’s sermon this week to find out the significance of the photo to the left.
Easter Flower Donations
Your booklet of envelopes now offers one specifically for Easter Flowers. Additional envelopes are also available in the back of church.
Birthright Baby Bottle Campaign ends March 6th
It’s the last week of the campaign, please fill up a bottle and return next weekend. Thank you and know your pro-life support will be appreciated by moms, dads, and babies to be. [https://birthright.org/lacrosse](https://birthright.org/lacrosse)
The Word Among Us Books—Lent 2022
Free Lenten booklets are available this weekend in the back of church. These books offer the daily Mass readings and daily Mediations for Lent.
Lent for Life—CRS Rice Bowl
This Lent, commit to our global human family through daily prayer, weekly fasting and almsgiving through the Rice Bowl. Rice Bowls are available in the back or church. For more information or to give online visit: [crsricebowl.org](http://crsricebowl.org)
Student Mite Boxes—Missionary Childhood Association
Students are asked to help other children less fortunate than themselves this Lent by filling the MCA mite box. These funds go directly in support of impoverished children around the world.
Diocesan/Local Announcements
Cabin Fever Fest - St. Peter’s, Middle Ridge - March 6
**Euchre Tournament and Luncheon**
Sunday, March 6th, doors open at noon, cards start at 1:00 PM. Prizes for 1st through 4th place. $10 admission includes, soups, snacks and beverages. For more info, contact Melissa at 608-486-2180 or email: email@example.com
Best Ever Chicken Q and Bake Sale - March 13
Mar 13, and Apr 10, 2022m Tippy Toe Inn, Chaseburg. 11 AM until gone each day. 1/2 chicken, baked potato, coleslaw and bread for $10. All proceeds will benefit the American Cancer Society’s Sole Burner on Sept 24, 2022. For info: 608-452-3367
(Continued on page 4)
Valentyna Pavsyukova, founder of Chalice of Mercy mission to Ukraine and a member of our diocese, is working to get humanitarian aid to the suffering people of her homeland. Please PRAY for peace and consider donating to her effort at www.chaliceofmercy.org/donation/. You can learn more about Valentyna and the beautiful mission at that website.
**This Weeks Readings by Kieran O’Mahony, OSA**
**Monday 7 March SS. Perpetua and Felicity**
*Leviticus 19:1-2, 11-18* Sometimes, we tend to think that Israelite faith was somehow more external than Christian faith. This readings both put us right on that and lands us with a direct challenge for ourselves today.
*Matthew 25:31-46* There are different ways to read this so-called parable. Firstly, it is not a parable but a kind of teaching on how we will be judged. The purpose is not so much a description of the last judgment as warning to change how we live our lives. Part of the meaning is that the church (as the least of my brothers’ and sisters) discloses Christ himself through our vulnerability.
**Tuesday 8 March St. John of God**
*Isaiah 55:10-11* This short reading (only one sentence) proclaim the effectiveness of God’s word. It is as effective, almost as automatic, as rain falling on the ground. But we are the ground, so it does depend too on letter the word into my heart.
*Matthew 6:7-15* The opening words are a clear warning that prayer is not informing or cajoling the divinity. If not that, then what? According to St Augustine, it is the opening of the heart so that we may be capable of receiving God’s gifts.
**Wednesday 9 March St. Francis of Rome**
*Jonah 3:1-10* The book of Jonah—a comic shot across the bows of Ezra and Nehemiah—is taken at face value today. It is difficult to imagine the cows as converting! Nevertheless, the seriousness of response invite reflection on the seriousness of our project of conversion through Lent.
*Luke 11:29-32* Jesus refers to the people of Nineveh and in a way redoubles the challenge to us today. We know Jesus is greater than Jonah et al, and yet what does this knowledge profit is if we remain unmoved?
**Thursday 10 March**
*Esther 4:1-7* The topic in today’s readings is really prayer of intercession. In our first reading, we see a women in earnest prayer, not just for herself but for her people. Esther reminds God to be true to himself!
*Matthew 7:7-12* This kind of passage—so plain and direct—can be problematic for us today on several levels. Firstly, we all have experience of interceding and apparently not being heard. We do not always get what we want. Secondly, we don’t really think God must be informed or, worse, persuaded. Again, Augustine helps: we pray not to change God but to change ourselves, so that we choose what God wants for us.
**Friday 11 March**
*Ezekiel 18:21-28* Conversion, turning to God with our whole selves, is the teaching here. Ezekiel puts before us two ways, life and death. It is not quite so simple—we do believe that one sin cannot really ruining all the good we have done in the past. Nevertheless, the point is not lost: God calls us to conversion, to renounce our sins, so that we may live and be truly alive.
*Matthew 5:20-26* In keeping with the first reading, the gospel is direct: If your virtue goes no deeper than that of the scribes and Pharisees… It is easy to confuse religion with practice and morality with actions. Jesus, however, takes us to the heart of ethical living—it is all from within. In this, Jesus is very much in line with prophets of the Hebrew Bible.
**Saturday 12 March**
*Deuteronomy 26:16-19* True faithfulness is a matter of the heart, as we hear from the book of Deuteronomy. The Law is to be kept first of all with our hearts and our souls. It may help to recall that the word Torah means instruction or path of life. It is, therefore, much more than a set of regulations or commandments. The psalm is a big help here: Oh, how I love your law! It is my meditation all day long. (Ps 119:97) Great peace have those who love your law; nothing can make them stumble. (Ps 119:[65])
*Matthew 5:33-48* Jesus continues his teaching on the roots of ethical behavior in attitudes of the heart. The comparison are sharp, especially in a culture where being Christian is reduced to be being decent or well-behaved. As Jesus points out even nonbelievers manage that, so it is no great credit. Something deeper is being asked us, something more costly.
---
**KIDS CORNER**
*Luke 4:1-13*
Jesus spent 40 days in the desert preparing for His work. During Lent we spend 40 days getting ready to celebrate Jesus’ death and resurrection.
*Can you find your way into the desert to be with Jesus?*
Jesus offers us spiritual strength
In this week’s Gospel reading, Jesus was “led by the Spirit” (Lk 4:1) into the desert for forty days. There, he was put to the test by Satan so that he could experience “every temptation” (v. 13), a truly remarkable feat by any standard.
During this time, Jesus was made acutely aware of the difficulties we experience as humans who struggle with sin. More importantly, Jesus reveals that in the face of temptations we can draw upon his grace and strength, as he himself has endured such temptations. In debating the Prince of Darkness, he helped us become fellow soldiers in the spiritual battle.
As we begin our Lenten journey, let us call to mind our need to be “made aware.” Jesus was made aware of how difficult it is to live a holy life. We, through our sacrifices of time, talent, and treasure, are led by the Spirit to our own spiritual deserts where we can experience God’s grace of mercy in the silence of our hearts.
There, and only there, can we truly become aware of our own spiritual strength.
Saint
Pray contemplatively
Thomas Aquinas was a quiet man who experienced a multitude of temptations. He was a master of contemplative prayer, which led him to overcome those temptations to a heroic degree. He lived a life of intense focus, studying and pondering God, and sharing his wisdom with others in deed, speech, and writing.
As you continue your Lenten journey, spend time in contemplative prayer each day. Ponder the things of God by reading Scripture and spiritual books, and meditating on God’s will for your life.
For Reflection
- Are you aware of God’s mercy in your life?
- What temptations do you struggle with?
- How are you preparing to enter into your spiritual desert this Lent?
Tips for seeking FORGIVENESS
DO YOU NEED FORGIVING?
If you are aware of something you have done to harm others or your relationship with God, try taking these first steps:
- Go to confession.
- Pray that the person you have offended might obtain peace.
- Reach out to whom you have offended and ask for forgiveness.
DO YOU NEED TO FORGIVE?
- Pray for the person who offended you and for God to help bring peace between you both.
- Reach out to the person who offended you and forgive them.
WORD Meanings
The word “mercy” comes from the Latin merces, which means “reward.” Mercy is God’s undeserved gift for those who show mercy. Hence, in the Lord’s Prayer we say, “Forgive us our trespasses as we forgive those who trespass against us.” May we always remember that God offers mercy to all, but will extend it only to those who show mercy to others.
Fasting TIPS
Offer your fasting up for someone who needs spiritual strength. Archbishop Fulton Sheen called this type of suffering a “spiritual blood transfusion” that can enliven the soul of those for whom we suffer. Think about that person every time you are tempted to break your fast. Then, overcome it and know that your efforts are making a difference with the help of the Holy Spirit.
Catechism Chat
“God created us without us: but he did not will to save us without us.’ To receive his mercy, we must admit our faults” (1847).
Prayer
Holy Father, I am not perfect, but you are. Help me to become more perfect like you through your gift of mercy. May I be made worthy of such a reward by showing that same mercy to those who offend me and asking for forgiveness of those whom I have offended.
|
57 IBD/CONTRACT product design contest winners
- Data highway link-up saves energy
- Office spaces shrink on client demand
- Art collection management protects investment
- Timed move can boost sales pay 33 percent
Beneath that 100% wool/mohair face yarn lies a unique vinyl backing. It's the reason Tretford movable modules won't slip, shrink or stretch in loose-lay installations. Look into all the advantages of Tretford modules and companion broadloom. Contact Home Office: Eurotex, The Marketplace, 2400 Market Street, Philadelphia, PA 19103. Telephone 800/523-0731. In PA call 215/568-4300. Or contact: Eurotex, Space 11-121, The Merchandise Mart, Chicago, IL 60654. Phone 312/644-4443.
Showrooms and/or sales offices are also in New York, Boston, Washington, Atlanta, Ft. Lauderdale, Pittsburgh, Cleveland, Detroit, Minneapolis, Kansas City, Dallas, Houston, Denver, Los Angeles, San Francisco, Seattle and Honolulu.
TRETFORD MOVABLE MODULES. MORE THAN JUST A PRETTY FACE.
Iario—an award winning classic
1980 IBD silver medallion design award
design by burghardt vogtherr
HEADQUARTERS: P.O. BOX 7288, HIGH POINT, N.C. 919/434-4151 TELEX 578431
U.S. SHOWROOMS:
BOSTON 617/423-0040 DENVER 303/825-5093 MINNEAPOLIS 612-872-0510
CHICAGO 312/822-0711 HOUSTON 713/523-4900 NEW YORK 212/371-6131
DALLAS 214/747-7130 LOS ANGELES 213/652-5450 ST. LOUIS 314/241-8431
CANADA:
CALGARY 403/243/9837
MONTREAL 514/735/7910
TORONTO 416/368/3051
Circle 3 on reader service card
The excellence of any system depends on the excellence of its parts.
Systems office furniture is no exception. And a thorough appraisal of such a system must include an examination of its parts.
All-Steel welcomes such scrutiny. Attention to detail is one reason All-Steel enjoys an enviable reputation for quality and value in the business community.
One such detail is providing the options you need to make a unique design statement in a way that satisfies your client's needs precisely. Our newly expanded line enables you to do this. Outstanding adaptability is also built into the All-Steel system to let you respond to your client's changing needs easily and quickly, while maintaining pleasing design continuity.
See your dealer, write All-Steel Inc., Aurora, IL 60507, or call toll free 800/323-0112. (In Illinois, 800/942-6015.)
ALL-STEEL
For all the right reasons.
A COMPLETE LINE OF QUALITY SYSTEMS OFFICE FURNITURE AND ACCESSORIES.
Circle 4 on reader service card
15 Contract News
20 Designed for Laughter by Michael Saphier
57 Contract Quotes
64 Contract Technology
70 Product Showcase: Thonet
76 Product Showcase: Interkal
82 Product Showcase: Arc-Com
88 Product Showcase: Pace
92 People/News
100 Coming Events
129 Products Awarded In IBD/CONTRACT Design Competition
130 Atelier International Wins ‘Best Of Show’ For Uni Chair
151 Contract Sales People Boost Earnings 33% With Timed Move
Executive placement specialist outlines sales & marketing strategies that can significantly increase contract furniture sales earnings
154 Centralized Neighborhoods, Services Build Law Firm’s Output
Workers effect changes in a Washington, D.C. law office after three-month programming effort with prototype
158 Custom Storage & Neutral Backdrops Upgrade Editors’ Offices
Dexter Design maximizes space & quiets environments for client Cosmopolitan
162 Data Highway Links Building Systems For Energy-Efficiency
Building Automation computerizes a Hartford, Conn. superstructure to create an energy-conscious, cost-effective electronic environment
166 Shrinking Office Spaces Need Design Ingenuity To Function
As rents increase, companies lean toward smaller offices where maximum space utilization is a prime factor
169 Office Furnishings Blend Esthetics & ‘Hard Tech’
Well-designed wood & leather furniture gives specifiers high-tech engineering
184 Have You Centralized Control Of Art Inventory Programs?
Corporate consultant shows how recordkeeping adds to collection value
186 Add Color & Texture To Interior Spaces With Artwork
Custom & limited edition pieces provide the finishing touch
197 Products & Services
232 Catalogs & Brochures
233 Classified Advertisements
236 Advertising Directory
COVER—Atelier International’s Uni Chair takes ‘Best of Show’ award in IBD/CONTRACT 1982 Product Design Competition. Coverage of 57 award winners is featured in section beginning on p. 129.
December: STORE DESIGN—innovative, thought-provoking, and purchase-inducing store planning and design projects, plus store fixture & display systems products for the specifier. Related product previews: signage; resilient, wood studded vinyl flooring; and site furniture for malls and outdoor applications. Plus Contract Mart & Showroom Buildings Directory—contacts and events planned for 1983. Also, Antibacterial carpet—potent protection for healthcare facilities flooring applications.
January: Annual Contract Directory & Buyers Guide to Commercial/Institutional/Architectural Furniture & Furnishings—the industry's most complete, up-to-date reference guide to contract furnishings and equipment. Directory includes: Alphabetized Master List of Contract Manufacturers; List of Suppliers by Product Category and Location; National Showroom Guide; Directory of Associations & Societies. Feature articles focus on The Contract Dealer—investigation of changing roles and functions. Plus, an update on the role of the computer in CAD. Amer. Assn. of School Administrators (AASA) Show Preview.
Advertising Representatives
New York:
Frank A. Rizzo, Co-publisher & Adv. Sales Dir.,
Gary S. Puro, Associate Publisher & Adv. Sales Mgr.,
William Dahdah, Eastern Manager,
Peggy Hynes, Northeast Representative,
Gralla Publications
1515 Broadway 24th Floor,
New York, N.Y. 10036.
Phone: (212) 869-1300.
Chicago:
Marie Kowalchuk, Midwest Representative
Gralla Publications
3525 W. Peterson Ave., Chicago, Ill. 60659.
Phone: (312) 463-1102.
West Coast:
Neil Silverstein, Western Manager, Gralla Publications,
16200 Ventura Blvd.,
Encino, Calif. 91436. Phone: (213) 788-0271.
Overseas:
Gianni Ratto
Comunicazione e Promozione Internazionale
Via Filippo Turati 40, 20121 Milano, Italy
Phone: 02/65 98 274-66 67 56.
Gralla Publications
President: Lawrence Gralla.
Executive Vice President: Milton Gralla.
Vice Presidents: Howard Rauch, Frank A. Rizzo,
Rosalind Schacknow, Peggy I. Sholtz, Marshall D. Siegel, Morton Silverman.
Other Gralla Publications:
Bank Systems & Equipment; Catalog Showroom Business; Contract Direct Reply Cards; Facilities Design & Management; Giftware Business; Health Care Systems; Impressions; Ink, Inc.; Kitchen & Bath Business; Meeting News; Merchandising; Multi-Housing News; National Jeweler; Premium-Incentive Business; Sporting Goods Business; Travel Agents MarketPlace.
CONTRACT ISSN 0010-7832 is published monthly by Gralla Publications, 1515 Broadway, 24th Floor, New York, N.Y. 10036. Phone (212) 869-1300. Subscription rates: one year, $18; two years, $36; for firms and individuals who specify, design or replace contract furnishings. All other U.S. subscriptions $30 per year. All Canadian and Mexican subscriptions $14 per year for qualified subscribers and $30 per year for non-trade. All other foreign subscriptions $50 per year. Single copy $1.50. The publisher assumes no responsibility for opinions expressed by editorial contributors or advertisers. The publisher reserves the right to reject any advertising not in keeping with the publisher standards.
SUBSCRIBER INFORMATION & ADDRESS CHANGES: Write to Circulation Dept., Rm. 930, 1501 Broadway, NY, NY 10036.
POSTMASTER: Send address changes to CONTRACT Circulation Dept., Rm. 930, 1501 Broadway, NY, NY 10036. Second Class postage paid at New York, NY and additional mailing offices.
Circle 5 on reader service card
YOU CONTROL THE COLOR. MOHAWK CONTROLS THE QUALITY.
The Mohawk Custom Axminster System offers you your choice of color and pattern for as little as 250 square yards of carpet.
The Design Inspiration Collection.
Choose from a palette of 150 colors and 14 beautiful patterns. Mohawk will custom make your broadloom carpet for a minimum of 250 square yards.
That gives you the styling control to create a perfect match for any interior, an elegance only magnificently styled Axminsters can deliver.
Available in Ultron Z fourth generation nylon from Monsanto with Scotchgard protection, or Mohawk's prestigious blend of 80% wool-20% nylon.
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Contact your local Mohawk representative today.
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NOTES:
1. FORUM is a modular table system that enhances fuller utilization of conference facilities. It permits conference managers and organizers to tailor a working surface to the specific needs of any size or style meeting.
2. FORUM is available in two base finishes: bright chrome plate & architectural brown epoxy enamel; tops in three styles: (A) white oak rail banded, (B) selfedge, (C) soft plastic bumper in black or architectural brown.
3. Unique latch connectors permit suspension of completer-connector surfaces from larger units. The smaller units are used to make up the custom shapes shown above.
4. Call now (800) 821-3500, or write on your letterhead for more info.
TYPICAL APPLICATION LAYOUTS
- 30 x 30 SQUARE
- 30 x 60 RECTANGULAR
- 30 x 60 x 30 TRAPEZOID
- 60 x 120 ¼ ROUND
- 60 ½ ROUND
- 30 x 30 SQUARE FILLER
- 30 x 30 x 30 TRIANGULAR FILLER
- 30 ¼ ROUND FILLER
ELEVATION
PROJECT NAME: FIXTURES FORUM™
DESIGN: STAFF DESIGN GROUP
SCALE: AS NOTED
CALL NOW FOR INFORMATION: (800) 821-3500
DATE AVAILABLE: OCTOBER, 1982
SHIPPING TIME: 3 WEEKS MAX!
SHIP: K.D.
FIXTURES FURNITURE
1642 Crystal, P.O. Box 6346
Kansas City, Missouri 64126
800/821-3500 • 816/241-4500
Telex: 434218 Fixtures KSC
204 EXCITINGLY NEW STRIPED VERTICAL BLIND IDEAS FROM LOUVERDRAPE®
At LouverDrape® we have long recognized the potential for exciting Stripe Louver Patterns for window coverings made of selective combinations of our 60 Amalfi colors.
We now have systemized a program which allows you to choose from 9 Stripe Louver Patterns and 204 color combinations ordered to your custom width. Ordering is easy, just specify the size and pattern from our catalogue and we do the rest! These designs are available with 102 color combinations as free hanging Amalfi fabric or 102 as Amalfi inserts in our Clear-Edge LouverGroover®. The opaque back of the Groover has two advantages, it gives the blind opacity plus the light colored back reflects as much as 75% of the solar radiation entering the room through the window.
As you can see from these photos, the use of multicolored LouverDrape® Vertical Blinds is an exciting departure from single colored vertical blinds.
Write for our free 32 page full color catalogue of 204 Exciting Stripe Ideas from LouverDrape® It contains additional photos and examples of the 102 color selections.
ALWAYS INSIST ON 100% LouverDrape QUALITY
LOUVERDRAPE® INC., 1100 COLORADO AVE.
DEPT. N6 SANTA MONICA, CALIFORNIA 90401
Circle 7 on reader service card
CEO to CRT, Alma knows what works.
Efficient enough for the general office area. Handsome enough for the executive suite. That's the beauty of the Alma Series 1600...and that's why it works.
To see the complete series of desks, credenzas, conference and accessory tables in a choice of four finishes, visit our showrooms or contact us at the address listed below.
Showrooms:
919 Third Ave., New York; 1140 Merchandise Mart Plaza, Chicago; Southern Furniture Market Center, High Point; Suite 200, Six Piedmont Center, Atlanta; 633 World Trade Center, Dallas; Also in Houston, Kansas City, Seattle, Denver, San Francisco & Los Angeles.
©1982 Alma Desk Company
Dollar volume checks out
Dear Editor: We are pleased to be listed in your "Who's Who in the Northeast" (September 1982); however, we note our dollar volume was incorrectly categorized. Our volume exceeds $1 million.
SAMUEL J. SCOTT
President
Scott Office Interiors
Providence, RI
Wright Office Furniture Inc. was incorrectly listed. Also, our firm does more than $1 million in business per year.
PETER J. VOS
President
Wright Office Furniture Inc.
Pittsburgh, PA
Both firms exceed $1 million in volume with furniture business included; however, they are correctly categorized for design services rendered.
United Virginia Bank boasts in-house design
Dear Editor: United Virginia Bank is listed in "Who's Who in the Northeast" (p. 153, September 1982) as being a current project of Interscapes Inc. This is not the case. Interscapes did space planning for a tenant (Mays, Valentine, Inc.) in the United Virginia Bank Building.
United Virginia Bank has for the past 15 years had an in-house staff of architects, space planners, and interior designers who plan and design all facilities, including the new headquarters, a 450,000-sq.-ft. project.
LUCY B. TURLINGTON, ASID
Assistant Vice President
Planning & Design
United Virginia Bank
Richmond, VA
Precision Data Table described
Dear Editor: We are pleased to find our System 9 included in CONTRACT's computer support furniture feature (p. 209, September, 1982). However, we call attention to an incorrect photograph that ran with the System 9 caption. Our System 9 Data Table was described, but not pictured.
Your cooperation and interest is appreciated.
HARRY J. LAZARE
Vice President
Sales Administration
Precision Mfg. Inc.
Montreal, Quebec, Canada
Valuable data in 'Who's Who' Northeast
Dear Editor: Many thanks for your invitation to participate in Who's Who In CONTRACT: Northeast, which was featured in the September issue.
I wish to express my gratitude for CONTRACT Magazine which I find to be very helpful in my research and resource planning business. I look forward to future issues and offer my compliments on the magazine's contents.
A. VAN HOLLANDER
President
A. Van Hollander & Assoc.
Interior Design Consultants
Philadelphia, PA
Correction
The business affiliation of Harvey R. Montague, AIA, Harvey R. Montague Architecture/Urban Design, Boston, was inaccurate in "Who's Who in the Northeast" (CONTRACT, September 1982). He is not employed by JPK Designs Inc. but maintains his own offices in the same building.
Honduras Mahogany, Black American Walnut, and White Oak, lacquer finished to a fine furniture standard. Our accessory background shows in the solid brass inlays, interior metal finishing and fabric covered tackboards.
Business Accessories Inc
Accessories/Visual Aids/Tables
Cambridge (519) 622-2222 • Buffalo (416) 453-0136 • Chicago (312) 661-1799 • Toronto (416) 364-4340
Circle 9 on reader service card
Clockwise from far left: Interlock Stack Chair,™ Snoogress Tables,™ Interlock Stack Chair,™ CRT™ Arm Stool, CRT™ Arm Swivel.
Furniture for the Electronic Office
Thonet Has It
Swivel Seating
Side, Arm, Stack and Conference Chairs
Lounge, Tandem and Modular Furniture
Multipurpose and Conference Tables
Designs for a Quality Worklife
Fast delivery of selected styles is available on Thonet's five day Fastrak™ program.
Write or call:
Thonet
Dept. PM
P.O. Box 1587
York, PA 17405
(717) 845-6666
Head Offices
Reff Incorporated
1000 Arrow Rd
Weston (Toronto) Ontario
Canada M9M 2Y7
Phone 416/741 5453
Telex 065 27300
Reff Corporation
3210 Eastside St
Houston Texas
USA 77098
Phone 713/522 7820
Showrooms
Toronto 416/741 5453
Toronto 416/361 0808
Calgary 403/262 5453
Montreal 514/845 1106
Chicago 312/467 0037
Dallas 214/749 7851
Houston 713/522 7820
New York 914/738 6281
Representatives
Ottawa 613/235 7177
Vancouver 604/731 7517
Winnipeg 204/956 2230
Representatives
Baltimore 301/276 4755
Boston 617/568 1789
Denver 303/978 9823
Detroit 313/885 6202
Los Angeles 213/738 7804
Phoenix 602/264 2234
Los Angeles—Dual groundbreaking ceremonies recently conducted by Mayor Tom Bradley and Gen. James Doolittle, pioneer aviator, marked the beginning of a $700 million improvement program planned by this city's international airport. Construction of a new 964,000-sq.-ft. international terminal and a 360,000-sq.-ft. domestic airline facility are now under way.
Scheduled to open in spring of 1984, the development also includes a second level for the terminal roadway loop, which is presently 30 percent complete. Other efforts include expansion and remodel of existing terminal facilities as well as construction of additional parking structures.
**Project delayed for 10 years**
Original plans called for inception of the program as early as 1972. However, federal, state, and local environmental impact studies postponed the project for a decade.
With international passenger traffic expected to reach the 40 million mark by the late 1980s, development of a new international terminal has been given high priority. Designed by Periera, Dworsky, Sinclair, and Williams, the new $123 million facility is being constructed by Tuto-Saliba-Perini. It will be located at the west end of the central terminal complex and includes a 749,000-sq.-ft. main lobby and a 214,000-sq.-ft. boarding concourse.
Comprising 66 percent of existing Los Angeles airport facilities, it will serve approximately seven million passengers annually.
**New roadways will aid traffic flow**
Terminal One, the new domestic airline terminal, will feature a 500-ft. concourse with more than 10,000 sq. ft. of skylights. These will provide natural light throughout the facility's length. Project architects are Welton Becket Assoc., in conjunction with Margo Hebald-Heymann, AIA, & Assoc.
To provide improved ground access to the airport's central terminal area, architects DeLeuw, Cather and Co., along with the Ralph M. Parsons Co., are constructing a second level for World Way, the road loop that circles the terminal complex. The $60 million project will increase roadway capacity from 4,000 to 6,300 vehicles per hour and double curb space in front of airline terminals.
This level will also be capable of handling future installation of a people-mover system connecting the central terminal with the perimeter parking lot.
Remodeling projects focus on existing passenger terminal facilities. Plans include the addition of ticketing services on the second level and baggage handling operations on the lower level.
In addition, United, American, and Western Airlines plan to expand their existing terminals to accommodate additional ticketing, boarding, and baggage handling stations.
---
**Construction, site clearing under way for Design Center South building**
San Diego—Fast-track construction schedules for the Design Center South—a new interior design resource building slated for location in the Orange/San Diego County region—are being met as site clearing and razing continues. Upon completion in 1983, Design Center South will house 170,000 sq. ft. of leaseable showroom space. Adjacent land can accommodate an additional 250,000 sq. ft. of showrooms as required.
Project developer is Birtcher Pacific, noted area real estate specialists. According to the firm's vice president, Brandon Birtcher, commercial and residential showroom space will be available for leasing in the near future.
Calcutta. Art...or furniture.
From a position of design and craftsmanship, Calcutta is pure art. From a position of utility and value—practical furniture. All Brown Jordan furniture groups start with design, beautiful design to satisfy high esthetic values. Then all-welded construction, meticulous hand crafting, and our exclusive UltraFuse finish make it practical furniture. Beautiful enough for the finest residence...rugged enough for the most popular restaurant.
For a free 72-page full-color catalog, write on your letterhead to Brown Jordan, Dept. DZ672, P.O. BOX 5688, El Monte, California 91734.
Showrooms: New York City • Chicago • Los Angeles • San Francisco • Dallas • Miami • Washington D.C. • Atlanta • Seattle • High Point
HI-TECH VINYL TILES
Designed by RUBANO/MIRVISS Associates
From the GMT/International Collection
SMALL SQUARE LARGE SQUARE RECTANGLE CIRCLE
Four sensible vinyl tile patterns in four contemporary colorations. Designed for commercial and residential use. All sizes to 36". Special colors available. Write for FREE COLOR Brochure or send $10 for Sample Chip Portfolio.
GMT/Go-Met-Tile Associates, Inc./The Design Source
Corporate Offices: 1255 Oak Point Avenue, Bronx, New York 10474 (212) 991-8500
Showrooms: D&D Building, 979 Third Ave., New York • ADAC, 351 Peachtree Hills Ave., N.E. Atlanta • 12100 Nebel St., Rockville, Maryland • London, England
With carpet of DuPont Antron®, the design possibilities are practically endless... and endlessly practical.
Whether you're creating an elaborate design in modular tiles as in this renovation of the Albuquerque Convention Center... or a simple statement with solid color in broadloom... you have so much more flexibility with commercial carpet of DuPont Antron® nylon. That's because DuPont Antron® is available in more colors, more styles and more textures than any other commercial carpet fiber.
And Antron® offers the assurance of outstanding performance, proven over the years in a wide variety of installations. Through special fiber engineering, Antron® provides superior soil resistance and pile height retention so carpet of DuPont Antron® retains its original beauty for years with less frequent maintenance.
It's no wonder Antron® is specified more than any other carpet fiber.
Specify carpet of DuPont Antron® for the look you want to capture, and the look you want to keep.
Carpet designed by
Richard G. Worthen, ASID
*DuPont registered trademark.
DuPont makes fibers, not carpets.
DU PONT ANTRON®
COMMERCIAL CARPET FIBERS
ENGINEERED FOR PERFORMANCE.
Minnesota Design Center planned to house 400,000 sq. ft. of showroom space
Minneapolis—Plans for the construction of Marketplace Square, a major regional market center for commercial and residential furnishings to be located here, were announced by developers Harmon Court and Omni Venture Ltd.
Upon completion in late 1984, the center will offer more than 400,000 sq. ft. of finished rental space and will house more than 200 showrooms. Says Kathryn Koutsky, owner, Harmon Court, "Not only will the design center serve as an important regional product showplace, it will also be a forum for educational and professional activity. Exhibitions, seminars, and symposia will comprise a continuing education program for suppliers, students, and specifiers."
Included in design center space plans are a permanent furniture mart, temporary showrooms, and office space for designers and architects. These spaces will be located in four converted historic factory buildings.
Sited near the city's central business district, the center is easily accessible to travelers. More than two-and-one-half city blocks of parking space are located on the site.
Presently, plans break down usage for each of the four buildings as follows: building four, the largest structure, will be occupied by tenants whose showrooms will operate only during markets. Building one, the second largest structure, will be occupied solely by permanent tenants and will be open to the trade five days a week. Building three will provide office space for design center tenants. Building two will house carpet, tile, building materials, and contract furniture showrooms as well as specifiers' offices.
Rendering (above) shows atrium of Marketplace Square, Minneapolis' planned design center, as it will look upon completion in 1984. Center will house more than 400,000 sq. ft. of showrooms.
designed for laughter®
by Michael Saphier
FOR CONTRACT MAGAZINE
"This is the second renovation—but this time we're restoring it to the way it was originally."
Functional Affordable
The A.P.S. System
Oak or Walnut Finishes
Factory or Field Powered
Dedicated Circuitry
Task Ambient Lighting
Concealed Slotted Standards
Metal to Metal Connections
Class 1 Fire Rated
Wood Laminated Metal Bases
Snap-on Top Caps & Base Covers
Hanging and Mobile Pedestals
Wardrobe Storage Units
Lateral Files & Bookcases
Word Processing Furniture
Mobile Carts & Stands
Free Standing Work Stations
Matching System Seating
Showrooms Nationwide
Planning & Layout Services
Installation Services
Freight Free Delivery
Quick Ship Plan
Toll Free Order Entry
Executive Office Concepts
1705 Anderson Ave.
Compton, Calif. 90220
800-421-5927
In Calif. 213-979-2643
The EOC System-A Progressive Environment
RIP
WIDTH LOVE FROM ITALY
LINOAMBIENTE
114 Inches Wide-
100 Percent Pure Linen
The Natural Way to Cover Any Wall
See these unique fabrics for the first time in America exclusively at Stretch-Tex®, the leader in wall covering installations.
Consider these advantages:
• 114 inches wide
• Seamless walls...because the fabric is 66 yards long.
• Meets all flameproof requirements
• Vibrant new color ranges.
• No pre-preparation needed to cover any wall surface.
• Unsurpassed speed of coverage for big dollar savings.
• Fresh, brilliant colors for years, with only annual vacuuming
• Stainproof.
• Thermal control for energy cost savings.
• Superior acoustical control.
For further information, write or call:
Stretch-Tex®
A DIVISION OF GENERAL DRAPERY
635 West 23rd Street
New York, N.Y. 10011
(212) 924-7200
STRETCH-TEX®
From fabric to finish – the leader in wall covering installations.
Acoustical wall and ceiling systems for designed space
Decoustics engineered acoustical components are installed in fine buildings across the continent.
The design concept is yours. Our products and services will bring it to reality.
Tell us what you're planning. Let us show you photographs of what we've done for other architects and designers.
decoustics
from concept to reality
65 Disco Road
Rexdale, Ontario
Canada M9W 1M2
416-675-3983
15 Webster Street
North Tonawanda
New York 14120
716-692-6332
Our architectural binder is available on request
MORE WAYS TO MEET END USERS NEEDS
There’s more to GF than meets the eye.
The GF Dealer is in a strong and unique position. Because the depth and breadth and logic of the full GF line surpasses all others thus allowing him to offer the variety an end user looks for and a designer expects.
More than a dozen lines of seating, six desk lines, six filing and storage product lines and a variety of tables. And that’s not to mention GF O.P.S. (Open Plan System), the system with installation simplicity, maximum flexibility, special electronic components and a list of furnishings to satisfy any need. Today or tomorrow.
The GF Open Plan System keeps growing with subtle changes to make it even better than it already is. With new panel fabrics to meet designer needs. And a new O.P.S. desk with work surface adjustable in height and a sleek design to blend with the system.
The GF Dealer doesn’t have to carry several lines to fill the needs of end users or specifiers today or tomorrow. The GF Dealer has it all now.
For more information on GF full line products talk to a representative or contact:
GF Business Equipment
East Dennick Avenue
Youngstown, Ohio 44501.
216/746-7271
GF Business Equipment
150 contract specifiers attend carpet seminar
New York—More than 150 architects, designers, and commercial specifiers turned out for a recent contract carpet seminar at the Helmsley Palace Hotel. Co-sponsored by Allied Fibers and Contract Distributors Corp. (CDC), the event—titled “Anso Fource”—drew industry leaders that included (from l. to r.) Martin Stenzler, vice president, CDC; Charles Burns, president, Pioneer Carpets; and Harold Jupiter, HRH Construction.
Dates announced for first National Accessories Show
San Francisco—A show specifically targeted to both commercial and residential manufacturers of decorative accessories will be launched early 1983. To be called the First National Decorative Accessories Show, this first-time event is scheduled for March 6-8, and will be held at the Moscone Center in this city.
Sponsored by National Fairs Inc.—organizers of the International and New York Gourmet Products Show as well as the International Gourmet Food & Wine Show—the event will feature displays by manufacturers and distributors of products that include lamps, mirrors, fine art, antiques, and area rugs.
Says National Fairs president Leonard Rogers, “We believe that the rapid expansion of this important product category will support a major trade exhibition strictly for buyers, producers, and suppliers of these items without the distractions of other merchandise categories.”
The National Decorative Accessories Show will be open to the trade throughout the three-day period. Seminars and workshops addressing the professional interest of attendees are presently being planned. For registration and exhibition information contact Jacques Marchand, National Fairs Inc., 45 Franklin St., Suite 301, San Francisco, CA 94102; 415/558-8011.
Educational programs for facility managers offered in ’83
Ann Arbor, Mich.—Eight educational seminars designed for the facility management professional will be sponsored by the Facility Management Institute (FMI) in 1983.
Among courses offered are “Managing Today’s Workplace,” “Building the Facility Management Team,” “Office Automation: The Facility Management Perspective,” and “Facility Management for High-Tech Manufacturing Environments.”
Other topics are “Computer Aids to Facility Management,” “Designing Organizational Environments,” “Facility Management for Hospitals,” and “Long Range Facility Planning.”
Course fees range from $500 to $600; attendees planning to apply for more than one seminar may be eligible for discounts.
A division of Herman Miller Research Corp., the FMI schedules all but two courses at its headquarters here. Remaining sessions will be held at the University of Miami. Contact FMI, 3971 S. Research Park Dr., Ann Arbor, MI 48104.
Howe sponsors NYC Double Dutch team as part of community relations program
New York—Pat Howe, chairman, Howe Furniture, celebrates with winners of the World Invitational Double Dutch Skip Rope Championship held here recently. Sponsored by Howe as part of a community relations program, the team set two-minute record speeds with 351 double jumps and 347 single jumps. Team members are (from l. to r.) Teresa Crisp, Lisa Monroe, Kenyette Saunders, and Zenobia White. All are eighth graders in New York Schools.
Why you should specify carpet with SYLGARD™ Antimicrobial Treatment for contract interiors.
The SYLGARD Antimicrobial Treatment from DOW CORNING® is permanently bonded to carpet fibers.
The SYLGARD Treatment never stops fighting odor-causing bacteria, mildew and fungi.
The SYLGARD Treatment is not water diffusible. It withstands repeated cleaning including steam extraction and vacuuming.
The SYLGARD Treatment helps keep the beautiful new carpet you specify beautiful for life by resisting the deteriorating effects of bacteria, mildew and fungi.
The SYLGARD Treatment. Ask your carpet supplier. Or write: Dow Corning Corporation, Dept. B-2019, P.O. Box 1767, Midland, MI 48640.
SYLGARD™
Keeps it fresh.
©Dow Corning Corporation 1982 SYLGARD™ is a trademark of Dow Corning Corporation. DOW CORNING® is a registered trademark of Dow Corning Corporation
the Walls
An ancient technology of weaving space—originally for defense and security enclosure. The walls of the Future may exhibit exploded corners, reflections to infinity and gentle intimations of Outer Space. The walls of the Present realize interior spaces on Earth. They are the boundaries that define the spaces and the critical distances that People require to live and work.
Grand arenas as well as close familiar spaces encompass that diversity of human needs and the variety of personal ideals for interior spaces. These critical distances compose the delicate balance of social, environmental and technological evolution.
Our walls and panel systems provide that diversity of form. We recognize the need for open offices but also know that other degrees of privacy are required.
Hauserman represents a seventy-year evolution of products and services responding to human needs, expressing enduring values and supporting technological innovation. The enclosed fortifications of the Past are the open explorations of the Future.
Spaces for People through Technology
The E.F. Hauserman Company
5711 Grant Avenue, Cleveland, Ohio 44105
800 321-8698
beWalls
HAUSERMAN
Small housing units increase control in prison environments
Houston—Small, clustered prisoner housing units within campus-style environments have proved successful both in maintaining prisoner control and in enhancing prisoner-warden relationships, according to conferees at a recent AIA convention here.
The group—comprised of architects, prison wardens, attorneys, and government officials—addressed the topic "The Unconstitutional Jail." Four prototypes designed around the clustered or "reduced barrier" motif were evaluated on the basis of effectiveness in maintaining control and typifying a humane approach to incarceration. Consensus was that clustered planning constitutes a successful approach to prison architecture.
Other topics addressed by the group included the need for documentation of architectural specifications that adhere to American Correctional Assn. or local government standards. According to Lyn Lund, Salt Lake City, Utah attorney and conference panelist, these steps are necessary to prevent jurisdictions from blaming the architect if prisoner control can not be maintained. Says Lund, "If there's trouble within the prison which can be blamed on the architecture, it will be."
In addition, conferees discussed new standards and recommendations for correctional facilities architecture. These include adequate exercise facilities; contact visitation areas; libraries, including those for law; and religious facilities.
These planning techniques are geared toward creating more effective environmental conditions in prisons across the United States.
DuPont sponsors carpet contest
- Commercial interior design installations incorporating carpet of DuPont "Antron" nylon are eligible for entry in the company's first competition. For further information: DuPont Company, 350 5th Ave., New York, NY 10118. **Deadline: April 1, 1983.**
- The James Lees Award will be presented to an outstanding, innovative interior using Lees carpet systems. Commercial interiors may be submitted. For information: Commercial Carpet Group, Lees Carpets, Valley Forge Corporate Center, King of Prussia, PA 19406. **Deadline: March 1, 1983.**
- Design competition for the relighting of General Electric's Nela Park Lighting Institute is open to students studying lighting design. For information: Daniel Hayes, General Electric Company, Nela Park # 4635, Cleveland, OH 44112. **Deadline: December 31, 1982.**
- A national competition for design research projects is now being sponsored by the National Endowment for the Arts. Contexts for research include cities, urban places and communities, buildings and interiors, open spaces and landscapes, industrially produced products, graphics, furniture, and design for children, the elderly, or the handicapped. Send submissions to National Endowment for the Arts Design Research Recognition Program, c/o BOSTI, 1479 Hertel Ave., Buffalo, N.Y. 14216. **Deadline: February 21, 1983.**
Lees reveals the truth about static-free carpet
Static-free, static-resistant, static-protected are relative terms. What counts is a carpet's actual performance in computer rooms and the electronic office.
**Warranted.** Dataguard® carpets and modular systems are guaranteed against static-related disruption of electronic equipment. Dataguard represents the state-of-the-art in static protection, and Lees guarantees performance.
**Static shield.** Conductive elements in face fiber and backing establish an effective shield against static build-up. Dataguard carpets not only retard generation of static electricity, they bleed off any existing charge. Dissipation occurs within seconds.
**Permanent.** Dataguard's static protection is permanent and is guaranteed for the life of the carpet.
**Reduces operating expense.** With the Dataguard system in place, building owners and operators are less dependent on humidification. Energy costs are significantly reduced. Chemical spraying and plastic mats are no longer needed.
**Appearance.** Anso® IV nylon pile yarns by Allied resist dirt and stains. Spills bead up on the surface. Spot cleaning is quick, simple, and effective.
**Modular systems.** Lees provides a clean pressure sensitive adhesive that holds tiles in place and prevents shifting even under wheeled traffic and at pivot points. Tiles lift free for easy access to under-the-floor power.
**Call toll-free.** For test data, specification information, call 800/523-5647. From within Pennsylvania, call collect 215/666-9426. Or write for illustrated brochure.
**Lees. The Contract Carpet Company.** Live the life of Lees at work and at home.
LEES carpets
A division of Burlington Industries, Inc.
King of Prussia, PA 19406
For additional information on the Sequent Seating System and your area representative contact:
Hayes
1036 47th Avenue
Oakland, California 94601
415 534-4511
Bigelow: Your partner in design.
Bigelow commercial carpet. Hundreds of in-stock colors. An infinity of custom colors. Countless superb patterns. Splendid textures. All with coordinated companion solids. Design flexibility. Our 150 years of manufacturing expertise combine with your creativity from concept through finished installation. Bigelow commercial carpet: your partner in design. Call us today at 1-803-299-2000.
Shown here, a Bigelow commercial plush of DuPont Antron® III nylon in a custom color, Buxton Gray, specified for Lord & Taylor, Cutler Ridge Mall, Miami, Florida by The Pavlik Design Team.
Bigelow Commercial Carpet
P.O. Box 3089, Greenville, SC 29602
DU PONT ANTRON III
A Revolution in seating design. A Revelation in seating comfort. Vecta Contract's Wilkhahn FS Seating. A whole new standard for office seating. Unlike anything you've known. Springs and fulcrums linked together with seats and backrests in a way never before accomplished.
The result? Seating that senses, conforms and adjusts to your every body movement—instantly. You won't believe it until you try it.
Proof? Yours for the sitting. From the whole new world of seating at Vecta Contract.
Wilkhahn FS designed by Franck and Sauer. Exclusive U. S. production rights licensed to Vecta Contract by Wilkhahn® GmbH. United States and Canadian patents applied for.
© Copyright 1982, Steelcase Inc.
Waldorf restoration gala benefits Met
New York—A gala benefitting the Metropolitan Museum of Art was held recently at the Waldorf-Astoria hotel here. The event was sponsored to celebrate the Art Deco restoration of the hotel's Park Avenue lobby and the opening of its new Cocktail Terrace. Lobby areas are graced by 13 Louis Rigal murals as well as many period furnishings which add to the hotel's Art Deco ambience, architectural detail, and authenticity.
NOPA awards $74,000 in '82 scholarships
Alexandria, Va.—The National Office Products Assn. (NOPA) awarded a record number of $2,000 scholarships this year to students throughout the U.S. A total of 37 awards were presented by NOPA chairman of the board Jim Dailey for a sum of $74,000 in aid to applicants.
Recipients were selected by a judges panel consisting of Dailey, who is president of Dailey's Office Furniture, Little Rock, Ark.; NOPA's past vice president, Jack P. Schulman, northern division sales manager, Wilson Jones Co., Chicago; and NOPA's past vice president and chairman, manufacturers div., Robert D. Kennedy, who is also president of Superior Chaircraft Corp., Belton, Tex.
Selection of recipients is based on financial need, predicted success in advanced education, and potential contribution to the office products industry.
The NOPA Scholarship Fund is supported solely by tax-deductible contributions from members.
7900 IS A NEW FIVE LEG BASE DESIGNED BY EARL KOEPKE FOR EST. IT IS MADE IN TWO SIZES, 24" SPAN OR 21" SPAN. IT'S CONSTRUCTION IS DIE CAST ALUMINUM UNDER-STRUCTURE WITH INJECTION MOLDED ABS PLASTIC CAPS. THE CAPS ARE AVAILABLE IN A NUMBER OF STANDARD COLORS OR CHROME PLATED. FOR MORE INFORMATION CONTACT EST.
EST COMPANY, INC. BOX 25B, GRAFTON, WISCONSIN 53024, (414) 377-3270. A DIVISION OF LEGGETT AND PLATT, INC.
For added open-plan accessory options
New Horizons 3000 panel-hung accessory system additions offer you design flexibility. Load bars which fit most open plan panel widths. Tackable-front Correspondence Pockets™. Convenient support shelves for McDonald organizers and other accessories. V-tray starter and add-on units for easy, fingertip filing. And vertical 90-day calendars. Plus our original Pocket and combination calendar/memo holder unit.
For more information on the New Horizons 3000 additions, call toll free 1-800-828-7788. New York State residents call 1-800-462-7984. Or write. McDonald Products Corp., 2685 Walden Avenue, Buffalo, New York 14225.
McDonald Products
The standard by which others are judged.
© 1982 Interface
USE OUR IMAGINATION.
WE’LL CHALLENGE YOURS.
The functional space. Simple, subtle, warm. A working environment designed to inspire the creative mind without distraction. From groundwork to task completion.
Let the Interface carpet tile system be your design inspiration. Interface is a unique medium of imaginative expression. A carpet system which moves easily and adapts to change. A creatively functional alternative which will last and perform and promote your reputation for years to come.
With Interface the custom look is standard, and ready for delivery right now.
For more information, write:
Interface Flooring Systems, Inc.
P.O. Box 1503, LaGrange, GA 30241
(404) 882-1891.
INTERFACE
Tropitone is seen in the nicest places...
MGM Grand Las Vegas, NV • Camelback Inn Scottsdale, AZ • Intercontinental Hotel Maui, HI • Mountain Shadows Scottsdale, AZ • Grand Teton Lodge Jackson, WY • Banff Hotel Alberta, Canada • Disneyland Hotel Anaheim, CA • Hotel Del Coronada Coronado, CA • Dunes Hotel & Country Club Las Vegas, NV • Quail Lodge Carmel, CA • The Olympic Country Club, Lakeside San Francisco, CA • Century Plaza Hotel Los Angeles, CA Harrahs Reno, NV • Marriott Inn Newport Beach, CA • MGM Grand Hotel Reno, NV • Newporter Inn Newport Beach, CA • Biltmore Hotel Phoenix, AZ • Kapaula Bay Hotel Maui, HI • Silverado Country Club Napa, CA Waikiki Sheraton Honolulu, HI • Bel Air Hotel Beverly Hills, CA • Shangri-la Hotel Singapore • Kings Island Inn Kings Mill, OH • Alice Springs Casino Alice Springs, Australia • Exmoor Country Club Highland Park, IL • Shaker Heights Country Club Cleveland, OH • Breckenridge Inn St. Louis, MO • Tan-Tar-A Resort Osage Beach, MO Crown Center Hotel Kansas City, MO • Marriott Lincolnshire Lincolnshire, IL • Radisson Hotel La Crosse, WI Walt Disney World Lake Buena Vista, FL • Hyatt Regency New Orleans, LA • Sea World of Florida, Inc. Orlando, FL • Busch Gardens Tampa, FL • Caribbean Gulf Hotel Clearwater Beach, FL • The Breakers Palm Beach, FL • Sea Pines Plantation Hilton Head Island, SC • Hyatt Regency Atlanta, GA • Fairmont Hotel New Orleans, LA • New Orleans Country Club New Orleans, LA • Hershey Motor Lodge Hershey, PA • Piping Rock Club Locust Valley, NY • Montauk Yacht Club & Inn Montauk, NY • Mt. Snow Snowlake Lodge Dover, VT Sheraton Tara Braintree, MA • Rye Town Hilton Rye, NY • Del Webb’s Casino Atlantic City, NJ • Rolling Rock Club Ligonier, PA • Harrah’s Atlantic City, NJ • Buccaneer Beach Hotel St. Croix • Divi Divi Beach Hotel Aruba Meridien Hotel Martinique • Mullet Bay Beach Hotel St. Maarten • Caneel Bay Plantation St. John • Little Dix Bay Virgin Gorda • Paradise Grand Hotel Paradise Island, Bahamas • Frenchman’s Reef St. Thomas • Dorado Beach Hotel Dorado, P.R. • Singapore Hilton Singapore • Khartoum Hilton Khartoum, Sudan • Fijian Hotel Fiji Tahiti • Hotel Okura Tokyo, Japan • Elbow Beach Hotel Paget, Bermuda • Bonaventure Hotel Montreal, Quebec Ramada Hotel Dhahran, Saudi Arabia • Kuwait Hyatt Regency Kuwait • Aphrenieum Intercontinental Athens, Greece • Cerromar Beach Hotel Dorado, P.R. • Pink Beach Club Bermuda
Tropitone Furniture Co., Sarasota, FL/Irvine, CA
SHOWROOMS: ATLANTA CHICAGO DALLAS DENVER HIGH POINT HOUSTON IRVINE LOS ANGELES MIAMI NEW YORK PHILADELPHIA PHOENIX SAN FRANCISCO SARASOTA SEATTLE MELBOURNE SINGAPORE
Software™
The new open plan system for the electronic office.
Panel Concepts brings new Software™ to the electronic office with designs that are gentle to the eye, pleasing to the touch, functional to the task.
Comfortable work surfaces, convenient vertical storage and steel drawer units, and a matching printer stand make the system complete. Organized for maximum productivity.
The new Software™ system combines the look of gently rounded wood with step-down work surfaces designed to put the keyboard at the fingertips, the terminal at see level.
Muted colors and soft textured panels interact with state-of-the-art electronics. Now power and communications are within easy reach with Panel Concepts IMPAC Midline raceway.
The Software™ system from Panel Concepts. It brings function and comfort to the automated office.
For a free color brochure on our complete product line, call or write Panel Concepts, Inc., P.O. Box C-11953, Santa Ana, CA 92711, (714) 979-3680. In California, call (800) 422-2101. Outside California, call (800) 854-6919.
Competitions: $3,000 offered to abstract painter
Abstract painters lacking affiliations with New York City commercial galleries are eligible to win $3,000 from Judith Selkowitz Fine Arts Inc. in the gallery's third annual competition. The winning entrant will receive a $2,000 cash award in addition to a $1,000 travel stipend which will subsidize visits to two major cities. Artists may send slides of six works measuring at least 36- by 50-in. along with a self-addressed, stamped envelope to Judith Selkowitz Fine Arts Inc., P.O. Box 5268, New York, NY 10150. The winning entry will be placed in a corporate art collection. Deadline: March 5, 1983.
- ASID and the Lighting Products Div., McGraw-Edison announce the seventh annual Halo/SPI National Lighting Competition. All professional, associate, and student ASID members are eligible to enter the contest. Prizes will be awarded for the most innovative residential or non-residential interior lighting designs that feature Power-Trac or SPI indirect ambient lighting. Contact Halo/SPI Lighting Design Competition, The Hanlon Organization, 401 N. Michigan Ave., Chicago, IL 60611. Winning entries received on or before May 1, 1983 will be awarded a cash bonus of $250. Deadline: June 1, 1983.
Exhibition paves way for U.S. - China manufacturing pacts
New York—November 23-28 are the dates set for the First China Manufacturing, Processing & New Technology Exhibition/Conference to be held in Peking. Developed by Charles Abrams, chairman, China Trade Corporation, in conjunction with the China Council for the Promotion of International Trade (CCPIT), this event will enable U.S. manufacturers to establish partnership agreements, production contracts, and compensation trade pacts with Chinese factories.
Called non-equity partnerships, these pacts offer American firms opportunities to utilize abundant Chinese resources and labor forces to create highly-competitive products. Says Abrams, "Complexities of financing and negotiating joint venture agreements made possible since the passage of the Chinese Joint Venture Law of 1979, have led many Western firms to opt for simple partnership arrangements. Western firms usually provide the technology, raw materials, and capital for new equipment.
In many arrangements, the Western side is responsible for sale and distribution of products outside China, comments Abrams. Domestic sales may be carried out by a Chinese party; stipulations may prohibit the sale of products by the Chinese. Partnership terms dictate that both parties share profits once original investment is recaptured.
Appointments and contacts with Chinese authorities will be arranged in advance by the CCPIT. In addition, visitors will be able to view displays of products currently manufactured by the Chinese.
Tuohy
Sunburst Table Collection
The Sunburst Collection from Tuohy unveils the quiet magnificence of hardwood design. This controlled use of bursting, radial pattern presents a rare opportunity to make a truly distinctive, yet unpretentious, design statement.
Sunburst tables are available in white oak and black walnut. Edges are of matching solid hardwood and carry a full bullnose. Table heights are 15 and 29½ inches, for occasional and conference use. Diameters are continuous through 60 inches.
The Sunburst Collection. An elegant, yet affordable design statement from Tuohy.
Additional information regarding the Sunburst Collection and twenty-two other table opportunities is available through your Tuohy representative, or directly at 1-800-533-1696.
Tuohy Furniture Corporation
Corporate Offices: 42 St.Albans Place, Chatsfield MN 55923
Representation in all major U.S. cities.
The image shows a modern office cubicle with a white desk and chair. The desk has a small vase with dried flowers on it, and there is a cabinet with a drawer and a door. The floor is light-colored, and there is another chair visible in the background.
See how the new Litton Office System makes open planning easy
It's easy to specify
The broad range of available sizes—panel heights from 34" to 84" and panel widths from 12" to 60"—gives you the selection flexibility necessary to handle space planning demands without compromise. Yet, the simplicity of the system means you can have this wide selection without the usual complicated assortment of parts to support it.
It's easy to trust
Steel-sandwich panel construction over a honeycomb core makes other systems seem fragile. And every component is fabricated in a highly-automated facility to make this the system you can trust today and count on to last tomorrow after tomorrow.
It's easy to install
Simple panel assembly fits all configurations...no tools needed. Just hook each panel to its post and insert the electrical raceway. Even better, it comes apart just as simply as it goes up.
It's easy to build a complete system
The Litton Office System is just that—a complete office system ready to grow as your needs grow. Panels. Posts. Power and Communications. Panel-mounted Components. Lighting. Plus a total selection of color-coordinated, free-standing desks, seating, lateral files and accessories.
Prove it to yourself
But don't take our word for it, see for yourself. Call Customer Service, (717) 854-1559 for the name of the authorized dealer nearest you. Or write, Litton Business Furniture/LBF, 640 Whiteford Road, PO Box M26, York, Pennsylvania 17405 for complete literature and specifications.
Fire Away!
IN FLAME RETARDANT DRAPERY, UPHOLSTERY, AND WALLCOVERING THERE IS NO MATCH.
ARCHITEX
ARCHITEX INTERNATIONAL, INC.
625 WEST JACKSON BOULEVARD, CHICAGO, IL 60606
SHOWROOM 1234-A
(800)621-0827 ILLINOIS (312)454-1333
THE ULTIMATE SEATING MACHINE
PRESENTING Spine Design™
Arenson has truly created excellence in "state of the art seating."
The Spine Design™ range of office seating from Arenson International, is more than just a totally comprehensive new chair series. It has been carefully conceived, painstakingly planned and purpose built for the human back, in conjunction with a world renowned orthopedic surgeon.
Spine Design™ is available in Executive, Secretarial, Draftsman and Reception Models.
For more information, write or call:
ARENSON INTERNATIONAL (USA) INC.
919 THIRD AVENUE, NEW YORK, N.Y. 10022 (212) 858-8880
Selected territories available to contract representatives.
Laboratory tests set for open plan panels
East Brunswick, N.J.—A series of certified acoustical laboratory tests will be run on open plan panel systems from more than 20 manufacturers by Product Crafters Inc., an independent consulting firm. Tests include NRC, STC, and Public Building Services (PBS-C.2;IIS) criteria.
Resulting data will be summarized and offered to the contract industry in the spring of 1983. In addition, the research report will contain generic descriptions of all test panel construction, educational information about open plan acoustics, guidelines for interpreting acoustical data, and an explanation of how to apply laboratory data to actual field conditions.
The report should serve as a tool for specifiers interested in comparing various manufacturers' systems. It is aimed at open space planners, architects, acoustical consultants, interior designers, systems manufacturers, and Fortune 1000 end users.
Monsanto hosts ASID nat'l officers' party
San Francisco—A recent cocktail party and dinner, hosted by Monsanto in honor of ASID national officers, national directors, and chapter presidents, featured such VIPs as (from l. to r.) Dick Whaley, FASID, and Martin Elinoff, ASID, ASID national treasurer and national president respectively; and Jim Swink, carpet marketing director, Monsanto. The event took place at St. Francis Yacht Club during ASID's national meeting.
A dramatic new art form. Framed in lucite.
AUSTIN CONTRACT
Custom Wall Decor, Sculpture, and Pedestals
AUSTIN CONTRACT
A DIVISION OF
AUSTIN PRODUCTIONS, INC.
815 GRUNDY AVENUE,
HOLBROOK, NEW YORK 11741
(516) 981-7300
TWX 510 228 7191
NEW YORK: 225 5th Ave. Space 1041
DALLAS: Suite 10067 World Trade Center
HIGH POINT: Southern Furniture Market Center,
Accessory Park South, Space 401-2
A Difference in Philosophy
A Different View
Furniture Consultants, Inc. is a young, dynamic company that takes a different view of what it is to be a furniture dealer. Every facet of our philosophy—from sales training, to our special rapport with manufacturers, to the extra care taken in each installation before, during and long after a project has been completed—makes FCI the fastest-growing dealership in the New York area.
Our philosophy makes us different; it’s a difference that will make life easier for you.
The Difference Early Involvement Can Make
FCI is a valuable resource even before you start thinking about design. We will begin working with you the day you sign your contract or lease.
Knowing beforehand about budgets, products and systems, and manufacturers’ lead times is basic to getting your project off to the right start. And supplying the right information, at the right time, is what FCI is all about.
The Difference on the Inside Shows on the Outside
If you want to know why FCI is different, just look at our staff. For each FCI sales representative you meet, there are three people inside, supporting their efforts. But it’s not only quantity that keeps our operation running smoothly, it’s the special abilities of each individual and the quality of training they receive that makes the difference.
Every person is working individually, and as a team, to make you an FCI client for life.
Move in the fast lane...
with Designer Colors by Colonnade
Baroque II from Colonnade Carpets: a superior new Antron® III broadloom that breaks from the pack of durable carpets with a special blend of wearability and fashion. Baroque II offers the architect-specifier a choice of 17 designer colorations...in textured loop, tip sheared construction created to withstand heavy traffic abuse.
Baroque II by Colonnade...a move in the fast lane to practicality and style.
Collins & Aikman
COLONNADE CARPETS
210 Madison Avenue, N.Y., N.Y. 10016 (212) 578-1217
The very versatile lamineer chair.
Dining • Reception • Conference • Systems • Everywhere
Westin-Nielsen CORPORATION
3752 North Dunlap Street, St. Paul, MN 55112 (612) 484-3329
'CONSENSUS MANAGERS' SEEK OFFICE AMBIENCE
Joseph R. Viglione
V.P., Sales & Mktg.
Stow/Davis
Grand Rapids—
"Office ambience is increasingly important to today's mid-level professionals, 61 percent of whom are decision-makers who practice management by consensus. Middle managers are more effective when communicating in an upgraded, ambient environment. Environment can make the manager feel better about himself, corporate goals, and the corporation's statement about his worth."
NEED MORE SEMINARS ON STRESS, HUMAN VALUES
David P. Drumheller
ASID
Mgr. Interior Design
N.E. Telephone Co.
New Haven, CT—
"I go to ASID meetings for exposure to things beyond what I already know—a seminar on stress management, for example. That helps in dealings with corporate management. Any tools for dealing with human values are important to good design."
SAVING MONEY IN THE OPEN PLAN OFFICE
Peter Cohen
President
RMM Inc.
Chicago—
"Open or systems planning may be less expensive than conventional offices and may justify the cost of converting a conventional office to open landscape when specific facts are compared. One of the most important factors to consider is the amount of space saved over a projected long-term period. For example, a 10,000-sq.-ft. open plan environment saves 10 percent of total floor area or 1,000 sq. ft. each year. At $20 per sq. ft., this totals a savings of $20,000. In addition, open plan offices are not expensive to rearrange as compared with a conventional office which may be very costly to remodel over a 10 year period."
PRODUCTS ADAPTABLE TO CONTRACT MARKET
Larry C. Brockman
V.P. Sales
Romweber Furniture
Batesville, IN —
"At this time, the contract business is where it's at. We note a change in attitude among end-users. In spite of a poor economy, potential is there to explore contract advantages. Adaptation of residential and other non-commercial furniture lines for use in contract applications is a viable solution to manufacturers' dwindling sales and reduced profits; it would be wise for manufacturers to analyze their own product's adaptability to this growing area."
FIDER NEEDS SUPPORT OF LARGE MANUFACTURERS
Warren Arnett,
FASID
Orlando, FL—
"Funding is always a problem for the Foundation for Interior Design Education Research (FIDER). Some firms, such as Greef and Stroheim & Roman fund a grant every year, yet the fees that we collect barely meet expenses. The one place that giving has not been satisfactory has been with big manufacturers. It's a responsibility that they should not abrogate."
DESIGN BY COMPUTER READILY ACCEPTED
Ed Friedrichs, AIA
V.P.,
Gensler & Assoc.
Los Angeles—
"The computer is more accepted as an interior design tool than ever before. Like electronics, computers are becoming less and less intrusive. Type-
writers correct our spelling for us now and we accept it, just as the age of computerization is upon us."
EMPLOYEE STABILITY LINKED TO ENVIRONMENT
Timothy H. Walker
President
Walker Associates Inc.
Los Angeles—
"For the past 10 years in the United States there has been a completely different style of management. It has to do with management techniques, how people relate to one another, incentive programs, and a very mobile society. People don't stay with one company 30 to 40 years and get a gold watch anymore. They're looking for other things and a lot of it comes down to the kind of space we create, the kind of environment we create, and a very intangible thing which we think has a lot to do with design."
Since its introduction in 1967, GENON® has moved steadily to the forefront of the vinyl wallcovering industry. Much of this progress can be attributed to solid and comprehensive design offerings and superior quality and service.
In the last few years, a heightened market sensitivity to color in all interior design materials and components has placed new demands on GENON® to keep pace with professional requirements.
Traditionally, wallcovering design offerings consist of color swatches shown more or less chromatically with no obvious “palette base” other than the manufacturer’s design thinking.
GENON®: First with a wallcovering color system.
GENON® has taken a new approach to creating a color palette. The starting point was the selection process of the design professional. Interviews with architects and interior designers established decorative laminates as a key, primary design element, due in large measure to their use in manufactured items such as desks, wall systems, etc.
In these same interviews, Lamin-Art® laminates were constantly referred to in terms of color leadership. Our next step was to bring together GENON® and Lamin-Art® design and marketing personnel to create a color framework for the new GENON® designs.
GENON® broadened its color research to include key carpeting, vinyl upholstery and office partition systems color trends. The result is the GENON® COLOR SYSTEM: a color palette offering direct coordination with specific design materials, and graphic symbols to quickly and easily identify this color coordination.
New Items for a New Direction.
Cairn, a linen pattern that creates a handsome textile look on the wall, was the first GENON® item embodying this system. Snipple II; Sandy and Sand Castle and Sand Stipple, an eighty-color palette with three finish choices, was introduced next.
GENON® will soon introduce “The Dot,” a high-tech pattern for the design purist who specifies “vinyl as vinyl.” Here, too, color coordination is a basic ingredient in the package.
In succeeding months, new and existing patterns will be styled in line with our system approach to color. Ultimately, GENON®, as a collection, will offer the most comprehensive combination of pattern diversity and truly useful color coordination.
The GTR Design Center: Not just a pretty place.
GENON® designs and colors are developed in an unequalled Design Center located in Salem, New Hampshire, 40 minutes from Boston. There, we have the people and the equipment to create production-quality samples in a virtually unlimited variety of treatments.
Custom design and color.
When your client's project demands a specifically individualized color or design treatment, the GTR Design Center is the ideal facility and environment; through correspondence or face-to-face with our design staff, you can bring your most imaginative requirements to vivid reality. GENON® has created a wide range of wallcovering designs using corporate/brand logos as the basic design element. Design talent. Photo/silk screen. Textural embossing. It's all at the GTR Design Center.
Quality and service.
GENON® from its inception has been the leader in product quality and uniformity. You can specify GENON® with the assurance that product appearance and performance will be the best available in vinyl wallcovering.
Of course GENON® meets or exceeds all Federal Specifications for vinyl wallcoverings (CCC-W-408A), including Class A flame, fuel and smoke ratings (ASTM-E84).
Constant research in vinyls and substrates has resulted in commercial wallcoverings with high performance characteristics at budget-conscious cost levels. GENON® also offers Tedlar® protection for the ultimate in stain resistance on a stock and/or custom basis.
GENON® attention to your requirements does not end with the specification. Wallcovering is usually selected and ordered at the very end of a project cycle. Completion deadlines and occupancy pressures are a constant for GENON®. We have a network of independent distributors throughout the United States with a small army of wallcovering specialists who will see the job to its completion and beyond. This local attention helps avoid costly and frustrating long-distance communication when time is most pressing.
For More Information on the GENON® COLOR SYSTEM:
Contact your GENON® distributor or write to:
GTR Wallcovering Company
401 Hackensack Avenue
Hackensack, New Jersey 07601
A Reminder: If you plan to be in the Boston area, contact GTR in advance to arrange a tour of our Design Center.
For Performance Certified Contract Carpet with a variety of looks and stamina for wear.
Most carpet fiber producers make only a few different nylon products for contract carpet. Badische makes many. Our Zeftron nylon family alone includes a wide choice of fibers and yarns, engineered to fill the diversified needs of the contract carpet industry.
Among the family are both staple and BCF fibers, stock-dyed, solution-dyed, and yarn-dyed yarns, heat set and non-heat set yarns, and spun yarns for dyeing. The carpet looks obtained with these many Zeftron nylon products are just as varied—heathers, moresques, solid effects in totally contrasting colors, graphics, level loops in plains and stripes, cut piles, cut/loop piles. In virtually any colors you want from the industry’s largest inventory of pre-colored yarns.
You’ll find carpets of all the Zeftron nytons throughout the market, Performance Certified and traffic classified by Badische for suitable contract end uses.
Ask our Contract Carpet Consultants for free carpet samples and other aids to make your specifying easier: Northeast Area, Bob Van Horn, (212) 730-4345 • Southwest Area, William Borges, (214) 352-2324 • Midwest Area, Nancy Holtom, (312) 527-0066 • West Coast Area, Patricia Nasrallah, (213) 636-2101 • Southeast Area, Julienne Hillyer, (404) 223-0650 • Mid-Atlantic Area, Sharon Mohney, (804) 887-6441 • Canada, Badische Canada, Ltd., (613) 725-3685
Badische...The Contract Specialists
Badische Corporation
Williamsburg, VA 23187
Circle 40 on reader service card
Zeftron™ is a trademark owned by Badische Corporation.
New Horizons from AGI
Open your eyes and discover new horizons in design with AGI’s contemporary selection of contract furnishings. Included is the Alto chair grouping that expands the designer’s options with a selection of three arm styles.
New designs now make up sixty percent of AGI’s line. This totally new direction signals AGI’s commitment to the future, emphasizing creative versatility for designers.
Look to the future and discover new horizons in design with AGI.
AGI
P.O. Box 142
High Point, NC 27261
(919) 883-6146
Designers are saying...
"The best new idea in window fashions in years."
softlight shades by del mar
Not a metal blind but a beautiful woven and pleated fabric.
From versatile neutrals to a rainbow of colors...from softly transparent sheers to private opaques, Del Mar Softlight Shades create the crisp, clean look of metal blinds with the warm touch of fabric. So simply elegant they perfectly complement traditional as well as modern interiors...and fill them with soft filtered light. So practical they can reflect up to 87% of the sun's heat and glare...and insulate against winter chill. All these features in a design so compact that Softlights virtually disappear when not in use. A truly revolutionary new innovation in window fashions; Softlight Shades are fast becoming the choice product among leading designers. Ask for them by name.
Circle 42 on reader service card
del mar
softlight shades
The Designers' Choice
Patrick Carpet Mills
...a source for inspiration
Creativity feeds on input. The more extensive the tools of your craft, the more imaginative are your concepts. Through an expanded range of qualities, colors, and patterns, Patrick provides a special ingredient. Inspiration. Then to give your ideas extra long life, Patrick offers Dupont Antron® XL Nylon. In addition to its built-in static protection, it resists soil and wear, maintaining its attractive appearance.
Plug into Patrick. It's enlightening.
Patrick Carpet Mills
2937 Maria Street
Rancho Dominguez, California 90221
Telephone: (800) 421-1846
Wood furniture for computers has custom-styled top detailing
Wood line of computer and word processing support furniture is custom detailed by Universal Building Systems Inc. Series is styled to match the firm's partitions and acoustical panels. Freestanding furnishings permit varied configurations to suit any office or workplace layout. Circle No. 307.
In-room safes increase security in hotel settings
Security problems found in hotel settings can be effectively overcome with Travault in-wall safes. Safes are easily installed in each hotel room allowing guests complete control over the safety of personal valuables. UL-listed Medeco high-security locking cylinder is removable when unlocked. Locks and keys are dispensed from a central desk upon payment of deposit, eliminating need for key coordination. (Restricted non-copyable keying is recommended.) Flush front conceals safe; all mounting screws and hinges are hidden within the safe and are protected by steel faceplate. Manufactured by Technology House, safe can be used in hospitals and offices. Circle No. 389.
VDT Accessory line meets needs of expanding electronic offices
Accessories for Space Station modular data processing workstations are now available through James Systems Div., James Metal Products. Consisting of disk drive modules, baskets, pedestals, form caddies, and other ancillary computersupport furnishings, accessory group adds on to workstations according to user needs. Circle No. 390.
Height adjustment delivers 500 lbs. of lift power
Dual adjustable tables from Structural Concepts have separate, electrically operated height adjustments which deliver 500 lbs. of lift for each work surface. Table is designed to support large CRT terminals, including CADM and graphic design units. Height adjustment is from 25- to 31-in. Circle No. 308.
Graphics displayed on 19-in. tube with 32K-byte memory standard
Aimed at engineering and design areas where complex diagrams and high density interactive graphics are required, the 4054 Graphic Computing System is the third in a series from Tektronix Inc. Unit comes standard with 32K-byte memory expandable to 56K. Special processor allows high performance computing and graphics, as well as data sharing with a host computer at up to 9600 baud. The 4050 series products are completely compatible in language, software, storage, and GPIB peripheral devices. Circle No. 310.
EDP media protected by data safes
Interior fittings which maintain required temperatures of 125- to 150-degrees F. are now offered on five Meilink Safe Co. electronic data storage models. Designed for 8- and 5¼-in. floppy disks, unit includes both single- and double-door storage. Circle No. 391.
Symmetrical, asymmetrical lighting enabled by four-flash generator
Lighting Div., Leedal Inc. introduces Profoto Pro-2 studio flash generators which distribute light both symmetrically and asymmetrically. Each generator can release its flash through one flash head or more; total capacity is four flash heads. Weighing from 18- to 22-lbs., generators are available in 1200-, 1800-, and 2400-watt versions. Circle No. 392.
GIVE YOUR CUSTOMERS A BRAKE
PACER
Twin Wheel Casters with Positive Braking Action
shepherd
203 Kerth Street, St. Joseph, Michigan 49085 In Canada: 37 Esna Park, Markham, Ontario
Other Twin Wheel Casters from the Shepherd Collection
PACER
sets the style, others follow
PILOT
steers the best course everytime
PACER (Urethane)
soft wheels for hard floors
FORMULA II
winning design, going away
INSIGNIA
your company ID up front
PERT
handles the lightweights
LOCALLY STOCKED FURNITURE
Let Virco assist in boosting your sales and profits without tying up valuable working capital.
Many models, including the ones shown here, are available to meet your customers' needs promptly.
Request a color catalog and price list showing all the popular Virco furniture stocked in a warehouse near you.
All models stocked at these 44 warehouses.
| City | Phone Number |
|---------------|----------------|
| Atlanta | (404) 352-3910 |
| Birmingham | (205) 322-3780 |
| Boston | (617) 354-3900 |
| Chicago | (312) 822-0700 |
| Cincinnati | (513) 671-7444 |
| Cleveland | (216) 398-6090 |
| Columbus | (614) 497-2418 |
| Conway | (501) 329-2901 |
| Dallas | (214) 630-5671 |
| Denver | (303) 534-3600 |
| Detroit | (313) 533-5300 |
| East Hartford | (203) 528-4128 |
| Fort Lauderdale| (305) 979-0100 |
| Houston | (713) 682-2921 |
| Indianapolis | (317) 359-9631 |
| Jacksonville | (904) 366-4116 |
| Kansas City | (816) 474-6091 |
| Louisville | (502) 634-0511 |
| Memphis | (901) 795-6422 |
| Miami | (305) 624-1000 |
| Milwaukee | (414) 786-0500 |
| Minneapolis | (612) 379-0660 |
| Nashville | (615) 259-2525 |
| New Jersey/NY| (201) 673-0725 |
| New Orleans | (504) 835-6774 |
| New York | (212) 343-1020 |
| Norfolk | (804) 393-0093 |
| Oakland | (415) 562-9780 |
| Oklahoma City | (405) 943-8455 |
| Orlando | (305) 841-2111 |
| Philadelphia | (215) 525-0465 |
| Phoenix | (602) 254-8885 |
| Pittsburgh | (412) 322-5495 |
| Portland | (503) 620-8634 |
| Richmond | (804) 353-9919 |
| Rockville | (301) 279-2083 |
| Salt Lake City| (801) 486-7217 |
| San Antonio | (512) 884-8450 |
| St. Louis | (314) 261-7110 |
| Seattle | (206) 575-0484 |
| Syracuse | (315) 437-2801 |
| Tampa | (813) 248-5737 |
| Torrance | (313) 532-3570 |
Circle 45 on reader service card
For All The Right Reasons
SERIGRAPHS
LIMITED EDITION SERIGRAPHS
ETCHINGS
POSTERS
PAPER PULP SCULPTURES
MIRRORS
#3160E QUIET BAY I 30 X 36
#3170E QUIET BAY II 30 X 36
#3190E NADINE 36 X 48
#FF104GC FREE FORM 30 X 40
#897CQ DOGWOOD 30 X 40
EXCLUSIVE PUBLISHER OF OVER 400 DESIGNS
CHOICE OF CONTEMPORARY COLORS AVAILABLE FOR MOST SUBJECTS
LARGE INVENTORY — RAPID SHIPMENTS
ARTISTS:
#316, #317 AND #897 — WARREN WOODWARD
#319 — GAIL WONG
#FF104 — J. GENEEN
38 PAGE FULL COLOR CATALOG $7.00
SEATTLE • SAN FRANCISCO • LOS ANGELES • DALLAS • ATLANTA • HIGHPOINT • MINNEAPOLIS • NEW YORK • WASHINGTON, D.C.
Table line complements Snodgrass interlock stack chair
Thonet Industries' conference table, designed by Warren Snodgrass, was created for visual compatibility with the designer's Interlock Stack Chair.
Both the table and matching chair were styled with the executive office area in mind. Sleek oval tubing dictates the shape of the table, allowing it to be applicable for dining and/or conference settings.
Available in oval, round, and rectangular configurations, the conference table has dimensions that range from 42-in. diameter/round to 48- by 132-in./oval tables. Frames are constructed of tubular steel in polished chrome or brass plate. Powder coatings are also available as frame finishes.
Table tops are offered in white oak or mahogany wood veneers, plastic laminate, or polyurethane. **Circle No. 202.**
“O#*!!...”
(HE WOULDN'T SAY THAT IF THE CARPET WAS MARQUESA® LANA)
Marquésa® Lana
WON'T SHOCK
AMOCO FABRICS COMPANY
550 Interstate North Pkwy. Atlanta, GA 30339 404-955-0935
AMOCO FABRICS COMPANY MAKES FIBERS AND YARN, NOT FINISHED CARPET.
Marquesa ® Lana is a registered trademark for olefin yarn produced by Amoco Fabrics Company.
Don’t Cry!
Your surface is... Marquésa® Lana
A Little Soap + A Little Water + A Little Brush = NO ICE CREAM
AMOCO FABRICS COMPANY MAKES FIBERS AND YARN, NOT FINISHED CARPET.
Marquesa® Lana is a registered trademark for olefin yarn produced by Amoco Fabrics Company.
AMOCO FABRICS COMPANY
550 Interstate North Pkwy. Atlanta, GA 30339
PATCHOGUE PLYMOUTH DIVISION
404-955-0935
TAMBOUR
- FLEXIBLE CONSTRUCTION
- PANEL SIZE 4' x 8'
- SLATS RUN IN LENGTH OF PANELS
- BUDGET PRICED
- FABRIC BACKED
AVAILABLE IN:
- PREFINISHED OAK VENEER
- UNFINISHED OAK VENEER
- PREFINISHED WALNUT
- BRIGHT ALUMINUM
- BRUSHED ALUMINUM
- BRASS FINISHED ALUMINUM
- COPPER FINISHED ALUMINUM
- RATTAN
- SUEDE FINISH
artifax
display industries inc.,
910 railroad avenue
woodmere, l.i., n.y. 11598
telephone (516) 295-0195
REQUEST SAMPLES ON YOUR LETTERHEAD
a product of engel industries, inc.
Circle 1 on reader service card
If our imagination isn’t enough for
That’s assuming, of course, you find something lacking in our imagination.
So before you start to doodle, consider the thousands of innovative patterns, textures, and color combinations in our running contract lines that space prevents us from showing you.
Consider, also, that the 5 very different patterns
you, we invite you to use your own.
You see here were all woven on the very same machine: Karastan's patented Kara-loc® loom, a loom that we designed, build, and constantly improve upon. Remember, too, that we have 4 other methods of manufacture.
Next, keep in mind that we use a variety of dyeing techniques and the most advanced fibers, such as soil-binding, static-controlled ANTRON® III nylon.
If you feel you have something you can add to all this, our invitation still holds.
Just send us your specifications, or call Karastan Contract Carpet at (212) 980-3434. It's one way to find out for yourself just how much we really are capable of doing.
Karastan Rug Mills, a Division of Fieldcrest Mills, Inc.
New mobile tiered seating system promotes fast changes
Designed to improve communication processes at meetings, the Tiered Seating System (TSS) from Interkal Inc. provides a 7-in. rise between tiers for unobstructed audience viewing. Unit is composed of five-tier seating or aisle modules allowing for tailoring to specific needs.
Each tier has a 28- by 18- by 28.5-in. hinged work surface of high-pressure, plastic laminate which may be folded down. Seating and aisle modules are constructed for easy mobility. TSS features carpeted floor, hand, and back rail surfaces with sturdy, heavy-gauge, welded steel construction.
Modules collapse to 6-ft lengths (one-quarter of full extension) permitting multiple use of space. When closed, modules are 32-in. wide by 35-in. high. Twelve 6-in. casters allow easy handling. Safety lock keeps tiers closed when moving modules.
TSS stock carpet selections or any commercial carpeting may be used with the system. In addition, rail and modesty panel inserts may be covered in fabric or carpeting. Silk-screened, embossed, or custom finishes can be accommodated. Circle No. 201.
Tiered Seating System shown in sample set-up (opp. page, top). Closed modules (opp. page, bottom) fold down to a compact 6 ft. System is set up by simply pulling out tiers with tool as illustrated (above right). Several modules may be stored together (below) in a small amount of space.
FIRST CLASS
Thomasville Contract offers you the best seats in the house. A broad selection of beautiful chair styles. Specify from the widest range of contemporary, traditional, French and 18th Century. Call today for a free color catalog. Or write Thomasville, Dept. CTC1182, Thomasville, NC 27360.
Call toll-free 1-800-447-4700. (In Illinois, call 1-800-322-4400)
Thomasville® CONTRACT
Fine furniture and more.
BEFORE YOU SPECIFY YOUR NEXT LAMP, CONSIDER THE FOLLOWING
The F-1043 Reading lamp. One of our classics. It's easy to specify a less expensive "knock-off." Here are some reasons for specifying the original.
The Shade
We make the shade on our F-1043 floor lamp out of brass. Heavy gauge brass, with seams skillfully and patiently machined until they're invisible. And then we first grind, polish, then buff the whole shade, by hand, before and after finishing. Inside, a coat of special reflective paint. Outside, either a plating of solid chromium or a coat of crystal-clear lacquer baked to a hard, tarnish-resistant finish.
The Socket
Cardboard & tin? We use bakelite. And the difference depends on how many years you intend to keep the lamp. With a positive lock – no separation when you change bulbs. Convenient switch on the shade. Quality wiring too.
The Swivel
The swivel on the F-1043 is fully enclosed, with nylon seating rings for smooth, noiseless operation. You get a full 360° rotation plus 90° tilt. And it's solid brass. And machined, not cast: no sandholes, no cracks, no ridges, no sag, droop, or flop. SO GOOD WE GUARANTEE THE SWIVEL FOREVER.
The Adjustments
We use 5/8" diameter brass (not 1/2" steel) for the swing arm. And we make them ourselves with a permanent stop – no twisted wires inside. The stem? Brass again, and a full 1 1/8". With an exclusive K+L design that needs no knobs, no screws, no locks. You just move the lamp up or down and it stays there! And the cord won't jam thanks to our system of coiling the wire. Just try adjusting a knock-off more than once.
The Protection
F-1043 has its own custom made carton with dye cut inserts and heavy cardboard folded over the base to provide extra protection. So well packaged we defy even the most sadistic freight handlers.
The Grand Finale
We could go on and on. About the base (a full ten inches and a full nine pounds). About the height adjustment (there's no way you can pull it out of its sleeve).
But we think we've made our point. And the F-1043 is just one of our classic collection. Inspect it at a Koch + Lowy showroom or write under your letterhead for a complete catalog.
Special large-scale lighting requirements? We can do that too, using your designs or ours.
Zeta New from Lehigh-Leopold
Robert De Fuccio design features the strength and resiliency of laminated wood in a superbly crafted seating series.
Selection includes two cantilevered side chairs available with or without arms as well as a classically-styled, sled base side chair with arms.
Available in either rift-cut oak veneer or American Black Walnut veneer.
Comprehensive fabric selection includes entire Litton Textile Collection.
For complete product information and current pricing see your nearest authorized Lehigh-Leopold dealer or call toll free (800) 553-2371.
Coordinate carpet tile/fabric colors via new GeoSystem line
Fabrics designed to coordinate directly with current and upcoming modular carpet color trends are now available from Arc-Com. Called GeoSystem, the collection includes two patterns—"Fire Tandem" and "Fire Tweed"—woven of 75 percent modacrylic/25 percent nylon yarn. Textiles are fire-resistant to suit office and industrial applications for which they are specifically engineered.
Says Peter Layne, vice president, Arc-Com, "We originally conceived the idea for a coordinated carpet tile/fabric program one-and-one-half years ago. After consulting with specifiers, we discovered that designers chose carpet tiles first and fabric later since modular carpet color selection was limited. Our notion was to expand the fabric market and offer colors which give specifiers greater flexibility when working on projects that include carpet tile."
Developed with the aid of major carpet tile manufacturers such as Interface, Milliken, and Collins & Aikman, GeoSystem colors underwent intense market evaluation before they were selected for the program. Sample blankets—or long strike-offs woven of approximately 1,000 warp and filler colors made from 3- by 6-in. sample swatches—were manufactured. These blankets incorporated all fabric colors which correlate with important carpet tile color trends.
The total color range was then sent to designers nationwide for evaluation. "Reactions were extremely positive," comments Layne. Eventually, 50 colors were selected for the final presentation.
Certain colors now included in the 50-color program were not included in the original strike-off. "The new greens and rose tones, for example, were added later as they became prominent during the evaluation period," says Layne. "Within the present range, specifiers will find a minimum of four and a maximum of 25 fabric colors which correlate with one carpet color."
Since the GeoSystem fabric is a spin-off of Arc-Com's "Fire Series" collection—the first fire-resistant textile group to pass New York, Boston, and California fire codes—Arc-Com is now adding GeoSystem colors to the "Fire Series" palette. In addition, Arc-Com plans to increase GeoSystem pattern offerings in the near future.
Circle No. 200.
Adapt New from Lehigh-Leopold
Ernest Greer design blends softly contoured edges with ½ inch reveal to yield a look of contemporary sophistication.
Comprehensive selection includes double and single pedestal desks, executive and secretarial returns, matching credenzas, lateral storage units, conference and occasional tables.
Available in rift-cut oak veneer or American Black Walnut. Oak finishes in shades of dark, medium or light.
For complete product information and current pricing see your nearest authorized Lehigh-Leopold dealer or call toll free (800) 553-2371.
#1
MAN-MADE FIBERS BETTER
IN FLAME RETARDANT DRAPERY STYLES, PATTERNS, COLORS
SEF®
modacrylic fiber by Monsanto
For a list of drapery sources and a fact-filled booklet on SEF®—the leader in inherently FR fiber applications—call or write Ben Layton, Monsanto Textiles Company, 6230 Fairview Road, Suite 400, Charlotte, N.C. 28210. Telephone (704) 554-4032.
"The sparkle of metal brings a new world elegance to contemporary interiors." Valerian S. Rybar, Interior Designer
Valerian Rybar creates a glowing vision of a world of surface contrasts. Shiny, alive, a sparkling statement of yesterday, today and tomorrow. The window blinds are Levolor mirror bright Verticals. Naturally. Their shimmering beauty is right at home in Mr. Rybar's concept. Levolor Verticals come in aluminum in a stunning choice of over 100 colors, metallic finishes, and exclusive prints. Plus designer weave fabrics. For more information write to: Levolor Lorentzen, Inc., 1280 Wall Street West, Lyndhurst, New Jersey 07071.
©1982 Levolor A product of Levolor Lorentzen, Inc.
Flexception, designed for modularity. From a limited number of components, Flex enables you to tailor your work station to your personal needs.
HEAD OFFICE:
Xception Design Ltd.,
2875 Industrial Blvd.,
Laval, Que. Canada H7L 3V8
(514) 668-0710 Telex 05-25456
SHOWROOMS AND/OR REPRESENTATION
Calgary (403) 230-1016 Montreal (514) 667-9320
Toronto (416) 947-0085 Vancouver (604) 689-8771
Atlanta (404) 892-7372 Boston (617) 423-0040
Chicago (312) 644-6290 Dallas (214) 651-1556
Denver (303) 825-5093 Detroit (313) 398-5933
Hartford (203) 521-7094 Los Angeles (213) 277-4491
Miami (305) 576-7044 Minneapolis (612) 339-4707
New York (212) 759-9632 Philadelphia (215) 277-7100
Puerto Rico (809) 782-5042 San Francisco (415) 552-3414
Seattle (206) 322-1070 St. Louis (314) 241-0522
Complete flexibility in Pace/Olivetti open plan system
Ettore Sottsass Jr. and Michele de Lucchi designed the Pace/Olivetti Synthesis "45" and "45 CR" series of open plan desks and storage systems offered by The Pace Collection. Neither series places limits on modular configurations.
The 45 Series is distinguished by its combination of gray laminate with matching steel bases and blue pedestals. Units available within this series range from desks of various sizes to multipurpose storage and filing cabinets.
An open space environment is incorporated in the 45 CR Series. It coordinates smooth, beige laminate work surfaces with brown steel. This group is available with comprehensive storage facilities in matching brown or brick.
Series 45 CR comes with electrical and telephone wiring ducts, allowing complete flexibility in office design.
Desk accessories are specially designed to complement the 45 CR Series. Cabinets with easy access filing units and video display keyboard unit stands are optional components.
Circle No. 312.
Ireland wears more than lovely green
navan
CARPETS
offers "Starlight"—an Axminster in a large range of beautiful contemporary colors—all stocked in the U.S.A. for immediate delivery.
"Starlight" is woven of 80% wool and 20% nylon in Ireland. A superb choice for contract and institutional interiors.
Navan Carpets, Inc., 919 Third Avenue, New York, NY 10022. Telephone (212) 752-9117
Toll Free (800) 223-2044
Los Angeles, 433 South Spring Street • (213) 687-3281
Wall-Pride Fabric.
The most colorful item on the agenda.
If you’re involved with contract interiors, incorporate excitement into your next project. Wall-Pride contract fabrics and wallcoverings provide a complete resource for the Architect, Specifier and Interior Designer. We have colors and textures in stock to complement the image you have in mind.
WALL-PRIDE, INC.
UPHOLSTERY & WALLCOVERING
For sampling and nearest showroom contact Wall-Pride at P.O. Box 7151, Van Nuys, CA 91409, (213)997-2700.
Shown: Wool Brigade and Wool Granite available in 42 color ways.
If there are no limits to design in the mind, there must also be no limits to that which is real—a theory which is constantly proven in Gunlocke chairs, desks, and office systems.
The Gunlocke Company, Wayland, New York 14572
Showrooms in New York, Dallas, Chicago, Los Angeles
The THINSENG control brought low profile styling to posture chairs.
Now The THINSENG CONTROL for swivel/tilt chairs.
Ultra-low profile...only 1½"
Now there are two THINSENG controls to help you create totally coordinated lines—whether a posture control or swivel/tilt. For complete information, contact Hoover Universal, Inc., Furniture Components Division, Georgetown, Kentucky 40324. Phone: (502)863-3910.
HOOVER UNIVERSAL
PEOPLE/NEWS
Eileen Devino (shown) will serve as vice president, marketing for the ceramic tile division of Sphinx Tiles USA Ltd., a newly formed company created by the Dutch firm Sphinx Tiles of Maastricht.
New vice president of Ford & Earl Design Assoc., Warren, Mich., is Thomas G. Ernst (shown).
Appointment of Manfred Steinfeld, chairman, Shelby Williams Inds., as member of the University of Tennessee Development Council was recently announced. Steinfeld also serves on the board of advisors of The University of Tennessee School of Home Economics, Florida International University's Interior Design Department, and as a trustee of Roosevelt University, Chicago.
Larry Topping (shown) has been named vice president of sales for the Northeast region, Bentley Carpet Mills. Topping is based in New York.
GF Business Equipment's new division manager, east coast operations, is Richard S. Strong (shown). He will be based in New York.
Eight promotions were announced by the board of directors, Goleman & Rolie Assoc., Architecture. New titles are Barry Whitehead, principal; Oza Bouchard, Wayne Gregory, Mario Bolullo, and Lucho Gonzalez, senior associates; Chuck Hulstrand, Larry Osborn and Rod Lanham, associates.
Nessen Lamps moved its New York showroom to 200 Lexington Ave., Space 801. Host distributor is Calger Lighting.
San Francisco Bay Area Chapter/AIA elected 1982 officers and appointed steering committee chairmen. Diane F. Bottini assumes chapter presidency; president-elect, vice president, treasurer, and secretary are Jim Ricereto, William B. Hankinson, Jr., Irene M. Willemann, and Jerry Nourse, respectively. New steering committee chairs are assumed by Donna Stevens, membership; Gail Gabriel, workshops; Judith Basolo and Susan Nettleship, luncheons; Darlene Weidert, publicity; Jolie Berrier, mailing; William D'Elia, accommodations.
Martha Tredwell was named project manager for Hendrick Associates Inc., Atlanta design firm. Jim Griffio is a new addition to the company's design staff.
The Color Association of the United States (CAUS) appointed Adrian Butash as executive director. President of his own firm, Adrian Inc., (a marketing/advertising organization), Butash will coordinate meetings and programs for CAUS.
CONWED PRESENTS
THE GREATEST STORY
NEVER TOLD.
In the beginning, Conwed made insulation. □ A unique wood fiber house insulation that set the standard for the industry. □ And laid the groundwork for all the innovative interior products we've created over the past 60 years. □ From the acoustical blanket that lined the cockpit of Lindbergh's Spirit of St. Louis, to patented freestanding acoustical office panels, to the total high performance workplace design. □ They're all a part of what Conwed is today. □ And The Greatest Story Never Told. □
Conwed created Balsam-Wool insulation—the true forerunner of today's housing insulation—considered so revolutionary, it's now on display in the Smithsonian.
Conwed designed the acoustical blanket that lined the cockpit of St. Louis on his historic trans-Atlantic flight.
Conwed manufactured the acoustical insulation that was installed in Hollywood's first "talkie" sound stages.
Conwed introduced its unique Micro-Perf acoustical ceiling tile with national advertising on the Today and Tonight Shows.
Conwed introduced Lo-Tone®, its first non-combustible mineral acoustical ceiling, to the marketplace.
Conwed became, and still remains, the largest supplier of acoustical panels to the U.S. Government.
Today, Conwed is the only manufacturer offering the "total workplace environment." From acoustical ceilings and wall panels, to freestanding panels, to furniture, to open office systems, to lighting, to sound masking. To hear the complete Conwed story contact Conwed Corp., Interior Products Division, 444 Cedar St., P.O. Box 43237, St. Paul, MN 55164.
CREATING ENVIRONMENTS THAT WORK.
Elaine Burnett was appointed sales representative, midwest territory for Interspec Fabrics, div. Thortel.
New president and CEO for Hardwood House, Rochester, N.Y. office furniture manufacturer, is Edward J. Clark.
Harvey Probbcr Inc. has appointed Jill Kapner (shown) as territory manager for the New England sales region. She replaces Jory Probbcr who has been promoted to marketing manager of the firm.
Jerry Baldwin and Roger Miller were named vice presidents of Contract Distributors Corp. (CDC). Baldwin will head operations at CDC’s Phoenix Design Center office. Miller is based in San Francisco.
New vice president, planning and finance for Howe Furniture is Gerald R. Taylor, Jr. (shown).
Tarkett Inc., New Jersey manufacturer of resilient flooring now offers wood flooring products to U.S. and Canadian specifiers. These items were previously available only to European customers.
Oliver Warren (shown) was named market manager, Phifertex, Phifer Wire Products, Tuscaloosa, Ala.
Thomas R. Hyland has been selected vice president of sales and marketing for Cramer Inc., Kansas City, Kan.
Robert G. Shibley, principal of the CAUCUS Partnership architects, Blacksburg, Va., has been named jury chairman for Owens-Corning Fiberglas Corporation’s 11th Annual Energy Conservation Awards. Other panel members are Jack Beech, P.E., vice president of Joseph R. Loring Associates, New York; Parambir S. Gujral, partner, Skidmore, Owings & Merrill, Chicago; David L. Hartman, management consultant, Booz, Allen & Hamilton, Bethesda, Md.; Vivian E. Loftness, international energy consultant, adjunct associate professor, Carnegie Mellon University, Pittsburgh; R. Randall Bosbeck, FAIA, principal of VVRL Inc., Alexandria, Va.; and John I. Yellott, president of John Yellott Engineering Associates, and professor emeritus, Arizona State University, College of Architecture, Tempe, Ariz.
New owners of Chesapeake Mfg. Co. are Laurie Morrison (shown) and Roger Morrison. Promoted to president is John Long. Laurie Morrison will manage sales.
Robert H. Smith has been appointed national sales manager of the lighting products division, McGraw-Edison Co. The division has HQ in Elk Grove Village, Ill.
The Collected Works of Peter Pepper Products
Fascinating reading from cover-to-cover, our catalogs contain inspirational ways to organize space environments. Each Peter Pepper Products volume is teeming with comprehensive collections of contemporary design solutions... created to enhance the places where people gather. To begin or expand your Peter Pepper Products library of distinctive designs, send for information.
When it comes to style, we wrote the book. And it's yours for the asking.
17929 South Susana Road
Compton, California 90224
(213) 979-0815
Circle 123 on reader service card
Chris Chandler (shown) and Aric Gless (shown) were named associates of Stewart, Romberger & James, South Pasadena, Calif., space planning firm.
Porter Carpet Mills appointed Milton Bryson to the position of sales and marketing supervisor.
Dale Anderson was appointed marketing project manager for Anderson Desk Co.
Copeland, Novak, Israel & Simmons P.C. (CNI International) is now located at 11 W. 19th St., New York, NY 10011; 212/807-8300.
Gunlocke promoted Robert D. Wilcox to the position of vice president, sales. Formerly national sales manager, Wilcox has been with the firm for 10 years.
In March, 1983, Steelcase will open a 20,000-sq.-ft. showroom in the Olympia and York Bldg., 245 Park Ave., New York. All leading Steelcase lines will be represented in the space which represents a 60 percent increase over present facilities. Project architect and interior planners are Samuel J. DeSanto and Associates.
Zumsteg Fabrics recently relocated its New York showroom, warehouse, and executive offices. Showroom space is now located on the fourth floor of the D & D Building, 979 Third Ave. Offices and warehouse facilities are sited at 35 W. 36th St., New York.
Fine Art Resources International, a recently formed division of Judith Selkowitz Fine Arts, offers specifiers an updated data bank and slide library of national and international art sources. Offices are located at 25 W. 56th St., New York.
Mary E. Keating was named sales manager for the design sales division of Desks Inc.
Barbara Lynn Bellomy (shown) has been named specifications representative for Formica Corp., a subsidiary of American Cyanamid Co. She will work with architects and designers in the South Texas and Louisiana area.
Officers recently elected for the Syracuse, N.Y., chapter of Women In Design include: Susan Blakeslee, director, a graphic designer at David O. Chase Design; Mary Ellen Letterman, assistant director, a professor of interior design at Syracuse University; Holly Boise, secretary, a graphic designer at Smith-Corona; and Kathy Brown, treasurer, an interior designer at Quinlivan, Pierik, & Kraus.
ATLANTA
Mart 15FH • ADAC 133
CHICAGO
Merchandise Mart 1783
DALLAS
World Trade Center 10010
Galleria 100
HIGH POINT
Galleria 100
LOS ANGELES
Furniture Mart 1226
NEW YORK
Furniture Exchange 901
SAN FRANCISCO
Furniture Mart 1-180
Swan Solid Brass
America's most beautiful line of solid brass beds. Most styles in twin, double, queen, and king sizes. Phone or write for full-color catalog and price list. Swan Brass Beds, 1955 East 16th Street, Los Angeles, CA 90021; (213) 748-5315. Nationwide toll-free: 800-421-0141
Support Your Own Creativity.
It starts with your idea—send us your rough sketch and specifications.
We’ll cost estimate the number of units required (minimum 25 of a kind). Approve our estimate and we’ll submit complete detailed drawings for your approval—and then we’ll manufacture to your exact requirements at production line prices.
Use the Spec’built alternative.
Spec’built™
SPECIFICATION BUILT CORP.
PO. BOX 423
CARLSTADT, NEW JERSEY 07072
201-438-1864 TELEX 642614
Some people are more comfortable making decisions than others.
Introducing the new Norman Cherner seating group.
ModernMode
Manufacturers of fine wood office furniture.
PO Box 6667, 6425 San Leandro Street, Oakland, CA 94603. (415) 568-6650
Showrooms in: New York, Chicago, Miami, San Francisco, Los Angeles, Dallas, Houston, Seattle
Available in lounge, settee, guest chair and executive swivel.
1000 Framed Images
200 PAGE CATALOGUE
THE SOURCE
CONTRACT SPECIALISTS
TROUBLE FREE
DROP SHIPPING
SECURITY HANGING SYSTEMS
CUSTOM MATTING
B.M.G. FRAMED GRAPHICS DIVISION
YOUR CHOICE FOR QUALITY FRAMED FINE ART POSTERS
AVAILABLE IN METAL SECTIONAL AND NATURAL ASH WOOD FRAMES
THE SOURCE FOR ONE STOP SHOPPING
SHOWROOM
Bruce McGaw Graphics, Inc.
• 230 Fifth Ave., New York City, N.Y. 10001 TEL. (212) 679-7823
WRITE US TODAY TO RESERVE YOUR COPY
OF OUR 1983 CATALOGUE - ASK FOR THE
SPECIAL DESIGNER EDITION
B.M.G. FRAMED GRAPHICS, 35 West Central Ave., Pearl River, N.Y. 10965
TELEPHONE 914-735-8136
TOLL FREE ORDER LINE 800-221-4813
COMING EVENTS
November 12-14. Design Assembly 1982, "New Concepts for a New Age." The Marketplace, Philadelphia.
November 13-14. ISID Design Expo '83. Design Center, Los Angeles.
November 15-17. Color Marketing Group (CMG) Annual Fall Convention, "Color/20," A Program for Color Professionals. Williamsburg, Va.
November 18. New York Chapter/ASID Interiors Committee Meeting. New York Chapter Headquarters, 457 Madison Ave., New York.
December 8-9. Business-Expo. Dallas Convention Center, Dallas.
December 9-10. Corporate Design Management. Marriott Long Wharf, Boston.
February 21-23. Office Automation Conference. Philadelphia Convention Center, Philadelphia.
March 3-5. Condes. Dallas Market Center, Dallas.
March 14-17. Federal Office Systems Expo. Washington Convention Center, Washington, D.C.
March 17-19. West Week. Pacific Design Center, Los Angeles.
April 14-17. International Show for K.D. Furniture. Le Bourget, Paris, France.
April 25-27. Lighting World II. New York Hilton, New York.
May 1-5. Saudi Business '83. al-Dhiafa Exhibition Center, Riyadh, Saudi Arabia.
May 4-8. Scandinavian Furniture Fair 1983. Bella Center, Copenhagen, Denmark.
May 16-19. National Computer Conference. Anaheim & Disneyland Hotel Convention Centers, Anaheim, Calif.
June 8-10. A/E Systems '83. Electronic Design & Architectural Drafting Equipment Exhibition. Market Hall, Dallas.
June 14-17. NEOCON 15. National Exposition of Contract Interior Furnishings. Merchandise Mart, Chicago.
Foreign Trade Shows 1982
November 14-18. DACTEX. National Exhibition Centre, London.
November 24-28. China Business Equipment Exhibition. Foreign Trade Center, Guangzhou (Canton), China.
1983
January 9-14. Winter Lighting/Accessories Market. Lighting/Accessories Market Center, 230 Fifth Ave. New York.
January 12-16. Heimtextil. International Trade Show for Home and Household Textiles. Frankfurt Fairgrounds, Frankfurt, West Germany.
January 13-17. International Furniture Exhibition. Exhibition Park at Porte de Versailles, France.
FREE INFORMATION FAST
Use handy Reader Service Card for quick and convenient response to products displayed in this issue.
OPTO
THE DESIGNER'S CHOICE for Interiors Ceiling Grids Store Displays
FLEXIBLE IN DESIGN • RIGID IN STRUCTURE • SIMPLE TO INSTALL
The Opto Tubular Systems are especially suited for the building of new displays or for the re-designing of existing stores. The systems are based on simple clamps and steel tubes in a range of diameters, with standard or custom colors, brass and chrome finish. Contact us for further details and color brochure.
OPTO PRODUCTS INC.
Suite 109, 65 E. Palatine Road
Prospect Heights, IL 60070 (312) 541-6786
Whatever your taste in carpet design, you're well served with Ultron.
Monsanto Contract Fibers
ULTRON
Monsanto's Ultron® nylon gives you an almost limitless array of styling possibilities. Whatever the color, pattern or style, our advanced generation Ultron nylon is there. And Ultron fibers are made to withstand the wear and tear of the busiest places, retaining their good looks for years. Ours is a proven performance record—from the corner luncheonette to major chains nationwide. Which is why we're one of the fastest growing names in contract floor covering for hospitality applications.
Ultron is a registered trademark of the Monsanto Company.
320 Interstate North Parkway, Atlanta, Georgia 30339
As the world’s largest manufacturer of commercial lodging furnishings, American of Martinsville Contract Division offers a spectrum of styles that lend themselves to their environment. The selections include classic traditional for refurbishing or restoration, sleek contemporary for an urban high rise or wicker and bamboo for tropical settings.
As a complete furnishing resource, American provides bedroom, dining room, occasional tables, accent pieces and upholstery as well as party tables, wall units and entertainment systems.
With specific emphasis on quality, American of Martinsville excels in the industry with creative designs, practical engineering and master craftsmanship. The superior construction features incorporated into each functional piece provide durability and lasting beauty.
For additional information, contact American of Martinsville, Contract Division, P.O. Box 5071, Martinsville VA 24115. Phone: (703) 632-2061. Telex: 82-9347.
AMERICAN OF MARTINSVILLE®
CONTRACT DIVISION
INTRODUCING DESIGNWEAVE
manufacturers of distinctive commercial carpet products.
Designweave products feature both primary and secondary backings by Amoco Fabrics Company, a Patchogue Plymouth Division.
Coming in January...
An invaluable data source for buyers!
A matchless annual ad value for suppliers!
CONTRACT’s
1983 Supplier Directory
& Buyers’ Guide
Used And Referred-To
By Leading Specifier/Buyers
All Year Long!
The 1983 CONTRACT Directory, containing complete updated data on 2,500 leading contract manufacturers, will be read and referred-to, used and re-used, throughout the year by approximately 30,000 top-qualified contract decision-makers seeking products and suppliers. Thousands of newly qualified specifier/buyers also will receive the Directory as they’re added to CONTRACT’s circulation during 1983.
New study confirms CONTRACT’s Directory is of proven value to readers and advertisers:
- **Gets Year-Round Use**—Over 90% of respondents keep the Directory 6-12 months or longer.
- **Spurs Immediate, Repeated Buying Action**—Most (91.3%) respondents contacted 2-5 suppliers found in the Directory, with 40.9% contacting more than 5. And 58.2% reported making contact within 1-4 weeks after receiving the Directory.
- **Provides Multiple Impressions**—87.4% pass along their Directory copies to an average of 3.7 additional firm members. And each Directory is referred-to more than nine times by five different buying influences.
**Directory Ad Deadlines:** December 15, space; December 20, film; December 24, inserts.
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Use this coupon to reserve your space in CONTRACT’s 1983 Supplier Directory & Buyers’ Guide
---
Gary Puro, Associate Publisher
CONTRACT Magazine
1515 Broadway, 24th Floor, New York, N.Y. 10036
Dear Gary:
☐ Please reserve _______ (page size) in the 1983 CONTRACT Directory.
☐ Please contact me with more details on the 1983 CONTRACT Directory.
Name________________________________________________________Title_____________________
Company______________________________________________________________________________
Address_______________________________________________________________________________
City/State/Zip__________________________________________________________________________
Telephone No. ( )________________________Signature_______________________________________
Advertisers appearing in this special Winner’s Circle section represent some of the gold, silver, and honorable mention award winners in the 14th annual Institute of Business Designers/CONTRACT Magazine Product Design Competition. Look for details on all 57 winners in 28 categories on page 129 of this issue.
AND NOW A LINEAR ACOUSTICAL CEILING UNPARALLELED IN STYLE.
Make your next commercial interior a study in elegance. With Crossgate™, The new linear ceiling that has a style all its own.
Each Crossgate ceiling panel is scored to simulate four 6" linear strips. These strips are cross-scored with a continuous pattern resulting in a deeply etched, dramatically distinctive visual that you won't find in conventional linear ceilings.
Crossgate comes in 2'x2' semiconcealed panels, square-cut on two sides for a graceful contemporary look. There are eight colors to choose from—four subtle earth tones and four bold accents that coordinate beautifully with today's finishes and furnishings.
Add the performance features of fire retardance and acoustical efficiency, and you have an unparalleled linear ceiling for your next design.
To learn more about our new Crossgate Ceiling, write Armstrong, Dept. 24NCT, P.O. Box 3001, Lancaster, PA 17604.
FROM THE ® INDOOR WORLD® OF Armstrong
design: reception
Something brand new has come to the surface.
Announcing Millitex from Milliken.
A totally new dimension in modular carpet technology, for tonal texture that you’ve never had before.
Milliken Research takes another giant step forward, with the development of the exclusive Millitex machine for tonal texturing of modular carpet.
Using a patented technique, the computer-driven Millitex machine works together with the Milliken Design Computer to create an outstanding array of unique tonal textures that offer unprecedented beauty and durability in contract installations. Textures so necessary to the design requirements of today’s contract professionals—but never possible until now.
The TextureMates™ Collection. The first modular carpet with tonal texture...designed for beauty, constructed for durability.
Using the unique capabilities of the Millitex machine, Milliken has created TextureMates—the first modular carpet line with tonal texture.
Their sophisticated patterns and contemporary colors make TextureMates outstanding design additions to any interior. Their textures are as durable as they are beautiful, because the base carpet is Milliken’s proven performer—Corporate Square®/Nova fusion-bonded modular. High-performance Du Pont Antron® XL nylon assures long life, even in heavy-traffic installations. And because they are available in both vinyl hardback and MilliBack®, TextureMates make beautiful economic sense as well.
Discover the simply beautiful things we can do for you with our new Millitex machine.
The possibilities for tonal texture in your next installation are virtually unlimited. For further information on Millitex and the TextureMates Collection, contact your Milliken Carpet Dealer or Milliken Contract Carpets, P.O. Box 2956, LaGrange, GA 30241.
CONTRACT COLLECTION:
FURNITURE
GRAPHICS
DECORATIVES
• 2835 NORTH SHEFFIELD
CHICAGO, ILLINOIS 60657
312-528-8123
• SPACE 10-130
MERCHANDISE MART
CHICAGO, ILLINOIS 60654
312-644-6440
• 435 HUDSON STREET
NEW YORK, NEW YORK
212-675-1106
• HAMMON & ASSOCIATES
616 WORLD TRADE CENTER
P.O. BOX 58233
DALLAS, TEXAS 75258
214-745-1371
• HAMMON & ASSOCIATES
3233 WESLAYAN
SUITE 170
HOUSTON, TEXAS 77027
713-965-0328
STAND OUT WITH A SHADE OF DIFFERENCE.
ELEVATE YOUR CREATIONS FAR BEYOND THE BOUNDS OF THE STANDARDS WITH ARC-COM'S LATERAL PLUSH. AVAILABLE IN 27 SUBTLE HUES, IT CAPTURES THE EXACT ENVIRONMENTS YOU CONCEIVE. AND ITS TIMELESS DURABILITY TRANSCENDS THE STRAIN OF AGE WITH A PLUSH ELEGANCE FROM ITS LATERAL WEAVE. EXPLORE THE LIMITLESS QUALITIES OF LATERAL WOOL PLUSH COMPLETE WITH THE VIRTUES OF AFFORDABILITY.
6 EAST 32 STREET/NEW YORK, NEW YORK 10016/(212) 689-9370
ATLANTA, BOSTON, CHICAGO, DENVER, DETROIT, HOUSTON, KANSAS CITY,
LOS ANGELES, MIAMI, SAN FRANCISCO, SEATTLE, WASHINGTON, D.C.
Introducing Stow/Davis textiles.
For those with a fondness for material wealth.
Macro detail: Freeman fabric woven 100% virgin wool.
© 1982 Stow Davis
SD
STOW DAVIS
GRAND RAPIDS
IBD
Institute of Business Designers
and Contract Magazine
Product Design Award
Make it your business to specify EDWARD FIELDS Custom contract carpet
IBD
Institute of Business Designers
and Contract Magazine Product Design Award
Deep in the heart of texture... Edward Fields introduces new and unusual custom wool carpets for commercial application. Manufactured seamless... shaped to specification... twelve square yard minimum. Priceless designs priced less than you imagine.
NO LIMIT TO CARPET DESIGN AT EDWARD FIELDS
232 EAST 59TH STREET • NEW YORK, N.Y. 10022
212-759-2200
Circle 74 on reader service card
BOSTON • CHICAGO • DALLAS • HOUSTON • LOS ANGELES • PHILADELPHIA • MIAMI • SAN FRANCISCO • SEATTLE
TORONTO • VANCOUVER • CALGARY • SYDNEY • PARIS
Brio by O.J. Holohan
IBD Award Winner
BUILDING BETTER FURNITURE FOR BUSINESS
BENEDETTI
3011 East Pico Blvd Los Angeles CA 90023 Phone 213 263-9761
tentura:
THE SUBTLE ESSENCE OF TEXTURE
THE LOOK OF Mitchell Designs
FINE HANDSCREENED WALLCOVERINGS AND FABRICS
PATTERN SHOWN • ESTÉBAN
DISTRIBUTORS: SEABROOK WALLCOVERINGS • MITCHELL/MANN • WALLPAPERS INC.
PATTON WALLCOVERINGS • GENE SMILEY • SINCLAIR WALLCOVERINGS • HOWELLS INC.
• STATELY WALLCOVERINGS • WALLCOVERINGS NORTH • DAVID ISON LIMITED
• L.E. CARPENTER • AND OF COURSE VICTEX
MITCHELL DESIGNS
P.O. BOX 831 • CULVER CITY CA. 90230-0831
END TABLE • CLASS AND BRASS
ART GLASS APPLE • GRANT RANDOLPH STUDIOS
BRONZE LAMP • PHILIP C. BRAINARD JR.
CALIFORNIA BRONZE LTD.
A BOLT OF INSPIRATION — “SAMPLER”
Lazarus Fabrics, the winner of three IBD Awards in two years, introduces its newest IBD Award Winning pattern … “SAMPLER” in 19 colorways. The SAMPLER design has been created to inspire designers who are looking for clean and simplified elegance in upholstery fabrics.
Lazarus: Working To Inspire Creativity Is The Fabric Of Our Business.
Lazarus Fabrics
The Primary Source
9303 East 46th St., Tulsa, OK 74145
1-800-331-3850 1-918-622-7700
Farfalla Seating
Architectural Ornaments
FROM THE
DOVETAIL®
COLLECTION
Medallions • Ceiling Systems • Brackets • Capitals • Friezes • Cast & Custom Drawn Cornices • Mouldings • Lincrusta • Specialty Items • Custom Work
“We’re putting Decoration back into Design!”
This is just one idea from our stunning collection. We’ll also turn your ideas into reality with our custom service.
We invite you to send for our complete catalog at:
Dovetail, Inc., P.O. Box 1569-262, Lowell, MA 01853-2769 | (617) 454-2944
Electric Terminal Table
Two electric motors elevate the keyboard and screen at the touch of a button. The screen platform tilts to eliminate glare, while the keyboard platform adjusts in and out to optimize the keyboard-to-screen distance. All adjustments can be effortlessly controlled by a seated user.
Available in rift oak, mahogany or walnut veneers and many laminates, the Electric Terminal Table matches all of JG's systems and desks. The unit may serve as a freestanding table, or as a return attached to a Reveal desk (shown below).
JG's Articula Chair, also shown below, is easily adjusted by each user who shares the terminal. For more information, request the Electric Terminal Table brochure, JG's White Paper on Terminal Sharing Devices, and the Articula Chair brochure.
JG Furniture Systems
A Division of Burlington Industries
Quakertown, PA 18951
215 536 7343
Circle 125
Sharing lowers equipment cost, improves utilization and reduces computer response time. Users get more personal space and a healthier environment.
Intrex Inc.
A subsidiary of Habitat International, Ltd.
Showroom: 150 E 58th St., N.Y., N.Y. 10022
Tel. (212) 758-0922
Telex HABINTASI125-286
Circle 79 on reader service card
Quarks
Designer—Paul Mayén
Institute of Business Designers
IBD
and Contract Magazine
Product Design Award
Another IBD award goes to Coral of Chicago! This time it’s for our handsome new Wool Imperial fabric for upholstery and wall covering. Coral sets itself apart by weaving its magic into an exciting new medium, specially designed for executive chairs, sofas, walls and area dividers.
Coral’s Wool Imperial pattern lets you mix or match from nine complementary color combinations. The 1982 IBD award was given for its unusual blending and versatility. (Shown are Vanilla/area divider and Ultra Marine/chair upholstery.) This fabric has a Class A fire rating.
Because this Coral wool fabric is as durable as it is distinctive, time can only enhance your foresight of selection. For more information and samples of our complete line of upholstery and wall coverings, write Coral of Chicago, 2001 S. Calumet, Chicago, Illinois 60616. Or call us toll free at 1-800-621-5250. In Illinois, call 1-312-225-5800.
Above: 660 Executive Chair by Nernschoff Chairs, Inc.
Introducing Design 9™
It adds the rich, fresh look of wood to open office planning.
This new concept blends the modular efficiency of our Series 9000 systems furniture with the look and feel of fine wood.
Aesthetically, it provides a richer, more inviting environment that helps people feel like they’re worth more. Which, in turn, is reflected in how they work.
Functionally, Design 9 adapts to the varying dimensions of people and equipment, yet offers all the important features and benefits for which our systems furniture is known.
New Arrondi™ seating (foreground), with its flowing lines and rich wood tones, can be used as a striking accent piece, or serve as the finishing touch for Design 9 or Steelcase Designs in Wood series.
Design 9 and Arrondi. See them at our regional offices, or contact your Steelcase representative. For world-wide product and sales information, write Steelcase Inc., P.O. Box 1967, Grand Rapids, MI 49501. Or, call free 800-447-4700. In Illinois, 800-322-4400.
The combination of solid wood and laminate is a popular choice for furniture design, offering both durability and aesthetic appeal.
Our City is #1.
Our City Stacking Chair is a 1982 Special Seating award winner in IBD's Product Design Competition. A revolutionary new design of molded, heavily ribbed polypropylene plastic and rectangular steel tubing, City is a strong, comfortable stacking chair.
Available in a colorful selection of interchangeable seats and legs, economically priced City is the perfect seating choice for enhancing all types of interiors.
Loewenstein, Inc. Post Office Box 22029, Fort Lauderdale, Florida 33335. (305) 525-8453.
Chicago, Illinois: Merchandise Mart Space Number 1068.
Sales Representatives: Scottsdale Arizona: Gentry Humrich & Associates, (602) 988-6146. Los Angeles, California: The Scheffey Group, (213) 386-7991. San Francisco, California: Gordon/Koehler, Inc., (415) 821-3400. Denver, Colorado: Charles J. Eisen, Inc., (303) 388-0863. Miami, Florida: Joseph Schmidt Company, (305) 573-0686. Atlanta, Georgia: Howard M. Shore & Associates (404) 351-2226. (800) 241-7075. Edwardsville, Illinois: Robert L. Beegle Associates, (618) 656-2706. Marblehead, Massachusetts: Terra Nova Associates; (617) 631-6212. Minneapolis, Minnesota: Mike Ketchum; (612) 338-6711. New York, New York: Joel Norman, Inc., (212) 751-9330. Rochester, New York: Griffin and Van Nostrand, (716) 458-9586. Langhorne, Pennsylvania: Art Abramsohn & Associates, (215) 757-7615. Portland, Oregon: William Gosser, (503) 222-6594. Houston, Texas: Van Sant, Inc., (713) 734-5008.
2R Tables—Never out of place.
From boardroom to dining room, the wide selection of table sizes, shapes, interleaves and panels, joined by an ingeniously simple linkage system, provide an incredible variety of functional, custom designs. Complemented by the handsome 2R Chairs, the 2R Table is too versatile for just one use in your corporate environment.
For more information, write:
Domore Corporation
2400 Sterling Avenue
PO Box 1289
Elkhart, Indiana 46515
From Haworth. A truly articulated keyboard pad for the electronic office.
In-out, up-down, side to side, swiveling back and forth, or tucked away from view; Haworth’s UniTek™ Adjustable Keyboard Pad accommodates like no other. Pads fit all standard or UniTek work surfaces or task tables. And along with the rest of the UniTek Electronic Support offering — panel-mounted, freestanding, mobile, carousel and corner designs — they enhance the planning options unique to Haworth’s UniGroup® open office interior system. For total, systems support in today’s electronic office.
Send for the “UniTek Electronic Support Package”. Write: One Haworth Center, Holland, MI 49423.
HAWORTH
14th IBD/CONTRACT Product Design Competition Winners
Atelier International Ltd.’s Uni Chair is recipient of two gold awards—Best of Competition and Special Seating—in the 14th annual Institute of Business Designers/CONTRACT Magazine Product Design Competition, 1982
Nine Gold, 18 Silver, 30 Honorable Mention prizes selected out of almost 300 entries by highly professional, discriminating jury
Judging at the Chicago Merchandise Mart IBD headquarters in early September was considered the most thorough evaluation in the award's history.
Nine gold and 18 silver medallions, as well as 30 honorable mention awards, were presented to winning companies and designers at an awards dinner Friday night of Designer's Saturday, October 15, 1982. A highly professional jury of space and product design peers made 57 awards to a field of 292 entrants. Up 35 entries this year, the competition experienced a 13.5 percent increase in submissions.
Despite this increase, the 1982 competition did not bestow awards in 10 out of 28 categories: Casegoods, Filing Systems, Retail Display Furniture, Furniture Integrated/Task Ambient Lighting, Floorcoverings, Acoustical Materials & Treatment, Wallcoverings, Wall Art-Banners, Visual Communications & Signage, and Window Treatments. "Many of those categories had very few entries, some none at all," comments David Cooke, FIBD, national president of IBD and one of the judges. "This opens an important opportunity for manufacturers in those categories to participate in the competition next year."
Using a time-consuming, but thorough judging technique, the jurists first viewed all entries in each category in a slide presentation. They then examined each entry kit for more details before making their prize selections.
Judges were, in addition to Cooke, Charles Pfister, Pfister Associates, San Francisco; Dean Lindsay, Kornick/Lindsay, Chicago; Bruce Hannah, Hannah Designs, Cold Spring, N.Y.; and Dr. Jo Ann Thompson, Ph.D., Department of Textiles and Merchandising, University of Tennessee, Knoxville, Tenn.
According to Charles Gelber, FIBD, chairman of the competition for IBD, "The quality of the judges, their meticulous attention to detail, high standards, and strong judgments served to strengthen the usefulness of this competition. The Institute's avowed objective is to encourage good product design by manufacturers of contract furniture. This competition is proving an ideal medium to recognize excellence in the field."
Joining the panel of judges which evaluated the 14th product design competition were Len Corlin, co-publisher/editor CONTRACT (above, left) and Charles Gelber, FIBD, chairman of the competition for IBD (second from right). Judges were (l. to r.) Dr. Jo Ann Thompson, Ph.D., Dept. Textiles and Merchandising, U. Tennessee; Charles Pfister, Pfister Assoc.; David Cooke, FIBD, national president, IBD (standing); Bruce Hannah, Hannah Designs; and Dean Lindsay, Kornick/Lindsay.
Atelier International Inc., for UNI Chair, designed by Werther Toffoloni.
Circle No. 325.
"Adaptive, classic design. Happy being what it is. It is hard to take four legs, a seat, and a back and make a great chair that still has all the options. A wonderful chair."
1982 COMPETITION AWARDS
BEST OF COMPETITION
Gold Award: Atelier International Inc.
CARPETING & RUGS
Silver Award: Milliken & Co.
Honorable Mention: Edward Fields Inc.
Interface Flooring Systems
CEILING SYSTEMS
Silver Award: Armstrong World Industries Inc.
Honorable Mention: Dovetail Inc.
CHAIRS
Gold Award: Stendig
Silver Award: Dunbar
COMPUTER SUPPORT FURNITURE
Gold Award: Haworth Inc.
Silver Award: JG Furniture Systems
Honorable Mention: Knoll International
JG Furniture
DESKS & CREDENZAS
Silver Award: Castelli Furniture Inc.
Knoll International
Honorable Mention: Metropolitan Furniture Corp.
Intrex Inc.
DESK & OFFICE ACCESSORIES
Silver Award: G & S Allgood
FABRIC COLLECTIONS
Gold Award: Sunar
Silver Award: Scalamandre Inc.
Knoll International
Donghia Textiles Inc.
Design Tex Fabrics Inc.
Innovations Inc.
LIGHTING
Gold Award: Atelier International Inc.
Silver Award: Elliptipar Inc.
Honorable Mention: Halo Lighting Div./McGraw Edison
LOUNGE FURNITURE
Honorable Mention: ill International
Benedetti Corp.
Sunar
Niedermaier Inc.
OTHER FABRICS
Silver Award: Design Tex Fabrics Inc.
Honorable Mention: Lazarus Fabrics
PORTABLE LAMPS
Honorable Mention: Ron Rezek/Lighting
SCREENS/PARTITIONS
Honorable Mention: Magna Design Inc.
SPECIAL SEATING
Gold Award: Atelier International Inc.
Ambiant Systems Ltd.
Honorable Mention: Loewenstein Inc.
SURFACING MATERIALS
Gold Award: Formica Corp.
Silver Award: Pittcon Industries Inc.
Honorable Mention: Ralph Wilson Plastics Co.
SYSTEMS FURNITURE
Silver Award: Dunbar
Honorable Mention: Steelcase Inc.
TABLES
Gold Award: Domore Corp.
Silver Award: Agati Designs Inc.
Honorable Mention: Krueger
Fixtures Furniture
Intrex Inc.
Stendig
UPHOLSTERY FABRICS
Silver Award: Arc-Com Fabrics Inc.
Lazarus Fabrics
Honorable Mention: Stow/Davis Furniture Co.
Design Tex Fabrics Inc.
Arc-Com Fabrics Inc.
Coral of Chicago
WALLCOVERING COLLECTIONS
Silver Award: Lonseal Inc. for Innovations Inc.
Honorable Mention: Design Tex Fabrics Inc.
Mitchell Designs
SILVER AWARD
Castelli Furniture Inc., for Dolmen system of desks, credenzas, conference tables, and bookcases. Designed by Gino Gamberini & Castelli Design Group. **Circle No. 326.**
“Nice variation of a panel desk. Very inviting. Has a style of enclosing the person seated at the desk.”
SILVER AWARD
Knoll International, for Gwathmey Siegel desks, designed by Charles Gwathmey & Robert Siegel. **Circle No. 327.**
“Good volume and use of wood. The pulls are ideal. This design understands positive and negative space. It is strong, very architectural.”
HONORABLE MENTION
Metropolitan Furniture Corp., for Kane Desk Group, designed by Brian Kane. **Circle No. 328.**
“Excellent finish that allows for a high-key look. Best when done in one material.”
HONORABLE MENTION
Intrex Inc., for desk design by Paul Mayen. **Circle No. 329.**
“Single form and good options of materials and finishes. Because of scale, good solution for small offices.”
GOLD AWARD
Domore Corporation, for the 2R Table System, designed by Erik Rasmussen and Henrik Rolff. **Circle No. 330.**
“Excellent design which is sensitive to form. Good treatment of shapes.”
SILVER AWARD
Agati Designs Inc., for table and chair set designed by Joe Agati. **Circle No. 331.**
“Wonderful object of art.”
HONORABLE MENTION
Krueger, for 45 Table, designed by Thomas H. Tolleson. **Circle No. 332.**
“Beautiful wood tops. Nice base detail and handles adjustment well.”
HONORABLE MENTION
Fixtures Furniture, for Torno™, designed by Claus Uredat. **Circle No. 333.**
“Solution allows for many changes in materials. The ‘floating top’ effect is interesting.”
HONORABLE MENTION
Intrex Inc., for Quarks, designed by Paul Mayen. **Circle No. 334.**
“Good, simple, direct design. Should answer a definite market need. Uses good finishes. Someone finally ‘did it.’”
HONORABLE MENTION
Stendig, for Master Executive Series 6000, designed by Afra and Tobia Scarpa. **Circle No. 335.**
“Seems to adapt to different configurations well. Nice form at connection of base and top.”
Intrex
Fixtures
Domore
Krueger
SYSTEMS FURNITURE
SILVER AWARD
Dunbar, for Genesis of the S/4 Series, designed by Lydia DePolo and Jack Dunbar.
Circle No. 336.
"Cited for treatment of casegoods and innovative shape of tables and run-offs."
HONORABLE MENTION
Steelcase, Inc. for Design 9, designed by Robert A. Keeler.
Circle No. 337.
"Shows a commitment to completing a system approach in wood. This is the only full-line system in the industry available in metal, fabric, and wood with equal proportions and detailing."
SCREENS/PARTITIONS
HONORABLE MENTION
Magna Design Inc., for Versipanel, designed by George Brooks. Circle No. 338.
"Nifty and fun. Very flexible and shows a good concept."
GOLD AWARD
Haworth Inc., for Adjustable Keyboard Pad, designed by Haworth Advanced Product Design staff. **Circle No. 339.**
“Terrific. It solves the problem. Wires are concealed, unlike other entries in this category. Work surface is freed-up and the keyboard is out of the way. Great for maintenance.”
SILVER AWARD
JG Furniture Systems, for 7 Computer Support Furniture, designed by Lee Denny. **Circle No. 340.**
“Integrates well into systems furniture, answering needs of the high-level office. It is an interesting solution to two-level work surface.”
HONORABLE MENTION
Knoll International, for Stephens CRT Terminal Stand, designed by Bill Stephens. **Circle No. 341.**
“Recognized for its new base and work surface details.”
HONORABLE MENTION
JG Furniture, for Mobile Terminal Table, designed by Ric Choley. **Circle No. 342.**
“Blends well with other systems. Solves a problem that has grown from need to share terminals.”
SILVER AWARD
Armstrong World Industries Inc., for Crossgate Ceiling System, designed by David J. Criner. **Circle No. 343.**
“Nice alternative to linear metal ceilings that have been so overused in contract projects. Nice coloration within line. Takes an existing idea and changes the texture for a pleasing solution. Good for ambient lighting project.”
HONORABLE MENTION
Dovetail Inc., for Decorative Modular Ceiling/Adam’s Style, designed by Dovetail Design Staff. **Circle No. 344.**
“Offers a unique mounting system and solves many labor problems in the field. It is suited to adaptive reuse projects.”
GOLD AWARD
Atelier International, for WALL, designed by King, Miranda and Amaldi.
Circle No. 346.
“Wonderfully detailed. Takes traditional lighting idea and updates it to a contemporary form. It is good to see colored glass used again.”
SILVER AWARD
Elliptipar Inc., for Enclosed H.I.D., designed by Sylvan R. Shemitz and James A. Melling.
Circle No. 347.
“Offers great detail for a high distribution light. The product has many commercial applications—especially in supermarkets, stores, and offices.”
HONORABLE MENTION
Halo Lighting Div., McGraw Edison, for MR-16 Trac Lampholder, designed by Scott Roos.
Circle No. 348.
“Well-detailed solution. This is a nice form for a simple fixture.”
PORTABLE LAMPS
HONORABLE MENTION
Ron Rezek/Lighting, for ORBIS-Desk Light #100, designed by Ron Rezek.
Circle No. 345.
“This is a playful idea. Almost a cartoon of what a light should be. We like a little fun.”
GOLD AWARD
Stendig, for GINA Chair, designed by Bernd Makulik. Circle No. 349.
“Liquid in design, flows beautifully. Arm and leg is one motion and well-thought-out. It reflects both Chinese and Scandinavian design. Destined to be a ‘classic.’”
SILVER AWARD
Dunbar, for the S/4 Series, designed by Lydia DePolo and Jack Dunbar. Circle No. 350.
“Shows an influence from Corbin. It is fluid in line and shape. Well-proportioned side chair.”
HONORABLE MENTION
iil International, for Farfalla, designed by Manfred Petri and Walter Kah. **Circle No. 351.**
“This is a lumpy, honest design. It looks invitingly comfortable.”
HONORABLE MENTION
Niedermaier Inc., for Scala Bench, designed by Gary Lee. **Circle No. 354.**
“Very rigid and architectural. It can be used effectively in a restaurant application. Offers interesting span and very powerful statement.”
HONORABLE MENTION
Benedetti Corp., for lounge furniture designed by O.J. Holohan. **Circle No. 352.**
“Interesting from all angles. Good use of stacked planes. For its size, it stays amazingly light.”
HONORABLE MENTION
Sunar, for lounge furniture collection designed by Michael Graves. **Circle No. 353.**
“This entry is obviously innovative and well-crafted. It forces us to deal with questions of design and environment.”
SPECIAL SEATING
GOLD AWARD
Atelier International Inc., for UNI chair, designed by Werther Toffolon. Circle No. 355.
“Perforated back is interesting. Wonderful scale for short-term use. Innovative in flexibility.”
GOLD AWARD
Ambiant Systems Ltd., for Steamer Seating Collection, designed by Thomas Lamb. Circle No. 356.
“Form is sensuous. It is a wonderful art form/wood sculpture. Lounge seating proportion is great.”
HONORABLE MENTION
Loewenstein Inc., for City Stacking Chair, designed by Lucci and Orlandini. Circle No. 357.
“Good color in legs. Allows form to happen. It is a good investigation of what a stack chair should be.”
SILVER AWARD
Arc-Com Fabrics Inc., for Lateral Plush, designed by Jeffrey and Peter Layne.
Circle No. 358.
“Nice feel and good color-way. Good texture, soft and deserving of its award.”
SILVER AWARD
Lazarus Fabrics, for Sampler, designed by Lazarus Fabrics Design Team. Circle No. 359.
“Very successful. Offers small pattern with good color range. It is effective when used in dark colors, broken up by small pattern.”
HONORABLE MENTION
Stow/Davis Furniture Co., for Freeman. Circle No. 360.
“Nicest feel of all entries in this category.”
HONORABLE MENTION
Design Tex Fabrics Inc., for Wool Checkmate, designed by Hazel Siegel. Circle No. 361.
“Nice pattern in a very architectural look. Offers fine colors, especially pastels.”
HONORABLE MENTION
Arc-Com Fabrics Inc., for Fire Tandem, designed by Jeffrey and Peter Layne.
Circle No. 362.
“Great colors and variations, offering a nice, wide selection. Could be used effectively in healthcare and long-term care projects.”
HONORABLE MENTION
Coral of Chicago, for Wool Imperial, designed by Jerold Rosenthal. Circle No. 363.
“Product will make up well on a number of pieces. Unusual blending of ‘ways and fill.’”
OTHER FABRICS
SILVER AWARD
Design Tex Fabrics Inc., for Silhouette, designed by Design Tex Studios. **Circle No. 364.**
“Technique is refreshing. Color is effective, hangs wonderfully.”
HONORABLE MENTION
Lazarus Fabrics, for Komplete Kube Plaid. **Circle No. 365.**
“Uniqueness exists in mesh and fabric combination. Holds possibility for more color and textural alternatives.”
GOLD AWARD
Sunar, for Sunar Print Collection, designed by Michael Graves. **Circle No. 366.**
“Color and screen size are impressive. Textural feel of cotton fabric panels is pleasant.”
SILVER AWARD
Scalamandre Inc., for fabric system designed by Scalamandre Design Staff. **Circle No. 367.**
“Great care given to this collection. Is truly a system in which coloration is fresh. Color is effectively applied to the correct texture.”
SILVER AWARD
Knoll International, for Seipelt Fabric Collection, designed by Peter Seipelt. **Circle No. 368.**
“Beautiful full-size and permits light transmission through the fabric. It is offered in high lustre and matt coloration.”
SILVER AWARD
Donghia Textiles Inc., for Domestic Wool Collection, designed by Johnson-Barnett Inc. **Circle No. 369.**
“Dignified woolen hand. Excellent fabric.”
HONORABLE MENTION
Design Tex Fabrics Inc., for Kinnasand Collection, designed by Design Tex Studios. **Circle No. 370.**
“Good coloration for healthcare and institutional projects. Refreshing, well-planned patterns and colors.”
HONORABLE MENTION
Innovations Inc., for Gramercy Flannel, designed by Rudy Mayer. **Circle No. 371.**
“Nice color match to other architectural/laminart products.”
CARPETING & RUGS
SILVER AWARD
Milliken & Company, for P/2135 “Lomand,” designed by Pat Bentson, Leslie Ried, and David Oakey. Circle No. 372.
“Offers a variety of textural motifs. Nicer than any other carpet tile with pattern.”
HONORABLE MENTION
Edward Fields Inc., for Geomatrix, designed by Edward Fields Design Studio. Circle No. 373.
“Many color applications are made possible. Offers chance to ‘shape’ direction into a project.”
HONORABLE MENTION
Interface Flooring Systems, for Executive Carved Berber Series, designed by Grant Todd. Circle No. 374.
“Sculptured carpet tile with curved effect is unusual.”
GOLD AWARD
Formica Corp., for Color Core™, designed by the Formica Corporate Design Advisory Board. Circle No. 375.
“Great applause for solving a major problem. Now designers have a product that does what plastic laminate should have done all along. Destined to have a major impact on the design/architectural community.”
SILVER AWARD
Pittcon Industries Inc., for Softforms™, designed by Tetrad Inc. Circle No. 376.
“This product greatly expands the designer’s ability to detail edges in curves. It can also be used in furniture applications.”
HONORABLE MENTION
Ralph Wilson Plastics Co., for Color Quest, designed by David Embry. Circle No. 377.
“Cited for new colors and product development that included designer input before the product was brought to market.”
SILVER AWARD
Lonseal Inc. for Innovations Inc., for Lonjewels Vinyl Wallcoverings, designed by Patty Madden. **Circle No. 378.**
“Wonderful textures. Nicely blended with other fabrics and laminates.”
HONORABLE MENTION
Design Tex Fabrics Inc., for Aquarelle, designed by Design Tex Studios. **Circle No. 379.**
“Fresh colors in soft hues and has nice traditional textures.”
HONORABLE MENTION
Mitchell Designs, for Tentura, designed by Mitchell Designs. **Circle No. 380.**
“Nice full collection that answers a number of entertainment-related project needs. Very extensive color-coordinated options.”
SILVER AWARD
G & S Allgood, for MODRIC Lever Handle, designed by Alan Tye. Circle No. 381.
“Recognition given to the door handle for its wonderful feel in the hand. Design interest in variation of European pull.”
IBD PRESIDENT’S AWARD
First IBD President’s Award Launched With Three Winners
The first Institute of Business Designers President’s Award was recently presented to three contract manufacturers for their innovative approaches to product merchandising. Rudd International, Sunar, and Thonet were cited by David Cooke, FIBD, national president, IBD, for exceptional design innovation in graphic communications.
Chosen while judging for the ‘82 IBD/CONTRACT Product Design Competition came to a close, the three
Stressing humor through a combination of entertaining cartoons and photographs is Rudd International’s current catalog. Recognized for its message that humor is an important part of life, the publication offers a “fun” approach to furniture specification.
Credits: Mark Greenspun, copywriting; Don Sparks, photographer; James Hellmuth, art director.
Circle No. 383.
companies were honored for recent catalog publications that present an individual perspective on corporate image and product development.
The President’s Award is given as recognition of accomplishment by IBD’s national board of trustees; it is not an open competition.
Explains Cooke, “Visual communications was selected as the category for the first award because of its considerable influence on corporate image development and product marketing. This year’s three winners have made a significant commitment to excellence in graphic design programming.”
Recognition of “completeness and comprehensiveness in a corporate identity program” was given Thonet for its current specification manuals—swivel seating and seating/table catalogs. In the publications, each graphic problem is weighed individually within a consistent but flexible corporate identity framework.
**Credits:** Barbara Morrow and Sue Ann Kline, Thonet/Simmons Furniture Marketing Department; Jack and Jeff Gernsheimer, Partners Graphics Design Studio.
**Circle No. 384.**
Cited for merit was “Sunar ‘82: A Catalog of Sunar Office Systems, Furniture Collections, and Objects.” Consisting of 111 pages that integrate copy and photography in a most unusual way, the IBD board terms it a “museum-quality” piece.
**Credits:** Bill Bonnell of Bill Bonnell Designs for graphic design; Christine Rae, copywriting.
**Circle No. 382.**
Top Contract Furniture Sales People Can Boost Earnings 33% With Timed Move
Executive placement specialist outlines current sales & marketing compensation strategies
Fast growth of the contract industry and a simultaneous shortage of raw sales and marketing talent from usual sources has created incredible opportunities in contract furniture/furnishings for outstanding sales producers.
High demand for experienced sales talent creates a climate where job changes every two years are a possibility along with an increase in benefits of approximately 33 percent, per move.
Ten years ago, contract furniture manufacturers easily recruited raw talent from such companies as IBM, Xerox, and Honeywell. However, a reported annual growth rate of up to 17 percent in the contract industry and fast-paced expansion in high-technology fields has increased competition among recruiters. Contract manufacturers are now pitted against such up-and-coming firms as Apple, Wang, Texas Instruments, and other electronics manufacturers in recruitment of top sales talent.
No longer cottage industry
As is true of the fast-growth, high technology industry, the contract furniture field is no longer considered a "cottage industry." Greater sophistication is evident in sales, marketing, engineering, and technology. Consequently, the need for talented, success-oriented people has never been greater, spurring a dramatic boost in salary levels and compensation.
It is not uncommon today for sales, marketing, and management personnel to receive compensation in the six-figure range. In many cases, base salary alone reaches six figures, with additional perks and incentives adding thousands of dollars to an individual's total compensation package.
Higher compensation available
To combat high personnel turnover, contract manufacturers in the past few years have increased salary levels dramatically. They are developing more attractive compensation programs that are designed to find and retain qualified sales and marketing people.
The contract furniture manufacturing industry uses a variety of sales compensation programs for field-level sales. Some are based simply on salary-plus-commission or draw against commission, while others up the ante with a wide range of perks and incentives in addition to base salary.
Among the perks which can make a substantial difference in overall compensation are: additional vacation time, vacation homes, stock options, company cars, auto expenses, double bonuses, free credit cards, expense accounts, profit-sharing, major medical or other insurance, and club memberships.
Base salaries, bonuses, incentives, and commissions vary in the contract furniture industry according to the cost of living in various parts of the country, product line competitiveness, discounts offered by sales people, and on methods of distribution. Outlined here are variFive salary plans used currently
FURNITURE SALES COMPENSATION
STRAIGHT COMMISSION
Firms using a straight commission system commonly offer six to 10 percent commission on sales.
SALARY-PLUS-COMMISSION
One of the most common compensation plans is salary-plus-commission. Under this method, the salesperson is hired at a specific base salary, which is earned by generating a pre-targeted annual sales volume. Sales made above this quota will result in additional earnings based on a percentage of sales-over-quota. For example, an individual working on a $300,000 annual quota would receive the following percentages for sales made above that quota:
- sales volume of $300,000 to $600,000—one percent.
- $600,000 to $900,000—two percent.
- $900,000 and over—three percent.
Under this compensation program, commissions are generally paid monthly or quarterly.
Another variable affecting compensation based on salary-plus-commission is the sales credit schedule in which the assigned sales credit is determined by the discount from list price on each order. The salesperson's sales credit is reduced in direct proportion to the reduction in gross margin as determined by management.
In this compensation plan, the percentage of commission will fluctuate on an annual basis. The higher the discount extended by the salesperson, the lower the percentage of commission earned.
SALARY-PLUS-COMMISSION & SPECIAL BONUSES
Another compensation program offers the salesperson a base salary corresponding to experience and allows him or her to earn an equivalent amount in commissions. In addition, the employee receives bonuses for special programs, plans, and any product standardization implemented with the end-user.
For example, an individual earning a $25,000 base salary can earn an additional $25,000 in commissions, divided into quarterly amounts and paid as a percentage of quota met for each specific quarter.
The salesperson who exceeds quota and who writes special contracts or dealer plans can receive extra bonuses. For example, a salesperson with two years' experience working under this annual compensation plan could earn:
- a base salary of $25,000
- commissions of $25,000
- bonus for special programs of $5,000
- commission for exceeding quota of $20,000
- perks (car, medical, profit-sharing, expenses, etc.) of $10,000.
Thus the package would equal $85,000 annually.
LOW SALARY/ HIGH COMMISSION
This compensation plan involves a very low base salary and a high commission on sales and is sometimes called, "Draw Against Commission."
If the territory is not a high sales producer, the contract firm may have difficulty finding good people to pioneer the line and develop substantial sales volume. However, if the territory offers good growth potential, this compensation program can be extremely lucrative. Thus, the system will not only pay off
SALES PERSONNEL SALARY RANGES*
Sales Representative
(one to two years experience)
$17,000—$22,000
Territory/District Manager
(minimum three years experience)
$19,000—$36,000
Architect/Designer Salesperson
$18,000—$28,000
Regional Managers
$35,000—$55,000
Divisional Managers
$45,000—$60,000
National Sales Manager/Architects & Designers
$35,000—$60,000
National Sales Manager
(depending on size of company, sales volume, and responsibility)
$45,000—$75,000
Vice President/Sales
$55,000—$100,000
*Exclusive of bonuses, incentives, commissions, and other perquisites.
MARKETING PERSONNEL SALARY RANGES*
Product Manager
$22,000—$35,000
Product Development/Management
$25,000—$40,000
Marketing Manager
$35,000—$60,000
Vice President/Marketing
$60,000—$100,000
Vice President/Marketing & Corporate Planning
$75,000—$125,000
*Exclusive of bonuses, incentives, commissions, and other perquisites.
handsomely for the salesperson, but for the contract firm as well.
HIGH SALARY/LOWER COMMISSION
In this case, the compensation plan uses a higher base salary and a commission ranging from perhaps two-to-four percent on all sales. For example, the salesperson may be given a base salary of $30,000-to-$40,000 plus expenses, in addition to an override of two-to-four percent on all sales.
At first glance, this base salary may appear high. However, it may be necessary if a contract firm wants to retain people on a long-term basis, rather than function as a training ground for the competition.
Today, contract manufacturers are increasingly aware of the importance of new product development and planning—the function of marketing personnel. Until recently, marketing was a stepchild; firms promoted inside personnel who did not have the background necessary to handle such key responsibilities in a fast-changing market.
To survive and flourish, contract manufacturers must seek out people with the ability to put together marketing programs to develop new products, initiate professional planning, and open new avenues of distribution.
One fast-developing pool of professionals consists of people with design backgrounds who move into field sales and then into management areas. The education and experience of a designer often runs parallel to the functions of a marketing and product development manager. Both need creativity, the ability to analyze both quantitatively and qualitatively, budget know-how, and ability to do research in order to introduce and distribute new products.
Salary ranges for both sales and marketing personnel are shown in charts on these pages. Note that figures do not include bonuses, incentives, commissions, or other perks which add considerably to total compensation.
Since sales and marketing responsibilities, as well as titles, vary greatly, salary ranges in the charts serve only as broad guidelines.
Stern & Associates Inc., Chicago, deals exclusively in executive placement for the contract industry. It has conducted several surveys on salaries and compensation at the manufacturer level.
More efficient use of space, energy conservation, and design of facilities that accommodate the stringent needs of office automation demand ingenious planning strategies. Articles in this section are devoted to those specific challenges and feature design solutions to other pressing problems facing the office design industry.
Despite a decline in commercial building starts in some areas, many major metropolitan centers are still going strong. Elsewhere, office space design continues to forge ahead in remodeling, which now constitutes about 50 percent of the market. Adoption of highly technical cost-effective techniques in installations is explored in CONTRACT’s following coverage of current office facility design.—The Editors
Centralized Neighborhoods & Services Build Productivity For Capital Law Firm
Workers effect changes in a Washington, D.C. law office after three-month programming effort by prototype
Legal services organized by departmental “neighborhoods,” expansion of multi-use conference rooms, and improved traffic circulation are among the benefits of new law offices for Squire, Sanders & Dempsey designed by Environmental Planning & Research (EPR).
The Washington, D.C. headquarters for this Cleveland-based firm (seventh largest in the States) was planned according to specifications of staff who were polled in a three-month EPR programming effort. Out of the survey, partners and associates developed wish-lists that pinpointed need for a centralized employee cafeteria, communications center, library, and recordkeeping facilities, as well as additional conference room space.
Explains firm partner Robert Papkin, “We had originally occupied 5,000 sq. ft. in one-and-one-half floors of a building and had expanded to five floors. In our new offices, we didn’t want to be spread over so much area, nor have all of our services dispersed.”
The current facility houses 80 attorneys in 70,000 sq. ft. on two floors of an atrium building at 1201 Pennsylvania Avenue.
From EPR’s staff poll, inefficiencies of the old space were tabulated and recommendations made for improvement. “We ended up with a neighborhood concept to satisfy department reorganization goals. In addition, secretarial workstations that increase worker communication were developed and tested as prototypes in the old space,” Papkin continues. The latter, featuring Modern Mode workstations in a custom design based on the VOS system, are styled to accommodate future needs in word processing equipment.
Kiosks direct circulation patterns
Wide, bold corridors which follow the building’s triangular shape are punctuated by kiosk-styled stations that identify the working neighborhoods of the law firm. These serve to define, as well as unite operations while creating a separation between central and secondary traffic patterns.
Inside kiosks are storage units and paralegal office space. “The areas can also function as project rooms for frequent conferences. They are flexible spaces,” notes Phil Olson, EPR project manger on the job. Kiosk color graduates from dark rose tones (where natural daylight from the atrium or exterior is brightest) to light pink in a clockwise fashion on each floor.
Six neighborhoods occur on each level. These are
Kiosks direct traffic patterns
composed of partners, associates, paralegal staff, and secretaries for various legal arms of the firm. Neighborhoods are fitted with individual secretarial stations, conference rooms, copier and coffee stations.
Lighting in neighborhoods uses a combination of task and cove lighting. The latter “washes” walls with light, particularly near kiosks. Illumination is a mixture of low brightness parabolic and standard fluorescent.
Acoustical treatments were considered key in the new setting. Walls between kiosks are covered with acoustical panels. Fabric-wrapped walls aid in noise absorption in secretarial and main circulation areas.
Diagonal “street” is dramatic note
“We took advantage of the building’s tri-cornered atrium by designing a diagonal street on the fourth floor, occupied by a central reception area. The street is anchored at either end by the firm library and main conference room,” explains EPR’s Olson. The building, and street, follow the 19½-degree angle of Pennsylvania Avenue, designed by city architect Pierre L’Enfant. Similarly, law office doors are angled at the same degree.
The street functions as a roadway for staff who use the library heavily. Study carrels in the library eliminate congestion in individual offices, allowing lawyers to work on special projects intensively, apart from details of the day-to-day work setting.
A special periodical reading area and large circulation desk are also part of the library section which has a view of the atrium and of Pennsylvania Avenue.
On the same floor, the main conference area follows a rhomboid shape and is fully panelled in walnut. Spanish rose granite countertops were chosen to match the building exterior and main lobby. The color palette and materials are traditional. However, they are used in a contemporary manner of detailing.
“We strove for a consistency of detailing between custom furniture, millwork, and architectural features,” notes Olson. Partner offices on the outer perimeter of each floor were given a selection of three finishing packages in light, medium, and dark walnut for credenzas and bookcases.
The fifth floor above offers an open balcony with a view of the upper eight floors and atrium skylight. Lounge seating here is configured to follow the building’s triangular shape.
On this level is the 500 sq. ft. employee cafeteria which has a blue rubber tile floor and folding tables that can be rearranged to accommodate large conferences. The cafeteria has a glass-walled view of the interior atrium.
SOURCES
Interior Design—Phillip S. Olson, project director; Inci Ankara, job captain; Mollie G. Lynch, designer; Environmental Planning & Research Inc.
Art consultant—Kathryn Carrington.
Secretarial workstations—Modern Mode Inc. Seating—Knoll, Cartwright, Ward Bennett, Harter, Kittinger, Sunar, Brueton. Tables—Kittinger, Mueller, Johnson Industries. Carpeting, flooring—Selaco Inc., Georgetown Floorcoverings Inc., Southeastern Flooring, Moliterno Stone. Acoustical paneling, wall fabrics—Decoustics, Gretchen Bellinger Inc., Tandem Fabrics. Lighting—Columbia, Lightolier, Koch & Lowy. Library shelving, lateral files—Adjustable Steel Products, Storwal. Plants, signage—Creative Planting, Creative Signage. Window treatments—Bali, Custom Design Studio. Accessories—Smith Metal Arts, Smokador. Desks—Knoll.
Isometric view of kiosks (opp. page, clockwise from top) shows how they key departmental "neighborhoods." Partner's office uses one of three transitional interior design packages. Library anchors one end of fourth floor "street." Secretarial workstations (this page) were tailored to maximize worker communication. Plan view demonstrates operational definition achieved through neighborhood scheme on fourth floor.
Photography by Peter Aaron
CONTRACT/November 1982
Custom Storage & Neutral Backdrops Upgrade Editors' Work Space
Space is maximized while Dexter Design creates a calm, uncluttered environment for client Cosmopolitan
How can specifiers provide clients with ample work space when there never seems to be enough space in which to work?
At Cosmopolitan magazine, New York, planners met this frequently encountered challenge by installing plenty of built-in cabinetry, shelves, and bookcases that maximize storage and free floor space for completion of ongoing projects. As an added bonus, designers specified gray walls and matching tackboard now used by staff for hanging accumulated papers and pictures. This approach eliminates desktop clutter and promotes a quiet environment for magazine operations.
Cosmopolitan contracted the New York planning firm Dexter Design after leasing space on a new floor in the same office building. Although relocation increased work space by approximately 25 percent, editors and Dexter designers knew that space requirements would demand a careful design strategy.
Primary concerns were housing of props and costumes required for photo sessions; storing of pictures taken for past, present, and future issues; and convenient placement of mock-up pages for working issues.
Wall-to-wall storage is editors' boon
Says Barbara Schwartz, principal, Dexter Design, "Simply finding places to put all of these items was problematic. Adding to the challenge was editor-in-chief Helen Gurley Brown's requirement that basic office layout must not vary from that of previous quarters. She wanted to ensure that editors' offices would be essentially the same size as before."
Pictured (above) in shell which is now offices of Cosmopolitan magazine are (from l. to r.) editor Helen Gurley Brown with Dexter Design principals Barbara Schwartz and Barbara Ross.
Built-in storage units utilize wall space in private and open plan offices. With the help of Peter Frangos, president of the New York furniture dealership IBS, specifiers were able to acquire custom cabinetry designed to fit space needs exactly. All furniture, except files and desks, are custom pieces.
Adding to efficient space utilization are gray tackboards designed to match walls that serve as a backdrop for various posted items. Such materials include mock-ups of every page of a working issue. Sheet rock walls along corridors are covered with Formica's 'Fog' laminate, while partitions are surfaced with 'Pinstripe,' a color created by Dexter for Formica.
Other important design considerations were lighting and ventilation. After surveying employees, specifiers discovered that the Cosmopolitan staff was unhappy with fluorescent lighting systems used in the former office. As a result, new facilities were furnished with incandescent task and ambient lighting. The latter emanates from tops and bottoms of custom cabinetry. Ceiling lighting along corridors is provided by conical overhead fixtures that produce decorative, functional, incandescent lighting effects.
Partitions aid ventilation
Editors' offices run along the facility's perimeter and feature in-room air conditioning, while the interior office staff receives ventilation from a central unit. To combat poor air distribution through interior offices, specifiers created a pyramidal or "zigaret" partition system which aids air and light flow. Panels step up from 5 ft. to ceiling height with a 7-ft. step in between. This configuraReception area (above) features subdued gray and rose tones which promote tranquility and quiet. This motif is in direct contrast to previous Cosmopolitan offices which sported busy, eclectic design and color schemes. "Zigaret" or pyramidal partitions can be seen in corridor view (right). These panels aid air and light circulation in open plan offices.
**SOURCES**
*Sofas and banquettes*—Otto Bach. *Seating*—Sunar, Gordon International, Knoll, Kinetics. *Cocktail tables*—Custom-fabricated by Caccamo Woodworking. *Drum tables*—Intral. *Desks*—Metal Stand. *Reception desk*—Custom fabricated by IBS. *Fabric*—Kent Braggine. *Guild Needlecraft, Design Tex, Bill Corry, Gillford, Quadrille.*
*Flooring*—Hastings Tile, Esquire Carpet. *Laminate*—Formica. *Storage units*—Lamica Corp., Metal Stand. *Lighting*—Lighting Assoc., Bloomingdales. *Signage*—Graphic Signage Inc.
*Interior design*—Barbara Schwartz, ASID, Barbara Ross, ASID, principals; Robert Cole, project director; Dexter Design Inc. *General contractor:* Edward Robbins Inc. *Furniture consultant:* Peter E. Frangos. *Furniture supplier and installer:* IBS Inc.
Furnishings are refurbished for reuse
tion adds decorative accents to the facility’s simple architecture while enabling air and light to circulate.
Although space requirements were tight, specifiers were able to provide a desired amenity for editor Brown. By re-working walls in the office’s restroom facility, designers created an executive bath complete with shower, vanity, closets, and suitable lighting. Says Schwartz, “Helen Gurley Brown is a high-powered woman who works long hours and attends many after-work functions. The bath facility provides her with a private space in which she may relax after the day’s work and prepare for television interviews and parties.”
Furnishings in Helen Curley Brown's office (opp. page) were brought from previous quarters. New fabrics used to refurbish seating, carpeting, and wallcoverings closely simulate patterns and colors found in former offices. Floor plan (left) does not vary greatly from that of former space. Editors' offices run along the perimeter and feature windows. Conference room (below left) was created by sectioning off a piece of the hallway. Custom banquette enables 17 people to meet comfortably. Art director's office (below right) features a built-in light box which maximizes floor space.
Building Automation computerizes a Hartford, Conn. superstructure to create an energy-conscious, cost-effective electronic environment
by KATHERINE FORMAN
Associate Editor
Can specifiers offer clients computerized control of environmental conditions, substantial energy savings using standard HVAC equipment, and complete voice-data communications capability in one stroke? The answer is yes, thanks to the development of Building Automation's Data Highway.
Soon to be installed in CityPlace, a 1.2 million-sq.-ft. building now under construction in Hartford, Conn., the Data Highway ties together all building systems through a central computer or "brain" which monitors and controls room temperature, lighting, ventilation, elevators and escalators, fire and security systems, and overall energy use.
In addition, through the use of fiber optic cables—hairlike glass strands capable of transmitting information at the rate of millions of light pulses per second—the Data Highway offers several communications services to tenants. These include electronic mail, word processing, satellite communications, and simultaneous voice-data transmission within the building and to other points which hook up with the computer's central PBX switch.
Building Automation is a subsidiary of United Technologies, a leader in aerospace, building systems, electronics, and automotive research. The organization incorporates services of Otis Elevator, Carrier Air Conditioning, and Lexar Corporation. Thus, the firm offers clients an integrated building systems approach which is both cost-effective and highly advanced.
**Computerized for thorough energy management**
At CityPlace, Building Automation will provide Otis Eleponic passenger and service elevators. Featuring a microprocessor-based system, elevators have an operating panel that announces floor landings, car direction, and special messages by voice. When hooked up to the Data Highway, fiber optic transmissions will automatically send elevators to lobby, parking, and main traffic areas morning and night to expedite service and reduce energy use.
Carrier will provide selected heating, ventilation, and air conditioning equipment that links with the computerized energy management system. Operators can check fans, dampers, humidifiers, heating coils, and cooling devices on a central screen which receives electronic messages from individual microprocessors located throughout the building.
Sensors determine air temperature and monitor mechanical systems to insure that energy is not wasted. If systems malfunction, the computer will set off alarms. Since the computer is highly accurate, costly pneumatic back-up controls are not required. Thus, operating expenses for tenants and building owners alike are reduced.
**Control is local, not central**
The Data Highway is equipped with various programs which correspond to internal building conditions and outside climates. Each day, the computer evaluates both factors to determine which program it will select. As it remembers day and time, it will automatically set low air conditioning and lighting levels throughout the building on Saturday or at night.
Although energy management programs are monitored by the building manager, individual tenants determine lighting, ventilation, and air conditioning/heating levels in their own offices. Says Building Automation president Tony Autorino, “All the tenant has to do is notify the building manager if a change in his energy program is required. Since the computer’s language is everyday English, it is simple to modify programs on a daily basis.
“If, for example, a firm decides to hold Saturday meetings,
---
*An additional energy-saving feature offered to CityPlace tenants is Infracon, a passive, infrared sensory device which automatically shuts lights off 12 minutes after users leave their offices (opp. page). Electronic mail and other automated information-processing systems are available to large and small tenants alike, via least-cost routing of the Data Highway (below).*
Designed to adapt to future automation requirements
it will notify the building manager and he will reprogram the computer to increase power on that particular floor," he explains. "Thus, those tenants will have a comfortable working environment in their offices, while the rest of the building remains on low consumption. Energy is not wasted and only those tenants using the facility will pay for power."
Fiber optic cabling will run up and down floors connecting all electrical and mechanical systems as well as data terminals. Immune to electrical interference, the cabling carries high-speed data and provides wide band services such as closed-circuit television and microwave transmission. Since fiber optics possess an almost unlimited capacity to expand as future automation needs dictate, they will be able to accommodate video conferencing when that concept is an integral part of office operations.
Since satellite communications are a standard feature of the Data Highway package, CityPlace and subsequent installations will be furnished with satellite dishes. Developers desiring solar-powered buildings in the future would need only to adapt these dishes to collect the sun's energy and modify mechanical systems to function on solar power.
The cost of the basic energy management system without the added expense of voice-data communication is approximately $5- to $10-million in a 1 million-sq.-ft. building, according to Autorino. The telecommunications feature, which is a tenant option at CityPlace, costs an additional $1- to $2-million.
Notes Autorino, "These figures are dependent upon the number of elevators, number of telephones within a given area, and other like factors. It is impossible to estimate the cost for a given structure without having precise building plans in hand."
Savings achieved with a computerized energy management system have been documented. The Massachusetts Institute of Technology (MIT) system, installed by Building Automation in 1977, was expected to yield a two-year payback. According to MIT, the system paid for itself in less than one year through energy savings alone.
Program system to yield maximum benefits
These figures bear important messages for energy-conscious space planners and specifiers. Since the individual tenant need only hook into the system based on his own requirements, all building occupants can receive the system's benefits at a reasonable price via least-cost routing. Specifiers can suggest the Data Highway to clients interested in building a new headquarters or to clients looking to relocate. The latter have the option of moving to a building which features the Data Highway and then adapting the program to their needs. Comments Autorino, "It is up to the builder to provide the most adaptive system. It is up to the tenants to make it work best for them."
At CityPlace, United Technologies and Building Automation are collaborating with two developers, Urban Investment & Development and Bronson & Hutensky, to install the Data Highway. Since the building is designed to be a model for future customers, all investment and installation costs are borne by United Technologies.
Says Autorino, "In some respects the project is a gamble. But we see it as a risk worth taking. It's time for buildings to stop being passive and begin responding to the needs of their inhabitants. That's what CityPlace will do—offer each individual optimal control over his personal environment." □
Graphic (opp. page) illustrates total capacity of Data Highway. Fiber optic cabling runs up and down building floors, connecting all systems that hook-up with the computer's central PBX switch for thorough energy management and environment control. Elevators (left) are automatically programmed to lobby, parking, or primary traffic areas for expeditious service during rush hours.
DATA HIGHWAY
- Heating, Ventilating, Air Conditioning
- Automatic Temperature Control
- Energy Management
- Word Processing
- Data Processing
- Telephone
- Fire Alarm
- Security
Illustration by Donna Sanz
SHRINKING OFFICE SPACES REQUIRE DESIGN INGENUITY TO FUNCTION
By RACHEL LONG
Associate Editor
Though the shrinking office continues to shrink, incredibly it can still remain functional. As commercial rents skyrocket, office spaces grow smaller and the demand for ingenious solutions to office planning increases. Stress on word processors over space-consuming secretarial stations, reduction of reception and waiting areas, and centralization of record keeping are means employed to expand efficiency while reducing required space.
Notes Curt Zeiser, chief operating officer, Griswold, Heckel, & Kelly Associates (GHK), “Clients in New York, Boston, Chicago, Denver, and San Francisco all have asked us to redesign their offices to use less space.” A designer for 20 years, Zeiser says the current situation sets a precedent for office design strategy.
Firms refuse more space
“One client,” reports Zeiser, “moved into three and one-half floors of prime downtown office space less than three years ago and today that firm wants to eliminate an entire floor. That isn’t unusual. We are getting calls every week from clients who want to reduce office size.”
Despite the fact that some companies own or lease additional space, they are not exercising expansion options because revenue generated from rentals is needed. Other firms are pulling back to have space for short-term sublets.
While some companies are experiencing expansion, they refuse to take additional office space, reports Zeiser. “We are currently meeting with an agency that wants to convert its
traditionally function-clustered space to open plan so that growth can be accommodated without using option space within its own building."
There are certain pressures that come with such conversions, according to Zeiser. "Project managers must be very experienced to handle assignments like these. We've gotten into areas such as recommending word processors to cut down on secretarial space. We urge companies to update communications systems for more effective interaction and security with fewer reception areas." These are necessities in today's working environment.
**Taking away luxuries**
"It is not difficult to convince top management of space cutbacks or reconfiguration when dollars can be saved. Managers are conscious of costs and operating expenses. It's much harder to convince staff on various levels that reducing space is a viable option," he says. "We never take away functional components. There is enough space for actual work areas and storage. We have taken away the luxurious—large private offices, sofas and lounge chairs, and intermediate waiting areas. Most were not fully utilized anyway."
As new, "clean" project demands decline, GHK is kept busy by the need for better space utilization. Zeiser reports, "The companies most interested in redesigning space are successful, profitable businesses.
"Just as conservation was spurred on by the energy crisis, the economic incentive is there for companies to make better use of office space. Rent for most companies formerly was a tiny fraction of overhead. Now that it is as high as six-to-10 percent of operating costs for service industries, companies are seriously seeking ways to maximize efficiency of office environments." Turn page for office space checklist.
1 EVALUATE RECEPTION AREAS
Most multi-floor offices being designed today have only one reception area for the entire office, using what formerly would have been reception areas on other floors for work space.
2 COMBINE EXECUTIVE OFFICES AND CONFERENCE ROOMS
Many companies are opting to reduce the number of small conference rooms by replacing executive sofas and occasional furniture with small conference tables and chairs in the office.
3 DECENTRALIZE
With new technology for word processing, telecommunication, and data processing, it is less necessary for clerical and recordkeeping functions to be located in the same expensive offices with the executive staff.
4 REALLY CONSIDER AN OPEN PLAN OFFICE
Offices without walls have been available for years and today’s office furnishings function better than ever in maintaining privacy and minimizing noise.
5 USE “LOST” SPACE
In any office, from five-to-20 percent of space is consumed by corridors and other areas “lost” to work functions. Many of these spaces can be redesigned to decrease the loss factor.
6 LOOK UP FOR STORAGE
Just as a five-drawer file cabinet uses space 25 percent more efficiently than a four-drawer model, floor-to-ceiling storage, properly planned, uses space with near 100 percent efficiency.
7 BRING PEOPLE TOGETHER IN CLUSTERS
Modern workstations can consolidate two-to-four functions in space that formerly served one office worker.
8 MAKE SPACE DO DOUBLE- OR TRIPLE-DUTY
The legal department, for example, can often combine its conference room, library, and file room.
9 CENTRALIZE FILES
Eliminate the practice of maintaining duplicate departmental files.
10 THROW THINGS OUT
Zeiser cited the views of John Culton, former president of the Association of Record Managers and Administrators. He estimates that companies not using records management retain 30 percent more files than are needed and that an additional 20- to 30-percent of records can be stored in warehouse space away from the office.
OFFICE FURNISHINGS BLEND ESTHETICS & ‘HARD TECH’
Well-designed wood & leather furniture gives specifiers high-tech engineering needed by today’s executive
Domore—Drop panels and interleaves allow for many configurations of table/desk. Designed by Danish architects Eric Rasmussen and Henrik Rolff, system comes in oak, plastic laminate, dark brown wenge stain, or black stain. The firm’s 2R side chairs complement the unit. Circle No. 203.
Packard—Officenter® 2000 builds in circuitry with its transpower electrical system. Task and ambient lighting, steel panel construction, and roll-front storage units are standard. Circle No. 240.
Ergonomics is key seating feature
**Emeco Industries**—Console seating provides chair heights for a range of needs. All models have tilting backs and adjustments for seat height, back tilt tension, and back vertical and horizontal adjustments. Upholstered arms and five-star base are standard.
Circle No. 302.
**Kimball**—Coordinated desks and storage units are part of the 7500 series. Offered in walnut veneers and solids, units have a high-sheen lacquer finish. Series includes a CRT table with keyboard shelf and printer table.
Circle No. 216.
**Hauserman**—Privacy Panel™ system is integrated with office components including configurations for fully enclosed offices. Desk and cantilevered work surfaces are designed to support a range of electronic office equipment. Tops are offered in high-pressure laminates.
Circle No. 227.
**Charvoz-Carsen**—Built-in lumbar comfort support is result of chair's rocking capabilities. Armrests, pneumatic control, five-star base, and wool fabric choices are standard in this series G 2112.
Circle No. 220.
Executive Office Concepts—Anthropom chair is ergonomically designed in wood with style options including armless and conference swivel models. Synchrotilt tension, back lumbar support, and pneumatic lift are standard. Oak and walnut are available in a variety of finishes. Circle No. 225.
Fleetwood—Gibraltar group consists of 14 products for office organization. Upper display section, adjustable shelving, and bottom storage drawers or covered shelving are standard. Circle No. 256.
Tiffany Stand—Word processing/data processing stations are designed to accommodate electronic equipment. Depth is 24 in. with 36- or 45-in. width offered. Optional supply cabinet may be mounted under either side of the table top. Circle No. 230.
Vladimir Kagan Designs—Crescent executive collection consists of unusual designs in Acacia with high-polish lacquer. Units are available in custom sizes. Circle No. 233.
Providing storage in modular groupings
**Office Suites Inc.**—Vintage series incorporates historic references within a contemporary style. System shown has a mix of wood and other materials in work surfaces and storage units.
*Circle No. 311.*
**MPC Inc.**—SilentWall® panels and QuieTile® ceiling inserts from Noise Control Products Div. absorb distracting office noise. Panels and vertical hanging acoustic baffles allow color and design coordination of total office.
*Circle No. 222.*
**Westin-Nielsen**—Created by designer Earl Koeple, swivel chair is made of laminated hardwood veneers. Wood five-star base and open arms are standard.
*Circle No. 218.*
**VectaContract**—Ergonomic principles have been applied to Raftery executive seating line. Vectaflex™ allows the front edge of the seat to tilt downward to reduce pressure points which cut off circulation. Eight models with a range of options are offered. William Raftery, design manager, created the series.
*Circle No. 246.*
**Delco**—CRT desk has been added to line of systems furniture. Bi-level units have a two-drawer pedestal plus a center drawer with built-in pencil tray.
*Circle No. 214.*
Girsberger Industries—Consens 1 #6601 is a complete seating line from swivel task chair to executive model. Cushioned back and seat and five-star base give comfort and stability.
Circle No. 260.
Tuohy—Plexus armchair grouping has interconnecting or single units available. Modularity allows different formations for custom sizes. Available in red oak, ash, or walnut, seat chairs have cushioned seats and backs with fabric or vinyl upholstery.
Circle No. 210.
Stow/Davis—Moving chair, designed by Richard Schultz, has arms and back which move independently of the seat. Wood, chrome, and fabric finish the rounded look.
Circle No. 232.
Harvey Probber—Advent III system furniture components now accommodate computer equipment and media storage. Wire management, corner work units, and hanger bar for electronic filing are part of available options.
Circle No. 261.
John Stuart/John Widdicomb—Aurora Collection has desk of olive ash burl with solid brass base. Designed by Robert and Bruce Mulder, unit can be lacquered with a variety of finishes. Etagere completes the line.
Circle No. 249.
Adapting desks to suit computers
**Acme Landscape**—Components include panels, raceways, work surfaces, shelf units, doors, and pedestals designed for the open plan office. Items are engineered to fit individual differences in physical build. Custom orders can be accommodated. **Circle No. 313.**
**Hamilton Sorter**—Complete line of workstations and accessories has been designed for micrographic applications. Three heights and 16 sizes of work units are part of the series. Various configurations and storage systems make the line applicable to many settings. **Circle No. 239.**
**Lubke**—Pictured are upholstered chair models 446/16 with a solid wood frame. Model 682/21 conference table measures 43½- by 82¾-in. **Circle No. 315.**
**Precision**—Data table has adjustable keyboard platform for three operator positions and 5- to 10-degree incline. Optional drop shelf and drawer space are reversible for left or right positioning. Unit suits firm’s System 9 line or existing furniture. **Circle No. 253.**
**AGI Industries**—Carlyle sofa is one of 30 contemporary lounge groupings by this firm. Pictured unit has polished mirror chrome trim with oak or walnut trim optional. Line is available in sofa, loveseat, and chair models. **Circle No. 242.**
Harter Corporation—Harter/Stoll H series chairs have solid beechwood seats and backs in light, medium, or dark stain. Four swivel models and two side chairs are offered. Circle No. 226.
Lehigh-Leopold—Desks, credenzas, and occasional tables are part of the geometric Bloc series. Reveals separate top and corner posts from panels and pedestals. Oak, mahogany, and walnut are finish options. Circle No. 251.
HAG USA—Anthropometric needs are met by this sliding back support feature in high- or low-back version. Frames are offered in chrome or natural beechwood with three stain options. All models have armrests designed to fit under desks or tables. Zippered upholstery is removable for cleaning. Circle No. 259.
Westinghouse—Wes-Tech series has freestanding desks which may be linked with square, triangular, quarter round, or trapezoidal cluster tops for infinite flexibility. Panel-hung cantilevered surfaces are also available. Tilt carousel CRT base permits terminal sharing. Circle No. 265.
Wire management is now standard
**Spec'built**—Single integrated unit consists of a double pedestal executive desk, credenza, closets, storage, drawers, complementing settee, and room door. Designs are custom-executed to exact specifications. **Circle No. 209.**
**Atelier International**—Uni table—part of the new Made-In-America collection—is offered in three models and 27 variations. Particularly suited to restaurant and corporate dining applications, it is designed by Werther Toffoloni. **Circle No. 314.**
**Gunlocke**—Softly sculptured, radius edge series includes desks, credenzas, returns, and lateral files in contemporary design. Available woods are walnut, oak, or mahogany. System is called "elan." **Circle No. 248.**
**Lunstead Designs**—Solid oak radiused posts and caps, interchangeable wood and acoustical panels, and vertical or horizontal wire management are part of the MatrixSystem open plan line. System allows easy reconfiguration without damage to panels. **Circle No. 244.**
**Charlotte Chair Co.**—Kirk executive tilt chair combines upholstery detail with wood trim. Six styles are offered in the Kirk line. **Circle No. 258.**
Myrtle Desk—Contemporary collection of executive office furniture has hand-tailored tops and bases of top-grain leather. Wiring access openings with solid brass fittings are options for the desk top. Circle No. 215.
Creative Dimensions—Drafting tables in CL and SCL series have steel frame construction and hollow core top. Full adjustment range and three standard board sizes aid in adaptation to various functions. Circle No. 257.
Inlays add accents to desks
GF Business Equipment—Corner work surface shows split-level keyboard option with Action Arc configuration for operator comfort. Tri-circuit Electra III is also used in this station. Circle No. 254.
Ram—Line of 2000 series electronic panels is available to accommodate complete internal requirements of office machines. Dual circuit is standard with a third isolated grounded circuit offered for CRT use. Circle No. 236.
Gregson Furniture Industries—Shorter armrests permit freedom of movement in this office seating group. Five-star base gives stability while lumbar support eases back stress. Circle No. 229.
Tulip—Swivel tilt, adjustable height, and tension control lend function to this upholstered, cushioned high-back model. Five-star base has double wheel casters. Circle No. 241.
Harvard Interiors Manufacturing—Free-form armrests allow positioning of 610 Posture Chair near workstations and terminals. Adjustable posture mechanism reduces fatigue. Five-star base gives increased stability.
Circle No. 207.
American Seating—Components for the electronic office permit sharing of VDTs and adjustment of screen. Rolling pedestal drawer gives full mobility. Varied configurations allow flexibility in design options. Circle No. 205.
United Technical Products Inc.—Static protective chair mat has been developed to control static in electronically sensitive environments. Overlay protects specially compounded vinyl film bonded to substrate. Clear-Stat dissipates static charge carried from outside areas. Circle No. 224.
Falcon—Constructed of solid oak, parallel collection features low table with laminate inlay. Collection has matching chairs. Units are appropriate for reception areas or lounge groupings.
Circle No. 213.
Hiebert—Option Two series secretarial desk comes in standard T-model version. Desks and return surfaces have inlaid tops with flush side panels. Oak or mahogany is available.
Circle No. 237.
Increase privacy with acoustic barriers
Croydon Furniture Inc.—PlexiTop office enclosures create privacy with floor-to-ceiling barriers. Totally integrated with the firm’s open office system, plexiglass infills fit ceiling tracks. Circle No. 234.
Rudd—Cyborg chairs feature adjustable arm height, back height, and arm width. Three pneumatic cylinders control seat height, angle, and depth from sitting position. Seat moves continuously through a range of positions via hydraulic cylinder control. Circle No. 316.
Mueller Furniture Corp.—Additions to the Integre casegoods line include Gallery reception desk finished in red lacquer. Shelf with task lighting and storage space eliminates need for additional furniture in reception area. New credenzas are also offered for the Integre series. Circle No. 245.
Modern Mode—Case goods series 9000 has hand-cut chamfered edges to complement natural wood grain finish. Sculptured octagonal base supports table run-off. A broad range of woods is available. Circle No. 219.
Baker Furniture—Al Herbert designed a contemporary office furnishings series of walnut veneers and bronze accents. Wired for technological accessories, desk has matching cabinets, files, and open storage units. Circle No. 247.
Reff Products Ltd.—Series 55 has acoustical screens with solid wood trims and raceway bases. A variety of work surfaces and auxiliary tops are available. Circle No. 212.
Brayton International—Office system has been developed at the workshop of Klein and Stoll in Cologne. Called “Signature,” system has vertical storage units, desks, movable storage pedestals, and consoles. Circle No. 211.
Nucraft—George Schad has completed three designs for modular shelving, each featuring different edge molding. All units are offered in multiples of 36-in. width, in heights from 60- to 94-in. Circle No. 208.
R-Way—Cordovan, a hand-rubbed lacquer finish, complements Cambray series of desks and accessory units. Acacia veneers lend exotic look to contemporary series. Circle No. 263.
High Point Furniture Industries—Interchair collection contains 15 ergonomically designed office seating products with gas lifts and handwheel adjustments. Swivel tilt in high- and low-back variations is an option. Chairs suit electronic equipment operators. Circle No. 267.
Ball-bearing suspension eases access to files
Haller Systems—Workstations are designed to handle electronic office terminals and processors. Tabletop extension surfaces and printer stands are adjustable. Printer stands have rear extension tray for printouts and casters for mobility. Circle No. 231.
Samsonite Corp.—Robert/Bernard Associates designed this clerical/data processing chair with articulated shell construction. Styling allows continuous support with flexible back movement. Cantilevered arms are resilient self-skinned urethane molded over steel. Height adjustment is standard. Circle No. 264.
Steelcase—Design 9, a complete line of wood furniture, is compatible with the Series 9000 system. Included in this modularly designed line are structural panels, desks, credenzas, returns, work-surfaces, and panel-supported binder bins. Circle No. 324.
ArtopeX—Versatile filing system AS-60 has solid, double-base construction and a patented system to prevent simultaneous opening of drawers. Ball-bearing mounted suspension, soundproofing, and a range of configurations, dimensions, and color choices are also standard. **Circle No. 266.**
Executive Furniture Inc.—Desks in new line contain two center drawers and writing arm slides. Both pedestals come with standard locks and ball-bearing suspended drawers. Line is available in walnut and oak veneer. **Circle No. 206.**
Conwed—Series 960 see-through panel allows workers to observe other areas with privacy. Plexiglass and acoustically treated fabric comprise the panel. Full range of colors and sizes are offered. **Circle No. 238.**
Leathercraft—Newest executive chair has tufted center back and loose pillow cushion seat plus fully upholstered arms. Hand-driven brass nails complement classic styling. Chair is offered in 250 colors of leather. **Circle No. 221.**
For more information on office products see page 202.
Have You Centralized Control Of Art Inventory Programs?
Corporate consultant shows how recordkeeping adds to the value of prized collections
by Judith Selkowitz
As interest in corporate art programs increases across the country, the establishment of an inventory system to manage corporate collections takes on added importance.
Such collections vary tremendously, ranging from programs comprised of prints and posters, to costly original works of contemporary masters. As a corporate art consultant, I have been directly involved with collections of varying size and value and have always stressed the importance of establishing an inventory system suited to each company's needs.
While no two collections are the same, there are a number of factors employed in managing an art inventory system which are applicable to every case across the board.
Establish central control
Once the decision has been made to implement an inventory system, responsibility for maintaining a current information file should be assigned to an individual within the company. Ideally, this person would also be responsible for acquisitions and management of the collection, thus assuring completeness and accuracy.
The type of inventory system appropriate to a collection must be determined by the following criteria:
- size of the collection.
- length of time chosen to acquire the collection.
- amount of information desired on each artwork.
One of the most important steps toward establishing a well-organized system is assignment of a corporate accession number to each piece, including all works in series and portfolios. Next, photodocumentation, either in color slide form or black-and-white photograph, is essential for proper identification and provides useful information for insurance purposes.
Finally, a data sheet should be compiled on each work, to include:
- the full title of artwork (including any information pertinent to correct identification—edition numbers, etc.).
- full name of artist.
- medium of artwork with dimensions of image, paper, and frame.
- location within company.
- date of acquisition and value of artwork and frame.
Handling large, existing collections
Working with these specifications, a company can maintain an adequate and useful inventory record. However, in the case of a corporation having large collections distributed among several facilities, a frequent in-house rotation policy, or an active loan program, additional information should be a matter of record.
Several corporations have created a loan policy form distributed to all those employees occupying private offices that have artwork on display, thereby reaffirming location and condition of artwork. Additional record-keeping which proves to be useful to corporations with eclectic collections includes:
- biographical information on the artist.
- source of acquisition
- provenance of artwork.
- information pertinent to a commission project.
- a record of conservation work completed.
In addition, an inventory system which has cross referencing capability can be useful in large collection management. One major corporation in the country has a computer-based system which can locate artwork by the accession number, artist, medium, or location with an immediate print-out of all available information on that given work. This system is indeed well applied to a large collection with an extensive publication and loan program.
When a collection already exists and demands that an inventory system be introduced, the task may be formidable but will reap many benefits once completed. I suggest that an inventory checklist be started by compiling all works on a floor-by-floor basis, indicating accession numbers, location, and proper identification data.
A further breakdown recorded on color-coded index cards according to type of medium is a simple and manageable way to begin inventory records. I also suggest that old invoices providCorporate art inventory systems provide the mechanism to keep accurate records of collections. Data sheet (above) offers one solution to tracking each artwork in a program.
Accurate management of the collection is dependent upon, once again, a single individual responsible for maintenance of the inventory records and the collection itself. I strongly recommend that a routine inspection of all work for possible damage be completed every six months. With this routine check, locations may be validated in addition to the condition of the artwork, mat, frame, and glass.
Most corporations like to have their collections reappraised; an appraiser should be hired once every three years. A listing of appraisers, conservators, truckers, and installers should be maintained as a routine part of the management of the collection.
An inventory system provides the mechanism to keep an accurate record of corporate collections and acts as the core for all employee involvement. Once a corporation begins an inventory system, its accessibility should be made known to employees so that they may refer to records and thus fully benefit from the collection. Staff involvement is integral to the true success of a corporate art collection.
Judith Selkowitz, president of Judith Selkowitz Fine Arts Inc., a supplier of fine art and consultant to corporations, architects, and designers, has worked in the field since 1970. She is a Fulbright scholar and has lectured at the Harvard Graduate School of Design.
ADD COLOR & TEXTURE TO INTERIOR SPACES WITH CORPORATE ART
Custom & limited edition photos, wall hangings, & murals provide the finishing touch
Lisa S. Klinghoffer—Completed in 1981, ‘Parrot’ is acrylic on wood and measures 57- by 66- by 44-in.
Circle No. 288.
Bolae Designs—"Leda and the Swan" is a one-of-a-kind, signed, sculptured panel measuring 72-in. wide by 36-in. high. All works completed for private collectors feature certificates of authenticity.
Circle No. 285.
Creative Glassworks—Custom and limited edition works are adaptable for use as windows, screens, tables, and dropped stained glass ceilings. Designs are made of precision-cut background sheets of stained glass and are assembled without the use of lead.
Circle No. 295.
Du Pont—Custom carpet designs for walls produced by Carpet Systems were recently displayed at the Carpet Systems/Hamilton House gallery showing, Omni Hotel, Miami. Woven of Antron nylon from Du Pont, hangings are one-of-a-kind, hand-fabricated originals.
Circle No. 276.
Peter Pepper Products—More than 150 subjects are included in the firm's "Gallery of Original Photography." Catalog shows original photographs in various sizes framed in natural- or bronze-aluminum, or oak.
Circle No. 270.
Greg Copeland—"Eggs Over" is an original photograph which features lucite matting and color-coordinated lacquer frame. Available in three sizes, it is offered in limited editions of 1,000.
Circle No. 287.
International Printworks—Contract division offers textile print wall hangings in varied colors, patterns, and sizes. Imported from Europe, Scandinavia, and Japan, art is stocked in the U.S. for quick delivery. Circle No. 297.
Verbena Galleries—"Moon" by Carol Kropnick is made of bird feathers glued to a linen backing and framed in wood. It measures 48- by 29-in.
Circle No. 322.
Reversibility increases art applications
Fred Bergmann—Intricate copies of ships are fashioned by the artist from soldered copper wire. Designs range to 2-ft. high and feature hundreds of feet of wire. Circle No. 319.
WW Graphics—Paintings and serigraphs from various artists are available. Shown is “Kimino,” a limited edition serigraph framed in black metal by Erica Lann. Circle No. 282.
Marilyn Dintenfass—IBM offices in Charlotte, N.C., feature commissioned works by this artist. Shown is “Cubik Themes,” a 7- by 20-ft. porcelain wall sculpture. Circle No. 294.
Judith Selkowitz
Judith Selkowitz Fine Arts—Specializing in corporate art that includes murals, wall sculptures, weaving, and wall reliefs, firm offers works for immediate purchase or on commission. Shown is "Geometrie Courbe" by artist Daniel Graffin. **Circle No. 272.**
Brejt fus—"Soft Imagery" upholstered wall graphics are comprised of soft, suede cloth wrapped over polyurethane foam. Created by artist/designer Ron Brejt fus, collection includes 15 new designs. **Circle No. 274.**
Jean Lumbard Fine Arts—"The Fat Lady" is painted on a 7- by 6-ft. canvas. Reverse side features "The Elephant Boy" which is painted to the same scale. Artwork is designed to be hung so that both paintings are visible. **Circle No. 283.**
Kimric Products—Six color prints of famous American ships are featured in "Ship Prints with Plans" collection. Ready-to-hang graphics feature architects' original plans and are framed in oak with protective glass cover. **Circle No. 281.**
Betty Goldstein—This artist's stone sculptures grace walls and doors of institutions throughout the U.S. A recent commission is the Jewish Home for the Elderly, Fairfield County, Conn., for which she will create a Tree-of-Life. **Circle No. 318.**
Complete customization possible
Franklin Picture Co.—Series FA288 graphics feature Oriental cranes that are hand-painted on a cork background. Framed in a 2½-in. walnut moulding, graphic is mounted on a gold streak panel under glass. **Circle No. 269.**
Winn Galleries—"Islands in the Sun" by Max Hayslette is a 38- by 25-in. serigraph. Graphic is available in limited editions of 300. **Circle No. 292.**
Gilford Designs—Velvets and textured fabrics comprise the 12- by 3-ft. wall-hanging (shown) created by Ann Gilford. Commissioned by architect Craig Hamilton of Resources Property Mgt. Corp., project graces walls at Sheraton Inn, Philadelphia. **Circle No. 271.**
Kaleidoscope Ltd.—Artists' Folio Collection includes 20 pairs of serigraphs designed for contract interiors. Each may be custom colored from fabric swatches to coordinate with interior plans. Varied frame and mat selections are offered. **Circle No. 289.**
David M. Stone—All phases of photodecor, from original photography through installation, are handled by the firm. Custom photography is printed, mounted, and framed according to customer specifications. **Circle No. 279.**
TSAO Designs—Custom Wall I consists of a series of geometric elements the designer can use interchangeably to create various artistic compositions. Units are upholstered in wool or in any of a selection of COM fabrics. **Circle No. 268.**
The Image Bank—Firm represents more than 200 photographers and stocks two million catalogued original works. Art shown is by Peter Angelo Simon.
Circle No. 320.
R. Volid Friedland Galleries—Shown is a commissioned work by Maxine McClendon as installed in the First National Bank of Mount Prospect. Gallery offers custom artwork designed for contract spaces.
Circle No. 280.
Marigold Enterprises—Firm applies lithographic or serigraphic images to many types of materials. "Lily" table top (shown) was designed by artist Lowell Nesbitt.
Circle No. 321.
Belart—Handcrafted "Oval Butterflies" mirror features burnished orange and gold stained glass design. Frame is solid oak.
Circle No. 293.
For additional Arts & Graphics coverage refer to Products & Services section beginning on p. 197 in this issue.
Asigan Int'l Marketing—Mary Cogswell designs stained glass windows to custom specifications. Artwork is shipped from her California gallery to any location.
Circle No. 299.
...THAT'S QUALITY!
...THAT'S COLLIER-KEYWORTH!
Quality mechanisms and designer bases by Collier-Keyworth.
COLLIER-KEYWORTH COMPANY
GARDNER, MASSACHUSETTS 01440 617-632-0120
SPACESAVER SYSTEMS:
the intelligent alternative to storage.
Doubles Storage Capacity without Doubling Interior Space...
or Saves 50% of Space for other functions.
Case Studies
1. Fort Savings & Loan Association
Edgerton, Wisconsin
2. Arthur Andersen & Associates
Chicago, Illinois
3. First National-Southern Natural Gas Company
Birmingham, Alabama
THE CASE FOR HIGH-TECH HIGH-DENSITY MOBILE STORAGE SYSTEMS FROM SPACESAVER.
The basic concept is simple. By eliminating non-productive aisles that occur in conventional storage, Spacesaver fills those wasted aisles with 100% more material storage...using only a single, optional "moving" aisle. Mobile storage units carrying tons of payload per unit traverse on a system of rails...effortlessly and quietly. It's the high-tech way, the smart way to fully utilize all the available interior space for storage areas. And Spacesaver offers the Designer back-up planning assistance with a comprehensive Kinetic Space Analysis study for each of your client's projects. Spacesaver. The intelligent storage concept that just makes sense...for you and your clients.
The Spacesaver Group.
Yes, Spacesaver makes sense to me.
☐ Please have your storage specialist contact me for my complimentary copy of the Architectural Planning Book.
☐ I would like to review your entire Designer's File.
Name
Organization
Address
City
State
Zip
Telephone
Spacesaver Corporation
1450 Janesville Ave.
Ft. Atkinson, WI 53538
(414) 563-6362
Available to qualified professionals. Includes Design Manual, Architectural Planning Book and Floor-Loading Technical Guidebook.
THRASHER'S
Creativity and craftsmanship in fine furniture...
For new dimensions in laminate and wood veneer, we take your concept to reality with our quality production techniques.
Inquiries for Representation and Dealership's welcome.
For more information or details, write or call:
THRASHER'S CBF, Inc.
1007 East Pratt Street, Baltimore, Maryland 21202
Showroom (301)732-8606 Plant (301)732-3255
Choose from THE SOURCE
The New Generation In Contract Carpeting
DUPONT ANTRON III, the luxurious fiber, is now available in the Merit Executive Series by Jim Wylie. Choose from a wide range of luxury cutpile styles from heavy commercial to executive area, in the stock color or custom-dyed "perfect color" that suits your decor. When it comes to creative carpeting, leading designers choose from THE SOURCE, Jim Wylie, for their most resourceful contract selections.
Russell Campbell, ASID, chooses "Executive Velvet" by DUPONT from the Merit Executive Series by Jim Wylie.
MERIT CARPET CORPORATION
Watts Lines: Kansas, Oklahoma, Arkansas, Louisiana, Mississippi, Missouri; 1-800-527-2251
Texas: 1-800-442-7550
Circle 88 on reader service card
SHOWROOMS:
Dallas —
9015 World Trade Center
(214) 438-5050
Houston —
1205 West Loop North
Suite 130 • (713) 682-3700
GENERAL OFFICES:
3410 Century Circle
Irving, Texas 75062
(214) 438-5050
Take any number. It’s sure to grow on you. Because it’s from our collection of stylish, durable, reasonably priced contract chairs—many of them our own patented designs.
Leather-wrapped rattan. Hand-carved reproductions. Exposed hardwood with imported cane. We make all these styles and more in your choice of fabrics and finishes—customized, if you like—for hotels, motels, restaurants, any commercial setting.
In addition, we offer companion tables, sofas, loveseats, chests, bars, barstools and other accessory pieces.
For a better look at our designs and for more information about everything from occasional chairs to complete groupings, send for our free Contract Catalog. Write to Director of Sales, Lewittes Furniture Enterprises, Inc., 171 Madison Avenue, New York, NY 10016. Telephone (212) 684-2255. International Telex 42910.
sitting pretty® by Lewittes
Sitting Pretty® is a registered trademark of Lewittes Furniture Enterprises, Inc.
Computer graphics, ceramic murals customize schemes with unique motifs
**Walker Systems**—“Hook-on” picture moulding attaches to most systems panels. Artwork—as well as certificates, planning schedules, and photographs—is easily displayed via hooks, clips, and holders which attach to moulding. **Circle No. 284.**
**3M**—Scanamurals are full-color computer graphics derived from photographs, sketches, or artwork. Enlarging process produces paintings ranging to 10-15-ft. on a single fabric, vinyl or carpet panel. Panels can be sewn together to create larger graphics. Pictured work was executed by K & S Photo Interiors, Chicago, for the First National Bank of Oak Lawn, Oak Lawn, Ill. **Circle No. 317.**
**Scott Plastics**—Display signage for sporting goods stores is available. Graphics measure 24-in. high by 20-in. wide backed with fibrefoam and finished with vinyl. Racquet motif is pictured. **Circle No. 273.**
**KCR Fabrics**—In-stock wall hangings printed on inherently fire-resistant panel fabrics are offered. Called “Tapestry Collection,” designs include 14 works in various colorways and sizes. **Circle No. 275.**
**Otsuka Chemical**—Ceramic panel art is offered in sizes ranging to 10- by 2-ft. Vitrified at 1,300 degrees, more than 300 colors and patterns are offered with optional glazing. **Circle No. 291.**
**Graphic Encounter**—Graphics, posters, limited edition designs, and custom framing are among the firm’s specialties. Included are prints by Miro, Picasso, Kandinsky, Calder, and Botero. Specialty is hotel art. **Circle No. 278.**
The future of the profession of Interior Design is dependent upon the quality of education available for those who will practice the profession tomorrow. FIDER, by its recognized process of voluntary accreditation helps to insure that future. The successful continuation and growth of the FIDER program is dependent on voluntary support.
Send your tax-deductible contributions to: Foundation for Interior Design Education Research. 242 West 27 Street, New York, New York 10001. 1/212/929-8366.
This advertisement is a contribution by this publication through the FIDER Development Task Force.
ELGEM Introduces A New Concept
MODULAR OFFICE CLEANING
Elgem, the Modular System experts with more than 10 years of installation experience introduces a new concept in maintenance and cleaning...
With such problems as colors fading in fabric panels, scuffed and scratched metal and plastic panels, unsightly burns and marks in wooden furniture MODULAR SYSTEMS CLEANING now has the solution!
Through the use of modern equipment and technology MODULAR SYSTEMS CLEANING now has the ability to make your open plan office system look like it was just delivered.
PROTECT YOUR INVESTMENT — RETAIN THE VERSATILITY AND THE VALUE OF YOUR MODULAR OFFICE SYSTEMS BY HAVING THEM CLEANED BY THE PROFESSIONALS
FOR A FREE ESTIMATE CALL (212) 258-4242
MODULAR SYSTEMS CLEANING CO.
a division of Elgem Nationwide Panel & Furniture Installers Inc.
4626 Flatlands Avenue
Brooklyn, N.Y., 11234
Lesson 2. Relieve those seat bones with SeKret™ Springs.
Thin-line seating doesn’t have to be thin on comfort—not when you can specify Kay’s SeKret™ springs.
Since pressure on the seat bones exceeds 100 pounds per square inch, no amount of padding can cushion the load. SeKret springs can.
Placed beneath the foam and under the seat bones, SeKret springs disperse the body weight, so there’s no sitting discomfort. When the sitter rises, the chair’s thin-line design is immediately restored.
Find out how inexpensive and easy it is to bring comfort to thin-line seating. Write, or call collect: Daniel Krakauer, President, Kay Springs, Inc., 175 Eileen Way, Syosset, New York 11791. (516) 364-2010.
Sales offices and factories in: Los Angeles and Oakland, CA; Chicago, IL; Boston, MA; Tupelo, MS; Newark, NJ; Buffalo and Syosset, NY; High Point, NC; Portland, OR; Pittsburgh, PA; Memphis, TN; Fort Worth and Houston, TX; Seattle, WA.
PATENT PENDING
This chair is covered for filibustering senators, overworked congressmen, and high-powered lawyers.
For the seats of government, law offices, literary houses, brokerage houses, company presidents and senior partners, Lee Jofa presents COM, an entire collection of beautiful, bold contract fabrics. Cover yourself with Lee Jofa COM. See it at the D & D Building, 979 Third Avenue, New York, and in other major cities. (212) 889-3900.
Lee Jofa COM
Atlanta Boston Chicago Dallas Denver Houston Los Angeles
Miami New York Philadelphia San Francisco Washington London
Integrated lines offer flexibility in system specification
ICF—Walker Group's Pinstripe selection of desks has been expanded to include two-tone veneer options. Group now includes both freestanding and attached CRT terminal table with optional storage. **Circle No. 217.**
Rose Manufacturing Co.—Progressions® panel system is compatible with conventional and existing furniture. Varied heights and widths, including vision panels, have six connector configurations for layout flexibility. Power feeds are also offered. **Circle No. 243.**
Acoustical Screens Corp.—Interact® line consists of totally integrated workstations with desks, files, storage, and panel dividers. Panel supported unit is shown. **Circle No. 262.**
Proform Furniture Industries—Apple executive workstation comes in cherry veneer, plus a variety of laminates and wood veneers. Panels, desks, and total systems are part of the series. **Circle No. 255.**
mini-KITCHENS®
Turn Ordinary Rooms into "EFFICIENCY" Apartments
48" HOSPITALITY CENTER
EXECUTIVE OFFICES INTO REFRESHMENT CENTERS
NURSING AND HOSPITAL PANTRIES INTO KITCHEN FACILITIES
AN EXTRA ROOM INTO RENTAL INCOME
HOTEL-MOTEL ROOMS INTO HOUSEKEEPING UNITS
The world's most convenient, compact appliances—with all the most wanted features. All sizes from 30" to 72" in width... available with overhead cabinets and other accessories... in the newest decorator colors—and all at budget prices.
KING REFRIGERATOR CORPORATION
76-02 Woodhaven Blvd. • Glendale, N.Y. 11385 • (212) 897-2200
Decorative Arts Center
305 East 63rd Street, New York, N.Y. 10021
The Decorative Arts Center has diversified showrooms offering the residential and contract designer an outstanding selection of distinguished merchandise consisting of contemporary and traditional furniture, lighting and accessories.
Beylerian
Innovations In Design. 212-755-6300
Dunbar
The Ultimate Expression of Good Taste.
212-838-8718
DUX
Contemporary Furniture for Contract and Residential Use. 212-752-3897
Empire State Chair Co.
Commercial Contract Furniture—Chairs, Tables and Banquettes. 212-421-9470
Ficks Reed
Rattan Furniture and Accessories for Leisure Living. 212-TE 8-2260
ICF, Inc.
Modern internationally-designed furniture for contract and residential use and Unika-Vaev, modern upholstery fabrics. 212-750-0900
Kittinger
Reproductions of Distinguished 18th Century Mahogany Furniture.
212-832-8530
Lighting Associates
Contemporary Lighting, Lamps and Crafts. 212-751-0575
Mansfield Manor
Manufacturers of Contemporary and Traditional Furniture and Accessories. 212-755-8330
Naomi Gale
Wall Systems. Contract & Residential. 212-421-2118
Edward Pashayan & Co., Inc.
Fine French Reproductions and Compatible Contemporary Furniture. 212-753-6507
Peter Scalia
Reproductions and Antique Accessories. Residential and Contract. 212-759-3943
Smith & Watson
Makers and Importers of Fine English Furniture. 212-355-5615
Thonet
Manufacturers of Contract Furniture since 1830. 212-421-3520
Trouvailles
French, English Reproduction, Antiques and Decorative Accessories. 212-759-7330
Wood & Hogan
Largest Wholesale Selection of Fine English Furniture. 212-EL 5-1335
Wycombe, Meyer
Furniture, Upholstered, Steel, Plexiglas. Wood—Contemporary, Traditional. 212-753-2010
Profile Series
A full series of office furniture. Desks, credenzas, filing cabinets and bookcases, with matched lines of seating and tables.
Construction features a perfect blending of solid edges and beautifully matched veneers.
Available in oak or walnut.
Krug Furniture Inc.
111 Ahrens St. W., Kitchener, Ontario Canada N2H 4C2
(519) 743-8281
Buffalo/Boston/New York/Philadelphia/Washington D.C./Atlanta/
Miami/Detroit/Chicago/Minneapolis/Kansas City/Dallas/Houston/
Denver/Los Angeles/San Francisco/Seattle.
adjust with the leader.
It doesn't take much.
Just a small, efficient, inexpensive gas cylinder — made by the manufacturer that supplies 80% of the world.
It provides gentle back and height adjustment with the touch of a lever.
Clean. Dry. Softly cushioning ups and downs...and backs and forths...so people can adjust to their work.
Through the meticulous engineering of a world leader.
For information, contact
SUSPA Incorporated, P.O. Box 8774,
Grand Rapids, MI 49508.
Phone 616/531-9600 Telex 22-6385
SPECIFY SUSPA
Forget everything you thought you knew about floor-to-ceiling wall panels!
Especially if you associate "movable" with skilled labor, dust and debris, permanent attachments and personnel disruption.
Introducing Spacesetter III; a unique, completely portable floor-to-ceiling wall panel unlike anything else available.
With Spacesetter III portable panels you can anticipate the inevitable changes in personnel and equipment that come with growth and success. You'll keep your options open for tomorrow without sacrificing the privacy and sound control you need today. When your office layout begins to become uncomfortable or inefficient, Spacesetter III can be relocated simply and quickly without affecting the daily routine.
Meet the challenge of planning for the present and the future.
Spacesetter III panels enable you to relocate permanent-looking floor-to-ceiling walls whenever and wherever you need them. They're available with all the options you're ever likely to need, including doors, windows, transoms and electrical circuits. Changes of any type can be absorbed in hours instead of days without loss of comfort, efficiency and morale.
Get a whole new perspective on portable panels with Spacesetter III. For more information, contact the company that's first in walls that move. Write Modernfold, Box 310, New Castle, Indiana 47362. Or call (317) 529-1450. In Canada, write P.O. Box 399 - Station E, Toronto, Ontario, M6H9Z9, Telex: 27-2285.
Modernfold
An American-Standard Company
Furnishings suit conference settings
**Cumberland**—Conference table measures 60-in. in diameter and 29-in high. Top comes in walnut or oak with sunburst pattern available. Base is mirror stainless steel with black trim.
*Circle No. 228.*
**Brickel Associates**—Ward Bennett design was inspired by grids dating to 13th century Japan. Suitable for conference rooms and executive suites, chair is offered in kiln-dried solid ash wood, black wax, English oak on ash, and mahogany finishes. Upholstered seat cushion is standard. *Circle No. 235.*
**Xception**—Individual components may be selected according to space requirements and configurations. Flexpection series includes desks and storage units. *Circle No. 252.*
**Chromcraft Furniture**—Monarch Div. offers Traditional 5000 series in mahogany. Bookcase/credenza has antique brass accents. *Circle No. 223.*
Retrac-Dor™ slides for an open and shut case.
New dual action Retrac-Dor™ slides have easy, “up-front” adjustment to simplify installation and provide an equal ¼" gap on all edges. They provide Velvet Touch™ quality available only from Grant all ball bearing action slides.
The 513 is for use “inside the case,” while the 514 is for “outside the case” door retraction. Both models have cushioned stops for smooth quiet operation.
Additional features include:
- self-closing hinge keeps doors in fully closed position
- hinge mechanism is accessible for vertical and horizontal adjustment
- all ball bearing action
- cushioned “in and out” stops
- hinge mounts in drilled hole, no routing required
- economically priced
Depend on Grant—leaders in the development of new and improved products. Complete information available on request.
GRANT HARDWARE COMPANY
a division of Grant Industries Incorporated
High Street, West Nyack, New York 10994-0600
Design Professionals:
Let FACILITIES DESIGN & MANAGEMENT Be Your Key To New Business Development!
As a contract architect, designer, dealer, furnisher or consultant, you can use FACILITIES DESIGN & MANAGEMENT to reach and influence 30,000 top customers and prospects ... in one place, at the same time!
Corporate Readers Find Pertinent, Useful Data
Each month, corporate facilities executives and managers at the nation's largest companies read FACILITIES DESIGN & MANAGEMENT. In it, they find in-depth coverage of how to plan and manage their office facilities, new products available on the market, how to hire and work with architects, designers and dealers, and much more.
Reach The Right People,
At The Right Time, In The Right Place
Your ad in FACILITIES DESIGN & MANAGEMENT reaches the corporate decision-makers who hire outside designers and consultants ... as they're reading the most practical, applicable business information, including how best to use professional services!
Free Services Stretch Ad Value, Impact
To stretch ad dollars and impact even further, FACILITIES DESIGN & MANAGEMENT also offers exclusive, free marketing services. These include "Facilities Expansion Lead Service" reports pinpointing projects in the planning stage, use of the magazine's mailing list for your own direct mail, and many others.
Your Most Cost-Effective Key To New Business
Only FACILITIES DESIGN & MANAGEMENT zeroes-in on leading facilities executives eager to find reliable full-service consultants with good credentials. Which is why your ad message in the magazine can be one of your most effective, cost-efficient keys to new business development!
For complete information on rates, circulation, marketing services, and a free copy of our 1981 NEOCON End-User Attendee Study, call or write Janet Ryan, associate publisher.
FACILITIES
DESIGN & MANAGEMENT
A Gralla Publication/1515 Broadway, New York, NY 10036/212-869-1300
LIVEN CORPORATE INTERIORS WITH ORIENTAL RUGS
A variety of Moghul Indian themes of Indo-Persian, Indo-Turkoman, and Indo-Caucasian inspiration are featured in Kashi pattern. Flooring shows a series of intricate geometric designs and stylized natural motifs. Distributed by TransOcean, handmade carpet is chemically washed in rust and blue. Circle No. 393.
TRI-CIRCUIT POWER SYSTEM HANDLES 13 RECEPTACLES
Electri-Pak power system from Electri-Cable Assemblies is a five-wire, plug-in power distribution system providing tri-circuit hook-up for movable panel partitions. System enables tapping-off of task lighting and can accommodate optional dedicated circuits for data processing terminals. Each circuit handles 13 duplex receptacles for a total of 39 per system. Bonding jumpers are standard features. Circle No. 394.
LOW-PROFILE FIXTURE HOUSING ELIMINATES GLARE
Slater Lighting now offers a ceiling-mounted fixture with a shallow-profile optical housing which eliminates glare-producing hot spots and distracting light striations. Designed for use with metal halide and high-pressure sodium lamps, fixture is mounted directly to ceiling grid or suspended from ceiling structure with a metal pan. Support mechanism allows field adjustment of stem length from 2- to 3-ft. below the ceiling. Circle No. 395.
Something You Can See Through Will Protect Your Investment for Years to Come
It's true! Tri-Guards protect interior corners with a clear plastic shield that's almost invisible. Tri-Guards let the beauty of the original decor shine through.
Tri-Guards are practically indestructible. Made from Lexan®, a high impact material developed by General Electric, Tri-Guards won't crack, chip, or dent, even in high traffic areas. Tri-Guards are the thoroughly modern way to protect vulnerable corners.
Tri-Guards are easy to install. Available in a variety of widths and lengths to fit any corner, Tri-Guards can be installed perfectly in minutes. In addition, Tri-Guards can be removed and re-installed just as easily when a room or corridor is ready for redecorating.
Tri-Guards are also available in colors, custom blended to fit your wall treatment exactly.
Check for quantity requirements on color orders.
New, from Tri-Guards . . . WALL GUARDS
Protecting walls in high traffic movement and seating areas is a costly and continuing problem for institutional and commercial buildings. Now, by specifying Wall-Guards, you can control these costs in a handsome and decorative way.
Wallguards are available in 3 inch by 8 foot pre-drilled lengths, mounting hardware furnished. Contact Tri-Guards, Inc., for further information.
Contact your nearest Tri-Guards distributor or Tri-Guards, Inc. for further information regarding sizes and ordering.
EMPIRE STATE CHAIR CO., INC.
Factories: Haverstraw, New York 10927 - Atlanta Georgia 30325
Showroom and Sales Office - 305 East 63rd Street, New York 10021
INCORPORATED
1932
THE WORLD'S LARGEST SELECTION OF BAR STOOLS
Circle 101 on reader service card
Now there's a reason to specify carpet backing.
In this actual macrophotograph, VORACEL urethane backing penetrates carpet fiber bundles, locking them in, producing exceptional carpet wearability.
Now you can get a carpet backing that actually helps improve carpet life. VORACEL* urethane carpet backing, from Dow Chemical U.S.A.
VORACEL backing penetrates deeply into the base of carpet fiber bundles, locking individual fibers into the backing to form a totally integrated carpet.
The result is vastly superior tuft lock, which effectively eliminates carpet delamination and fiber pilling or fuzzing. And makes edge ravel and fraying virtually nonexistent.
Tests prove VORACEL backing superior to other backings, too. In the standard roll stool test, a weighted chair was rolled for 7,500 cycles over carpet samples with four different backings. After the carpet with other backings had shown significant wear, carpet with VORACEL backing withstood 30% more testing. And still didn't show any perceptible sign of wear.
If you'd like a copy of actual test results and more information about VORACEL backing, write Dow Chemical U.S.A., Organic Chemicals Department, Midland, Michigan 48640. Or call toll-free (800) 248-9160.
If you would like details on Dow's new installation support program, call the VORACEL Information Center toll-free at (800) 847-4212. In New York, (212) 847-6675.
Or, if you'd like to discuss the specifics of carpet with VORACEL backing, contact any of the carpet mills listed below.
Before you specify carpeting, consider VORACEL backing. Because without it, even the best fiber in the world may not be enough.
DOW CHEMICAL U.S.A.
*Trademark of The Dow Chemical Company
Circle 102 on reader service card
QUEEN ANNE STYLING SUITS OCCASIONAL CHAIR
Tight seat and back, gooseneck arms, and cabriole legs in both front and back add classic elements to this Queen Anne-style chair from Kittinger. Low arm makes it suitable for dining, conference, or side applications. Circle No. 415.
CAST PAPER FORMS RICHLY TEXTURED ART
Cast paper artwork titled "La Puebla" was designed and processed by James Marshall. Paper is 100 percent cotton rag, PH balanced to last for centuries. Available from Austin Paper Works, work is framed in Lucite. Circle No. 416.
NEW!
Radius Detail Storage/Wardrobes
Introducing our 820 line of finely crafted metal cabinets — storage, wardrobe, or bookcases with a radius detail. With a look that is compatible with the systems furniture of major manufacturers and a price competitive with "square" detail units.
The cabinet also features a full length, recessed door pull, available in standard sizes or fabricated to your exact specifications. Color to match all systems.
Contract specifiers (such as S.O.M., Murphy/Jahn and Genesler & Assoc.) come to Viking Metal for their fabrication needs. We are able to create what otherwise isn't available while maintaining competitive costs. For more information on our 820 line, or contract fabricating, call Sharon Bukas at 312/594-1111.
VIKING METAL
Cabinet Company, Inc.
CONTRACT FABRICATORS
5321 West 65th Street, Chicago, IL 60638
Above: Bell Laboratories Installation.
Wardrobe Cabinet; wall brackets and shelves: Viking Metal.
Furniture: Steelcase.
Wall System: Monning.
Geometric
Diminutive new dimensions exclusively from Nevamar.
Embossed Line and Grid laminate surfaces stocked in fifteen exciting colors. Other colors available by special request.
Call for Samples!
1-800 638-4380
NEVAMAR
DECORATIVE LAMINATES
NEVAMAR CORPORATION, CEDARTON, MARYLAND 21102
Circle 104 on reader service card
**PRODUCTS & SERVICES**
**CHAIR MAKES DEBUT AT NEW YORK SHOW**
High stool is applicable in bar, counter, and lounge settings where extra height is necessary. Shown at the International Hotel/Motel & Restaurant Show, product is offered in swivel/rotating model. A wide variety of wood finishes and upholstery selections provide many design options. Model is part of identically designed side chairs and arm chairs. Number for chair is 2607 P.S. from **Empire State Chair Co.** Metal foot rest, upholstered seat cushion, and styled back are standard.
**Circle No. 414.**
**SKIPPER CHAIR LINE MAKES COMEBACK**
Mueller Furniture Corporation has redesigned the Skipper Chair in high- and low-back versions with upholstered arms trimmed in wood or fabric. More than 30 wood finishes are offered.
**Circle No. 425.**
**ERGOTILT CREATED FOR SYSTEM 11 CHAIRS**
Comforto Inc. has created “Ergotilt” for its line of System 11 chairs. Pivotal axis has been moved from the center of the base column to the leading edge of the chair to eliminate poor circulation. Four basic models have been adapted for office settings.
**Circle No. 413.**
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**Spanjer: The One-Stop Source for All of Your Signing Needs!**
Spanjer has set the standard for the sign industry since 1896. Spanjer offers a comprehensive selection of standard sign systems as well as a complete custom signing capability for either new construction or remodeling.
Write for your copy of our new AS-82 Catalog.
**Spanjer**
Spanjer Brothers, Inc.
1160 N. Howe Street
Department C
Chicago, Illinois 60610
312.664.2900
Circle 105 on reader service card
When it comes to commercial interior furnishings we’re strictly top drawer.
A. Blank Inc. is the Office Furniture Source representing over 200 of the very finest Furniture and Systems Manufacturers, including Knoll International.
A. BLANK, INC.
88 Broad Street, New York, N.Y. 10004 (212) BO 9-8884
5300 Powerline Road, Ft. Lauderdale, Fla. 33309 (305) 776-1610
Circle 106 on reader service card
FREE INFORMATION FAST
Use handy Reader Service Card for quick and convenient response to products displayed in this issue.
ROTATE PANEL 360 DEGREES WITH NEW HINGE
Addition of new heavy-duty, double-barrel hinge enables Modular Space Arranging System Panels from Claridge to rotate 360 degrees. Panel frames are of 1/8-in.-thick anodized aluminum over a honeycomb core. Accessories and equipment attach directly to panels. Circle No. 396.
BENCH ADJUSTS TO SEAT CHILDREN & ADULTS
Hamilton offers a new bench table that adjusts to heights of 29- and 27-in. to make sitting comfortable for both children and adults. Units require little storage space when folded and enable quick custodial set-up, clean-up, and storage. Circle No. 397.
SAVE 20% MORE HEAT WITH FOAM-BACKED CASEMENTS
“SolarFoam” inherently flame-retardant foam-backed metallic casements offer heat-loss savings of 20 percent. A product of Stylemaster Fabrics, casements are offered in natural and earthtone colors. Foam backs are also available in white or bronze. Circle No. 398.
CONDES '83
MARCH 3-5, 1983
The Dallas Contract/Design Show salutes creativity in space planning and design.
For information on seminars and special events call 1-800-527-1451 (in Texas, 1-800-442-1436).
DALLAS MARKET CENTER 2100 Stemmons Freeway, Dallas, Texas 75207
Circle 108 on reader service card
PRODUCTS & SERVICES
PLANTER COLORS MATCH FURNITURE FINISHES
Architectural Supplements now offers its complete planter product line in colors designed to match Intrex lacquer furniture finishes. New color options are engineered to simplify matching of planters, furniture, accessories, and lighting offered by subsidiaries of Habitat Int'l. Ltd., parent firm of Architectural Supplements and Intrex. New colors include maroon, eggplant, russet, ivory, bronze, chocolate, dark green, and medium blue. Custom colors are available upon request.
Circle No. 407.
FILES OFFER MULTIPLE DRAWER OPTIONS
Lateral files from Marnay-Commodore can be ordered in two-, three-, four-, and five-drawer styles. Recessed drawers can be fixed as desired by user. Available finishes are black, putty, cordovan brown, sandlewood, and tan baked enamel. Centrally located double lock, hanging folder rods, leveling glides, and ball-bearing suspension are standard.
Circle No. 408.
SECURE FABRIC PANELS WITH CLIPS, HOOKS, OR TAPE
Glad-Wall series of acoustical wall-mounted panels mount directly on existing walls with metal clips, hooks, or loop tape. Molded, 1-in.-thick fiberglass cores have acoustical rating of 1.00 NRC. Surfaces are of fire-retardant woven polyester and are offered by Brewster in a range of colors.
Circle No. 409.
NASA chose StacorTrac movable shelving to solve its space problem on Earth!
So did IBM, Western Electric, Exxon Corp., NBC, The United Nations, Hartford Insurance, Sears, Squibb Pharmaceuticals, and many, many more.
There are so many wonderful things you can do with expensive floor space—what a shame to waste it on inefficient, traditional methods of filing or storage.
So Don't!
StacorTrac is a moving-aisle system that solves storage and filing problems everywhere by getting twice as much in the same space. It's custom-built, but you could never prove it by the price.
StacorTrac has the benefits your clients will appreciate. It's a heavy-duty system that doesn't damage floors because it isn't attached to them. It installs in hours and can be expanded at any time or relocated as needs change. It uses any shelving or cabinets—your client's, ours, or anyone else's. And our convenient, free layout and quotation service is only a phone call away.
StacorTrac is the best value in moving-aisle systems that you can offer your clients.
Write for full information.
STACOR CORPORATION
285 Emmet Street, Newark, NJ 07114
(201) 242-6600 (212) 962-2074
A subsidiary of Visual Electronics Corp.
Circle 111 on reader service card
Woven sculptures solve bare wall - large or small - design problems. These gallery quality wall hangings are hand loomed by California artisans. Custom weavings are available in any size or any color.
LITHOGRAPH IS PART OF ROSENBERG COLLECTION
"Two Women Bathing Child" by Henry Moore is one of many works available at Alex Rosenberg Gallery, New York. An original lithograph, work is in color and comes from the Transworld Art Collection, publishers of original graphics and art posters by contemporary artists. Circle No. 410.
HIGH-DENIER FILAMENTS STRENGTHEN YARNS
Anso IV HP Tritones is a new high-denier per filament yarn recently introduced by Allied. Protected by the firm's 10-year warranty, this multi-dyed yarn is a heathered BCF fiber designed for piece- or continuous-dyeing. Fewer, but heavier, filaments give the yarn greater crush- and abrasion-resistance. Circle No. 411.
BRONZE FINISHES ACCENT WEAR-RESISTANT FAUCETS
American-Standard introduces antique bronze finishes for its Cadet and Aquarian bathroom fittings. Finishes will be offered on Aquarian centerset lavatory faucet and bath-shower combination valve. Cadet bath/shower fittings and centerset lavatory faucets will also be available with bronze finishes. Fittings resist wear and save water. Circle No. 412.
Contract sleep-oriented products that pass the test of time.
You can count on Leggett & Platt for sleep-related products that are profitable for hotel-motel installations and for institutions and dormitories. Write for literature.
**Stow-Away**
Big bed comfort in a minimum storage space. The twin-size Stow Away is ideal wherever an extra bed is required. The sturdy steel counterbalanced frame simplifies opening and closing. It moves around easily on 3-inch, full-swivel, ball-bearing hard rubber casters. Stow Away clears all standard doorways. Woodgrained headboard and 2 retaining straps included.
**Rollaway Beds**
Sturdy steel angle construction. Double-strand twin-link fabric or polypropylene decks. Casters are medium hard rubber with full ball-bearing swivel action. Color is deep coffee brown. Three widths are available...30", 39" and 48".
**The Linwood**
Sturdy and practical. Fast assembly without tools. Linwood's durability and maintenance savings make it especially suited for contract applications. Accommodates all bedding sizes, regular and extra long. Heavy-duty models are available for waterbed support.
---
**Leggett & Platt**
**INCORPORATED**
**THE COMPONENTS PEOPLE**
Please send inquiries to Dept. C
HOME OFFICE • CARTHAGE, MISSOURI 64836 • 417/358-8131
PLANTS AND WAREHOUSES FROM COAST TO COAST
Circle 114 on reader service card
This Publication is available in Microform.
University Microfilms International
Please send additional information for ___________________________ (name of publication)
Name_____________________________________________________
Institution_______________________________________________
Street____________________________________________________
City______________________________________________________
State_______________ Zip_______________________________
300 North Zeeb Road
Dept. CONT.
Ann Arbor, Mi. 48106
PRODUCTS & SERVICES
BUCKLING, WARPING RESISTED BY DESK ACCESSORIES
Rubbermaid's Form 1000 letter trays, calendar/memo pad holders, pencil cups, ashtrays, and wastebaskets are manufactured to resist buckling, warping, and cracking. Stackable letter trays feature strong snap-fit risers which can hold heavy paper loads. Inner-edge channel allows easy retrieval of paper. Items are available in high-gloss colors including black, brown, rust, putty, and green. Circle No. 399.
FACTORY-ASSEMBLED KITCHEN INCLUDES MICROWAVE
King Refrigerator offers a 30-in. factory-assembled kitchen unit which incorporates a microwave oven. Furnished with a timer, start-and-stop buttons, and an energy-conserving variable power knob, oven operates on 115-volts. Unit includes an under-counter refrigerator with storage, two gas or electric burners, and a seamless stainless steel counter top with sink. It is available in white, coppertone, avocado, almond, and gold. Circle No. 400.
PARISIAN-STYLE CHAIR HAS FIRE-RETARDANT FOAM
Fire-retardant foam filling makes new Paris side chair from Oggo Corp. ideal for restaurant applications. Frame is of solid beech wood offered in a choice of finishes. Several standard fabrics and COM upholsteries are available for the seat cushion. Circle No. 401.
Labofa
...BECAUSE WHEN YOU SIT, YOU DON'T SIT STILL
Maximum support for lower back helps avoid strain
Thick padding over form-fitting base
Waterfall front for proper leg circulation
Long handles ease adjustment
Gas spring for easy height adjustment. Spring also cushions the shock when being seated.
Casters have automatic brakes. Sit and fall freely, then stand and the brakes lock to await your safe return. Also available without brakes.
Contact us for our complete catalog today.
Functional Office Furniture
1281 Andersen Drive • San Rafael, CA 94901 • (415) 457-4143 • Telex 34729
Sales Representation open in selected territories
Circle 115 on reader service card
CATALYZED DESK FINISH PROTECTS AGAINST STAIN
Monticello desks from Paoli Chair Co. feature super-catalyzed finishes which protect wood from heat, stain, and alcohol. Desk tops are of parquet burl English walnut veneer with solid hardwood banding. Deluxe Accuride suspension, oak drawer interiors, and wax impregnation that prevents warping are standard. Circle No. 402.
TARGET CHAIR DESIGN FOR COMPUTER OPERATORS
Tempo 5514 from Boling is specifically designed to support the back and spine of workers who operate computer terminals and other electronic processing equipment for long periods. Upholstered seat-back can be adjusted 2¼-in. forward or backward; chair swivels on five-toe base with dual wheel caster. Circle No. 403.
REDUCE UPPER LEG PRESSURE WITH TILT DEVICE
Claud Bunyard's Desk Chair features a unique tilt mechanism which pivots from directly behind the seat's front edge to reduce pressure under thighs. Wood frames and bases are molded of ash. Circle No. 404.
HOTEL/RESTAURANT SHOW FEATURES CHAIRS
Arm and armless selections from Lewittes Furniture Enterprises international contract division will be shown at the International Hotel/Motel and Restaurant Show. Sitting Pretty line is a design of Mike Claman. Style shown is contemporary with Oriental flair; a rattan sled base style is offered as well. Circle No. 385.
LOW-WATTAGE, NOISE CONTROL INTEGRAL TO CEILING
Large open office areas in new Federal Aviation Administration Technical Center feature precision-engineered Synercon 60 ceiling systems from Armstrong. System provides efficient low-wattage lighting, air handling, and acoustical control. Deeply textured boldface ceiling tiles accented by straight grid lines add esthetic appeal. Circle No. 405.
VISUAL PRIVACY OFFERED BY ENERGY-SAVING SHADE
Veropaque fabric for pleated shades blocks out sunlight to reduce air conditioning costs. Manufactured by Verosol USA, it is completely opaque to prevent visibility of office or home interiors as it conserves energy. Shades are custom-fitted for use with all window styles and can be equipped with Verosol Cord-Lock positive locking mechanism. Circle No. 406.
CONTRACT’S Construction Lead Service, a free monthly report on new and remodeled contract jobs in the planning stage, provides suppliers with exclusive leads to current installations and offers specifier/buyers easier access to products and services.
CONTRACT readers get the special literature, rep attention and manufacturer services that your projects require. Just fill out the “construction activity” portion of the Reader Service Card in any CONTRACT issue. It’s the free, simple way to reach manufacturers eager to meet your immediate needs.
CONTRACT advertisers get key details such as name of job, type of project, location, purchase deadlines, projected budget, type of furnishings, name of contact and more on contract installations in the immediate or near-future specification stage. You get a free report every month your ad appears in CONTRACT … or a full year of reports with a six time schedule.
Construction Lead Service … Another Industry-Wide Service From The All-Contract Magazine.
How to Computerize Your Design & Planning
Sponsored by Gralla Publications' CONTRACT and FACILITIES DESIGN & MANAGEMENT Magazines
March 2, 1983
Dallas Market Center
Dallas, Texas
(in cooperation with Condes,
March 3 - 5, 1983)
Seminar Leader
Robert L. Engel
Robert L. Engel is President of R. L. Engel & Associates, Chatham, N.J., which is a consulting firm specializing in computer applications to facilities management, design, and furniture and furnishings management.
Mr. Engel was formerly associated with Environmental Research & Development Inc., as executive vice president; Resource Dynamics, Inc., as vice president of operations and systems development; Environetics International, as project director; and the Architects Collaborative—Johnson & Burgee, Minoru Yamasaki, Swanke Hayden & Connell—as architectural project manager.
In addition, Mr. Engel is a registered architect in New York, New Jersey, Connecticut and Pennsylvania, and is certified by the National Council of Architectural Registration Boards. He holds professional membership in American Institute of Architects, National Computer Graphics Association, World Computer Graphics Association, SIGGRAPH, New York Society of Architects and American Planning Association.
A well-known author and lecturer, Mr. Engel has been awarded a B.A. in Art History from the City College of New York, an M.S. in Computer Graphics from Massachusetts Institute of Technology, and an Architectural Certificate from the Boston Architecture Center.
If you are seriously considering computerization for your design, drafting and/or planning firm, this seminar will:
- help you determine if you really need a computer system
- provide you with a step-by-step guide to obtaining the right hardware/software system for your operation.
Seminar Outline
I. INTRODUCTION
- What Computerization Means to Design & Planning Industries
- What It Can Accomplish
II. SIX CATEGORIES OF SYSTEMS CURRENTLY ON THE MARKET
- What they are—Computer-Aided Design/Drafting Systems, Computer-Aided Building Management & Maintenance Systems, Office Automation Systems, Inventory Control Systems, Real Estate Management Systems, and Computer-Aided Planning Systems
- Their Functions—Limitations and Benefits
- Their Costs
- Corporate Usage/Experience with Systems
III. THE EVALUATION PATH TO COMPUTERIZATION
Discover how to:
- Investigate the Possibility
- Define Needs
- Develop Outline Specifications
- Identify Vendor Community
- Request and Analyze Information
- Determine Cost Parameters
- Analyze Cost Benefits
- Develop Request for Proposal—Vendor guarantee of cost and performance of system
- Implement—Test product/train staff/document
IV. CASE STUDY
- Find out—in advance—how other companies became computerized; how they began; benefits/pitfalls; "real" costs
V. QUESTIONS & ANSWERS
- Ample time will be allotted to answer questions and address your specific needs
REGISTRATION INFORMATION
To register, simply fill out this registration form or call Hilary Plunkett, toll free at 800-223-6767 or 212-869-1300. Registration fee is $95 which includes admission to full-day seminar and take-home materials.
Name ____________________________ Title ____________________________
Name ____________________________ Title ____________________________
Company _________________________________________________________
Address ___________________________________________________________
City ____________________________ State ____ Zip ______
Telephone _________________________________________________________
(Treasury Regulation 1-162-5 permits an income tax deduction for educational expenses in association with one's employment.)
Make checks payable to Gralla Conferences and mail coupon to Gralla Conferences, 1515 Broadway, New York, NY 10036.
Circle 116 on reader service card
MANEUVER MORE WEIGHT WITH SMOOTH CASTERS
Rug-Roller caster from Reliance Caster Co. is designed for use under bed frames and other heavy furniture pieces. Measuring 2-in. wide and 1¾-in. in diameter, caster rolls smoothly and can maneuver heavier weights.
Circle No. 418.
DRAFTING STOOL FLEXES UNDER PRESSURE
Mayline Co. designs its Contemporary Drafting Stool to flex under pressure, hug body contours, and provide firm support. Offered in a variety of colors, stools are available with optional fabric cushions.
Circle No. 419.
SYSTEM CONTROLS ELECTROSTATIC DISCHARGE
A static protective system for controlling electrostatic discharge at workstations has been introduced by Herman Miller Inc. Modular units of the Action Factory® system are being expanded to provide static protective areas. Plastic components of the system will be available in a special anti-static material. Components include totes, sub-containers, tote lids, and PCB inserts. Static dissipative laminates will be used in fabricating work surfaces. Developed for use in electronics manufacturing processes, units are completely grounded.
Circle No. 417.
ANCHOR RECEPTACLES PREVENT THEFT, SPILLAGE
New sand urns from Howard Products have a one-screw anchoring bracket designed to discourage theft and vandalism and prevent spillage. Urns have replaceable wood, stone, or vinyl side panels and measure 24-in. high. Stainless steel legs do not mark up floors.
Circle No. 420.
ENERGY-SAVING DRAPERIES FEATURED AT WORLD'S FAIR
Snap-a-pleat drapery system, a product of Baker Drapery Corp., was selected as the only snap drapery system to be featured at the 1982 World's Fair, Knoxville, Tenn. As displayed in the Energy Saving House, system eliminates conventional drapery hardware—such as hooks, pins, and pleaters—by using a snap-tape mechanism.
Circle No. 421.
GEORGE J. GOODSTADT, INC.
PUBLISHERS AND DISTRIBUTORS OF FINE ART
Invites you to view a New concept in interior art selection.
Our distinctive collection for architectural firms, interior designers and corporations is displayed in a 10,000 sq. foot exhibition area, comprised of a series of individual thematic galleries. It is designed to facilitate selection for your residential and corporate clients interested in decor and investment.
Currently on view:
Al Hirschfeld Original etchings and lithographs.
Contemporary Chinese Art from the People's Republic of China: Woodblock prints, Watercolors, Tomb Brick Paintings, Museum Bronze Reproductions.
Toulouse-Lautrec Authenticated Posters from The Musée d'Albi, France.
Alexander Calder Original litho posters.
Original Turn of the Century Posters (1870-1900).
Photography of Ireland Signed and numbered photographic editions by Liam Lyons.
Contemporary Signed original graphics.
Hours:
Monday-Thursday 10 am.-3 pm.
229 Park Avenue South
New York, N.Y. 10003
8th Floor
Tel. 212-777-6170
There are two ways to conserve wildlife.
Way Number One: zoos. Wonderful places, zoos. For people. For all of us to learn about animals from faraway places. For a glimpse of rare species that still exist only in zoos. But if the cougar and other wildlife could choose...
Well, there's Way Number Two: natural habitat. Enough of it to provide what all animals need to survive: food, water, cover and a place to raise their young. But does it have to be either/or?
In too many parts of the country we haven't yet found the right balance between our human needs and the animals' need for natural habitat. In too many places chainsaws and bulldozers are recklessly destroying habitat and with it the wildlife.
Solution? Wise conservation policies that can help protect habitats without stifling necessary development.
Recently the National Wildlife Federation acquired a 2,765-acre tract in northern California's Shasta Valley—the Lava Lakes Wildlife Area and Nature Center. With its lakes, marshes, forests, sagebrush and grazing land, the new area provides habitat for 67 species of mammals, from shrews to mule deer, along with waterfowl, fish, reptiles, amphibians, and some 150 species of birds.
That's the way to conserve wildlife—natural habitat. Space in America must be allocated fairly. That way, the animals will survive and so will we.
Help save a place for wildlife. Write Department 401, National Wildlife Federation, 1412 16th Street, N.W., Washington, D.C. 20036.
Save A Place For Wildlife.
OPERATE ALL CHAIR CONTROLS WHILE SEATED
Loewenstein's Almatic office chair has a 19-in.-wide seat with adjustable incline and backrest. All controls are operable from seated position. Five-star aluminum cast base has dual wheel casters that activate only when weight is applied. Circle No. 422.
BACK-SUPPORTIVE CHAIR ALLEVIATES STRAIN
Intensive-Use chair from Domore incorporates firm's Constant-Force backrest which provides even support through an entire tilt range to alleviate back strain. Specified as standard equipment for air traffic controllers, chairs also feature coil spring construction to prevent seats from "bottoming out." Armrests, seat depth, and height adjust to enhance sitting comfort. Circle No. 423.
POLYOLEFIN YARNS GAIN POPULARITY
Improved stitch lock properties and urethane backing systems have helped polyolefin yarns to gain popularity in the contract market. Based on recent testing, polyolefin yarns have been found to have a high degree of compatibility with urethane backing. Unlike polyolefin yarns with conventional backing, product provides superior stitch lock characteristics required for contract installations.
STRETCHWALL+ INSTALLS WITHOUT SAGGING
Stretchwall+, from Joel Berman Associates Inc., is shown applied to office walls without sagging. Fabric meets Class A fire requirements. Circle No. 424.
shepherd
Product of the month
november
Formula II™ casters
Wide variety of hood finishes and wheel colors.
Shepherd Products U.S. Inc., 203 Kerth Street, St. Joseph, Michigan 49085
In Canada: 37 Esna Park Drive, Markham, Ontario
Expedite ORDER PROCESSING,
INVENTORY CONTROL,
CUSTOMER SERVICE
with ROTARY DELCOFILES
Our files ROTATE to make records readily accessible at just the push of a button. Eliminate lost time and motion and increase customer service efficiency. Many other types of Delcofiles and Racks available
CALL 800-243-8528
Conn. 203-661-5101 N.Y. City 212-697-5978
Delco Associates, Inc.
55 Old Field Point Rd., P.O. Box 423, Greenwich, Conn. 06836
DEALERS THROUGHOUT THE UNITED STATES
Circle 120 on reader service card
accessories
In Stock
Immediate Delivery
Desk Accessories
Umbrella Stands
Waste Baskets
Coat Hooks
Carafe Sets
Sand Urns
Calendars
Wall Urns
Clocks
Planters
Ash Trays
Floor Mats
Letter Trays
Magazine Racks
Desk Organizers
Architectural Lamps
File & Chart Holders
Catalogue on Request
(212) 688-2243
Toll Free Outside of New York
1-800-847-4112
Fuller Office Furniture, Corp.
45 East 57th Street
New York N.Y. 10022
Fibre-tex wallcoverings are shown in swatch/specification book from Vanont Enterprises Inc. Paper-backed natural jute comes in 25 colors. Covering meets standards of ASTM E-84 surface burning test. Circle No. 305.
Contract and commercial furnishings catalog is available from Erwin-Lambeth. Many photos include room settings in four-color. Catalog and price list is $10; add $10 for fabric pages. Circle No. 304.
"Reflections" Indirect Lighting Systems from Guth Lighting are the subject of a new color catalog. Systems are shown in various settings which illustrate layout possibilities and problem-solving methods offered by indirect lighting. Circle No. 386.
Fabric-backed vinyl wallcoverings from Wall-Tex are pictured in a new wallcoverings book. Samples of 156 coverings, including weaves, metallics, silk looks, and textured patterns, are shown. Collection is titled "Satinesque." Circle No. 387.
New Lineation Collection from Gayeski Furniture Coordinates Inc. is featured in sample folder. Table design has two- and three-tone concepts for custom color coordination. Chemical resin formulas create polyester finish. Circle No. 306.
"Guide to Specifications for Interior Landscaping" has been expanded to include color pictures of 56 specimen plants and detailed explanations of contractual, installation, and maintenance procedures. Lighting requirements are also discussed. Brochure is offered by the Associated Landscape Contractors of America. Circle No. 388.
**CLASSIFIED ADVERTISEMENTS**
**RATES:** A standard classified ad costs $57.00 per column inch (estimate a column inch as 37 characters per line, 7 lines per inch, including headline and address). Please specify whether it is a signed ad or a blind box number. Add $5.00 to the cost if a box number is used. Payment with order is required for insertion of classified. Send ad and check to: CONTRACT, Classified Ad Dept., 1515 Broadway, 24th Floor, New York, NY 10036. **DEADLINE:** 1st of the preceding month. **REGULATIONS:** Classified ads may be used for help or situations wanted; salesmen, reps, or lines wanted; business for sale; and any used or odd-lot products or close-outs for sale on a one-time basis. Classified ads may not be used for extensive product descriptions; customer solicitation; or for the offer of merchandise or services continuously available to our readers, which is the function of display advertising. Publication reserves the right to reject, delete, or re-word copy that is contrary to regulations.
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**MANUFACTURER WANTED**
Wanted to buy Office Furniture manufacturer. We are conducting a search for a determined, financially qualified and experienced executive. Sales volume ½ to $5 million. Break even at present okay. Prefer Southern California. Client pays our fee. Contact with basics in confidence: Donald R. Merkle, Broker, Country Business Services, Inc., Box 236, Rutland, VT 05701.
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**LINES WANTED**
EXPERIENCED MID-WESTERN SALES GROUP IS INTERESTED IN CONTRACT FURNITURE AND FABRIC LINES. REPLY BOX 250, CONTRACT, 1515 BROADWAY, NEW YORK, NY 10036.
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**BUSINESS OPPORTUNITIES**
**BUSINESS DEVELOPMENT SPECIALISTS to the ARCHITECTURAL INDUSTRY**
- Acquisition Research and Negotiation
- Marketing Studies and Consultation
- Industrial Real Estate Services
**Product Crafters Incorporated**
646 Highway 18
East Brunswick, NJ 08816
Attention: Jared March
(201) 238-1470
---
**LINES WANTED**
Strong manufacturers group seeking quality office furniture, contract lines, related items, for Missouri, Iowa, Nebraska and Kansas. Established reputation with contract dealers and specifying community. Leading producers in the area. Box 245, CONTRACT, 1515 Broadway, New York, NY 10036.
---
**MISCELLANEOUS**
**ATTENTION:** Contract furnishers, architects, designers, and dealers send us your brochures. CONTRACT Magazine is often asked by corporate representatives to provide them with qualified names. Mail to Sales Manager, CONTRACT Reader Brochures, 24th Floor, 1515 Broadway, New York, NY 10036.
---
**Classified Ads Continue on the Following Page.**
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**The Marketplace**
...Where Your Classified Ad reaches over 27,500 industry “pros”...
This high-reader-traffic section is a marketplace for you to fill an important position in your company, to find a new career opportunity for yourself, find salesmen, reps or lines wanted, business for sale and any used or odd-lot products or items for sale on a one-time basis.
THE MARKETPLACE offers you an audience of over 27,500 commercial interior architects, designers, furnishers, specifiers, planners and dealers.
To place your ad in THE MARKETPLACE, just fill out the coupon below, enclose a check for the full amount, and mail to:
Classified Ad Manager
CONTRACT MARKETPLACE
1515 Broadway, New York, N.Y. 10036
**DEADLINE:** First of the month prior to publication
**RATES:** $57 per column inch (approximately 58 characters to a line, 7 lines per inch). All copy is pub set at no charge. For blind box number, please add $5.00.
Please run the attached ad(s) in the next __________ issue(s) of CONTRACT.
I am enclosing a check for $ ________ □ This includes $5.00 for a blind box number.
Name & Title _______________________________________________________
Organization _______________________________________________________
Address ___________________________________________________________
City/State/Zip _______________________________________________________
Phone # ___________________________________________________________
MANAGEMENT OPPORTUNITIES ($30-$100,000)—20 yrs. exp. in the Search and Placement of mid to upper level executives on a national basis. Our nationwide clients seek Sales and Marketing Managers, Manufacturing and Engineering Executives, V.P.'s and Presidents with Contract Furniture experience. Client co's assume all costs. Contact in strictest confidence: YVONNE CRAWFORD, Contract Dept., COOK ASSOCIATES, INC., 35 E. Wacker Dr., Chicago, IL 60601. 312/263-1119.
ENGINEERS!!
Wanted by aggressive well established midwest office furniture manufacturer. Looking for good talent in design, industrial and standards work. Positions now open. Send your resume to Box 241, CONTRACT, 1515 Broadway, New York, NY 10036.
ENGINES, DESIGNERS, EDI SPECIALISTS, MANUFACTURING ENGINEERS.
We bring great people like you and great companies together. Tap our NATIONAL contacts, job listings and resources for your best career move. ALL FEES COMPANY PAID. Call (616) 458-1817 and send your resume in confidence to:
BARMAN PERSONNEL
Suite 544-G, Trust Building
Grand Rapids, MI 49503
THE FURNITURE AGENCY INC.
We have job opportunities for all levels of management, supervision and sales in Contract Furniture and related industries. All costs paid by client company. Applicant and client company inquiries invited. P.O. Box 53, High Point, NC 27261 (919) 885-2095.
To Place Your Classified Ad
Call Toll-Free
(800) 223-6767
In N.Y.S.
Call
(212) 869-1300
NATIONAL FIELD SALES MANAGER
Loewenstein, Inc., major manufacturer and importer of good design seating is in need of a top level national field sales manager. We have expanded our operational base and are looking for someone with considerable national sales experience, preferably in seating, and with a proven record, to lead us to our next sales plateau. The position will require the majority of time on the road as we have an excellent in-house back up staff. Excellent salary and bonus. This is a new position. Write with complete resume to: Loewenstein, Inc., P.O. Box 22029, Fort Lauderdale, FL 33335. All replies will be held in strict confidence.
SIGMACON
Department ID
8100 Presidents Drive
Orlando, FL 32809
An Equal Opportunity Affirmative Action Employer M/F/H/V
School of Architecture and Interior Design, University of Cincinnati seeks tenure-track Assistant Professor to teach primarily in Interior Design program beginning January 1, 1983. Master's degree or its equivalent in either interior design or architecture plus at least one year's professional design experience required. Teach both in design studio and in one of following academic areas: systems technology, methods and materials, and history of interior design. Send resume, illustrations of design work, brief statement about your interest in field of interior design and its relationship to architecture to: John Meunier, Director, School of Architecture and Interior Design, University of Cincinnati, Cincinnati, OH 45221. Equal Opportunity Employer.
REPRESENTATIVES WANTED
Manufacturer of extensive line of designer custom photo-art prints. Beautiful pieces for commercial or residential decorating. Please respond with resume describing lines represented and territory covered and rate of commission desired. Leave your old world behind—our new world awaits your discovery. Discovery Gallery, P.O. Box 367, Troy, MI 48099.
CONTRACT REPRESENTATIVES
All territories now open for outstanding line of photographic wall decor BY WILLIAM PLANTE unique opportunity for lodging, health care and general A & D reps. Contact Mr. Guttentag. 800-521-5663, 14132 E. 10 Mile Rd., Warren, MI 48089.
REPRESENTATIVES WANTED
Representatives wanted for high-end European Contract Lines. Must have sales record with architects and designers as well as dealers. Choice territories still open. Send resume and list of current lines to: Skandia International, Inc., 180 NE 39 St., P.O. Box 370876, Miami, FL 33137. Attn: Department C.
ORIENTAL AREA RUGS
Commercial grade for restaurants, hotels and offices. 20% Commission to qualified persons. Send resume to: Marks Int'l., 5512 Johnson Drive, Mission, KS 66202. (913) 722-2242.
CONTRACT SALES
$40 M - $50 M
Est. Reps. Non-conflicting lines. Complete commercial chair line. Well priced. Expanding into leather sofas. Several territories being developed. Contact Bill Crawford (704) 322-1794. Quaker Furniture Inc. of Hickory.
SALES REPRESENTATIVES
Manufacturer of desk accessories, custom architectural metalwork, and signs has territories open. Please respond to Louis Jacobs, Sales Manager, BPC Industries, Adams at Eleventh, Hoboken, NJ 07030.
Lowe's Carpet Corp. has openings in the following states for contract sales agents: Ohio, Western Pa., Tenn., Washington, Iowa, and Central Florida. You must be oriented toward calling on architects, designers, and contract dealers. Reply to: Erwin Lowe, Pres., Lowe's Carpet Corp., P.O. Box 1186, Chatsworth, GA 30705.
Break in a new line for an old-line company
Fisher-Haynes Corporation, an established manufacturer of O.E.M. industrial wire products is introducing a popular European inspired storage concept. The Space Arranger system, a unique, free standing component storage system, was designed for office, hospital, school and light industrial applications.
Commissioned independent sales representatives are needed to introduce the system to architects, designers, and specifiers. Applicants must have a strong track record with new product introductions. Submit a summary of sales background, listing present lines and indicating geographic sales area to:
Lois Mackey, Sales Manager, Space Arranger Products.
FISHER-HAYNES CORPORATION
6544 Warren Drive □ Norcross, GA 30093
404/449-6000
SELECT TERRITORIES AVAILABLE
THE MARKETPLACE
...Where Your Classified Ad reaches over 27,500 industry "pros"...
This high-reader-traffic section is a marketplace for you to fill an important position in your company, to find a new career opportunity for yourself, find salesmen, reps or lines wanted, business for sales and any used or odd-lot products or closeouts for sale on a one-time basis.
DEADLINE: First of the preceding month.
RATES: $57 per column inch (approximately 37 characters to a line, 7 line per inch). All copy is pub set at no charge. For blind box number, please add $5.00.
REGULATIONS: Classified Ads may not be used for extensive product descriptions; customer solicitations; or for the offer of merchandise or services continuously available to our readers, which is the function of display advertising.
To place your ad in THE MARKETPLACE, just fill out the coupon below, enclose a check for the full amount, and mail to:
Classified Ad Manager
CONTRACT MARKETPLACE
1515 Broadway, New York, N.Y. 10036
Please run the attached ad(s) in the next issue(s) ___ of CONTRACT. I am enclosing a check for $______.
□ This includes $5.00 for a blind box number.
Name & Title__________________________________________________________
Organization_____________________________________________________________
Address_________________________________________________________________
City/State/Zip____________________________________________________________
Phone #__________________________
Check Heading Under Which Ad is to Appear
□ Representatives Wanted
□ Lines Wanted
□ Positions Available
□ For Sale
□ Miscellaneous
□ Business Opportunities
□ Situations Wanted
Circle 450 on reader service card
## ADVERTISING DIRECTORY
| ADVERTISER | PAGE |
|-------------------------------------------------|------|
| AGI Industries, Inc. (Circle No. 41) | 61 |
| Arc Com Fabrics, Inc. (Circle No. 73) | 111 |
| All Steel, Inc. (Circle No. 4) | 2 |
| Alma Desk Co. | 9 |
| American of Martinsville (Circle No. 68) | 102 |
| Amoco Fabrics Co./Fibers and Yarn Div. (Circle No. 47) | 71-72 |
| Amtab Mfg. Co. (Circle No. 107) | 218 |
| Architek (Circle No. 33) | .46 |
| Arenson (Circle No. 34) | .47 |
| Armstrong/Div. World Inds. (Circle No. 70) | 106-107 |
| Armstrong Furniture (Circle No. 48) | 78-79 |
| Artifax Display Inds. (Circle No. 1) | .73 |
| Austin Productions Inc. (Circle No. 35) | .48 |
| B.M.G. Framing (Circle No. 65) | .99 |
| Badische Corp. (Circle No. 40) | .60 |
| Benedetti Corp. (Circle No. 75) | .116 |
| Bigelow Sanford Co. (Circle No. 23) | .33 |
| A. Blank, Inc. (Circle No. 106) | 217 |
| Borroughs, Division of Lear Siegler Co. (Circle No. 8) | .10 |
| Brayton International (Circle No. 3) | .1 |
| Bretford Mfg. (Circle No. 61) | .94 |
| Brown Jordan Co. (Circle No. 11) | .16 |
| Business Accessories Inc. (Circle No. 9) | .11 |
| Collier-Keyworth Co. (Circle No. 85) | 192 |
| Collins & Aikman (Circle No. 37) | .55 |
| Conwed Corp. (Circle No. 59) | 93 |
| Coral of Chicago (Circle No. 80) | 123 |
| Dallas Market Center (Circle No. 108) | 219 |
| Decorative Arts Center (Circle No. 95) | 204 |
| Decoustics (Circle No. 16) | .24 |
| Delco Associates, Inc. (Circle No. 120) | 231 |
| Designweave (Circle No. 69) | 103 |
| Domore (Circle No. 83) | 127 |
| Dovetail (Circle No. 78) | 120 |
| Dow Chemical U.S.A. (Circle No. 102) | 213 |
| Dow Corning Corporation (Circle No. 18) | .27 |
| DuPont/Antron Carpet (Circle No. 13) | 18-19 |
| Empire State Chair (Circle No. 101) | 212 |
| Est. Co., Inc. (Circle No. 25) | .36 |
| Eurotex (Circle No. 2) | Cov. II |
| Executive Office Concepts/E.O.C. (Circle No. 14) | .21 |
| Edward Fields (Circle No. 74) | 114-115 |
| Fixtures Furniture | 6-7 |
| Fuller Office Furniture (Circle No. 121) | 232 |
| Functional Office Furniture (Circle No. 115) | 225 |
| Furniture Consultants, Inc. (Circle No. 36) | 49-54 |
| Funtek Corp. (Circle No. 30) | .42 |
| GTR Wallcovering (Circle No. 39) | 58-59 |
| G.F. Business Equipment (Circle No. 17) | .25 |
| Go-Met-Tile Assoc. | .17 |
| George J. Goodstadt, Inc. (Circle No. 118) | 229 |
| Gralla Conferences (Circle No. 116) | 228 |
| Grant Hardware (Circle No. 99) | 209 |
| Gunlocke Co. (Circle No. 57) | .91 |
| Hardwood House | Cov. IV |
| Hauserman Company, E.F. (Circle No. 19) | 28-29 |
| Haworth, Inc. (Circle No. 84) | 128 |
| Hayes Mfg. Co. (Circle No. 22) | .32 |
| Hoover Universal (Circle No. 58) | .92 |
| I.I.L. | 119 |
| Interface (Circle No. 27) | 38-39 |
| International Terra Cotta (Circle No. 5) | .4 |
| Intrex, Inc. (Circle No. 79) | 122 |
| J.G. Furniture (Circle No. 125) | 121 |
| Kaleidoscope (Circle No. 109) | 220 |
| Karastan Rug | 74-75 |
| ADVERTISER | PAGE |
|-------------------------------------------------|------|
| Kay Springs, Inc. (Circle No. 92) | 200 |
| King Refrigerator Corp. (Circle No. 94) | 203 |
| Koch & Lowy (Circle No. 49) | .80 |
| H. Krug Furniture Co., Ltd. (Circle No. 96) | 205 |
| Lazarus Fabrics (Circle No. 77) | 118 |
| Lees Carpet (Circle No. 21) | .31 |
| Lee/Jofa Fabrics (Circle No. 90) | 201 |
| Leggett & Platt (Circle No. 114) | 223 |
| Lehigh-Leopold (Circle No. 50, 51) | 81, 83 |
| Lehigh-Leopold/LBF (Circle No. 32) | 44-45 |
| Lenoambienta (Circle No. 15) | 22-23 |
| Levolor Lorenzen, Inc./Blinds (Circle No. 53) | .86 |
| Lewittes Furniture (Circle No. 89) | 196 |
| Liken Home Furnishings/Del Mar (Circle No. 42) | .62 |
| Hank Loewenstein, Inc. (Circle No. 82) | 126 |
| Louverdrapce, Inc. (Circle No. 7) | .8 |
| McDonald Products Corp. (Circle No. 26) | .37 |
| Milliken Carpet Co. (Circle No. 71) | 108-109 |
| Mitchell Designs (Circle No. 76) | 117 |
| Modernfold (Circle No. 98) | 207 |
| Modern Mode (Circle No. 64) | .98 |
| Modular Cleaning Services (Circle No. 91) | 199 |
| Mohawk Carpet Mills (Circle No. 6) | .5 |
| Monsanto Textiles, Inc. (Circle No. 67) | 101 |
| Monsanto/SEF Div. (Circle No. 52) | 84-85 |
| Ted Morris Assoc. (Circle No. 112) | 222 |
| Navan Carpets (Circle No. 55) | .89 |
| Nevamar (Circle No. 104) | 215 |
| Niedermairer Design (Circle No. 72) | 110 |
| Opto, Inc. (Circle No. 66) | 100 |
| Panel Concepts, Inc. (Circle No. 29) | .41 |
| Patrick Carpet Mills (Circle No. 43) | .63 |
| Peter Pepper Products (Circle No. 123) | .95 |
| Reff Products, Ltd. (Circle No. 10) | .14 |
| Shepherd Products (Circle No. 44, 119) | 66-67, 231 |
| Ship 'N Out (Circle No. 60) | .94 |
| Simplex Ceilings (Circle No. 117) | 229 |
| Spacesaver Corp. (Circle No. 86) | 193 |
| Spanjer Brothers, Inc. (Circle No. 105) | 216 |
| Spec'built (Circle No. 63) | .97 |
| Stacor (Circle No. 111) | 221 |
| Steelcase Inc. (Circle No. 81) | 124-125 |
| Stow/Davis Furniture Co. | 112-113 |
| Suspa (Circle No. 97) | .206 |
| Swan Brass Beds (Circle No. 62) | .96 |
| Thonet | 12-13 |
| Thrasher's CBF (Circle No. 87) | 194 |
| Tiffany Stand & Furniture Co. (Circle No. 20) | .30 |
| Tri-Guards, Inc. (Circle No. 100) | 211 |
| Tropitone Furniture Co., Inc. (Circle No. 28) | .40 |
| Tuohy Furniture (Circle No. 31) | .43 |
| Vecta Contract (Circle No. 24) | 34-35 |
| Viking Metal Products (Circle No. 103) | 214 |
| Virco Mfg. Co. (Circle No. 45) | .68 |
| WW Graphics (Circle No. 46) | .69 |
| Walker Systems Inc. (Circle No. 113) | 222 |
| Wall Pride International (Circle No. 56) | .90 |
| Walton Co., The (Circle No. 110) | 220 |
| Westin-Nielsen (Circle No. 38) | .56 |
| Wool Bureau (Circle No. 122) | Cov. III |
| Jim Wylie (Circle No. 88) | 195 |
| Xception Furniture (Circle No. 54) | .87 |
This index to advertiser page location is published for reader convenience. Every effort is made to list page numbers correctly. This listing is not part of the advertising contract, and the publisher is not liable for errors or omissions.
|
A Guide for Emerging Professions
TIPS FOR STAKEHOLDERS AND ADVOCATES OF EMERGING PROFESSIONS TO PROFESSIONALIZE AND INTEGRATE WITH THE HEALTH CARE SYSTEM
Emerging Professions Guide for Professionalization
Minnesota Department of Health
Office of Rural Health and Primary Care
PO Box 64882
St. Paul, MN 55164-0882
651-201-3838
www.health.state.mn.us/orhpc
This project is part of a $45 million State Innovation Model (SIM) cooperative agreement, awarded to the Minnesota Departments of Health and Human Services in 2013 by The Center for Medicare and Medicaid Innovation (CMMI) to help implement the Minnesota Accountable Health Model.
Upon request, this material will be made available in an alternative format such as large print, Braille or audio recording. Printed on recycled paper.
Contents
Introduction ......................................................................................................................... 4
Scope of Practice ............................................................................................................. 7
- How to Develop a Scope of Practice ........................................................................... 9
- How to Modify Scope of Practice ............................................................................... 13
- Examples of Scope of Practice Development Efforts .............................................. 14
- Resources .................................................................................................................... 15
Education .......................................................................................................................... 16
- Developing a Curriculum ............................................................................................ 16
- Aspects of a Curriculum ............................................................................................... 19
- Defining Competencies ............................................................................................... 22
- Resources .................................................................................................................... 23
Regulation .......................................................................................................................... 24
- Licensure ..................................................................................................................... 25
- Registration .................................................................................................................. 26
- Certification .................................................................................................................. 27
- Permit ............................................................................................................................ 28
- Resources .................................................................................................................... 28
Funding and Payment ....................................................................................................... 29
- Preparing to Ask for Payment ..................................................................................... 29
- Medicaid ....................................................................................................................... 31
- Medicare ....................................................................................................................... 31
- Private Insurance .......................................................................................................... 34
- Accountable Care Organizations ................................................................................ 35
- Health Care Organizations and Systems .................................................................. 36
- Grants ............................................................................................................................ 38
- Resources .................................................................................................................... 40
Business Matters ............................................................................................................. 41
- Business Models ......................................................................................................... 41
- Unions ........................................................................................................................... 42
- Taxes ............................................................................................................................ 42
- Resources .................................................................................................................... 43
Legal Concerns .................................................................................................................. 45
Confidentiality .................................................................................................................. 45
Consent ............................................................................................................................. 45
Supervision .......................................................................................................................... 46
Medical Liability ................................................................................................................. 47
Code of Ethics ...................................................................................................................... 48
Resources ............................................................................................................................ 48
Advocacy ............................................................................................................................. 50
Leadership ......................................................................................................................... 50
Association ....................................................................................................................... 50
Lobbying ........................................................................................................................... 51
Turf .................................................................................................................................. 51
Partnership ....................................................................................................................... 52
Planning ............................................................................................................................... 53
Resources ............................................................................................................................ 54
Integration and Team-based Models .................................................................................. 55
Integration ......................................................................................................................... 55
Team-based Care .............................................................................................................. 57
Resources .......................................................................................................................... 60
Data Collection and Evaluation .......................................................................................... 61
Workforce Data .................................................................................................................. 61
Claims Data ....................................................................................................................... 62
Quality Reporting Data ..................................................................................................... 63
Electronic Health Record Data .......................................................................................... 63
Other data sources ............................................................................................................ 64
Grants as a source of data .................................................................................................. 65
Evaluation ............................................................................................................................ 65
Resources ............................................................................................................................ 68
Introduction
The purpose of this Emerging Professions Guide is to provide background information and constructive knowledge that can assist stakeholders in professionalizing emerging health professions. This Guide is not intended to help an individual practitioner build a business, obtain a license, or get reimbursed from Medicaid. It is, however, intended for stakeholders who represent the interests of an entire profession as they develop strategies to change policies and structures that will integrate the profession into the existing health care system.
Estimates for health care expenditures account for about $10,000 per person per year, and will approach 20% of gross domestic product by 2025\(^1\). And it is a field filled with opportunity – according to one study by the federal Bureau of Labor Statistics, 21 of the 30 fastest growing jobs are in health care.\(^2\)
And the concept of health care itself is expanding. Whether it is taking care of ourselves, taking care of others, educating others about healthy activities, or participating in local efforts to improve the lives of communities, it is all a part of health care. Where a need exists for these services, informal roles can evolve into professions with the specific intention of filling a gap in the health care system. The health care marketplace is accommodating of change, and new professional roles are finding niches that align with broader policy and economic goals.
Not every stakeholder and not every health profession will want to follow the options laid out in this Guide. Some professions will have legitimate reasons to remain outside the formal structures of the health care system -- becoming part of the health care system can bring significant burdens. For example, enrolling as a Medicaid provider subjects professionals to a long list of legal and financial requirements. In some states, licensed health professionals are required to pay special taxes. And some professions may struggle with a natural tension between the interests of large employer organizations and those of individual practitioners.
That said, many emerging professions are seeking greater recognition and participation in the health care system – and the health care system needs this participation.
New and emerging professions – such as Community Health Workers, Doulas, Community Paramedics, Dental Therapists, Medical Scribes, Health Education Specialists, Peer Support Specialists, and many yet-untitled roles -- are often uniquely positioned to fill gaps in the health care system or to take advantage of new models of care or payment. They also often have more diverse backgrounds than traditional health professions, which gives employers an opportunity to hire workers who reflect underserved or underrepresented populations. The health care system will need more of every kind of professional, and a key goal of this Guide is to speed the integration of emerging professions into the health care workforce to meet these needs.
As stakeholders review the Guide, some professions are likely to be further along in some areas than others. Unique circumstances in each state or health care community often mean there is
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\(^1\) [https://www.cms.gov/research-statistics-data-and-systems/statistics-trends-and-reports/nationalhealthexpenddata/nhe-fact-sheet.html](https://www.cms.gov/research-statistics-data-and-systems/statistics-trends-and-reports/nationalhealthexpenddata/nhe-fact-sheet.html)
\(^2\) [https://www.bls.gov/emp/ep_table_103.htm](https://www.bls.gov/emp/ep_table_103.htm)
varying expertise around some topics or processes. And there will be variation in the level of interest or the urgency in moving towards professionalization – each profession will need to chart its own course, based on its own capacity and environment. This Guide will provide a framework for stakeholders to divide work into attainable goals and track the progress of development in a rational, incremental, and purposeful way.
In 2015, an article was published in the journal Integrated Medicine\(^3\) which sought to define the various stages of professionalization for health professions. The author used the following events and activities to define a continuum of the professionalization process:
| Event | Activity |
|------------------------------|--------------------------------------------------------------------------|
| Informal Collaboration | Assembly of a group of people with common skills or knowledge |
| Formalized Collaboration | Formation of professional association (often national) |
| Authorized Practice | Passage of governmentally sponsored licensure or registration |
| Standardized Qualifications | Administration of professional examinations |
| Educational Identity | Establishment of distinctive programs for professional education |
| Educational Uniformity | Standardization of process for professional education |
| Consolidated Beliefs | Establishment of professional code of ethics, values, and philosophies |
| Enhanced Communication | Publication of a professional journal |
| Regulated Education | Accreditation of educational process |
| Enlarged Influence | Expansion of practice scope |
| Intensified Training | Expansion of education to accommodate growth of practice scope |
| Specialization | Division into multiple and more restricted professions |
The process or professionalization is not necessarily linear, and events can be implemented simultaneously or concurrently. In fact, it can be beneficial to coordinate the implementation of steps in the process.
This Guide is divided into nine chapters, and condenses the process listed above. Each chapter focuses on a specific aspect of the health care system as it pertains to professionalization. For example, professional regulation is one chapter, and details the multiple ways a profession can choose to use regulation for its interests – certification, licensure, etc. Of course there are people who devote entire careers to professional regulation, the breadth of which could never
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\(^3\) https://www.ncbi.nlm.nih.gov/pmc/articles/PMC4566463/
be encapsulated in a Guide. The goal is to define options, weigh pros and cons, give examples, and point to resources and tips for stakeholders considering their options.
The information in this guide was current when developed in late 2017. It is not legal advice, and any information should be verified from the original source of that information – especially information about payment or reimbursement.
Finally, a word about terminology. For this Guide the term “professionalize” is used to describe the process towards further integration within the American health care system’s existing structures. It is not used to assign different value or appropriateness of one practitioner versus another. Any health-related practitioner – whether fully licensed and credentialled by a health plan, or completely independent and paid directly by clients – can be very professional in performing their craft. As this guide recommends pathways towards professionalization within the health care system, these recommendations will be presented only as options to consider by professionals and their stakeholder organizations, all of whom are seeking to improve people’s lives.
Scope of Practice
“What exactly do you do?”
Every health-related profession has a core set of services that it provides to customers, patients, and clients. However, not every profession can clearly define what those services are. The extent to which a profession can delineate exactly what services and benefits it provides can determine how deeply the profession can integrate into the existing health care system.
A “scope of practice” is a distinct, agreed-upon set of services that a profession is trained to perform. In a recent report from the Federation of State Medical Boards, scope of practice is defined as “the activities that an individual health care practitioner is permitted to perform within a specific profession. Those activities should be based on appropriate education, training, and experience.”
Scope of practice is established by the practice act of the specific practitioner’s board, and the rules adopted pursuant to that act.\(^4\)
A scope of practice does not include functions or roles that any professional (or even a non-professional) can provide. For example, everyone can provide emotional support to another person, but not everyone is trained to provide therapy. A psychologist’s training gives them a set of professional skills that are then translated into specific services attached to diagnostic or billing codes that are reimbursable.
Practice parameters may be codified into practice acts, usually in statute or rule. A practice act is a living document that may evolve based on changes made to practice scopes. For example, the Minnesota Nurse Practice Act\(^5\) enacted by the legislature outlines the qualifications for nurses, their responsibilities and the range of services and activities they can undertake, forms of discipline and penalties etc. The practice act has undergone a few major revisions based on changes in nurse practice standards relating to authority to practice as it relates to physician supervision.\(^6\) See below for more on how to navigate changes to scope.
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\(^4\) [https://www.fsmb.org/Media/Default/PDF/FSMB/Advocacy/2005_grpol_scope_of_practice.pdf](https://www.fsmb.org/Media/Default/PDF/FSMB/Advocacy/2005_grpol_scope_of_practice.pdf)
\(^5\) [https://mn.gov/boards/nursing/laws-and-rules/nurse-practice-act/](https://mn.gov/boards/nursing/laws-and-rules/nurse-practice-act/)
\(^6\) [https://mn.gov/boards/nursing/resources/news/?id=21-37188](https://mn.gov/boards/nursing/resources/news/?id=21-37188)
A scope of practice is often closely tied to regulation of the profession, and can be an integral factor in determining how a profession is regulated, but not always.
For the purpose of this guide, scope of practice and regulation will be treated separately, because there are necessary distinctions. First, a scope of practice defines the work one profession provides – it does not automatically exclude others from providing the same services, which regulation can do. Second, often a scope of practice is a needed starting point to begin discussions and processes that create regulation. More detail about regulation will be discussed in Chapter 3.
The definition of a scope of practice may sound relatively simple, but developing one can often be a difficult, contentious task. And for emerging professions, a lack of specific evidence or a lack of clarity about the role can make definitions even more challenging.
While a scope of practice should align closely with the training professionals receive, not all stakeholders – both within a profession itself and within the broader cluster of similar professions – will agree that a new profession is adequately trained to provide some services. If legal structures like regulation are not in place, not everyone may agree on who should speak for the profession with authority. An inclusive process can address many of these concerns.
Scopes of practice can be relatively broad and fluid – for example, defining the wide range of services a Community Health Worker can provide – or they can be very detailed and rigidly defined by government entities like licensing boards – for example a surgeon. In developing a scope of practice, unfortunately there is no established process that every profession must follow, no legal definition of what a sufficient scope of practice looks like, and no standardized result or document. Some scopes of practice are loosely defined lists of services that a group of stakeholders have developed, while others are written directly into state statutes and rules, with meticulously defined job duties and functions.
Often, one group of professionals will view another similar profession providing similar services as encroaching on their existing scope of practice, or “turf.” As a result, scopes of practice can become more specific – and legally circumscribed – as stakeholders work to define their turf. In general, turf issues are a natural part of the health care system, and don’t have to be contentious. More on dealing with turf issues and advocacy will be discussed in Chapter 7.
Scopes of practice can also vary widely between states or other jurisdictions. For example, the advanced practice nursing profession has undergone significant formalization of scopes of practice in the last few decades, and they continue to evolve. Below is a recent graph that shows the variation among states for some services nurse practitioners are allowed to provide, or not:
Complicating the situation more, each state or region has its own landscape of trained professionals, which can impact the scopes of practice for other professions. Another consideration is that a scope of practice generally defines the work a given profession is trained to do, but some professions have supervisory requirements that can further limit the scope of practice of an individual professional. More will be discussed on supervision in Chapter 6.
**How to Develop a Scope of Practice**
For emerging professions, defining a scope of practice is a key step in the process of professionalization. A scope of practice that aligns specific training with clearly-defined competencies and services can help a profession define its niche in the health care system. While no step-by-step guide exists for developing a scope of practice, a handful of useful documents have been developed, and are condensed below. Links to additional resources and examples are listed at the end of this chapter. Here are some tips for starting the process, and for making an existing scope of practice more impactful:
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7 [https://www.bartonassociates.com/locum-tenens-resources/nurse-practitioner-scope-of-practice-laws/](https://www.bartonassociates.com/locum-tenens-resources/nurse-practitioner-scope-of-practice-laws/)
Always keep the purpose in mind
A scope of practice may have multiple goals – establishing a clearer definition of roles and responsibilities, aligning training with services delivered, etc. – but its primary purpose is patient safety. A 2006 report from a consortium of national regulators titled “Changes in Healthcare Professions’ Scope of Practice: Legislative Considerations”\(^8\) puts the primary purpose into stark focus, stating:
“The question that healthcare professionals must answer today is whether their profession can provide [a] proposed service in a safe and effective manner. If an issue does not address this question, it has no relevance to the discussion.”
A scope of practice should remove doubts about whether a professional is qualified to provide the services described, and whether they can be trusted in providing care to patients and clients.
Research similar professions and other states
Health regulatory and licensing boards have deep understanding of the scopes of practice for licensed professionals in their state, and are a valuable resource to stakeholders. They are charged with maintaining and interpreting scopes of practice of the professionals they license or regulate. Boards are usually government entities within the structure of the state’s health department. Some states have specific departments for health professional licensure. Some professions are influenced by associations on the national level, but state boards are generally more in tune with local issues and concerns.
In researching other professions, pay very close attention to the terminology used to define a service provided. For example, in Minnesota statute, a Nurse Midwife’s scope of practice begins by defining the following services:
“(1) the management, diagnosis, and treatment of women’s primary health care including pregnancy, childbirth, postpartum period, care of the newborn, family planning, partner care management relating to sexual health, and gynecological care of women across the life span…”
Some overlap of services between professions is unavoidable, and often innocuous, but in developing the scope of practice for a Doula, there is likely very little overlap in responsibilities. Assisting during pregnancy and childbirth, or care for the newborn is a potential overlap of service, but a doula is likely not trained in “management,” “diagnosis,” or “treatment” of women’s “primary health care,” so these terms should be avoided when developing a Doula’s scope of practice.
Another example comes from the development of covered services in Medicaid for Community Paramedics (CP) in Minnesota, in 2011 and 2012. The Legislature was interested in authorizing
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\(^8\) http://www.micnp.org/files/professional/Changes%20in%20Healthcare%20Professions%20Scope%20of%20Practice%20Legislative%20Considerations-2.pdf
\(^9\) https://www.revisor.mn.gov/statutes/?id=148.171
coverage of CP services in Medicaid – but a scope of practice did not exist. So the Legislature charged the Medicaid agency with developing a set of recommendations for CP services to be covered.
A group of stakeholders was identified and invited to participate. The group included CP advocates, a representative from higher education who teaches CPs, state regulators, and representatives from professions who perform similar work such as nurses and home care agencies. The group reviewed background documents and materials describing scopes of practice of similar professions, identified which services a CP could provide based on training and skills, and finalized a list of services that should be covered. The list of services included both existing services for which reimbursement codes already exist, and a number of services that were new.
Ultimately, the Legislature used the list and refined them into a handful of services that accurately capture the training and skills of trained Community Paramedics, and which are now covered in Minnesota’s Medicaid program.
While this example was narrow in focus and did not create a full scope of practice for Community Paramedics, the process was instructive on how a group of stakeholders can come to agreement, even without a clear scope of practice defined. In the end, detailed information about how well Community Paramedics are trained alleviated the concerns of other professions and stakeholders.
Consensus-based common reference language or national model practice acts, if developed and available, offer an expedited route to developing a scope of practice. Consistency in language across state boundaries ensures professional mobility, and name recognition of the profession in the eyes of the public.
**Develop a goal-oriented process**
Developing a scope of practice will not happen quickly. Interested stakeholders should plan for months – if not years – of work.
The American Nurses Association (ANA) published a journal article in 2015 detailing some best practices for developing nursing scope of practice changes, and it included a list of six questions all change processes should seek to answer. Below, the list of questions has been modified to make it specific to emerging professions:
1. **Who?** Identify numbers of professionals involved and their educational preparation.
2. **What?** Explain the services to be provided in detail, and where possible, use broadly accepted terminology and language.
3. **When?** Determine when these services are needed – i.e., at what point in a patient’s life experience or disease state – and when the professionals will provide the service.
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10 [http://mnemscp.org/wp-content/uploads/2012/03/Community-Paramedics-Legislative-Report.pdf](http://mnemscp.org/wp-content/uploads/2012/03/Community-Paramedics-Legislative-Report.pdf)
11 [http://www.nursingworld.org/MainMenuCategories/ANAMarketplace/ANAPeriodicals/OJIN/TableofContents/Vol-20-2015/No2-May-2015/Best-Practices-for-Developing-Specialty-Scope-and-Standards.html](http://www.nursingworld.org/MainMenuCategories/ANAMarketplace/ANAPeriodicals/OJIN/TableofContents/Vol-20-2015/No2-May-2015/Best-Practices-for-Developing-Specialty-Scope-and-Standards.html)
4. **Where?** Describe practice environments in sufficient detail to understand where the service will be delivered – in a hospital, clinic, or nursing home, in a patient’s home, and/or in a community setting.
5. **Why?** Determine what niche or gap is filled; the historical perspective of the development of the profession; current issues and future trends in health care that point to the need for the profession.
6. **How?** Identify the process to become this type of professional, including development through formal education, continuing education, and practice experiences.
The ANA article and other experts also recommend some additional guidelines:
1. **Convene experts with specific roles and functions**
When recruiting experts, in addition to valuable experience, some factors to balance include: representation from the profession itself – including all sides of any known professional divisions within the field; representation from similar professions with an interest; representation from appropriate racial, ethnic, linguistic, geographic, and socio-economic backgrounds; and representation from government, academia, and other fields with experience developing scopes of practice.
At various times in the process, legal input, or detailed perspective about curriculum may be needed from experts with very specific knowledge. Drawing on this expertise in a focused manner that is respectful of everyone’s time will make meetings more efficient and more productive. Smaller working groups are a good way to focus work on specific tasks.
2. **Establish ground rules for the process**
Inclusion and respect for diverse opinions should be communicated early and often, and meaningfully honored throughout the process. Another common trait of successful processes is the development of a group ethic to “get it right.” Having a clear focus on producing a useful product can minimize factions, and keep things moving forward.
3. **Establish a realistic timeline**
Unless there is funding to hire staff, the work will likely be in-kind contributions from busy professionals. The ANA suggests planning 12-18 months, but it could be shorter for some emerging professions, depending on the complexity of services involved. The ANA also suggests identifying the best times for meetings, using conference calls (even in the evenings), and adjusting the frequency of meetings to fit schedules.
4. **Identify a lead writer**
The process is a group effort, but it should be one person’s responsibility to document the scope of practice, in part because the language needs to be specific and clear. The lead writer should be someone who can meet deadlines.
5. Be inclusive and transparent
Hold public meetings, use social media, invite a broad range of stakeholders, publish draft documents, and announce the final results as soon as they are completed. Define and communicate a process for input, and respond openly to feedback from stakeholders and the public.
If one doesn’t exist yet, the scope of practice process could also be used to develop a code of ethics for the profession.
6. Develop a process to minimize revisions
Online document sharing tools offered by DropBox\(^{12}\), Google Docs\(^{13}\) and others can help manage the number of drafts, and allow multiple people to edit at the same time. Once the documents are nearing completion, formalize the process for making new revisions by soliciting input during fixed times, compiling and publishing suggested revisions, and obtaining pre-defined approval for changes – perhaps by an identified subgroup.
7. Know the audience
The public is the main audience, but eventually a scope of practice will be useful to Legislators, regulators, insurance companies, other professions, and higher education institutions. Make sure there are no potentially divisive statements such as assumptions about other professions, politically charged language, or unrelated comments.
**How to Modify Scope of Practice**
Scopes and practice acts may need to be clarified, refined or updated with the passage of time as new training or gaps in implementation become evident. Additional impetus for scope change may come from differentiation over time in the profession’s roles or range of permissible services such as prescriptive authorities, delegation, or supervision.
Changing or updating a scope is a big undertaking. It is recommended that a lead sponsor be identified who can track all technical changes that need to be made so nothing gets left out. Guidelines noted above used in drafting the initial scope could be followed for scope changes as well. Typically, revisions are proposed by state licensing or regulatory boards but professional associations can certainly lead this process. External factors regarding the political climate, legislative appetite for scope change and timing are critical to take into account along with the urgency of scope change.
In 2015-2016, MDH in partnership with representatives from professional health care associations, state health licensing boards, state legislators, the National Conference of State
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\(^{12}\) [https://www.dropbox.com/](https://www.dropbox.com/)
\(^{13}\) [https://www.google.com/](https://www.google.com/)
Legislatures (NSCL) and the National Governors Association developed two tools to assist in developing and assessing legislative proposals to change a scope of practice.\textsuperscript{14} The first tool is a framework to describe and evaluate scope of practice legislation. It is meant to be used by both scope proposers and evaluators to guide their legislative journey. It helps stakeholders in summarizing and organizing key information about the scope of practice proposals to facilitate an objective review for legislators, and it helps legislators assess the proposal. The second tool helps stakeholders assess the progress once the initial scope is in place, and identify future barriers and related strategies to accomplish the intent if the proposed changes to scopes of practice. A link to the tools is in the Resources section below.
**Examples of Scope of Practice Development Efforts**
Most scopes of practice are defined in statute or rule, and examples can often be found on the websites of state regulatory boards. Some additional instructive examples of scopes of practice are listed below.
- The CHW Core Consensus, or “C3” project was a recent effort to develop a national guidelines for a scope of practice for Community Health Workers. The full report, linked below, includes information about the process taken to develop the guidelines, and a discussion about the limitations of the effort: \url{https://sph.uth.edu/dotAsset/28044e61-fb10-41a2-bf3b-07efa4fe56ae.pdf}
- In 2001, the state of Michigan conducted a study on the scopes of practice of numerous health professions. The study is instructive in detailing how specific language and terminology is used to describe knowledge, skills, and abilities of various health professions: \url{https://www.msms.org/Portals/0/Documents/ScopePracBook.pdf}
- Organizing the information can be done in different ways. This 1995 example of a scope of practice for acupuncturists from California structures the information into a table format: \url{http://www.thesupplycenter.com/2009/business/practice_scope_summary.pdf}
- In Ohio, state statute defines the scope of practice for Community Health Workers as the tasks and duties that a supervising nurse delegates to a CHW. The statute focuses more attention defining what is not allowed by a CHW than what services can be delegated, which leaves the determination of an individual CHW’s scope of practice to the supervising nurse: \url{http://codes.ohio.gov/oac/4723-26}
- In Minnesota, emergency medical services professionals do not have a state inscribed scope of practice. Instead, there is an evidence and consensus based, National Emergency Medical Services (EMS) Scope of Practice Model that specifies the education, training and licensure levels for EMS personnel, and is updated based on gains in technology and medical research findings. Operationalization of the scope ultimately falls to the state EMS directors who issue standing orders to their ambulance services that determines what EMS personnel can and cannot do: \url{https://www.ems.gov/pdf/education/EMS-Education-for-the-Future-A-Systems-Approach/National_EMS_Scope_Practice_Model.pdf}
\textsuperscript{14} \url{http://www.health.state.mn.us/divs/orhpc/scope.html}
Another example comes from the development of covered services in Medicaid for Community Paramedics (CP) in Minnesota, in 2011 and 2012. The Legislature was interested in authorizing coverage of CP services in Medicaid, but a scope of practice did not exist. So the Legislature charged the Medicaid agency with developing a set of recommendations for CP services to be covered. The effort is an example of how a group of potentially contentious stakeholders came to agreement: http://mnemscp.org/wp-content/uploads/2012/03/Community-Paramedics-Legislative-Report.pdf
Resources
For researching other professions, O*Net is a database of professions that includes information about knowledge, skills, and abilities of the role, as well as tasks, work activities, and education: https://www.onetonline.org/
A report from the Connecticut General Assembly on scope of practice: https://www.cga.ct.gov/2009/pridata/Studies/PDF/Scope_of_Practice_Final_Report.PDF
A whitepaper from 2010 that discusses options for making scopes of practice – and the efforts to develop them – more closely align with broader health goals: https://www.ncsbn.org/ReformingScopesofPractice-WhitePaper.pdf
This database maintained by NCSL can serve as a useful reference for scope bills introduced in other states. Currently, only three professions (nurse, oral health, physician assistants) are tracked but NSCL hopes to expand it to include other professions in the future: http://scopeofpracticepolicy.org/
The National Conference of State Legislatures (NSCL) and the National Governors Association Scope of Practice tools, developed by the Minnesota Department of Health: http://www.health.state.mn.us/divs/orhpc/scope.html
The Federation of State Medical Boards issued a report in 2005 that discusses how scope of practice acts impact access and safety: https://www.fsmb.org/Media/Default/PDF/FSMB/Advocacy/2005_grpol_scope_of_practice.pdf
Education
“What kind of training do you have?”
A profession without an established curriculum to train students is at a disadvantage. In order to feel comfortable enough to spend valuable resources and hire someone, an employer will want to know that the education and training an individual has obtained means they are skilled and qualified. Patients also want to know that a professional is capable and well-trained. Standardizing the education and training students receive can be very helpful in defining the scope of practice for the profession, in clarifying regulatory requirements of the profession, and in establishing a niche in the health care marketplace.
Education and training for emerging professions can be one of the most daunting, and time-consuming aspects of professionalization. The health care system is complex enough, but navigating the higher education system – with its myriad processes and rules – can be discouragingly slow. However, there are interim steps that can make a difference more quickly, and it is important for many reasons to work towards the goal of a common curriculum for an emerging profession. Developing a curriculum is an iterative, ongoing process, and stakeholders should be prepared for years of work.
Developing a Curriculum
Curriculum development – sometimes referred to as “instructional design” – is generally the responsibility of the profession itself, and it requires inclusion and flexibility. It works best when all interested stakeholders are in the loop, even known opponents. And it is important to remember that a curriculum is an ongoing process. The relationships and structures built while developing the curriculum will be useful when revisions are needed in response to frequent changes in the role or health care landscape.
It is important at the initial phases of the process to identify all relevant stakeholders and announce the intent to develop a curriculum. It should not be done in isolation. Engaging experts in curriculum development is also crucial at the early stage. Community and technical colleges that offer degrees and certificates in health-related fields are a good source of expertise.
The University Of California San Diego School Of Medicine published a concise summary of steps to consider when developing a curriculum for health professions:
- **Step 1:** Problem Identification and General Needs Assessment
- Identification and critical analysis of a health care need.
- **Step 2:** Needs Assessment of Targeted Learners
- Assessing the needs of the targeted group of learners.
- **Step 3:** Goals and objectives
- Once the needs of targeted learners have been identified, goals and objectives for the curriculum can be written.
- **Step 4:** Educational Strategies
- Once objectives have been clarified, curriculum content is chosen and educational methods are selected that will most likely achieve the educational objectives.
- **Step 5:** Implementation
- There are several components:
- procurement of political support for the curriculum
- identification and procurement of resources
- identification and address of barriers to implementation
- introduction of the curriculum: piloting
- administration of the curriculum
- refinement of the curriculum
- **Step 6:** Evaluation and Feedback
- It usually is desirable to assess the performance of both individuals (individual evaluation) and the curriculum (called program evaluation).
- The purpose of evaluation may be formative (to provide ongoing feedback so that the learners or curriculum can improve) or summative (to provide a final "grade" or assessment of the performance of the learner or curriculum).
This list is not intended to be comprehensive, but a starting point. The development of each curriculum must be responsive to the conditions and landscape of the individual profession. Again, it is strongly recommended that an expert in curriculum development be involved at the earliest stages possible.
Another key consideration is determining where a curriculum will be taught. Some professions prefer coursework to be taught by community-based programs, but this can lead to difficulties in standardization and replication. Community and technical colleges and universities are the most obvious partner for teaching a curriculum. In addition many states have training centers for economic development programs -- Opportunities Industrialization Centers are an example that are active in 22 states.
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15 [https://meded.ucsd.edu/index.cfm/ugme/MedEDTechEval/educational_development/curriculum_development/](https://meded.ucsd.edu/index.cfm/ugme/MedEDTechEval/educational_development/curriculum_development/)
16 [http://www.oicofamerica.org/](http://www.oicofamerica.org/)
Location of the education and training matters for the development and distribution of the profession. Often where the students come from is where they will want to practice. If the profession wants to grow in rural areas, there should be training programs in rural areas.
Online curriculum is a powerful way to ensure access to education and training. Many community and technical colleges already offer online courses, and have expertise in developing online curricula.
**Expert Advice**
It is strongly recommended to seek advice from experts and stakeholders who have participated in the development of curricula or specific job-related training programs. Anne Willaert works for South Central Community College in Mankato, Minnesota, and has decades of experience developing curricula for new health professions. Among other curricula, Ms. Willaert led the development of Minnesota’s Community Health Worker and Peer Support Specialist curricula, and assisted in the development of the Community Paramedic curriculum – all three of which are now taught in multiple states. Ms. Willaert shared some additional advice on the steps listed above for this guide:
- Start by surveying for gaps in services and the need for the profession
- Questions to ask:
- Is this already an identified profession, is there an accrediting body, what are other states or countries calling this profession?
- What is the return on investment, or business case?
- How do you get people to pay attention or see an interest in the need for this service or profession?
- Utilize data, research other states, related professions, and best practices.
- Form partnerships and bring in a broad range of interested parties:
- Private and public industry
- State agencies
- People already acting in the role
- Education institutions
- Professions they would practice with
- Others with an interest or potential conflict
- Identify required competencies
- Survey the competencies with a number of professions
- Build a competency based curriculum from agreed upon competencies
- At the same time as building the curriculum, start conversations with partners and ask:
- Where will this person work?
- What will the compensation be?
- What role will they play?
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17 Email exchange, October 12, 2017 with Anne Willaert, Statewide Director of the Minnesota Advanced Manufacturing Partnership Project: [http://www.southcentral.edu/About/minnesota-advanced-manufacturing-partnership.html](http://www.southcentral.edu/About/minnesota-advanced-manufacturing-partnership.html)
How will they fit within the regulations that exist?
If working under supervision, whose license will they be reporting to?
This is the beginning of building the policy around the position and will impact its ability to emerge into society
• Identify barriers
o For example, two large barriers related to the Community Health Worker profession were the fear expressed by CHWs of “over-professionalizing” or changing the concept of how they identified themselves. The second was potential discrimination and fear from other healthcare professions CHWs would be working with.
o One way potential barriers were avoided was to invite and listen to the board of nursing and other related healthcare professions and their associations at the beginning of the discussions.
• From the beginning, stakeholders need to identify the best entity to house the interests of the new profession as it relates to sustainability
There are also some steps to consider with regards to internal processes in higher education institutions:
• To justify the need for a new course, collect data and statistics to identify the workforce needs
o Not just for the new profession but any projected shortfalls for similar professions, as well as known growth and predicted changes
• Approval of curricula in a higher education institution must be faculty driven
o Competencies and curricula have to be written by faculty
o Faculty have to guide the approval process through the system
• All curricula must pass through an academic standards committee, which is governed by faculty
o These committees follow institution policies, which may be publicly available
Aspects of a Curriculum
Training for many health professions include both formal classroom (didactic) education, and applied (practical) training while under supervision. Depending on the profession and the training needed, there are multiple ways to achieve both forms of education.
Didactic education can range from education materials in a three-ring binder developed by an employer to a lecture in an accredited medical school. It can be studied individually, in group settings, in a formal classroom, or online.
For credit or not
A crucially important consideration for emerging professions is whether stakeholders want the course work to be for credit by a higher education institution or not. If a student receives credit
by a college for course work – or more formally, if the courses “articulate” – those credits can be transferred to another college, and can be applied to other degree programs if the individual wants to pursue a higher degree. Articulation means the profession can more easily become a step on a career ladder for professionals. However, approval of articulation in higher education is a part of the lengthy bureaucratic process mentioned above. It is driven by faculty, and can potentially add years to implementation. Delays in training can significantly hinder the initial development of a profession. That said, once in place, articulation will make it easier to maintain a consistent definition of the profession, and can make the process of regulation easier. For information on regulation, see chapter 3.
On the other hand, articulation may not be vital to a profession. Some professions may not wish to be a step on the health care career ladder, or they may only require training that is purely technical in nature, which leads to a skill-based certificate rather than a professional license. Many colleges and universities offer a faster way to get a new course off the ground: customized training. An example is the customized training program at the University of Minnesota,\(^{18}\) which works closely with industry partners to develop specific curricula – often with a specific cohort of students in mind. The school and industry partners work to identify the needs of a company or industry, they develop a curriculum based on any existing curricula and the specific needs for the training, and the school teaches the course either on-site at the company, in classrooms, or a combination of both. The chart below demonstrates the University of Minnesota’s process:
**Figure 2: University of Minnesota Customized Training Process\(^{19}\)**
Because customized training courses typically do not articulate, approval of a new course can be much quicker, and the profession can grow more quickly. However, it may be a challenge down the road to maintain consistency in the definition of the profession if courses vary widely.
Stakeholders weighing their options on articulation or not should consult directly with school administration and faculty in order to assess willingness and manage expectation. One option
---
\(^{18}\) [https://ccaps.umn.edu/customized-training](https://ccaps.umn.edu/customized-training)
\(^{19}\) ibid
is to develop a customized training program as a pilot project, and simultaneously begin the longer process of articulation approval.
**Practical training** is as old as medicine itself. Physicians must complete residency before being fully licensed, dentists are frequently trained at the shoulder of another dentist, and many mental health professionals must work under the supervision of a more senior member of their profession before they can practice independently.
**Apprenticeship** is one model of on-the-job training for consideration by emerging professions. Apprentices work one-on-one with a seasoned professional and learn the profession over a defined period of time, potentially years, depending on the complexity of the job. An apprentice often stays with the employer after completing the apprenticeship. According to a report published by the Washington State Department of Labor and Industry\(^{20}\), over 20 health care professions already include some form of apprenticeship component for training, and over 50 different professions in health care could benefit from the apprenticeship model.
Some potential benefits of an apprenticeship model of training are: quicker integration into the workplace/clinical environment; directly pertinent training for the individual apprentice with immediate feedback; and development of supervisory and leadership skills within the profession. Potential drawbacks include non-reimbursable services and time lost by the supervising professional; potential inconsistency in training; and a reliance on enough individual supervisors to provide necessary training. Stakeholders considering apprenticeship should develop clear guidance for supervising professionals, in order to maintain consistency, and provide support.
Professions currently using apprenticeships for training include: Medical Assistants; Home Health Aides; Emergency Medical Technicians; Dental Assistants; Laboratory Assistants; Pharmacist Assistants.
**Internship** is another model of on-the-job training that can be more team-based than apprenticeship. An internship is generally a shorter-term, project-based training that prepares a student for specific job functions and roles. It may or may not lead to work with the hosting employer. Interns may work individually or with other interns, and may be supervised by multiple professionals. Internships that involve providing care to a specific population, or in a specific care setting can be an effective way to hone a student’s skills.
Some potential benefits of internship models include: experience working with a broad range of professionals in a team-based environment; relatively shorter term training and completion; and greater consistency in training. Some potential drawbacks include a reliance on larger institutions who can provide adequate space and expertise; possible isolation and neglect of the intern; and possible disconnect between needed training and the organization’s priorities.
The Health Occupations Student Association (HOSA) has published a list of organizations that currently run many kinds of internship programs,\(^{21}\) and who may be receptive to a specific
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\(^{20}\) [http://www.lni.wa.gov/tradeslicensing/apprenticeship/files/pubs/apprenticeshipshealthcareindustrymauldin.pdf](http://www.lni.wa.gov/tradeslicensing/apprenticeship/files/pubs/apprenticeshipshealthcareindustrymauldin.pdf)
\(^{21}\) [http://hosa.org/internships](http://hosa.org/internships)
internship program for a professional to complete training. Larger hospitals, safety net clinics, and public health agencies are also potential options. It is important for stakeholders looking at internship to build enough infrastructure to accommodate students completing their training. If securing an internship is the individual student’s responsibility, clear guidance for employers is recommended.
Professions currently using internship for training include: Physicians; Pharmacists; Nurses; Community Health Workers; Health Care Administrators.
Continuing education is a common way for graduates to keep their skills sharp after graduation. Often a condition of licensure, many professions are required to continue learning new skills in order to ensure the profession keeps up with technology and changes in care delivery. A regulating body will establish the minimum requirements for continuing education, which can be based on specific skills, a set number of hours of additional education, or a combination. The responsibility to meet these requirements will fall on the individual professional. For emerging professions, stakeholders should consider whether continuing education should be required. There may not be an entity that can approve courses or monitor compliance. Without a proper infrastructure in place, it may be a challenge for individuals to find continuing education opportunities.
Some common examples of continuing education for emerging professions include skills-based trainings such as CPR or motivational interviewing, community meetings on pertinent health topics, and attendance at policy forums, seminars, and professional conferences.
Defining Competencies
For many health professions, education and training are competency-based\(^{22}\), or in other words, focused on specific skills needed to do a job rather than abstract concepts. But first, these competencies must be identified and documented.
One method of identifying competencies commonly used for curriculum development is known as DACUM – short for “Developing a Curriculum.”\(^{23}\) DACUM is a systematic, facilitated process that defines the specific duties and tasks of a role or profession, as well as the knowledge, skills, traits and any tools a worker needs to do the job. The process is useful for new roles as well as professions that have developed over time, because it can capture existing components and desired skills of a yet undefined role. DACUM can produce a meaningful list of competencies that can be translated into a curriculum.
Another source of information on competencies for professionals in public health is an assessment tool developed by the Public Health Foundation.\(^{24}\) Beyond the minute tasks and functions of a profession, this tool can provide broader context on the competencies of a role as it interacts with larger public health stakeholders and systems. This is important context for
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\(^{22}\) [https://www.ed.gov/oii-news/competency-based-learning-or-personalized-learning](https://www.ed.gov/oii-news/competency-based-learning-or-personalized-learning)
\(^{23}\) [http://www.dacum.org/](http://www.dacum.org/)
\(^{24}\) [http://www.phf.org/resourcestools/Pages/Competency_Assessments_For_Public_Health_Professionals.aspx](http://www.phf.org/resourcestools/Pages/Competency_Assessments_For_Public_Health_Professionals.aspx)
emerging professions looking to bridge health care sectors and provide services in public health programs.
As mentioned above, it is also useful to research the competencies of similar professions – both as a way to identify potential friction points between professions, and because it may be possible to incorporate competency-based components from other curricula into a new curriculum. A comprehensive tool for the competencies of known professions is O*Netonline.org.\textsuperscript{25} O*Net lists competencies of professions by tasks, technology skills, knowledge, skills, abilities, work activities, and work context.
Health regulatory boards are another good source of information for competencies of the professions they regulate.
\section*{Resources}
O*Net database with competencies of professions: \url{https://www.onetonline.org/}
Graphic flowchart for curriculum development planning: \url{https://www.k4health.org/sites/default/files/Components%20of%20a%20Health%20Professional%20Curriculum_edited.pdf}
US Department of Labor Toolkit to start an apprenticeship program: \url{https://www.doleta.gov/oa/employers/apprenticeship_toolkit.pdf}
University of Virginia Guide to starting an internship program: \url{http://www.virginia.edu/career/intern/startinganinternship.PDF}
Wisconsin’s apprenticeship program: \url{https://dwd.wisconsin.gov/apprenticeship/individuals.htm}
\textsuperscript{25} \url{https://www.onetonline.org/}
Regulation
“How can I be sure you know what you’re doing?”
Regulation of health professions is certainly about formal recognition of the profession and the ability to seek payment from some payers, but the core of regulation is about safety. Professional regulations and restrictions are intended to create mechanisms to ensure competence and protect the public. And if a profession is providing care to sick or vulnerable patients, society has an expectation that practitioners are adequately trained, that specialized skills are up-to-date, and that unscrupulous providers are policed. That said, how regulation is implemented is often a source of controversy and friction between professions and stakeholders.
Some states refrain from regulating emerging professions, relying more on market forces to define the boundaries of a profession. Other states prefer detailed processes and procedures to ensure professional conduct is safe and consistent. This guide does not take a side in the ongoing philosophical debate, other than to assume that regulation of health professions is a deeply imbedded aspect of our health care system, there are advantages and disadvantages to any regulatory process, and there are common paths that emerging professions may wish to explore. In Minnesota, state statute includes specific criteria for determining whether regulation of a profession is appropriate. The criteria include\(^{26}\):
(1) whether the unregulated practice of an occupation may harm or endanger the health, safety and welfare of citizens of the state and whether the potential for harm is recognizable and not remote;
(2) whether the practice of an occupation requires specialized skill or training and whether the public needs and will benefit by assurances of initial and continuing occupational ability;
(3) whether the citizens of this state are or may be effectively protected by other means; and
(4) whether the overall cost effectiveness and economic impact would be positive for citizens of the state.
Regulation of health professions generally takes place at the state level. There are different interpretations about what regulatory terms mean from state to state, but in general there are three main levels of health professional regulation: Licensure, Registration, and Certification. Some jurisdictions may require a Permit to practice in a specific health-related field, but this is less common.
As stakeholders weigh whether to enact a regulatory structure for an emerging profession -- or the appropriate level of regulation – below are the primary levels of regulation, and some common variables to consider.
\(^{26}\) [https://www.revisor.mn.gov/statutes/?id=214.001](https://www.revisor.mn.gov/statutes/?id=214.001)
Licensure
A license is the most complex form of health professional regulation. Obtaining a license is often mandatory if an individual wishes to practice under a specific professional title, such as a physician or a pharmacist. Because safety is the primary objective, licensure is most often required for professions performing tasks with the potential to harm people if not done properly. Licensure is also most common among professions who are expected to act independently, without supervision.
The process of licensure is defined in statute and/or rule by the state government, and is often managed by a governing board of professional peers and experts. A licensure statute will define the scope of practice, minimum qualifications, continuing education requirements for license renewal, and disciplinary and termination processes to exclude individuals who act outside ethical principles or fail to meet competency standards.
Some advantages of licensure include:
- Title protection
- Clearly defined scope of practice
- More consistency within the profession
- Increased quality through continuing education requirements
- Mechanism for policing bad actors
- Reduced competition from title protection
- Strong case for reimbursement by government and private insurance.
Some disadvantages of licensure include:
- Fees
- Barrier to entry in the marketplace
- Time lost to bureaucracy and paper work
- Ongoing “turf” conflicts with professions performing similar work
- Barriers to evolution in professional practice
- Requirement of legislation for major changes
- Fines and penalties for non-compliance
On the issue of fees, it takes money to run a licensing system. An entity such as a board or state agency must process the licenses, police bad actors, respond to public inquiries, and maintain standards. There are staff costs, information technology costs, governance costs like, board meeting expenses, legal fees, and other costs to consider. Some states may appropriate funds to support this activity, but the primary funding source is the license fee.
The fee is established by defining the costs to implement and maintain a license – spread across the number of licensees. As a rule of thumb, the fewer the potential licensees, the more expensive the license. Other factors such as the complexity of the regulations or the number of complaints to resolve will impact the license, but the number of professionals is the main factor. Depending on the variables, license fees can be up to $1,000 per year. However, many license fees are in the neighborhood of a couple hundred dollars per year.
An emerging profession that expects to have a small number of practitioners may want to look at other options for regulation, at least initially.
Examples of commonly licensed professions: physician; dentist; pharmacist; psychologist; independent clinical social worker; nurse practitioner.
**Registration**
Registration provides independent recognition of professionals, and includes some form of public register or roster of professionals who have met minimum requirements. Generally, the primary purpose of maintaining a register or roster is title protection. However, a register does not limit professional activities the way a license can – someone not listed on a register or roster can still perform the same duties, just under a different title.
Confusingly, the most common profession using the term “registration” today is a Registered Nurse. Back in the history of nursing, registration meant something different.\(^{27}\) Today, however, Registered Nurses are actually *licensed*. For this guide, a more narrow definition of registration will be used, which excludes registered nursing. But not nursing assistants, who are actually *registered*.
Registration includes an eligibility process, which can be verification of a specific educational requirement, or less frequently, an assessment of knowledge and skills. Evidence of certification, if available for the profession, may be a registration requirement. The cost of registration can be much lower than licensure because registration does not usually include complex renewal requirements, or detailed mechanisms for policing bad actors.
Once a professional has registered with the governing body – often a state department – they will be listed on the official register or roster as having met minimum requirements. An official roster will include the professional’s work address and contact information, and may include the professional’s specific credential. Some rosters may also include details about a professional’s specialization. For example, a roster of health care interpreters may include the language(s) interpreted, an area of health care expertise, or a region where the person works.
Registration is voluntary, but participation may be required by other entities. An example is that Medicaid or an insurance company may require a professional to register before their services can be reimbursed.
Registration can be a useful step for emerging professions looking to professionalize because it is cost effective, and it can be structured to include professionals with a wide range of education, expertise, and experience. Registration is common among professions with a minimal amount of education or training, and/or work under supervision of another profession.
Some advantages of registration include:
- Title protection
- Some consistency within the profession
- Publication of contact information for all registered professionals
\(^{27}\) https://en.wikipedia.org/wiki/Registered_nurse
A case for reimbursement by government and private insurance.
Some disadvantages of registration include:
- Fees
- Time lost to bureaucracy and paperwork
- Lack of a defined scope of practice
- Potential for confusion about titles used in the marketplace
Examples of commonly registered professions: nursing assistant; sign language and spoken language interpreter; athletic trainer; doula.
**Certification**
The line between certification and licensure can be, unfortunately, blurry – depending on the requirements. Requirements for certification can often be as stringent as licensure. And in some cases, certification can be an additional credential for an already licensed professional, such as a Certified Nurse Practitioner. However, for the purposes of this guide, the two primary distinctions are that certification is frequently managed by a private, non-governmental organization, and it is often voluntary.\(^{28}\) Certification is a profession regulating itself, often without government oversight.\(^{29}\)
Voluntary certification generally does not protect the title of the profession. Others may continue to use the same title in the marketplace, but they cannot call themselves certified without a proper credential.
A certification process will include some form of eligibility requirement – usually verification that a certain level of education has been achieved. There may also be an assessment by the certifying entity to ensure competence and consistency. Depending on the complexity of the process chosen by the certifying body, certification may be a one-time step that grants an individual a credential in perpetuity, or it may include continuing education requirements and steps for renewal. Some certifying bodies also create mechanisms to maintain ethical standards and revoke certifications from bad actors.
Professions that opt for certification should be prepared to organize themselves, which can be challenging. If a certification process – and the body it creates – is not transparent and inclusive, discord may arise, and even competing certifications can exist. Changes to a certification process run by a private entity can be easier than with government-administered licensure, but that does not mean a certifying body can act credibly without the input and feedback of the whole profession.
Some advantages of certification include:
- Voluntary self-regulation by a profession
- More consistency within the profession
- Potential for increased quality through continuing education
\(^{28}\) [https://www.nremt.org/rwd/public/document/certification_licensure](https://www.nremt.org/rwd/public/document/certification_licensure)
\(^{29}\) [https://www.fsmtb.org/media/1128/member-boards-agencies-member-services-government-relations-resources-licensure-v-certification.pdf](https://www.fsmtb.org/media/1128/member-boards-agencies-member-services-government-relations-resources-licensure-v-certification.pdf)
• Potential for policing bad actors
• A case for reimbursement by government and private insurance.
Some disadvantages of certification include:
• Fees
• Time lost to bureaucracy and paper work
• Generally a lack of clear title protection
• Confusion between certified and non-certified professionals, or multiple certifications
• Potentially, less credibility than government-sanctioned licensure.
Examples of commonly certified professions: emergency medical technician; health education specialist; hearing instrument dispenser; peer support specialist; massage therapist; natural health practitioner; acupuncturist.
**Permit**
Finally, a *permit* can be as simple as completing a form, paying a fee, and receiving a document that grants the right to participate in an activity, perhaps for a period of time. The permitting entity may require proof of minimum educational attainment, or proof of insurance. A permit may limit others from engaging in similar activity, but may not provide title protection. An example is a city permit to practice as a massage practitioner, or a body art practitioner.
**Resources**
A history of Physician Assistant regulation in North Carolina:
[http://pahx.org/pdf/NCMJ_Model_Legislation.pdf](http://pahx.org/pdf/NCMJ_Model_Legislation.pdf)
Article in the AMA Journal of Ethics on self-regulation in medical professions:
[http://journalofethics.ama-assn.org/2005/04/oped1-0504.html](http://journalofethics.ama-assn.org/2005/04/oped1-0504.html)
Article from the Cato Institute on potential drawbacks of professional regulation:
[https://object.cato.org/pubs/pas/pa-621.pdf](https://object.cato.org/pubs/pas/pa-621.pdf)
Article in Frontiers in Public Health on Australia’s experience with professional regulation:
[https://www.frontiersin.org/articles/10.3389/fpubh.2016.00091/full](https://www.frontiersin.org/articles/10.3389/fpubh.2016.00091/full)
Report on the development of a professional regulation council in Canada:
[http://www.hprac.org/en/projects/resources/RegulatingaNewProfession_CriteriaProcess_Nov2011.pdf](http://www.hprac.org/en/projects/resources/RegulatingaNewProfession_CriteriaProcess_Nov2011.pdf)
Minnesota House brief on health regulation:
[http://www.house.leg.state.mn.us/hrd/pubs/ss/ssreghrocc.pdf](http://www.house.leg.state.mn.us/hrd/pubs/ss/ssreghrocc.pdf)
Funding and Payment
“How do you make a living?”
This section will detail some options for stakeholders to consider as they seek funding and payment for services. Payment can come in many forms. Fee-for-service payment by public programs like Medicaid or some insurance companies is a relatively simple concept – provide the care, submit a claim to the payer for services rendered, and receive reimbursement. But there are many nuances to establishing approval for payment, and there are specific terms and processes required. Managed care organizations and other insurance companies may each have very different models for payment.
Grants are a common source of funding for a project that employs new professions, and are frequently leveraged for pilot projects, or for projects that serve a specific population or geographic area.
Recent health payment reforms have in some ways made entry into the system as an independent practitioner more challenging – requirements for electronic billing and the expanded use of electronic medical records – but there are opportunities.
Preparing to Ask for Payment
In seeking payment from any funder, there are a few key considerations to have defined well before approaching them with a request for payment or reimbursement.
First, what services are you planning to provide? The more clearly you can define the service in terms that the payer will relate to, the better. For example, a Community Health Worker (CHW) may provide multiple services during a single visit with a client. This may include education services about a diagnosis, enrollment services for public programs, referrals to other providers, transportation services, or follow-up from instructions detailed in a care plan from another provider.
For a payer like Medicaid, each of these CHW services may have unique definitions, billing codes and limitations. Some billing codes are limited to a subset of provider types, limited by time and frequency, or even limited to a specific population of clients. There are also billing codes that may cover the same service, but which fall into a broader category, such as care coordination. An understanding of these differences – from the funder’s perspective – will allow stakeholders to make more pertinent arguments for payment.
For a grantor, alignment with the goal of the grant program is crucial. A grant Request for Proposal (RFP) may require a detailed description of the specific work a new provider will be contributing to a grant project. In writing an application, pay close attention to what the grantor is asking for in the RFP, and, where possible, tailor the description of the work performed by a professional to fit the goals of the grant. For example, if a grant is looking to fund “innovative models to engage diverse communities in addressing social determinants of health,” the application for funding a project should highlight specific skills and competencies of the profession that connect directly with the goals of new ways to deliver services, community
engagement, and addressing the root causes of health, not only clinical interventions. A deep knowledge of how the skills and competencies of a profession can be applied towards policy solutions will help identify which grant programs are a good fit, and which are not worth the effort to apply.
In all cases, the services to be provided should align with a defined scope of practice. See Chapter 1 for more information about scope of practice.
Second, what population are you planning to serve? Doulas, for one example, offer meaningful coaching and support services to pregnant women before, during, and after the birth of a child. But a funder may be interested in paying for services to pregnant women, and not during the birth itself. Another funder may be more interested in health education for new mothers, which would limit the available population covered by that plan or targeted by a program or a grant. Populations can also be subdivided by geography, by ethnicity and/or language, or by which employer contracts with which insurance company. On the other side of the coin, programs may need to serve a larger population before agreeing to cover a service – for example, Medicaid may require a service to be available state-wide to its entire enrolled population before approval.
Third, how much do you expect to be paid? Grantors will expect a projected salary for an individual funded by grant dollars, and often will require the assumptions used to calculate that salary. Insurance company reimbursement rates for services are often set by comparing the proposed new service to similar services by similar providers, with similar levels of education. Medicaid, for example, has staff who set rates based on comparable services already established. Making the case for higher funding may be difficult without evidence of the value at the individual practitioner level. Knowledge about what a profession can charge in the open marketplace is important as rates are determined, and should be shared with key decision-makers. A valuable source of data on what current professions are paid is O*Netonline.org.\(^{30}\) O*Net lists median wages for known professions. Salary.com is another source of information for known professions, and can be searched by region or city.\(^{31}\)
Fourth, what does the service cost at a system or program level. Public programs and insurance companies have strong incentives to reduce costs and improve the quality of health care. If a new profession can make a case that providing care will reduce overall costs to the health care system, payers may be more easily persuaded. For example, Community Paramedics have successfully made the case in multiple states that some services they are trained to provide – visiting patients in their home after a hospitalization to make sure discharge plans and instructions are followed – can avoid costly readmissions to the hospital, and save potentially millions of dollars. Having data and rational estimates of potential cost savings can persuade policy makers and company leadership to say yes to coverage for a new type of provider.
All of these considerations can be made stronger with good data to back up the assumptions. For more information on potential data resources, see Chapter 9.
\(^{30}\) https://www.onetonline.org/
\(^{31}\) http://salary.com/
Medicaid
This section will start with a large caveat: at the time of writing, the Medicaid program is the focus of major reform legislation in Congress. Some of the policies and mechanisms described below may no longer be valid. Consult your state’s Medicaid agency for updates.
Briefly, the Medicaid program is a joint federal-state health insurance program that offers coverage for over 80 million low-income Americans. Funding is split between the federal and state governments. The program has grown recently in states that opted to expand coverage under a provision of the Affordable Care Act. And, there is significant variation in eligibility for enrollees between states\(^{32}\).
Coverage of services also varies considerably from state to state. The federal government sets the minimum standard for basic benefits in the program, while states have the discretion to cover additional services if they choose. It is possible for states to cover an additional service in Medicaid using state-only dollars, but this is rare. For states to receive the federal share of funding for any additional benefits, states must first authorize the coverage on the state level, and then receive formal approval from the federal government through either a State Plan Amendment\(^{33}\) or a Waiver\(^{34}\). For more information on these processes, contact your state’s Medicaid agency. Every state has a Medicaid Director, who is responsible for negotiating state plan amendments and waivers with federal partners. For specific information, contact your state’s Medicaid Director\(^{35}\).
Seeking payment from Medicaid is difficult, but it is often the most direct way for an emerging profession to create a stable, scalable source of funding for services. Medicaid can be a testing ground for new models and services, and the program serves a large population with the most health needs – Medicaid coverage for services provided by emerging professions should be a key goal of stakeholders seeking to professionalize their fields.
Medicare
The Medicare program provides health insurance to senior and disabled Americans. This guide will not provide as much detail about Medicare coverage as Medicaid, in large part because securing coverage in Medicare is very complex, and established nationally – below is a greatly summarized schematic of the process\(^{36}\):
---
\(^{32}\) [https://www.kff.org/health-reform/slide/current-status-of-the-medicaid-expansion-decision/](https://www.kff.org/health-reform/slide/current-status-of-the-medicaid-expansion-decision/)
\(^{33}\) [https://www.macpac.gov/subtopic/state-plan/](https://www.macpac.gov/subtopic/state-plan/)
\(^{34}\) [http://familiesusa.org/sites/default/files/product_documents/State-Plan-Amendments-and-Waivers.pdf](http://familiesusa.org/sites/default/files/product_documents/State-Plan-Amendments-and-Waivers.pdf)
\(^{35}\) [http://medicaiddirectors.org/about/medicaid-directors/](http://medicaiddirectors.org/about/medicaid-directors/)
\(^{36}\) [https://www.cms.gov/Medicare/Coverage/CouncilonTechInnov/Downloads/Innovators-Guide-Master-7-23-15.pdf](https://www.cms.gov/Medicare/Coverage/CouncilonTechInnov/Downloads/Innovators-Guide-Master-7-23-15.pdf)
Coverage for Medicare Part A (hospitalization) and Part B (outpatient) is determined both nationally and regionally. The overall benefit set is defined nationally, while reimbursement for services is administered regionally. Regional administration is contracted out to Medicare.
Administrative Contractors (MACs)\textsuperscript{37}. These administrators have a small amount of discretion in how benefits are interpreted, but most benefits are consistent across the program. Contracts for administrative regions change periodically – here is a map of the Medicare A/B administrative regions and the names of contractors as of 2017:
\textbf{Figure 4: Medicare Administrative Contractor Regions, 2017}
Because enacting a change to the Medicare benefit set requires a profession to have fully established many of the processes outlined in this guide, and more, Medicare coverage is not a recommended strategy for stakeholders in the beginning stages of professionalizing their fields. However, there are options within the Medicare program an emerging profession can pursue to have services reimbursed.
\textsuperscript{37} \url{https://www.cms.gov/Medicare/Medicare-Contracting/Medicare-Administrative-Contractors/Who-are-the-MACs.html}
One option is known as Medicare Part C, or Medicare Advantage\(^{38}\). Under this model, insurance companies contract with Medicare to provide both Part A and Part B services, but are granted some flexibility in how care is delivered and coordinated. Because Medicare Advantage insurance companies are responsible for the health outcomes of their enrollees – and because they want to save money – they may be interested in using emerging professionals to provide care to Medicare beneficiaries in a new way. For more information on working with these private insurance companies, see the next section below on Private Insurance.
Another option is known as “incident to” billing\(^{39}\) under Parts A and B. In essence, a supervising provider, usually a physician, can delegate services to professionals under direct supervision, and bill Medicare for those services provided incident to physician services, even though another professional provided the care. The physician must be nearby when the service is delivered, but can be in another room. The services themselves must be an integral part of the patient’s plan of care, and must be “of a type commonly furnished in a physician’s office or clinic.”
Delegating incident to services is entirely at the discretion of the supervising physician, who is responsible for the care, and liable if anything happens. Stakeholders who want to pursue this payment option for emerging professions should research incident to billing thoroughly before approaching a potential supervising provider or clinic for partnership.
A word of caution: incident to billing carries significant financial risk. Before submitting any claims for incident to services, the supervising provider should contact the regional Medicare Administrative Contractor (MAC) and gain assurance in writing that any incident to services are covered. If a claim is submitted improperly to the MAC, it is possible that a subsequent claims audit would require the provider to pay back the claims.
**Private Insurance**
Private insurance companies are often the same entities who contract with Medicaid or Medicare to cover enrollees in those programs, but may offer other insurance products to customers in the private market as well. These products are sold to individuals who purchase health insurance directly, and, much more frequently, companies who buy insurance as a benefit for their employees.
For many emerging professions, seeking coverage for their services from this part of the insurance market can be difficult. There is wide variation of services covered by insurance products – not only when companies contract with Medicaid or Medicare, but especially among products in the individual and employer markets. This variation can be an opportunity for emerging professions on a small scale, but often creates an obstacle to professionalization more broadly. While there are coverage requirements and minimum standards for some private insurance products in each state\(^{40}\), there is less regulation of the private market, and
---
\(^{38}\) [https://www.medicare.gov/sign-up-change-plans/medicare-health-plans/medicare-advantage-plans/medicare-advantage-plans.html](https://www.medicare.gov/sign-up-change-plans/medicare-health-plans/medicare-advantage-plans/medicare-advantage-plans.html)
\(^{39}\) [https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNMattersArticles/downloads/se0441.pdf](https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNMattersArticles/downloads/se0441.pdf)
\(^{40}\) [https://www.cms.gov/ccio/resources/data-resources/ehb.html](https://www.cms.gov/ccio/resources/data-resources/ehb.html)
the services covered by private insurance plans are often tailored for each customer. One employer’s plan from an insurance company may cover a service that another employer’s plan does not.
Another possible barrier for emerging professions to penetrate this market is a process known as “credentialing.” In addition to licensure, insurance companies may require that a billing provider become credentialed – in essence, approval from the insurance company to bill them for services – in order to avoid potential fraud, and/or to maintain a network of providers. Unfortunately, insurance companies require credentialing in different ways. For example, one insurance company may require both a dentist and dental therapist working under a collaborative management agreement to become credentialed before billing for the dental therapist’s services, another company may only require the dentist to be credentialed, and a third may not require credentialing for dentists at all. Each insurance company should have their credentialing requirements available online or through their provider help desk.
A potential resource for emerging professions interested in working within the private insurance market are health care group purchasing organizations, often a group of large employers and stakeholders. These purchasing alliances work with insurance companies to decrease cost, but also to more closely meet the health needs of employees and individual insurance. Some states have mandated group purchasing alliances created by statute and there may be a private purchasing alliance in states as well. For emerging professions, these entities can be an ally in seeking insurance coverage for new services.
**Accountable Care Organizations**
Accountable Care Organizations (ACOs) are groups of doctors, hospitals, and other providers who come together voluntarily to provide coordinated care to their patients. These organizations enter into agreements with payers like Medicare or Medicaid, and if quality and cost targets are met, savings created can be shared with the ACO. And for emerging professions, the ACO model is a relatively new opportunity to provide services in a coordinated system – without some of the restrictions of traditional payment models.
Payers define the parameters of ACOs. The Medicare ACO program, for example, stipulates the population that can be served by an ACO, and the health care providers who can participate. The ACO itself is a voluntary agreement between a group providers. This organization can include doctors, hospitals, clinics, nursing homes, dentists, mental health providers – any health care provider or facility that the group believes can improve the care of the defined population.
Once formed, the ACO will apply to the payer to enter into a contract. The contract will define the population to be served, the timeframe, and – most importantly – the baseline quality and cost measures to be used in calculating any shared savings.
---
41 [https://www.ncqa.org/Portals/0/Newsroom/2014/CredentialingFactSheetFinal.pdf](https://www.ncqa.org/Portals/0/Newsroom/2014/CredentialingFactSheetFinal.pdf)
42 [https://www.thebalance.com/health-insurance-options-for-small-business-owners-3515220](https://www.thebalance.com/health-insurance-options-for-small-business-owners-3515220)
43 No definitive list of group purchasing organizations is available, but each state’s insurance commissioner will know which organizations are active in their state: [http://www.naic.org/state_web_map.htm](http://www.naic.org/state_web_map.htm)
44 [https://www.cms.gov/Medicare/Medicare-Fee-for-Service-Payment/ACO/](https://www.cms.gov/Medicare/Medicare-Fee-for-Service-Payment/ACO/)
In establishing the baseline estimate the payer will use predictive modeling software to compute an average cost for the care of the population served – as if nothing will change. The baseline will also include targets for standardized quality measures such as the number of patients who have their diabetes under control, or the number of patients with depression who are screened periodically.
If it is in their interest, the ACO will sign a contract with the payer to provide care for the population, and if the ACO beats the baseline estimate on cost and quality, they will receive a portion of the savings below the baseline estimate. This “bonus” payment will be tallied at the end of the contract period, and is in addition to the normal claims submitted by ACO providers. There are also ACO models that penalize ACOs who do not meet baseline estimates, but these are still rare.
For emerging professions, the ACO is an opportunity worthy of exploration\(^{45}\). An ACO can be a group of providers who usually do not work closely together, but who have the chance to experiment. Emerging professions can often be the workforce that bridges these unfamiliar organizations together in new ways. And as long as the ACO reaches its cost and quality goals, it doesn’t matter who provides the services. Because an ACO bonus payment is not reimbursement for individual services, the ACO can use the money any way it deems appropriate – including salaries of emerging professions.
Some examples of emerging professions in ACO models include:
- Hennepin Health\(^{46}\), an integrated, county-based safety net ACO in Minneapolis, Minnesota uses Community Health Workers to improve care in many areas – including primary care, dental, mental health, and even coordination of services for recently released prisoners.
- In Fort Dodge Iowa\(^{47}\), Community Paramedics are seeing patients in their homes under the ACO model, and are coordinating care between a hospital, local public health, and home health agencies.
- ACOs in multiple states\(^{48}\) are incorporating new mental health professions such as peer support specialists in the delivery of behavioral health services.
**Health Care Organizations and Systems**
As emerging professions seek direct payment or reimbursement for services, it should be remembered that some larger health care organizations – managed care organizations (MCOs), large hospitals, and some clinics – have the financial means and incentive to hire new staff as they look to meet health reform goals. If an emerging professional can make the case that the services they provide fit the mission of the larger organization like a hospital system, or a
---
\(^{45}\) [http://www.ajmc.com/journals/ajac/2017/2017-vol5-n2/evolving-health-workforce-roles-in-accountable-care-organizations](http://www.ajmc.com/journals/ajac/2017/2017-vol5-n2/evolving-health-workforce-roles-in-accountable-care-organizations)
\(^{46}\) [http://www.commonwealthfund.org/publications/case-studies/2016/oct/hennepin-health](http://www.commonwealthfund.org/publications/case-studies/2016/oct/hennepin-health)
\(^{47}\) [https://www.unitypoint.org/fortdodge/paramedicine-program.aspx](https://www.unitypoint.org/fortdodge/paramedicine-program.aspx)
\(^{48}\) [https://www.nasmhpd.org/sites/default/files/Assessment%207_Integrating%20Behavioral%20Health%20into%20ACOs.pdf](https://www.nasmhpd.org/sites/default/files/Assessment%207_Integrating%20Behavioral%20Health%20into%20ACOs.pdf)
Federally Qualified Health Center – and/or can save them money overall, they may be interested in hiring.
Managed care organizations have a powerful incentive to control cost, and many achieve this goal by coordinating care in new ways to avoid expensive interventions like hospitalization. Depending on the population the MCO serves, coordinating that care may involve using emerging professions. And MCOs have the discretion to include these services in the care of patients, if it benefits the individual and the MCO’s bottom line. MCOs may wish to hire emerging professionals who can address a gap in the continuum of care. A mandated example of this is in Michigan, where any MCO who contracts with the state’s Medicaid program must hire a Community Health Worker for every 20,000 covered lives.\(^{49}\)
The way hospitals are paid creates a strong incentive for them to control costs. Recent federal reforms have created financial penalties for hospitals whose patients are readmitted for the same diagnosis as a previous inpatient admission.\(^{50}\) Now, hospitals have a strong incentive to keep people healthy after they are discharged. And this is a growing opportunity for emerging professions. More hospitals are building programs and directly hiring community paramedics\(^{51}\), community health workers\(^{52}\), and other emerging professions as a strategy to reduce readmissions\(^{53}\) and improve health outcomes for their patients. Some larger hospital systems have also developed their own emerging professions to meet staffing needs. An example is the Allina health system in Minnesota, which has created a profession known a “care guide.”\(^{54}\)
Federally Qualified Health Centers (FQHCs)\(^{55}\) are community-based, safety net outpatient clinics that provide primary care to underserved populations. There are FQHCs in all 50 states.\(^{56}\) They are reimbursed by federal programs differently than many clinics. FQHCs are paid a flat rate for each visit when a program recipient receives care at the clinic. This rate is intended to cover the costs of delivering care throughout the clinic’s population (including the salaries of all providers involved in the delivery of care), and create an incentive for more follow-up care.
FQHCs have limited budgets, but are often on the forefront of experimentation, testing new, cost-effective models of care\(^{57}\). For emerging professions, FQHCs can be a potential employer if the services provided fit the clinic’s mission and help the clinic improve care and control overall costs. Services that address primary care access or cultural barriers are often a good fit.
Another consideration is that increasingly, quality outcomes are impacting the bottom line of health care providers and organizations. Health care providers are required to submit data to national and state organization that measure the quality of care they deliver.
---
\(^{49}\) [http://nashp.org/state-community-health-worker-models/](http://nashp.org/state-community-health-worker-models/) click on Michigan on the map.
\(^{50}\) [https://www.cms.gov/Medicare/Medicare-Fee-for-Service-Payment/AcuteInpatientPPS/Readmissions-Reduction-Program.html](https://www.cms.gov/Medicare/Medicare-Fee-for-Service-Payment/AcuteInpatientPPS/Readmissions-Reduction-Program.html)
\(^{51}\) [http://www.chcf.org/publications/2017/01/community-paramedics-team-hospitals](http://www.chcf.org/publications/2017/01/community-paramedics-team-hospitals)
\(^{52}\) [http://www.hhnmag.com/articles/6386-the-first-line-of-offense-community-health-workers](http://www.hhnmag.com/articles/6386-the-first-line-of-offense-community-health-workers)
\(^{53}\) [https://www.ahrq.gov/sites/default/files/publications/files/medreadmissions.pdf](https://www.ahrq.gov/sites/default/files/publications/files/medreadmissions.pdf). See Section 6
\(^{54}\) [https://www.allinahealth.org/For-Medical-Professionals/Clinical-trials-and-research/Division-of-Applied-Research/Robina-Foundation-Care-Guide-Project/](https://www.allinahealth.org/For-Medical-Professionals/Clinical-trials-and-research/Division-of-Applied-Research/Robina-Foundation-Care-Guide-Project/)
\(^{55}\) [https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNProducts/downloads/fghcfactsheet.pdf](https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNProducts/downloads/fghcfactsheet.pdf)
\(^{56}\) [https://findahealthcenter.hrsa.gov/](https://findahealthcenter.hrsa.gov/)
\(^{57}\) [https://www.ruralhealthinfo.org/topics/federally-qualified-health-centers/project-examples](https://www.ruralhealthinfo.org/topics/federally-qualified-health-centers/project-examples)
For emerging professions, knowledge about quality measurement is vital. Health care organizations and providers are increasingly paid based on their quality outcomes – in other words, providers who do not meet quality goals are actually paid less. This means that an emerging profession that understands how to help organizations and providers meet quality goals can make a strong case for integrating into the health care system.
For example, physicians will soon be responsible – and financially at risk – for making sure a certain percentage of their diabetic patients keep their blood glucose under control. If a number of patients speak a different language, or are from another culture, a Community Health Worker can help the physician by making sure patients understand and follow instructions to manage their disease. This creates an incentive for the physician to hire a CHW.
**Grants**
Grants are typically not designed to sustain a program or activity, but are a common way to fund the development of a new program or model. The funder offering a grant will have a purpose in mind when looking to award a grant, so it is important to match purposes of the grantor and the grantee. When considering whether to apply, the proposed activities should fit the funder’s goals, not the other way around.
When a funder publishes a Request for Proposal (RFP) announcing available funding, objectives, and processes for applicants, the document will also define who is eligible to receive funding. As stakeholders for emerging professions at various stages of professionalization, there are some basic components that should be in place before applying for a grant.
- **Time and resources to research and write**
- Grant writing is technical in nature and time-consuming.
- Read the RFP multiple times, and make sure a proposal can meet all of the funder’s requirements.
- It is usually possible to contact the funder with questions.
- **Fiscal agent**
- Unless the grant is to an individual, which is rare, there must be an entity that can manage the funds and be responsible for the deliverables defined by a grant contract.
- A grantor – especially a government funder – may require the fiscal agent to carry insurance, provide worker’s compensation, or have other legal structures in place.
- If there is no entity in place, a larger organization may be willing to act as fiscal agent for the grant.
- Many grants limit eligibility to a non-profit organization.
- **Defined individuals with clear responsibilities**
- Someone will need to research and write the grant application.
- Someone will need to sign an application form, and if funded, a contract with the funder.
- Someone will need to submit invoices and progress reports to the funder.
Everyone involved in a proposed project, including partner organizations, should sign off on project deliverables and timelines.
First-time applicants may want to enlist the services of a professional grant writer.
- A detailed plan
- Before applying, the proposed project should be defined to the point where the only remaining need is grant funding.
- Contingencies and known risks should be factored in up front.
- Proposed deliverables should be realistic and achievable.
- If the funder requires measurement of outcomes, follow the funder’s guidelines.
- If no measures are required, create evaluation measures that can demonstrate outcomes, and that can be used in a broader context. A grant project can be a valuable source of data for the profession – See Chapter 9 for more information.
There are many sources of information on writing successful grant proposals.\(^{58}\)
The primary sources of grants of interest to emerging professional stakeholders are federal, state, and foundations.
Federal grants are all posted and processed on the website Grants.gov.\(^{59}\) All application materials, background information, and forms are available from this portal. Grants posted on Grants.gov will include information about the statute that created the grant program, eligibility requirements, and deadlines.
State grants\(^{60}\) can be administered by individual state departments or a central grantmaking department, and may be funded with state appropriated dollars, federal flow-through dollars, or a combination of funding sources. State-funded grants will be created by state statute – which is a good source of information about goals and requirements of the grant.
Foundations\(^{61}\) generally have more flexibility in awarding grants than government entities, but each foundation has a unique mission or niche that it wants to address. Some are very focused in scope, some have political goals, and some are not transparent in their decision-making. A foundation’s mission statement is a valuable source of information to ensure that a proposal will be considered.
---
\(^{58}\) [https://www.mcf.org/sites/default/files/files/pages/writingagrantproposal.pdf](https://www.mcf.org/sites/default/files/files/pages/writingagrantproposal.pdf)
\(^{59}\) [https://www.grants.gov/](https://www.grants.gov/)
\(^{60}\) [https://www.grantwatch.com/state-grants.php#](https://www.grantwatch.com/state-grants.php#)
\(^{61}\) [http://foundationcenter.org/find-funding](http://foundationcenter.org/find-funding)
Resources
Johns Hopkins guide for health care reimbursement:
http://guides.library.jhu.edu/c.php?g=202609&p=1335380
O*Net, online resource with salary information for known professions:
https://www.onetonline.org/
CMS Medicaid State Manual, with policies and procedures: https://www.cms.gov/Regulations-and-Guidance/guidance/Manuals/Paper-Based-Manuals-Items/CMS021927.html
Practical Guide to Medicaid State Plans Amendments and Waivers:
https://store.samhsa.gov/shin/content/SMA13-4773/SMA13-4773_Mod9.pdf
Searchable Database of all Medicaid State Plan Amendments, by state:
https://www.medicaid.gov/state-resource-center/medicaid-state-plan-amendments/medicaid-state-plan-amendments.html
CMS Innovators Guide to Navigating Medicare:
https://www.cms.gov/Medicare/Coverage/CouncilonTechInnov/Downloads/Innovators-Guide-Master-7-23-15.pdf
Accountable Care Organizations background: https://www.cms.gov/Medicare/Medicare-Fee-for-Service-Payment/ACO/
Map of states with Medicaid ACO activities: https://www.chcs.org/resource/medicaid-aco-state-update/
List of Medicare ACOs: https://data.cms.gov/Special-Programs-Initiatives-Medicare-Shared-Savin/2017-Medicare-Shared-Savings-Program-Participants/futz-eezk/data
Manual for writing federal grants – with good instructions for all grantwriters:
https://www.ruralcenter.org/sites/default/files/Grant%20Writing%20Manual.pdf
Business Matters
“Who pays the bills?”
Business Models
As stakeholders consider how their profession will evolve in the health care marketplace, the actual business of providing services often gets neglected. And policy decisions can have impacts on how business models will expand the profession. A good entrepreneur will seize a good opportunity. A good policy environment will be thoughtful about potential barriers and seek to allow the business side of the profession to thrive.
Solo Practice / Sole Proprietor
Some professionals prefer to work on their own. Dentists, chiropractors, and psychologists commonly structure their businesses as a solo practice or sole proprietor. These professions often set up a storefront and have patients and clients come to them. Other sole proprietors work with multiple partners at many locations, and prefer the flexibility of working outside of an organizational structure – for example, health care interpreters.
As the title presumes, sole proprietors are responsible for the every aspect of the business: marketing; maintaining a base of clients; office space; staff; insurance; taxes; contracting; meeting enrollment requirements of payers, submitting claims for reimbursement; accounting; everything.
If a large portion of the profession prefers this business model, advocates and stakeholders will need to focus attention on the right needs for the profession to grow. Sole proprietors will likely need information and guidance on business matters -- plus information on regulation, resources to connect with each other, and information to stay engaged with the latest policy developments that impact the profession. For more information about advocacy, see Chapter 7.
Employee Model
Many emerging professions start out as employees of a large organization. This may relieve the responsibility for running the business from the professional, but relying on organizations to hire the profession has other considerations that stakeholders should weigh.
Often, health care organizations may have reservations about hiring a new profession if there isn’t ample evidence to demonstrate value. Return on investment for an employer is often the primary factor in making hiring decisions.
If a number of the professionals will likely work for government agencies, classification of the position is a consideration. Classification is a formal process of defining a professional role, based on knowledge, skills, and abilities, as well as required education and/or experience. Government human resources agencies create these classifications, which impact hiring practices, salary ranges, and even seniority rosters within agencies.
For emerging professions it may be difficult to fit the knowledge, skills, and abilities of the profession into an existing classification. The role of an emerging profession is likely new to HR departments, and may need a classification created for it. The federal Office of Personnel Management provides guidance\(^{62}\) on classification of health care professionals\(^{63}\), and it may be useful for stakeholders wishing to pursue classification for an emerging profession.
**Agency**
Another common business structure for emerging professions is the agency, which hires or contracts with individual professionals, and negotiates contracts with other organizations to deliver services. Agencies can retain a level of flexibility and independence for the professionals themselves, while taking care of much of the business aspects. Agencies can also offer benefits to the professionals, such as group health insurance, or paid time off.
Agency models exist throughout health care, and work well for professions with less training, or without a desire to “hang a shingle” and run their own businesses. Language interpreters, home health, and local public health are common examples.
**Unions**
According to a report from the Bureau of Labor Statistics,\(^{64}\) over 17 million health care workers are members of a labor union, and that number is growing. Members pay dues to the union, and join collective bargaining efforts on issues like wages, benefits, and working conditions. Unions themselves, looking to increase their membership, often market their services among health care professions.
There are many unions that actively organize in health care,\(^{65}\) and each profession should weigh the pros and cons of union membership before pursuing this option.
**Taxes**
In most states, health care providers pay additional taxes. These taxes are used for many purposes, such as funding Medicaid or other health insurance programs for low income families. The Kaiser Family Foundation tracks states with provider taxes:
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\(^{62}\) [https://www.opm.gov/policy-data-oversight/classification-qualifications/classifying-general-schedule-positions/classifying-general-schedule-positions/standards/0600/gs0600.pdf](https://www.opm.gov/policy-data-oversight/classification-qualifications/classifying-general-schedule-positions/classifying-general-schedule-positions/standards/0600/gs0600.pdf)
\(^{63}\) [https://www.opm.gov/policy-data-oversight/classification-qualifications/classifying-general-schedule-positions/standards/0600/gs0600.pdf](https://www.opm.gov/policy-data-oversight/classification-qualifications/classifying-general-schedule-positions/standards/0600/gs0600.pdf)
\(^{64}\) [https://www.bls.gov/news.release/pdf/union2.pdf](https://www.bls.gov/news.release/pdf/union2.pdf)
\(^{65}\) [https://en.wikipedia.org/wiki/List_of_labor_unions_in_the_United_States](https://en.wikipedia.org/wiki/List_of_labor_unions_in_the_United_States)
As stakeholders pursue policy options for regulation or payment, it is recommended to research the requirements for a provider tax in each state, and what stipulations make the profession subject to taxation.
**Resources**
SCORE is a low-cost, small business mentoring program: [https://www.score.org](https://www.score.org)
Brief on how to structure the business of a clinical practice: [http://www.peicklaw.com/FAQ-How-do-I-start-my-own-clinical-practice.shtml](http://www.peicklaw.com/FAQ-How-do-I-start-my-own-clinical-practice.shtml)
Guide for physicians to choose the right practice entity: [http://www.aafp.org/fpm/2005/1100/p42.html](http://www.aafp.org/fpm/2005/1100/p42.html)
Health care business plan template (requires login): [http://www.ihi.org/resources/Pages/Tools/BusinessPlanTemplate.aspx](http://www.ihi.org/resources/Pages/Tools/BusinessPlanTemplate.aspx)
Sample health care business plans: [http://www.bplans.com/medical_and_health_care_business_plan_templates.php](http://www.bplans.com/medical_and_health_care_business_plan_templates.php)
---
66 [https://www.kff.org/medicaid/fact-sheet/states-and-medicaid-provider-taxes-or-fees/](https://www.kff.org/medicaid/fact-sheet/states-and-medicaid-provider-taxes-or-fees/)
FAQ on business model issues related to the National Provider Identifier requirements:
https://questions.cms.gov/faq.php?id=5005&faqId=1965
NPI fact sheet for sole proprietors: https://www.cms.gov/Regulations-and-Guidance/Administrative-Simplification/NationalProvldentStand/Downloads/NPI_FactSheet_Sole_Prop_web.pdf
“The Classifier’s Handbook” with information on classified positions in government:
https://www.opm.gov/policy-data-oversight/classification-qualifications/classifying-general-schedule-positions/classifierhandbook.pdf
Legal Concerns
“Are you allowed to do this?”
All patients, clients, and health care consumers rely on the assumption that the care they receive will be provided safely, and according to the laws that protect their rights. It is the health professional’s responsibility to ensure these laws are followed. This section is not legal advice, but provides information and resources on common legal structures within the health care system that emerging profession stakeholders should be familiar with as they seek to professionalize their field.
Confidentiality
The Health Insurance Portability and Accountability Act (HIPAA) of 1996 provides the legal backbone of patient confidentiality and privacy rights and health information security in the United States. Anyone working in health care needs to be at least familiar with HIPAA, and the subsequent “privacy rule” that refined the standards for identifiable health information.
HIPAA defines what “protected health information” is. It also establishes rules for securing this information, and sets forth requirements if the information is disclosed to someone who does not have the legal right to possess it.
For children, the Family Education Rights and Privacy Act (FERPA) defines protections of education records as well, which may include health services received in a school.
States may have laws and rules governing privacy and information security as well. In Minnesota, for example, there are privacy laws in addition to HIPAA.
Consent
For emerging professions, the need to obtain consent before providing services to a patient or client is less common than for a risky medical procedure, for example, but an employer or organization may require it. Consent – also referred to as “informed consent” – can be used in both clinical and research settings.
A form of consent that is likely more pertinent to emerging professions is the consent to share health information. Because of the restrictions under HIPAA, it may be illegal for partner organizations to share health information about a patient without legal consent from the patient to do so. It is now common practice for care models that include multiple entities and sectors to obtain consent from the patient to share health information. In some states, entities
---
67 https://www.hhs.gov/hipaa/for-professionals/index.html
68 https://www.hhs.gov/hipaa/for-professionals/privacy/laws-regulations/index.html
69 https://www2.ed.gov/policy/gen/guid/fpco/ferpa/index.html
70 http://www.health.state.mn.us/e-health/privacy/index.html
71 https://www.ncbi.nlm.nih.gov/books/NBK133402/
are required to obtain patient consent before sharing health information – particularly about treatment, payment, and health care operations.\(^{72}\)
**Supervision**
Supervision of an employee is a familiar concept in most jobs, but in the health care world, supervision carries more legal and professional responsibility. Health care supervision goes beyond basic administrative functions. A supervisory relationship exists to assure that care is delivered in a safe manner, to provide initial and continuing education to supervisees, and to provide professional and personal support in performing difficult tasks. It also creates serious legal implications for the supervisor if something goes wrong. Close supervision is often linked to better patient safety in complex medical situations, but may not be as vital for the delivery of simpler services, or non-medical care.\(^{73}\).
In the US health care system, most emerging professions will work under the supervision of another professional – physician, dentist, nurse practitioner, etc. In many ways, this can be a benefit because it can free the emerging profession from many technical and legal responsibilities. The supervising provider is usually responsible for billing insurance companies for work performed by the supervisee, for reporting quality measures, and for providing on-the-job training. And in many cases, the supervising provider is liable for the care delivered by a supervisee, so the supervisee may not need to carry professional liability insurance.
There can be significant differences in supervisory requirements from state to state, or from program to program. Regulatory requirements and even reimbursement for services may depend on complying with the correct definition of supervision. Supervision is usually a one-to-one relationship, but some professions, such as social workers, may also include group supervision components.
For *some* medical procedures, the Medicaid program uses the following definitions of “direct” and “general” supervision\(^{74}\):
- Direct supervision means immediate availability to furnish assistance and direction throughout the performance of the procedure.
- General supervision means that the service is performed under the supervisory practitioner’s overall direction and control but his or her presence is not required during the performance of the procedure.
In other words, under direct supervision, the supervising provider should be in or near the same room while a specific procedure is administered by the supervisee. Not all procedures or tasks performed by a supervisee may fall under this requirement. For general supervision, the supervising provider has a level of trust with the supervisee and can allow specific procedures to take place without being in the same facility. However, some programs may require that
---
\(^{72}\) [https://www.hhs.gov/hipaa/for-professionals/privacy/guidance/disclosures-treatment-payment-health-care-operations/index.html](https://www.hhs.gov/hipaa/for-professionals/privacy/guidance/disclosures-treatment-payment-health-care-operations/index.html)
\(^{73}\) [https://www.ncbi.nlm.nih.gov/pubmed/27283436](https://www.ncbi.nlm.nih.gov/pubmed/27283436)
\(^{74}\) [https://www.cms.gov/Regulations-and-Guidance/Guidance/Transmittals/downloads/R169BP.pdf](https://www.cms.gov/Regulations-and-Guidance/Guidance/Transmittals/downloads/R169BP.pdf)
even under general supervision, the supervising provider must be immediately available by phone or other telecommunication during the delivery of these procedures.\textsuperscript{75}
For some professions, supervision is defined more specifically by the regulatory structure. For example, many emergency medical system (EMS) providers – paramedics, emergency medical technicians -- work under a status known as “delegated practice.”\textsuperscript{76} Essentially, supervisees work directly under the professional license of the medical director of the agency. Each paramedic has an individual scope of practice which is determined by the medical director, based on the paramedic’s skills. The medical director is vicariously responsible – and liable – for all activities performed by professionals under delegated practice.
Another, more detailed kind of supervision is known as a “collaborative management agreement.” Nurse practitioners, physician assistants, and other professions with a high level of technical training tend to work under this arrangement. A supervisee in this relationship is licensed, but their scope of practice is defined by a collaborative management agreement – in essence, contract – that details the supervisor and supervisee responsibilities and duties. An example is dental therapists in Minnesota.\textsuperscript{77} The full scope of practice for dental therapists is defined by the license, but a supervising dentist may limit the procedures an individual dental therapist can perform under the collaborative management agreement.
Additional resources to consult for examples or guidance are the state licensing board and a professional association of the supervising professional.
**Medical Liability**
A medical liability – or medical malpractice – insurance policy pays for legal expenses in the event of legal action against the policy holder, and it establishes an amount that could be paid out to injured patients who successfully sue. Some policies may also cover costs associated with disciplinary proceedings by a regulatory board.\textsuperscript{78}
The financial risk of being sued for injuring a patient is proportionate with the overall risk of the procedures involved. Procedures performed by a surgeon, for example, have much higher risk than those by a community health worker. The surgeon would definitely want the financial protection of insurance. The community health worker’s interaction is less risky for the patient, and – depending on the wishes of the supervising provider or the employer – may not need a comprehensive policy. Some form of insurance is recommended, if there is risk of legal action against the professional.
In some cases, an employer may require coverage, or be required to provide coverage for employees providing services under contract. When an employer is contracting for services, it is common for the language of the contract to include a requirement. Grantors may also require some form of liability coverage.
\textsuperscript{75} \url{https://www.nd.gov/dhs/services/medicalserv/medicaid/docs/provider-supervision-reg.pdf}
\textsuperscript{76} \url{http://www.jems.com/articles/2011/02/liability-ems-licensing.html}
\textsuperscript{77} \url{https://mn.gov/boards/dentistry/licensure/processingandapplications/dental-therapists.jsp}
\textsuperscript{78} \url{https://www.ncbi.nlm.nih.gov/pmc/articles/PMC1255954/}
While this may not be as important for many emerging professions as for doctors, medial liability insurance should at a minimum be explored by stakeholders looking to professionalize the field. And it should be discussed openly with all supervising providers.
Many companies\(^{79}\) can provide liability insurance for emerging professions, and most policies are negotiable.
In 2011, The National Conference of State Legislatures published a summary of medical liability laws in all 50 states\(^{80}\). The summary provides statutory references, and is a valuable starting point for stakeholders looking to understand the requirements in their state, and the requirements on other professionals – especially supervising providers. As this information changes, verify all requirements with individual states.
**Code of Ethics**
A code of ethics is a good way to establish the mission, values, and principles of a profession. It is a public statement that the profession places value on integrity, and defines what that means. A code of ethics may not be legally binding, but establishing definitions of ethical behavior can help guide individuals through difficult, boundary-testing situations. Some common guidelines in a code of ethics are:
- Clear statements defining boundaries between professionals and clients who are in a personal relationship.
- Statements affirming objectivity, and maintaining the best interest of the client.
- Statements defining discrimination and bias as unethical.
- Guidelines to avoid conflict of interest.
**Resources**
CMS guide on HIPAA rules and regulations: [https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNProducts/Downloads/HIPAAPrivacyandSecurity.pdf](https://www.cms.gov/Outreach-and-Education/Medicare-Learning-Network-MLN/MLNProducts/Downloads/HIPAAPrivacyandSecurity.pdf)
Foundations in Privacy Toolkit: [https://www.gpmlaw.com/Practices/Health-Law/Foundations-in-Privacy-Toolkit](https://www.gpmlaw.com/Practices/Health-Law/Foundations-in-Privacy-Toolkit)
CMS guidance on supervision: [https://www.cms.gov/Regulations-and-Guidance/Guidance/Transmittals/downloads/R169BP.pdf](https://www.cms.gov/Regulations-and-Guidance/Guidance/Transmittals/downloads/R169BP.pdf)
Dental Therapist Collaborative Management Agreement template: [https://mn.gov/boards/assets/NEW_ADTCMA_tcm21-285564.pdf](https://mn.gov/boards/assets/NEW_ADTCMA_tcm21-285564.pdf)
NCSL list of medical liability laws and legislation: [http://www.ncsl.org/research/financial-services-and-commerce/medical-liability-medical-malpractice-laws.aspx](http://www.ncsl.org/research/financial-services-and-commerce/medical-liability-medical-malpractice-laws.aspx)
---
\(^{79}\) [https://www.piaa.us/wcm/Join/Member_Directory/wcm/_Member_Center/Member_Directory_Public.aspx](https://www.piaa.us/wcm/Join/Member_Directory/wcm/_Member_Center/Member_Directory_Public.aspx)
\(^{80}\) [http://www.ncsl.org/research/financial-services-and-commerce/medical-liability-medical-malpractice-laws.aspx](http://www.ncsl.org/research/financial-services-and-commerce/medical-liability-medical-malpractice-laws.aspx)
List of insurance companies that offer liability insurance to a range of professions:
https://www.piaa.us/wcm/Join/Member_Directory/wcm/_Member_Center/Member_Directory_Public.aspx
An online guide for developing a code of ethics, with examples and templates:
http://gogreenplus.org/nuts-and-bolts-guide/people-nuts-and-bolts-guide/human-resources-employee-effectiveness/code-of-ethicsconduct/
Advocacy
“Who speaks on your behalf?”
When a bill about an emerging profession comes up in the state legislature, someone needs to speak on behalf of the profession. When the Medicaid agency needs an answer about what services a profession is trained to provide, someone needs to answer the question, and do so as an authority. Advocacy is the common thread that connects all the efforts described in this guide – it is the way work will get done.
Leadership
In order to professionalize, there must be a clear, recognized authority that represents the profession, whether an individual, a group, or both. And the leader must speak on behalf of the vast majority of the profession, or they risk losing credibility. Identifying an individual or group as the leader of an effort to professionalize can happen organically as a profession comes together around a common interest, or there may need to be a deliberate process to select an individual or group.
At the development stage, the leader must be open, inclusive, flexible and willing to compromise. Later, an association may need leadership with additional skills to represent and defend the profession’s interests, but the skills mentioned above will always be needed for an effective leader in this role.
Association
If there is sufficient will and agreement, a profession may want to formalize their advocacy in the form of an association. Reaching out to other associations is one source of information, and there are examples of association development\(^{81}\) from non-healthcare fields that can be instructive as well. The role of an association varies depending on the desires of members. Some roles include:
- Representing the interests of a profession and, in essence, serving as the public voice of the profession at the national and international levels
---
\(^{81}\) [http://www.fernley.com/resources/start_an_association.asp](http://www.fernley.com/resources/start_an_association.asp)
• Protecting the profession by guiding terms and conditions of employment
• Ensuring that the public receives the highest possible standards of care by maintaining and enforcing training and practice standards, as well as ethical approaches in professional practice
• Influencing national and local health policy development to improve health care standards and ensure equitable access to quality, cost-effective services
• Potentially acting as a labor or trade union for organizations and health care workers that choose to conduct collective bargaining\(^{82}\)
• Providing networking and professional development opportunities
• Offering monetary benefits such as discounts for conferences, scholarships and grants, even group rates on health insurance or other discounts negotiated on behalf of members.\(^{83}\)
And the key benefit of an association is to leverage the power of the professionals themselves. An association that credibly speaks for its membership will be listened to by decision-makers.
**Lobbying**
States have differing laws and rules about lobbying, organizations that hire lobbyists, and individuals who must register as lobbyists, so consult a legal expert for details. Federal law defines a lobbyist as “any individual who is employed or retained by a client for financial or other compensation for services that include more than one lobbying contact, other than an individual whose lobbying activities constitute less than 20 percent of the time engaged in the services provided by such individual to that client over a 3-month period.”\(^{84}\) Contacts to influence specific legislation or rule is considered lobbying, when done by someone hired to do so. Any information provided at the request of an official is generally not considered lobbying.
The laws governing lobbying activity can be vague. That said, anyone can talk to a legislator about issues they care about, as long as laws are followed. An advocate should not be afraid to request an appointment or seek information from any official. Legislators and state agency officials are in their positions to respond to citizens. Many leaders find ways to contribute meaningful information to the legislative and regulatory processes outside the definition of lobbying. Many other leaders decide to hire a lobbyist – or register as a lobbyist themselves – when they decide to push for specific legislation.
**Turf**
For some professions, the very idea of their existence can be viewed as a threat by another profession who occupies a similar sphere of the health care world. For example, nurse practitioners in many states have been seeking the authority to prescribe medications, and are frequently criticized by providers who can prescribe medications as less competent or
---
\(^{82}\) [http://www.who.int/workforcealliance/knowledge/toolkit/27_1.pdf](http://www.who.int/workforcealliance/knowledge/toolkit/27_1.pdf)
\(^{83}\) [http://www.jobs.net/Article/CB-4-Talent-Network-Healthcare-6-Ways-Professional-Healthcare-Associations-Advance-Your-Career](http://www.jobs.net/Article/CB-4-Talent-Network-Healthcare-6-Ways-Professional-Healthcare-Associations-Advance-Your-Career)
\(^{84}\) [https://www.senate.gov/legislative/Lobbying/Lobby_Disclosure_Act/3_Definitions.htm](https://www.senate.gov/legislative/Lobbying/Lobby_Disclosure_Act/3_Definitions.htm)
dangerous. In one state, dentists opposed to the licensure of dental therapists in their state were actively lobbying legislators when legislators came in for dental work.\textsuperscript{85} In Texas, the medical association sued to take away marriage and family therapists’ ability to diagnose a mental health condition.\textsuperscript{86}
While challenging for advocates to deal with, turf battles are a natural outgrowth of a profession protecting its own place in the marketplace and in the perceived hierarchy of health professions.
There is good news though. First, the demographic shifts in the United States – with more retirees simultaneously expanding the need for health care and reducing the workforce to provide that care – turf battles between professions are less common. The health care system simply needs more of every kind of profession, so one profession’s case to limit the role of another loses its impact. Second, cost and quality goals in health care reform include the concept that every health professional should work “at the top of their license.” This means trained professionals not providing services at the highest skill level of their training is a waste of capacity and resources. Third, with broader use of team-based care, professions are working together in new ways, and seeing the value each role can provide in delivering quality, cost-effective care.
Overlap in scopes of practice between professions is unavoidable. The role of the advocate is to define, refine, and maintain an established scope of practice for the profession. The most effective way to accomplish this is to work collaboratively and transparently with similar professions. But it may be necessary to respond to misleading statements or misinformation provided by advocates from other professions.
**Partnership**
For emerging professions, it is important to identify natural allies and potential partners – a broad coalition is more powerful than one interest group. Allies may be willing to assist with advocacy, research, or lobbying efforts. Some examples of potential allies include:
- Legislators and staff
- University faculty
- Schools of public health
- Disease advocacy groups such as the Cancer Society or Alzheimer’s Association
- Foundations with a focus on health care
- State Medicaid or public health agency staff
- Safety net hospitals and clinics
- Patient advocacy groups
- Legal Aid
\textsuperscript{85} \url{https://www.washingtonpost.com/politics/the-unexpected-political-power-of-dentists/2017/07/01/ee946d56-54f3-11e7-a204-ad706461fa4f_story.html?utm_term=.16e808512789}
\textsuperscript{86} \url{https://www.dallasnews.com/opinion/commentary/2016/10/27/word-diagnosis-sparking-mental-health-turf-war}
Planning
The Global Health Workforce Alliance of the World Health Organization has published a toolkit they call Human Resources for Health (HRH).\(^{87}\) The toolkit is global in perspective, but it offers meaningful insight into the role of advocates who wish to further the goals of health professions.
**Figure 6: World Health Organization “HRH Action Cycle”**
| Phase | Objectives | Outcomes |
|------------------------|-----------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------|
| Situation analysis | • Conduct a stakeholder meeting. | • A list of key stakeholders and members of the leadership group. |
| | • Review existing HR documents, strategies, and reports. | • HRH situational analysis report with root causes identified. |
| | • Gather information. | • Data on the quantity and composition of the existing health workforce and gaps identified. |
| | • Identify root causes. | • Information on influence of country context known (e.g., labor market, environment). |
| Planning | • Develop a set of short- and long-term recommendations. | • HRH policy and plan. |
| | • Calculate the cost to implement the recommendations. | • Short-term and long-term recommendations developed. |
| | • Review the recommendations with the planning group. | • Alignment of key stakeholders around the recommendations, with priority actions identified. |
| | | • Costs calculated for implementing the recommendations. |
| Implementation | • Develop an implementation plan. | • A detailed implementation plan. |
| | • Advocate for funding. Clarify roles and responsibilities. | • Commitment of the leadership group to support and monitor progress. |
| | • Establish a budget and mechanisms for distribution of the funding. | • Adequate funding and resources procured. |
| Monitoring and Evaluation | • Identify relevant stakeholders to be involved in finalizing indicators for each component of the M&E plan. | • A clear, realistic M&E plan. |
| | • Identify output and outcome indicators and gain agreement from the leadership group on their definitions. | • Commitment of individuals to collect data and measure results. |
| | • Identify the sources of data. | • A plan and timetable to communicate results of M&E. |
*Ref: A Guide to Develop and Implement Strategies to Achieve an Effective and Sustainable Health Workforce, GHWA, and WHO*
The International Council of Nurses published a helpful guide to encourage nurses to advocate for their profession.\(^{88}\) The guide includes a useful 10-step framework for advocacy:
---
\(^{87}\) [http://www.who.int/workforcealliance/knowledge/toolkit/hrhtoolkitpurposepages/en/](http://www.who.int/workforcealliance/knowledge/toolkit/hrhtoolkitpurposepages/en/)
\(^{88}\) [http://www.whpa.org/ppe_advocacy_guide.pdf](http://www.whpa.org/ppe_advocacy_guide.pdf)
A 10-step advocacy framework
Advocacy is about:
1. **Taking action**—overcoming obstacles to action;
2. **Selecting your issue**—identifying and drawing attention to an issue;
3. **Understanding your political context**—identifying the key people you need to influence;
4. **Building your evidence base**—doing your homework on the issue and mapping the potential roles of relevant players;
5. **Engaging others**—winning the support of key individuals/organisations;
6. **Elaborating strategic plans**—collectively identifying goals and objectives and best ways to achieve them;
7. **Communicating messages and implementing plans**—delivering your messages and counteracting the efforts of opposing interest groups;
8. **Seizing opportunities**—timing interventions and actions for maximum impact;
9. **Being accountable**—monitoring and evaluating process and impact; and
10. **Catalysing health development**—building sustainable capacity throughout the process.
Resources
World Health Organization guide for health professions advocacy:
http://www.who.int/workforcealliance/knowledge/toolkit/hrhtoolkitpurposepages/en/
International Council of Nurses guide on advocacy for nurses”
http://www.whpa.org/ppe_advocacy_guide.pdf
Integration and Team-based Models
“Who do you work with?”
Emerging professions may have difficulty defining their role within the landscape of health care professions, but the biggest challenge may be defining an individual practitioner’s role within a health care team. It is not a foregone conclusion that working with others in a clinic, hospital, or office setting will go smoothly. In fact, emerging professions may encounter resistance from other team members, who are used to doing things a certain way. Below are some lessons learned by professions as they have fit themselves into the traditional flow of health care delivery, and even changed the organizations that employ them.
Integration
Whether contracting for services or working as an employee within a large organization, emerging professions can run into challenges almost immediately, especially if the organization is unfamiliar with the new role. What is the new person trained to do? What are the professional boundaries between the new person and the existing staff? What new populations can be served by the organization because of the new role? How will the new person change the organization’s culture and processes?
Integration of an emerging profession will likely not happen without intentional, consistent effort. And it can take multiple attempts and iterations to learn how best to fit a new role into a well-established framework. Careful planning and support from relevant stakeholders should be baked into new projects. In fact, it can be counterproductive – and even risky to the long-term prospects of the profession – to simply place an emerging professional in a new environment and simply hope for the best.
Some common themes within organizations that successfully integrate new professions are:
- Ongoing support from leadership;
- Building rapport and cultural understanding among team members;
• Identifying solutions to communication issues such as language barriers, HIPAA and information sharing restrictions, and EHR documentation;
• Inclusion of the new professional as a full member of the care team and any relevant committees, e.g. quality improvement;
• Providing sufficient orientation and learning curve for new professionals to successfully carry out the requisite responsibilities with other team members;
• Allowing sufficient time and opportunity to discuss the process of change and make the needed changes to the status quo to fully integrate the professional; and,
• Developing appropriate protocols, forms, and documents (e.g. front desk/scheduling flow sheets) to ensure formalization of an integrated new position.\(^{89}\)
Emerging professions stakeholders can also cultivate relationships with key partners, and create structures to spread relevant information more quickly:
• Individual champions
o Every successful integration of emerging professions took place because someone in a key position in an organization had the vision to make it happen – and committed to following it through. Champions within organizations can come from any level of leadership. They can present concrete, personal examples of successful integration to their peers in other organizations, to public audiences, and to policymakers.
• Early adopter organizations
o It is important to collect examples of successful integration. This is especially true in the early stages of the profession’s development, when data resources are few and far between. Whenever possible, stories, data, and outcomes from early employers of new professionals should be captured and compiled. Grant-funded projects by early adopter organizations are a valuable source of this information.
• Communities of Practice
o Once a large enough number of emerging professionals are practicing in the field, one idea to share best practices is to create a community of practice, or a learning community. These groups of peers can have enormous impact on the development of a profession by creating space to share lessons learned and by creating a source of support for each other. In Minnesota for example, there are communities of practice for Community Health Workers themselves\(^{90}\), but also for supervisors of CHWs\(^{91}\), who find value in sharing their unique challenges and insight with each other.
Emerging professions can also speed integration by using evidence-based practices when available. Peer-reviewed studies on new delivery models and interventions using emerging professions are increasingly common. When enough similar studies are published -- and results are measurably positive -- these findings can be published as an evidence-based practice. There
\(^{89}\) http://www.health.state.mn.us/divs/orhpc/workforce/emerging/chw/2016chwtool.pdf
\(^{90}\) https://wellshareinternational.org/program/mnchwpeernetwork/
\(^{91}\) http://mnchwalliance.org/event/mn-chw-supervisor-roundtable-3/
are clearinghouses of these practices – examples are linked in the Resources section below. When proposed as a project or intervention, funders can be more confident of a successful outcome because the model has been tested. And when implemented, employers can be confident they are improving the care delivered.
**Team-based Care**
Health care is rapidly moving away from the traditional – or more accurately, antiquated – model of a lone physician delivering care for patients in isolation. Now, health care is much more coordinated across sectors, and delivered by teams of professionals. Health care is still relatively hierarchical, but less so than in the past – in part because managing the complex health needs of patients often requires a team approach.
In 2003, The Institute of Medicine published a report called *Health Professions Education: A Bridge to Quality*. One primary intent of the report was to push health care towards greater quality through team-based care. The report outlined five “core competencies” that all health professionals should receive training for:
1. **Provide patient-centered care**
- Identify, respect, and care about patient differences, values, preferences, and expressed needs; relieve pain and suffering; coordinate continuous care; listen to, clearly inform, communicate with, and educate patients; share decision making and management; and continuously advocate disease prevention, wellness, and promotion of healthy lifestyles, including a focus on population health.
2. **Work in interdisciplinary teams**
- Cooperate, collaborate, communicate, and integrate care in teams to ensure that care is continuous and reliable.
3. **Employ evidence-based practice**
- Integrate best research with clinical expertise and patient values for optimum care, and participate in learning and research activities to the extent feasible.
4. **Apply quality improvement**
- Identify errors and hazards in care; understand and implement basic safety design principles, such as standardization and simplification; continually understand and measure quality of care in terms of structure, process, and outcomes in relation to patient and community needs; design and test interventions to change processes and systems of care, with the objective of improving quality.
5. **Utilize informatics**
- Communicate, manage knowledge, mitigate error, and support decision making using information technology.
---
92 [https://www.nap.edu/catalog/10681/health-professions-education-a-bridge-to-quality](https://www.nap.edu/catalog/10681/health-professions-education-a-bridge-to-quality)
The report also described how these competencies overlap for health professionals\textsuperscript{93}:
**Figure 7: Overlap of Core Competencies for Health Professionals**
Much has changed since 2003, but these core competencies remain pertinent, and in many ways, are being implemented across the health care landscape. Training programs for many professions now include learning opportunities for interdisciplinary teams. And with the broad implementation of electronic health records, health care teams are using informatics in new and exciting ways to manage the health of patients and populations, not just to manage disease.
For emerging professions, team-based models of care delivery are a golden opportunity. Not only does team-based care create space for new roles in health care, but increasingly, health professionals are being trained to work with others, and to maximize the unique skillset each profession brings. Some examples of team-based care that use emerging professions are:
\textsuperscript{93} ibid
• Patient Centered Medical Home\textsuperscript{94}
\begin{itemize}
\item A “medical home” is not a place, but a concept. This primary care clinical model is effective in coordinating care for patients with complex care needs, such as multiple chronic conditions. The model puts the patient and family at the center of a care team, and coordinates all levels of care for the patient. Care coordinators follow-up with the patient frequently, and arrange care across sectors on behalf of the patient.
\item For emerging professions, there are many ways to contribute to this team-based model – either internally as a member of the clinic’s care team, or externally as a partner providing care.
\end{itemize}
• Accountable Health Communities model\textsuperscript{95}
\begin{itemize}
\item Designed to address gaps between medical care and community services, this developing model defines a population to be served, and builds partnerships across multiple sectors in health care – hospital, clinic, long-term care, public health, schools, community organizations, any entity that can contribute to the health of the population. The model seeks to address the unmet social needs of patients.
\item For emerging professions, this model is an opportunity to bridge gaps between sectors in the health care and public health systems.
\end{itemize}
**Accountable Care Organizations (ACOs)**
As described in Chapter 4, ACOs are a flexible, innovative way to manage the health of a population. Partnerships developed under an ACO are unique to each organization because they are based on available resources and the defined need of the population to be served. Each ACO determines how it will coordinate services across partners and sectors.
For Emerging Professions, an ACO is an opportunity to contribute to this team-based, coordinated model – often without needing the normal structures of reimbursement and regulation. ACOs are free to provide care in any way they deem beneficial to the population, and professions that can address gaps across partner organizations are desirable in the model.
ACOs have been around long enough to begin analysis on effective workforce models. One study, published in the American Journal of Managed Care\textsuperscript{96}, discovered that ACOs are altering the makeup of their workforce to take advantage of new professions and new roles. There is variation in workforce models between ACOs, but the study concluded that team-based ACO workforce models which leverage new roles and professions are showing effectiveness in meeting the needs of patients, especially high-risk patients.
\textsuperscript{94} \url{https://pcmh.ahrq.gov/page/defining-pcmh}
\textsuperscript{95} \url{https://innovation.cms.gov/initiatives/ahcm}
\textsuperscript{96} \url{http://www.ajmc.com/journals/ajac/2017/2017-vol5-n2/evolving-health-workforce-roles-in-accountable-care-organizations/P-1}
Resources
Minnesota’s Health Care Homes and Chronic Disease Management; Understanding the Integration of Community Health Workers: http://mnchwalliance.org/wp-content/uploads/2012/12/HCHs_and_CHWs_Issue_Brief-FINAL.pdf
Healthy People 2020 Evidence-Based Practices: https://www.healthypeople.gov/2020/tools-resources/Evidence-Based-Resources
The Community Guide Evidence-Based Practices: https://www.healthypeople.gov/2020/tools-resources/Evidence-Based-Resources
SAMHSA Evidence-Based Programs: https://www.samhsa.gov/capt/tools-learning-resources/finding-evidence-based-programs
Discussion paper on the core principles and values of effective team-based health care: https://www.nationalahec.org/pdfs/VSRT-Team-Based-Care-Principles-values.pdf
American Medical Association toolkit on developing and implementing team-based care: https://www.stepsforward.org/modules/team-based-care
American Congress of Obstetricians and Gynecologists guide for implementing team-based care: https://www.acog.org/Resources-And-Publications/Task-Force-and-Work-Group-Reports/Collaboration-in-Practice-Implementing-Team-Based-Care
Safety Net Medical Home Initiative implementation guide for continuous and team-based healing relationships, with case studies and links to examples: http://www.safetynetmedicalhome.org/sites/default/files/Implementation-Guide-Team-Based-Care.pdf
SAMHSA-HRSA Center for Integrated Health Solutions report on integrated primary care and behavioral health teams: https://www.integration.samhsa.gov/workforce/team-members/Essential_Elements_of_an_Integrated_Team.pdf
Examples of integration of Community Health Workers into health care teams in California: https://healthforce.ucsf.edu/sites/healthforce.ucsf.edu/files/publication-pdf/Supporting%20the%20Integration%20of%20Community%20Health%20Workers%20into%20Health%20Care%20Teams_2017_06_26.pdf
For emerging professions in the early stages of professionalizing, demonstrating impact can be difficult, because there likely isn’t a large pool of data available. This section of the Guide may be an afterthought for many stakeholders, but ignoring the collection of data can set the goals of a profession back, or even hinder progress in future years. Stakeholders should be thoughtful about data collection, and should incorporate it into all plans to professionalize. Below is a list of some common sources of data that can be useful to emerging professions stakeholders.
**Workforce Data**
For emerging professions, it can be difficult to analyze the size and scope of the profession because common data sources, such as regulatory boards, may not yet exist, and other data sources may not include a consistent definition of the profession. There are some broad data sources that researchers can use to measure workforce for emerging professions. A recent study\(^{97}\) by the Center for Health Workforce Studies at the University of Washington identified four potential sources of workforce data:
- The American Community Survey\(^{98}\) is conducted by the US Census Bureau, and includes self-reported occupation information, searchable by geographic area.
- The Current Population Survey\(^{99}\), also conducted by the Census Bureau, is used to measure labor statistics. The survey includes income data by profession.
- The National Provider Identifier (NPI) Registry\(^{100}\) lists all providers who have an NPI number, by profession, name, and address. Some states are requiring emerging professionals to obtain an NPI number.
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\(^{97}\) [http://depts.washington.edu/fammed/chws/wp-content/uploads/sites/5/2017/01/leveraging_data_allied_health_supply_estimates_pb_dec_2016_skillman.pdf](http://depts.washington.edu/fammed/chws/wp-content/uploads/sites/5/2017/01/leveraging_data_allied_health_supply_estimates_pb_dec_2016_skillman.pdf)
\(^{98}\) [https://www.census.gov/acs/www/data/data-tables-and-tools/](https://www.census.gov/acs/www/data/data-tables-and-tools/)
\(^{99}\) [https://www.census.gov/programs-surveys/cps.html](https://www.census.gov/programs-surveys/cps.html)
\(^{100}\) [https://www.cms.gov/Regulations-and-Guidance/Administrative-Simplification/NationalProviderStand/DataDissemination.html](https://www.cms.gov/Regulations-and-Guidance/Administrative-Simplification/NationalProviderStand/DataDissemination.html)
The Occupational Employment Statistics dataset published by the Bureau of Labor Statistics includes detailed information on employment by profession.
The Occupational Employment Statistics is a particularly valuable source of information. The federal Bureau of Labor Statistics (BLS) defines health professions at a granular level, and monitors the number of people working under these titles. Every profession is given a Standard Occupational Classification (SOC) code, and monitored over time. This public data can be very useful in measuring the size, growth, and distribution of a profession.
If a code for a specific profession does not exist, it is possible to create a new code in the dataset for an emerging profession. The process for revision of SOC codes is open for public input, and incorporates the most current definition of the profession. For emerging professions, it is strongly recommended to pursue a new SOC code, and to update the definition of the code as the profession evolves.
Training programs and higher education institutions that teach professionals are another useful source of basic workforce data. Schools maintain data on the number of graduates and some demographic information about them, but in order to measure their own effectiveness, many schools also track where their graduates are working. This can be useful data to track the growth and distribution of the profession in lieu of a formal regulatory structure.
**Claims Data**
Health care claims data are incredibly useful for analysis of a profession’s impact. Health care claims are requests for reimbursement from providers to insurance companies. Most insurance companies and public health care programs use the same set of codes for reimbursement of services, which makes analysis easier. As mentioned above, each enrolled provider is given a unique 10-digit identifier called a National Provider Identifier (NPI) code, or a similar code for some state-only provider types. The billing provider includes a code for the service(s) delivered. A claim will also include information about the patient who received the service – including the diagnosis and demographic information. Patient data is private and usually must be de-identified for analysis. The combination of these data sources can generate powerful information about the utilization of a service, what populations receive the service most frequently, and the growth and distribution of a profession over time.
For emerging professions, establishing reimbursement from insurance companies is a key source of information because claims data can measure how services provided impact the rest of the health care system. For example, good claims data can compare a group of patients who received care from a profession with a group of patients who did not, and can analyze the quality of care received. In many cases, the services provided by emerging professions can save costs to the rest of the health care system by addressing health issues before they become worse. Claims data can measure these potential savings.
---
101 [https://www.bls.gov/oes/](https://www.bls.gov/oes/)
102 [https://www.bls.gov/soc/](https://www.bls.gov/soc/)
103 [https://www.bls.gov/soc/#revision](https://www.bls.gov/soc/#revision)
Increasingly, states are collecting claims data into large databases that are used to measure cost trends and develop policies. At the time of publication, over 40 states have a claims database or have strong interest in developing one.\footnote{https://www.apcdcouncil.org/state/map}
**Quality Reporting Data**
The largest set of standardized quality measures nationally is the Healthcare Effectiveness Data and Information Set (HEDIS).\footnote{http://www.ncqa.org/tabid/59/Default.aspx} Quality measures can be process measures – such as the percentage of patients who were screened for depression – or outcome measures – such as the percentage of diabetic patients who have their blood glucose under control. The data submitted for these measures may not directly include the services provided by emerging professions, but within health systems, it can be possible to compare the quality outcomes of populations who have received care from an emerging profession with those who have not.
It is also possible to develop new measures\footnote{http://www.ncqa.org/tabid/414/Default.aspx} that specifically include emerging professions, though this can be time consuming. Development of new measures will require the convening of a technical expert panel, time for public comment on the measure, and testing.
**Electronic Health Record Data**
Virtually all hospitals, medical and primary care clinics, and local public health departments now have electronic health record (EHR) systems, and a growing number of mental health providers, dental clinics, and nursing homes and others are implementing EHR technology. EHR systems collect, use and share large quantities of information about a clinic visit or health encounter. Information may include lab tests and results, patient demographics, medications, prevention services, care delivered, follow-up and much more. This is in addition to what is submitted for financial claims and quality improvement reporting. In addition, EHRs can be used to understand the factors influencing an individual’s health such as gender, geography, race, ethnicity, and genetics. Also, some EHR’s support tracking logs and other tools and functions to better support care coordination especially as they relate to transitions of care.
EHR systems manage large volumes of information needed to better support health and care services and population health. Information is vital for functions such as decision support, clinical diagnosis, care plans and communication across multiple providers and more. Stakeholders can find information from a variety of roles within an organization, and each will bring a different perspective. Some roles are specially trained and or certified in the new discipline of health informatics.
- For clinical, health care information you may find specialists such as: CMIO – chief medical informatics officer, or CNIO Chief Nursing informatics office.
- For technology and security information your will find traditional IT roles such as CIO – chief information officer or CTO – chief technology officer or CSO – chief security officer.
Most professional organizations now expect employees to have a core level of competencies in both health informatics principles and knowledge of the use of technology. For informatics, this means a basic understanding computers and technology, but also of health information standards and roles. Also an understanding of systems thinking and operational understanding of EHRs is important.
Within a large health system, the CMIO/CNIO and CIO can be a key ally. Also a necessary ally is an “informatician” or individual with skills to translate needs and requirements into EHR technology. Often, EHR systems do not include modules specific to emerging professions. An informatician can facilitate the process to identify what is collected, used, and shared and if the current EHR can support that activity or if an additional module is necessary.
For example, after a Community Paramedic visits a patient in her home, the information collected about the patient will likely be entered into the EHR so it can be shared with and used by other providers on the care team. How this information is collected and ultimately analyzed can help a Community Paramedic program demonstrate quality outcomes, and make a business case for expansion of services.
It is helpful to identify one of more of these stories (sometimes called “use cases”) to provide concrete examples for how the health professional collects, uses and shares information as they do their work. A high level diagram of the information steps or flows is often a very effective tools to explain the work of the health professional and how they fit into the larger context.
**Other data sources**
*Time and Motion Study*: The goal of this direct observation study method is to quantify every action performed by a professional during a typical work period. In short, a researcher will follow a worker around during a set time period and document every task and function performed by the worker. This information can be used to define a professional role more clearly, and to look for efficiencies. It may sound like an antiquated way to measure work, but these studies are common in health care\(^{107}\) – especially for complex processes where important decisions must be made in sequence, like surgeries or emergency room protocols.
For emerging professions, time and motion studies can be useful to ensure reimbursement rates for services are fair. When reimbursement rates are established in health insurance programs, rate-setting staff look at comparable professions as a benchmark. For emerging professions without a history of data collection or examples, it may be very difficult to make comparisons to existing roles. A time and motion study can be used to define the true complexity of work performed by a professional.
---
\(^{107}\) [http://www.sciencedirect.com/science/article/pii/S1532046414000562](http://www.sciencedirect.com/science/article/pii/S1532046414000562)
The Agency for Healthcare Research and Quality (AHRQ) has developed a tool\(^{108}\) for time and motion studies, and a spreadsheet for conducting a study\(^{109}\).
**IPEDS:**\(^{110}\) The National Center for Education Statistics maintains the Integrated Postsecondary Education Data System (IPEDS), which collects data from every higher education institution in the country. Data elements include educational program types, enrollment, graduation rates, and faculty information. This information can be useful to estimate the “pipeline” of professionals being trained, and make policy decisions about distribution of the workforce.
There is also a crosswalk database that links IPEDS education data with Standard Occupational Classification (SOC) codes from the Bureau of Labor Statistics, which can allow researchers to analyze on how many graduates of an education program are practicing in a specific profession.
### Grants as a source of data
Grant-funded projects are an incredibly valuable source of anecdotal information about a profession, especially in the early stages of professionalization. Grant projects can provide meaningful financial information, utilization data, project-specific outcomes, and can lead to the development of evidence-based practices. Stakeholders should strive to keep an inventory of grant projects that directly involve emerging professions, and should request and store available project reports and outcomes. Most government-funded grants are public information, and documents are easy to request from the granting agency. Foundation grants may be private information, but there will likely be outcome information the funder is willing to share. This infrastructure will give stakeholders and advocates a collection of stories, and can be the basis for analysis of outcomes across projects or sectors.
While grants are project-based and funders can require a wide range of measures to report, that doesn’t mean stakeholders can’t offer guidance on what measures are the most valuable to collect. And grant funding doesn’t preclude the ability for a profession to define how it wants to measure itself. Stakeholders should consider the creation of standard measures for grant projects. In some cases, funders will see the value of collecting data consistently, and will work to allow flexibility in data collection.
### Evaluation
Evaluation is a methodological approach to measuring the impact of a project or change with respect to specific objectives. An evaluation can include existing data sources or not, it can use standardized measures or measures specific to a project, and it can analyze the effectiveness of a project from multiple angles. It can also be narrow in scope, or wide-reaching and inclusive of multiple perspectives. It depends on the goal of the evaluator.
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\(^{108}\) [https://healthit.ahrq.gov/health-it-tools-and-resources/workflow-assessment-health-it-toolkit/all-workflow-tools/time-and-motion-study](https://healthit.ahrq.gov/health-it-tools-and-resources/workflow-assessment-health-it-toolkit/all-workflow-tools/time-and-motion-study)
\(^{109}\) [https://healthit.ahrq.gov/health-it-tools-and-resources/evaluation-resources/time-and-motion-studies-database](https://healthit.ahrq.gov/health-it-tools-and-resources/evaluation-resources/time-and-motion-studies-database)
\(^{110}\) [https://nces.ed.gov/ipeds](https://nces.ed.gov/ipeds)
For emerging professions, the flexibility of evaluation makes it a very useful tool to build a base of evidence for the effectiveness of the profession.
There are four main types of evaluation:
- **Formative evaluation**: ensures that a program or program activity is feasible, appropriate, and acceptable before it is fully implemented. It is usually conducted when a new program or activity is being developed or when an existing one is being adapted or modified.
- **Process/implementation evaluation**: determines whether program activities have been implemented as intended.
- **Outcome/effectiveness evaluation**: measures program effects in the target population by assessing the progress in the outcomes or outcome objectives that the program is to achieve.
- **Impact evaluation**: assesses program effectiveness in achieving its ultimate goals.
Selecting the appropriate evaluation types will depend on the nature of the project, and the purpose of the evaluation.
Regardless of the type of evaluation, the process generally includes the following steps\(^{111}\):
- **Step 1: Define the stakeholders**
- Your stakeholders are supporters, implementers, recipients, and decision-makers related to your program. Getting them involved early on will help you get different perspectives on the program and establish common expectations. This helps to clarify goals and objectives of the program you’ll evaluate, so everyone understands its purpose.
- **Step 2: Describe the program**
- Taking the time to articulate what your program does and what you want to accomplish is essential to establishing your evaluation plan. Your descriptions should answer questions like: What is the goal of our program? Which activities will we pursue to reach our goal? How will we do it? What are our resources? How many people do we expect to serve?
- Articulating the answers to those questions will not only help with accountability and quality improvement, but it will also help you promote the program to its beneficiaries.
- **Step 3: Focus the design of your evaluation**
- Evaluations can focus on process, means, resources, activities, and outputs. They can focus on outcomes or how well you achieved your goal. You may also choose to evaluate both process and outcomes.
- As you begin formulating your evaluation, think about the specific purpose of the evaluation—what questions are you trying to answer? How will the information be used? What information-gathering methods are best suited for collecting what our organization needs to know?
- **Step 4: Gather evidence**
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\(^{111}\) [https://www.nwcphp.org/evaluation/tools-resources/program-evaluation-tips](https://www.nwcphp.org/evaluation/tools-resources/program-evaluation-tips)
Qualitative and quantitative data are the two main forms of data you may collect.
Qualitative data offers descriptive information that may capture experience, behavior, opinion, value, feeling, knowledge, sensory response, or observable phenomena. Three commonly used methods used for gathering qualitative evaluation data are: key informant interviews, focus groups, and participant observation.
Quantitative methods refer to information that may be measured by numbers or tallies. Methods for collecting quantitative data include counting systems, surveys, and questionnaires.
**Step 5: Draw conclusions**
This is the step where you answer the bottom-line question: Are we getting better, getting worse, or staying the same? Data comparisons show trends, gaps, strengths, weaknesses. You can compare evaluation data with targets set for the program, against standards established by your stakeholders or funders, or make comparisons with other programs.
**Step 6: Present findings and ensure use**
It is important that all the work you put into program evaluation gets used for quality improvement. When you present your findings and recommendations, it is important to know the values, beliefs, and perceptions of your group; build on the group’s background and build on common ground; and state the underlying purpose for your recommendations before you get to the details.
There are many tools available online for planning and performing an evaluation – some are included in the Resources below – but stakeholders may want to consider using the services of a seasoned evaluator.
There are also frequent qualitative and quantitative data sources used in an evaluation:
- Surveys and questionnaires
- Focus groups
- Pre- and post-program knowledge testing
- Observation
- Key stakeholder interviews
- Document review
A well planned and executed evaluation can highlight positive outcomes, and help spread best practices more quickly.
---
112 [https://www.cdc.gov/healthyyouth/evaluation/index.htm#tabs-811330-2](https://www.cdc.gov/healthyyouth/evaluation/index.htm#tabs-811330-2)
Resources
Explanation of claims data: https://www.cdc.gov/workplacehealthpromotion/model/healthcare-cost-data/interpreting.html
How to develop new HEDIS quality measures: http://www.ncqa.org/tabid/414/Default.aspx
Quality Measures Development Overview document from CMS: https://www.cms.gov/Medicare/Quality-Initiatives-Patient-Assessment-Instruments/QualityInitiativesGenInfo/Downloads/QualityMeasuresDevelopmentOverview.pdf
AHRQ Toolkit for evaluation: https://www.ahrq.gov/professionals/quality-patient-safety/talkingquality/assess/purpose.html
The Rural Health Information Hub published a toolkit for developing CHW programs, which includes valuable information about evaluation: https://www.ruralhealthinfo.org/community-health/rural-toolkit/4/program-evaluation
Conclusion
As mentioned in the introduction, each profession must chart its own path towards professionalization and integration with the larger health system. Some professions will leap ahead in one area and wait to develop other aspects. Others will push forward with every aspect of professionalization at the same time. The success of each effort will depend in large part on previous examples, existing structures, addressing the concerns of any opposition, and especially, partnerships.
|
Hidden Histories
SASKATOON’S GREAT WAR MEMORIALS
By Eric Story
A Collaborative Project between the City of Saskatoon and the University of Saskatchewan Community Engaged-History Collaboratorium
UofS Faculty Supervisor — Dr. Keith Carlson
City of Saskatoon Supervisor — Kevin Kitchen
INTRODUCTION
Have you ever walked down the street and wondered, “What is that statue for?” or “Why is that there?”? This magazine, “Hidden Histories: Saskatoon’s Great War Memorials,” provides answers to a few of these questions.
“Hidden Histories” is a seven-essay compilation of Saskatoon’s memory of the First World War. Fought between 1914 and 1918, the Great War had a deep impact on the community of Saskatoon. Although it is unclear how many from Saskatoon enlisted, 5,602 men signed up in the city, many travelling from neighbouring communities to acquire a uniform and fight for king and country.
By the time the Armistice was declared on 11 November 1918, Saskatoon had undergone a profound transformation. The four-year long conflict brought about heated ethnic divides, prohibition, women’s suffrage, and, of course, death and mourning. Beginning in 1920, the community began to mark the war with public art in order to remember the war and commemorate the men who had fallen.
“Hidden Histories” tells the stories of these pieces of art, yet it also speaks to Saskatoon’s collective story. Although these memorials remain rooted in one specific place in the city, the stories behind these memorials are not. As the memorials grow older, new generations tell new stories about them, some based in fact, others in myth. Like tales passed from an aging grandfather to his grandson, they change as they are passed along, shaped by the generations who inherit these stories. And so here is my chance to tell our generation’s story about the memorials. I have tried to give voice to the individual, and less to the stones that commemorate them. I hope I have done them justice.
Each age has left memorials of what they thought worthy of honour and reverence. The pyramids of Egypt, the temples of Greece, the Cathedrals of the Middle Ages . . . reveal and reflect the highest and best of the thoughts of their time.
This age will be judged by the memorials which it has left of the services of its sons and daughters.
Walter Murray, 1928
“This memorial is a living thing”: The University of Saskatchewan Memorial Gates 1
The Story of the Saskatoon Cenotaph 3
The University of Saskatchewan’s Memorial Ribbons 8
School Spirit: The Nutana Collegiate Memorial Art Gallery 12
“How our fate was changed and by whose hand”: The University of Saskatchewan’s 46th Battalion Stone 17
The Hugh Cairns Memorial 19
Talmage Lawson and the Star-Phoenix Clock 24
Building a campus memorial was not a foregone conclusion following the Great War. Delays immediately after the war, and financial difficulties left the university with a difficult decision. Were they able to erect a suitable memorial?
Nineteen eighteen was not easy for the University of Saskatchewan. President Walter Murray called it the university’s “most trying” year. Twenty-four U of S soldiers were killed on the battlefields. And in October, campus was quarantined as a result of the Spanish Influenza Epidemic, continuing to rattle the institution to its very foundations.
Despite the adversity the university faced, President Murray believed it imperative that the U of S boys who fell overseas were remembered for generations to come. And so, beginning in August 1918, he wrote to various companies, enquiring about the costs of a memorial plaque or tablet. But he was delayed. Between 1919 and 1920, the university entered a period of crisis, when Murray was accused of falsifying a financial report given to a M.L.A. Although the charges were proven untrue, Murray had a nervous breakdown, resulting in an extended leave from the university for five months. By 1921, Murray still had not made a decision about the form the memorial would take.
In May 1923, Murray began to correspond with the university’s original architect, David R. Brown, about a campus memorial. He had remained in communication with Brown since the university opened in 1909. Subsequently, in 1926, a Memorial Committee was appointed to “look into the matter of a suitable Memorial to be erected on University grounds, in commemoration of those Professors and Students who served in the Great War.” They decided that the most suitable form of a memorial would take the shape of Memorial Gates. Brown would be the builder.
In order to pay for the construction of the Memorial Gates, the Memorial Committee began a fundraising campaign. A $10,000 goal was set, and alumni were targeted. As historian Jonathon Vance points out, the construction of a memorial “stood as public affirmation of the people’s desire to keep the faith: the erection of a memorial was a tangible sign of the community’s determination to remember the fallen and, by extension, the values for which they died.” In the case of the U of S, this memorial project would be one undertaken by the entire campus community, whether one was a student, staff member or alumni. Past and present members of the U of S would all lend a hand in the construction of the Memorial Gates.
But a memorial was still premature. In September 1924, Murray corresponded once more with his architect, Brown. In a rather casual letter, he reads more matter of fact than concerned: “The gates must wait until times are better,” he wrote. The U of S had run into some financial difficulties. The construction of the gates would have to be postponed.
In 1927, fundraising had also reached a standstill. By February, current students had donated $1,000 to the Memorial Fund, but still, only $5,000 total had been received by the Memorial Committee. The Committee Chair and past mayor of Saskatoon, Howard McConnell, found this unacceptable. In a circular sent to all alumni, he asked, “Do you want the Members of Convocation and the Alumni to fail in the first important project they have undertaken? I don’t think you do. Do your part then in seeing that the Alumni make good their commitments. Is that too much to ask?” McConnell was playing on the guilty consciences of the recipients of his circular in words that echoed those of war-time Canada. He was appealing to their patriotism and duty to the university—which was to remember those who had fallen for a greater cause than themselves. If alumni refused to contribute, they were to be considered post-war shirkers who had failed their institution. The Great War may have passed, but the attitudes of the era had not.
Financial difficulties eventually passed, and on 3 May 1928, the Memorial Gates were unveiled to the public. At 2:30 PM, Brigadier General J.F.L. Embury of the 28th Battalion gave his speech. For him, the Memorial Gates had two different, yet inextricably tied meanings. The first applied to the present generation. It represented the sadness of the families whose loved ones had been lost in the Great War, yet also the “glorious triumph they [the soldiers] achieved and that should make them glad.” John Ross Macpherson’s father, Douglas, agreed. Immediately afterward, he wrote President Murray, saying:
“I have just written father and mother [John’s grandparents] a detailed account of the service and of the Banquet in the evening, and have endeavoured to convey to them something of the tremendous pride I felt in hearing from yourself and from so many others such sincere words of affection and admiration for Ross.”
As for future generations, Embury said,
“… the gates will serve as a reminder of the greatest war in history and of the triumph to which it ended. It will keep alive their love of their native land and will probably arouse in their hearts the same desire to fight and die for their country that was responsible for the sacrifice of those whose names are on the tablets.”
Embury saw this memorial as a tool of recruitment and a representation of Canadian nationalism. He continued, “This memorial, therefore, is to us a living thing. It should not only remind us of the losses we suffered but it should cause us to look forward with gratitude to the years of peace that lie ahead as a result of those sacrifices.”
The memorial is a “living thing,” in part, because it regenerated the memory of those who had fallen in the war. It gave those in attendance of the unveiling a sense of closure. Yet that closure did not mean the end. On the contrary, the Memorial Gates were to be used, once the construction of the university was complete, as the main entrance to campus. It would be both a “utilitarian and an aesthetic memorial.” In doing so, the Memorial Gates would live up to the name Saskatoon newspaper columnists gave it: “The Memorial Gateway.”
The year was 1928. Unknown to the public at the time, the Stock Market Crash of 1929 was just around the corner. And Saskatoon did not yet have a memorial to the dead of the Great War. Veterans, politicians and citizens banded together for a remarkably fast twenty-month campaign to erect Saskatoon’s Cenotaph. But it was not easy. And it was not without controversy.
The Clock Tower of the Saskatoon Cenotaph
“I recognize your difficulties,” thundered Field-Marshal Earl Haig. The former Commander-in-Chief of the British Armies (which included the Canadian Corps) was addressing a rally of 3,000 Canadian ex-servicemen in Ottawa in June 1925. “We ourselves (in Britain) were faced with them, but, given the desire for unity, goodwill and real endeavor, they can be overcome.” Haig was hoping to amalgamate all Canadian veteran groups into one single organization. Between 1917 and 1925, as many as fifteen national veterans’ organizations were founded. Each group pushed its own agenda, leading to confusion as to what exactly these ex-servicemen wanted and ultimately needed. Yet Haig’s call for cohesion struck a chord amongst Canadian veterans. By November, an umbrella organization was founded. It would be called the Canadian Legion of the British Empire Service League. Little did the City of Saskatoon realize that Haig’s speech would set in motion events that would eventually culminate in the unveiling of the city’s very own cenotaph in 1929.
Following its founding, the Canadian Legion would draw up a Constitution outlining its goals and aims. Of the nineteen, only one addressed fallen soldiers: “To perpetuate the memory and deeds of those who have fallen or who die in the future; to promote and care for memorials to their valour and sacrifice; to provide suitable burial, and to keep an annual memorial day.” Following the principles of this aim, by 1928, Saskatchewan Command, Saskatoon Branch of the Canadian Legion entered into discussions with City Council about a potential municipal war memorial. City Council appeared eager.
On 12 March 1928, planning for a war memorial in Saskatoon commenced when a formal resolution was passed in City Council. The projected cost of the memorial was $15,000, jointly funded by the city and the Legion. By the end of April, City Council had appointed a Cenotaph Committee that would work in coordination with the Legion’s own committee. And it was during this April meeting that the first suggestion for the form of Saskatoon’s war memorial was made: memorial gates.
Interestingly, the University of Saskatchewan was only days away from unveiling its own memorial—which it seems by no coincidence were also memorial gates. Saskatoon’s memorial gates, it was proposed, were to be placed at the entrance of Next-Of-Kin Memorial Avenue. Only five years earlier, in 1923, 265 trees were planted along this avenue in memory of each individual soldier who died in the Great War. It would be a fitting cap to this memorial if gates were...
The Saskatoon Cenotaph’s base plaque. It reads, “In glorious memory of those from this city and district who at the call of King and Country adventured forth and gave their fall for the cause of right and freedom. See to it that their names be not forgotten.”
“I recognize your difficulties. But, given the desire for unity, goodwill and real endeavor, they can be overcome.”
— Field-Marshal Earl Haig, June 1925
“Keep green the memory of the sacrifice of those who died as the result of war services.”
— M.A. Macpherson, Cenotaph Unveiling, 11 November 1929
Memorial Gates in May 1928 and the soon-to-be completed Nutana Collegiate Memorial Art Gallery were not just static relics dedicated to past generations, but useful for the present and future. They spoke of the past, but also pointed to the future. Another memorial gateway would fall in line with Saskatoon’s tradition of war memorials. Belgium had also just unveiled its famous Menin Gate in 1927 commemorating nearly 55,000 dead Commonwealth soldiers whose graves were unknown.
Despite a tendency to construct similar memorials, the idea for a gateway in Saskatoon was soon cast aside.
A week after the unveiling of the university’s Memorial Gates on 4 May, City Council decided the location of the memorial would be better suited near the center of the city. Memorial gates would simply be too large for the business district of Saskatoon. But before proceeding any further, the Cenotaph Committee announced a contest. A $250 prize would be offered for the best cenotaph design. City Council asked that the cenotaph have a chiming clock because “it would serve a more useful and practical purpose than merely a memorial of stone or other materials with a plaque.” The utilitarian aspect of the memorial would remain. A memorial to the past that spoke to the present and future remained of utmost importance.
At the same time as democratizing the process of creating a municipal cenotaph, however, City Council did not allow everyone to participate. One of the conditions of the competition was that it was “open to any British Citizen, residing in Canada.” This requirement served to further one of the myth’s of Canada’s Great War: that it had brought about a “melting pot, in which all inhabitants would be rendered” British-Canadian. In reality, this “melting pot” idea only fed pre-existing institutions such as assimilation. Unfortunately, the Cenotaph’s contest is an excellent
example of exactly that.
After the contest had been announced, the fundraising campaign began, as well as the recommendations for the location. By June 1928, the Legion had raised $3,810, with help from *The Saskatoon Phoenix*’s daily advertising. But the location of the cenotaph remained undecided. Council thought it best to decide on the location after the contest’s conclusion.
On 8 August, City Council announced the winner of the cenotaph contest. F.H. Portnall, a Regina architect and Great War veteran, was selected as the victor out of fourteen applicants. It was a simple design. Almost twenty-eight feet high, the cenotaph would feature a four-faced clock at the top. Engraved around each clock would be a Union Jack, and above each engraving would be a crown, signifying the “participation of the Empire in the Great War.” The top of the cenotaph would be finished with a pyramidal cap. It was a fitting memorial to a city that honoured its British heritage. Thus, it was of no coincidence that it resembled Edwin Lutyens’ Cenotaph at Whitehall. It too unique, however. It was Saskatoon’s Cenotaph.
But the location remained undetermined. Shortly after the contest’s conclusion, City Council expressed its interest in the intersection of Twenty-Third Street and Third Avenue as a possible location for the cenotaph. But this decision was met with controversy. City Engineer G.D. Archibald wrote a letter to Council on 28 September, reminding them of the manhole located at that intersection. Chief Constable G.M. Donald voiced his own concerns—chiefly traffic flow. He also pointed out the location of the Fire Department, and the potential inaccessibility of their vehicles if the cenotaph was placed there. If there was any controversy over the cenotaph campaign, location was it.
It was not until 5 November 1928 that City Council returned to the debate about the location of the cenotaph. An interesting decision was made. Regardless of the controversy, Council believed the purpose of the cenotaph was more important than the location, and thus should be built at the original proposed location at Twenty-Third and Third. Ten years after the war, fallen soldiers remained engrained in the minds of Saskatoon’s citizens. Council was so adamant about the importance of the cenotaph that traffic flow and basic services were of lesser concern. And although Council eventually backed down, and changed the location of the Cenotaph to Twenty-First Street and Second Avenue, their stubbornness demonstrated how the importance of the Great War remained in Saskatoon.
On 11 November 1929, Saskatoon’s Cenotaph was unveiled to the public. Three thousand stood in attendance. One of the speakers was the Attorney General of Saskatchewan, Major M.A. MacPherson. He saw the cenotaph as having two meanings: “…the first to keep green the memory of the sacrifice of those who died as the result of war services, the second to remind the citizens that there are peacetime duties which they owed their countries.” But perhaps the cenotaph had a third meaning. It demonstrated that in the hearts of Saskatonians, the fallen men of the Great War were still there. Through their donations to the Legion, participation in the cenotaph contest, and the public debates about the location, the citizens of Saskatoon showed they cared and found important the construction of their very own cenotaph.
Years passed, and the city grew. By 1957, the Cenotaph had become a traffic hazard. City Hall had been moved the previous year, and it was decided the Cenotaph would move with it onto its grounds. During the night of 15 August 1957, the Cenotaph was dismantled on Twenty-First, and moved to its new home just southeast of the entrance to City Hall, where it rests today. It is only meters away from where the city councilors of 1928 and 1929 initially hoped it would be located.
The Costs of Saskatoon’s Great War Memorials
- The University of Saskatchewan Memorial Gates: $31,792.51
- The Saskatoon Cenotaph: $18,769.93
- The University of Saskatchewan Memorial Ribbons: ???
- The Nutana Collegiate Memorial Art Gallery: $7,498.36
- The 46th Battalion Stone: ???
- The Hugh Cairns Memorial: ???
- The Star-Phoenix Clock: ???
Total: $56,268.29+
The University of Saskatchewan Memorial Ribbons
Men were dying at their highest rate
The U of S felt it had to somehow remember its soldiers
And so in March 1916
Each soldier was given a scroll in the old College Building.
Their names would not be forgotten
The Memorial Ribbons, 2015
By 1914, the individual soldier was celebrated throughout the Western world. The revolutions of the 1880s in Europe and America spawned the beginnings of military voluntarism, which, in turn, created the “citizen-soldier.” The citizen-soldier was patriotic—someone who put his life on hold for his country. At the University of Saskatchewan, it was no different. The citizen-soldier was held in high regard. Many of the university’s soldiers were professors and staff, students and recent graduates who had bright futures ahead of them. It is no surprise, then, the University of Saskatchewan created its own honour roll to commemorate its citizen-soldiers. In the College Building (now named the Peter MacKinnon Building), 350 names decorate its hallways on the first and second floors.
The idea to create a university honour roll originated at a meeting of the Board of Governors in March 1916. The Board elected to “have the names of all students, and others connected with the University who have enlisted painted on the ‘ribbons’ in the corridors.” By May, painting was well underway. What prompted this decision was the high rate of enlistment in 1916. Sixty-three of the 116 enlistees of that year joined between 21 February and 6 April. Enlistment was at its peak rate. The university had to find a way to honour those who were serving. They found it in the Memorial Ribbons.
Who is on this honour roll? Reginald Bateman, the first Professor of English at the U of S, is just one. An Irishman of birth, he immigrated to Saskatoon in 1909 to take up the professorship of English. U of S President Walter Murray and University of Toronto President Robert Falconer recruited Bateman from his home in Ireland, yet he was quite pleased at what awaited him in Saskatoon. After receiving a pamphlet about the city, he wrote to Murray in August 1909: “[The pamphlet] makes it out to be an Earthly Paradise on a small scale, so I am quite looking forward to sharing in its delight.” These pamphlets were small promotional pieces advertising the “all-pervading spirit of Prosperity” Saskatoon possessed. The authors of these pamphlets were obviously careful to avoid speaking of Saskatoon’s weather conditions between November and March.
Improvement was Bateman’s life philosophy. In a lecture he gave an Education class, he spoke of teaching as a “long and weary road, which must be travelled before I reach anything approaching my ideal.” This ideal, however, could never be reached, nor should it ever be expected.
For “As long as a man struggles, he is advancing; when he ceases to struggle, he has ceased to advance; and when he ceases to advance, it is almost certain that he has commenced to go backward,” he declared. On 3 September 1918, a shell exploded at his feet in the trenches of France. His body was never recovered.
One of Bateman’s earliest detractors was young John Ross Macpherson, another name on the university’s honour roll. Macpherson was an early editor and news correspondent for the student-run university newspaper, *The Sheaf*. When Bateman enlisted in September 1914, Macpherson was one of the first to vilify the Irishman’s decision. After a recruitment speech Bateman gave on the eve of his departure...
Sheaf’s editorial of the November edition, accused the professor of having a “Viking-like thirst for glory.” Worst of all, he had abandoned his students mid-semester.
Macpherson himself would eventually enlist in March 1915. After arriving at Montreal for training, he wrote to President Murray about the “general excellence of health” among the university boys. He was proud to be serving his country. Only a year and a bit later, his attitude had changed drastically. Writing again to Murray, Macpherson gave a report of the First University Company from Saskatoon. Twenty-nine of the fifty-four he mentioned had been either wounded or killed. A general sense of weariness bled through the pages written to Murray: “It has been a long year, this in France,” Macpherson wrote, “and our time of training in Canada seems an experience of some life lived long ago. War is not quite what we used to picture. It is a grim business.” In only sixteen months, Macpherson had been transformed into a hardened warrior. He enjoyed the short pauses from the crack of guns, but he missed home. Sadly, he too would die. During the Hundred Days Offensive, he was killed on 26 August 1918.
Countless other names line the hallways of the Peter MacKinnon Building. One of these names is Robert Gloag, a forty-three-year-old painter. He enlisted in March 1916, and survived the war. He would return to Saskatoon, continuing his work as a painter on university grounds. Claire Rees stands the lone woman in the company of 349 men on the honour roll. She enlisted as a Voluntary Aid Detachment Nurse, and was sent to Manchester. While overseas, she married the head of the U of S’s School of Engineering, Lieutenant Chalmers Jack Mackenzie. Both her and her husband returned home after the war. Mackenzie eventually became the Dean of the College of Engineering.
By the time the honour roll was painted, eighteen names had been missed. This oversight was not corrected for nearly a hundred years. On 7 August 2014, the U of S Great War Commemoration Committee (RememberUS)—with help from Professor Emeritus Michael Hayden—unveiled an eighteen-name plaque in the Peter MacKinnon Building. One of the additions, as Hayden points out, is long overdue. Louis Brehaut was the Professor of Philosophy and Greek before he enlisted in 1914. In August 1915, while stationed in England, he was diagnosed with shell shock. He returned home and taught until 1918, but felt his condition did not allow him to carry out his duties to the fullest. He retired and moved to the east coast. He would eventually die at the young age of fifty-one. Hayden argues that he was too well-known a figure on campus for the omission to be an oversight. Attitudes towards mental illness during the Great War likely played a role in this unfortunate decision.
The phenomenon of the citizen-soldier heavily influenced the creation of a university Honour Roll. The initial list commemorated those from the U of S who served such as Reginald Bateman and Claire Rees, but eighteen were forgotten. RememberUS corrected this oversight in 2014. And now, in 2015, ninety-nine years after the first black stroke was painted on those yellow ribbons in the College Building, the Honour Roll is complete. Or is it? RememberUS added eighteen more names, but apprehension still lingers in those old halls that someone remains missing. Much research still has to be done about the U of S and the Great War. Perhaps the years leading up to 2018 will see new scholars shedding light into those darkened corners of history. Only then will we feel comfortable and confident that all of the university’s citizen-soldiers have been honoured for their sacrifice.
A.J. Pyke was hired as the second principal of the Saskatoon Collegiate Institute (later to be named the Nutana Collegiate) in 1915. He remained in this position until 1923, when he resigned his principalship to become a professor of mathematics at the University of Saskatchewan.
In 1921, Pyke wrote to an artist, saying that “our students decided to establish an Art Gallery as a memorial to the students and ex-students of the Saskatoon Collegiate Institute, who lost their lives in the Great War.”
His successor and vice-principal, A.W. Cameron, disagreed. He claimed that Pyke was responsible for the establishment of the Art Gallery.
After his death, an ex-student of Pyke’s spoke of him being “intensely loyal, unselfish beyond belief, excessively modest, [and] the same of honesty.” Perhaps his modesty did not allow him to take credit for the founding of the gallery. Or perhaps he was telling the truth. We may never know.
W.F. Herman came to Saskatoon with his family in 1906. A farmer’s life did not agree with him, however, and he soon found himself working in the local newspaper office.
Sadly, in October 1915, one of Herman’s close friends and colleagues Talmage Lawson died fighting overseas. Herman was devastated. Five years later, in order to keep the memory of his partner and friend alive, he purchased and dedicated a clock that would stand outside of his office. It would become known as the Star-Phoenix Clock.
Soon after the war, Herman left Saskatoon, perhaps because of the intensity of the loss he felt or because of business opportunities in eastern Canada. Whatever his motivations, he purchased another newspaper, this time in Windsor, which would later become known as The Windsor Star.
His obituary read in 1938: “He never sought personal glory and he disliked ostentation. His tastes were simple and his manner of living plain. He wanted to be a good citizen and good newspaperman. He was both.”
One of Saskatoon’s hidden treasures is the Nutana Collegiate Memorial Art Gallery. Established in 1919, the Memorial Art Gallery grew to twenty-nine paintings by 1926, and today, houses over ninety. The collection is currently appraised at about $10 million. The original twenty-nine, however, had a very specific and arguably sacred place in the hearts of those who walked the halls of the old collegiate many years ago. Twenty-nine soldiers from Nutana Collegiate perished in the Great War. Each name shines on a bronze plaque located at the bottom of the frame of each of the twenty-nine paintings.
In March 1919, students of the Saskatoon Collegiate had an idea. It was decided an art gallery would be established as a memorial to the collegiate’s students and ex-students who had fallen during the Great War. Yet there was an important second component to this memorial. In a letter to one of the gallery’s artists, Principal Alfred Pyke said,
“When deciding on this form of Memorial, the students were actuated by several motives, among which might be mentioned a desire to formulate interest in Art among the boys and girls attending this school; to encourage in a small way, our Canadian Artists, by purchasing their pictures; and to provide a medium through which the spirit of the fallen boys might function in the building of our nation, by stimulating in our boys and girls a richer and deeper meaning of education and citizenship.”
As historian Jonathan Vance argues, the Nutana Memorial Art Gallery looked backward as well as forward. It remembered the fallen men, but also helped foster an appreciation of Canadian art. It linked the past with the future growth of not only the collegiate, but also Saskatoon and the great nation of Canada.
The next step was finding art appropriate for the gallery. Pyke decided to leave this task to his friend and amateur artist, David Wilkie. This decision demonstrates that beyond purchasing Canadian art, the Saskatoon Collegiate had no direction for the composition of their memorial art gallery. Nonetheless, by June 1919, Wilkie had purchased six paintings for the collegiate. Herbert Palmer’s Hunting Scene and William St. Thomas-Smith’s Fishing Village present ominous scenes of the coming autumn and a storm at sea. These scenes are direct reflections of the war. On the other hand, Alex M. Fleming’s Credit River invokes a scene of “rugged beauty” and peacefulness, signifying the end of the war. Wilkie’s choices were indeed “very traditional landscapes, quaint glimpses of Canadiana, and Edwardian character studies,” but they also reflected a mythical view of the Great War in Canada.
The paintings were used to metaphorically represent war and post-war peace, but did not directly address the conflict itself.
After Wilkie’s untimely death in January 1920, Pyke took on the role of contacting artists and purchasing their paintings himself. Yet the standardized letter he sent to various artists reveals a general lack of knowledge in the field of art. Between 1920 and 1923, Pyke would ask those he contacted to “submit one of your best paintings,” often naming one
or two he had seen in the Catalogue of the Annual Exhibition of the Ontario Society of Artists. The adjudication process was not entirely up to Pyke and the artist, however. A purchasing committee was appointed—consisting solely of students—who had the final say in which painting was chosen.
Student involvement was a key component of the gallery. When the idea to acquire paintings for an art gallery was proposed, a joint stock company was created, which the collegiate’s student Literary Society executive directed. Shares were sold at fifty cents each. In creating a stock company, students who purchased a share could claim to partially own the Memorial Art Gallery. It was a student-owned, student-driven enterprise.
Even with some financial backing from the Saskatoon Collegiate’s Board of Governors, costs were not entirely covered for the purchase of the paintings. Once again, the students—particularly female—fundraised the money. For example, the Pauline Club and the N.N.S. Club helped raise the necessary $450 for Marion Long’s *Pauline* in 1924. They were able to do so, in part, through the Pauline Club’s operetta put on that past year.
The Memorial Art Gallery took a sudden and abrupt turn in 1923. The process of asking for the “best works” of various artists around Canada was wearing dull. And so, in one of his final acts as the collegiate’s principal, Pyke wrote to artist E. Wyly Grier about an “excellent” and “unusually interesting” project. Pyke asked Grier if he would be willing to paint a picture of “The Spirit of Youth,” which would be a portrait of a “typical young Westerner.” The subject would be Jack Cairns, who had tragically drowned at Pike Lake in 1917 at the young age of only fifteen. The decision to use a deceased young boy—and a civilian at that—as the subject demonstrates the collegiate’s continuing commitment to remembering the war in a mythical manner. Instead of focusing on the boy’s death, the painting portrays the boy’s joyous youth, again avoiding the realities of the Great War.
Using a Saskatonian as the painting’s subject also gave the gallery a local flavour. When Grishe would replicate the “personal appeal” of the Grier piece. On 17 October 1924, Pauline was unveiled to the public.
Yet it is important to question why the collegiate decided to have a painting of a girl when the Memorial Art Gallery was dedicated to the memory of fallen boys. Some may argue women were also involved in the war effort, and thus should have been commemorated in this gallery. Cameron’s hopes of Long’s painting, however, seem to point to something entirely different. In a letter he wrote her in May 1924, he said,
“. . . there are three important phases of our school activities, there is of course, first, the academic side, which includes the work of the class room and there is the athletic side which is very highly developed with us and which you will see is very strongly typified by Grier’s picture of the boy with his baseball bat and glove, and there is another and very important phase of our school which might be typified in the girls’ picture; it is not very easily defined but it includes the aesthetic, the ethereal, the social and all their love of beauty and purity.”
It seems that Long’s painting—alongside Grier’s—captured the spirit of Nutana Collegiate. And so, once again, the gallery gained a new meaning. Not only did it represent the memory of their fallen boys, but it now was a physical embodiment of Nutana’s school identity.
Year after year, the gallery continued to grow. After Long’s, the collegiate acquired one more painting in 1924, and five more in 1925. By the end of the year, they had twenty-seven paintings. And as this collection grew, so did Principal Cameron’s knowledge of Canadian art. He became acquainted with the works of the Group of Seven, whom art historian Laura Brandon calls “the best-known and most influential group of Canadian artists to have worked in Canada in the twentieth century.” As early as summer 1924, Cameron had contacted the director of the National Art Gallery in Ottawa about a close affiliate of the Group of Seven’s, Tom Thomson. Although he was never able to acquire any of Thomson’s works, Cameron had entered into the field of purchasing high art in Canada. It would, once more, change the direction of the Nutana Collegiate Memorial Art Gallery.
In late 1926, Cameron wrote to the Group of Seven’s “natural leader,” A.Y. Jackson, asking for some suggestions about the gallery. In a scathing response, Jackson called the collection “uniformly dull” and outdated. He went on to speak about what Nutana could have done, instead of what it did, and concluded his letter by saying that “as a memorial to men who fought and died you have a collection of pictures with no fight in them.” To Cameron’s credit, he followed up Jackson’s letter with great patience and a calm demeanour, explaining Nutana’s limited resources and the remote nature of living in a western prairie city. He also admitted the original fundraising scheme had been scrapped. No longer were fifty-cent shares being offered. Because student investment
was no longer a component of the Memorial Art Gallery, the idea of acquiring more art began to fade away.
Cameron was undeterred. In 1925, he had created the Saskatoon Art Club, of which he was president. And in February 1927, he confided to A.Y. Jackson about his plans to establish a “Gallery of Modern Art” in Saskatoon. He would do so not through the use of schools funds, but by “private subscription.” Yet the collegiate still had a duty to complete the memorial aspect of the gallery. And so Frederick S. Challener’s *Off to Flanders’ Fields* was chosen as the final painting. It was the only painting that came close to directly addressing the war. It was of passenger ships carrying its green Canadian troops over to England for training in 1914.
On 11 November 1927, University of Saskatchewan President Walter Murray gave the Memorial Address on Armistice Day at Nutana Collegiate at the unveiling of Challener’s painting to complete the Memorial Art Gallery. He said, “Better far to observe in tense silence this day and speak not of the horror and the suffering that filled the eyes of those who were the actors in those great scenes or of the pain with which the anxious ones listened for the approach of the messenger of ill.” Do not speak of the horror, Murray said; instead, speak of their innocence, their youth and the joy they brought everyone. He also remarked of the important connection between past and present: “Each age has left memorials of what they thought worthy of honour and reverence. The pyramids of Egypt, the temples of Greece, the Cathedrals of the Middle Ages, the music, literature and painting of the Moderns reveal and reflect the highest and best of the thoughts of their time. In the years to come this age will be judged by the memorials which it has left of the services of its sons and daughters . . . [T]hese memorials . . . will testify to our honour and reverence for those who died that we might live in freedom.”
The Nutana Memorial Art Gallery became a part of the long history, according to Murray, of “honour and reverence” through built memorial structures. Yet the gallery would also “ennoble and refine the lives of the young for generations.”
After the ceremony, Cameron’s work was not done. By March 1928, he and Murray had hopes of expanding the current art gallery into a city-wide one. But he ran into trouble. Money had dried up, as students thought the fundraising campaign was over. Not only that, but students no longer had a vested interest in something in which they were not involved. What completed flattened Cameron’s hopes for a larger modern art gallery, however, was far beyond his control. On 24 October 1929, the stock market crashed, signaling the beginning of a ten-year depression that rocked Saskatchewan. The Nutana Memorial Art Gallery would remain as it was: a memorial to its fallen students and ex-students.
There is no denying the Nutana Memorial Art Gallery has little reference to the Great War. But perhaps this is what the deceased Nutana soldiers would have wanted. They may have looked at *Pauline*, and remembered their first high school crush. Others may have looked next to it, and saw *The Spirit of Youth*. They may have imagined their youths, playing in the fields, swinging their bats in the summer sun, with a toothy grin of innocence, unbroken by war. Then again, some may have glanced off to the corner of Nutana’s Memorial Library (this is where the current art collection hangs) and seen *Off to Flanders’ Fields*, reminding them of their voyage overseas and the horrors that awaited them on the battlefields of France. We will never know exactly what these men would have thought of the gallery because they now belong to the pages of history.
As for those who composed the art gallery, there is an obvious theme: a reluctance to speak about the horrors of war. Metaphor and allegory was used to highlight ideas and thoughts of pre-1914. Those who attended Nutana Collegiate refused to talk about the Great War directly because it was so painful. The Memorial Art Gallery made this quite clear. Nonetheless, the gallery was a student-run, student driven project. It mythologized the war as much as it commemorated the collegiate’s fallen men. But for that, Nutana should not be faulted. There is only one Memorial Art Gallery in Canada, and it has remained a touching tribute to the twenty-nine who died too soon.
Allan Macmillan, one of the twenty-nine killed who went to Nutana Collegiate, 1916
Where You At?
Finding a few of Saskatoon’s Great War Memorials
~ The 46th Battalion Stone --- 52.131027, -106.632992
~ The Hugh Cairns Memorial --- 52.132429, -106.652188
~ The Star-Phoenix Clock --- 52.130810, -106.657040
Look them up on Google Maps!
How many Great War memorials does the University of Saskatchewan have? A keen observer may say one, while an aging staff member might count two. But wedged between the Physics Building and the Peter MacKinnon Building, and nestled underneath a tree lays a third. One can easily mistake the university’s smallest Great War memorial for a decorative piece on campus. On the contrary, this stone is so much richer than just a decoration.
The 46th Battalion plaque was gifted to the university in 1933. Surviving members of the 46th believed it imperative that the memory of their brothers remain intact. Yet the decision to have it placed on campus reveals something even more significant. The battalion was born at Moose Jaw, so why would Saskatoon be an appropriate setting for this plaque? Perhaps it was because of men...
such as Reginald Bateman, the university’s first Professor of English, and as one of his comrades said of him, “one of the best loved men in the Battalion.” Or maybe it was because the battalion’s sole Victoria Cross winner, Hugh Cairns, lived in Saskatoon and the campus was one of the more aesthetically attractive locations to put it.
Then again, according to Brigadier-General Alex Ross, who spoke at the unveiling ceremony, the only way to attain world peace was through “citizenship, education and common sense.” For this reason, the university was an entirely appropriate place for the 46th Battalion’s plaque. The exact reasons for its chosen location are unknown. But the decision to place it in “The Bowl” demonstrates that the University of Saskatchewan was a cherished and important part of the 46th Battalion’s identity during and after the war.
A Winnipeg woman named M.J. Taylor was the plaque’s designer. And her design reinforces what historian Jonathon Vance calls the myth of the citizen-soldier. The image on the plaque depicts a farmer on the left with a bundle of hay, and on the right, a soldier raising his helmet to the heavens. In fighting at the battles named on this plaque, the farmer had effectively been transformed into a patriotic citizen-soldier. This depiction may be myth, but it was entirely accurate for a university setting at the time—particularly at the U of S. Most U of S men who fought for the 46th had their best years ahead of them. Thirty-two-year-old Hedley McCreedy was a car inspector and teacher when he enlisted. George Peters was only nineteen, recently employed as an engineer. Sadly, he would die at the tender age of twenty-one on 3 June. It was his birthday. Both men were without any military experience. But they put their careers aside, and took up arms for their country. They were true citizen-soldiers. The same can be said for the majority of the university’s members of the 46th Battalion.
The decision to memorialize the battalion with a plaque, however, was not a foregone conclusion. As early as February 1925, there were discussions at the sixth Annual Reunion to create “footstones” as the memorial and place them at each grave of a member of the 46th. Those present at the following year’s reunion supported the motion almost unanimously. The 46th also hoped to write a battalion history to memorialize its members. A small committee of the battalion was in the midst of researching its war diaries in November 1926. Yet nothing ever came of it. By November 1933, the only memorial would come in the shape of a plaque. And it was not until 1978 the battalion received its written memorialization. James L. McWilliams and R. James Steel published *The Suicide Battalion*, an entirely fitting name for a unit that sustained a 91.5% casualty rate during the Great War.
In the afternoon of 11 November 1933, a crowd gathered at Convocation Hall for the unveiling of the 46th Battalion’s memorial plaque. Seventy members of the battalion were in attendance, alongside numerous others. Among them were Hugh Cairns’ parents, George and Elizabeth. Chairman of the 46th Battalion Association, Captain J.S. Woodward, believed that the unveiling would “perhaps [be] the last ceremony that the unit as such will be called upon to celebrate.” And it likely was. After the hymns had been sung, and the speakers had spoke, the plaque was put away until a stone in which to mount it was found. Once it was found, the stone and plaque were put to rest in front of the Peter MacKinnon Building.
The university’s third memorial is relatively unknown. One must be aware of his or her surroundings to find it. And even when one does, it is static and dull. The stone is uninspiring in comparison to the Memorial Gates, and rather simple as opposed to the Memorial Ribbons. Yet the stories behind this stone are remarkable. The plumber-turned-war hero, Hugh Cairns, fought for the 46th, and perhaps best represents what the memorial hoped to commemorate: the citizen-soldier. And although it lays motionless, the memories it carries live. For the plaque says: “They are too near to be great, but our children shall understand when and how our fate was changed, and by whose hand.”
Somewhere stuck in the public conscious of Saskatoon is Hugh Cairns. He was a Great War hero and now has a memorial in his name. Too often forgotten in the myth that has developed around Cairns are those commemorated on his memorial. They were soldiers. They were soccer players. They were also Saskatonians.
“It was particularly fitting that the monument should be placed on the very field on which the boys had so often played.”
Hugh Cairns V.C. has come to symbolize the Great War in Saskatoon. Few locals have trouble conjuring up the name plastered on a school, an armoury, and a street in the city. Yet many do not know of the Hugh Cairns Memorial located on the west side of University Bridge. It lies at the south edge of Kinsmen Park, and, in the spring, summer and early fall, is surrounded by a beautiful array of flowers. Towering above the flowers stands Hugh Cairns, a soccer ball beneath his foot, and a hand on his hip, his gaze stern. From afar, this memorial would seem a permanent reminder of one man’s impact on a sporting community, as well as the importance of that sport in Saskatoon. Upon closer inspection, however, the seventy five-name honour roll of Saskatoon’s fallen soccer players located below Cairns’ feet actually demonstrates a profound loss of life, and perhaps even the fall of a beloved sport in a small city on the banks of the South Saskatchewan.
Hugh Cairns was born in Ashington, Northumberland, England in December 1896. He was the third child of eleven to George and Elizabeth Cairns. By 1911, his family had immigrated to Canada, and found residence in Saskatoon. Although Cairns did not follow his father’s career path as a carpenter, he did take up a job in the trades. By the time he enlisted in 1915, Cairns was an apprenticed plumber.
It is difficult to determine the exact reasons for Cairns’ enlistment. Each and every Canadian enlistee had very personal and different reasons for enlisting. Yet it seems a number of factors aided in Cairns’ decision to sign his attestation papers in August 1915. One may have been his allegiance to Canada’s mother country and Cairns’ home, England. Many English-born soldiers hoped to see their families and friends once again when enlisting for overseas service. However, the most important factor in Cairns’ enlistment was his older brother, Albert, signing his own papers on the same day. Both described as “keen footballers,” the Cairns brothers were inseparable, having “gone through thick and thin together.” Brothers for life, Hugh and Albert were determined to make the transition from citizen to soldier together.
Being a part of the 46th Battalion meant Cairns was subject to some of the bloodiest battles of the Great War, including Arras, Vimy and Passchendaele in 1917, and Amiens in 1918. Cairns excelled at soldiering, and immediately distinguished himself as an elite machine gunner. Following the Battle of Vimy Ridge, on 3 June 1917, the 46th was ordered to attack the enemy line. When another battalion began to retreat, Cairns led his machine gun crew forward, providing covering fire. Cairns himself recovered two of the retreating battalion’s machine guns, and turned them on the enemy. One of his mates, Bill Musgrove, described Cairns’ actions:
“Cairns saw some of the Germans coming out of their trench trying to cut our men off at the flank. He lined his gun on them and drove them back. His two helpers on the gun were casualties. He grabbed two men from the retreating battalion and put them loading the ammunition drums.”
Carrying in the wounded at the Battle of Vimy Ridge, April 1917
The Battle of Passchendaele, November 1917
While his back was turned those two beat it. Boy, Hughie was mad.”
Afterward, Cairns colourfully told the two soldiers’ adjutant of their actions. Alarmed by the young sergeant’s language, the adjutant recommended Cairns for a court martial, but Colonel William Robert Dawson, instead, decided a Distinguished Conduct Medal (DCM) recommendation was more appropriate for Cairns’ heroics. Of course, he did not forget to remind the young man of his manners in front of his superiors.
Although quite humourous, this story speaks to some of the characteristics Cairns possessed. There is no doubt he was heroic. Yet he was also fiercely loyal to his fellow men, repulsed by anyone who placed their own needs in front of the collective. Cairns’ admiration for camaraderie was likely forged on the soccer fields of England and Saskatoon.
Cairns did have a breaking point. At the Battle of Cambrai in September 1918, Cairns was severely wounded. He would never be the same. This wound came in the form of his brother’s dead body. On 10 September, Albert was killed. One of Cairns’ mates recalled, “Hughie said he’d get fifty Germans for that. I don’t think he ever planned to come back after Abbie [Albert] got killed.”
By November 1918, Cairns’ thirst to avenge his brother’s death had grown too strong. On 1 November before the Battle of Valenciennes, Cairns was ordered to not partake in the upcoming confrontation. Cairns refused to stand down: “… [E]ver since Albert was laid out beside him . . . [Cairns] always said he had a lot to get evened up . . . [H]e went before the C.O. and said if he were left behind he would follow the battalion into action,” one of his comrades recalled. Two local historians argue that Cairns’ proceeding “superhuman” feats were induced by the death of his older brother.
Cairns hopped the parapet. He killed seventeen Germans, took eighteen prisoner, and captured three machine guns. He then proceeded to reconnoiter a forward area, and found a small courtyard packed with Germans. He slipped back to his unit, picked up four men, returned and kicked down the courtyard door, Lewis guns blazing. Sixty-some alarmed Germans threw their hands up in surrender, unaware that only five men had ambushed them. One German officer, however, realized the actual number, pulled out his pistol and shot. Cairns fell to his knees, but his machine gun remained hot. He mowed down the officer, and many other grey-clad figures. A firefight broke out and, already in pain, Cairns felt another bullet hit him, this time shattering his wrist. He kept shooting. Finally, he was hit a third time. Cairns collapsed, blood pooling around him. The Saskatonian’s limp body was roughly thrown onto a door-turned-stretcher, when the bearer too was hit and killed. Another bullet entered Cairns’ body. When the firefight finally ended, a handful of Germans exited the courtyard with their hands held high. Cairns had killed his fifty Germans. But he too had lost the fight. The following day, on 2 November, Cairns was pronounced dead.
On 1 November 1919, Cairns was posthumously awarded the Victoria Cross for his “superhuman deeds” at Valenciennes. He was also awarded France’s highest honour, the Legion of Honour. In 1936, a street was named after him in Valenciennes: L’Avenue Hugh Cairns. His parents were present at all ceremonies.
Cairns’ story is one of coming-of-age, heroism and the impact of death, yet too often overlooked are those whose names are etched on the Hugh Cairns Memorial. Below the stone carving of Cairns are seventy-six names (including Cairns’). Although they may not have received a Victoria Cross, these men too have tales to tell.
Of the seventy-six names, sixty-eight were found to have enlistment and death records. The makeup of this group of sixty-eight is predominately English and Scottish. Thirty-eight were born in England, while twenty-one were in Scotland. And so it is no surprise that the majority of these men enlisted in the early years of the war in 1914 and 1915. September 1914 saw the highest number of enlistees at eleven, while the second highest was October with eight. Strong ties to the mother country, a desire to travel and seek out adventure, and consistent pay likely played a role in this group’s decision to enlist. Seven of the sixty-eight were born in
Canada. And of these seven, only one is native to Saskatoon. James Thomas Clinkskill, the son of Saskatoon’s first mayor, enlisted in September 1914. He would die at the Somme in September 1916.
There are two sets of brothers on the Hugh Cairns Memorial. One of which was the McNeil brothers, who enlisted on the same day on 4 January 1916. Much like Hugh and Albert Cairns, it seems their motivation to enlist was aided knowing they would be doing so with one another. Sadly, the first to die was Fred in May 1917 following the victory at Vimy Ridge. His brother, Stanley, would survive the war, but for only two more years. He died five days before Christmas in 1920, and is the only soldier on the Hugh Cairns Memorial whose body is interred within city limits. It lies in the Woodlawn Cemetery.
Less than six months after Stanley had passed, his name was immortalized with the unveiling of the Hugh Cairns Memorial on 8 June 1921. Yet the memorial almost completely ignores the war. The only indication these men had fallen in the war was an inscription on the bottom pillar of the memorial that reads: “In Memory of Our Fallen Comrades 1914-1918.” Otherwise, this memorial would seem a tribute to a soccer player and flourishing soccer community. This decision reflects the community’s decision to avoid remembering the horrors of the Great War. Instead, it chose to emphasize the fallen men’s identities before the war. Additionally, Mayor Young highlighted the important geographic location of the memorial: “It was particularly fitting that the monument should be placed on the very field on which the boys had so often played.” Soccer games were predominately played at City Park (known today as Kinsmen Park), and that was where the Hugh Cairns Memorial was placed. Yet again, this decision reinforces an identity built around sport as opposed to the Great War.
Few stories have been told of the men whose names cover the Hugh Cairns Memorial. Yet many more remain hidden. Cairns’ has been told for almost one hundred years, his name featured in articles in *The Star Phoenix*, posted in small booklets and even larger, full-size monographs. But others, like the McNeil brothers, have not. Questions about why these men enlisted, their deeds (and misdeeds), and the details surrounding their deaths needs to be answered. But we must not forget that their stories do not start and end with the war. Memorials such as Hugh Cairns’ demonstrate exactly that. Although these men were soldiers, they too were soccer players.
A memorial to the dead often invokes a sense of finality. However, the soccer scene in Saskatoon did not die. Although the Great War brought a halt to soccer in Saskatoon, as the city league was postponed from 1915 to 1918, soccer once again flourished in the 1920s. The city league was re-established, and a Mercantile League was reborn. Touring teams from Great Britain also visited Saskatoon, demonstrating the sport’s popularity and the city as a central location to play it. One of these teams was from Scotland, and they visited in June 1921. Before the match, they participated in a memorial unveiling ceremony. The Scots placed a wreath at the bottom of this memorial. When they looked up, they saw a man with a ball beneath his foot. Hugh Cairns would be watching them play.
The Nutana Memorial Art Gallery is incomplete. In March 1922, Principal Alfred Pyke sent a letter to artist George Reid, enquiring about a “central piece” painting for the collection. Reid was initially receptive to the idea; however, it would have to wait until 1923 because of insufficient funds. It was not until 1924 that the idea resurfaced, but it seems that financial considerations forced Pyke’s hand. The painting would never be painted.
The designer of the 46th Battalion Stone was a woman. She was from Winnipeg, and her name is M.J. Taylor.
The University of Saskatchewan considered moving the Memorial Gates in 1988. Due to a heavier volume of traffic, the Memorial Gates were becoming increasingly less suitable as a gateway. The idea was eventually scrapped and, instead, a new five-lane road was constructed just west of the gates as an entrance to the Royal University Hospital. The utilitarian aspect of the memorial was no more. It would remain a mark of remembrance and only that.
The Star-Phoenix Clock was moved in 1967. After the newspaper office of *The Star Phoenix* moved, so too did the clock. It was moved to its present-day location on Twenty-Fourth Street East and Fifth Avenue.
The Saskatoon Cenotaph was also moved. On 15 August 1957, the memorial was moved from its location on Twenty-First Street and Second Avenue to City Hall Square.
The clock stopped. At 11:59 PM, the blackened hands of the Star-Phoenix Clock, its dial illuminated in the cool fall air, grinded to a halt. It seemed the new clock, installed only five days earlier, on 6 October 1920, was broken. Shortly after the hands stopped, a dark shadow approached the clock from a short distance away. Just as the shadow reached the large memorial, it stopped and began to read a small passage engraved near the foot of the clock: “Erected by W.F. Herman To the Memory of TALMAGE LAWSON Killed in Action October 8th 1915.” After a short time, the shadow’s shoulders rose and fell in a deep, saddened sigh, its breath escaping in a cloud of mist. The shadow then proceeded to open the back of the clock, inserted a crank and began to wind. Just as the shadow closed the backing, the hands of the Star-Phoenix Clock began to inch their way towards midnight. It was not broken after all. It just had to be re-wound. The shadow then walked away—its head down and mist escaping with every breath it took.
Talmage Lawson was a Maritimer. Born at Prince Edward Island in 1879, Lawson had grown up the son of Stephen Lawson, a well-known clergyman and farmer. Lawson lived on the Island until he was twenty-one, when he and his family moved to Canada’s frontier in 1897. Two years later, he moved out with his two brothers Newton and Oliver, relocating to a quarter section of land just southeast of his father’s. Today, it would be located in the Lawson Heights area near Spadina Crescent and Ravine Drive in Saskatoon.
Once he had settled onto his quarter section, Lawson became involved in the horse trade. One of his associates remembered his claim to have never lost a dollar in selling horses: “He would size up the men who came to him, cross question them, and if he thought they were telling the truth the horse was theirs; strange as this might seem, these men invariably came back and paid him,” he said. Clearly, Lawson was an intelligent yet caring businessman.
After six years of homesteading, Lawson became acquainted with W.F. Herman and his family, who had recently moved from the United States. Herman was hoping to take up a homestead...
and farm himself, but his hopes were short-lived. Herman had previous experience working in the newspaper business, starting at a small-town newspaper in Nova Scotia, and then moving to Boston, Massachusetts with higher aspirations. Almost immediately after moving to the North-West Territories, his wife, Adie, sensing that Herman was not destined to be a farmer, sent a letter to Saskatoon’s local newspaper, informing them of the arrival of a “crackerjack printer.” The following day, he had a job at *The Phoenix* newspaper.
As the years passed, Herman and Lawson developed a close friendship. Perhaps it was because both men were born and raised in the Maritimes, or maybe it was because they had similar business interests. Nonetheless, these two men grew fond of one another. By 1908, both men had moved into Saskatoon, opting to live across the street from each other. Lawson purchased a lot on the east side of Second Avenue near Twenty-Third Street, while Herman took one on the opposite side. Herman remained at the local newspaper office, while Lawson continued dealing horses.
Yet, in 1910, tragedy struck when Lawson’s mother, Alice, passed away. It seems Lawson took the news quite hard. In later years, Herman would call Lawson an “extensive traveller, [un] contented to see a place through a car window.” And according to the Henderson’s Saskatoon Directories, Lawson did not own property in the city between 1908 and 1911. He may very well have left after his mother’s death, not just to see the world, but to escape the pain of losing someone close.
When Lawson returned to Saskatoon in 1911, he moved into the Herman household. It seems Herman hoped to return the favour Lawson had offered his family five years before when they first arrived on the open prairie. Lawson may also have desired a place near his aging father, Stephen, who was now in his mid-seventies.
For a number of years, Lawson and Herman had been in business together. Although it is unclear exactly what that business was, they both dreamed of running a newspaper together. Herman had years of experience, while Lawson’s father, Reverend Stephen Lawson, had published *The Presbyterian* and *The Protestant Union* out of Prince Edward Island from 1875 to 1881. Lawson had likely grown up hearing stories of his father’s rather vicious publishing reputation. In March 1912, Herman and Lawson decided the time had come. They purchased the weekly newspaper *The Capital*, and changed its name to *The Saskatoon Daily Star*.
In 1913 and 1914, Lawson again travelled extensively. He visited China, Japan, India and Africa, the latter which he trekked over five hundred miles. He loved to explore, see new things. At the risk of his own life, he was motivated to visit and explore everything he possibly could. When he was in Africa, he travelled as far as the railway would take him, and then continued by foot. After only a few days of hiking and sleeping on the ground, Lawson came down with a fever. He had to return to the train, but his illness grew gravely worse. He eventually reached the railway, but his fever worsened. For nine days aboard the train, Lawson became delirious. But with the help of two men, “a most rugged constitution” and “great strength,” Lawson survived.
Although Lawson was one of the proprietors of *The Saskatoon Daily Star* Herman ran the newspaper. Lawson instead chose to travel. But his travels were cut short when Britain declared war on Germany on 4 August 1914. Although it took a few weeks for news to reach Lawson, he knew he had to return home. At the end of August, amidst his tour of Africa, he was alerted of the declaraIt was soon after he arrived in Saskatoon that Lawson enlisted in October 1914. By the time he had done so, however, there were more than enough enlistees to fill the necessary ranks. And this fact was pointed out to him. Lawson’s business partner, Herman, remembered him replying that if it was necessary, he would travel to England to enlist if Canada would not take him. Once he had enlisted, Herman said, he was “as happy as a school boy.”
Lawson’s enlistment seems a bit strange, especially in comparison to the majority of Canadian enlistees. Most enlisted out of a desire for adventure, to return home to England to see familiar faces, earn a consistent wage, or simply to fight for king and country. Yet it seems that Lawson desired none of these. He had travelled the world extensively over the past five years, having more than enough adventure for anyone’s lifetime. And because of these travels, as well as the assertion of his business partner that he was a successful businessman, Lawson certainly did not require $1.10 per day that the lowest-ranking soldier would receive. Nor did he have any immediate family in England. So that begs the question: why did Lawson enlist?
The answers lie in Lawson’s deep-seated Canadian patriotism, as well as his local pride. During his journey back to Canada after hearing of the war’s outbreak, he stopped in England. Yet he did not enlist. And once he returned to Canada, he could have enlisted anywhere along the way back home to Saskatoon. Yet again, he chose not to enlist. It was not until he reached his home that he finally found himself at a recruiting booth.
But to dig even deeper, it was likely not out a desire to enlist and fight with familiar faces that Lawson chose to enlist at Saskatoon. For he was a lone wolf. A former mayor of Saskatoon remembered Lawson “cultivating few intimate friends,” while Herman, when speaking of Lawson’s travels, admitted he spoke to very few people about the details of his voyages. And so Lawson enlisted out of a sense of duty to Canada. Even more importantly, however, he wanted to represent his home when he did so. He was a proud Saskatonian.
A full year after Lawson’s enlistment, a telegram arrived at his brother’s home. Oliver opened it: “Deeply regret to inform you 73952 Pte. Talmage Lawson, 28th Batt., officially reported killed in Action October 8th,” it read. That day, on 22 October 1915, the city of Saskatoon was rocked with one of the first deaths of a beloved local citizen. The following day, a flood of letters were sent to *The Saskatoon Daily Star*’s office. Although he had been a lone wolf,
Lawson was remembered fondly by the community. Mayor Frederick Harrison wrote, “I had the honour of numbering [Lawson] among my friends and I in common with many, many others will mourn the passing of Mr. Lawson for more than one day.” Former mayor James R. Wilson wrote directly to Herman,
“Knowing him as I did, I can understand what a blow his death is to you. A manly man of ideal principles, very reserved, cultivating few intimate friends, but those who had the pleasure of knowing him intimately could not fail to appreciate his sterling qualities, which were borne out in his service to his King and Country.”
Prominent businessman J.F. Cairns also wrote to the paper, speaking of his last encounter with Lawson:
“The last time I talked to Talmage Lawson was the day he left for the front. At that time I was giving an order for a dollar’s worth of merchandise to every private and N.C.O. who left Saskatoon. Mr. Lawson came to my office to thank me and said he had used my order for something which would be a remembrance and that he would carry it into battle with him . . . The bitterness of the sorrow of his friends may be tempered by the immortal badge of honor, ‘killed in action,’ which Lawson bore with him in passing out. He has left them a sad but proud legacy in the blessed memory that he saw his duty and did it well.”
Each person writing to the paper seemed genuinely upset about Lawson’s passing. Regardless of his limited number of personal relationships, Lawson touched the hearts of many in the community of Saskatoon.
But perhaps no one was more affected than his business partner, Herman. The two had met ten years prior, lived in each others’ quarters, shared business propositions and even owned a newspaper together. The following day after Herman received the shocking news, he wrote a column in memory of his partner and friend, saying, “… no person knew him as well as myself, [so] it might not be out of place here to set down a few things to illustrate this.” Herman gave a short account of his partner’s life, detailing their dreams of owning a newspaper, his strengths as a businessman, as well as his travels overseas. He concluded with a moving passage to a friend he would deeply miss:
“Mr. Lawson needs no eulogy from me. His numerous friends in the city and country can attest to his many excellent qualities. They know that his heart was as big as his body. But I didn’t want one who has been more than a friend to me and mine, a man who has done so much in his own way to further the best interests of Saskatoon, and who gladly gave up his life in defence of the Empire, to pass away without a word from one who knew him best.”
Lawson’s passing reflects the reverberations of death in the Great War. Even in the city of Saskatoon, which, by 1916, had a population of over 20,000, a single death sent some of Saskatoon’s most prominent citizens into mourning. Whether it was because of his father’s distinction as a reverend in the community, his title as proprietor of the local newspaper, or his ties to the pioneering days of Saskatoon, Lawson’s death was felt widely and deeply.
Yet Herman’s lengthy column was not enough. In October 1918, three years after Lawson’s death, Herman announced plans to erect a clock in his partner’s name. Two years later, on 6 October 1920, that clock was unveiled to the public. It was located at the corner of Twentieth Street East and Second Avenue, just outside of the doors of *The Saskatoon Daily Star*’s office. It was Saskatoon’s first Great War memorial. And its most personal.
The purpose for erecting the clock where it stands demonstrates the personal nature of the memorial. One writer speculates Herman placed it where he did because the city had moved the old Stephenson Clock away from Second Avenue, which upset him. Yet the friendship that developed between Herman and Lawson tells a different story. The clock stood outside *The Daily Star* because it served as a daily reminder to Herman of his deceased friend. Indeed, as the phrase on the clock’s dials said, “The Star Goes Home.” The star was Lawson, and his home was Saskatoon. At least the
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**Talmage Lawson’s Grave in Belgium**
Photo courtesy of Ali Bissell
clock had brought the memory of Herman’s business partner back to Saskatoon. When he would arrive in the morning and leave in the evening, he would remember Talmage Lawson.
In 1928, *The Saskatoon Daily Star* and *The Daily Phoenix* amalgamated into *The Star-Phoenix*. And from that day forth, the Daily Star Clock became the Star-Phoenix Clock. Of all Saskatoon’s Great War memorials, the Star-Phoenix Clock is the most personal, and thus evokes great emotion. It is dedicated to a proud Canadian who travelled the world, but kept his roots in Saskatoon. He was a strange man, with few close friends, but still had a vast impact on the Saskatoon community. Talmage Lawson deserved to be remembered. Every Monday at 11:59 PM, the Star-Phoenix Clock made sure of it.
Saskatoon has many Great War memorials. This short magazine covered seven of them, yet there are many more. The Vimy Memorial Bandstand, Next-Of-Kin Memorial Avenue and the Soldiers’ Cairn at the Woodlawn Cemetery are just three examples of Saskatoon’s “Hidden History” that needs to be found and written. Although this magazine was meant to be extensive, Saskatoon’s Great War memorials story is not yet complete.
For the seven that were covered, there are a few themes that run through many of these memorials’ stories. One is the commemoration of the citizen-soldier. Many of Saskatoon’s military men were not trained soldiers, but rather ordinary citizens who responded to the call to arms. The 46th Battalion Stone reminds us of the many farmers who exchanged a plough for a gun to fight for king and country. A second theme in this magazine is the purposeful neglect of addressing the war directly in the city’s memorials. The Nutana Memorial Art Gallery, for example, avoided the horrors of the first modern war in each of its paintings, and instead attempted to remember the golden years before 1914.
Yet another common theme is the Anglo-nature of the memorials. Although many different ethnic groups from Canada fought in the Great War, the built memorials tend to remember those of Anglo-Canadian descent. This tendency is perhaps best represented in the competition to design the Saskatoon Cenotaph, when only British citizens were allowed to submit applications.
The most prominent theme that runs through each and every memorial, however, is an unconditional commitment to remembering the fallen men of the Great War. They were brothers and fathers, sons and grandsons. They were loved by many, and their deaths were felt throughout the community. The decision to erect memorials around the city helps us understand how important it was for Saskatonians to remember the Great War. Maybe not the war itself, but certainly the men who helped fight and win it. The memorials were an attempt to keep the memories fresh for generations to come.
Although I have uncovered a large portion of Saskatoon’s “Hidden History,” there is much, much more to explore, the memory of the Great War included. Various strands of memory need to be recalled, beyond those that are visible to the public eye. As I have already said, Saskatoon’s Great War memorials are inherently Anglicized. For the most part, they were created by English-Canadians, for English-Canadians, and in memory of English-Canadians. And in many cases, they reflect a male-focused memory strand of the war.
Aboriginal peoples and other ethnic minority groups tend to be disenfranchised from the dominant collective memory. Yet this does not mean that these groups do not have memories of the war. It is simply that they are not as easily recognizable as a cenotaph or an art gallery. Women too tend to fall outside of Saskatoon’s collective memory of the war, yet they also played key roles in the war effort. They fundraised, sewed and nursed, making sure their citizen-soldiers were as comfortable as they could be in the muddy trenches of Flanders. Yet their roles are downplayed, as a pair of socks sent to a son overseas is less easily commemorable as taking a bullet for one’s country.
Oral histories, mapping and deep digging into the archives can help uncover more of these hidden histories. Hopefully in the following years, others can help uncover the treasures of Saskatoon’s history. Until then, happy hunting!
Primary Sources
46th Battalion Association C.E.F. of Canada, 1926 Year Book (Moose Jaw: Western Press Ltd., 1926)
Bateman, Reginald John Godfrey. *Reginald Bateman, Teacher and Soldier: A Memorial Volume of Selections From His Lectures and Other Writings*. London: Henry Sotheran and Co., 1922.
Henderson’s Saskatoon Directories, various years.
*The Saskatoon Daily Star*, various articles.
The Saskatoon Local History Room, various files.
*The Saskatoon Phoenix*, various articles.
*The Saskatoon Star-Phoenix*, various articles.
University of Saskatchewan Archives & Special Collections, various files.
Photographs taken from University of Saskatchewan Archives & Special Collections, Library and Archives Canada, Archives of Ontario and the City of Saskatoon Archives.
Secondary Sources
Bowering, Clifford H. *Service: The Story of the Canadian Legion, 1925-1960*. Ottawa: Dominion Command, Canadian Legion, 1960.
Brandon, Laura. “Shattered Landscapes: The Great War and the Art of the Group of Seven.” *Canadian Military History* 10, no. 1 (2001): 58-66.
Carline, Gerry. “46th Canadian Infantry Battalion.” *The Encyclopedia of Saskatchewan*. Accessed July 6, 2015, http://esask.uregina.ca/entry/46th_canadian_infantry_battalion_cef.html.
Cook, Tim. *At The Sharp End: Canadians Fighting in the Great War, 1914-1916*. Vol. 1. Toronto: Viking Canada, 2005.
Hayden, Michael. *Seeking a Balance: The University of Saskatchewan, 1907-1982*. Vancouver: University of British Columbia Press, 1983.
------. “Why are all those names on the walls?” *Saskatchewan History* 58, no. 2 (2006): 4-14.
Kerr, Don and Stan Hanson. *Saskatoon: The First Half Century*. Saskatoon: NeWest Publishing, 1982.
McWilliams, James L. and R. James Steel. *The Suicide Battalion*. Edmonton: Hurtig Publishers, 1978.
“The ‘Saint’ In Trouble.” *Grip Magazine* 15, no. 4 (August 21, 1880).
Saskatchewan Heritage Foundation. “For Valour”: *Saskatchewan Victoria Cross Recipients*.
Szalasznij, Kathlyn. “The Saskatoon Cenotaph.” Heritage Office of City Hall, December 19, 2011.
Vance, Jonathon. *Death So Noble: Memory, Meaning, and the First World War*. Vancouver: University of British Columbia Press, 1997.
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ST. PETER CATHOLIC CHURCH
1801 S. MIAMI AVE, MARSHALL, MO. 65340
Mass Times
Saturday 5:30 PM
Sunday 7:30 AM & 11 AM
Spanish Mass Sunday 1 PM
Sacrament of Reconciliation:
Saturday 4:00-5:00 PM in the Chapel
or by Appointment
Parish Office Hours: Mon.- Fri.
8 –3 p.m. Closed for Lunch 12-1 p.m. Daily
Church Office & Rectory:
Phone: 660-886-7960
Fax: 660-886-7954
Parish Email: email@example.com
Website: www.stpeterchurch-marshallmo.org/
Pastor: Father Francis Doyle
Email: firstname.lastname@example.org
Associate Pastor:
Father Christopher Aubuchon
Email: email@example.com
Deacon: Joseph Mitchell
Deacon: Jaime Medina
Deacon: Amparo Orozco
Deacon: Luis Reyes
Deacon: Pedro Almazan
Deacon: Santos Rubio
Parish Secretary: Diana Morales
Email: firstname.lastname@example.org
Parish Pastoral Council President:
Ron Sayer
Grand Knight of Columbus:
Doug Davidson
Knights of Columbus:
email@example.com
President of Altar & Rosary Society:
Phebe McCutcheon
Regent Daughters of Isabella:
Anne Thorp
Perpetual Adoration Coordinators:
Barb Chevalier & Jan Backes
Meals on Wheels:
Brenda Mizer
© EE Pauwels Co., Inc. - Excerpts from The Lectionary for Mass © 2014, 1998, 1981 (GIA, NY), 1970, 1962, 1952. All rights reserved. Photo: Israel Rousse/Adobe Stock
**Mass Intentions**
**Saturday**
- 4:00 PM: Billie Tucker, Jr. —Sweet Springs
- 5:30 PM: Laurie Rogers
**Sunday**
- 7:30 AM: Bob Backes
- 9:15 AM: (Slater)
- 11:00 AM: Larry E. Gauldin
- 1:00 PM: People of the Parishes (Spanish)
**Monday**
**Tuesday**
- 5:30PM: Victor & Eunice Esser
**Wednesday**
- 8:00 AM: Bich Huynh
**Thursday**
- 8:00 AM: Rose Marie Brown
**Friday**
- 8:00 AM: Backes Family
**Saturday**
- 4:00 PM: People of the Parishes —Sweet Springs
- 5:30 PM: Lee Bearden
**Sunday**
- 7:30 AM: Tom Vogl
- 9:15AM: (Slater)
- 11:00AM: Bob Barr
- 1:00PM: Barbara E. Thiel (Spanish)
*Please note Mass intentions are offered for both living or deceased.*
---
**Bishop McKnight’s June prayer intention for our Local Church**
For all fathers; that through the intercession of St. Joseph they will be able to use their skills and gifts to love and provide for their children and raise them in the faith.
**Intención del mes de junio del Obispo McKnight por nuestra Iglesia Local**
Por todos los padres de familia, que a través de la intercesión de San José puedan usar sus habilidades y dones para amar a sus hijos, proveer por ellos y criarlos en la fe.
---
**Sacramental & Spiritual Life of the Parish**
**Baptism**—Preparation is required for both parents, preferably during the early months of pregnancy. Please call the Rectory to register.
**Marriage**—Please contact the parish a minimum of 6 months prior to your proposed wedding date to begin marriage preparation.
**Christian Initiation of Adults (RCIA)**—Adults interested in inquiring about becoming Catholic are invited to participate in this process. Sessions are held weekly September—May. Please contact parish office for more information.
**Ministry to Sick and Homebound**—Please contact the parish office when a parishioner is sick or hospitalized. We will schedule a visit and Communion call, as appropriate. Due to patient confidentiality, the parish is not automatically notified of hospital admissions.
---
**Please Pray for all the sick and suffering of our Parish Community**
Richard Ackerman, Helen Elaine Arth, Regina Banks, James Beaman, Paul Bethel, Hannah Browning, Justin Browning, Barney E. Burks, Rhana Castle, Martin Chvatal, Anna Darlene Clark, Cheryl Clark, Karen Darling, Doug Ernhardt, Resa Ferguson, Cindy Fry, Virginia Graver, Danny Grissitt, Rose Keith, Donald Kennedy, Marilyn Korte, John & Jen Lappin, Joe Lent, Gary Littrell, Judy Mark, Alice Markes, Jason Monnig, Mildred Moore, Mary Ellen Morgan, David Officer, Kathy Pabst, Sarah Parker, Dorothy (Kessler) Pettel, Bernice Pollard, Connie Rieth, Joyce Rieth, Lorisa Rivers, Mark Robe, Terry Sadewhite, Ryan Sammy, Mae Sample, Cody Schmidt, Mary Ann Shrader, Raeann Suppes, Rose Mary Terhune, Mary Theis, Don Thiel, Katy Tyler, James F. Weaver, Ian Williams, Amy Wolfe, Ted Wolfe, Ayden Wright, Marcella Young, Charles Zimmerschied.
## Liturgical Schedule for the up-coming week
| Mass Time | Musician/ Accompanist | Servers | Lector | Mass Coordinator | Mass Sacristan | Ushers |
|-----------------|--------------------------------|--------------------------|----------------|------------------|----------------|----------------------|
| **June 25** | Julie Butner Melanie Elfrink | Abby Cramer Cooper Duncan| Sarah Wright | Nancy Wiseman | Nancy Wiseman | Glen Eilers Volunteer|
| **Saturday** | | | | | | |
| **5:30 PM** | | | | | | |
| **June 26** | Annette Smith Carol Wolfe | Robert Butner Daniel Butner| Kristi Butner | Jan Stacey | Janice Yeagle | Jamie Ulbrich Jim Weaver|
| **Sunday** | | | | | | |
| **7:30 AM** | | | | | | |
| **11:00 AM** | Pam Whitney Carol Wolfe | Bailee Vogel Lia Cubero | Leo Grothaus | Phebe McCutcheon | Barb Chevalier | Brian Hart Leo Grothaus|
## Eucharistic Ministers for June
### 5:30 PM Masses
- Karla Simpson
- Crystal Wiseman
### 7:30AM Masses
- Chuck Sheffer
- Joyce Nelson
### 11 AM Masses
- Geri Ehrhardt
- Hilda Almazan
---
—Thank you to those who bring in their tithing envelopes during the week, these amounts get added from Wed to Tues of each week so the weekly collection numbers are always up to date.
—The direct withdrawals are also added into the weekend closest to the dates: 1st, 15th and 20th.
## Weekly Collection
**06/12/2022**
| Collection Type | Amount |
|----------------------------|------------|
| Envelopes | $4,715.75 |
| Plate Collection | $2,235.45 |
| Tithing Received | $6,951.20 |
| Tithing Weekly Intention | $12,884.62 |
| Difference | -$5,933.42 |
| Year-to-Date | |
| Tithing Received YTD | $654,242.29|
| Tithing Intention YTD | $638,361.11|
| Difference | $+15,881.18|
## Coordinators of Ministries for Mass
### Song Leaders:
- Julie Butner
- 660-886-0895
### Servers/Accompanist:
- Carol Wolfe
- 660-631-7802
### Ushers:
- Walt Keith
- 660-886-5829
### Lectors:
- Nancy Wiseman
- 660-529-3385
### Eucharistic Ministers:
- Ann Orear
- 660-493-2991
### Sacristan/Mass Coordinator:
- Janice Backes
- 660-631-1518
## Money Counters for June
- Eleanor Willis
- Leo Grothaus
- Anne Thorp
## TODAY’S READINGS
**First Reading** — Melchizedek brought out bread and wine and blessed Abram (Genesis 14:18-20).
**Psalm** — You are a priest forever, in the line of Melchizedek (Psalm 110).
**Second Reading** — Paul gives his description of the institution of the Eucharist (1 Corinthians 11:23-26).
**Gospel** — Jesus feeds the crowd with five loaves and two fish (Luke 9:11b-17).
The English translation of the Psalm Responses from the *Lectionary for Mass* © 1969, 1981, 1997, International Commission on English in the Liturgy Corporation. All rights reserved.
## LECTURAS DE HOY
**Primera lectura** — Melquisedec sacó pan y vino y bendijo a Abram (Génesis 14:18-20).
**Salmo** — Tú eres sacerdote eterno, según el rito de Melquisedec (Salmo 110 [109]).
**Segunda lectura** — Pablo da su descripción de la institución de la Eucaristía (1 Corintios 11:23-26).
**Evangelio** — Jesús habla a la multitud sobre el reino de Dios y luego la alimenta con cinco panes y dos pescados (Lucas 9:11b-17).
Salmo responsorial: *Lectionario Hispánicoamericano Dominical* © 1970, Comisión Episcopal Española. Usado con permiso. Todos los derechos reservados.
Sunday, Jun 19, 2022
The purpose of power
We can use power to help others—or to help ourselves. Jesus chooses to feed the multitude and invites his followers to do the same. Lord John Acton (1834-1902), an English Catholic historian, counseled caution with our authority: “Power tends to corrupt, and absolute power corrupts absolutely.” Acton also noted, “Liberty is not the power of doing what we like, but the right to do what we ought” and “The will of the people cannot make just that which is unjust.” This Father’s Day, pray for fathers and others to act wisely and lovingly when exercising their authority.
SOLEMNITY OF THE MOST HOLY BODY AND BLOOD OF CHRIST (CORPUS CHRISTI)
TODAY’S READINGS: Genesis 14:18-20; 1 Corinthians 11:23-26; Luke 9:11b-17 (169). “[Jesus] said to them, ‘Give them some food yourselves.’”
Monday, Jun 20, 2022
The only measure that matters
When you were a kid, did your parents measure you by marking your height on a wall each birthday? Perhaps later report cards and sports trophies were a measure of your progress. In adulthood, do you measure yourself by runs you’ve climbed on a corporate ladder, or by the increasing figures in your bank account? Some measures are less quantifiable—and far more important. Are you becoming more forgiving, more patient, more giving, more humble, more faithful? Are you getting closer to God? Comparison to others is no measure at all when God knows your heart completely and is helping you grow.
TODAY’S READINGS: 2 Kings 17:5-8, 13-15a, 18; Matthew 7:1-5 (371).
“The measure with which you measure will be measured out to you.”
Tuesday, Jun 21, 2022
Find the happy medium
Young Aloysius—eldest child of a powerful Italian Renaissance family—was scandalized by all the excesses around him. In his corner of the world, corruption and promiscuity abounded. So impressionable was the boy that, as he began to contemplate religious life, he increasingly added penitential practices that promoted the opposite extreme, excessive mortification. Later, as he entered the Society of Jesus, he admitted “I am a piece of twisted iron” and “I entered religious life to get twisted straight.” Are there habits in your own life, no matter how holy, that might benefit from the virtue of moderation?
MEMORIAL OF ALOYSIUS GONZAGA, JESUIT PRIEST
TODAY’S READINGS: 2 Kings 19:9b-11, 14-21, 31-35a, 36; Matthew 7:6, 12 -14 (372). “Do to others whatever you would have them do to you.”
Wednesday, Jun 22, 2022
Make some noise
Paulinus of Nola was a fourth-century Roman poet before he converted to Christianity and became a bishop, which might hint at what inspired him to take the imaginative step of introducing the ringing of bells into church services. The psalms—sacred poetry—encourage us to “make a joyful noise to the Lord” (Ps. 98:4) and that is what bells bring to the life and liturgy of the church. A medieval handbell came to be known as a nola and steeple bells as campanas, from Campania, the region of Italy Paulinus oversaw as bishop. The clear, crisp tones of a bell at liturgy remind us that something sacred is in the air. Consider incorporating a bell into your own life of prayer and contemplation.
MEMORIAL OF PAULINUS OF NOLA, BISHOP
TODAY’S READINGS: 2 Kings 22:8-13; 23:1-3; Matthew 7:15-20 (373). “By their fruits you will know them.”
Thursday, Jun 23, 2022
Give birth to possibilities
Today is the Solemnity of the Nativity of Saint John the Baptist, one of the earliest feast days established in the church. John the Baptist is the only person outside of Jesus and Mary whose birth is honored with a feast day, indicating its importance. His unlikely birth to the aged Elizabeth has long been a popular subject for artists. It has miraculous parallels to the birth of Isaac (born to the aged Sarah and Abraham) and to the birth of Christ himself (born to a virgin). Let John’s birth remind you that God continuously brings forth life out of seemingly impossible situations.
SOLEMNITY OF THE NATIVITY OF SAINT JOHN THE BAPTIST
TODAY’S READINGS: Day: Isaiah 49:1-6; Acts 13:22-26; Luke 1:57-66, 80 (587). “Behold, one is coming after me, I am not worthy to unfasten the sandals of his feet.”
Friday, Jun 24, 2022
Don’t lose heart
It’s tempting to ditch traditional religious images because they can feel so unreliable today. They can leave us uttering “meh” instead of “amen.” But what happens when we look beyond the artistic style and focus on the symbolism itself? Take the Sacred Heart of Jesus. It is never portrayed as a perfectly pristine heart, untouched and unaffected. Instead, we see a heart that knows both deep suffering and sacrifice (the crown of thorns) and great love and passion (flames). Now that’s relatable! You can surf the web and find an image of the Sacred Heart that speaks to you and make it part of your prayer today.
SOLEMNITY OF THE MOST SACRED HEART OF JESUS
TODAY’S READINGS: Ezekiel 34:11-16; Romans 5:5b-11; Luke 15:3-7 (172). “The love of God has been poured out into our hearts.”
Saturday, Jun 25, 2022
Look to your heart
Today’s memorial focuses on Mary’s heart, a way of speaking of her profound internal life as depicted in scripture. Images of Mary’s heart often show it pierced by seven swords, representing the different sorrows she endured, from having to flee into Egypt with her infant son to having to witness his crucifixion and burial. Each of us has our own list of sorrows accumulated over a lifetime—griefs and losses we carry with us in our hearts. But Mary’s heart reflects much more than sorrow. It reflects her love for Jesus, her courage in accepting her calling, her resilience in the face of hardship. These qualities also live in your heart. In honoring Mary’s heart, you honor your own heart, too.
MEMORIAL OF THE IMMACULATE HEART OF THE BLESSED VIRGIN MARY
TODAY’S READINGS: Lamentations 2:22, 10-14, 16-19; Luke 2:41-51 (573). “And his mother kept all these things in her heart.”
Heyden Cahill is the daughter of Natalie Darling of St. Peter Church. She has been a Mustang for the majority of her schooling. She has played volleyball and basketball for five years as a Mustang. In the fall, she will be attending MHS with the future plans of going to cosmetology school. She would like to thank Mrs. McCoy for always helping her with things even if it was bad. She told me what I could do to fix it and encouraged me and made me feel better. Heyden’s awards include: Emily Dickinson Perspective Award, Song leader award, Bookworm, Shakespeare Triple Threat Award, the Cytoskeleton Award, Catechism Scholar Award, Principal’s Honor Roll- Fourth Quarter Teachers’ choice for Most Likely to be on a Magazine Cover, and 8th Grade’s Most Likely to Be Late.
Taylor Fann is the daughter of Scott and Mendy Fann of St. Peter. Taylor has been a Mustang for 12 years! She has played soccer, basketball and track for the Mustangs, while also enjoying taking the softball field. Her future plans are to become an elementary teacher. She will be attending MHS in the fall. Her advice to future students is to never give up, it will get better. Taylor received the following awards: Area Award, Sketch Day, PE Award, Shakespeare Triple Threat Award, Emily Dickinson Perspective Award, Bookworm, Catechism Scholar, the Stage Crew Award, the Human Heart Award, History Buff Award, Pastors Honor Roll Fourth Quarter, Teachers’ Choice for Most Involved and 8th Grade’s Most Athletic.
Anthony Granados is the son of Manuel and Sandra Granados of St. Peter. Anthony joined the SPCS family in kindergarten. He has also played soccer for seven seasons. He plans on attending Marshall High in the fall and wants to go into the IT field. He would like to thank Ms. Kennedy, Mrs. McCoy and his friends for being there for him throughout this year. Anthony received the following awards: Citizenship Award, Orwell Award for Outstanding Essayist, Rowling Vocabulary Mastermind, the Audiology Award, Teachers’ Choice for Class Yoda (the wisest of them all), 8th Grade’s Most Likely to become a Professional Athlete.
Diego Lemus is the son of Ricardo and Ava Lemus. Diego started St. Peter at the age of four and has played soccer for the Mustangs. Diego plans on attending Marshall High School in the fall and wants to work in construction. His advice to future students is to make smart choices. Diego received the awards: Thoreau Award Outstanding Researcher, Song leader award, Server Award, the Adaptation Award, Teachers’ Choice for Best Procrastinator, 8th Grade’s Best Person to Share a Deserted Island with.
*NEW MASS TIMES*
Starting July 1
| Day | Time | Location |
|-----------|----------|------------|
| Saturday | 4:00 PM | in Slater |
| | 5:30 PM | |
| Sunday | 9:00 AM | English |
| | 11:00 AM | Spanish |
| Monday | No Mass | |
| Tuesday | 5:30 PM | in chapel |
| Wednesday | 8:00 AM | in chapel |
| Thursday | 8:00 AM | in chapel |
| Friday | 8:00 AM | in chapel |
Feast of the Immaculate Heart of Mary
Weekend of June 25-26
The Diocese of Jefferson City is consecrated to the Immaculate Heart of Mary. To encourage a greater participation in the celebration of this patronal feast day, Bishop McKnight has mandated the transfer of the Memorial of the Immaculate Heart of Mary from Saturday June 25, 2022 to Sunday June 26, 2022, replacing the 13th Sunday of Ordinary Time.
The love of Mary’s heart is meant to be a model for the way we all should love God. The fact that her heart is immaculate, that is sinless, means that she is the only fully human person who is able to really love God in the way that he should be loved. Through this devotion we recognize her extraordinary holiness and the immense love she bestowed on Jesus as his mother, the person who was called to share in and cooperate in his redemptive sufferings.
Couples Retreat: Love and Life
Love and Life, is a one day retreat where couples explore the truth and beauty of marriage and God’s plan for them. It will be held Sept. 3, from 9 am to 4 pm, at the Chancery in Jefferson City, 2207 W. Main St. This retreat will help couples renew their bonds through presentations and periods of prayer. It has helped hundreds of couples reconnect and appreciate each other, their relationship, and their marriage. **This retreat is open to all couples (married, engaged & unmarried).** Mark your calendars now. Registration for this event is required and more information will be provided as soon as it becomes available.
Congratulations on your wedding
Joseph and Dani Wandell
May God’s love be with you and guide you!
Felicitades en su boda
Juan Cantor y Angelica Fajardo
Que la luz del Señor guíe su camino.
COMMUNITY GARDEN VOLUNTEERS NEEDED!
Come volunteer to help with the community garden. We will be there Mondays and Thursdays @ 9:00AM, except on major holidays or rain.
Contact Jann Bethel @ 660-631-4981
WE ARE CURRENTLY IN NEED OF A TILLER IF ANYBODY HAS ONE THEY CAN DONATE. Thanks!
WHAT IS ORDINARY TIME?
The Easter Season came to an end on the Feast of Pentecost and now we have entered Ordinary Time. But what exactly does that mean?
Christmas Time and Easter Time highlight the central mysteries of the Paschal Mystery, namely, the incarnation, death on the cross, resurrection, and ascension of Jesus Christ, and the descent of the Holy Spirit at Pentecost. The Sundays and weeks of Ordinary Time, on the other hand, take us through the life of Christ. This is the time of conversion. This is living the life of Christ.
Ordinary Time is a time for growth and maturation, a time in which the mystery of Christ is called to penetrate ever more deeply into history until all things are finally caught up in Christ. The goal, toward which all of history is directed, is represented by the final Sunday in Ordinary Time, the Solemnity of Our Lord Jesus Christ, King of the Universe.
EL DON DE LA EUCARISTÍA
Hoy escuchamos cómo Abraham se encuentra con Melquisedec “rey de Salem... y sacerdote del Dios Altísimo” (Génesis 14:18). Melquisedec no se menciona en otra parte de las Escrituras, pero sin embargo es significativo. El salmo 110 declara del importante rey David: “Tú eres sacerdote para siempre, en la línea de Melquisedec”, una descripción que más adelante se da (en la carta a los hebreos) de Cristo como Sumo Sacerdote.
Los primeros cristianos veían en el pan y el vino de Melquisedec el pan y el vino de la Eucaristía; el relato de Pablo de la Última Cena (en la segunda lectura de hoy) es el más antiguo del Nuevo Testamento. En el Evangelio, Lucas describe a Jesús dando pan a una multitud con palabras similares a las de Pablo, palabras que todavía utiliza la Iglesia: Jesús toma el pan, ofrece palabras de acción de gracias y lo parte. Juntas estas tres lecturas revelan cómo el sacerdocio cristiano, la presencia real de Cristo y la llamada a servir a los pobres y marginados se encuentran en el don de la Eucaristía.
HIGHLIGHTS ON FORMED
The Wild Goose, for individual or small group study, prepares the faithful for Pentecost on June 5. The name derives from the term the ancient Celts used for the Holy Spirit, the “Wild Goose.” Unlike the more familiar images of a flickering candle or a dove, the Wild Goose captures the untamed power of the Third Person of the Blessed Trinity. With our consent, the Holy Spirit can lead us to a place of mercy, healing, and peace.
In this 14-part series from 4PM Media and The Ministry of the Wild Goose, nationally known author and speaker Fr. Dave Pivonka, T.O.R., leads you on an unforgettable journey into the very heart of God.
The Wild Goose is available in both English and Spanish.
THE GIFT OF THE EUCHARIST
Today we hear how Abram encounters Melchizedek, “king of Salem . . . and a priest of God Most High” (Genesis 14:18). Melchizedek appears nowhere else in scripture, but is nonetheless significant. Psalm 110 declares of the great King David, “You are a priest forever, in the line of Melchizedek,” a description later given (in the letter to the Hebrews) to Christ as High Priest.
Early Christians saw in Melchizedek’s bread and wine the bread and wine of the Eucharist; Paul’s account of the Last Supper (in today’s second reading) is the oldest one in scripture. In the Gospel, Luke describes Jesus providing bread for a crowd in words similar to Paul’s, words still used by the Church: Jesus takes bread, gives thanks, breaks it. Together, these three readings reveal how Christian priesthood, Christ’s Real Presence, and the call to serve those in need are all found in the gift of the Eucharist.
Copyright © J. S. Paluch Co.
Thank you for advertising in our church bulletin. I am patronizing your business because of it!
Your ad could be in this space!
---
**ARTH’S BODY SHOP**
207 E. Label
Marshall, MO 65340
Gary Arth Repairing
“If It’s Banged Up, We’ll Fix It!”
(660) 886-3933
---
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Water Softeners, Drinking Water Filters, Bottled Water & Coffee Service
www.culliganno.com
660-827-2770
---
**Snip-n-Clip Family Haircut Shop**
807 Cherokee Dr. Suite 3
Cynthia Henke Owner/Manager
(660) 886-7159 Walk-in Welcome
Tue-Fri 8AM - 2:15 PM
---
**McDonald’s**
931 W. College
Marshall, MO 65340
660-886-9030
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**Blumhorst Veterinary Hospital**
Small Animal Medicine, Surgery and Radiology
Dr. Thomas Blumhorst, DVM Dr. Jeremy Blumhorst, DVM
(660) 886-5536
618 N. Miami Ave. Marshall, MO 65340
---
**NOTARY PUBLIC and Loan Signing Agent**
Lila Baschieri
480-720-1924
firstname.lastname@example.org
---
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Poy J. Elfrink, M.D.
General Surgeon
660-886-7151 Ext. #15
---
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660-631-5280
www.alsbox.net
---
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Saline County Agent
Agribusiness Specialist
Alfonso Medina
Licensed Sales Agent
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605 Cherokee Dr., Ste. 6
Marshall, MO 65340
(660) 886-2458
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|
Sustainable Development: Perspectives from the Alumni Sustainability Roundtable
Edited by Kai Hockerts and Luk N. Van Wassenhove
INSEAD Social Innovation Centre
Introduction
From the editors 4
Kai Hockerts and Luk N. Van Wassenhove
From the Alumni Steering Board 7
Ton Doesburg
Acknowledgements 9
1 The Responsibility of Firms
1.1 The good company – vision or illusion? 13
Vivienne Cox
1.2 Keeping better company 20
Hélène Ploix
1.3 Hardwiring and softwiring corporate responsibility – a vital combination 25
Monique De Wit
1.4 Iberdrola: reinventing energy 41
Lourdes Casanova and Maria Gradillas
## Interacting with NGOs
2.1 Humanitarian operations and corporate responsibility 51
Luk Van Wassenhove and Rolando Tomasini
2.2 Understanding, avoiding and managing NGO campaigns against corporations 58
Michael Yaziji
2.3 Who is your enemy? Lafarge, NGOs and the Harris superquarry campaign 66
Alastair McIntosh and Michel Picard
2.4 Strategic philanthropy at Randstad 78
Kai Hockerts and Anthony Westenberg
## Corporate Responsibility in Developing Countries
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry 91
Noshua Watson
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank 101
Arvind Singhal, Peer J. Svenkerud, Prashant Malaviya, Everett M. Rogers and Vijay Krishna
Introduction
Today, managers increasingly accept the role of sustainable development in creating competitive advantage. Sustainable development encompasses a wide range of topics such as environmental management, social responsibility, corporate philanthropy and social entrepreneurship. It is therefore not surprising that, over the past decade, sustainability has become a ‘leitmotiv’ in leading business schools. It is the ambition of INSEAD to lead this transformation in its teaching, research and outreach efforts. While some aspects of this debate are new, many elements have been around INSEAD for a long time. The roots of research programmes on the Management of Environmental Resources, Business Ethics and Humanitarian Initiatives go back as far as the late 1980s and early 1990s. However, only recently have these diverse streams come together, finally reaching critical mass in the creation of the Insead Social Innovation Centre in September 2007.
The INSEAD alumni community’s unwavering support and interest has been an important engine fuelling the eventual creation of the Centre. A crucial event was the launch of the INSEAD Alumni Sustainability Roundtable, a workshop series initiated by four French alumni in 2001. What started small has since attracted over 500 participants to 20 roundtables, highlighting both INSEAD research as well as practical experience from the INSEAD alumni community. We are very thankful to INSEAD’s alumni for their participation in these events and in particular acknowledge the 10 members of the Roundtable Steering Board for their enthusiasm and financial support of the series.
This book provides a cross section of the topics discussed over the last six years at Roundtable meetings, highlighting diverse contributions such as practitioner commentary, academic research and in-depth case studies. From the 50 keynote speakers of the past six years we have selected 10 presentations that we found to be both impactful and representative of the type of discussions held at the Roundtable.
The chapters in Part 1: The Responsibility of Firms are generally concerned with the strategic question of why firms should engage in corporate responsibility and how they can best do so. In other words, what constitutes a ‘responsible’ company and how can managers work towards creating it?
– Vivienne Cox (Chapter 1.1) proposes two sides of a continuum between which the definition of a ‘responsible company’ may lie. Either we are satisfied with profitability as the only purpose of the firm, or we see companies as vehicles to achieve social change, thus requiring managers to use corporate funds to advance a societal agenda. In practice, managers have to identify a position between these two extremes. As Group Executive Vice President of BP, Vivienne (MBA ’89) explores the issue using the example of BP’s activities in the area of solar and alternative energy.
– Hélène Ploix (Chapter 1.2), also an alumna of INSEAD (MBA ’68), and Chairperson and CEO of the French private equity firm Pechel Industries, focuses particularly on corporate governance as a major mechanism to obtain a ‘responsible company’. She finds that most privately held companies do not understand the benefits of open and transparent corporate governance. She details the crucial role that integrity, accountability,
transparency, risk management and reactivity can play in building trust between a firm and its stakeholders, thus building a stronger position.
– Monique De Wit (Chapter 1.3) stresses the importance of both ‘hardwiring’ (i.e., embedding sustainability through management systems and tools) and ‘softwiring’ (i.e., routinising sustainability through communication with and training of employees). She emphasises in particular the importance of kindling and maintaining intrinsic motivation to achieve corporate sustainability.
– Lourdes Casanova (Chapter 1.4), Senior Lecturer in Comparative Management at INSEAD and Research Associate Maria Gadrillas provide findings from a case study on the Spanish energy company Iberdrola. They document forcefully how the firm’s top management has made green energy one of its key development goals, thereby propelling Iberdrola to the top spot in sustainability rankings of the utility industry.
Part 2: Interacting with NGOs turns the focus upon one particular challenge firms face when engaging in corporate sustainability, namely how to interact with the NGO world. Stakeholder relations can become particularly hard to handle when managers are confronted with aggressive activist NGOs. However, as Chapters 2.1 and 2.4 show, even well-meaning corporate action can be challenging if the goal is to achieve maximum impact.
– Luk Van Wassenhove (Chapter 2.1), the Henry Ford Chaired Professor of Manufacturing and Academic Director of the INSEAD Social Innovation Centre, and Research Associate Rolando Tomasini have contributed several times to the Roundtable series. In this chapter they introduce readers to their long-standing research programme on humanitarian organisations. Using the example of the ‘Moving the World’ partnership between the World Food Programme (WFP) and TNT, they demonstrate the potential as well as the possible friction in partnerships between for-profit firms and not-for-profit organisations.
– Michael Yaziji (Chapter 2.2), an alumnus of INSEAD’s PhD programme (PhD ’04) and currently professor at IMD, extends the theme of interaction with NGOs by looking particularly at the reputational risks firms run when being attacked by activists. He details different types of NGO campaigns and their motivations, finishing with concrete research findings on how firms can best manage their relations with aggressive NGOs.
– Alastair McIntosh (Chapter 2.3), himself an activist and researcher, has contributed a chapter together with INSEAD alumnus Michel Picard (MBA ’81), initiator of the INSEAD Sustainability Roundtable and member of its Steering Board, describing how their relationship moved from outright hostility towards a more conciliatory partnership. With Michel representing Lafarge as its Vice-President of Environment and Public Affairs, and Alastair an opposing alliance of environmental NGOs, their account of Lafarge’s plans for a superquarry on the Scottish isle of Harris highlights the difficulties that had to be overcome in order for the two sides to dance together.
Kai Hockerts (Chapter 2.4), of Copenhagen Business School, and Anthony Westenberg from Randstad, recount how Frans Cornelis, INSEAD alumnus (MBA ‘83) and member of the Sustainability Roundtable Steering Board, headed a programme to streamline Randstad’s corporate philanthropy efforts. They explain how Frans selected Voluntary Services Overseas (VSO) as a partner, and how the relationship has evolved over time.
An important recent sub-theme of corporate sustainability is the challenge of extending it to developing countries. Part 3: Corporate Responsibility in Developing Countries provides two examples of how firms can tackle this challenge.
Noshua Watson (Chapter 3.1), INSEAD doctoral student, tells the story of MAS Holdings, a Sri Lankan supplier in the intimate apparel industry, whose traditional corporate social responsibility activities came under pressure in an increasingly difficult and competitive market environment. Bucking all trends, MAS decided to step up its CSR engagement, using it as a means to differentiate itself from leading lingerie brands in the developed world.
Prashant Malaviya (Chapter 3.2), Professor of Marketing at INSEAD, and his co-authors Arvind Singhal, Peer J. Svenkerud, Everett M. Rogers and Vijay Krishna close the book with an example of what Prahalad and Hart have coined ‘base of the pyramid’ (BOP) innovation. The chapter outlines the foundation and growth of GrameenPhone, a joint venture between Norwegian telecommunications company Telenor and the Bangladesh-based Grameen Bank.
The chapters in this book provide a glimpse of the broad range of sustainability topics covered within the INSEAD community. Be it INSEAD research or teaching, or their practical applications by INSEAD alumni in the context of their daily work, sustainability is a broad field with many different facets. We hope that this book provides readers not simply with an appreciation of what we have achieved in the past years but also sharpens an appetite for more. We are aiming to grow the Roundtable series and look forward to extending its reach beyond the boundaries of the INSEAD community.
As editors, we are proud of the achievements of the Alumni Sustainability Roundtable over the past years. We wholeheartedly thank the INSEAD alumni community, particularly the Roundtable Steering Board, for encouraging and enabling this unique series of meetings, as well as this engaging book.
Kai Hockerts and Luk N. Van Wassenhove
INSEAD, Fontainebleau, June 2008
Thirty years ago issues such as social responsibility, environmental protection and corporate philanthropy were rarely covered in the INSEAD curriculum. This has changed fundamentally. The launch of the INSEAD Social Innovation Centre in 2007 is living testimony to the importance the school now gives to sustainability issues in its research and teaching.
We are happy that the alumni community has contributed to this transformation through the Alumni Sustainability Roundtable. Bringing together INSEAD alumni, faculty and members of civil society, the Roundtable has convened 18 times over the past five years and has been instrumental in honing our understanding of the challenges faced by today’s managers.
This book compiles selected papers discussed at those meetings. The presentations from INSEAD alumni (Vivienne Cox, Hélène Ploix, Michel Picard, Michael Yaziji), INSEAD faculty and researchers (Luk Van Wassenhove, Lourdes Casanova, Prashant Malaviya, Joshua Watson, Maria Gradillas, Rolando Tomasini), as well as invited guests (Monique deWit, Alastair McIntosh, Kai Hockerts), provide a cross section of sustainability topics discussed in the Roundtable series.
What started in 2003 as a project by four French alumni has grown into an international forum with over 300 alumni participants from around the world, keen to interact on themes such as social innovation, sustainable development and corporate social responsibility with the INSEAD community. The initiative has been structured and financed by a Steering Board comprising 10 alumni from Belgium, France, Greece, the Netherlands and Switzerland.
The Steering Board has three main goals:
1. To educate INSEAD alumni through the Alumni Sustainability Roundtable and other outreach activities.
2. To conduct events and manage relationships with our alumni in cooperation with the INSEAD Social Innovation Centre.
3. To engage leaders in business, politics and civil society in the activities of INSEAD and its alumni community and help establish INSEAD as a centre of excellence for social innovation
We are currently involved in the expansion of the Alumni Sustainability Roundtable at the global level. An Asia Roundtable is due to be launched in 2008 with the goal of providing a similar hub for interested alumni on INSEAD’s Singapore campus. Further roundtables are envisioned for the Americas as well as for the Middle East. We also plan to develop personal ties with major alumni associations and use them as contact points to arrange at least one event a year co-sponsored by the Roundtable in each country.
Feel free to join us for some or all of these activities, or volunteer to arrange similar meetings through your local alumni association. We look forward to meeting you soon.
Ton Doesburg
Chairman, INSEAD Alumni Sustainability Roundtable
On behalf of the Alumni Steering Board
Alumni Sustainability Executive Roundtable Steering Board Members
Top row, left to right
Yves Bernheim (MBA '83J)
Président
IRH Environnement
E-mail: firstname.lastname@example.org
Frans Cornelis (MBA 83J)
MD Corporate Communication & Branding
Randstad Holding NV
E-mail: email@example.com
Ton Doesburg (MP, IEP, FE 78, 80, 02)
Managing Director
Nuon Deutschland GmbH
E-mail: firstname.lastname@example.org
Ewoud Goudswaard (MBA '88)
Managing Director
ASN Bank
E-mail: email@example.com
Nordine Hachemi (MBA 92D)
Directeur Général Délégué
SAUR
E-mail: firstname.lastname@example.org
Bottom row, left to right
Jacques Halperin (MBA 75)
Managing Partner
Alvarez & Marshal
E-mail: email@example.com
André Hoffmann (MBA 90)
Vice Chairman Roche Holding
c/o Massellaz
E-mail: firstname.lastname@example.org
Ulysses Kyriacopoulos (MBA '77)
Chairman
S&B Minerals
E-mail: email@example.com
Michel Picard (MBA 81)
Directeur de l'Environnement
Lafarge
E-mail: firstname.lastname@example.org
Anthony Simon (MBA 68)
President Marketing
Unilever Bestfoods
E-mail: email@example.com
Acknowledgements
About the INSEAD Social Innovation Centre
Founded in 2007, the INSEAD Social Innovation Centre is an inclusive platform for cross-disciplinary research and engagement in the area of social innovation. The Centre brings together a diverse group of leading INSEAD research teams focused on the innovation of business models and market-based mechanisms that deliver sustainable economic, environmental and social prosperity. This research is disseminated in our educational programs and forms a basis for collaboration with students, alumni, companies, NGOs and other organizations, establishing an open community through which we can have a real impact.
At its formation, the Centre joined forces with the Alumni Sustainability Roundtable to collaborate on events as well as projects such as this eBook. The relationship is a success, and we’ve both had a greater impact in our missions.
You can learn more about the INSEAD Social Innovation Centre and the Alumni Sustainability Roundtable at http://www.insead.edu/isisic.
Megan Pillsbury, MBA’07J
Executive Director, INSEAD Social Innovation Centre
The authors and publisher, the INSEAD Social Innovation Centre, would like to express their gratitude to:
- Hazel Hamelin for her editing
- NB Studio for their design
- Audrey Gordo for her production work
- Scott Hammen for his project supervision
The Responsibility of Firms
1.1
The good company – vision or illusion?
Vivienne Cox, INSEAD MBA '89
Group Executive Vice President, BP, UK
1.2
Keeping better company
Hélène Ploix, INSEAD MBA '68,
Chairman and CEO, Pechel Industries, France
1.3
Hardwiring and softwiring corporate responsibility – a vital combination
Monique De Wit, Sustainable Development/HSE Advisor,
Shell International B.V., the Netherlands
1.4
Iberdrola: reinventing energy
Lourdes Casanova, Lecturer,
and Maria Gradillas, Research Assistant, INSEAD, France
The good company — vision or illusion?
Vivienne Cox, INSEAD MBA ’89
Group Executive Vice President, BP, UK
As someone who strongly believes that business can be a powerful force for good in the world, it is frustrating to find that the potential of companies to deliver benefits for society continues to be questioned. Yet, as business people, we have to accept that trust in business remains at a low level. In the late 1970s, a MORI poll found that the British public agreed by two to one that the profits of large companies help their customers. Now they disagree by two to one.
It is important to turn public opinion round once again, because lack of trust corrodes relationships, and without strong, constructive relationships – with customers, communities, governments and non-governmental organisations (NGOs) – it is hard to fulfil our potential as businesses. However, we can only rebuild trust if people understand our purpose, and understanding requires a common appreciation of what business is for. It is, therefore, important to clarify the proper role of business, and indeed the proper role of profit, and that means explaining why – and how – business can be ‘good’. So let me try to do this from BP’s perspective.
First we need to define what ‘good’ means for a business.
What is a ‘good’ business?
We could take the view that ‘good’ simply means legal compliance – that the only goal of business is to make profits and its only constraint is to observe the law. That would result in businesses whose behaviour was indeed legal, but also, in my view, deeply irresponsible because such a definition excludes any sense of responsibility to have a positive impact on society. It also ignores any concept that the way companies behave can be guided by their own set of values rather than simply by the external boundaries set by laws and regulations.
On the other hand, one could take the view that ‘good’ means devoting the company to philanthropy – that the only goal is to promote human progress, regardless of profit, and therefore to channel shareholders’ funds into a series of non-profit projects. That would also be deeply irresponsible. Those shareholders would quickly desert the business and it would fail, along with its good intentions.
These two definitions are clearly at either end of a broad spectrum. Perhaps a more widely held middle view is articulated by those who say that companies should ‘do business in a responsible way’. That is, they should make a profit but do more than the law requires, for example on issues such as safety or terms of employment, while also making a range of community investments. This is sometimes linked to the portmanteau concept of corporate social responsibility (CSR).
On the face of it, this sounds very reasonable. My concern, however, is that it can very soon lead to a false dichotomy between the core business on the one hand and the exercise of responsibility on the other. CSR becomes a separate discipline, like marketing or finance. And if responsibility is seen merely as one aspect of business, what does that make the rest of it – irresponsible? Soon the implication becomes that CSR is some kind of sideline tacked onto companies to atone for the supposed moral deficiency of the core business.
However, in reality, the core business is precisely where responsibility should start. Responsibility should not be a part of business, but the heart of business. Our whole aim as business people should be to make business
a positive, responsible, constructive force in society, and that is not incompatible with profit. A good business, in my view, is one that generates a profit by satisfying human needs. It makes a profit by making a difference, which means satisfying a range of needs. At a minimum, this will be the shareholder’s need for a return and the customer’s need for a product, but in many cases it will include other needs that arise from the particular circumstances of a given product or sector.
In energy, for example, our challenge is not just to meet demand but to do so in a way that is sustainable for the environment and addresses concerns over security of supply as well.
In the consumer goods sector, many businesses now not only focus on meeting demand in the OECD world, but also look for ways to meet the same needs in the developing world, for instance creating products that help to alleviate poverty and bring development to low-income communities.
What this then means is that a good company tends actively to direct its activity towards difficult issues and challenging markets – the low-carbon market or the low-income community – rather than staying in its comfort zone. However, the quid pro quo is that there is often great opportunity in those difficult areas. They tend to be where future markets lie.
Think of a company you regard as great in the long-term sense: one of the world’s great enterprises. Do you know what its profits were last year? Or its capital expenditure? I suspect that in many cases you will not. You will know simply that the company you were thinking of made a profit – because it always does. But that was not why you thought of it as great. We judge greatness by something more than profit. We judge greatness by the company’s contribution to human progress, by its innovations, by its conduct as an employer – in short, by what it contributes to fulfilling human needs.
So, being a good company is not an illusion. It is a vision worth pursuing and, I hope, often a reality as well.
However, that only answers the question in general terms, and defining what a company should do is relatively simple. Doing it is much harder. The more needs you try to meet, and the greater those needs are, the more you narrow your options and the more difficult it becomes to pinpoint the exact nature of the business opportunity.
Meeting a range of needs
Nonetheless, there are many companies who are managing very successfully to meet social and environmental needs as they meet demand for their products and services.
For example, there are those businesses creating Fair Trade products from sustainable sources. Delta Cafés, based in Portugal, have created a premium brand coffee called Delta Timor. This is the result of the company’s work in helping to rebuild East Timor’s coffee industry, with significant investment in training. It is playing a part in enabling the country to recover from the conflict of the late 1990s. Today, if you buy a top-of-the-range Mercedes, it may well have headrests containing coconut fibres once discarded as useless by Brazilian farmers. The discovery of this application for coconut has provided DaimlerChrysler with a cost effective source of supply and provided the farming communities of the Amazon region with an improved livelihood that does not involve slashing and burning the rainforest.
1.1 The good company – vision or illusion?
Other companies are tackling poverty through microfinance systems, which provide loans to small businesses. These include Deutsche Bank, ABN AMRO, Citigroup and many others, including some not from the financial sector. In fact, BP supports microfinance programmes in Angola, Azerbaijan, Colombia, Georgia, Trinidad and Tobago and Vietnam.
Other businesses are focusing on bringing local people into their supply chains – using the company as a dynamo for economic growth. Coca-Cola creates opportunities for thousands of people to work as its vendors and distributors in countries such as South Africa and Vietnam, where the system enables thousands of women to escape poverty by setting up their own businesses.
In BP, we have begun to look at designing innovative solutions to serve the unmet energy needs of the millions of households in developing countries that lack access to safe and clean energy options. We are currently working towards beginning a trial in India that will involve marketing biomass pellets and liquid petroleum gas (LPG) in conjunction with a pioneering combined biomass and LPG stove. This is both a cleaner and healthier alternative to traditional biomass usage and something that will provide local people with the opportunity to work as distributors.
In many cases, expert NGOs play an important role providing the local knowledge and understanding that companies lack when they enter an unfamiliar market.
It is not simple to generate one’s profits by meeting a range of differing human needs. We have confronted these challenges in BP, and two case studies from our experience may help to demonstrate the issues involved.
Solar energy in the developing world
The first example is one in which our product not only meets the demand for energy, but helps to:
- protect the planet;
- promote development;
- improve health and education.
The project in question is one of the largest of our solar projects in rural parts of the developing world. In this case, it is bringing solar power to a group of villages in the Philippines. It is called SPOTS – the Solar Power Technology Support project.
Around four years ago, we took a hard look at our solar business, a business that had never been profitable. We faced up to the fact that it needed to become profitable in order to grow. Without profitability, BP Solar would never be treated on an equal basis with other businesses in BP and secure the capital to expand. It would remain as a non-core activity and would be derided externally as greenwash. It had to be a real business. So we ceased all non-core activity and we focused on the most promising products and markets.
One question here was whether we should only focus on developed world markets in Europe and the US, or whether we could continue to provide solar power to remote rural areas of the developing world. Solar has great potential to assist development. Not only can it bring power to communities among the two billion or so who do not have access to electricity, but it can do so in a way that creates no carbon emissions and has no impact on air quality. The challenge is to make such projects viable, given that low-income communities can themselves rarely afford the cost.
Instead of moving away from developing-world projects, we decided to focus on projects that met particular criteria. The criteria were that the projects needed to be:
- large-scale;
- widely beneficial;
- technically achievable;
- fully funded by aid agencies, international bodies or governments.
We also decided to put a local member of staff in charge of any new project. We realised that local employees were better placed to make the project successful because of their understanding of the needs and mindsets of our customers in their own part of the world.
If solar power is to fulfil its true potential to bring energy to millions of people in developing countries, then it has to be sustainable in business terms – and therefore profitable.
Some may ask why, as a large and profitable oil company, we believe it is acceptable to set funding as one of the criteria for projects. In essence, there are two reasons.
1. The fact that a government is providing aid is a sign that the project is worth doing – it will have been fully assessed and identified as really beneficial to the community.
2. If solar power is to fulfil its true potential to bring energy to millions of people in developing countries, then it has to be sustainable in business terms – and therefore profitable.
We do fund some projects from our community investment budget, for example in Angola, but progress at scale is going to come from developing a robust economic model for such projects worldwide.
One project that fits our criteria very well is the SPOTS project in the Philippines: the biggest rural solar initiative in the world. It is a €21m project funded by the Spanish government, which benefits around 400,000 people in over 80 communities. It involves over 5000 home systems and 500 public ones. Its benefits include refrigeration for medicines, clean drinking water and irrigation for farmers.
As a result of the programme:
- water-borne diseases have been virtually eradicated;
- power has enabled people to work during more hours of the day;
- street lighting has helped to cut crime.
In addition local people have been trained to maintain systems and it’s all zero-carbon.
We have several large-scale projects like SPOTS, in countries including Sri Lanka and India. There are also several other energy and power companies in the same field. It is a growing market but it is one that needs coordination at international level to bring in funds, bring down costs and spread the learning that comes from experience.
Over time, as costs come down, it may be that rural communities are more able to finance solar power themselves, especially where it is an economic investment for them, as it is for example for farmers who can increase their income by using solar pumps to irrigate their land.
BP Alternative Energy – the outcome of ‘collective intelligence’
The second case study follows directly on from the efforts we made to build a profitable and credible solar business, not only through our insistence that projects in developing countries need to be viable, but also through:
- a rigorous focus on our best products;
- sustained marketing campaigns in the developed world.
Our solar business has become an integral part of something bigger – a business that promises to offer part of the solution to the complex problem of how to address climate change and provide secure, sustainable energy for the future.
This business is called BP Alternative Energy and it brings together the different strands of our work in low-carbon power generation. It includes:
- the solar business – which we plan to triple in capacity over the next three years;
- our wind power business – which is currently small in industry terms, but which we plan to grow more than ten-fold in capacity terms in three years;
- our gas-fired power station business – that includes stakes in plants with a combined capacity of 12 giga-watts, enough to power 11 million homes;
- something very new in the shape of hydrogen power stations that are linked to the capture and storage of carbon dioxide – with projects being planned in Scotland and California to convert natural gas or petroleum coke into hydrogen and carbon dioxide. The hydrogen will be used to generate low-carbon power, while the carbon dioxide will be injected underground where it can be used to help force oil out of mature oil reservoirs.
These two planned power plants would together generate enough power for over 800,000 homes and eliminate over five million tonnes of carbon dioxide emissions; equivalent to removing over a million cars from the road.
This is a very exciting business, one in which we plan to invest $8 billion over the next decade. It is by every definition a ‘business’ – designed to make a satisfactory return – but it is also a business positioned to promote progress by being directed towards the growing low-carbon market. Power is the world’s largest source of greenhouse gas emissions – producing roughly twice as much as transport – and we believe that governments and utilities will increasingly look to generate power in ways that limit carbon emissions. This business will provide the tools to do that at scale.
As already noted, it is not simple to develop business opportunities that help to resolve environmental and social issues. In the case of BP Alternative Energy, it was very much the result of creating a process that enabled many people to contribute their ideas, experience and expertise. The challenge was to release the power of what we sometimes call the ‘big brain’ – the collective wisdom of the organisation.
The critical point was a two-day meeting where we all got away from the office and held what we called a ‘stratfest’ – a very open look at our strategy as a business. There were certain characteristics that I think made this event distinctive. On the one hand, we tried to get away from traditional business agendas and tools. On the other, we did not skimp on data and detail.
1.1 The good company – vision or illusion?
It was a blend designed to mix inspiration with application. We provided extensive data and background information in a book which had on its cover a quotation from Mark Twain: “Twenty years from now you will be more disappointed by the things you didn’t do than by the ones you did do. So throw off the bowlines. Sail away from the safe harbour.”
As I opened the event, I said it was not – in the first instance – about convergence but divergence: hearing all of the different points of view. It was not about getting to a quick answer because quick answers are not always the best answers. It was about keeping open to ideas, listening and using the collective experience in the room.
We had no agenda in any formal sense. In fact, it was visually presented as a winding road, open to diversions.
We started by looking at clips of world leaders, setting out the multiple needs we were trying to meet:
- Chinese President Hu Jintao saying how China aimed to quadruple its GDP over 20 years while only doubling energy consumption;
- US President George W. Bush talking about reducing dependence on imports;
- British Prime Minister Tony Blair talking about the role of technology in reducing emissions without reducing economic growth.
Instead of linear briefing papers we used large and very detailed posters of each of the business areas we were examining that captured key elements of the story in words, data and pictures. Instead of minutes we had an artist who drew cartoons to sum up what we had covered. We also had a huge map of the world showing ‘world needs’. For each region of the world, this map showed the GDP and energy needs now and in 2025, with pictures of the resources and energy that the country had. This allowed our discussions in the meeting to focus on the important needs that exist in different regions.
Sessions in the meeting were planned, but not structured, and everyone was given space to think and contribute because no specific outcomes were required.
Some of the quotes from the final cartoon give a flavour of what we had arrived at. They said things like: ‘A great two days’; ‘An integrated view’; ‘Convergence through power’; ‘We need to support each other’ – and that, in its simplest form, was the answer.
The solution was to create a business that:
– is not defined by the resource it produces or uses, but by the use to which it is put;
– is defined in terms of the customer’s need rather than the producer’s product.
In this case, the market is the generation of what we originally called ‘green power’ – low-carbon energy generated from gas, solar, wind and hydrogen – and traded around the world.
None of us would have come up with that solution alone – it was the result of applying our collective intelligence.
Business as an agent of change
Turning back to the broader theme, if business is to regain trust, it has to demonstrate how it is seeking to apply its collective intelligence in the cause of human progress. If those efforts are understood, then perhaps we can start to move away from the idea of big businesses as organisations that occasionally do some good,
1.1 The good company – vision or illusion?
Towards a vision in which business is seen as a major agent of change. Then we need to look not only at how we can be agents of change, but at the changes we can be agents of. What does the world need and how can business play a part in providing it?
Two of the key challenges I have discussed are climate change and poverty. I have discussed how businesses are already addressing these and we will doubtless do more in the future. There are many other challenges, such as water shortages, population growth and security issues.
We can be the motor if others help design the wider machine.
However, I want to finish by stressing that business cannot do it all. Our ability to make a profit and to make a difference is determined by others as well as ourselves.
- Will governments provide the regulation necessary to favour progressive products and services?
- Will customers understand the benefits of buying products that have social and environmental benefits?
- Will academics and NGOs contribute their expertise to help us find solutions and understand markets?
For example, in our sector:
- governments can encourage the market for clean energy;
- academics can help us to explore technologies;
- NGOs can provide expertise on markets, policy areas and environmental and social issues.
As businesses, we do not have the mandate of governments; we do not currently have the trust enjoyed by NGOs; and we do not have the specialised knowledge of academics. On the other hand we do have the resources and presence to make large investments and take risks on new technologies. We can be the motor if others help design the wider machine.
Together, we can be a formidable combination with a new level of capabilities. As Einstein said: ‘Our present problems cannot be solved at the level of thinking at which they were created’. In other words, we need to bring together the world’s collective intelligence to bear on finding sustainable solutions to major global issues.
That is why we need to:
- talk more closely with governments;
- work more effectively with academics;
- collaborate more with NGOs.
We need to build on what unites us rather than what divides us.
Above all, we need to attract people who want to be agents of change, and many of these may be people who might have once headed for the public or non-profit sectors. However, I hope we will increasingly demonstrate that a business can be a good place to be – in every sense. It is sometimes said that you can tell what a person is like by the company they keep. Equally, you can tell what a company is like by the people it retains.
So, yes, it is possible to be a good company. That is certainly BP’s aspiration. I am sure it is an aspiration shared by many. My hope is that the business leaders of tomorrow will increasingly be studying not only how they can make a profit, but also how they can make a difference.
The recommendations for good corporate governance came after a series of scandals in the business world, including:
- United Kingdom: Guinness – the books were cooked; Polly Peck – an acquisition which destroyed value for the shareholders but was supported by management for ego reasons;
- France: Vivendi and France Telecom – companies which became too heavily indebted after a spurt of acquisitions at too-high prices because their boards did not resist the desire of management to become bigger than the competition;
- USA: Penn Central, Enron and Worldcom – bankruptcies because the boards did not play their role.
These recommendations were mainly developed in the 1990s, although the existence of an audit committee was recommended in the USA in 1977 after the Penn Central bankruptcy, and the concept of non-executive directors or independent directors has existed for much longer in the USA and in the UK. Their implementation did not prevent another series of scandals in the early years of the 21st century. This is why it is so important to understand the principles, to abide by them, and not be satisfied that structures and processes can ensure good corporate governance.
**Corporate governance is about structures and processes.**
*Corporate governance*
Corporate governance has been defined as ‘The system by which companies are directed and controlled’ (Cadbury Report, 1992) and ‘Both the structure and the process of managing a corporation, so as to achieve these twin objectives: 1) ensuring the ongoing viability of the business, 2) enhancing long-term value for its shareholders (ICGN – International Corporate Governance Network). These definitions highlight that corporate governance is about structures and processes. It is expected that through these structures and processes, management and boards will respond better to what is required of them.
The principles of corporate governance were expressed by ICGN and have been restated by the Organisation for Economic and Cooperative Development in order to make sure that they will be applied by a majority of countries. These principles are responsibility, independence of the board, transparency, respecting shareholders’ rights and long-term view.
They are the base of the relationships between management and the board, and between the board and the shareholders. The objectives are to make sure that:
- the company organisation is efficient
- shareholders can influence management
- control mechanisms exist and perform.
The means to achieve these objectives are:
- a correct definition of the role and mission of the board
- the adequate choice of its members
- good balance between the powers of the CEO and those of the board, and the powers of the management of the company (CEO and board) and the rights of the shareholders.
**The board**
With the development of corporate governance, the board has become more involved in the strategic choices of the company. The board must challenge the company’s strategy; it must
devote specific time to reviewing the strategy and must approve every significant decision. The composition of the board, as well as that of its committees, must ensure independence of judgement. It should be composed of a majority of members without ties either to the organisation or management. The board members must be selected for their strength of character, their capacity to express their opinion, their competence, and their ability to devote enough time to exercising this responsibility.
In some countries, laws or the market authorities impose some of these aspects. For example, in France the participation of the board in the definition of company strategy is mandatory. A person cannot sit on more than five boards of French companies. In the UK, self-regulation prevails. A code sets the rules and companies must comply or explain.
**Committees of the board**
Committees of the board are created to enhance the work of the board. The various committees help ensure transparency and accountability of management vis-à-vis the board. It is recommended that there should be:
– a remunerations committee
– an audit committee
– a nominations committee.
It is required, depending on the country, that these be composed of independent directors who can challenge the views and proposals of management. They review in greater detail those company policies that are within their remit and that can have an impact on the performance of the company.
The remunerations committee decides on the remuneration of management in a very objective way. It must:
– define the executive directors’ contracts
– set management objectives
– decide on base salary and bonus, and on the criteria for allocating share options.
It also evaluates the executive directors' performance.
The audit committee reviews the accounts. It:
– holds private meetings with the auditors and with the internal controller in order to make sure that nothing is hidden
– reviews the organisation of controls in order to prevent fraud or misconduct.
The nominations committee evaluates the efficiency of the board. It:
– decides on the composition of the board
– prepares the plan for top management succession in a timely manner.
The shareholders' rights are respected if:
– the shareholders are given full information in due time
– there is no restriction on their voting
– major strategic decisions are proposed for their vote.
More recently, it has been required that top management:
– identify the risks that the company faces
– evaluate and disclose the risks
– report on the quality of the controls implemented to minimise the chances of the risks occurring.
**Companies are expected to be socially responsible**
A company has many stakeholders:
– shareholders
– employees
– the community it operates in
– suppliers
– clients
– the environment.
1.2 Keeping better company
Corporate governance focuses on the shareholders and value creation for them. Its principles were developed by institutional investors and market authorities. In the early 1990s, institutional investors discovered that the ‘Wall Street walk’ was not the solution for improving the performance of their portfolio if a company was doing badly. The size of their investment per company did not allow them to sell their shares with favourable conditions any more. They could not sell all their shares at once, because the sale would weigh on the share price and, consequently, the rest of their investment would suffer from the lower share price. CalPERS, the largest pension fund in the US, initiated the focus on corporate governance, and used to single out a few companies whose stock market performance was poor. It asked them to improve their governance, especially the composition and quality of the board. Sometimes, it even fought for the dismissal of the chairman. It then measured the outcome of this new governance and demonstrated that a company with good corporate governance was more likely to experience a healthier increase in share price.\(^2\)
A McKinsey survey of 200 institutional investors made in 2002 indicated that 80% would pay a premium for well-governed companies.
Today, other actors of good corporate governance have come into play, in particular the ethical funds. Their rating of companies takes into account not only the quality of governance, but also the policies vis-à-vis the marketplace, the workforce, the environment and the community. Some companies have understood that these policies and their implementation could have a significant impact on:
- their image and their reputation
- the motivation of their employees and their capacity to attract valuable people
- the trust of their customers
- and consequently on their share price.
Companies that have understood the importance of these policies have set up a board committee and a corporate social responsibilities committee to decide on the priorities of the company in this area, to supervise action plans and to make sure that the board as well as the whole organisation is involved and committed.
What was/is expected from leaders?
In a formal sense, Enron abided by the corporate governance recommendations. However, management attitude and behaviour did not. As Jonathan Charkham puts it: “If governance is not based on a foundation of executive integrity it may not be able to work. Structure is one thing, dynamics another… The better the “architecture” and process, the greater their chance of getting at the truth, but there is no guarantee that they will.”\(^3\) This is the reason why, while emphasising the necessity to manage companies with the objective of sound corporate governance, I insist on the importance of individual morality, and on the importance of making sure that management keeps a sound check on the level of acceptable risk and takes steps to mitigate risks. In other words, that checks and balances exist and operate well.
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\(^2\) A study by Wilshire Sensor VP Steven L. Nisbett 1994, updated 1995, (Journal of Applied Corporate Finance), was made on 42 companies targeted by CalPERS between 1987 and 1992. The stock price of these companies trailed the Standard & Poor’s 500 index by 66 per cent in the five-year period before CalPERS attempted to change their corporate governance practices and outperformed that index by 52.5 per cent in the following five years.
\(^3\) Charkham, J. *Keeping Better Company*. Oxford University Press, 2005
1.2 Keeping better company
In the past, business schools taught us that business leaders and managers were expected to:
- have vision – strategy was a key component of our classes
- have drive – charisma was an asset for a business leader in order to motivate managers and employees
- be wilful – *The Will to Manage* is the title of a well-known book by Marvin Bower, the founder of McKinsey.
These requirements still hold true and are major personal features looked for when searching for a manager. However, they are not considered sufficient any more. The criticisms most frequently heard are that top managers are greedy ‘fat cats’, too much business is fraudulent, and corruption is increasing. Too often their policies have a negative impact on civil society and/or on their employees.
More is required from business leaders. The numerous recent misdemeanours of senior officers, which have led their companies to bankruptcy, some managers to jail, and have obliged boards to dismiss their chairmen, are the main reason why updated expectations are made explicit. They are necessary to build the environment of trust between the company, its employees and all its stakeholders.
These expectations are:
- integrity
- accountability/responsibility
- transparency;
- sound risk management
- reactivity.
As I said earlier, these are the backbone of good corporate governance.
**Integrity**
It is surprising to have to mention integrity. Is it not a given that everyone should be honest and behave accordingly? As a matter of fact, this was not part of the basic principles of good corporate governance as defined by its proponents in the early 1990s. However, all the scandals that have damaged the business world over the last few years have demonstrated that integrity did not always go without saying and that it was too often forgotten. Today it has to be emphasised. This is why the group of top French managers directed by Daniel Bouton, chairman of Société Générale, on behalf of MEDEF,\(^4\) has included integrity, along with independence, as one of the qualities required from directors in the latest recommendations on corporate governance (2002). Integrity implies that behaviour goes beyond box ticking and that everybody is very transparent about conflicts of interest. Integrity requires balance and measure in all decisions, specifically decisions about remuneration.
**Accountability/responsibility**
Responsibility is not a new concept for top managers. Ambitious people long for responsibility. As a consequence, they are legally and morally responsible for their actions. However, accountability is a notion which has recently become prominent as a principle of sound corporate governance. Top management is accountable towards all its constituencies and must take them into account beyond complying with the law. This requires the flow of sound information throughout the enterprise. It also requires motivating the whole organisation to provide sound information upwards. As Hans Jonas develops in his book *Das Prinzip Verantwortung*, responsibility demands that one preserves the world from abuses. This is why companies must protect the environment for
\(^4\) MEDEF : Mouvement des Entreprises Françaises (French employers’ organisation)
future generations. Also, being a responsible person means that one is a reliable person.
**Transparency**
Accountability requires transparency. In the US, they talk about disclosure. In my view, transparency is somewhat different and implies more responsible behaviour. Disclosing everything is easy; one can always say that one said or wrote it but as it was buried under tons of paper nobody was aware of it. Transparency implies that everything that matters is disclosed in such a way that people who need to know it get the information. Executives must be transparent vis-à-vis the board. Executives and boards must be transparent vis-à-vis all their constituencies, inform the market in a timely manner, inform their customers and inform the authorities.
**Sound risk management**
Sound risk management is a new demand on managers. Formerly, managers were required to be entrepreneurs and to take risks. Today, they are required to manage risk because the consequences of a failure can be a threat to the image of the company, its profitability, its stock market price, and can be considered as a crime. Top managers must be aware of all the potential risks run by the company; they must identify those that are relevant and significant, they must disclose those that can have an impact on the market; and they must drive actions to mitigate risks. However, this should not prevent managers from being bold. This is where sound judgement comes into play, in other words, where one proves oneself to be a responsible person.
**Reactivity**
New technologies have changed business time horizons and specialisations drastically. Competition is worldwide and can emerge on very different fronts. Rapid reaction to any market turn or any competitive move can mean the difference between success and failure. There is no time to adapt. There is no tolerance of failure. Business models must evolve. Being humble, courageous, knowing how to listen to others, working in teams, using the board to challenge ideas, are what make a manager reactive.
**Conclusion: Does sound governance make a difference?**
The focus on corporate governance has created a greater awareness of the responsibility of top management and helped enlarge the criteria on which decisions are made. In the western world, the recommendations for good corporate governance, in its strictest sense, are implemented in the largest companies. Most family companies, or companies managed by their founder, have not understood the benefits they could draw from implementing the recommendations on corporate governance, in particular, the benefit of sharing reflection on important decisions. Taking the broader view and caring about all constituencies, all stakeholders, is not yet part of their behaviour. However, some companies are moving in that direction. They have understood that their image can be damaged very suddenly and that employees’ motivation and clients’ trust can be enhanced through a well-thought-out corporate social responsibility policy. I hope that progress will come from positive motivation and not from scandals.
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Read more: “Keeping Better Company” (Oxford University Press, 2005), a book by Jonathan Charakhan (to which I contributed the chapter on France), describes how corporate governance in the United Kingdom, France, Germany, Japan and the United States has improved in the past 10 years. It also shows that there is convergence across these five countries towards a somewhat similar model despite their differences in legal systems and cultures. The book also shows that the convergence is driven by the fact that the governance target is moving in all countries in order to take better account of stakeholder needs and requests. Jonathan Charakhan says in the book, “The purpose of a company is to provide ethically and profitably the goods and services people want or need.”
1.3
Hardwiring and softwiring corporate responsibility – a vital combination
Monique De Wit, Sustainable Development/HSE Advisor, Shell International B.V., the Netherlands
Introduction
To integrate corporate responsibility or sustainable development into the way a company does business, it is important to clarify what sustainable development means to a business. This is called the process of sense making. A general pattern that is shown in the work of Cramer et al. (2006), is that change agents coordinate the process of sense making, translating generic concepts of sustainable development into specific ‘local actions’ and a ‘local language’. The people involved begin to share a common understanding through the four stages of:
– Sensitising
– Discovering
– Embedding
– Routinising
Although the theory was not available when we started to work on integrating sustainable development (SD) into Shell, looking back, our experiences show a high degree of consistency with this theory.
Within Shell, the process of integrating sustainable development started in the mid 1990s with an understanding of the increasing expectations of society of what constituted responsible corporate behaviour. After widespread engagement, the group made a commitment to contribute to sustainable development. This was felt to offer the best framework for structuring our thinking and configuring behaviour that would meet expectations and drive long-term business success.
As a result, specific actions are being developed using a two-way approach. We have a continuing programme of aligning key business processes within a governance framework of commitments, policies, standards and guidelines consistent with contributing to sustainable development. We call this hardwiring.
To complement this, we are building the capacity of Shell people through communications, leadership development programmes and competency frameworks designed to encourage sustainable development thinking and behaviour.
To achieve real change it is important to reach the hearts and minds of the people. Informal networks can play a significant complementary role to more structured approaches to softwire a sustainable development mindset in an organisation.
We have found that a combination of hardwiring and softwiring is essential for building effective human capital and achieving lasting change.
How it started (Sensitising)
Shell has always been a values-driven company. Our general business principles are founded on our core values of honesty, integrity, and respect for people. Hence, the controversy over the disposal of the Brent Spar and the tragic events in Nigeria in the early 1990s came as a shock. We believed we had acted responsibly and ethically in both cases but our actions had nevertheless fallen short of expectations. Senior leaders wanted to find out what had gone wrong and why, and we learned that it was increasingly expected that companies be accountable to stakeholders for the wider economic, environmental and social impacts of their activities.
Our leaders accepted that this was important and started to bring about significant changes to how Shell operated. In 1997, Shell’s general business principles were updated to include support for fundamental human rights and a
commitment to contribute to sustainable development. We also strengthened our health, safety and environment (HSE) policy and procedures and established minimum environmental standards and group targets, such as reducing greenhouse gas emissions to 10 per cent below 1990 levels by 2003, and ending venting of gas by 2003. Moreover, we set up a renewable energy business in solar and wind, and a hydrogen business.
The sustainable development concept (Discovering)
Both formally appointed change agents and voluntary change agents have facilitated the process of sense making by translating generic concepts of sustainable development into a common language across Shell and aligning systems and processes.
For our business, sustainable development is about engaging with our stakeholders to:
– better understand and manage the impacts, both positive and negative, that our operations and products have on society and the environment today
– identify business opportunities for the future.
We developed a sustainable development lens as a simple way of describing what it means to apply this approach within Shell (see right).
Sustainable development thinking also encourages us to think long term and impacts on our strategic direction. We see future business opportunities in:
– continuing to provide clean, affordable energy to existing markets;
– helping provide access to modern energy for the two billion people who currently live without it;
offering more customers cleaner products, such as low-sulphur petrol and diesel and ultra-clean synthetic fuels.
Sustainable development thinking also means helping the world gradually shift to a low-carbon energy system by providing:
- more natural gas
- growing viable businesses in renewable energy like wind and solar power
- developing fuels from plants
- hydrogen for fuel cell vehicles.
**Hardwiring corporate responsibility (Embedding)**
If sustainable development considerations are to be managed as any other business activity, then they need to be hardwired into existing structures. Our approach for doing this is in line with ISO 14000 and 18000 and follows the ‘Plan, do, review, and feedback’ cycle, to drive continuous improvement. It can be graphically presented in many different ways and Figure 2 (right) shows one way.
**Governance**
Governance of sustainable development and health, safety and environment in Shell is explained in Figure 3.
A social responsibility committee reviews the policies and conduct with respect to the general business principles (including our commitment to contribute to sustainable development), our HSE commitment and policy, and major issues of public concern. The sustainable development/health, safety and environment (SD/HSE) council is a strategy and planning body that includes senior executives from the main businesses, (exploration and production, gas and power, oil products and chemicals) and group service companies. The SD/HSE council, based on recommendations of the SD/HSE panel,
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
The SD/HSE panel considers and makes recommendations to the executive committee on SD/HSE matters of group or cross-business interest. Apart from the regular SD/HSE council meetings, it meets once a year in a planning capacity. The SD/HSE panel is an advisory body which includes SD/HSE expert representatives from the main group businesses. The panel promotes a consistent group approach on SD/HSE matters, and addresses issues of cross-business interest.
Climate change is a key concern to society, and hydrocarbons are at the heart of our business. In 1998 we acknowledged the need for action and introduced a voluntary greenhouse gas reduction target. We have created an environmental trading business, and continue to expand and improve lower carbon products and services.
Biodiversity may be impacted by our operations. We were the first energy company to establish a Biodiversity Standard, and in August 2003 we became the first publicly to commit to not explore for, or develop, oil and gas in natural World Heritage Sites.
Social performance is defined as all the ways in which we impact the communities and societies in which we operate, both positive and negative. In 2002 the social performance management unit (SPMU) was set up to:
- develop meaning around our social impacts
- create tools and techniques to minimise negative impacts
- create long-lasting economic benefits
- contribute more generally to the well-being of the communities and broader society.
We have developed guidance to help our people manage the main social issues, such as resettlement, impacts due to construction, economic impacts, such as revenue distribution and local contracting.
Within Shell we have several group policies and standards that support the objectives of the business principles, for example, the biodiversity standard, minimum environmental standard and the minimum health standard. Moreover, environmental, social and health impact assessments (ESHIAs) are required prior to all new projects and major facility developments. The same applies to the significant modification or abandonment of existing projects. In addition to Shell group standards, our businesses have their own standards. For example, our gas and power business is the first to have a social performance standard.
**Project planning**
Shell has incorporated biodiversity into its internal ESHIA guidance. This helps to ensure that biodiversity is taken into account both during investigations into new projects and in early decisions regarding project design. Moreover, we have biodiversity action plans (BAPs) in place at all sites where Shell operates in areas of high biodiversity value.
Social performance plans provide a delivery mechanism for commitments and undertakings made during the impact assessment process. It is now a requirement for all businesses to establish and implement a stakeholder engagement plan. This helps business to identify the stakeholders and plan the activities for engagement with each of these. Social performance plans have been introduced as a requirement for all of our businesses and many of our major operational assets.
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
Stakeholder engagement
(Case study on the next page)
Stakeholder engagement is made a key component of hardwiring. Our experience in the Athabasca oil sands project in Alberta, Canada, clearly shows the added value of early involvement of stakeholders in our decision making. Athabasca is a prime example of how to embed sustainable development through all project phases. More information on the work we have done there, for example, the setting up of an independent climate change panel to advise on and audit our carbon dioxide offsets, and working with the local communities, can be found on the Athabasca website www.shell.com or www.albiansands.ca.
Impact assessment
(Case study on page 30)
The impact assessment process includes:
– an inventory of the impacts of the project on the environment and health, safety and security of people and communities
– an assessment of the related risks and opportunities
– implementation of measures to control these risks and realise opportunities.
The impact assessment process in Shell Petroleum Development Company (SPDC) describes how we are managing risks and opportunities.
Monitoring, corrective actions and reviews
After implementation it is important to monitor the results of the impact assessment, the planning and the implementation process, and to take corrective action where needed. Regular community surveys can help to track changes in community perception of the company’s behaviour. It is also important to review the performance of the complete management model and update the group standards and organisation where needed. An assurance programme can include a self-assessment and reviews by auditors independent of the facility. In addition to audits, independent social performance (SP) reviews are used to assess social performance and the effectiveness of implementation. The SP reviews also provide a way to help assure our performance in the social arena and drive continuous learning.
The first SP reviews were performed in four very different countries – Canada, Oman, South Africa and the USA – in the different Shell group businesses: exploration and production, gas and power, oil products and chemicals. Even though the context and nature of the operations were very different, the results were surprisingly similar. The reviews showed that social performance should be managed as a business issue in a more consistent manner. Providing opportunities for local economic development, such as jobs and contracts, is a priority for most of our stakeholders. Moreover, it has shown that delivering SP requires new competencies and organisational approaches.
Softwiring corporate responsibility (Routinising)
It is one thing to write a manual of recommended procedures, but if that is all that happens the manual will simply sit on the shelf. At best, a culture of minimum acceptance will be achieved; at worst, one of avoidance. What is also needed is to touch the hearts and minds of people so that they feel it is the right way to do business and can see how business value can be derived. It is therefore vital that people at all levels are convinced of the strength of the business case and the practicality of your approach. In reality, this means translating sustainable development into something that is tangible and relevant to both business teams and individuals.
Case study: Stakeholder engagement at Athabasca Oil Sands project
Shell Canada Limited and the joint venture owners implemented a good neighbour policy in order to develop a mutually prosperous, long-term partnership with people living in the operating areas, particularly First Nations and Metis people living close to the Muskeg River Mine.
The Athabasca Oil Sands Project employees engage with people who feel affected by the project – going beyond the traditional open house coffee talk and giving them a real opportunity to work together to build a better project. They have an innovative communications programme called A New Way of Listening, which integrates concerns and suggestions into the project’s long-term plans.
A full-day session called The Metis Youth Issues Forum was co-hosted by the project and the Society of Wood Buffalo Employment and Career Training Specialists. The society worked to ensure their clients, a large percentage of whom are Metis youth, had equal opportunities, access and representation in the labour work force.
“We can’t solve every challenge by ourselves. That’s why we go to those who are directly affected by the project . . . house to house if we need to, and talk with each individual. It’s how I operate personally and it’s also how we govern our project.”
Lee Nehring, Community Affairs Manager
Case study: Environmental, social and health impact assessment in Nigeria
Within Shell Petroleum Development Company (SPDC) about 20 to 30 environmental, social and health impact assessment (ESHIA) studies are undertaken every year. With the assistance of Business Partners for Development (BPD), SPDC facilitated a dialogue with stakeholders from the Niger Delta to develop a better impact assessment process. The tri-sector partnership model was introduced.
This was tested in a pilot project – the Utapate Field Development Plan. In a three-day stakeholder consultation workshop with community, regulatory and SPDC representatives, the terms of reference and context for the impact assessment were developed.
Two partnership groups were formed to address the identified impacts:
1. Natural Resources Working Group - focusing on:
- effects on water systems and aquatic resources of conservation and livelihood importance
- forest resources of livelihood importance.
2. Community Impacts Working Group - focusing on:
- community health issues, including air quality
- effects on community facilities and infrastructure
- issues surrounding redundant SPDC facilities
- land take and related issues
- socio-economic impacts and socio-cultural impacts.
Each group negotiated a draft partnership agreement aimed at developing voluntary arrangements for stakeholder involvement in the impact assessment study of the Utapate development plan. The application of the model signified a change in the traditional way of engaging and consulting affected communities.
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
Softwiring
As with hardwiring, a clear structure for softwiring sustainable development is essential. This is being managed along a number of avenues. Activities are structured under three main headings:
- communications: raising basic awareness and understanding
- training and learning: developing working knowledge and skill
- beyond training: mastery and advocacy.
Communications
Various communication tools are used to raise awareness and basic understanding. Consistency of language and presentation is essential to avoid confusion. A library of standard presentations and communications material was developed for widespread use across Shell, including newsletters, posters, PowerPoint slides, magazines, speeches, videos and a website.
However, this is not sufficient to make people work in a different way. No matter how good the material, the impact of communications alone is usually low and short-lived and has to be constantly reinforced. To help people understand how sustainable development thinking is relevant to their daily jobs, you have to get more intimate!
Training and learning
At the next level, we therefore aim to deepen the learning experience, tailoring it to a specific role or audience. Training and leadership development programmes are existing mechanisms for reaching people on an individual or small group basis and the ideal vehicle for sustainable development learning. Sustainable development is being bolted on and infused into an ever-increasing number of these programmes and the leadership development portfolio of interventions:
- graduate attraction, selection and employment
- emerging and mid-level leadership programmes
- senior executive development.
For example, exercises based on real Shell investment decisions are used to enable people to practise applying the SD lens and explore for themselves how business value can be generated. Stakeholder role plays add a realistic dimension while learning how to engage with people of differing views.
A wide range of training and learning programmes has been developed to improve the knowledge and skills of Shell people. These modules include:
- sustainable development
- social performance
- environmental performance (including biodiversity)
- stakeholder engagement
- integrated decision making.
These modules are being infused into an increasing number of existing courses and functional development programmes. These include:
- external affairs (EA) – fast-track training for new EA recruits and development training for EA professionals with high potential
- HSSE management course targeted at managers and HSSE operations course for people at the operations level
- project management
- contracting and procurement
- initial training packages.
The modules are also being used in the new dedicated sustainable development workshops that focus on bringing a higher
level of knowledge and skill to participants in applying sustainable development thinking, environmental performance, social performance and stakeholder engagement to their line roles. For example, a workshop specially designed for project engineering planning was deployed recently in operations in Oman involving project engineers, health, safety and environment advisors and sustainable development advisors. Another example of a dedicated module on a very important aspect of social performance is human rights training in Nigeria.
Integrating sustainable development into competency frameworks
To underpin these efforts, sustainable development is being integrated into competency frameworks. In Shell we use the following levels of competency:
- awareness – a good knowledge of what is involved in an area of expertise and its relevance to the business
- working knowledge – being able to interpret and evaluate information and advice from experts in an area of expertise
- skill – being able to carry out consistently the activities of an area of expertise to the required standard
- mastery and advocacy – being able to diagnose and resolve significant, unusual problems and develop significant and new approaches or methods for an area of expertise.
Sustainable development is added to the competency profile of people who are in key positions, for example project engineers, external affairs managers and line managers in critical positions, to infuse this way of thinking into daily operations.
Beyond training
The classroom, real or virtual – no matter how good – is no substitute for practical experience, particularly if it is led by the vision and enthusiasm of individuals in the line who are committed to change. As an example, the gas to power project in Malampaya, the Philippines, clearly shows the added value of visible leadership. At Shell we have various ways of providing experiential learning, including short-and longer-term cross-postings and attendance in audits, and value assurance and social performance reviews.
1 Chronos was developed by the World Business Council for Sustainable Development (WBCSD), in partnership with the University of Cambridge Programme for Industry (CPI, see www.cpi.cam.ac.uk).
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
Case study: Human rights training in Nigeria
Shell Petroleum Development Company (SPDC) operates in the Niger Delta, Nigeria. SPDC has 5000 employees and some 10,000 contractors working on various projects. It deals with 1600 communities who live across some 70,000 sq km that constitute the Niger Delta. As a result of the difficulties posed by various challenges leading to the shutdown of facilities and threatening of staff, SPDC started to develop some strategies for managing conflict in the region. The development of human rights training to equip the staff, along with some mediation skills, resulted in a Human Rights Governance Workshop organised in concert with an NGO led by civil rights activists. This, in turn, resulted in the development of content suitable for managing human rights challenges. In 2005, the top 100 managers of SPDC and 120 frontline staff from the department of Sustainable Community Development, Security, Production and technical personnel were trained in how to handle and prevent conflicts. The managers’ training was delivered by an NGO, coming from a community/social perspective.
The results of the training became apparent directly in two ways:
1. Managers started to challenge each other by asking about the incorporation of human rights elements in their work
2. The NGO firm learnt to take a broader approach by realising the company’s perspective.
Furthermore, some 2000 frontline staff will be trained next year in human rights. Training modules are being fine-tuned.
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
Intrinsic motivation – cultivating the passion for sustainable development
The best leaders, at every level in the organisation, are those who have a true purpose, a passion for what they do and an ability to bring out the best in other people. They will be keen to learn from their mistakes and the experiences of others. Above all, they will accept that there is a reason to change. In our complex and fast-moving world, they will be the kind of people who find the time and space to reflect and practise what they have learnt; who are humble and honest enough to accept that there is always room for improvement. As such, they become an example to others.
When a critical mass of early movers is achieved at around the 15 per cent level, then the rate of organisational change accelerates rapidly.
To foster the power of this intrinsic motivation, the right environment needs to be created for these ‘seeds of passion’ to grow and develop. Networks, both formal and informal, are an effective tool for spreading enthusiasm and knowledge across the organisation. Active members of these networks are the early movers who can help to give the sense-making process more shape. These are the change agents as in the model of Cramer et al. 2006. It is said that when a critical mass of early movers is achieved at around the 15 per cent level, then the rate of organisational change accelerates rapidly. It is therefore vital to make the most of these enthusiastic people who are already keen to embrace the concept of sustainable development.
Much effort has been devoted by our businesses to identify and equip networks of people who can:
- speak confidently and knowledgably about sustainable development
- raise awareness and understanding of sustainable development with colleagues
- help embed sustainable development in their part of the organisation.
Apart from formally developed networks, informal networks of enthusiastic employees are crucial to achieve lasting change (so-called emerging change). These informal networks often consist of enthusiastic employees from all parts of the organisation and all over the world, brought together by a common passion. Shell Project Better World is such an example.
In addition to these informal networks, the Hearts and Minds project in Shell may provide us with the next level of tools to increase the intrinsic motivation of the people. It is aimed at developing intrinsic motivation for health, safety and the environment (HSE) so as to improve the company culture.
Shell’s informal, voluntary Project Better World, as described in the case study overleaf, is initiated by employees (volunteers) working in different parts of Shell and at different levels in the organisation. Through pilot projects the concept of ‘contributing to SD’ was made meaningful for employees.
Case study: Shell Project Better World
In 1998, following the sensing in the early 1990s of changing expectations of society and the desire for Shell senior leadership to take action, senior leadership launched the internal mission for ‘Shell people to ‘Help build a better world’. This resonated with Shell employees. A group of enthusiastic employees invented the concept to involve employees in environmental and community projects, in partnership with NGOs. In addition, employees would improve their own skills, leading to a win-win situation. Shell Project Better World (PBW) was born.
Run by voluntary change agents, supported by champions in the organisation, initial discovery through pilot projects was conducted with Earthwatch projects. Following this, PBW received official funding and as such was hardwired in the organisation. The team in Amsterdam became a global team, funded by Shell International and running EarthWatch biodiversity and Voluntary Service Overseas community projects worldwide for all Shell staff. The team in Australia became a national team, funded locally and running local projects. Inspired by this successful initiative, other colleagues around the world started to set up their own national teams. Each team has their own projects aimed at involving employees in environmental and social projects. Many projects involve engagement with local stakeholders or have a biodiversity focus, thereby enhancing skill building in these areas for Shell employees. These teams form an informal network, aiming to share enthusiasm and learning.
As an example, the national team in the USA, called Seeds, has projects such as coastal clean-up activities, water quality testing in Texas and employees volunteer their time to the HEART (Help Endangered Animals-Ridley Turtles) project. Another example is the national team in Brazil, which encourages its employees to participate in the outreach projects such as the Junior Achievement Association. Overall, more than 90 Shell employees already serve as consultants for programmes such as Mini-Enterprise, Our World, and Introduction to the World of Business.
To make a voluntary project sustainable, a network of enthusiastic and driven volunteers are needed to keep the project going. This can be seen as the softwiring step, tapping into the intrinsic motivation of the people. The informal PBW network has managed to grow PBW over the past seven years. In total, about 150 people are involved in organising projects and many hundreds of people have contributed to PBW projects. The global team has set up a new partnership with U.N. volunteers, focused on projects where Shell employees can contribute their specific expertise.
Case study: Norco chemicals plant – New Orleans, USA
“People living near our chemical plant and the adjacent Motiva refinery in Norco were dissatisfied with the way we responded to their concerns about safety and air pollution. At the refinery and chemical plant, we have worked hard with the Norco community to put things right and I am really pleased we are regaining our neighbours’ trust.”
Carol Triebel, Site Manager at Shell Chemical Norco
Norco has invested $133 million to upgrade the site. By the end of 2003 (latest reporting year), this helped cut local emissions by 40 per cent compared with 1998. Furthermore, an air-monitoring group was set up in 2002, with two technical experts and 20 representatives from the community, state government and the site, to measure air quality around the facility. The group chose the locations to monitor and the substances to measure. It also selected independent consultants to analyse, assess and publish the results. Sulphur is measured separately by the state government.
In 2004, the consultants concluded that, for substances where comparable data was available, pollution levels in Norco were similar to those in major US cities. An independent study showed local cancer and mortality rates were lower than or similar to Louisiana averages. Additional upgrades of $411 million by 2007 should further improve the environmental performance. Norco has also established a $5 million community-managed foundation for local economic projects.
“The door for communication which was once closed is now open. The right people have been at the table listening to the community’s concerns and needs. Trust is now being built with members of the Diamond area and the community as a whole. Commitments that they have made are being met. Some have been immediate and others are long range.”
Margie Eugene Richard, Founder of Concerned Citizens of Norco
Case study: Nanhai chemicals project – China
We adopted internationally recognised principles of sustainable development in the project’s planning, construction and operation. This is helping ensure an economically sound project while at the same time adopting responsible environmental standards and meeting the social needs of the people of Daya Bay.
Simon Lam, Project Manager
Shell Nanhai B. and their Chinese Partner, CNOOC Petrochemicals Investment Limited, are building a $4.3 billion petrochemicals complex at Daya Bay in Huizhou Municipality, Guangdong. It is the largest capital investment by a Sino-foreign joint venture project in the People’s Republic of China. Construction began in 2003 and the plant will be fully operational in 2006, using state-of-the-art technology to produce 2.3 million tonnes of products a year to meet escalating demand in China.
A full Environmental and Social Impact Assessment using standards was carried out before the decision to invest in 2002. Independent monitors were invited to check compliance with the social and environmental management plan, which recognised key sensitivities. A social priority was to respect the needs of 8,770 people living nearby who were to be relocated, and the 25,000 workers moving into the area for the construction phase.
The Huizhou government was responsible for the movement of residents from the site and Shell assisted the government in preparing for this in accordance with World Bank standards. Those moved have been compensated for loss of houses, land, crops and livelihoods.
Shell is also assisting the government in livelihood restoration. This includes training and employment with the project, as well as small- to medium-scale enterprise training. Priority is being given to local employment and using supplies and services from local companies. The construction workers live in camps with recreational facilities. Strict codes of conduct minimise the impact on communities near the site.
The environmental priority was to minimise the impact on Daya Bay, which is a National Aquatic Resources Nature Reserve which has a sensitive ecosystem and high biodiversity. Important fisheries and aquaculture are located on the inner shoreline, and sensitive turtle breeding and corals are close to the bay. Waste treatment facilities have been installed to make Nanhai one of the world’s most efficient and cleanest petrochemical manufacturing facilities in the world. Around 90 per cent of liquid and solid waste will be recycled or reused to generate energy. Combustible waste that is unsuitable for reuse will be incinerated to provide steam for the complex. Air quality modeling was done to assess the impact of continuous emissions.
These measures show that Shell and its partners have put the principles of sustainable development at the heart of this project. In doing so, business value is being created while protecting the environment and helping to develop the economy of the local community. Consultation through stakeholder workshops and a policy of openness have typified the approach as shown on www.cnoocshell.com.
1.3 Hardwiring and softwiring corporate responsibility – a vital combination
The progression of the HSE cultural ladder is as follows:
- pathological – who cares as long as we are not caught
- reactive – HSE is important; we do a lot every time we have an incident
- calculative – we have systems in place to manage all hazards
- proactive – we work on problems that we still find
- generative – HSE is how we do business around here; we worry about becoming complacent.
Several tools, such as ‘Understanding your culture’, ‘Making change last’ and ‘Seeing yourself as others see you’, have been developed to help move a company up the ladder. It is hoped that the same approach can be used for sustainable development and that these tools may prove useful in further developing a mindset and culture for sustainable development as well, thereby moving softwiring efforts to the next level.
Impact on decision-making
The fruits of our hardwiring and softwiring embedding efforts are beginning to show in practical ways. Sustainable development thinking is helping us to improve our performance, as in the Norco case shown on the following page. Encouragingly, there is increasing evidence of the sustainable development lens being applied early in new project planning and delivery, leading to new standards of performance, as in the case of the Nanhai Petrochemicals development in China (Case studies on the previous pages)
Conclusions
There will always be enthusiastic people who happily embrace the sustainable development concept and strive to apply it in their daily work because it resonates with their personal values. However, resistance to change should not be underestimated. With pressure already on costs, timescales and human resources, there will be little appetite for additional initiatives or activities that do not have clear links to appreciable benefits, for instance, to communities or the environment.
We have learnt that a dual approach of hardwiring business process and softwiring – developing competencies and reaching the hearts and minds of people – is the key combination necessary to create sustainable development and achieve lasting change. We have taken a determined and structured approach to this in Shell. We are moving in the right direction while recognising that we are in it for the long haul and there is still much to achieve. The approach and practical experiences in Shell we have found are in line with the sense-making model of Weick, 1995, and have vindicated this model in practice. There is an ongoing need to develop the intrinsic motivation of people and bring sustainable development to the heart of their way of working. Experiences with the HSSE Hearts and Minds project in Shell gives interesting insights into this next level. A mark of success will be when we no longer have to use the terms ‘corporate responsibility’ or ‘sustainability’; it is simply how we do things – as a business.
References
Athabasca Oil Sands Project. 2006. Online www.shell.com or www.albiansands.ca.
Cramer, J., and A. van der Heijden. 2006. ‘Corporate social responsibility as a tailor-made search process’. *Challenge of Organising and Implementing Corporate Social Responsibility*. Jonker and M. de Witte (eds), Palgrave Macmillan.
Hudson, P.T.W., D. Parker, R. Lawton, W.L.G. Verschuur, G.C. van der Graaf, and J. Kalff. ‘The Hearts and Minds Project: Creating Intrinsic Motivation for HSE’. *Proceedings SPE International Conference on Health Safety and Environment in Oil and Gas Exploration and Production*, Richardson TX: Society of Petroleum Engineers (CD-ROM).
Nanhai CNOOC and Shell Petrochemicals Company Limited (CSPC). 2006. www.cnoocshell.com.
Norco Chemicals Company. 2006. www.shell.com/us-en/norco.
Shell. 2006. Shell General Business Principles. www.shell.com/sgbp.
Shell. 2006. Shell Standards. www.shell.com/standards
Shell. 2006. Shell Social Performance. www.shell.com/.
Shell. 2006. Shell Report. www.shell.com/shellreport.
Wade, M. 2006. ‘Developing Leaders for Sustainable Business’ in Responsible Leadership, Thomas Maak and Nicola. M. Pless (eds), Routledge, pp. 227–44.
Wade, M. 2006. ‘A Commitment to Sustainable Development – The Long Journey Begins’. *The Accountable Corporation*, vol. 3 *Corporate Social Responsibility*. Marc.J.Epstein and Kirk.O.Hanson (eds), Praeger, pp. 133–46.
Weick, K.E. 1995 ‘Sensemaking in Organizations’, Sage Publications Inc.
Wit, de, M.D.C., and E. Schouten. 2006. ‘CSR management model in the extractive industry – An integrated approach’. *Management models for CSR*, Springer.
Iberdrola: reinventing energy
Lourdes Casanova, Lecturer,
and Maria Gradillas, Research Assistant, INSEAD, France
The 29 January 2007 issue of *Business Week* dedicated its cover story, ‘Who’s doing well by doing good?’, to companies that had managed to obtain strategic advantages through environmentally and socially responsible practices. Iberdrola, Spain’s second largest utility, appeared among the top three green utilities worldwide. This international recognition followed the company’s acquisition of Scottish Power, which reinforced its strong focus on renewable energy and established Iberdrola as a global leader in clean power generation. A visionary CEO, skilled management team, strong environmental heritage and the right market conditions were the main ingredients of its success story.
**Brief company history**
Iberdrola was formed in 1992 as a result of the merger of Hidroeléctrica Española (HE) and Iberduero. HE had been created in 1907 to supply Madrid and Valencia with energy by exploiting the rivers Tajo, Júcar and Mijares. Iberduero was created in 1944 also as a result of a merger of two hydroelectric companies, Hidroeléctrica Ibérica, founded in 1901 to use the rivers in North Spain, and Saltos del Duero (1918), which used the river of the same name. Between 1957 and 1969 both companies completed the construction of several large power plants.
In the 1970s, the oil crisis led the Spanish government to promote nuclear energy and both Iberduero and Hidroeléctrica participated in the construction of several nuclear power plants in Spain. However, in 1984 nuclear construction was frozen, leaving most private utilities with significant debts. The government tried to palliate the effects of this debt by arranging nuclear and hydro swaps.
In 1992, Iberdrola began its expansion in Latin America through the acquisition of Litoral Gas and Guemes Thermal Power Station in Argentina. In the following years it acquired two distribution companies in Bolivia, two generation companies in Chile, a gas company in Colombia, gas and electric companies in Brazil, an electric utility in Guatemala, and entered the Mexican electricity generation market.
To diversify its operations, in 1995 Iberdrola created Iberinco, an engineering consulting firm, and Iberner, to manage its Latin American businesses. In 1996, it signed a strategic telecommunications alliance with Telefónica, creating a joint venture, Utilitel. In 1998, the company established Iberdrola Sistemas, a data management company. In 1999, it created Proxicom, an Internet services provider. The same year it entered the US market though the acquisition of Energy Works, a company that managed electricity buys for businesses.
In the past few years Iberdrola’s expansion has focused on natural gas, combined cycle and renewable sources of energy, becoming the world leader in wind energy and Spain’s most active investor in natural gas combined cycle plants.
**Iberdrola today: ‘El mundo es un tapete verde’**
In 2001 Iberdrola appointed a new CEO and Vice Chairman, Ignacio S. Galán, a charismatic businessman who had already made quite an impact in the Spanish telecommunications industry and intended to do the same in the traditionally more stable electricity sector. Shortly after taking up his position, Galán made public Iberdrola’s Strategic Plan 2002–6, an innovative change of direction for the company, which included an investment programme designed around the Kyoto Protocol, and a new corporate image.
1.4 Iberdrola: reinventing energy
Iberdrola’s investment programme focused on increasing its generation capacity through renewable energies, mainly wind and natural gas combined cycle facilities, considerably less polluting than coal or fuel oil. At the end of 2005, Iberdrola’s installed capacity in renewable energies was 3,810 MW (of which, 3,494 MW was wind energy), over seven times its capacity at the start of the strategic plan. Iberdrola’s objective is to reach 6,200 MW of renewable capacity by 2008, of which at least 1,200 MW will be outside Spain.
In line with this new strategic direction, and coinciding with the opening of the energy market in Spain, Iberdrola chose a logo that reflected its strong environmental focus: a green leaf, a blue drop of water and an orange flame, thus marking a new era.
Most importantly, Iberdrola launched its green energy product, defined by the company as electricity derived 100% from renewable energy sources free of CO$_2$ and greenhouse gas emissions.
Today, given the prominence climate change has acquired, investing in renewables and taking measures to reduce CO$_2$ emissions seems like an obvious course of action. But back in 2001–2 the realisation that the environment would become of utmost importance was tantamount to a great strategic vision. Indeed, Iberdrola’s plan was initially looked upon with scepticism by the market because its emphasis on renewables exposed the company to unreliable sources of energy. Yet it has proved to be a huge success, allowing the company to differentiate itself from the competition and to gain international recognition as the world leader in wind energy.
Nonetheless, it should not be overlooked that Iberdrola already had a history of operating in an environmentally-friendly manner, and the know-how to develop clean energies was already there. Today, it tends to be viewed as a company that has adapted to market changes and leveraged the hydraulic background it inherited – for which the current management is rightly given great credit. But a culture cannot be improvised; Iberdrola has traditionally been very sensitive to human problems and to the environment.
New market environment, new business ‘partners’
Market deregulation has had an enormous impact on the Spanish energy sector. For a start it has brought with it the concept of client as opposed to subscriber. Image and reputation have become of the utmost importance and having a good relationship with your environment in a broader sense has become a valued asset that allows you to carry out your activity. In the past, a company only needed to comply with the law and be profitable. Today this is not sufficient: companies are also expected to respond to the needs of the different interest groups that are affected, directly or indirectly, by their business activity.
The stakeholder perspective breaks with the traditional ownership model by insisting that companies consider the interests of not only the stockholders but also a wider range of constituents, such as suppliers, employees, the government and the local community. A simple model of the stakeholder perspective of the company is illustrated in the figure below:
Iberdrola has clearly understood this new market requirement. Among its executives and managers there is a widespread understanding that the company has a responsibility towards all the groups impacted by their activity in the broadest sense. Since the arrival of CEO Ignacio Galán, stakeholders have gained importance for the company and the relationship with them has been strengthened and improved. Specific programmes have been created to cater for stakeholder needs and communication channels have been opened. This strong stakeholder focus is expected to continue to increase in the next few years.
Iberdrola’s orientation towards its environment was formed many years ago as a result of the fact that its operations are typically sited in the midst of the community and affect society as a whole. When the company started constructing power plants, problems such as complaints about noise and strikes prompted management to take care of its surroundings. Early on it realised that a favourable environment would benefit the company’s activities as it affects its image and reputation, which in turn improve its overall competitiveness and protect the company from negative media coverage, criticism from non-governmental organisations (NGOs), etc. Furthermore, the company recognises that being environmentally conscious has allowed them to come up with their innovative green energy product and gain first-mover advantage in the Spanish electric market.
**Iberdrola and its stakeholders**
There are three key words that can be used to define how Iberdrola views its relationship with stakeholders:
- openness
- balance
- compromise.
While Iberdrola makes a conscious effort to listen to its stakeholders and attend to their needs, the demands of the different stakeholders need to be balanced and that is not always straightforward.
Iberdrola’s top executives recognise the need to find a balance between the often intertwined and correlated demands of the different stakeholders. Even more important is the need to find middle ground between progress, demands, pollution, and what we as a society are willing to accept and what we are willing to compromise on. As one executive at Iberdrola explained, all types of energy have advantages and disadvantages – yet society is sometimes uncertain what the priorities are. For example, gas and petrol generate CO\textsubscript{2}.
emissions; hydraulic energy implies flooding valleys; nuclear power leaves toxic residues; solar panels occupy vast amounts of land (to generate 50 megawatts of energy you need 200 hectares of panels) which is expensive and not efficient; wind turbines are huge and blight the landscape. There is always something to complain about, and still our energy needs continue to increase. Yet nobody wants to have a power station or even an electricity network in their neighbourhood.
In this sense, Iberdrola’s executives stress the importance of communicating with all the different groups and opening a debate. Iberdrola’s efforts in opening lines of communication with all relevant interest groups seem to have been picked up, since stakeholders acknowledge that the company is trying to reach them and that it has a strategic commitment to the environment and to society at large. Iberdrola’s openness to dialogue has been observed by stakeholders as a quality they value very highly.
There is also a general perception among stakeholders that Iberdrola is better positioned than its competitors to take advantage of the current environment generated by the Kyoto Protocol and climate change. Some stakeholders give the company more credit for its longstanding belief in respecting the environment, as opposed to having developed in this way for purely historical reasons. However, all stakeholders recognise and support the company’s efforts in promoting renewable energies and agree that Iberdrola’s renewable portfolio makes it a leader in sustainability.
“Today, it is understood that companies need to meet their objectives but while complying with certain corporate social responsibility (CSR) rules: respecting the environment, human rights, labour rights, etc.”
Iberdrola senior executive
Shareholders
It is worth giving special mention to shareholders as an interest group that has gained relevance over the past years, not just for Iberdrola but in general. The international investment community is very positive about Iberdrola and perceives the company as a leader in sustainability, citing the following:
- strong management team
- integrated strategy
- focus on renewable energies and advanced technologies
- diversified generation mix
- high-efficiency power plants and transmission lines
- transparency conducting business
- risk management strategies
- codes of conduct
- relationship with suppliers
- demand-side efficiency (offering services as well as products)
- guarantee of supply
- environmental measures
- carbon trading activities
- ability to communicate well with investors.
1.4 Iberdrola: reinventing energy
Environmental NGOs
Iberdrola collaborates regularly with a number of NGOs, such as SEO/Birdlife, but dealing with these groups is not always easy and within Iberdrola there still seems to be a certain reluctance to work with environmental groups.
Electric companies and environmental NGOs have been traditional enemies for decades. Executives who interact most with these groups recognise that although they are long-standing enemies, they can now at least sit down and talk. They also believe that working together with environmental NGOs makes them more ‘modern’. The change has come from both sides and today they actively collaborate on projects.
At Iberdrola it is known that the fact that they are the largest investors in renewable energy (€1 billion a year) makes them ‘good’, and that nuclear energy makes them ‘bad’, with combined cycles being somewhere in between.
It is only fair to point out that in the past some of these environmental groups used some rather unethical tactics to draw negative attention to electric companies. One example is that of Ecologistas en Acción, who devised a story about a mutant fish they had discovered in the vicinity of a nuclear power plant, but later admitted that they had made the story up in order to spread alarm over nuclear power.
Recently, however, NGO attitudes have changed. In the past it was a ‘media war’ mentality – finding facts that they could make public and use as the basis for legal action. Now they resort to dialogue before acting in order to find solutions, which is the real objective. Nonetheless, not all groups have embraced this strategy of openness to dialogue, and some remain radically opposed.
Likewise, Iberdrola still needs to improve its relationship with environmental NGOs and consumers, who have recently gained in importance as pressure groups. As these organisations have huge influence and are an important source of information, collaboration could benefit both sides.
“There has been a fluid dialogue with environmental NGOs such as WWF/Adena or Greenpeace for issues related to the Kyoto Protocol. We agree strongly and fight together for issues such as climate change. On other issues, such as nuclear energy we disagree.”
Iberdrola senior executive
1.4 Iberdrola: reinventing energy
“The key is to find the balance between supplying customer demands, respecting the environment and society, and obtaining economic profit.”
Iberdrola senior executive
Green energy
Iberdrola launched its green energy product in 2003, just after the liberalisation of the Spanish energy market. It offers energy from 100% renewable sources (as defined in the European Directive), mainly wind and hydro, and its price is slightly higher than that of Iberdrola’s standard energy product. Iberdrola’s promise is to generate as much electricity from renewable sources as green energy sold. The origin of the energy is certified by two different independent sources: Red Eléctrica Española (through the issue of a renewable energy certificate of international recognition, RECS) and Bureau Veritas.
Iberdrola is proud of its product, which is respectful of the environment as well as a source of competitive advantage, but some stakeholders feel differently, seeing it as merely a marketing tool. Iberdrola’s green energy product would seem to be well adapted to a market that has just liberalised in an atmosphere of increasing concern for the environment but the product (and Iberdrola’s advertising campaign) has nonetheless been controversial. To understand this apparent anomaly, we have to look first at the generally accepted meaning of green energy, and ask what exactly stakeholders dislike about Iberdrola’s green energy product.
The Green Energy Debate
The European Union officially defines renewable energies in its CO$_2$ Emissions Directive as non-fossil sources of power such as wind, solar, geothermal, tidal and wave, hydro, biomass, sewage treatment plant gas and biogas. However, there has been no official statement as to what characteristics a specific source of energy must have in order for it to be considered green. At the European level, Project Eugene aims to ‘provide a trusted tool for ensuring that the green energy market delivers real benefits to the environment and communities’. This standard defines green energy as solar, wind, geothermal, green biomass, low-impact hydropower, and supply-side energy efficiency.
Nonetheless, green energy is a delicate art; it must be renewable but also respectful of the environment. So, for example, a wind farm might not be considered green if it is located in an area where it disturbs a specific species of bird, while it would be considered green in a more appropriate enclave. In this sense, Greenpeace accepts as ‘green’ the large hydraulic plants that had already been built, while WWF/Adena accepts only mini-hydro plants.
Overall, the issue is more complex than it may initially seem. In the absence of a coherent definition of green energy, some organisations prefer to avoid the term altogether. Greenpeace, for example, refers instead to ‘clean energy’.
Stakeholder perception of Iberdrola’s green energy product
Stakeholder criticism of Iberdrola’s green energy product evolves around the following aspects:
- There is a perception that the message of the marketing campaign is unclear; it misleads the consumer to believe that the energy they receive comes exclusively from clean sources when in fact in Spain energy comes from a pool and it is impossible to identify its precise source.
- The higher price cannot be justified because the product itself is not different and because renewable sources are currently subsidised.
- The correlation between consumption of green energy and more investment in renewable sources is not perceived.
- The renewable energy certification system currently used is not fully trusted.
- Confusion exists as to whether or not large hydropower plants are included in the product.
Shortly after Iberdrola launched its green energy campaign, and driven partly by the confusion generated by the term, the Spanish National Energy Commission (CNE), considered it necessary to issue a report defining the different green energy offerings in the Spanish market. This report was forwarded to the Tribunal de Defensa de la Competencia (the Spanish watchdog for competition issues), and to the Instituto de Consumo (the Spanish consumer institute). The Tribunal de Defensa de la Competencia did not identify any competition issues, but the Instituto de Consumo did ask Iberdrola to change some aspects of their campaign. When asked about green energy, the Spanish National Energy Commission responded that, on this issue, the market was ahead of the legislation and some companies were taking advantage of this.
The rejection of Iberdrola’s product is strong among environmental groups:
- Greenpeace, for example, refers to it as the ‘green deceit’; for them it is a marketing campaign that has nothing to do with reality and Iberdrola is taking advantage of the lack of regulation and the non-existence of a clear definition of green energy.
- For SEO/Birdlife, the green energy campaign is an aspect of the company that has not been handled correctly, although they praise the company’s efforts in generating energy from renewable sources.
- WWF/Adena has also criticised the product. For them, a quality green energy product should comply with two criteria:
1. Impact on the environment must be assumable. This is why they consider the mini-hydraulic plants to be green but not the large hydraulic plants.
2. The more green energy consumed, the greater the investment in this type of energy. They feel Iberdrola’s green energy product does not comply with this standard because its investment in renewables follows its strategic plan rather than the demand for green energy.
- Adena has also cited the fact that Iberdrola cannot justify charging more since renewable sources of energy receive subsidies from the government.
- WWF/Adena claim that had it not been for this product, WWF would have named Iberdrola the most sustainable energy company in the world.
But the strongest reaction to the product was that of OCU, the Spanish consumer organisation, which decided to take the issue to court, declaring that the campaign was deceptive and should be not allowed to air. They denounced Iberdrola’s green energy advertising as deceptive and therefore illegal, on the following grounds:
- The very concept of change is deceptive, since the product the customer receives is ultimately the same.
- The fact that Iberdrola commits to generating as much energy through renewable sources as green energy is consumed is also dubious since there is a market for renewable energy certificates.
- Asking a higher price for green energy when renewable generation is being subsidised.
While OCU has lost the hearings to date, at the time of our interview (October 2005) the legal battle against Iberdrola was still underway and it was ready to take matters to the Supreme Court.
**The way forward**
Iberdrola has leveraged its strong environmental heritage to create a company that prides itself on being green. Nonetheless, along the way the company has encountered important challenges that management needs to address:
- Iberdrola’s green energy product has provoked negative reactions from important environmental groups and from an influential consumer organisation. Although less direct, the CNE itself did not seem very excited about it either. The company will need to address this issue or it could damage its reputation.
- It is also important to stress the need for different departments to interact: Environment, Reputation and Marketing working closely together while launching new products.
- Any environmental actions should be integrated in the company’s core strategy and should not be used purely as a marketing tool.
- Iberdrola needs to continue and reinforce the dialogue with stakeholders, particularly with new social agents such as NGOs and regulatory authorities. It is important to establish a relationship between stakeholder importance and information/feedback gathered from them. Iberdrola already collaborates successfully with the environmental NGO SEO/Birdlife on several projects. The company could clearly benefit from further collaboration with other NGOs.
Interacting with NGOs
2.1 Humanitarian operations and corporate responsibility
Luk Van Wassenhove and Rolando Tomasini, INSEAD France
2.2 Understanding, avoiding and managing NGO campaigns against corporations
Michael Yaziji, INSEAD PhD 04, Professor, IMD, Switzerland
2.3 Who is your enemy? Lafarge, NGOs and the Harris superquarry campaign
Alastair McIntosh, Visiting Professor, University of Strathclyde, Scotland
Michel Picard, INSEAD MBA 81, Vice-President Environment & Public Affairs, Lafarge, France
2.4 Strategic philanthropy at Randstad
Kai Hockerts, Copenhagen Business School, and Anthony Westenberg, Randstad
Humanitarian operations and corporate responsibility
Luk Van Wassenhove and Rolando Tomasini, INSEAD France
The emergence of corporate social responsibility (CSR) on the private-sector agenda has made corporations more aware of potential gains to be made in areas rarely considered before. Michael Porter argues that by engaging in partnerships where social and economic value overlap, corporations can enhance their competitiveness. In an attempt to do just that, many private-sector logistics companies, including TNT, DHL, UPS, FedEx and Exel, have identified a match between their competencies and activities with humanitarian aid agencies that specialise in emergency relief.
The aftermath of the Asian tsunami has amply demonstrated that logistics plays a substantial role in delivering aid in emergencies. The circumstances and settings are very different from private-sector logistics, yet private-sector partners can learn from the relief operation. For example, companies increasingly need the same sort of skills as humanitarian relief organisations, given the dynamic demands and disruption risks of operating global supply chains and the central role of logistics in making profits under these conditions. Many corporations have already incurred substantial financial losses due to their inability to respond to short-term changes in demand or supply (agility), or to adjust their design to market changes (adaptability). As a result, corporations have realised that while high speed and low cost are necessary for a successful supply chain, they are not sufficient to give companies a competitive and sustainable advantage over rivals. Such an advantage comes only when the supply chain is agile, adaptable and aligned.
Unlike the private sector, humanitarian organisations are specialists at being agile and adaptable, implementing complex supply chains under high levels of uncertainty with limited resources and infrastructure – and often overnight. As David Kaatrud, Chief of Logistics for the United Nations World Food Programme (WFP), explains:
*Our operational settings are typically very different and difficult. To get supplies to the most remote areas, we may have to resort to a range of imaginative and unconventional delivery systems, from air-dropping to using elephants for transport.*
**Logistical alliances**
With an eye to acquiring new knowledge, solutions to critical problems and perhaps new market opportunities, private logistics companies increasingly forge partnerships with humanitarian organisations, approaching the latter not only as charitable concerns but also as an opportunity for learning and business development. Likewise, turning conflict zones and disaster areas into business learning labs can provide many benefits for humanitarians hoping to enhance their performance and core competencies through interaction with their private-sector partners. In terms of operations, they can benefit from such partners in two particular areas:
- ‘back-office’ support for better disaster preparedness
- strategic movement of assets during a crisis
Pedro Figueredo, WFP Regional Logistics Coordinator, explains that in emergency operations:
*The concern is not that we can’t feed the beneficiaries or transport the food to them. It’s a race against time in the sense that the ports, railways, roads, warehouses and silos all need to be coordinated.*
This type of complex, large-scale coordination is neither improvised nor coincidental. In fact,
2.1 Humanitarian operations and corporate responsibility
Bernard Chomlier, former Head of Logistics at the International Federation of the Red Cross and Red Crescent Societies, says that to be prepared, humanitarians need to work not only during disasters but, more importantly, between them. They need to develop agreements and establish policies and processes to operate swiftly during the disaster with existing as well as new supply-chain partners.
Between disasters, alignment as an aspect of preparedness is an area in which the private sector is ready to transfer much knowledge and expertise to the humanitarian sector. The private sector has long focused on improving its supply chain by strengthening relationships with its partners and establishing incentives to improve the performance of the whole supply chain. This includes negotiating agreements with suppliers and service providers, and implementing tools that can:
- provide greater visibility
- facilitate communications and reporting
- enable better planning and forecasting.
**Humanitarians in the forefront**
The front-office activities of the actual relief operation in a crisis remain in the hands of the humanitarian agencies, as that is their core competency and primary role. Humanitarian organisations are licenced to operate in conflict zones and disaster areas thanks to their principles of humanity, impartiality and neutrality. These principles aim to create a space in which the humanitarians can operate free of political and economic agendas.
However, such a task can be a real challenge in light of the various stakeholders involved:
- donors
- the military
- governments
- suppliers
- carriers
- implementing partners
- beneficiaries.
It is important to have in place systems and processes that can facilitate the collaboration required among stakeholders to keep efficiency at high levels. Help from the private sector can be invaluable here. However, it is also crucial to minimise undesirable outcomes that could contradict humanitarian principles, so it is better if the military, governments and the private sector do not get actively involved in relief at the scene of the disaster.
Emergencies test the reactivity and capacity of the relief agencies, often overwhelming them in the first few days. During an emergency relief operation, private-sector partners can assist the humanitarian agencies with readily accessible assets (e.g. airplanes, forklifts, office and warehouse space) and skills (e.g. programmers, communication specialists, pilots) to meet the demands in the field. This may be pro bono or at cost, helping to keep the overall expense of the operation down and enhancing speed during the first few days of a response.
Case study: ‘Moving the World’ – the TNT-WFP partnership
Despite the fundamental differences between the humanitarian and corporate sectors, partnerships through CSR can and do work out in ways beneficial for both parties. Over the past two years, we have worked closely with TNT and the World Food Programme on their joint venture ‘Moving the World’.
This case study illustrates the process of:
– choosing a cause;
– selecting partners;
– creating a working plan;
– getting the commitment of the company’s executive board.
It can be used to discuss the process of implementing a CSR initiative, specifically how to align the organisations’ objectives and capabilities throughout the process. It is also useful to teach a strategic approach to corporate philanthropy, and to foster a discussion about how to build the business case for CSR internally and get management’s support.
Investing in partnership
Increasingly aware of its company’s role in the process of globalisation, TNT’s CEO began to explore potential ways in which it could contribute positively to social change. In consultation with top management, they quickly agreed that it was time to shift from small, disparate philanthropic programmes (supporting the annual golf tournament and local programmes) to a more strategic approach that would capitalise on the company’s core competencies and reinforce its position in the market and society.
The ambitious shift entailed capturing the attention and channelling the support of over 160,000 employees operating in 63 countries into a social cause that everyone (customers, shareholders, and employees) would share and feel comfortable being associated with.
Narrowing down the options was a voyage of self-discovery whereby a small committee of representatives of different business units reflected on TNT’s core competencies, position in the market and strategic goals, a process crucial to understanding what kind of partner they needed, and what the partnership should look like in order to be sustainable and successful.
As they embarked on the search for a partner, they explored the unmapped territory of humanitarian/emergency relief agencies. These agencies understood the language of logistics but also could relate to TNT in size, global presence, reputation and, best of all, had complementary needs that over time would foster cross learning, delivering higher value for both parties and society in general.
A global provider of mail, express and logistics services, serving more than 200 countries, TNT has been an active partner of the WFP, the world’s largest humanitarian aid agency, since 2002. Each year WFP provides food aid to an average of 90 million people, including 56 million hungry children, in more than 80 countries. TNT has committed its knowledge, skills and resources to helping WFP for a minimum of five years. In 2004 alone TNT invested a total of €3.5 million in the partnership, of which €7 million came in the form of in-kind services and knowledge transfer projects and €1.5 million as cash donations. For 2005 TNT upped its commitment to €10 million in knowledge transfer, hands-on support, and funding and awareness initiatives.
2.1 Humanitarian operations and corporate responsibility
“Both organisations operate differently, and it took a long time to gain mutual trust and understanding.”
Swinda Hagedoorn, TNT Senior Project Manager & Initiative Team Leader
Learning to dance
In the first project under the partnership, TNT reorganised WFP’s warehouse in Brindisi, Italy, by optimising the space through a redesign of the layout; transferring its best practices and training personnel in inventory management. The calculated annual savings to WFP were approximately €400,000. While on the one hand, the result of the project was trust and confidence that this partnership could work, on the other, it showed how different the benchmarks, goals and methods of each organisation were, and that they would have to learn ‘how to dance together’.
Spreading practical knowledge
After Brindisi, other initiatives developed quickly as the trust and relationship grew stronger. For example, both parties found that WFP’s fleet management and transportation were areas that needed improvement. With each humanitarian agency adopting an independent strategy for its fleet, and different types and makes of vehicles in use across and within regions, the complexity and cost of operating and maintaining these fleets was very high.
Even though its experience with in-house vehicle maintenance, spare parts and tire management would be a positive contribution to WFP, TNT quickly realised that many more variables were involved in the humanitarian sector than they had ever before encountered. To learn more, and to formulate recommendations closer to the needs in the field, both organisations decided to create a “Fleet Forum”. They invited other humanitarian organisations to discuss ways to improve their practices, using the support of the private sector. Through the active participation of the different stakeholders (donors, humanitarian organisations and the private sector), the forum identified areas where they could exchange knowledge with the private sector, borrow lessons learned and implement best practices.
Another initiative involved approaches to optimise transportation in South Sudan, an area devastated by 20 years of armed conflict and presenting significant logistical challenges. Following a request from the United Nations Joint Logistics Centre (UNJLC), TNT seconded staff to build a computer model that would capture:
- the different modes of transport
- their associated cost and capacity
- the cost of infrastructure rehabilitation.
The model, currently in beta version, not only helps to identify the most cost-efficient routes, but also quantifies the rehabilitation needs on the ground, helping agencies build a stronger case for business support by donors. Since a substantial amount of goods are sent by air to the region at a significant cost, the model helped to identify and prioritise which land corridors should be rehabilitated to maximise the benefits in terms of cost and speed.
2.1 Humanitarian operations and corporate responsibility
Even though the WFP–TNT partnership is the largest and perhaps most visible in the humanitarian logistics area, there are many other examples where the two sectors have gained by working together. For example, identifying and avoiding bottlenecks in the supply chain is of high importance, and is a task best done by experts. In Iraq, concerned about potential fuel shortages and disruptions, the UNJLC worked with a private-sector fuel specialist to identify the potential impact and likelihood of fuel disruptions to transport and the domestic energy supply. Following a careful study, bulletins indicating the availability of fuel and prices were made widely available on the UNJLC website. Authorities and agencies were then alerted as to when fuel would be likely to run out. This information meant that potential crises could be avoided. The success of the assistance was apparent to John Levins, head of the UNJLC Fuel Team: “The long queues of cars at Baghdad petrol stations disappeared once our estimates of overall supply matched our estimate of overall demand.”
Frictions and challenges
Despite the success of the WFP–TNT projects, such partnerships are not always easy, as the two sectors are extremely different: one slow and bureaucratic, the other fast moving and action oriented – both with very different agendas. Typically, humanitarians are sceptical of the business world; just as typically, companies see humanitarians as idealistic and inefficient dreamers. Working together is not easy but certainly not impossible.
One of the greatest challenges is to align humanitarian values with private-sector goals. Shareholders will ask questions, and the company’s management will be forced to show that the way they run the partnership is not only beneficial to the humanitarian organisation but is also adding value for the company. Finding common ground and forging understanding between the two parties requires a lot of commitment on both sides. They must both understand that it is possible for economic benefits and social values to go hand in hand, and that the highest impact is when CSR creates simultaneous gains for both parties. While the value of such private–humanitarian partnerships is beginning to be acknowledged, measuring the exact value remains a challenge, as is the case with CSR initiatives in all sectors. There is scepticism about how much value is created and for whom, raising the important question of how long such partnerships can last.
TNT faces the challenge of choosing projects that bring value to the agencies while providing the highest return on investment for the company.
Hard choices
Numerous efforts have been made to measure the financial impact of CSR initiatives, but the results are confusing, to say the least, and there is no general agreement on what methodology should be used. While enthusiasm among businesses such as TNT runs high, with so many opportunities for working together, TNT, like many private-sector companies involved in CSR, faces the challenge of choosing projects that bring value to the agencies while providing the highest return on investment for the company. Thus project selection requires a strong sense of discipline and objectivity from both partners.
2.1 Humanitarian operations and corporate responsibility
The criteria are simple and in line with our earlier thoughts:
- use your core competencies in areas where they are most needed, and the return will follow.
In doing so, companies reassess their core competencies and, while sharing them, learn new approaches that could improve their competitive edge.
We see the humanitarians in the forefront, leading the intervention in a disaster, with their private-sector partners supporting the management team in the back office with tools and practices that improve preparedness, and providing increased capacity and skills when needed to meet peaks in demand.
The humanitarian sector has long experienced manipulation and the unintended consequences of their humanitarian actions in heavily politicised environments with limited information. Such lessons have fuelled their scepticism towards private-sector initiatives, where:
- agendas are not always clear
- there are risks of unintended negative outcomes
- doubts exist about the length and level of the private-sector commitment
- there are few precedents for trust.
**Conclusion**
The tide is turning. On the whole, both TNT and WFP are very pleased with the results of the partnership so far, as evidenced by the fact that TNT has decided to substantially increase its commitment for 2005. The TNT-WFP experience is thus testimony to the fact that these partnerships make sense. It is clear how humanitarians can benefit from the transfer of know-how from private companies. In return for its time and skills, TNT gets free publicity, raising its profile as an organisation that is working to improve the world in which we live, which leads to increased employee morale and motivation. This in turn can lead to more satisfied and loyal customers. The organisation also gains from the experience because its staff learn the skills to deal with the most challenging of circumstances; this serves to strengthen the company’s own supply chains. Finally, the association could also translate into business opportunities in areas that would otherwise be hard to access.
Sustainability is a major concern for humanity. For example, 1.3 billion people live in extreme poverty (on less than one US dollar a day). Every five seconds a child dies of starvation. Partnerships between humanitarian organisations and private business are one way of tackling these problems. The TNT-WFP example is clearly a benchmark for others looking for ways to get involved.
**Short-term CSR partnerships**
Awareness of corporate social responsibility has put pressure on companies to show what they are doing to fulfill their obligations. In light of this, many businesses want to assist humanitarian charities in the aftermath of major disasters, such as hurricanes, earthquakes or famine. Some contribute to such causes through a single, long-term partnership with a non-governmental organisation (NGO), while most prefer the flexibility of ‘quick-fix’ efforts that react to immediate needs. But what do companies with limited experience of disaster relief need to know in order to make these short-term partnerships work – for both parties?
2.1 Humanitarian operations and corporate responsibility
Cash or kind?
In response to a recent INSEAD study of 25 humanitarian organisations, field managers ranked cash as the most helpful type of contribution from business. Money gives humanitarians the liquidity and flexibility that they need to respond quickly to the requirements on the ground. Often, the value of cash is greater than the same value in kind. For example, a European company offered to provide nylon tents, at cost, for use in Pakistan. The cost price of one of those tents, had it been sent as cash, would have bought a house in the same area.
The advantage of cash from the corporate point of view is that it makes it easy to track the cost. The return on investment can also be more evident: a fundraising activity organised by employees (and inspired by a corporate promise to match the money raised) can work more efficiently than many so-called team-building activities. The downside is that handing over cash requires a certain amount of due diligence on the company’s part. It needs to be sure that the chosen agency has both the:
- capability: a track record and local knowledge
- accountability: a history of providing reliable data about how it manages its funds.
Despite the strong case for cash, there are some good examples of alternative contributions. For example, Ericsson provided satellite and heavy-duty waterproof phones for relief workers in southeast Asia after the tsunami in 2004, while Danone donated two million bottles of mineral water to the region by February 2005.
Yet companies still fail to recognise that donations should be based on demand, rather than what they can supply. This mistake can cause bottlenecks or, worse, needless expenditure. For example, unwanted donations received during Eritrea’s 1989 war, including seven truckloads of expired aspirin, took six months to burn. The key for a business is to work closely with aid agencies, local embassies or one of the company’s supply-chain partners in the region concerned, rather than launching its own ‘mini-NGO’. The same warning applies to companies that allow employees to volunteer to help aid agencies. Technical skills and noble intentions alone are not enough – they also need to be familiar with the local context and have experience of emergency situations.
Sensitivity
Companies and aid agencies can find themselves competing for airtime, so it is very important that the business does not seek to get all the publicity for itself, and co-ordinates its communication strategy with the NGO. Companies should also bear in mind that their involvement in a high-profile campaign might mean that their competitors will choose not to support the same charity, thereby hurting the cause. Of course, business can follow the CNN trail, but they should keep their messages educational. Above all, they should respect the protocol of the NGO and consult its press experts at all stages.
The role of a business is to support humanitarians saving lives, not to save lives itself.
The role of the corporate sector in disaster management is still being defined. For now, the main message is: ‘Stay humble.’ The role of a business is to support humanitarians saving lives, not to save lives itself.
Understanding, avoiding and managing NGO campaigns against corporations
Michael Yaziji, INSEAD PhD 04, Professor, IMD, Switzerland
Who are these NGOs that seem to be regularly campaigning against firms over various causes? What are their motivations and goals? Which firms are at risk of attack and why? How, as a manager, can I avoid my firm becoming a target, and, if targeted, what can I expect and how can I best respond?
Firms are increasingly facing campaigns by non-governmental organisations (NGOs) over a broad range of issues such as the environment, labour, human rights, consumer rights and animal rights. The number of international NGOs has increased 400 per cent in the last decade and the number of mentions of NGOs in the Wall Street Journal has increased 20-fold during this period. Corporate managers often fail to appreciate the deeper dynamics behind these campaigns and, as a result, respond to them in ineffective or even counterproductive ways. These managers are also often surprised at how effective small – and often ideologically radical – NGOs can be in tackling much larger firms.
In this paper I will:
1. briefly differentiate between two very different types of campaigns – watchdog campaigns and proxy war campaigns;
2. explain how it is that these small David NGOs can beat Goliath corporations;
3. provide some guidance for managers on how to avoid and respond to these campaigns.
The discussion presented here draws on three years of qualitative research including interviews, case studies and a large-scale global survey of NGOs that have campaigned against firms.\(^1\)
Differentiating watchdog campaigns from proxy war campaigns
The two categories of campaigns – holding firms accountable to dominant institutional norms (watchdogs) and those pursuing institutional change (proxy war) – are fundamentally different.\(^2\) They:
- have different goals
- often select their targets differently
- use different kinds of rhetoric with different audiences
- use different kinds of tactics.
A watchdog campaign is one in which the goal is to put pressure on the targeted firm to comply with dominant institutional standards. These standards may or may not be formalised in regulation. Watchdog campaigns are often run by local organisations that are responding to a perceived threat or harm to their local interests.
Proxy war - also called ‘social movement’ - campaigns are designed to challenge and change the institutional framework, whether in terms of the formal regulatory and legal systems or accepted social norms and values. As carriers of challenging ideology, social movement organisations (SMOs, a sub category of NGOs) behind a campaign often engage in institutional proxy campaigns in which opposing institutions generate a proxy conflict between organisations that interact strategically to promote, sustain or represent the opposing institutions.
How radical ‘David’ social movement organisations beat mainstream ‘Goliath’ firms
The efficacy of small and radical SMOs can seem puzzling to both managers and scholars. SMOs are, by definition, working against the
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\(^1\) For more detailed information on the research results and research methods, see Yaziji, M. 2004. Institutional Change and Social Risk: A Study of Campaigns by Social Movement Organizations against Firms, INSEAD.
\(^2\) These two sorts of campaigns are ‘ideal types’, in reality there is a continuum between the two. Nonetheless, as we shall see, there are some important qualitative differences between them that need to be appreciated for practical as well as theoretical reasons.
mainstream – either in terms of values and beliefs or in terms of regulatory systems – of their societies. It is often a mystery to corporate managers just how they manage to be so effective in affecting firms.
A parallel paradox also faces neo-institutional scholars attempting to understand institutional change. Institutions are highly resilient social structures consisting of logics – beliefs, norms and values that guide practical action – and governance structures through which power and authority are exercised.\(^3\) How can institutional change take place when dominant institutional logics, governance systems and resources are all stacked to favour the status quo? And more puzzling still, how can small, resource-poor and ideologically unconventional SMOs successfully challenge dominant institutions?\(^4\)
The key to answering these practical and theoretical mysteries lies in institutionally circumscribed resource pools. Because of their dedication to institutional change, the SMOs have a relatively small institutionally circumscribed resource pool from which to draw. (We can think of pools of resources as being attached to particular institutions, such that these resources are preferentially available to those organisations that conform to the given institution’s demands.) Most of the potentially available resources are likely to be withheld from SMOs, since most of the individuals and organisations that control them will be reluctant, all things being equal, to provide resources to organisations with which they are at ideological loggerheads. The resources that are potentially available to SMOs are restricted to those small niches that are controlled by individuals or organisations who share their ideology and support the institutional change being pursued by the SMO.
Yet, the fact that the SMO is dedicated to undermining a dominant institution, although limiting the pool of available resources, simultaneously ensures that the SMO has a relatively institutionally homogeneous set of individuals and organisations upon which it is resource dependent. Given the wide ideological range of possible organisations to which they could contribute, the suppliers of capital and labour to a particular SMO will tend to agree in their support of the ideological goals of the SMO. If their views diverge from that of the SMO, they can easily direct their resources elsewhere. Clearly, as the SMO grows in size and takes on multiple and divergent campaigns, it will tend to draw resources from more – and more heterogeneous – constituencies. Nonetheless, given their generally small size and their dedication to narrowly defined forms of institutional change, as a generalisation, a given SMO will tend to have a small but relatively institutionally homogeneous set of resources and resource dependencies.
In contrast, the corporations that SMOs target are usually gigantic organisations, fulfilling multiple functions in multiple countries for a multitude of stakeholders. The mere size of the throughput, in terms of labour, capital and resources, ensures a vast set of resource dependencies. The fact that the corporation is driven primarily by practical rather than political ends also allows for greater institutional heterogeneity in the resources upon which it is dependent. Employees, customers and suppliers, for example, could believe in very different ideologies, but deal with the corporation for practical reasons.
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\(^3\) Scott, W.R. 2001. ‘Institutions and Organizations’. Ed. D. Whetten, Foundations for Organizational Science, Sage.
\(^4\) Snow, D. 2002. Social Movements as Challenges to Authority: Resistance to an Emerging Conceptual Hegemony’, Working paper, University of California; Zald, M.N., Ash, R. 1968. ‘Social Movement Organizations: Growth, Decay and Change’. Social Forces, vol. 44.
Thus, the truism in organisational theory that most organisations exist in a context of institutional complexity, applies more to large corporations than to small SMOs. The conflicting demands placed on organisations operating in institutionally complex fields are more severe for corporations than for the SMOs that campaign against them.
How does this insight fit with current research? In their fascinating paper, Padgett and Ansell put forward the proposition that multivocality – single actions interpreted coherently from multiple simultaneous perspectives – can provide an advantage through the use of robust actions: actions that are interpreted differently by multiple, separated audiences.\(^5\) But the current context suggests that multivocality can be a cost or a constraint. The actions of the SMO are univocal; the SMO speaks to a relatively narrow range of constituencies and has a relatively ideologically narrow range of resource dependence. Being deeply embedded in a single institutional context, the SMO faces fewer conflicting institutional demands. In contrast, the firm has a wider range of stakeholders that abide by multiple, conflicting institutions. Thus, the firm’s actions are multivocal and subject to multiple conflicting evaluative criteria and demands. So an action that satisfies some stakeholders (e.g. analysts and shareholders) may well appear illegitimate to another set of stakeholders who uphold a different set of rules, values and beliefs (e.g. consumers, employees and citizens).
Thus, while occupying a ‘structural hole’ in the network provides informational advantages from an institutional perspective, it can come at a cost of multivocality and generate multiple and conflicting demands.\(^6\)
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\(^5\) Padgett, J.F., C.K. Ansell. 1993. ‘Robust Actions and the Rise of the Medici, 1400–1434’. American Journal of Sociology, Vol. 98 (6).
\(^6\) Burt, R.S. 1992. Structural Holes: The Social Structure of Competition. Harvard Uni Press.
2.2 Understanding, avoiding and managing NGO campaigns against corporations
Understanding and managing watchdog and proxy war campaigns
In addition to being of theoretical interest, SMO campaigns are of significant managerial relevance. These campaigns represent a new form of risk for firms – which I call ‘social risk’ – which is unique and needs to be studied as such. These campaigns are also an increasingly important process through which institutions are challenged and changed.
There are a number of other managerial implications from this research that reflect the unique aspects of social risk. These include:
- the issues which instigate campaigns
- the dynamics of the campaigns
- the source of strength of SMOs in these attacks
- firm-specific risk factors.
Corporate managers are generally focused on key variables of competition, such as product characteristics and price. However, the issues that concern SMOs are often different, and thus managers tend to be less cognisant of them. Campaigns are often about production processes (such as labour practices); the worthiness of the product (i.e. protesters are not complaining about furs not being soft enough or cigarettes not being tasty enough); and negative input and output externalities, such as the opportunity costs of clearing forests or the costs incurred by third parties as a result of pollution. Recognising the broader range of potential issues is the first step towards dealing with social risk.
Campaign dynamics
The dynamics of campaigns are also fundamentally different from the dynamics of market competition, and managers must recognise and deal with these differences.
2.2 Understanding, avoiding and managing NGO campaigns against corporations
– Having a big brand is often a source of social risk for a firm as it is more likely to be readily identifiable by third-party audiences of SMO campaigns and it is also more easily construed as symbolic of an institution or industry in a proxy war type campaign. Additionally, the larger the company the easier it is to portray the battle as a David and Goliath contest, drawing out the audience’s sympathies for the SMO.
– In market competition, it is usually ‘every firm for itself’ in a contest for market share and profits. By contrast, SMOs, which are relatively resource-poor and often share similar social, political and economic goals, tend to join in coalitions or ‘swarms’ to attack a particular targeted firm through myriad tactics. In my research I found coalitions of 200 or more SMOs in a single campaign to be common.
– The impact of market competition is generally on market share or margin, but in the case of SMO campaigns, the effects – while ultimately including these – are broader. For example, Sir Mark Moody-Stuart, the former chairman of Shell, said in an interview that the gravest impact of SMO campaigns against the oil giant was not on direct loss of sales or margin but on employee morale and the ability to attract and retain high-quality employees. SMO campaigns, particularly those pursuing more fundamental social change, can also lead to changes in the regulative rules of the game in which firms compete, including oversight, legislation, taxation and subsidies.
Why SMOs are effective
While talking to firm managers and studying campaigns, I have been struck by the way firms are normally caught off-guard by the impact of SMO campaigns. There are a number of attributes of SMOs that support their effectiveness.
– As highlighted in the section above, the advantage of univocality and institutionally homogeneous resource pools puts a wider choice of tactics at the disposal of SMOs embarking on a proxy war campaign.
– As an ‘industry’, SMOs have much greater legitimacy than firms. As indicated by the surveys conducted by Edelman (2003) SMOs are trusted more than firms – and often more than government. In addition to their greater legitimacy, they are also regularly seen as underdogs, which can bring audience sympathy.
– NGOs, as mentioned above, tend to cooperate more with one another than firms do, and thus when an SMO ‘industry’ comes up against a market industry, it has a competitive advantage.
– SMOs are designed around and focused on their causes, whereas firms are primarily focused on and designed to optimise their market performance. Thus, while firms are, at root, economic agents, SMOs are social and political agents. As a result, SMOs tend to be good at social and political manoeuvring, whereas firms are often more maladroit. Also, as dedicated political/social players, SMOs do not need to balance their goals or campaign resources against some other organisational imperative, such as maximising economic performance, to the same extent as firms do. Although targeted firms often have tremendous resources, most of them are dedicated to goals of market competition and are thus unavailable for responding to SMO campaigns.
– Finally, another source of effectiveness of SMOs in their campaigns is that they are the initiators and on the offensive. This means that they get to choose their targets, tactics, timing and framing of issues to optimise their impact.
2.2 Understanding, avoiding and managing NGO campaigns against corporations
Firm-specific risk factors
Through my research, a number of firm-specific risk factors have been identified and these have obvious managerial relevance. Firms at the greatest social risk include those that:
1. offer life-saving or life-threatening products (e.g. pharmaceuticals, health care, arms and tobacco). It is easy for SMOs to cast these situations as ‘people versus profits’;
2. confront changing social mores (e.g. fashion, media, alcohol, pornography, gambling). Firms that operate in environments of institutional flux or conflict are more likely to get drawn into an institutional proxy war. In addition, the magnitude of the risk, as well as its probability, is higher because more fundamental institutional changes – and thus major changes to the rules of the game – are possible;
3. generate large externalities (e.g. extraction, heavy manufacturing, electrical power, waste management, chemical). The externalities of these firms are felt by a wider range of citizens and consumers and thus campaigns are more likely to gain resources and garner support;
4. have high power in the supply chain or market. Firms such as Wal-Mart and Microsoft can often extract a high percentage of the surplus value in the supply chain. This will tend to increase the degree to which there is a negative pre-existing attitude toward the firm. As a result, SMO claims against the firm are more likely to find a positive reception among relevant third-party audiences;
5. have high brand awareness (e.g. retail, clothing, food and beverage, automotive, media, finance). These firms make better targets for SMOs because they are already known to potential audiences of a campaign, and are more easily cast as symbols of industries or institutions;
6. use new technologies (e.g. genetic engineering, stem-cell research, personal-data collection). New technologies can raise questions about whether the arising practices are legitimate and appropriate;
7. do business in different regions with differing ethical or social expectations (e.g. virtually every multinational, particularly those operating in both developed and developing countries). This increases their exposure to institutional complexity;
8. are representative of controversial institutions (e.g. being a US-based multinational).
Recommendations for managing social risk
Through my qualitative research, some apparent best practices for managing social risk and campaigns have become apparent. I divide them into two categories:
– avoiding attacks
– responding to attacks.
Avoiding attacks
The first steps are to identify and minimise exposure. Managers should consider what risk factors their firms face and must remain cognisant of the distinction between what is legal and what is legitimate. SMOs engaged in efforts to change industry-wide practices, laws or institutions often attack firms regardless of whether the firm is law-abiding.
Firms should also try to map out the relevant SMOs. These include radical organisations that could be considered as only potential threats, as well as less radical organisations, which might become partners rather than attackers. Pre-emptive engagement with NGOs can provide a wide range of benefits in reducing the downside of social risk and increasing the upside.\(^7\)
\(^7\) Yaziji, M. 2004. Institutional Change and Social Risk: A Study of Campaigns by Social Movement Organizations against Firms. INSEAD.
Firms begin at a basic disadvantage in the court of public opinion.
Managers should keep in mind the relative lack of trustworthiness or credibility that most firms have. If a more legitimate SMO makes claims against a less legitimate firm whose motives in defending itself are immediately suspect, firms begin at a basic disadvantage in the court of public opinion. Building legitimacy and trust as a good corporate citizen should be an ongoing effort.
**Responding to attacks**
Responses to campaigns invariably include a component of maintaining or regaining legitimacy. Suchman identified generic strategies (compromise, ignore, defend, counter-attack) for doing so. However, two complications are worth discussing.\(^8\)
Suchman assumed that the loss of legitimacy was the result of failing to meet existing dominant institutional standards. But since campaigns are often launched as a form of proxy war, conforming more closely to the campaigning organisations’ standards is unlikely to satisfy the campaigning organisations. Firms under attack need to determine the goal of the attack – is it to change the firm’s behaviour (as in a watchdog campaign), or to change the rules of the game (as in a proxy war campaign)? The optimal response could well depend on the goals of the attacking SMOs.
Additionally, the short-, medium- and long-term consequences must be taken into account. Some firms negotiate and make concessions as soon as they are challenged. This may relieve the immediate pressure but invite further attacks. So, seen from the medium term, making concessions might seem like a bad idea. However, in the long term, reputations and relationships matter and having a good reputation and positive ongoing relationships with all the stakeholders that can affect the firm greatly reduces the firm’s social risk.
This reasoning only captures a partial truth and actually confuses the medium term with the long term. For very high-profile organisations, it is likely that evaluation and critiques should be taken as a permanent condition. Given this, close and ongoing cooperation and communication and compromise with relevant SMOs might actually be the optimal long-term approach. Earning a good reputation and the trust of SMOs might be difficult and costly over the medium term but beneficial over the long term.
**Conclusion**
NGO campaigns against firms are growing in frequency and impact. These campaigns are theoretically fecund for understanding institutional change and are practically relevant for managers trying to understand and manage their social risk. I have attempted to differentiate between two very different types of campaigns – watchdog and proxy war campaigns – which play very different roles in terms of institutional pressure and change and which require very different responses from managers.
I have further tried to explain the surprising effectiveness of small social movement organisations and to give some guidance to managers facing these formidable, and growing, stakeholders.
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\(^8\) Suchman, M.C. 1995. ‘Managing Legitimacy: Strategic and Institutional Approaches’. *Academy of Management Review*, vol. 20 (3).
2.3
Who is your enemy?
Lafarge, NGOs and the Harris superquarry campaign
2.3:1
The Harris superquarry
Alastair McIntosh, Visiting Professor, University of Strathclyde, Scotland
2.3:2
The Harris superquarry saga seen from Paris...
or How to turn a liability into an asset
Michel Picard, INSEAD MBA 81, Vice-President Environment & Public Affairs, Lafarge, France
2.3:3
A joint statement
2.3.1 The Harris Superquarry Background
The Harris superquarry
Alastair McIntosh, Visiting Professor, University of Strathclyde, Scotland
Traditionally, our way of life on the Hebridean islands off north west Scotland revolved around a form of subsistence agriculture known as crofting, which is mainly pastoral with sheep and cattle. The fishing industry was also very important, as was the weaving of the famous Harris Tweed – as worn by Robert Langdon in the Da Vinci Code. However, this resilient corner of Old Europe, far from the mainstream of the Anglo-Saxon consensus, underwent rapid change during the 20th century.
Tourism became a mainstay of the economy as the old ways were failing to meet modern aspirations and were undermined by changes in agricultural and fisheries policy.
When England’s biggest roadstone company, Redland, proposed the creation of a very large coastal quarry on the island in 1991, many Harris residents were delighted. The “superquarry” initially promised some 500 jobs in an economy where unemployment was around 20%. Redland’s plan was partially to demolish a mountain beside the sea, shipping rock as far away as America.
At first, perhaps as many as 90% of the people of Harris were enthusiastic. Some were more sceptical. I myself had worked in Papua New Guinea for four years where I had witnessed the effects of large minerals-based development projects on small indigenous communities. This led me to take a lead role in fighting the quarry.
During the course of this 13-year struggle, Redland’s share price crashed and it was taken over by the French multinational Lafarge, the biggest producer of quarry products in the world. I ultimately helped broker an arrangement that gave Lafarge a “dignified exit strategy” out of what was, after all, a designated ‘National Scenic Area’. In a surprising twist to the tale, I was then invited to address Lafarge’s top management and asked if I would serve on their Sustainability Stakeholders’ Panel. Is this greenwash and co-option? Or is it part of the way forward for corporate social responsibility that we must all, if we are “consumers” of corporate products, share responsibility for?
This paper will summarise the superquarry story and then focus on the dilemmas raised for activists and NGOs when “the enemy” offers the olive branch.
The superquarry’s history
Much of the history of the superquarry has previously been documented.\(^1\) In 1965, planning permission was granted for a quarry at Lingerabay near Rodel in South Harris in Scotland’s Outer Hebridean archipelago. This went undeveloped until, in 1991, the UK’s largest roadstone company, Redland Aggregates, applied to open a £70m “superquarry” on the site. They wanted to ship out 10m tonnes a year over 60 years and convert the eastern slopes of the mountain into a new sea loch.
Amidst a groundswell of public debate, people started to think more deeply about the project. A local referendum in June 1993 revealed 62% support. Promises of hundreds of jobs were becoming less certain in the cold light of scrutiny, and those involved in the fishing and tourism industries asked whether the jobs created might be offset by losses in their
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\(^1\) See ECCS 16:1, 1998; 23:1, 2004 & 24:2, 2005. Also, Friends of the Earth Scotland (1996), *The Case Against the Harris Superquarry*, Macharney, and Fyfe D. (1998), “The Quarry, the Slag and the Whale. White Road?” Community identity and environmental threat on the Isle of Harris, Environment and Planning D: Society and Space, Vol. 16, 509-532; McIntosh, Alastair (2004 revised edn.), *Soil and Soul* (Aurum Press, London). A major recent report compiled by all the major environmental agencies involved is Scottish Environment LINK, *The Battle for Romeahalb. Reflections on the successful campaign to prevent a superquarry at Lingerabay, Isle of Harris, and lessons for the Scottish planning system*. LINK, Perth, 2005 – available in pdf at www.link.org.uk
The basic argument presented here has been presented elsewhere in largely based on a version originally written by me jointly with Jean-Paul Jeannenaud and Luc Giraud. Giraudes of WWF International, and published, along with material written by Lafarge UK and Friends of the Earth (Scotland), in ECCS – journal of the British Association of Nature Conservationists, Vol. 25, Issue, 2, 2004, 44-59.
A joint statement
“There are many different ways of trying to live in this world. At the heart of them all is the question of whether or not we take responsibility for the impact that we have, and that includes whether or not we are willing to live in a system that we may not fully agree with, and admit it. Without such recognition of complicity we lack the necessary consciousness with which even to start to express care.
Our shared experience of the Harris debate and of service on the Lafarge Sustainability Stakeholders Panel has been a humbling one. We have found it possible to respect differences and yet admire what each other is trying to achieve within very different frameworks of life. We can both see that neither of us has all of the solutions, and that the problems we are trying to tackle are often bigger than any of us. As with so many aspects of the global problematique, it is easy to despair and to think of giving up, but if we do that we lose our humanity and the opportunity to deepen that humanity.
Neither of us are naive enough to think that our work in this way will make great inroads into “saving the Earth”, but the inroads we do make are not insignificant. Beyond saving a mountain in Scotland and enabling a community to keep its future in its hands, we have set an example for others to follow. We have proven that battles are always worth fighting and that even mighty corporations can have a heart! Working together through the Sustainability Panel helps to hold in place the moral backbone. That helps to win the internal arguments about ethical issues and helps to strengthen our identities and the resolve that follows. It makes room for dialogue, for more understanding, and so for a deepened shared humanity. We see this as the professionalism to which we aspire.”
would deepen reflection on his own bank’s co-operative core values.
Over several training workshops, it became evident that these French bankers were dismayed at the thought of such a reputable company as Lafarge trying to force something upon a landscape in Scotland that they would never attempt in France.
In August 2003 Thierry Groussin came to Harris. We visited Rodel’s medieval Saint Clement’s Church (named after a martyred quarry slave), and climbed Mount Roineabhal. As we admired the misty view, Thierry pulled out his mobile phone and started calling up colleagues connected with Lafarge executives. Did they really know what was going on in their name? Might they be willing to have a meeting with me?
The outcome was a private gathering in Lafarge’s Paris headquarters in October 2003. Together with Mme Dominique Viel, an economist with the French Ministry of Finance who is also a member of the Co-Evolution Project, I was introduced to Michel Picard, Vice President for Environmental Issues, and Gaëlle Monteiller, then Senior Vice President Public Affairs & Environment.
I was quickly impressed by their frankness. They generally kept out of local matters in the 75 countries where they operated, but told me that they were aware the superquarry “has become a problem for us.” Would I, they subsequently requested, arrange for them and Philippe Hardouin, Senior Vice President of Group Communications, to make a fact-finding visit to the Hebrides?
Lafarge’s exit strategy & CSR
The Lafarge team came to Harris on 16 January 2004. In three meetings chaired by the area’s elected councillor, Morag Munro, they listened to all shades of local opinion. In private, they were very frank about how they saw their situation. Indeed, I found it appropriate to ask them not to share with me information that they were not willing for me in turn to share at my own discretion with locally-connected people such as Quarry Benefit Group chairperson John MacAulay, environmental activists Alison Johnson and Ian Callaghan, and Lafarge’s arch-adversaries like Duncan McLaren and colleagues at Friends of the Earth Scotland.
I explained that it could be divisive if I alone was placed in a position of holding privileged information. Information is power, and if some have power while others don’t, the seeds of mistrust and possible compromise are sown. The Lafarge team continued, nevertheless, to be very open with me. However, by having taken this step it meant that I was free to apply my own discretion in sharing information and not feel obligated in any way. In retrospect, this measure played a vital part in creating all-round trust. All parties involved, including the Lafarge executives, have subsequently specifically commented on this. It allowed me to become the ‘honest broker’ between the two sides, without compromising my ‘firebrand’ reputation.
The outcome of the January visit was a return trip to the Hebrides for us all on 2 April. This time, the same Paris trio accompanied by the two top Lafarge Aggregates UK staff – Dyfrig James, General Manager, and Nigel Jackson, Director of Business Development – announced to community representatives the good news of their unconditional withdrawal from Harris.
2.3.1 Background
The Harris Superquarry
Speaking to Rob Edwards, the award-winning environmental correspondent for the Sunday Herald, Philippe Hardouin said:
*We have to create value for shareholders, but we want to do it by respecting some values. The combination of both dictates our decisions. We recognise that if we are active in the best possible way from an environmental standpoint, we will get a competitive advantage.*
Councillor Morag Munro, responded for Comhairle nan Eilean Siar, the Western Isles’ Council, saying:
*I wish to express my gratitude and the gratitude of this community to you for bringing the uncertainty of the past 13 years to an end. We are very appreciative of the fact that you came to Harris to see for yourselves and then came back to give your decision directly to the community before anyone else. Your courtesy was greatly appreciated by both supporters and opponents of the project.*
NGOs and corporate social responsibility
As the dust settled, it became clear it that a great deal had been happening of which many players had been only dimly aware behind the scenes in this debate. My own role had, as Michel Picard put it, “turned the key in the lock” by being in the right place at the right time. But this was possible only because many other hands were already knocking on the door. It hastened what was probably the inevitable, and allowed Scotland’s biggest-ever environmental campaign to be wound up with mutual dignity.
Yes, it was a victory for us environmentalists, but it also allowed Lafarge to demonstrate that they do not put profit first when the welfare of the communities in which they work might be at stake.
Many different people and organisations had been fighting the superquarry from diverse angles, and the primary thrust had come from a coalition of NGOs comprising the Link Quarry Group – including Friends of the Earth Scotland (FoES), Ramblers Scotland, RSPB Scotland, WWF Scotland, Rural Scotland, Sustrans, NEMT and the Scottish Wildlife Trust. What is interesting in terms of campaigning strategy is that while most of these were applying “push” pressure on the company, a simultaneous “pull” process was being effected from the international office of WWF in close liaison with Simon Pepper and his Aberfeldy-based Scottish team.
WWF International, based in Switzerland, had signed a Conservation Partnership with Lafarge in 2000, at which point neither WWF International nor Lafarge in Paris had been aware of the strength of local controversy surrounding the Harris project. However, WWF soon got strong signals from Simon Pepper that their Scottish office was heading for direct confrontation with Lafarge.
This tension between the international partnership aimed at helping Lafarge become a ‘cleaner’ company, and the confrontation with Lafarge in Scotland, presented a dilemma as to whether they ought to proceed with the partnership. Parts of the WWF network put pressure on WWF International to terminate the cooperation. Other NGOs attacked WWF publicly in the media and it became the target of a letter-writing campaign, initiated by FoES and Link Quarry Group partners, and directed at Claude Martin, WWF International Director.
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4 Lafarge did not want a press conference, but agreed to minimal media contact that I managed with the local Hebridean newspapers and the Sunday Herald, the editor of which, Andrew Jarpan, has a particular interest in corporate ethics. See Sunday Herald coverage of 4 April 2004 and other media reports on my website at www.AliatarMcIntosh.com/general/quarrywithdrawal.htm
2.3.1 Background
The Harris Superquarry
General. One letter writer from Dumfries in Scotland urged WWF to end the partnership with Lafarge, as he put it, to: "... support the anti-quarry campaign and to urge Lafarge to stop munching our mountains." WWF International responded in a number of press releases and written replies to NGOs and concerned members of the public by publicly stating their support for the opposition to the quarry. Lafarge itself published details of the controversy in its Sustainability Report 2001, including the URL of the Link Quarry Group’s website.
WWF’s Director General personally intervened on a number of occasions to attempt to persuade Lafarge’s senior management to abandon their plans for Harris. Their regular quarterly meetings became an opportunity to stress opposition to the project and suggest dignified exit strategies. In all public fora where the partnership was presented, WWF reiterated its position whilst insisting that it was crucial to engage with business and industry from within in pushing for a more sustainable future. WWF International still believes that by continuing to work with Lafarge during this confrontation, and despite negative media attention in the UK, it was able to contribute towards real conservation and sustainable development benefits around the world, a view endorsed in the final report of the Link Quarry Group:
*There is no doubt that Lafarge made considerable progress in its environmental performance during its partnership with WWF. By the end of 2004, it had reduced its absolute CO\textsubscript{2} emissions by 9.5% in industrialised countries, and globally it had achieved an 11.2% reduction in CO\textsubscript{2} emissions per tonne of cement, compared to 1990 levels. This, in turn, was helping to catalyse change in the wider cement sector, as other companies sought to follow Lafarge’s example. Rehabilitation plans of a standard agreed by WWF were in place for 80% of Lafarge’s quarries, and environmental audits had been performed for 90% of all Lafarge sites over four years. Recycling had increased and waste disposal to landfill had been reduced across the company’s divisions, and alternative fuels provided 8.45% of all Lafarge’s energy requirements.*
**Link, 2006, 95.**
Complicity in greenwash?
Lafarge’s invitation to me to serve on their Sustainability Stakeholders’ Panel came as a considerable personal challenge. On the one hand, they make their money by blowing up places often of great natural beauty. On the other, the company demonstrates a real commitment to social and environmental aspects of corporate responsibility.
What’s more, as inevitable consumers of corporate products, there is an extent to which we are all complicit in the impacts of corporations like Lafarge. If we look in the mirror of the corporations, we see, in part, our own faces. Merely to project our unease onto them and expect them to produce cost-effectively in a competitive environment while not being willing to engage with them from the inside is problematic and, arguably, hypocritical. Engagement might make us complicit in ‘greenwash’ (i.e. the veneer of policies and achievements used to give an impression of caring for the environment), but to refuse to engage while still making use of quarry products in our everyday lives – the buildings we live in, pavements we walk down, etc. - would be to project our own complicity onto others who are, perhaps, more honest about their position.
2.3.1 Background
The Harris Superquarry
After consulting with key colleagues who had fought against Redland and Lafarge, I therefore agreed to accept the role, on the understanding that while I would take full expenses including travel and accommodation, I would not accept any remuneration from Lafarge. (http://www.alastairmcintosh.com/general/quarry/lafarge-panel.htm).
For the company, opening up to a “critical friend” in this way was also a challenge. Some members of senior management likened it to “letting Greenpeace loose inside Lafarge”. They had understandable worries both that I would become privy to commercially sensitive information, and that if I subsequently turned against the company, I could inflict even greater damage from the inside. For others, Lafarge was acting in good faith and so, they argued, had nothing to hide. What better way than to engage with your industry’s critics than to ask them to share their ideas as to how things might be done differently? What better way to gain a competitive edge?
I am not the only person at the bi-annual Lafarge Panel meetings in Paris to take a critical stand. There are also representatives from WWF, from a sustainability NGO, from ethical asset managers, and from trades unions. Progress is often slow and frustrating. That is because the structure of advanced capitalism is such that corporations must succeed competitively to survive. Ethics must ultimately intertwine with profit. If the money-making process falters, shareholders will resort to radical ways of protecting their financial investments in the short term, such as cost cutting that may lead to staff redundancies, and mergers and acquisitions that may result in medium- or long-term negative social consequences.
Personally, I question the morality of putting short term financial consideration before the broader welfare of society. I look towards more co-operative and less competitive alternatives, such as Fair Trade and other movements based on principles of mutuality. But given the reality of how western economies are presently organised, I have to concede that I have been impressed that senior individuals in a corporation like Lafarge can help tilt the balance – at least in a small way – in an incrementally positive direction. As such, sustainability may not be achievable in the short term but we can take some satisfaction in witnessing a raising of the level playing field and with it a raising of consciousness. It at least shifts change in the right direction.
In attempting to influence Lafarge I take it for granted that they will continue attempting to operate their quarries to high international standards. My debate with them turns upon the need to minimise the use of primary resources and to cease measuring success purely in terms of the volume of rock extracted each year. This goal could be worked towards, secondly, by promoting ecological building standards, environmental legislation and taxes on aggregates. Recycling, substitution and product life-spans must be optimised. Lafarge could help point the way through its lobbying, and by not lobbying against environmental measures.
Here is how the panel resolutely expressed some of these ideas in the latest (2005) Lafarge Sustainability Report:
*The panel affirms Lafarge’s robust stance on quarry rehabilitation and restoring biodiversity. However, there are aspects of biodiversity and landscape that carry both*
human and intrinsic meaning, and which can never be fully restored. As such, we see large-scale quarrying as a fundamental problem, albeit one for which we are all responsible as consumers. We therefore welcome Lafarge’s growing integration of its quarrying policies with recognition above in this report that, ‘The key challenge is to minimize the use of raw materials.’ And we pose the strategic question: ‘What corporate policies would be necessary if nearly all new quarrying was to be ceased, and building materials were to be created almost entirely from recycled sources of material?’ Just as Toyota have set the goal of developing “the non-polluting, accident-proof saloon” by 2050, with 5% of resources invested in necessary R & D, so the panel looks to Lafarge leading the equivalent for the construction industry.
Inasmuch as words can make a difference, to have this published in one of the company’s official reports demonstrates, I think, that we have not been put in a position where we have to hide our real opinions. Many of Lafarge’s executives see such measures as these as being a political function beyond their remit. However, my colleagues and I on the Panel urge them to think again about the fundamental question of corporate strategy, namely: ‘What is the nature of the business you are in?’ If companies like Lafarge can develop their thinking beyond cement, plasterboard and aggregate production, and towards sustainable solutions for the construction industry, we may witness the birth of a genuine industrial ecology. Meanwhile, critical though some of us may be of advanced capitalism, it is part of the world we currently live in, and though we may complain about “lack of alternatives” we are all to varying degrees complicit.
In the battle for Mount Roineabhal, Lafarge proved to be a “worthy opponent”. At the end of the day they did right by our community, even leaving behind a €50,000 goodwill gesture for local sporting facilities. In the corporate world there are many less-pleasant entities than Lafarge out there. That is why, on balance, I believe it was justified to have become my old enemy’s critical friend. If we have to have environmental impacts like quarries on the world, then better they come from people like those in senior positions at Lafarge. We are all compromised in this world, but some endeavour to be less so than others. For that reason I might find myself sceptical of “corporate social responsibility”, but equally I am unable to see ways of improving it given the current human situation. As such, Lafarge have earned my grudging respect.
The Harris superquarry saga seen from Paris… or How to turn a liability into an asset
Michel Picard, INSEAD MBA 81, Vice-President Environment & Public Affairs, Lafarge, France
In 1998, shortly after UK-based Redland plc was taken over by Lafarge in Paris, I was informed about their project proposal located in Scotland. Clearly it had been a flagship project for Redland; now it was a once-in-a-lifetime challenge for our Director of Lands and Planning in UK. He was, understandably, very enthusiastic about it. It was scheduled to replace the Mountsorrell Quarry where granite deposits were depleted. The rock was exceptional quality anorthosite from Mount Roinneabhal – ideal to meet the growing demand for roadstone, coastal defences, and construction aggregates. But the geographical location was distant, and I confess I did not even try to locate it on the map – I had no reason to.
The project was named Rodel after the village on the southern tip of the Isle of Harris in the Outer Hebrides. Actually it was located at Lingerabay, another village whose name was also given to the project. Redland had originally gone public with the proposal in 1991, but by the year 2000 much had changed in the business environment. Growing global environmental awareness and Lafarge’s commitment to be at the leading edge of this within its industry sector had meant that the company had, with considerable pride, achieved conservation partner status with WWF International – the world’s largest conservation NGO.
Always there is the question as to whether such NGO-industry partnerships in the name of CSR (corporate social responsibility) are what the environmental lobby would call “greenwash” – a form of environmental window dressing aimed at looking good in the eyes of stakeholders and avoiding frontline assaults by campaigning NGOs. Unbeknown to Lafarge at the time of the Redland takeover, WWF Scotland shared the concerns of many Scottish environmental NGOs about the scale of the proposed superquarry, especially its location within a designated National Scenic Area. The upshot was that our new-found relationship with the Geneva-based WWF International was put to the test.
Clearly we could afford to ignore Lingerabay/Rodel no longer. This placed us in a dilemma. On the one hand, world environmental awareness had changed radically over the previous decade; on the other, Lafarge’s policy was to minimise corporate interference with local operations. We generally consider that local business units are best positioned to take the initiative and proceed on the basis of their knowledge of the local realities. Accordingly, we kept our hands off and followed the legal battle at a distance – mainly through the local press.
Seen from Paris, this whole story was quite complicated. Planning permission had first been applied for on 25 March 1991. A ‘public local inquiry’ was then conducted between 1 October 1994 and 6 June 1995 – the longest ever to have run in Scottish planning history. An inordinate delay then followed as the report was not released until 29 April 1999. It found in favour of the quarry going ahead.
With Scotland in the process of acquiring its own parliament, Scottish national pride was running high. Observers on both sides of the superquarry debate could see that the politicians were not anxious to engage with a “hot potato” that would ruffle feathers no matter which way the parliament’s recommendation went (further to the public inquiry). Further delay ensued until, finally, on 3 November 2000 the Scottish Executive announced its rejection of the Reporter’s recommendation: the superquarry would not be given permission to proceed.
Lafarge’s response was to apply for judicial review on grounds that the delays were a violation of corporate human rights. On 18 October 2000, Lord Hardie ruled in the company’s favour. He opined that the Scottish authorities were “in breach of their statutory duty by failing to determine the Lingerbay planning application within a reasonable time”. Meanwhile, the company had also attempted to revive an old planning permission granted back in 1965. Indeed, the complexity and ramifications of the case were becoming enormous.
It was all good business for lawyers, but not much to do with my job as Head of Environment for the Lafarge Group in Paris. It was just one project, after all, and only a legal fight as far as I was concerned in one of the 75 countries that my remit covers. All the most interesting elements, from my point of view, had been developed between 1991 and 1995, from the initial environmental impact assessment, the mining plan and the rehabilitation plan with the compensatory measures – long before we became involved in the project. I saw no reason why I should review them. They were water under the bridge from a bygone corporate era.
**Mounting pressure**
But we were not spared the mounting pressure from the environmental lobby. Our partners at WWF International had been to the site and had come back explaining they had seen golden eagles and that the starkly white rock, once quarried, would leave an everlasting scar on the side of the mountain.
We started to feel irritation. Through this project of our British acquisition we were clearly being wrong footed in the public relations stakes. And we could not accept that WWF were trying to make our strategy for us! Added to these considerations, our CEO was receiving a considerable volume of letters from people on Harris and elsewhere, all pressing him to give up the project.
By the end of 2002 it had become clear that we could not advise the general management of Lafarge until we had been there and seen for ourselves. We had to evaluate comprehensively the case on our own terms so that we could internally advise our general management.
**The fact-finding visit**
Alastair McIntosh was invaluable in organising the “fact finding visit”. We wanted to see for ourselves and get an informed opinion of the situation. We did not want to have only the “Redland” point of view; we wanted to meet all the stakeholders and let them tell us their story. We were keen to understand everyone’s concerns and expectations. So we needed someone to introduce us to the island and the islanders. We needed to understand the economics, the politics and also the cultural and environmental values of the people of Harris in a Scotland that was undergoing significant political transition. This would be key to helping Lafarge top management make an informed decision.
While giving a lecture at a business school in Lyon in May 2003 on a seminar on Managing for Sustainable Development, a woman by the name of Caroline Guidetti told me that she was in communication with Alastair McIntosh and that he was trying to get in touch with Lafarge in relation to the project in Rodel. I said I was ready to meet him. Nothing happened after this for a few months.
Over the summer of 2003 I received a letter from a small Paris-based think-tank, the Co-evolution Project. Dominique Viel and her colleague, Thierry Groussin, mentioned a possibility to meet with Alastair McIntosh. We had several discussions on the phone that lead to the first meeting which we organised in October at our headquarters in Paris. The meeting went very well. We were completely candid with Alastair McIntosh and we were very appreciative of the fact that was willing to go out of his way to make our site visit a success. Details were discussed in depth over the month of November. On the island our visit was becoming an open secret and we did not want to leave any hostages to fortune.
Gaëlle Monteiller, VP of Sustainability and Public Affairs, and Philippe Hardouin, Group Senior VP for Communications, made the trip to Harris with me. Not only did we see the site and buy some of the famous Harris Tweed, but we met the local community representatives, attending meetings of the ‘pro-quarry’ and “anti-quarry” lobbies. Each party candidly explained how their day-to-day lives would be changed by the project. As Alastair McIntosh had told us to expect, it was striking to observe how both parties were deeply committed to the wellbeing of the local community, but they differed in how this might be achieved.
Lafarge decides to withdraw
I came back to Paris convinced that we had to give up the project altogether and my colleagues thought likewise. I was not overly concerned by the environmental considerations and those related to the indelible scar on the landscape; the project would not be commenced for another 10 or 20 years, and other factors would doubtless impact upon the ecological balance of the island and the sea in the meantime. The quarry would only eat up some 20% of Mount Roineabhal and the scar would be seen by very few people – either those travelling on the island or at sea. It was, however, the highest mountain in the southern part of the island – with all the spiritual dimension this entailed – plus a beautiful medieval church, St Clements, at its foot.
More decisive still, as I saw it, were the social aspects. The positive benefits of the project in terms of the building of a deep-sea harbour and providing jobs at the quarry would only come after 10 or 20 years, maybe even later if demand for aggregates was not there. In the meantime we would have to keep the site merely as a land bank. The people on Harris did not realise that when the jobs came, they would no longer be for them. They simply could not wait that long. Moreover, the majority of the jobs at the harbour site or at the quarry would not be given to islanders but to workers foreign to Harris who possessed the skills that we would require. They would probably settle on Harris with their families and possibly disrupt the fragile fabric of social relationships within the island where, for example, devout protestant religious observance is a mark of local identity.
But most damaging of all was the ‘planning blight’ – the uncertainty affecting the planning
system and local people’s personal investment decisions. The island had already suffered from it and could well do so for another 10 years or more. From a corporate ethical perspective it was unfair to impose this economic cost upon the islanders, especially knowing that to eventually activate the project would entail capital investment at such a level that authorisation from Lafarge’s top management would be required – yet frankly this project was not seen as a priority in Paris.
Back home, I think we preached to the converted. Not long after we returned from Harris, Paris headquarters requested Redland’s English executives to come up with an exit strategy. Once this had been agreed we personally made the trip to Harris on 2 April 2004 to announce our withdrawal because we wanted a dignified exit. We wanted to show the “human face” of Lafarge by announcing the decision to the community ourselves, rather through the impersonal medium of a press release. It also put an end to our “arm wrestling” with WWF International. Thereafter we were able to work together with them on other more general environmental issues.
The decision – and announcing it publicly – was very well received by the islanders and the NGO community. But we did not just want to leave the island and be remembered for nothing more than an abandoned project. We recognised that people on both sides of the debate had had the good of the community in mind, a uniting value that we, as a company, held high in our corporate ethos. We wanted to leave a positive contribution, hence a significant donation was made to support the restoration of a playing field in the local township of Leverburgh.
**Conclusion**
Lafarge operates in a competitive environment. We create wealth by extracting natural minerals from the Earth’s crust and turning them into construction materials. This activity is here to stay – for many years to come – and there will be other controversies like that of Harris. We do not pretend to be perfect, but we do believe in certain things. We have our own company values and we are never afraid of being challenged and improving our working practices.
Multinational corporations usually regard environmental activists as a threat. They live in a different world, they ignore how business operates, their people sometimes project their own psychological problems with perceived authority onto businesses and, more often than not, they manipulate information in order to portray their own reality and achieve their goals.
When I met Alastair McIntosh I knew he was an environmental activist, and a quite forceful one at times, but I also discovered a man of faith, an honest man, a man I could trust. After the Harris dispute was over, I felt he would be a positive contribution to our Sustainability Stakeholder Panel because he would actively challenge us, while at the same time trying to understand our business model.
After consultation with his campaigning colleagues, and on a basis that carries no remuneration, this is what he has done. Together with the other members of our Sustainability Stakeholder Panel, he demonstrates to our top management that not only it is possible to have dialogue with committed activists, but more importantly in a constantly changing social and business environment, it contributes to guiding our agenda forward. This is bringing tremendous value to the company.
A joint statement
“There are many different ways of trying to live in this world. At the heart of them all is the question of whether or not we take responsibility for the impact that we have, and that includes whether or not we are willing to live in a system that we may not fully agree with, and admit it. Without such recognition of complicity we lack the necessary consciousness with which even to start to express care.
Our shared experience of the Harris debate and of service on the Lafarge Sustainability Stakeholders Panel has been a humbling one. We have found it possible to respect differences and yet admire what each other is trying to achieve within very different frameworks of life. We can both see that neither of us has all of the solutions, and that the problems we are trying to tackle are often bigger than any of us. As with so many aspects of the global problematique, it is easy to despair and to think of giving up, but if we do that we lose our humanity and the opportunity to deepen that humanity.
Neither of us are naive enough to think that our work in this way will make great inroads into “saving the Earth”, but the inroads we do make are not insignificant. Beyond saving a mountain in Scotland and enabling a community to keep its future in its hands, we have set an example for others to follow. We have proven that battles are always worth fighting and that even mighty corporations can have a heart! Working together through the Sustainability Panel helps to hold in place the moral backbone. That helps to win the internal arguments about ethical issues and helps to strengthen our identities and the resolve that follows. It makes room for dialogue, for more understanding, and so for a deepened shared humanity. We see this as the professionalism to which we aspire.”
Strategic philanthropy at Randstad
Kai Hockerts, Copenhagen Business School
Anthony Westenberg, Randstad
“Good to know you” was the advertising slogan of Randstad, one of the largest temporary and contract staffing organisations in the world. For Frans Cornelis (INSEAD MBA ‘83) it had a very personal meaning when he entered the Amsterdam headquarters of Randstad in 2003 for his first day of work, leaving behind his old job at KPN, the Royal Dutch Telecom group.
Frans had been hired by Ben Noteboom, Randstad’s young and energetic new Chief Executive Officer to build up the Corporate Communication & Branding Department of Randstad Holding. During the company’s rapid expansion in the 1990s, Randstad Holding had lost some of its focus on a systematic communications and branding approach. Frans knew that a demanding job lay ahead of him. What he did not anticipate was a “special project” Ben Noteboom would entrust to him soon after he joined the company.
Randstad had already engaged in corporate social responsibility (CSR) throughout the organisation, but Ben wanted something that would deliver a larger impact. He wanted Frans to help him set up a partnership between the corporation and an NGO. To do so, Frans needed to develop Randstad’s social philanthropic activities strategy.
A first important stepping stone for this would be the consolidation of Randstad’s current sponsoring and corporate philanthropic activities within one systematic strategy that would be more socially impactful as well as fitting with Randstad’s core strategy. Ben had been toying with this idea for a while but the project had not yet taken off:
‘[In 2002] I asked among my colleagues how we at Randstad could help make a difference but I found their responses too local. What do you do as CEO in such a situation? You shelve the idea until someone comes who can take it forward – and then Frans came along.’
Having been landed with the task of realigning Randstad’s corporate philanthropic activities, Frans wondered how he should tackle the challenge. He felt that a systematic approach over several steps was needed.
– First he wanted to involve Randstad’s employees in developing ideas for the charities that Randstad might want to partner with.
– Then he had to develop criteria against which to assess the match between Randstad and the proposed charity.
Randstad’s corporate history
While rival temporary staffing organisations focused on manual labour, Randstad targeted better-educated flex-workers. Since its foundation in the 1960s it had grown rapidly and by 1980 Group revenues had reached US$250 million. Randstad’s growth seemed unstoppable. So it came as a shock when revenues fell by 40% within just a few years, hit by recession and legislation restricting flex-work initiated by trade unions distrustful of flexible work solutions. The new market environment made acquisitions a better option for growth, and in 1983 the company bought Tempo-Team, a big-name competitor in the Dutch flex-work market.
To handle concern about flex-work, Randstad paid keen attention to union sentiment. Already in 1972 it had been involved as a driving force in the launch of ABU, the Dutch trade association for flex-work agencies (www.abu.nl), when the company negotiated its first collective labour
agreement (CLA) for administrative personnel. In the 1980s Randstad did it again with the first CLA for corporate staffing agency personnel.
"The image of staffing in the 70s had a bad reputation. We made a collective agreement with labour unions. Our competition thought we were teaming up with the enemy. But indeed we were not; they were partners in part of the larger picture. You have to listen to people in your sector, even if you do not always like what you hear."
Noteboom, 2004
This commitment to building good labour relations proved far-sighted. It both improved the image of staffing agencies and helped grow the industry in the Netherlands. In the 1990s Randstad began to explore new growth paths. Two strategies were formulated: creating new business concepts such as specialised staffing services, and acquisitions focussed on North America and Europe according to the relative importance of flex-work in different markets.
In 1998, Founder, President and Chief Executive Officer Frits Goldschmeding was succeeded by Hans Zwarts, who then oversaw an acquisition spree that turned Randstad into the market leader in the Netherlands, Belgium, Germany and in the south-east of the United States. Randstad’s revenues peaked in 2000, after which the company was unable to grow its top line. In 2003, Noteboom was appointed as CEO with the explicit task of reviving growth and bringing consistency to the wide network of Randstad companies.
A new corporate philanthropy approach
Strategising how to engage with a charity was an entirely new and thrilling concept to Frans Cornelis. The basic principles he was clear on, but in the details he was not entirely sure what he was looking for. More research was required, he felt:
"You need cultural fit, buy-in, flexibility and enthusiasm. You also need to be clear on what you want to achieve in the relationship."
Corporate philanthropy was neither a novel nor a unique concept in the Netherlands. However, according to Michael Porter and Mark Kramer, most corporate philanthropy initiatives were ill-advised (Porter and Kramer, 2002). Building on ideas about the role of clustering in the creation of competitive advantage in nations and regions, Porter argued that corporations could achieve a larger impact if they clustered their philanthropic activities. Activities such as ‘matching funds’ (whereby corporations matched cash donations of employees to their preferred charities) were unfocussed and therefore their social impact tended to get lost in the ether. Concentrating on only a small set of philanthropic activities would allow corporations to leverage their impact.
Secondly, Porter and Kramer argued that firms should try to partner with charities that faced challenges similar to their core competences. A typical example was the celebrated corporate philanthropy programme of TPG, the privatised Dutch postal service (Van Wassenhove and Tomasini, 2004). By partnering with the UN World Food Programme, TPG provided logistical know-how to the UN, thus enabling the organisation to dramatically improve its supply chain effectiveness. Consequently, Porter argued, targeted philanthropy, carrying both
social and economic benefits, could positively influence a company’s competitive edge.
**The competitive advantage of philanthropy**
*“Why are we doing it? Personally I think we have the obligation [to do so]. But there always has to be something of your own interest in there as well. It will be good for the brand of Randstad and motivate our people more.”*
**Noteboom, 2004**
Frans was even more convinced Randstad was making the right decision to embrace social philanthropy when he heard that two out of three citizens wanted companies to contribute to societal goals, and that 92% of European financial analysts claimed to look into a corporation’s socially responsible behaviour when investing. The challenge was that these same citizens and investors were both employees that expected their company to be socially active, and shareholders who demanded higher profitability. Caught between the two, the corporation had to balance short-term profitability with the longer vision of corporate social responsibility.
Moreover, all these statistics played out in an environment where, as a percentage of profits, corporate giving had declined at least 50% over the last 15 years from 1990 (at the turn of the century, companies spent an average of 0.6% of revenue on giving). (TPG internal communications presentation, 2003). At the same time, governments had also made cutbacks in their charitable giving. This meant that charities and NGOs needed more support than ever before, and from a more diverse range of sources.
While aware of the debate around the “competitive advantage” of corporate philanthropy, Annette Bax, internal communications advisor to Randstad, didn’t buy into it all:
“There is no ulterior motive in offering an NGO access to Randstad’s core competencies. Corporations are not heartless. They are made up of people. These people want to help. The biggest motivating factor for Randstad to enter into a partnership with an NGO is because we want to help bring about positive change in the world. This has to come from the heart to work.”
**Selecting a partner**
Frans’ first step in developing a partnership programme was to establish loose criteria against which NGOs could be measured in terms of organisational/cultural fit with Randstad. Some of these criteria included:
- Size, impact, beneficiaries of NGO
- Geographical scope of NGO
- Other business partners
- Amenability to “new initiative” partnership idea
- Linkages and possible tasks Randstad could contribute
- Gradual roll-out possible
- Political sensitivity.
After setting out these criteria, Frans compiled short profiles of each of the suggested organisations Ben had received from employees and his senior managers earlier. He also expanded his reach, looking out internationally for possible partners. Some 20 in total, they included the Red Cross, UNESCO’s voluntary organisation, Friends of the Nelson Mandela Children’s Fund, Wings of Hope, and the Make a Wish Foundation.
Frans tested the proposed organisations against his criteria and came up with a shortlist of five. For those that had offices, either regional or HQ, in the Netherlands and/or London, he went round and ‘kicked the tires’ – he would stop by, ask questions, and collect brochures to assess the culture of each organisation. It was a spying mission he relished, especially as in the early days of Randstad, legend had it that Goldschmeding would walk in off the street to regional Randstad offices, posing as someone looking for work, to make sure that top quality service was being delivered.
“We didn’t want a slick organisation, with fancy offices that put all of their money into their administration, but we didn’t want a rickety one man shop either.”
Cornelis, 2004
At this point, he also sought buy-in from his regional colleagues:
“You present them with a challenge and ask them for support, and they become emotionally invested as well. These managers came from all over the world from our regional offices. I thought, if they are encouraging, and see themselves in a partnership, then we could really offer an NGO some serious global support.”
Cornelis, 2004
The regional marketing managers helped Frans whittle his shortlist down from five to one: Voluntary Services Overseas (VSO). Now all that was left to do was to make the first step.
Voluntary Services Overseas
Voluntary Services Overseas (VSO) was founded by a British couple who were English teachers. In 1957, Alec and Moira Dickson were travelling across Africa when they were asked to teach English classes in Northern Guinea. Living and working alongside the locals proved an enriching yet humbling experience for the Dicksons. It also reinforced their conviction that traditional development work (whereby “outside” experts dispersed knowledge after only brief stints in the community) was ineffective. The Dickson’s were not impressed with what they had witnessed of this “arms length” approach. They therefore envisioned a model whereby volunteers would spend long periods of time living in the communities they were to serve and adopting a similar lifestyle.
On 15 May 1958, the first VSO volunteers (eight 18-year-old men) left the UK for a year’s voluntary service – working in Ghana, Nigeria, Northern Rhodesia (Zambia) and Sarawak. Some months later, 10 more volunteers were to depart between September 1958 and March 1959. The organisation quickly grew, not least since its launch coincided with the end of compulsory military service in the UK. Voluntary service provided a means for young adults to develop skills while also supporting development aims. Realising the value of VSO’s mission, the UK Foreign Office and the Department for International Development (DFID), provided the Dicksons with a grant to set up Voluntary Services Overseas (VSO). The organisation’s mission statement read:
“VSO promotes volunteering to fight global poverty and disadvantage. We bring people together to share skills, creativity and learning to build a fairer world.”
Towards this goal, VSO enabled men and women to work alongside people in poorer countries, building capabilities and promoting international understanding and action in the pursuit of a more equitable world. VSO did not
provide volunteers for emergency work.
The organisation aimed to achieve its mission through:
- empowerment of the people, communities and organisations with whom VSO worked
- partnership (with local organisations governments, funders, and corporations) to maximise its impact
- commitment to learning, building upon the skills, knowledge and understanding gained from experience.
Volunteers worked for a very modest allowance in line with local salaries. They were usually put up by VSO’s partner organisations on the ground. To support its volunteers in times of crisis and with everyday practical questions, VSO also launched support offices in all countries in which it was active. These were also responsible for selecting partner organisations and identifying job openings.
The organisation used the Human Development Index to determine where to focus its attention. From this, it derived six strategic development goals:
- Education
- HIV & AIDS
- Disability
- Health and social well-being
- Secure livelihoods
- Participation and governance
Besides providing volunteer opportunities, VSO also worked to raise awareness, engender action and advocate solutions to the six goals. Mark Goldring described VSO’s challenge as follows:
“The amount of money going into the developing world, both in terms of aid and investment, is increasing steadily. But the capacity of organisations within the developing countries is not increasing as fast. Many things – brain drain, HIV, among them – are actually undermining that capacity. Despite the efforts of the development community, we are losing ground.”
VSO in 2003
By 2003 VSO had placed more than 30,000 volunteers in Africa, Asia, the Caribbean, the Pacific region and, more latterly, Eastern Europe. In that year it supported a total of 1,626 VSO volunteers in 43 countries (the majority of which stayed for two years). Although VSO had expanded its recruiting base by opening recruitment offices in the Netherlands and Canada in the 1990s, the majority of 603 new volunteers placed in 2004 volunteers were still recruited in the UK. This was partly explained by VSO’s income stream. Although the organisation had begun to diversify its funding base, the DFID still accounted for three quarters of VSO’s 2002/3 budget of £31.8 million. VSO had also recently begun to experiment with opening recruitment bases in Kenya and the Philippines in recognition of the fact that willingness to volunteer was not a prerogative of the developed world. In 2003 the organisation placed 77 volunteers from Kenya and the Philippines in positions throughout the world.
VSO offered a greater range of voluntary options through the length of its assignments. VSO’s corporate partnership programmes drove this development. Both as a sabbatical for highly valued staff and as a means to implement their corporate social responsibility (CSR) programmes, companies such as Accenture or Shell would send senior executives on 6-9 month VSO assignments. At the end of the
placement the volunteers would return to their old jobs. This was different from the two-year placements that often coincided with a break in employment or even a drastic change in the area where volunteers worked. Short-term placements notwithstanding, VSO’s core activity in 2003 was still primarily the placement of volunteers on two-year missions.
Over the past decades, the content of VSO’s placements had also changed. Back in the 1960/70s VSO had catered primarily to the need for teachers, agricultural engineers, nurses and doctors to deliver much needed services in some of the poorest countries. However, the needs of VSO’s constituents had evolved. Increasingly they now asked for help in managing complex organisations, developing accounting systems or running IT systems. Consequently, VSO started to recruit IT specialists, accountants and public relations experts.
“Say, in Malawi, there is a massive shortage of doctors. Unless you have good medical administration, you’re never going to have better quality medical services. [Or consider] a shortage of pharmacists – unless you have better supply chains, the pharmacists are never going to have any drugs. So we’re seeing increasing demand for what one would generally call business and management skills, even though the availability of more obvious professionals such as agriculturists and engineers has been steadily increasing.” Goldring, 2004
The demand for managers and accountants was also driven by donor countries and foundations that called for more accountability from the programmes they were supporting. VSO was also increasingly keen on training placements that would build up local expertise rather than resolve an immediate problem. Thus it would train teachers rather than send down someone to teach the lessons themselves. VSO also engaged in curriculum development with various ministries of education. This created ripple effects that had a far-reaching, deeper impact.
The growing specifications from partner organisations meant that the average age of volunteers had increased considerably from those sent in the 1950s. To cater to younger volunteers, VSO ran a Youth for Development (YfD) programme which in 2003 allowed 400 young people aged 18-25 to share experiences and learning through international volunteering placements over a six month period. The youths divided their time between the UK and a developing country, living with local families and working with community organisations.
“Imagine what we can do together”
One year into his job, Cornelis received approval from the board of Randstad Holding to engage in a partnership with Voluntary Services Overseas (VSO). Although it had a regional office in the Netherlands, its headquarters were in London:
“Of course we wanted VSO NL involvement, but to make this a truly global initiative I had to secure an appointment with the CEO.”
Cornelis, 2004
To do so, he asked Joris Eekhout, director of VSO NL, to set up the meeting. Joris did not know Frans, but from what he heard he was intrigued:
“Usually we have to go to the corporations to solicit their support. Here, I was speaking with a corporation keen to explore possible synergies between our organisations.”
Mark Goldring, CEO of VSO, felt the same way:
"My first impression when I heard that a corporation wanted to help in a rather new unorthodox way was of cautious optimism. Usually we have to go out to seek business partnerships, and these are of a different nature. Frans' proposal was entirely unique."
Initially, VSO was keen on tapping Randstad’s network as a source of good volunteers for their Business Partnership Programme and for funding opportunities. They weren’t sure how they could accommodate a corporate offering that went beyond this standard business/NGO partnership framework. But as Frans talked, ideas about how the partnership could unfold sprang to Mark’s mind.
"You don't want to get all sappy saying there was an instant click, but there was a meeting of the minds here. Randstad wasn't looking for any credit; we just wanted to help. And they saw that. Instantly the ideas of what we could achieve by working together started rolling."
Annette Bax, 2004
Mark Goldring agreed:
"The Randstad presentation was well thought out, well planned, but at the same time open and flexible to our suggestions. A true partnership."
A handshake might have been enough to seal the partnership, but both organisations knew that the devil lay in the details. Structure was needed to fortify the partnership and allow it to reach its maximum potential. The two groups sat down and drafted a sponsorship agreement together, laying out the services each would deliver.
VSO’s challenge
"At the moment, VSO is working completely to capacity. We can't find more volunteers while maintaining our high quality standards. If we could, we couldn't afford to pay them. Together with Randstad we're working on both of those dynamics at the same time. When I say pay them, let's understand what we're talking about. The real costs to VSO are not the payment to the individual, who might be earning 100 dollars a month in a placement in rural Mozambique. The real cost is finding them, selecting them, training them, posting them, insuring them, supporting them in the sort of roles that you have seen illustrated.
"As I said, I see the future not in people saying we know about VSO, we heard about it in university. 'We'll give up our job and be a VSO volunteer.' I see the future much closer to Randstad's model of flex-workers – people moving between various stages of their career, moving their skills to actually where they are needed, and being used effectively in those roles, and then returning back to the labour market from whence they came. We're recognising that there is a dynamism about the employment markets which was certainly not there 20 years ago in Britain."
Goldring 2004
Structure of the partnership
The Randstad/VSO partnership was different from all the others VSO had formed with companies such as PwC, Accenture and Shell. These companies had worked with VSO on its Business Partnership Exchange Programme, sending their staff overseas on six-month assignments. Randstad planned to do more than offer their staff the opportunity to volunteer in a developing country for six months. Its
partnership with VSO went deeper in that it would help with recruitment, fundraising and communication both internally and to the outside world.
Together, Randstad Holding and VSO International set about building the partnership in phases, managing expectations and mobilising resources from both parties to give VSO an increased footprint throughout Europe and North America. The intent was to vastly increase VSO’s capability to help.
Led by a Steering Group which met twice yearly to set guidelines and decide strategic matters, the project team consisted equally of VSO and Randstad staff. A VSO project manager and a Randstad project manager met often and worked closely together. Each was responsible for carrying out activities in their respective organisation. A team of workers and “ambassadors” who volunteered to champion the initiative supported these two managers.
Including the transfer of knowledge, Randstad was keen to lend their network of branches and employees to the initiative. An example of the unique opportunities the partnership could deliver is how Randstad would help VSO recruit ‘risk free’ in Portugal.
“VSO had tried in the past to recruit volunteers from Portugal, going so far as to set up offices there. This foray to establish ourselves did not pan out. We had jobs lined up in Portuguese-speaking developing countries without volunteers for them. With Randstad owning offices in Portugal we could try to recruit there again, using their network and offices, but without taking the risk and costs involved in setting up in a new country.”
Goldring, 2004
Both partners agreed that despite the initiative having come from HQ, one should not expect the partnership to be a top-down directive.
“Our corporate structure at Randstad is de-centralised, so we are not command and control here. We want the partnership to have some structural framework, but we want to give the regions enough latitude to come up with their own initiatives. This way, it’s more organic, giving the regions ownership of this initiative, letting them explore how it will unfold according to regional needs, opportunities.”
Bax, 2004
Indeed, spontaneous initiatives, such as a fundraising drive in France, cropped up between Randstad and VSO regional offices in the first few months after the initiative was launched.
“Also, this partnership can take many shapes. For example, when VSO NL called us asking us if we could suggest an HR firm to look into their structure, we immediately said we would help them for free through our Randstad company, HR Solutions. The budget VSO set aside for an HR restructure can now go into their core business of placing volunteers in developing countries.”
Bax, 2004
Still, some hurdles remained. A few workers on the ground could have many ideas but no time to implement them. Also, their performance might not be measured on whether they implemented a regional joint initiative. Head offices at both VSO and Randstad needed to show their frontline staff that this partnership was important. One way could be by directing the regional general managers to allow their frontline workers to invest some time in the
partnership. Also, including it in the key performance indicators for assessment would motivate the regions.
**Roll out**
"One reason I am really thrilled with the launch of this partnership is that it is genuinely international."
*Goldring, 2004*
While the spontaneous initiatives in a decentralised partnership reflected employee enthusiasm towards the new partnership, Randstad and VSO both realised that these activities needed to be put into context in order to optimise growth.
In the first year, 2004, Randstad and VSO agreed to ramp up their partnership by first constructing the internal structure. The project team from both organisations, plus the "regional champions", or "ambassadors", promoted and communicated the partnership within the two organisations. Additionally, they developed together both a communications plan and terms of reference.
To get the initiative off on the right foot, Randstad directly sponsored 15 volunteers in the first year of the partnership. In the years to follow, as the partnership became more integrated, this crop of Randstad-sponsored volunteers would come from Randstad or its client companies. The process for selecting volunteers would follow the VSO standard recruitment and placement process, tying in Randstad’s recruitment experience as well.
Communication in year one and two would be mostly under the radar and internal within both Randstad and VSO. The purpose was to inform and inspire both Randstad and VSO employees, motivating them to participate and take ownership of the partnership. The June 21 2004 launch in Barcelona notwithstanding, communication with Randstad associate companies would not begin until year three of the programme when it was well underway. Nonetheless, the communications firm BBDO, inspired by the partnership, freely gave their skills and time to help communicate the initiative, designing brochures and developing a video for the launch. The press and certain CSR groups were also made aware of the joint initiative.
**Cost of the partnership**
Added to the promise of lending their network and core competencies, Randstad put together a budget for the cost of the partnership. The financial contribution from Randstad was €900,000 over three years, €50,000 of which went yearly into executing the partnership. In kind, Randstad also hired a full-time programme manager for the initiative. Broken down, this amounted to:
| 2004 |
|------|
| - €250,000 to support 15 VSO 2-year placements. |
| - €50,000 for covering execution costs of the agreement. |
2005
- €250,000 to support VSO placements of Randstad Staff and/or Randstad clients; placements to be identified by mutual agreement of partners, approved by Steering Group.
- €50,000 to cover execution costs of the agreement.
2006
- €250,000 to support VSO placements of Randstad Staff and/or Randstad clients; placements to be identified by mutual agreement of partners, approved by Steering Group.
- €50,000 to cover execution costs of the agreement.
Extra input
- Programme launch in Barcelona, 2004, for €20,000.
- Project Manager Randstad
- Randstad Communication Budget of €50,000.
The project managers submitted to the steering committee each year a proposal on how this budget would be spent.
Benefits of the partnership
In the first year, the benefits of the partnership, defined in Usual Volunteer Equivalents (UVEs) to measure and quantify the various initiatives, yielded 15 UVEs. The second year this jumped to over 45. That meant that in actual qualifying volunteers identified, or the equivalent in terms of resources that enabled VSO to find other qualifying volunteers, the net difference the Randstad partnership made for VSO was over 45 volunteers on an annual total of 1,600 globally.
Randstad intends to keep up this growth level until we reach a level of around 160–200 UVEs. The partnership has agreed that this constitutes a limit above which we do not want to go for fear of making VSO overly dependent on this project. Rather, they will also focus on finding other similar corporate partnerships for VSO. Within Randstad, the project has also had a major beneficial effect. According to a survey, over 84% of employees agreed or fully agreed that they were proud to work for Randstad, and the VSO partnership was listed as the most positive element of the company’s involvement in corporate social responsibility.
On the basis of its experience, Randstad has no reservations in recommending this approach to other companies seeking to design a more meaningful involvement project than just donating money to a good cause.
Corporate Responsibility in Developing Countries
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
Noshua Watson, INSEAD
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
Arvind Singhal, Peer J. Svenkerud, Prashant Malaviya, Everett M. Rogers and Vijay Krishna
MAS Holdings: Strategic corporate social responsibility in the apparel industry
Noshua Watson, INSEAD
Standing on the 10th floor terrace of his corporate headquarters, Mahesh Amalean, Chairman of MAS Holdings, looked out across the dense, leafy expanse of central Colombo and the grey, rolling Indian Ocean. As he chatted with his visitors he could barely be heard over the noise of political demonstrators marching in the streets around the building. In the summer of 2005 a ceasefire between the Sri Lankan government and the Tamil separatists was still tenuously in effect.
Despite more than 20 years of serious civil unrest, Mahesh and his younger brothers, Ajay and Sharad, had built a US$570 million intimate apparel business. His clients were the biggest brands in lingerie and sportswear: Victoria’s Secret, Gap, Inc., Nike, Marks & Spencer, Speedo and Triumph.
The textile industry made up almost half of all exports in Sri Lanka. To take advantage of quotas into the US and European markets, MAS had set up 11 plants in other countries. Then, on January 1, 2005, the trade agreement that set textile quotas expired.
Within six months, the ‘Bra Wars’ had begun. China was already exporting US$33.9 billion in textiles and clothing each year to the US and the EU before the agreement expired. Post-quotas, China shipped 30 million more bras – 33% more to the US and 63% more to the EU. The European and American textile industries and government trade representatives were alarmed, not just about the increased volume of bras coming into their countries, but dresses, men’s trousers, t-shirts and even table linen. The overall textile trade had not grown, so China’s share of the market was coming at the expense of every other textile producer on the globe.
60% of MAS revenues came from one customer, Victoria’s Secret. Pictures of VS model Heidi Klum, wearing a lacy bra and panties, hung on the MAS factory walls and in Amalean’s boardroom. Even though VS had been his first client back in 1986, how could he now compete with China’s scale and production efficiency? MAS prided itself on having high labour standards and not being a “sweatshop”. How would MAS meet its clients’ demands for high quality and low costs?
MAS Holdings
MAS Holdings is one of Sri Lanka’s largest apparel manufacturers, employing more than 34,450 people in 21 factories in 10 countries. Annual revenues are US$570 million. Each year, MAS manufactures 44 million bras and is Victoria’s Secret’s largest supplier.
The company is privately held and owned entirely by the Amalean family. Chairman Mahesh Amalean, the eldest son of five children, held the CEO title until 2004. The current CEO and Deputy Chairman is middle brother, Sharad, who had previously been the CFO. The youngest brother, Ajay, is Director of the Corporate Solutions division, and also handles the creative Marketing and Design aspects of the business and oversees MAS’ Finance and Human Resources functions. The rest of the Executive Management Board consists of three Managing Directors, the Director of Corporate Development and the Group Director of Human Resources. All are professional managers and long-time MAS employees. The two Amalean sisters reside in the US and are not part of the business.
MAS comprises four business units: MAS Intimates, MAS Active, MAS Fabrics and MAS Investments, a separate non-apparel business. The Intimates Division is the largest and consists of seven plants that manufacture bras, panties and briefs in Sri Lanka and India, and two Marketing, Design and Product Development units in Sri Lanka. MAS Active Division has eight leisurewear and sportswear plants based in Sri Lanka, Madagascar, Vietnam and India. MAS Fabrics manufactures elastic, fabrics, lace, hooks and other accessories in Sri Lanka, the UK, Mexico, Indonesia and China. MAS Investments includes two IT consulting companies, the Corporate Branding and Retail unit and a diversified investment portfolio.
**Sri Lanka**
MAS is headquartered in Colombo, the capital of Sri Lanka. Sri Lanka is an island of 20 million people located in the Indian Ocean, off the south-eastern coast of India. The majority ethnic group is Sinhalese (73.8%), and approximately 18% of the population belongs to the Sri Lankan and Indian Tamil ethnic minorities.
Today, Sri Lanka’s per capita GDP is a mere US$965 per year, even though in the 1950s it was twice as high as that of Korea. Compared to developing countries with a similar income level, Sri Lanka has high rates of literacy and life expectancy, and low rates of fertility and infant mortality. The economy remains highly dependent on the government, which regularly runs deficits between 8% and 12% and has accumulated an external debt of US$5.1 billion on an annual GDP of US$20.1 billion.
**Labour issues in the apparel industry**
Bras are one of the most complicated items of clothing to make, with between 20 and 48 parts, including the cups, lining, bands, straps and hooks. Lingerie orders from major retailers come in batches of 10,000, and the cutting, sewing and packing demand a large-scale operation.
Sweatshops are the dirty, “not-so-secret” secret of the apparel industry. In a low labour cost country, the profit margins are high. Bras that cost US$5-7 apiece to manufacture will retail for US$50 or more in American stores. In larger plants thousands of workers sweat in un-air-conditioned factories for 10-12 hours a day, sometimes more. Abuses are common: no bathroom breaks, compulsory overtime work without extra pay, no weekends off, child labour and physical or sexual abuse.
In Sri Lanka, 85% of the textile industry workforce is female and approximately 350,000 women work in 848 factories. In addition to the US$2.8 billion that textile exports bring into the country each year, 600,000 Sri Lankan women work abroad as domestic workers and send home US$1.2 billion in remittances. Combined with tea, the country’s second largest export, these three female-dominated industries are responsible for 24% of Sri Lanka’s GDP.
Despite these economic facts, Sri Lankan women are not encouraged to work outside the home or to live alone. But with high unemployment in rural areas and the displacement of people due to the civil unrest, many young women become their family’s primary or sole breadwinner. They work away from home (or abroad) to send money to their families. Without bank accounts, they must rely on relatives to protect any cash savings they’ve acquired until they come home.
Women from rural areas in their late teens and early twenties enter the workforce primarily to save money to buy jewellery for their weddings, after which they leave the workforce.
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
Child labour has been curbed in Sri Lanka, and the minimum statutory age for employment is 18, with some conditional exemptions for those over 16. Sri Lankan employers are required to contribute 3% of salary to a trust fund which employees receive after they quit, and to contribute 8% of salary to a Provident Fund which employees receive as a lump sum upon retirement. Additionally, employees receive a ‘gratuity’ payment after five years of work, which consists of a half-month’s salary for each year worked.
Female garment workers are dubbed “Juki Girls” – a derogatory name that comes from a popular brand of sewing machine. They move to the free trade zones to find work in the garment factories for US$2.20 per day, where they live in crowded hostels and have to deal with life issues, many of them for the first time. Many lack proper nutrition or reliable transportation to work. They are often perceived as easy prey or “loose” women, and some are subject to sexual abuse.
**Working at MAS**
Rather than forcing their 92% female workforce to relocate to the city away from their families, MAS built its plants in the rural villages. From the beginning, the Amalean brothers rejected every element of the sweatshop model. When they founded MAS, they worked on the shop floor, supervising the lines. They believed in the dignity of work and felt that workers would be more productive in a comfortable, air-conditioned environment. They wanted to be able to use the same canteen and transportation as their employees.
Before the 5.30 morning shift at the Bodyline plant, MAS company buses pick up the women from their villages and drop them at the factory in the rural town of Horana, two hours from Colombo. The workers, none younger than 18 years old, wear blue smocks and hairnets, and pink hairnets for pregnant women in case they need special attention. They put their belongings in their lockers and enjoy a free breakfast in the company canteen before the 2,500 sewing machine operators clock in and begin assembling bras.
The main assembly room is 100m long, bright, well-lit and air-conditioned. Every MAS plant adheres to the UN Global Compact and the internal MAS Standard of corporate practice. While freedom of association and collective bargaining in Sri Lanka are guaranteed by law, there are no unions at MAS. Instead, MAS workers elect representatives to Joint Consultative Committees that meet monthly with management to discuss workplace, customer and community issues.
On the floor, the workers listen to music. Each operator has her own sewing machine and logs into the real-time system. Supervisors walk through each cluster of machines, making notes. They synchronise their Palm Pilots to the central database to post their line’s current efficiency and productivity numbers on the electronic boards overhead. Even the lowest-ranking employees learn that most MAS plants follow Six-Sigma and 5S, the Japanese system of housekeeping (Sort, Set in Order, Shine, Standardize and Sustain). Workers are encouraged to contact the supervisor and stop the line if they hit a snag.
At 1.15 pm it’s lunch time. The operators clean their workstations and walk off the lines in single file. The next cohort of 2,500 workers files in for the 1.30 afternoon shift. The women on the morning shift can head to the canteen, the onsite infirmary, the ATM machine or the electronic employee information kiosk to check their
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
Getting started (1984-89)
Before they established MAS, Mahesh and Sharad worked for the 60-year-old clothing family business run by their uncles. The family business had thrived when the Sri Lankan economy was closed, but Mahesh joined when the economy was being liberalised in the late 1970s and they were struggling.
All three brothers struck out on their own in 1984 when they pooled US$10,000, bought 40 sewing machines and started Sigma Industries. Mahesh and Ajay were in charge of operations and marketing, Mahesh’s wife was in charge of HR and administration and Sharad’s wife did the accounts. Sharad joined the business later. Mahesh and Sharad then started families and their wives left the business.
Sigma Industries attracted the attention of Martin Trust, the head of MAST, a US-based clothing supplier and subsidiary of Limited Inc., a major US retailer. The brothers founded MAS Holdings in 1986 and their first opportunity was a joint venture with MAST to manufacture women’s dresses. But the quota regime changed before MAS could start the order. The Amaleans saw that lingerie was still a quota-free product that was difficult to manufacture, and that no other Sri Lankan company was in the intimate apparel niche, so MAS began manufacturing lingerie at its Unichela plant in 1987 for Victoria’s Secret, one of Limited Inc.’s brands.
The Unichela venture was a success, but after working in a family business where the owner-managers had full control, the Amaleans struggled to adapt to the product and process disciplines of a joint venture with Limited Inc. MAS was given the product specifications, told where to source the fabric, and given a sample garment to copy. They were told to produce a product at a given price, time and quality. However, they hoped that the joint venture would give MAS access to the American and European markets and expose them to the latest technology and business practices. In 1989, with MAST’s help, the brothers opened the Shadowline plant to make sleepwear.
Growing pains (1990-95)
After four years in business, MAS’ revenues were US$6 million, but Mahesh saw greater potential in the market. He and MAST proposed a deal to Triumph International, a 100-year-old German lingerie company. MAS, Triumph and MAST took equal shares in MAS’ newest plant, Bodyline, which is run by Dave Ranasinghe, the joint managing director of MAS Intimates. Despite its equal financial stake, MAS was again the junior partner and hoped to learn from Triumph’s operational expertise. From then on, MAS would use the joint venture model again and again to build its business.
After a series of youth riots and violence in the late 1980s, then-President Ranasinghe Premadasa (who was later assassinated) initiated the 200 Garment Factories Programme in 1992. On the surface, the programme’s intent was to end the violence by providing jobs in rural areas for underemployed young men. Yet, by targeting the apparel industry and mandating that the factories must employ 450 women and 50 men, the programme continued the pattern of predominantly female export-oriented employment.
As a result of this government pressure, MAS built its Slimline factory in 1993 on a former coconut estate in Pannala, a village outside Colombo that was so remote that the plant manager, Dian Gomes, who is now the joint
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
The managing director of MAS Intimates, couldn’t find a suitable house and had to commute from a nearby town. Slimline was a joint venture with Courtaulds, a UK-based private label manufacturer for Marks & Spencer, now owned by Sara Lee, a US company. The plant was a showcase with a feng shui-influenced layout and even had its own wastewater recycling plant. The factory opened with a ribbon-cutting ceremony, and flew the Sri Lankan, UK and US flags to celebrate its multinational partnership.
The Slimline factory employed 1,000 people from the Pannala area and donated funds to the local school and maternity clinic. Yet local residents believed that an American company had come to “exploit the local labour and make the capitalists rich”. When one of the vans that MAS used to transport employees hit a child who was running across the road, village residents gathered and asked where the workers were from. When it became apparent that they were from the new Slimline factory, they were attacked.
Despite the jobs they provided and good employment practices, they were not immune to the consequences of local culture and prejudice.
The company built a laboratory and auditorium for the school and held opening ceremonies with Courtaulds and Marks and Spencer executives in order to meet the parents and children. MAS put up 5,000 posters around Pannala of a child holding two books, a picture of the auditorium, and a slogan in Sinhalese: “A gift of the future for our children.” Slimline instituted an internal Community Development Policy to promote the fact that it provided many public services, like a government agency, and that the area was economically dependent on its presence. The plan had six focus areas: education, health and community issues like alcohol and substance abuse; families affected by the communal unrest; reducing the area’s economic dependence on Slimline; sports and arts, and the environmental impact of its manufacturing activities.
MAS matures (2000-05)
By 1995 MAS had gone from US$6 million in annual revenues to US$66 million. In the late 1990s, it built four more joint venture plants in partnership with MAST, Triumph, Brandix International (another large Sri Lankan apparel company), Sara Lee Courtaulds and Stretchline Global, a UK elastics company. Revenues grew 20-30% each year, until they reached US$225 million in 2000.
Companies like H&M and Zara were shortening the traditional fashion cycle from nine months to six weeks. MAS wanted to crunch their lead times as much as possible so that their customers could work as close to the season as possible. MAS started two in-house IT consulting firms, one to manage their manufacturing and production information systems and the other to implement the business software solutions processes, and systems, applications & products (SAP).
MAS had originally implemented SAP in 1997, the first Asian apparel company to do so. Previously, each of the business units managed its own IT needs, but Mahesh saw the need to reap economies of scale in purchasing and sales, so he started the in-house venture in 2002. Also, the stand-alone joint ventures were competing with one another for business, and
the complex company structure and multiple contact people were confusing to customers. So Mahesh and his brothers reshuffled the company divisions.
With the new IT systems at CCL, one of the MAS-run companies, customers like Marks & Spencer sent their sales information by the end of the day, Colombo time, on a Friday. On Monday morning, MAS recommended what Marks & Spencer needed to reorder and they confirmed the order when they started their day, which was 2.00 pm in Colombo. By the end of the day, MAS had checked with the fabric mills and confirmed with Marks & Spencer that they would ship the order in two weeks’ time. Marks & Spencer could log in to the manufacturing systems, see the production floor, see the status of their style in the factories, how much was cut, produced, packed, ready to ship, what was traveling by sea or by air, and how much fabric they had. If a particular colour or size was selling faster in the store, Marks & Spencer could change their order midstream.
MAS also needed to diversify its customer base and sources of revenue. Given their experience dealing with highly “engineered” apparel and high-tech fabrics, they entered a joint venture with Speedo and Brandot International, Martin Trust’s new venture, in 2001. Linea Aqua’s first project was as high profile as it gets – manufacturing the Fastskin full-body swimsuits worn by a number of gold-medal swimmers at the 2004 Athens Olympics.
Linea Aqua CEO, Sarinda Unamboowe, had to reorganise long production lines into modules of four to 14 workers to accommodate the much smaller 1,000-piece swimwear orders. He also had to depart from MAS practice and hire completely inexperienced seamstresses who could work with the new stretch fabrics without falling back on old habits. With its Speedo production on line, Linea Aqua also began to produce for Marks & Spencer and Victoria’s Secret. Given its success in lingerie, leisurewear and sportswear, MAS’ overall client list expanded to include Gap, Inc., Nike and Reebok, and almost US$500 million in revenues by 2005.
**Competition on the horizon**
By the end of 2005, MAS was a US$570 million business. The company had won the American Apparel and Footwear Association’s ‘Excellence in Social Responsibility Award’ and countless international productivity and safety awards. Every manager in the company could recite Mahesh’s latest slogan, “‘1–1–10’.” “Number one preferred partner of the world’s leading brands of intimates, sportswear and leisurewear with a turnover of US$1 billion by 2010.” Given the Amaleans’ track record, the only thing standing between MAS and “1-1-10” was China.
A 2004 WTO report projected that mainland China’s post-quota clothing market share would grow from 18% to 29% in the EU and from 16% to 50% in the US in 2005. Chinese textile exports to the EU increased 534%, and 627% to the US. The EU renegotiated acceptable growth rates in June 2005 and blocked Chinese textile shipments at the ports in August until they renegotiated the growth rates again in September. The US filed safeguard petitions and entered negotiations with China but did not take other action. But this was only a temporary solution since the EU safeguards expired in 2007 and those of the US in 2008.
Sri Lanka had had a quota-free bilateral trade agreement with the EU starting in 2001. Prompted by the devastation in South-East Asia following the 2004 tsunami, the EU accelerated the implementation of the new
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
three-tier Generalised System of Preferences. In July 2005 Sri Lanka received GSP+ treatment with duty-free access to the EU for 7,200 products conditional on maintaining sustainable development and good governance. The US and Sri Lanka had signed a Trade and Investment Framework Agreement in 2002. After the tsunami, the US House and Senate introduced bills in January 2005 to give duty-free preferences to Sri Lanka, among other countries.
However, Sri Lanka was not even among the top ten export countries in the US$120 billion global apparel trade. Post-quota Sri Lanka would benefit too, but it would still only make up 2% of the US market and a negligible portion of the EU market.
Strategic corporate social responsibility at MAS
CSR or just doing the right thing?
Known for its progressive human resources policies, MAS had long attracted Sri Lanka’s best workers and management talent. But at the beginning, the sweatshop reputation of the apparel industry kept many young potential employees away. Mahesh wanted to hire the same quality of people who would otherwise work in investment banks. The large number of educated Sri Lankans who chose to go abroad to study and work also meant that MAS would have to discover and train its own talent in order to have enough qualified managers.
The brothers weren’t above working hard themselves. Rather than treating the business as a source of family cash, they took salaries based on their respective functions and responsibilities, like any other employee. Any other family members who worked for the company had to start on the shop floor and learn the business.
In a country where the literacy rate is 90%, but per capita income is US$965, MAS considered that it had to educate its employees about professional and cultural norms that employees in developed countries took for granted. Each plant created its own programmes open to all employees, regardless of their status.
Bodyline offered English classes, reproductive health workshops and leadership training. Slimline was known for its athletics programmes, employing and subsidising the training of national, international and even Olympic level athletes. They provided maternity clinics, vaccinations, personal hygiene programmes and positive thinking seminars. Linea Aqua supplied computer courses, outdoor adventure days, AIDS awareness and sexual harassment awareness sessions. All the plants held Parents Days, where the workers’ families visited, met their co-workers and managers, and were assured that their daughters were in a safe and empowering environment.
The plants donated to local schools and hospitals. At one plant, senior executives donated their own money each month for college scholarships for village children. After the tsunami, employees raised money and spent their weekends building homes for displaced people.
All these programmes added 3-4% to costs, but the Amaleans didn’t mind this, even though fierce competition with China and India was affecting MAS’ prospects. Even Sharad, the former CFO, thought that payback came in different forms: employees who embraced the company culture, higher productivity, lower downtime. One plant manager estimated that a 1% increase in efficiency or decrease in absenteeism added US$200,000 to the bottom line at the plant. The 3% spent on CSR
programmes generally increased efficiency by 5%, which equalled a US$1 million gain on the bottom line. MAS’ labour practices also appealed to customers who felt their brands were better protected from sweatshop accusations, which helped boost the top line.
When the Amaleans started their business, CSR was a buzzword rarely heard in most industries. The brothers thought they were just doing the right thing. They had become efficient, well respected and successful without emphasizing their CSR programmes. But in an environment where their competitors could match them on quality, quantity and their supply chain, MAS needed a way to differentiate themselves, and there were very few levers left for them to use in the tough global apparel market.
The outsider looking in
Ravi Fernando moved to Colombo after spending 12 years in international over-the-counter and pharmaceutical marketing for SmithKline Beecham International in Kenya, Dubai and Vietnam. Finding few jobs in Sri Lankan industry at his level of experience, he joined MAS as the CEO of Corporate Branding in July 2003. When he first joined the company, he spent three weeks visiting the plants. He was struck by the difference between the MAS plants and the apparel plants he had seen elsewhere.
In the apparel industry, most outsourced manufacturers are ‘nameless’ but their brand owner customers are becoming more and more selective about where they place their business. In the late 1980s and early 1990s, labour unions, environmentalists, human rights groups and government agencies first sounded the alarm about the use of sweatshop contractors by major brands. This coalition of diverse interests continued to agitate, creating the anti-globalisation movement. By 1996, Gap, Inc., Kathie Lee Gifford for Wal-Mart, Guess, Disney and Nike were all blasted in the press in what became known as ‘The Year of the Sweatshop’. The size of the anti-globalisation movement became apparent when 40,000 protesters demonstrated at the Seattle WTO meeting in November 1999. That year, the United Nations introduced the Global Compact for corporate practices based on human rights, labour, environmental and anti-corruption practices.
The majority of brands that contracted with MAS were still seeking rock-bottom prices, but now they began introducing their own labour compliance standards and pressuring manufacturers to be ethical. Based on his observations, Ravi believed that MAS was unique and should publicly advertise their compliance and labour practices rather than be tarred as just another global sweatshop. MAS should capitalise on the growing interest in ‘sustainable consumption’, the trend of buying in a socially responsible way, like organically grown foods or non-sweatshop clothing.
With its emphasis on improving the quality of its predominantly female workers’ lives, MAS was fulfilling the UN Millennium Development Goal of promoting gender equality and empowering women. Compared to other manufacturers in Asia, MAS’ treatment of women would appeal to brands that were constantly challenged about the labour practices of their manufacturing partners.
The final task was to build MAS’ own brand to enter markets where their brand name customers had not penetrated, such as Southeast Asia. This would give MAS the opportunity to move up the value chain.
The birth of “Women Go Beyond”
If MAS was going to brand its HR practices, Ravi
needed the help of the HR department. So Ravi, Deepthi de Silva, Group HR director at MAS and a corporate board member, and Dinali Peiris, the Director of HR for the MAS Active division, examined the best practices in each plant and developed a structure for the new HR/branding programme. The goal was to make MAS’ employee and community programmes more systematic and uniform across all the plants. The plants were free to continue their existing programmes, but they needed to fit into a four-point framework of Career Advancement, Work-Life Balance, Rewarding Excellence and Community Activation.
Ravi called the Colombo office of the global advertising firm, J. Walter Thompson, to create a name, logo and image for the new programme. The name was a challenge, since it had to be translatable into different languages in different countries; simple and short but meaningful. After hearing about MAS’ labour practices, the JWT team came up with ‘MAS Women Go Beyond’. They chose a bright pink and blue logo of a beautiful, long-haired woman, with bold silver lettering. The MAS company logo was also prominently featured.
With a plan and a brand in hand, the Go Beyond concept was presented to the MAS board in August 2003. But the Amaleans were not terribly excited. All three brothers felt strongly that ‘We did it from the heart’ and they didn’t want to institutionalise or commercialise their company culture. They were afraid that they would be seen as trying to lure new customers or win more awards. The plant managers were also dismayed; they already had good labour practices, so why fix what wasn’t broken? Some workers cracked jokes that Go Beyond stood for ‘Women Go Beyond, Men Come Behind’. The board agreed a month later, but said that Go Beyond could only be launched internally at first, and it had to focus on recognising and empowering female workers, the backbone of MAS. Women Go Beyond was launched only at the 17 apparel plants, since the elastics and accessories and other supply-side factories had a higher ratio of male employees. MAS hired a new staffer, Piyumi Samaraweera, to promote Go Beyond internally. For six months, from November 2003 to May 2004, the team travelled between the plants presenting Go Beyond to the management and workers. With JWT’s help, they had posters, stickers and newsletters in both English and Sinhala, presentations by guest speakers, with singers and dancers, and even a short film.
The first step in standardising the programme across the plants was to ensure that each site offered English and IT classes and financial management seminars. In 2004 each plant also selected a staff member to be a Go Beyond Champion and other team members to ensure that the programmes would be implemented. From June 2004 to May 2005, the plants reorganised their existing programmes to fit into the four-point framework. Meanwhile, the Go Beyond team at headquarters developed a programme impact measurement framework in July 2004, and launched a web site in October. In the first year of Go Beyond, the plants held 290 programmes in the four areas and reached the average worker 3.7 times.
At the end of 2004, a female employee was selected from each plant to be ‘Empowered Woman of the Year’ and a Go Beyond Winner. The women had to be nominated as role models by their fellow workers, and were then interviewed by members of the corporate board, local celebrities and women’s rights activists. MAS hired a Colombo marketing agency to put out a glossy booklet about the winner’s life story and achievements. MAS rented Sri Lanka’s largest convention centre
3.1 MAS Holdings: Strategic corporate social responsibility in the apparel industry
to hold a gala award ceremony with dancing troupes from each of the plants, a fashion show of MAS apparel, and Sri Lankan public figures and businesspeople to present the awards.
MAS 2004 Go Beyond Winner
TNS Kumari was one of the first sewing machine operators hired when Bodyline opened. After working for a few years, getting married and having a baby, she was promoted and offered management training. The catch was that she would have to move to the US for six months. She had never been to Colombo on her own, lived alone or even driven a car. With her managers' encouragement, TNS practiced her English, got her driver's license and got on the plane. A well-educated executive might take an expatriate assignment like this for granted, but such opportunities are not usually handed out to sewing machine operators from rural Horana.
The village girl from Horana who became the Bodyline manager was selected as the overall MAS 2004 Go Beyond Winner. To her, MAS was recognising what it took for her to defy cultural expectations – leaving her husband and baby daughter behind, driving in the New Jersey winter snow, and working on the other side of the world – in order to advance her personal dream and career.
She leaves her shift at the Bodyline plant in rural Horana in the afternoons to get home to her daughter and infant son. Her husband takes care of the children in the morning and works the afternoon shift at the same plant. They have a new house, a car, some land and even a couple of cows. Her life as a manager at MAS is vastly different from her poverty-stricken childhood with her widowed mother who worked on a rubber plantation to support her and her five siblings.
Going beyond Go Beyond
Soon, Go Beyond was attracting attention outside MAS. The national newspapers started featuring the Go Beyond winners, and MAS' help was sought by the government to start a similar programme nationwide. MAS also wanted to recognise women's entrepreneurship, and entered into strategic CSR partnerships with Gap, Inc. and Victoria's Secret to reward those achievements.
Meanwhile, the Amaleans kept their eyes on China. While Chinese plants had a good supply chain and manufacturing facilities, much of the work was subcontracted to other plants so customers had no idea exactly where and how, by whom and under what conditions the clothes were actually being manufactured. In contrast, MAS allowed its customers to visit the plants at any time, and have full and transparent access to information.
But keeping its old customers wasn't enough. Where would future growth come from? MAS pushed ahead with developing branded intimates for the Southeast Asian market and entering the Indian retail market while hoping not to step on its customers' toes as a result. But, as Fernando saw it, the key to future growth would be turning Go Beyond into a world-class stand-alone brand. On a bulletin board he pinned up a little Go Beyond logo clothing label, like the brand name and fabric care tags sewn into the back of a t-shirt. He hoped that Victoria's Secret and Gap would let MAS sew the Go Beyond tags right next to their own labels. Perhaps VS and Gap could attract new customers by advertising ethically manufactured merchandise identified in this way. Or would price still be the deciding factor for consumers? Would their shopping mall customers, who would never set foot in a bra factory in Pannala, care as much as the Amaleans did?
Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
Arvind Singhal, Peer J. Svenkerud, Prashant Malaviya, Everett M. Rogers and Vijay Krishna
A third of the world’s population has never made a phone call. This fact emphasises what has become known as the digital divide – the tremendous gap between people with access to information technology (IT) and those without (Martínez-Frías, 2003). This chapter discusses the experience of the Grameen Bank in Bangladesh in harnessing information technologies for social change. We especially focus on Grameen’s mobile telephony operations, including how the organisation integrates mobile telephony services with solar power and internet services to overcome the digital divide.
The mobile phone is like a cow. It gives me ‘milk’ several times a day. And all I need to do is to keep its battery charged. It does not need to be fed, cleaned and milked. It has now connected our village with the world.
Parveen Begum
I want my fellow Americans to know that the people of Bangladesh are a good investment. With loans to buy cell phones, entire villages are brought into the information age. I want people throughout the world to know this story.
Bill Clinton
As a great social leveler, information technology ranks second only to death. It can raze cultural barriers, overwhelm economic inequalities, even compensate for intellectual disparities. In short, high technology can put unequal human beings on an equal footing, and that makes it the most potent democratizing tool ever devised.
Sam Pitroda
1 This chapter has also been submitted to Oscar Hensler and Thomas Tuffe (eds.), Media, Communication and Social Change: Rethinking Communication for Development. Nordicom Publishers, in press. A version of this chapter was previously presented by Singhal and Svenkerud at an International Conference on ‘Communication in a Democratic Society’, Bangkok, Thailand, December 2001.
2 Parveen Begum, owner and sole dispenser of mobile telephony services in Village Chakalgram, Savar Thana, Bangladesh; in a personal interview (2 May 2001).
3 US President Bill Clinton in an address during his meeting with members of the Village Phone Project in Dhaka, Bangladesh in March 2000.
4 Sam Pitroda (1993, p. 2), the visionary technologist who spearheaded India’s telecommunications revolution.
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
Grameen Bank, mobile telephony and social dividends
How can information technologies be harnessed in rural areas where there is no dedicated electrical power, and where the cost of installing, maintaining and purchasing such services is cumbersome? One answer to this problem is provided by the Grameen (rural) Bank in Bangladesh. Founded in 1983 by Professor Muhammad Yunus, the Grameen Bank is a system of lending small amounts of money to poor women so that they can earn a living through self-employment. No collateral is required; the poor do not have any. Instead, the borrowers are organised in a group of five friends. Each group member must repay her loan on time, ensuring that other group members do the same, or else their opportunity for a future loan is jeopardised. This delicate dynamic between peer pressure and peer support among Grameen borrowers is at the heart of its widespread success (Auwal and Singhal, 1992; Papa, Auwal and Singhal, 1995; Papa, Auwal and Singhal, 1997; Yunus, 1999).
By 2004, the Grameen Bank had loaned the equivalent of US$4.3 billion to 3.5 million borrowers (of whom 95 per cent are women), and had an enviable loan recovery rate of 98 per cent. The idea of micro lending, based on the Grameen Bank experience, has spread throughout the world and has proved effective everywhere in achieving a high rate of loan repayment. In short, interpersonal networks are effective collateral for poor women.
In 1997 Professor Yunus established a non-profit organisation called Grameen Telecom, with the vision of placing one mobile phone in each of the 68,000 villages of Bangladesh. At that time there was one telephone in Bangladesh for every 400 people, representing one of the lowest telephone densities in the world.\(^1\)
There was virtually no access to telephony services in rural areas. Professor Yunus realised that, while it was not possible for each rural household to own a telephone, it was possible through mobile telephone technology, to provide access to each villager. Thus Grameen Telecom’s Village Phone Project (VPP) was born. In 1997 Grameen Telecom formed a joint venture company called GrameenPhone Ltd (GP) in partnership with Telenor of Norway, Marubeni of Japan, and Gonofone Development Corporation of the USA.\(^2\) The GP company was awarded a licence to operate a nationwide GSM-900 cellular network on 11 November 1996. GP started its operation on 26 March 1997.
Creating win-win synergies
The business model of the VPP was deceptively simple and a potential win-win for everyone involved, including service providers and end users (Singhal, Svenkerud and Flydal, 2002). Four business entities were involved in the VPP:
- GrameenPhone (the for-profit business);
- Grameen Telecom (the not-for-profit business);
- Grameen Bank (the not-for-profit microcredit bank);
- the mobile handset owner in the village, commonly referred to as the Village Phone Lady (who was a member of Grameen Bank) (Malaviya et al., 2004a; 2004b).
GrameenPhone sold bulk airtime to Grameen Telecom at half the regular rate that was levied in the urban areas. The handsets were made available to villagers through Grameen Bank loans. Grameen Telecom was responsible for the sales, marketing, servicing
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\(^1\) In 2004, there exists one telephone in Bangladesh for every 175 people.
\(^2\) Telenor Corporation is the majority owner of GrameenPhone’s equity (over 50 per cent). Grameen Telecom owns about 35 per cent of the equity, and the other partners own the balance.
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
and administration of the village phones. This arrangement meant that:
- GrameenPhone avoided the costs of billing and bill collection from the village phone users, and had a steady revenue stream from Grameen Telecom;
- Grameen Bank benefited by cross-selling to villagers (who were existing Grameen Bank borrowers) the opportunity to start an additional business of providing mobile phone services in their village.
Because the initial loan for a mobile phone set was about US$390, an amount few villagers could invest on their own, Grameen Bank members took loans to lease or purchase the mobile telephone sets, thus generating additional income for Grameen Bank (Malaviya et al., 2004b). In addition, villagers settled their monthly telephone bills while repaying their loans. For Grameen Telecom, the VPP set-up meant that it could be optimistic about fulfilling its promise of providing mobile telephony in villages for the rural poor of Bangladesh. While most telephone companies targeted only the rich living in the cities, Grameen Telecom’s VPP targeted the rural poor, particularly women. This meant that:
- the village phone ladies benefited because they now had an independent source of revenue;
- the villagers who used the mobile phones to make and receive calls benefited because they were now connected to the rest of the world, using one of the most modern cellular technologies available, while paying one of the cheapest cellular rates in the world.
In addition, from the perspective of the government of Bangladesh, with the mobile presence of the village phone lady, rural residents could receive and make telephone calls, obviating the need to install expensive large-scale telephone exchanges and digital switching systems.
Rising profits
Since its inception in 1997, GrameenPhone’s subscriber base has doubled each year to reach over a million subscribers by December 2003 (Malaviya et al., 2004b), which represents the biggest subscriber base and coverage of any mobile telephony operator in Bangladesh and in South Asia. The company turned a profit in 2000 of $1.4 million, which climbed steeply to over $110 million in 2002 (Malaviya et al., 2004b). Many believe that even brighter business prospects lie ahead as demand for mobile telephony services in Bangladesh is estimated at about five to six million subscribers (out of a population of 130 million people). GrameenPhone’s growing mobile telephony network in the country and its financial viability help the Grameen Telecom’s village phone project (VPP) to piggyback on it.
Social dividends
By April 2004 some 54,000 village phones were operating (about five per cent of all GrameenPhone’s subscribers) in about 36,000 Bangladeshi villages, and serving an estimated 65 million rural inhabitants, more than 60 per cent of Bangladesh’s rural population. The village phones, on average, generated two to three times more revenue for GrameenPhone than a personal use city subscription, although the total revenue from these village phones was a relatively small percentage of the total GrameenPhone revenue (six per cent) (http://www.telecommons.com/villagephone, 2000).
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
Yet although the village phones contributed a small percentage of GrameenPhone’s revenue, they yielded a very high social impact. Studies indicated that the VPP had a positive economic impact in rural areas, creating a substantial consumer surplus and immeasurable quality-of-life enhancements.\(^3\)
For example, the village phone:
- obviated the need for a rural farmer to make a trip to the city to find out the market price of produce – the village phone accomplished this task at about one-quarter of the cost of taking the trip to the city and almost instantaneously (as compared to the hours it can take to make the trip to Dhaka)
- helped families keep in touch with relatives overseas
- helped families know about remittances sent to them from migrant workers overseas
- helped patients arrange appointments with doctors in the cities.
Villagers began thinking and doing things somewhat differently after the mobile phone arrived. For instance, many villagers started maintaining livestock and poultry stocks, as it now became possible to contact experts if there was ever an outbreak of a poultry or livestock disease (Malaviya et al., 2004b) and to track current market prices of poultry products, achieving higher returns on sales. The supply of agricultural inputs like diesel and fertilizer become more stable in the villages because dealers could monitor the supply situation throughout the year and guard against unforeseen contingencies.
**Empowerment of rural women**
Rural women in Bangladesh also became increasingly empowered through the village phone project. Technological ‘toys’ (cameras, radios, cassette players, etc.) are usually appropriated by men but through the VPP the mobile phone was placed in the hands of rural women. Now even a rich landowner had to come to the home of the village phone lady to access the telephone service and had to wait in line for his turn if another villager was using the phone at that time. Her home became an important location on the village map, often being referred to as the phone bari (or ‘home of the phone’). The VPP thus conferred status and prestige on rural Bangladeshi women.
**Overall effects**
So what have been the overall effects of the VPP in rural Bangladesh? The project:
- makes telephony services accessible and affordable to poor, rural Bangladeshis
- spurs employment
- increases the social status of the village telephone ladies
- provides access to market information and medical services
- represents a tool to communicate with family and friends within Bangladesh and outside (Richardson et al., 2000; Bayes et al., 1999; Quadir, 2003).
**Integrating telephony with solar power and internet services**
Another information technology venture of the Grameen Bank is the Village Internet Programme (VIP), a pilot project in which borrowers obtain loans to purchase and operate ‘cyber kiosks’ for profit. The purpose behind the cyber kiosks is for Grameen borrowers to:
‘have increased access to agricultural and market information for business use
provide distance and virtual education through remote classroom facilities
provide computer-based employment (data entry, transcription services, etc.) in rural
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\(^3\) See Richardson et. al. (2000) and Bayes et. al. (1999).
areas, as an alternative to massive migration to the cities.”
Yunus, 1998
The VIP is supported by established infrastructures and technologies within the Grameen family of companies. For instance, Grameen Shakti (energy) has developed photovoltaic solar systems to provide electricity to villages that lie beyond the national grid. The plan of VIP is to have cyber kiosks that run on solar power and connect to the internet by:
- mobile wireless
- microwave
- laser connections.
“Each cyber kiosk will be run as an independently owned and operated franchise of Grameen Communications in which the borrower will earn money by selling internet, telephony, and other computer-related services.”
Yunus, 1998
Lessons learned
The key lessons of the Grameen Bank approach to the use of mobile telephony and internet services are that:
1. Poor people should not just be passive consumers of communication technology, but rather its owners. When poor people own communication technology in ways that provide increased access to information to the resource-poor and, in so doing, create a viable business proposition for themselves, they help bridge the digital and economic divide in society;
2. Low-income, emerging markets for information technology products can be profitable. Reaching out to rural customer segments in emerging markets should not always be equated with charity and benevolence; rather it is possible to create models of social entrepreneurship which subscribe to multiple, coexisting, and mutually reinforcing (win-win) bottom lines (Prahalad, 2004; Quadir, 2003; Singhal, Svenkerud and Flydal 2002).
In low-income markets like Bangladesh and other developing countries, companies must view consumers as actively engaged in seeking a good life, not as passive consumers who merely want satisfaction (Letehier, 2003). GrameenPhone was able to identify culturally relevant opportunities by making the link between culture and the purchase motive of the consumers.
Grameen’s venture (in cooperation with Telenor of Norway and others) shows that multiple bottom lines can be met, e.g.:
- commercial interests in terms of revenues, profits and growth;
- social cause related interests in terms of serving unserved and underserved markets nationally, and also serving poor, rural, illiterate inhabitants who are traditionally excluded from traditional markets, thus overcoming the digital divide.
However, Telenor’s forays into Bangladesh were not problem-free, pointing to the complexities in forging long-term, win-win partnerships. The bureaucratic and regulatory hurdles under the state-owned telecommunications monopoly, Bangladesh Telegraph and Telephone Board (BTTB), as well as Bangladesh’s unstable political regime, is problematic for GrameenPhone’s business operations (Malaviya et al., 2004b). For example, uncertain political support and the fear of heavy taxation has forced Telenor to reinvest all its profits into the Bangladeshi venture rather than attempt to take these profits out of
3.2 Bridging digital divides: Lessons learned from the information technology initiatives of the Grameen Bank
the country as dividends for its shareholders. (Telenor’s shareholders, understandably, were clamouring to receive dividends.)
The third key lesson of the Grameen Bank approach is that:
3. Development organisations that have good brand value and wide rural reach in a developing country are uniquely positioned to partner with corporations to extend the benefits of information technology in rural areas. Here Grameen’s collaboration with Telenor is instructive. Clearly, in Bangladesh, Grameen has tremendous brand equity by virtue of its widespread success in:
- alleviation of poverty;
- empowerment of rural women;
- its well-known credo ‘good development is good business’ (which is also the slogan of VPP).
For many Bangladeshis, the Grameen brand is far more recognisable than Coca Cola, so branding the new venture ‘GrameenPhone’ brought instant credibility to Telenor’s business venture in Bangladesh.
While Telenor’s partnering with Grameen Telecom made the VPP possible, the existing, village-based loan disbursement and repayment infrastructure of the Grameen Bank allowed for handling the logistics of VPP at a very small additional cost. That said, Grameen Bank’s involvement in the VPP is perceived by some as problematic. Critics argue that the selection process of village telephone ladies propagates inequity by disqualifying the most disadvantaged rural women from participating (Singhal and Rogers, 2001). At the present time, the ‘selected’ village phone lady has to have:
- a solid record of borrowing and repaying Grameen Bank loans
- a successful existing business, for example, a village grocery store
- a residence that is centrally located on the village map
- a family member who knows English letters and numbers.
Few village women in Bangladesh fulfill these criteria. Further, such a self-selection of village telephone ladies propagates a monopolistic control of telephony services at the village level.
Conclusions
Despite these problems and constraints, Grameen Bank’s integrated initiatives in harnessing information technologies for development are exemplary and laudable. This is one reason why the GrameenPhone Project directly inspired, in 2003, the MTN VPP in Uganda to bring telephony to underserved areas. This project represented a unique collaboration between Grameen Foundation USA, MTN Uganda (the country’s largest telecommunications service provider) and five local microfinance institutions. It was operational in 350 Ugandan villages by mid-2004, serving close to one million rural inhabitants. By 2008, the MTN VPP will place an estimated 5,000 village phones in rural Uganda, serving 10 million poor inhabitants who previously had no access to telephony.
In conclusion, Grameen information technology operations in Bangladesh, and its emerging replication in Uganda, demonstrate how ‘penny’ capitalism can operate creatively to bridge the digital divide and serve the underdogs of society.
References
Auwal, M.A. and A. Singhal. 1992. ‘The diffusion of Grameen Bank in Bangladesh: Lessons learned about rural poverty alleviation’, *Knowledge: Creation, Diffusion, and Utilization*, 14 (1), pp. 7–28.
Bayes, A., J. von Braun and R. Akhter. 1999. *Village pay phones and poverty reduction*, Center for Development Research, Bonn, Germany.
Letelier, M.F., F. Flores and C. Spinosa. 2003. ‘Developing productive customers in emerging markets’. *California Management Review*, 45 (4), pp. 77.
Malaviya, P., A. Singhal, P.J. Svenekrud and S. Srivastava. 2004a. ‘Telenor in Bangladesh (A): The prospect of doing well and doing good’, Case Study [add number], INSEAD, Fontainebleau, France.
Malaviya, P., A. Singhal, P.J. Svenekrud and S. Srivastava. 2004b. ‘Telenor in Bangladesh (B): Achieving multiple bottom lines at GrameenPhone’, Case Study [add number], INSEAD, Fontainebleau, France.
Martinez-Frias, J. 2003. ‘The importance of ICTs for developing countries.’ *Interdisciplinary Science Reviews*, 28 (1) March, pp.10–15.
Papa, M.J., M.A. Auwal and A. Singhal. 1995. ‘Dialectic of control and emancipation in organizing for social change: A multitheoretic study of the Grameen Bank in Bangladesh’, *Communication Theory*, 5, pp.189–223.
Papa, M.J., M.A. Auwal and A. Singhal. 1997. ‘Organizing for social change within concertive control systems: Member identification, empowerment, and the masking of discipline’, *Communication Monographs*, 64, pp. 1–31.
Pitroda, S. 1993. ‘Development, democracy, and the village telephone’, *Harvard Business Review*, 71 (6) November/December, pp. 66–77.
Prahalad, C. K. 2004. *The fortune at the bottom of the pyramid: Eradicating poverty through profits*, Wharton School Publishing, Philadelphia, PA.
Quadir, I. 2003. ‘Bottom-up economics’, *Harvard Business Review*, 81 (8), pp.18–20.
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Singhal, A., P.J. Svenkerud, P.J.and E. Flydal. 2002. ‘Multiple bottom lines: Telenor’s mobile telephony operations in Bangladesh’, *Telektronikk*, 98 (1), pp. 153—160.
Singhal, A. and E.M. Rogers. 2001. *India’s communication revolution: Bullock carts to cyber marts*, Sage Publications, New Delhi.
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Stochastic approximation cut algorithm for inference in modularized Bayesian models
Yang Liu\textsuperscript{1} \textbullet Robert J. B. Goudie\textsuperscript{1}
Received: 22 April 2021 / Accepted: 6 November 2021
© The Author(s) 2021
Abstract
Bayesian modelling enables us to accommodate complex forms of data and make a comprehensive inference, but the effect of partial misspecification of the model is a concern. One approach in this setting is to modularize the model and prevent feedback from suspect modules, using a cut model. After observing data, this leads to the cut distribution which normally does not have a closed form. Previous studies have proposed algorithms to sample from this distribution, but these algorithms have unclear theoretical convergence properties. To address this, we propose a new algorithm called the stochastic approximation cut (SACut) algorithm as an alternative. The algorithm is divided into two parallel chains. The main chain targets an approximation to the cut distribution; the auxiliary chain is used to form an adaptive proposal distribution for the main chain. We prove convergence of the samples drawn by the proposed algorithm and present the exact limit. Although SACut is biased, since the main chain does not target the exact cut distribution, we prove this bias can be reduced geometrically by increasing a user-chosen tuning parameter. In addition, parallel computing can be easily adopted for SACut, which greatly reduces computation time.
Keywords Cutting feedback · Stochastic approximation Monte Carlo · Intractable normalizing functions · Discretization
1 Introduction
Bayesian models mathematically formulate our beliefs about the data and parameter. Such models are often highly structured models that represent strong assumptions. Many of the desirable properties of Bayesian inference require the model to be correctly specified. We say a set of models $f(x|\theta)$, where $\theta \in \Theta$, are misspecified if there is no $\theta_0 \in \Theta$ such that data $X$ is independently and identically generated from $f(x|\theta_0)$ (Walker 2013). In practice, models will inevitably fall short of covering every nuance of the truth. One popular approach when a model is misspecified is fractional (or power) likelihood. This can be used in both classical (e.g. Nakaya et al. 2005; Huang et al. 2010; Liu et al. 2018) and Bayesian (e.g. Miller and Dunson 2019; Bhattacharya et al. 2019) frameworks. However, this method treats all of the models as equally misspecified.
We consider the situation when the assumptions of the model are thought to partially hold: specifically, we assume that one distinct component (or module in the terminology of Liu et al. 2009) is thought to be incorrectly specified, whereas the other component is correctly specified. In standard Bayesian inference, these distinct modules are linked by Bayes’ theorem. Unfortunately, this means the reliability of the whole model may be affected even if only one component is incorrectly specified. To address this, in this paper we adopt the idea of “cutting feedback” (Lunn et al. 2009b; Liu et al. 2009; Plummer 2015; Jacob et al. 2017, 2020) which modifies the links between modules so that estimation of non-suspect modules is unaffected by information from suspect modules. This idea has been used in a broad range of applications including the study of population pharmacokinetic/pharmacodynamic (PK/PD) models (Lunn et al. 2009a), analysis of computer models (Liu et al. 2009),
Bayesian estimation of causal effects with propensity scores (McCandless et al. 2010; Zigler 2016) and Bayesian analysis of health effect of air pollution (Blangiardo et al. 2011).
Consider the generic two-module model with observable quantities (data) $Y$ and $Z$ and parameters $\theta$ and $\varphi$, shown in the directed acyclic graph (DAG) in Fig. 1. The joint distribution is
$$p(Y, Z, \theta, \varphi) = p(Y|\theta, \varphi)p(Z|\varphi)p(\theta)p(\varphi),$$
and the standard Bayesian posterior, given observations of $Y$ and $Z$, is
$$p(\theta, \varphi|Y, Z) = p(\theta|Y, \varphi)p(\varphi|Y, Z)$$
$$= \frac{p(Y|\theta, \varphi)p(\theta)}{p(Y|\varphi)} \frac{p(Y|\varphi)p(Z|\varphi)p(\varphi)}{p(Y, Z)}.$$
Suppose we are confident that the relationship between $\varphi$ and $Z$ is correctly specified but not confident about the relationship between $\varphi$ and $Y$. To prevent this possible misspecification affecting estimation of $\varphi$, we can “cut” feedback by replacing $p(\varphi|Y, Z)$ in the standard posterior with $p(\varphi|Z)$, making the assumption that $\varphi$ should be solely estimated by $Z$,
$$p_{\text{cut}}(\theta, \varphi) := p(\theta|Y, \varphi)p(\varphi|Z)$$
$$= \frac{p(Y|\theta, \varphi)p(\theta)}{p(Y|\varphi)} \frac{p(Z|\varphi)p(\varphi)}{p(Z)}. \quad (1)$$
We call (1) the “cut distribution”. The basic idea of cutting feedback is to allow information to “flow” in the direction of the directed edge, but not in the reverse direction (i.e. a “valve” is added to the directed edge).
Sampling directly from $p_{\text{cut}}(\theta, \varphi)$ is difficult because the marginal likelihood $p(Y|\varphi) = \int p(Y|\theta, \varphi)p(\theta)d\theta$ depends on a parameter of interest $\varphi$ and is not usually analytically tractable, except in the simple case when $p(\theta)$ is conditionally conjugate to $p(Y|\theta, \varphi)$, which we do not wish to assume. This intractable marginal likelihood is a conditional posterior normalizing constant: it is the normalizing function for the posterior distribution $p(\theta|Y, \varphi)$, conditional on $\varphi$, of a parameter $\theta$ of interest:
$$p(\theta|Y, \varphi) = \frac{p(Y, \theta|\varphi)}{p(Y|\varphi)}. \quad (2)$$
This differs importantly from intractable likelihood normalizing constants, as discussed in the doubly intractable literature (e.g. Park and Haran 2018), in which the normalizing function $H(\varphi) = \int h(Y|\varphi)dY$ for the likelihood is intractable.
$$p(Y|\varphi) = \frac{h(Y|\varphi)}{H(\varphi)}.$$
The normalizing function $H(\varphi)$ is obtained by marginalizing the likelihood, with respect to the observable quantity $Y$, in contrast to the normalizing function $p(Y|\varphi)$, which is obtained by marginalizing likelihood $p(Y, \theta|\varphi)$ with respect to a parameter $\theta$ of interest. This difference means that standard methods for doubly intractable problems (e.g. Moller et al. 2006; Murray et al. 2006; Liang 2010; Liang et al. 2016), which introduce an auxiliary variable, with the same distribution (or proposal distribution) as the distribution of the a posteriori observed and fixed $Y$ to cancel the intractable normalizing function shared by them, do not directly apply to (2).
A simple algorithm that aims to draw samples from $p_{\text{cut}}(\theta, \varphi)$ is implemented in WinBUGS (Lunn et al. 2009b). It is a Gibbs-style sampler that involves updating $\theta$ and $\varphi$ with a pair of transition kernels $q(\theta'|\theta, \varphi')$ and $q(\varphi'|\varphi)$ that satisfy detailed balance with $p(\theta|Y, \varphi')$ and $p(\varphi|Z)$, respectively. However, the chain constructed by the WinBUGS algorithm may not have the cut distribution as its stationary distribution (Plummer 2015) since
$$\int p_{\text{cut}}(\theta, \varphi)q(\theta'|\theta, \varphi')q(\varphi'|\varphi)d\theta d\varphi = w(\theta', \varphi')p_{\text{cut}}(\theta', \varphi'),$$
where the weight function $w$ is
$$w(\theta', \varphi') = \int \frac{p(\theta|Y, \varphi)}{p(\theta|Y, \varphi')} q(\varphi|\varphi')q(\theta|\theta', \varphi')d\theta d\varphi.$$
The WinBUGS algorithm is inexact since $w(\theta', \varphi') \neq 1$, except in the simple case (conditionally conjugate) when it is possible to draw exact Gibbs updates from $p(\theta|Y, \varphi')$. Plummer (2015) proposed two algorithms that address this problem by satisfying $w(\theta', \varphi') = 1$ approximately. One is a nested MCMC algorithm, which updates $\theta$ from $p(\theta'|Y, \varphi')$ by running a separate internal Markov chain with transition kernel $q^*(\theta'|\theta, \varphi')$ satisfying detailed balance with the target distribution $p(\theta|Y, \varphi')$. The other is a linear path algorithm, which decomposes the complete MCMC move from $(\theta, \varphi)$ to $(\theta', \varphi')$ into a series of substeps along a linear path from
ϕ to ϕ′ and drawing a new θ at each substep. However, these methods require either the length of the internal chain or the number of substeps to go to infinity, meaning that in practice, these algorithms will not necessarily converge to \( p_{\text{cut}} \).
In this article, we propose a new sampling algorithm for \( p_{\text{cut}}(\theta, \varphi) \), called the stochastic approximation cut (SACut) algorithm. Since ϕ can be easily sampled from tractable part \( p(\varphi|Z) \), our algorithm aims to sample θ from the intractable part \( p(\theta|Y, \varphi) \). Our algorithm is divided into two chains that are run in parallel: the main chain that approximately targets \( p_{\text{cut}}(\theta, \varphi) \) and an auxiliary chain that is used to form a proposal distribution for θ|ϕ in the main chain (Fig. 2b). The auxiliary chain uses stochastic approximation Monte Carlo (SAMC) (Liang et al. 2007) to approximate the intractable marginal likelihood \( p(Y|\varphi) \) and subsequently form a discrete set of distribution \( p(\theta|Y, \varphi) \) for each \( \varphi \in \Phi_0 = \{\varphi_0^{(1)}, \ldots, \varphi_0^{(m)}\} \), a set of pre-selected auxiliary parameters (Fig. 2a).
The basic “naive” form of our algorithm has convergence in distribution, but stronger convergence properties can be obtained by building a proposal distribution \( p_n^{(k)}(\theta|Y, \varphi) \) to target an approximation \( p^{(k)}(\theta|Y, \varphi) \) instead of the true distribution \( p(\theta|Y, \varphi) \) (Fig. 2c, d). We prove a weak law of large numbers for the samples \( \{(\hat{\theta}_n, \hat{\varphi}_n)\}_{n=1}^{\infty} \), drawn from the main chain. We also prove that the bias due to targeting \( p^{(k)}(\theta|Y, \varphi) \) can be controlled by the precision parameter κ, and that the bias decreases geometrically as κ increases. Our algorithm is inspired by the adaptive exchange algorithm (Liang et al. 2016), but replaces the exchange step with a direct proposal distribution for θ given ϕ in the main chain.
### 2 Main result
Let the product space \( \Theta \times \Phi \) be the supports of θ and ϕ under \( p_{\text{cut}} \). We assume the following throughout for simplicity.
**Assumption 1** (a) \( \Theta \) and \( \Phi \) are compact and (b) \( p_{\text{cut}} \) is continuous with respect to θ and ϕ over \( \Theta \times \Phi \).
Assumption 1(a) is restrictive, but is commonly assumed in the study of adaptive Markov chains (Haario et al. 2001). In most applied settings, it is reasonable to choose a prior for θ and ϕ with support on only a compact domain, making the domain of the cut distribution compact without any alteration to the likelihood. Note that Assumption 1 implies that \( p_{\text{cut}} \) is bounded over \( \Theta \times \Phi \). From now on, define a probability space \( (\Omega, \mathcal{F}, \mathbb{P}) \). Denote Lebesgue measure μ on Θ and \( \Phi \) and let \( P_{\text{cut}} \) be the measure on \( \Theta \times \Phi \) defined by its density \( p_{\text{cut}} \).
In following sections, we describe the construction of the algorithm. The naive version of our algorithm builds a discrete proposal distribution for θ, based on Liang et al. (2016). Note that, in Liang et al. (2016), this proposal distribution only draws auxiliary variables that are discarded once the parameter of interest is drawn, and so strong convergence results for samples drawn by this probability distribution are not needed by Liang et al. (2016). This does not always apply to our problem since θ is the parameter of interest and its parameter space can be continuous. The naive version does not allow us to prove stronger convergence and theoretical properties, so we apply a simple function approximation technique with a specially designed partition of the parameter space that enables a straightforward implementation. Although this approximation leads to bias, we show that it can be controlled.
#### 2.1 Naive stochastic approximation cut algorithm
To introduce ideas that we will use in Sect. 2.3, we first describe a naive version of the stochastic approximation cut algorithm. The overall naive algorithm (Algorithm 1) is divided into two chains that are run in parallel.
The auxiliary chain \( h_n = (\hat{\theta}_n, \hat{\varphi}_n), n = 0, 1, 2, \ldots \), uses stochastic approximation Monte Carlo (Liang et al. 2007) to estimate \( p(Y|\varphi) \) at a set of \( m \) pre-selected auxiliary parameter values \( \Phi_0 = \{\varphi_0^{(1)}, \ldots, \varphi_0^{(m)}\} \). As we detail in supplementary materials, the set \( \Phi_0 \) is chosen from a set of MCMC samples drawn from \( p(\varphi|Z) \), chosen using the Max–Min procedure (Liang et al. 2016) that repeatedly adds the sample that has the largest Euclidean distance to the hitherto selected \( \Phi_0 \). This ensures that \( \Phi_0 \) covers the major part of the support of \( p(\varphi|Z) \). A reasonably large \( m \) ensures the distribution \( p(\theta|Y, \varphi) \) overlaps each other for neighbouring \( \varphi_0^{(a)} \) and \( \varphi_0^{(b)} \). The target density for \( (\tilde{\theta}, \tilde{\varphi}) \in \Theta \times \Phi_0 \), which is proportional to \( p(\theta|Y, \varphi) \) in (1) at the values \( \Phi_0 \), is
\[
p(\tilde{\theta}, \tilde{\varphi}) = \frac{1}{m} \sum_{i=1}^{m} \frac{p(Y|\tilde{\theta}, \varphi_0^{(i)})p(\tilde{\theta})}{p(Y|\varphi_0^{(i)})} 1_{\{\tilde{\varphi} = \varphi_0^{(i)}\}}. \tag{3}
\]
Given proposal distributions \( q_1(\tilde{\theta}'|\tilde{\theta}) \) (e.g. symmetric random walk proposal) and \( q_2(\tilde{\varphi}'|\tilde{\varphi}) \) (e.g. uniformly drawing \( \tilde{\varphi}' \) from a neighbouring set of \( \tilde{\varphi} \)) for \( \tilde{\theta} \) and \( \tilde{\varphi} \) individually, at each iteration \( n \), proposals \( \tilde{\theta}' \) and \( \tilde{\varphi}' \) are drawn from a mixture proposal distribution, with a fixed mixing probability \( p_{\text{mix}} \),
\[
q(\tilde{\theta}', \tilde{\varphi}'|\tilde{\theta}_{n-1}, \tilde{\varphi}_{n-1}) = \begin{cases}
p_{\text{mix}}q_1(\tilde{\theta}'|\tilde{\theta}_{n-1}), & \text{for } \tilde{\theta}' \neq \tilde{\theta}_{n-1} \\
(1 - p_{\text{mix}})q_2(\tilde{\varphi}'|\tilde{\varphi}_{n-1}), & \text{for } \tilde{\varphi}' \neq \tilde{\varphi}_{n-1} \\
0, & \text{otherwise}
\end{cases}
\]
and accepted according to the Metropolis–Hastings acceptance probability with an iteration-specific target
\[
p_n(\tilde{\theta}, \tilde{\varphi}) \propto \sum_{i=1}^{m} \frac{p(Y|\tilde{\theta}, \varphi_0^{(i)})p(\tilde{\theta})}{w_{n-1}^{(i)}} 1_{\{\tilde{\varphi} = \varphi_0^{(i)}\}}, \quad \tilde{\theta} \in \Theta, \tilde{\varphi} \in \Phi_0.
\]
Here, $\tilde{w}_n^{(i)}$ is the estimate of $p(Y|\varphi_0^{(i)})$, $i = 1, \ldots, m$, up to a constant, and $\tilde{w}_n = (\tilde{w}_n^{(1)}, \ldots, \tilde{w}_n^{(m)})$ is a vector of these estimates at each of the pre-selected auxiliary parameter values $\Phi_0$. We set $\tilde{w}_0^{(i)} = 1$, $i = 1, \ldots, m$ at the start. As described in Liang et al. (2007) and Liang et al. (2016), the estimates are updated by
$$\log(\tilde{w}_n^{(i)}) = \log(\tilde{w}_{n-1}^{(i)}) + \xi_n(e_{n,i} - m^{-1}), \quad i = 1, \ldots, m,$$
where $e_{n,i} = 1$ if $\tilde{\varphi}_0 = \varphi_0^{(i)}$ and $e_{n,i} = 0$ otherwise, and $\xi_n = n_0/\max(n_0,n)$ decreases to 0 when $n$ goes to infinity (the shrink magnitude $n_0$ is a user-chosen fixed constant). Note that in this auxiliary chain, when the number of iterations is sufficiently large, we are drawing $(\theta, \varphi)$ from (3). Hence, by checking whether the empirical sampling frequency of each $\varphi_0^{(i)} \in \Phi_0$ strongly deviates from $m^{-1}$, we can detect potential non-convergence of the auxiliary chain.
In the main Markov chain $(\theta_n, q_n)$, $n = 1, 2, \ldots$, we draw $\varphi'$ from a proposal distribution $q(\varphi'|\varphi)$ and then draw $\theta'$ according to a random measure
$$P_n^*(\theta \in B|Y, \varphi') = \frac{\sum_{j=1}^{m} \sum_{i=1}^{m} \tilde{w}_n^{(i)} p(Y|\hat{\theta}, \varphi')}{\sum_{j=1}^{m} \sum_{i=1}^{m} \tilde{w}_n^{(i)} p(Y|\hat{\theta}_j, \varphi')} \mathbb{I}\{\theta \in B, \varphi_0^{(i)} = \hat{\varphi}_j\},$$
where $B \subset \Theta$ is any Borel set. Given a $\varphi$, the random measure (5) is formed via a dynamic importance sampling procedure proposed in Liang (2002) with intention to approximate the unknown distribution $p(\theta|Y, \varphi)$ (see supplementary material for a detailed explanation). For any Borel set $B \subset \Theta$, we have
**Fig. 2** Relationship between $p(\theta|Y, \varphi_0^{(i)})$, $p(\theta|Y, \varphi)$, $p^{(k)}(\theta|Y, \varphi)$ and $p_n^{(k)}(\theta|Y, \varphi)$. This is a toy example when the conditional distribution of $\theta$, given $Y = 1$ and $\varphi$, is $N(\varphi, Y^2)$. Samples of the auxiliary variable $\hat{\theta}$ are drawn from a mixture of discretized densities $p(\theta|Y, \varphi_0^{(i)})$, $i = 1, \ldots, m$, shown in the violin plot in **a**, with the green dots showing the median of each component (see Sect. 2.1). Then, $p_n^{(k)}(\theta|Y, \varphi)$, shown in **b**, is formed by using these auxiliary variables (see Sect. 2.2). Lemma 1 (Sect. 2.3) shows that $p_n^{(k)}(\theta|Y, \varphi)$ converges to $p^{(k)}(\theta|Y, \varphi)$, which is shown in **d**, while (8) shows that $p^{(k)}(\theta|Y, \varphi)$ converges to the original density $p(\theta|Y, \varphi)$, shown in **c**
\[
\frac{1}{n} \sum_{j=1}^{n} \sum_{i=1}^{m} \tilde{w}_{j-1}^{(i)} \frac{p(Y|\hat{\theta}_j, \varphi)p(\hat{\theta}_j)}{p(Y|\hat{\theta}_j, \varphi_0^{(i)})p(\hat{\theta}_j)} 1\{\hat{\theta}_j \in B, \varphi_0^{(i)} = \varphi_j\}
\]
\[
\rightarrow \sum_{i=1}^{m} \int_B m p(Y|\varphi_0^{(i)}) \frac{p(Y|\theta, \varphi)p(\theta)}{p(Y|\theta, \varphi_0^{(i)})p(\theta)} \frac{1}{m} \frac{p(Y|\theta, \varphi_0^{(i)})}{p(Y|\varphi_0^{(i)})} d\theta
\]
\[
= m \int_B p(Y|\theta, \varphi)p(\theta) d\theta,
\]
and similarly, the denominator of (5) converges to the \(mp(Y|\varphi)\). Hence, by Lemma 3.1 of Liang et al. (2016), since \(\Theta \times \Phi\) is compact, for any Borel set \(B \subset \Theta\) and on any outcome \(\omega\) of probability space \(\Omega\), we have:
\[
\lim_{n \to \infty} \sup_{\varphi \in \Phi} \left| P_n^*(\theta \in B|Y, \varphi) - \int_B p(\theta|Y, \varphi) d\theta \right| = 0. \tag{6}
\]
This implies that the distribution of \(\{\hat{\theta}_n\}\), drawn from (5), converges in distribution to \(p(\theta|Y, \varphi)\), and this convergence occurs uniformly over \(\Phi\). Note that the probability measure \(P_n^*(\theta \in B|Y, \varphi)\) is adapted to filtration \(\mathcal{G}_n = \sigma(\cup_{j=1}^{n} (\hat{\theta}_j, \varphi_j, \tilde{w}_j))\) on \((\Omega, \mathcal{F}, \mathbb{P})\) and has a Radon–Nikodym derivative with respect to a mixture of Dirac measures determined by \(\tilde{\Theta}_n = \cup_{j=1}^{n} \{\hat{\theta}_j\}\) (Gottardo and Raftery 2008), because it is the law of a discrete random variable defined on \(\Theta_n\). To achieve stronger convergence results, we will build a continuous probability distribution based on (5).
### Algorithm 1: Naive stochastic approximation cut algorithm
Initialize at starting points \(\hat{\theta}_0 = (\hat{\theta}_0, \varphi_0)\), \(\tilde{w}_0\) and \((\theta_0, \varphi_0)\);
For \(n = 1, \ldots, N\):
(a) Auxiliary chain:
1. Draw a proposal \((\tilde{\theta}', \tilde{\varphi}')\) according to \(q(\tilde{\theta}', \tilde{\varphi}'|\hat{\theta}_{n-1}, \varphi_{n-1})\).
2. Accept the proposal, and set \((\tilde{\theta}_n, \tilde{\varphi}_n) = (\tilde{\theta}', \tilde{\varphi}')\) according to the iteration-specific acceptance probability.
3. Calculate \(\tilde{w}_n^{(i)}\) according to (4), \(i = 1, \ldots, m\).
(b) Main chain:
1. Draw a proposal \(\varphi'\) according to \(q(\varphi'|\varphi_{n-1})\).
2. Set \(\varphi_n = \varphi'\) with probability:
\[
\alpha(\varphi'|\varphi_{n-1}) = \min \left\{ 1, \frac{p(\theta'|Y, \varphi')q(Z|\varphi_{n-1}|\varphi')p(\theta_{n-1}|Y, \varphi_{n-1})}{p(\theta_{n-1}|Y, \varphi_{n-1})p(\theta'|Y, \varphi')} \right\}
\]
\[
= \min \left\{ 1, \frac{p(\varphi'|Z)q(\varphi_{n-1}|\varphi')}{p(\varphi_{n-1}|Z)q(\varphi'|\varphi_{n-1})} \right\}.
\]
3. If \(\varphi'\) is accepted, draw \(\theta'\) according to \(P_n^*(\theta'|Y, \varphi')\) defined in (5) and set \(\theta_n = \theta'\).
4. Otherwise if \(\varphi'\) is rejected, set \((\theta_n, \varphi_n) = (\theta_{n-1}, \varphi_{n-1})\).
End For;
### 2.2 Simple function approximation cut distribution
The convergence in distribution (6) presented in the naive stochastic approximation cut algorithm is not sufficiently strong to infer a law of large numbers or ergodicity of the drawn samples. We will show that these properties can be satisfied by targeting an approximation of the density function \(p(\theta|Y, \varphi)\).
We adopt a density function approximation technique which uses a simple function as the basis. The use of a simple function to approximate a density function has been discussed previously (Fu and Wang 2002; Malefaki and Iliopoulos 2009), but here we use a different partition of the support of the function, determined by rounding to a user-specified number of decimal places. The general theory is presented in supplementary material.
Given the \(d\)-dimensional compact set \(\Theta\) and user-specified number of decimal places \(\kappa\), we partition \(\Theta\) in terms of (partial) hypercubes \(\Theta_r\) whose centres \(\theta_r\) are the rounded elements of \(\Theta\) to \(\kappa\) decimal places,
\[
\Theta_r = \Theta \cap [\theta : \|\theta - \theta_r\|_\infty \leq 5 \times 10^{-\kappa-1}], \quad r = 1, \ldots, R_\kappa, \tag{7}
\]
where \(R_\kappa\) is the total number of rounded elements. The boundary set \(\tilde{\Theta}_\kappa\), which has Lebesgue measure 0, is:
\[
\tilde{\Theta}_\kappa = \Theta \cap \left( \bigcup_{r=1}^{R_\kappa} [\theta : \|\theta - \theta_r\|_\infty = 5 \times 10^{-\kappa-1}] \right).
\]
Using this partition, we are able to build a simple function density that approximates \(p(\theta|Y, \varphi)\):
\[
p^{(\kappa)}(\theta|Y, \varphi) = \sum_{r=1}^{R_\kappa} \frac{1}{\mu(\Theta_r)} \int_{\Theta_r} p(\theta'|Y, \varphi) d\theta' 1\{\theta \in \Theta_r\},
\]
and let \(P^{(\kappa)}\) be the corresponding probability measure on \(\Theta\). The simple function approximation cut distribution is then formed by replacing the exact conditional distribution with this approximation
\[
P_{\text{cut}}^{(\kappa)}(\theta, \varphi) = p^{(\kappa)}(\theta|Y, \varphi)p(\varphi|Z).
\]
Let \(P_{\text{cut}}^{(\kappa)}\) be the corresponding probability measure on \(\Theta \times \Phi\).
Given the general theory presented in supplementary material, we have
\[
p^{(\kappa)}(\theta|Y, \varphi) \xrightarrow{\text{a.s.}} p(\theta|Y, \varphi), \quad \text{as } \kappa \to \infty. \tag{8}
\]
The rate of convergence is tractable if we further assume density \(p(\theta|Y, \varphi)\) is continuously differentiable.
Corollary 1 If density function \( p(\theta|Y, \varphi) \) is continuously differentiable, there exists a set \( \mathcal{E} \subset \Theta \) with \( \mu(\mathcal{E}) = \mu(\Theta) \) such that the local convergence holds:
\[
|p^{(\kappa)}(\theta|Y, \varphi) - p(\theta|Y, \varphi)| \\
\leq (\varepsilon(\theta, \kappa) + \|\nabla p(\theta|Y, \varphi)\|_2) \frac{\sqrt{d}}{10^\kappa}, \quad \forall \theta \in \mathcal{E},
\]
where \( \varepsilon(\theta, \kappa) \to 0 \) as \( \kappa \to \infty \).
In addition, the global convergence holds:
\[
\sup_{\theta \in \mathcal{E}} |p^{(\kappa)}(\theta|Y, \varphi) - p(\theta|Y, \varphi)| \leq \sup_{\theta \in \Theta} \|\nabla p(\theta|Y, \varphi)\|_2 \frac{\sqrt{d}}{10^\kappa}.
\]
Proof See the general theory in supplementary material.
2.3 Stochastic approximation cut algorithm
We now refine the naive stochastic approximation cut algorithm by replacing in the main chain the proposal distribution \( P_n^* \), which concentrates on the discrete set \( \hat{\Theta}_n \), by a distribution, with support on the compact set \( \Theta \), that we will show converges almost surely to \( P^{(\kappa)} \).
Let \( W_n(\varphi) = (W_n(\Theta_1|Y, \varphi), \ldots, W_n(\Theta_R|Y, \varphi)) \) be a random weight process based on the probability of the original proposal distribution \( P_n^* \) taking a value in each partition component \( \Theta_r \) as
\[
W_n(\Theta_r|Y, \varphi) = \frac{P_n^*(\theta \in \Theta_r|Y, \varphi) + (nR_\kappa)^{-1}}{1 + n^{-1}},
\]
(9)
where \( r = 1, \ldots, R_\kappa \). Note that \( W_n(\Theta_r|Y, \varphi) \) is adapted to the auxiliary filtration \( G_n \). By adding a \( (nR_\kappa)^{-1} \), each \( W_n(\Theta_r|Y, \varphi), r = 1, \ldots, R_\kappa \), is strictly positive and yet this modification does not affect the limit since \( (nR_\kappa)^{-1} \to 0 \). That is, on any outcome \( \omega \) of probability space \( \Omega \), we have
\[
\lim_{n \to \infty} \sup_{\varphi \in \Phi: 1 \leq r \leq R_\kappa} \left| W_n(\Theta_r|Y, \varphi) - \int_{\Theta_r} p(\theta|Y, \varphi) d\theta \right| = 0.
\]
(10)
We now define the random measure process \( P_n^{(\kappa)} \) that replaces \( P_n^* \) used in the naive stochastic approximation cut algorithm. For any Borel set \( B \),
\[
P_n^{(\kappa)}(\theta \in B|Y, \varphi) = \int_B \sum_{r=1}^{R_\kappa} \frac{1}{\mu(\Theta_r)} W_n(\Theta_r|Y, \varphi) 1_{\{\theta \in \Theta_r\}} d\theta.
\]
(11)
Clearly, \( P_n^{(\kappa)}(\theta \in \Theta|Y, \varphi) = 1 \) so \( P_n^{(\kappa)} \) is a valid probability measure on \( \Theta \). Additionally, since \( W_n(\varphi) \) is adapted to filtration \( G_n \), \( P_n^{(\kappa)} \) is adapted to filtration \( G_n \). The Radon–Nikodym derivative of \( P_n^{(\kappa)} \) with respect to the Lebesgue measure \( \mu \) on \( \Theta \) is
\[
P_n^{(\kappa)}(\theta|Y, \varphi) = \sum_{r=1}^{R_\kappa} \frac{1}{\mu(\Theta_r)} W_n(\Theta_r|Y, \varphi) 1_{\{\theta \in \Theta_r\}}.
\]
(12)
This density is not continuous, but it is bounded on \( \Theta \). In addition, since \( \Theta \) is the support of \( p(\theta|Y, \varphi) \) and \( W_n(\varphi) \) is strictly positive, the support of \( P_n^{(\kappa)} \) is \( \Theta \) for all \( \varphi \in \Phi \) as well.
Using \( P_n^{(\kappa)} \) as the proposal distribution has the advantage that \( P_n^{(\kappa)} \) converges almost surely to \( P^{(\kappa)} \), in contrast to the convergence in distribution for the naive algorithm in (6).
Lemma 1 Given Assumption 1, on any outcome \( \omega \) of probability space \( \Omega \), we have:
\[
P_n^{(\kappa)}(\theta|Y, \varphi) \xrightarrow{a.s.} P^{(\kappa)}(\theta|Y, \varphi),
\]
and this convergence is uniform over \( (\Theta \setminus \tilde{\Theta}_\kappa) \times \Phi \).
Note that the convergence is to \( P^{(\kappa)}(\theta|Y, \varphi) \) rather than \( p(\theta|Y, \varphi) \), but we will show in Corollary 2 that this bias reduces geometrically as the precision parameter \( \kappa \) increases.
The complete stochastic approximation cut algorithm (SACut) is shown in Algorithm 2. The key idea is that we propose samples for \( \theta \) from a density \( P_n^{(\kappa)}(\theta|Y, \varphi) \), which approximates \( p(\theta|Y, \varphi) \) and from which we can draw samples, but we accept these proposals according to \( p^{(\kappa)}(\theta|Y, \varphi) \), which then cancels. This results in the acceptance probability being determined only by the proposal distribution for \( \varphi \); the proposal distribution for \( \theta \) is not involved. Indeed, the acceptance probability is the same as the partial Gibbs sampler that we will discuss in Sect. 3.1.1.
2.4 Parallelization and simplification of computation
The main computational bottleneck of the stochastic approximation cut algorithm is the updating and storage of the cumulative set of auxiliary variable values \( \hat{\Theta}_n = \cup_{j=1}^n \{\hat{\theta}_j\} \). Since we draw a new \( \varphi' \) at each iteration, in order to calculate all possible probabilities defined by (5) and (9), the density \( p(Y|\theta, \varphi') \) must be calculated \( |\hat{\Theta}_n| \) times. This is equivalent to running \( |\hat{\Theta}_n| \) internal iterations at each step of external iteration for the existing approximate approaches proposed in Plummer (2015). Note that \( \hat{\Theta}_n \) is solely generated from the auxiliary chain so \( |\hat{\Theta}_n| \) is not affected by the precision parameter \( \kappa \). If the calculation of this density is computationally expensive, the time to perform each update of the chain will become prohibitive when \( |\hat{\Theta}_n| \) is large. However, the calculation of \( p(Y|\theta, \varphi') \) for different values of \( \theta \) is embarrassingly parallel so can be evaluated in parallel whenever multiple computer cores are available, enabling a considerable speed up.
The speed of the computation can be further improved by reducing the size of \( \hat{\Theta}_n \). Given the precision parameter \( \kappa \), we
Algorithm 2: Stochastic approximation cut (SACut) algorithm
Initialize at starting points \( h_0 = (\hat{\theta}_0, \varphi_0), \tilde{u}_0 \) and \((\hat{\theta}_0, \varphi_0)\);
For \( n = 1, \ldots, N \):
(a) Auxiliary chain:
(1) Draw a proposal \((\hat{\theta}', \varphi')\) according to \( q(\hat{\theta}', \varphi' | \hat{\theta}_{n-1}, \varphi_{n-1}) \).
(2) Accept the proposal, and set \((\hat{\theta}_n, \varphi_n) = (\hat{\theta}', \varphi')\) according to the iteration-specific acceptance probability.
(3) Calculate \( \tilde{u}_n^{(i)} \) according to (4), \( i = 1, \ldots, m \).
(b) Main chain:
(1) Draw a proposal \( \varphi' \) according to \( q(\varphi' | \varphi_{n-1}) \).
(2) Set \( \varphi_n = \varphi' \) with probability:
\[
\alpha(\varphi' | \varphi_{n-1}) = \min \left\{ 1, \frac{p^{(k)}(\theta' | Y, \varphi') p(\varphi' | Z) q(\varphi_{n-1} | \varphi') p^{(k)}(\theta_{n-1} | Y, \varphi_{n-1})}{p^{(k)}(\theta_{n-1} | Y, \varphi_{n-1}) p(\varphi_{n-1} | Z) q(\varphi' | \varphi_{n-1}) p^{(k)}(\theta' | Y, \varphi')} \right\}
= \min \left\{ 1, \frac{p(\varphi' | Z) q(\varphi_{n-1} | \varphi')}{p(\varphi_{n-1} | Z) q(\varphi' | \varphi_{n-1})} \right\}.
\]
(3) If \( \varphi' \) is accepted, calculate \( W_n(\Theta_r | Y, \varphi') \) defined in (9), \( r = 1, \ldots, R_k \). Draw a proposal \( \theta' \) according to \( P_n^{(k)}(\theta' | Y, \varphi') \) defined in (11) and set \( \theta_n = \theta' \).
(4) Otherwise if \( \varphi' \) is rejected, set \((\hat{\theta}_n, \varphi_n) = (\hat{\theta}_{n-1}, \varphi_{n-1})\).
End For;
round all elements from \( \hat{\Theta}_n \) to their \( \kappa \) decimal places and let \( \hat{\Theta}_n^{(\kappa)} \) be the set that contains these rounded elements. At each iteration, the number of calculations of density \( p(Y | \hat{\theta}, \varphi') \) is equal to the number of \( d \)-orthotopes that auxiliary chain \( \{\hat{\theta}_j\}_{j=1}^n \) has visited up to iteration \( n \) and by (6) we know that the distribution of auxiliary samples of \( \hat{\theta} \) converges to the true distribution \( p(\hat{\theta} | Y, \varphi) \). Hence, the computational speed is mainly determined by the precision parameter \( \kappa \) and the target distribution \( p(\theta | Y, \varphi) \). In particular, for any fixed \( \kappa \) and a sufficiently long auxiliary chain the computational cost is upper bounded by the case of uniform distribution since it equally distributes over the space \( \Theta \).
Theorem 1 Given an arbitrary \( d \)-dimensional compact parameter space \( \Theta \) and a precision parameter \( \kappa \) and suppose that the auxiliary chain has converged before we start collecting auxiliary variable \( \hat{\theta} \), for any fixed number of iteration \( n \). Then, the expected number of \( d \)-orthotopes visited \( \mathbb{E} \left( |\hat{\Theta}_n^{(\kappa)}| \right) \) is maximized when the target distribution is uniform distribution.
Proof See supplementary material (Online Resource 1). \( \square \)
For example, given a \( d \)-dimensional parameter space \( \Theta = [0 - 5 \times 10^{-\kappa - 1}, 1 + 5 \times 10^{-\kappa - 1}]^d \) and its partition \( \Theta_r, r = 1, \ldots, 11^{dk} \), we consider the uniform distribution as the target distribution. Assuming the auxiliary chain has converged, the expectation of \( |\hat{\Theta}_n^{(\kappa)}| \) is
\[
\mathbb{E} \left( |\hat{\Theta}_n^{(\kappa)}| \right) = 11^{dk} - \frac{(11^{dk} - 1)^n}{11^{dk(n-1)}}.
\]
In the case of \( d = 1 \), Fig. 3 compares the number of orthotopes visited between the uniform distribution and truncated normal distribution when the standard deviation is 0.1 and 0.05. It shows that larger precision parameter \( \kappa \) means more evaluations of \( p(Y | \hat{\theta}, \varphi') \) are required. Hence, a wise choice of a small \( \kappa \) can significantly reduce computation time.
While small \( \kappa \) means a loss of precision since local variations of original target distribution are smoothed by rounding the value of its samples, in most applied settings only a small number of significant figures are meaningful, and so the ability to trade-off the precision and computational speed is appealing. Comparing short preliminary run of chains for different candidates of \( \kappa \) may be useful when a suitable choice of \( \kappa \) is unclear. We will discuss this in Sect 4.1.
3 Convergence properties
In this section, we study the convergence properties of samples drawn by the stochastic approximation cut algorithm. We establish a weak law of large numbers with respect to the simple function approximation cut distribution \( P_{\text{cut}}^{(k)} \), under some regularity conditions, by proving that the conditions required by Theorem 3.2 in Liang et al. (2016) are satisfied. We then prove that the bias with respect to \( P_{\text{cut}} \) can be reduced geometrically by increasing the precision parameter \( \kappa \). To aid exposition of the convergence properties, it is necessary to first introduce two simpler but infeasible alternative algorithms. Then, we prove the convergence of the algorithm.
The framework of our proofs follow Liang et al. (2016). However, adjustments are made for two key differences. Firstly, the parameter of interest here has two components,
instead of just one, and we require completely different proposal distributions to those in Liang et al. (2016): the proposal distribution of $\theta$ involves an auxiliary chain and simple function approximation, and the proposal distribution of $\varphi$ is a standard MCMC algorithm. Secondly, the parameter drawn by (12) here is retained, rather than being discarded as in Liang et al. (2016). This means the distributions involved here are different and more complicated.
### 3.1 Infeasible alternative algorithms
**Definition 1** Given a signed measure $M$ defined on a set $E$, and a Borel set $B \subset E$, define the total variation norm of $M$ as
$$\|M(\cdot)\|_{TV} = \sup_{B \subset E} |M(B)|.$$
#### 3.1.1 A partial Gibbs sampler
The most straightforward algorithm that draws samples from $P^{(k)}_{cut}(\theta, \varphi)$ is a standard partial Gibbs sampler, which draws proposals $\theta'$ from $p^{(k)}(\theta'|Y, \varphi')$, given a $\varphi'$ drawn from a proposal distribution $q(\varphi'|\varphi_{n-1})$. The transition kernel is
$$u^{(1)}((\theta_n, \varphi_n)|(\theta_{n-1}, \varphi_{n-1})) = \alpha(\varphi_n|\varphi_{n-1}) p^{(k)}(\theta_n|Y, \varphi_n) q(\varphi_n|\varphi_{n-1}) + \left(1 - \int_{\Theta \times \Phi} \alpha(\varphi|\varphi_{n-1}) p^{(k)}(\theta|Y, \varphi) q(\varphi|\varphi_{n-1}) d\theta d\varphi\right) \delta((\theta_n, \varphi_n) - (\theta_{n-1}, \varphi_{n-1})) = \alpha(\varphi_n|\varphi_{n-1}) p^{(k)}(\theta_n|Y, \varphi_n) q(\varphi_n|\varphi_{n-1}) + \left(1 - \int_{\Phi} \alpha(\varphi|\varphi_{n-1}) q(\varphi|\varphi_{n-1}) d\varphi\right) \delta((\theta_n, \varphi_n) - (\theta_{n-1}, \varphi_{n-1})),$$
where $\delta$ is the multivariate Dirac delta function and
$$\alpha(\varphi_n|\varphi_{n-1}) = \min \left\{1, \frac{p(\varphi_n|Z)q(\varphi_{n-1}|\varphi_n)}{p(\varphi_{n-1}|Z)q(\varphi_n|\varphi_{n-1})}\right\}.$$
This transition kernel is Markovian and admits $P^{(k)}_{cut}$ as its stationary distribution, provided a proper proposal distribution $q(\varphi_n|\varphi_{n-1})$ is used. We write $U^{(1)}$ for the corresponding probability measure.
Let $u^{(s)}$ denote the $s$-step transition kernel and write $U^{(s)}$ for the corresponding probability measure. By Meyn et al. (2009), we have ergodicity on $\Theta \times \Phi$,
$$\lim_{s \to \infty} \|U^{(s)}(\cdot) - P^{(k)}_{cut}(\cdot)\|_{TV} = 0,$$
and for any bounded function $f$ defined on $\Theta \times \Phi$, we have a strong law of large numbers
$$\frac{1}{N} \sum_{n=1}^{N} f(\theta_n, \varphi_n) \xrightarrow{\text{a.s.}} \int_{\Theta \times \Phi} f(\theta, \varphi) P^{(k)}_{cut}(d\theta, d\varphi).$$
Note, however, that this algorithm is infeasible because $p^{(k)}(\theta|Y, \varphi)$ is intractable, since $p(\theta|Y, \varphi)$ is intractable, and so we cannot directly draw proposals for $\theta$.
#### 3.1.2 An adaptive Metropolis–Hastings sampler
An adaptive Metropolis–Hastings sampler can be built by replacing $P^{(k)}$ in the calculation of acceptance probability of the stochastic approximation cut algorithm by its approximation $p^{(k)}_{cut}$, which is the exact proposal distribution for $\theta$ at the $n$th step. The acceptance probability is determined by both $\theta$ and $\varphi$,
$$\alpha_n(\theta', \varphi')((\theta_{n-1}, \varphi_{n-1})) = \min \left\{1, \frac{p^{(k)}(\theta'|Y, \varphi') p(\varphi'|Z) q(\varphi_{n-1}|\varphi') p^{(k)}_{cut}(\theta_{n-1}|Y, \varphi_{n-1})}{p^{(k)}(\theta_{n-1}|Y, \varphi_{n-1}) p(\varphi_{n-1}|Z) q(\varphi'|\varphi_{n-1}) p^{(k)}_{cut}(\theta'|Y, \varphi')}\right\},$$
and we can write the transition kernel,
$$v^{(1)}_n((\theta_n, \varphi_n)|(\theta_{n-1}, \varphi_{n-1}), G_n) = \alpha_n((\theta_n, \varphi_n)|(\theta_{n-1}, \varphi_{n-1})) p^{(k)}_{cut}(\theta_n|Y, \varphi_n) q(\varphi_n|\varphi_{n-1}) + \left(1 - \int_{\Theta \times \Phi} \alpha_n((\theta, \varphi)|(\theta_{n-1}, \varphi_{n-1})) p^{(k)}_{cut}(\theta|Y, \varphi) q(\varphi|\varphi_{n-1}) d\theta d\varphi\right) \delta((\theta_n, \varphi_n) - (\theta_{n-1}, \varphi_{n-1})),$$
where $\delta$ is the multivariate Dirac delta function. Conditional on the filtration $G_n$, $v^{(1)}_n$ is Markovian. We write $V^{(1)}_n$ for the corresponding probability measure. Note that this sampler is not a standard Metropolis–Hastings algorithm since the transition kernel is not constant. Instead, it is an external adaptive MCMC algorithm (Atchadé et al. 2011).
Given information up to $G_n$, if we stop updating auxiliary process, then $P^{(k)}_{cut}$ is fixed and not random, and this sampler reduces to a standard Metropolis–Hastings sampler. The transition kernel $V^{(1)}_n$ admits $P^{(k)}_{cut}$ as its stationary distribution provided a proper proposal distribution is used. That is, define
$$v^{(s)}_n = \int_{(\Theta)^{s-1} \times (\Phi)^{s-1}} \prod_{k=1}^{s} v^{(1)}_n((\theta_k, \varphi_k)|(\theta_{k-1}, \varphi_{k-1}), G_n) d\theta_{1:s-1} d\varphi_{1:s-1},$$
and $V^{(s)}$ as the corresponding probability measure. Then, on $\Theta \times \Phi$ we have
$$\lim_{s \to \infty} \|V^{(s)}_n(\cdot) - P^{(k)}_{cut}(\cdot)\|_{TV} = 0.$$
Note, however, that this algorithm is also infeasible because, while we can draw proposals for $\theta$, since $p_n^{(k)}$ is known up to $\mathcal{G}_n$, $p^{(k)}(\theta | Y, \varphi)$ remains intractable so we cannot calculate the acceptance probability.
### 3.2 Convergence of the stochastic approximation cut algorithm
The infeasibility of the partial Gibbs sampler and the adaptive Metropolis–Hastings sampler motivates the development of the stochastic approximation cut algorithm, which replaces the proposal distribution $p_n^{(k)}$ by its target $p^{(k)}$ in the accept–reject step of the adaptive Metropolis–Hastings sampler. This leads to the same acceptance probability as is used by the partial Gibbs sampler, so the proposed algorithm can be viewed as combining the advantages of both the partial Gibbs sampler and the adaptive Metropolis–Hastings sampler. The transition kernel of the stochastic approximation cut algorithm is
\[
t_n^{(1)}((\theta_n, \varphi_n)|(\theta_{n-1}, \varphi_{n-1}), \mathcal{G}_n) = \alpha(\varphi_n|\varphi_{n-1}) p_n^{(k)}(\theta_n|Y, \varphi_n) q(\varphi_n|\varphi_{n-1})
+ \left(1 - \int_{\Theta \times \Phi} \alpha(\varphi|\varphi_{n-1}) p_n^{(k)}(\theta|Y, \varphi) q(\varphi|\varphi_{n-1}) d\theta d\varphi\right)
\delta((\theta_n, \varphi_n) - (\theta_{n-1}, \varphi_{n-1}))
= \alpha(\varphi_n|\varphi_{n-1}) p_n^{(k)}(\theta_1|Y, \varphi_n) q(\varphi_n|\varphi_{n-1})
+ \left(1 - \int_{\Phi} \alpha(\varphi|\varphi_{n-1}) q(\varphi|\varphi_{n-1}) d\varphi\right)
\delta((\theta_n, \varphi_n) - (\theta_{n-1}, \varphi_{n-1})) ,
\]
where $\delta$ is the multivariate Dirac delta function. Conditionally to $\mathcal{G}_n$, the transition kernel $t_n^{(1)}$ is Markovian. We write $T_n^{(1)}$ for the corresponding probability measure. Given information up to $\mathcal{G}_n$ and stopping updating the auxiliary process, $P_n^{(k)}$ is fixed and not random, and we define the $s$-step transition kernel as
\[
t_n^{(s)} = \int_{\Theta^{s-1} \times \Phi^{s-1}} \prod_{k=1}^{s} t_n^{(1)}((\theta_k, \varphi_k)|(\theta_{k-1}, \varphi_{k-1}), \mathcal{G}_n) d\theta_{1:s-1} d\varphi_{1:s-1},
\]
and write $T_n^{(s)}$ for the corresponding probability measure.
We now present several lemmas required to prove a weak law of large numbers for this algorithm (proofs in supplementary material (Online Resource 1)), appropriately modifying the reasoning of Meyn and Tweedie (1994), Roberts and Tweedie (1996) and Liang et al. (2016) for this setting.
**Assumption 2** The posterior density $p(Y|Z)$ is continuous on $\Phi$ and the proposal distribution $q(\varphi'|\varphi)$ is continuous with respect to $(\varphi', \varphi)$ on $\Phi \times \Phi$.
**Lemma 2** (Diminishing adaptation) Given Assumptions 1 and 2, then
\[
\lim_{n \to \infty} \sup_{\theta \in \Theta, \varphi \in \Phi} \left\| T_{n+1}^{(1)}(\cdot|(\theta, \varphi), \mathcal{G}_{n+1}) - T_n^{(1)}(\cdot|(\theta, \varphi), \mathcal{G}_n) \right\|_{TV} = 0.
\]
Before presenting the next lemma, we introduce the concept of local positivity.
**Definition 2** A proposal distribution $q(\psi'|\psi)$ satisfies local positivity if there exists $\delta > 0$ and $\varepsilon > 0$ such that for every $\psi \in \Psi$, $|\psi' - \psi| \leq \delta$ implies that $q(\psi'|\psi) > \varepsilon$.
**Lemma 3** Given Assumption 1, the proposal distributions with densities $p_n^{(k)} : \Theta \to \mathbb{R}$ and $p^{(k)} : \Theta \to \mathbb{R}$ are both uniformly lower bounded away from 0 and satisfy local positivity uniformly for all values $\varphi \in \Phi$.
**Lemma 4** (Stationarity) Given Assumptions 1 and 2, and the filtration $\mathcal{G}_n$ (i.e. $P_n^{(k)}$ is not random), then if the transition kernel measures $U^{(1)}$ and $V_n^{(1)}$ both admit an irreducible and aperiodic Markov chain, then the transition kernel measure $T_n^{(1)}$ admits an irreducible and aperiodic chain. Moreover, if the proposal distribution $q(\varphi'|\varphi)$ satisfies local positivity, then there exists a probability measure $\Pi_n$ on $\Theta \times \Phi$ such that for any $(\theta_0, \varphi_0) \in \Theta \times \Phi$,
\[
\lim_{s \to \infty} \left\| T_n^{(s)}(\cdot) - \Pi_n(\cdot) \right\|_{TV} = 0,
\]
and this convergence is uniform over $\Theta \times \Phi$.
**Lemma 5** (Asymptotic Simultaneous Uniform Ergodicity) Given Assumptions 1 and 2 and the assumptions in Lemma 4, for any initial value $(\theta_0, \varphi_0) \in \Theta \times \Phi$, and any $\varepsilon > 0$ and $\epsilon > 0$, there exist constants $S(\varepsilon) > 0$ and $N(\varepsilon) > 0$ such that
\[
\mathbb{P}\left(\left\| P_n^{(k)}(\cdot) - P_{cut}^{(k)}(\cdot) \right\|_{TV} \leq \varepsilon \right) > 1 - \epsilon,
\]
for all $s > S(\varepsilon)$ and $n > N(\varepsilon)$.
Lemma 2 leads to condition (c) (diminishing adaptation), Lemma 4 leads to condition (a) (stationarity) and Lemma 5 leads to condition (b) (asymptotic simultaneous uniform ergodicity) in Theorem 3.2 of Liang et al. (2016). Hence, we have the following weak law of large numbers.
**Theorem 2** (WLLN) Suppose that the conditions of Lemma 5 hold. Let $f$ be any measurable bounded function on $\Theta \times \Phi$. Then, for samples $(\theta_n, \varphi_n), n = 1, 2, \ldots$ drawn using the stochastic approximation cut algorithm, we have that
\[
\frac{1}{N} \sum_{n=1}^{N} f(\theta_n, \varphi_n) \to \int_{\Theta \times \Phi} f(\theta, \varphi) P_{cut}^{(k)}(d\theta, d\varphi),
\]
in probability.
**Proof** This follows by Theorem 3.2 in Liang et al. (2016). □
Given further conditions and combining Corollary 1 with Theorem 2, we have the following corollary.
**Corollary 2** Given the conditions in Corollary 1 hold for the cut distribution $P_{\text{cut}}$ and conditions in Theorem 2 hold. Then, given a measurable and bounded function $f : \Theta \times \Phi \to \mathbb{R}$, there exists, for any $\varepsilon > 0$ and $e > 0$, a precision parameter $\kappa$ and iteration number $N$, such that for samples $(\theta_n, \varphi_n)$, $n = 1, 2, \ldots$ drawn using the stochastic approximation cut algorithm, we have that
$$
\mathbb{P} \left( \left| \frac{1}{N} \sum_{n=1}^{N} f(\theta_n, \varphi_n) - \int_{\Theta \times \Phi} f(\theta, \varphi) P_{\text{cut}}(\mathrm{d}\theta, \mathrm{d}\varphi) \right| \leq \varepsilon \right) > 1 - e.
$$
More specifically, the bias
$$
\left| \int_{\Theta \times \Phi} f(\theta, \varphi) P_{\text{cut}}(\mathrm{d}\theta, \mathrm{d}\varphi) - \int_{\Theta \times \Phi} f(\theta, \varphi) P_{\text{cut}}^{(\kappa)}(\mathrm{d}\theta, \mathrm{d}\varphi) \right|
$$
can be controlled by
$$
\sup_{\theta \in \Theta, \varphi \in \Phi} \| \nabla_\theta p(\theta | Y, \varphi) \|_2 \sqrt{\frac{d}{10^{\kappa}}} \left( \int_{\Theta \times \Phi} f(\theta, \varphi) p(\varphi | Z) \mathrm{d}\theta \mathrm{d}\varphi \right).
$$
Corollary 2 shows that, although the convergence established by Theorem 2 is biased with respect to the true cut distribution $P_{\text{cut}}$, the bias can be geometrically reduced by selecting a large precision parameter $\kappa$.
### 4 Illustrative examples
We demonstrate the proposed algorithm in this section. First, we use a simulation example to introduce a simple method for choosing the precision parameter $\kappa$ and demonstrate that the proposed algorithm can eliminate the feedback from a suspect module. We then examine a simulated case designed to highlight when existing algorithms will perform poorly. We finally apply our algorithm to an epidemiological example and compare results with existing studies. The R package SACut and code to replicate these examples can be downloaded from GitHub.\footnote{https://github.com/MathBilibili/Stochastic-approximation-cut-algorithm.}
#### 4.1 Simulated random effects example
In this example, we discuss a simple method for selecting the precision parameter $\kappa$ and show that the proposed algorithm can effectively cut the feedback from a suspect module.
We consider a simple normal–normal random effect example previously discussed by Liu et al. (2009), with groups $i = 1, \ldots, 100 = N$, observations $Y_{ij} \sim \mathcal{N}(\beta_i + \varphi_i^2, 1)$, $j = 1, \ldots, 20$ in each group, and random effects distribution $\beta_i \sim \mathcal{N}(0, \theta^2)$. Our aim is to estimate the random effects standard deviation $\theta$ and the residual standard deviation $\varphi = (\varphi_1, \ldots, \varphi_N)$. By sufficiency, the likelihood can be equivalently represented in terms of the group-specific means $\bar{Y}_i = \frac{1}{20} \sum_{j=1}^{20} Y_{ij}$ and the sum of squared deviations $s_i^2 = \sum_{j=1}^{20} (Y_{ij} - \bar{Y}_i)^2$ as
$$
\bar{Y}_i \sim \mathcal{N}(\beta_i, \frac{\varphi_i^2}{20}),
$$
$$
s_i^2 \sim \text{Gamma} \left( \frac{20 - 1}{2}, \frac{1}{2\varphi_i^2} \right).
$$
Given the sufficient statistics $\bar{Y} = (\bar{Y}_1, \ldots, \bar{Y}_N)$ and $s^2 = (s_1^2, \ldots, s_N^2)$, the model consists of two modules: module 1 involving $(s^2, \varphi)$ and module 2 involving $(\bar{Y}, \beta, \varphi)$, where $\beta = (\beta_1, \ldots, \beta_N)$.
We consider the situation when an outlier group is observed, meaning that module 2 is misspecified, and compare the standard Bayesian posterior distribution with the cut distribution. Specifically, we simulate data from the model with $\theta^2 = 2$, and $\varphi_i^2$ drawn from a $\text{Unif}(0.5, 1.5)$ distribution ($\varphi_1^2 = 1.60$), but we artificially set $\beta_1 = 10$, making the first group an outlier and thus our normal assumption for the random effects misspecified. Given priors $p(\varphi_i^2) \propto (\varphi_i^2)^{-1}$ and $p(\theta^2 | \varphi^2) \propto (\theta^2 + \varphi^2/20)^{-1}$, Liu et al. (2009) showed the standard Bayesian marginal posterior distribution for the parameters of interest is:
$$
p(\theta, \varphi | \bar{Y}, s^2) = p(\theta | \bar{Y}, \varphi) p(\varphi | \bar{Y}, s^2)
$$
$$
\propto \frac{1}{\theta^2 + \varphi^2/20} \prod_{i=1}^{100} (\varphi_i^2)^{-21} \exp \left( -\frac{s_i^2}{2\varphi_i^2} \right)
$$
$$
\frac{1}{(\theta^2 + \varphi_i^2/20)^{1/2}} \exp \left( -\frac{\bar{Y}_i^2}{2(\theta^2 + \varphi_i^2/20)} \right).
$$
Since we are confident about our assumption of normality of $Y_{ij}$ but not confident about our distributional assumption for the random effects $\beta_i$, following Liu et al. (2009), we consider the cut distribution in which we remove the influence of $\bar{Y}$ on $\varphi$, so that possible misspecification of the first module does not affect $\varphi$:
$$
p_{\text{cut}}(\theta, \varphi) := p(\theta | \bar{Y}, \varphi) p(\varphi | s^2),
$$
where
$$
p(\varphi | s^2) \propto \prod_{i=1}^{100} \varphi_i^{-21} \exp \left( -\frac{s_i^2}{2\varphi_i^2} \right).
$$
To apply the proposed algorithm we first construct the auxiliary parameter set for the parameter $\varphi$ by selecting 70 samples selected from posterior samples of $p(\varphi|s^2)$ by the Max-Min procedure (Liang et al. 2016). We set the shrink magnitude $n_0 = 1000$ and run only the auxiliary chain for $10^4$ iterations before starting to store the auxiliary variable $h_n$, as suggested by Liang et al. (2016).
The precision parameter $\kappa$ should be chosen large enough to obtain accurate results, while being small enough that computation is not prohibitively slow. To illustrate this, we compare results with $\kappa = 10$, which we regard as the gold standard, to results with $\kappa = 1, 2, 3, 4$. Different values of $\kappa$ affect the sampling of $\theta$ only via (11), so we compare samples drawn from $p_n^{(\kappa)}(\theta|\bar{Y}, \varphi)$, averaged over the marginal cut distribution of $\varphi$:
$$p_n^{(\kappa)}(\theta|\bar{Y}, s^2) := \int p_n^{(\kappa)}(\theta|\bar{Y}, \varphi)p_{\text{cut}}(\varphi)d\varphi,$$
(13)
where the marginal cut distribution $p_{\text{cut}}(\varphi)$ is
$$p_{\text{cut}}(\varphi) := \int p_{\text{cut}}(\theta, \varphi)d\theta = p(\varphi|s^2) \propto p(s^2|\varphi)p(\varphi).$$
We draw $10^5$ samples from (13) for each value of $\kappa$, after running the proposed algorithm with few iterations ($10^4$) as a preliminary trial. Figure 4 shows the quantile–quantile plot for 5 choices for $\kappa$. The fit appears good for all choices of $\kappa$, except in the tails, where $\kappa = 3$ and $\kappa = 4$ provide a closer match to the gold standard. Thus, we choose $\kappa = 3$ as it gives a sufficiently accurate approximation.
We apply both the standard Bayesian approach and the stochastic approximation cut algorithm ($\kappa = 3$), each with ten independent chains. All chains were run for $10^5$ iterations, and we retain only every 100th value, after discarding the first 10% of the samples, and we summarize the results by the mean and credible interval (CrI). Pooling the ten chains for the cut distribution gave estimates of $\theta^2 = 2.54$ (95% CrI 1.93–3.44) and $\varphi_1^2 = 1.58$ (95% CrI 0.88–3.18), whereas the standard Bayesian approach gave estimates of $\theta^2 = 2.53$ (95% CrI 1.93–3.44) and $\varphi_1^2 = 1.69$ (95% CrI 0.91–3.76). Figure 5 presents the medians for the parameter of interest $\varphi_1^2$ under each of the ten independent runs for the cut distribution and the standard Bayesian posterior. Recalling the true value for $\varphi_1^2 = 1.60$, it is clear that when using the stochastic approximation cut algorithm the medians locate around its true value rather than deviating systematically towards one side. This indicates the proposed algorithm has successfully prevented the outlying observation from influencing the estimation of $\varphi_1^2$.
4.2 Simulated strong dependence between $\theta$ and $\varphi$
In this section, we apply our algorithm in a simulated setting that illustrates when nested MCMC (Plummer 2015) can perform poorly. Consider the case when the distribution of $\theta$ is highly dependent on $\varphi$. In this case, if the distance between successive values $\varphi'$ and $\varphi$ is large in the external MCMC chain, the weight function may not be close to 1 and so the internal chain will typically require more iterations to reach convergence. This will be particularly problematic if the mixing time for the proposal distribution is large.
To simulate this scenario, we consider a linear regression for outcomes $Y_i$, $i = 1, \ldots, 50$, in which the coefficient vector $\theta = (\theta_1, \ldots, \theta_d)$ is closely related to the coefficient $\varphi$ for covariate $X_j = (X_{\theta,j}, X_{\varphi,j})$. To assess the performance under small and moderate dimension of $\theta$, we consider $d = 1$ and 20 in this illustration. In addition to observations of the outcome $Y_i$ and the covariate $X_i$, we assume we have separate observations $Z_j$, $j = 1, \ldots, 100$ related to the coefficient $\varphi$.
\begin{align}
Y_i &\sim N(\theta^\top X_{\theta,i} + \varphi X_{\varphi,i}, 3), \ i = 1, \ldots, 50; \\
Z_j &\sim N(\varphi, 1), \ j = 1, \ldots, 100.
\end{align}
Suppose that we wish to estimate $\varphi$ solely on the basis of $Z = (Z_1, \ldots, Z_{100})$, and so we cut the feedback from $Y = (Y_1, \ldots, Y_{50})$ to $\varphi$.
We generate $Y$ and $Z$ according to (14), with $\varphi = 1$ and $\theta_p = \sin(p)$, $p = 1, \ldots, d$, and compare the results of stochastic approximation cut (SACut) algorithm, naive SACut and nested MCMC with internal chain length $n_{\text{int}} = 1$, 10, 200, 500, 1000, 1500 and 2000. Notably, nested MCMC with $n_{\text{int}} = 1$ is the WinBUGS algorithm. The proposal distribution for each element of $\varphi$ is a normal distribution, centred at the previous value and with standard deviation 0.25, and the proposal distribution for $\theta$ used in the nested MCMC is a normal distribution, centred at the previous value and with standard deviation $10^{-5}$. The priors for both parameters are uniformly distributed within a compact domain. We set the shrink magnitude $n_0 = 2000$ and precision parameter $\kappa_p = 4$, $p = 1, \ldots, 20$. The SACut and naive SACut algorithms are processed in parallel on ten cores of Intel Xeon E7-8860 v3 CPU (2.2 GHz), and the (inherently serial) nested MCMC algorithm is processed on a single core. All algorithms were independently run 20 times, and the results are the averages across runs. Each run consists $5 \times 10^4$ iterations. We retain only every tenth value after discarding the first 40% samples as burn-in.
To assess the performance of these algorithms, we compare their estimation of $\mathbb{E}(\theta)$, lag-1 auto-correlation of samples, the Gelman–Rubin diagnostic statistic $\hat{R}$ (Gelman and Rubin 1992) and the average time needed for the whole run. The precision of the estimation of $\theta$ is measured by the mean square error (MSE) across its $d$ (either 1 or 20) components. The convergence is evaluated by averaging the Gelman–Rubin diagnostic statistic of $d$ components.
Results are shown in Table 1. The time required to run the nested MCMC algorithm increases as the length of the internal chain or dimension of $\theta$ increases, although the influence of dimension of $\theta$ is relatively small. In a low-dimensional case ($d = 1$), the time needed to run SACut and naive SACut is more than the time needed to run the WinBUGS algorithm and nested MCMC algorithm when the length of internal chain is less than 500, but both the MSE and the Gelman–Rubin statistic are lower when using the SACut algorithm. In particular, the bias of the WinBUGS algorithm is large. There is only trivial difference in bias between SACut and nested MCMC when $n_{\text{int}} \geq 1000$, but SACut is significantly faster than nested MCMC. In the higher-dimensional case ($d = 20$), both SACut and naive SACut significantly outperform the WinBUGS and nested MCMC algorithm in terms of MSE. Although the difference between SACut and nested MCMC with $n_{\text{int}} = 1000$ is small, the Gelman–Rubin statistic of the nested MCMC is still larger than the threshold 1.2 suggested by Brooks and Gelman (1998). The MCMC chains produced by the nested MCMC converge better and the bias is smaller when $n_{\text{int}} \geq 1500$, but the SACut algorithm still outperforms it according to MSE and Gelman–Rubin statistic, and takes less time. It is also clear that nested MCMC samples show very strong auto-correlation for both cases and thinning may not efficiently solve this issue (Link and Eaton 2012); both SACut and naive SACut do not show any auto-correlation. We also note that the estimates provided by SACut and naive SACut are almost identical in practice. However, since the time needed for both algorithm is almost the same, providing the full approach with a more solid theoretical foundation is a valuable contribution to the computational statistics literature for the cut distribution.
Jacob et al. (2020) recently proposed an unbiased coupling algorithm which can sample from the cut distribution. It requires running coupled Markov chains where samples from each chain marginally target the same true distribution. The estimator is completely unbiased when two chains meet. Drawing samples from the cut distribution using the unbiased coupling algorithm typically involves two stages. In general, the first stage involves running coupled chains for $\varphi$ until they meet. For each sampled $\varphi$, the second stage involves running another set of coupled chains for $\theta$ until they meet. Although the algorithm is unbiased, as illustrated in Sects. 4.2, 4.3 and the discussion of Jacob et al. (2020), the number of iterations for coupled chains is determined by meeting times, which can be very large especially when the dimension of the parameter is high. As a comparison, we apply the unbiased coupled algorithm on this example by using the R package “unbiasedmcmc” provided by Jacob et al. (2020). To simplify the implementation and computation of the unbiased coupling algorithm, we consider a
Table 1 Mean squared error (MSE), lag-1 auto-correlation (in absolute value) $|AC|$, Gelman–Rubin statistic $\hat{R}$, and clock time for the stochastic approximation cut (SACut) algorithm, naive SACut algorithm, WinBUGS algorithm, the nested MCMC algorithm (with varying internal chain length $n_{\text{int}}$) and unbiased coupling algorithm
| $d$ | Algorithm | $n_{\text{int}}$ | MSE $\times 10^3$ | $|AC|$ | $\hat{R}$ | Time (min) |
|-----|--------------------|------------------|-------------------|-------|----------|------------|
| 1 | SACut | – | 0.112 | 0.019 | 1.00 | 311 |
| | Naive SACut | – | 0.114 | 0.016 | 1.00 | 308 |
| | WinBUGS | 1 | 355.280 | 0.999 | 308.78 | 1 |
| | Nested MCMC | 10 | 217.907 | 0.999 | 29.87 | 10 |
| | Nested MCMC | 200 | 0.158 | 0.997 | 1.74 | 182 |
| | Nested MCMC | 500 | 0.138 | 0.993 | 1.25 | 454 |
| | Nested MCMC | 1000 | 0.109 | 0.990 | 1.07 | 910 |
| | Nested MCMC | 1500 | 0.113 | 0.986 | 1.08 | 1349 |
| | Nested MCMC | 2000 | 0.118 | 0.981 | 1.05 | 1771 |
| | Unbiased Coupling | – | 0.114 | 0.012 | 1.01 | 22 |
| 20 | SACut | – | 1.42 | 0.009 | 1.00 | 1239 |
| | Naive SACut | – | 1.47 | 0.002 | 1.01 | 1219 |
| | WinBUGS | 1 | 16387.69 | 0.999 | 209.55 | 2 |
| | Nested MCMC | 10 | 12490.25 | 0.999 | 22.73 | 11 |
| | Nested MCMC | 200 | 249.18 | 0.999 | 2.38 | 259 |
| | Nested MCMC | 500 | 10.76 | 0.997 | 1.33 | 517 |
| | Nested MCMC | 1000 | 1.86 | 0.994 | 1.22 | 1010 |
| | Nested MCMC | 1500 | 1.69 | 0.991 | 1.19 | 1515 |
| | Nested MCMC | 2000 | 1.60 | 0.988 | 1.11 | 2058 |
| | Unbiased Coupling | – | 1.36 | 0.013 | 1.00 | 2030 |
All values are means across 20 independent runs
simplified scenario with an informative conjugate prior for $\varphi$, meaning we can omit the first stage and instead directly draw $5 \times 10^4$ samples from $p(\varphi | Z)$. This prior is normal with mean equal to the true value of $\varphi$. We then ran preliminary coupled chains for $\theta$ that target $p(\theta | Y, \varphi)$ given these samples of $\varphi$ so as to sample the meeting times. Over the $5 \times 10^4$ independent runs, the 95% and 99% quantiles of meeting times were 44 and 147, respectively, when $d = 1$. Although the majority of meeting times are, relatively, small, their 95% and 99% quantiles were 3525 and 5442, respectively, when $d = 20$. To ensure that the total number of iterations covers the majority of meeting times, following Jacob et al. (2020), we set the minimum number of iterations for each coupled chain to ten times the 95% quantile of meeting times. The algorithm was processed in parallel on the same ten cores as SACut, and the final result is shown in Table 1. Notably, unlike the nested MCMC algorithm, the computational time of the unbiased coupling algorithm increases significantly when the dimension of $\theta$ increases because it takes more time for coupled chains to couple in high-dimensional cases. In the low-dimensional case ($d = 1$), the unbiased coupling algorithm performs better according to all metrics. In the higher-dimensional case ($d = 20$), the unbiased coupling algorithm achieves similar MSE to the SACut algorithm, but it takes considerably more computation time than SACut, even though the unbiased coupling algorithm was been conducted under a simplified setting (i.e. no coupled chain for $\varphi$).
4.3 Epidemiological example
We now consider an epidemiological study of the relation between high-risk human papillomavirus (HPV) prevalence and cervical cancer incidence (Maucort-Boulch et al. 2008), which was previously discussed by Plummer (2015). In this study, age-stratified HPV prevalence data and cancer incidence data were collected from 13 cities. The model is divided into two modules. The first module concerns the number of people with HPV infection in city $i$, denoted as $Z_i$, out of a sample of $N_i$ women:
$$Z_i \sim \text{Bin}(N_i, \varphi_i).$$
The second module describes the relation between the number of cancer cases $Y_i$ from $T_i$ person-years and incidence which is assumed to be linked with $\varphi_i$ by a log linear relationship:
$$Y_i \sim \text{Poisson}(T_i (\exp(\theta_1 + \theta_2 \varphi_i))).$$
The log-linear dose–response relationship is speculative, so we apply the cut algorithm to prevent the feedback from the second module to the estimation of $\varphi_i$ (Plummer 2015).
We apply the stochastic approximation cut algorithm and compare results with the standard Bayesian approach (i.e. without a cut). Both algorithms were run ten times independently, each with $1.4 \times 10^5$ iterations. We set the shrink magnitude $n_0 = 20000$ and precision parameter $\kappa_1 = 3$ for $\theta_1$ and $\kappa_2 = 2$ for $\theta_2$. We retain only every 100th value after discarding the first $4 \times 10^4$ samples as burn-in. The pooled results of $\theta$ are shown in Fig. 6, highlighting the considerable effect of cutting feedback in this example. Our results are consistent with existing studies: specifically the scatter plot and density plot agree with Jacob et al. (2017) and Carmona and Nicholls (2020). Our results are also consistent with the results of nested MCMC algorithm when its internal chain length is largest (see Plummer (2015)). This again shows that the SACut algorithm provides similar estimates to the nested MCMC algorithm with a large internal chain length.
5 Conclusion
We have proposed a new algorithm for approximating the cut distribution that improves on the WinBUGS algorithm and approximate approaches in Plummer (2015). Our approach approximates the intractable marginal likelihood $p(Y|\varphi)$ using stochastic approximation Monte Carlo (Liang et al. 2007). The algorithm avoids the weakness of approximate approaches that insert an “internal limit” into each iteration of the main Markov chain. Obviously, one can argue that approximate approaches can be revised by setting the length of the internal chain to the number of iterations, i.e. $n_{\text{int}} = n$ so that the internal length diverges with $n$. However, since the sampling at each iteration is still not perfect and bias is inevitably introduced, the convergence of the main Markov chain remains unclear and the potential limit is not known. We proved convergence of the samples drawn by our algorithm and present the exact limit, though its convergence rate is not fully studied and needs further investigations. Although the bias is not completely removed by our algorithm, the degree of the bias is explicit in the sense that the shape of $p^\kappa(\theta|Y,\varphi)$ is known since the shape of $p(\theta|Y,\varphi)$ is normally obtainable given a fixed $\varphi$. Corollary 2 shows that the bias in our approach can be reduced by increasing the precision parameter $\kappa$. We proposed that $\kappa$ be selected by comparing results across a range of choices; quantitative selection of this precision parameter still needs further study.
Existing approximate approaches (Plummer 2015) which need an infinitely long internal chain may be computationally slow, because the internal chain requires sequential calculation so parallelization is not possible. In contrast, thanks to the embarrassingly parallel calculation of (5), our algorithm can be more computationally efficient when multiple computer cores are available, although the per-iteration time of our algorithm decays as the Markov chain runs due to the increasing size of collection of auxiliary variables.
Lastly, while the adaptive exchange algorithm (Liang et al. 2016) is used for intractable normalizing problems when the normalizing function is an integral with respect to the observed data, it would be interesting to investigate the use of our algorithm for other problems involving a normalizing function that is an integral with respect to the unknown parameter. For example, our algorithm can be directly extended to sample from the recently developed semi-modular inference distribution (Carmona and Nicholls 2020) which generalizes the cut distribution.
Supplementary Information The online version contains supplementary material available at https://doi.org/10.1007/s11222-021-10070-2.
Acknowledgements The authors thank Daniela De Angelis and Simon R. White for helpful discussions and suggestions.
Declarations
Conflict of interest The authors declare that they have no conflict of interest.
Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
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Dr. James W. Forsyth
USAF School of Advanced Air and Space Studies
Lt Col Derrill T. Goldizen, PhD, USAF, Retired
Westport Point, Massachusetts
Col Mike Guillot, USAF, Retired
Editor, Strategic Studies Quarterly
Air Force Research Institute
Dr. Grant T. Hammond
USAF Center for Strategy and Technology
Dr. Dale L. Hayden
Air Force Research Institute
Col S. Clinton Hinote
Military Fellow
Council on Foreign Relations
Dr. Thomas Hughes
USAF School of Advanced Air and Space Studies
Lt Col Jeffrey Hukill, USAF, Retired
Curtis E. LeMay Center for Doctrine Development and Education
Lt Col J. P. Hunerwadel, USAF, Retired
Curtis E. LeMay Center for Doctrine Development and Education
Dr. Mark P. Jelonek, Col, USAF, Retired
Aerospace Corporation
Col John Jogerst, USAF, Retired
Navarre, Florida
Col Wray Johnson, USAF, Retired
School of Advanced Warfighting
Marine Corps University
Mr. Charles Tustin Kamps
USAF Air Command and Staff College
Dr. Tom Keaney
Johns Hopkins University
Col Merrick E. Krause, USAF, Retired
Defense Contract Audit Agency
Col Chris J. Krisinger, USAF, Retired
Burke, Virginia
Dr. Charles Krupnick
Troy University
Dr. Benjamin S. Lambeth
Center for Strategic and Budgetary Assessments
Dr. Richard I. Lester
Eaker Center for Professional Development
Dr. Adam Lowther
Air Force Research Institute
Mr. Brent Marley
Huntsville, Alabama
Mr. Rémy M. Mauduit
Air Force Research Institute
Col Phillip S. Meilinger, USAF, Retired
West Chicago, Illinois
Dr. Richard R. Muller
USAF School of Advanced Air and Space Studies
Col Robert Owen, USAF, Retired
Embry-Riddle Aeronautical University
Lt Col Brian S. Pinkston, USAF, MC, SFS
Civil Aerospace Medical Institute
Dr. Steve Rothstein
Colorado Springs Science Center Project
Col John E. Shaw
Peterson AFB, Colorado
Dr. James Smith
USAF Institute for National Security Studies
Col Richard Szafranski, USAF, Retired
Isle of Palms, South Carolina
Lt Col Edward B. Tomme, PhD, USAF, Retired
CyberSpace Operations Consulting
Lt Col David A. Umphress, PhD, USAFR, Retired
Auburn University
Col Mark E. Ware, USAF, Retired
Twenty-Fourth Air Force
Dr. Xiaoming Zhang
USAF Air War College
Our nation’s investment in effective and credible strategic forces has helped protect our country for nearly seven decades. That proud legacy continues today as we deter adversaries and assure our allies and partners of the US commitment to collective defense, even as our security environment is more diverse, complex, and uncertain than ever.
Other states are investing in their strategic arsenals, developing or modernizing nuclear forces as well as cyber and counterspace capabilities, and thus presenting real challenges to strategic stability. Nation-states and nonstate actors are seeking asymmetric capabilities and are preparing to employ them as options for achieving...
their objectives during crisis and conflict. Perhaps most troubling are trends associated with proliferation of these advanced capabilities and how mobile, hardened, and underground they have become.
Russia is investing and modernizing across all legs of its nuclear triad and is demonstrating selective compliance with international accords and treaties. Russian military operations include the illegal occupation of Crimea and ongoing activities in Ukraine as well as routine demonstrations of its strategic forces. These actions, when considered along with an active information warfare campaign of provocative rhetoric and misinformation, are clear signals for the international community.
China is also seeking regional dominance militarily and economically, and for the first time in history, its gross purchasing power recently exceeded ours.\(^1\) China is making significant progress on land reclamation projects in the contested waters of the South China Sea in an attempt to strengthen justification for its territorial claims. Simultaneously, China is modernizing its nuclear forces, which include silo-based intercontinental ballistic missiles (ICBM), road-mobile ICBMs, and ballistic-missile submarines.
Both Russia and China are developing strategic capabilities beyond their nuclear forces and are exploiting vulnerabilities in the cyber domain. Both nations have stated their ambitions regarding counterspace capabilities that could threaten US space assets in multiple orbits. Given the international community's dependence on space, this is concerning not just to the United States but to like-minded space-faring nations that depend on unfettered access to space.
North Korea continues to advance strategic capabilities and to increase tensions with threats of more nuclear tests. It also claims to have possession of a miniaturized warhead and has been noted for parading a road-mobile ICBM KN-08 missile that it says is capable of reaching the western United States.
Iran's nuclear program remains a concern and provides an important impetus for the ongoing P5 + 1 negotiations to shut down Iran's pathway to a nuclear bomb.\(^2\) Yet, even a successful resolution of Iran's nuclear file would not remove US concerns about other military capabilities such as its recent launch of a space platform that could be used for long-range strike, unsafe operations in the Strait of Hormuz, and increasingly sophisticated cyber attacks.
These concerns are further complicated by an operating environment flanked with violent nonstate actors, including some who have expressed desires to acquire weapons of mass destruction. Terrorist groups demonstrate through barbaric behaviors that they understand no boundaries and lack respect for international norms.
In a day-to-day context, the United States strives to deter regional aggression—specifically, military conflict. Its nine combatant commands are functionally or geographically focused and ensure that the combined posture, readiness, and partnerships enhance regional and transregional stability and deterrence efforts. My command, US Strategic Command, is unique in that it is additionally tasked with leading strategic planning and executing strategic deterrence operations. The command's primary mission is to detect and deter strategic attack against the United States and our allies and to provide military options to the secretary of defense and the president of the United States should deterrence fail. Our efforts are tailored to maximize senior leadership decision space.
While strategic deterrence is underpinned and reinforced by our nuclear capabilities, it is more than the nuclear triad. An effective twenty-first-century deterrent includes foundational intelligence, space- and ground-based radar sensors for necessary indications and warning, and systems that support national nuclear command and control. It also includes missile defense and cyber protection; a more efficient and responsive nuclear infrastructure that does not require explosive testing; the international arms control and nonproliferation regime, which includes verifiable and achievable treaties and policies; and synchronized plans that orient all of our assigned capabilities toward a common daily purpose.
US Strategic Command works its efforts very closely in coordination with other combatant commands, our interagency teams, and allies and partners to address the challenges across the spectrum of conflict. Although understanding an adversary’s military doctrine and force composition is critical, it is only part of the equation. Our approach also includes emulation and war gaming so that we gain a deeper understanding of our adversaries’ thought processes, perceptions, and probable next moves.
Conflict may occur along the spectrum at any point, in varying degrees of intensity, with more than one adversary, and in multiple domains. At all phases, whether in peacetime or crisis or conflict, our planning and operations are designed to deter and develop “off-ramps” to de-escalate the conflict at the lowest intensity level while dissuading our adversaries from considering the use of cyber attacks, counterspace activities, or nuclear weapons. Adversaries and potential adversaries alike must understand they cannot escalate their way out of a failed conflict; that they will not reap the benefits they seek; that our nation is prepared to manage escalation risk using a cross-domain, whole-of-government approach which may include all elements of national power; and that restraint is always the better option.
Given the diverse, complex, and uncertain world in which we live, we must ask how our nation can maintain a credible strategic deterrent for the foreseeable future. The answer to this critical question centers on how we have evolved over the decades and builds upon the groundwork done by revered strategic thinkers like Albert Wohlstetter, Bernard Brodie, Thomas Schelling, Herman Kahn, and Henry Kissinger. Their foundation for deterrence remains valid and is based on the premise of deliberate actors who consider the costs and benefits of decisions they are contemplating. To ensure that our deterrent remains effective for future generations, we must continue to apply those basic tenets of deterrence.
President Obama has directed steps that reduce the role of nuclear weapons in our national security strategy. At the same time, the president made clear in his 2009 Prague speech and on other occasions since then that as long as these weapons exist, the United States will maintain a safe, secure, and effective arsenal to deter any adversary and to guarantee that defense to our allies.\(^3\) In 2011 the “Four Horsemen” (former secretaries of state Henry Kissinger and George Shultz, former secretary of defense William Perry, and former senator Sam Nunn) called for a similar stance.\(^4\)
In reference to the New Strategic Arms Reduction Treaty (New START), the same four individuals stated in 2013 that “the progress in the strategic field has been considerable. Washington should carefully examine going below New START levels of warheads and launchers, including the possibility of coordinated mutual
actions. Such a course has the following pre-requisites: strict reciprocity; demonstrable verification; and providing adequate and stable funding for the long-term investments required to maintain high confidence in our nuclear arsenal.\(^5\) In his June 2013 Berlin speech, President Obama announced his assessment that we can ensure the security of America and our allies and maintain a strong, credible strategic deterrent while reducing our deployed strategic nuclear weapons by up to one-third. He also stated his intent to seek negotiated cuts with Russia to move beyond Cold War nuclear postures.\(^6\) However, Russia has shown little inclination to pursue such negotiations.
To prevent extreme circumstances and to ensure a safe, secure, effective, and credible strategic deterrent for the future, we must sustain and modernize our nuclear, space, and cyber forces and their associated delivery platforms—many of which have been in service far longer than was originally planned or designed. The president’s fiscal year 2016 budget request calls for sizeable investments necessary to pursue our plans to fully modernize our strategic deterrent and enhance space and cyber security.\(^7\) Through investments in the enduring deterrent and supporting infrastructure, we can maintain an effective deterrent while not developing new nuclear warheads. In the coming years, our budget strategy should continue careful and deliberate investments in strategic deterrent concepts and capabilities. This effort is critical and must match the current and future strategic security environment if we are to build upon the stable foundation that benefits us all.
As the commander of US Strategic Command, I am proud to lead the dedicated professionals, both military and civilian, whose courageous service deters our adversaries, assures our allies, and enables our democratic way of life. For seven decades, they and others before them have been the heart of our nation's strategic deterrent forces. I salute their service. \(\star\)
Notes
1. Mike Bird, “China Just Overtook the US as the World’s Largest Economy,” *Business Insider*, 8 October 2014, http://www.businessinsider.com/china-overtakes-us-as-worlds-largest-economy-2014-10.
2. The P5 + 1 includes the five permanent members of the United Nations Security Council (United States, United Kingdom, France, Russia, and China) plus Germany.
3. “Remarks by President Barack Obama, Hradcany Square, Prague, Czech Republic” (Washington, DC: White House, Office of the Press Secretary, 5 April 2009), http://www.whitehouse.gov/the_press_office/Remarks-By-President-Barack-Obama-In-Prague-As-Delivered.
4. George P. Shultz et al., “Deterrence in the Age of Nuclear Proliferation,” *Wall Street Journal*, 7 March 2011, http://www.wsj.com/articles/SB10001424052748703300904576178760530169414.
5. George P. Shultz et al., “Next Steps in Reducing Nuclear Risks,” *Wall Street Journal*, 5 March 2013, http://www.wsj.com/articles/SB10001424127887324338604578325912939001772.
6. “Remarks by President Obama at the Brandenburg Gate—Berlin, Germany” (Washington, DC: White House, Office of the Press Secretary, 19 June 2013), https://www.whitehouse.gov/the-press-office/2013/06/19/remarks-president-obama-brandenburg-gate-berlin-germany.
7. Office of Management and Budget, *Fiscal Year 2016 Budget of the U.S. Government* (Washington, DC: Office of Management and Budget, 2015), 3, 16, 45, 48–50, https://www.whitehouse.gov/sites/default/files/omb/budget/fy2016/assets/budget.pdf.
Adm Cecil D. Haney, USN
Admiral Haney (BS, US Naval Academy; MS, National Defense University; MS, Naval Postgraduate School) is the commander of US Strategic Command (USSTRATCOM), responsible for the global command and control of US strategic forces to meet decisive national security objectives and for providing a broad range of strategic capabilities and options for the president and secretary of defense. Before taking command at USSTRATCOM, he was commander of US Pacific Fleet and served as deputy commander of USSTRATCOM. Admiral Haney also commanded a submarine group, two submarine squadrons, three submarines, a submarine tender, and a fleet ballistic missile submarine. Additionally, he served as director of the Naval Warfare Integration Group and of the Submarine Warfare Division; deputy chief of staff of plans, policies, and requirements, US Pacific Fleet; congressional appropriations liaison officer for the Office of the Secretary of Defense (Comptroller); and administrative assistant for enlisted affairs at Naval Reactors. The admiral’s decorations include the Navy Distinguished Service Medal (two awards), Defense Superior Service Medal (two awards), Legion of Merit (four awards), Navy Commendation Medal (three awards), Navy Achievement Medal (two awards), and various campaign and unit awards. In addition, he was the recipient of the 1998 Vice Admiral James Bond Stockdale Leadership Award.
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The Cuban missile crisis, which brought the United States and Soviet Union to the brink of nuclear war—as well as a dawning realization, now firmly enshrined, that neither side could gain a strategic advantage from the costly and destabilizing nuclear arms race—spawned a succession of strategic arms control treaties, starting with the 1972 Strategic Arms Limitation Treaty (SALT) and progressing through the current New Strategic Arms Reduction Treaty (New START). These
Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line
agreements have reduced strategic nuclear arsenals dramatically, and—precisely because of that success—the United States must think very carefully about the next steps in this progression.
In particular, these treaties have focused on strategic (intercontinental-range) delivery vehicles and their nuclear weapons payloads. The 1988 Intermediate-Range Nuclear Forces (INF) Treaty—a notable exception—bans the entire category of ground-launched ballistic and cruise missiles with ranges from 500 to 5,500 kilometers. However, completely unconstrained are all other types of nonstrategic nuclear weapon systems.
The United States has withdrawn from Europe the great majority of its nonstrategic nuclear weapons, which now number several hundred, while Russia maintains thousands in its current arsenal. Understandable strategic reasons exist for both US and Russian choices, but the implications of the resulting imbalance are not well understood and are thus potentially dangerous.
A Brief History
The United States started deploying nuclear weapons in Europe in 1954 and accelerated deployments after 1956 during a period of increasing tension with the Soviet Union. West Germany had just gained admission to the North Atlantic Treaty Organization (NATO) while the Soviet Union’s transparent ploy for membership was soundly rejected. In short order, the Soviet Union formed its own alliance of mutual defense and assistance that included eight central and eastern European states known as the Warsaw Pact. Over the next decade, the national armies of the Warsaw Pact states were consolidated into a formidable fighting force under Soviet leadership. NATO could ill afford to match the Warsaw Pact’s conventional forces, banking instead on the numerically superior US nuclear arsenal to deter Soviet aggression in Europe. This asymmetric deterrence strategy was amplified by the gradual deployment of thousands more nuclear weapons to Europe, distributed among eight NATO member states. Concurrent with this dramatic rise in nonstrategic nuclear weapons, by the mid-1960s the Soviet Union had essentially achieved parity in strategic weapons with the United States, resulting in a perilous stalemate maintained by the specter of mutual assured destruction (MAD).
Fearful that a conventional conflict in Europe would inevitably trigger a nuclear Armageddon, NATO adopted a policy of “flexible response” in 1967. The premise behind flexible response was that in an attempt to avoid an all-out nuclear conflict, a limited number of US nonstrategic nuclear weapons would be used in a situation in which NATO forces found themselves in danger of being overrun by superior Warsaw Pact conventional forces. Notwithstanding the dubious presumption of being able to maintain escalation control in such a scenario, flexible response was largely regarded as a stabilizing influence on the uneasy standoff between NATO and Warsaw Pact forces throughout the remainder of the Cold War.
The number of US nonstrategic nuclear weapons deployed in Europe peaked in 1971 at more than 7,000, including aircraft-delivered gravity bombs, artillery rounds, atomic demolition munitions, gun projectiles, and warheads on surface-to-air
missiles and short- as well as medium-range surface-to-surface missiles (Pershing I and IA). Later, in the 1980s, the United States deployed ground-launched cruise missiles (GLCM) and the intermediate-range Pershing II in response to Soviet deployments of the SS-20. Significant unilateral reductions also started in the 1980s, driven in part by physical security concerns but also in response to public opposition to nuclear weapons in many NATO countries. The INF Treaty contributed to further reductions, importantly including the Soviet SS-4, SS-5, and SS-20 together with US Pershing II ballistic missiles and the US GLCM. With the end of the Cold War, the dissolution of the Soviet Union, and the disappearance of the Warsaw Pact, the United States turned its attention to further bilateral strategic arms reductions while continuing its unilateral reductions of nonstrategic nuclear weapons, removing all but the B-61 bombs by 1991. Further reductions in the intervening years have resulted in a present-day arsenal of only several hundred forward-deployed nonstrategic nuclear weapons—a still-tangible sign of the continuing US commitment to European security.
In the post-Cold War period, Russia has come to rely on its nonstrategic nuclear arsenal as the only affordable means to offset superior NATO conventional forces and to protect its extensive borders from potential military incursions—a reversal of the US and Soviet postures during the Cold War. Although both the United States and Russia appear committed to maintaining the strategic balance, Russia also seems intent on modernizing its nonstrategic nuclear arsenal, unconstrained by self-imposed numerical or technological limitations.
Policy makers and experts alike are evidently divided in their reactions to the current situation. Many are not concerned, arguing that US conventional superiority has obviated the need for nonstrategic nuclear weapons, that strategic nuclear forces continue to provide all of the necessary deterrent, and that the likelihood of Russian nuclear aggression is extremely low. Others are much more concerned, pointing to recent Russian bellicosity in Ukraine, Russian doctrinal reliance on nonstrategic nuclear weapons, and the continuation of Russian modernization efforts. We are not convinced by either side’s arguments, but we believe that concern is sufficiently warranted and that debate at the national level, supported by in-depth analysis, is imperative.
**The Uncertain Future**
Our concerns are amplified by the fact that the current situation is by no means static. How the future of nonstrategic nuclear weapons will evolve and the degree to which it may represent an increased or reduced threat are largely unknown. Nevertheless, at least one development appears predictable: the asymmetry in current stockpile numbers is likely to grow. Faced with the push of Russian insistence on the withdrawal of all forward-deployed US nonstrategic nuclear weapons and the pull of continuing unilateral drawdown, America could find that a “nuclear zero” might well be a realistic prospect for at least this component of its nuclear arsenal.
Russian military doctrine for the use of nuclear weapons has also continued to develop, even disavowing the long-standing Soviet pledge of no first use. Indeed, Russian military planners have argued that limited use of low-yield nuclear weapons
could reasonably be expected to de-escalate a conflict and curtail a conventional war of attrition. If the United States eliminates its remaining nonstrategic nuclear weapons, it must rely on threats of direct escalation to strategic nuclear war if Russia vows to use its nonstrategic nuclear weapons. MAD has been the hallmark of nuclear deterrence throughout most of the Cold War and is still generally considered sufficiently credible for attacks against the United States. However, it is not as easy to credit the notion that the United States might respond to first use of a nonstrategic nuclear weapon on a battlefield with either a civilization-ending barrage or even a single strategic nuclear weapon.
A second future development, potentially also extremely important but the subject of less commentary, concerns innovation in the design of nonstrategic nuclear weapons. Up until about 20 years ago, the United States was in the vanguard of exploring and extending the boundaries of such design. Since then the US nuclear design community has been constrained merely to sustain the aging remnants of the Cold War stockpile during an era that has seen billionfold strides in computing power, quantum leaps in precision navigation and timing, and striking improvements in engineering methods and material fabrication. It should come as no surprise that nuclear capabilities under development in other countries could be approaching—and in the case of Russia, could have surpassed—those of the United States. Most notably, Russia has made no secret of its intent to pursue highly accurate, low-yield nonstrategic nuclear weapons. Public statements by senior Russian officials have hinted at the possibility that these weapons might represent a new generation of high-fusion fraction weapons with lethal effects considerably more discriminate than those of current weapons.
The effects of advanced high-fusion fraction nuclear weapons can be markedly different than those from fission weapons of equivalent yield, with attributes that give them a decided advantage in certain war-fighting scenarios. Of particular significance, high-fusion fraction weapons have enhanced lethal-radiation footprints and reduced blast and shock footprints compared to those of fission weapons of equivalent yield.
The possibility that high-fusion fraction devices could undergo further refinement to attain pure fusion status poses additional dilemmas. Current legal proscriptions may not even cover such hypothetical designs. The United States has been resolute about excluding fusion research from all arms control treaties so as not to hinder research in inertial confinement fusion, most notably at the National Ignition Facility. Thus, the Comprehensive Nuclear-Test-Ban Treaty (CTBT), signed but not ratified by the United States, contains no provisions for limiting any testing involving nuclear energy release from pure fusion reactions. This treaty loophole opens the unintended possibility that treaty parties could legally develop and test pure fusion designs.
In any event, such tests would lack the standard radionuclide signature, effectively evading the only nuclear-unique CTBT monitoring protocol. Thus, pure fusion designs, if achievable, would also be inherently subversive of prospects for negotiating arms control treaties by undermining traditional verification regimes.
A pure fusion device would also pose a complementary detection problem for global surveillance efforts during development and production. The extant global nuclear detection architecture, designed to recognize the radiative signatures of
uranium and plutonium, would prove totally ineffective against pure deuterium-tritium fusion devices. Currently no US investment exists in developing detection systems tuned to deuterium-tritium fusion fuel.
**Conclusion**
Nonstrategic weapons have largely been ignored in the drive to control the strategic arms competition, resulting in a significant numerical disparity in current US-Russian arsenals. We are aware that other individuals have expressed concerns about this asymmetry and that this subject is on the US agenda for consideration in a potential successor to the New START Treaty. To provide a proper assessment of these concerns and evaluate candidate policies to address them, we see the need for much more in-depth analysis. We call for a concerted intellectual focus on the full spectrum of issues raised by nonstrategic nuclear weapons—of which the US-Russian imbalance is the primary, but not the only, one—before any further reductions in strategic or nonstrategic nuclear weapons occur. Studying these issues requires appropriately challenging the conventional wisdom about nonstrategic nuclear weapons, much of which was born and honed during the Cold War. Examples of such conventional wisdom include the following:
- *The asymmetry in US and Russian nonstrategic nuclear forces does (or does not) matter.* Without justification supported by analysis, either assertion is vacuous. Most worrisome is the unjustified extrapolation of the argument that since asymmetry does not matter, we can and should unilaterally remove all nonstrategic nuclear weapons from Europe.
- *The strategic nuclear balance trumps the nonstrategic nuclear imbalance.* This statement places extreme confidence in the prediction that Russian leaders will believe that their use of nonstrategic nuclear weapons will inevitably lead to strategic nuclear war and thus be deterred from such use.
- *We have conventional superiority, so nonstrategic nuclear weapons are not important.* We do not have conventional superiority everywhere, at all times, and in all circumstances. Further, even if the location, time, and circumstances all align in our favor, higher Russian stakes in any conflict on its border could motivate Russia to use nonstrategic nuclear weapons because of our conventional superiority.
- *US nonstrategic nuclear weapons in Europe help maintain cohesion within the NATO alliance, discourage other NATO states from acquiring their own nuclear weapons, and represent a critical rung, short of Armageddon, in the escalation ladder.* An alternative plausible perspective is that they are an anachronism from the Cold War without strategic purpose.
- *An important distinction exists between strategic and nonstrategic weapons.* Much was made of this distinction during the Cold War although it was never entirely clear just what the distinction was. It is increasingly apparent that the terminology is artificial and serves more to muddy thinking than clarify it.
We cannot rely forever on what we once thought was true. The world is continuously changing, and our thinking must do so as well.
**Dr. George W. Ullrich**
Dr. Ullrich (BS, MS, PhD, Drexel University) is senior vice president for strategy development at Applied Research Associates and the former chief technology officer at Schafer Corporation. Previously, he was senior vice president at Science Applications International Corporation. A member of the federal Senior Executive Service since 1984, he has held several prestigious positions within the Department of Defense. As deputy director of the Defense Nuclear Agency during the 1990s, he spearheaded transition of the agency to embrace the broader challenges of the post–Cold War era, including treaty verification, counterproliferation of weapons of mass destruction, and cooperative threat reduction. As director for weapons systems in the Office of the Secretary of Defense, he received the Secretary of Defense Distinguished Service Medal for innovative weapon initiatives. He currently serves as a special adviser to the Science and Technology Panel of US Strategic Command’s Strategic Advisory Group and previously served as a member of the Air Force Scientific Advisory Board.
**Dr. James Scouras**
Dr. Scouras (BS, University of Rochester; MS, PhD, University of Maryland) is a national security studies fellow at the Johns Hopkins University Applied Physics Laboratory and the former chief scientist of the Defense Threat Reduction Agency’s Advanced Systems and Concepts Office. His research is characterized by the application of novel analytic approaches to hard problems of national significance in the domains of international security, nuclear deterrence, arms control, and terrorism. Previously, he was program director for risk analysis at the Homeland Security Institute, held research positions at the Institute for Defense Analyses and the RAND Corporation, and lectured on nuclear policy in the University of Maryland’s General Honors Program. Among his publications is the book *A New Nuclear Century: Strategic Stability and Arms Control* (Praeger, 2002), coauthored with Stephen Cimbala.
**Dr. Michael J. Frankel**
Dr. Frankel (BA, Yeshiva College; PhD, New York University), one of the nation’s leading experts on the effects of nuclear weapons, is a senior scientist at Penn State University’s Applied Research Laboratory, where he focuses on nuclear treaty verification technologies. As executive director of the Commission to Assess the Threat to the United States from Electromagnetic Pulse Attack, he led development of 15-year global nuclear threat technology projections and infrastructure vulnerability assessments. His prior government service roles include associate director for advanced energetics and nuclear weapons in the Office of the Deputy Undersecretary of Defense (Science and Technology); chief scientist of the Defense Nuclear Agency’s Nuclear Phenomenology Division; congressional fellow at the US Senate; and research physicist at the Naval Surface Weapons Center. He has delivered invited lectures, chaired national and international technical symposia, testified before Congress, and published numerous articles in the professional scientific literature.
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Deterrence is an ancient concept, common to nearly all human interactions. At its core, deterrence involves the act of influencing behavior by manipulating an adversary’s cost-benefit analysis. Still, following the attacks of 11 September 2001 (9/11), many policy makers and academics were quick to dismiss
Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line
the strategic role that deterrence could play in counterterrorism policy. This lack of confidence has been continually echoed by policy makers and scholars alike. Chiefly, former president George W. Bush concluded that the traditional concepts of deterrence were meaningless in dealing with terrorist networks, which had no nation to claim as their own and whose members were willing to die for their cause.\(^1\) As a result, policy makers, military officials, and US allies have focused instead on militaristic, preemptive strategies for counterterrorism operations.\(^2\) The purpose of this research is to examine critically the role of deterrence theory and analyze whether it can be applied to counterterrorism operations as a means of increasing international security and realizing national objectives with minimal military investment.
Alternatively, many people contend that the road to real success in foreign policy entails hard power alone, often in the form of military strength. However, we believe that it is not solely military power that leads to successful deterrence but the calculated and complementary application of each instrument of power.\(^3\) The principal instrument of this complementary power should be diplomacy. Military strength is still necessary, particularly following a large-scale terrorist attack such as 9/11, but to truly deter terrorism, one must take many other actions. The lessons learned by the international community after more than a decade of fighting this threat teach us that simply targeting individual terrorists and their networks is temporarily effective at quelling activities but ultimately leads to greater resolve in terrorist organizations and legitimizes their actions to local populations. We are now witnessing this phenomenon across Iraq and Syria with the Islamic State of Iraq and the Levant (ISIL or DAESH). Establishing counterterrorism deterrence will require much more than simply targeted strikes: it will involve greater emphasis on diplomacy, nation building, and local cultural/political partnerships, which would allow a legitimate vision and alternative to terrorist pathways. Terrorist operations also need to be locally delegitimized rather than strengthening said organizations when the sole emphasis is on foreign military might.
**The War on Terror and Counterterrorist Deterrence: Fighting for Space**
Initial responses to deterrence strategies in the war on terror labeled them relics of the Cold War era, considering them “too limiting and too naïve” to be applicable for this type of warfare.\(^4\) Consequently, the White House moved forward with strategies that paid little mind to the potential of deterrence.\(^5\) Opposed were many commentators and researchers, particularly in the field of political science, who considered deterrence policies a viable tool for US policy makers in combating terrorism. Their commentaries, however, did not carry the day and have since received little attention.\(^6\) Counterterrorist deterrence strategies are often unpopular because of their perceived heavy-handedness and a lack of confidence that the strategy can be used against a nonstate actor. Such deterrence options, however, remain necessary for meaningful peace negotiations, and therefore US agencies require more resolve, perseverance, and commitment.\(^7\) At the same time, deterrence cannot mirror Cold
War strategy because the threat has fundamentally changed. If the United States continues to emphasize only military strength and pass up new opportunities to deter by other means, then such a decision would invite future challenges and adversely affect long-term American security.\(^3\)
Diplomatic counterterrorist deterrence—especially in weak and failing nations currently inundated with terrorists, such as Iraq, Syria, Yemen, Nigeria, and Afghanistan—must remain a priority for policy innovation. Such deterrence is particularly relevant in Afghanistan, which is confronting significant changes to its political future with new leadership, the removal of troops from the country, and the signing of the Bilateral Security Agreement. Although this agreement allows for the continued presence of certain US troops and facilities in-country, bitter lessons from Iraq prove that relying on military power alone ultimately leaves deterrence efforts weakened and with little influence.
The lack of diplomatic counterterrorist deterrence became widely evident following the declared success in Iraq and victory over al-Qaeda. Unfortunately, the rebranding of al-Qaeda and the emergence of ISIL/DAESH have led many analysts to believe that the withdrawal from Iraq was premature and that the lack of diplomatic counterterrorist deterrence in-country precipitated the rise of this new, more dangerous threat. This unexpected emergence resulted in the resumption of operations (i.e., Operation Inherent Resolve) in the region as a means to destroy the threat and deny regional influence. To ensure that a similar unraveling of achievements in Afghanistan does not occur, we must put careful thought into counterterrorist deterrence strategies. These should continue to delegitimize terrorist organizations that threaten to undermine regional and global security, while simultaneously offering to citizens alternative pathways that carry local legitimacy.
One of the major issues with counterterrorist deterrence strategies is the presence of differentiated goals that accompany power changes. The confrontational approach of former president Hamid Karzai and diplomatic quarrels with the West, along with a regional war of rhetoric with Pakistan, proved costly to his previously earned goodwill with America.\(^9\) New president Ashraf Ghani and the international community must work together to revive the efforts of various strategic partnerships and exploit opportunities not only for economic development but also for counterterrorist deterrence.\(^10\) This revival leads to another argument for significant counterterrorist deterrence strategy: the simple, proactive attempt to prevent non-state actors from perpetrating terrorist events. Traditionally, their motivation was perceived to be so extreme and their level of resolve so high that deterrence seemed futile.\(^11\) Still, if one is to consider terrorist leaders on the whole to be rational players (and many of them often give this impression), then the use of local leaders who employ diplomatic counterterrorist deterrence becomes critical. This scenario would involve strategies that involve disrupting and destabilizing the legitimacy of terrorist organizations’ capabilities and confronting their threat of mass-casualty terrorism at the local level in a nonmilitary manner.\(^12\)
Wyn Q. Bowen, professor of nonproliferation and international security and director of the Centre for Science and Security Studies in the Department of War Studies at King’s College London, researches nonproliferation, terrorism, and US security policy. He observes that deterrence strategies with the goal of counterterrorism would need to involve three identifiable phases: (1) the “pre-event,” whose goals are to deter, protect, and prepare; (2) the “trans-event,” whose goals are to deter, attribute, and interdict; and (3) the “post-event,” involving investigation, prosecution, retaliation, and recovery. Problems with these dimensions of counter-terrorist deterrence, however, involve the possible existence of political, economic, social, and cultural dissimilarities between enemies.\textsuperscript{13} We see such a situation today in the war against ISIL/DAESH, whose center of intellectual gravity is an idealized narrative of a unified caliphate that is strengthened, not weakened, by Western intrusion and resistance.\textsuperscript{14}
Indeed, deterring a terrorist organization like al-Qaeda or ISIL/DAESH is a complex endeavor for a number of reasons, and any policy aimed at eliminating this threat must reflect such complexity. Thus, prior to creating such policies, one must understand the conditions that gave rise to the terrorist group in the first place. Comprehending the cultural, economic, historical, and political conditions of the nation in which a nonstate terrorist actor develops provides a clear sense of the potential appeal, strength, and longevity of the group or organization.\textsuperscript{15} This aspect is critical to the implementation of any counterterrorist deterrence policy and helps clarify its value far beyond the sledgehammer strength of military might.
After all, terrorists are highly motivated and willing to risk nearly anything for their goal. The political objectives of these groups must be acknowledged and examined in detail, for they are often broad, idealistic, unclear, and/or ambiguous. These groups and their members are also difficult to locate, operating transnationally with little central control. Additionally, this threat is supported by many different entities, both passive and active, and can even include the support of US allies (e.g., Pakistan’s intelligence services and military). This fact complicates the ability to effectively use traditional deterrence strategies like the ones from the Cold War era. Besides state supporters, a number of other elements comprise a terrorist organization, including recruiters, religious leaders, financiers, and other levels of leadership. Ultimately and ideally, all must be deterred.\textsuperscript{16}
If deterrence mechanisms in the traditional sense were put into place against such terrorist networks, the United States would have to explore a number of extremely harsh policy options, including regime change, retaliation against supporters of the networks, and expansion of targeted killing operations. That reality is basically untenable. Therefore it is encouraging that there has been some movement towards counterterrorist deterrence strategy as a new priority, laid out in the United States’ 2012 defense strategy. This document gave priority to developing US forces capable of deterring and defeating aggression by any potential adversary, anywhere.\textsuperscript{17} To do so, the United States must be able to deny an aggressor the prospect of reaching his objective by imposing unacceptable costs on him \textit{before} he acts.
New strategies like this work more effectively at deterring terrorist organizations because they not only affect their support structures within the nation but also hinder strategic interactions at the international level.\textsuperscript{18} Regardless of the intended outcome, policies like these continue to come under attack for their supposed heavy-handedness with international values such as civility, idealism, and human rights. Israel is an example of such a nation that has taken an extremely proactive but harsh approach to deter terrorism. It has carried out targeted killings since the beginning of the second intifada in September 2000, using a variety of tactics (e.g., car bombs, snipers, booby traps, and helicopter gunship attacks) to strike individual members of Hamas and Hezbollah. Following 9/11, US policy has largely followed suit in that it targets individual terrorist leaders and operatives through the use of ground operations and drone strikes. The latter have succeeded in decentralizing many key al-Qaeda and Taliban networks at the expense of widespread unrest and discord from citizens both domestically and internationally, particularly after civilian casualties came to light.\textsuperscript{19}
Another argument for the superiority of diplomatic counterterrorist deterrence strategy involves how Israel adapted its drone policy—namely, by ensuring that the targeted individuals were aware of the threat they faced. Israel published the names of individuals wanted as targets and disseminated them within the community where they were suspected to be hiding. Thus, Israel not only targeted individuals with precision (showing capability) and demonstrated its resolve to do so repeatedly (gaining credibility) but also showed those individuals its intention and desires (communication).\textsuperscript{20} This scheme proved effective in deterring the behavior of some terrorists since they were ostracized from communities because of citizens’ fears that they would inadvertently become victims of an Israeli attack. Since terrorism is a global threat that knows no exclusive religion, nationality, or border, counterterrorist deterrence strategies need to extend beyond the boundaries of pure military strikes. Consequently, to deter terrorism, one must assure that collaboration, cooperation, and strict communication take place among the various members of the international community. The ultimate goal of defeating terrorism should involve deterring these attacks before they occur rather than simply having confidence that severe military consequences can be levied after the fact.
Terrorists have crossed international borders, attacked from within, established cells, chosen targets, and executed attacks with ease. This ability has become apparent in the last few months when the world witnessed terrorist activities by Boko Haram in Nigeria, where hundreds of thousands of citizens are at risk; strikes on innocent civilians and businesses in Paris; the kidnapping and execution of Japanese and Jordanian citizens by ISIL/DAESH; an attack against Parliament Hill in Ottawa, Canada, and a comparable strike in Sydney, Australia; “lone wolf” attacks in New York City and Copenhagen; and the continuation of tensions in Egypt, Mali, Afghanistan, and Pakistan. It is incredibly difficult to prevent these attacks when the most explicit strategies are reactive ex post facto military responses rather than preemptive counterterrorist deterrence strategies that seek to enlist local populations and co-opt them positively to the antiterrorist agenda and interests of global peace.
\section*{Grounding the Idea: Differing Schools of Thought}
Many differing opinions and schools of thought exist regarding the deterrence of terrorism. A number of individuals believe that such deterrence is simply not possible, concentrating instead on degrading terrorist capability after the fact. They consider deterring terrorism in any form a waste of valuable resources and a fruitless effort. Others think it possible to use classical deterrence theory against terrorism, and still others maintain that although it is feasible to deter terrorism, the strategy must be modified significantly to have any chance of success. This article finds itself squarely in the latter camp.
People who claim that deterrence is either ineffective or impossible against terrorists have the idea that counterterrorism campaigns depend on three main beliefs: (1) that terrorists are irrational and therefore unresponsive to the cost-benefit calculation required for deterrence; (2) that because some terrorists are willing to die for their cause, they cannot be deterred by any means, even if rational; and (3) that even if terrorists were afraid of punishment, they cannot be deterred because after they have carried out an attack (most notably with suicide bombers), there is no physical location subject to retaliation.\(^{21}\) John Klein argues against this belief by noting that counterterrorist deterrence remains a critical element of US national strategy. He believes that combining deterrence with dissuasion will be effective against the likelihood of a terror attack. Klein further states that although a number of terrorist organizations do not necessarily act uniformly or according to the same underlying beliefs, many leaders in even the most aggressive organizations are motivated by an ideology that embraces martyrdom and an apocalyptic vision. Often this ideology is based on religion or the desire to overthrow a government. Thus, he maintains that this aspect is the very key to deterrence and that the leadership of the organization must be deterred.\(^{22}\) Ultimately, Klein’s point is that because the leaders often function strategically and rationally \textit{even while espousing supposedly irrational goals}, they can be deterred.
Another school of thought—cumulative deterrence—is not the deterrence utilized during the Cold War but a hybrid form whose success does not depend on an all-or-nothing approach. Rather, it considers the overall impact of the threat and allows for some failings against terrorist activity. This strategy is utilized through the considered application of threats and military force, along with a range of assorted incentives. It relies on the belief that the war on terrorism will not be decided with a single overwhelming blow and that deterrence efforts will not fail if terrorist activity takes place. Instead, it acknowledges that deterrence requires extreme patience, unshakable resolve, international cooperation, and a creative, harmonized mix of defensive and offensive measures \textit{with an acceptance of occasional “failures.”}\(^{23}\)
Cumulative deterrence is close to our diplomatic counterterrorist deterrence because it works to improve the economic, social, and political aspects of countries where terrorism flourishes. These locations must be altered so that they prevent terrorists from operating unimpeded, instead driving would-be terrorist recruits away from their destructive impulses and towards the creation of productive, prosperous, and secure societies. These deterrence strategies are designed to gradually wear down the enemy from within by undermining his local arena. They involve a multilayered effort that creates the greatest number of obstacles for the terrorists and their infrastructure, support networks, financial flows, and other means of support over the long term. The strategies call for excellent intelligence, broad coalition planning, and a globalized network that would facilitate the exchange of vital information while encouraging transparency with cutting-edge technology and highly trained military forces.\(^{24}\)
The intensive actions necessary for such innovative deterrence lead to another school of thought that highlights the costs required and questions whether or not it is worth the attempt at all. Cost-benefit analysis conducted on this topic leads some individuals to believe that enhanced expenditures will always be excessive. By 2011 federal expenditures on domestic homeland security had increased by some $360 billion over those in place in 2001. Furthermore, the federal and national intelligence expenses aimed specifically at defeating terrorism have risen by $110 billion while state, local, and private-sector costs increased by $100 billion.\textsuperscript{25}
The skepticism about whether or not deterring terrorism is worth the expense was echoed by Glenn Carle, a 23-year veteran of the Central Intelligence Agency and former deputy of national intelligence for transnational threats: “We must not take fright at the specter our leaders have exaggerated. In fact, we must see jihadists for the small, lethal, disjointed and miserable opponents that they are [and that] al-Qaeda has only a handful of individuals capable of planning, organizing and leading a terrorist organization [and that] although they have threatened attacks, its capabilities are far inferior to its desires.”\textsuperscript{26} This idea of the lack of a credible threat is supported by Marc Sageman, another “former intelligence officer” who “systematically combed through both open and classified data on jihadists and would-be jihadists around the world,” concluding that “al-Qaeda central . . . consist[ed] of a cluster [of] less than 150 actual people.”\textsuperscript{27}
On this same topic, one should note that the events of 9/11 massively heightened the awareness of the public to the threat of terrorism, resulting in extreme vigilance and leading to tip-offs that often either sent terrorists to jail or foiled their attempts. This information from the public has proven to be a key element of prosecutions in many of the terrorism cases in the United States since 9/11. The frequency and severity of terrorist attacks are also extremely low, making the benefits of enhanced counter-terrorism expenditures of nearly a trillion dollars supposedly small by many standard cost-benefit analyses.\textsuperscript{28} But this only explains why deterrence policy as it was during the Cold War will not be successful in the fight against terror. Cold War deterrence strategies would legitimize terrorist organizations and thus lend themselves to the creation of more terrorists in the long term, subsequently adding to greater reactive cost. Strategies that legitimize the governments of afflicted nations and build societies that no longer allow freedom of movement to terrorist groups offer long-term success that will reduce the cost over time.
**New Ideas, New Rules, New Deterrence**
The United States must take a step back in the push towards democracy in terrorist-harboring states in favor of strengthening moderate Muslims in these regions by continuing homeland deterrence strategies and reallocating resources for multinational partnerships that aid in building the legitimacy of local governments. Finally, the effective deterrence of terrorists demands a significant change in the media’s portrayal of these groups and their attacks. This deterrence strategy is by no means quick and depends on taking stock in short-, medium-, and long-term trajectories.
To legitimize governments where terror groups operate, one must offer alternatives to terrorism—for instance, the enactment of robust programs that run parallel to schools, hospitals, and mosques run by Islamic extremists. The programs will work in much the same way that after-school programs provide legal alternatives to crime in the United States. Small movements elsewhere around the globe have enjoyed success of this kind, including establishment of the Basque Autonomous Community in the post-Franco Spanish constitution and the Turkish army, which attempted to eliminate extremist recruitment among Turkish Kurds in the mid-1990s by opening health and educational facilities.\(^{29}\)
Efforts should also be made to facilitate increasingly open economies and political systems while offering career opportunities for people who neither support nor allow extremists to operate in or run their communities. Flooding such communities with legitimate alternatives would ostracize extremist groups and make those who join them the outcasts of society. These programs will require the governmental sector to work alongside elements of civil society to ensure that they provide more benefits and safety to the population. They must also partner with the international community to give these governments proper mentorship and support. Partnering with local governments rather than establishing a stern, unilateral, in-country military presence will expend fewer resources, legitimize the local government, cause less friction among allies, and quiet the spread of extremism that criticizes an intrusive US presence abroad.\(^{30}\) Furthermore, instead of allocating resources to military goals, those resources can be put towards projects designed to build up civil society, transparent government, and other legitimate alternatives to terrorist recruitment.
These governments should also consider deradicalization/rehabilitation programs for recruited terrorists and offer assistance to their families, allowing them to reenter society. Such programs will need financial support, education, and job training for women and children. The reintroduction of detainees into the community must be accompanied by strict oversight and opportunities for them to succeed. There were similarly successful programs in Europe during the 1980s when Spain pardoned members of the ETA Basque separatist organization and again when the Italian government offered leniency to members of the Red Brigades in exchange for information that led to the apprehension of nonreformed members.\(^{31}\)
The criminalizing of terrorist acts must also be standardized across international judicial institutions. States will be obligated to do so under international law and to create legitimate judicial institutions, thus slowly but fundamentally addressing worldwide terrorism effectively. Furthermore, it is not enough that the “international community . . . make abstract pronouncements condemning terrorism as an international crime. Instead, [it] must . . . [explicitly develop an] encompassing definition of terrorism and grant the necessary jurisdiction to the International Criminal Court to try those alleged . . . [as terrorists].”\(^{32}\) This legal aspect of diplomatic counterterrorist deterrence does not lie only with the international community. It is another way to legitimize a local government by having national prosecutors on the international court try terrorists. Creating a hybrid tribunal with states that diligently suppress terrorism creates partnerships that place peer pressure on those nations that openly allow such criminal activities.\(^{33}\)
One must also concentrate on deterrence efforts at home. Deterring the homegrown threat calls for many different methods but should focus heavily on intelligence-driven policing and law-enforcement measures. A combination of counter-capability and countermotivational measures will have to take place to tackle these threats over the long term, utilizing a combination of diplomatic, defensive, and developmental strategies determined by the specific threat confronted.\(^{34}\) To spot signs of terrorist activity, one must also take deterrence-through-denial measures and continue to educate the local population.
All of these deterrence measures must occur in tandem with a removal of the global media’s focus on terrorists, which fuels and/or glorifies their actions. Global media and local governments must work together towards the common interest of deterring terrorism. Terrorists need publicity to gain attention, inspire fear, and secure a favorable community standing for their cause, all of which the media tends to offer unwittingly. Any publicity of their capabilities alerts the world to the existence of a problem that cannot be ignored, leading to the legitimizing of their group and/or the romanticizing of their cause. Terrorists also need this coverage to amplify panic, spread fear, and facilitate economic loss, such as a decline in investment and tourism, causing members of the local population to lose faith in their government and the latter’s ability to protect them.\(^{35}\) Changing this dynamic will prove difficult because of the very nature of journalism. Media outlets, on the one hand, wish to be the first with the story, making it as timely and dramatic as possible while protecting society’s right to know even if such knowledge is damaging in the long run. Government, on the other hand, would like media coverage to advance its agenda instead of the terrorists’ and include an understanding of policy objectives, hopefully bolstering the image of government agencies. Moreover, the government wishes to deny terrorists a platform for their ideology by not allowing interviews and presenting them as criminals instead of glamorizing their operations or cause with extensive coverage. So far, an understanding and alliance between the global media and government have been tenuous and spotty at best. But diplomatic counterterrorist deterrence will markedly improve if such an alliance can emerge and if there are fewer cries of co-opted media or manipulative government.\(^{36}\)
Policy recommendations for the media could include limiting information on hostages that could harm those victims; curtailing information on the movement of police or military operations; restricting or not agreeing to show interviews with terrorists or propaganda videos; waiting to release information to ensure that it is factual and does not lead to unfounded speculation or misinformation; and focusing less on the capabilities of terrorist groups, thus minimizing local panic or agitation. The media and the government must work together towards the common interest of not being unwittingly manipulated into promoting the cause of terrorists while simultaneously ensuring that no one’s constitutional and civil rights are infringed upon.\(^{37}\) Maintaining such a balance will be a delicate task—one that demands major effort and, no doubt, some expected backlash. Nevertheless, open and cooperative communication between the government and global media is a critical element in any counterterrorist deterrence strategy used to delegitimize terrorist operations.
Conclusion
Diplomatic counterterrorist deterrence strategies that rely less on reactive military force and more on preemptive intelligence gathering, the rule of law, cooperation with the media, and promotion of domestic security—alongside the building of civil society alternatives to terrorist organizations—will diminish the widespread appeal of terror organizations. This strategy is far from the all-or-nothing, do-or-die approach to deterrence during the Cold War and is more efficient and oriented towards the long term than today’s militaristic, reactionary strategies to terrorist acts. This approach builds on victories achieved over the short, medium, and long term, designed to wear down the resolve of the enemy and to develop fully functional societies with an actively included citizenry. Such a deterrence strategy requires multilayered processes structured to create the greatest number of obstacles to terrorist organizations, making it too formidable a challenge to carry out operations, severely undermining recruiting opportunities, and ultimately destroying terrorists’ ability to survive by depriving them of operational and personnel assets. Diplomatic counterterrorist deterrence does not eliminate the need for a strong military capability, but it does go a long way in reclaiming deterrence as a concept and a policy for an area that sorely needs new ideas and innovation.
Notes
1. Uri Fisher, “Deterrence, Terrorism, and American Values,” *Homeland Security Affairs: The Journal of the Naval Postgraduate School Center for Homeland Defense and Security* 3, no. 1 (February 2007), http://www.hsaj.org/?fullarticle=3.1.4.
2. Gary Schaub Jr., “When Is Deterrence Necessary? Gauging Adversary Intent,” *Strategic Studies Quarterly* 3, no. 4 (Winter 2009): 49–74, http://www.au.af.mil/au/ssq/2009/Winter/schaub.pdf.
3. Anne E. Sartori, *Deterrence by Diplomacy* (Princeton, NJ: Princeton University Press, 2005), 4.
4. Fisher, “Deterrence, Terrorism, and American Values.”
5. Schaub, “When Is Deterrence Necessary?”
6. Fisher, “Deterrence, Terrorism, and American Values.”
7. Davood Moradian, “Why the U.S. Can’t Abandon Afghanistan: These Five Principles Should Guide the U.S.-Afghan Relationship after 2014,” *Foreign Policy*, 10 January 2013, http://foreignpolicy.com/2013/01/10/why-the-u-s-cant-abandon-afghanistan/.
8. Ibid.
9. Tamim Asey, “10 Priorities for Afghanistan’s New President,” *Diplomat*, 24 September 2014, http://thediplomat.com/2014/09/10-priorities-for-afghanistans-new-president/.
10. Ibid.
11. Wyn Q. Bowen, “Deterrence and Asymmetry: Non-State Actors and Mass Casualty Terrorism,” in *Deterrence and the New Global Security Environment*, ed. Ian R. Kenyon and John Simpson (New York: Routledge, 2006), 46–62.
12. Ibid.
13. Ibid.
14. David Deptula, “How to Defeat ISIL: It’s All about the Strategy,” *Breaking Defense*, 5 September 2014, http://breakingdefense.com/2014/09/how-to-defeat-isil-its-all-about-the-strategy/.
15. Adam B. Lowther, ed., *Deterrence: Rising Powers, Rogue Regimes, and Terrorism in the Twenty-First Century* (New York: Palgrave Macmillan, 2012).
16. Fisher, “Deterrence, Terrorism, and American Values.”
17. Department of Defense, *Sustaining U.S. Global Leadership: Priorities for 21st Century Defense* (Washington, DC: Department of Defense, January 2012), 8–9, http://www.defense.gov/news/Defense_Strategic_Guidance.pdf.
18. Alex S. Wilner, “Targeted Killings in Afghanistan: Measuring Coercion and Deterrence in Counter-terrorism and Counterinsurgency,” *Studies in Conflict & Terrorism* 33, no. 4 (2010): 307–29, doi:10.1080/10576100903582543.
19. Fisher, “Deterrence, Terrorism, and American Values.”
20. Wilner, “Targeted Killings in Afghanistan.”
21. Robert F. Trager and Dessislava P. Zagorcheva, “Deterring Terrorism: It Can Be Done,” *International Security* 30, no. 3 (2005–6): 87–123.
22. John J. Klein, “Deterring and Dissuading Nuclear Terrorism,” *Journal of Strategic Security* 5, no. 1 (Spring 2012): 15–30, http://scholarcommons.usf.edu/cgi/viewcontent.cgi?article=1132&context=jss.
23. Doron Almog, “Cumulative Deterrence and the War on Terrorism,” *Parameters* 34, no. 4 (Winter 2004–5): 4–19, http://www.libertyparkusafd.org/Hale/Special%20Reports%5CUS%20Military%20Strategy%20II%5CCumulative%20Deterrence%20and%20the%20War%20on%20Terrorism.pdf.
24. Ibid.
25. John Mueller and Mark G. Stewart, “Terror, Security, and Money: Balancing the Risks, Benefits, and Costs of Homeland Security” (presentation at the Annual Convention of the Midwest Political Science Association, Chicago, 1 April 2011), http://politicalscience.osu.edu/faculty/jmueller//ID11TSM.PDF.
26. Ibid., 9.
27. Ibid., 11.
28. Ibid.
29. Laura Dugan and Erica Chenoweth, “Moving beyond Deterrence: The Effectiveness of Raising the Expected Utility of Abstaining from Terrorism in Israel,” *American Sociological Review* 77, no. 4 (August 2012): 597–624, doi: 10.1177/0003122412450573.
30. Trager and Zagorcheva, “Deterring Terrorism.”
31. Dugan and Chenoweth, “Moving beyond Deterrence.”
32. Michael Lawless, “Terrorism: An International Crime,” *International Journal* 63, no. 1 (Winter 2007): 157.
33. Erin Creegan, “A Permanent Hybrid Court for Terrorism,” *American University International Law Review* 26, no. 2 (2011): 237–313, http://digitalcommons.wcl.american.edu/cgi/viewcontent.cgi?article=1701&context=aulir.
34. Vlatko Cvrtila and Anita Perešin, “The Transformation of Terrorism and New Strategies,” *Politička Misao: Croatian Political Science Review* 46, no. 5 (2009): 121–39.
35. Raphael F. Perl, “Terrorism, the Media, and the Government: Perspectives, Trends, and Options for Policymakers,” Federation of American Scientists, 22 October 1997, http://www.au.af.mil/au/awc/awcgate/state/crs-terror-media.htm.
36. Ibid.
37. Ibid.
SSgt Megan J. Munoz, USAF
Sergeant Munoz (BA, American Military University) is currently a graduate student at Bellevue University, Bellevue, Nebraska, where she is earning a master of science degree in international security and intelligence studies. She has served as an intelligence analyst for the US Air Force and section chief of the Expeditionary Intelligence Support program for the 423rd Mobility Training Squadron, Joint Base McGuire-Dix-Lakehurst, New Jersey. Having accumulated more than 1,000 teaching hours, she is also a key instructor at the US Air Force Expeditionary Center, providing instruction and intelligence support for individuals, courses, and customers dealing with combat, mobility, and counterterrorism operations. She previously served as an analyst at the National Air and Space Intelligence Center, Wright-Patterson AFB, Ohio, where she collected, managed, analyzed, authored, and briefed critical intelligence. Furthermore, she issued products that offered predictive analysis for threats faced by US Department of Defense missions taking place in the Pacific, Europe, the Middle East, and Southeast Asian regions. Additionally, Sergeant Munoz has served on multiple deployments to Afghanistan as an intelligence analyst and a regional counterterrorism/political analyst.
Dr. Matthew Crosston
Dr. Crosston (BA, Colgate University; MA, University of London; PhD, Brown University) is a professor of political science, holder of the Miller Chair for Industrial and International Security, and director of the International Security and Intelligence Studies program at Bellevue University, Bellevue, Nebraska. He has authored two well-received books, several book chapters, and over 20 peer-reviewed articles in numerous peer-reviewed journals. His research agenda continues to address counterterrorism, intelligence analysis, failed democratization, and cyber war / ethics. His works have been translated into Russian, Arabic, Chinese, Hebrew, Spanish, and Uzbek. He has worked across the globe promoting interaction between intelligence agencies that share common interests but have trouble overcoming ideological, cultural, and historical obstacles; further, he has tried to foster improved collaboration between the academic and intelligence communities. In 2013 Professor Crosston was named Outstanding Instructor by the International Association for Intelligence Education and received the Commander’s Coin for Integrity, Service, and Excellence from the 97th Intelligence Squadron for facilitating foreign language study for Airmen at Offutt AFB, Nebraska. In 2014 he was invited to be a key speaker on “intelligence student best practices” at the Defense Intelligence Agency for the Intelligence Community’s Centers for Academic Excellence Senior Advisory Board.
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The Department of Defense faces a time of transition as it works to address today’s crises while preparing for tomorrow’s threats.\(^1\) One of the future concerns for US forces comes from antiaccess/area-denial (A2/AD) capabilities, defined broadly as “the ability to blunt or deny U.S. power projection—across all domains.”\(^2\) Within this broad definition, A2 capabilities compromise the ability of US forces to get to the fight whereas AD capabilities inhibit their ability to fight effectively once they arrive.\(^3\) Some capabilities can be employed in both an A2 and an AD role. For instance, submarines could interdict forces as they attempt to deploy into a theater and could then shift to coastal choke points to deny US naval operations inside a theater. Discussions of A2/AD highlight a set of capabilities that could be employed in this manner, including cruise and ballistic missiles, quiet submarines,
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sea mines, modern fighter aircraft, space and cyberspace assets, and surface-to-air missiles.\textsuperscript{4} Discussions of this threat generally cite multiple countries as potential A2/AD challenges, especially China and Iran.\textsuperscript{5}
Grouping Chinese and Iranian capabilities within the same A2/AD rubric can obscure important variation in the possible threat to US forces in different theaters unless accompanying analysis highlights those differences. This article uses an operational analysis of the risk to air bases from conventional theater ballistic missiles (TBM) to illustrate how one critical component of the broader A2/AD threat can vary across theaters.\textsuperscript{6} This comparative analysis indicates that the threat to US operating bases in Southwest Asia (SWA) is significantly lower than the one they face in East Asia. The geography of SWA lessens the impact of the already weaker Iranian TBM capabilities. Iran could not significantly hold US air operations at risk outside 500 kilometers (km); therefore, it poses a more modest threat to those operations in the Persian Gulf than do Chinese TBMs in East Asia.\textsuperscript{7} The accuracy, payloads, and ranges of the weapons in Iran’s ballistic missile arsenal are inadequate to seriously threaten US air operations, in part because US forces could operate from a large number of bases outside the worst threat ring (i.e., more than 500 km from Iran’s border).\textsuperscript{8} Even within 500 km, the threat posed by Iranian TBMs to air bases could be mitigated in a number of ways. For example, a prudent planner could avoid parking significant numbers of aircraft in the open, distribute parked aircraft across a wide area, and operate fighters from hardened air bases. In short, the Iranian ballistic missile threat to US air bases is exaggerated by the Iranians and likely to remain modest, relative to the threat those bases face in East Asia.\textsuperscript{9}
This conclusion is reinforced by a secondary analysis that examines a worst-case future scenario. Even if Iran had China’s existing TBM capabilities, the geography of SWA gives the United States basing options that still would entail a significantly lower threat than the one from East Asia. Prudence requires that American defense analysts closely monitor Iran’s ballistic missile developments, but the superficial similarities between Iranian and Chinese capabilities should not blind them to the fact that the TBM threats in SWA and East Asia differ dramatically in both scope and quality. As a result of the more favorable geography and the potential adversary’s less advanced capabilities, the United States is and should remain capable of conducting air operations in SWA. These differences indicate that substantial regional variation can exist in the nature of A2/AD threats and that overuse of the A2/AD label can obscure as much as enlighten if it is not accompanied by an appropriate analytical effort.
Overlooking regional variations in threats can cause a multitude of problems for American defense planners. First, they may overlook opportunities that exist in SWA. Basing fighters outside effective Iranian TBM attack could be a powerful component of an American war plan, but one would first have to recognize it and then act upon it to create any benefit. By misdiagnosing the Iranian TBM threat, planners could overlook this opportunity. Second, misunderstanding the regional variation of threats can produce misallocation of resources. For example, if the threat to air bases is much severer in East Asia than in SWA, then that situation implies that scarce resources for improving the resilience of air bases should be spent first in East Asia.\textsuperscript{10} Finally, such misunderstanding can create an exaggerated sense of decline in American power. If the proliferation of threats such as TBMs is uniformly
eroding the ability of US fighters to operate in the event of war, then this problem would imply a general decline in US power projection. If, however, the TBM threat to air bases is more heterogeneous across regions, then existing American power projection can remain relevant in the lower-threat regions such as SWA. For all of these reasons, it is important to have a clear understanding of the regional variations in the TBM threat to air bases.
The remainder of this article proceeds in five main sections. First, it discusses why defense planners worry about Iran’s TBM forces. Second, it examines the capabilities of Iran’s and China’s TBMs as a means of evaluating their effectiveness at striking key targets on air bases such as runways and parking ramps. Third, the article compares and contrasts Iranian and Chinese ballistic missile doctrine, noting how each country envisions using its TBMs. Fourth, it analyzes how each country’s TBM capabilities interact with the bases available to US forces in each region in order to assess the degree to which the TBM threat constrains US basing options in each theater. Finally, the article discusses conclusions drawn from this analysis and implications for US force posture, force structure, and ability to project force globally.
**Iran’s Theater Ballistic Missiles and the Risk to US Air Bases**
Iran’s ballistic missile capabilities represent an ongoing concern for defense planners in the Middle East, Europe, and the United States. In 2009 Secretary of Defense Robert Gates stated that “the threat from Iran’s short- and medium-range ballistic missiles . . . is developing more rapidly than previously projected.” Concerns over those missiles stem from a variety of factors. Specifically, Iran’s nuclear program makes its existing ballistic missiles potential delivery systems for nuclear warheads. If Iran could develop both a nuclear weapon and an intercontinental ballistic missile, then it could hold the US homeland at risk. Even if Iran had no new longer-range missiles, nuclear weapons mated to its existing TBM force could threaten Iran’s neighbors. Beyond nuclear threats, its existing conventionally armed TBMs could serve as a coercive tool due to their ability to threaten the population centers of US partners in the Middle East as well as other lucrative targets such as ports and energy infrastructure. Finally, in the event of an open war, these TBMs might threaten military targets, denying Iran’s opponents sanctuary from which to prepare and operate their air, land, and naval forces.
Even though the role of Iran’s TBMs as a coercive tool has been discussed and although defense analysts frequently mention their war-fighting utility, no operational analysis of the ability of those missiles to accomplish military missions has been conducted. This deficiency is significant because the possibility of Iranian TBMs becoming a potent war-fighting force would have profound consequences on a future conflict in the Persian Gulf. US airpower has enjoyed comparative sanctuary in SWA since 1990, and the 2010 *Quadrennial Defense Review Report* highlighted the potential effects that Iranian TBM developments could have on that sanctuary:
[Iran is] actively testing and fielding new ballistic missile systems. Many of these systems are more accurate and have greater ranges than the Scud-class missiles used by Iraq in the 1991 Gulf War. As the inventories and capabilities of such systems continue to grow, U.S. forces deployed forward will
no longer enjoy the relative sanctuary that they have had in conflicts since the end of the Cold War. Air bases, ports of debarkation, logistics hubs, command centers, and other assets essential to high-tempo military operations could be at risk.\textsuperscript{13}
Given the importance of air superiority to the American way of war, any compromise of the US military's ability to operate from regional air bases in the event of a conflict is exceptionally concerning.\textsuperscript{14} Forward bases' lack of viability would create a major challenge to American war fighting.\textsuperscript{15} Iranian rhetoric makes such a threat explicit.\textsuperscript{16}
Despite these concerns, no rigorous tests of the ability of Iran's missile force to impede US air operations in SWA have occurred.\textsuperscript{17} This article seeks to fill this gap in the literature by assessing the current capabilities of Iran's missiles and comparing them to those of China, which possesses the most active ballistic missile program in the world. Furthermore, it examines Iranian doctrine for its ideas on ballistic missiles before assessing their effectiveness in attacking air bases in SWA. These steps lead to the conclusion that air bases more than 500 km away from Iran have comparative sanctuary from TBM attack.
\section*{The Capabilities of Iranian and Chinese Ballistic Missiles}
\subsection*{Iranian Theater Ballistic Missiles}
Iran has the largest ballistic missile force in the Middle East. Overall inventory estimates vary, but sources generally agree that Iran has more than 1,000 ballistic missiles of various types. The capabilities of this inventory, however, are uneven. Most of the Iranian ballistic missile force is derived from Soviet Scud missiles, which, in turn, were derived from the German V-2. These are liquid-fueled missiles, which are less mobile and less responsive than solid-fueled missiles. \textit{Jane's Strategic Weapon Systems} reports that the guidance systems of these missiles have improved, compared to those of the Soviet Scuds, but they remain relatively inaccurate.\textsuperscript{18} The majority of Iran's inventory is composed of short-range ballistic missiles (SRBM), including a smaller number of medium-range ballistic missiles (MRBM). Currently, it possesses no intermediate-range or intercontinental ballistic missiles (IRBM and ICBM).\textsuperscript{19}
Iran continues to develop Scud technology. Its Shahab 3 variants are scaled-up versions of shorter-range Scud missiles using similar designs, materials, and propellants. These longer-range systems require a separating reentry vehicle, a capability that has applicability on intercontinental range systems as well.\textsuperscript{20}
Beyond Scud technology, Iran is reportedly developing three new conventional ballistic missile systems. The first of these, the Fateh-110, is noteworthy because it is the first solid-fueled system fielded by Iran. Solid-fueled systems can be more mobile and, thus, more survivable than liquid systems; moreover, they can be readied to fire more quickly, enhancing their responsiveness. This single-stage missile has a range of 200 km—sufficient to reach targets in Kuwait, Bahrain, northern Qatar, the United Arab Emirates (UAE), and eastern Oman. Additionally, the Fateh-110 evidently has impressive accuracy improvements (a reported 100 meters [m] circular
error probable [CEP]) over the Shahab SRBMs (450–700 m CEP).\textsuperscript{21} The second new system, the Ashura or Sejil MRBM, is a two-stage solid-fueled missile reportedly in development. If successfully deployed, this missile would represent a major technological advance beyond the Shahab 3-class MRBMs due to the advantages of solid-fueled systems over liquid-fueled systems, summarized above. Finally, the BM-25 MRBM, a single-stage, liquid-fueled missile, is reportedly based upon technology from a Soviet-era submarine-launched ballistic missile. One of the important differences between the BM-25 and the Shahab series is that the BM-25 evidently uses a more energetic propellant to achieve longer ranges than are possible with Shahab propellants.\textsuperscript{22} If successfully deployed, the BM-25 could give Iran a longer-ranged, liquid-fueled missile force capable of reaching targets in Western Europe. (Table 1 summarizes the capabilities of Iran’s TBMs.) Because some analysts forecast that the accuracy of Iran’s TBMs will improve over time, a later section of this article analyzes the effect of a more accurate TBM force.\textsuperscript{23}
\begin{table}[h]
\centering
\caption{Iranian conventional ballistic missiles}
\begin{tabular}{|c|c|c|c|c|c|c|c|c|}
\hline
& \multicolumn{8}{|c|}{Land Attack Theater Ballistic Missiles} \\
\hline
& \multicolumn{4}{|c|}{SRBM} & \multicolumn{4}{|c|}{MRBM} \\
\hline
Range (km) & CSS-8 & Fateh-110 & Shahab 1 & Shahab 2 & Shahab 3 & Shahab 3 (variants) & Ashura (Sejil) & BM-25 \\
\hline
Warhead (kg) & 150 & 200 & 300 & 500 & 1,300 & 2,000–2,500 & 2,000 & 2,500–4,000 \\
\hline
CEP (m) & 250 & 500 & 985 & 770 & 800 & 500 & 900 & 1,200 \\
\hline
2010 Inventory Estimate & 100 & 100 & 450–610 & 700 & 1,850–2,500 & 2,500 & Unknown & 1,600 \\
\hline
2010 Launcher Estimate & 175 & 500 & 150 & 150 & 12 & 12 & & \\
\hline
\end{tabular}
\begin{flushleft}
Source: Missile performance data from National Air and Space Intelligence Center (NASIC), \textit{Ballistic and Cruise Missile Threat} (Wright-Patterson AFB, OH: NASIC Public Affairs Office, 2013); and Duncan Lennox, \textit{Jane's Strategic Weapons Systems} (London: Jane's Information Group, 2012). Inventory estimates based on International Institute for Strategic Studies (IISS), \textit{The Military Balance} 2012 (Washington, DC: IISS, 2012); and Department of Defense, “Annual Report on Military Power of Iran” (Washington, DC: Department of Defense, April 2012), https://fas.org/man/eprint/dod-iran.pdf. Significant differences exist among open-source estimates of Iranian TBM inventories. In particular, there are few estimates of Iran’s Fateh-110 inventory. To get around this deficiency, the estimate summarized here was derived in the following way: CSS-8 and Shahab 1, 2, and 3 inventories from the IISS’s \textit{Military Balance} were totaled and then subtracted from the total inventory of 1,000 TBMs cited in the Department of Defense’s “Annual Report on Military Power of Iran.” Doing so leads to an inventory of Fateh-110s larger than that seen in some other sources. See, for example, Joshua R. Itzkowitz Shifrinson and Miranda Priebe, “A Crude Threat: The Limits of an Iranian Missile Campaign against Saudi Arabian Oil,” \textit{International Security} 36, no. 1 (Summer 2011): 167–201. Given that the Fateh-110 is the most accurate and thus the most capable system currently deployed by Iran, this method represents an upper bound on the capabilities of Iran’s inventory.
\end{flushleft}
\end{table}
\textbf{Chinese Theater Ballistic Missiles}
Although Iran has the largest ballistic missile force in the Middle East, China currently has the most active and advanced ballistic missile program in the world. It has fielded more than 1,000 highly accurate conventional SRBMs and is currently expanding its conventional MRBM force. All of these missiles are solid-fueled, road-mobile systems that possess high accuracies (less than 50 m CEPs). China has developed a wide range of payloads for these missiles, including a variety of submunitions. (Table 2 summarizes the capabilities of China’s TBMs and cruise missiles.) China’s most numerous type of TBM is its SRBM, but it is expanding its conventional land-attack MRBM forces. China’s early DF-21/CSS-5 MRBMs were armed with nuclear warheads and had poor accuracy, but the more recent DF-21C variant has improved guidance and a conventional warhead.\(^{24}\) Although China has not yet built many of these systems, the Department of Defense estimates that the People’s Republic of China could double its MRBM production rate.\(^{25}\)
**Table 2. Chinese conventional land-attack ballistic and cruise missiles**
| Range (km) | SRBM | MRBM | IRBM | Cruise Missiles |
|------------|------|------|------|-----------------|
| | CSS-7| CSS-6| | |
| DF-11 | DF-11A | DF-15 | DF-15A | DF-15B | DF-21 | DF-21C | New IRBM | DH-10 | ALCM (delivered by B-6) |
| 280–350 | 350–530 | 600 | 600 | 600–800 | 1,750+ | 1,750+ | 4,000 | 1,500–2,000 | 3,300\(^a\) |
| 800 | 500 | 500 | 600 | 600 | 600 | 500 | unknown | 400 | 400 |
| 600 | 20–200 | 300 | 30 | 5 | 700 | 50 | unknown | 5–20 | 5–20 |
| 2010 Inventory Estimate | 700–750 | 350–400 | 85–95\(^b\) | 36\(^c\) | In Development | 200–500 | In inventory |
| 2010 Launcher Estimate | 108 | 108 | 80 | 36 | 54 | 30 |
\(^a\)Reflects combined range of H-6 bomber and air-launched cruise missile (ALCM)
\(^b\)85–95 estimate includes all variants of the DF-21
\(^c\)Estimates of DF-21C inventory; subset of total DF-21 inventory
*Source: Table based upon data from Duncan Lennox, *Jane’s Strategic Weapons Systems* (London: Jane’s Information Group, 2012); Office of the Secretary of Defense, *Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China*, 2011 (Washington, DC: Office of the Secretary of Defense, 2011), [http://www.defense.gov/pubs/pdfs/2011_CMPR_Final.pdf](http://www.defense.gov/pubs/pdfs/2011_CMPR_Final.pdf); Zhang Han and Huang Jingjing, “New Missile ‘Ready by 2015’: Global Times,” *People’s Daily Online*, 18 February 2011, [http://en.people.cn/90001/90776/90786/7292006.html](http://en.people.cn/90001/90776/90786/7292006.html); Doug Richardson, “China Plans 4,000 km-Range Conventional Ballistic Missile,” *Jane’s Missiles & Rockets*, 1 March 2011; International Institute for Strategic Studies (IISS), *The Military Balance 2011* (Washington, DC: IISS, 2011); and National Air and Space Intelligence Center (NASIC), *Ballistic and Cruise Missile Threat* (Wright-Patterson AFB, OH: NASIC Public Affairs Office, 2013).
Beyond the DF-21’s range (roughly 1,750 km), China does not currently possess a conventionally armed IRBM capable of ranging Guam, but it has announced its intention to develop and deploy such a system by 2015.\(^{26}\) Thus, within the next decade, it is likely that all permanent US Air Force bases in the Western Pacific will lie within range of conventionally armed, precision TBMs. Meanwhile, China has demonstrated the capacity to expand its force of ground-launched cruise missiles (GLCM) at a rate of more than 100 a year.\(^{27}\)
Operational Capabilities of Iranian and Chinese Theater Ballistic Missiles
This analysis compares Iranian and Chinese TBM capabilities across two dimensions: accuracy and flexibility, with the bulk of the analysis focusing on the differences in accuracy. These characteristics play key roles in determining the ability of ballistic missiles to fulfill a military goal such as hitting the runways or parking ramps of an air base.
**Accuracy.** The first operational consequence of the differing Chinese and Iranian ballistic missile capabilities arises from their relative accuracies. Most Iranian systems are so inaccurate that they likely could not hit military targets. To illustrate, we begin by considering how many missiles would need to be fired to hit a notional target of 100 m in diameter (e.g., a sizable building on an air base, such as a very large hangar). As figure 1 illustrates, between one and three of the most modern Chinese TBMs would be sufficient to have a greater than 80 percent chance of striking a target of this size. It would take 10 of the most accurate Iranian TBMs (Fateh-110s) to realize a similar probability of hitting the same target. Moreover, 10 Scud-derived Shahabs wouldn’t have even a 10 percent chance of success.\(^{28}\)
*Figure 1. Cumulative probability of Iranian and Chinese ballistic missiles hitting a target of 100 m in diameter.* (Figure from author’s calculations based on accuracies reported in tables 1 and 2.)
As mentioned earlier, one way to compensate for an inaccurate delivery system is to employ submunitions—particularly useful for attacking area targets on air bases, such as runways.\(^{29}\) Here, the objective is to damage the runways sufficiently to deny a minimum operating surface (MOS)—the least amount of space an aircraft requires to become airborne. For a fighter, a nominal MOS is 5,000 feet long and 50 feet wide.\(^{30}\) Not knowing the types of antirunway submunition payloads (if any)
with which the Iranians have armed their TBMs, this analysis uses a representative antirunway payload derived from munitions that the United States developed decades ago. This assessment assumes that each missile is armed with 82 10-pound runway-penetrating submunitions dispersed across a circle with a 300-feet radius around the missile impact point.\(^{31}\) This scenario produces a pattern of submunition impacts sufficiently dense that the probability of leaving a fighter MOS 50 feet wide on a runway 150 feet wide is extremely low (assuming the TBM was aimed at the center point of the runway). Effectively, this means that as long as the missile lands within 225 feet of the center of the runway, its submunition pattern will fully cover the width of the runway and a fighter will be unable to operate over that section until it has been repaired. With this payload, figure 2 depicts the probability of Iranian TBMs doing sufficient damage to a runway to deny a fighter MOS.\(^{32}\) In the runway-attack case, this mission remains challenging even when inaccurate systems are armed with submunitions. However, it is less demanding than the attack on the target 100 m in diameter with a unitary warhead. Three Fateh-110 systems are adequate to have an 80 percent chance of cutting the runway whereas 10 of those missiles were required to have the same chance of hitting a target 100 m in diameter. The Shahab-class systems, though, still cannot break a 70 percent chance of cutting the runway with a salvo of 10 TBMs.
In fact, as table 3 indicates, a salvo of 13 Shahab 1s would be necessary to have a 75 percent chance of making a single runway cut. By way of contrast, the Chinese would have to use only a single reliable conventional TBM to have the same confidence in making such a cut. The story gets even worse for the Iranians because multiple cut points are generally needed to deny all MOSs at an air base. Al Dhafra in the UAE, for example, has two runways, each approximately 12,000 feet long.
Therefore, missiles would have to make two cuts on each runway in order to deny a nominal fighter MOS of 5,000 feet, as illustrated in figure 3. This requirement implies a salvo of 52 Shahab 1s, roughly one-third of the Iranian Shahab 1 inventory.\(^{33}\) Perhaps if US Air Force aircraft were massed in Al Dhafra, however, it would still be an attractive target. Nevertheless, Iran would have trouble making this attack because it lacks a sufficient number of launchers. The International Institute for Strategic Studies assesses that Iran has only 12–18 launchers for its Shahab 1 and 2 force (i.e., it does not have enough launchers to mount a raid on more than one runway cut point at a time).\(^{34}\) Because these calculations do not include any active defenses (such as Patriot batteries, operated by both the UAE and US militaries) or missile reliability factors (a fraction of all weapons systems fail—sometimes large fractions), the real challenge is even greater for the Iranians to overcome than these already pessimistic results imply.
**Table 3. Required salvo sizes for runway and parking-area attacks for Iranian and Chinese ballistic missiles**
| Country | Missile Type | Salvo Size Required for 0.75 Probability of Cutting a Single Runway | Salvo Size Required to Cover 75% of a 770,000 Sq. Ft. Parking Apron |
|---------|--------------------|---------------------------------------------------------------------|---------------------------------------------------------------------|
| Iran | CSS-8 | 3 | 1 |
| | Fateh-100 | 3 | 1 |
| | Shahab 1 | 13 | 2 |
| | Shahab 2 | 21 | 4 |
| | Shahab 3 | 71 | 27 |
| | Shahab 3 (variants)| 71 | 27 |
| China | CSS-7 | 1 | 1 |
| | CSS-6 | 1 | 1 |
| | CSS-5 | 1 | 1 |
*Source: Table from author’s calculations based on data reported in tables 1 and 2.*
After runways, another major target set on an air base consists of parked aircraft. If not located in hardened shelters, then these aircraft are vulnerable to small submunitions.\(^{35}\) Armed with one-pound submunitions, a TBM can blanket hundreds of square feet densely enough that every fighter-sized aircraft in the open will likely sustain damage. Arming the Iranian TBM force with this sort of payload produces the salvo sizes in the final column of table 3.\(^{36}\) Because of the larger footprint of these submunition payloads, feasible salvos can cover 75 percent of a single parking apron of 770,000 square feet. An air base will generally have multiple parking aprons, so all of those would have to be targeted. Still, this analysis indicates that within Shahab 2 range (500 km), Iran could carry out an effective submunition attack on aircraft parked in the open on a single parking apron. Consequently, planners would be wise not to park large numbers of unsheltered aircraft within 500 km of
Iranian launch sites in the event of a major combat operation involving Iran. Fortunately, as discussed in greater detail below, many potential basing options inside 500 km have hardened aircraft shelters; moreover, options exist outside 500 km, which is within range of relevant targets in Iran. Thus, the United States could base its aircraft outside the reach of this threat.
Since Iran's TBMs seem so poorly suited for striking military targets, what are they good for? Specifically, their accuracy is sufficient to hit large targets like cities. The downtown area of Dubai, for example, is at least 5 km in diameter—greater than or equal to the CEP of all of Iran's missiles. A TBM falling inside this area would create a great deal of fear, regardless of how many people died directly as a result of the TBM strike.\(^{37}\) Shahab 1 and 2 TBMs would have near certainty of hitting this target (ignoring, as before, missile reliability and missile defenses), and three Shahab 3 missiles would have a cumulative probability in excess of 80 percent of striking a target of this size. Thus, the capabilities of Iran's TBMs align well with a conventional psychological deterrent mission and poorly with a direct military war-fighting mission against adversary air bases.
**Flexibility.** In addition to their greater accuracy, Chinese TBMs are more flexible than Iran's arsenal because China's entire force is solid fueled, possessing satellite navigation capabilities and a high degree of mobility. The following discussion briefly considers each of these three factors in turn.
Solid-fueled systems enjoy multiple advantages over liquid-fueled systems, which must be fueled before they can fire, therefore complicating the launch process and requiring more support vehicles than those needed by solid-fueled missiles. This additional time can give an adversary a greater opportunity to find and attack the missiles before they fire. The fact that liquid-fueled missile batteries must have
propellant vehicles can increase the signature of a unit, making it easier for an adversary to find. Solid-propellant missiles are also safer (highly energetic liquid rocket fuels can be extremely toxic) and easier to maintain in the field, producing a more effective force. Further, solid-fueled missiles can be fired more quickly than liquid systems, helping them strike fleeting targets (assuming adequate accuracy and targeting). Solid systems also accelerate more quickly during their boost phase, making them harder to hit with boost-phase intercept systems and thus more survivable. Clearly, China’s all-solid-fueled force is more responsive, flexible, and survivable than Iran’s largely liquid-fueled force.
Satellite navigation updates enable a missile to know its position precisely, based upon an external frame of reference. Therefore, missile accuracy is less dependent upon presurveyed sites and precise azimuth alignment before firing, leading to more potential launch sites, harder-to-find sites, faster launches, and more accurate missiles.
All of China’s conventionally armed TBMs are fired from transporter erector launchers, but some of Iran’s Shahab 3 MRBMs launch from fixed sites and others from mobile erector launchers. An adversary can presurvey fixed sites and attack at the onset of hostilities. Because mobile missiles are harder to find, they are more difficult to attack, but all mobile missiles are not equal. Mobile erector launchers can have less off-road capability than transporter erector launchers, shrinking their potential operating area and possibly making it easier for an adversary to find them.\(^{38}\)
**A Comparison of Ballistic Missile Doctrine**
**Iranian Ballistic Missile Doctrine**
The threat posed by ballistic missiles depends at least partially upon how a country plans to employ these weapons. Iran’s ballistic missile program dates back to the mid-1980s. Spurred by Iraqi attacks on Iranian cities, Iran obtained Scud B SRBMs from Libya and North Korea, ultimately launching approximately 100 TBMs at Iraqi cities over the course of the war.\(^{39}\) This experience shaped Iranian thinking on the role of ballistic missiles, viewing them as part of a multifaceted deterrence strategy.\(^{40}\) Iran “seeks to deter aggression against it by using exaggeration, ambiguity, and obfuscation about its ability to exact a prohibitive cost from potential aggressors, especially the United States,” with ballistic missiles playing a key role.\(^{41}\) Although Iran logically would want to hinder the flow of US forces into the region in the event of conflict and disrupt operations once forces arrived in-theater, analysts assess that its leaders believe that ballistic missile strikes “have psychological effects disproportionate to their destructive power.”\(^{42}\) This leads to an emphasis on deterring Gulf Cooperation Council states from providing access to US forces through the threat of cost imposition rather than denial. Overall, Iran’s defense doctrine concentrates more on countering invasion and occupation than on projecting power. The TBM force is one of the few power-projection capabilities that Iran does possess, but its current role is to threaten and “mete out punishment” (in conjunction with unconventional attacks) rather than militarily deny air operations from an air base.\(^{43}\) When Iran has used violence to influence the region, it has relied upon its considerable irregular capabilities such as the
Quds Force (an elite branch of the Iranian Revolutionary Guard Corps that specializes in providing military assistance to nonstate partners), ties to terrorist actors, and regional allies such as Hezbollah in Lebanon. For example, when Iran was displeased about the US military involvement in the Lebanese civil war in the early 1980s, it relied upon its partner Hezbollah to carry out the 1983 Beirut truck bombing of the US Marine Corps barracks instead of staging a conventional military attack. More recently, Iran provided weapons, training, and financing to Shiite militias in Iraq as a means of curtailing US influence in SWA.\textsuperscript{44}
Another factor that could hurt Iran’s ability to employ TBMs as part of an integrated military strike is its command and control structure. Iran’s ballistic missiles are under the control of the Iranian Revolutionary Guard Corps. The fact that the vast majority of Iran’s aircraft, however, are operated by the Islamic Republic of Iran Air Force could complicate the planning and execution of a coordinated air and TBM attack.\textsuperscript{45}
\textit{Chinese Ballistic Missile Doctrine}
In contrast to Iran, China’s People’s Liberation Army (PLA) has developed a doctrine for employing conventional TBMs as part of integrated military campaigns. The Second Artillery Corps was established in 1958, and until the early 1990s it was primarily concerned with nuclear-armed ballistic missiles.\textsuperscript{46} With the fall of the Soviet Union and the development of precision-guided weapons, however, the Second Artillery added a conventional role that has expanded dramatically over the past two decades.\textsuperscript{47} During this period, the PLA expended a great deal of effort on studying the American way of war and searching for ways to counter it. Chinese military writings identified command, control, communications, computers, intelligence, surveillance, and reconnaissance as well as logistics in general—and forward air bases in particular—as key US vulnerabilities.\textsuperscript{48} PLA writers cite conventional ballistic missiles as especially effective for attacking air bases and discuss hitting them with ballistic and cruise missiles in addition to special operations forces and aircraft armed with precision-guided munitions.\textsuperscript{49} Much of this writing has addressed Taiwanese air bases, but Second Artillery officers have suggested there “would be opportunities to launch missile strikes against the air force of an ‘intervening superpower’ in a Taiwan conflict.”\textsuperscript{50}
These types of attacks likely would come as part of a broader campaign. Two examples of campaigns from PLA doctrine with prominent roles for TBMs are the Joint Anti–Air Raid Campaign and the Joint Firepower Campaign.\textsuperscript{51} The former envisions using attacks on adversary air bases as part of a broad effort including fighters, land- and sea-based surface-to-air missiles, and airborne early warning to prevent air strikes on the Chinese mainland.\textsuperscript{52} The Joint Firepower Campaign envisions integrating precision strikes from air and missile forces to support anti-air-raid operations or other campaigns.
The Second Artillery serves as a critical enabler for many PLA operations. For example, in a Taiwan scenario, it could use its SRBMs to make a massed and simultaneous strike on all Taiwanese air force bases at the outset of the conflict.\textsuperscript{53} The result of such a leading-edge attack could greatly simplify the air superiority mission
of the People’s Liberation Army Air Force (PLAAF) by pinning or destroying a large portion of the Taiwanese air force at the outset of the conflict. The US Air Force could face a similar fate were it to posture itself forward during a crisis, inviting preemption by parking large numbers of highly capable aircraft in the open within TBM and cruise missile range from China.\textsuperscript{54} Conventional ballistic missiles serve as an enabling force for the PLAAF, filling a role similar to that of US Air Force stealth assets that can penetrate enemy air defenses early in a conflict and strike key points to enable follow-on attacks by more conventional aircraft.
\textit{Comparing Iranian and Chinese Doctrine}
Realist international-relations theorists focus on capabilities rather than intentions since the latter are inherently uncertain, difficult to discern, and more quickly changeable than capabilities. On the one hand, in theory a cataclysmic event or sudden shift in threat perception could cause intentions to change overnight. On the other hand, developing, testing, and fielding a new military capability can take years. Concentrating on the capabilities of a potential adversary and ignoring intentions constitute a conservative, risk-averse approach that errs on the side of overestimating vulnerability. Given the stakes involved in potential wars, this approach is prudent. For this reason, this article first considered capabilities.
Addressing capabilities exclusively, however, can ignore the importance of organizational culture. How militaries talk and think about using force shapes their actual employment of capabilities. In the case of Iran and China, a stark contrast exists between how they have talked about the utility of conventional TBMs. Iran discusses them as a psychological deterrent with effects in excess of their physically destructive power while China’s doctrine views them as a war-fighting capability expected to destroy military targets and thus attain objectives as part of an integrated military campaign. Both forces could be seen as deterrents, but the Iranian approach seeks to deter through cost imposition while the Chinese approach seeks to deter through denial. This difference implies that, without a major discontinuity (examined by the worst-case analysis in the following section), one would expect Iran to continue to develop a threat-in-being while China will continue to develop a war-fighting capability.\textsuperscript{55}
\textbf{Potential Basing Locations}
Although the capabilities and inventories of TBMs can change, geography is largely immutable. The geography of SWA makes it more difficult for Iran to plan a TBM campaign against US air bases in SWA than for China to do so in the Western Pacific. SWA offers a host of possible basing locations. A total of 422 airfields with runways longer than 7,500 feet lie within 2,800 km of Iran.\textsuperscript{56} Of these 422 runways, 331 remain outside Shahab 2 SRBM range (i.e., they face no effective military threat). As figure 4 illustrates, SWA offers not only a large number of airfields but also a great diversity in potential partners—in turn increasing the probability that at least one country would provide access to the United States.
This article has demonstrated the limited capability of Iran’s existing missile inventory, but that country could significantly improve its TBM capabilities, either through indigenous development or increased outside assistance. Therefore, it is important to understand how enhanced Iranian TBM capabilities would affect the vulnerability of US air bases and the ranges at which Iran could threaten air operations. To examine this situation, the following discussion first compares the capability of Iran’s current TBM arsenal with the total number of runway and parking aim points on air bases within a given range from Iran.\(^{57}\) Then, given the accuracies and inventories of each class of TBM, it calculates how many salvos could be fired against those aim points. Finally, the examination increases Iran’s TBM arsenal to one comparable to that of China today and conducts the same analysis.
The results for Iran’s current TBM arsenal are shown in figure 5. The light-shaded bars show the potential number of runway and parking-area aim points in a given range bin while the dark-shaded bars represent the fraction of those aim points that can be attacked.\(^{58}\) Outside 500 km, Iran’s current TBM capabilities do not pose a serious military threat because the Shahab 3 lacks the accuracy and inventory to compose even a single salvo against one runway aim point or parking area. Inside
500 km, Iran’s existing capabilities can muster only a small number of salvos. A combination of missile defenses, hardened aircraft shelters, and combat engineering could further degrade the effectiveness of these salvos, enabling the US Air Force to weather them and then operate unimpeded. In short, Iran’s current TBM capabilities represent a manageable threat to air bases within 500 km and effectively no threat to those outside that range.
**Figure 5. Iran’s ability to attack runways and parked aircraft as a function of range (2010).** (From author’s analysis using Iranian TBM capabilities reported in table 1 and airfield locations from the Department of Defense’s Automated Air Facility Information File.)
Iran’s TBM capabilities could expand in many ways. Given that China has the most capable conventional TBM program in the world, equipping Iran with China’s TBM force provides an extreme upper bound on the capabilities that Iran could plausibly possess in the next decade. If Iran had China’s entire 2010 conventional TBM inventory, the threat to air bases would certainly grow but would still remain significantly less than the current missile threat in East Asia. As figure 6 shows, in
this excursion, Iran could fire a salvo at every runway and parking aim point within 600 km of its border. Outside that range, however, the number of aim points increases dramatically while Iran’s ability to attack them decreases because it has significantly fewer missiles able to range longer than 600 km. In short, inside 600 km, air bases would face a heavy threat, but those beyond that range would face a more limited number of potent salvos. If US Air Force aircraft were concentrated at a small number of bases outside 600 km but within 2,500 km, then Iran could mass multiple salvos against those bases. If, however, US forces could disperse across a number of bases outside 600 km and augment the resilience of these bases with active defenses and combat engineering capabilities, then it might still be possible to weather the limited number of salvos of Iran’s expanded TBM arsenal. Although political access is always a contingent decision and difficult to predict, it is noteworthy that 314 airfields with runways of 7,500 feet or longer exist outside the most dangerous 600 km threat zone, representing a wide set of bases to which aircraft could disperse and thus dilute this threat. East Asian geography offers significantly fewer such dispersal air bases. The interaction between geography and TBM capability creates far more potential operating areas in SWA than in East Asia.
**Figure 6.** Iran’s ability to attack runways and parked aircraft as a function of range if it had China’s 2010 TBM inventory. (From author’s analysis using Chinese TBM capabilities reported in table 2 and airfield locations from the Department of Defense’s Automated Air Facility Information File.)
Potential basing options are much more constrained in East Asia, where China’s highly capable TBM force can hold airfields at risk out to roughly 2,000 km.\(^{59}\) As table
3 indicates, one needs only one reliable CSS-5 MRBM to attack a single runway or parking apron aim point with high confidence. That is, China could strike a single large air base (such as Kadena) or multiple small air bases with its estimated 2010 arsenal of 36 CSS-5s. In a Taiwan contingency, US airpower would play an important role.\(^{60}\) Within 2,800 km of the center of the Taiwan Strait lie 112 airfields that have runways longer than 7,500 feet. As depicted in figure 7, only 4 of these 112 airfields are outside CSS-5 MRBM range.\(^{61}\)
**Figure 7. Airfields with 7,500-feet runways within 1,500 nautical miles of the Taiwan Strait.** (TBM ranges from table 2 and airfield locations from the Department of Defense’s Automated Air Facility Information File.)
**Conclusion**
A detailed analysis of the capabilities of Iran’s existing ballistic missile force clearly indicates the size of the gulf between Iran’s threat to US bases in SWA and China’s in East Asia. Iranian claims to be able to “obliterate all . . . (US) bases” in SWA are bluster and bluff.\(^{62}\) It would be prudent to avoid basing unsheltered aircraft within 500 km of Iran in the event of a conflict, but numerous US bases exist outside
the 500 km range, beyond which Iran cannot mount an effective attack to shut down air operations. Consequently, military planners still have numerous options for basing fighters outside the effective TBM threat ring in SWA—an option that they do not have in East Asia. This fact also has implications for US force structure because the basing options in SWA mean that legacy short-range fighters can still contribute a great deal of combat power from comparative sanctuary. If every possible scenario were as contested as the one in East Asia in a US-China contingency, then the ability of short-range land-based fighters to contribute becomes more questionable.
Iran has previously made false claims about its military capabilities, but those concerning the ability of its TBMs to destroy regional air bases are particularly important to counter.\(^{63}\) Pointing out the severe war-fighting limitations of its force undermines some of the coercive benefits that Iran seeks to reap from its investments in TBMs. If American partners believed Iran's bluff, then they could be intimidated into denying US access. Iran can still threaten TBM strikes on major cities as punishment for any country that does so, but it currently lacks a credible capability to deny US air operations. If Iran developed a nuclear warhead and integrated it onto an SRBM or MRBM, then this new capability would hold at risk unsheltered aircraft much further afield and would constitute a more potent punishment threat.\(^{64}\)
Understanding the limited ability of Iran's TBMs to deny US air operations in SWA provides important context for the Department of Defense's investment decisions. Since the majority of SWA basing options exist outside the Iranian TBM threat ring, scarce funds to harden air bases should be allocated first to the Western Pacific, where China's growing TBM force presents a much greater concern.
Recognizing the limits of Iran's TBM force also illustrates a broader point about the variability of A2/AD threats around the world. Numerous studies and American defense policy documents list a host of countries developing A2/AD capabilities that challenge the ability of US military forces to operate.\(^{65}\) Although there are serious concerns about the proliferation of precision to both nation-states and terrorists, significant differences remain between the capabilities that each challenger to American power could bring to bear.\(^{66}\) The proliferation of advanced weaponry has broad consequences—such as increasing the number of scenarios during which the US Navy could expect to confront some form of antiship cruise missiles—but defense analysts should be careful to not overgeneralize. Overly broad definitions of the A2/AD issue can impede diagnosis. For example, without the quantitative analysis presented here, it would be difficult to recognize that the United States has far better prospects for simply operating outside the threat of TBMs in SWA than it does in East Asia.\(^{67}\) Recognizing the regional variation in A2/AD can also counter an exaggerated sense of American decline. Although the United States confronts impediments to its projection of force in East Asia, this article's analysis illustrates that the prospects for safely basing fighters in SWA are much better than in East Asia.
To clearly understand the broader military challenge posed by Iran, American national security planners must recognize that Iranian claims about its TBM force's current ability to deny US air operations are a bluff. Prudence demands that defense analysts continue to closely monitor Iran's ongoing efforts to modernize its TBM force, but neither the American public nor the Iranian leadership should mistake this attention for intimidation.
Notes
1. Secretary of Defense Chuck Hagel, “Reagan National Defense Forum Keynote,” US Department of Defense, 15 November 2014, http://www.defense.gov/Speeches/Speech.aspx?SpeechID=1903.
2. Department of Defense, *Quadrennial Defense Review Report* (Washington, DC: Department of Defense, February 2010), 9, http://www.defense.gov/QDR/QDR%20as%20of%2029JAN10%201600.pdf. The term *antiaccess* emerged in American defense circles in the early 1990s to describe a manner in which weaker adversaries might seek to blunt the advantage of US forces. See Roger Cliff et al., *Entering the Dragon’s Lair: Chinese Antiaccess Strategies and Their Implications for the United States* (Santa Monica, CA: RAND Corporation, 2007), 3–6, http://www.rand.org/content/dam/rand/pubs/monographs/2007/RAND_MG524.pdf. By 2001 the broader category of antiaccess/area-denial (A2/AD) capabilities had gained currency within the Department of Defense. See Department of Defense, *Quadrennial Defense Review Report* (Washington, DC: Department of Defense, 30 September 2001), 30–32, 43–44, http://www.defense.gov/pubs/qdr2001.pdf. The A2/AD concept helped to focus research into potential future challenges for US forces. See, for example, Christopher J. Bowie, *The Anti-access Threat and Theater Air Bases* (Washington, DC: Center for Strategic and Budgetary Assessments, 2002); Andrew Krepinevich, Barry Watts, and Robert Work, *Meeting the Anti-access and Area-Denial Challenge* (Washington, DC: Center for Strategic and Budgetary Assessments, 2003). See also Air-Sea Battle Office, *Air-Sea Battle: Service Collaboration to Address Anti-access and Area Denial Challenges* (Washington, DC: Air-Sea Battle Office, May 2013), 2, http://www.defense.gov/pubs/ASB-Concept-Implementation-Summary-May-2013.pdf.
3. Air-Sea Battle Office, *Air-Sea Battle: Service Collaboration*, 2.
4. Department of Defense, *Joint Operational Access Concept*, version 1.0 (Washington, DC: Department of Defense, 17 January 2012), 9–10, http://www.defense.gov/pubs/pdfs/JOAC_Jan%202012_Signed.pdf; Department of Defense, *Quadrennial Defense Review Report* (2010), 31–32; and Air-Sea Battle Office, *Air-Sea Battle: Service Collaboration*, 2.
5. See, for example, Department of Defense, *Quadrennial Defense Review Report* (2010), 31; Andrew F. Krepinevich, *Why AirSea Battle?* (Washington, DC: Center for Strategic and Budgetary Assessments, February 2010); Nathan Freier, “The Emerging Anti-access/Area-Denial Challenge,” Center for Strategic and International Studies, 17 May 2012, http://csis.org/publication/emerging-antiaccess-area-denial-challenge; and John A. Tirpak, “Fighting for Access,” *Air Force Magazine* 96, no. 7 (July 2013): 22–27. For a rare discussion that cited only Iran and not China, see Adm Jonathan W. Greenert and Gen Norton A. Schwartz, “Air-Sea Battle: Promoting Stability in an Era of Uncertainty,” *American Interest*, 20 February 2012, http://www.the-american-interest.com/2012/02/20/air-sea-battle/.
6. A similar comparative methodology could be used to assess the cross-theater variation in other A2/AD threats, including surface-to-air missile capabilities, submarines, and mining capabilities.
7. Of course, this conclusion depends upon the open-source assessments used to evaluate the capabilities of Iranian missiles.
8. This conclusion follows directly from the limited accuracy, payloads, and ranges of Iran’s missiles and does not factor in any American active missile defenses such as Terminal High Altitude Area Defense (THAAD) batteries, Patriot batteries, or sea-based SM-3 interceptors. Given that the United States and its partners possess these capabilities, it implies that air operations in the face of Iranian missile attack would be even *more* feasible than the analysis presented here would imply. Regarding US partners bolstering missile defenses, see David E. Sanger and Eric Schmitt, “U.S. Speeding Up Missile Defenses in Persian Gulf,” *New York Times*, 30 January 2010, http://www.nytimes.com/2010/01/31/world/middleeast/31missile.html.
9. This analysis does not explore the potential coercive effect that Iran’s threatened or actual attacks on Gulf Cooperation Council members or Israeli cities would have on whether regional states decide to grant the United States access to air bases.
10. Some investments that improve air base resilience, such as rapid runway repair kits, could be deployed to different regions. Others, such as permanent hardened aircraft shelters, are tied to specific locations.
11. “DoD News Briefing with Secretary Gates and Gen. Cartwright from the Pentagon,” US Department of Defense, 17 September 2009, http://www.defense.gov/transcripts/transcript.aspx?transcriptid=4479.
12. Media coverage of tensions in SWA frequently cite the Iranian ballistic missile threat. See, for example, “Iran Missiles Can Hit All US Bases in Region: Cmdr,” Press TV, 4 July 2012, http://www.presstv.ir/detail/2012/07/04/249305/iran-missiles-can-easily-hit-us-bases/; Oren Dorell, “Experts Say Iran’s Missile Arsenal Poses Threat to U.S.,” USA Today, 25 September 2012, 8; and Anthony Capaccio, “Iran’s Ballistic Missiles Improving, Pentagon Finds,” Bloomberg, 10 July 2012, http://www.bloomberg.com/news/2012-07-10/iran-improves-ballistics-missiles-to-target-ships.html.
13. Department of Defense, *Quadrennial Defense Review Report* (2010), 31.
14. In its 2012 report to Congress on Iranian military power, the Department of Defense assessed that “Iran has boosted the lethality and effectiveness of existing [ballistic missile] systems” and concluded that “short-range ballistic missiles provide Tehran with an effective mobile capability to strike partner forces in the region.” Department of Defense, “Annual Report on Military Power of Iran” (Washington, DC: Department of Defense, April 2012), 1, 4, https://fas.org/man/eprint/dod-iran.pdf.
15. See Alan Vick, “Challenges to the American Way of War” (presentation at Global Warfare Symposium, Los Angeles, CA, 17 November 2011).
16. For example, in July 2012, Iran conducted a military drill that included ballistic missile strikes on a mock air base target. The commander of its Islamic Revolution Guards Corps Aerospace Force detailed contingency plans for Iran to strike US bases in the opening minutes of a conflict, going so far as to claim that Iran could “obliterate” all US bases in SWA. See “Iran Missiles Can Hit”; and Jeremy Binnie, “Iran Demonstrates Accuracy of Ballistic Missiles,” *Jane’s Defense Weekly*, 4 July 2012.
17. Qualitative discussions of the Iranian TBM threat to air bases generally conclude that although Iranian missiles cannot hit point targets due to their poor accuracies, they do threaten soft targets such as unsheltered aircraft and area targets. See, for example, William D. O’Malley, *Evaluating Possible Airfield Deployment Options: Middle East Contingencies* (Santa Monica, CA: RAND Corporation, 2001), 27–29; Jeffrey White, “What Would War with Iran Look Like?,” *American Interest*, July/August 2011, http://www.the-american-interest.com/article-bd.cfm?piece=982; Anthony H. Cordesman and Alexander Wilner, “Iran and the Gulf Military Balance—II: The Missile and Nuclear Dimensions,” working draft (Washington, DC: Center for Strategic and International Studies working draft, 16 July 2012); Krepinevich, *Why AirSea Battle?*, 34; and Mark Gunzinger with Chris Dougherty, *Outside-In: Operating from Range to Defeat Iran’s Anti-access and Area Denial Threats* (Washington, DC: Center for Strategic and Budgetary Assessments, 2011), 38. There have been few operational tests of the claim that US bases are vulnerable to Iranian TBM attack, the major exception being an International Institute for Strategic Studies (IISS) net assessment which concluded that Iran’s TBMs would probably not be capable of shutting down critical military activities at large military targets like airfields and seaports. See IISS, *Iran’s Ballistic Missile Capabilities: A Net Assessment* (London: IISS, 10 May 2010), 139. However, even this highly technical analysis did not explicitly calculate how much damage Iran could do to key elements of an air base (such as runways and parking ramps) at varying distances from Iran. Furthermore, quantitative studies have focused on the TBM threat to energy infrastructure. See, for example, Joshua R. Itzkowitz Shiffrinson and Miranda Priebe, “A Crude Threat: The Limits of an Iranian Missile Campaign against Saudi Arabian Oil,” *International Security* 36, no. 1 (Summer 2011): 167–201. Moreover, some analyses have narrowly examined the threat that generic TBMs could pose to unsheltered aircraft. See John Stillion and David T. Orletsky, *Airbase Vulnerability to Conventional Cruise-Missile and Ballistic-Missile Attacks: Technology, Scenarios, and U.S. Air Force Responses* (Santa Monica, CA: RAND Corporation, 1999).
18. A common measure of accuracy is circle error probable (CEP). A weapon’s CEP describes a radius within which a weapon lands 50 percent of the time. For example, on average, a missile with a CEP of 100 m will land within 100 m of its aim point 50 percent of the time. Iran’s Scuds have CEPs in the hundreds of meters. See Jane’s Defense International, “Shahab 1 (R-17 (SS-1C ‘Scud B’) Variant),” *Jane’s Strategic Weapons Systems*, 11 December 2013.
19. Standard nomenclature categorizes missiles with a range of less than 1,000 km as SRBMs, 1,000–3,000 km as MRBMs, 3,000–5,500 km as IRBMs, and in excess of 5,500 km as ICBMs.
20. The Shahab design shares essential characteristics with the North Korean No Dong and the Pakistani Ghauri. See Jane’s Defense International, “Hatt 5 (Ghauri),” *Jane’s Strategic Weapons Systems*, 24 August 2011; and Jane’s Defense International, “Shahab 3/4 (Ghadr-1),” *Jane’s Strategic Weapons Systems*, 12 February 2012.
21. See note 18 for an explanation of CEP.
22. Scud/Shahab designs use kerosene as a propellant and inhibited red fuming nitric acid (IRFNA) as an oxidizer, but the BM-25 reportedly uses unsymmetrical dimethalhydrazine (UDMH) as a propellant and hydrogen oxide (H$_2$O$_4$) as an oxidizer. Although hydrazine is more energetic than kerosene (a fuel tank full of UDMH can propel a missile further than one full of kerosene), it is extremely toxic and requires extensive safety precautions during fueling. For this reason, it has been used for applications (such as space launch) where launch sites are fixed and timelines can accommodate appropriate safety precautions or in cases in which the missile can be fueled and then stored (e.g., in a sealed launch tube on a submarine). For more on the strengths and weaknesses of various rocket propellants, see John Clark, *Ignition! An Informal History of Liquid Rocket Propellants* (New Brunswick, NJ: Rutgers University Press, 1972). Ballistic missile analysts actively debate whether the BM-25 is an actual missile or some form of deception. See Markus Schiller, *Characterizing the North Korean Nuclear Missile Threat* (Santa Monica, CA: RAND Corporation, 2012).
23. For forecasts of increased accuracy for Iran’s TBMs, see Frederic Wehrey et al., *Dangerous but Not Omnipotent: Exploring the Reach and Limitations of Iranian Power in the Middle East* (Santa Monica, CA: RAND Corporation, 2009), 66; Krepinevich, *Why AirSea Battle?*, 35; and Gunzinger and Dougherty, *Outside-In*, 94.
24. Another conventional variant, the DF-21D, has an antiship mission. See Andrew S. Erickson and David D. Yang, “Using the Land to Control the Sea? Chinese Analysts Consider the Antiship Ballistic Missile,” *Naval War College Review* 62, no. 4 (Autumn 2009): 53–86.
25. Department of Defense, *Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China, 2010* (Washington, DC: Department of Defense, 2010), 44, http://www.defense.gov/pubs/pdfs/2010_CMPR_Final.pdf.
26. China does currently possess the nuclear-armed, liquid fueled DF-3/CSS-2 IRBM. See Jane’s Defense International, “DF-3 (CSS-2),” *Jane’s Strategic Weapons Systems*, 26 June 2009. Regarding planned IRBMs, see Doug Richardson, “China Plans 4,000 km-Range Conventional Ballistic Missile,” *Jane’s Missiles & Rockets*, 1 March 2011.
27. Office of the Secretary of Defense, *Annual Report to Congress: Military Power of the People’s Republic of China, 2009* (Washington, DC: Office of the Secretary of Defense, 2009), http://www.defense.gov/pubs/pdfs/China_Military_Power_Report_2009.pdf; and Department of Defense, *Annual Report to Congress* (see note 25).
28. These calculations assume perfect missile reliability, no target location error, and equal variance in x and y error. In short, only the missile’s inaccuracy would cause it to miss the target. These assumptions are biased in Iran’s favor. The single-shot probability of hit (SSPh) is calculated using a standard formula: SSPh = 1 - 0.5^((R^2/CEP^2)) where R is the radius of the target and CEP is the missile accuracy. Cumulative probability Ph = 1-(1-SSPh)^N where N is the number of missiles fired. See J. S. Przemieniecki, *Mathematical Methods in Defense Analyses* (Reston, VA: American Institute of Aeronautics and Astronautics, 2000), 38.
29. If the Iranians were to adopt a concept of operations (CONOPS) for air base attack similar to that of the PLA, they might focus on first damaging runways to prevent aircraft from taking off and then stage a follow-on attack to destroy the aircraft that have been pinned at the base. For details on Chinese air base attack CONOPS, see Cliff et al., *Entering the Dragon’s Lair*, 81.
30. The precise MOS for an aircraft depends upon a host of factors, including its munitions and fuel loads, the weather, and the altitude of the air base. See Air Force Pamphlet 10-219, vol. 4, *Rapid Runway Repair Operations*, 28 May 2008, http://static.e-publishing.af.mil/production/1/af_a4_7/publication/afpam10-219v4/afpam10-219v4.pdf.
31. This is based upon the US Air Force’s BLU-67 antirunway bomb, a 4.5 kilogram (kg) penetrating submunition carrying 2.75 kg of high explosives. See Jane’s Defense International, “Penetrating and Area Denial Bombs,” *Jane’s Air-Launched Weapons*, 18 March 2005.
32. This analysis assumes only a single runway at the airfield—one that it is short enough (say, 7,000 feet) that if a single section is damaged in its center (i.e., 3,500 feet from each end of the runway), then there will be no 5,000-feet-long fighter MOS left. In other words, the attacker has only a single aim point. Later we discuss the case involving multiple runway aim points at a base.
33. In fact, the challenge is even greater because the cumulative probability of all four attacks succeeding is 0.75^4 = 0.32. In order for the probability of shutting down all of the MOSs on Al Dhafra to be 75 percent, the salvo fired at each of the four cut points would have to have an individual probability
of success of 0.93. This would require firing a salvo of 25 Shahab 1s at each cut point, for a total raid size of 100 TBMs.
34. To have more than a 75 percent chance of successfully damaging a runway aim point, Iran must fire 13 Shahab 1 SRBMs at once. If it wished to attack two runway aim points simultaneously, then it would have to launch 26 Shahab 1s simultaneously, requiring 26 launchers. Since it has only 12–18 launchers, it could not attack two runway aim points simultaneously.
35. See Stillion and Orletsky, *Airbase Vulnerability*.
36. This assumes that 75 percent of missile payload is given to submunitions, that each submunition weighs 1 pound, and that they are spaced so that every fighter-sized aircraft, on average, will be within 15 feet of 3 submunitions. For a nominal missile payload of 1,760 pounds (800 kg), this means that the TBM will carry 1,320 1-pound submunitions. If we wish to space these submunitions so that every point inside the submunition dispersal pattern is no more than 15 feet away from a submunition, then we can calculate the TBM’s submunition dispersal radius with the following formula: $Rd = R^*((3*(3^{0.5})*N)/(2*pi))^{0.5}$ where $Rd$ is the TBM’s submunition dispersal radius, $R$ is the maximum distance between two submunitions, and $N$ is the number of submunitions. In this case, $Rd$ is about 495 feet—that is, each arriving TBM covers 771,629 square feet with submunitions. Paul Dreyer derived this equation at RAND in 2010.
37. Even firing Iran’s entire ballistic missile arsenal at regional cities would probably create less than a few hundred casualties. See IISS, *Iran’s Ballistic Missile Capabilities*, 133.
38. Operating procedures and terrain play a large role in the actual difficulty of finding a mobile erector launcher or transporter erector launcher once it is in the field.
39. Anthony Cordesman and Abraham Wagner, *The Lessons of Modern War*, vol. 2, *The Iran-Iraq War* (London: Mansell Publishing, 1990) 499–502.
40. Wehrey et al., *Dangerous but Not Omnipotent*, 65.
41. Ibid., 41.
42. See ibid., 51. Some Gulf Cooperation Council officials have expressed concern over the threat that ballistic missiles pose to their economies and stability. See ibid., 147–48.
43. Ibid., 70.
44. Lionel Beehner and Greg Bruno, “Iran’s Involvement in Iraq,” Council on Foreign Relations, 3 March 2008, http://www.cfr.org/iran/irans-involvement-iraq/p12521.
45. Fariborz Haghshenass, “Iran’s Air Forces: Struggling to Maintain Readiness,” policy no. 1066, Washington Institute, 22 December 2005, http://www.washingtoninstitute.org/policy-analysis/view/irans-air-forces-struggling-to-maintain-readiness.
46. Kenneth Allen and Maryanne Kivlehan-Wise, “Implementing PLA Second Artillery Doctrinal Reforms,” in *China’s Revolution in Doctrinal Affairs: Emerging Trends in the Operational Art of the Chinese People’s Liberation Army*, ed. James Mulvenon and David Finkelstein (Alexandria, VA: CNA Corporation, 2005), 159–200.
47. Michael Chase, Andrew Erickson, and Christopher Yeaw, “Chinese Theater and Strategic Missile Force Modernization and Its Implications for the United States,” *Journal of Strategic Studies* 32, no. 1 (February 2009): 67–144.
48. Thomas Mahnken, “China’s Anti-access Strategy in Historical and Theoretical Perspective,” *Journal of Strategic Studies* 34, no. 3 (June 2011): 299–323.
49. Cliff et al., *Entering the Dragon’s Lair*, 62–64.
50. Ibid., 64.
51. Cortez A. Cooper, *Testimony: Joint Anti-access Operations; China’s ‘Systems-of-Systems’ Approach* (Santa Monica, CA: RAND Corporation, 2011), http://www.rand.org/content/dam/rand/pubs/testimonies/2011/RAND_CT356.pdf.
52. Michael Chase and Andrew Erickson, “The Conventional Missile Capabilities of China’s Second Artillery Force: Cornerstone of Deterrence and Warfighting,” *Asian Security* 8, no. 2 (July 2012): 120, 122.
53. David A. Shalapk et al., *A Question of Balance: Political Context and Military Aspects of the China-Taiwan Dispute* (Santa Monica, CA: RAND Corporation, 2009), http://www.rand.org/content/dam/rand/pubs/monographs/2009/RAND_MG888.pdf.
54. Credit for this point goes to my colleague Alan Vick who generously shared his insight on crisis stability in this context.
55. Iranians’ public statements that they plan to attack US air bases do not necessarily invalidate this perspective. A plausible Iranian strategy would be to bluff regarding the capabilities of their missiles in the hopes that doing so might deter the United States from resorting to force or might deter regional states from providing access to the United States for fear of becoming a target.
56. The figure 2,800 km represents a nominal outer boundary at which single-seat fighters could conduct operations. Supported by aerial refueling, fighters can operate at significant distances. Daily flight-duty limits for single-seat aircraft are 12 hours, which include preflight time. Assuming two hours of preflight, a block speed of 500 knots, and 4 hours on station leads to a total time of 12 hours at a radius of 1,500 nautical miles or about 2,800 km. The length of an airfield’s runway is only one factor in determining its suitability. Many other factors affect the usefulness of an airfield for military operations, including fuel storage, munitions storage, parking area, and runway strength. The United States also possesses expeditionary capabilities that enable it to rapidly expand the infrastructure of an airfield to enable operations from it. To simplify this illustration, however, this article uses runway length as a filter to estimate the number of useful airfields.
57. Calculation of the number of runway aim points is based upon a simple formula: $Ap = \text{Rounddown}(RW/5,000)$ where $Ap$ is number of aim points per runway, $RW$ is the length of the runway in feet, and 5,000 is the length of a nominal fighter MOS in feet. Because of the difficulty of getting high-resolution parking-area data for all of these airfields, we assume that each airfield has only two parking-apron aim points. This underestimate is very conservative because many airfields in the region would require more than two submunition-armed TBMs to cover all of their aircraft parking areas.
58. Of course, it is implausible that the US Air Force would be based at all of the air bases within a given range bin, but it is also implausible that Iran would fire only a single salvo at an air base. For example, runways must be reattacked because combat engineers can repair damaged sections of runway to reopen an MOS.
59. Department of Defense, *Annual Report to Congress*, 32 (see note 25).
60. Shlapak et al., *Question of Balance*.
61. All of these bases in East Asia are within range of Chinese air-launched cruise missiles delivered by medium-range H-6 bombers. See Office of the Secretary of Defense, *Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China* (Washington, DC: Office of the Secretary of Defense, 2013), 81.
62. “Iran Missiles Can Hit.”
63. For example, Iran unveiled a purported stealth fighter in early 2013 that was widely debunked as a fake. See, for example, Jeremy Binnie, “Iran Unveils ‘Stealth Fighter,’” *Jane’s Defense Weekly*, 4 February 2013. It is also important to temper concerns voiced by American defense analysts regarding the potential threat to air bases from Iranian TBMs.
64. If Iran developed a nuclear warhead and integrated it onto an SRBM or MRBM, then this new capability would threaten unsheltered aircraft much further afield, representing a more credible punishment threat. Nuclear-armed ballistic missiles would be less dependent upon precision to destroy their targets, but Iranian leaders would likely have a higher threshold for their use; consequently, threats to use them in minor crises would be less credible.
65. Examples include the 2010 *Quadrennial Defense Review Report*, which cites China, North Korea, Iran, and Hezbollah as A2/AD challenges (pages 31–32); the 2012 Defense Strategic Guidance, which states that China and Iran “will continue to pursue asymmetric means to counter [American] power projection capabilities” (Department of Defense, *Sustaining U.S. Global Leadership: Priorities for 21st Century Defense* [Washington, DC: Department of Defense, January 2012], 4); and a 2012 article coauthored by the chief of naval operations and the Air Force chief of staff that cites China, Iran, and Hezbollah as A2/AD challenges (Greenert and Schwartz, “Air-Sea Battle”).
66. Randy Huiss, *Proliferation of Precision Strike: Issues for Congress*, CRS Report R42539 (Washington, DC: Congressional Research Service, 14 May 2102), http://fas.org/sgp/crs/nuke/R42539.pdf; and James Bonomo et al., *Stealing the Sword: Limiting Terrorist Use of Advanced Conventional Weapons* (Santa Monica, CA: RAND Corporation, 2007).
67. For example, a recent study of the Iranian A2/AD issue concluded that in the future, US forces would need to be able to “fight from extended ranges.” Gunzinger and Dougherty, *Outside-In*, 94. As this article has shown, however, air bases more than 500 km away from Iran currently enjoy effective
sanctuary from Iranian TBM attack. Therefore, many basing options exist, and although they are further away than some other locations, they remain well within the effective combat radius of US fighters.
Jacob L. Heim
Mr. Heim (BA, Amherst College; MA, School of Advanced International Studies, Johns Hopkins University) is an associate policy analyst at the RAND Corporation. He has conducted strategic assessments and defense analyses for a range of sponsors, including Pacific Air Forces, Headquarters US Air Force, and the Office of the Under Secretary of Defense for Policy. His research interests include the military balance in the Western Pacific, US Air Force overseas force posture, war gaming, and the challenge posed by antiaccess/area-denial capabilities. He previously served as a senior operations research analyst with the MITRE Corporation.
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This study considers the problem of nuclear deterrence and crisis stability in a multipolar nuclear world with special attention to policy options for prompt attack for the United States and Russia. Russian experts in national security recognize, as do Americans, that a Cold War framework no longer suffices either to define or explain their nuclear relationship. Neither Moscow nor Washington officially fears a nuclear surprise attack despite the determination of both states to maintain their nuclear arsenals as uniquely capable for purposes of military deterrence and dissuasion, as well as for the political spillovers symbolic of great-power status. Notwithstanding President Barack Obama’s call for nuclear abolition in his Prague speech of 2009, neither Russia nor other nuclear weapons states appear ready for drastic reductions in their nuclear forces.\(^1\)
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In addition, interest in nuclear weapons appears to be growing in the Middle East, South Asia, and East Asia, along with the increased possibility of a nuclear crisis in those regions. For these and other reasons, the Eurocentric deterrence regime and paradigm that characterized the definition of nuclear threats during the Cold War have been superseded by a twenty-first-century matrix of widely distributed regional threats in which nuclear arsenals are commingled with nationalism and other potentially virulent strains of political destabilization. This shifting international context also affects our understanding of prompt nuclear attack, previously conceptualized in a bipolar context. Now things have changed—and might change even more.
From the preceding perspective, this study revisits the problem of prompt or fast attack with respect to nuclear deterrence and crisis stability.\(^2\) Prompt attack includes both preemptive and preventive attacks although the emphasis here is on preemption. The primary story line about prompt nuclear attack is enlarged by considering whether and how a multipolar nuclear decision system might differ from the bipolar nuclear system of the Cold War. Prior success stories in nuclear nonproliferation may have increased complacency among strategists and policymakers about the nuclear challenges that lie ahead from all political azimuths.
**Prompt Attack**
Prompt military attacks are essentially defensive strategies carried out by offensive means. Motivations for prompt attacks can be diverse, and the following list is not exhaustive: (1) the actor’s expectation that an enemy attack is inevitable although not necessarily imminent, (2) the actor’s expectation that an enemy attack is both inevitable and imminent, (3) the actor’s estimate that a “window of opportunity” exists during which a defender may be caught unawares and thereby disarmed or militarily disadvantaged to great effect, (4) the actor’s military predilection and operational codes are such that military-strategic surprise commends itself as a strategy au courant for the nation’s high command or its political leadership, and (5) the actor’s expectation that offensive military technology is superior to defensive technology, especially if employed to great effect during the initial period of war.\(^3\)
Prompt attacks include both preemption and preventive war. Richard Betts notes that the difference between preemptive and preventive attack “has often been confused, even by professional strategists.”\(^4\) The distinction made commonly by theorists is that *preemptive* attacks are undertaken within a time-urgent context, such that an opponent’s attack has already been set in motion or is imminent. On the other hand, a *preventive* war is an attack launched to forestall the growing power or future capability of an enemy who might plausibly attack if given the opportunity. In short, as a recent RAND study observes, the utility of preemption “is based on the benefits of being the attacker instead of the defender” whereas preventive war “is motivated by the desire to fight sooner rather than later.”\(^5\) Furthermore, there are both political and military trade-offs between preemption and preventive attack. As Betts explains, “Politically, it is much easier to rationalize
preemption than preventive action. Militarily, however, preemptive attack forfeits some of the benefit of surprise that can be kept by a preventive strike.\textsuperscript{6}
Instead of a hard-and-fast line between preemption and preventive war, we might prefer to think of a sliding scale or continuum. Some kinds of preemption shade over into some kinds of prevention. The George W. Bush administration described Operation Iraqi Freedom as a preemptive war although some theorists would have classified it as a preventive one. The Bush perspective derived from the administration’s tendency to see the “enemy” not only as Saddam Hussein and his regime but also as a potential network of rogue states supporting terrorists. Striking at Saddam was thus a preventive regime change in order to obviate a future need for preemptive or retaliatory attacks against state-sponsored terrorists equipped with weapons of mass destruction (WMD). Although Iraq turned out not to have nuclear or other WMDs, future preventive strikes against states with those weapons and thought to support terrorists might be justified by governments as preventive attacks on regimes that also serve as preemption against terrorists supported by those regimes.\textsuperscript{7}
With regard to nuclear weapons during and after the Cold War, most theorists and policy makers have regarded preventive war as morally unacceptable and politically provocative. On the other hand, the United States and other nuclear powers have felt it necessary and legitimate to include preemption among their options available for credible deterrence and crisis management.\textsuperscript{8} US declaratory policy since the administration of President John F. Kennedy has required the capability to ride out any nuclear first strike and retaliate, inflicting at a minimum “unacceptable” damage against the society of the attacker.\textsuperscript{9} In practice, the US arsenal of the present can certainly accomplish more than this minimal objective against any conceivable attacker. Even with respect to post-Soviet Russia, not to say lesser nuclear powers, the United States can strike back with sufficient retaliatory power to destroy numerous military and political targets in addition to economic and social ones. As Desmond Ball has commented,
American nuclear war plans have always included a wide range of types of targets—military forces, stockpiles, bases, and installations; economic and industrial centers; political and administrative centers; and, after 1950, the Soviet nuclear forces. Despite the frequent and sometimes quite radical changes in avowed U.S. strategic policies and targeting doctrines over the past three decades, these four general target types or categories have remained remarkably resilient in strategic nuclear war plans.\textsuperscript{10}
This second-strike capability defines the baseline for US deterrence capability, but it is not the only option of which US forces are capable. Striking immediately after having detected launch of an enemy attack in progress is also an option for the United States, for Russia, and for future nuclear states with sufficient launch detection, threat identification, and response capabilities (especially the necessary command, control, communications, computers, and intelligence). Of course, deciding on preemption can be a mistake if warning and assessment are faulty. Both the United States and Soviet Union carefully studied the problem of a mistaken warning of nuclear attack during the Cold War. Each built redundant warning systems as well as checks and balances into the decision-making process for nuclear release and launch authorization. Each sought to avoid the risk of unsanctioned or accidental launch or of being caught flat-footed by a genuine attack. Large and redundant arsenals
of weapons and delivery systems also helped reassure leaders against strategic nuclear surprise.\textsuperscript{11}
The option of nuclear preemption has been characterized as shooting first as a last resort. During the Cuban missile crisis, US leaders worried whether an invasion of Cuba or air strikes against Soviet medium- and intermediate-range missiles located in Cuba would result in Soviet escalation to large-scale conventional or nuclear war. In turn, President Kennedy announced publicly that the United States would regard \textit{any} nuclear attack from Cuba on the United States or \textit{elsewhere in the Western Hemisphere} as tantamount to a Soviet attack on the United States, guaranteeing a full retaliatory response against the Soviet Union.
Kennedy’s statement was a message to Moscow not only about US deterrence of any Soviet attack but also about the Soviet Union’s responsibility to prevent any unsanctioned or accidental launch of Soviet weapons from Cuban soil. The president’s concern was not misplaced. As we now know, Cuban president Fidel Castro assumed the United States had already made a decision to invade Cuba and urged Soviet premier Nikita Khrushchev to take the nuclear initiative. As Khrushchev recounts in his memoirs,
Castro suggested that in order to prevent our nuclear missiles from being destroyed, we should launch a preemptive strike against the United States. He concluded that an attack was unavoidable and that this attack had to be preempted. In other words, we needed to immediately deliver a nuclear missile strike against the United States. When we read this I, and all the others, looked at each other, and it became clear to us that Fidel totally failed to understand our purpose.\textsuperscript{12}
\section*{Nuclear Preemption}
\textbf{The Past: Lessons and Illustrations}
The world has never witnessed a two-sided nuclear conflict, but the Cold War was marked by nuclear competition between the Americans and Soviets that taught hard lessons. Among them was the fact that leaders could not avoid an outbreak of nuclear war simply by amassing larger numbers of weapons. The composition of nuclear forces and the performance attributes of various long-range delivery systems (missiles and bombers) figured into operational and political aspects of deterrence. Then, too, military doctrines for the prevention or deterrence of war—and their relationship to assumptions about nuclear war fighting if deterrence failed—played into the likelihood for crisis and arms-race stability between the Americans and the Soviets.\textsuperscript{13}
Nuclear weapons technology enforced some limited doctrinal convergence and behavioral similarity with respect to nuclear strategy despite the very different ways in which Soviet and American leaders perceived the world. Soviet leaders foresaw the inevitable triumph of global communism under their leadership, with a moveable deadline shifting along with the military balance or the “correlation of forces” that included military and other variables.\textsuperscript{14} US leaders organized their global strategizing around the grand strategy of containment of the Soviet Union within its existing sphere of influence. These antagonistic and competitive worldviews
coexisted within a technology environment that favored offensive nuclear-delivery systems over defensive antimissile or air defense systems.
Paradoxically, the predominance of offensive over defensive technology during the Cold War did not lead to more surprise attacks, as it might have prior to nuclear weapons, but to a protracted military stalemate. The inability of either the Soviet Union or the United States to write a plan for a credible first-strike capability (denying to the defender his second-strike capability) made preemption or preventive war seem unappealing. This perception remained true even during periods of US nuclear monopoly or clear superiority in numbers of weapons and delivery systems. With regard to preemption, the Cuban missile crisis provided a tutorial for leaders about the dangers of a competition in risk taking that could lead to a mistaken decision for nuclear first strike due to fears based on misperception. As the expressive Premier Khrushchev ruminated in his secret letter to President Kennedy on Friday, 26 October,
If you have not lost your self-control and sensibly conceive what this might lead to, then, Mr. President, you and I ought not now to pull on the ends of the rope in which you have tied the knot of war, because the more the two of us pull, the tighter the knot will be tied. And a moment may come when that knot will be tied so tight that even he who tied it will not have the strength to untie it, and what that would mean is not for me to explain to you, because you yourself understand perfectly of what terrible forces our countries dispose.\(^{15}\)
Some Soviet military writings during the Cold War argued that the Soviet Union and international socialism would attain military victory even in a global nuclear war. Some of this amounted to posturing for effect in domestic political debates between military hawks and doves. Moreover, some of this hubris about victory in a nuclear war was Marxist-Leninist philosophy about the inevitable defeat of capitalism superseding common sense and science. Nevertheless, the Soviets’ actions in force building and command and control (C2) revealed their awareness of the realities of the nuclear age and of the actual military balance or the larger “correlation of forces” between the United States and the Soviet Union.
It was left to Ronald Reagan and Mikhail Gorbachev to make official what nuclear-weapons scientists and knowledgeable military planners had understood for several decades: a nuclear war cannot be won and should never be fought. To some extent, this declaration was gratuitous, given the scientific knowledge available for a long time about the effects of nuclear weapons.\(^{16}\) Although Reagan endorsed a broad research program for missile defenses (the Strategic Defense Initiative [SDI]), he did so not for the reasons that the Soviets feared. Reagan sought not nuclear superiority over the USSR but a technology to supersede the mutual vulnerability of deterrence. Contemporary technology was inadequate to the task, but the debate over SDI helped convince Gorbachev of the futility of matching or exceeding US defense capabilities.
Although the construct or policy option of a preventive nuclear war became institutionally unthinkable in Washington and Moscow, the possibility of inadvertent nuclear war or escalation to nuclear from conventional war was very real during the Cold War. This legacy has carried forward into the post–Cold War and twenty-first-century world. The term *inadvertent* means something other than *accidental* war, such as the possibility of a test misfire or other technology failure that leads to war. Inadvertent nuclear war is the result of an unforeseen combination of human
and technical factors, pulling both sides in a nuclear crisis over the brink despite their shared interest in avoiding war.
The likelihood of inadvertent nuclear war between two states is based on their political intentions, military capabilities, approaches to crisis management, the personalities of leaders, standard operating procedures for the management of nuclear forces during peacetime and in crisis, and other variables.\(^{17}\) A decision for nuclear preemption is so irrevocable that leaders will want as much intelligence as possible relative to the plans and actions of their opponent. Unfortunately, credible intelligence regarding the opponent’s political thinking and military planning may be hard to come by under the exigent pressures of crisis. Therefore, states may infer the other side’s intentions from the disposition of its forces; the behavior of its command, control, communications, and intelligence systems; or guesswork based on past experience.
For example, during Able Archer 83, a North Atlantic Treaty Organization (NATO) command and communications exercise that tested procedures for the release of alliance nuclear weapons in November 1983, an apparent mind-set among some Soviet intelligence officials led them to conclude (temporarily) that the exercise might be the “real thing”—an actual set of preparatory moves for NATO nuclear release and a possible first strike against Soviet forces and installations in Europe.\(^{18}\) The pessimistic interpretations of Able Archer were not universally shared among Soviet intelligence officers, but some of the alarmism arose from Soviet military doctrine that foresaw the conversion of an exercise simulating an attack into one as a possible path to war.\(^{19}\)
Another example of the difficulty of reading the other side’s intentions during an exigency occurred during the Cuban missile crisis of 1962. A second letter from Khrushchev to Kennedy on 27 October, more demanding in its terms for settlement compared to an earlier letter the previous day, caused some deliberators in the Executive Committee of the National Security Council to wonder whether Khrushchev had been overruled by a hostile faction of the Soviet Presidium. Robert Kennedy noted that “the change in the language and tenor of the letters from Khrushchev indicated confusion within the Soviet Union, but there was confusion among us as well.”\(^{20}\) Fortunately, in both the NATO Able Archer exercise and the Cuban crisis, the most pessimistic assumptions proved incorrect before leaders could act on them.
A post–Cold War example of a scenario for inadvertent nuclear war occurred in January 1995 during the launch of a Norwegian scientific rocket for the purpose of studying the aurora borealis. The initial phase of the rocket’s trajectory resembled that of a ballistic missile launched from a nuclear submarine and possibly headed for Russian territory. Russian early warning systems detected the launch and passed the information to military headquarters. Russian president Boris Yeltsin, the defense minister, and the chief of the Russian general staff were connected via their emergency communication network. For the first time, the Russian president opened his secure briefcase or “football” with nuclear codes for launch authorization. The crisis passed when the rocket trajectory eventually veered away from any possible threat to Russia. The operational misinterpretation of the Norwegian rocket launch was made possible by an earlier bureaucratic mistake. Norwegian officials had notified the Russian foreign ministry well in advance of the launch date that
the rocket test was scheduled and had identified its mission. For unknown reasons, the Russian foreign ministry failed to pass that information to the defense ministry or other military headquarters in time to avoid confusion.
The Russian annexation of Crimea in March 2014 and subsequent destabilization of eastern Ukraine were not immediately seen as a nuclear confrontation between Russia and NATO or the United States. Nevertheless, the possibility of an expanded conventional war between Ukrainian and Russian proxy forces took place beneath the umbrella of US and Russian nuclear weapons. This nuclear shadow over the Russian use of unconventional warfare / political warfare in Ukraine and the responses from NATO and the European Union had two somewhat opposite effects. On the one hand, the presence of Russian and NATO nuclear weapons in Europe made any geographical expansion of the conflict beyond the borders of Ukraine—especially into any NATO country—particularly dangerous. On the other hand, each side could exploit the other’s awareness—and fear—of that danger to obtain desired political objectives. Thus, the US-NATO and Russian proxy war over Ukraine was not only a contest in combat activeness and military effectiveness in Ukraine but also a competition in risk management and crisis manipulation.\(^{21}\)
**The Future: Issues of Concern**
If the possibility existed of a mistaken preemption during and immediately after the Cold War between the experienced nuclear forces and command systems of America and Russia, then it may be a matter of even more concern with regard to states with newer and more opaque forces and command systems. Further, the Americans and Soviets (and then Russians) had a great deal of experience getting to know one another’s military operational proclivities and doctrinal idiosyncrasies, including those that might influence the decision for or against war.
Another consideration relative to nuclear stability in the present century is that the Americans and their NATO allies shared with the Soviets and Russians a commonality of culture and historical experience. Future threats to American or Russian security from WMDs may be presented by states or nonstate actors motivated by cultural and social predispositions neither easily understood by those in the West nor subject to favorable manipulation during a crisis.
The spread of nuclear weapons in Asia (including those parts of the Middle East with geostrategic proximity or reach into Asia) presents a complicated mosaic of possibilities in this regard. States with nuclear forces of variable force structure, operational experience, and C2 systems will be thrown into a matrix of complex political, social, and cultural crosscurrents contributory to the possibility of war. In addition to the existing nuclear powers in Asia, others may seek nuclear weapons if they feel threatened by regional rivals or hostile alliances. Containment of nuclear proliferation in Asia is a desirable political objective for all of the obvious reasons. Nevertheless, the present century is unlikely to see the nuclear hesitancy or risk aversion that marked the Cold War, in part because the military and political discipline imposed by the Cold War superpowers no longer exists but also because states in Asia have new aspirations for regional or global respect.\(^{22}\)
The spread of ballistic missiles and other nuclear-capable delivery systems in Asia—or in the Middle East with reach into Asia—is especially dangerous because plausible adversaries live close together and are already engaged in ongoing disputes about territory or other issues. The Cold War Americans and Soviets required missiles and airborne delivery systems of intercontinental range to strike at one another’s strategic centers of gravity. However, short-range ballistic missiles or fighter-bombers suffice for India and Pakistan to launch attacks at one another with potentially “strategic” effects. China shares borders with Russia, North Korea, India, and Pakistan; Russia, with China and North Korea; India, with Pakistan and China; Pakistan, with India and China; and so on.
The short flights of ballistic missiles between the cities or military forces of contiguous states will leave very little time for warning and attack assessment by the defender. Conventionally armed missiles could easily be mistaken for tactical nuclear first use. Fighter-bombers appearing over the horizon could just as easily be carrying nuclear weapons as conventional ordnance. In addition to the challenges posed by shorter flight times and uncertain weapons loads, potential victims of nuclear attack in Asia may also have forces vulnerable to a first strike and C2 systems that increase decision pressures for rapid—and possibly mistaken—retaliation.
This potpourri of possibilities assails conventional wisdom about nuclear deterrence and proliferation on the part of policy makers and academic theorists. For policy makers in the United States and NATO, spreading nuclear and other WMDs in Asia could profoundly shift the geopolitics of mass destruction from a European center of gravity (in the twentieth century) to an Asian and/or a Middle Eastern center of gravity (in the present century). Such an occurrence would profoundly shake up prognostications to the effect that wars of mass destruction are now passé because of the emergence of the “revolution in military affairs” and its encouragement of information-based warfare. Additionally, the argument has emerged that large-scale war between states or coalitions of states, as opposed to varieties of unconventional warfare and failed states, is exceptional and potentially obsolete. The spread of WMDs and ballistic missiles in Asia could overturn these expectations for the obsolescence or marginalization of major interstate warfare.
For theorists, the argument that the spread of nuclear weapons might be fully compatible with international stability, and perhaps even supportive of international security, may be less sustainable than hitherto believed. Theorists optimistic about the ability of the international order to accommodate the proliferation of nuclear weapons and delivery systems in the present century have made several plausible arguments based on international systems and deterrence theory. First, nuclear weapons may make states more risk averse as opposed to risk acceptant with regard to brandishing military power in support of foreign-policy objectives. Second, if states’ nuclear forces can survive a second strike, they contribute to reduced fears of surprise attack. Third, the motives of states with respect to the existing international order are crucial. Revisionists will seek to use nuclear weapons to overturn the existing balance of power. States oriented toward the status quo will use nuclear forces to support the existing distribution of power and, therefore, slow and peaceful change, as opposed to sudden and radical power transitions.
These arguments for a less alarmist view of nuclear proliferation take comfort from the history of nuclear policy in the “first nuclear age,” roughly corresponding to the Cold War.\textsuperscript{27} Pessimists who predicted that some 30 or more states might have nuclear weapons by the end of the century were proved wrong. However, the Cold War is a dubious precedent for controlling the spread of nuclear weapons outside Europe. The military and security agenda of the Cold War was dominated by the United States and the Soviet Union—especially with regard to nuclear weapons. Ideas about mutual deterrence based on second-strike capability and the deterrence “rationality” according to American or allied Western concepts might be inaccurate guides to the avoidance of war elsewhere.\textsuperscript{28} Furthermore, powers favoring nuclear containment in general may fall short of disagreement in specific political cases. Patrick M. Morgan has observed “insufficient agreement among states on how serious it [nuclear proliferation] is and on what to do about it.”\textsuperscript{29}
The case of Israel and its reaction to Iran’s apparent interest in developing and deploying nuclear weapons illustrate several of the points made above about the fragility of nuclear deterrence in post–Cold War conditions and, consequently, the possibly meretricious appeal of prompt attacks. Israel regards Iran’s possession of nuclear weapons as an existential threat; consequently, the possibility of an Israeli “preventive” conventional military strike against Iran’s nuclear infrastructure prior to actual Iranian nuclear weaponization cannot be excluded. The short flight times of attacking Iranian missiles and the extreme vulnerability of Israel’s small territory and population to nuclear attacks suggest an Israeli strategy of prompt launch in response to credible warning of any Iranian nuclear strike. On the other hand, a nuclear attack on Israel would be suicidal for Iran as a state actor vulnerable to powerful Israeli and possibly American responses. Therefore, elements within Iran’s complex power structure, such as the Revolutionary Guard, might prefer to smuggle nuclear weapons or materials to terrorists in Lebanon or elsewhere, preserving official deniability for Iran. But the larger problem is that, with respect to state-on-state attacks between Tel Aviv and Tehran, strategies of preemption or even prevention are encouraged by the structure of forces, available weapons technologies, high levels of political distrust between the governments of Israel and Iran, and expected costs of going second compared to first in some scenarios.\textsuperscript{30}
**Conclusions**
This article offers few words of consolation. On the evidence of past behavior, preemptive nuclear attacks are more likely and therefore more in need of deterrence or other means of avoidance than are preventive nuclear strikes. This finding has special pertinence during the present century, in which nuclear decision making is not as “locked down” by strategic nuclear bipolarity as it was during the Cold War. Existing nuclear weapons states will need to work out joint mechanisms for handling possibly destabilizing crises in the Middle East and in South or East Asia that might otherwise boil over due to regional actors with grievances, nukes, and insufficient experience in crisis management. Stability of a regional balance of nuclear terror resides mainly in the policies of states and in the intentions of their leaders.
The numbers of nuclear-armed states in a region do not by themselves determine the probability of nuclear crisis or war.
Another issue with respect to current and future nuclear deterrence is that although nuclear adventurism and fatal attraction to prompt attacks may start in the regions, they may not end there. For example, a crowded nuclear Asia also threatens to expand “regional” rivalries into global confrontations because the Asian nuclear club includes nuclear weapons states with global ambitions. This concern about horizontal escalation from a regional nuclear conflict has led some experts to recommend that the United States adopt an unconditional “no-first-use” policy for its nuclear weapons and urge other nuclear weapons states to do likewise. An agreed multilateral no-first-use policy would allegedly help prevent an outbreak of nuclear war in Asia and contain such a war if it occurred.\(^{31}\)
On the other hand, a unilateral US declaration of this sort, without support from other nuclear weapons states, could weaken US extended deterrence now provided to nonnuclear allies, possibly compromising the Treaty on the Non-Proliferation of Nuclear Weapons and encouraging formerly US-protected allies to develop their own nuclear weapons arsenals. A compromise position might be a US declaratory policy of “no first use / guaranteed second use” against future violators of the nuclear taboo as proposed by Paul Bracken.\(^{32}\) Cautious policy makers, however, might prefer to avoid very specific statements about nuclear use, allowing themselves more leeway under duress and keeping opponents guessing in the exigent circumstance of a crisis.
Notes
1. “Remarks by President Barack Obama, Hradcany Square, Prague, Czech Republic” (Washington, DC: White House, Office of the Press Secretary, 5 April 209), http://www.whitehouse.gov/the_press_office/Remarks-By-President-Barack-Obama-In-Prague-As-Delivered. Reasons for Russia’s reluctance to embrace additional nuclear arms limitations are discussed in Polina Sinoevts, “Why Russia Undermines the Norm of Nuclear Disarmament,” PONARS Eurasia, 20 December 2013, http://www.ponarseurasia.org, in *Johnson’s Russia List* 2014, no. 1 (1 January 2014), firstname.lastname@example.org.
2. The term *anticipatory attacks* is used instead of *prompt attacks* in some analyses (see the following discussion and notes).
3. As Charles Glaser has pointed out, disagreement among theorists about the *requirements* of deterrence does not necessarily imply disagreement about the basic *logic* of deterrence. See Charles L. Glaser, “Why Do Strategists Disagree about the Requirements of Strategic Nuclear Deterrence?,” in *Nuclear Arguments: Understanding the Strategic Nuclear Arms and Arms Control Debates*, ed. Lynn Eden and Steven E. Miller (Ithaca, NY: Cornell University Press, 1989), 109–71.
4. Richard K. Betts, *Nuclear Blackmail and Nuclear Balance* (Washington, DC: Brookings Institution, 1987), 161.
5. Karl P. Mueller et al., *Striking First: Preemptive and Preventive Attack in U.S. National Security Policy* (Santa Monica, CA: RAND, 2006), 10. For additional expert discussion, see Colin S. Gray, *The Implications of Preemptive and Preventive War Doctrines: A Reconsideration* (Carlisle, PA: Strategic Studies Institute, US Army War College, July 2007).
6. Betts, *Nuclear Blackmail and Nuclear Balance*, 161.
7. Recent trends in terrorism and terrorist practice may include less reliance on state sponsors, new models of organization, and the ability to mount global campaigns in addition to local attacks. See Brian Michael Jenkins, “The New Age of Terrorism,” in *Weapons of Mass Destruction and Terrorism*, 2nd ed., ed. James J. F. Forest and Russell D. Howard (New York: McGraw-Hill, 2013), 29–37.
8. For example, during the Eisenhower administration, some pressures existed for a policy in favor of preventive war, but presidentially approved policy guidance ultimately rejected such war as an option. Preemption, on the other hand, was judged constitutionally acceptable and militarily feasible. See David Alan Rosenberg, “The Origins of Overkill: Nuclear Weapons and American Strategy, 1945–1960,” in *Strategy and Nuclear Deterrence*, ed. Steven E. Miller (Princeton, NJ: Princeton University Press, 1984), 113–81, especially 143–45.
9. As Lawrence Freedman has noted, Secretary of Defense Robert McNamara’s concept of an “assured destruction” capability or a “mutual assured destruction” relationship between nuclear superpowers had precursors in the late 1950s, such as a “stable balance of terror.” See Freedman, *The Evolution of Nuclear Strategy*, 3rd ed. (New York: Palgrave Macmillan, 2003), 232–36. See also Alain C. Enthoven and K. Wayne Smith, *How Much Is Enough? Shaping the Defense Program, 1961–1969* (New York: Harper & Row, 1971), 171–84.
10. Desmond Ball, “U.S. Strategic Forces: How Would They Be Used?,” in Miller, *Strategy and Nuclear Deterrence*, 217.
11. Bruce G. Blair, *Strategic Command and Control: Redefining the Nuclear Threat* (Washington, DC: Brookings Institution, 1985), especially 14–49. See also Michael S. Gerson, “The Origins of Strategic Stability: The United States and the Threat of Surprise Attack,” in *Strategic Stability: Contending Interpretations*, ed. Elbridge A. Colby and Michael S. Gerson (Carlisle, PA: Strategic Studies Institute, US Army War College, February 2013), 1–46.
12. Nikita Sergeevich Khrushchev, *Khrushchev Remembers: The Glasnost Tapes*, ed. and trans. Jerrold L. Schecter with Vyacheslav V. Luchkov (Boston: Little, Brown, 1990), 177.
13. For pertinent cases and analysis, see Betts, *Nuclear Blackmail and Nuclear Balance*, passim.
14. Raymond L. Garthoff, *Deterrence and the Revolution in Soviet Military Doctrine* (Washington, DC: Brookings Institution, 1990).
15. Cited in Graham T. Allison, *Essence of Decision: Explaining the Cuban Missile Crisis* (Boston: Little, Brown, 1971), 212.
16. See, for example, Office of Technology Assessment, *The Effects of Nuclear War* (Washington, DC: US Government Printing Office, May 1979), especially app. D, 139–45.
17. Scenarios for the development of nuclear war under contemporary conditions are analyzed in George H. Quester, *Nuclear First Strike: Consequences of a Broken Taboo* (Baltimore: Johns Hopkins University Press, 2006), 24–52.
18. Douglas Birch, “The USSR and US Came Closer to Nuclear War Than We Thought,” *Atlantic*, 28 May 2013, http://www.theatlantic.com, in *Johnson’s Russia List 2013*, no. 97 (29 May 2013), email@example.com. See also Christopher Andrew and Oleg Gordievsky, eds., *Comrade Kryuchkov’s Instructions: Top Secret Files on KGB Foreign Operations, 1975–1985* (Stanford, CA: Stanford University Press, 1993), 68–90; and Robert M. Gates, *From the Shadows: The Ultimate Insider’s Story of Five Presidents and How They Won the Cold War* (New York: Simon & Schuster, 1996), 262–73.
19. See Raymond L. Garthoff, *The Great Transition: American-Soviet Relations and the End of the Cold War* (Washington, DC: Brookings Institution, 1994), 138–40.
20. Allison, *Essence of Decision*, 224.
21. For an expansion, see the pertinent chapter in my study *The New Nuclear Disorder* (Farnham, Surrey, UK: Ashgate, 2015).
22. See Paul Bracken, *The Second Nuclear Age: Strategy, Danger, and the New Power Politics* (New York: Times Books, 2012), especially 127–211. For an examination of types of scenarios for nuclear first use, see Quester, *Nuclear First Strike*, especially 24–52.
23. On this issue, see Paul Bracken, *Fire in the East: The Rise of Asian Military Power and the Second Nuclear Age* (New York: HarperCollins, 1999), especially 95–124.
24. Insightful analyses pertinent to this topic include Colin S. Gray, *Making Strategic Sense of Cyber Power: Why the Sky Is Not Falling* (Carlisle, PA: Strategic Studies Institute, US Army War College, April 2013); Thomas M. Chen, *An Assessment of the Department of Defense Strategy for Operating in Cyberspace* (Carlisle, PA: Strategic Studies Institute, US Army War College, September 2013); Kamal T. Jabbour and E. Paul Ratazzi, “Does the United States Need a New Model for Cyber Deterrence?,” in *Deterrence: Rising Powers, Rogue Regimes, and Terrorism in the Twenty-First Century*, ed. Adam B. Lowther (New York: Palgrave Macmillan, 2012), 33–45; and Martin C. Libicki, *Cyberdeterrence and Cyberwar* (Santa Monica, CA: RAND, 2009).
25. Important theoretical perspective and policy-relevant commentary on future war (and warfare) appear in Richard Ned Lebow, *Why Nations Fight: Past and Future Motives for War* (Cambridge, UK: Cambridge University Press, 2010), especially chaps. 5 and 6; and in Colin S. Gray, *Another Bloody Century: Future Warfare* (London: Weidenfeld and Nicolson, 2005), passim. See also Martin van Creveld, *The Transformation of War* (New York: Free Press, 1991), especially 1–32 and 192–223.
26. For contrasting perspectives on this issue, see Kenneth N. Waltz, “More May Be Better,” in Scott D. Sagan and Kenneth N. Waltz, *The Spread of Nuclear Weapons: A Debate* (New York: W. W. Norton, 1995), 1–45; and Scott D. Sagan, “More Will Be Worse,” in Sagan and Waltz, *Spread of Nuclear Weapons*, 47–91.
27. On the concepts of the first and second nuclear ages, see Bracken, *Second Nuclear Age*, passim; Colin S. Gray, *The Second Nuclear Age* (Boulder, CO: Lynne Rienner, 1999); and Keith B. Payne, *Deterrence in the Second Nuclear Age* (Lexington: University Press of Kentucky, 1996).
28. Prospective applications for deterrence theory as well as its limitations receive expert appraisal in Patrick M. Morgan, “The State of Deterrence in International Politics Today,” *Contemporary Security Policy* 33, no. 1 (April 2012): 85–107. On deterrence and rationality, see Patrick M. Morgan, *Deterrence Now* (Cambridge, UK: Cambridge University Press, 2003), 42–79.
29. Morgan, “State of Deterrence,” 97.
30. Additional and very useful analysis of this case appears in Steven R. David, *Armed and Dangerous: Why a Rational, Nuclear Iran Is an Unacceptable Risk to Israel* (Ramat Gan, Israel: Begin-Sadat Center for Strategic Studies, Bar-Ilan University, November 2013).
31. Lawrence J. Korb and Alexander Rothman, “No First Use: The Way to Contain Nuclear War in South Asia,” *Bulletin of the Atomic Scientists* 68, no. 2 (2012): 34–42.
32. Bracken, *Second Nuclear Age*, 262–67.
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**Dr. Stephen J. Cimbala**
Dr. Cimbala (BA, Penn State; MA, PhD, University of Wisconsin–Madison) is Distinguished Professor of Political Science at Penn State–Brandywine and the author of numerous works in international security, arms control, national security policy, and other fields. An award-winning Penn State teacher, Dr. Cimbala has recently authored *The New Nuclear Disorder: Challenges to Deterrence and Strategy* (Ashgate, 2015). He is also coauthor (with Sam C. Sarkesian and John Allen Williams) of the widely used text *US National Security: Policymakers, Processes and Politics* (Lynne Rienner, 2013).
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A debate over the future of the US nuclear arsenal is at a pivotal moment. The Obama administration has proposed to Congress a budget that calls for modernization of the US “nuclear triad” of missiles, submarines, and bombers. This proposal is notable because presidential administrations and Congress have largely neglected US nuclear forces for over two decades; consequently, each part of the triad has aged or is aging rapidly, and according to *National Security and Nuclear Weapons in the 21st Century* (2008), “The United States does not have the ability to produce new nuclear weapons.”
The Congressional Budget Office notes that the Department of Defense will spend $15.4 billion on nuclear-weapons modernization in 2015—less than 3 percent of the department’s budget—and only slightly more ($15.9 billion) in fiscal year 2016. If the fledgling programs now requested are killed or further delayed, the US nuclear arsenal—already reduced by 80 percent since the end of the Cold War—will be further disarmed by neglect as the aging missiles, submarines, and bombers reach the end of their scheduled and extended service lives.
The congressional defense budget hearings now under way reveal the fragility of the multiyear US nuclear modernization plan. For example, Frank Kendall, undersecretary of defense for acquisition, technology, and logistics, reported to the Senate that under current defense budget projections, the United States will have “affordability problems” in producing the replacement for the existing submarine element of the nuclear triad.
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© National Institute for Public Policy, 2015. Several paragraphs in this article appeared in a commentary by the author published in the 16 March 2015 edition of the *Wall Street Journal*. They are used here with permission.
*Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line.*
The administration’s proposed budget and modernization plan have met with strong opposition, particularly from nuclear utopians, who insist that the United States should either delay or skip triad modernization, make further deep reductions in the remaining US nuclear arsenal, or even eliminate it altogether. In contrast, nuclear realists believe that, given the rapid aging of the US triad, the increasing belligerence of Russia and China, and their buildup of nuclear forces, prudence now demands that the United States update its nuclear arsenal and pause from further reductions below those already scheduled in the 2010 New Strategic Arms Reduction Treaty (START).
The fissure between nuclear utopians and nuclear realists has at various times been attributed to greater and lesser concern about nuclear war, respectively, or greater or lesser intellectual maturity.\(^4\) One eccentric explanation even presents the fundamental difference in Freudian terms (i.e., “acute missile envy”).\(^5\) Differences in academic credentials, the desire to prevent nuclear war, or emotional maturity do not divide nuclear utopians and nuclear realists, however. The distinction separating these rival lines of thought is their fundamentally different underlying understandings of international relations and the functioning of nuclear deterrence.
Utopians tend to believe that international cooperation, norms, and institutions—not nuclear deterrence—have prevented nuclear war and can do so in the future. As Rose Gottemoeller, undersecretary of state for arms control and international security, claimed in a recent speech, “We have been spared that fate because we created an intricate and essential system of treaties, laws and agreements.”\(^6\) It is said that with sufficient political will, action, vision, and faith, world leaders can agree to renounce nuclear weapons via the creation of international legal structures and institutions that will provide peaceful approaches to conflict resolution as an alternative to nuclear arms and deterrence.\(^7\)
Nuclear realists, however, point out that in severe security crises across all time, international cooperative norms and legal structures have been superseded by the imperative of the hour. Hence, in 1914 Germany justified its violation of Belgium’s neutrality as necessary in defense of its national security, and in 1940 Great Britain violated Norway’s neutrality to counter the mounting German threat. Furthermore, in 1940 Britain attacked the French naval base at Mers-el-Kébir on the coast of then-French Algeria, killing almost 1,300 French servicemen. Britain took this action against its erstwhile ally for fear that Germany otherwise would take the French ships and tip the naval balance in its favor. The respective German and British justifications for these military actions are remarkably similar—that is, the highest calling of national security demanded them.
These and countless similar examples reflect the powerful international norm of raison d’État (the primacy of state interest over opinions regarding cooperation, morality, or international law). Realists do not celebrate this norm but recognize its existence and potency. The perceived requirements of national security ultimately trump the constraining effect of international opinion, norms, and law and create an essentially anarchic “self-help” security environment.\(^8\) The great ancient Greek historian Thucydides put it starkly in the Melian Dialogue: “The strong do what they can and the weak suffer what they must.”\(^9\) The frequent demonstration of the reality of this observation in international relations, not folly or malevolence, leads many states
to seek nuclear capabilities if they are able or to rely on the nuclear capabilities of a powerful ally.
Utopians claim that the imperative of national security underlying the felt need for nuclear protection can be superseded by the rise of an alternative countervailing norm and international institutions that buttress global collective security, peaceful conflict resolution, and nuclear disarmament. As noted, this unprecedented global norm would, they say, be established via international political will, leadership, and faith.\(^{10}\) Leaders so equipped and inspired could seek to overcome the age-old international context described by Thucydides with global legal institutions and mutual trust rather than insecurity and mistrust.
It is not an overstatement, however, to observe that the global establishment of a powerful, effective cooperative norm and corresponding international institutions that can be trusted to control aggression and provide protection globally would represent an unprecedented reordering of the international system. Once such a reordering is in place, utopians are correct in saying that it could create the international security context necessary for nuclear disarmament. History, however, gives no indication of its possibility, and in its absence Thucydides and the norm of *raison d’État* will continue to prevail. As the bipartisan Congressional Commission on the Strategic Posture of the United States (Perry-Schlesinger Commission) recognized, “The conditions that might make possible the global elimination of nuclear weapons are not present today and their creation would require a fundamental transformation of the world political order.”\(^{11}\)
Realists in this regard are from Missouri, the “show me” state, and ask utopians to explain how, why, and when a powerful new cooperative international norm with corresponding international institutions will become a reality. Realists point to the unhappy history of the unmet claims and dashed hopes of the 1928 Kellogg-Briand Pact (intended to prevent offensive war by global legal agreement), the League of Nations, and the United Nations. To be sure, the future does not have to be bound by the past, but before moving further toward nuclear disarmament, realists want to see some clear evidence of the emerging transformation of the global order—not just the claim that it can occur if all key leaders are so willing, faithful, and visionary and can “embrace a politics of impossibility.”\(^{12}\) As the old English proverb says, “If wishes were horses, then beggars would ride.”
But has not everything changed in the twenty-first century? Has not the end of the Cold War ushered in a new global commitment to cooperation, the rule of law globally, and benign conflict resolution? The unarguable answer is no. Russian military actions against Georgia in 2008 and Ukraine since 2014 (the latter in direct violation of the 1994 Budapest Memorandum signed by Russia, Great Britain, and the United States) are sufficient empirical evidence to demonstrate that Thucydides' stark description of reality is alive and well. China's expansionist claims and military pressure against its neighbors in the East and South China Seas teach the same lesson.
Why is this reality significant in the consideration of nuclear weapons? Because in the absence of reliably overturning the powerful norm of *raison d’État* and Thucydides' explanation of international relations, states with the capability and felt need will continue to demand nuclear capabilities for their own protection and,
in some cases, to provide cover for their expansionist plans. To wit, if Ukraine had retained nuclear weapons, would it now fear for its survival at the hands of Russian aggression? Former Ukrainian defense minister Valeriy Heletey and members of the Ukrainian parliament have made this point explicitly, lamenting Ukraine’s transfer of its nuclear forces to Russia in return for now-broken security promises of the Budapest Memorandum.\(^{13}\)
This lesson cannot have been lost on other leaders considering the value of nuclear weapons. Nor is it a coincidence that US allies in Central Europe and Asia are becoming ever more explicit about their need for US nuclear assurances under the US extended nuclear deterrent (i.e., the nuclear umbrella). They see no new emerging, powerful global collective security regime or cooperative norms that will preserve their security; thus, they understandably seek the assurance of power, including nuclear power. The Polish Foreign Ministry observed in a recent press release that “the current situation reaffirms the importance of NATO’s nuclear deterrence policy.”\(^{14}\) This reality stands in stark contrast to utopian claims that powerful new global norms and international institutions will reorder the international system, overturn Thucydides, and allow individual states to dispense with nuclear weapons or the nuclear protection of a powerful ally. As the Socialist French president Francois Hollande has said, “The international context does not allow for any weakness. . . . The era of nuclear deterrence is therefore not over. . . . In a dangerous world—and it is dangerous—France does not want to let down its guard. . . . The possibility of future state conflicts concerning us directly or indirectly cannot be excluded.”\(^{15}\) There could be no clearer expression of Thucydides’ description of international relations and its contemporary implications for nuclear weapons.
Opponents of the administration’s plan to modernize the US triad now double down on the utopian narrative by insisting that the United States instead lead the way in establishing the new global norm by showing that Washington no longer relies on nuclear weapons and does not seek new ones. Washington cannot expect others to forgo nuclear weapons if it retains them, they say, and thus it must lead in creation of the new norm against nuclear weapons by providing an example to the world. For instance, “by unilaterally reducing its arsenal to a total of 1,000 warheads, the United States would encourage Russia to similarly reduce its nuclear forces without waiting for arms control negotiations.”\(^{16}\) A good US example supposedly can help “induce parallel” behavior in others.\(^{17}\) If, however, the United States attributes continuing value to nuclear weapons by maintaining its arsenal, “other countries will be more inclined to seek” them.\(^{18}\)
Nuclear realists respond, however, that the United States already has reduced its nuclear forces deeply over the last 25 years. America cut its tactical nuclear weapons from a few thousand in 1991 to a “few hundred” today.\(^{19}\) Moreover, US-deployed strategic nuclear weapons have been cut from an estimated 9,000 in 1992 to roughly 1,600 accountable warheads today, with still more reductions planned under the New START Treaty.\(^{20}\) The United States has even decided to be highly revealing of its nuclear capabilities to encourage others to do so, with no apparent effect on Russia, China, or North Korea.\(^{21}\) America has adhered fully to the reductions and restrictions of the 1987 Intermediate-Range Nuclear Forces Treaty—the “centerpiece of arms control”—but the Russians now are in open violation. As former undersecretary of state Robert Joseph stated recently, decades of deep US reductions “appear to have had no moderating effect on Russian, Chinese or North Korean nuclear programs. Neither have U.S. reductions led to any effective strengthening of international nonproliferation efforts.”22 Utopians want the United States to lead the world toward nuclear disarmament by its good example, but no one is following.
The basic reason, realists point out, is that foreign leaders make decisions about nuclear weaponry based largely on their countries’ strategic needs, raison d’État, not in deference to America’s penchant for nuclear disarmament or some sense of global fairness. A close review of India by S. Paul Kapur, for example, concluded that “Indian leaders do not seek to emulate US nuclear behavior; they formulate policy based primarily on their assessment of the security threats facing India.”23 The same self-interested calculation is true for other nuclear and aspiring nuclear states.
Nations that are a security concern to the United States seek nuclear weapons to intimidate their neighbors (including US allies), to counter US conventional forces, and to gain a free hand to press their regional military ambitions. They see nuclear weapons as their trump cards and do not follow the US lead in nuclear disarmament. A bipartisan expert working group at the Center for Strategic and International Studies concluded accordingly that “U.S. nuclear reductions have no impact on the calculus of Iran and North Korea.”24
Nuclear realists also note that many allies have given up the nuclear option because America provides a “nuclear umbrella” for their protection. The United States reportedly has now offered this nuclear umbrella to Middle Eastern states that otherwise could go nuclear for fear of a prospective Iranian nuclear bomb.25 Japanese and South Koreans have said that if the US nuclear umbrella loses credibility, they will be compelled to find security alternatives, including reconsideration of nuclear capabilities. In short, further US nuclear reductions may inspire nuclear proliferation—not prevent it as claimed by critics of US nuclear modernization.
Nuclear utopians and nuclear realists simply perceive international relations differently, with corresponding great effect on their views of nuclear deterrence and weapons. Seeing an orderly system that functions predictably and increasingly amicably, utopians make two confident predictions as the basis for further deep US nuclear reductions. The first is that US deterrence will work reliably even with a relatively small nuclear arsenal or nuclear zero. Specifically, they offer confident claims that a specific number or level of US nuclear weapons will be adequate for America’s deterrence goals. That number often is associated with the capability deemed adequate to threaten an opponent’s societal infrastructure with destruction—a relatively small number of nuclear weapons: “From a practical perspective, several second-strike nuclear weapons are more than enough to keep the most aggressive adversary at bay.”26 Or, “deterrence today would remain stable even if retaliation against only ten cities were assured.”27 And, “no current or conceivable future threat requires the United States to maintain more than a few hundred survivable warheads.”28 Such predictions abound in the public debate. They are offered with great certainty by those recommending deep US nuclear force reductions, presumably because they feel the need to assure us that deterrence will not be degraded by the deep nuclear force reductions they recommend.
Yet, such predictions simply assume that a specific number of weapons or specific type of threat will produce the desired deterrent effect on the premise that all rational opponents *should be deterred by such a threat*. The capability for posing a threat, though, does not equate to a predictable deterrent effect—or indeed any deterrent effect. In truth, no one, however credentialed, can make such promises with any credibility because the functioning of deterrence is shaped by many factors—some known and others opaque, including enormous variations in leadership perceptions and calculations. Only an omniscient observer could claim to know that a specific number of nuclear weapons will be adequate for deterrence, now or in the future. As a recent National Academy of Sciences study noted in this regard,
Finally, models of human beings and their individual and collective behaviors must necessarily include a large amount of inherent uncertainty. This uncertainty is not a flaw of the model and cannot be designed out of the model. Human behavior is dynamic and adaptive over time, and it is impossible at the moment (and into the foreseeable future) to make exact predictions about that behavior.\(^{29}\)
In short, deterrence is a human construct based on the functioning of human perceptions and calculations that are affected by multiple factors beyond confident prediction. Its functioning remains unpredictable and fallible, and confident claims about the deterrent effect of “several,” “10,” or a “few hundred” weapons reflect a utopian pretense of omniscience.
The second typical prediction is that Russia and China will pose no severe military threats to the United States and its allies and that their differences with the United States will be resolved without reference to nuclear capabilities. For example, the 2012 report by the Global Zero Commission claimed that “the risk of nuclear confrontation between the United States and either Russia or China belongs to the past, not the future.”\(^{30}\)
Nuclear realists have no confidence in such predictions, which again can come only from the utopian pretense of omniscience. Prior to the nuclear age, they point out, great powers periodically came into intense conflict, and deterrence relying on conventional forces failed to prevent catastrophic wars. The Concert of Europe failed to stop the descent into World War I, and the League of Nations collapsed during the lead-up to World War II. Since 1945, however, a powerful US nuclear arsenal appears to have had a decisive effect in deterring the outbreak of World War III and in containing regional crises and conflicts. Yet, nuclear utopians want to reduce this arsenal deeply or eliminate it.
Instead of the utopians’ vision of an orderly, predictable, and benign world order, realists see international relations as fluid, often dangerous, and unpredictable, as they have been for millennia and as described by Thucydides. Realists point to the frequent history of international relations worsening rapidly and surprisingly; they see no indication of an emerging and amicable new world order. The current unexpected Russian aggression in Europe is a cold reminder of this reality. In January prominent Russian journalist Alexander Golts warned that “the West had forgotten how it had used nuclear deterrence to coexist with the Soviet Union. Now it will have to open up that playbook once more.”\(^{31}\)
In truth, Thucydides and *raison d'État* rein over international relations, and sovereign power remains the ultimate currency in a self-help international system with a near-global lack of security and trust. Deterrence, including nuclear deterrence, correspondingly remains important—but it is both fallible and unpredictable. The utopian-proffered solution of nuclear disarmament must await the fundamental reordering of international relations—the hope for which seems remarkably utopian. What can be done, given this distressing situation?
The realist response is clear but not fully satisfactory because realism offers no infallible, complete solution to conflict in the international system and the related question of deterrence and its nuclear requirements: deterrence must be made as effective as possible to prevent war and the escalation of hostilities. This goal likely requires (1) as complete an understanding as is possible of opponents’ perceptions and values so as to tailor US deterrence strategies appropriately to the opponent and deterrent goal and (2) a broad spectrum of flexible and resilient US conventional and nuclear capabilities to help the United States deter as effectively as possible across a broad spectrum of contingencies and potential opponents with varying goals, values, perceptions, and modes of decision making. The number of US weapons and platforms is one, but only one, potentially important measure of a flexible and resilient force structure.\(^{32}\) Equally important, the potential for deterrence failure must be recognized via the provision of indirect and direct US defensive capabilities. Defenses cannot ensure the safety of all people in all scenarios, to be sure—but they could help save lives and mitigate destruction in many. It must be acknowledged that this combination of deterrence and defensive measures can neither fully eliminate the risk of war nor ensure the safety of all—that too would be a utopian expectation. But only the pretense of a more credible solution and safety resides in the utopian expectation of a cooperative new world order that ushers in nuclear disarmament—or in vapid promises that a small, narrow set of US strategic capabilities surely will deter reliably now and in the future.
In summary, contemporary evidence and all of history argues against the utopians’ predictable, amicable world in which a potent cooperative norm and international law have supplanted *raison d'État* and *Thucydides’ description of international relations*. Decisions made now that would cause further erosion of the US nuclear arsenal would take decades to reverse, create fear among key allies, and likely inspire foes to challenge a United States that appears less able to deter in the hard times ahead. These are the stakes in the current debate.
**Notes**
1. Department of Energy and Department of Defense, *National Security and Nuclear Weapons in the 21st Century* (Washington, DC: Department of Energy and Department of Defense, September 2008), 2, http://www.defense.gov/news/nuclearweaponspolicy.pdf.
2. “Fact Sheet: Increasing Transparency in the U.S. Nuclear Weapons Stockpile,” Department of Defense, 3 May 2010, http://www.defense.gov/npr/docs/10-05-03_Fact_Sheet_US_Nuclear_Transparency__FINAL_w_Date.pdf.
3. Senate, *Hearing to Receive Testimony on U.S. Nuclear Weapons Policy, Programs, and Strategy in Review of the Defense Authorization Request for Fiscal Year 2016 and the Future Years Defense Program*, Committee on Armed Services, Subcommittee on Strategic Forces, 114th Cong., 1st sess., 4 March 2015, http://www.armed-services.senate.gov/imo/media/doc/15-20%20-%203-4-15.pdf.
4. Ivan Oelrich, *Missions for Nuclear Weapons after the Cold War*, Occasional Paper no. 3 (Washington, DC: Federation of American Scientists, January 2005), 8, http://fas.org/pubs/_docs/01282005175922.pdf; and Robert R. Holt, “Meeting Einstein’s Challenge: New Thinking about Nuclear Weapons,” *Bulletin of the Atomic Scientists*, 3 April 2015, http://thebulletin.org/meeting-einstein%E2%80%99s-challenge-new-thinking-about-nuclear-weapons8166.
5. Helen Caldicott, *Missile Envy: The Arms Race and Nuclear War*, rev. ed. (New York: Bantam Books, 1986), 235.
6. Rose Gottemoeller, “Arms Control Priorities for Russia and the United States in 2015 and Beyond” (remarks delivered at the Exchange Monitor’s Seventh Annual Nuclear Deterrence Summit, Washington, DC, 18 February 2015), http://www.state.gov/t/us/2015/237581.htm.
7. See, for example, Richard Falk and David Krieger, eds., *At the Nuclear Precipice: Catastrophe or Transformation?* (New York: Palgrave Macmillan, 2008); and Richard Falk and David Krieger, *The Path to Zero: Dialogues on Nuclear Dangers* (Boulder, CO: Paradigm Publishers, 2012).
8. For the classic presentation, see Kenneth N. Waltz, *Man, the State and War: A Theoretical Analysis* (New York: Columbia University Press, 1959).
9. Robert B. Strassler, ed., *The Landmark Thucydides: A Comprehensive Guide to the Peloponnesian War* (New York: Touchstone, 1996), 352.
10. Richard Falk and David Krieger, “Introduction,” in Falk and Krieger, *At the Nuclear Precipice*, 6, 10.
11. William Perry and James R. Schlesinger et al., *America’s Strategic Posture: The Final Report of the Congressional Commission on the Strategic Posture of the United States* (Washington, DC: United States Institute of Peace Press, 2009), xvi, http://media.usip.org/reports/strat_posture_report.pdf.
12. Falk and Krieger, *Path to Zero*, 201.
13. See Oren Dorell, “Ukraine May Have to Go Nuclear, Says Kiev Lawmaker,” *USA Today*, 11 March 2014, http://www.usatoday.com/story/news/world/2014/03/10/ukraine-nuclear/6250815/; Anastasiya Kravenchko, “Ukraine Could Develop Nuclear Bomb in 10 Years,” *Izvestiya*, 17 September 2014; and “Russian Experts Comment on Prospects of Ukraine Acquiring Nuclear Weapons,” *BBC Monitoring*, 2 October 2014.
14. “MFA Statement on Information about Russia’s Non-compliance with the INF Treaty,” press release, Republic of Poland, Ministry of Foreign Affairs, 30 July 2014, http://www.msz.gov.pl/en/news/mfa_statement_on_information_about_russia_s_non_compliance_with_the_inf_treaty.
15. Quoted in “Dangerous World: France Has Less Than 300 Nukes and Still Needs Them,” Reuters, 20 February 2015, http://rt.com/news/234099-france-details-nuclear-arsenal/.
16. Bruce G. Blair et al., *Toward True Security: Ten Steps the Next President Should Take to Transform U.S. Nuclear Weapons Policy* (Cambridge, MA: Federation of American Scientists, Natural Resources Defense Council, Union of Concerned Scientists, February 2008), 18, http://www.ucsusa.org/assets/documents/nwgs/toward-true-security.pdf.
17. George Perkovich, *Do unto Others: Toward a Defensible Nuclear Doctrine* (Washington, DC: Carnegie Endowment for International Peace, 2013), 61, http://carnegieendowment.org/files/do_unto_others.pdf.
18. Stephen Young, “Obama’s Nuclear Legacy #4: Give Nuclear Weapons a Sole Purpose,” Union of Concerned Scientists, 23 February 2015, http://allthingsnuclear.org/sole-purpose/.
19. Gary Samore, coordinator for arms control and weapons of mass destruction terrorism, National Security Council, quoted in “Obama Adviser Gary Samore: ‘The Ball Is Very Much in Tehran’s Court’ ” (interview), Radio Free Europe / Radio Liberty, 14 April 2011, http://www.rferl.org/content/interview_samore_russia_iran_us_policy/3557326.html; and “Transparency in the U.S. Nuclear Weapons Stockpile,” fact sheet, Department of State, 29 April 2014, http://www.state.gov/t/avc/rls/225343.htm.
20. Robert S. Norris and William M. Arkin, “Table 2.1: US Strategic Nuclear Forces, January 1992,” in Stockholm International Peace Research Institute, *SIPRI Yearbook 1992: World Armaments and Disarmament* (New York: Oxford University Press, 1992), 74; and Department of State, Bureau of Arms Control, Verification and Compliance, “New START Treaty Aggregate Numbers of Strategic Offensive Arms,” fact sheet, 1 January 2015, http://www.state.gov/t/avc/rls/235606.htm.
21. Paul Meyer, Henrik Salander, and Zia Mian, “Why the NPT Needs More Transparency by the Nuclear Weapons States,” *Bulletin of the Atomic Scientists*, 8 April 2015, http://thebulletin.org/why-npt-needs-more-transparency-nuclear-weapon-states8188.
22. Quoted in Keith B. Payne, “Why the ‘Nuclear Utopians’ Are Wrong,” *Wall Street Journal*, 15 March 2015, http://www.wsj.com/articles/keith-payne-the-nuclear-utopians-are-wrong-1426457846.
23. S. Paul Kapur, “More Posture than Review,” *Nonproliferation Review* 18, no. 1 (March 2011): 69.
24. Clark A. Murkock, Stephanie Spies, and John K. Warden, *Forging a Consensus for a Sustainable U.S. Nuclear Posture* (Washington, DC: Center for Strategic and International Studies, April 2013), viii, http://csis.org/files/publication/130422_Spies_ForgingConsensus_Web.pdf.
25. Shabtai Gold, “Report: U.S. to Offer Gulf States Nuclear Umbrella against Iran,” *Haaretz*, 5 March 2015, http://www.haaretz.com/news/middle-east/1.645573#!
26. James Wood Forsyth Jr., B. Chance Saltzman, and Gary Schaub Jr., “Minimum Deterrence and Its Critics,” *Strategic Studies Quarterly* 4, no. 4 (Winter 2010): 7, http://www.au.af.mil/au/ssq/2010/winter/winter10.pdf.
27. Bruce Blair et al., “Smaller and Safer: A New Plan for Nuclear Postures,” *Foreign Affairs* 89, no. 5 (September/October 2010): 10, https://www.foreignaffairs.com/articles/russian-federation/2010-09-01/smaller-and-safer.
28. Blair et. al., *Toward True Security*, 18.
29. Greg L. Zacharias, Jean MacMillan, and Susan B. Van Hemel, eds., *Behavioral Modeling and Simulation: From Individuals to Societies* (Washington, DC: National Academies Press, 2008), 355.
30. James Cartwright et al., *Modernizing U.S. Nuclear Strategy, Force Structure and Posture*, Global Zero US Nuclear Policy Commission Report (Washington, DC: Global Zero, May 2012), 6, http://www.globalzero.org/files/gz_us_nuclear_policy_commission_report.pdf.
31. Alexander Golts, “Russia Is Turning into a Rogue State,” *Moscow Times*, 26 January 2015, http://www.themoscowtimes.com/opinion/article/russia-is-turning-into-a-rogue-state/514899.html.
32. Dr. Keith B. Payne and Dr. John S. Foster Jr., *Nuclear Force Adaptability for Deterrence and Assurance: A Prudent Alternative to Minimum Deterrence* (Fairfax, VA: National Institute Press, 2014), http://www.nipp.org/wp-content/uploads/2014/12/MD-II-for-web.pdf.
**Dr. Keith B. Payne**
Dr. Payne (AB, University of California–Berkeley; PhD, University of Southern California) is professor and head of the Graduate Department of Defense and Strategic Studies, Missouri State University (Washington Campus). He is also president and cofounder of the National Institute for Public Policy, a nonprofit research center located in Fairfax, Virginia. Dr. Payne served in the Department of Defense as the deputy assistant secretary of defense for forces policy. In 2003 he received the Department of Defense Medal for Distinguished Public Service; in 2005, the Vicennial Medal for his many years of graduate teaching at Georgetown University; and in 2013, the Chief Scientist’s Medal for Excellence, Global Strike Command. He is the author or coauthor of over 30 books and monographs as well as 150 published articles, including the 2009 report of the bipartisan Congressional Commission on the Strategic Posture of the United States (Perry-Schlesinger Commission).
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Increasing Uncertainty
The Dangers of Relying on Conventional Forces for Nuclear Deterrence
Jennifer Bradley
“To put an end to Cold War thinking, we will reduce the role of nuclear weapons in our national security strategy, and urge others to do the same.”
—President Barack Obama
In his now-famous Prague speech in 2009 shortly after taking office, President Obama laid out his vision for a world without nuclear weapons.\(^1\) Although he had no timeline for reaching this goal, noting that it might not even occur in his lifetime, part of the pathway to that objective involved reducing the role of nuclear weapons in US national security strategy. The *Nuclear Posture Review (NPR)*, released one year later, further defined and codified his vision for the security of the United States and its allies.\(^2\) Five years later, some of the implications of how this decision affects the US deterrent relationship with both Russia and China are becoming apparent.
Arguably, these two are the United States’ most important relationships and should serve as the cornerstone of US nuclear deterrence policy. Although Russia and China are not identified as adversaries of the United States, neither are they considered allies. Potential always exists for the relationship to sour, and in the case of Russia, that is exactly what has happened over the past year. The US decision to meet the needs of deterrence by relying less on nuclear weapons and instead developing conventional weapons that can have strategic effects may not have had the intended deterrent effect on Russia and China. Far from encouraging them to reduce the importance of nuclear weapons in their national security strategy, it may have inspired them to rely more on nuclear weapons to meet their security needs. Doing so could create dangerous instability in deterrence relationships.
*Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line*
The Simplicity of Deterrence Theory
Deterrence theory is beautiful in its simplicity. At its essence, the theory is a military strategy in which one power uses the threat of assured retaliation to convince an enemy not to attack. Some people have the misconception that deterrence did not come into existence until after the invention of nuclear weapons, but it has been used as a tool of statecraft, with varying degrees of success and failure, since ancient times.\(^3\)
The destructive power of nuclear weapons brought deterrence theory to the forefront of US national security strategy. In 1946 Bernard Brodie commented on this phenomenon: “Thus far the chief purpose of our military establishment has been to win wars. From now on its chief purpose must be to avert them. It can have almost no other useful purpose.”\(^4\) The dawn of the nuclear age spurred a tremendous amount of intellectual study and debate on deterrence as well as the ingredients necessary to achieve it. Deterrence became the cornerstone of US security strategy during the latter half of the twentieth century. However, debate on its relevance to twenty-first-century threats continues today.
Precarious Challenge of Deterrence in Practice
As simple as deterrence is to define, its actual practice is far more complicated, having many potential pitfalls for failure, essentially because it is a psychological function in the mind of the adversary. Consequently, success is difficult to predict or prove, and deficiencies may become apparent only when deterrence fails. Further, the definition of deterrence theory is evolving to meet the challenges of the current security environment. Scholars recognized that the Cold War deterrence framework focused solely on deterring the Soviet Union and was inadequate to address the national security issues of the twenty-first century. Today, because the United States faces deterrence problems from multiple actors, our strategy needs to be “tailored to the perceptions, values, and interests of specific adversaries.”\(^5\)
An acknowledgment also exists that a cost-imposition deterrence strategy may prove inadequate to decisively influence a foe’s decision making. The adversary considers more factors than simply the costs associated with a contemplated action. Rather, he compares the costs of a course of action to the benefits sought and examines the consequences of not acting. That is, even if an enemy believes that the costs are credible and will be incurred, deterrence can still fail because he perceives that the consequences of restraint are so much greater.\(^6\) This belief demands that our deterrence strategies consider adversary perceptions of both the costs and benefits of a course of action as well as those of restraint. Strategies should be tailored to decisively influence the opponent's decision making by credibly threatening to impose costs, deny benefits, and encourage restraint by convincing the actor that restraint will result in an acceptable outcome.\(^7\)
As mentioned above, at its core, deterrence is a psychological function. Understanding the adversary, including his leadership characteristics, historical and cultural influences, decision-making structures and processes, and national security strategy and doctrine, is essential to crafting a deterrence strategy. Because deterrence happens in the mind of the enemy, “the requirements for deterrence will differ with each party that we might try to deter and may well differ in each circumstance or scenario.”\textsuperscript{8} Further complicating the functioning of deterrence, the foe must understand the United States and comprehend its threats and communications, believing that they are credible and that the United States possesses the will to impose them.\textsuperscript{9} Failure to consider the individual characteristics of an actor during development of a deterrence strategy increases the risks of failure.
**Reduced Emphasis on Nuclear Weapons**
The first priority of the \textit{NPR} was to reduce the dangers of nuclear proliferation and the threats of nuclear terrorism. Part of the road map to this goal involved diminishing the reliance on nuclear weapons in US security strategy. The rationale was that by demonstrating its commitment to downsizing the role and numbers of nuclear weapons, the United States would “persuade our NPT [Nuclear Non-Proliferation Treaty] partners to join with us in adopting the measures needed to reinvigorate the non-proliferation regime and secure nuclear materials worldwide against theft or seizure by terrorist groups.”\textsuperscript{10}
Part of the reasoning for this modification was the changing strategic environment in general and the beneficial relationships with Russia and China specifically. Both Obama’s Prague speech and the \textit{NPR} called for the “end of Cold War thinking” and extolled fundamental changes in the US-Russia relationship.\textsuperscript{11} The \textit{NPR} went so far as to say that “Russia and the United States are no longer adversaries, and prospects for military confrontation have declined dramatically.”\textsuperscript{12} For China, the \textit{NPR} was less clear on how the US-China relationship was changing for the better. Instead, it focused on interdependence between the United States and China and mutual interests in reducing the risks associated with terrorism and the proliferation of weapons of mass destruction.\textsuperscript{13} The notion in the \textit{NPR} was that the changing strategic environment created by an improved relationship with Russia and the interdependence with China meant that the United States no longer needed to rely on nuclear weapons to meet its security needs with regard to these two nuclear power relationships; furthermore, it maintained that this positive trajectory would continue.
**Increased Emphasis on Conventional Forces**
To bridge the gap between the reduced reliance on nuclear weapons and capabilities needed to meet US security needs, the \textit{NPR} proposed that the United States continue to strengthen its unrivaled conventional capabilities.\textsuperscript{14} Although the report declared that “the United States today has the strongest conventional military forces in the world [and that] our close allies and partners field much of the rest of the world’s military power,” it proposed additional capabilities to further increase the strength of US conventional forces.\textsuperscript{15}
One of the conventional enhancements proposed was conventional long-range missiles. The United States began development of Conventional Prompt Global Strike (CPGS) doctrine in 2003 and continues to pursue it today, with plans to invest approximately $2 billion between 2011 and 2016.\textsuperscript{16} CPGS could hit targets anywhere on the earth within an hour. Its weapons could be based either in the United States or on submarines at sea, giving the US military a conventional precision-strike capability that could be delivered in a short amount of time.\textsuperscript{17}
According to the Global Zero US Nuclear Policy Commission, the increased lethality and precision of advanced conventional weapons allow the United States to hold at risk enemy targets that, at one time, were susceptible only to nuclear weapons. Furthermore, the commission observed that these weapons would have a greater deterrent effect because they were more “usable” than nuclear weapons. Moreover, the commission’s research showed that a significant number of targets in Russia and China, once vulnerable only to US nuclear weapons, would be threatened by precision conventional forces.\textsuperscript{18} Additionally, as US capabilities and investments improve, more targets would become vulnerable to conventional capabilities, enabling the administration to reduce the role of nuclear weapons even further.
The significance of the assertions of the commission’s report is the suggestion that nuclear weapons could be replaced by advanced US conventional capabilities having the same strategic-level effects but with more usable weapons.\textsuperscript{19} However, missing from the report was an assessment of how Russia or China would interpret such a change in US deterrence posture.
**Foreign Perspective**
The security environment has changed dramatically in the five years since the NPR’s publication—but not for the better, as the policy document hoped for. Although the downturn in the security environment cannot be correlated to the change in US nuclear policy, some dangerous implications regarding both Russia and China are linked to the United States’ decision to lower its emphasis on nuclear weapons in its security strategy. Arguably, the nuclear deterrent relationships with Russia and China are the ones most important to the United States, so it is imperative to continue to monitor their health and status.
As the NPR has been implemented over the last five years and the United States has decreased its emphasis on nuclear weapons while increasing its investment in advanced conventional weapons, Russia and China have responded in ways that the US government may not have anticipated. As outlined above, deterrence occurs in the mind of the adversary, and as adjustments to deterrence policy and strategy occur, they should be evaluated to determine their effect on the enemy’s decision making.
**Russian Perspective**
Much was made in the NPR of the improved dealings between the United States and Russia. With the end of the Cold War rivalry, the United States no longer needed to rely on nuclear weapons to meet its security needs. Further, even though it recognized the policy differences that remained between both nations and that Russia continued to modernize its nuclear forces, the growing cooperation between
the United States and Russia on shared interests as well as the low probability of conflict was enough for the *NPR* to declare that Russia was no longer an enemy.\(^{20}\)
As glowingly as the *NPR* painted the affiliation between the United States and Russia, it is clear that Russia did not view the relationship in the same light. Anti-Americanism has a long tradition in the former Soviet Union and continues in modern Russia. Prior to the US-led “reset” in US-Russia relations in 2009, Russian leaders consistently referred to the United States as their principal adversary.\(^{21}\) Further, the Russians believed they were under threat by the North Atlantic Treaty Organization (NATO), led by the United States.\(^{22}\) This perception of the United States remained consistent after the reset, and, in fact, the relationship has deteriorated.
After the collapse of the Soviet Union, Russia’s conventional military capabilities atrophied and deteriorated. In 2000 to compensate for perceived conventional weakness, Russian military doctrine potentially lowered the threshold for nuclear use, declaring that Russia “keep[s] the right to use nuclear weapons in response to the use of nuclear weapons or other WMD [weapons of mass destruction] against Russia or its allies, as well as in response to large-scale conventional aggression in critical situations for Russian national security.”\(^{23}\) Russia released an updated nuclear doctrine just prior to the release of the *NPR*. It did not significantly raise the threshold for nuclear use, observing that Russia reserved the right to use nuclear weapons “in the event of aggression against the Russian Federation involving the use of conventional weapons when the very existence of the state is under threat.”\(^{24}\)
Russia has witnessed the United States and its allies use their conventional military power successfully and repeatedly since the first Gulf War in 1991. The dichotomy between the United States’ and Russia’s conventional military power has led Russia to depend on its nuclear forces to deter not only nuclear attack but also conventional conflict with the United States. Further, as the United States develops conventional weapons capable of executing strategic missions, coupled with missile defenses, Russian leaders fear that such developments would negate their ability to retaliate and successfully deter the United States.\(^{25}\) The latest version of Russian military doctrine, released in 2014, articulates this fear: “The creation and deployment of global strategic antiballistic missile systems that undermines the established global stability and balance of power in nuclear missile capabilities, the implementation of the ‘prompt strike’ concept, intent to deploy weapons in space and deployment of strategic conventional precision weapons” are among the major foreign threats.\(^{26}\)
Russia places very high value on its nuclear arsenal. Without it, Russia’s leadership recognizes that the nation is fundamentally weak. Its status as a nuclear peer to the United States makes it “a state of significance, interest, or consequence.”\(^{27}\) As such, Russia has made modernizing its strategic forces one of the country’s highest priorities. Part of this modernization program includes development of a class of nuclear weapons eliminated with the signing of the Intermediate-Range Nuclear Forces Treaty in 1987. Evidence of a Russian treaty violation dates back to 2007, but the United States did not formally charge Russia with misconduct until 2014.\(^{28}\) The treaty banned ground-launched ballistic and cruise missiles with ranges between 500 to 5,000 kilometers. Such missiles can execute short-warning attacks on strategic targets throughout European NATO countries.\(^{29}\)
The value that Russia places on its status as a nuclear power was brought into sharp relief after its annexation of Crimea from Ukraine in 2014. On multiple occasions, Russian leadership used nuclear signaling, such as President Vladimir Putin declaring that “Russia is one of the most powerful nuclear nations” as a way of deterring the United States and NATO from intervening.\(^{30}\) Further, Russian foreign minister Sergei Lavrov stated that Russia could deploy nuclear weapons to Crimea without violating international law since the region was now part of Russia.\(^{31}\) Russia continues to signal with its nuclear weapons, conducting large-scale nuclear exercises, probing the defenses of NATO allies with nuclear-capable bombers, and issuing statements regarding Russia’s nuclear readiness.
**Chinese Perspective**
The *NPR* paid much less attention to the deterrent relationship between the United States and China. Whether this tack was a function of asymmetry in the size of the two nuclear arsenals remains uncertain. China’s nuclear arsenal is significantly smaller than that of the United States, but the *NPR* did acknowledge that China lacks transparency regarding its nuclear programs and is undertaking a wholesale modernization, both in quality and quantity, of its nuclear weapons arsenal. The policy document points out that China’s future strategic intentions were unclear regarding both the strategy and doctrine that guide its nuclear deterrent force, as well as the eventual size and scope of those forces. The *NPR* addressed the interdependence between the United States and China, “their shared responsibilities for addressing global security threats,” and the need to promote strategic stability with China without ever defining the necessary ingredients for strategic stability or how it can be realized.\(^{32}\)
China maintains a “no-first-use” policy for its nuclear weapons. That is, the country bases its deterrence on the ability to have a secure second-strike capability—a policy consistently in effect since China acquired nuclear weapons in 1964.\(^{33}\) Although US policy makers debate the veracity of China’s no-first-use pledge, that nation’s small nuclear force supports a counterstrike capability.\(^{34}\) However, the size and capability of that force are changing to meet China’s security needs. Further, its no-first-use promise appears under debate in the People’s Liberation Army (PLA). According to Maj Gen Yao Yunzhu, “Speculations on a possible change to the [no-first-use] policy have not been conjured up without reason.”\(^{35}\)
Why the potential change in China’s nuclear posture and doctrine? According to Chinese military writing, the United States is the main nuclear adversary that China must account for, and “China views advances in . . . [US] ISR [intelligence, surveillance, and reconnaissance], conventional precision strike, and missile defense capabilities as potential threats to the credibility of its nuclear deterrent.”\(^{36}\) It is not the United States’ advanced and superior nuclear capabilities that China perceives as undermining its nuclear deterrent but US advances in conventional capabilities.
How then did China react to the *NPR*’s call to reduce US reliance on nuclear weapons and invest in conventional capabilities to bridge that gap in America’s security needs? Chinese civilian and military strategists have regularly and consistently communicated their concern about a US conventional attack negating China’s strategic deterrent prior to the US release of the *NPR* in 2010.\(^{37}\) After publication of that document, Chinese analysts suggested that the US decision to invest in conventional capabilities such as CPGS was part of the United States’ desire to seek “absolute security” and maintain its military supremacy. Chinese analysts fear that these advanced conventional capabilities designed by the United States to meet its nuclear deterrence needs are not constrained by the “nuclear taboo” and, in fact, are more usable.\(^{38}\)
The Chinese believe that the very usability of advanced conventional weapons designed to perform a deterrence role actually undermines nuclear deterrence and causes other nations to rely more on their nuclear weapons arsenals because they cannot compete with the United States conventionally. Chinese analysts also fear a global conventional-weapons arms race, and some analysts warn that “a world free of nuclear weapons may open the door to the resumption of a large-scale conventional war.”\(^{39}\)
The most worrisome development from China comes from *The Science of Military Strategy* (December 2013), published to inform Chinese military professionals of how the “People’s Liberation Army (PLA) perceives military development in China and around the world” and to offer a framework for the PLA to address them.\(^{40}\) In that publication, the authors outline China’s concern that its limited nuclear force is vulnerable to a first strike that would negate any ability to execute a retaliatory strike. To address this issue, the authors suggest that China may decide to launch on warning of an impending nuclear attack.\(^{41}\) Such a decision increases the possibility of an accidental nuclear launch, given the difficulties in characterizing the type of incoming attack or the dangers of a malfunction in the early warning system.
Finally, the *NPR* repeatedly calls for the need to promote strategic stability with China. However, although that concept has been used in the context of nuclear relations for decades, it has no common, universally accepted definition.\(^{42}\) Further, it also means that China’s concept of what constitutes strategic stability may be different than that of the United States, possibly leading to a misunderstanding. Chinese scholars have recognized this disconnect, noting that US “experts have not given serious consideration to what the true meaning of strategic stability is, and have not adequately prepared to achieve strategic stability with China.”\(^{43}\)
Although it is not the only component of strategic stability, the Chinese perceive changes in the US nuclear posture as a threat to that stability.\(^{44}\) Specifically, Chinese analysts have repeatedly insisted that US advanced conventional capabilities, including CPGS coupled with ballistic missile defense, represent a direct threat to China’s secure second-strike capabilities. Therefore, Chinese analysts perceive a major contradiction in the *NPR*. “Advocacy for military capabilities that are seen to be detrimental to strategic stability in the same document that promotes strategic stability ultimately represents a circular logic” that if not addressed will make it difficult for China to participate in talks meant to promote strategic stability.\(^{45}\)
Implications for Nuclear Deterrence
A gulf exists between how the United States and Russia/China view the value of nuclear weapons. These adversarial perceptions are well documented, predating the development and release of the NPR, but were not taken into account during drafting of the new policy. The US decision to rely less on nuclear weapons to meet its national security needs, instead bridging the gap with advanced conventional capabilities, did not have the desired effect on our adversaries. Instead of inspiring confidence, it reinforced some of their worst fears.
The NPR overstated the improvement in US-Russia relations, and the US declaration that Russia was not an enemy did not consider how Russia viewed the relationship. Failure to take into account that country’s deep-seated suspicion of the United States invalidated the NPR’s assumption that improved ties would allow the United States to rely less on nuclear weapons. Further, US policy and Russian policy do not agree on the usability of nuclear weapons. The US desire to decrease the role of nuclear weapons and compensate with conventional weapons suggests that US policymakers do not feel that nuclear weapons are usable. However, this perception contrasts with Russia’s nuclear doctrine and statements, which have been consistent for well over a decade, that these weapons are quite usable. These differences are further emphasized as the United States debates unilateral reduction in nuclear capabilities while Russia violates a landmark arms-control treaty to increase the types and capabilities of its nuclear arsenal to gain a strategic advantage.\textsuperscript{46} This situation creates a dangerous divide that has the potential for miscalculation and deterrence failure.
Both Russia and China are concerned with US use of advanced conventional capabilities in a strategic manner to negate their nuclear deterrent. According to the NPR, the United States has the strongest conventional capabilities in the world and an alliance system that further augments those capabilities. America has also demonstrated its willingness to use conventional power repeatedly over the last 25 years. The very usability of conventional precision-strike weapons capable of creating effects once reserved only for nuclear forces undermines deterrence by creating or reinforcing perceptions in our adversaries that their nuclear forces are vulnerable and that the United States may have an incentive to strike them. Both China and Russia are reevaluating their nuclear doctrines and relying more on nuclear weapons to counter this perceived threat.
Conclusion
From nuclear weapons’ pinnacle of importance at the end of the Cold War to today, the United States has steadily decreased the attention paid to its nuclear arsenal and strategy, but nuclear deterrence has not decreased in its overall importance. It is clear that our adversaries place much more value in their nuclear arsenals than does the United States, precisely to deter America’s unmatched conventional power. The US decision to rely more on conventional weapons to achieve nuclear deterrence has created dangerous potential for miscalculation in its deterrent relationships with Russia and China.
The United States has fallen into a “mirror imaging” trap by assuming that other nations place the same low value on nuclear weapons that it does and that they have the same priority of reaching “Global Zero.” The Obama administration has even gone so far as to recommend unilateral nuclear reductions, which were made outside arms-control negotiations with Russia.\textsuperscript{47} Part of this policy is that other nuclear-armed nations will follow the US example and choose to reduce the size of their nuclear arsenal. This assumption does not take into account how our opponents interpret their security environment and the role that nuclear weapons play in safeguarding their interests.
Relations with other nuclear powers have been fairly cooperative and benign since the end of the Cold War. Crises that arose were managed, and peaceful solutions have been negotiated, contributing to the mistaken belief that nuclear weapons are no longer relevant. However, could it be that those weapons encourage leaders to be benign and cooperative?\textsuperscript{48} In 1946 J. Robert Oppenheimer reflected that “it did not take atomic weapons to make man want peace. But the atomic bomb was the turn of the screw. It has made the prospect of war unendurable.”\textsuperscript{49} That is, far from being unusable, nuclear weapons are used every day to encourage compromise in international relations because failure to compromise may lead to the unthinkable.
In drafting the NPR, the US government failed to consider the perceptions of our adversaries or to tailor strategy to the unique threat that each poses. As we have pointed out, deterrence is a psychological function in the mind of the adversary. Failure to acknowledge and account for how our enemies view their security environment, their relationship with the United States, their unique history and culture, or the value they place on nuclear weapons to meet their security needs has made our deterrence relationships potentially less stable. Increasing our emphasis on conventional weapons that adversaries view as more usable and a threat to their nuclear arsenals has caused them to feel insecure. To counter this trend, they have modernized and increased the size of their arsenals and rely more on nuclear weapons to meet their security needs.
Nuclear deterrence has always been a risky proposition, and the fact that it has not failed in the past 70 years may have as much to do with our deterrence strategy as plain luck. But as risky as relying on nuclear deterrence is, it is still the “least bad” option and has not lost its relevance. Therefore, it is important that we strive to understand our adversaries as we develop and implement our nuclear-deterrent strategies so that we do not undermine its effectiveness. Nuclear deterrence may be much more fragile than any of us realize. It is imperative that we do not take the “nuclear taboo” for granted by assuming that our adversaries place the same value on the relevance of nuclear weapons that we do.
Finally, in 1960 Herman Kahn came under heavy criticism for his book \textit{On Thermonuclear War} (Princeton University Press, 1960) in which he outlined the possibility of enduring a nuclear war, reducing its likelihood, and coping with the consequences. In response to the criticism, he wrote, “In our times, thermonuclear war may seem unthinkable, immoral, insane, hideous, or highly unlikely, but it is not impossible.”\textsuperscript{50} Today, because it is still not impossible, we must continue to think and learn about the complexities of these issues as the strategic environment
changes, and we must make the effort to understand our adversaries in order to maintain and nurture nuclear deterrence today and in the future.
Notes
1. “Remarks by President Barack Obama, Hradcany Square, Prague, Czech Republic” (Washington, DC: White House, Office of the Press Secretary, 5 April 2009), http://www.whitehouse.gov/the_press_office/Remarks-By-President-Barack-Obama-In-Prague-As-Delivered.
2. Department of Defense, *Nuclear Posture Review Report* (Washington, DC: Department of Defense, April 2010), http://www.defense.gov/npr/docs/2010%20Nuclear%20Posture%20Review%20Report.pdf.
3. Keith B. Payne, *The Great American Gamble: Deterrence Theory and Practice from the Cold War to the Twenty-First Century* (Fairfax, VA: National Institute Press, 2008), 20.
4. Bernard Brodie, ed., *The Absolute Weapon: Atomic Power and World Order* (New York: Harcourt, Brace, 1946), 76.
5. Department of Defense, *Deterrence Operations Joint Operating Concept*, version 2.0 (Washington, DC: Department of Defense, December 2006), 3, http://www.dtic.mil/doctrine/concepts/joint_concepts/joc_deterrence.pdf.
6. Gen Kevin Chilton and Greg Weaver, “Waging Deterrence in the Twenty-First Century,” *Strategic Studies Quarterly* 3, no. 1 (Spring 2009): 34.
7. Department of Defense, *Deterrence Operations Joint Operating Concept*, 3.
8. M. Elaine Bunn, “Can Deterrence Be Tailored?,” *Strategic Forum*, no. 225 (January 2007): 3.
9. Keith B. Payne, “Maintaining Flexible and Resilient Capabilities for Nuclear Deterrence,” *Strategic Studies Quarterly* 5, no. 2 (Summer 2011): 14.
10. Department of Defense, *Nuclear Posture Review Report*, 7.
11. “Remarks by President Barack Obama.”
12. Department of Defense, *Nuclear Posture Review Report*, iv.
13. Ibid.
14. Ibid., 17.
15. Ibid., 45.
16. Kevin Kallmyer, *Assessing Implementation of the 2010 Nuclear Posture Review* (Washington, DC: Center for Strategic and International Studies, June 2011), 16, http://csis.org/files/publication/110826_NPR_Imp.pdf.
17. Amy F. Woolf, *Conventional Prompt Global Strike and Long-Range Ballistic Missiles: Background and Issues*, CRS Report R41464 (Washington, DC: Congressional Research Service, 6 February 2015), 1, https://fas.org/sgp/crs/nuke/R41464.pdf.
18. Global Zero, *Global Zero U.S. Nuclear Policy Commission Report: Modernizing U.S. Nuclear Strategy, Force Structure and Posture* (Paris: Global Zero, May 2012), 2, 11, http://www.globalzero.org/files/gz_us_nuclear_policy_commission_report.pdf.
19. Ibid., 6.
20. Department of Defense, *Nuclear Posture Review Report*, 4, 15.
21. Ariel Cohen and Helle C. Dale, “Russian Anti-Americanism: A Priority Target for U.S. Public Diplomacy,” Heritage Foundation, 24 February 2010, http://www.heritage.org/research/reports/2010/02/russian-anti-americanism-a-priority-target-for-us-public-diplomacy.
22. Jacob W. Kipp, “Russia’s Nuclear Posture and the Threat That Dare Not Speak Its Name,” in *Russian Nuclear Weapons: Past, Present, Future*, ed. Stephen J. Blank (Carlisle, PA: Strategic Studies Institute, November 2011), 468–69, http://www.strategicstudiesinstitute.army.mil/pdffiles/PUB1087.pdf.
23. Dale R. Herspring, “Russian Nuclear and Conventional Weapons: The Broken Relationship,” in Blank, *Russian Nuclear Weapons*, 9.
24. Jonah Friedman, “Russia’s Nuclear Forces and Doctrine,” Center for Strategic and International Studies, 19 July 2011, http://csis.org/blog/russias-strategic-nuclear-forces-and-doctrine.
25. Dan Gouré, “How Barack Obama’s Vision of a Nuclear-Free World Weakens America’s Security: Russia, Deterrence, and Missile Defense,” Heritage Foundation, 10 September 2010, http://www.heritage.org/research/lecture/russia-deterrence-and-missile-defense.
26. “Russia’s New Military Doctrine Lists NATO, US as Major Foreign Threats,” RT News, 26 December 2014, http://rt.com/news/217823-putin-russian-military-doctrine/.
27. Gouré, “Barack Obama’s Vision.”
28. Michael R. Gordon, “U.S. Says Russia Tested Cruise Missile, Violating Treaty,” *New York Times*, 28 July 2014, http://www.nytimes.com/2014/07/29/world/europe/us-says-russia-tested-cruise-missile-in-violation-of-treaty.html?_r=0.
29. “Statement by the Secretary General on the INF Treaty,” North Atlantic Treaty Organization, 30 July 2014, http://www.nato.int/cps/en/natohq/news_111823.htm.
30. Greg Botelho and Laura Smith-Spark, “Putin: You Better Not Come After a Nuclear-Armed Russia,” CNN, 30 August 2014, http://www.cnn.com/2014/08/29/world/europe/ukraine-crisis/index.html?hpt=hp_t1.
31. Sergei L. Loiko, “Russia Says It Has a Right to Put Nuclear Weapons in Crimea,” *Los Angeles Times*, 15 December 2014, http://touch.latimes.com/#section/-1/article/p2p-82295028/.
32. Department of Defense, *Nuclear Posture Review Report*, v, 4–7.
33. Sr Col Yao Yunzhu, “China’s Perspective on Nuclear Deterrence,” *Air and Space Power Journal* 24, no. 1 (Spring 2010): 27–30, http://www.airpower.maxwell.af.mil/airchronicles/apj/apj10/spr10/aspj_en_2010_1.pdf.
34. Stephanie Spies, “China’s Nuclear Policy: (No) First Use?,” Center for Strategic and International Studies, 20 October 2011, http://csis.org/blog/chinas-nuclear-policy-no-first-use.
35. James M. Acton, “Debating China’s No-First Use Commitment: James Acton Responds,” Carnegie Endowment for International Peace, 22 April 2013, http://carnegieendowment.org/2013/04/22/debating-china-s-no-first-use-commitment-james-acton-responds.
36. Michael S. Chase et al., *China’s Incomplete Military Transformation: Assessing the Weaknesses of the People’s Liberation Army (PLA)* (Santa Monica, CA: RAND Corporation, February 2015), 123, http://www.rand.org/content/dam/rand/pubs/research_reports/RR800/RR893/RAND_RR893.pdf.
37. Larry M. Wortzel, *China’s Nuclear Forces: Operations, Training, Doctrine, Command, Control and Campaign Planning* (Carlisle, PA: Strategic Studies Institute, May 2007), viii.
38. Lora Saalman, *China & the U.S. Nuclear Posture Review* (Beijing: Carnegie-Tsinghua Center for Global Policy, February 2011), 22.
39. Ibid.
40. Gregory Kulacki, *The Chinese Military Updates China’s Nuclear Strategy* (Cambridge, MA: Union of Concerned Scientists, March 2015), 1, http://www.ucsusa.org/sites/default/files/attach/2015/03/chinese-nuclear-strategy-full-report.pdf.
41. Ibid., 4.
42. For a detailed discussion on strategic stability, see Elbridge A. Colby and Michael S. Gerson, eds., *Strategic Stability: Contending Interpretations* (Carlisle Barracks, PA: US Army War College Press, February 2013).
43. Saalman, *China & the U.S. Nuclear Posture Review*, 27.
44. Thomas Fingar and Fan Jishe, “Ties That Bind: Strategic Stability in the U.S.-China Relationship,” *Washington Quarterly* 36, no. 4 (Fall 2013): 130, http://fsi.stanford.edu/sites/default/files/TWQ_13Winter_Fingar-Jishe.pdf.
45. Saalman, *China & the U.S. Nuclear Posture Review*, 26.
46. For a detailed analysis of Russian treaty violations, see Dr. Mark B. Schneider, *Confirmation of Russian Violation and Circumvention of the INF Treaty*, National Institute Information Series no. 360 (Fairfax, VA: National Institute for Public Policy, February 2014), http://www.nipp.org/wp-content/uploads/2014/11/Confirmation-of-Russian-Violations-of-the-INF-Treaty8.pdf.
47. Baker Spring, “Disarm Now, Ask Questions Later: Obama’s Nuclear Weapons Policy,” Heritage Foundation, 12 July 2013, http://www.heritage.org/research/reports/2013/07/disarm-now-ask-questions-later-obamas-nuclear-weapons-policy.
48. Patrick M. Morgan, “The State of Deterrence in International Politics Today,” *Contemporary Security Policy* 33, no. 1 (April 2012): 85–107.
49. Jonathan Stevenson, *Thinking beyond the Unthinkable: Harnessing Doom from the Cold War to the Age of Terror* (New York: Penguin Group, 2008), 6.
50. Herman Kahn, *Thinking about the Unthinkable* (New York: Horizon Press, 1962), 21.
**Jennifer Bradley**
Ms. Bradley (BS, Eastern Oregon University; MS, Missouri State University) joined the National Institute for Public Policy as an analyst in 2007. She currently provides on-site support at United States Strategic Command in the Plans and Policy Directorate as part of the Deterrence Analysis Plans Support group in Omaha, Nebraska. She is responsible for conducting adversary-specific deterrence analysis to support strategy and plan development. Prior to joining the National Institute, Ms. Bradley worked as a market research associate for Lockheed Martin Missile Defense Systems.
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Deterrence in Professional Military Education
Paul I. Bernstein*
It is now commonplace to hear or read about the urgent need for fresh thinking on deterrence and for rebuilding the intellectual and analytic enterprise that produced concepts which guided the West through the existential dangers of the Cold War. We hear this admonition from senior civilian and military leaders, subject-matter experts, and commentators—and we hear it with good reason. No one paying attention would disagree that we face deterrence challenges that are different and in some ways more complex than those we encountered in the Cold War or even the first phase of the post–Cold War period. In the emerging security environment, we confront a broader array of antagonists armed with a wider range of conventional and unconventional capabilities; consequently, we must consider the possibility of crises and conflicts with which we have little experience and that could unfold in ways difficult to predict and rehearse. Questions that preoccupied us during the Cold War—how to promote stability, deter nuclear attacks, and manage the risks of escalation—are still with us, although in very new contexts that now encompass novel factors such as cyber weapons and “hybrid warfare.”
The institutional response to this set of challenges in the Department of Defense (DOD) is a work in progress in key areas such as concept development, planning, capabilities, leader awareness, and education. We have made progress in acquiring a stronger understanding of adversary doctrine and developing deterrence concepts that can guide operational planning; moreover, complex escalation scenarios increasingly are the focus of tabletops and war games in the strategic forces community. Nevertheless, significant deficits exist at the regional level, where geographical combatant commands still struggle to understand how conventional conflicts could escalate to the nuclear level and what that would mean for US campaign plans. Important emerging concepts for regional deterrence and defense quite rightly address such issues as conventional power projection in contested operational envi-
*The views expressed in this article are the author's and not necessarily those of either National Defense University or the Department of Defense. The author wishes to acknowledge the contribution of his colleagues Charles Lutes and Robert Peters.
Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line
ronments, but they have yet to wrestle adequately with the ways in which these concepts could shape—or be shaped by—regional nuclear dynamics. Slowly, awareness of these considerations is growing in the necessary communities, as is the recognition that any assessment of future capabilities to underwrite deterrence and defense must account for those that can deliver advantages not only in power projection but in all aspects of strategic warfare.
Professional military education (PME), however, lags in the attention it gives to contemporary deterrence problems. One reason for this is that senior-level guidance to the PME community does not emphasize or even call out these issues. The Officer Professional Military Education Policy (OPMEP), issued by the Joint Staff, provides a comprehensive framework for officer education across the strategic, operational, and tactical domains but curiously fails to highlight the need to teach deterrence in the PME classroom.\(^1\) One could argue that deterrence is an implied topic nested under any number of specific learning objectives defined in the policy. One could argue with equal validity, though, that the absence of an explicit emphasis on deterrence generally and regional nuclear deterrence in particular represents a significant gap that negatively affects the content of education. Indeed, my colleagues and I have been told by a number of current and retired senior military leaders that they had not been adequately prepared for the deterrence and escalation issues they encountered in regional command posts.
Senior leadership is providing, at best, only a weak “demand signal” that would give PME schools the impetus to adapt their core curricula to include vital content on deterrence, escalation, cross-domain conflict, and crisis management under the nuclear shadow. These programs of instruction generally are fully committed to existing OPMEP requirements, and efforts to introduce new content often meet resistance from administrators and faculty. To the author’s knowledge, there has been no recent formal review of the PME system to assess how senior and intermediate joint and service schools address deterrence. Certainly, deterrence is not completely neglected in core curricula, yet substantial engagement in the PME community indicates that across the system as a whole, deterrence is treated neither in depth nor systematically as a major learning objective. Although individual academic or research faculty are free to offer electives, even first-rate elective classes—and good examples of them exist—reach only a relatively small number of students.
Some institutions are further along than others. For example, the Air Force has established critical thinking on deterrence and assurance as a pillar of the “flight plan” for its nuclear enterprise. The goal is to sustain a formal program that will develop a cadre of Airmen with comprehensive knowledge of strategic deterrence and assurance theory, practice, and experience. Air University offers supporting courses such as a two-term elective consisting of intensive seminar discussion, field study, and independent research on nuclear strategy, technology, and policy. A professional continuing education program provides classroom instruction to individuals working in the nuclear enterprise, from junior officers to senior military and civilian leaders. At the Naval War College, the competitive Mahan Scholars program gives students an enhanced learning experience in strategic deterrence and escalation in the context of US national strategy and the conventional, nuclear,
cyber, and space domains. It includes 90 hours of classroom engagement and a major research product.
Programs like these are vital to the overall goal of ensuring that PME treats deterrence in a serious and systematic way and should be encouraged. However, they are only one part of the solution. A comprehensive approach should include the following.
- **Revise the Guidance.** The next review and revision of the OPMEP should state an explicit requirement with respect to deterrence. Doing so will send a critical demand signal to the PME community that leadership wishes to see meaningful content on these issues. Realistically, though, the opportunity to take this step likely will not occur for a few years as a revised OPMEP was issued in May 2015. It is important that a range of other actions be pursued until the next revision process is undertaken. As an example, contemporary deterrence issues should be designated a Special Area of Emphasis in PME for the forthcoming academic year and beyond.\(^2\)
- **Objectively Assess Gaps.** Leadership should commission a formal, comprehensive review of how deterrence is addressed in core curricula at joint and service intermediate and senior schools as well as general officer / flag officer activities such as Pinnacle and Capstone. This review should also consider looking at primary and precommissioning venues, such as the service academies. An existing senior advisory body or an ad hoc blue ribbon–style panel should conduct this review, and a senior leader such as the vice-chairman of the Joint Chiefs of Staff should commission it. Alternatively, the commander of US Strategic Command (STRATCOM) should use his existing authorities to commission such a study by an appropriate body. Work in this area by the Commander’s Strategic Advisory Group may provide a useful starting point. Any review should consider the idea of naming a DOD organizational focal point for deterrence education.
- **Develop a Plan and Supporting Resources.** STRATCOM should take the lead in preparing a plan to strengthen the deterrence content of PME and in developing instructional materials that would support execution. The plan should allow for flexible application by faculties and be modular in nature so that instructors have a menu of resources to consider. This suggests making available model programs of instruction or lesson plans that could be adopted (and adapted as needed) by faculty. One type of curriculum could be tailored for integration into the core, another could support electives, and yet another could focus on candidate tabletop exercises. All could be supplemented by reading lists and other resources for faculty and students, such as a “deterrence primer” that captures essential readings, concepts, and analytic tools. It may also make sense to create an informal reachback resource for faculty who seek advice and assistance.
- **Advocate for Deterrence Education.** The STRATCOM commander and other senior leaders should be forceful advocates for deterrence-related education, both publicly and in the councils of the DOD. Speeches, public presentations, and testimony by these leaders should emphasize the importance of addressing
deterrence in formal and informal classrooms. Any revision or update to the Deterrence Operations Joint Operating Concept should note the importance of teaching deterrence in PME.
- **Nurture Talent.** An effort should be made to identify future leaders at PME schools who are interested in deterrence and related issues. These students should receive opportunities to devote a portion of their work to these topics. At National Defense University (NDU), so-called scholars programs engage students who have expressed a desire to pursue issues of interest to US Pacific and European Commands. These students commit to conduct research and take electives on these topics and are provided research resources and an opportunity to present their findings to leadership. A similar NDU program in collaboration with STRATCOM to focus on deterrence and related issues has been proposed and is under active consideration.
- **Gather the Community.** An annual deterrence education workshop would offer a regular opportunity for PME faculty to share experiences and best practices. Such a workshop could include both formal and informal educators from the civilian academic, think tank, and nongovernmental organization communities. A deterrence education workshop could occur on the margins of STRATCOM’s annual deterrence symposium, or as an alternative to a formal workshop, STRATCOM could consider making a discussion of deterrence and PME a permanent feature of that symposium.
- **Don’t Forget Continuing Education and Professional Development.** Formal PME is only part of the equation. Equally important are joint and service vehicles for continuing education and professional development that need not be associated with degree-granting PME schools. A pressing need exists to give junior-, mid-, and senior-level officers and civilians opportunities to learn, stay current, and engage with their leadership. Further, this is one way of filling gaps in the formal PME system. The aforementioned Air Force program for professional continuing education on nuclear deterrence is a useful model—one that should be followed in the joint community, which already offers courses for general and flag officers in cyberspace, information, and special operations. Even less formal professional development opportunities are important as well. Many of these exist across the DOD, but it is not clear how well such disparate activities address deterrence. A good model for working-level professionals is the Strategic Policy Overview program managed by the Air Force Institute for National Security Studies for the Air Staff.
- **Encourage and Leverage PME Research.** At all PME schools, but especially those with strong research enterprises, research faculty and subject-matter experts should be encouraged to address deterrence in their work, which can be a vital source of conceptual and practical insight to decision makers. PME institutions should also actively promote the timely integration of faculty research on deterrence into the classroom. Doing so may be the norm at some schools, but it should become a routine and deliberate practice wherever possible. Analytic activities performed outside the PME community also should
migrate to the classroom. This could include results of senior-level war games and the work of STRATCOM’s Strategic Deterrence Assessment Laboratory, to cite two possibilities.
Recently, senior leaders have called for greater institutional rigor in PME, noting that education is a key line of effort to offset competitors’ military capabilities and that our PME system is a strategic asset and an asymmetric advantage. To an educator and practitioner in the deterrence field, it seems self-evident that pressing this advantage must entail active engagement on the critical issues affecting deterrence and regional conflict. A “real-time” indicator of whether the DOD shares this view may come soon, as the military departments, in coordination with the Joint Chiefs of Staff and the Office of the Secretary of Defense, undertake a study to identify policy and resource approaches to ensure that PME graduates are properly prepared to understand and contend with the doctrine and capabilities of increasingly sophisticated adversaries. Findings of this study were to be briefed to the deputy secretary of defense and vice-chairman of the Joint Chiefs of Staff in late July 2015.
Notes
1. Chairman of the Joint Chiefs of Staff Instruction 1800.01E, *Officer Professional Military Education Policy (OPMEP)*, 29 May 2015, http://www.dtic.mil/cjcs_directives/.
2. For reference, the 2014 PME Special Areas of Emphasis were Profession of Arms; Women, Peace and Security; Security Force Assistance; and Building Partnership Capacity.
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**Paul I. Bernstein**
Mr. Bernstein (BA, Binghamton University; MA, Columbia University) is a Senior Research Fellow at the Center for the Study of Weapons of Mass Destruction at National Defense University in Washington, DC, and a member of the university’s research faculty. He is engaged in a range of policy support, research, and professional military education (PME) activities related to weapons of mass destruction (WMD), nuclear policy, deterrence, arms control, and regional security. Mr. Bernstein has been an adviser to the Department of Defense Threat Reduction Advisory Committee and currently advises the Defense Science Board Task Force on Deterring, Preventing, and Responding to the Threat or Use of WMD. He is a regular guest instructor at senior war colleges and other PME venues and has developed multiple curricula on nuclear and WMD topics. Most recently he has authored two chapters in the edited volume *On Limited Nuclear War in the 21st Century* (Stanford Security Studies, 2014) and has written the following WMD Center publications: *Proliferation Risks of Civil Nuclear Power Programs* (with Nima Gerami), *The Origins of Nunn–Lugar and Cooperative Threat Reduction* (with Jason D. Wood), *Countering Weapons of Mass Destruction: Looking Back, Looking Ahead* (with John P. Caves Jr. and W. Seth Carus), and *The Future Nuclear Landscape* (with John P. Caves Jr. and John F. Reichart).
James Quest's *Beale Air Force Base during the Cold War*, part of Arcadia Publishing's Images of America series, combines plenty of vintage photographs with a minimum of text to explain their significance. The author does an adequate, though unbalanced, job of capturing the Cold War sights and flavor of Beale AFB, located in California. The introduction relates the Army's use of the base during World War II as Camp Beale and the early Air Force's utilization of it as a bombing and gunnery range after the war.
Chapter 1, "SCARWAF," discusses the Special Category Army Reassigned with the Air Force units there, with photos of these Army engineering forces honing their skills as they developed the base. Focused on the building of the flight line, chapter 2 offers some delightful photographs of the runways and control tower under construction. Chapters 1 and 2 depart somewhat from the book's title insofar as the SCARWAF was a renamed program that started during World War II and ended in the mid-1950s; it was not created for the Cold War. The building of flight lines occurred before, during, and after that era.
Chapter 3, "Titan I Missile Sites," examines Beale's brief tenure as host to intercontinental ballistic missiles and briefly introduces the Titan I and the three local missile sites. The chapter includes a nice selection of photographs of the locations under construction and those in use. Also well documented is a major explosion at one of the sites.
Chapter 4, "KC-135 Stratotanker," and chapter 5, "B-52 Stratofortress," concentrate on the Strategic Air Command tanker and bomber forces, respectively, and their basing at Beale, concisely summarizing the units involved. They include numerous photographs of the KC-135Q (specially adapted to refuel the SR-71 aircraft) but only one photo of the KC-135A. Quest also offers images of two of the three models of B-52 aircraft (E and G) stationed at Beale, omitting the B-52D. Aircraft buffs will be pleased that in most cases, he provides aircraft serial numbers in the captions. Readers will also find photos of the AGM-28 Hound Dog missiles and support facilities as well as a brief discussion of the filming of the movie *A Gathering of Eagles* at Beale, including mention of the swimming pool and roller skating rink donated to the base by Universal Pictures.
In "Scramble!," the sixth chapter, the author addresses the matter of bomber and tanker crews pulling alert duty. Photographs depict the "mole hole" alert facility and crews responding to their aircraft. Chapter 7, "Vietnam War," covers the deployment of assigned B-52 and KC-135 aircraft, along with their personnel, to Southeast Asia. In a nice touch, Quest includes photos and information about the crew members involved in two B-52 aircraft losses and discusses their fates.
Chapters 8 and 9, "SR-71 Blackbird/Habu," and "U-2 Dragon Lady," respectively, highlight these unique aircraft, which served at Beale. Readers learn about aircraft operations and the purpose-built SR-71 hangars but do not see those for the U-2. Quest offers a photograph of a chase car—a fascinating detail of the U-2 program—and includes, without explanation, images of T-38 trainer aircraft.
In "Desert Shield and Desert Storm," the subject of chapter 10, the author examines the base's contributions to those operations. Arguably, a dozen pages of photographs taken in Southwest Asia are out of place here but may be appreciated by Beale veterans of that era. Chapter 11, "The End of an Era," closes out the book with photographs of KC-135Q aircraft.
*Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line.*
departing Beale for the final time. Oddly, one of the captions for a 1994 photo of a KC-135Q observes, “That final symbol of Strategic Air Command at Beale AFB slowly climbed into the heavens” (p. 127) even though the U-2 continued to serve at Beale for many years.
Minor flaws include a photograph taken at “Alicia Airport (present-day Yuba County Airport)” rather than at Beale (p. 10). On page 61, wheel chocks are referred to as wheel “chalks.” Moreover, a KC-10 is misidentified as a KC-135Q (p. 119). More seriously, the book fails to mention two Cold War facilities: the Semi-Automatic Ground Environment (SAGE) Direction Center (DC-18) and the PAVE PAWS (phased array warning system) radar complex, both of which proved significant to our defense during the Cold War and remain hard-to-miss landmarks on Beale. The SAGE Direction Center was operational as such only from 1959 to 1963, but the building survives and has been used for several purposes since that time. The PAVE PAWS complex, employed only during the last decade of the Cold War, continues to operate. This reviewer would have preferred less emphasis on chapters 1, 2, 10, and 11 in favor of including these systems in the book. As it stands, parts of the text have only marginal Cold War interest.
I do not recommend *Beale Air Force Base during the Cold War* for the Air Force audience at large. Students of the Cold War who are familiar with the base will find good supplemental information here on the missile and aircraft missions. Readers new to Cold War history, however, will discover that this book presents a limited view of the base’s role during that time.
Scott D. Murdock
Buckley AFB, Colorado
**Asian Maritime Strategies: Navigating Troubled Waters** by Bernard D. Cole. Naval Institute Press ([http://www.usni.org/navalinsstitutepress](http://www.usni.org/navalinsstitutepress)), 291 Wood Road, Annapolis, Maryland 21402, 2013, 320 pages, $34.95 (hardcover), ISBN 9781591141624.
In *Asian Maritime Strategies*, Bernard Cole offers his readers an expansive, albeit worn, rendition of “trouble is brewing in Asia.” Although his monograph is useful to individuals unfamiliar with the changing scene in the Pacific, it reveals little to those with a decent understanding of the growing tensions there. Regrettably, one finds no new insights in this study. He does, however, provide some handy facts concerning the United Nations Convention on the Law of the Sea, which has become the axis around which disputes revolve but, interestingly, has also added octane to what had previously been less combustible sovereignty issues.
The author charts a predictable path as he analyzes the Pacific “landscape” before delving into specific maritime strategies of the United States, Japan, China, and India, among others. He addresses the much-trumpeted American “pivot” to Asia, pointing out that it has been heavy on rhetoric and less so in any tangible sense, to date. As such, many states, most notably Japan, have begun hedging their bets by expanding cooperation with other Asian players to offset robust Chinese maritime defense spending.
The utility of the work can be boiled down to the intended audience. As an introductory volume, it does a relatively good job of casing the region and the inherent challenges. If, however, the audience is the academic community—specifically, those fully conversant about the area—then this book falls short because it does not push the boundaries; rather, it stays neatly within expected parameters of a prefatory exposition.
A more fruitful approach might have involved examining whether China can stay true to the maxim proffered by its most clairvoyant leader Deng Xiaoping, who wisely advised his countrymen to “hide your strength and bide your time.” Undeniably, China’s continued rise
to prominence depends on a tranquil environment in Asia. Yet, Beijing increasingly appears unwilling (or unable) to manage the contradictory forces of pronounced nationalism and dynamic globalism. Domestic forces may significantly derail China’s future progress just as Beijing appears to be in the initial stages of eclipsing Washington’s power in the region. Ironically, domestic frustrations, stirred in the past to deflect criticism of central government control and authority, may ultimately prove the downfall of the stellar rise orchestrated by Communist leaders. Logically, it is difficult to fathom why China would risk greatly heightened confrontation within or outside Asia. Then, again, logic takes one only so far. As is often the case, rational approaches can be short-circuited by primordial influences like fear, self-interest, and honor. Obviously, America is not immune to these influences. It would have been interesting if Cole had delved into how each side could potentially agitate the relatively placid waters by assuming too much, or too little, about the other.
*Asian Maritime Strategies* updates the ongoing regional disputes and concerns, adding to the glut of coverage. However, it misses the mark in terms of addressing the most crucial questions associated with an impending geopolitical shift of this magnitude.
**Lt Col John H. Modinger, PhD, USAF**
*USAF Academy*
**Revolutionary Atmosphere**, NASA SP 2010-4319, by Robert S. Arrighi. National Aeronautics and Space Administration, History Division, Public Communications Office (http://www.nasa.gov/), Suite 2R40, Washington, DC 20546, 2010, 412 pages, $35.96 (hardcover), ISBN 978-0-16-085641-9. Available free from http://history.nasa.gov/SP-4319.pdf.
On the surface, *Revolutionary Atmosphere* is the history of the Altitude Wind Tunnel (AWT), built during World War II as the centerpiece of the National Advisory Committee for Aeronautics’ (NACA) new Aircraft Engine Research Laboratory (later the Lewis Research Center and currently the Glenn Research Center), and then modified as a space vacuum chamber to test components for the US space program. In the process, this book also illustrates the rapid postwar advance of US air and space technology, evolution of the NACA into the National Aeronautics and Space Administration (NASA), and the rise of the US space program.
The AWT was conceived after NACA and Army Air Corps experts toured German aeronautics research facilities in the late 1930s. With enthusiastic backing from Gen Henry “Hap” Arnold, NACA leadership successfully lobbied for a wholesale expansion of the committee’s test capabilities, including an engine research complex in the aircraft-component manufacturing center of Cleveland, Ohio. The AWT was originally designed to meet the challenge of ground-testing large piston engines under realistic high-altitude conditions.
Completed in 1943, the AWT served its original purpose for only a few years, most notably supporting modifications to the B-29’s fire-prone R-3350 engine. Very rapidly, though, work shifted to research and development of jet engines, starting with the first British Whittle engine installed in the Bell P-59. The AWT tested nearly every jet engine developed in the United States up through 1957 and conducted pioneering research on afterburners and variable-geometry nozzles.
In 1959 the AWT was decommissioned as a wind tunnel and modified to house a multi-axis control trainer for the Mercury program. Two years later, it again underwent modifications to test rocket upper stages and spacecraft payloads in very high altitude and vacuum environments. Renamed the Space Power Chambers (SPC) in this role, the facility supported
development, build out, and launch of space research payloads powered by the Atlas-Centaur until 1975. Rendered obsolete by larger and more modern NASA and Air Force facilities, the SPC was mothballed afterwards and eventually torn down in 2007.
Author Robert Arrighi, a contract historian at NASA Glenn Research Center, has published extensively on the center's history and its facilities. Along with the book, he created a DVD chronicling the history of the AWT as well as an interactive web page and illustrated online tour aimed at educators (see http://awt.grc.nasa.gov/). Typical of most NASA history publications with which the reviewer is familiar, the book is written very matter of factly and heavily illustrated with black-and-white photographs drawn from NASA's archives. Unfortunately, as is also typical of most NASA histories, the photo reproduction is mediocre and doesn't do the originals justice, but the same photographs in better quality can be found on the AWT web page. The first chapter provides a brief description of the NACA's role in US aeronautics development in the 1920s and 1930s, together with an overview of how wind tunnels fit into aeronautical research—essential background for casual readers if they are to appreciate the rest of the book. Although not light reading, Revolutionary Atmosphere offers a unique peek into a dynamic and inspiring time in US aviation history.
Col Jamie Sculerati, USAF, Retired
Land O'Lakes, Florida
War, Clausewitz, and the Trinity by Thomas Waldman. Ashgate Publishing (http://www.ashgate.com), 110 Cherry Street, Suite 3-1, Burlington, Vermont 05401-3818, 2013, 203 pages, $109.95 (hardcover), ISBN 978-1-4094-5139-6.
War, Clausewitz, and the Trinity is a detailed analysis of Carl von Clausewitz's seminal book On War as well as selections from his other writings. The book's purpose is to offer readers a better understanding of Clausewitz and the context of his writing by building on previous secondary studies. Dr. Thomas Waldman, an Economic and Social Research Council Fellow at the University of York, interpreted Clausewitz's theory of war in relation to modern conflict for his doctoral thesis. His knowledge of Clausewitz's life and writings—together with numerous secondary sources on the subject, which he references throughout this book—is impressive.
Here, he focuses on "passion, chance and policy" (p. 2), the three central elements or "trinity" that comprise war according to Clausewitz. The trinity is represented in the physical world by a secondary trinity: the people, commander and army, and government. Dr. Waldman also discusses a tertiary level to the trinity, which is historical context. He emphasizes the importance of context because the face of war is constantly changing. The author points out the discrepancy between Clausewitz's continued popular status with military historians and the lack of in-depth study of his work, a situation that has led to general misunderstanding or misinterpretation of his ideas.
The book consists of eight chapters, including a discussion of the theoretical foundations of Clausewitz's ideology and the historical context of On War as well as separate chapters on each of the individual elements of war and one that discusses their interaction. To understand or appreciate the author's argument, the reader need not have read Clausewitz or be familiar with any of the secondary sources discussed. Waldman does an excellent job of providing background information and synopsizing main points from the works of other historians who have written on the same subject. Consequently, the book serves as a good starting point for further study into Clausewitz's ideology.
A first look at the size of *War, Clausewitz, and the Trinity* would suggest a quick or easy read, but the content sometimes requires rereading to appreciate the author’s point. Overall, the text is well written and detailed, featuring a compelling thesis. The book has no major faults, but the nature of its subject matter makes it somewhat abstract at times. As long as Clausewitz is a focus of study by military historians, including members of the Air Force community, this book should remain relevant.
**Maj Michael D. Kennedy, USAF**
*Camp Walker, Republic of Korea*
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**The Pentagon and the Presidency: Civil-Military Relations from FDR to George W. Bush** by Dale R. Herspring. University Press of Kansas (http://www.kansaspress.ku.edu), 2502 Westbrooke Circle, Lawrence, Kansas 66045-4444, 2005, 490 pages, $45.00 (hardcover), ISBN 978-0-7006-1355-7; 2006, 384 pages, $19.95 (softcover), ISBN 978-0-7006-1491-2.
Dale Herspring’s *The Pentagon and the Presidency* includes 14 chapters, the first and last providing a comprehensive backdrop and conclusion, respectively. Initially, the author introduces a historical outline through a variety of scholars while offering a segue for considering other alternatives to addressing timeless questions and issues concerning the presidency and the Pentagon. Consequently, the final chapter allows readers to arrive at their own conclusions. Herspring offers the notion that while the presidency is colored with vibrant personalities, it can become an inanimate entity and function of the US government.
Throughout US history, presidents have taken office without having served in the military. Herein lies an important, understood expectation that they nevertheless not only support but also intimately understand military culture. Although the relationship between the commander in chief and military leadership is delicate, Herspring inserts another player—the US Congress. He deftly discusses the sometimes volatile intersection between the military and politics during wartime regarding strategic affairs as well as operational and tactical matters. Furthermore, familiar historical figures appear in this study, illuminated by the daily behind-the-scenes drama.
Each chapter offers a personal, animated view of each president and his interactions with the chiefs of staff. Herspring reviews each of the 12 presidents from FDR to George W. Bush, examining divergences between them and the military. He steers the reader through the perils of civilian management of the military while tempering it with respect to the current atmosphere. The author clearly delineates between former military officers and lifelong private citizens who view the presidency through a wide lens.
All presidencies are plagued by fiscal woes and a constant trend of contention that frames the background of policy development during the waging of budget wars and political campaigns. The text illuminates the effects of endless budget battles involving the armed forces.
*The Pentagon and Presidency* is timely and well written, offered without any apologies and adding context to today’s dynamic relationship between modern-day presidents and their chiefs of staff. It is a must-read for students of American and military history. Although the book can be challenging since Mr. Herspring takes his time with the necessary details of history and happenstance, this well-appointed discussion is certainly rewarding.
**Rhondra O. Willis, PhD**
*Naval Criminal Investigative Service Liaison Officer*
*Defense Intelligence Agency*
Predators: The CIA’s Drone War on al Qaeda by Brian Glyn Williams. Potomac Books (http://www.potomacbooksinc.com), 22841 Quicksilver Drive, Dulles, Virginia 20166, 2013, 256 pages, $23.96 (hardcover), ISBN 978-1-61234-617-5.
With *Predators*, historian Brian Williams adds an important study to the ongoing debate over the United States’ drone policy. This thoroughly researched history focuses primarily on the development and employment of the RQ-1 Predator and MQ-9 Reaper, particularly in Pakistan. The work manages to remain balanced, providing a fair, sensible, and insightful look into this controversial topic.
The author’s research is meticulous and thoroughly documented. Williams read and addressed dozens of reports by authors of various nationalities involved with or interested in drone strikes from 2001 to 2012. Consequently, *Predators* speaks from multiple perspectives, from America’s insistence on the importance and precision of drones, to the concerns of Pakistani civilians, to the claims of Taliban officials. Williams’s research helps support his overall claim that although drones have caused considerable collateral damage, those incidents are isolated, and these platforms have proven exceptional in their ability to hunt and engage their targets. Furthermore, he argues that US insistence on secrecy and the inability to handle foreign-relations policy hurt the American cause. Williams notes that the Bush and Obama administrations simply failed to explain to the world—Pakistan in particular—the usefulness of these aircraft.
Air Force members, politicians, journalists, and the general public need to read this history. Williams does a brilliant job of addressing the facts, clarifying much of the conjecture and myth surrounding the use of remotely piloted vehicles. Whatever biases he holds are well concealed, and he never allows his feelings to sway the drone argument one way or another. Rather, Williams does exactly what a historian should do by letting the record speak for itself and drawing conclusions only when all research has been exhausted. Although the author makes a solid case in support of drone warfare, he holds nothing back, exploring not only the program’s successes but also its failures.
Regardless of public opinion, drones are now an integral part of military operations. *Predators* is a must-read for everyone who wants to understand the virtues and vices of these platforms.
Capt Ian S. Bertram, USAF
Kirtland AFB, New Mexico
Crowded Orbits: Conflict and Cooperation in Space by James Clay Moltz. Columbia University Press (http://cup.columbia.edu/), 61 West 62nd Street, New York, New York 10023, 2014, 240 pages, $30.00 (hardcover), ISBN 978-0-231-15912-8.
Understanding the unique challenges of space proves difficult for many strategists, even those well versed in traditional, earthbound conflict and cooperation scenarios. In *Crowded Orbits*, James Clay Moltz provides an introduction to the basic hurdles within the space environment and across several political arenas. By emphasizing the importance of international cooperation to space, he tries to shed new light on this difficult area while keeping most topics at an introductory level. The book offers basic guidance and assumes that the reader has no previous experience with space topics or concerns. The introduction, flyleaf,
and press release repeatedly refer to the text as a primer; however, they also suggest that it may provide more detailed analysis regarding further cooperative theories.
The author’s thesis maintains that any potential space scenario will result in the emergence of a military hegemon, piecemeal agreements between various players, or dedicated international governance. He theorizes that all space conflict and cooperation proceed from the military’s desire for control, an economic desire for wealth, or an altruistic, international-governance approach that seeks to solve humanity’s future space challenges. *Crowded Orbits* begins by examining both the physical issues and political developments that led mankind into the space age. Other chapters explore military, civil, and commercial advancements before addressing the changes that various political structures created within the space environment. Finally, Moltz summarizes his initial arguments before concluding rather simply that conflict prevention remains everyone’s responsibility.
Several strong points immediately appear within the text. All sections are clear and well marked by subject area, allowing easy reference throughout and a quick review if one wishes only to highlight an area rather than proceed from point to point. The repetition of most elements enhances rapid reference. Further, one can easily flip through the work without worrying about being dragged into specific details. The presence of multiple charts and graphs that compare physical characteristics such as launch capacity, first-ever space events, and existing booster-vehicle capability also facilitates easy reference. Additionally, Moltz uses numerous popular allusions to drive home his meanings. The clear section markings, useful charts, and popular approach all contribute to the text’s value for readers who require only a cursory overview of space.
However, one wishes that the author had employed a more standardized approach to various high-level topics to permit an easier comparison of chapters. It is difficult to compare the advances that appear in the civil-approaches chapter to those in either the section on military strategies or the one on economic investment since no unified approach standardizes analysis. For example, the chapter on civilian space primarily evaluates development applications of various national agencies, devoting only a couple of pages to civilian theories. Contrastingly, the chapter on military development emphasizes military strategic theory, offering only a few paragraphs on military operational applications. Concentrating on either theory or application from one chapter to the next would emphasize understanding within the scenarios. This dichotomy might appeal to beginners but fails to adequately support Moltz’s thesis.
Although the author repeatedly returns to the main points, one feels that he makes no attempt to expand any particular perspective. His own views about considering only international governance as a worthwhile approach lack sufficient evidence. Moltz spends more time on challenges arising from conflicted and crowded space orbits than on any actual conflict in space between either national militaries or civilian governments. Repeatedly, the text stresses that cooperation would be preferable to conflict, but one feels that the latter could be resolved quite adequately by a single hegemon as opposed to techniques of shared governance. The book presents no discussion regarding which method is preferable for either specific or grouped challenges. Moltz suggests no paths to follow in reaching particular goals; moreover, although he advocates that a shared space environment would be in humanity’s best interest, the evidence is lacking.
The chapter on “Commercial Space Developments” seems the most useful. Moltz covers all of the areas in which companies seek economic growth, rapidly addressing communications, remote sensing, launch, mining, and energy without promoting any single position or specific development. Reviewing space problems, however, only highlights those areas already
made evident in early chapters. The limited number of available orbits also drives radio frequency congestion and underlines the lack of any defined approach to new corporations within space. Without a military hegemon, piecemeal approach, or global governance, one can imagine the problems posed by the crowded environment. Although the economic potential is substantial, no methods for realizing that potential appear within the work.
Overall, *Crowded Orbits* is a worthwhile starting point for readers unfamiliar with either the space domain or the unique issues presented by today's international environment. It describes many countries' development methods and independent economic possibilities, but the absence of any standardized comparison prevents the advanced reader from following any specific launch path to a conclusion. Certainly, the discussion of problems such as congested orbits within the geostationary belt, limited launch capacity, and the failure to provide a unified global approach is useful. However, the lack of any solution beyond advocating further study severely limits the book's utility. One applauds Moltz's attempt to make a difficult topic accessible to beginners, but a more detailed look at any one section would have increased the text's value to intermediate and advanced students as well.
**Lt Col Mark Peters, USAF**
*Wright-Patterson AFB, Ohio*
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**Rebalancing U.S. Forces: Basing and Forward Presence in the Asia-Pacific** edited by Carnes Lord and Andrew S. Erickson. Naval Institute Press (http://www.usni.org/navalinstitutepress), 291 Wood Road, Annapolis, Maryland 21402, 2014, 240 pages, $47.95 (hardcover), ISBN 978-1-61251-465-9.
*Rebalancing U.S. Forces* is a collection of essays relating to the Obama administration's "rebalancing" of forces to the Asia-Pacific region—or, as that action is frequently called, the "Asia-Pacific pivot." The collection—assembled by editors Carnes Lord and Andrew Erickson, faculty members at the US Naval War College—has a distinct naval flavor. That bias, however, does not detract from either the book's relevance or contribution, which is substantial. Arranged geographically, the eight chapters address, in turn, (1) "Guam and American Security in the Pacific," (2) "Japanese Bases and Chinese Missiles," (3) "South Korea: An Alliance in Transition," (4) "The U.S. Strategic Relationship with Australia," (5) "Singapore: Forward Operating Site," (6) "Diego Garcia and American Security in the Indian Ocean," (7) "U.S. Bases and Domestic Politics in Central Asia," and (8) "The Role of Sea Basing."
In the introduction, the editors point out the contrast between Americans' view of US military presence on foreign soil and that of non-Americans:
Americans have long taken for granted the global network of military bases and facilities of all kinds that the United States acquired following World War II and has largely if not completely retained ever since. . . . But what Americans ignore or take for granted is neither ignored nor taken for granted by . . . friends and allies of the United States. For the latter, an American military presence on their soil raises inevitable questions of national sovereignty, often leads to frictions of various kinds with the host populations and political complications for their governments, and, not least, threatens to embroil them in unwanted military conflicts. . . . Potential adversaries . . . are keenly aware of the presence of American troops and warships on their doorstep and highly sensitive to their activities . . . as well as to any alteration in their numbers or makeup (p. 2).
These themes suffuse each of the essays, accompanied by a historical perspective on each geographic region.
In the first chapter, Erickson and Justin Mikolay focus on Guam. They argue that this territory is an essential element of US national security in the Pacific region because “there are no new islands or new access points to be discovered in East Asia; the U.S. capability to use existing access points and bases must be increased. Building up the American presence on Guam is the single most important step that can be taken to effect this crucial transition” (p. 30).
Toshi Yoshihara then addresses US bases in Japan and their potential vulnerability to Chinese missiles and/or coercive diplomacy backed by the threat of using these missiles. The author bases much of his research on publications of the People’s Liberation Army and the “abundant, but largely untapped, Chinese open-source literature on naval affairs” (p. 39).
The book’s third chapter, by Terence Roehrig, traces the history of American military basing in South Korea, past efforts to restructure or draw down the US forces there, the cost of those bases, and their future, noting that “while U.S. bases are focused on deterrence and defense of South Korea, they also provide a base for power projection in the region should that become necessary” (p. 72).
In chapter 4, Jack McCaffrie and Chris Rahman chronicle the long history of US engagement with Australia, beginning with the arrival of the first American troops in 1942. Of recent arrangements, the authors write that “American use of Australian territory . . . has been built on three elements: the ongoing salience of . . . joint facilities, expanded training and combined exercising, and access to Australian bases and facilities as points for transit, logistic support, and repair for U.S. ships or aircraft” (pp. 100–101). Despite the shared interest noted in this passage, the presence of American bases in Australia has become the subject of controversy, mostly due to the clandestine nature of the missions of some of those bases, which has even been kept secret from some of the highest government officials in Australia.
Of Singapore, Rahman writes in chapter 5 that although “the United States does not operate its own military bases in Singapore . . . the island . . . has become increasingly important to U.S. Pacific Command, particularly the U.S. Navy, since the end of the Cold War as the foremost Southeast Asian location for in-region support facilities” (p. 118).
Diego Garcia is doubtlessly the most important US military facility in the Indian Ocean region. Indeed, Walter Ladwig III, Erickson, and Justin D. Mikolay, the authors of the sixth chapter, argue that it is “one of the most strategic American bases in the world” (p. 136). This essay, the longest in the book and the most detailed, includes 15 pages of copious endnotes.
In chapter 7, Alexander Cooley writes about US bases in Central Asia—namely, those in Kyrgyzstan and Uzbekistan. These bases came about as a consequence of the war in Afghanistan and have been embroiled in both internal and international political controversy, primarily with Russia.
The last essay, by Sam Tangredi, addresses sea basing by observing that there is no consensus about the definition of that term. Rather, “in its broad vision, ‘sea basing’ refers to the capability to use the sea in the same way that U.S. forces use overseas regional bases for deterrence, alliance support, cooperative security, power projection, and other forward operations” (p. 200). Tangredi concludes with four recommendations for the Department of Defense to consider regarding this capability.
Each of the essays in *Rebalancing U.S. Forces* is a valuable contribution to the analysis of the United States’ global strategy and the role that its bases play in the world, particularly in
the Asia-Pacific region. The questions they raise should be the subject of discussion and debate at the highest levels of the Department of Defense.
Dr. Clark Capshaw
Military Sealift Command
Washington Navy Yard, DC
Disclaimer: The views and opinions expressed or implied in the Journal are those of the authors and should not be construed as carrying the official sanction of the Department of Defense, Air Force, Air Education and Training Command, Air University, or other agencies or departments of the US government. This article may be reproduced in whole or in part without permission. If it is reproduced, the Air and Space Power Journal requests a courtesy line.
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To educate individuals to become compassionate and responsible global citizens who contribute towards sustainable development.
Newsletter
August ‘24
In this Issue:
Events and Celebration
- Making ‘Thank You’ Cards 2
- Tamil Day & Founder’s Day 3
- National Librarian’s Day 4
- Independence Day 5
- Janmashtami Celebration 7
- Achievements in sports 9
- Career Exploration Program 11
- Pre Athletic Meet 12
- Annual Sports Meet 13
- Moonlight Memories 15
Teaching and Learning Innovations
- Action Words - Dumb Charades 17
- Weave Your Way to a Greener World 18
- Respond to Stimuli 19
- Tiny Creepy Wonders 20
- What's inside Me 21
- Following Directions 22
- Tilting the Soil 23
- Our Green Friends 24
- Process Chart on Neem Seed Manure 25
- Leadership 26
Compare and Contrast the Geographical Features of Western and Eastern Ghats 27
Poster-Making 28
Exploring Liquid Pressure 29
வேட்டைக்கிளியும் சந்தைமாலையும் 30
Addition and Subtraction of Like Term- Using 2D Shapes 31
Observation on Microorganisms 32
Learners of PP2 gathered and created gratitude cards for the akkas and annas in the school placing their fingerprints. Learners thanked them wholeheartedly. Learners appreciated the hard work and care of the helpers. Learners showcased their creativity, fine motor skill development and social-emotional learning while fostering a sense of gratitude and community. Learners of Grade 3 made ‘Thank You’ cards using the Scribus Program. The students also expressed their gratitude to the founder of CVM through making cards.
Tamil Day & Founder’s Day
ராஜா சார் அத்தியார் செட்டியார் அவர்களின் பிறந்தநாளை முழுமையாக அவள்ராய தினம் தமிழ் நாளாக கொண்டாடப்பட்டது. தமிழ்நாட்டின் வாழ்ந்துள்ள வியாழன் கோவிலின் வேறுபாடு கல்வியின் முதல்வர் பாக்டர் புரிதா, பல்வீர் கல்வியின் தலைவர் ஜூரிக்கோலபாரங்கள், அவள் பிறந்தநாள் கோலாலம் மாவோர்கள் அத்தியாரிக்கும் வியாழன் கிறிப்பித்துக்கர். ஜூரிதாம் வகுப்புப்பாச் செருந்த சபிக்கு ராஜா சார் அத்தியார் செட்டியார் அவர்களின் சிறப்புகள் தொடர்ந்து மார்கம் வாழ்ந்த வகுப்பு செருந்த பிறந்த வள்ளவர் தமிழ் மொழியின் சிறப்புகள் தொடர்ந்து உள்ளார்கள். பின் மாவோர்கள் சுவாக பார்த்தார் பாடல்களைப் பாடினர். வியாழன் சிறப்பித்த அவள்வந்துக்கும் நெறி தொடர்ந்து நாடைப் பல்வீர்கள் வியாழன் வியாழன் நிகழ்வை நிறுவின்றன. ஒரு பட்டியல்வாமல் அவள்ராய தினம் பல்வீரில் பல்வீரியும் sisters and brothers அவள்வந்துக்கும் வியாழனாட்டு நிகழ்ச்சிகள் நடைபெற்றன. போலவே மாவோர்கள் கோலாலம் வந்த பழங்கள், ஒருப்ப பல்வீர்கள் அவர்களுக்குப் பிறந்த வழக்கப்பட்டது.
CVM commemorated the birthday of Padma Shri Dr. Sirkazhi Ramamirtham Ranganathan, the Father of Library Science in India during the Librarian’s Day which celebrates his service for libraries and their establishment among all readers. This day honours his invaluable contributions to the field, including the Five Laws of Library Science and the Colon Classification system. The celebration took place in the library premises, where learners gathered to pay tribute to Dr. Ranganathan's legacy. Learners shared their views on libraries and reading habits. The event served as a testament to the impact of Dr. Ranganathan's work and the importance of librarians in shaping the young minds.
Chettinad Vidya Mandir celebrated the 78th Independence Day with vibrant events, including Flag Hoisting, a Guard of Honour, and an inspiring speech by Chief Guest Mr. Tennyson Premkumar, a former Senior Non-Commissioned Officer in the Air Force. The event stood out for its learner-driven activities, particularly the Gallery Walk, which showcased student artworks reflecting creativity and patriotism.
The Gallery Walk also featured Idea Stations, where students presented innovative solutions to local issues, encouraging deeper reflections on patriotism. A special addition was a QR code placed around the school, allowing the community to share their personal ideas of patriotism and how they plan to practice it throughout the year.
The event concluded with Mentor Mr. Aniruddha Kar honoring the Chief Guest and a vote of thanks. The thoughtful integration of technology with tradition left a lasting impression, elevating the celebration to a meaningful showcase of student-led innovation and engagement.
The school celebrated Independence Day with great enthusiasm and patriotism. The students participated in various activities such as flag hoisting, patriotic songs, and speeches. The event was well-organized and marked by a sense of national pride and unity.
Learners from Kindergarten to Grade 12 had a wonderful experience decorating their classes with maavilai thoranam, creating intricate kolam designs using vibrant coloured powders and drawing Krishna's foot at the entrance of the class. This art form not only added to the festive atmosphere but also showcased the students' artistic skills. The classroom was beautifully decorated with Janmashtami-themed artwork and posters depicting stories from Krishna's life. This added to the festive ambience and allowed students to immerse themselves in the celebration. During the Morning Meetings, learners discussed the qualities and teachings of Lord Krishna, emphasizing values such as love, compassion and righteousness, his symbols and also about Lord Krishna's teachings from the Mahabharata. They listened to the stories of Krishna told by the acharyas and they highlighted the important lessons in humility, respect, the value of listening to others and keeping up the promise which is indeed a powerful lesson in integrity and fairness. On the day of celebration, learners and acharyas sang devotional bhajans and songs dedicated to Lord Krishna. The learners of the homeroom had a chance to participate in fireless cooking sessions where they learned to prepare delicious sweets like aval and jaggery without using direct heat. They also reflected on how the celebration impacted them.
The students of Grade 1 celebrated the festival of Pongal with great enthusiasm and joy. They participated in various activities such as decorating the classroom, making pongal, and performing traditional dances. The festival was a wonderful opportunity for the students to learn about their cultural heritage and celebrate the harvest season.
Rana of Grade 5 has been dedicatedly training as a 10-meter Rifle Shooter for the past two years. His hard work and passion led him to participate in the sub-youth and junior categories at the state level in which he represented his team in the team event. We are proud of his achievements and wish him continued success in his shooting career.
Rithvik Pranav.R of Grade 1 has been diligently training in the traditional Indian martial art of Silambam, specifically in Nedum Kambu Veechchu and Kambu Sandai for the past one year. His dedication and passion have yielded impressive results, earning him a Bronze medal in the Under-11 category at the District Level. We are delighted to acknowledge his achievement and wish him continued success in his Silambam journey.
Sathiya sahithyan of Grade-7 has been training for the past 4 years and he completed in state juniors category and won a silver medal.
R. Krishna of Grade 7 has been training in Inline Skating for the past five years. He competed in the Under-8, Under-10, and Under-14 categories and won a gold and a Silver medal in Kovai Sahodaya skating events. This year, he is competing in the open National category on behalf of the Tamil Nadu open State.
M. Kowsikan of Grade 1 has been training in Inline Skating for the past four years. He competed in the Under-8 category and won Silver medals in Kovai Sahodaya skating events. This year, he is competing in the Open Tamilnadu category on behalf of the district open.
A. V. Kayal of Grade 3 has been training in Inline Skating for the past two years.
She competed in the Under-10 categories and won a Silver medal in the State Level open skating competition held at Tiruppur. A V. Mithra of Grade 1 has been training in Inline Skating for the past two years. She competed in the Under-8 category and won Silver medals in the State Level open skating competition held at Tiruppur.
Ms. Jayashree Senthil, the Executive Director of Shree Renga Polymers Pvt Ltd and Managing Trustee of SRP Foundation, met the Middle School learners at CVM, for an expert-driven, career exploration session integrating Green Education and shed light on Entrepreneurship in the industries. She shared her extensive knowledge and experience in the polymer industry, providing learners with valuable insights. She explained the process of recycling PET bottles into fabric through an engaging video. The learners discovered that a football ground full of PET bottles is recycled in her factory every day, resulting in a significant reduction of carbon emissions. The session left a lasting impact on the learners, encouraging them to adopt sustainable practices and contribute to environmental conservation.
The Pre-Athletic Meet at Chettinad Vidya Mandir, Karur, was held colourfully on the 23rd of August to honour the sportsmanship of the learners of Grades 4 to 12. The Mentor Mr. Aniruddha Kar declared the Meet open. The events varied such as track, jumping and throwing. The meet began with the 800m running for boys followed by the 400m, 200m and 80m events for both boys and girls. The Soft Ball Throw and Running conducted for Grades 4 and 5 made the day more interesting. Discus-throw and Shot Put gained separate appreciation. The acharyas in charge arranged the track events and others one after the other with no delay. Overall, the Pre Athletic Meet 2024-25 was a resounding success, promoting a spirit of competition, teamwork and sportsmanship.
The 15th Annual Sports Meet was celebrated on the 31st of August, by Chettinad Vidya Mandir at the CCET ground with multiple track events and an event for parents. The Mentor Mr. Aniruddha Kar and the Management Representative Dr. A. Punitha presided over the ceremony. Dr. K. Ganesh, the CEO of Kshathriya Academy, Pondicherry, was present as the Chief Guest of the day. The agenda of the day comprised March Past, Lighting the Olympic Torch, Invocation Dance, Mass Drills with Pyramid, Yoga and Fitness Exercises and the track events for all levels of learners. In his speech, Dr. K. Ganesh represented the significance of physical fitness and sports. The Mentor honoured the Chief Guest with a memento. He also explained the motifs of the stalls set up by the learners paralleled for the Teachers’ Day purpose. A special event for parents was conducted. The prize-winning parents were honoured with the saplings earlier grown by the school. The Chief Guest and the Mentor honoured the prize winners with certificates and medals and our Management Representative announced that the Blue House secured the overall Championship for the year 2024-25 in Sports.
BUT ARE DOCTORS SAFE?
The event began with an engaging ice-breaking session in the auditorium, featuring team-building activities and fun group naming. Learners presented their group names in unique and entertaining ways. The Escape Room activity fostered teamwork as they collaborated to solve puzzles and share responsibilities. The Scavenger Hunt, an exciting outdoor game, helped them understand and appreciate each other’s perspectives. Learners cooked their planned recipes and enjoyed a delicious dinner. The highlight of the evening was the campfire experience led by the Coordinator, where they lit the fire with reverence, starting with waffles to fuel wood. Acharyas explained the significance of fire, adding depth to the experience. Singing and dancing around the campfire followed, adding joy to the night. The day concluded with a movie screening in the auditorium. The second day started with a rejuvenating session of Yoga Asanas, Pranayama, and Zumba dance, followed by a silent nature walk that was both refreshing and relaxing. After breakfast, learners gathered in the auditorium to share their reflections on the memorable experiences. Moonlight Memories offered a refreshing break from academics and created lasting memories of the time spent with friends. It was truly a remarkable and enriching experience for all.
A day filled with activities and fun, promoting health and wellness among students.
Learners of Grade 1 explored Action Words with serious intent. They were in groups. One from each group had to pick a card and enact the word written to their peers in the group until the rest found the word. They observed and appreciated the way their teammates tried to gesture the words for them to find them.
Learners of Grade 2 stepped into the world of natural fibres by exploring cotton, jute, and coir through touch and find. From soft cotton to sturdy jute and versatile coir, they uncovered the unique textures and possibilities of each. That's not all! They also examined innovative products made from these fibres and sharing their findings with their groups. This interactive adventure sparked a deeper understanding of how these natural resources can be transformed into everyday essentials.
Grade 3 learners tried to find the response and stimuli in plants, human beings and animals. They experimented with different stimuli and recorded their experiences. They also observed the response of the mimosa plant. They watched a short video on “The Responses of Animals to Stimuli” too. Learners opined that stimulus is an important feature that causes the reaction in living things.
Nature Walk is part of the Wall-Less classroom. Learners of Grade 3 explored the tiny creepy crawlies. Learners carefully collected them and learnt about the differentiation between the spider and an insect. Through this, they learnt that insects possess a special feature of having six legs. They also observed a domino beetle under the magnifying glass and identified its body parts.
Grade 3 learners learnt about the internal and external organs in the human body. They became curious about their internal organs. They also visited the composite lab and observed the organ specimens. Later, they named the organs and identified their shapes too.
The cardinal points were introduced to the learners of Grade 3 with an activity. Learners of Grade 3 explored the four directions curiously. They found the Sunrise as a pivot and assumed the directions as East, West, North and South. They enjoyed how the Direction Card worked. They used the Direction Cards and reached the destinations assigned according them. Event after reaching their class, they discussed the direction to the dining and applied the learnt idea to reach the location.
Learners of Grades 1, 2, and 3 jumped into the task of preparing the soil for seeding as the lucky month for doing so is approaching. They cleaned the field of the stones, plastic objects, and polythene paper. From their house, they brought cow dung, onion, and garlic peel. They dropped the banana peel inside the banana manure box. They dug and ploughed through the hard soil. They blended them into the soil. They created framed boundaries using bricks. They deduced from this that the soil needs to be ready for germination and that there are numerous preparatory steps involved before seeds are sown.
Learners of Grades 1, 2, and 3 discussed about Neem Trees with their parents and gathered as many details as possible. They shared them with their peers. They collected the neem seeds scattered across the ground, tasted them and dried them in the green education room. They mentioned how sweet the yellow, ripe neem fruit is, whereas the green fruit is extremely bitter. They also discussed how the oil mills make them into neem oil. Learners learnt the way the natural pesticide preparation depends upon the neem seeds and worked hands on to illustrate the production of it as well.
Grade 5 learners presented the assembly on “Our Green Friends” on August 17, 2024. The assembly emphasized the importance of trees and the natural world. Singing, Dance and Role Play they promoted the significance of trees and nature. Learners brought some historical movements such as Chipko in front of the eyes of the audience and vivified the duties and responsibilities of every citizen to preserve the natural resources for the next generation.
Leadership Programme at CVM is getting interesting year by year. Learners of different grades explored multiple techniques to aid the Habits represented by the programme. In continuation, Grades 1,2,3 and 8 explored Habit-3, "Put First Things First". They learnt the significance of sequencing things for the best outcome of any process. Grades 4, 6, 7 and 9 explored Habit-2, "Begin with the End in Mind". They checked on how the 'Fishbone Diagram', 'Goal Setting' and Plus and Delta Chart justify that any process that is picturized before stepping into is of its best to make the outcome successful, acceptable and the most favourable.
Learners of Grade 9 explored the physical features of India, during their Geography class, by analyzing the facts such as types of soil, rivers, peaks, special features, the impact of climate, boundaries, the concept of geological erosion and deposition and its impact on India's physical features in a detailed way. Through working in pairs, they compared and contrasted the western ghats and eastern ghats. They recorded the results in the Venn diagram and shared them with their peers.
Learners of Grade 8 had an opportunity to explore the types of resources and their uses in real life under the topic "Resources" during their Geography class. Firstly, students did research work to explore the unfamiliar natural resources and shared their uses in the class as an individual activity. Secondly, they performed a roleplay to exhibit the problems in conserving the resources and ways to conserve the resources. Finally, they created an awareness poster to conserve resources by focusing on the principles of sustainable development. Learners understood the significance of preserving resources for the future.
In Grade 8 Physics, learners explored the fascinating concepts of liquid pressure, including properties of liquid pressure. One fundamental principle that governs the behavior of pressure in fluids is Pascal's Law. To better understand this concept, learners conducted an experiment to observe and analyze the properties of liquid pressure using simple materials. This experiment not only deepened their understanding of theoretical concepts but also provided hands-on experience in scientific inquiry and observation.
வேட்டக்கிளியும் சருகுமானும்
தரம் 8 - இந்திரசனா பிரிவு மாணவர்கள் வேட்டக்கிளியும் சருகுமானும் என்று கல்லூரியான நாட்கமாக நவத்துக்கு காட்டெண்ணர் மாணவர்கள் தங்குவோடை கதாபாத்திரங்களுக்குரிய வசந்தகளையும் அதற்கும் தலைச்சக்கரிகளையும் தயார் செய்துளர். வரும் இருக்குத்தாட்டும் உடை பாவலையும் இலைநந்த கலத்தபிகளுக்கு திருப்பட நவத்துக்கு காட்டெண்ணர்.
Learners of Grade 8, in a Mathematics class, explored a creative and hands-on approach to learning algebraic expressions. Instead of relying solely on abstract symbols, they were introduced to physical cutouts representing geometric shapes (such as circles, squares, triangles, and rhombuses) to help learners grasp the concept of Like Terms and their manipulation. Learners understood the algebraic expressions, specifically focusing on like terms. By using tangible cutouts, they aimed to make the connection between mathematical abstraction and real-world representations more concretely.
Learners of Grade 8 observed the structure of different microbes under a microscope using permanent slides. By observing permanent slides of spirogyra, bread mould, and bacteria, students gained hands-on experience in identifying and understanding microorganisms. Spirogyra’s spiral arrangement was very different from the thread-like hyphae of bread mould or the diverse shapes of bacteria. Learners discovered more such interesting facts about microorganisms during their Biology class.
Chettipalayam, Puliyur C.F, Karur District, Tamil Nadu.
Contact Numbers: T +(0)4324 251977, M +(0)9786696574
E-mail: email@example.com
Website: www.chettinadvidyamandir.org
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Towards Ontology-Related Support for Transdisciplinary Research
Mykola Petrenko\textsuperscript{1,⋆,†}, Mykola Boyko\textsuperscript{1,‡}, Sergii Kotlyk\textsuperscript{2,†} and Kyrylo Malakhov\textsuperscript{1,‡}
\textsuperscript{1} Glushkov Institute of Cybernetics of the National Academy of Sciences of Ukraine, 40 Glushkov ave., Kyiv, 03187, Ukraine
\textsuperscript{2} Odesa National University of Technology, 112, Kanatina Street, Odesa, 65039, Ukraine
Abstract
The methodological foundations for the formation and support of transdisciplinary research using the methods and tools of ontological engineering have been developed. The stages of formation of the theory of transdisciplinarity are defined, in which the processes of building the categorical level of concepts and integration of knowledge domain, the formation of clusters of convergence of subject disciplines, the scientific picture of the world and the corresponding global network of transdisciplinary knowledge take a special place. In this case, a special role belongs to informatics as a system-forming branch of knowledge. The development of the NBIC-cluster of convergence opens wide, not yet sufficiently assessed, possibilities of a global knowledge-oriented Internet, but with it also the whole of modern civilization. Obviously, this development will follow first the path of creation of the applied distributed systems in specific knowledge domain (Internet of Things, Smart systems in telemedicine, environmental monitoring, information support of goods and services, energy systems, utilities, etc.). Grid-, Blockchain-technologies and Cloud-computing, as well as virtual organizations, structures and services will occupy the central place in them.
Keywords
Transdisciplinarity, Transdisciplinary Scientific Research, Noosphere, Scientific Picture of the World, Onto-logical Engineering, Convergence Clusters
1. Introduction
In the modern scientific picture of the world (SPW), based on the ideas of the general concept of evolution, self-organization, co-evolution, nonlinearity, it is assumed that the subject understood as a society, enters the system it cognizes as an active component of this process-system [1, 2].
A well-known philosophical concept called the transhumanism, which is exploring the possibilities and consequences of achievements of science and technology, the dangers and the benefits of using them. In opposition to transhumanism, the ideas of posthumanism are represented, the central thesis of which is the acceptance of Man, Society and Nature as three jointly evolving systems [3].
Techno-science have become a force capable of fundamentally changing the nature of man and his life activity. At one time it was necessary to expand the scientific worldview what requires science more deeply and intensively penetrating into the essence of the laws of nature and society, than it was possible to do with the help of disciplinary and interdisciplinary approaches. J. Piaget believed that “after the stage of interdisciplinary research, one should expect a higher stage – transdisciplinary, which will not be limited to interdisciplinary relations, but will place these relations within the global system, without strict boundaries among disciplines. Transdisciplinarity should be considered as a new field of knowledge, different from multidisciplinarity and interdisciplinarity” [4]. Historical aspects of the formation of transdisciplinary research are
considered in [5]. The purpose of this publication is to develop a conceptual framework for the digitalization of transdisciplinary scientific researches.
2. Brief Description of Types of Scientific Researches
In terms of the classification of scientific approaches, it is useful to choose such criterion as the degree of completeness of knowledge of the surrounding world. Then all the approaches can be reduced to four main types: disciplinary, interdisciplinary (ID), multidisciplinary and transdisciplinary (TD) approaches.
In this paper, these terms are understood depending on the “distribution” of concepts and scientific disciplines with respect to the ontological levels of hierarchy, which implies different patterns of their interaction. Such distribution is essential when considering the methodology of the TD interaction, system integration of knowledge of subject disciplines and formation of the “convergence clusters” in implementation of transdisciplinary projects and their information and technology support.
Such notions as Noosphere, Object, Process, System, Information, Nature, Society, Man, Knowledge Domain, Science, Scientific Activity, Scientific Picture of the World, Engineering, Technology, etc. refer to the category level. Such concepts as Philosophy, Physics, Mathematics, Biology, Chemistry, Medicine, Humanities and Social Sciences, Informatics, Nanotechnologies, etc. refer to the level of domains of scientific disciplines. Many scientific disciplines which are directions, sections and sub-domains of domains, refer to the level of scientific disciplines.
The scheme of the categorical level of concepts is shown in Figure 1, and the concepts of the levels of domains and disciplines – in Figure 4.
Disciplinarity allows science to develop progressively within subject directions, and a disciplinary approach divides the surrounding world into separate subject areas. If solving a task or problem goes
beyond the scope of disciplinary approaches, it is commonly believed that it is “at the intersection of scientific disciplines”. In the process of progressive development of the disciplinary approach, an opposition occurs, which conditions on the one hand, the accumulation of disciplinary knowledge, and on the other, is the establishment of a natural limit to the fullness of knowledge of the surrounding world. The way out of this situation is indicated by the following thesis: “If it is impossible to go beyond the disciplinary direction, then the scope of disciplinary methodology can be extended” [6]. In turn, the expansion of the field of application of disciplinary methodology has led to the emergence of interdisciplinary and multidisciplinary scientific approaches, which made up the following levels of classification of scientific approaches. The process of their development has led to the fact that the metaphor “the junction of disciplines” gradually acquired the form of interdisciplinary and multidisciplinary directions, each of which has its own characteristics of solving tasks.
Interdisciplinarity involves the integration of several scientific disciplines. One of them plays a leading role, and the results of ID-research are always interpreted in terms of leading discipline. The peculiarity of the ID-approach is that it allows direct transfer of research methods from one scientific discipline to another. The transfer of methods in this case is due to the discovery of similarities of the studied subject areas. ID approach is intended first of all, to solve specific disciplinary problems in which solving in any particular discipline the conceptual and methodological difficulties arise.
Synergetic paradigm as a section of the ID-approach in the hierarchy of knowledge occupies a special place. On the one hand, it appeals to integrity and integral representation, systematically determining the effects of objects, processes and subjects’ interaction, on the other hand, focuses on nonlinearities, instabilities and the appearance of attractors, which ultimately change multilevel organization and system behavior. In both cases, it is expressed by a set of formal models of self-organization and is directed to reproduce the scientific picture of the world, which is especially important during the transition to a transdisciplinary approach to research and implementation of the paradigm of global evolutionism. SPW can be represented as a TDontology, which incorporates not only the ontologies of individual disciplines, but also the methods of the latter, including variants of their cross exposure. TD allows one to build a unified TD-methodology of analysis and synthesis, including it in the general scientific picture of the world. In more detail the problems of synergy are considered in [5].
In a multidisciplinary approach, researchers form a generalized picture of the subject of the research, in relation to which all of its disciplinary pictures appear as its equal in rights parts. The accumulation of results of multidisciplinary research in similar areas of disciplinary knowledge leads to the emergence of new multidisciplinary disciplines, such as physic-chemical biology, ecology, etc. The multidisciplinary approach has found its practical application, in particular, in the work of expert groups.
Multidisciplinarity does not imply the transfer of research methods from one discipline to another. All disciplines retain their subject directions.
TD system approach uses the knowledge generated and accumulated by disciplinary, interdisciplinary and multidisciplinary approaches. TD should ensure coordination and integration of disciplinary knowledge on the basis of a single axiomatic approach (the TD general systems).
This is how TD was originally imagined by J. Piaget and E. Jantsch [4, 6].
Transdisciplinarity is a research strategy that crosses disciplinary boundaries and develops holistic (priority consideration of the whole in relation to its parts) vision. TD in the narrow sense means integration of various forms and methods of research, including special techniques of scientific knowledge, for solving scientific problems. TD to wide extent means the unity of knowledge beyond specific disciplines.
Let us note the changes in the structure of science, due to the transformation of a disciplinary organized science in TD research: highlighting the following signs of the post-nonclassical stage: a change in the nature of scientific activity, due to a revolution in the means of obtaining and storage of knowledge (computerization of science, fusion of science with industrial production, etc.); increase of the importance of economic and socio-political factors and goals; change of the object of study
itself — open self-developing systems ("human-sized" objects, examples of which are biotechnology objects, ecological systems, biosphere, etc.) [5];
TD-studies, capturing the border zones (demarcation) areas of scientific disciplines, integrate the essential foundations of the latter, forming the so-called convergence clusters, in which a powerful synergistic interaction occurs due to the interpenetration of paradigms and specific current results of each of the disciplines included in one or another cluster. This interaction reflects the integrity of the real world, being an incentive and at the same time a guarantee of the success of TD research and related practical projects, the non-triviality and significance of their results [5].
3. Transdisciplinarity and Formation of Convergence Clusters
The unity and systemic complexity of the world as an object of scientific research suggests that, along with the process of differentiation, it is advisable to consider the process of integration of scientific disciplines and relevant technologies. After all, it is the fundamental paradigm of the evolutionary theory of academician Vernadsky. The process of integration, which began quite recently, seemingly on a spontaneous (intuitive) basis, is now becoming conscious and obvious. And most importantly, prompted by evolutionary theory, it is aimed at creating a One General Knowledge, the essence of which clearly appeals to the construction of a General Scientific Picture of the World based on a transdisciplinary concept of the development of science. The first stage of the integration process can be called the clustering stage. The most superficial analysis of the clustering phenomenon shows that it is based on a deep interaction of methods, tools and capabilities of the cluster components, the synthesis of which generates synergistic effects through the integration of the functional properties of these components and opens up broad prospects for creating previously unknown scientific theories, samples of new equipment and technologies. The integration process that has already begun raises many questions, the answers to which will allow us to outline new promising ways of evolution of knowledge and science in general in accordance with Vernadsky's noospheric theory. One of the tasks on this path is to analyze the structure of knowledge at the conceptual level. General knowledge and each of its disciplines can be represented by a total set of concepts-terms that constitute the ontological basis for describing knowledge, formal or informal. Each term has its own generally accepted definition, which is described using lower-level terms (or concepts). A technological multilevel ontological description of both general knowledge and its individual disciplines, sections, theories, etc. has been created, opening up the possibility of formal knowledge representation using a single ontological engineering toolkit, which opens up broad prospects for the development of cognitive technologies and their productive use [1, 5].
Currently, there is a tendency to intensify scientific research both at the intersection of different subject disciplines (interdisciplinary research) and in convergence clusters (transdisciplinary research). To support these studies, important factors are the construction of knowledge-oriented information systems, improvement of research organization processes, improvement of methods and tools for ontological analysis of natural language objects using generative language models to extract knowledge from them, applied aspects of using ontologies, meta-ontologies, knowledge integration systems in transdisciplinary convergence clusters [7].
The rapid development of convergent technologies has the potential to enhance both human activity and national economies. Examples of gains include increased work and learning efficiency, enhanced individual sensory and cognitive capabilities, fundamentally new manufacturing processes and improved products, revolutionary changes in healthcare, improved individual and group effectiveness, highly effective communication methods, including brain-to-brain interaction, improved human-machine interfaces, including neuromorphic engineering for industrial and personal use, enhanced human capabilities for defense purposes, achieving sustainable development with the help of NBIC tools, as well as improving the physical and cognitive decline characteristic of aging people.
The cluster of NBIC-convergence can serve as a vivid example of technoscience. Informatics brings to this cluster both system-forming, and computer-technological components. The main breakthrough directions in these clusters are: erasing the faces between living and inanimate systems, nanorobotics with its numerous applications, global supercomputer agglomerations with a high level of artificial intelligence. To these should be added the unified distributed TD-knowledge system as a globally-communicative version of a general scientific picture of the world and the next stage of development of the existing Internet and the Semantic Web.
A possible scheme of forecasting and targeted formation of promising convergence clusters, their synergistic interaction and obtaining aggregate efficiency for humanity requires separate publications. In Figure 2 shows, for example, a diagram of the connection between cognitive technologies and various fields of science and practice.
**Figure 2:** Diagram of the relationship between cognitive technologies and various fields of science and practice
Thus, TD research is a qualitatively new stage in the integration of science and society. For its completion, the scientific community still has much to design and develop, in particular:
- General scientific picture of the world, including subject disciplines, and the corresponding global network of TD knowledge.
- Metatheory and metalanguage of TD.
- The systemology of TD interaction, the figurative conceptual apparatus and models, the possibilities of which would allow, on the one hand, to cover all factors forming a complex problem and affecting it, on the other hand, to identify and take into account the mechanisms by which this effect is carried out.
- The method (or a set of methods) of system research, providing access to all disciplinary information and its analysis, is understandable and available to specialists of any scientific discipline.
- Prospective and self-sufficient convergence clusters that make up the core of the sixth technological order.
• The methods of conducting experiments that allow studying the multifactorial effects of objects of knowledge and evaluating their results [8, 9, 10, 11, 12]. Including various information technology tools to increase efficiency and accelerate results [8, 13, 14, 15, 16, 17].
• The ways of posing and solving complex multi-factor problems in science, engineering and technology.
The listed tasks are generalized and, in turn, include a number of subtasks.
4. Transdisciplinarity—Noosphere Concept—Picture of the World
It is in the transition to a knowledge society and TD-knowledge-oriented technologies the system forming role of informatics is manifested for real. The path to the TD lies through the creation of the system of ID interactions (in the light of the evolution of scientific theories) as an independent branch of knowledge. Moreover, informatics, in addition to a clear mathematical basis, also grasps technologies of posing and solving complex scientific-engineering problems.
Thus, the essence of the TD approach to the study of complex scientific and technical problems consists in effectively ensuring the dual unity of the concepts of deepening specific knowledge in the subject area, on the one hand, and expanding the coverage of the problem, based on the reality of the unity of the world, and recreate a holistic SPW on the other.
The terms: noospherogenesis, transdisciplinarity, ontology-driven systems, virtual paradigm, information and cognitive support for scientific research, personalized knowledge bases, smart projects, Internet things clearly outline, first of all, the subject area of informatics and information technologies of the XXI century, focused directly on the stage of human development, based on knowledge economy. In fact, the process of noospherogenesis, according to V.I. Vernadsky, touches on the deeper aspects of interaction in the “Man-Nature” system. It appeals to scientific thought and, consequently, to the cognitive resources of the human mind and SPW, the construction of which is impossible without the TD approach to science and human civilization as a whole [5].
Figure 3 shows a variant of the categorical level of the noospheric paradigm and possible options for the development of human society. The main concepts are dominated by the triad of “knowledge-oriented concept—collective mind—sustainable development of society”. Currently present in the figure the concept of “Self-Destruction”, for obvious reasons, is becoming very relevant. It should constantly remind Humanity of the possible consequences.
TD-studies allow one to understand the complexity of the problems being solved, to take into account the diversity of ideas about the life world and the problems posed, to link abstract and concrete knowledge with the use of the “ontological engineering” and global network of TD knowledge.
Here is an example of a numbered list:
1. Analysis of the problem, its identification and structuring.
2. The development of the missing theoretical material necessary for problem solving.
3. The construction of clusters of convergence of subject areas.
4. Choice of a language (or development of the new one) for the formalized presentation of knowledge domain and corresponding computer ontologies.
5. Practical implementation of the project.
These stages are organized in a linear sequence, but also have feedbacks.
5. Basis of Ontology-oriented Support for TD Research
The research methodology and design of the mechanism of ID interaction in solving complex scientific and technical problems are associated with the creation of a conceptual framework of scientific theories. A set of \((C, R, F)\) formal computer ontologies of specific knowledge domain may be such a framework. Formally, such an ontology can be represented by tuple [18, 19, 20]:
\[
O = \langle C, R, F, A \rangle,
\]
where \(C, R, F, A\) — finite sets respectively: \(C\) — concepts of knowledge domain, \(R\) — relationship between them, \(F\) — interpretation functions (both \(C\) and \(R\)), \(A\) – axioms [20].
The implementation of the ontological concept involves a complete description of knowledge domain, for this it is necessary:
1. To form and process (perform semantic analysis) the integrated linguistic corpus of texts by given subject areas.
2. To build ontographs (sets \(C, R\)) for each knowledge domain.
3. To formalize descriptions of knowledge in the form of a scientific theory.
4. To carry out procedures of processing and integrating subject knowledge using semantic analysis systems of source text materials and analytical processing and presentation. An example is the toolkit Polyhedron (transdisciplinary ontological dialogues of object-oriented systems), which is presented as a complex of program-informational and methodical knowledge management tools using approaches of ontological management of corporate information resources [11, 21].
The role of ontologies of subject knowledge, besides the traditional functions of conceptualization and specification of scientific theories, is in the implementation of ontological management at the level of computer system architecture.
In more detail the categorial and domain levels of knowledge in the scientific and ontological picture of the world are presented in Fig. 4. It is clear that all aspects (even basic ones) of the indicated levels of knowledge cannot be reflected in one scheme. Therefore, here the emphasis is on the category “Nature → Society → Man → Knowledge of the World → TD scientific research”.
The Figure 4 shows three generalized levels.
1. Properly, the actual level of categories, structured into six sublevels \((0 \div 5)\) in accordance with the categorial relationship.
2. The level of domains of subject and scientific disciplines. It is divided into three sublevels \((1 \div 3)\), which mainly reflects the domains of the branch of science. Starting from this level, the semantic relations between concepts are already amenable to some scientific understanding. Most of them are represented by “be whole”, “be part”, “be species” and “be genus”.
3. The level of disciplines is represented only by the root vertices of the subject disciplines and technologies of the sixth technological structure. At this level, “whole-part” relationships prevail.
Let us briefly describe the levels listed above.
Categorial level. A rule for constructing any ontograph is to indicate the root vertex concept, which includes in its scope all the underlying vertices-concepts. In this case, such a vertex is the category “Universe” (B) (level 0). Formally, B is a type of the highest (zero) level of categorization, has no differentiation [5, 20].
Level 1 contains the categories “Cosmos”, “Noosphere”, “Object” and “Process”. The category “Cosmos” on the presented ontograph (see Figure 4) is not considered in detail (at this stage). The category “Noosphere” is represented by the ontograph. The categories “Object” and “Process” are included to separate concepts into static and dynamic types. The ontograph does not contain the categories “Material” and “Abstract”, because the thematic focus of the ontograph involves the inclusion of mainly abstract concepts.
The categories of sublevels \(2 \div 4\) reflect the essential basis of TD research, and the categories of sublevel 5 detail them. The level of domains plays an important role in the formation of “convergence clusters” organically connected set of scientific theories, modern technologies and technical branch achievements. The indicated coherence is clearly manifested in the above-mentioned NBIC-technology cluster.
The level of disciplines specifies the subject disciplines, scientific theories and technologies. The scheme of categorial level of concepts is structured in accordance with ontological principles, the logical law of the inverse relationship between the volume and content of concepts and claims-statements that are recommendatory in nature [5].
6. Information Technologies of Supporting TD Research
Currently, the development of science is characterized by increasing trends of integration in the study of objects. This is because modern science explores complex and self-developing systems that require cooperative interaction of various scientific disciplines. So, ecology, general systems theory, cybernetics, informatics, and sociobiology are examples of a complex of natural science, technical, and humanitarian research. In particular, there is a well-known approach to the description of complex reality, which is connected with the ideas of constructing artificial intelligence, in particular, with its sections: neurocomputing, pattern recognition, multi-agent systems, decision making and expert systems, developing intelligent information systems.
Development and application of intelligent information systems (IIS) in various areas of human activity led to the creation of IIS of a new class, combining the properties of TD, ontological management, united by the concepts of purposeful development and virtuality. This is TD class of developing ontology-driven systems of research design. In addition to the tasks of infrastructural support for scientific research, here the tasks of their methodological support and ensuring the processes of integration, convergence, unified representation of TD knowledge and operations on them come to the fore. A significant role is played by systemological skills training and expansion of range of worldviews of scientific researchers to ensure the dual unity of the concepts of deepening
knowledge in a particular subject area, on the one hand, and expanding the scope of the problem, based on the reality of the unity of the world and need to form a unified system of knowledge about the world, on the other hand [22].
As stated above, the fields of application of TD studies are constantly expanding, which, in turn, requires the continuous improvement of information (including supercomputer) technologies to support them. At the same time, the social component is added to the requirements, for which the parameters of reliability, efficiency and safety prevail. When considering the process of natural development of science and increasing demands on it by society, an integrated information technology system, which provide organizational processes, monitoring of scientific research, regulates all stages of their life cycle and electronic document management, analysis and evaluation of research results, decision making and determination current trends, etc., should be a basis for managing TD research. As a result, a common integrated space TD-knowledge is created, where synergistically many teams of professionals from different subject areas can interact, which will focus on solving the most important TD scientific and practical problems [23].
The core of integrated information technologies for TD scientific research consists of systematically integrated bases of structurally presented knowledge, distributed knowledge-oriented services, providing highly organized access to information and computing resources, the performance of such functions: identification of patterns, support of decisions making, cooperative collaboration virtualization, outsourcing, application of modern methods of processing multimedia information resources in virtual hyperspace.
Transition from the nondeterministic mode of production and use of knowledge by subjects of the scientific process to the mode of effective knowledge management, presented in a unified form at all stages of their life cycle, will ensure the growth of the effectiveness and quality of scientific research. At the same time, sustainable knowledge will become an intellectual capital, and the subjects of science will be direct participants in the economic activities of the society, which will create favorable conditions for stimulating the development of both science and creative society [23 – 26].
TD in turn puts forward the requirement of integration of scientific disciplines on the basis of formalism, common to all subject areas. This is the formal computer ontology. Hence, the process of noospherogenesis is based on the paradigmatic tuple (noosphere-SPW-transdisciplinarity-ontological concept-applied intellectual systems and technologies).
So, let us formulate an open (complemented and developing) system of requirements to information technologies supporting TD research.
1. New computer technologies should be built on the basis of knowledge adequate to the processes of solving problems in science, nature and society.
2. Continuous improvement of both the technologies themselves and the methods of manipulating them.
Promising modern methods of processing data, information and knowledge should be supported, including: close interaction with Grid-, Cloud- and Supercomputer technologies; ability to handle large amounts of data (Big Data); multi-factor authentication; focus on Green Computing (environmental technologies).
7. Conclusions
V.I. Vernadsky teaching about the noosphere in its essence appeals to the SPW, which must be built in order to overcome ID barriers and increase effectiveness of interdisciplinary interaction and modern science in general. It is about creating universal TD knowledge.
The development of the NBIC-cluster of convergence opens wide, so far completely not assessed, possibilities of a global knowledge-oriented Internet, but with it also the whole of modern civilization. Obviously, this development will follow first the path of creation of the applied distributed systems in specific subject areas (Internet of things, smart systems in telemedicine, environmental monitoring, information support of goods and services, energy systems, utilities, etc.). Grid-, Block-chain-technologies and Cloud-computing, as well as virtual organizations, structures and services will occupy the central place in them.
Thus, the problems of effective support for scientific TD research will lead to the formation and systems analysis of the service-oriented paradigm of noospherogenesis, transdisciplinary approach, ontological concept, the SPW, taking into account promising and informational technologies. The essential function of this paradigm is fully defined and, in fact, makes the methodological basis of modern scientific research as the basis for the development of civilization. Noospherology, as noted above, is a complete body of knowledge that ensures harmonic interaction in the “Man-Nature” system under the control of scientific thought and the will of man. It is organically linked with the scientific and technological components of the development of civilization. The development of science has moved from the stage of differentiation to the stage of integration, making it possible to implement the TD concept of the development of science, which appeals to SPW in the formulation and conducting of research and implementation of complex research projects. Without it, a purposeful positive process of noospherogenesis is unthinkable. Here informatics fulfills its mission
as a backbone branch of knowledge. An ontological concept has arisen in its depths, the essence of which consists in the formal ontological description of subject regions and SPW as a whole. Finally, modern information technologies have already become the basis of almost all Hi-Tech and construction of knowledge-oriented society, capable of resolving all essential contradictions of the development of modern (technological) civilization.
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Cooperative Method for Wireless Sensor Network Localization
Angel Stanoev\textsuperscript{a}, Sonja Filiposka\textsuperscript{b}, Visarath In\textsuperscript{c}, Ljupco Kocarev\textsuperscript{a,b,d,*}
\textsuperscript{a}Macedonian Academy for Sciences and Arts, Skopje, Macedonia
\textsuperscript{b}Faculty of Computer Science and Engineering, St Cyril and Methodus University, Skopje, Macedonia
\textsuperscript{c}Space and Naval Warfare Systems Center Pacific
Code 71730, 53560 Hull Street, San Diego, CA 92152-5001, USA
\textsuperscript{d}BioCircuits Institute, University of California, San Diego
9500 Gilman Drive, La Jolla, CA 92093-0402
Abstract
In order to obtain an efficient wireless sensor network localization, several enhancements based on the decentralized approach are proposed. These features can be used in the cases when multiple distance measurements are used as input, where each node iteratively updates its estimated position using a maximum likelihood estimation method based on the previously estimated positions of its neighbors. Three novel features are introduced. First, a \textit{backbone} is constructed, that is, a subset of nodes that are intermediaries between multiple beacon nodes, which guides the localization process of the other (non-backbone) nodes. Second, the space is perturbed more often during the earlier time steps to avoid reaching poor local minima in some cases regarding the localization optimization function. Third, for better localization of the non-backbone (or peripheral) nodes and avoidance of the rigidity problem, 2-hop neighboring distances are approximated. The introduced features are incorporated in a range-based algorithm that is fully distributed, shows good performance, and is scalable to arbitrary network size.
1. Introduction
Wireless sensor networks (WSNs) have recently attracted considerable research interest by providing unprecedented opportunities for monitoring and controlling homes, cities, and the environment. They consist of spatially distributed smart autonomous sensors, networked through wireless links and deployed in large numbers. Self-localization capability is a highly desirable characteristic of wireless sensor networks. Sensor network localization algorithms estimate the locations of sensors with initially unknown location information by using knowledge of the positions of a few sensors and inter-sensor measurements such as distance and bearing measurements. Sensors with known location information are called beacons or anchors and their locations can be obtained by using a global positioning system (GPS), or by installing them at points with known coordinates.
Many approaches for WSN localization have been studied in the literature. Overviews of WSN localization techniques are presented in [1, 2, 3, 4]. For a survey of localization in mobile WSNs, we refer to [5]. The spatio-temporal cooperation for localization and navigation is extensively studied in [6, 7].
1.1. Previous work
Localization techniques can be broadly classified into two categories: range-based and range-free. In large-scale WSNs, where signal range is limited, range-based schemes typically require a lot of beacon nodes to produce accurate results. On the other hand, range-free schemes estimate inter-node distances based on hop count information, thus all target nodes can be localized with fewer beacon nodes. Range-free techniques are those where node position estimation is not based on the distance estimation between nodes but on the solution to heuristic or optimization problems with a decentralized characteristic. The typical range-free algorithms include Centroid [8], CPE (Convex Position Estimation) [9], and DV-hop (Distance Vector-hop) [10]. Centroid and CPE are simple, having low complexity, but they require a normal node to have at least three neighboring beacons. DV-hop algorithm can handle the case where a normal node has less than three neighbor beacons.
Since the quality of localization is easily affected by node density and network conditions, range-free approaches typically provide imprecise estimation of node locations. Range-based approaches measure the Euclidean distances among the nodes with certain ranging techniques and locate the nodes using geometric methods, such as time of arrival (TOA), time difference of arrival (TDOA), and angle of arrival (AOA).
Here we focus on range-based designs for sparse networks. Several range-based algorithms that address the
network or beacon sparseness problem will be first reviewed. Savarese et al. [11] proposed a virtual-coordinate-based algorithm TERRAIN to address the sparse beacon problem. The algorithm constructs a virtual coordinate system on each beacon and takes the advantage of the property that the virtual coordinate holds the distance information between each node pair.
Other researchers utilized local maps to localize non-beacon nodes [12], [13]. They first use distance measurements between neighboring nodes to construct local maps, and then stitch them together to form a global map. Savvides et al. [14] used collaborative multilateration among neighbors to compensate the ranging information shortage, which localizes nodes by forming an over determined system of equations with a unique solution set. Collaborative multilateration performs better than trilateration in sparse networks. The disadvantage is that the collaboration is restricted in neighbors, so that the performance gain is limited.
Goldenberg et al [15] introduced the concept of finite localization, which holds all candidate positions of each node and prunes incompatible ones when other nodes join the procedure. Given proper beacon distribution, the algorithm is able to locate nodes in a globally rigid region, but may fail to localize the regions that contain few beacons. Wang et al [16] introduced the concept of component, by which nodes are grouped into components which are able to better share ranging and beacon knowledge. Operating on the granularity of components, the proposed design relaxes two essential restrictions in localization: the node ordering and the beacon distribution. Zhao et al [17] proposed a combined and differentiated localization approach for localization that exploits the strength of range-free approaches and range-based approaches using received signal strength indicator (RSSI). To achieve a better ranging quality, the proposed algorithm incorporates virtual-hop localization, local filtration, and ranging-quality aware calibration.
The cooperation between the network nodes, i.e., the exchange of messages, can be employed for different purposes. Depending on which nodes are used as reference points for each individual location estimation, the cooperative localization methods can be classified in two main classes. Multi-hop localization methods, such as the aforementioned ones, use the beacon nodes as individual reference points. There the cooperation takes place primarily to estimate the distances between the non-beacon nodes and the beacons, often located multiple hops away. Later, these distances are used for calculating individual position estimates by methods such as multilateration for example. On the other hand, methods such as [18, 6] and the one described in this paper perform iterative update of the position estimate of every node by using the position estimates of its neighbors as reference points.
Sensor network localization is a nonconvex optimization problem that, however, can be converted to a Semi-Definite Programming (SDP) problem by transforming the quadratic embedding constraints to a matrix inequality, which can be finally rewritten as a standard SDP problem. This approach has recently attracted considerable attention; for example, a technique for localization of sensors based on considering together local structures that are fit together in an as-rigid-as-possible manner is proposed recently in [19]. The local structures consist of reference patches (set of four sensors) and reference triangles, both obtained from inter-sensor distances.
In [20] the authors focused on the problem of sensor network localization in the plane by considering the group of algorithms that integrate local distance information (patches) into a global structure determination. Each patch is separately localized in a coordinate system of its own using either the stress minimization approach or by SDP. To every patch there corresponds an element of the Euclidean group $\text{Euc}(2)$ of rigid transformations in the plane, and the goal is to estimate the group elements that will properly align all the patches in a globally consistent way. In [21], Shamsi and co-workers analyzed and determined sufficient conditions and formulations that guarantee that the SDP relaxation is exact, i.e., give the correct solution of the sensor localization problem. These conditions can be useful for designing sensor networks and managing connectivities in practice.
1.2. Our contribution
In this paper, we focus on introducing new features that will improve the performances of decentralized algorithms for localization that do not use centralized units for computation and data gathering. The localization process, however, is based on known global positions of some of the network nodes. These are necessary for identifying the absolute positions of the other nodes. Iterative position estimation update is executed by each node using the approximated distances from its neighbors. Hence, the marginal distribution of each node is optimized since the nodes’ locations are the component variables comprising the joint distribution that describes the state space. However, optimizing the marginal distributions, as convenient as it is, does not always optimize the joint distribution. The aim of this paper is to present means by which one can drive the optimization of the marginals in a direction that will produce a better sample value of the joint distribution, i.e., a set of individual locations that has high joint probability. We apply these improvement features to an example algorithm, and illustrate how they enhance its efficiency. They can also be applied on other algorithms that optimize the marginals, such as [6] that uses graphical models for example.
Comparing to other algorithms for localization, the algorithm enhancements presented here introduce three novel features. First, we take into account the fact that some nodes are one to few hops away from multiple beacons, while others are connected to the beacons via longer multi-hop routes (Fig. 1). More precisely, by taking advantage of the nodes that interconnect beacon nodes, we
propose the construction of a backbone, that is, a subset of nodes that are intermediaries between multiple beacon nodes, which can then be used to guide the localization process of other non-backbone nodes. Second, marginals explore the state space more excitedly during the earlier iterations in order to target better joint distribution sample value in the steady state, regarding the localization optimization. Third, for better localization of the non-beacon nodes and avoidance of the rigidity problem, the 2-hop neighboring distance approximation is introduced. By using only local communication, the enhancements based algorithm proves to be naturally fast (discussed further in Section 3).
The outline of the remainder of the paper is as follows: section 2 presents the properties of the proposed features and explains the steps of an example algorithm that incorporates them, section 3 presents the results of the example algorithm simulated on the computer generated networks and its performance measures, and section 4 provides the conclusion.
2. Improved features for localization: an example
Three improvement features are the main contribution of this work and, therefore, we construct, as an example, an algorithm on which these features have been applied. It is range-based decentralized iterative algorithm that uses known locations of the beacons. In this section we describe the characteristics of the algorithm and the basic input that it requires. Motivated by the typical settings where the algorithm is applied, the contributions of the corresponding novel features are introduced.
2.1. Range measurement
Range-based algorithms utilize locally measured neighboring distances for better estimation. There are various methods for measuring distances between sensor nodes: received signal strength indicator (RSSI), time of arrival (ToA), time difference of arrival (TDoA), round-trip time of arrival (RToA), ultra-wide bandwidth (UWB) [2, 6], among others. However, most of these methods are prone to errors due to various reasons, like obstacles or the environment anisotropy itself. A single distance measurement (point estimate) is potentially highly inaccurate and can influence the localization results heavily. Hence, assuming noisy distance measurements, probability estimation of a distance is obtained by taking multiple point estimates. The mean and variance of the set of these point estimates between each neighboring pair are recorded during the initialization step. 20 point estimations are used to approximate the normal distribution of the mean. This information is used as an input to the algorithm subsequently.
2.2. Beacon nodes
For absolute localization the locations of the beacon nodes are needed as an input. They can be predefined or obtained by GPS units. As it might be expensive to attach a GPS unit to every node in a network of hundreds or thousands of nodes, only a small percentage of the nodes is assumed to be equipped with such capability. It is also assumed that there are at least three non-collinear beacons in the observed network, as that is the lowest number of beacons required for unambiguous localization in a two-dimensional space. There has not been made any other assumption about the distribution of their locations, because they are typically unknown or uncontrollable during the deployment process.
2.3. Graph backbone
Consider a wireless sensor network described with a graph $G = (V, E)$, where for convenience we write $V = \{1, 2, \ldots, n\}$; we assume that the first $l$ nodes $1, \ldots, l$ are beacons. We further assume that the graph is simple (unweighted and undirected); let $A = [a_{ij}]$ be its corresponding adjacency matrix. Edge between two nodes in the network exists if their distance is lower than a predefined range $R_{max}$.
From the graph $G$ we construct directed graph $G_1 = (V, E_1)$ as follows. Assume that $i$ and $j$ are neighbors (that is, $a_{ij} = 1$), then: if both $i$ and $j$ are non beacon nodes, both arcs $ij$ and $ji$ exist; if one node is a beacon node and the other one is not, only arc from the beacon node to non beacon node exists; and finally, if both $i$ and $j$ are beacons, no arcs between these two nodes exist. In other words, the undirected links of the beacons are replaced by outgoing links in the graph $G_1$, so that beacon state is not influenced by the states of other nodes. The resulting graph $G_1$ is directed graph containing at least $l + 1$ strongly connected components: $l$ leader nodes (the beacons) with no in-links and other components containing the rest $n - l$ nodes. Let $A_1 = [a^{(1)}_{ij}]$ be the adjacency matrix of the graph $G_1$.
As a preprocessing step, we run a linear process based on the leader nodes [22]. Suppose that the $l$ beacon nodes are leaders. We associate a membership vector $\mathbf{m}_i$ with each node $i$: a probabilistic vector of size $l$ that states to what degree the node is related to each of the leader nodes. Hence $\sum_j m_{i,j} = 1$. During the execution of the process, each beacon node $i \leq l$ has constant membership vector $\mathbf{m}_i = \mathbf{e}_i$, where $\mathbf{e}_i$ is the unit vector with its $i$-th component equal to 1. At each time step, every non beacon node $i > l$ updates its membership vector according to the update rule
$$\mathbf{m}_i(t + 1) = \mathbf{m}_i(t) + \epsilon \sum_{j=1}^{n} a^{(1)}_{ij} (\mathbf{m}_j(t) - \mathbf{m}_i(t))$$ \hspace{1cm} (1)
where $\epsilon \in (0, 1/\Delta)$ is the step size, and $\Delta$ is the maximum degree in the network. Eq. (1) holds for the beacon nodes
as well. In matrix form we can write
\[ M(t + 1) = (I - eL_1)M(t) \]
(2)
where the membership vectors \( m_i^T(t) \) are rows of the row-stochastic membership \( n \times l \) matrix \( M(t) \) and \( L_1 \) is the Laplacian matrix of the graph \( G_1 \). In an explicit form the matrix \( M(t) \) can be written as:
\[
M(t) = \begin{bmatrix}
1 & 0 & \cdots & 0 \\
0 & 1 & \cdots & 0 \\
\vdots & & & \vdots \\
0 & 0 & \cdots & 1 \\
m_{l+1,1}(t) & m_{l+1,2}(t) & \cdots & m_{l+1,l}(t) \\
\vdots & & & \vdots \\
m_{n1}(t) & m_{n2}(t) & \cdots & m_{nl}(t)
\end{bmatrix}.
\]
The process (2) converges exponentially fast, as it represents linear difference equation [23]. The equilibrium membership matrix is
\[
M^* = \begin{bmatrix} v_1 \ldots v_l \end{bmatrix} = \begin{bmatrix}
1 & 0 & \cdots & 0 \\
0 & 1 & \cdots & 0 \\
\vdots & & & \vdots \\
0 & 0 & \cdots & 1 \\
m_{l+1,1}^* & m_{l+1,2}^* & \cdots & m_{l+1,l}^* \\
\vdots & & & \vdots \\
m_{n1}^* & m_{n2}^* & \cdots & m_{nl}^*
\end{bmatrix},
\]
where each \( v_i, i = 1, l, \) is an eigenvector of the Laplacian \( L_1 \) corresponding to the zero eigenvalue and \( \sum_j m_{i,j}^* = 1 \).
The final membership vectors of the non-beacon nodes \( m_i^* \) do not depend on their initial values \( m_i(0) \), but only on the eigenvectors of the Laplacian, hence on the network/graph topology, and on the initial values of the leaders, which are trivially equal to \( m_i(0) = e_i \) for all \( i = 1, \ldots, l \). As shown in [22], for a given non-beacon node \( i \), the values of \( m_{ij}^* \) in the row \( i \) of the matrix \( M^* \) correspond to ‘influence’ the beacons \( j = 1, \ldots, l \) have on the node \( i \). Therefore, all non-beacon nodes can be grouped/arranged in \( l \) communities by using the following rule: the node \( i \) belongs to community \( k \) if \( m_{ik} > m_{ij} \) for all \( j = 1, \ldots, l \). However, since in general \( m_{ij}^* \neq 0 \), the membership vector describes the node’s involvement in each community.
The membership vectors determine the communities that are formed around the beacons driven by their influences [22]. As a result, most of a beacon’s community nodes will have similar membership vectors, with its respective component as the dominant one. Therefore, the (Euclidian) distance between the membership vectors of two neighboring nodes provides an additional information regarding the structure of the network. For example, if the distance is large it indicates that those two nodes belong to two different communities and their shared edge intermediates in between. When considering only the components of the respective beacons, this distance would be the largest on average for edges that are placed on the shortest path between the beacons.
We consider a new undirected weighted graph \( G_2 = (V, E, w) \), whose nodes and edges are the same as in \( G \), and the weight function \( w : E \to R \) is defined as \( w_{ij} = ||m_i^* - m_j^*|| \), where \( ||\cdot|| \) is the Euclidian distance. Let \( N_i \) be the set of all neighbors of the node \( i \). The node strength (weighted degree) defined as
\[
s_i = \sum_{j \in N_i} ||m_i^* - m_j^*||,
\]
serves as a (simple) node centrality metric of \( G_2 \). A non-beacon node with high strength has large weight of at least one of its neighbors’ links and therefore the node intermediates between at least two communities (or two beacons). Finally, we define graph backbone as a set of non-beacon nodes for which the node strength is greater than the average, that is
\[
\left\{ k : s_k > \frac{1}{n-l} \sum_{i=l+1}^{n} s_i, k = l+1, \ldots n \right\}.
\]
Figure 1 illustrates the main concepts introduced in this section. As an example we consider a network with 3 beacons (represented by squares) and 47 non beacon nodes. Colors of the non beacon nodes are mixtures of the beacon nodes’ colors in correspondence to their membership vectors. Thus, the color of a non beacon node \( i \) is a mixture of 3 beacon nodes’ colors in a ratio \( m_{i1} : m_{i2} : m_{i3} \) such that \( \sum_{j=1}^{3} m_{ij} = 1 \). The largest value of \( m_{ij} \) determines the dominant color but also the community to which node \( i \) belongs. Link widths are proportional to \( ||m_i^* - m_j^*|| \). Node size reflects its strength. The graph backbone has 16 nodes; these nodes are represented with diamonds.
### 2.4. Probabilistic iterative approach
As mentioned earlier, the proposed algorithm is iterative, i.e., each node iteratively updates its own location estimation using the neighbors’ location estimates from the previous iteration. As the set of location estimates from every node represents a variable of the joint distribution, this process corresponds to optimization of the marginal distributions with their maximums taken as the final outcome.
The algorithm is formulated as follows: Given a set of location estimates \( \{x_i | i \in N_k\} \) in time \( t \) and a set of means and variances of measured distances \( \{\mu_{ki}, \sigma_{ki}^2 | i \in N_k\} \), where \( N_k \) is the set of neighbors of node \( k \), the algorithm searches for the best location estimate of node \( k \) in time step \( t + 1 \). To determine this, for each point \( x \) of the considered space, it calculates the likelihood for the location of node \( k \) by the formula
\[
P(x = x_k) \propto \prod_{i \in N_k} \mathcal{N}(\|x - x_i\|; \mu_{ki}, \sigma_{ki}^2),
\]
(3)
where $N$ is the normal density function. Furthermore, the negative log likelihood function can be written as
$$-lnP(x = x_k) = \frac{1}{2} \sum_{i \in N_k} \left( \frac{||x - x_i|| - \mu_{ki})^2}{\sigma_{ki}^2} + const, \right.$$
whose gradient is
$$\frac{d(-lnP(x = x_k))}{dx} = \sum_{i \in N_k} \left( \frac{(||x - x_i|| - \mu_{ki})}{\sigma_{ki}^2} \frac{x - x_i}{||x - x_i||} \right).$$
Employing this gradient in a typical gradient descent algorithm, the maximum likelihood estimation for the location of node $k$ can be calculated. Visualization of the likelihood function in a two-dimensional plane is shown in Fig. 2. In the case when there are not enough neighbors, the localization estimate cannot be done unambiguously (Fig. 2(a) and 2(b)). On the other hand, the maximum likelihood can produce good results with 3 or more neighbors, as illustrated in Fig. 2(c). However, resulting from the probabilistic approach and the potential near-collinearity, the location likelihood function can have local maxima, see Fig. 2(d), whose basins of attraction may span significant area. Therefore, performing the maximum likelihood estimation multiple times from different initial positions increases the likelihood of finding the global maximum. In the simulations, the estimations are performed from 5 evenly distributed initial positions gathered from the local information.
As mentioned earlier, the purpose of the cooperation in our algorithm is position estimation utilizing neighboring estimates. In every iteration each node produces a point estimate of its location and transmits it to its neighbors. The information needed for a node’s estimate is the locations of its neighbors received in the previous iteration.
Typically, distributed gradient descent is performed in most algorithms for analytically guaranteed convergence of the algorithm. However, the fixed point at which the system converges is not guaranteed to be the globally optimal state as the optimization function is usually not convex. Distributed gradient descent is highly prone to local minima of the joint distribution, since the steady convergence does not allow extensive exploring of the space. Additionally, it performs large number of iterations. In our approach, instead of using the gradient of the negative log likelihood for new position estimate in each iteration, we rely on the maximum likelihood optimal value. Furthermore, the optimal value is calculated using potentially different neighbors in each iteration (sampled according to the node strengths) during the earlier stages, for better exploration of the state space (further discussed in Section 2.7). After certain number of iterations (35 in our simulations), each node continues with gradient descent-like position estimation, which provides convergence. In most cases, however, the algorithm converges prior to this switching.
### 2.5. 2-hop neighborhood
Decentralized localization algorithms usually suffer from using only locations from the direct neighbors. When not
enough neighbors are connected, likelihood function can have multiple global maxima. Fig. 2(a) and Fig. 2(b) illustrate this case. Clearly, as a way to solve the global maxima problem, one solution would be to introduce more neighbors in some manner. Presuming the nodes use their maximal range to communicate, i.e., new direct neighbors cannot be added, the 2-hop neighbors are used (neighbors of the direct neighbors that are not also neighbors).
More generally, given a randomly deployed wireless sensor network, its global rigidity is not guaranteed. Global rigidity is considered to be a condition for the solvability of the network localization problem [3]. The rigidity problem is illustrated in Fig. 3. For the given graph, two configurations are possible, shown on Fig. 3(a) and Fig. 3(b). However, considering the wireless sensor network scenario, it should be taken into account that two non-neighboring nodes should not be in close proximity. Reason for this presumption is the communication range of the units, that is, a non-neighboring node must not be within the communication range of a given node. Consequently, for the given example, correct representation should only be the configuration in Fig. 3(b).
Information about the 2-hop neighboring locations can be received by message forwarding from the direct neighbors in the same iteration. As a result, the nodes broadcast information twice during a single iteration. We denote the union of 1-hop and 2-hop neighbors of node $i$ with $N_i^2$. However, since direct distance measurements are not possible, they need to be approximated, i.e., the means and variances of their distributions need to be estimated.
Given one direct neighbor $i$ to a referent node $k$, the task is to approximate the distance to node $j$, a direct neighbor of node $i$ that is not neighbor with node $k$. The normal distributions of the distances between both neighboring pairs, characterized by their means and variances, are present as available information. Taking into account the rigidity argument, it is desirable nodes $k$ and $j$ to be localized further away from each other than they are from node $i$. Therefore, Gaussian addition, or convolution that also results in normal distribution, is introduced. So, the initial estimations for the mean and variance of the distance between $k$ and $j$ through the node $i$ are
$$\mu_{kj,i} = \mu_{ki} + \mu_{ij} \quad (6)$$
$$\sigma_{kj,i}^2 = \sigma_{ki}^2 + \sigma_{ij}^2 \quad (7)$$
However, an underlying assumption here is that these three nodes are collinear, which most often is not the case. Hence, we should presume a better angle between the two neighboring segments ($\overline{ki}$ and $\overline{ij}$) than $\pi$ (Fig. 3(c)). As there is also low probability that node $j$ is positioned on the circle with center $k$ and radius $R$ (with minimal possible angle between the neighboring segments), we presume that the neighboring segments occupy the middle angle between the minimal and the maximal possible. This is illustrated in Fig. 3(c). Therefore, the formula for the
mean looks like
\[
\mu_{kj,i}^2 = \mu_{ki}^2 + \mu_{ij}^2 - 2\mu_{ki}\mu_{ij}\cos \alpha
\]
(8)
where
\[
\cos \alpha = -\sqrt{\frac{R^2 - (\mu_{ki} - \mu_{ij})^2}{4\mu_{ki}\mu_{ij}}};
\]
(9)
In this manner, the 2-hop distance given one mutual neighbor between two non-neighboring nodes \(k\) and \(j\) is approximated. However, node \(k\) and node \(j\) can have more than one mutual neighbor. In this case, the 2-hop means and variances produced from every mutual neighbor are combined to refine the final approximation. Product of Gaussian probability density functions is used for that purpose, so the final formulas look like
\[
\mu_{kj} = \frac{\sum_{i \in N_k \cap N_j} \mu_{kj,i}/\sigma_{kj,i}^2}{\sum_{i \in N_k \cap N_j} 1/\sigma_{kj,i}^2}
\]
(10)
\[
\sigma_{kj}^2 = \frac{1}{\sum_{i \in N_k \cap N_j} 1/\sigma_{kj,i}^2}
\]
(11)
Additionally, in many practical cases the communication range \(R\) is not fixed and equal for every node in the network. Although \(R\) usually depends on the transmission power of the node, the environmental conditions can affect the communication channel and consequently decrease \(R\). We denote with \(R_{max}\) the maximal communication range that can be achieved in ideal conditions, i.e., that depends only on the transmission power. Further, we assume that the actual communication range \(R \in (0, R_{max}]\) is distributed with some known distribution \(P_{R_{max}}\), parameterized with \(R_{max}\). Therefore, Eq. (9) can be formulated by
\[
\cos \alpha = -\int_0^{R_{max}} P_{R_{max}}(R)\sqrt{\frac{R^2 - (\mu_{ki} - \mu_{ij})^2}{4\mu_{ki}\mu_{ij}}} \, dR
\]
(12)
Similarly, we can further approximate \(k\)-hop distances, for \(k > 2\), causing \(k\) broadcasts in a single iteration, and even more - causing increase of the message lengths. With sufficiently large \(k\), each node can receive information from significant percentage of the network nodes. Given the huge communication increment, a question arises whether decentralization is actually achieved. Additional question is how much the localization results are improved by increasing \(k\). Here, we only use 2-hop distances; they do not cause communication overload and they address the rigidity problem adequately.
2-hop distance approximations have particular importance for the localization of the peripheral nodes, i.e., nodes with low connectivity to the beacon nodes. During the early iteration steps it is desirable that they are able to localize themselves further away from the backbone nodes. In that sense, 2-hop distance approximations give “direction” of the localization of a peripheral node.
### 2.6. Initialization and execution
Frequently used initialization approach ([24, 25]) is the localization of nodes that have multiple beacon nodes as neighbors at first, and then iterative localization of the rest of the nodes. This requires the beacon nodes to be placed close to one another centrally in the network. Other approaches require the beacon nodes to be placed on the boundary of the network [18, 26]. However, in most cases beacon assignment or beacon placement cannot be controlled, hence our algorithm does not depend on such assumptions. As stated earlier, the beacon nodes are randomly selected from the set of nodes at the beginning of the simulation process.
In our approach a node generates a position estimate if any of its neighbors (1-hop or 2-hop) have previously made position estimates. Initially only the beacon nodes have estimates, and in a few iterations every node in the network would have initial position estimate.
The algorithm then runs until every node’s change in position estimate becomes negligibly small compared to the one from the previous iteration (Euclidean distance). However, there is no guarantee that the system will end up in the most optimal state. As most of the nodes will find their globally optimal position estimates, some clusters of nodes might end up in local optima. Certainly, there is interdependence of the outcomes of the position estimation process of the nodes. An inaccurate position estimate has the potential to inflict corruption to the position estimates of the other nodes, as the estimation process spreads from the beacon nodes to the rest of the network. Clearly, the nodes that are fairly connected, i.e., backbone nodes, are less likely to produce inaccurate estimates than the non-backbone nodes (peripheral nodes). Therefore, it is important to give more significance to the estimates of the backbone nodes than to the peripheral ones; particularly, the backbone nodes should not be influenced by the peripheral nodes during the initial time steps. The objective of this selective interdependence is better overall localization of the backbone and subsequent improved localization of the peripheral nodes; using 2-hop distance approximations they will localize themselves further away from the backbone.
### 2.7. Activation time and space exploration
The localization process is structured around the backbone: non-backbone nodes (that is, nodes with a smaller node strength) start the process later and are localized by using (already localized) backbone nodes. For this purpose, we introduce an activation function which is a linearly decreasing function that assigns activation time to each node in accordance to its node strength. Backbone nodes are activated in the first iteration. We also set the maximal activation time step, \(t_{act}^{max}\), at which even the nodes with zero node strength have to be activated. The
activation function has the following form:
$$f_{act}(s_i) = \frac{1 - t_{max}^{act}}{\frac{1}{n-1} \sum_{j=t+1}^{n} s_j + t_{max}^{act}}.$$
Further, during the earlier time steps, it is likely that some of the nodes will produce inaccurate position estimates. To lower their influence, we limit the number of neighbors that each node uses for producing its estimate. In this way, during every iteration each node explores different sets of neighbors (instead of executing the maximum likelihood from multiple initial positions) and chooses the one which results with the highest maximum likelihood value for the new position estimate. Since nodes with high strength are less likely to produce inaccurate estimations as opposed to other nodes, node strength is used during the weighted sampling process. The set $N_i^{act}(t) \subseteq N_i^2$ of which the node $i$ samples in time $t$ is the set of activated neighbors of node $i$. The number of used neighbors increases linearly with the time step. Consequently, nodes with high strength are most influential during the initial time steps. Backbone nodes are preferred over the other nodes.
Avoidance of local minima of some groups of nodes is possible with this feature. The minima usually occurs at highly connected groups of nodes with small strength. If during the initial steps, most of the nodes belonging to such group have inaccurate position estimates, they are more likely to get stuck in local minima due to the inner influence (high connectivity) in the group.
The good position estimates of the high strength nodes do not influence them enough to get the whole group out of the local minima. However, by introducing the limitation of used neighbors and activation times, we tackle the local minima problem as well. Since the low strength nodes are more likely to choose a subset of their neighbors consisted of high strength nodes, the inner group influence decreases and the group can escape local minima during the initial iterations.
Similar to the simulated annealing, during the earlier iterations, the algorithm is unstable. It is more sensitive to estimation changes, especially to the high strength nodes. Thus, by exploring the space more extensively, it is capable of escaping local minima in some cases. Later, when every node uses all of its neighbors for position estimation, the algorithm converges towards a good configuration. The rate at which this happens, however, depends on the average node strength. Networks in which there is high percentage of beacon nodes, hence high average node strength, naturally require less time for localization. On the other hand, networks with low percentage of beacon nodes or their bad topological placements (in terms of uniform placement and influence), hence with low average node strength, require more time to explore the state space. So, as a rule of thumb for the number of used neighbors of node $i$ in each time step $t$ we use
$$\min \left( 3 + \frac{t}{3(n-l)} \sum_{j=t+1}^{n} s_j, |N_i^{act}(t)| \right).$$
### 3. Simulation results
Simulations were performed on computer generated networks in order to measure the precision of the algorithm. The settings that we used are commonly used in the literature - consisting of 50 nodes placed on a unit square with communication range of 0.3 or 0.25 with average degree of 10.5 and 7.6 in the network, respectively. We also performed simulations on networks containing obstacle of size $0.3 \times 0.3$ placed in the center with communication range of 0.3 and average degree of 9.9. The distance approximations were calculated from 20 normal distribution samples with mean equal to the actual distance and standard deviation equal to 10 percent of the distance. We varied the number of beacons from the minimal of 3 to 25. The results are obtained with respect to the non-beacon nodes only. Although the beacons were chosen randomly, for better performance assessment the beacon sets that consisted of nearly collinear beacons were resampled. That happened most often for the case with three beacons. Principal component analysis was applied to check whether the selected beacons are approximately collinear: if the set of beacon coordinates retained 95 percent of its variance by reducing the dimensionality to one dimension it is resampled. We do this to exclude the cases where there can be no unambiguous localization due to the collinearity of the chosen beacons, i.e., due to the symmetry that they produce. Basically, we exclude the cases that generate unfair negative impact on the performance of any localization algorithm. We do not take into account any other constraints of the beacon deployment. The figures produced for each number of beacons were averaged over 100 sampled networks. The results are presented in Fig. 4.
**Figure 4:** Average localization error as a function of the number of beacons. Performance of the networks with communication range of 0.3 is marked with red color, while the results for the networks with range 0.25 are marked with blue. Green denotes performance of the networks with communication range of 0.3 and an obstacle placed in the center. The inset image shows the average number of time steps needed for convergence of the algorithm.
We calculate the average localization error, that is, the average Euclidean distance between the actual and estimated locations. Other localization metrics are presented in [27]. As can be seen from the figure, the results show good performance. Even for the case with three beacons, the average localization error is below 0.03 for networks with communication range 0.3, while it is around 0.08 for the ones with range of 0.25. The networks that contain obstacle show worse performance with small number of beacons, as expected. We can also assert from the figure that the performance improves significantly when the number of beacons become greater or equal to 10 percent of the network size. The inset shows the average number of iteration steps carried out per number of beacons. As can be seen, this number gradually decreases from 80-100 to 40 iterations. Hence there is a trade-off between the number of beacons in the network and the communication needed for the algorithm to terminate. In addition, there are two broadcast messages sent from each node in every iteration, due to the 2-hop neighboring information exchange. The networks with greater communication range show better performance as expected, due to the greater average degree of the nodes.
The outage probability $P_{out}(e_{th})$ was computed as well (introduced in [6]): the average percentage of mislocalized nodes is calculated for a specified allowable error $e_{th}$ (tolerance threshold). This says should an acceptable error is specified, what percentage of nodes would have localization error larger than that acceptable error. Simulations were ran on both scenarios described in [6], with 100 and 50 non-beacon nodes and 13 beacon nodes, communication range of 0.2, averaged over 20 sampled networks with average degrees of 11.8 and 6.5, respectively. The results are presented in Fig. 5. For networks with 100 non-beacon nodes, 99 percent of the nodes are correctly localized (1 percent are in outage) with allowable error of only 0.033, whereas the same success rate is achieved with 10-fold higher allowable error of 0.3 in the case of 50 non-beacon nodes. On the other hand, 10 percent of the nodes are in outage should the allowable error is 0.02 and 0.045 for the case with 100 and 50 non beacon nodes, respectively. Hence, 90 percent of the non beacon nodes are correctly localized for small allowable error, even in the sparse network case.
To examine whether the algorithm can be scaled, we compare results obtained from networks with 50, 100, 500 and 1000 nodes with number of beacons equal to 10 percent of the number of nodes. The network radius ranges are set to produce average node degree of about 10. We calculate the average localization error, averaged over 10 sampled networks. As can be seen from the results in Fig. 6, the localization error drops as the network size grows. Increasing the network size while maintaining the average degree constant can be interpreted as viewing the nodes on a different resolution scale. Hence, a decrease in the global error can be expected. However, the relative (to the communication range) error does not decrease significantly. Also note that the threshold at which the algorithm terminates produces resolution limit; beyond that, the error does not decrease with the network size. On the other hand, the average number of performed iterations is roughly constant. We can conclude that the algorithm scales good with the network size, in terms of performance as well as time steps needed for convergence. It also performs well with low number of beacon nodes, 10 percent in this case.
Sample execution of the algorithm is presented on Fig. 7 on a network with 500 nodes and 10 beacons (Fig. 7(a)). The progress illustrates the properties of the algorithm. The early activation of the backbone nodes can be observed in iteration 20 (Fig. 7(b)). Subsequent activation of the peripheral nodes and their localization away from the backbone, aided by the 2-hop distance approximations, is shown in iteration 40 (Fig. 7(c)). Finally, almost complete recovery of the original positions can be observed before termination of the algorithm, in iteration 80 (Fig. 7(d)).
4. Conclusion
In this paper we introduced several novel features incorporated in an example of distributed, cooperative algorithm for WSN localization. Based on these features, the
Figure 7: Sample execution of the algorithm on network with 500 nodes, 10 beacons and communication range 0.09. In (a) the actual network deployment is depicted. In (b), (c) and (d) the estimation states at iteration 20, 40 and 80 are depicted, respectively. Beacon nodes are denoted with squares and distinguished by color. Non beacon nodes are denoted with circles; their size depicts node strength and color is mixture of the beacon nodes’ colors in correspondence to their membership vectors.
process of localization, in addition to known beacon locations, uses multiple distance measurements (point estimates) in order to calculate a mean and variance that represent the distance distribution more accurately. No additional assumptions, such as certain beacon distribution are necessary. Node strength is introduced as a measure of the connectivity of a node toward the beacons. High strength nodes are topologically located between the beacons, i.e., are placed on the relatively short paths between them. The expanding localization estimation is structured around these nodes that comprise the network backbone. Each node estimates its location by using its neighbors’ locations from the previous iteration. Initially not every neighbor is used in the estimation process. In this way, we successfully tackle the local optima problem and localize the backbone of the network more efficiently. Hence, the neighbors that are used are sampled from the set of all active neighbors according to their node strength. Also, nodes are activated in accordance to their node strength. Furthermore, each node also uses its 2-hop neighbors’ locations to avoid the rigidity problem, i.e., to deal with the situations where there is not enough information from the direct neighbors to produce unambiguous localization. For that purpose, we introduced 2-hop neighboring distance approximation. The simulation results from computer generated networks suggest that algorithms that incorporate the proposed features cope well with the known challenges of WSN localization. The obtained results are good even in the case of small number of beacons, while the performances are scalable with the network size.
Acknowledgements
The authors are grateful for the supports provided by the Office of Naval Research (ONR, Code 30) and ONR-Global (London Office).
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Angel Stanoev holds BSc and MSc degrees in Computer Science and Electrical Engineering from the Faculty of Electrical Engineering and Information Technologies at the Ss. Cyril and Methodius University, Skopje. As a researcher in the Laboratory for Complex Systems and Networks at the Macedonian Academy of Sciences and Arts, his research activities included modeling of multi-agent cooperation, complex systems and networks. He is currently a PhD candidate at the Max Planck Institute of Molecular Physiology in Dortmund, working in the field of systems biology.
Sonja Filiposka is an assistant research and teaching professor at the Faculty of Computer Science and Engineerind at the Ss. Cyril and Methodius University. Her research interests include Wireless ad hoc and sensor networks, System on chip design, Parallel processing, Complex systems and networks, Electromagnetic compatibility and Social impact on information theory.
Visarath In graduated from Georgia Institute of Technology with a Ph.D. in Physics in 1996. He works in the field of nonlinear dynamics in both theoretical and experimental areas and has in depth experience in the fields relating to mechanical, electronic, and nonlinear sensor systems. Currently, Dr. Visarath In is working on the coupled nonlinear systems with special emphasis on the fluxgate magnetic sensors, electric field sensors, coupled nonlinear gyroscopes for navigation, signal generation & multiple frequency generation systems, and Nonlinear Channelizer System for RF communication. He has over 50 publications and 24 patents.
Ljupco Kocarev is Professor at the Faculty of Computer Science and Engineering, Ss Cyril and Methodius University, Skopje, Macedonia and Researcher (full professor rank) at the BioCircuits Institute, University of California San Diego, USA. His scientific interests include nonlinear systems and circuits, coding and information theory, computer and complex networks, cryptography, bioinformatics and computational biology. He has coauthored more than 100 journal papers in more than 20 different international peer-reviewed journals ranging from mathematics to physics and from electrical engineering to computer sciences. According to the Science Citation Index, his work has been cited more than 5000 times. He is a member of the Macedonian Academy of Sciences and Arts and Fellow of IEEE.
Angel Stanoev
Sonja Filiposka
Visarath In
Ljupco Kocarev
|
2019 Report on the State of the Ecology and Environment in China
Ministry of Ecology and Environment, the People’s Republic of China
The 2019 Report on the State of the Ecology and Environment in China is hereby announced in accordance with the Environmental Protection Law of the People’s Republic of China.
Minister of Ministry of Ecology and Environment, the People’s Republic of China
May 18, 2020
| Contents | Page |
|------------------------------------------------------------------------|------|
| Summary | 1 |
| Atmospheric Environment | 9 |
| Freshwater Environment | 19 |
| Marine Environment | 36 |
| Land Environment | 40 |
| Natural and Ecological Environment | 41 |
| Acoustic Environment | 44 |
| Radiation Environment | 46 |
| Climate Change and Natural Disasters | 49 |
| Infrastructure and Energy | 53 |
| Data Sources and Explanations for Assessment | 55 |
The year 2019 marked the 70th anniversary of the founding of the People’s Republic of China, and it was also a crucial year to win the critical battle against pollution and to achieve the decisive victory in building a moderately prosperous society in all respects. Guided by Xi Jinping Thought on Socialism with Chinese Characteristics for a New Era, various localities and departments have put into action the spirits embodied in the 19th National Congress of the CPC, the 2nd, 3rd and 4th Plenary Session of the 19th CPC Central Committee, and have earnestly implemented Xi Jinping Thought on Ecological Civilization as well as requirements made at the National Conference on Ecological and Environmental Protection. Focusing on improving ecological and environmental quality, various localities and departments have sought critical progress in the tough battle of pollution prevention and control in accordance with the decisions and deployment of the Central Committee of the Communist Party of China and the State Council.
First, we were resolute in winning the campaign of “Beat Air Pollution”. Tough measures against atmospheric pollution in the autumn and winter season in key areas were brought forward. Pilot cities for clean heating initiative in northern China have been fully implemented in the entire Beijing-Tianjin-Hebei region and its surrounding areas as well as in the Fenwei Plain, where heating for more than 7 million households previously fueled by coal now has been replaced by clean fuel. Ultra-low emission was expanded to about 890 million kilowatts of coal-fired generating units, which accounted for 86% of the total installed capacity. Such renovation to 550 million tons of crude steel production capacity was also well underway. Continued efforts were made to treat volatile organic compounds (VOCs) from industrial furnaces and key industries, and to better manage those enterprises that were in unauthorized locations, lack proper certificate and fail to meet emission standards. There were also steps to promote “road-to-railway transformation”. According to preliminary statistics, the national railway freight volume in 2019 had increased by 7.2% compared with that of 2018, among which, the railway freight volume in Beijing-Tianjin-Hebei region had increased by 26.2%. We took severe measures to crack down on illegal gas stations and poor-quality oil products, and special campaigns for clean vehicle oil products were rolled out in 31 cities. A total of 1,466 illegal gas stations and 644 gas stations where sulfur content of diesel exceeding the standard were investigated and dealt with in accordance with law. We strengthened the response to heavy air pollution, and took differentiated management and control measures in different key industries based on their environmental protection performance. Special law enforcement inspections of ODS (Ozone Depleting Substances) had been carried out in 11 provinces and municipalities.
Second, we continued the efforts to promote the campaign on “Beat Water Pollution”.
Inspections on enforcement of law on the prevention and control of water pollution were implemented. We continued to investigate and rectify eco-environmental problems in drinking water sources, and 3,624 out of 3,626 problems in 899 county-level water sources had been rectified. Among the 2,899 black and malodorous water bodies in cities at or above prefecture level, 2,513 had been treated. We completed inspection to 60,292 outlets that discharge sewage into the Yangtze River and 18,886 that into the Bohai Sea. Under our national water monitoring program, the number of water sections of Yangtze River Basin and that of rivers discharging into the Bohai Sea with the water quality worse than Grade V standard were respectively reduced from 12 and 10 to 3 and 2. We also carried out special campaigns for sewage treatment in industrial parks, and 95% of industrial parks at or above provincial level along the Yangtze River Economic Belt had been equipped with sewage treatment facilities and online monitoring devices. Special investigations and rectifications of the “Three Phosphorus” (phosphorite mines, Phosphorus Chemical, Phosphogypsum tailing pond) in the Yangtze River were advanced. As a result, rectification had been completed for 172 enterprises (mines and tailing ponds) among the 281 problematic enterprises (mines and tailing ponds). The number of sections of the Yangtze River Basin with total phosphorus exceeding the upper limit decreased by 40.7% compared with that of 2018. The pilot project for groundwater pollution prevention and control has been launched. We set and managed the protected areas that ban livestock and poultry breeding in a standard manner, shutting down 14,000 unlawfully delineated areas. Rural environment in 25,000 administrative villages were comprehensively improved.
Third, we had steadily promoted the campaign on “Beat Soil Pollution”. We had completed the detailed investigation on the soil pollution status of agricultural land, verified and specified the objectives and tasks for the safe use of agricultural land exceeding the filtering value in the next stage for each province (autonomous region and municipality). Steady progress were made in investigating into the land use by enterprises in key industries. Those enterprises in key industries involving cadmium and other heavy metal use were investigated and ordered for rectification. Imported waste was strictly prohibited, bringing its actual total import down to 13.48 million tons nationwide, dropping by 40.4% than that of 2018. “11+5” cities and regions including Shenzhen were selected as pilot “Zero-waste City”. “Waste Removal Action 2019” targeting the Yangtze River Economic Belt was rolled out, with 1,163 out of the 1,254 identified problems properly solved. Special campaign to control the emission from waste incineration power plants was further taken forward, having 405 enterprises installed automatic monitoring equipment on pollution source, established display screen to show emission data to public, and connected
its automatic monitoring system with the environmental authorities through network. With this, automatic monitoring data on pollutants would be published starting from 2020. A total of 13,994 heavy metal-related companies had been examined nationwide, and 261 heavy metal emission reduction projects were initiated. Pollution prevention and control programs had been formulated and implemented for 1,105 tailing ponds along the Yangtze River Economic Belt.
Fourth, we took proactive measures to serve stability on six fronts (employment, financial sector, foreign trade, foreign investment, domestic investment, and expectations). The Opinions on Further Deepening Eco-Environmental Regulation and Services to Promote High-Quality Economic Development was issued. We were proactive in supporting the major national strategic policies such as the coordinated development of Beijing-Tianjin-Hebei region. “Three Lines and One List” (the ecological conservation red line, environmental quality baseline, resource utilization ceiling, and negative list on eco-environmental access) were drawn up and put into action in 11 provinces along the Yangtze River Economic Belt and Qinghai Province. Another 19 provinces (autonomous regions and municipalities) initially worked out such lines and list. We continued to deepen the reforms to streamline administration, delegate powers, and improve regulation and services by abolishing the EIA qualification licensing in accordance with the law and issuing supporting documents such as the Supervision and Management Measures for the Preparation of Environmental Impact Report (Form) for Construction Projects to strengthen interim and post-event supervision. The Catalogue of Construction Projects upon the Approval of Environmental Impact Assessment Documents by the Ministry of Ecology and Environment (2019) was released, by which the power to assess and approve 9 types of projects including transport airports was delegated to lower levels. A total number of 220,000 EIA reports (forms) on project had been examined and approved nationwide, involving a total investment of about 18.6 trillion yuan. 1.165 million projects was registered online, and it took only 10 minutes for each project to finish an online registration form. We tracked and adjusted based on new developments the assessment over major projects including major national, local, and foreign investment ones by providing service and guidance in advance, opening green channels, and enhancing the efficiency of check and approval procedures. We supported the green development of enterprises and issued the Opinions on Supporting the Green Development of Private Enterprises by the Ministry of Ecology and Environment and the All-China Federation of Industry and Commerce. The national comprehensive service platform for the transformation of scientific and technological achievements in ecological environment was launched, having brought together more than 4,000 scientific and technological achievements and accumulatively promoted more than 1,000 advanced pollution control technologies. We introduced
in industrial parks the auditing system on the third-party treatment of environmental pollution and clean production, conducted pilot to entrust the third party to provide comprehensive environmental service, and vigorously promoted the development of the environmental protection industry. Notable progress had been made in poverty alleviation through ecological and environmental protection.
**Fifth, we strived to conserve, restore and regulate ecological environment.** We promoted the assessment and mapping of ecological protection red line. The ecological protection red line of 15 provinces including Beijing-Tianjin-Hebei region, 11 provinces (cities) along the Yangtze River Economic Belt and Ningxia Hui Autonomous Region had been initially drawn up, and the delineation plan for another 16 provinces including Shanxi province was basically mapped out. The supervision platform of national ecological protection red line was initially established. We pushed forward “Green Shield” initiative to strengthen supervision over protected areas. In the past three years, a total of 5,740 problems in 342 national nature reserves had been identified, and 3,986 of which rectified. In the second China Ecological Civilization Awarding Ceremony, we commended 35 groups and 54 individuals for their outstanding performance, granted 84 cities and counties as national ecological civilization models, and proposed 23 innovation bases for practicing “green is gold”.
**Sixth, we reinforced eco-environmental protection inspection.** The *Regulations on the Ecological and Environmental Protection Inspection by the Central Government* was issued, and the Central Leading Group for Ecological and Environmental Protection Inspection was approved and established by the Central Committee of the CPC. The second round of routine inspections of eco-environmental protection was carried out by the central government in 6 provinces (cities) and 2 central government-owned companies, where a total of 18,900 cases of problems reported by the public were received, handled and transferred to relevant authorities, with 16,000 cases settled or basically settled. Based on further investigation, of the approximately 170,000 problems reported by the public in the first round of inspection, a total of 1,395 problems were yet to be handled. In response, a checklist on this was made, and as of the end of 2019, 1,133 problems had been solved or basically solved with prominent outcomes, and ongoing efforts were underway to tackle the remaining problems. To follow through the important instructions made by CPC Party General Secretary Xi Jinping, special inspection were carried out by the central government to examine the performance on protecting and restoring the ecological environment along Yangtze River, “Beat Air Pollution” and on other key tasks. Through secret investigation and unannounced visits, all efforts were intended to go straight to the problem, and create deterrence to force local authorities
to fulfill their due responsibilities. We pushed actions to rectify problems identified during inspection. For the 3,294 rectification tasks clearly identified in the first round of inspection and follow-up re-examination, 2,226 tasks had been rectified and 938 had been proceeded as scheduled. We vigorously promoted the implementation and rectification of the eco-environmental problems in Jinyun Mountain in Chongqing Municipality, the northern foothills of Qinling Mountains in Shaanxi Province, Qilian Mountains in Gansu Province, etc. as instructed by General Secretary Xi Jinping, addressing a large number of outstanding ecological and environmental issues. This also served high-quality economic development and encouraged fine conduct of local environmental authorities. We resolutely opposed and strictly prohibited the “one-size-fits-all approach” or an oversimplified approach to problems. Since the special rectification campaign was carried out in June 2019, we conducted cross-spot inspections and supervision on the aforesaid problems reported by the public and the rectification progress in 31 cities (districts), covering Lanshan District, Linyi City, Shandong Province, Dongfang City, Hainan Province and etc. In-depth investigations targeting 11 provinces (cities) along the Yangtze River Economic Belt were also carried out, and based on that, a documentary film was made in 2019, laying out 152 prominent eco-environmental problems to urge actions on them. Of 163 problems disclosed in the 2018 documentary, 134 were rectified, including those related to the deteriorating eco-environment along the Ma’anshan section of Yangtze River and the illegal development and construction in Zhenjiang Yangtze River Dolphin Nature Reserve. In response to problems such as inadequate performance and deteriorating eco-environmental quality, we held admonitory talks with key government officials in 12 cities to resolve prominent environmental problems and specify responsibilities of eco-environmental protection.
Seventh, we conducted environmental supervision and regulation in strict accordance with relevant laws and regulations. We strengthened the supervision and assistance in the designated key areas of the Beat Air Pollution Campaign. Throughout the whole year of 2019, a total number of 20,700 people had been involved, 925,000 sites inspected, and 65,000 air quality-related issues handed over to local governments. We actively carried out off-site supervision and regulation over marine dumping activities. We introduced the system of “selecting inspection targets and inspectors on a random basis, and opening investigation results public in a timely manner” to all cities and county-level eco-environmental departments across the country. We further regulated the use of discretion, and advocated the put in place such systems as disclosing information of administrative law enforcement, recording the entire process of law enforcement, and reviewing major law enforcement decisions. Administrative punishment had been imposed on 162,800 cases
nationwide involving a total fine of 11.878 billion yuan, and 28,700 cases were subject to five types of punishment including imposing daily fine. We also issued documents such as the Minutes of the Symposium on Relevant Issues of Handling Related Criminal Cases of Environmental Pollution.
Eighth, we implemented reform measures in the field of ecological environment. Seven watershed ecological environment supervision administrations and their monitoring and research centers had been established. The reform to bring inspection and monitoring branches of environmental protection agencies below the provincial level under the direct oversight of their respective provincial-level agencies had been basically completed. The List of Responsibilities for Eco-Environmental Protection of the Central and State Organs and Related Departments and the Guiding Catalogue of Comprehensive Administrative Law Enforcement Matters for Ecological Environmental Protection were formulated and reported to the CPC Central Committee and the State Council. More than 150,000 pollution emission permits for key industries were approved and issued nationwide. In accordance with the two-step principle of “pilot first, promotion afterwards” and “permit issuing first, implementation afterwards”, we regulated pollution emission permitting on point pollution sources from 24 key industries in 8 pilot provinces (municipalities). The Outline of Ecological Environment Monitoring Plan (2020-2035) was issued, and the optimization and adjustment of the national monitoring networks of environmental air, surface water, and marine ecological environment during the 14th “Five-Year Plan” period were completed. The lists of cities with relatively good/poor air quality as well as the ones with notable/less notable improvement in air quality were released on a monthly basis, and cities were also ranked in terms of water environment quality on a quarterly basis. We also held the 2nd National Competition of Skilled Professionals in Ecological Environment Monitoring. The Guiding Opinions on Reforming and Improving the Working Mechanism for Complaints and Appeal and Promoting the Resolution of Outstanding Ecological and Environmental Problems of the People was issued to regulate the handling and transfer of complaints and appeals.
Ninth, we have prevented and defused eco-environmental risks. We issued the Guiding Opinions on Strengthening the Prevention and Defusing “Not in My Backyard” Issues and summarized and promoted Ningbo’s experience in dealing with issues where a construction project won’t be stopped until protest takes place. More than 40 key chemical industrial parks had carried out pilot projects on early warning systems for toxic and harmful gases. We formulated the Guiding Opinions on Establishing a Joint Prevention and Control Mechanism for Emergency Water Pollution Events in Inter-provincial Watersheds and initially established a government-led and enterprise-involving maritime emergency response mechanism. The national environmental
protection reporting platform “12369” had received 531,000 reports, all of which were basically handled within the time limit. In 2019, a total of 263 environmental emergency cases had occurred throughout the country, of which 84 were directly dealt with by the Ministry of Ecology and Environment, especially after the “March the 21st” special serious explosion accident in Xiangshui of Jiangsu province, when the ministry actively coordinated all parties to carry out emergency response in an orderly manner, effectively maintaining the safety of the surrounding ecological environment. We efficiently operated the national nuclear safety coordination mechanism and vigorously promoted the standardization of nuclear and radiation safety supervision. The white paper of *Nuclear Safety in China* was released for the first time. The first phase of the National Nuclear and Radiation Safety Regulatory Technology R&D Base was completed. 47 operating nuclear power units safely operated, quality control had been conducted over 15 units under construction, and 19 civil research reactors (critical devices) were under safe operation.
**Tenth, we strengthened the supporting measures for eco-environmental protection.** The *Regulations for the Management of Discharge Permits* was prepared and submitted to the State Council for deliberation, and the *List of Classified Management of Discharge Permits for Point Pollution Sources (2019 Edition)* was released after amendment. The *Law on the Prevention and Control of Environmental Pollution by Solid Wastes of the People’s Republic of China (Revised Draft)* had been submitted to the Standing Committee of the National People’s Congress for second deliberation. The *Protection Law of the Yangtze River of the People’s Republic of China (Draft)* had been submitted to the Standing Committee of the National People’s Congress for deliberation. The establishment, amendment and abolishment of 21 departmental rules and regulations had been completed, and 96 national eco-environmental standards had been formulated and revised. In 2019, a total of 53.2 billion yuan of special environmental protection funds had been allocated by the central government to support various localities to intensify the treatment of air, water, and soil pollution and the comprehensive improvement of rural environment. A national green development fund had been set up and the mid-term evaluation of the implementation of the Eco-environment Protection Plan of the 13th “Five-Year Plan” had been concluded. The 2nd national Census of Pollution Sources was basically completed, and surveys were conducted among 3.5797 million census subjects to find out the basic status of various sources of pollution and the generation, discharge, and treatment of pollutants. We further pushed forward major special programs on water pollution control and treatment technology, the cause analysis of heavy air pollution and solutions to it, joint research related to the Yangtze River ecological conservation and restoration, as well as on the cause and treatment technology pertaining to the contaminated sites. We tracked and studied the
treatment of air pollution in key areas of the “Beat Air Pollution” Campaign including 39 cities and Xiong’an New Area and took differentiated approach based on different conditions of cities. We sent 58 expert teams to relevant cities along the Yangtze River to conduct site research and provide technical guidance. The Global Celebrations for World Environment Day in 2019 was successfully held, and activities and events on the theme of “Act towards A Beautiful China” were staged. The “Belt and Road Initiative” Green Development Coalition (BRIGC) had been launched and the BRI Environmental Big Data Platform unveiled. China co-led the “Nature-based solutions” action area of the UN Climate Action Summit and pushed positive results in the 2019 UN Climate Change Conference in Madrid. China also actively prepared for hosting the 15th Conference of Parties to the Convention on Biological Diversity (CBD COP15) and released the theme of the conference of “Ecological Civilization-Building a Shared Future for All Life on Earth”. Many publicity activities took place such as National Low Carbon Day and International Biodiversity Day. Four types of facilities were opened to the public nationwide, with 1,115 additional facility operators and owners joining into this opening list. The tasks of eco-environmental informationalization have been accomplished, including the establishment of the unified database of nationwide point pollution sources, “Internet+supervision” and integrated government service platform.
In 2019, the overall eco-environment quality throughout the country had been improved, in which progress in improving environmental and air quality was further consolidated, the water environment quality continued to improve, the quality of marine environment was steadily improving, and the soil environmental risks had been brought under control. The overall ecosystem is stable, nuclear and radiation safety is effectively ensured, and environmental risks remain stable.
Atmospheric Environment
Air quality*
Cities at or above prefecture level In 2019, out of all the 337 cities at and above prefecture-level (APL cities)** (hereinafter referred to as the 337 cities) across the country, 157 cities met national air quality standard***, accounting for 46.6% of the total; 180 cities failed to meet national air quality standard, taking up 53.4%****.
*In 2019, the real-time (reference status) data are used for air quality assessment in cities, the data in 2018 have been adjusted accordingly, and the same below. The assessment based on real-time data will be adopted unless otherwise explained.
**Cities at or above prefecture level (APL cities): including municipality, cities or regions at prefecture level, autonomous prefectures and league. Since Laiwu City has been merged into Jinan City, the number of cities has been changed from 338 to 337, the same below.
***Air quality meeting the standard: the ambient air quality meets the standard when the concentrations of all 6 pollutants under assessment meet the standard, among which, PM$_{2.5}$, PM$_{10}$, SO$_2$ and NO$_2$ were evaluated according to the annual average concentration, and O$_3$ and CO were evaluated according to the percentile concentration. According to the *Technical Regulation for Ambient Air Quality Assessment (Trial)* (*HJ 663-2013*), effective daily maximum 8-hour average concentration of O$_3$ and 24-hour average concentration of CO in the calendar year are ranked from small to big, then the percentile value at 90% with the daily maximum 8-hour average concentration of O$_3$ is compared with the daily maximum 8-hour average concentration of O$_3$ of national standard date to judge if O$_3$ concentration meets the standard; and the percentile value at 95% with the 24-hour average concentration of CO is compared to the standard 24-hour CO concentration limit to judge if CO concentration meets the standard. The impact of sand and dust is excluded when calculating the annual average concentration of PM$_{2.5}$ and PM$_{10}$.
****The calculation of the percentage of all categories and grades in this report is based on the number of items divided by the total number. The results are revised according to the *Representation and Judgment of Numerical Rounding Rules and Limit Values* (*GB/T 8170-2008*), consequently there may arise the situation where the combined proportion of two or more categories does not equal the sum of the proportions of the various categories, or the case where the sum of the proportions of all categories does not equal 100% or the sum of the percentage changes from the same period does not equal 0, the same below.
In 2019, the average percentage of days of the 337 cities meeting air quality standard* was 82.0%. In specific, the attainment rate reached 100% for 16 cities, stood between 80%~100% for 199 cities, 50%~80% for 106 cities and less than 50% for 16 cities. The ratio of average number of days failing to meet the standard** took up 18.0%, among which, the number of days with PM$_{2.5}$, O$_3$, PM$_{10}$, NO$_2$ and CO as the primary pollutant*** took up 45.0%, 41.7%, 12.8%, 0.7% and less than 0.1% respectively. There was no occurrence of non-attainment days with SO$_2$ as the primary pollutant.
In 337 cities, 452 days were under very heavy pollution, 183 days less than that of 2018; 1,666 days were under heavy pollution, 88 days more than that of 2018. Among them, days with PM$_{2.5}$, PM$_{10}$ and O$_3$ as the primary pollutant took up 78.8%, 19.8% and 2.0% respectively. There was no occurrence of heavy or very heavy pollution with SO$_2$, NO$_2$ and CO as the primary pollutant.
The concentration of PM$_{2.5}$, PM$_{10}$, O$_3$, SO$_2$, NO$_2$ and CO were 36 µg/m$^3$, 63 µg/m$^3$, 148 µg/m$^3$, 11 µg/m$^3$, 27 µg/m$^3$ and 1.4 mg/m$^3$ respectively. Compared with that of 2018, the
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*The number of attainment days: It refers to the amount of days with air quality index (AQI) ranging from 0~100, also referred to as attainment days. The impact of sand and dust is not excluded when calculating the number of attainment days.
**The amount of non-attainment days: the amount of days with AQI > 100. Among them, AQI within the range of 101~150 indicates slight pollution, 151~200 indicates intermediate pollution, 201~300 indicates heavy pollution and > 300 very heavy pollution. The impact of sand and dust is not excluded when calculating the number of non-attainment days.
***Primary pollutant: When AQI > 50, the pollutant with the biggest individual AQI is the primary pollutant.
concentration of PM$_{10}$ and SO$_2$ decreased, that of O$_3$ increased, and that of other pollutants remained the same.
The percentage of nonattainment days for PM$_{2.5}$, PM$_{10}$, O$_3$, SO$_2$, NO$_2$ and CO are 8.5%, 4.6%, 7.6%, less than 0.1%, 0.6% and less than 0.1% respectively. Compared with that of 2018, the ratio of nonattainment days for PM$_{10}$ and CO decreased, that for SO$_2$ and NO$_2$ kept the same and that for PM$_{2.5}$ and O$_3$ increased.
If the impact of dust was not excluded, among the 337 cities, 42.7% met national air quality standard, while 57.3% cities failed to meet national air quality standard; the average concentration of PM$_{2.5}$ is 37 µg/m$^3$, the same as that of 2018;
the average concentration of PM$_{10}$ was 67 µg/m$^3$, down by 4.3% compared with that of 2018.
**168 Cities** In 2019, the average percentage of days meeting air quality standard of the 168 cities at or above prefecture level¹ (hereinafter referred to as 168 cities) was 72.7%, among which, the attainment rate stood between 80%–100% for 60 cities, 50%–80% for 94 cities and less than 50% for 14 cities. The average percentage of days failing to meet air quality standard was 27.3%, and the nonattainment days with O$_3$, PM$_{2.5}$, PM$_{10}$, NO$_2$ and CO as the primary pollutant accounted for 46.4%, 45.8%, 7.2%, 0.9% and less than 0.1% of the total number of days exceeding the standard respectively. There was no occurrence of nonattainment days with SO$_2$ as the primary pollutant.
The evaluation results of comprehensive air quality index² showed that the top 20 cities with relatively poor air quality (from No.168 to No. 149) in the 168 cities were Anyang, Xingtai, Shijiazhuang, Handan, Linfen, Tangshan, Taiyuan, Zibo, Jiaozuo, Jincheng, Baoding, Jinan, Liaocheng, Xinxiang, Hebi, Linyi, Luoyang, Zaozhuang, Xianyang and Zhengzhou. The top 20 cities with relatively good air quality (from No. 1 to No. 20) were Lhasa, Haikou, Zhoushan, Xiamen, Huangshan, Fuzhou, Lishui, Guiyang, Shenzhen, Taizhou, Ya’an, Huizhou, Suining, Zhuhai, Kunming, Zhangjiakou, Nanning, Wenzhou, Neijiang and Guang’an.
The average concentration of PM$_{2.5}$, PM$_{10}$, O$_3$, SO$_2$, NO$_2$ and CO were 44 µg/m$^3$, 74 µg/m$^3$, 167 µg/m$^3$, 12 µg/m$^3$, 33 µg/m$^3$ and 1.5 mg/m$^3$ respectively. The concentration of PM$_{10}$ and SO$_2$ dropped, that of O$_3$ increased, and that of other pollutants kept the same compared with that of 2018.
The average percentage of nonattainment days for PM$_{2.5}$, PM$_{10}$, O$_3$, SO$_2$, NO$_2$ and CO are 13.0%, 6.7%, 12.9%, less than 0.1%, 1.2% and 0.1% respectively. Compared with that of 2018, the percentage of nonattainment days for PM$_{10}$ decreased, that for PM$_{2.5}$ and O$_3$ increased, and that for other pollutants kept the same.
If the impact of dust was not excluded, the average concentration of PM$_{2.5}$ and PM$_{10}$ of the 168 cities were 44 µg/m$^3$ and 76 µg/m$^3$ respectively, down by 2.2% and 3.8% compared from that of 2018.
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¹Including key regions such as Beijing-Tianjin-Hebei region and surrounding areas, the Yangtze River delta, the Fenwei Plain, Chengdu-Chongqing region, the middle reaches of the Yangtze River, the Pearl River Delta region, and provincial capital cities and cities under separate plan of the State Council. Since Laiwu City was merged into Jinan City, the number of cities was changed from 169 to 168, the same below.
²Comprehensive air quality index: The sum of the quotients of concentration of the 6 air pollutants against corresponding Grade II limit within the assessment period is the comprehensive air quality index of the current city in that period, which is employed for ranking of urban air quality.
### Percentage of 168 cities of various standards of six major pollutants in 2019
| Indicator | Standard I (%) | Standard II (%) | Worse than Standard II (%) |
|-----------|----------------|-----------------|----------------------------|
| PM$_{2.5}$ | 0.6 | 23.2 | 76.2 |
| PM$_{10}$ | 3.0 | 43.5 | 53.6 |
| O$_3$ | 0.0 | 40.5 | 59.5 |
| SO$_2$ | 91.7 | 8.3 | 0.0 |
| NO$_2$ | 81.0 (same for Standard I & Standard II) | | 19.0 |
| CO | 100.0 (same for Standard I & Standard II) | | 0.0 |
### Comparison of concentrations of six major pollutants in 168 cities between 2018 and 2019
#### PM$_{2.5}$: $\mu g/m^3$
- Leveled off
#### PM$_{10}$: $\mu g/m^3$
- 2.6%
#### O$_3$: $\mu g/m^3$
- 8.4%
#### SO$_2$: $\mu g/m^3$
- 14.3%
#### NO$_2$: $\mu g/m^3$
- Leveled off
#### CO: mg/m$^3$
- Leveled off
### Comparison of the percentage of non–attainment days of six major pollutants in 168 cities between 2018 and 2019
#### PM$_{2.5}$
- 12.9% to 13.0%
- 0.1 percentage point
#### PM$_{10}$
- 7.3% to 6.7%
- 0.6 percentage point
#### O$_3$
- 9.1% to 12.9%
- 3.8 percentage points
#### SO$_2$
- Less than 0.1%
- Leveled off
#### NO$_2$
- 1.2%
- Leveled off
#### CO
- 0.1%
- Leveled off
Beijing-Tianjin-Hebei region and surrounding areas\(^*\)
In 2019, the ratio of the number of days of “2+26” cities in Beijing-Tianjin-Hebei region and surrounding areas of the whole year meeting air quality standard was within the range of 41.1%–65.8% with the average rate of 53.1%. In specific, the share of attainment days took up 50%~80% for 16 cities and less than 50% for 12 cities. The average number of nonattainment days accounted for 46.9% of the total; 32.1%, 9.4%, 4.9% and 0.6% of which was of slight pollution, intermediate pollution, heavy pollution and very heavy pollution respectively. Among the nonattainment days, the number of days with \(O_3\), \(PM_{2.5}\), \(PM_{10}\) and \(NO_2\) as the primary pollutant took up 48.2%, 42.9%, 8.9% and 0.2% respectively. There was no occurrence of nonattainment days with \(SO_2\) and CO as the primary pollutant.
The percentage of the number of attainment days was 65.8% for Beijing. There was no occurrence of heavy pollution, there were 4 days registered as very heavy pollution, and the number of days under very heavy pollution and above was 10 days less than that of 2018.
The Yangtze River delta\(^{**}\)
In 2019, 41 cities had witnessed 56.5%–98.1% share for the number of attainment days throughout the year with the average ratio of 76.5%. In specific, the percentage of number of attainment days took up 80%~100% for 15 cities and 50%~80% for 26 cities. The average percentage of number of nonattainment days accounted for 23.5% of the total; 19.5%, 3.5%, 0.6% and less than 0.1% of which was of slight pollution, intermediate pollution, heavy pollution and very heavy pollution respectively. Among the nonattainment days, the number of days with \(O_3\), \(PM_{2.5}\), \(PM_{10}\) and \(NO_2\) as the primary pollutant took up 49.5%, 44.3%, 5.1% and 1.3% respectively. There was no occurrence of nonattainment days with \(SO_2\) and CO as the primary pollutant.
The percentage of the number of attainment days was 84.7% for Shanghai around the year. There was no occurrence of days under heavy pollution but 1 day under very heavy pollution, and the number of days under very heavy pollution and above was 1 day less than that of 2018.
Fenwei Plain\(^{***}\)
The percentage of the number of
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\(^*\)including Beijing, Tianjin, Shijiazhuang, Tangshan, Handan, Xingtai, Baoding, Cangzhou, Langfang, and Hengshui in Hebei province, Taiyuan, Yangquan, Changzhi and Jincheng in Shanxi Province, Jinan, Zibo, Jining, Dezhou, Liaocheng, Binzhou and Heze in Shandong Province, Zhengzhou, Kaifeng, Anyang, Hebi, Xinxiang, Jiaozuo and Puyang in Henan Province, collectively referred to as the “2+26” cities.
\(^{**}\)Including Shanghai municipality, Jiangsu, Zhejiang and Anhui province.
\(^{***}\)Including Jinzhong, Yuncheng, Linfen and Lvliang in Shanxi Province, Luoyang and Sanmenxia in Henan Province, and Xi’an, Tongchuan, Baoji, Xianyang, and Weinan in Shaanxi Province.
attainment days of 11 cities in Fenwei Plain was within the range of 47.7%–76.7% with the average rate of 61.7%. In specific, the attainment rate was within the range of 50%–80% for 9 cities and less than 50% for 2 cities. The average ratio of nonattainment days was 38.3%; 25.3% of which were of slight pollution, 7.1% of intermediate pollution, 4.8% of heavy pollution and 1.1% of very heavy pollution. Among the nonattainment days, the number of days with PM$_{2.5}$, O$_3$, PM$_{10}$ and NO$_2$ as the primary pollutant took up 51.6%, 37.6%, 10.7% and 0.2% respectively. There was no occurrence of nonattainment days with CO and SO$_2$ as the primary pollutant.
**Straw burning** In 2019, satellite remote sensing monitored a total of 6,300 straw burning sites in the country (excluding burning site information under cloud cover), mainly distributed in Heilongjiang, Inner Mongolia, Jilin, Hebei, Shanxi, Liaoning, Anhui, Shandong, Hubei and Henan province (region). The number of burning sites was 1,347 fewer than that in 2018.
### The concentration of six major pollutants in the Yangtze River Delta in 2019
| Region | Indicator | Concentration (CO: mg/m$^3$, others: μg/m$^3$) | Change compared with that of 2018 (%) |
|-------------------------|-----------|-----------------------------------------------|--------------------------------------|
| The Yangtze River Delta region | PM$_{2.5}$ | 41 | -2.4 |
| | PM$_{10}$ | 65 | -3.0 |
| | O$_3$ | 164 | 7.2 |
| | SO$_2$ | 9 | -10.0 |
| | NO$_2$ | 32 | 0.0 |
| | CO | 1.2 | 0.0 |
| Shanghai | PM$_{2.5}$ | 35 | 2.9 |
| | PM$_{10}$ | 45 | -6.2 |
| | O$_3$ | 151 | 3.4 |
| | SO$_2$ | 7 | -22.2 |
| | NO$_2$ | 42 | 7.7 |
| | CO | 1.1 | 10.0 |
### The concentration of six major pollutants in Fenwei Plain in 2019
| Region | Indicator | Concentration (CO: mg/m$^3$, others: μg/m$^3$) | Change compared with that of 2018 (%) |
|--------------|-----------|-----------------------------------------------|--------------------------------------|
| Fenwei Plain | PM$_{2.5}$ | 55 | 1.9 |
| | PM$_{10}$ | 94 | -3.1 |
| | O$_3$ | 171 | 4.3 |
| | SO$_2$ | 15 | -31.8 |
| | NO$_2$ | 39 | -2.5 |
| | CO | 1.9 | -9.5 |
Acid rain
**Acid rain distribution** In 2019, the total area covered by acid rain was about 474,000 km$^2$, taking up 5.0% of total land area of China, down by 0.5 percentage point compared with that of 2018. Among them, the percentage of land area with relatively serious acid rain was 0.7%. Acid rain was mainly distributed in the region south to the Yangtze River and east to Yunnan-Guizhou Plateau, mainly including Zhejiang, most of Shanghai, northern part of Fujian, central part of Jiangxi, central and eastern part of Hunan, central part of Guangdong and southern part of Chongqing.
**Acid rain frequency** In 2019, the average acid rain frequency of 469 cities (districts or counties) under precipitation monitoring was 10.2%, down by 0.3 percentage point compared with that of 2018. The rate of cities with acid rain occurrence was 33.3%, down by 4.3 percentage points compared with that of 2018. The percentage of cities with acid rain frequency over 25%, 50% and 75% was 15.4%, 8.3% and 2.6% respectively.
**Precipitation acidity** In 2019, the annual average pH value of precipitation across the country ranged from 4.22 (Ji’an of Jiangxi province) to 8.56 (Korla of Xinjiang autonomous region) with the average value of 5.58. The rate of cities with acid rain, relatively serious acid rain and serious acid rain was 16.8%, 4.5% and 0.4% respectively.
**Chemical composition** In 2019, the main cations in precipitation were calcium ion and ammonium, with an equivalent concentration ratio of 26.3% and 16.8% respectively. The key anion was sulfate radical with an equivalent concentration ratio of 18.9%, and the equivalent concentration ratio of nitrate radical was 9.7%. In general,
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The isoline of annual average pH value of precipitation in China in 2019
*The acid rain is defined when the precipitation pH value is below 5.6; relatively serious acid rain is defined when the pH value is below 5.0; serious acid rain is defined when the pH value is below 4.5.*
the type of acid rain can still be classified as sulfuric acid. Compared with that of 2018, the percentage of concentration of sulfate radical, chloridion and sodion went down slightly, while the percentage of concentration of fluorid ion, ammonium ion, magnesium ion went up a bit, and that of other ion equivalents kept at a stable level.
Comparison of the percentage of cities with different acid rain frequency between 2018 and 2019
Comparison of the percentage of cities with different annual pH value of precipitation between 2018 and 2019
Comparison of main ion equivalent concentration ratio of precipitation between 2018 and 2019
Freshwater Environment
Surface waters
In 2019, there were 1,931 surface water sections (sites) under national monitoring program*, among which water sections (sites) meeting Grade I–III water quality standards took up 74.9%, up by 3.9 percentage points compared with that of 2018; sections that are inferior to Grade V standard took up 3.4%, down by 3.3 percentage points compared with that of 2018**. The major pollution indicators were chemical oxygen demand (COD), total phosphorus (TP) and permanganate index.
River
In 2019, out of the 1,610 water sections under national monitoring program in 7 big river basins of the Yangtze River, Yellow River, Pearl River, Songhua River, Huaihe River, Haihe River and Liaohe River as well as rivers in Zhejiang and Fujian, rivers in northwestern and southwestern parts of China, the water sections of Grade I–III standards took up 79.1%, up by 4.8 percentage points compared with that of 2018; water sections inferior to Grade V standard took
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* According to *The National Surface Water Environmental Quality Monitoring Network Plan during the 13th “Five-Year Plan” Period*, 1,940 sections have been established for the purpose of evaluating, assessing and ranking the water quality of sections (sites). Among them, a total of 1,931 sections (sites) in 2019 were monitored, and the other 9 were not due to interruption of flow and traffic.
** 21 indicators of Table 1 of *Environmental Quality Standard for Surface Water (GB 3838-2002)* except water temperature, TN and E-coli are employed to assess the water grade based on each individual limit, and the highest grade from the single factor approach will be taken as the type of water quality of the section. Grade I or II standard of water refers to the water in Class I protected areas of drinking water sources, habitats of rare aquatic species, fish and shrimp spawning grounds and feeding grounds of fry and young fish. Grade III standard of water could be used for Class II drinking water source protected areas, fish and shrimp wintering grounds, migration channels, aquaculture areas and swimming sites. Grade IV standard of water could be used for general industrial water use and recreation without any direct contact with human body. Grade V standard of water could be used for agriculture and landscape related irrigation, and waters failing to meet Grade V standard hardly has any function except adjustment of local climate.
up 3.0%, down by 3.9 percentage points compared with that of 2018; The major pollution indicators were COD, permanganate index and ammonia nitrogen.
Rivers in northwest China, Zhejiang and Fujia region and southwest China and river basins of the Yangtze River were of excellent quality. The water quality of Pearl River was fairly good, and that of the Yellow River, Songhua River, Huaihe River, Liaohe River and Haihe River was slightly polluted.
The Yangtze River basin witnessed excellent water quality. In all the 509 water sections under national monitoring program, 91.7% met Grade I–III standards, up by 4.2 percentage points compared with that of 2018; 0.6% were inferior to Grade V standard, down by 1.2 percentage points compared with that of 2018. The water quality of the mainstream and major tributaries of the Yangtze River was excellent.
The Yellow River basin was slightly polluted. The major pollution indicators were ammonia nitrogen, COD and TP. Out of the 137 water sections under national monitoring program, 73.0% met Grade I–III standards, up by 6.6 percentage points compared with that of 2018; 8.8% were inferior to Grade V standard, down by 3.6 percentage points compared with that of 2018. In specific, the mainstream of the Yellow River was of excellent water quality and the major
The Yellow River basin was of good water quality. Among the 137 water sections under national monitoring program, 85.2% met Grade I-III standards, up by 0.4 percentage points compared with that of 2018; 6.6% were inferior to Grade V standard, down by 2.5 percentage points compared with that of 2018. In specific, the rivers within Hainan Island were of excellent water quality, and the mainstream and major tributaries of the Pearl River were of good water quality.
The Pearl River basin was of good water quality. Among the 165 water sections under national monitoring program, 86.1% met Grade I-III standards, up by 1.3 percentage points compared with that of 2018; 3.0% were inferior to Grade V standard, down by 2.5 percentage points compared with that of 2018. In specific, the rivers within Hainan Island were of excellent water quality, and the mainstream and major tributaries of the Pearl River were of good water quality.
The Songhua River basin was slightly polluted. The major pollution indicators were COD, permanganate index and ammonia nitrogen. In all the 107 water sections under national monitoring program, 66.4% met Grade I~III standards, up by 8.5 percentage points compared with that of 2018; 2.8% were inferior to Grade V standard, down by 9.3 percentage points compared with that of 2018. In specific, the mainstream, waters of Tumen River and Suifen River were of good water quality, and the major tributaries, waters of Heilongjiang and Wusuli River were slightly polluted.
The Huaihe River basin was slightly polluted. The major pollution indicators were COD, permanganate index and fluoride. In the 179 water sections under national monitoring program, 63.7% met Grade I–III standards, up by 6.5 percentage points compared with that of 2018; 0.6% were inferior to Grade V standard, down by 2.2 percentage points compared with that of 2018. The mainstream of Huaihe River was of excellent water quality; the waters of the Yishu-Si water system were of good quality; and waters of major tributaries of Huaihe River and the waters of rivers flowing into sea in Shandong Peninsula were slightly polluted.
The **Haihe River basin** was slightly polluted. The major pollution indicators were COD, permanganate index and BOD$_5$. In 160 water sections under national monitoring program, 51.9% met Grade I–III standards, up by 5.6 percentage points compared with that of 2018; 7.5% were inferior to Grade V standard, down by 12.5 percentage points compared with that of 2018. In specific, the water quality of 2 sections of the mainstream and Sanchakou met Grade II standard, and the...
water quality at Haihe River tidal gate met Grade V standard. The waters of Luanhe River were of good quality. The water qualities of major tributaries, the Tuhai River-Majia River and waters in east Hebei and coastal areas were of slight pollution.
Map of waters at different quality levels of Haihe River basin in 2019
Water quality of Haihe River basin in 2019
| Water body | Number of sections (items) | Percentage (%) | Change compared with 2018 (percentage points) |
|-------------------------------------|----------------------------|----------------|-----------------------------------------------|
| | | Grade I | Grade II | Grade III | Grade IV | Grade V | Inferior to Grade V | Grade I | Grade II | Grade III | Grade IV | Grade V | Inferior to Grade V |
| Basin | 160 | 6.9 | 28.8 | 16.2 | 27.5 | 13.1 | 7.5 | 1.3 | 6.9 | −2.6 | 8.1 | −1.3 | −12.5 |
| Mainstream | 2 | 0.0 | 50.0 | 0.0 | 0.0 | 50.0 | 0.0 | 0.0 | 50.0 | −50.0 | 0.0 | 50.0 | −50.0 |
| Major tributaries | 124 | 8.1 | 22.6 | 16.9 | 28.2 | 14.5 | 9.7 | 0.8 | 2.4 | 1.6 | 9.7 | 0.8 | −15.3 |
| Waters of Luanhe River | 17 | 5.9 | 70.6 | 17.6 | 5.9 | 0.0 | 0.0 | 5.9 | 29.4 | −29.5 | −5.9 | 0.0 | 0.0 |
| Waters of Tuhai River-Majia River | 11 | 0.0 | 27.3 | 9.1 | 45.5 | 18.2 | 0.0 | 0.0 | 0.0 | 9.1 | 9.1 | −18.2 | 0.0 |
| Waters in east Hebei and coastal areas | 6 | 0.0 | 33.3 | 16.7 | 50.0 | 0.0 | 0.0 | 0.0 | 33.3 | −16.6 | 16.7 | −33.3 | 0.0 |
| Water sections across provincial boundaries | 47 | 12.8 | 8.5 | 17.0 | 29.8 | 21.3 | 10.6 | 4.3 | −12.8 | 6.4 | 4.3 | 8.5 | −10.7 |
The Liaohe River basin was of slight pollution. The major pollution indicators were COD, permanganate index and BOD$_5$. In 103 water sections under national monitoring program, 56.3% met Grade I–III standards, up by 7.3 percentage points compared with that of 2018; 8.7% were inferior to Grade V standard, down by 13.4 percentage points compared with that of 2018. In specific, the waters of Yalu River were of excellent quality. The waters of the mainstream, Daliaohe River and Dalinghe River were of slight pollution, and the major tributaries of the Liaohe River were of intermediate pollution.
Map of waters in different quality levels of Liaohe River basin in 2019
Water quality of Liaohe River basin in 2019
| Water body | Number of sections (items) | Percentage (%) | Change compared with 2018 (percentage points) |
|-----------------------------|----------------------------|----------------|-----------------------------------------------|
| | | Grade I | Grade II | Grade III | Grade IV | Grade V | Inferior to Grade V | Grade I | Grade II | Grade III | Grade IV | Grade V | Inferior to Grade V |
| Basin | 103 | 3.9 | 37.9 | 14.6 | 25.2 | 9.7 | 8.7 | 0.1 | 9.1 | −1.7 | 6.0 | 0.1 | −13.4 |
| Mainstream | 14 | 0.0 | 14.3 | 0.0 | 57.1 | 21.4 | 7.1 | 0.0 | 0.0 | −7.1 | 21.4 | 0.0 | −14.3 |
| Major tributaries | 19 | 0.0 | 10.5 | 15.8 | 36.8 | 15.8 | 21.1 | 0.0 | 0.5 | −4.2 | 21.8 | −4.2 | −13.9 |
| Waters of Daliaohe River | 28 | 7.1 | 35.7 | 17.9 | 17.9 | 10.7 | 10.7 | 0.0 | 10.7 | 3.6 | 7.2 | 3.6 | −25.0 |
| Waters of the Daling River | 11 | 0.0 | 54.5 | 18.2 | 9.1 | 9.1 | 9.1 | 0.0 | 18.1 | −9.1 | −18.2 | 9.1 | 0.0 |
| Waters of the Yalu River | 13 | 15.4 | 84.6 | 0.0 | 0.0 | 0.0 | 0.0 | 0.0 | 7.7 | −7.7 | 0.0 | 0.0 | 0.0 |
| Water sections across provincial boundaries | 10 | 0.0 | 40.0 | 0.0 | 30.0 | 20.0 | 10.0 | 0.0 | 10.0 | −20.0 | 20.0 | 10.0 | −20.0 |
Rivers in Zhejiang Province and Fujian Province were of excellent water quality. In 125 water sections under national monitoring program, 95.2% met Grade I~III standards, up by 6.4 percentage points compared with that of 2018; 0.8% were inferior to Grade V standard, up by 0.8 percentage point compared with that of 2018.
Rivers in northwestern part of China were of excellent water quality. In 62 water sections under national monitoring program, 96.8% met Grade I~III standards, and no water was inferior to Grade V standard, all keeping the same as that of 2018.
Rivers in southwestern part of China were of excellent water quality. In 63 water sections under national monitoring program, 93.7% met Grade I~III standards, down by 1.5 percentage points compared with that of 2018; 3.2% were inferior to Grade V standard, down by 1.6 percentage points compared with that of 2018.
Lakes (reservoirs)
In 2019, among 110 major lakes (reservoirs) across the country under the national monitoring program, 69.1% met Grade I–III standards, up by 2.4 percentage points compared with that of 2018; 7.3% were inferior to Grade V standard, down by 0.8 percentage point compared with that of 2018. The major pollution indicators were TP, COD and permanganate index.
| Water quality grade | The three lakes | Major lakes | Major reservoirs |
|---------------------|-----------------|------------------------------------------------------------------------------|----------------------------------------------------------------------------------|
| Grade I and II standard | ——— | Hongfeng Lake, Xiangshan lake, Gaotang Lake, Wanfeng Lake, Huating Lake, Pangong Tso, Qionghai Lake, Zhelin Lake, Fuxian Lake, Lugu Lake | Taiping Lake, Xinfengjiang Reservoir, Changtan Reservoir, Dongjiang Reservoir, Geheyuan Reservoir, Hunanzhen Reservoir, Dongpu Reservoir, Yazidang Reservoir, Dahuofang Reservoir, Yinghu Lake, Nanwan Reservoir, Miyun Reservoir, Hongyashan Reservoir, Gaozhou Reservoir, Daguangba Reservoir, Lishimen Reservoir, Dalong Reservoir, Shuifeng Lake, Tongshanyuan Reservoir, Longyantan Reservoir, Danjiangkou Reservoir, Danghe Reservoir, Huairou Reservoir, Jiefangcun Reservoir, Qiandao Lake, Shuangta Reservoir, Songtao Reservoir, Zhanghe Reservoir, Huanglongtan Reservoir |
| Grade III standard | ——— | Futou Lake, Hengshui Lake, Caizi Lake, Luoma Lake, Dongqian lake, Liangzi Lake, West Lake, Wuchang Lake, Shengjin Lake, Dongping Lake, Nansi Lake, Jingpo Lake, Huangda Lake, Baihua Lake, Wuliangsuhai Lake, Yangzong Lake, Erhai Lake, Sailimu Lake, Siling Lake | Yuqiao Reservoir, Hedi Reservoir, Xiashan Reservoir, Cha’ersen Reservoir, Sanmenxia Reservoir, Yunneng Lake, Yutan Reservoir, Laoshan Reservoir, Mopanshan Reservoir, Luban Reservoir, Erwangzhuang Reservoir, Shanmei Reservoir, Wangyao Reservoir, Baiguishan Reservoir, Xiaolangdi Reservoir, Bailianhe Reservoir, Nianyushan Reservoir, Fushui Reservoir |
| Grade IV standard | Taihu Lake, Chaohu Lake, Dianchi Lake | Honghu Lake, Longgan Lake, Yangcheng Lake, Baiyangdian Lake, Xiannv Lake, Hongze Lake, Baima Lake, Nanyi Lake, Shahu Lake, Xiaoxingkai Lake, Jiaogang Lake, Poyang Lake, Wabu Lake, Dongting Lake, Bosten Lake | Lianhua Reservoir, Songhua Lake, Zhaopingtai Reservoir |
| Grade V standard | ——— | Yilong Lake, Dianshan Lake, Gaoyou Lake, Datong Lake, Xingkai Lake | ——— |
| Inferior to Grade V standard* | ——— | Ebinur Lake, Qilu Lake, Hulun Lake, Xingyun Lake, Chenghai Lake, Ulungur Lake, Namsto Lake, Yamdrok Lake | ——— |
*Ebinur Lake, Ulungur Lake and Namtso Lake have relatively high fluoride natural background value; Yamdrok Lake has relatively high pH natural background value; Chenghai Lake has relatively high pH and fluoride natural background value; and Hulun Lake has relatively high COD\textsubscript{o} and fluoride natural background value.
In the 107 lakes (reservoirs) under the monitoring of nutritional status, 9.3% were under oligotrophic status; 62.6% were under mesotrophic status; 22.4% were under slight eutrophication, and 5.6% were under intermediate eutrophication.
The Taihu Lake The water quality of the Taihu Lake was of slight pollution. The major pollution indicator was TP. In specific, the water quality in the eastern coastal area was good; that of the northern coastal area and the central area were slightly polluted; and that of the western coastal area was moderately polluted. The lake as a whole was under slight eutrophication. In specific, the northern coastal area, eastern coastal area and the central area were under slight eutrophication, and the western coastal area was under intermediate eutrophication.
The rivers surrounding the Taihu Lake were of excellent water quality. In 55 water sections under national monitoring program, 27.3% met Grade II standard, down by 5.4 percentage points compared with that of 2018; 63.6% met Grade III
standard, up by 16.3 percentage points; 9.1% met Grade IV standard, down by 10.9 percentage points; no section met Grade I standard, Grade V standard or failed to meet Grade V standard, remaining unchanged compared with that of 2018.
The Chaohu Lake was of slight water pollution. The major pollution indicator was TP. In specific, the eastern half of the lake was slightly polluted, and the western half moderately polluted. The lake as a whole was under slight eutrophication. In specific, the eastern half and the western half of the lake were both under slight eutrophication.
The rivers surrounding the Chaohu Lake were slightly polluted. In 14 water sections under national monitoring program, 28.6% met Grade II standard, up by 7.2 percentage points compared with that of 2018; 28.6% met Grade III standard, down by 28.5 percentage points; 14.3% met Grade IV standard, up by 14.3 percentage points; 14.3% met Grade V standard, up by 7.2 percentage points. No sections met Grade I standard, and there was no change of percentage points for water sections meeting Grade I standard and failing to meet Grade V standard in 2019.
The Dianchi Lake was of slight water pollution. The major pollution indicators were COD and TP. In specific, Caohai Lake was slightly polluted, and the Waihai area of Dianchi Lake was moderately polluted. The lake as a whole was under slight eutrophication; in specific, both Caohai Lake and the Waihai area were under slight eutrophication.
The rivers surrounding the Dianchi Lake were of slight water pollution. In 12 water sections under national monitoring program, 33.3% met Grade II standard, up by 33.3 percentage points; 33.3% met Grade III standard, down by 33.4 percentage points; 33.3% met Grade IV standard, up by 25.0 percentage points; No sections met Grade I standard, the same as that of 2018, and no sections met Grade V or failed to meet Grade V standard, down by 8.3 and 16.7 percentage points respectively compared with that of 2018.
Water bodies of key water conservancy projects
The Three Gorges Reservoir area In 2019, the water quality of the Three Gorges Reservoir area was of excellent quality, and that of the 38 main tributaries of the Yangtze River flowing into Three Gorges Reservoir area were also excellent in terms of water quality. Among the 77 sections under water quality monitoring, sections meeting Grade I–III standard took up 98.7%, up by 2.6 percentage points compared with that of 2018; sections meeting Grade IV standard took up 1.3%, down by 2.6 percentage points compared with that of 2018. No section met Grade V or failed to meet Grade V, being the
same as 2018. Indicators like TP and COD exceeded relevant standard with the ratio of such sections taking up both 1.3% of the total.
The comprehensive trophic state index of 77 monitoring sections was within the range of 24.5–60.9, among which 1.3% were under oligotrophic state, 77.9% under mesotrophic state, and 20.8% under eutrophic status.
**South-North Water Diversion Project (East Route)**
The intake of the Yangtze River was of excellent quality. The water quality of the Liyun section, Baoying section, Suqian section, Bulao section, Hanzhuang section, and Liangji section of the Beijing-Hangzhou Canal were all excellent and good. In specific, the Baoying section, Suqian section, Hanzhuang section, and Liangji section are the diversion sections of the Beijing-Hangzhou Canal during the period of water diversion. The Nansi Lake and Dongping Lake were under mesotrophic status, and Hongze Lake and Luoma Lake were under light eutrophication.
**South-North Water Diversion Project (Central Route)**
The water quality of the intake was excellent and that of the transferring lines was also excellent. All 9 tributaries flowing into the Danjiangkou Reservoir were of excellent and good water quality, and Danjiangkou Reservoir was of mesotrophic status.
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**Groundwater**
In 2019, among the 10,168 national groundwater quality monitoring sites nationwide, 14.4% met Grade I–III water quality standards, 66.9% met Grade IV standard, and 18.8% met Grade V standard.
Among the 2,830 shallow groundwater wells under monitoring across the country, 23.7% met Grade I–III water quality standards, 30.0% met Grade IV standard, and 46.2% met Grade V standard. The indicators exceeding standard were manganese, total hardness, iodide, total dissolved solids, iron, fluoride, ammonia nitrogen, sodium, sulfate and chloride.
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**Inland fishery waters**
In 2019, the leading indicators of key fishery water basins in rivers exceeding standard value were TN and TP. Compared with 2018, the standard-exceeding range of TP, permanganate index and volatile phenol increased slightly, that of TN, non-ionic ammonia, petroleum and copper narrowed down at different degrees. The leading standard-exceeding indicators of key fishery water basins in lakes (reservoirs) were TN, TP and permanganate index. Compared with 2018, the standard-exceeding range of permanganate index and petroleum grew slightly, and that of TN, TP and copper narrowed down slightly. The key standard-exceeding indicator in the water bodies of 41 national aquatic germplasm resources conservation areas (inland) was TN.
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**Agricultural non-point sources**
In 2019, the utilization rate of fertilizers for the three major food crops of rice, corn and wheat was 39.2%, 1.4 percentage points higher than that of 2017. The utilization rate of pesticides was 39.8%, 1.0 percentage point higher than that of 2017.
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*The Boltara Mongolian Autonomous Prefecture in Xinjiang Uygur Autonomous Region was changed from a drinking water source to a backup water source due to planning adjustments and was not included in the 2019 list of cities in prefecture level and above.*
Marine Environment
Sea areas under jurisdiction of China
In 2019, the sea areas meeting Grade I standard took up 97.0% of the total area under jurisdiction, 0.7 percentage point higher than that of 2018; 28,340 km$^2$ were inferior to Grade IV standard, 4,930 km$^2$ less than that of 2018. The main pollution indicators were inorganic nitrogen and activate phosphate.
**Bohai Sea** The sea area failing to meet Grade I standard was 12,740 km$^2$, a decrease of 8,820 km$^2$ compared with that of 2018; and that failing to meet Grade IV standard was 1,010 km$^2$, a decrease of 2,320 km$^2$ compared with that of 2018.
**Yellow Sea** The sea area failing to meet Grade I standard was 11,550 km$^2$, a decrease of 14,540 km$^2$ compared with that of 2018; and that failing to meet Grade IV standard was 760 km$^2$, a decrease of 1,220 km$^2$ compared with that of 2018.
**East China Sea** The sea area failing to meet Grade I standard was 52,610 km$^2$, an increase of 8,250 km$^2$ compared with that of 2018; and that failing to meet Grade IV standard was 22,240 km$^2$, an increase of 130 km$^2$ compared with that of 2018.
**South China Sea** The sea area failing to meet Grade I standard was 12,770 km$^2$, a decrease of 5,010 km$^2$ compared with that of 2018; and that failing to meet Grade IV standard was 4,330 km$^2$, a decrease of 1,520 km$^2$ compared with that of 2018.
The sea areas under jurisdiction of China failing to meet Grade I standard in 2019
| Sea area | Grade II | Grade III | Grade IV | Inferior to Grade IV | Total |
|-------------------|----------|-----------|----------|----------------------|-------|
| Bohai Sea | 8,770 | 2,210 | 750 | 1,010 | 12,740|
| Yellow Sea | 4,890 | 5,410 | 490 | 760 | 11,550|
| East China Sea | 15,820 | 8,270 | 6,280 | 22,240 | 52,610|
| South China Sea | 4,850 | 2,550 | 1,040 | 4,330 | 12,770|
| Sea area under jurisdiction | 34,330 | 18,440 | 8,560 | 28,340 | 89,670|
Water quality of sea areas under jurisdiction of China in 2019
Legend
- Grade I
- Grade II
- Grade III
- Grade IV
- Inferior to Grade IV
Data for Hong Kong, Macao and Taiwan are not included.
Nearshore sea areas
In 2019, the water quality of nearshore sea areas\(^*\) in China was steadily improved. The water quality is relatively good. Major pollution indicators were inorganic nitrogen and active phosphates. 76.6% of the total sea areas met Grade I & II water quality standards, up by 5.3 percentage points compared with that of 2018; 11.7% failed to meet Grade IV standard, down by 1.8 percentage points compared with that of 2018.
Coastal Provinces The nearshore water quality of coastal provinces of Hebei, Guangxi and Hainan province was excellent; that of Liaoning, Shandong, Jiangsu and Guangdong provinces was good; that of Tianjin and Fujian province was relatively good; and that of Shanghai and Zhejiang was extremely poor.
Comparison of the percentage of excellent and good seawater in nearshore waters of coastal provinces between 2018 and 2019
Major gulfs Among the 44 gulfs covering the area of more than 100 km\(^2\), the water quality of 13 gulfs under monitoring failed to meet Grade IV standard in the time of spring, summer and autumn.
Sea-going rivers In 2019, out of the 190 monitoring sections of the rivers flowing into sea, no section met Grade I standard. Sections meeting Grade II standard took up 19.5%; Grade III standard 34.7%; Grade IV standard 32.6%; Grade V standard 8.9%; and those failing to meet Grade V standard took up 4.2%. The main pollution indicators were COD, permanganate index, TP, ammonia nitrogen and BOD\(_{5}\).
Water pollution sources directly discharged into the sea The monitoring results of 448 sources with daily discharge volume exceeding 100 m\(^3\) showed that the total discharge volume of effluent was about 8.01089 billion ton. Among the different types of pollution sources, the comprehensive drain outlets made the largest amount of sewage discharge, followed by industrial pollution sources and domestic sources discharge as the smallest amount. The comprehensive drain outlets also made the largest volume of discharge for all pollutants except for cadmium.
\(^*\)Nearshore waters: refers to the sea area stipulated in the *National Marine Functional Zoning (2011-2020)*.
Marine fishery waters
In 2019, the major pollution indicator in key spawning grounds, feeding grounds, migration channels as well as in nature reserve areas for key fishery resources were inorganic nitrogen. There was a bit decrease in water area with inorganic nitrogen, active phosphate, petroleum and COD concentration exceeding the standard value compared with that of 2018. The primary pollution indicator was inorganic nitrogen in key marine culture areas. There was a bit decrease in area with inorganic nitrogen, active phosphate, petroleum and COD concentration exceeding the standard value compared with that of 2018. The major pollution indicator in 7 national aquatic germplasm resource protection areas (seas) was inorganic nitrogen, and the sediments of 27 key marine fishery waters were in a good state.
Land Environment
Soil environmental quality
The detailed survey results on soil pollution of agricultural land show that the overall soil environmental conditions of agricultural land in the country were generally stable. The main pollutant affecting the soil environmental quality of agricultural land was heavy metals, of which cadmium was the primary pollutant.
Quality of arable land
In 2019, 1.550 billion mu of permanent basic farmland was demarcated nationwide.
As of the end of 2019, the average grade of arable land quality nationwide was 4.76\(^1\). Among them, the areas with the Grade 1~3 was 632 million mu, accounting for 31.24% of the total arable land; that with Grade 4~6 was 947 million mu, accounting for 46.81%; and that with Grade 7~10 was 444 million mu, accounting for 21.95%.
Water loss and soil erosion
According to the results of dynamic monitoring of water and soil erosion in 2018\(^2\), there were 2.7369 million km\(^2\) land subject to water and soil erosion in China. In specific, 1.1509 million km\(^2\) were under water erosion and 1.586 million km\(^2\) were under wind erosion. Compared with the findings of the water and soil conservation of the First National Census on Water Resources (2011), the area of land subject to water and soil erosion in China decreased by 212,300 km\(^2\).
Desertification and sandification
The monitoring results of the Fifth National Monitoring of Desertification Land and Sandy Land\(^3\) showed that there were 2.6116 million km\(^2\) desertification land and 1.7212 million km\(^2\) sandy land across the country. According to the results of the Third Monitoring of Rocky Desertification in the karst area, the existing rocky desertification land area in the karst area of China is 100,700 km\(^2\).
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\(^1\) Based on *Arable Land Quality Grading* (*GB/T 33469-2016*), arable land is classified into 10 grades in terms of quality, with Grade 1 the best and Grade 10 the poorest. In general, Grade 1~3 indicates excellent, Grade 4~6 moderate, and Grade 7~10 poor.
\(^2\) Up to the time this Report was published, the results of dynamic monitoring of water and soil erosion in 2018 remained to be the latest data.
\(^3\) Up to the time this Report was published, the monitoring results of the Fifth National Monitoring of Desertification Land and Sandy Land and the Third Monitoring of Rocky Desertification remain to be the latest.
Natural and Ecological Environment
Ecological environment quality
In 2019, the national Ecological Index (EI) was 51.3, indicating a moderate eco-environmental quality, with no obvious change compared with that of 2018. The total area of counties with “excellent” or “good” eco-environmental quality took up 44.7% of total land area, mainly distributed in the region east to Tibetan Plateau, south to Qinling Mountain and the Huaihe River, Daxing’anling and Xiaoxing’anling Mountain areas as well as Changbai Mountain region in Northeast China. The total area of counties with moderate eco-environmental quality took up 22.7%, mainly distributed in regions such as North China Plain, HuangHuaiHai Plain, central and western parts of Northeast China Plain and central part of Inner Mongolia. The total area of counties with relatively poor or poor eco-environmental quality took up 32.6% of the total, mainly distributed in western part of Inner Mongolia, central and western part of Gansu, western part of Tibet and most parts of Xinjiang.
Map of countywide eco–environmental quality of China in 2019
Eco-environmental quality is assessed according to the Technical Criterion for Ecosystem Status Evaluation (HJ 192-2015). Ecological Index $\geq 75$ indicates excellent environment with high vegetation coverage, rich biodiversity and stable ecosystems. Ecological Index ranging between 55–75 indicates good environment with relatively high vegetation coverage, relatively rich biodiversity and being suitable for human living. Ecological Index within the range of 35–55 refers to moderate eco-environment with intermediate vegetation coverage, general biodiversity and being relatively suitable to human living but with some factors constraining human life. Ecological Index within 20–35 refers to relatively poor eco-environment with poor vegetation coverage, severe drought, less species and factors evidently constraining human life. Ecological Index < 20 refers to poor eco-environment with bad conditions and constraints on human life.
In 2019, assessment over the dynamic change of ecological environment of 817 counties with key ecological functions show that, eco-environmental quality of 12.5% of the counties improved, 78.0% remained basically stable, and 9.5% deteriorated compared with that of 2017.
**Biodiversity**
**Ecosystem diversity** China boasts all the types of terrestrial ecosystems on earth including 212 types of forest, 36 types of bamboo forest, 113 types of shrubs, 77 types of meadows, 55 types of grassland, 52 types of deserts and 30 types of natural wetlands. China is also home to various marine ecosystems including the mangroves, coral reefs, sea grass beds, islands, gulfs, estuaries and upwelling as well as such artificial ecosystems as cropland, artificial forest, artificial wetland, artificial grassland and urban ecosystem.
**Biodiversity** A total of 106,509 species and subspecies have been discovered in China covering 49,044 animalia species, 44,510 botanical species, 469 bacteria species, 2,375 pigment species, 7,386 fungi, 1,920 protogenesis animalia and 805 viruses. A total of 406 rare and endangered wildlife species are included in the National Catalogue of Wildlife under Key State Protection, and several hundred animal species are unique to China including giant panda, golden monkey, Tibetan antelope, *crossoptilon mantchuricum* and Yangtze alligator. A total of 246 species of 8 categories of rare and endangered plants are included in the National Catalogue of Wildlife under Key State Protection, and a total of 9,302 types of macro-fungi have been identified.
**Genetic resource diversity** China has 1,339 cultivated varieties of 528 species of cultivated crops with over 1,000 economic tree species. A total of 7,000 varieties of ornamental plants and 576 varieties of domestic animals are originated from China.
**Endangered species**
The assessment results of 34,450 species of higher plants across China showed that 10,102 species of higher plants require special attention and protection, taking up 29.3% of the total assessed species, among which, 3,767 species were endangered, 2,723 species belong to NT Grade and 3,612 belong to DD Grade. The endangerment assessment results of the 4,357 identified vertebrates (marine fishes were not included) showed that 2,471 vertebrates require special attention and protection, taking up 56.7% of the total assessment number, among which 932 vertebrates were endangered, 598 vertebrates belong to NT Grade and 941 belong to DD Grade. The endangerment assessment results of the 9,302 identified macro-fungi call for special attention and protection, taking up 70.3% of the total assessment number, among which 97 macro-fungi were endangered, 101 macro-fungi belong to NT Grade and 6,340 belong to DD Grade.
**Invasive alien species**
More than 660 invasive alien species have been found across the country, among which, 71 species that caused or had potential threat to natural ecosystems have been included in the *List of China’s Invasive Alien Species*. The survey results on invasive alien species covering 67 national nature reserves showed that 215 species of invasive alien species have invaded national nature reserves, and 48 of them were included in the *List of China’s Invasive Alien Species*.
**Nature protected areas**
Up to the end of 2019, a total of more than 11,800 protected areas* at all levels and of different categories were established with national parks as a major component. The protected areas accounted for 18.0% of the national land area and 4.1% of the jurisdictional sea area. Among them, 10 national park pilot areas for Northeast Tiger Leopard, Qilian Mountain, the Giant Panda and so on were established, involving 12 provinces including Jilin, Heilongjiang, Sichuan and other provinces. The total area covers more than 220,000 km$^2$, accounting for about 2.3% of the total national land area.
In the first and second half of year 2019, new and
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*The statistics of nature reserves has been changed to the statistics of nature protected areas since 2019.*
increasing anthropogenic activities were respectively found in 1,019 and 2,785 national nature reserves, with a total area of 8.98 km$^2$ and 6.42 km$^2$ respectively.
**Forest**
According to the results of the 9$^{th}$ National Inventory of Forest Resources (2014-2018)$^1$, the national forest area was 220 million hectares, the forest coverage rate was 22.96%, and the forest stock was 17.56 billion m$^3$.
**Grassland**
The grassland area in China was nearly 400 million hectares, accounting for about 41.7% of the country’s land area, making it the largest terrestrial ecosystem and ecological barrier in China. The grassland area of the six pastoral areas of Inner Mongolia, Sichuan, Tibet, Gansu, Qinghai and Xinjiang was 293 million hectares, accounting for about 3/4 of the country’s grassland area. Grasslands in the southern region were dominated by grass hills and slope grass land, mostly located in mountains and hills, with an area of about 67 million hectares.
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$^1$Up to the time this Report was published, the results of 9$^{th}$ National Inventory of Forest Resources were the latest data.
Acoustic Environment
Regional acoustic environment
In 2019, regional daytime acoustic environment of 321 APL cities has been monitored, and the average equivalent sound level was 54.3 dB(A). Among them, 8 cities met Grade I daytime environmental noise standard, taking up 2.5%; 215 cities met Grade II standard, taking up 67.0%; 92 cities met Grade III standard, taking up 28.7%; 6 cities met Grade IV standard, taking up 1.9%; and no city met Grade V standard*.
Acoustic environment of traffic noise
In 2019, the acoustic environment of traffic noise of 322 APL cities had been monitored in the daytime, and the average equivalent sound level was 66.8 dB(A). Among them, 221 cities met Grade I daytime traffic noise standard, taking up 68.6%; 84 cities met Grade II standard, taking up 26.1%; 15 cities met Grade III standard, taking up 4.7%; and 2 cities met Grade IV standard, taking up 0.6%; and no city met Grade V standard**.
Comparison of the percentage of cities with various grades of urban daytime regional acoustic environmental noise across China between 2018 and 2019
*The average equivalent sound level of regional daytime acoustic environment $\leqslant 50.0$ dB(A) is excellent (Grade I); 50.1–55.0 dB(A) is good (Grade II); 55.1–60.0 dB(A) is average (Grade III); 60.1–65.0 dB(A) is relatively poor (Grade IV) and $> 65.0$ dB(A) is poor (Grade V).
**The average equivalent sound level of traffic acoustic environment in the daytime $\leqslant 68.0$ dB(A) is excellent (Grade I); 68.1–70.0 dB(A) is good (Grade II); 70.1–72.0 dB(A) is average (Grade III); 72.1–74.0 dB(A) is relatively poor (Grade IV) and $> 74.0$ dB(A) is poor (Grade V).
Comparison of the percentage of cities with various grades of urban daytime regional acoustic environmental traffic noise across China between 2018 and 2019
Acoustic environment of urban functional zones
In 2019, acoustic environment of urban functional zones\(^*\) of 311 APL cities has been monitored, the daytime attainment rate of which was 92.4%, and the nighttime attainment rate was 74.4%.
| Year | Type 0 Day | Type 0 Night | Type 1 Day | Type 1 Night | Type 2 Day | Type 2 Night | Type 3 Day | Type 3 Night | Type 4a Day | Type 4a Night | Type 4b Day | Type 4b Night |
|------|------------|--------------|------------|--------------|------------|--------------|------------|--------------|------------|--------------|------------|--------------|
| 2019 | 74.0 | 55.0 | 86.1 | 71.4 | 92.5 | 83.8 | 97.1 | 88.8 | 95.3 | 51.8 | 95.8 | 83.3 |
| 2018 | 71.8 | 56.3 | 87.4 | 71.6 | 92.8 | 82.2 | 97.5 | 87.6 | 94.0 | 51.4 | 100.0 | 78.4 |
\(^*\)Type 0 function area refers to the areas requiring special quiet environment such as rehabilitation and recuperation area. Type 1 function area refers to the areas with residential community, health care, culture and education, scientific research and design, administration and offices as the main functions, which need quiet environment. Type 2 function area refers to the areas with commerce, finance and market as main functions or areas mixing residential communities, commerce and industries, which need to maintain quiet residential environment. Type 3 function area refers to the areas dominated by industrial production, warehouse and logistics and in need of prevention of the strong impacts of industrial noise on surrounding environment. Type 4a function area refers to the areas along highways. Type 4b function area refers to the areas along railways.
Ionizing radiation
The environmental ionizing radiation level in China remained within the fluctuation range of natural background level in 2019. The real-time continuous air absorbed $\gamma$ radiation dose rate and accumulated dose rate were within the fluctuation range of natural baseline value. The natural radionuclide activity concentrations in the air were within the natural background level. There was no abnormal situation of artificial radionuclide activity concentrations in the air. The activity concentration of natural radionuclides of the Yangtze River, Yellow River, Pearl River, Songhua River, Huaihe River, Haihe River, Liaohe River, rivers in Zhejiang and Fujian, rivers in Northwest China, rivers in Southwest China and major lakes (reservoirs) remained at the baseline level, and there was no abnormal situation of the activity concentration of artificial radionuclides. The activity concentration of gross $\alpha$ and gross $\beta$ of urban centralized drinking water sources and groundwater met the guidance limit of radioactivity specified in *the Standard for Drinking Water Quality (GB 5749-2006)*. The activity concentration of natural radionuclides of nearshore marine water and organisms was at the baseline level. There was no abnormal situation of the activity concentration of artificial radionuclides. In specific, the activity concentration of artificial radionuclides of marine water was far below the limit specified in *the Marine Water Quality Standard (GB 3097-1997)*. The activity concentration of natural radionuclide of soil was at the baseline level, and there was no abnormal situation of the activity concentration of artificial.
Map of the real–time consecutive air absorbed $\gamma$ radiation dose rate monitored at radiation environment automatic monitoring stations in China in 2019
Map of the activity concentration of Sr–90 and Cs–137 of nearshore water in China in 2019
Note:
- The measuring unit is mBq/L.
- The figure in brackets is the amount of monitoring sites.
Data for Hong Kong, Macao and Taiwan are not included.
Environment ionizing radiation in the vicinity of in-service nuclear power plants In 2019, no abnormal real-time consecutive air absorbed $\gamma$ radiation dose rate caused by operational nuclear power plants had been monitored in the surrounding areas of in-service nuclear power bases. There was no abnormal activity concentration of radionuclides in air, water, soil and organisms in the vicinity of Hongyanhe Nuclear Power Base, Sanmen Nuclear Power Base, Fuqing Nuclear Power Base, Haiyang Nuclear Power Base, Yangjiang Nuclear Power Base and Changjiang Nuclear Power Base. There was certain degree of rise of activity concentration of tritium in some environmental media in the vicinity of Tianwan Nuclear Power Base, Qinshan Nuclear Power Base, Ningde Nuclear Power Base, Dayawan Nuclear Power Base, Taishan Nuclear Power Base and Fangchenggang Nuclear Power Base compared with the background value before the operation of those nuclear power plants. The assessment findings showed that the radiation dose of the above-mentioned nuclear power bases to the public was far below the national limit.
Environment ionizing radiation in the vicinity of civil research reactors In 2019, there was no detected abnormal situation of air absorbed $\gamma$ radiation dose rate and activity concentration of radionuclides in aerosol, sediments, water and soil in the vicinity of research facilities such as Institute of Nuclear and New Energy Technology of Tsinghua University and miniature neutron source reactor in Shenzhen University. There was some rise of activity concentration of Sr-90 and cobalt-60 in the vicinity of the production and research areas of China Institute of Atomic Energy Science and Nuclear Power Institute of China. The assessment findings showed that the radiation dose of the above-mentioned civil research reactors and production and research areas to the public was far below relevant national limit.
Environment ionizing radiation in the vicinity of nuclear fuel cycle facilities and waste disposal facilities In 2019, the $\gamma$ radiation air absorbed dose rate of vicinity environment of CNNC Lanzhou Uranium Enrichment Co. Ltd., CNNC Shaanxi Uranium Enrichment Co. Ltd., CNNC North China Nuclear Fuel Element Co. Ltd., CNNC Jianzhong Nuclear Fuel Element Co. Ltd., CNNC 272 Uranium Limited Liability Company and CNNC 404 Co. Ltd., and Northwest Disposal Site for Low and Medium Level Radioactive Waste and Beilong Disposal Site for Low and Medium Level Radioactive Waste was within the fluctuation range of natural baseline value. There was no detected abnormal activity concentration of radionuclides in environmental media in relation to the activities of the above enterprises.
Environment ionizing radiation in the vicinity of uranium mines and metallurgical plants In 2019, the overall radiation environment quality in the vicinity of uranium mines and smelting facilities was stable. The air absorbed $\gamma$ radiation dose rate in ambient environment, radon activity concentration in air, total uranium and gross $\alpha$ activity concentration of aerosol, total uranium and Ra-226 concentrations in surface water and in soil were within the historical fluctuation range. The total uranium, Pb-210, polonium-210 and Ra-226 concentrations in the drinking water of surrounding environment were lower than relevant limits specified in the Regulations for Radiation and Environmental Protection in Uranium Mining and Milling (GB 23727-2009).
Electromagnetic radiation
In 2019, the environment electromagnetic radiation level of state monitoring sites in 31 provinces (autonomous regions and municipalities), and that of radio and television signal emitting facilities, power transmission and transformation facilities and antenna of mobile communication base stations were all lower than the public exposure limit specified in the Controlling Limits for Electromagnetic Environment (GB 8702-2014).
Climate Change and Natural Disasters
Climate change
Air temperature In 2019, the national average air temperature was 10.34°C, 0.79°C higher than the historical average and 0.25°C higher than that of 2018, being the fifth warm year since 1951. The temperature in each month of the year was higher than historical average, of which the temperature in April was 1.8°C higher, marking the second highest compared with the same period in historical records.
The average temperature in the six major regions of the country was higher than the historical average. Among them, the temperature in Northeast China was 1.1°C higher, the second highest in historical records; that in South China was 0.7°C higher, the third highest in historical records. Except for the slightly lower temperature in some places like Guizhou, Chongqing and Xinjiang, the temperature of other parts was higher than the historical average, among which the temperatures were 1~2°C higher in most of Northeast China, southeastern part of North China, most of Huanghuai, eastern Inner Mongolia, northeast of Xinjiang, eastern part of Yunnan, southern part of Sichuan and Hainan.
Precipitation The national average precipitation was 645.5 mm in 2019, up by 2.5% compared with the historical average and down by 4.2% compared with that of 2018, being the eighth consecutive rainy year since 2012. The precipitation was higher than the historical average during January to April, July to August, October and December. In specific, the precipitation in February was 32% more than the historical average; the precipitation in September and November was less than the historical average, with November 28% less than average; while the precipitation in May and June was close to the same period of the historical average.
The annual precipitation in Yangjiang of Guangdong province (3,055.2 mm) and Dongxing of Guangxi province (2,984.7 mm) were the highest and second-highest in the
country, while Turpan of Xinjiang autonomous region (1.9 mm) and Toksun of Xinjiang autonomous region (3.3 mm) were the lowest and second lowest in the country.
Compared with average year, the precipitation in North China was higher, and that in South China was similar to or less than the historical average. Among them, the precipitation in the central and northern part of Northeast China, the central and eastern part of Northwest China, the western part of Inner Mongolia, the southwestern part of Xinjiang, the western part of Tibet, the northern part of Sichuan and the eastern part of Zhejiang was 20% to 50% more than historical average; that of northeast Heilongjiang, western Gansu, western Inner Mongolia, northern Qinghai was 50% to 100% more than historical average; that of the central and western Huanghuai, the majority of Jianghuai, the majority of Jianghan, the central and southern Yunnan and the eastern part of Xinjiang was 20%~50% less than historical average; the precipitation in most other parts of the country was close to the historical average.
**Annual change of national average precipitation from 1951–2019**
**Distribution of precipitation in China in 2019**
| Precipitation (mm) | Distribution areas |
|--------------------|-------------------|
| >2,000 | Parts of Northeastern Guangxi, Southern Guangdong, Northern Fujian |
| 1,200~2,000 | Most parts of the region south of the Yangtze River, South China, northeastern Sichuan, northwestern Chongqing, southern Guizhou, western Yunnan |
| 400~1,200 | Northeast China, most parts of North China, southeastern part of Northwest China, Huanghuai, Jianghuai, Jianghan, north of the Yangtze River, most parts of the central and eastern Southwest China, northeastern Inner Mongolia |
| 100~400 | Most parts of Inner Mongolia, central and northern Ningxia, central and western Gansu, central Qinghai, central and western Tibet, northern Xinjiang |
| <100 | Central and southern Xinjiang, northwestern Qinghai |
Sea level The sea level in China’s coastal areas has been going upward with fluctuations. In 2019, China’s coastal sea level was 72 mm higher than the historical average, marking the third highest since 1980. The sea level in the past 10 years had been at a high level in the past four decades. From 1980 to 2019, the sea level rising rate in China’s coastal areas stood at 3.4 mm/year.
Carbon intensity Based on preliminary calculations, the CO$_2$ emissions per unit GDP in 2019 has decreased by 4.1% compared with that of 2018, completing the set annual target.
Greenhouse gas In 2018*, the average concentrations of CO$_2$, CH$_4$ and N$_2$O in Qinghai Waliguan Station were 409.4±0.3 ppm, 1,923±2 ppb and 331.4±0.1 ppb respectively. The annual average absolute increments over the past 10 years were 2.32 ppm, 7.7 ppb, and 0.94 ppb respectively.
Natural disaster
Meteorological disaster In 2019, China in general suffered lighter meteorological disasters than historical average.
In 2019, heavy rains and flood disasters were generally lighter than the historical average. A total of 43 heavy rains occurred throughout the country, 4 more than the historical average (39 times), and there was no large-scale heavy rain and flood disaster in any of the river basins.
In 2019, drought across the country was lighter than that of historical average, but regional and periodic droughts were evident. North China, Huanghuai and Jianghuai suffered periodic droughts in spring, Yunnan was hit by continuous droughts from spring to summer, and the middle and lower reaches of the Yangtze River stricken by serious and continuous droughts from mid-summer to autumn.
There were several typhoons in 2019, but the landing typhoon was generally weak. Only the Typhoon “Lekima” caused heavy losses. There were 29 typhoons in the northwestern Pacific Ocean and South China Sea, 3.5 more than the historical average. Among them, 5 landed in China, 2.2 less than historical average. Typhoon “Lekima” was the strongest typhoon landed in China in 2019.
There were less strong convective weather in 2019 and therefore caused less losses. A total of 37 severe convective weather had occurred throughout the country, less than the average of the past 5 years. The strong convective weather mainly occurred during April to August, accounting for more than 80% of the total number of the year.
In 2019, there were more days recorded with high temperature, with strong regional characteristics. There were 10.0 days with national average high temperature (daily maximum temperature ≥ 35°C), 3.1 days more than the same period of the historical average. The number of days with high temperature in Huanghuai, Jianghuai, Jianghan, regions south of the Yangtze River, South China, eastern Southwest China, Xinjiang and other places stood between 15 to 30, part of which even exceeding 30.
In 2019, the low temperature damages and snow disasters were lighter than the historical average. At the beginning of 2019, there were frequent snowfalls in Yushu Prefecture and Guoluo Prefecture of Qinghai province. Yushu Prefecture experienced 12 heavy snowfalls in a row. Both the volume of snowfall and the number of heavy snowfall days reached the highest compared to the same period in history. In mid-February, North China experienced the largest snowfall in winter, and nearly 1/7 of the country’s land area experienced snowfall.
In the spring of 2019, there was a few sand and dust weather in northern China with relatively lighter impact. There was a total of 10 occurrence of sand and dust weather in northern China, 7 less than that of the same period of previous years (17 times). The average number of dusty days in northern China was 3.2 days, 1.8 days less than the same period of previous years. The first sand and dust weather in 2019 took place on March 19th, 31 days later than the 2000-2018 average (February 16th) and 39 days later than 2018 (February 8th).
Earthquake disaster In 2019, there were 32 earthquakes at or above 5.0 Richter Scale (20 happened in Mainland China, and 12 happened in Taiwan and in the Straits). The strongest earthquake at 6.7 Richter Scale occurred on April 18th in the sea areas close to Hualien County of Taiwan province. 13 earthquake disasters happened in Mainland China, mainly in Sichuan, Jilin, Hubei, Guangxi, Gansu, Tibet and Guizhou provinces.
Geological disaster In 2019, 6,181 geological disasters had happened across the country, among which 25 were super-large geological disasters, 37 large ones, 262 mid-sized ones and 5,857 small ones.
Marine disaster In 2019, marine disasters were dominated by storm surges, waves and red tides. Altogether 11 storm surges occurred in 2019, 5 of which led to disasters; 39 disastrous waves took place with an effective wave height of
*Up to the time this Report was published, the monitoring results of the greenhouse gas in 2018 were the latest data.
4.0 meters or higher; and 38 red tides occurred in total.
**Forest disaster** In 2019, a total of 12.3677 million hectares of forests were affected by forestry pests, up by 1.93% compared with that of 2018, among which 8.1146 million hectares forests were affected by insect pest hazards, down by 2.73% compared with that of 2018; 2.2954 million hectares forests were affected by forest disease, up by 29.74%; 1.7803 million hectares forests were affected by forest rat and rabbit hazards, down by 3.02%; 177,400 hectares forest were affected by hazardous plants, leveling off that of 2018.
In 2019, a total of 2,345 cases of forest fire took place across the country, and there were 8 big forest fires and 1 especially big forest fire, damaging the forest area of 13,505 hectares.
**Grassland disaster** A total of 47.87 million hectares of grassland across the country had been affected by grassland rat and insect pest hazards. In specific, a total of 37.49 million hectares of grassland across the country had been affected by grassland rat hazards, and 10.38 million hectares had been affected by grassland insect pest hazards.
In 2019, 45 cases of grassland fires took place across the country, and there were 1 big forest fire and 2 especially big forest fires (all caused by fires originating from the outside of the national borders), damaging 66,705 hectares of grassland. No casualties were caused.
Infrastructure
Industrial waste gas In 2018*, out of the 112,559 gas-related enterprises surveyed by the National Environmental Statistics, 88,585 enterprises had installed waste gas treatment facilities. There were 368,999 sets of waste gas treatment facilities installed nationwide, an increase of 6.9% compared with that of 2017. In specific, there were 41,746 sets of desulfurization facilities with an average desulfurization efficiency of 95.3%; 21,816 sets of denitrification facilities with an average denitration efficiency of 79.1%; 130,019 sets of dust removal facilities with an average dedusting efficiency of 99.5%.
Industrial wastewater In 2018**, out of the 71,323 water-related enterprises surveyed by the National Environmental Statistics, 59,708 enterprises had installed wastewater treatment facilities. There were 72,952 sets of wastewater treatment facilities installed nationwide, an increase of 3.7% compared with that of 2017. The capacity of wastewater treatment facilities was 223.7 million ton/day.
Sewage By the end of 2019, the urban sewage treatment capacity across the country reached 177 million m$^3$/day, and the accumulative sewage treatment volume reached 53.2 billion m$^3$. There were 2,899 black and odorous water bodies found in cities at prefecture-level and above nationwide, 2,513 of which were treated, with a treatment rate of 86.7%.
Solid Waste By the end of 2019, the decontamination capacity of urban solid waste across the country was 870,800 ton/day, and the decontamination rate reached 99.2%. 24,000 informal and unauthorized solid waste dumping sites were identified nationwide, with 90% of which treated.
Energy
Based on preliminary accounting, the total consumption of primary energy*** across the country in 2019 was 4.86 billion tons coal equivalent, up by 3.3% compared with that of 2018. Among them, coal consumption went up by 1.0%, crude oil up by 6.8%, natural gas up by 8.6%, and electricity up by 4.5%****. Coal consumption took up 57.7% of total energy consumption, down by 1.5 percentage points compared with that of 2018. The consumption of clean energy such as natural gas, hydropower, nuclear power and wind power took up 23.4% of the total energy consumption volume, up by 1.3 percentage points compared with that of 2018. The energy consumption per 10,000 yuan GDP***** went down by 2.6% compared with that of 2018.
*Up to the time this Report was published, the indicators in relation to industrial waste gas in 2018 were preliminary data.
**Up to the time this Report was published, the indicators in relation to industrial wastewater in 2018 were preliminary data.
*** According to the results of the 4th National Economic Census, historical data on relevant indicators such as total consumption of primary energy had been revised.
**** Data source is from China Electricity Council.
***** The energy consumption per 10,000 yuan GDP is calculated at the 2015 price, and the historical data had been revised according to the results of the 4th National Economic Census.
| Product name | Unit | Output | Increase from 2018 (%) |
|----------------------|-----------------------|----------|------------------------|
| Total output of primary energy | 100 million t coal equivalent | 39.7 | 5.1 |
| Raw coal | 100 million t | 38.5 | 4.0 |
| Crude oil | million t | 19,101.4 | 0.9 |
| Natural gas | 100 million m³ | 1,761.7 | 10.0 |
| Power generation | 100 million kW·h | 75,034.3 | 4.7 |
| Thermal | 100 million kW·h | 52,201.5 | 2.4 |
| Hydro | 100 million kW·h | 13,044.4 | 5.9 |
| Nuclear power | 100 million kW·h | 3,483.5 | 18.3 |
The data in the current report is mainly from the monitoring data of Environmental Monitoring Network of Ministry of Ecology and Environment, and supplemented by environment data provided by relevant ministries and commissions.
As of 2019, Environmental Monitoring Network of Ministry of Ecology and Environment includes 1,436 monitoring sites on national ambient air quality covering 337 APL cities; around 1,000 precipitation monitoring sites in 469 cities (districts and counties) (including 337 APL cities and some county-level cities); the assessment, examination and ranking of 1,931 water sections (sites) covering 978 rivers and 112 lakes (reservoirs); 902 centralized drinking water source monitoring sections (sites) in 336 APL cities; 1,434 national environmental monitoring sites for seawater environmental quality; 448 pollution sources directly discharged into the sea with a daily discharge volume of more than 100 m$^3$; 2,583 ecological and environmental quality monitoring counties in 31 provinces (autonomous regions and municipalities); around 80,000 urban acoustic environment monitoring sites in 337 APL cities; 1,416 environmental ionizing radiation monitoring sites in 337 APL cities and 44 environmental electromagnetic radiation monitoring sites in 31 municipalities and provincial capital cities.
The information about water quality of 10,168 state-level groundwater monitoring sites, total area of permanent basic farmland, sea level, geological disasters and marine disasters is provided by Ministry of Natural Resources. The data on sewage treatment and solid waste disposal are provided by Ministry of Housing and Urban-Rural Development. The data on water quality of 2,830 shallow groundwater monitoring wells, water and soil erosion, part of meteorological disasters are provided by Ministry of Water Resources. The data on the inland fishery water quality, marine fishery water quality, agricultural non-point sources and the quality of cultivated land are provided by Ministry of Agriculture and Rural Affairs. The data on part of the meteorological disasters, earthquake disasters, geological disasters, forest fires and grassland fires are provided by Ministry of Emergency Management. The data on energy are provided by National Bureau of Statistics. Most data on the temperature, precipitation, greenhouse gases and meteorological disasters are provided by China Meteorological Administration. And the data on desertification and sandification, nature protected areas, forest status, grassland status, forest biological disasters and grassland biological disasters are provided by National Forestry and Grassland Administration.
In the current Report, the assessment of urban ambient air quality is based on the *Ambient Air Quality Standard* (*GB 3095-2012*), *Technical Specifications for Environmental Air Quality Assessment (Trial)* (*HJ 663-2013*) and the *Supplementary Provisions on Urban Air Quality Assessment Affected by Sandstorm Weather Process and Letter on Issues Related to Excluding the Impact of Sandy and Dusty Weather Process* with assessment indicators including SO$_2$, NO$_2$, PM$_{10}$, PM$_{2.5}$, CO and O$_3$. The assessment of surface water quality is based on *Environmental Quality Standards for Surface Water* (*GB 3838-2002*) and the *Measures on assessment of Surface Water Quality (Trial)* with 21 assessment indicators of pH, dissolved oxygen, permanganate index, COD, BOD$_5$, ammonia nitrogen, TP, copper, zinc, cyanide, selenium, arsenic, mercury, cadmium, hexavalent chromium, Pb, cyanide, volatile phenol, petroleum, anionic surfactant and sulfide. The indicators assessing trophic status of lakes (reservoirs) include chlorophyll-a, TP, TN, transparency and permanganate index. The assessment of water quality of centralized drinking water source areas of cities at or above prefecture level is based on *Environmental Quality Standards for Surface Water* (*GB 3838-2002*) and *Quality Standard for Groundwater* (*GB/T 14848-2017*). The assessment of the quality of groundwater is based on *Quality Standard for Groundwater* (*GB/T 14848-2017*) and the assessment indicators are 37 conventional indicators except the total coliforms and total bacteria specified in Table 1 of the *Quality Standard for Groundwater* (*GB/T 14848-2017*). The seawater quality assessment of the sea under jurisdiction is based on the *Technical Regulations for Seawater Quality Assessment (Trial)* and the *Sea Water Quality Standard* (*GB 3097-1997*) and the assessment indicators are inorganic nitrogen (nitrite-nitrogen, nitrate-nitrogen and ammonia nitrogen), active phosphate, petroleum, COD and pH; The assessment of the quality of offshore marine waters is based on *Sea Water Quality Standard* (*GB 3097-1997*) and *Specification for Sea Water Quality Assessment (Trial)* with 10 assessment indicators of pH, dissolved oxygen, COD, inorganic nitrogen, active phosphate, petroleum, copper, mercury, lead and cadmium. The assessment of eco-environment quality is based on *Technical Criterion for Ecosystem Status Evaluation* (*HJ 192-2015*). The assessment of acoustic environment is based on *Environmental Quality Standard for Noise* (*GB 3096-2008*) and *Technical Specifications for Environmental Noise Monitoring-Routine Monitoring for Urban Environmental Noise* (*HJ 640-2012*). The assessment of radiation environment quality is based on *Basic Standards for Protection of Ionizing Radiation and Radiation Sources* (*GB 18871-2002*), *Electromagnetic Environment Control Limits* (*GB 8702-2014*), and *Standards for Drinking Water Quality* (*GB 5749-2006*) and *Sea Water Quality Standard* (*GB 3097-1997*). The rounding off for data is based on the *Rules of Rounding off for Numerical Value and Expression and Judgment of Limiting Values* (*GB/T 8170-2008*).
Censor code: No. GS (2020) 1642
*Note: National data in the current Report does not cover Hong Kong SAR, Macao SAR and Taiwan Province except that on administrative zoning, national land area and earthquake disasters.*
## Contributors to the 2019 Report on the State of the Ecology and Environment in China
| Leading Department | Ministry of Ecology and Environment |
|--------------------|-------------------------------------|
| Contributing Ministries and Administrations | National Development and Reform Commission
Ministry of Natural Resources
Ministry of Housing and Urban–Rural Development
Ministry of Transport
Ministry of Water Resources
Ministry of Agriculture and Rural Affairs
National Health Commission
Ministry of Emergency Management
National Bureau of Statistics
China Meteorological Administration
National Forestry and Grassland Administration |
|
Transcriptional Terminators Allow Leak-Free Chromosomal Integration of Genetic Constructs in Cyanobacteria
Ciarán L. Kelly, George M. Taylor, Aistė Šatkutė, Linda Dekker and John T. Heap *
Imperial College Centre for Synthetic Biology, Department of Life Sciences, Imperial College London, South Kensington Campus, London SW7 2AZ, UK
* Correspondence: firstname.lastname@example.org
Received: 2 July 2019; Accepted: 12 August 2019; Published: 16 August 2019
Abstract: Cyanobacteria are promising candidates for sustainable bioproduction of chemicals from sunlight and carbon dioxide. However, the genetics and metabolism of cyanobacteria are less well understood than those of model heterotrophic organisms, and the suite of well-characterised cyanobacterial genetic tools and parts is less mature and complete. Transcriptional terminators use specific RNA structures to halt transcription and are routinely used in both natural and recombinant contexts to achieve independent control of gene expression and to ‘insulate’ genes and operons from one another. Insulating gene expression can be particularly important when heterologous or synthetic genetic constructs are inserted at genomic locations where transcriptional read-through from chromosomal promoters occurs, resulting in poor control of expression of the introduced genes. To date, few terminators have been described and characterised in cyanobacteria. In this work, nineteen heterologous, synthetic or putative native Rho-independent (intrinsic) terminators were tested in the model freshwater cyanobacterium, *Synechocystis* sp. PCC 6803, from which eleven strong terminators were identified. A subset of these strong terminators was then used to successfully insulate a chromosomally-integrated, rhamnose-inducible *rhaBAD* expression system from hypothesised ‘read-through’ from a neighbouring chromosomal promoter, resulting in greatly improved inducible control. The addition of validated strong terminators to the cyanobacterial toolkit will allow improved independent control of introduced genes.
Keywords: transcriptional terminators; cyanobacteria; *Synechocystis*; inducible expression; synthetic biology
1. Introduction
Cyanobacteria are important photosynthetic model organisms and potential photosynthetic microbial factories. The ability to reliably engineer photosynthetic organisms could enable the sustainable, carbon-neutral, light-driven conversion of carbon dioxide to valuable products using energy from sunlight. Predictable engineering of cyanobacteria remains challenging for many reasons, one of which is a shortage of well-characterised genetic parts such as promoters, ribosome-binding sites and transcriptional terminators [1,2].
We recently described the successful introduction of a rhamnose-inducible *rhaBAD* expression system into the cyanobacterium *Synechocystis* sp. PCC 6803 (*Synechocystis* hereafter). This expression system has superior properties to many other previously reported inducible promoter systems, including low basal expression in the absence of inducer, a photostable and non-toxic inducer and a linear response to inducer concentration [3]. However, when introduced into the *Synechocystis* chromosome adjacent to the *ndhB* gene, we observed a non-zero basal level of expression, which
we attributed to transcriptional read-through from promoter(s) neighbouring the integration site used. Chromosomal integration is important for the stability of expression constructs, but in cases where extremely low or zero basal expression is required, transcriptional read-through can result in unpredictable gene expression, growth defects, toxicity and genetic instability.
Transcriptional terminators can be used to achieve independent control of gene expression and isolate or ‘insulate’ genes and operons from one another and from neighbouring elements when chromosomally integrated. In contrast to *Escherichia coli*, in which the use and characterisation of transcriptional terminators is routine, evaluation of the function of terminators in *Synechocystis* has been largely ignored to date. There are two main types of terminators: Rho-dependent terminators and Rho-independent or ‘intrinsic’ terminators. Rho-dependent termination requires a homohexameric Rho protein that unwinds the RNA-DNA hybrid, thus halting elongation of nascent RNA strands. No homologues of Rho have been identified in cyanobacterial genomes to date [4]. Rho-independent termination results from the formation of a hairpin-loop secondary structure in the nascent RNA strand, causing dissociation of the transcription elongation complex (comprising RNA polymerase, double-stranded DNA and nascent RNA). Termination is intrinsic to the nucleotide sequence of the RNA strand itself and composed of an adenosine-rich tract (A-tract) located upstream of a hairpin loop consisting of a GC-rich stem region (4–18 bp) and loop nucleotides (3–5 bp), followed by a highly conserved uracil-rich tract (U-tract; 6–8 bp). Transcription of the U-tract transiently pauses the elongation complex, allowing formation of the hairpin loop. This destabilises the complex, resulting in DNA:RNA hybrid shearing, termination of elongation and release of the partial transcript. Interestingly, an analysis of RNA-folding energetics near stop codons in *Synechocystis* suggested a lack of RNA hairpin-loop formation at these sites, implying Rho-independent termination is not prevalent in this cyanobacterium [4,5]. A comprehensive analysis of terminators in *Synechocystis* has not been carried out to date.
In this work we screened nineteen Rho-independent, transcriptional terminator sequences in *Synechocystis*. A subset of the best performing terminators was then tested for their ability to insulate a previously described [3] rhamnose-inducible yellow fluorescent protein (YFP) reporter cassette from likely transcriptional read-through at the site of chromosomal integration. Introduction of any of the chosen terminators resulted in a basal level of YFP production that was indistinguishable from *Synechocystis* cells lacking the YFP expression cassette entirely, confirming successful insulation of chromosomally integrated constructs.
2. Materials and Methods
2.1. Bacterial Strains and Growth Conditions
*E. coli* strain DH10B was used for all plasmid construction and propagation and the wild-type K12 strain MG1655 used for terminator-verification assays. *Synechocystis* sp. PCC 6803 WT-G (the glucose-tolerant derivative of the wild type, originally a kind gift from the laboratory of Peter Nixon at Imperial College London, London, U.K.) was used for all cyanobacterial experiments. *E. coli* was cultured in LB media at 37 °C with shaking at 240 rpm and *Synechocystis* was cultured in TES-buffered (pH 8.2) BG11 media [6] with 5 mM glucose (mixotrophic growth) or without glucose (photoautotrophic growth) at 30 °C with shaking at 150 rpm, supplemented with 30 μg mL$^{-1}$ kanamycin where required. *Synechocystis* was grown in constant white light at 50 μmol m$^{-2}$ s$^{-1}$.
2.2. Plasmid Construction
A table of all plasmids and oligonucleotides (Table S1) is provided in the Supplementary Information. Terminators were introduced as follows. Each terminator sequence was split in two at the hairpin-loop sequence and each part was included at the 5′ end of oligonucleotides that were then used to amplify pCK306. PCR fragments were then ligated by blunt-end ligation using the
New England Biolabs site-directed mutagenesis kit (New Englands Biolabs, Ipswich, MA, USA) and sequence verified.
2.3. Strain Construction
*Synechocystis* transformants were constructed as previously described [3] and full segregation confirmed by PCR.
2.4. Assays
*Synechocystis* transformants were cultured without glucose (photoautotrophic growth) for 24 h. These pre-cultures were then used to inoculate 5 mL of BG11 media to an OD (measured at 750 nm) of 0.1, in the presence of 0.6 mg/mL L-rhamnose. The YFP fluorescence of samples at various time points (indicated in text) was then measured as previously described [3] by flow cytometry using an Attune NxT Flow Cytometer (ThermoFisher, Waltham, MA, USA). Cells were gated using forward and side scatter, and YFP fluorescence (excitation and emission wavelengths: 488 nm and 525 nm [with 20 nm bandwidth] respectively) was measured. Histograms of fluorescence intensity were plotted, and mean statistics extracted. *E. coli* transformants were cultured in LB media with or without 0.6 mg/mL L-rhamnose for 6 h and YFP fluorescence assayed as previously described [7] by flow cytometry. Error bars shown represent the standard deviation of three independent biological repeats. Statistical significance was determined using a one-way ANOVA, followed by a Tukey’s multiple comparison test assuming unequal variance.
3. Results
3.1. Screening Rho-independent Terminators
Rho-independent terminators were identified from the literature including twelve strong, natural terminators from *E. coli* [8] (two of which were taken from the Biobricks registry of biological parts and used previously in cyanobacteria but not tested for efficacy [2,9,10]), four synthetic terminators that showed excellent transcriptional termination in *E. coli* [8], one putative cyanobacterial terminator [11] and T21 and M13 bacteriophage terminators [12,13] (Table 1).
In order to screen the nineteen terminators for transcriptional termination activity in *Synechocystis*, they were inserted immediately downstream of the transcriptional start site (TSS+1) of the *E. coli rhaBAD* promoter and upstream of the ribosome-binding site (RBS) in front of the YFP-encoding gene on plasmid pCK306 [3] (Figure 1A). This *Synechocystis–E. coli* shuttle plasmid both replicates stably in *E. coli* and integrates by homologous recombination into the *Synechocystis* genome at a site adjacent to the *ndhB* gene. The *rhaBAD* promoter allows a linear induction of YFP production with respect to the concentration of the inducer (L-rhamnose) added to the growth medium [3]. The resulting plasmids pAS001, pAS002, pAS004–pAS020 were verified by sequencing and initially tested in two commonly used *E. coli* strains, DH10B and MG1655. *E. coli* transformants were grown in rich media with or without 0.6 mg/mL L-rhamnose at 37 °C and fluorescence was measured after 6 h by flow cytometry, as previously described [3]. YFP production was abolished in all transformants containing the integrated terminator constructs compared to the positive control pCK306 transformants (highly statistically-significant difference; $p$ value < 0.0001) (Figure S1). No statistically-significant difference in fluorescence was observed between pAS001, pAS002, and pAS004–pAS020 transformants grown with or without inducer. Indeed, no statistically-significant difference could be observed between the basal fluorescence of pAS001, pAS002, and pAS004–pAS020 transformants in the presence of inducer and negative control pCK324 transformants, which lack the *rhaBAD* promoter entirely. Subtle differences were observed between the two *E. coli* strains, for example statistically-significant YFP production with inducer was observed with plasmids pAS017 and pAS020 in MG1655 but not in DH10B ($p$ values of <0.0001 and <0.05 respectively).
Figure 1. Screening of terminators in *Synechocystis*. (A) Overview showing insertion of terminators into plasmid pCK306 between the *rhuBAD* promoter and the ribosome-binding site (RBS) of the yellow fluorescent protein (YFP)-encoding gene. The resulting terminator constructs pAS001, pAS002, pAS004–020 were integrated into the *Synechocystis* genome. (B) *Synechocystis* transformants containing the integrated terminator constructs were cultured in BG11 media supplemented with kanamycin and 0.6 mg/mL L-rhamnose in photoautotrophic conditions in constant light. Wild-type *Synechocystis* cells (WT) lacking YFP entirely and cells containing the YFP-encoding cassette of the parent plasmid pCK306 (no terminator between *rhuBAD* promoter and RBS of YFP-encoding gene) were used as controls. The fluorescence intensity (arbitrary units) of 10,000 cells from each culture was measured by flow cytometry at 0 h (immediately after the culture was inoculated), 48 h and 96 h (black, white and grey bars respectively). Error bars shown are the standard deviation of the mean for three independent biological replicates. Key for SBOL glyphs used in figure: right-angled arrow represents a promoter; T represents a terminator; semi-circle represents a ribosome-binding site (RBS); coloured blocks represent coding sequences or genes. Origin of each terminator in brackets after plasmid name: *E. coli*, synth (synthetic), 6803 (*Synechocystis* sp. PCC 6803), T21 (bacteriophage T21), M13 (bacteriophage M13). Stars above terminators refer to the four terminators that were used in the chromosomal insulation experiments (see Figure 2).
Following characterisation in *E. coli*, the terminator-containing plasmids pAS001, pAS002, pAS004–pAS020 were integrated into the *Synechocystis* genome, with full segregation confirmed by PCR. The resulting transformants were cultured photoautotrophically, at 30 °C under constant light in BG11 growth medium supplemented with kanamycin and 0.6 mg/mL L-rhamnose. YFP fluorescence was measured by flow cytometry after 0, 48 and 96 h (linear phase of growth, as shown in Figure S3)
and compared to wild-type (no YFP) *Synechocystis* cells and pCK306 (parent plasmid with no terminator inserted) transformants as controls (Figure 1). All pAS001, pAS002, pAS004–pAS020 transformants showed lower fluorescence than pCK306 transformants at 48 h and 96 h (highly statistically-significant difference; $p$ value < 0.0001), indicating YFP production is reduced by the presence of any of these terminators. No significant difference in fluorescence was observed between wild-type cells and fifteen of the terminator-plasmid transformants at 48 h, with pAS009, pAS013, pAS016 and pAS017 showing significant differences ($p$ values of < 0.0001 for all). At 96 h, no significant difference in fluorescence was observed between wild-type cells and twelve of the terminator-plasmid transformants, with pAS007, pAS009, pAS013, pAS016, pAS017, pAS018 and pAS020 transformants showing significant differences (respective $p$ values of < 0.001, < 0.0001, < 0.0001, < 0.0001, < 0.0001, < 0.05 and < 0.0001). These data show that twelve of the nineteen terminators tested in *Synechocystis* are strong transcriptional terminators, as they lead to YFP levels that are similar to those found in cells lacking YFP altogether. This conclusion is further supported by analysis of each transformant over the three timepoints, where no significant change in fluorescence was observed across the entire time course for eleven of these terminators. A significant difference ($p$ value < 0.005) was only observed for pAS011 between 0 h and 96 h.
### 3.2. Strong Terminators Insulate Expression Constructs Integrated in the *Synechocystis* Chromosome from Transcriptional Read-Through
Four of the eleven strong terminator sequences were used to attempt to insulate integrated expression constructs from chromosomal read-through. These were terminators ECK120034435, ECK120015170, ECK120010799 and the *E. coli* *iLBN* terminator, as originally screened using plasmids pAS004, pAS012, pAS014 and pAS019, respectively. Each of these terminators was introduced immediately upstream of the *rhlBAD* promoter of pCK306 (Figure 2A), resulting in plasmids pCK351, pCK353, pCK354 and pCK355, respectively. The four constructs were integrated into the *Synechocystis* genome at the locus adjacent to *ndhB* and full segregation was confirmed by PCR. *Synechocystis* transformants containing integrated pCK351, pCK353, pCK354 and pCK355 constructs were cultured at 30 °C under constant light in BG11 growth medium supplemented with kanamycin, with glucose (mixotrophic) or without glucose (photoautotrophic) and with or without 0.6 mg/mL L-rhamnose. YFP fluorescence was measured by flow cytometry after 0 h, 96 h and 192 h (linear phase of growth, as shown in Figure S4) and compared to wild-type (no YFP) *Synechocystis* cells and pCK306 (parent plasmid with no terminator inserted) transformants as controls. In the absence of inducer, the introduction of each of the four terminators reduced the YFP fluorescence of these cells by 1.7–2.1 times compared to pCK306 fluorescence (highly statistically-significant differences; $p$ values of < 0.0001) in both photoautotrophic and mixotrophic growth conditions when measured at 96 h (Figure 2B,C). This resulted in very low fluorescence levels that were indistinguishable from wild-type cells lacking YFP entirely (no statistically-significant difference). The same pattern of results was observed at the later 192 h timepoint (Figure S2B,C). These data indicate that these four terminators are indeed effective at preventing transcriptional read-through from a chromosomal promoter and basal transcription has been reduced to undetectable levels. The four *Synechocystis* transformants containing YFP expression constructs insulated by upstream terminators were next tested to ensure inducible YFP production was still possible. Under photoautotrophic growth conditions, no statistically-significant difference in successfully induced fluorescence was observed between each of the four transformants and the parent control pCK306 transformant at either 96 h (Figure 2D) or 192 h (Figure S2D). Under mixotrophic growth conditions, no significant difference in successfully induced fluorescence was observed at either 96 h or 192 h, when pCK351 and pCK353 transformants were compared to the control transformant pCK306 (Figure 2E). A lower level of YFP was observed in transformants containing pCK354 and pCK355 constructs at the 96 h timepoint compared with pCK306 transformants (highly statistically-significant difference $p$ value < 0.0001) (Figure 2E). This difference had disappeared however at the later 192 h timepoint (Figure S2E).
Figure 2. The effect of terminators inserted upstream of a rhamnose-inducible YFP expression construct inserted in the *Synechocystis* chromosome after 96 h. (A) Detail showing the insertion of terminators into integration plasmid pCK306 upstream of the *rhaBAD* promoter. The resulting constructs pCK351, pCK353, pCK354 and pCK355 were integrated into the *Synechocystis* genome adjacent to the *ndhB* gene. (B) To test for transcriptional insulation from chromosomal promoters after integration, *Synechocystis* transformants containing the integrated terminator constructs were cultured in BG11 media supplemented with kanamycin and no L-rhamnose, in photoautotrophic conditions and...
constant light. Wild-type *Synechocystis* cells (WT) lacking YFP entirely and cells containing pCK306 (no terminator inserted upstream of *rhaBAD* promoter) were used as controls. The fluorescence intensity (arbitrary units) of 10,000 cells from each culture was measured by flow cytometry at 96 h. (C) Equivalent experiment to (B) but strains cultured in BG11 supplemented with 5 mM D-glucose (mixotrophic growth). (D) The same strains of *Synechocystis* were cultured in BG11 media supplemented kanamycin and L-rhamnose to a final concentration of 0.6 mg/mL in photoautotrophic conditions and constant light. The fluorescence intensity (arbitrary units) of 10,000 cells was measured after 96 h using flow cytometry. (E) Equivalent experiment to (D) but strains cultured in BG11 supplemented with 5 mM D-glucose (mixotrophic growth). Error bars shown represent the standard deviation of the mean of three independent biological replicates. Key for SBOL glyphs used in figure: right-angled arrow represents a promoter; T represents a terminator; semi-circle represents a ribosome-binding site (RBS); coloured blocks represent coding sequences or genes.
4. Discussion
In this study, nineteen Rho-independent terminators were evaluated in *Synechocystis*. This is important, as although a small number of *E. coli*-derived terminator sequences have previously been used in genetic constructs in cyanobacteria [2,9,11], no characterisation of their efficacy had been performed until now. The subunits of RNA polymerase differ between *E. coli* and *Synechocystis* and it has been reported that differences in RNA polymerase can lead to different termination efficiencies of terminators in different organisms [12]. Therefore, it was not obvious that all strong *E. coli* terminators would work well in *Synechocystis*. During preparation of this manuscript the characterisation of seven putative terminators found in the *Synechocystis* genome was reported [14], with moderate termination efficiencies observed. In our study, non-native and synthetic sequences were included, and twelve strong Rho-independent terminators identified.
We demonstrated that four of the strongest terminators allow complete insulation of a chromosomally integrated expression construct from transcriptional read-through resulting from genomic promoter(s) neighbouring the site of integration, presumably promoters of one or more of the sll0222 (*phoA*), sll0223 (*ndhB*) or ssl0410 genes [15]. In particular, we used strong terminators to improve the cyanobacterial rhamnose-inducible *rhaBAD* expression system previously reported [5,7], reducing basal transcription to undetectable levels. Importantly, this terminator insulation did not affect the inducible control of the expression system. The terminators characterised in this work are a valuable addition to the synthetic biology toolbox for engineering of cyanobacteria for fundamental and biotechnology purposes, allowing the insulation and independent control of individual expression units encoding separate components of a metabolic pathway or system. We recently used some of the terminators studied here in the combinatorial construction and optimisation of libraries of metabolic pathways in *Synechocystis* using the organism-independent Start-Stop Assembly system [16], as will be described in a forthcoming publication (Taylor and Heap, unpublished results). The improved and fully insulated rhamnose-inducible *rhaBAD* expression system (plasmids pCK351, pCK353, pCK354 and pCK355, which we make available to the community through Addgene, numbers 129696–129699, respectively) represents the best combination of high-level induced expression and undetectable levels of basal (non-induced) expression reported for any inducible system in cyanobacteria to date. As fundamental, general-purpose parts, transcriptional terminators support such different approaches and are equally applicable to improving production of any of the types of native or heterologous products for which cyanobacteria are studied, including biofuels, pharmaceutical compounds, nutrients and pigments.
**Supplementary Materials:** Supplementary materials can be found at http://www.mdpi.com/2076-2607/7/8/263/s1. Figure S1. Efficiency of terminators in *E. coli* strains DH10B and MG1655; Figure S2. The effect of terminator insertion upstream of chromosomally-integrated DNA on transcriptional read-through from chromosomal promoters, at 192 h; Figure S3. Growth of *Synechocystis* cells transformed with terminator plasmids pJ2801-pJ2805; Figure S4. Growth of *Synechocystis* cells transformed with terminator plasmids pCK351, pCK353, pCK354 or pCK355; Table S1. Plasmids and oligonucleotides used in this study. Reference [3] is cited in the Supplementary Materials.
**Author Contributions:** C.K. and J.H. designed the study; all authors contributed to experimental design; C.K., A.S. and G.T. performed experiments; C.K., G.T. and J.H. prepared the manuscript with input from A.S. and I.D.
Funding: This work was supported by the Biotechnology and Biological Sciences Research Council [BB/M011321/1 to JTH].
Conflicts of Interest: The authors declare no competing financial interest. The funders had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, or in the decision to publish the results.
References
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The Cornell Vegetable Program is a Cornell Cooperative Extension partnership between Cornell University and CCE Associations in 14 counties: Allegany, Cattaraugus, Chautauqua, Erie, Genesee, Monroe, Niagara, Ontario, Orleans, Oswego, Seneca, Steuben, Wayne and Yates in 2019.
The team of Vegetable Specialists provides educational programs and information to growers, processors and agri-business professionals, arming them with the knowledge to profitably produce and market safe and healthful vegetable crops.
- **900+** farm visits and direct contacts
- **28** educational events featuring CVP Specialists
- **614** people attended CVP presentations at events
Three Weeks of Broccoli!
Cornell Vegetable Program Harvests and Completes a Broccoli Variety Trial
In early September, the Cornell Vegetable Program finished their massive 0.6 acre on-farm large-scale broccoli variety trial. This trial is part of the Eastern Broccoli Project, which seeks to develop new varieties that can tolerate the hot nights of the Eastern US and not get all stressed out and produce unmarketable heads. The Cornell Vegetable Program has been a part of this project since its inception 7 years ago.
This year, the variety trial was hosted by Bauman Farms in Webster, NY with cooperation from Farm Manager, Bob Treier. Every 3-4 days for 3 weeks straight, the Cornell Vegetable Program Onion Specialist and technicians harvested broccoli. Data (weight and culls) was collected on each and every head. This year, all of the varieties looked good and did not fall apart in the heat!
Muck Onion Growers Question Excessive Fertilizer Use After Touring Cornell Field Trials
Luxurious use of fertilizer by muck onion growers is “cheap insurance” to ensure large onions and high yields. It is a tradition passed down through generations of successful muck onion growers that is very hard to change because small-sized onions from lowered fertilizer rates is not worth the risk. Interestingly, for over a decade now, Cornell researchers have struggled to find any onion yield responses to reduced fertilizer rates in their on-farm muck trials. Undeniably, this is an indication of excessive fertilizer use in muck onion production. To capture the attention of onion growers regarding this matter, this summer the Cornell Vegetable Program Onion Specialist took 45 onion growers and allied industry representatives into their own fields to see for themselves.
At the Elba Muck Onion Twilight Meeting, participants walked through sections in a commercial field treated with standard and half rates of nitrogen, phosphorous and potash (NPK) fertilizer, and no applied NPK. When asked to guess which section had no NPK applied, growers’ responses were mixed because there were no obvious visual differences among the three treatments. In disbelief during the demonstration, a grower asked the grower cooperator, “Did you really not apply any fertilizer?”, and he responded, “No, I really didn’t.”
Growers also viewed the Big Fat Onion Variety Nitrogen Rot Project in Elba and Oswego. For this project, eight varieties were grown with nitrogen rates of one-tenth, one-quarter and one-half of typical grower rates, and with rates of phosphorous and potassium that were only one-third of typical grower rates. Again, onion plants showed no signs of malnourishment and there were no apparent differences among them, or compared to the growers’ onions adjacent to the trial sites. The Cornell Vegetable Program shared the previous research results, which suggested that excessive fertility may be contributing to abundant growth of weeds and to bacterial bulb decay without any boost to onion yield. In the Elba meeting evaluation, 60% of the onion growers indicated that they would reduce their rates of nitrogen/fertilizer in the next growing season.
Making WAVES!
Monthly “Women in Agriculture: Voices, Experience, Skills” Discussion Group Makes a Splash!
It is hard to overstate the essential work and skill sets women provide the local farm economy. Many of the new farmers in our region are women, while other women with previous growing experience are moving into the area and have difficulty connecting with their colleagues. Western NY is also fortunate to have many farms anchored by long-time, highly-skilled and innovative “Farm-Hers”. We have noticed at our Cornell Vegetable Program meetings that women:
- are underrepresented at meetings
- seek out longer-term networking opportunities
- desire research-based best management practices that meet their specific farming needs
- highly engage in discussion and field tour based educational programming
- tend to be underrecognized for their agricultural roles and accomplishments
The Cornell Vegetable Program and CCE Erie County teamed up to create a monthly workshop series tailored to the needs and interests of local women working on horticultural operations. Thanks to funding from Farm Credit East’s AgEnhancement program, we have so far conducted six workshops covering greenhouse production (nursery and transplant vegetables), urban farming, maple production and sugar bush management, organic small fruits & vegetables, apple production, and compaction management.
Vegetable production was a feature of five of the six workshops thus far. Every workshop included a tour and hands-on lessons in crop scouting, pest and disease management, and cultural techniques. Every guest speaker was also female. Guest speakers had expertise in biocontrol, woodlot management, berries, integrated pest management, and tree fruit.
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The Cornell Vegetable Program’s Elizabeth Buck (center) with farm-her Mayda Pozantides (left) at the GroundWork Market Garden, a 2-acre certified organic farm in Buffalo, NY. Elizabeth is emphasizing the importance of soil pH testing.
Grower host and expert farm-her Gayle Thorpe (left) discusses the differences and strengths between each of her blueberry varieties. Esther Kibbe of CCE Harvest NY (in red) is identifying the source of feeding damage.
The success of this series was pinned upon our expert host Farm-Hers: Karyn Sullivan (Agle’s Farm Market), Mayda Pozantides (Groundwork Market Garden), Lynn Gabel (Gabel’s Maple Syrup), Gayle Thorpe (Thorpe’s Organic Family Farm), Bree Woodbridge (McCullum Orchards), and Megan Burley (Burley’s Berries). Thank you to each of our hosts!
Not only did each host share her production approaches, she also candidly discussed the business management aspects that made each of the farms standout. Business management topics included establishing management teams, community relations, agri-tourism, CSAs, family farm transitions, niche marketing, business planning, and auxiliary farm income streams. Specifically to increase farm resiliency, the August meeting theme was “Building the Farm Support Network”. Farm service providers joined the WAVES group for an informational, networking picnic.
Our objective was to enhance the knowledge, skill set, confidence, and professional network of women working in horticultural crop production. Already, women participating in this program have found new mentors and peer resources, and report feeling better prepared to manage their crops next year.
As a true testament to the value of this program, regular participants drive in from a four-county area, often travelling more than an hour to attend. New women continue to join each meeting. The few men who accompanied their female farming partners enjoyed the dynamic of the WAVES discussion group format. The Cornell Vegetable Program is currently seeking out funding to continue (and hopefully expand!) this program next year.
Abby Seaman of the NYS IPM Program demonstrates how to examine corn for worm pests as part of a biocontrol and scouting program.
Liz Tee, Lake Ontario Fruit Team, (right, holding apple) teaches growers how to identify the cause of fruit spots and identify fruit pests based on old feeding patterns.
Improving Produce Storage Quality through Forced Air Cooling
Rapid Cooling of Produce Reduces Loss Due to Field Heat Related Physiological Breakdown
For 2+ years, the Cornell Vegetable Program has been collaborating with the University of Vermont on a Precooling and Curing Fruits & Vegetables for Improved Quality and Profit project. Field heat can have a huge effect on the quality of produce in storage. It is estimated that nearly 20% of produce going into short-term cold storage from summer harvest is lost due to field heat related physiological breakdown. This equates to hundreds of thousands of dollars lost each season simply because the produce is not cooled down quickly enough. The project focused first on design, then operation of a model device that growers could easily incorporate in their post-harvest handling of fresh produce.
Once satisfied with a design, units were built and put into action on-farm. The precooler is a simple unit that acts by forcibly pulling cold air through the produce (forced air cooling). Our device is used in conjunction with a grower’s walk-in cooler. Using a small-sized yet quite powerful barrel fan and a framed pallet-sized structure with a plastic sheeting cover, boxes, baskets, or harvest bins are placed inside the unit parked inside a cooler and in a few minutes of operation, cold air is forced through the produce quickly removing field heat.
Costing under $350, the improvement of shelf life for summer produce returns the investment more than 10 fold. We built a unit on a WNY grower’s farm in order for him to try it out in real time under real field conditions. The grower was hugely impressed with the simplicity of the design yet being able to reduce field heat over 30°F in under 20 minutes. He said his cooler would have taken most of the day to get that kind of temperature reduction. “The savings in minimizing produce loss is well worth the small investment in materials and a half day’s work in putting it together. This translates to $1000s in my pocket.”
An instructional fact sheet, Forced Air Cooling On The Farm, is available from the UVM website and an updated version of the model built on-farm here in NY will be available on the CVP website this fall. The use of the precooler will be discussed at farmer winter meetings and copies of the instructions and how to use the precooler will be available to the attendees. Follow-up visits/assistance with growers will take place next season for those who wish to build and use a unit.
First Steuben County Twilight Meeting: A Success for Potato and Dry Bean Growers
New to the Cornell Vegetable Program in 2019, CCE Steuben County worked with our team to co-hosted our first twilight meeting in the county at Cory Mark Farms. The August meeting allowed the Cornell Vegetable Program to connect with growers in the region and provide educational material on two important crops in the county: potatoes and dry beans. Cornell faculty, a NYS IPM Educator and several area Educators pulled together to make it an informative, successful event.
Nice weather made it possible to have the dry bean portion of the meeting in the field. Cornell Plant Pathologist Sarah Pethybridge gave an informative talk on white mold, sharing information about its lifecycle and management recommendations. Marion Zuefle, New York State Integrated Pest Management Vegetable IPM Extension Educator, provided hands-on education about western bean cutworm, showing growers insect samples and trapping options for pest monitoring in dry beans. Growers also had the opportunity to practice using a sweep net for locating leaf hoppers, while Cornell Entomologist, Brian Nault, presented on leaf hopper management in beans.
The second half of the twilight meeting focused on potatoes, and was more discussion based between potato growers and Cornell faculty. Walter De Jong, who heads Cornell’s potato breeding program, shared updates about new potato varieties being tested as well as successes in the past few years that are available for growers. Growers also provided feedback on late blight monitoring and tracking systems to Cornell Plant Pathologist Chris Smart, who presented on late blight strain management and development, and yearly disease progression. Lastly, Brian Nault discussed management options for Colorado potato beetle, and talked through possible future insecticide rotations with growers in order to avoid insecticide resistance.
Overall, 20 registrants attended, including dry bean and potato growers as well as industry members from across the western New York region.
High tunnels allow for extended salad greens production during the shoulders of the season in the Northeast. In the Cornell Vegetable Program (CVP) region spinach can be planted in high tunnels in early fall for harvest throughout the winter.
As this industry develops we continue to research best management practices including fertilizer rates for optimal economic return.
Research on Nitrogen Rates Could Save Growers Thousands Per Acre
Nitrogen applications for overwintered tunnel greens varies widely farm-to-farm. Although the recommended nitrogen rate for field spinach is 100-125 lbs N/acre, anecdotally, we have heard reports of growers applying 200-600 lbs N/acre for high tunnel spinach. Initial CVP research has shown little yield benefit of high fertilizer rates. Working with Elisabeth Hodgdon and Andy Galimberti of the ENY Commercial Horticulture Program, we are conducting a controlled trial on appropriate nitrogen fertilization rates for high tunnel greens.
For our experiments, we used an unheated, moveable 22 x 48 ft high tunnel with a single layer of plastic at Cornell’s Willsboro Research Farm. Within the tunnel, we examined differences in spinach yield and foliar nutrients across two planting dates with four N fertility treatments, for a total of 8 treatment combinations (Table 1). We applied nitrogen in rates of either 0, 65, 130, or 200 lbs N/ac to our research plots within the tunnel approximately one week prior to transplanting.
Initial Results
Overall, nitrogen rates did not significantly affect yield (Figure 1). Control plots with no added nitrogen yielded as much spinach as plots treated with 200 lbs/acre N. This was consistent within both planting dates, and across harvest dates. Planting date did affect yield in the fall and winter, with the earlier planting producing significantly greater yields than spinach planted two weeks later. However, the later planting caught up to produce similar yields. If a grower is paying $20/lb of nitrogen, this could result in a savings of $4000/ac! The Cornell Vegetable Program continues to work with ENY team to advance this research and we expect to share more data as we enter another winter growing season.
Table 1. Seeding dates and fertilizer rates for a high tunnel greens trial.
| Seeding Date | Nitrogen (lbs/ac) |
|--------------|-------------------|
| August 27 ("early") | 0 |
| | 65 |
| | 130 |
| | 200 |
| September 10 ("late") | 0 |
| | 65 |
| | 130 |
| | 200 |
Figure 1. Spinach yield was not significantly affected by fertilizer rate. More research is needed.
Why Do I Still Have White Mold in My Beans?
Sclerotinia white mold is one of the most serious diseases of all types of beans. Overwintering structures in the ground produce tiny mushroom cups which, in turn, release huge numbers of spores into a field. The spores infect bean flowers and the mold can spread to pods, leaves, and stems. At its worst, plants are defoliated and pods are rotted and moldy, causing loss of quality and yield. When there is risk for the disease, protective fungicides are applied to the plants at flowering.
However, some growers are left asking why the disease still shows up despite fungicide application and if it is really worth the costly fungicide sprays. One possibility is that the fungus has developed resistance to the products being used. With grant funding from the NYS dry bean and processing snap and lima bean industries, Cornell Vegetable Specialists have collected samples of white mold from 37 fields across the region this summer. Pure fungal isolates are being cultured in the lab of Dr. Pethybridge at Cornell AgriTech in Geneva and will be tested for sensitivity to commonly used fungicides over the winter months. Growers will have this information before the start of the next growing season to assist with the decision about the best products to use on their farm.
On the more than 30,000 acres of dry, snap and lima beans across NYS, processors estimate that more than $500,000 is spent on fungicide sprays annually. Additionally, thousands of dollars are spent on crop scouting to attempt to manage this disease. Despite this effort, crop and quality losses continue, with an average of 3 to 4% of the acreage lost (value of $800,000) annually.
GREENHOUSE TOMATOES
Did you know?
According to the 2017 Census of Agriculture, there are 7,949 farms growing tomatoes under protected settings (i.e. greenhouses, high tunnels) in the United States with a total value of $418,960,362.
How does New York rank?
#2 in the U.S. for the number of farms growing under protected settings with a total of 489 farms
• #3 in the nation for square feet under protection at 4,188,563 sq ft
• #4 in the nation in value of sales at $28,590,555!
Newly Funded Grants & Projects
Your Trusted Source for Research-Based Knowledge
This quarter, we are pleased to have received the following grant funds allowing us to advance our commitment to the New York vegetable industry.
**Stop the Rot: Combating Onion Bacterial Diseases with Pathogenomic Tools and Enhanced Management Strategies**, United States Department of Agriculture – National Institute of Food and Agriculture (USDA-NIFA) Specialty Crops Research Initiative – Standard Research and Extension Project (SCRI-SREP), 9/30/19-9/29/23, $4,000,000 + $4,200,000 matching funds (du Toit, L.J., Dutta, B., Kvitko, B., **Hoepting, C.**, Aegerter, B., Uchanski, M., and collaborators). Read more about this award in the Vegetable Grower News article, [$4M given for onion bacterial disease research](#)
**Postharvest Handling of Garlic Control of Pests and Disease**, Northeast Sustainable Agricultural Research and Education (NESARE), 8/1/19–7/31/22, $29,968 (Stewart, C., **Hoepting, C.**, Callahan, C.)
**Building Resilient Foliar Disease Management Strategies for the Organic Table Beet Industry**, NIFA Organic Agriculture Research and Extension Initiative (OREI), 1/1/20–12/31/21, $500,000 (Pethybridge, S., Taylor, A., **Kikkert, J.**, Gadoury, D., Rea, M., Radetsky, L.)
**Optimizing Industrial Hemp Production for CBD in New York**, New York Farm Viability Institute (NYFVI), $124,298 (Smart, L., **Reid, J.**, et al.)
This project, led by PI Larry Smart, strives to meet the needs of an emerging NYS hemp industry. We will directly compare four production methods - greenhouse, high tunnel, horticultural fields, and field crop fields - for production of industrial hemp for cannabidiol (CBD). Our research will provide growers with comparative data on CBD yield, impact of pests and diseases, capital and labor resources, and input costs. Extension materials will be developed describing crop management methods, cultivar traits, harvesting methods, and post-harvest handling procedures to deliver information on the rapid advancement of the hemp research and development. Field trial objectives are to collect yield and economic data to model the economics of different production systems, which will be extended to growers and processors to stimulate the hemp industry. The success of those trials will be evaluated based on conventional standards for agronomic production - proper stand establishment, weed control, and accurately measured harvest. Judson Reid will help evaluate the potential doubling of annual output by trying to grow two cycles of high CBD hemp under high tunnels.
|
Report on Performance
The Department of the Senate has a single overarching outcome.
Outcome 1—Effective provision of services to support the functioning of the Senate as a House of the Commonwealth Parliament.
To achieve this, the department provides a broad range of services to the Senate, Senate committees, the President of the Senate, other senators, and members of the public. The department is responsible to the Senate and all senators, and maintains complete impartiality in serving them.
The department’s four main areas of service provision are reflected in the following intermediate outcomes:
- effective support for the Senate chamber
- public awareness of the Senate and its work
- effective support for Senate committees and certain joint committees
- effective office and information technology support services for senators in their Parliament House offices.
The department’s performance in achieving Outcome 1 is assessed using indicators that cover all the department’s activities, as well as indicators that are specific to particular offices. The department-wide assessment indicators covering quality, timeliness, quantity and price are outlined in the table below. The report on performance for each office begins with a similar table.
### Outcome 1
Effective provision of services to support the functioning of the Senate as a House of the Commonwealth Parliament
| Performance indicators | Performance results |
|------------------------|---------------------|
| **Quality** | Feedback from the President, Deputy President, committee chairs, committee members and other senators indicated high levels of satisfaction with the quality and timeliness of advice and the achievement of key tasks. The department’s biennial survey of senators, the main formal feedback mechanism, was conducted in the first quarter of 2009. The results confirmed high levels of satisfaction with the quality and timeliness of support. All advices, documents and publications were of a high standard. |
| **Timeliness** | All business documents were produced and advices were given in accordance with predetermined requirements and agreed timeframes in time to serve the purposes for which they were prepared. |
| **Quantity** | The department supported the Senate on 56 sitting days. The department supported 664 hours of estimates committee hearings and the hearings of other committees in accordance with their requirements. |
| **Price** | The actual cost of the department’s outputs in 2008–09 was $22.3 million. |
### Factors influencing performance
From 1 July 2008, 14 new senators, elected at the general election held in November 2007, formally took their places. The arrival of the new senators resulted in the need for a thorough orientation program and a range of other additional tasks, including increased training and support for senators and staff in new roles, and a large number of accommodation moves.
The number of sitting days increased to 56 in 2008–09 (from a very low 36 in 2007–08). The increase was expected as part of the return to a regular cycle of Senate activity that usually
occurs in the year following an election year. However, the distribution of sitting days was again skewed towards the first half of the reporting period (from August to December 2008).
Many of the departmental performance indicators for quantity are based on the expected number of sitting days. Previous reports have commented on the reduction in the number of sitting days in recent years. At 56, the number of sitting days in 2008–09 was lower than expected, but in line with recent averages.
Legislative activity is a major function supported by the department. Following lower levels of activity in 2007–08 (an election year), the number of bills considered and passed by both houses (a total of 148) returned to average levels in 2008–09.
The time and resources set aside for estimates committee hearings are a significant indicator of the demand for departmental services. Procedural and advisory support services provided by the department are highly concentrated on estimates hearing days. During 2008–09, a total of 664 hours was spent in budget estimates hearings (compared to 516 in 2007–08).
The other major factor affecting performance was the return to the pre-2006 committee structure, combined with a marked increase in the number of inquiries referred to those committees. During 2008–09, the Senate referred 135 matters to standing committees, 90 of which were bills or packages of bills.
**Operational performance**
The department continued to provide comprehensive, timely, high-quality and cost-effective support for the operations of the Senate and its committees during 2008–09.
Many areas of the department share in common tasks, such as providing advice to senators and their staff, and publishing information on the work of the Senate and its committees. Each office of the department also specialises in delivering particular services, as described in the ‘Report on performance’ chapter.
While many areas of the department experienced increased workload in 2008–09, the department maintained its high levels of efficiency in delivering a range of services throughout the year. For example:
- The number of written advices provided by the Clerk’s Office increased, consistent with the fluctuations in demand that occur during an electoral cycle and the return of the Senate to a situation where no party has control.
- The Table Office managed a high workload and contributed to the development of two information systems which will improve access to documents by stakeholders.
- There was a significant increase in the amount of legislative drafting and procedural advice services provided to non-government senators by the Procedure Office.
- The promotion of public awareness programs offered by the Parliamentary Education Office, the Research Section and other areas continued, as demand for such programs and their resources increased and positive feedback levels remained high.
- Demand for the services of the Committee Office increased significantly. The Committee Office supported 125 inquiries and organised 326 hearings in Canberra and in other locations across Australia.
- The Black Rod’s Office provided administrative support services which included rearranging senators’ office accommodation, delivering support services to the chamber and committee rooms, and providing new information technology and other communications equipment to achieve a more efficient use of resources.
The department continued to be flexible in its use of staff resources—particularly in its committee secretariats, whose workloads can vary markedly in a short period of time. A wide-ranging staff development program, building on similar programs offered in previous years, was conducted and was well supported by staff. The department continued to improve its documentation and planning processes to better monitor and manage workforce planning, risk management and financial management and governance. Further details are provided in the ‘Management and accountability’ chapter.
The department’s financial performance is detailed in the ‘Financial statements’ chapter. The budgeted resources of the department are outlined in Appendix 1.
**Satisfaction with services**
Since 1993, the department has conducted a biennial survey of senators to assist it in maintaining and improving the quality, efficiency and effectiveness of the services it provides. A survey was conducted in the first half of 2009. It consisted of a quantitative self-completion survey that was sent to all senators (and completed by 44 senators), augmented by qualitative in-depth interviews conducted with a sample of 10 senators.
Of the senators who responded, 98 per cent indicated that they were satisfied overall with the services provided by the department, while the remaining 2 per cent reported that they were ‘neutral’. Very little active dissatisfaction was found in any area. As was the case in previous surveys, senators offered high praise for the work of the department and its officers, which was said to be often carried out under great pressure and with limited resources.
Senators expressed a high degree of satisfaction with the services provided in support of the Senate chamber. Compared with the 2007 survey, there was a significant increase (from 77 per cent to 97 per cent) in the proportion of participants who declared themselves either ‘satisfied’ or ‘highly satisfied’ with support for the legislative process.
Senators expressed high levels of satisfaction with all aspects of the support provided to the Senate committees. Senators noted the heavy workloads of some committee secretariats.
Collectively, the administrative support services provided to senators – such as mail and freight services, payment of parliamentary salary and allowances, and accommodation services – received high ratings. The highest level of satisfaction in this area was with mail and freight delivery, with 94 per cent satisfaction from respondents.
While senators tended to be satisfied with public awareness of the Senate and its work, some senators seemed uncertain as to the extent of activities undertaken by the department to promote public awareness of the Senate and its committees. The work of the Parliamentary Education Office was roundly praised.
The report on performance for each office of the department describes how the office will use the relevant outcomes of the survey to support the development of work plans and projects that improve the delivery of services.
**Scrutiny of activities**
The department’s annual appropriation was determined by the Senate Standing Committee on Appropriations and Staffing and was reported to the Senate.
Estimates committee hearings are an important mechanism for evaluation of the department’s activities. Senior departmental officers were questioned by the Senate Standing Committee on Finance and Public Administration at the 2008–09 supplementary budget
estimates hearings on 20 October 2008 and additional budget estimates hearings on 23 February 2009, and by the Finance and Public Administration Legislation Committee at the 2009–10 budget estimates hearings on 25 May 2009. Issues considered included the resourcing of Senate select committees, the department’s overall budget position, and staffing.
The department’s activities were also scrutinised by both internal auditors and the Australian National Audit Office. Further details are provided in the ‘Management and accountability’ chapter.
Clerk’s Office
Output Group 1
Provision of sound and timely advice on proceedings of the Senate and its committees and provision of leadership and strategic direction for the department.
Provision of secretariat and advisory support to the Procedure Committee, the Committee of Privileges and the Committee of Senators’ Interests.
Provision of procedural information and related services to senators and the Senate Department.
| Performance indicators | Performance results |
|------------------------|---------------------|
| **Quality** | |
| The degree of satisfaction of the President, Deputy President, committee members and senators, as expressed through formal and informal feedback mechanisms, with the quality and timeliness of advice and support and the achievement of key tasks. Advice, documentation, publications and draft reports are accurate and of a high standard. | The 2009 senators’ survey reported high levels of satisfaction with the quality and timeliness of advice on powers, privileges and proceedings (97% satisfied or very satisfied) and no dissatisfaction. All advice, documents, publications and draft reports remained of a high standard and none was shown to be inaccurate. |
| **Timeliness** | |
| Meetings held, documentation provided and reports produced within timeframes set by the Senate or the committee, as relevant. *Odgers’ Australian Senate Practice* updated each six months; new printed edition produced regularly. *Procedural Information Bulletin* produced two days after end of sitting fortnights. Other procedural resources updated and augmented as required. | All the indicators relating to timeliness were met to the satisfaction of senators. The twelfth edition of *Odgers’ Australian Senate Practice* was published and tabled in the Senate on 25 September 2008. The *Procedural Information Bulletin* was produced within the specified timeframe following all sitting periods and estimates hearings. Two new titles in the series *Brief Guides to Senate Procedure* were published. Work on a new publication, the *Annotated Standing Orders of the Australian Senate*, was completed. |
| **Quantity** | |
| As required, on request, or proactively, to facilitate proceedings. | The demand for written advice returned to normal levels. Sufficient printed copies of all reports and documents were available immediately on publication or tabling, and all publications were made available online as soon as possible. |
Analysis
The Clerk’s Office consists of the Clerk, the Deputy Clerk and their executive assistants.
The Clerk is the administrative head of the Department of the Senate and, in accordance with the *Parliamentary Service Act 1999*, is responsible, under the President of the Senate, for managing the department. The Clerk is also the principal adviser to the President and senators on proceedings in the Senate, parliamentary privilege, committee proceedings and their outcomes in the chamber, and other parliamentary matters. The Deputy Clerk supports the Clerk in these roles and chairs the department’s Audit and Evaluation Committee.
The full-time equivalent staffing level for the Clerk’s office in 2008–09 was 4.0, the long-term average.
The cost of the office for 2008–09 was $1.2 million ($1.0 million in 2007–08).
Procedural advice
The primary function of the Clerk’s Office is to provide procedural and constitutional advice. The office gives oral and written advice but records only written advice because of the difficulty of quantifying oral advice. The office may provide the advice proactively or on request.
Figure 3 shows the number and kinds of written advices provided during 2008–09, and each kind as a proportion of the total. The total number represents a strong return to normal levels, consistent with the fluctuations in demand that occur during an electoral cycle and the return of the Senate to a situation where no party has a majority.
Figure 3 Types of written advices provided by the Clerk, 2008–09
The Clerk’s Office gave advice on subjects such as public interest immunity claims, orders for production of documents, section 57 of the Australian Constitution, requests for amendments to financial legislation, the effect of equally divided votes in particular circumstances, overseas and Australian court cases on parliamentary privilege, and processes for reconsidering legislation.
The breadth of topics covered continued to be wide, ranging from constitutional and governance issues to points of procedure.
**Committees**
The office is responsible for the administration of three Senate standing committees.
**Procedure Committee**
The Clerk of the Senate served as secretary to the Procedure Committee, which responds to references from the Senate or the President by evaluating, and recommending improvements to, Senate procedure.
The committee met six times in 2008–09 in relation to numerous matters and presented five reports. These were the first reports presented since August 2006 and reflected the Senate’s return to its more habitual composition. The restructuring of question time was dealt with in three reports, as the Senate moved to implement a modified version of a scheme proposed by the Deputy President, Senator the Honourable Alan Ferguson. Questions to committee chairs and other senators were dealt with in two reports, with the Senate adopting the committee’s recommendation that these barely used procedures should be abolished.
Another major subject examined by the committee in two reports was the restructuring of the Senate’s committee system. The committee recommended a return to the pre-2006 configuration of references and legislation committees, and the Senate adopted the recommendation with effect from 14 May 2009. The committee also recommended the clarification of provisions in Standing Order 25 relating to deputy chairs of committees, and commented on a suggested procedure for referring Budget bills to committees in the Budget sittings.
**Committee of Privileges**
The Deputy Clerk served as secretary to the Committee of Privileges. The committee protects the integrity of Senate and committee proceedings by considering matters possibly amounting to contempt of the Senate. Those matters, which are a result of concerns raised by other committees or individual senators, are referred to the committee by the Senate. The Committee of Privileges also administers the right-of-reply mechanism for people seeking to respond to adverse comment made about them in the Senate.
It was a quiet year for the committee, which met four times in 2008–09 (10 times in 2007–08) and presented three reports (five in 2007–08), all relating to people exercising a right of reply. Members of the committee also met informally with a parliamentary delegation from Colombia. At the end of the year, the committee was inquiring into one possible case of contempt of the Senate, relating to the treatment of a witness before a committee.
**Committee of Senators’ Interests**
The Deputy Clerk also served as secretary to the Committee of Senators’ Interests, and helped senators to fulfil the requirements of Senate resolutions relating to declarations of pecuniary interests and gifts.
In 2008–09, the committee met twice (once in 2007–08), and presented its annual report as required by its terms of reference. Members of the committee also met informally with a parliamentary delegation from Colombia to discuss the ethical framework applying to senators.
As required under the relevant resolution of the Senate, all senators lodged new statements of interests within 28 days of the new Senate meeting for the first time on 26 August 2008. Throughout the year, senators continued to register alterations to their statements of interests. Volumes of alterations and new statements were prepared by the secretariat and tabled on 25 September and 3 December 2008, and on 24 June 2009. Departmental Senior Executive Service (SES) officers’ statements of interests were tabled on the same dates.
Declarations of gifts intended for the Senate or the parliament were tabled on 25 September and 3 December 2008. Notice of a motion for a proposed inquiry by the committee into accountability mechanisms in relation to sponsored travel and hospitality was withdrawn.
**Procedural information**
The main vehicle for procedural information is *Odgers’ Australian Senate Practice*. As foreshadowed in last year’s report, the Clerk completed the twelfth edition of this essential reference work in 2008–09. Supplements will continue to be produced between editions so that the work remains fully up to date and authoritative.
The Clerk produced issues of the *Procedural Information Bulletin* after each sitting fortnight or period of estimates hearings. The bulletin included occasional notes on aspects of parliamentary law, procedure and practice.
In addition to those documents, the Clerk and the Deputy Clerk produced and updated various forms of publications on procedures. Two new titles in the *Brief Guides to Senate Procedure* series were published in hard copy and online. The new titles dealt with parliamentary privilege as it applies to senators, and provisions governing the conduct of senators. The titles were produced in time for the orientation program for new senators elected at the November 2007 federal election whose terms began on 1 July 2008.
During the year, the Deputy Clerk, assisted by several members of staff from the Table Office, completed an annotated edition of the *Standing Orders and Other Orders of the Senate*. This large, illustrated volume traces the evolution and rationale of each of the Senate’s current standing orders from their adoption early last century. At the end of the year, the work was in the process of being printed for publication in August 2009.
The Clerk and the Deputy Clerk contributed to training programs on parliamentary matters, including ‘Parliament, Privilege and Accountability’, the long-running program for SES officers of executive agencies. A particular focus during the year was the orientation program for new senators, held in July 2008 and again featuring the popular simulated chamber proceedings, chaired by the then President of the Senate, Senator the Honourable Alan Ferguson.
Information about Senate officers’ presentations and papers appears in Appendix 4.
**Factors, events and trends influencing performance**
As foreshadowed in last year’s annual report, the return of the Senate to the commonly prevailing conditions, where no party enjoys a majority and negotiation is essential, created a demand for innovative and flexible procedural advice from the Clerk’s Office.
Because the number of sitting days in the year continued to be lower than the long-term average, the demand for advice was often concentrated into sitting and estimates periods. Despite these time pressures, all advice was produced on time and to the satisfaction of its recipients, and none was shown to be incomplete or inaccurate.
The relatively large number of select committees in operation during 2008–09 also influenced the demand for advice, particularly in relation to obtaining information from government and dealing with claims of public interest immunity.
Figure 4 shows the number of written advices that the Clerk’s Office has provided each year over the past five years.
Consistent with the changes in the Senate’s composition, the Procedure Committee was more active than usual during the year, but this trend did not extend to the other committees supported by the office. Although the Committee of Privileges continued to consider a steady trickle of applications for a right of reply, no possible contempt was referred to the committee until the end of the winter 2009 sittings.
**Evaluation**
The principal medium for formal evaluation of services provided by the Clerk’s Office is the biennial survey of senators’ satisfaction, most recently conducted in February and March 2009.
Consistent with the previous survey (conducted in 2007), just over half (51 per cent) of respondents who reported having received advice indicated that they were highly satisfied with the service and 46 per cent that they were satisfied, with 3 per cent being neutral. No dissatisfaction was recorded. The survey report indicated that several of the senators surveyed regarded advice on powers, privileges and proceedings of the Senate as the most important support the department provides. The report said, ‘the high level of satisfaction this attribute achieved in the survey is illustrative of the department successfully delivering crucial support to senators’.
Advice provided by the Clerk’s Office may also attract scrutiny during the estimates process, either when the department appears before the Finance and Public Administration Legislation Committee or when advice provided by the Clerk’s Office to senators or committees is immediately tested in public. On numerous occasions during the 2008–09 estimates hearings advice from the office was sought and relied upon to the satisfaction of the recipients.
Evaluation of specific activities, such as staff contributions to training programs, occurs through participant feedback, usually in the form of written comments. On this measure, recipients of these services were well satisfied. In particular, the office’s contribution to the orientation program for new senators held in July 2008 was very well received; feedback from the program will be useful in continuing to refine future programs.
**Performance outlook**
The office and the department face major change in 2009 with the retirement of the Clerk on the expiration of his fixed-term appointment under the *Parliamentary Service Act 1999*. In December 2009, Mr Harry Evans will have served the Senate as the Clerk for nearly 22 years. Notwithstanding the extensive documentation of Senate practices and procedure by the Clerk in such works as *Odgers’ Australian Senate Practice* and the *Procedural Information Bulletin*, there will be a significant loss of corporate memory and experience.
At the end of the reporting period, the President of the Senate had initiated a recruitment process for a new Clerk. The focus of the office in 2009–10 will be on maintaining the consistently high levels and standards of service to senators, as recognised in the 2009 survey, despite the inevitable change in office personnel.
The *Annotated Standing Orders of the Australian Senate* will be published and launched in August 2009 and it is hoped that this work will be a useful addition to the resources available to departmental staff in advising senators and supporting the operations of the Senate and its committees.
## Output Group 2
Provision of programming and procedural support to the Senate.
Processing of legislation.
Processing of tabled documents and maintenance of safe custody of Senate records, and provision of a document distribution and inquiries service.
Preparation of records of Senate business and proceedings.
Dissemination of information on the work of the Senate.
Provision of secretariat support to the Appropriations and Staffing, Selection of Bills and Publications committees.
| Performance indicators | Performance results |
|----------------------------------------------------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| **Quality** | The degree of satisfaction of the President, Deputy President, committee members and senators, as expressed through formal and informal feedback mechanisms, with the quality and timeliness of advice and support and the achievement of key tasks. Key business documents are accurate and of a high standard. |
| | The 2009 senators’ survey reported high levels of satisfaction with the advice and support provided, consistent with the findings of earlier surveys. Informal feedback and direct contact between senators and staff also indicated continued high levels of satisfaction. Business documents remained of a high standard, with none shown to contain significant inaccuracies. |
| **Timeliness** | *Order of Business* finalised and distributed prior to sittings and advice prepared proactively or as required. *Journals of the Senate* for the previous day and *Notice Paper* for the current day available prior to sittings; statistical and other documentation available as required or in accordance with predetermined requirements. |
| | The *Order of Business* was distributed in advance of all sittings. Advice was given proactively or as required. The *Journals of the Senate* and the *Notice Paper* were available as required. The *Dynamic Red* was updated in a timely manner during each sitting day and the *Senate Daily Summary* was published promptly after each sitting day. Requests for statistics were responded to promptly. Statistical summaries were produced after each sitting week and comprehensive statistics were published on the website after each sitting fortnight. *Business of the Senate* and *Questions on Notice Summary* were tabled twice, in accordance with agreed timeframes. Running sheets were available for use in the chamber as required. Government amendments were distributed as required. Schedules of amendments, prints of Senate bills and legislative support documents were available as required. All documents were distributed in a timely manner. All inquiries were responded to and 92% were completed within five minutes. Committee meetings were held, and documents and reports were provided, within agreed timeframes. The senators’ survey confirmed high levels of satisfaction with the provision of these services. |
| **Quantity** | As required to facilitate proceedings; quantities meet predetermined distribution requirements or are accessible electronically or both. | Feedback indicated continued high levels of satisfaction among senators with the provision of documents by the Table Office. All distribution and publishing targets were met. |
Analysis
The Table Office comprises three sections, as outlined in Figure 5. It is led by the Clerk Assistant (Table), who performs duties as a clerk at the table in the Senate chamber. The two directors in the Table Office also perform chamber duties.
During 2008–09, the office provided effective support for the Senate chamber by:
- providing procedural and programming advice and documentation to facilitate and expedite chamber proceedings
- preparing and publishing formal and informal records of Senate business, including the *Notice Paper*, *Journals of the Senate*, the *Order of Business* (daily program) and the associated *Dynamic Red*, the *Senate Daily Summary* and a range of statistical records
- processing legislation and producing documents to assist in the legislative process
- processing and archiving tabled papers and other Senate records
- responding to inquiries and undertaking document distribution services.
The Table Office also supported Senate committees by providing secretariats to three domestic committees and by liaising with Senate and joint committee chairs and secretariats to facilitate interaction between the chamber and those committees.
Staff in the Table Office participated in the orientation program for the 14 new senators whose terms commenced on 1 July 2008. The training preceded the swearing in of the senators at the first meeting of the Senate on 26 August 2008. The Table Office provided the procedural support for the swearing in.
Table Office staff continued to make a significant contribution to the seminar program administered by the Procedure Office and to the training and development of departmental staff. In addition to contributing to departmental training programs, the office conducted ‘field trips’ to give colleagues an insight into the operation of the Table Office. This year the
program was open to staff of other parliamentary departments; those who attended provided positive feedback.
The cost of the Table Office in providing procedural and administrative support for the conduct of Senate business was $2.8 million ($2.4 million in 2007–08).
**Workload and staffing**
Requirements for advice, statistics and documentary support for the Senate are determined largely by the sittings of the Senate. Specific factors include:
- the number of days and hours of the sittings of the Senate
- the nature of the proceedings undertaken in the Senate, and the scheduling of those proceedings
- the legislative workload, including the number of bills passed, the number and complexity of amendments to bills and the complexity of negotiations between the houses
- the number of documents tabled
- the number and complexity of questions and notices from senators
- the number and complexity of inquiries and requests for information from clients.
The Table Office supported the Senate on 56 sitting days in 2008–09, a significant increase compared with 36 in 2007–08 (which included an election period). Although the number of sitting days increased, the distribution of sitting days was skewed towards the first half of the reporting period—the Senate sat for 31 days from August to December 2008 and 25 days from February to June 2009. This sitting pattern together with the commencement of the new Senate (in which no party holds a majority) in 2008 made for a particularly busy first half of the financial year.
In the same period, the Director, Journals and Notice Paper took six months leave, providing an opportunity for the Journals Officer (after a selection process) to gain experience working at the director level. The subsequent vacancy also provided an opportunity to introduce an officer from the Committee Office to the procedure and practice of the Table Office.
In the absence of the Director, Journals and Notice Paper, the duties of the Secretary to the Australian Delegation to the Inter-Parliamentary Union (IPU), funded by the Procedure Office, were performed in the Committee Office. On resuming his position in early March 2009, the Director also resumed these duties.
As foreshadowed in the 2007–08 annual report, staff were occupied with the development of two key information systems:
- ParlInfo Search provides internet access to a range of parliamentary documents. While the Parliamentary Library administers ParlInfo Search, the Table Office provides access to certain parliamentary publications through the system.
- The Bills System provides online publishing for bills and associated documents, including the ability to track the progress of bills through the legislative process.
In the second half of 2008, when the Senate was not sitting, most of the office’s staff participated in testing of the new systems.
Several Table Office staff members conducted research, wrote entries and checked references to assist the Deputy Clerk with the production of an annotated edition of the *Standing Orders and Other Orders of the Senate*, due to be published in August 2009.
The full-time equivalent staffing level for the office was 17 (the same number as in 2007–08).
Programming and procedural support
The Table Office provided programming and procedural support for the operation of the chamber, and met the needs of senators and others for accurate and timely documentation and assistance by:
- providing procedural advice to the Leader of the Government in the Senate, the Manager of Government Business in the Senate and other ministers, government senators, party whips and committee chairs
- preparing 1,288 procedural scripts for use in the chamber, an average of 23 each sitting day (19 in 2007–08)
- preparing draft and final editions of the *Order of Business* (daily program) to assist whips and other senators before and during the sittings of the Senate
- providing a broadcasting captioning service for Senate proceedings
- liaising with committee chairs and secretariats to facilitate interaction between the Senate and its committees
- maintaining the roster of temporary chairs of committees
- updating and reprinting the *Standing Orders*.
Staff also arranged for the presentation of documents by ministers, the Auditor-General and committees when the Senate was not sitting. This procedure has become an increasingly useful avenue for the timely publication of material of interest to the parliament. In 2008–09, 404 documents were presented this way—a 29 per cent increase on the 2007–08 total of 313.
The increase is significant, given that 2007–08 included a lengthy caretaker period when parliament was not sitting. The 2008–09 figure reflects a greater use of the process by departments and agencies tabling their annual reports out of sitting so that they would be available for the supplementary budget estimates hearings in October 2008, and by joint committees tabling reports.
The 2009 senators’ survey revealed that 33 per cent of respondents were highly satisfied, and 61 per cent were satisfied, with programming services, including provision of procedural scripts, broadcast captions and the *Order of Business* (the ‘Red’), while 6 per cent were neutral.
Legislation
The office responded to the legislative requirements of the Senate and the needs of senators and others for related information by:
- processing all bills considered in the chamber
- preparing legislative documents, including procedural scripts, running sheets, schedules of amendments, third reading prints and messages
- recording the progress of legislation
- preparing assent and Act prints, and processing assent messages and proclamations.
The charts in figures 6 to 8 indicate the level of legislative activity in recent years and the effect this has had on the work of the office. With the number of sitting days returning to close to the historical average, an average number of bills was passed by both houses in 2008–09.
Figure 6 Senate legislative activity, 2004–05 to 2008–09
| Year | Bills Passed Both Houses | Bills with Amendments Agreed |
|----------|--------------------------|------------------------------|
| 2004–05 | 139 | 57 |
| 2005–06 | 154 | 71 |
| 2006–07 | 207 | 78 |
| 2007–08 | 142 | 38 |
| 2008–09 | 148 | 61 |
Note: The figures for amendments also include requests for amendments and proposals to omit clauses or items from bills.
The level of activity relating to the number of amendments moved returned to average during the year. The proportion of amendments agreed to in 2008–09 (72 per cent) was a significant increase over previous years (47 per cent in 2006–07 and 39 per cent in 2005–06), not including election years. Almost 27 per cent of the amendments agreed to were made to the Fair Work Bill 2008 (228 amendments), the majority of which were moved by the government. These increases may reflect the new composition of the Senate from 1 July 2008, and the government’s willingness to negotiate with minor parties to progress its legislation program.
The office is responsible for preparing the formal ‘messages’ by which the two houses communicate on legislative and other activity. In 2008–09, 181 messages were prepared (163 in 2007–08). Of those messages, 154 related to the passage of bills, and 27 were administrative in nature (for example, relating to joint committee membership).
Running sheets facilitate the orderly and efficient consideration of all circulated amendments in committee of the whole. They are prepared when more than one set of amendments from more than one political party are circulated for consideration. Running sheets are revised when amendments are circulated after a running sheet is published. They are also revised to include outcomes and minor revisions when the consideration of a bill is complex and carries over a number of sitting days.
The number of bills for which running sheets were prepared in 2008–09 remained consistent with the historical average, but there was a significant increase in the number of pages of running sheets, as reflected in Figure 8. A number of revised running sheets were prepared to facilitate the chamber’s consideration of the Fair Work Bill 2008, and this work accounted for almost half (46 per cent) of the number of pages of running sheets for the period. Excluding the Fair Work Bill 2008, the average number of pages of running sheets at 63 pages is still above the historic average (an average of 45 pages for the period from 2004 to 2008). Running sheets are now provided electronically through the Dynamic Red.
The Bills System, in addition to providing online publishing for bills and associated documents, enables basic procedural information about each bill to be loaded to the relevant bill homepage. This information outlines the progress of a bill in the legislative process.
The Bills System has increased both the accessibility and profile of this information. Users accessing the homepages have indicated that they rely strongly on the accuracy and currency of the procedural detail, and this reliance placed administrative pressure on the legislation subsection. The increase in workload needed to meet users’ expectations has required the subsection to review its work practices to ensure that its core work is not unduly affected.
The Table Office continued to provide detailed information about the progress of legislation in the Senate *Bills List* and *Daily Bills Update*. The *Bills List* was updated and published online after each sitting day to reflect legislative activity in both chambers. The requirement to keep these printed documents current while inputting procedural data into the Bills System resulted in a duplication of information and a considerable increase in workload. A review to consider whether it is necessary to continue to publish the *Daily Bills Update* will be undertaken in the next caretaker period.
The 2009 senators’ survey indicated that 45 per cent of participants were highly satisfied, and 52 per cent were satisfied, with support for the legislative process, including the provision of running sheets, while 3 per cent were neutral. The survey highlights that, in comparison to the 2007 survey, there was a ‘statistically significant increase (from 77 per cent to 97 per cent) in the proportion of participants who declared themselves either ‘satisfied’ or ‘highly satisfied’ with ‘support for the legislative process, including the provision of running sheets’.
**Formal and informal records of business**
The office met the needs of senators and others for accurate and timely documentation and information by:
- producing and publishing the *Notice Paper* and the *Journals of the Senate*
- maintaining the *Dynamic Red* and publishing the *Senate Daily Summary*
- compiling and publishing statistical information relating to the Senate
- responding to requests for statistics on the work of the Senate
- maintaining information systems to help produce Table Office documents.
**Formal records**
To meet the requirements of senators and others, the Table Office publishes the Senate’s principal parliamentary documents online—both on the department’s website and through ParlInfo Search—and in hard copy.
The *Notice Paper*, the formal agenda of Senate proceedings, provides essential information including the current and future business of the Senate and committee matters. Two versions of the *Notice Paper* were published before each sitting day: an abridged printed version, averaging 51 pages (43 pages in 2007–08), and a ‘full’ online version. The *Notice Paper* expands during the course of each parliament as unfinished business accumulates and the number of unanswered questions on notice increases.
The *Journals of the Senate* are the ‘minutes of the meeting’ and the official record of decisions made by the Senate. During 2008–09, proof *Journals* were published online shortly after the end of each sitting day, and printed versions were distributed the next morning. Staff produced and published 56 proof *Journals*, each averaging 27 pages (26 pages in 2007–08).
**Informal records and statistics**
The *Dynamic Red* was made available on the department’s website. Conceived as an online version of the Senate’s *Order of Business* (the ‘Red’), the *Dynamic Red* provides real-time
information on the progress and outcomes of business on each sitting day. This assists senators, parliamentary staff, government departments and agencies, and the general public to monitor Senate proceedings. The publication is an invaluable tool to monitor the proceedings of the chamber and attracts a wide audience.
In 2008–09, the *Dynamic Red* was enhanced to include useful links to chamber-related documents such as notices of motion, legislation running sheets and the homepage for each bill under consideration.
Information transferred from the *Dynamic Red* assists with the timely production of the *Senate Daily Summary*, a more considered summary of the previous day’s proceedings in the Senate. The summary contains links to primary sources such as the *Journals*, Hansard, committee reports and committee membership. It is an indispensable tool for those who work in, or observe, the Senate. The *Senate Daily Summary* is also produced during estimates hearings, providing links to committee programs and other relevant information.
Statistical summaries of business conducted by the Senate were produced after each sitting week. A more comprehensive set of statistics was also maintained online, providing timely access to the most commonly sought statistics on the work of the Senate. Staff also produced two volumes of *Business of the Senate*, which has recorded statistics on the work of the Senate for more than 30 years.
The office promptly met many requests for statistics from senators, parliamentary staff and other clients. In 2008–09, the Table Office produced statistics on matters such as:
- number of bills passed by the Senate
- allocation of time for government business
- private senators’ bills dealt with on Thursdays, as provided for under Standing Order 57, from 1970 to the present
- number of committees given leave to sit during sittings of the Senate
- number of bills exempted from the provisions of Standing Order 111 (the ‘cut-off’) allowing them to be considered in the current period of sittings
- questions on notice and response times.
The 2009 senators’ survey records that 69 per cent of survey participants were highly satisfied with the preparation of records of the Senate, and 23 per cent were satisfied.
**Questions on notice, notices of motion and petitions**
Senators continued to use questions on notice—written questions to ministers on the administration of public policy—as an important accountability mechanism.
During 2008–09, staff processed 1,320 questions on notice. The *Questions on Notice Summary* records statistics and other information relating to these questions, including response times. Figure 9 shows the trend in the numbers of questions on notice in recent years.
Notices of motion are a means by which senators indicate their intention to move particular motions on specified days. They are integral to the Senate’s business. Notices are drafted by senators, the Table Office and the Procedure Office. In 2008–09, Table Office staff drafted or edited and processed 500 notices of motion that appeared in the *Notice Paper* and *Journals of the Senate*.
During 2008–09, senators presented 45 petitions (59 in 2007–08), collectively representing 82,198 signatories. The office continued to provide advice to senators and members of the public on whether proposed petitions, including electronic petitions, conformed to the requirements of the Senate Standing Orders. All conforming petitions were processed promptly and presented in the Senate.
A high level of satisfaction with processing questions on notice, notices of motion and petitions was also recorded in the 2009 senators’ survey, with 49 per cent indicating that they were highly satisfied and 43 per cent that they were satisfied.
**Documents and inquiries**
The Table Office processed the 7,675 documents presented to the Senate during 2008–09, and recorded them in the *Journals of the Senate* and the *Index of Papers Presented to the Parliament*. Copies of all documents were made available through the inquiries and distribution services.
All the original documents presented to the Senate since its first meeting in 1901 are stored in Parliament House under archival conditions. The area available for storing these documents is limited and under increasing pressure as the collection grows. A major rationalisation project reduced the holdings of duplicate copies of certain tabled documents. The rationalisation enabled an additional basement area to be used exclusively for the original documents. Also, there is now the capacity to store original documents for approximately another five years.
The work to establish the former stationery store as a supplementary storage area was completed. The area now contains the bound master sets of *Journals of the Senate*, Senate *Notice Papers*, bound volumes of Hansard and other miscellaneous material.
In previous reports it was noted that there was an increase in the number of Clerk’s documents presented to the Senate due to the requirements of *Legislative Instruments Act 2003*. This trend did not continue in 2008–09. Although the number of disallowable instruments as a percentage of Clerk’s documents increased (57 per cent of Clerk’s documents in 2008–09 compared to 42 per cent in 2007–08), the number of Clerk’s documents as a percentage of the total number of documents presented decreased. In 2008–09, 78 per cent of documents presented to the Senate were Clerk’s documents, representing a decrease of 6 per cent over the previous year. As would be expected, the number of other types of documents tabled increased. The number of committee documents tabled increased by 25 per cent and miscellaneous documents tabled (for example, returns to order) increased by almost 150 per cent over the previous reporting period.
Statistics collected by staff answering inquiries indicate that 7,615 inquiries were responded to during 2008–09. Most of the inquiries (92 per cent) were responded to within five minutes. The remainder of the inquiries were answered by staff in timeframes agreed on with clients. Most inquiries came from senators and their staff or departmental staff.
The ability of office staff to respond effectively to inquiries is supported by the use of the Document Movement System or ‘telelift’, an automated, rail-based system which conveys containers throughout Parliament House. The system is maintained by the Department of Parliamentary Services. The Table Office uses the telelift to distribute documents in response to inquiries from clients, and to carry out routine distributions of documents. The ability of the telelift to move varying quantities of documents simultaneously and immediately is essential to the high-quality, reliable distribution and inquiries services provided to senators and their staff and departmental staff.
The 2009 senators’ survey indicated that 39 per cent of participants were highly satisfied with the inquiries service and document distribution (a 9 per cent increase from the 2007 survey), 55 per cent were satisfied and 6 per cent were neutral.
**Digital imaging project**
The office is using digital imaging to copy, preserve and ensure access to the collection of all documents presented to the Senate. This major project consists of two streams of work: making digital images of the documents presented to the Senate since 2002 and creating digital images from the microfilm record of the documents from the Senate’s first century. The digital images are stored in an electronic ‘web repository’ available through the department’s website.
During 2008–09, the digital imaging team performed quality assurance processes on 17,000 images prior to loading the images to the web repository. This considerable effort resulted in a significant increase in the number of documents available online. The digital imaging team also scanned 6,374 documents and undertook associated preservation and indexing work.
The conversion of microfilm to digital images, which began last year, is now complete. The images are being processed for loading to the web repository. Documents (containing approximately four million images) presented to the Senate during 25 per cent of the parliaments between 1901 and 2001 and most of the Forty-first Parliament (2004 to 2006) are now available online.
**Secretariat support for various committees**
During the year, the Table Office provided secretariat support for all meetings and reports of the Selection of Bills Committee, the Standing Committee on Appropriations and Staffing, the Senate Publications Committee and the Joint Committee on Publications.
Over the budget estimates period, the Selection of Bills Committee met twice, having been given authority by the Senate on 14 May 2009 to report to the President, making recommendations for the referral of certain budget-related bills to committees for inquiry and report. The aim of the motion of 14 May was to ensure that the legislation committees had the opportunity to consider the bills prior to the June sittings, when the legislation would be required to be passed. The motion provided for the automatic referral of the bills to committees on introduction to the House of Representatives, with the Selection of Bills Committee acting as an arbiter. The committee met and made changes to the bills references as determined by the resolution. In the main, these changes had the effect of withdrawing references. The committee did not agree to all proposals considered and the questions on which no agreement could be reached were resolved by the Senate when it sat again.
All meetings were held, and documents provided, within agreed timeframes.
**Factors, events and trends influencing performance**
Factors influencing workload and staffing levels are set out in the ‘Analysis’ section.
As in other areas of the department, the effectiveness of the Table Office in supporting the work of senators, the Senate and its committees is heavily dependent on the expertise of staff. During 2008–09, a number of staff in the office undertook challenging new roles. Their success in doing so, particularly given the composition of the new Senate and the pace of the sittings, is testimony to their abilities, their training and the support they receive from their colleagues.
All staff in the office also met the challenge presented by major changes in the information technology underpinning their work. The technical hiccups that accompany such rollouts were met with a positive approach and there were no resultant interruptions to the work of the office. The usual high standard in both work quality and productivity was maintained.
**Evaluation**
The principal medium for evaluating the Table Office’s services is the biennial survey of senators’ satisfaction with the services provided by the department. The most recent survey was conducted in the first half of 2009.
The 2009 senators’ survey again revealed high levels of satisfaction among senators with the advice, documents and services of the office, comparable with levels reached in earlier surveys, and did not suggest any areas of major concern.
Particularly high levels of satisfaction—97 per cent—were recorded in relation to the support for the legislative process. The result is particularly significant as this was the one area of the office that received a satisfaction level below 90 per cent in the 2007 senators’ survey. Satisfaction with both programming and inquiries services and document distribution continued to be high (94 per cent). The other activities of the office, including the preparation of records of business and the processing of procedural material such as notices and questions were also highly rated, with a satisfaction level of 92 per cent. No dissatisfaction was recorded.
The office also monitors its own performance; for example, by keeping track of response times for inquiries. This monitoring provides useful benchmarks for the provision of its services.
Finally, much of the office’s work involves direct contact with senators, their staff and other clients. This presents an ongoing opportunity for feedback about the office’s services. Such informal feedback continues to be very positive.
**Performance outlook**
In 2009–10, the Table Office will continue its core work relating to the sittings of the Senate. In particular, staff will provide advice and produce documents to facilitate chamber proceedings and the legislative process; prepare formal and informal records of Senate business; process and archive tabled documents; provide inquiries and document distribution services; and support the work of committees.
In the context of the Senate’s sitting demands, the first half of the 2009–10 financial year also promises to be one of intense activity, with the consideration of major government legislation already programmed.
The office is examining the interactions between workflows, practices and information technology systems, with a view to establishing a plan for upgrading those systems.
Staff, together with colleagues in the Department of the House of Representatives, will continue to contribute to the Bills System project. A number of technical issues were identified in the warranty period and some still require rectification.
The office is also reviewing options for streamlining further work on the digital imaging project and making the documents available more accessible to those interested in parliament. Staff are examining possible changes to work practices to more closely integrate the preparation of documents for digitising into the routine workflow of tabled documents. It is intended that any changes will result in a more logical sequence of processes underpinning the tabled documents workflow, to reduce tabled document handling across a number of office processes. This will provide both digital imaging project and whole-of-office efficiencies.
Output Group 3
Provision of advisory and drafting services to non-government senators.
Provision of procedural advice and training to senators, staff, public servants and officials from other parliaments both within Australia and overseas.
Provision of secretariat support to the Regulations and Ordinances Committee and Scrutiny of Bills Committee.
Provision of parliamentary information services to the community.
Provision of parliamentary education services to schools, teachers and students.
Provision of policy advice and secretariat support for the maintenance and development of inter-parliamentary relations, including the Inter-Parliamentary Union, overseas conferences and delegations program for senators.
| Performance indicators | Performance results |
|----------------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------|
| **Quality** | The degree of satisfaction of the President, Deputy President, committee members and senators, as expressed through formal and informal feedback mechanisms, with the quality and timeliness of advice and support and the achievement of key tasks. Procedural advice is accurate and covers all foreseeable eventualities. Amendments and bills are accurate and legally sound. Public information and parliamentary research is accurate, comprehensive and targeted for particular needs. Education Centre teaching and other PEO projects accurately reflect the parliament and its work. |
| The 2009 survey of senators revealed high levels of satisfaction with the group’s outputs. This was supported by consistently favourable feedback from the group’s ongoing evaluation processes. Senators continued to acknowledge the accuracy and value of procedural advice. Legislative amendments and bills were prepared to the satisfaction of senators. Public information resources were updated as required to reflect arrangements and procedural changes in the Senate. The Parliamentary Education Office (PEO) continued to deliver its Education Centre program at near capacity and further expanded its services to include greater online interactivity and a range of new resources. |
| **Timeliness** | Procedural advice is timely. Scrutiny committee meetings held, documentation provided and reports produced within timeframes set by the Senate or the committees, as relevant. During sitting periods, amendments drafted as soon as possible after receipt of instructions. Seminars and lectures held on time and in accordance with advertised schedule; public information projects delivered according to programmed schedule. PEO teaching programs held on time and in accordance with booking schedule. PEO projects delivered according to programmed schedule. Information available on the internet and in publications is up to date and available as soon as practicable. |
| Procedural advice met all chamber deadlines. All meetings of the scrutiny committees were held as scheduled and documentation was provided within the timeframes set by the committees. Amendments were drafted in accordance with timetables set by senators and the Senate. All seminars and lectures were held on time and in accordance with advertised schedules. All programs were held in accordance with the booking schedule. Projects, programs and outreach activities were delivered as scheduled. Information resources were updated as required to reflect changes in personnel and procedures. The PEO website was constantly monitored, with required changes addressed immediately. |
Analysis
The Procedure Office provides a range of advisory, support and information services closely aligned with the role and work of the Senate. The office is divided into the functional areas shown in Figure 10.
Figure 10 Elements and responsibilities of the Procedure Office
| Executive and Legislative Drafting | Public information and parliamentary research | Parliamentary education |
|-----------------------------------|---------------------------------------------|-------------------------|
| Richard Pye, Clerk Assistant | David Sullivan, Director, Research Section | Chris Reid, Director, Parliamentary Education Office |
| Procedural advice and training | Publications, seminars, exhibitions and research on parliamentary matters Production of *The Biographical Dictionary of the Australian Senate* | Parliamentary education services and resources for schools, teachers and students |
| Drafting of legislative amendments and private senators’ bills | | |
| Legislative scrutiny |
|----------------------|
| James Warmenhoven, Secretary, Regulations and Ordinances Committee Julie Dennett, Secretary, Scrutiny of Bills Committee |
| Secretariat, advisory and administrative support to the committees |
The office is managed by the Clerk Assistant (Procedure), who also undertakes procedural and legislative work, principally for non-government senators, and performs duties as a clerk at the table in the Senate chamber.
The office provides secretariats for the Senate’s legislative scrutiny committees, the Regulations and Ordinances Committee and the Scrutiny of Bills Committee, which examine bills and legislative instruments against certain rights and accountability criteria.
The Research Section undertakes parliamentary research and produces publications, lectures and exhibitions, each with a focus on the work and role of the Senate and the parliament. The section also provides and coordinates training and seminars on parliamentary and procedural matters for a wide range of audiences. A unit within the Research Section produces *The Biographical Dictionary of the Australian Senate*, a multi-volume work containing biographies of senators focusing on their parliamentary careers.
The Parliamentary Education Office produces educational programs and resources for school students, teachers and others, with an increasing focus on outreach activities through school and regional visits and through its website: www.peo.gov.au.
In 2008–09, the cost of the Procedure Office in providing its services was $6.1 million ($5.3 million in 2007–08). The full-time equivalent staffing level for 2008–09 was 34 (32 in 2007–08).
Procedural support and legislative drafting
The Procedure Office provides direct support to the work of senators by two principal means:
- providing procedural advice and support
- drafting legislative amendments and private senators’ bills.
The services are provided to ensure that senators are supported in undertaking their legislative work. The demand for these services is substantially driven by the requirements of senators and the Senate chamber.
Procedural support
In 2008–09, the office assisted non-government senators and their staff by providing procedural advice relating to the role and work of the Senate and its committees. The office does not keep statistics on the quantum of advice given, but there was consistent demand for such advice during sitting periods.
The office prepared an average of seven procedural scripts per sitting day for senators’ use in the chamber and elsewhere. This was slightly lower than the 2007–08 average of eight. The scripts included notices of motion, the text of procedural motions and terms of reference for committee inquiries. The closely balanced numbers in the Senate chamber also led to a demand for procedural advice and the drafting of procedural motions designed to test support for dealing with motions and legislation other than in accordance with government programs.
Legislative drafting
In 2008–09, the office provided legislative support to senators’ work by:
- drafting amendments to bills, in response to instructions from senators and their staff and recommendations contained in committee reports
- drafting private senators’ bills, in response to instructions from senators and their staff.
This work was undertaken primarily for non-government senators, but a small number of backbench government senators also used these services.
Peaks in demand for legislative amendments reflected the concentration of legislative work within a small number of sitting weeks, and an unpredictable legislative timetable.
The office drafted and circulated 147 sets of ‘committee of the whole’ amendments, containing 859 individual amendments. Committee of the whole amendments are amendments proposed to the text of bills dealt with by the Senate. Two key debates—on the Water Amendment Bill 2008 and the Fair Work Bill 2008—jointly accounted for a quarter of those amendments.
The office also prepared and circulated 25 ‘second reading’ amendments. These are proposed resolutions which comment on or affect the passage of bills, but do not propose specific changes to the text of bills.
Many more committee of the whole and second reading amendments were drafted—for use in negotiations between parties, for instance—but were not proceeded with.
Private senators’ bills continued to be used as vehicles for non-government parties and individual senators to put down policy footprints and advance debate across areas of interest. During the year, the office drafted, finalised and processed 23 private senators’ bills for introduction—a record number for any reporting period. Another 28 bills were drafted to
different stages of development, for introduction at a later date or for use by senators outside the chamber. Two private senators’ bills were passed by the Senate during the year, but neither was debated by the House of Representatives.
Table 1 summarises senators’ use of the office’s legislative drafting and procedural services over the past four reporting periods.
**Table 1** Legislative drafting and procedural advice services provided to non-government senators, 2005–06 to 2008–09
| Service | 2005–06 | 2006–07 | 2007–08 | 2008–09 |
|----------------------------------------------|---------|---------|---------|---------|
| Committee of the whole amendments | 736 | 1,524 | 423 | 859 |
| Second reading amendments | 56 | 111 | 56 | 25 |
| Private senators’ bills prepared | 34 | 41 | 28 | 51 |
| Private senators’ bills introduced | 6 | 20 | 19 | 23 |
| Procedural scripts prepared | 274 | 353 | 304 | 394 |
**Legislative scrutiny committees**
During the year, the office provided secretariat, research and administrative support to the Regulations and Ordinances Committee and the Scrutiny of Bills Committee, assisting the committees to fulfil their responsibilities in accordance with the standing orders. The two committees examine all bills and disallowable instruments within their jurisdiction.
The secretariats, assisted by their legal advisers, completed all of the necessary administrative work to enable the committees to undertake these tasks. The Regulations and Ordinances Committee staff processed 3,404 instruments during 2008–09 (2,982 in 2007–08). The Scrutiny of Bills Committee secretariat processed 210 bills during 2008–09 (207 in 2007–08) and the committee commented on 111 bills (108 in 2007–08).
The secretariats also prepared material arising out of the work of the committees, for use in the Senate chamber and for publication elsewhere. This included:
- publication each Senate sitting week of the required reports and alert digests
- publication of the *Delegated Legislation Monitor* (each Senate sitting week), the *Disallowance Alert* and *Scrutiny of Disallowable Instruments Alert* (updated online as required) and biannual volumes of committee correspondence
- preparation of disallowance notices.
In addition to its regular alert digests and reports, the Scrutiny of Bills Committee published *The Work of the Committee during the 41st Parliament, November 2004 – October 2007*, which provides an overview of the legislative scrutiny work undertaken by the committee during that period, along with statistical data.
Staff from both secretariats briefed several international delegations about the role and operations of the Senate legislative scrutiny committees, and conducted a training seminar for public servants.
The secretariats also organised the Biennial Australia–New Zealand Scrutiny of Legislation Conference, to be hosted by the Commonwealth Scrutiny Committees in July 2009.
Public information and parliamentary research
The Research Section of the Procedure Office continued to coordinate and deliver seminars and professional training programs for senators and their staff, departmental staff, Australian public servants and other audiences. The section also produced publications, lectures and exhibitions, each with a focus on the work and role of the Senate and the operations of the parliament. The section also managed an internship program and a formal research partnership with the Parliamentary Studies Centre at the Australian National University.
The aim of these programs is to ensure that senators and their staff are supported in their legislative work, and that other audiences are able to develop appropriate levels of knowledge and awareness of the Senate and its work.
Seminars and training programs
In July 2008 a major orientation program was conducted for new senators who commenced their terms on 1 July 2008. The three-day program, conducted by senior officers of the department, focused on the operations and procedures of the Senate and its committees, as well as services provided by the Department of Parliamentary Services. The program is widely regarded by new senators as an essential part of their preparation for legislative duties.
A series of training seminars was also offered to the staff of senators. The seminars, delivered by senior officers, explained in detail the operations and procedures of the Senate and its committees.
The department’s seminar series continued to provide members of the Australian Public Service with comprehensive training in the operations of the Senate and its committees, and the accountability to parliament of the executive and government departments and agencies. During 2008–09, a total of 1,090 people attended 33 seminars.
The seminar series remained an integral part of most graduate training programs in the public service. Some of the larger departments enrolled all of their graduates in the full-day Introduction to the Senate seminar. A range of half-day seminars on the budget and the Senate estimates process, Senate committees, the legislative process and role of legislative scrutiny committees was also well received. The section also conducted half-day seminars for Senior Executive Service officers on the accountability of public servants to parliament and the law and practice of parliamentary privilege. The seminars were conducted by senior officers of the department.
The section organised seminars tailored to the needs of individual government departments and other interested groups, including the Department of Resources, Energy and Tourism; the Department of the Environment, Water, Heritage and the Arts; AusAID; the Office of the Chief Scientist; the Defence and Industry Study Course; the Rural Leadership Program; and a group of Indigenous graduates.
Seminars and training programs were also organised for parliamentary officers visiting from overseas parliaments, including from Hong Kong, Jordan and Namibia. The Inter-Parliamentary Study Program, conducted jointly with the Department of the House of Representatives, provided training for 15 officers from overseas parliaments, including Afghanistan, Bhutan, Canada, China, East Timor, Estonia, Ghana, Hong Kong, Iceland, Indonesia, Marshall Islands, Seychelles, Sri Lanka, Sweden, and Vietnam.
Occasional lectures
During 2008–09, the section produced lunchtime lectures as part of the popular Occasional Lecture series. Topics ranged from the implications for Australia of the 2008 election result in the United States, to the powers of a republican head of state in Australia and the role of parliament under an Australian charter of human rights.
The department published lecture transcripts in its free journal *Papers on Parliament* and made audio recordings available on its website. Lectures were filmed and broadcast on television and the internet by the Australian Broadcasting Corporation and the Australian Public Affairs Channel, increasing the audience for, and accessibility of, the lectures.
Publications and information services
The Research Section edited and published two editions of *Papers on Parliament* during 2008–09. Entitled *Constitutional Politics* (August 2008) and *Parliament, Politics and Power* (March 2009), these editions largely comprised papers in the Occasional Lecture series. A number of *Senate Briefs* and *Brief Guides to Senate Procedure* were revised and reissued to account for the election of Senator Hogg as President in August 2008 and changes to the structure of the committee system which took effect from May 2009.
The third volume of *The Biographical Dictionary of the Australian Senate*, covering senators whose terms ended between 1962 and 1983, was submitted to the publisher in May 2009 for publication in early 2010. During 2008–09, editing and checking of the manuscript was completed and extracts were read by specialists in military history and state politics. Genealogical research and the acquisition of illustrations for the volume were also concluded. Work continued on the 109 entries for the fourth volume, which will cover 1983 to 2002. A total of 75 entries have been allocated to authors.
The section continued to issue a range of free publications raising awareness of the Senate and parliamentary processes. A revised and updated *Senate Brochure* was issued in May 2009. Details of the publications available in 2008–09 are provided in Appendix 4.
During the year, the section responded to requests for information and research support from a range of sources, including senators, the Clerk, Deputy Clerk and Clerks Assistant, and members of the academic community and the general public.
Exhibitions
During the year, the department commenced a major new public exhibition in the Presiding Officers’ exhibition area on the first floor of Parliament House. Entitled ‘Acting Wisely: the Work of the Australian Parliament’, the exhibition documents and illustrates the work of the contemporary parliament.
The introductory segment of the exhibition describes the role of parliament and illustrates its power to make laws under the Constitution. Leading off this segment is a display dealing with the way that parliament makes laws, including documents used by both houses during the legislative process, a graphic illustration of the passage of a bill on a video loop, and some illustrated case studies of bills that were considered by parliament before passing into law.
The next stage of this exhibition will incorporate Australia’s copy of Magna Carta, which will move from its current position in the Members’ Hall once appropriate preservation and security arrangements are complete.
Internships program
As in previous years, the department successfully ran the Australian National Internships Program in partnership with the Australian National University. During 2008–09, 39 students were placed in parliamentary departments and 34 students were placed in other departments and agencies. Interns continued to see Parliament House as an outstanding venue in which to be placed. The Research Section coordinated an induction seminar for each group of interns and organised some of the functions associated with the program.
Research partnership with the Australian National University
During 2008–09, the department continued to play an active role in the Strengthening Parliamentary Institutions research program, which is funded by the Australian Research Council and run by the Parliamentary Studies Centre at the Australian National University. Senate officers participated in a series of workshops which provided feedback to authors who had submitted papers for publication.
In October 2008, the department co-hosted a two-day international conference on bicameralism as part of the research program. The conference investigated trends in bicameralism in Australia and related these trends to international developments in bicameral parliamentary systems. In April 2009, the department co-hosted a half-day workshop on parliaments and bills of rights. The workshop focused on ways that parliaments can respond to bills of rights by reforming their institutional rules and procedures.
Parliamentary education services
During 2008–09, the Parliamentary Education Office (PEO) continued to deliver a high level of educational services to schools, teachers and students, with demand for its services and resources also remaining very high.
The PEO has two main strategies:
- Through its Education Centre, the PEO delivers a role-play involving simulations of chamber and committee proceedings of the House of Representatives and the Senate, for students visiting Parliament House.
- Through a sophisticated outreach strategy, the PEO provides other opportunities for students and teachers to learn about the parliament. To support this strategy, the PEO produces materials and resources on its website, on CD and DVD, and in print.
The PEO also undertakes several joint ventures and invests in a range of training and development activities for staff. During 2008–09, the PEO continued to work with and report progress to the PEO Advisory Committee and received positive feedback from the 2009 senators’ satisfaction survey.
Education Centre activities
The Education Centre delivered its one-hour role-play program to 90,786 students in 2,533 groups during 2008–09. Trends in Education Centre attendance are shown in figures 11 and 12. The Education Centre continues to provide excellent opportunities for data and market research to assist the PEO evaluate and develop its programs and resources.
Website and other resources
In 2008–09, the PEO continued to develop its website and other resources, as well as its capacity to produce quality educational resources in multiple formats.
Highlights included:
- enhancing the interactivity, usability and accessibility of the PEO website, including technical developments to reflect changes to World Wide Web Consortium (W3C) Web Content Accessibility Guidelines
- introducing a multimedia section to incorporate new video learning initiatives on the website
- developing Assignment Assistant, an interactive online study tool for students
- introducing an in-house video production unit to produce educational videos for the website and other outlets—two short videos were available on the website by the end of June 2009.
In addition, the site was developed to allow more PEO resources to be ordered online or downloaded from the website.
The PEO continued to produce and update print resources and publications, including:
- *Parliament of Wizards*, a new CD-ROM resource for teachers that introduces primary school students to the work of parliament through the world of magic
- an updated version of the successful *Parliament in Pictures* poster series which features as a public display in the schools hospitality area of Parliament House
- reprints of the pocket-sized *Australian Constitution*, *Peeling back Parliament*, and *Unravelling the parliamentary role-play*.
As an indication of the growing demand for PEO resources, web patronage increased again this year, with the website recording over 3.5 million page views, an increase of 21 per cent on 2007–08.
**Outreach**
An important part of the PEO’s objectives is to provide educational resources for students and teachers who cannot make the journey to Parliament House in Canberra. One popular solution to this has been conducting outreach activities across the country, taking the parliamentary role-play and other activities ‘on the road’. A satisfying geographical spread has been achieved in recent years. In 2008–09, the PEO participated in activities in the following locations: Ballarat, Bendigo, Brisbane, Caboolture, Canberra, Castlemaine, Colac, Dakabin, Dandenong, Deception Bay, Geelong, Gladstone, Grovedale, Gympie, Maryborough, Melbourne and Norfolk Island.
Plans for outreach activities in Western Australia were confirmed during 2008–09; the activities will take place in July and August 2009. Planning for visits to several other regions during 2009–10 has commenced. Figure 13 shows the geographical spread of outreach activities in the five calendar years from 2006 to 2010.
**Figure 13** Locations of PEO outreach activities, 2006 to 2010
An important feature of many of these outreach activities was the involvement of senators and members in both creating and executing PEO programs, especially in conjunction with local schools through an initiative called *Parliament Alive*.
**Joint ventures**
The PEO continued to work with a range of groups and organisations as part of its broader educational aims.
For the twentieth successive year, the PEO, in partnership with Rotary International, hosted the Rotary Adventures in Citizenship program at Parliament House. The five-day program for students from across the country gave 31 Year 11 students an opportunity to experience the work of the parliament, meet members of parliament and participate in an intensive learning program.
The PEO again contributed to the Talkback Classroom program by assisting secondary students to interview a member of parliament about issues important to young Australians. In 2008–09, students interviewed the Honourable Stephen Smith MP and met the Honourable Warren Truss MP, the Honourable Greg Hunt MP and the Honourable Pat Farmer MP in preparation for the interview.
As in past years, the PEO contributed to the Australian National University-sponsored National Youth Science Forum and the Australian Broadcasting Corporation’s *Heywire* program. These events attracted senior secondary school students from all states and territories to Parliament House where the PEO delivered specially designed experiential learning programs focused on the processes of parliament.
The PEO continued to work with the Australian Secondary Principals Association and helped coordinate periodic association meetings at Parliament House.
**Staff training and development**
In addition to standard training exercises, over recent years the PEO has developed and refined a comprehensive training program for new staff teaching in the Education Centre. This program continued in 2008–09. All participants have successfully completed the training and joined the PEO teaching staff.
The PEO’s publishing capability continued to expand with the appointment of a dedicated web developer in March 2009. Training and development was also a focus, with an emphasis on the use of new web technologies, improved interface and application design, usability and accessibility.
From November 2008 to May 2009, a committee secretariat was created within the PEO to serve the Senate Select Committee on Men’s Health. This six-month development opportunity was completed according to plan, and the committee’s report was tabled on 29 May 2009.
**International activities**
The Inter-Parliamentary Union (IPU) brings together representatives of the parliaments of 153 sovereign states to foster contacts, coordination and the exchange of experience among parliamentarians, to consider questions of international interest and concern and to express its views on such issues in order to bring about action by parliaments and parliamentarians.
During 2008–09, the department supported the work of the IPU by funding the attendance of delegations at two IPU assemblies. The Secretary of the Community Affairs Standing
Committee served as secretary to the delegation that attended the 119th IPU Assembly in Geneva, Switzerland, in October 2008 and the Director, Journals and Notice Paper was secretary to the delegation to the 120th IPU Assembly held in Addis Ababa, Ethiopia, in April 2009. Both officers provided sound advice on the procedures and practices of the IPU as well as administrative support.
The Deputy President of the Senate and the Deputy Clerk attended the thirty-ninth Conference of Presiding Officers and Clerks, held in Adelaide in July 2008.
The department also provided experienced officers to serve as secretaries to delegations that went to:
- Croatia and Bosnia and Herzegovina in September–October 2008
- Serbia in October 2008
- Papua New Guinea and East Timor in October–November 2008
- Switzerland in April 2009
- Canada and Mexico in April–May 2009
- Austria, Canada, Italy, the Netherlands, the United Kingdom and the United States in April–May 2009.
**Factors, events and trends influencing performance**
As noted, the demand for procedural and legislative services is substantially driven by the requirements of senators and the Senate chamber. Factors influencing demand include the frequency of sittings, the number of bills dealt with by the Senate and the legislative priorities of the government and others. The composition of the Senate is also a factor: a situation in which no one group controls Senate outcomes typically leads to a strong demand for these services.
The capacity of the office to undertake drafting work was increased in 2008 by the addition of a senior legislative officer on a trial basis. The trial was successful, and the arrangement was made permanent in October 2008.
The facilities for the PEO’s education program at Parliament House operate at near capacity, with schools making bookings for the program many months in advance. This has been an important factor motivating the PEO to expand the range and quality of its online and multimedia services and resources.
**Evaluation**
The main vehicle for evaluating the services provided by the office is the survey of senators which is undertaken every two years. The 2009 survey reported continuing high levels of satisfaction with support to the Senate chamber, advisory services and support for the legislative process, all of which reflect well on the work of the office. Specific questions relating to legislative drafting services and procedural support for non-government senators found that 62 per cent were highly satisfied, 23 per cent were satisfied and the remaining 10 per cent were neutral. The survey also reported that five government senators had used such services, and each was recorded as being highly satisfied.
The survey reported an improvement in satisfaction since the 2007 survey with the promotion of public awareness of the Senate, reflecting well on the information resources and seminar programs provided by the Research Section. High levels of satisfaction were again recorded for the PEO.
The Procedure Office monitors levels of satisfaction with its performance through formal and informal channels including letters, emails, phone calls, seminar evaluation forms and direct advice from senators and their staff and members of the public. This continual performance appraisal assists the office to make timely and responsive adjustments to the way it delivers its services. High levels of positive feedback were received in 2008–09.
The PEO in particular monitors feedback of its activities and resources from senators and members, as well as its target audiences of students and teachers. Figure 14 provides a few examples.
**Figure 14 Comments on PEO services and resources**
| From senators and members |
|---------------------------|
| ‘The students were able to gain a better understanding of the workings of the parliament through the skilful delivery of the educational and entertaining role play exercise … The experience provided a valuable opportunity for students to learn about democracy and law making in Australia, some of whom may never travel to Canberra.’ |
| ‘The Parliament Alive sessions with the students from primary and high schools from my electorate were a great success. Thanks to the educators for their excellent work.’ |
| ‘The PEO resources are a fantastic aid when visiting schools in my electorate and have been well received by teachers. I am impressed with the knowledge and understanding that students have retained from their sessions in the Education Centre.’ |
| From teachers |
|---------------|
| ‘Congratulations on a wonderful support system to make our teaching job easier. All teachers at our school are impressed with your resources, which will add so much to our classroom and I’m sure that the students will gain a greater understanding of the functions of parliament.’ |
| ‘Thank you for all of the fantastic resources that you have sent to our School. We are looking forward to making good use of the fantastic resources available, especially “Parliament of Wizards” …’ |
| ‘Congratulations on the Parliamentary Education Office website. The information is clear, factual, inspiring and accessible.’ |
| From students |
|---------------|
| ‘It was good making decisions and feeling like you’re a part of the outcome.’ |
| ‘We were very proud to be part of the program and for the opportunity to speak out and act like a real government with cabinet ministers. It has a lot of meaning to us to see how a bill is passed and the process.’ |
**Performance outlook**
In 2009–10, the office will continue to provide its procedural and legislative services to meet the requirements of the Senate and individual senators. Training and seminar programs will continue, including a new round of procedural training for senators’ staff.
The Research Section will further develop its information resources with publication of Volume 3 of *The Biographical Dictionary of the Australian Senate*, a revised version of *The Pocket Guide to Senate Procedure* and an A to Z reference guide on the parliament.
The first segments of the ‘Acting Wisely’ exhibition on the legislative process and Magna Carta will be officially launched, and work will commence on additional segments that will explore the themes of representation and accountability.
The Senate will continue to participate in a range of activities as part of the Strengthening Parliamentary Institutions project, including conferences on benchmarking parliamentary performance, the state of oppositions, comparative legislative responses to global crisis management, and parliaments and architecture.
The office will also be involved in planning an event to mark the fortieth anniversary of the Senate’s system of legislative and general purpose standing committees.
A new Richard Baker Senate Essay Prize aimed at secondary school students will commence in the second half of 2009, managed by the Research Section and promoted via the PEO.
The PEO will seek to complete and consolidate a range of projects and programs. In addition to facilitating role-play classes at Parliament House for more than 90,000 young Australians, the PEO will release new material on its website, with an added emphasis on interactivity and a specific focus on secondary students. Strategic outreach involving senators and members has been planned, as has the release of new interactive resources and print publications.
## Committee Office
### Output Group 4
Provision of secretariat support to the Senate legislative and general purpose standing committees, select committees and certain joint committees.
| Performance indicators | Performance results |
|------------------------|---------------------|
| **Quality** | |
| The degree of satisfaction of the President, Deputy President, committee members and senators, as expressed through formal and informal feedback mechanisms, with the quality and timeliness of advice and support and the achievement of key tasks. | The senators’ survey revealed uniformly high levels of satisfaction with all aspects of the support provided to Senate committees. The level of satisfaction ranged from 95% for procedural advice to 91% for the preparation of briefing papers and research. In addition, formal and informal feedback mechanisms continued to show that senators consider the support provided by the Committee Office to be effective. When debating committee reports, committee chairs and senators recognised the high quality of services provided by secretariats in:
- drafting reports
- dealing effectively with witnesses and clients
- organising committee meetings and hearings
- producing quality committee briefings
- providing sound procedural advice
- liaising closely with senators’ offices. The senators’ survey revealed that the overwhelming majority of senators (92%) were satisfied with the provision of briefing papers, background research and draft reports. |
| Advice, documentation, publications and draft reports are accurate and of a high standard. | |
| **Timeliness** | |
| Meetings held, documentation provided and reports produced within timeframes set by the Senate or the committee, as relevant. | Committee secretariats organised meetings, hearings, briefings and inspections in accordance with committee requirements, within constraints arising from the availability of members. New secretariats were established in time to support the first meetings of new select committees. Reports were drafted and presented to the Senate in accordance with the timelines set by committees and deadlines set by the Senate. |
| Tabling deadlines met in all but extraordinary circumstances. | |
| **Quantity** | |
| Documentation is sufficient for committee purposes and material available to the public is available promptly, electronically or in hard copy. | Committee staff provided committee members, witnesses and others with documents in accordance with secretariat procedures, orders of the Senate and committee requirements. Upon tabling, reports were promptly made available to senators and others in both printed and electronic formats. |
Analysis
The Committee Office administers legislative and general purpose standing committee secretariats, select committee secretariats and certain joint statutory committee secretariats. The staffing and administrative structure of the Office is outlined in Figure 15. It is led by the Clerk Assistant (Committees) who performs duties as a clerk at the table in the Senate chamber and as a committee secretary.
Figure 15 Elements and responsibilities of the Committee Office
| Executive | Legislative and general purpose standing committee secretariats | Joint statutory committee secretariats | Select committee secretariats |
|-----------|---------------------------------------------------------------|----------------------------------------|-------------------------------|
| Cleaver Elliott, Clerk Assistant
Roxane Le Guen, Senior Clerk
Procedural advice and training
Planning and coordination
Secretariat staffing and resources
Statistics and records | Community Affairs
Elton Humphery
Economics
John Hawkins
Education, Employment and Workplace Relations
John Carter
Environment, Communications and the Arts
Ian Holland
Finance and Public Administration
Stephen Palethorpe/Christine McDonald (acting)
Foreign Affairs, Defence and Trade
Kathleen Dermody
Legal and Constitutional
Peter Hallahan
Rural and Regional Affairs and Transport
Jeanette Radcliffe | Australian Crime Commission
Jacqui Dewar
Corporations and Financial Services
Geoff Dawson (acting), Cleaver Elliott, Shona Batge
Australian Commission for Law Enforcement Integrity
Jacqui Dewar | Agricultural and Related Industries
Jeanette Radcliffe
State Government Financial Management
Stephen Palethorpe
Regional and Remote Indigenous Communities
Toni Matulick
Fuel and Energy
Roxane Le Guen, Naomi Bleeser
National Broadband Network
Maureen Weeks, Alison Kelly
Men’s Health
Chris Reid
Climate Policy
John Hawkins |
During 2008–09, the Committee Office provided secretariat support to Senate and certain joint committees by:
- giving accurate and timely procedural advice and administrative support to facilitate and expedite the work of committees
• arranging responsive and timely meetings and hearings in accordance with committee decisions
• providing comprehensive and timely briefings and research papers
• drafting quality reports which accurately canvassed and analysed the evidence from submissions and hearings and reflected the requirements of committees (and assisting, as necessary, in the drafting of minority reports)
• communicating effectively with witnesses and members of the general public
• being proactive in anticipating requirements of committees and chairs.
**Procedural changes and advice**
Secretaries continued to provide procedural and administrative advice to committee chairs and members as well as to members of the public. This included people inquiring about the activities of committees and people proposing to make or making submissions to committees, as well as witnesses appearing before committees. Higher-level advice was also provided by the Clerk, Deputy Clerk, Clerk Assistant (Committees) and Senior Clerk of Committees.
The advice, both oral and written, covered a wide variety of procedural issues, such as the establishment of inquiries, the drafting of terms of reference for inquiries, the membership of committees, and the interpretation of a wide range of standing orders relating to the operations of committees. As in previous years, issues relating to parliamentary privilege, such as the unauthorised disclosure of committee proceedings, the power of committees to call for both witnesses and documents, and the protection of witnesses, were prominent. Dealing with adverse reflections on persons made in evidence to committees also continued to be an issue on which advice was sought. Advice was also provided on a number of matters arising from estimates hearings.
Of particular note was the Senate’s adoption of a new order for dealing with claims made by witnesses for the non-provision of information to a committee on the grounds of public interest immunity. The department made significant efforts to ensure that all prospective witnesses at estimates hearings were made aware of the new order. In addition to the usual publication of the order in the *Journals of the Senate* and the *Senate Notice Paper*, all departmental secretaries and estimates liaison staff in all departments were notified of the new order in writing before the budget estimates hearings in May 2009. Copies of the order were made available at all hearings and the order was read into the Hansard record of the proceedings of all committees. The order was the subject of numerous advices to committees and their members during the May 2009 hearings.
The Senate made a significant change to the legislative and general purpose standing committee standing order late in the reporting period, abolishing the single standing committees and replacing them with pairs of legislation and references committees. This re-established a committee structure which had been in place prior to 2006. The change occurred in May 2009, in time for the budget round of estimates hearings. The new pairs of legislation and references committees are each supported by a single secretariat using the administrative procedures used prior to 2006.
In addition to procedural advice, the office provided extensive training on committee operations and procedures to new senators, new staff of senators and new departmental staff.
**Legislative and general purpose standing committees**
Since the amendments to the standing orders, the Senate has had eight pairs of legislation and references committees established pursuant to Standing Order 25 as permanent committees.
Permanent committees continue for the life of a parliament. They are re-established at the commencement of each new parliament, with their membership determined by the Senate.
During 2008–09, the Senate referred 135 matters to standing committees, 90 of which were bills or packages of bills. As shown in Table 2, those committees tabled 160 reports, excluding reports on estimates. In 2007–08 the committees tabled 101 reports.
Table 2 Activities of standing committees
| Meetings (number) | 2006–07 | 2007–08 | 2008–09 |
|-------------------|---------|---------|---------|
| Public | 150 | 90 | 307 |
| Private | 267 | 207 | 313 |
| Inspections/other | 11 | 3 | 7 |
| Meetings (hours) | 2006–07 | 2007–08 | 2008–09 |
|-------------------|---------|---------|---------|
| Public | 660 | 445 | 1,671 |
| Private | 130 | 70 | 109 |
| Matters referred | | | |
|-------------------|---------|---------|---------|
| Bills/provisions of bills | 79 | 50 | 90 |
| Other | 27 | 39 | 45 |
| Reports presented | 109 | 101 | 160 |
| Submissions received | 3,028 | 3,905 | 6,296 |
| Witnesses | 1,860 | 1,165 | 2,556 |
| Extensions of time granted | 33 | 25 | 79 |
---
a Includes 16 annual reports.
b Excludes estimates; includes reports on annual reports.
As shown in Table 3, the usual cycle of estimates hearings was conducted during the year, commencing with a week of supplementary hearings for the 2008–09 Budget, held in October and November 2008. A week of additional estimates hearings were held in February 2009. The initial estimates hearings for the 2009–10 Budget took place between 25 May and 4 June 2009.
A significant variation in estimates hearings was caused by a resolution of the Senate, on 26 August 2008, requiring the holding of an additional day of hearings into Indigenous matters that would include all the portfolios with budget expenditure or responsibility for Indigenous issues. The first such meeting was held on 24 October 2008, the second on 27 February 2009 and the third on 5 June 2009.
Table 3 Activities of committees considering estimates, 2007–08 to 2009–10 budget cycles
| Budget cycle | Hours of budget estimates hearings | Hours of additional estimates hearings | Total hours | Witnesses | Pages of evidence |
|--------------|-----------------------------------|--------------------------------------|-------------|-----------|------------------|
| | May–June\(^a\) | October–November\(^b\) | February | | |
| 2009–10 | 332 | – | – | 332 | 1,974 | 3,884 |
| 2008–09 | 322 | 176 | 166 | 664 | 5,758 | 10,191 |
| 2007–08 | 333 | Not held | 183 | 516 | 1,832 | 4,004 |
| 2006–07 | 334 | 187 | 194 | 715 | 4,329 | 9,335 |
\(^a\) Main hearings.
\(^b\) Supplementary hearings.
Overall, the 2008–09 budget cycle estimates involved 664 hours of hearings, an increase on the 2007–08 budget cycle. Sixteen reports on estimates were prepared by committees and tabled, eight after the budget estimates and eight following the additional estimates.
The activity of committees considering estimates generates considerable administrative effort for committee secretariats. Timetabling and coordination of the hearings is complex, involving all departments and statutory bodies of the Commonwealth. Extensive coordination with ministers is required to ensure that ministers are in attendance to take responsibility for questioning. The standing orders provide for only four of the eight committees to meet at one time, to facilitate senators being able to participate in the activities of more than one committee. Because of the requirement for senators to attend more than one estimates hearing, secretariats spend time coordinating and adjusting programs and timetables to enable senators to participate in hearings.
In the course of the estimates hearings, senators place many questions on notice. Secretariats devote a great deal of time to following up and publishing the answers to questions placed on notice. Typical numbers of questions placed on notice in the last budget hearings range from 213 before the Foreign Affairs, Defence and Trade Committee to 732 before the Community Affairs Committee.
**Select committees**
A select committee is an ad hoc committee established by the Senate to inquire into and report on a specific matter or matters. In most cases, a select committee ceases to exist when it presents its final report. Often, select committees also present interim reports.
The Senate had eight select committees operating during 2008–09. Two of these committees, the Select Committee on Men’s Health (which operated for three months) and the Select Committee on Climate Policy (which operated for six months), presented their reports to the Senate during the reporting period and no longer exist.
The Committee Office continues to provide secretariat support for:
- one select committee established by the Senate on 14 February 2008, the Select Committee on Agricultural and Related Industries—due to report on 27 November 2009
- one select committee established on 19 March 2008, the Select Committee on Regional and Remote Indigenous Communities—due to report every six months and to present its final report on 30 September 2010
- two select committees established on 25 June 2008
- the Select Committee on Fuel and Energy—due to report on 21 October 2009
- the Select Committee on the National Broadband Network—due to report on 23 November 2009 (its terms of reference were revised by the Senate on 14 May 2009 and the reporting date was extended).
During 2008–09, select committees held 139 meetings (public and private), for a total of 390 hours. They received 8,620 submissions and heard 789 witnesses. The corresponding figures for 2007–08 were 43 meetings (public and private), for a total of 142 hours, 211 submissions and 207 witnesses.
**Joint committees**
Joint committees comprise senators and members of the House of Representatives. They are established by resolution of each House and, in the case of statutory committees, in accordance with the provisions of an Act.
During 2008–09, the Committee Office supported three statutory joint committees: Corporations and Financial Services, the Australian Crime Commission, and the Australian Commission for Law Enforcement Integrity.
The committees held 96 meetings (public, private and inspections) for a total of 148 hours. They received 392 submissions and heard 188 witnesses. The corresponding figures for 2007–08 were 56 meetings, 61 hours, 72 submissions and 105 witnesses.
**Meetings**
Senate committee secretariats supported 862 meetings, hearings and site inspections during the year, an increase compared with 451 in 2007–08. Those statistics include estimates hearings held by the committees.
Committee members place considerable value on engaging a broad range of people as they conduct each committee inquiry. This is achieved through a variety of strategies: advertising of all inquiries in the national media and on the internet; direct correspondence with parties known to be interested in an inquiry; travelling interstate, including to regional centres and remote areas, to confer with witnesses and to visit the sites of matters under investigation; and conducting telephone and video conferences, including with witnesses overseas. The office has commenced discussions with stakeholder representatives regarding accessing material on the department’s website. A breakdown of meetings by location appears in Figure 16.
Development of a committee support database
Work continued on the development of the Senate Centralised Information Database. The purpose of this database is to assist committee secretariats in the speedy and accurate handling of the large volume of information used to support committee inquiries. Features of the database include the capacity for the public to enter submissions directly; for secretariats to rapidly collate data, such as addresses for mail-outs; and for information to be transferred electronically from witnesses to committee members. Early technical complications have been resolved and the system is now in place in seven out of a possible 15 secretariats. It is beginning to produce results by saving staff time and improving the office’s capacity to manage the very large numbers of submissions received by committees.
Contributions to the work of other offices
During 2008–09, Committee Office staff continued to assist other offices. Secretaries were supplied to two parliamentary delegations and committee secretaries regularly acted as presenters in the department’s training and seminar programs. In addition, secretaries provided briefings about Senate committee work for parliamentary delegations coming from overseas to learn about the operations of the Australian Parliament. Briefings about estimates hearings continued to be of particular interest to international visitors.
As in previous years, the department offered the Working in the Senate program, a program in which officers from other parts of the public service come to the Senate department to gain experience in the workings of the legislative arm of the Commonwealth. This program is run on a calendar year basis. In 2009 the department had two participants in the program. They were stationed in the Committee Office and provided administrative and research support to Senate committee inquiries.
Factors, events and trends influencing performance
Workload
The significant feature of 2008–09 was the change in workload for committee secretariats, with a marked increase in the number of referrals of inquiries to committees by the Senate and the significant increase in the activities and workloads of all committees. This increase is indicated in Table 4.
Table 4 Committee workloads and resources, 2006–07 to 2008–09
| | 2006–07 | 2007–08 | 2008–09 |
|--------------------------------|---------|---------|---------|
| Number of references | 96 | 89 | 125 |
| Number of hearings held | 237 | 171 | 326 |
| Number of select committees operating | 0 | 7 | 8 |
| Number of staff | 52 | 53 | 62 |
In 2007–08, it was noted that the reporting times for bills inquiries were shorter than ever before, with an average reporting deadline of 14.7 days. However, this average was taken over an unusually short period owing to an election being called. In 2008–09, bills referred to committees had a 35-day average reporting deadline. These statistics do not include weekends, which often have to be worked if a report is to be presented in time for tabling in the Senate.
This figure conceals the continuing trend of a requirement for very rapid inquiries into bills, with many bills being referred and reported on within either a week or a fortnight to meet the requirement to have the bill available for debate in the Senate. As an example of the significant time constraints which can be imposed, during the year two committees had matters referred to them with three working days within which to complete their work. Other committees had inquiries with reporting deadlines of four, five and eight days.
Short reporting deadlines make it difficult to complete the administrative work needed and require rapid support from Hansard and broadcasting. They also limit the amount of time that can be spent on analysing evidence and drafting reports. Another problem with short deadlines is that there is not enough time for interested members of the public to make submissions. Table 5 provides details of bills inquiries.
Table 5 Referral of bills inquiries, 2006–07 to 2008–09
| | 2006–07 | 2007–08 | 2008–09 |
|--------------------------------|---------|---------|---------|
| Number of bills introduced into parliament | 243 | 197 | 235 |
| Number of individual bills referred | 107 | 65 | 129 |
| Proportion of total individual bills referred (%) | 44 | 33 | 55 |
| Packages of bills referred | 79 | 50 | 90 |
| Proportion of total packages of bills referred (%) | 33 | 25 | 38 |
The statistics indicate a significant difference in the workload of Senate committees in the previous parliament (when the government held a majority in the Senate) and in the current parliament (when the government does not hold a majority in the Senate). Some of the department’s service providers and suppliers believe that the high level of committee activity in the current parliament is atypical, when it is not—it is in fact typical of parliaments in which the government does not hold a majority in the Senate. Therefore, to gain a better understanding of the normal trends and fluctuations in workload across parliaments and election cycles, it is necessary to look at statistical material over the longer term. The following long-term tables should assist those who work with Senate committees to better prepare themselves for likely committee workloads in the next financial year.
Resources
The resources available to the committee office to support the operation of Senate committees comprise a budget of $9.0 million ($6.8 million in 2007–08) and a team of support staff. The Committee Office’s full-time equivalent staff figure for 2008–09 was 62, an increase of nine from 2007–08. This increase was a direct response to the increasing pace of activity by all committees.
A series of strategies were deployed to manage the increased workload. They included:
- providing an increase from 2007–08 of 16 per cent in the staffing resources available for committee secretariat operations
- continuing the practice, reported in 2007–08, whereby staff from the committee secretariats experiencing lighter workloads were deployed to assist busier committee secretariats
• securing secondments from other departments to assist with specific committee tasks, including serving as a committee secretary or assisting with research
• deploying officers from other areas of the department to assist committee secretariats in addition to carrying on their normal duties
• requesting committee staff to work additional hours (in some cases, a significant number of hours).
The last two strategies cannot be continued in the long term.
Senators have indicated—in estimates and other committee hearings, as well as to senior managers and in the senators’ satisfaction survey—their concerns about the heavy workloads of some committee secretariats. One senator noted in the survey:
I appreciate that the committee secretaries have put in extraordinary hours in recent months. I believe we need to provide additional support when the pressure is on.
The typical staff structure of a committee secretariat supporting a legislative and general purpose standing committee comprises a committee secretary, a principal research officer, a senior research officer or a research officer and an estimates officer, and an executive assistant. Depending on the workload allocated to a committee, additional resources are often provided to assist with administration or with research, analysis and report writing.
The prime cost in operating a committee is for staffing, with a typical secretariat costing about $308,000 a year. The other costs relate to administration and include items such as advertising, venue hire, refreshments at hearings, transport, including flights, charter flights and taxis, accommodation for staff at interstate hearings and report printing. The administrative costs for a typical secretariat over a year are about $60,000.
The standing orders provide that committees are empowered to appoint persons with specialist knowledge for the purposes of the committee with the approval of the President of the Senate. While the most common source of information for Senate committees is free public evidence, access to specialist advice was made on two occasions during 2008–09:
• Rural and Regional Affairs—testing of fertiliser samples ($1,204)
• Select Committee on Fuel and Energy—economic modelling ($10,000).
The costs of senators’ salaries are not included in the costs of committees, as it is not possible to establish what proportion of a senator’s salary should be attributed to committee work. The flight and accommodation costs of senators attending hearings are paid by the Department of Finance and Deregulation.
Another major cost related to the work of committees is the cost of providing Hansard and broadcasting services for public hearings. Such expenses are borne by the Department of Parliamentary Services. Coordination and liaison in the provision of those services and in planning for the improvement and enhancement of those services is a major administrative task undertaken by officers of the Senate Committee Office and the Department of Parliamentary Services.
**Evaluation**
The principal means of evaluating the performance of the Committee Office in supporting Senate committees and certain joint committees is the biennial senators’ survey. The latest survey, conducted in 2009, showed high levels of satisfaction with the work of secretariats. Some survey comments are set out in Figure 19.
Comments made in the chamber when a committee’s report is tabled or debated are another source of evaluation. As in 2007–08, senators were highly positive in their comments, some of which are listed in Figure 19.
Informal feedback from witnesses also indicated satisfaction with their dealings with secretariat staff.
**Figure 19** Senators’ comments on Committee Office secretariats
‘The committee staff have continually impressed with their dedication and talent, and ability to pull off high-quality work despite the sometimes contradictory political demands placed on them.’
‘Over the years I’ve found the committees on which I’ve been fortunate enough to work to be well supported. When there have been problems, they have been ones that have been possible to work out. Again, we’re dealing with staff with a high level of expertise and skill and professionalism who, knowing the workload that many of them encounter, really do go above and beyond.’
‘Oh, they are all brilliant … nothing’s a hassle for these people. Crises arise and they just deal with it. I think that sort of thing makes it much easier for us to do our jobs.’
‘The workload for Senate committees has increased dramatically over the past two years. Secretariat staff are to be commended for the hours they put in and support they give when attending Senate inquiries outside Canberra.’
‘I commend the staff … for the hard work that they put into this entire exercise … It is an extremely busy committee of the Senate, but it manages to produce high-quality reports on each occasion.’
‘I want to thank the staff of the committee, who do a tremendous job, year in, year out, in making sure that we, the senators who serve on that committee, look good by having high-quality reports available for the public to see.’
‘The sensitivity, the commitment and the professionalism of the people in the secretariat are what makes … an effective committee.’
‘Professional, enthusiastic … nothing is too much trouble … briefing materials provided were outstanding …’
The senators’ survey provided very useful information to assist the office in finetuning its provision of service to senators. For example, there was commentary about the lack of consistency in administrative procedures and documentation between committees. Although this was tempered with the remark that standardisation could only be used as a starting point and that each committee is best placed to decide its own practices, the office will examine the matter during the next reporting period.
Another factor raised, within the context of a 91 per cent satisfaction rating, was that ‘papers should be posted 24 hours ahead of the scheduled meeting time’. While meetings are often scheduled with much shorter lead times, the office will also examine this matter during the next reporting period.
Performance outlook
The level of Senate committee activity is likely to remain high during the next 12 months. The pattern of referring many bills with very short reporting deadlines is likely to continue. Now that references committees have been re-established, it is likely that there will be an increase in the number of general policy references.
The Procedure Committee report in April 2009 which recommended the re-establishment of the legislation and references committee system also forecast a general reduction in the number of select committees and the likely transfer of workload from select committees to references committees. This trend was becoming evident towards the end of the 2008–09, with two select committees completing their tasks. It remains to be seen whether the remaining select committees will complete their tasks during 2009–10 or whether they will be granted extensions of time. If, contrary to the forecast, the Senate decides to establish further select committees, the Committee Office will respond in the usual way by providing timely and effective secretariat support.
The Committee Office responded to the increased pace of committee activity throughout 2008–09 by increasing its staff numbers, and it will continue to monitor its resource levels in 2009–10. The key resource which the office provides to committees is its people. Several experienced officers are expected to retire in 2009–10, and the office will need to begin recruitment processes to find their replacements.
The office will continue to recruit and seek to retain staff with strong research, administrative, writing and procedural skills. It will also make use of secondments to assist with short-term increases in workload, making it easier to release officers if the workload diminishes. Officers from other departments coming to the Senate to participate in the Working in the Senate program will continue to be based in the Senate Committee Office.
The uneven spread of work among committees continues to be a challenge. The office will continue to respond with its flexible approach of allocating staff where the greatest need exists, to ensure that draft reports are prepared to the highest quality possible within the timeframes set by the committees and the Senate.
Several factors arising from the senators’ survey will be followed up, including streamlining the formats for providing supporting documentation, and increasing the speed of its production where timetables and committee preferences permit.
The office is adopting innovative ways to meet the needs of Senate committees by using information technology to reduce routine processing and improve productivity. To this end, the office will continue implementing the committee support database to assist secretariats to efficiently manage their inquiry processes. It is hoped that the secretariats not yet using the database will be using it by the end of 2009–10.
Two other innovations will be pursued by the Committee Office during the forthcoming year. As video footage taken from Senate hearings is increasingly being used for broadcast on television, a committee comprising the various chairs of Senate committees has initiated ways of identifying Senate footage, enabling the public to recognise it by means of a watermark. The office also hopes to continue exploring the feasibility of telecasting public hearings that are held interstate, in the same way that public hearings held in Parliament House are telecast.
Black Rod’s Office
Output Group 5
Senators’ services
Provision of office, chamber and committee room support; information technology and ceremonial services; and security advice for senators and Senate office-holders in Parliament House.
Provision of support services, in conjunction with the House of Representatives, to the Former Members’ Association.
Administered items
Payment of parliamentary salaries and allowances to senators and office-holders of the Senate.
| Performance indicators | Performance results |
|------------------------|---------------------|
| Quality | The degree of satisfaction of the President, Deputy President, committee members and senators, as expressed through formal and informal feedback mechanisms, with the quality and timeliness of advice and support and the achievement of key tasks. |
The 2009 senators’ survey indicated that senators were satisfied or highly satisfied with the provision of support services. Levels of satisfaction were:
- office support 85%
- mail freight delivery 94%
- information technology support 85%
- payment of salaries and allowances 88%.
High levels of satisfaction (98%) were also recorded for the work of the chamber support staff.
Senators provided positive feedback on accommodation moves undertaken as a result of new senators commencing from 1 July 2008.
Advice, documentation and publications are accurate and of a high standard.
Satisfaction with the quality of advice, documentation and publications provided by the office remained high.
| Timeliness | All support services delivered in a timely manner. |
|------------|---------------------------------------------------|
| | The office successfully completed accommodation moves for 60 senators, including moves associated with the commencement of new senators from 1 July 2008. |
| Quantity | All support services and supplies delivered in accordance with entitlements on request. |
|----------|-----------------------------------------------------------------------------------------|
| | All support services were delivered in accordance with relevant legislation. |
| | The number of accommodation moves was very high. |
Analysis
To provide effective senators’ services and corporate and other services for the department, the Black Rod’s Office is divided into five functional areas, as shown in Figure 20. The office is headed by the Usher of the Black Rod, who, along with the Deputy Usher of the Black Rod, performs duties in the Senate chamber.
The primary function of the office is to provide support services to the Senate chamber and committees, and to senators when they are using their Parliament House offices. The Senators’ Services Section provides messengerial support to the chamber, assists the President and Clerk on ceremonial occasions, and delivers support services, including mail, committee room servicing, transport, printing, accommodation, assets management and desktop publishing services.
The Information Technology Section provides senators with information technology support services in their Parliament House offices and limited support services and equipment when they are away from Parliament House.
The full-time equivalent staffing level for the Black Rod’s Office for 2008–09 was 46, the same as for 2007–08.
The cost of providing support services to the Senate chamber, committees and senators in their Parliament House offices was $3.1 million ($3.2 million in 2007–08).
**Figure 20 Elements and responsibilities of the Black Rod’s Office**
| Executive | Senators’ Services Section | Information Technology Section | Human Resource Management Section | Financial Management Section |
|-----------|----------------------------|---------------------------------|-----------------------------------|-----------------------------|
| Brien Hallett, Usher of the Black Rod | Nick Tate, Deputy Usher of the Black Rod | Joe d’Angelo, Chief Information Technology Officer | Anthony Szell, Director Human Resource Management | Joe d’Angelo, Chief Finance Officer |
| Procedural, ceremonial, security and administrative advice | Accommodation Assets management, purchasing and disposals Chamber support Committee room support Desktop publishing Fire and emergency warden administration Mail and freight Office equipment (not including information technology) Printing and photocopying Protective security—advice, keys, access approvals, containers and security clearances Coordination and liaison with other parliamentary departments on facilities, security, projects and maintenance matters Travel and fleet management Comcar shuttle | Information technology equipment, including personal computers Internet publishing Support for departmental information technology applications Coordination and liaison with other parliamentary departments on information technology matters | Recruitment and staffing Pay and conditions Workforce planning Learning and development Occupational health and safety Rehabilitation coordination Industrial relations Performance management Corporate planning Records management Fortnightly internal staff newsletter—Information Bulletin | Budget management and advice Financial reporting and systems management Accounting policy development and advice Accounts processing, general ledger maintenance and advice Strategic procurement advice Support for management decision making |
Ceremonial support services
The major ceremonial function in 2008–09 was the swearing in of the new Senate on 26 August 2008—14 senators took the oath or affirmation of allegiance for the first time, and the President and the Deputy President were elected.
The office also provided assistance to the Ceremonial and Hospitality Section of the Department of the Prime Minister and Cabinet in connection with the swearing in of the new Governor-General on 5 September 2008.
Senators’ services
From 1 July 2008 until the end of the first sitting period in August, Senators’ Services focused on moving 14 new senators into their Parliament House suites and completing the associated moves of ongoing senators.
The update of the *Senators’ Handbook—A guide to services, entitlements and facilities for senators* was completed and available to senators from mid-July 2008.
The new online stationery shopping cart was implemented. It has proven to be very effective for both clients and administrators.
Office services
During 2008–09, the Black Rod’s Office:
- completed 45 accommodation moves associated with the commencement of new senators on 1 July 2009
- completed a further 15 accommodation moves associated with ministry and shadow ministry changes and the retirement of a senator, and other minor moves
- completed 14 refurbishments of senators’ offices and departmental areas
- managed the refurbishment of eight sets of senators’ furniture (this program is ongoing, with the aim of completing the refurbishment of all senators’ furniture over the next four years)
- provided support services for Senate estimates hearings in November 2008, February 2009 and May–June 2009
- installed multifunction devices for office-holders, excluding party leaders, in August 2008 (the installation of multifunction devices for party leaders is planned for the second quarter of 2009–10)
- replaced inefficient instant boiling water units in suites with fewer than six occupants with more appropriate equipment (this change is expected to realise energy savings of up to 92 per cent)
- managed the implementation of a new key system and the changeover of keys, in conjunction with the Department of Parliamentary Services
- assisted with the transition of asset data from an old database to an assets database integrated with the department’s Financial Management Information System (the transition was completed in December 2008)
- negotiated and managed departmental aspects of projects administered by the Department of Parliamentary Services.
The Black Rod’s Office continued to provide general office support, committee room support, equipment and furniture maintenance, classified waste removal and stationery supplies.
Planning
The department continued to develop and implement new security management, business continuity and intellectual property plans. It also provided significant support to the development of whole-of-parliament strategic, security and continuity plans.
Printing and delivery services
During the year, the office continued to produce high-quality reprographic services to very tight deadlines, and to provide mail and freight services as required. The work of Senate committees and the department in general, and work contracted from the other parliamentary departments, generated a high level of activity. Turnaround times were met consistently, ensuring that printed information was available when required by senators and others, even at short notice, and that committee reports were available to meet the tight inquiry timeframes.
The office completed the replacement of four monochrome copiers which had reached the end of their economic life and were becoming unreliable. Due to the quick turnaround time required for the majority of work carried out by the printing subsection, the outdated copiers were replaced with four monochrome copiers capable of higher print speeds and extra finishing capabilities. The new copiers have proved to be a useful addition, allowing the printing subsection to complete its work more efficiently.
During 2008–09, the office completed 1,286 printing jobs. Of these, 370 were for committees, 684 were in direct support of Senate chamber activities and senators, and 20 were for other parliamentary departments. The total value of work produced was $602,335, of which $264,693 was allocated to committee work. This was an increase of $120,343 on the previous year’s total, reflecting the greater number of sitting days this financial year, as well as increased committee activity.
The office continued to provide a high standard of delivery services to senators and their staff and departmental staff. Scheduled delivery run times were met for all deliveries, including internal stationery deliveries. This included successfully assisting the Table Office to deliver the Budget and Portfolio Budget Statements papers on Budget night.
Construction has commenced on a new departmental delivery services mailroom, which should be completed by August 2009. The new accommodation will enable the mail and freight staff to co-locate and thereby provide a seamless, more efficient service.
Information technology services
The office continued work on the development of the Senate Centralised Information Database (SCID) to make the management of committee inquiries more efficient and effective. The first phase of the SCID application, accepting submissions online, was released to the Committee Office for use in 2008–09. With the exception of two committees, all new committee inquiries use the SCID system and offer the option for the public to provide submissions online.
A major replacement of the department’s desktop computers was completed in 2008–09.
A new intranet design, mentioned in last year’s annual report, was successfully implemented, improving access, usability and functionality. On the public website, a new ‘video on demand’ service was released, providing access to recordings of question time for the preceding two weeks. The section continued its efforts to maintain a high level of metadata and World Wide Web Consortium (W3C) Web Content Accessibility Guidelines compliance on the website.
Other high-priority activities for the section included:
- implementing and supporting a new project management framework for the department
- updating departmental information technology policies and procedures
- reviewing and testing security and disaster recovery plans for critical information technology systems
- assisting the Procedure Office to develop an online version of the successful public exhibition ‘Peace, Order and Good Government’
- supporting Senate estimates hearings
- developing an integrated, secure, centralised scanning solution
- assisting departmental staff with the transition to Microsoft Office 2007
- streamlining the department’s travel approval processes by introducing an online form featuring electronic approvals and acquittals
- implementing, in conjunction with office services, an online shopping cart for managing stationery.
The section continued to provide input to wider parliamentary projects and tenders managed by the Department of Parliamentary Services. The department continued to support the Australian Public Service Information and Communications Technology Apprenticeship Programme by hosting an apprentice.
**Factors, events and trends influencing performance**
The implementation of new systems and processes, including the stationery shopping cart, the key management system and the assets database, has resulted in improved administration, accountability, asset management and reporting capability.
The Black Rod's Office continued to work with the Department of Parliamentary Services and the Department of the House of Representatives to implement new processes for project support. While the new processes require more time to be spent in consultation, this has improved the department’s interaction with the other parliamentary departments.
The department was also part of a working group reviewing recommendations of the *Review by the Parliamentary Service Commissioner of Aspects of the Administration of the Parliament*. In particular, the working group examined opportunities for shared services arrangements for the delivery of corporate support activities. This group is due to report to the Presiding Officers (through the Clerks and the Secretary of the Department of Parliamentary Services) in the second half of 2009. While services delivered directly to senators were out of scope of the working group’s review, a parliament-wide approach to shared services may be appropriate in some limited circumstances.
**Evaluation**
The principal medium for evaluating the Black Rod’s Office services is the biennial senators’ survey. The survey, conducted in 2009, reported high levels of satisfaction. The office achieved a satisfaction rating of 94 per cent for its provision of support to senators, such as mail and freight, payment of parliamentary salary and allowances to senators and office holders, and accommodation.
Much of the office’s work involves frequent direct contact with senators, their staff and other clients, presenting an ongoing opportunity to receive feedback on the office’s services. This informal feedback continued to be very positive in 2008–09.
Section heads met regularly with the Usher of the Black Rod to discuss operational matters relating to the whole office, and met regularly with their teams to discuss performance and work-related issues.
**Performance outlook**
In 2009–10, the Black Rod’s Office will:
- replace executive chairs in senators’ offices, and begin to roll out new office furniture to departmental staff and senators’ staff
- roll out multifunction devices to party leaders
- move delivery services staff into the new mail room
- review the methodology and software tool used for the costing of printing and desktop publishing work
- upgrade the client management application to provide an improved user interface and improved reporting
- develop a proposal to improve current manual and information technology systems that individually manage committee room bookings; courtyard bookings; function requests; and film and photograph requests in conjunction with delegates from the Department of Parliamentary Services and the Department of the House of Representatives
- seek an improved storage solution for the department by reviewing both on-site and off-site arrangements in conjunction with the Department of Parliamentary Services sponsored accommodation review.
Management and Accountability
|
Jaynes-Cummings dynamics in mesoscopic ensembles of Rydberg-blockaded atoms
I. I. Beterov, T. Andrijauskas, D. B. Tretyakov, V. M. Entin, E. A. Yakshina, L. I. Ryabtsev, and S. Bergamin
1Rzhanov Institute of Semiconductor Physics SB RAS, 630090 Novosibirsk, Russia
2Novosibirsk State University, 630090 Novosibirsk, Russia
3Institute of Theoretical Physics and Astronomy, Vilnius University, Gostauto 12, LT-01108 Vilnius, Lithuania
4Russian Quantum Center, Skolkovo, Moscow Region, 143025, Russia
5The Open University, Walton Hall, MK7 6AA, Milton Keynes, United Kingdom
(Dated: 31 October 2014)
We show that Jaynes-Cummings dynamics can be observed in mesoscopic atomic ensembles interacting with a classical electromagnetic field in the regime of a Rydberg blockade where the time dynamics of the average number of Rydberg excitations in mesoscopic ensembles displays collapses and revivals typical of this model. As the frequency of Rabi oscillations between collective states of Rydberg-blockaded ensembles depends on the number of atoms in the ensemble, for randomly loaded optical dipole traps we predict collapses and revivals of Rabi oscillations. We have studied the effects of finite interaction strengths and a finite laser line width on the visibility of the revivals. We have shown that observation of collapses and revivals of Rabi oscillations can be used as a signature of the Rydberg blockade without the need to measure the exact number of Rydberg atoms.
PACS numbers: 32.80.Ee, 03.67.Ac, 42.50.Ct, 42.50.Ar
I. INTRODUCTION
The Jaynes-Cummings model [1] is a basic model of interaction of two-level quantum systems with a single-mode quantized electromagnetic field. It has been used to describe a variety of quantum systems including neutral atoms in a cavity [2] as shown in Fig. 1(a), single trapped ions [3], quantum dots [4, 5] and graphene [6].
Quantum fluctuations in the number of photons in a mode of the quantized electromagnetic field lead to nonclassical features in time dynamics of a two-level system known as collapses and revivals of Rabi oscillations [7]. The frequency of Rabi oscillations between states of a two-level quantum system is proportional to $\sqrt{n}$, where $n$ is the number of photons in the mode of the electromagnetic field which is resonant to the atomic transition. For a coherent state of the electromagnetic field which has a randomly distributed number of photons, dephasing and consequent rephasing of Rabi oscillations with different frequencies are observed in the Jaynes-Cummings model. This dynamics has been theoretically predicted [7] and experimentally demonstrated for the one-atom maser [2] and for a single trapped ion [3].
In this paper we show that similar dynamics of Rabi oscillations could be observed in mesoscopic atomic ensembles interacting with resonant laser radiation in the regime of the Rydberg blockade. Strong interaction between Rydberg atoms in an optical dipole trap leads to the Rydberg blockade phenomenon [8, 9] when only one atom in the ensemble within the blockade radius can be excited to a Rydberg state due to the shift in collective energy levels as illustrated in Fig. 1(b) for two atoms. In the regime of the perfect Rydberg blockade the mesoscopic atomic ensemble is effectively a two-level system with two levels represented by collective Dicke states $|G\rangle$ and $|R\rangle$ [8], shown in Fig. 1(d),
$$|G\rangle = |g...g\rangle$$
$$|R\rangle = \frac{1}{\sqrt{N}} \sum_{i=1}^{N} |g...r_i...g\rangle.$$ (1)
Here $N$ is the number of atoms, $|g\rangle$ is the ground, and $|r\rangle$ is a Rydberg state of a single atom. In the excited state $|R\rangle$ one Rydberg excitation is shared between all atoms in the ensemble. In such blockaded ensembles, also called “supratoms” [8, 10, 11], Rabi oscillations between collective states have been experimentally observed [12]. Enhancement of the atom-light interaction strength in Rydberg blockaded ensembles is of particular interest for cavity quantum electrodynamics [13] and nonlinear optics with single photons [14, 15]. This enhancement results in the increased frequency of Rabi oscillations of single Rydberg excitation by a factor of $\sqrt{N}$ compared to the single-atom Rabi frequency. This is equivalent to the dependence of the Rabi frequency in the Jaynes-Cummings model on the number of photons. In this paper we show that collapses and revivals of Rabi oscillations in atomic ensembles randomly loaded in optical dipole traps [16] and optical lattices can be observed for realistic experimental parameters with dynamics that follow the Jaynes-Cummings model.
Fluctuations in the number of trapped atoms have been known as an obstacle for encoding of quantum information in the collective states of the mesoscopic atomic ensembles and implementation of quantum logic gates [8, 17]. The dephasing of Rabi oscillations can be
FIG. 1. (Color online) (a) Interaction of a single atom with the quantized electromagnetic field in a cavity is described by the Jaynes-Cummings model [1]. Two coupled atom-field states are \(|g,n\rangle\) and \(|e,n-1\rangle\) where \(n\) is the number of photons and \(|g\rangle, |e\rangle\) are ground and excited states of the atom; (b) Rydberg blockade for two interacting atoms. The shift in the collective energy level \(|rr\rangle\) caused by the interaction prohibits excitation of two Rydberg atoms by a narrow-band laser radiation; (c) scheme of the coupled states of a mesoscopic atomic ensemble with the number of ground-state atoms \(N_g\) is considered as being equivalent to the number of photons in the Jaynes-Cummings model; (d) scheme of the collective states of the atomic ensemble with \(N\) atoms interacting with laser radiation in the regime of the Rydberg blockade.
partially suppressed by the use of ensembles containing several hundreds of atoms [12], which corresponds to the classical limit in our model. Recently we have proposed the schemes of deterministic single-atom Rydberg excitation and quantum gates with mesoscopic ensembles containing random numbers of strongly interacting atoms in the regime of the Rydberg blockade [18–20]. The mesoscopic atomic ensembles containing random numbers of atoms can be considered as single qubits, and the quantum gates can be implemented using adiabatic laser excitation and the Rydberg blockade.
The observation of coherent many-body Rabi oscillations is a prerequisite for implementation of quantum gates based on the Rydberg blockade [21–23]. However, due to fluctuations in the collective Rabi frequency, these oscillations cannot be observed in mesoscopic atomic ensembles with a random number of atoms. Although the presence of a single atom in the trap can be detected using resonant fluorescence [21, 22, 24], it is difficult to measure the number of atoms in the mesoscopic ensemble loaded into a single optical dipole trap [25]. This can be an obstacle to verify that the experimental conditions are suitable for quantum gates and there is no additional dephasing caused by the finite linewidth of laser radiation or stray electric or magnetic fields, and the interaction between atoms is strong enough to reach the regime of the perfect Rydberg blockade.
Another common difficulty for observation of the Rydberg blockade is the measurement of the number of Rydberg atoms. The detection of single Rydberg excitations in the experiment can be implemented using a variety of methods. In the experiments with single trapped atoms the losses of Rydberg atoms from the optical dipole trap can be used as a signature of successful Rydberg excitation [23]. In the atomic ensembles single Rydberg excitations can be observed using a laser pulse which drives a Rydberg atom to a low-excited state with a short radiative lifetime. The spontaneously emitted photons can be detected using single-photon detectors with sufficiently high quantum efficiency [12]. Rydberg atoms can also be detected in a more straightforward way using selective field ionization in a dc electric field and microchannel plates or channeltron electron multipliers [26, 27]. In the latter case it is possible to measure the actual number of the detected Rydberg atoms [28]. However, accurate determination of the number of Rydberg atoms in atomic ensembles remains a challenging problem. For low detection efficiencies it is difficult to distinguish events when one or two Rydberg atoms are excited [27, 28], which is of crucial importance for observation of Rydberg blockade [8] and application of Rydberg atoms to quantum information [17]. In this paper we show that collapses and revivals of Rabi oscillations in the atomic ensembles due to fluctuations of the number of trapped atoms can be used as a signature of the Rydberg blockade without the need to measure the number of Rydberg excitations within the ensemble.
II. JAYNES-CUMMINGS MODEL AND MESOSCOPIC ATOMIC ENSEMBLES
The Jaynes-Cummings Hamiltonian is written as [1]
\[
\hat{H}_{JC} = \frac{1}{2} \hbar \omega_0 \hat{\sigma}_z + \hbar \omega \hat{a}^\dagger \hat{a} + \hbar g (\hat{a}^\dagger \hat{\sigma}^- + \hat{\sigma}^+ \hat{a}),
\]
(2)
where \(\omega_0\) is the transition frequency between two atomic states, \(\omega\) is the frequency of laser radiation, \(g\) is the coupling strength, \(\hat{\sigma}^-\) and \(\hat{\sigma}^+\) are the lowering and raising operators for the two-level atom, whereas \(\hat{a}\) and \(\hat{a}^\dagger\) are annihilation and creation operators for the quantized electromagnetic field. In the following we assume that laser radiation is resonant with atomic transition, i.e., \(\omega_0 = \omega\).
For a two-level atom in a quantized field, collective atom-field state \(|g,n\rangle\) corresponds to the case when the atom is in ground state \(|g\rangle\) and the mode of the field contains \(n\) photons. This state is coupled to state \(|e,n-1\rangle\), which corresponds to the case when the atom is in excited state \(|e\rangle\) and the field contains \(n-1\) photons, as
shown in Fig. 1(a). The Rabi frequency depends on the number of photons and on the coupling strength as $g\sqrt{n}$.
The atom is initially prepared in state $\left| g \right\rangle$, and the field is in state $\sum_{n=0}^{\infty} C(n) \left| n \right\rangle$, where the probability to find $n$ photons in the field mode is $p(n) = |C(n)|^2$. The number of photons in the coherent state of the electromagnetic field is described by a Poissonian distribution [29],
$$p(n) = \langle \bar{n} \rangle^n \exp(-\bar{n}) / (n!) .$$
Solving the Schrödinger equation yields probability $P_e$ to find the atom in the excited state, as given in Refs.[30, 31],
$$P_e = \sum_{n=1}^{\infty} p(n) \sin^2 \left( gt\sqrt{n} \right).$$
The $\sqrt{n}$ dependence in Eq.(4) arises from matrix elements $\langle n | \hat{a}^\dagger | n-1 \rangle = \langle n-1 | \hat{a} | n \rangle = \sqrt{n}$ of creation and annihilation operators. Similarly, due to the dependence of the Rabi frequency of single-atom excitation in Rydberg-blockaded ensembles on the number of atoms, the probability of single-atom excitation in an ensemble with a random number of atoms is described by
$$P_1 = \sum_N p(N) \sin^2 \left( \sqrt{N}\Omega t/2 \right),$$
where $p(N)$ is the probability to have $N$ atoms in the ensemble. Given the analogy of Eqs. (4) and (5), we can introduce a new quantum number for the mesoscopic ensemble of atoms which is equivalent to the number of photons $n$ and is described by similar annihilation and creation operators, as follows.
States of the atomic ensemble with $N$ atoms can be described as $\left| G, N_g \right\rangle$ and $\left| R, N_g \right\rangle$, where $N_g$ is the number of ground-state atoms in the ensemble as shown in Fig. 1(d). The excitation of the ensemble to a state with a single Rydberg excitation can be treated as reducing of $N_g$ by one, which is equivalent to a single-photon absorption in the Jaynes-Cummings model. States $\left| G, N_g \right\rangle$ and $\left| R, N_g - 1 \right\rangle$ are degenerate in energy and coupled, as shown in Fig. 1(c). The $\sqrt{N_g} = \sqrt{N}$ dependence of the Rabi frequency in the atomic ensemble arises because of the matrix element of the electric dipole transition of the ensemble to the Rydberg state. This is
$$\hat{V}_{las}(t) = -\sum_{i=1}^{N} \hat{\mu}^{(i)} E \cos(\omega t),$$
where $\hat{\mu}^{(i)}$ is the dipole transition operator for the $i$th atom in the ensemble and $E$ is the amplitude of the electric field. We can write matrix elements of equivalent creation $\hat{a}^\dagger$ and annihilation $\hat{a}$ operators for the states of a superatom,
$$\hbar \Omega \left\langle N_g \right| \hat{a}^\dagger \left| N_g - 1 \right\rangle = -\frac{1}{\sqrt{N}} \sum_{i=1}^{N} \mu_{gr}^{(i)} E = -\sqrt{N} \mu_{gr} E,$$
$$\hbar \Omega \left\langle N_g \right| \hat{a}^\dagger \left| N_g - 1 \right\rangle = \hbar \Omega \left\langle N_g - 1 \right| \hat{a} \left| N_g \right\rangle,$$
where $\mu_{gr}^{(i)} = \mu_{gr}$ is the matrix element of the dipole moment for the transition between ground and Rydberg states.
The effective Hamiltonian of this problem in the rotating-wave approximation is written in the following form:
$$\hat{H}_{JCA} = (\hbar \Omega/2) \left( \hat{a}^\dagger \hat{\sigma}^- + \hat{a} \hat{\sigma}^+ \right).$$
Here $\hat{a}$ and $\hat{a}^\dagger$ are annihilation and creation operators, and $\hat{\sigma}^+ = \left| R \right\rangle \left\langle G \right|$ and $\hat{\sigma}^- = \left| G \right\rangle \left\langle R \right|$ are the raising and lowering operators for collective states $\left| G \right\rangle$ and $\left| R \right\rangle$.
In quantum optics, a coherent state of the electromagnetic field in the basis of Fock states is a superposition,
$$\left| \alpha \right\rangle = \sum_{n=0}^{\infty} \exp \left( -|\alpha|^2/2 \right) \frac{\alpha^n}{\sqrt{n!}} \left| n \right\rangle.$$
Here $|\alpha|^2 = \bar{n}$, where $\bar{n}$ is the average number of photons. However, due to phase fluctuations and technical noise, lasers often produce statistical mixtures of number states rather than pure coherent states [32, 33]. These statistical mixtures are described by the density matrix which has only diagonal terms,
$$\hat{\rho} = \sum_{n=0}^{\infty} p(n) \left| n \right\rangle \left\langle n \right|.$$
When atoms interact with either type of states, described by Eqs. (8) and (9), similar dynamics of collapses and revivals is observed. However, atomic ensembles considered in this paper cannot be described by a quantum superposition of states with different numbers of atoms in analogy with Eq. (8). Therefore, our simulation of Jaynes-Cummings dynamics in mesoscopic ensembles corresponds to the statistical mixture given by Eq. (9) and must be considered as being semiclassical. This is in agreement with the conclusion of Ref. [34] that observable effects in quantum optics do not depend on the existence of quantum optical coherences.
The quantum properties of laser radiation are not considered in the present study. The above consideration is valid only for two isolated levels of a quantum oscillator which corresponds to Jaynes-Cummings dynamics in the rotating-wave approximation.
### III. NUMERIC SIMULATION
We have numerically calculated the probabilities $q_{rg}(n)$ to excite $n$ Rydberg atoms in the mesoscopic atomic ensemble by solving the equations for the probability amplitudes, derived from the Schrödinger equation. We considered a randomly loaded optical dipole trap with an average number of atoms $\bar{N} = 7$ which is close to the number of atoms in the mesoscopic ensembles, considered in our previous papers [18–20]. We assumed that the
trapping light is switched off prior to Rydberg excitation and single-atom Rabi frequency at \(|g\rangle \rightarrow |r\rangle\) transition is \( \Omega/(2\pi) = 1 \text{ MHz} \).
The many-body Hamiltonian for a mesoscopic ensemble interacting with laser radiation and with binary atom-atom interactions taken into account is written as [10],
\[
\hat{H}_M = \frac{1}{2}\hbar \Omega \sum_{i=1}^{N} (\hat{\sigma}_{gr}^{(i)} + \hat{\sigma}_{rg}^{(i)}) + \sum_{i=1, i<j}^{N} V_{ij} \hat{\sigma}_{rr}^{(i)} \hat{\sigma}_{rr}^{(j)}.
\]
Here \(V_{ij} = \hbar C_6 / R_{ij}^6\) is the interaction strength for the van der Waals interaction, and \(R_{ij}\) is the spatial separation of a pair of atoms \(i\) and \(j\). The \(\hat{\sigma}_{gr}^{(i)} = |a\rangle \langle b|\) operators refer to the transition between states \(|a\rangle\) and \(|b\rangle\) of the \(i\)th atom. These states can be either a ground \(|g\rangle\) or a Rydberg \(|r\rangle\) state. The atoms are randomly located inside the optical dipole trap; coordinates \(x_i, y_i, z_i\) of each atom are described by the normal distribution with standard deviation \(r\). The interaction strength for the Cs \(80S\) state used in the simulations is \(C_6/(2\pi) = 3.2 \times 10^9 \text{ MHz } \mu m^6\) (see Supplemental Material for Ref. [19]). The blockade radius is obtained by equating the energy of the van der Waals interaction with the collective Rabi frequency [35]: \(R = \left(C_6/\Omega \sqrt{N}\right)^{1/6} \approx 10 \mu m\) for \(N = 7\) atoms.
The dynamics of excitation to a Rydberg state in the ensemble is shown in Fig. 2. These results are averaged over random spatial configurations of atoms within the trap. The equations for the probability amplitudes, derived from Schrödinger equation, are first solved for collective states in mesoscopic ensembles containing up to \(N_{max}=20\) atoms for 20,000 different spatial configurations drawn randomly and are then averaged using the Poissonian distribution of the number of atoms with \(\bar{N} = 7\) atoms. A similar approach has been used in our previous papers [18, 19, 36]. The probability to have more than \(N_{max} = 20\) atoms for the Poissonian distribution with \(\bar{N} = 7\) does not exceed \(3.1 \times 10^{-4}\). Following Ref. [10], we have limited the number of possible Rydberg excitations to 2 for \(r = 2 \mu m\) and to 3 for \(r = 3 \mu m\). We have checked out that results of our simulations for small values of \(r\) are not affected by this approximation.
The collapses and revivals are clearly observed in the simulated dynamics of the probability of single-atom Rydberg excitation \(q_{Ry}(1)\) for \(r = 2 \mu m\) on a timescale of 10 \(\mu s\), which is shown as a solid curve in Fig. 2(a). The probability \(q_{Ry}(2)\) to excite two Rydberg atoms [dashed curve in Fig. 2(a)] is close to zero, showing that Rydberg blockade is perfect. The calculated dynamics of \(q_{Ry}(1)\) is equivalent to the genuine Jaynes-Cummings dynamics, described by Eqs. 3 and 4. For \(r = 3 \mu m\), despite the fact that the size of the trap is still smaller than the blockade radius, the revivals in \(q_{Ry}(1)\) [solid curve in Fig. 2(b)] are suppressed due to a partial breakdown of Rydberg blockade caused by a reduced average energy of the van der Waals interaction of atoms in the trap. The breakdown of Rydberg blockade is observed as an increase in the probability to excite two Rydberg atoms \(q_{Ry}(2)\) [dashed curve in Fig. 2(b)]. For larger sizes of the optical dipole traps, shown in Figs. 2(c) and 2(d), the revivals are not observed. Oscillations in the time dependencies of \(q_{Ry}(3)\) and \(q_{Ry}(4)\) in Fig. 2(d) result from coherent interaction of uncorrelated atoms with laser radiation. The large number of excited atoms corresponds to a weak van der Waals interaction within the ensemble. For these atoms independent Rabi oscillations at a single-atom Rabi frequency become observable.
From the calculated probabilities \(q_{Ry}(n)\) it is easy to find the average number of Rydberg excitations \(N_{Ry}\) and the probability to have at least one Rydberg excitation \(P_{Ry}\),
\[
N_{Ry} = \sum_{n=1}^{N_{max}} n q_{Ry}(n)
\]
\[
P_{Ry} = \sum_{n=1}^{N_{max}} q_{Ry}(n).
\]
In the case of the perfect blockade, shown in Fig. 2(a), \(N_{Ry}\) is equal both to the probability to have exactly one
Rydberg excitation $P_1$ and to the probability to have at least one Rydberg excitation $P_{Ry}$. The latter refers to the low-efficiency detector in the counting mode when the experimental conditions where single-atom and two-atom (and more) events cannot be distinguished [12].
Figure 2(e) shows the density plot of $P_{Ry}$, calculated using Eq. (10) as a function of time and radius of the optical dipole trap $r$. A breakdown of Rydberg blockade for $r > 2 \mu m$ leads to strong suppression of the revivals. This implies that Jaynes-Cummings dynamics in randomly loaded mesoscopic atomic ensembles can be used as a signature of perfect Rydberg blockade without the need to measure the exact number of Rydberg excitations.
We have studied the effect of the finite detection efficiency $T$ on the observation of the collapses and revivals in the probability of single-atom excitation. The probability $s_{Ry}(k)$ to detect $k$ atoms is related to the probabilities $q_{Ry}(i)$ to excite $i$ atoms as [27]:
$$s_{Ry}(k) = \sum_{i=k}^{\infty} T^k (1 - T)^{i-k} C_i^k q_{Ry}(i). \quad (12)$$
The results of a numeric calculation of $s_{Ry}(1)$ are shown in Figs. 3(a) and 3(b) for detection efficiencies $T = 0.1$ and $T = 0.5$, respectively, using the excitation probabilities $q_{Ry}(i)$ from Fig. 2. The collapses and revivals are clearly visible at $r = 2 \mu m$ (solid curve) and almost disappear with a blockade breakdown at $r = 4 \mu m$ (dashed-dotted curve) which shows that even for small detection efficiency $T = 0.1$ it is possible to verify whether the regime of perfect blockade is achieved.
We have also investigated the effect of the finite line width of the atomic transition on collapses and revivals of oscillations in the dynamics of excitation. To simulate its effect on a time dependence of Rydberg excitation, but assuming a perfect blockade, we used the superatom model [10] which describes the whole ensemble in the regime of the perfect blockade as a two-level system taking into account spontaneous decay of the excited state interacting with laser radiation, in our case for the cesium 80S state at the ambient temperature of 300 K this decay rate is $\gamma_2/(2\pi) = 0.8$ kHz [37].
We have solved the master equation for the mesoscopic atomic ensemble consisting of $N$ atoms interacting with the laser radiation in the regime of the Rydberg blockade [38],
$$\dot{\hat{\rho}}(t) = -\frac{i}{\hbar} \left[ \hat{H}_B, \hat{\rho}(t) \right] + \hat{L}\hat{\rho}(t). \quad (13)$$
The Hamiltonian is written as
$$\hat{H}_B = \frac{1}{2} \hbar \Omega \sum_{i=1}^{N} \left( \hat{\sigma}_{gr}^{(i)} + \hat{\sigma}_{rg}^{(i)} \right). \quad (14)$$
The regime of the Rydberg blockade is simulated by removing all multiple excitations from the system of equations for the density matrix similar to our previous paper [19]. The Liouvillian acting on the density matrix $\hat{\rho}$ written for the collective states of the mesoscopic ensemble is expressed as
$$\hat{L}\hat{\rho} = \sum_{i=1}^{N} \left( \hat{L}_{\gamma}^{(i)} \hat{\rho} + \hat{L}_{cg}^{(i)} \hat{\rho} \right). \quad (15)$$
Here we take into account the finite lifetime $\tau$ of the Rydberg state by using $\gamma_2 = 1/\tau$,
$$\hat{L}_{cg}^{(i)} \hat{\rho} = \frac{\gamma_2}{2} \left( 2 \hat{\sigma}_{gg}^{(i)} \hat{\rho} \hat{\sigma}_{cg}^{(i)} - \hat{\rho} \hat{\sigma}_{ee}^{(i)} - \hat{\sigma}_{ee}^{(i)} \hat{\rho} \right), \quad (16)$$
and purely off-diagonal decay $\gamma$ due to the finite line width of the laser radiation or technical noises,
$$\hat{L}_{\gamma}^{(i)} \hat{\rho} = \gamma \left( 2 \hat{\sigma}_{ee}^{(i)} \hat{\rho} \hat{\sigma}_{ee}^{(i)} - \hat{\rho} \hat{\sigma}_{ee}^{(i)} - \hat{\sigma}_{ee}^{(i)} \hat{\rho} \right). \quad (17)$$
The time-dependent single-atom excitation probability has been averaged over the Poissonian distribution with $N = 7$ atoms. The results of the calculations are shown in Fig. 3(c). For $\gamma_2/(2\pi) = 0.8$ kHz and $\gamma = 0$ the amplitude of the revivals is almost unchanged compared to Fig. 2(a). The increase in the laser line width to $\gamma/(2\pi) = 100$ kHz leads, however, to the strong suppression of the revivals, as shown in Fig. 3(d) (dashed curve).
However, if the laser line width is $\gamma / (2\pi) = 10$ kHz [solid curve in Fig. 3(d)], the amplitude of the revivals is moderately reduced compared to Fig. 3(c). Surprisingly, pure off-diagonal decay results in the increase in the single-atom excitation probability up to 80% [dashed curve in Fig. 3(d)].
Observation of collapses and revivals of the Rabi oscillations in the mesoscopic atomic ensembles could be a prerequisite for implementation of quantum logic gates, which we have proposed in our previous papers [19, 20], because both blockade breakdown and dephasing of the Rabi oscillations caused by a finite laser linewidth and technical noises will have a detrimental effect on the fidelity of the quantum gates.
The Poissonian statistics of the atom-number distribution in the dipole trap is not always the necessary requirement for observation of collapses and revivals. We have considered an array of $N$ optical dipole traps loaded with single atoms in the regime of the collisional blockade [39] with a $q = 50\%$ probability of single-atom occupancy for each trap [40] and zero probability to load more than one atom. This is similar to the experimental conditions of the recent paper [24] where a spatial light modulator with the two-dimensional array of microtraps was used to create an array of optical dipole traps with arbitrary geometry. The minimal nearest-neighbor distance between the atoms in the array was $d = 3 \mu m$. The total number $k$ of trapped atoms in the array is described by the binomial distribution: $p(k,N,q) = C_N^k q^k (1-q)^{N-k}$. We have simulated $N_{Ry}$ for $d = 3 \mu m$ at $N=9$ and $q=0.5$ [solid curve in Fig. 4(a)] and $d = 5 \mu m$ [dashed curve in Fig. 4(a)] . For the minimal nearest-neighbor distance $d = 3 \mu m$ the collapses and revivals are clearly observed and the regime of the perfect Rydberg blockade is achieved. For smaller ensembles, considered in Ref. [24], the Jaynes-Cummings dynamics is not observed, as shown in Fig. 4(b) for four atoms with $d = 4 \mu m$ in the regime of perfect blockade.
IV. INTERACTION OF TWO ENSEMBLES.
An interesting effect arises from the interplay in the Jaynes-Cummings dynamics of two interacting atomic ensembles. The spatially separated randomly loaded optical dipole traps are of interest for implementation of two-qubit quantum gates with mesoscopic atomic ensembles [19, 20] or a deterministic quantum computation with one pure qubit (DQC1) algorithms [41]. To implement the two-qubit gates based on mesoscopic atomic ensembles with a random number of atoms, discussed in our previous papers [19, 20], it is necessary to achieve the regime of a perfect blockade both within each ensemble and between two neighboring ensembles. Controlled rotations of the ensemble states, required for the DQC1 algorithm, must be performed in similar conditions, when laser excitation of Rydberg states within the ensemble could be blocked by Rydberg excitation of the separate control qubit [41].
The effective Hamiltonian for $N_s$ interacting superatoms is written as [10]
$$\hat{H}_S = \frac{1}{2} \hbar \Omega \sum_{j=1}^{N_s} \sqrt{N_j} \left( \hat{\sigma}_{GR}^{(j)} + \hat{\sigma}_{RG}^{(j)} \right) + \sum_{i=1,i<j}^{N_s} K_{ij} \hat{\sigma}_{RR}^{(i)} \hat{\sigma}_{RR}^{(j)}. $$
Here we take into account the enhancement of collective Rabi frequency for each ensemble. We consider the mean interaction strength between two ensembles, resulting from averaging the interaction energies between all pairs of atoms which belong to different superatoms [10],
$$K_{ij} = \frac{1}{N_i N_j} \sum_{p \in S_i} \sum_{q \in S_j} V_{pq}. $$
Here $N_i$ and $N_j$ are the numbers of atoms in $i$th and $j$th ensemble and $V_{pq}$ is the interaction strength between the $p$th atom from $i$th ensemble and $q$th atom from $j$th ensemble. Below we assume that $r \ll d$. In this case the differences in the interaction energy $V_{pq}$ for different $p$ and $q$ can be neglected and the interaction part of the effective Jaynes-Cummings Hamiltonian is written as
$$\hat{H}_2 = (\hbar \Omega/2) \left( \hat{a}_1^+ \hat{\sigma}_1^- + \hat{a}_1 \hat{\sigma}_1^+ \right) + (\hbar \Omega/2) \left( \hat{a}_2^+ \hat{\sigma}_2^- + \hat{a}_2 \hat{\sigma}_2^+ \right) + K_{12} \hat{\sigma}_1^+ \hat{\sigma}_1^- \hat{\sigma}_2^+ \hat{\sigma}_2^-.$$ Here the indices 1 and 2 correspond to the operators acting on different superatoms 1 and 2. We have calculated
the average number of Rydberg atoms excited in two interacting ensembles with $\bar{N} = 10$ atoms in each ensemble by solving the equations for the probability amplitudes $c_{MN}$ with the Hamiltonian, given by Eq. (20),
\begin{align}
i\dot{c}_{GG} &= \left(\Omega\sqrt{\bar{N}/2}\right)(c_{RG} + c_{GR}) \\
i\dot{c}_{GR} &= \left(\Omega\sqrt{\bar{N}/2}\right)(c_{GG} + c_{RR}) = i\dot{c}_{RG} \\
i\dot{c}_{RR} &= \left(\Omega\sqrt{\bar{N}/2}\right)(c_{RG} + c_{GR}) + K_{12}c_{RR}.
\end{align}
The ensembles are located in two optical dipole traps at distance $d$ between each other. If the distance between traps is sufficiently large, the interaction becomes negligible as shown in Fig. 5(a) for $d = 20 \mu m$, and observed collapses and revivals correspond to the dynamics of a single system with $\bar{N} = 10$ but with a doubled amplitude. If the distance between ensembles is small and the regime of full blockade is reached within both ensembles, the dynamics of the system corresponds to a single superatom with $\bar{N} = 20$ as shown in Fig. 5(b) for $d = 4 \mu m$.
The dynamics of the Rydberg excitations in two mesoscopic ensembles located at arbitrary distances is illustrated in Fig. 5(c) as a density plot of $N_{Rg}$ calculated as a function of time and distance between optical dipole traps and averaged over 500 samples with Poissonian distribution of the number of atoms in each trap. The oscillations shown in Fig. 5(c)(top part) correspond to the case of two non-interacting superatoms shown in Fig. 5(a), whereas the full blockade between (and within) the ensembles is evident at the bottom of Fig. 5(c). For intermediate distances around $d = 9 \mu m$ the collapses and revivals disappear due to dephasing of the oscillations induced by the interaction between superatoms. The Fourier spectrum of $N_{Rg}$ shown in Fig. 5(d) illustrates the increase in the mean frequency of Rabi oscillations for $d = 4 \mu m$ due to the blockade of Rydberg excitation within two ensembles.
V. SUMMARY
We have shown that strongly interacting mesoscopic atomic ensembles with random and unknown numbers of atoms, which are coupled to a classical electromagnetic field, display the Jaynes-Cummings-type dynamics of single-atom laser excitation. The collapses and revivals of collective oscillations between Dicke states of the atomic ensemble result from the $\sqrt{N}$ dependence of collective Rabi frequency of single-atom excitation in the regime of the Rydberg blockade, where $N$ is the number of atoms. The interference of the Rabi oscillations with different frequencies occurs due to the random loading of optical dipole traps or optical lattices. Due to $\sqrt{N}$ dependencies on the number of atoms these effects are also relevant to the recent studies of superradiance [42, 43] and subradiance [44] in atomic ensembles and to the investigation of Rydberg polaritons [45].
An experimental observation of this effect can be used as a signature of the perfect Rydberg blockade without the need to measure the actual number of detected Rydberg atoms. This can be of great importance for quantum information with mesoscopic atomic ensembles containing a random number of atoms [19, 20] where the Rydberg blockade within an atomic ensemble and between two ensembles is required for encoding of quantum information, implementation of two-qubit quantum gates, and DQC1 algorithms [41]. Our approach could also be useful for investigation of sub-Poissonian atom-number fluctuations in mesoscopic atomic ensembles [46].
ACKNOWLEDGMENTS
We thank A. V. Taichenachev, L. V. Il’ichev and T. Lahaye, for helpful discussions. This work was supported by the RFBR Grant No. 14-02-00680, by the Russian Academy of Sciences, by the EU FP7 IRSES Project "COLIMA", by the project TAP LLT 01/2012 of the Research Council of Lithuania, the National Science Council of Taiwan and by the Russian Quantum Center.
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Lyotropic ‘hairy’ TiO$_2$ nanorods
Fei Cheng,$^a$ Emanuele Verrelli,$^a$ Fahad A. Alharthi$^{ab}$ Stephen M. Kelly,$^a$ Mary O’Neill,$^c$ Neil T. Kemp,$^d$ Stuart P. Kitney,$^d$ Khue T. Lai,$^e$ Georg H. Mehl$^f$ and Thomas Anthopoulos$^{fg}$
We report the synthesis of the first stable, solution-processable and photocrosslinkable hybrid organic/inorganic titanium dioxide nanorods as ‘hairy rods’ coated with phosphonate ligands with photoreactive coumarin groups located in a terminal position. The relationships between the chemical structure of the diethyl-$\omega$-[(7-oxycoumarin)-$n$-alkyl]phosphonate ligands on the ligand exchange rate (LER) and the solubility of the resultant ligand-stabilized titanium dioxide nanorods in organic solvents are elucidated. These TiO$_2$ nanorods, with an organic ligand coating, are short enough (aspect ratio = 5–8) to be dissolved in chlorobenzene at high concentrations, but long enough to form lyotropic nematic liquid crystals. These colloidal solutions are used to deposit a thin, uniform layer of hybrid organic/inorganic TiO$_2$ nanorods with their long axes in the plane of a flat, smooth substrate through a self-organization process. Standard photolithographic patterning creates an insoluble dielectric layer of the desired thickness, smoothness and uniformity and with a dielectric constant of sufficient magnitude, $k = 8$, suitable for the fabrication of multilayer, plastic electronic devices using solution-based fabrication techniques, such as ink-jet printing, used in roll-to-roll manufacturing.
Introduction
Plastic electronics, based on solution-processable and printable electronic devices, are entering the semiconductor market place and are developing into a significant disruptive technology. Indeed, they may not just replace current commercial electronic devices, but also open completely new markets. These plastic electronic devices, such as flat panel displays, Organic Light-Emitting Diodes (OLEDs), Organic Field Effect Transistors (OFETs), Organic Photovoltaics (OPVs), RFID tags, etc., are based on flexible, low-weight and mechanically robust substrates. Their low-cost, roll-to-roll manufacturing processes require the sequential formation of multi-layered uniform thin films of organic semiconductors, metal oxide semiconductors and/or dielectrics, conducting polymers or metallic colloids.$^{1–4}$ However, the intermixing of adjacent layers deposited in sequence from solution by processes, such as inkjet printing, drop casting, spin coating, doctor blade techniques, etc., is a significant problem with respect to the successful fabrication and subsequent performance of plastic electronic devices. Orthogonal solvents can be used to deposit a series of layers,$^{2,6}$ but this approach becomes problematic as the number of layers increases as this process limits the choice of materials that can be deposited in sequential steps. Alternatively, multi-layered structures have been achieved by thermally crosslinking semiconducting polymers$^{7}$ or by thermal annealing to remove solubilizing groups from nanoparticles of metal oxide semiconductors. For example, thermally crosslinked layers of titanium dioxide (TiO$_2$) and surface-modified barium titanum titanium dioxide (BaTiO$_3$) nanoparticles, dispersed in polyvinylphenol for deposition and crosslinking, have been fabricated as dielectric layers for pentacene OFETs.$^8$ Unfortunately, high annealing temperatures are incompatible with flexible substrates and low-cost, high-throughput, roll-to-roll manufacturing processes.
Insoluble thin films can also be formed by ultraviolet irradiation of photopolymerisable materials to form insoluble polymer networks. An example of this approach involves the attachment of a photoactive moiety, such as an acrylate, methacrylate or octaene group, via an aliphatic spacer to a small molecule organic semiconductor.$^{9–11}$ A significant advantage of this approach is the capability to spatially pattern device features with sub-micron resolution using photolithographic techniques, e.g., organic semiconductors for organic light-emitting diodes and transistors.$^{14,15}$ Unfortunately, the
photopolymerisation reactions proceed *via* free radical or ionic reactions and require photoinitiators to form a network of polymer chains. These factors can lead to the formation of an inhomogeneous layer, containing radicals or ions that disrupts the electrical performance and stability of electronic devices incorporating such polymer network films.
Solution-processable materials with a high dielectric constant, $k$, exhibit the potential to replace silicon dioxide as a gate dielectric in plastic electronic devices. Nanoscale forms of titanium dioxide (TiO$_2$) are very important in this context.\textsuperscript{16–23} The high dielectric constants of its anatase phase ($k \approx 31$) and rutile phase ($k \approx 114$)\textsuperscript{24} render titanium dioxide a very promising material for application in hybrid organic/inorganic photovoltaic devices\textsuperscript{25} and non-volatile memory devices with resistive switching.\textsuperscript{24}
The surface of titanium dioxide nanoparticles, including nanorods, must be functionalized with an organic ligand or surfactant in order to overcome the strong adhesion forces between the nanoparticles in order to render them soluble in common organic solvents and, hence, processable from solution.\textsuperscript{26} The presence of organic, flexible ligands, consisting of long aliphatic chains, stabilizes the surface of inorganic nanoparticles and simultaneously inhibits their aggregation and agglomeration.\textsuperscript{26} Such ligands offer the potential for additional functionality by the incorporation of photo-dimerisable and crosslinkable, rather than photopolymerisable, groups, for example. This approach is potentially a much more sophisticated approach and offers a higher degree of spatial control and resolution than, for example, the photopolymerisation of the acrylate host of TiO$_2$ nanoparticles dispersed in an organic matrix containing a photoinitiator.\textsuperscript{27}
A range of methods have been used to prepare TiO$_2$ nanorods, such as hydrothermal and solvothermal processing, templating, electrospinning and solution-phase reactions.\textsuperscript{28–35} Ligand-stabilized TiO$_2$ nanorods have been synthesized using a range of non-hydrolytic methods.\textsuperscript{35} A one-step, low-temperature method has been used to synthesise oleic acid-capped TiO$_2$ nanorods in the anatase phase using the hydrolysis of titanium tetraisopropoxide [Ti(OiPr)$_4$] and oleic acid as the surfactant with tertiary amines or quaternary ammonium hydroxides as catalysts.\textsuperscript{34} Solution-processable anatase TiO$_2$ nanorods have been synthesised in a two-step, non-hydrolytic condensation reaction of TiCl$_4$ and Ti(OiPr)$_4$ in the presence of oleic acid.\textsuperscript{35} Similar non-hydrolytic condensation reactions in the presence of trioctylphosphine oxide and dodecylamine yield anatase titanium dioxide nanorods.\textsuperscript{36} Oleic acid-capped titanium dioxide nanorods have also been prepared from Ti(OiPr)$_4$ at elevated reaction temperatures.\textsuperscript{36,37} Uniform anatase TiO$_2$ nanoparticles were prepared using the phase transformation of a Ti(OH)$_4$ gel matrix in the presence of shape-controllers.\textsuperscript{38} Non-hydrolytic solvothermal reactions have also been used to synthesise oleic acid-capped, solution-processable TiO$_2$ nanorods.\textsuperscript{39,40} The authors are not aware of any photodimerisable and crosslinkable ligands used to prepare such solution-processable TiO$_2$ nanorods.
We report here the synthesis and processing of the first stable, solution-processable and photo-dimerisable and crosslinkable, mixed ligand-stabilized titanium dioxide nanorods and their use as patterned, insoluble and intractable thin films with a high dielectric constant suitable as dielectric layers in multilayer electronic devices, such as organic field effect transistors (OFETs). New diethyl-\textit{o}-[\textit{7}-oxycoumaryl]-\textit{n}-alkyl phosphonate ligands with photodimerisable coumarin side chains are synthesized and undergo ligand exchange with oleic acid-capped titanium dioxide nanorods. We chose coumarin as the photoactive groups, since light irradiation of thin films of polymethacrylates with coumarin side chains leads to photodimerisation and crosslinking without any free radical or ionic side reactions.\textsuperscript{12–15,41} The lyotropic liquid crystalline properties of solutions of these TiO$_2$ nanorods, short enough to be soluble and long enough to self-assemble, should facilitate the formation of uniform thin layers with the long axes of the nanorods in the plane of the device substrate. These nanorod domains would provide a uniform flat surface for subsequent layer deposition, after being rendered insoluble by photochemical crosslinking with UV irradiation.
**Experimental**
**Synthesis of the photocrosslinkable TiO$_2$ nanorods 4a & 4b ($n = 6$) and 4c–f ($n = 11$)**
The reaction scheme for the preparation of the hybrid titanium dioxide nanorods 4a & 4b ($n = 6$) and 4c–f ($n = 11$) is shown in Scheme 1 and Fig. 1. The oleic acid-stabilized titanium dioxide nanorods 1 (TiO$_2$–OA) were prepared using hydrolysis of titanium(v) isopropoxide (TTIP) in the presence of aqueous trimethyamine N-oxide (TMAO) and oleic acid (OA) according to a modified literature procedure.\textsuperscript{31,34,42} New phosphonate ligands 3 ($n = 6$ and $n = 11$) with coumarin side chains were synthesized from the corresponding $\omega$-bromoalkyl-substituted intermediates 2 ($n = 6$ and $n = 11$) by means of Michaelis–Arbuzov rearrangement.\textsuperscript{43,44} The ligands incorporate a phosphonate moiety to bind strongly to TiO$_2$ surfaces.\textsuperscript{45–47} The ligands 3 ($n = 6$ and $n = 11$) possess a coumarin functional group in a terminal position suitable for further photocrosslinking reactions after their attachment to the titanium dioxide nanoparticle surfaces.
**Scheme 1** Synthesis of the photoreactive diethyl-\textit{o}-[\textit{7}-oxycoumaryl]-\textit{n}-alkyl phosphonate ligands 3 ($n = 6$ and $n = 11$).
Titanium(iv) tetra-isopropoxide (TTIP, ≥97.0%), oleic acid (OA, 90%), trimethylamine N-oxide (TMAO, 98%), 7-hydroxycoumarin (99%), 1,6-dibromohexane (96%), 1,11-dibromooundecane (≥98.0%), trimethyl phosphite (90%), and trimethylamine (≥99.0%) were sourced from Sigma-Aldrich. Acetonitrile (99.9%) was sourced from VWR Chemicals. Other chemicals and solvents were obtained from Fisher. Ultrapure water with a specific resistance of 18.2 MΩ cm was obtained by reversed osmosis followed by ion exchange and filtration (UPQ PS system, ELGA, USA). All reactions were carried out under an inert atmosphere unless otherwise stated.
The mixed ligand-stabilized, anatase titanium dioxide nanorods 4a & 4b (n = 6) and 4c–f (n = 11) were formed using ligand-exchange reactions between the oleic acid-stabilized titanium dioxide nanorods 1 (TiO$_2$–OA) and the diethyl-$o$-[(7-oxycoumarin)alkyl]phosphonate ligands 3 (n = 6 and 11, respectively), as shown in Fig. 1.
**Characterization methods**
Fourier transform infrared (FTIR) spectra of the synthesized materials in the form of powders were recorded on a Nicolet Magna-500 FTIR spectrometer. A Bruker IFS 66/S FTIR spectrometer equipped with a water-cooled globar source, a potassium bromide (KBr) beam splitter and a deuterated triglycine sulphate detector was used to measure the transmittance of the thin films on a KBr substrate at room temperature. The KBr substrate spectrum was taken under the same conditions as each sample measurement in order to eliminate any inherent artifacts. The resolution was 2 cm$^{-1}$ and 1000 scans were combined and averaged to produce each FTIR spectrum. The sample compartment was continuously purged with anhydrous air to reduce absorptions due to atmospheric water vapor and carbon dioxide.
$^1$H NMR and $^{31}$P NMR spectroscopy were carried out using a JEOL Eclipse 400 MHz spectrometer. Deuterated chloroform with an internal standard of tetramethylsilane (TMS) was typically used as the solvent.
Mass spectra were obtained using an Agilent 1100 series HPLC coupled with a Bruker HCT Ultra ion trap MS/MS instrument with an electrospray ion source. The capillary voltage was 3.5 kV, the gas temperature 300 °C and the gas flow 10 L min$^{-1}$. A acetonitrile/water mixture was used as solvent flowing at 0.3 mL min$^{-1}$.
Transmission electron microscopy (TEM) was carried out using a Jeol 2010 TEM running at 200 kV and a Gatan Ultrascan 4000 digital camera. The liquid sample was mixed in a vial, a 5 µL aliquot is placed on a hydrophilic carbon coated copper grid and allowed to air dry.
X-ray powder diffraction (XRD) analyses were performed using a SIEMENS D5000 instrument.
The concentration of the titanium and phosphorus present in the samples was determined using an inductively coupled Perkin Elmer plasma 40 emission (ICP) instrument. The concentration of carbon, hydrogen and nitrogen was analyzed using a Fisons EA 1108 CHN apparatus.
Thermogravimetric analyses (TGA) were performed on a Netzsch TGA TG209 thermal balance. UV crosslinking was carried out inside a glovebox at 1 ppm O$_2$, −86 °C dew point using a UV curing lamp (OmniCure 2000, 250–450 nm) with power density of 1.5 W cm$^{-2}$. Impedance measurements were carried out using a Solartron S1260 with dielectric interface S1296 attached to a probe station and interfaced to a PC using labview.
An Olympus BX51 polarizing optical microscope (POM) with a Linkam LTS 350 temperature-controlled stage were utilized to observe the images of the oleic acid-stabilized titanium dioxide nanorods 1 and the ligand-exchanged titanium dioxide nanorods 4d between crossed polarizers.
**Synthesis**
**Oleic acid-stabilized, anatase titanium dioxide nanorods 1.** Oleic acid (420.0 g) was dried under vacuum by heating to 120 °C for 1 h and allowed to cool to 85 °C. Titanium(iv) isopropoxide (17.7 cm$^3$, 60 mmol) was then added under stirring whereby the reaction solution changed from colorless to yellow. After completion of this addition, an aqueous solution of 2 M trimethylamine N-oxide (60 cm$^3$) was injected quickly into the reaction mixture, which was then heated at 100 °C for 72 h. The cooled reaction mixture solution was dried under vacuum to remove water and isopropanol (1.2 L) was added to the resultant reaction mixture. The resultant precipitate was removed by centrifugation, washed twice with aliquots of isopropanol, dissolved in toluene and then re-precipitated with acetone. The resultant precipitate was separated off by centrifugation. This purification step was repeated twice to produce a precipitate, which was dried overnight under vacuum to yield the desired oleic acid-stabilized titanium dioxide nanorods 1 (6.0 g) as a light yellow powder in the anatase phase. Elemental analysis of the oleic acid-stabilized, titanium dioxide nanorods 1: Ti = 42.8%, C = 18.6%, H = 3.1%, N = 0.36%. Weight percentage of titanium dioxide based on titanium analysis and TGA analysis = 71%.
**7-(6-Bromohexyloxy)coumarin, 2a.** A mixture of potassium carbonate (13.0 g, 94.0 mmol), 7-hydroxycoumarin (10.0 g, 61.7 mmol) and acetonitrile (800 cm$^3$) was heated under reflux for 1.5 h. A solution of 1,6-dibromohexane (75.2 g, 308.5 mmol) in acetonitrile (50 cm$^3$) was then added the reaction solution. The resultant reaction solution was heated under reflux for 60 h,
allowed to cool to room temperature, filtered to remove inorganic material and then evaporated down to give a yellow solution. The white precipitate formed from this solution on standing overnight at room temperature was filtered off, washed with hexane (120 cm$^3$), cold hexane and 1 : 1 mixture of hexane and diethyl acetate (120 cm$^3$). A white precipitate, formed from the combined washings on standing overnight at $-18\,^\circ\text{C}$ overnight was filtered off, washed with hexane (120 cm$^3$) and a 1 : 1 mixture of hexane and diethyl acetate (120 cm$^3$) and then dried under vacuum to yield a white solid (12.5 g, 62.6%). $^1\text{H NMR} (\text{CDCl}_3); \delta 7.64 (\text{d}, 1\text{H}), 7.37 (\text{d}, 1\text{H}), 6.84 (\text{m}, 2\text{H}), 6.26 (\text{d}, 1\text{H}), 4.03 (\text{t}, 2\text{H}), 3.44 (\text{t}, 2\text{H}), 1.83–1.90 (\text{m}, 4\text{H}), 1.54–1.58 (\text{m}, 4\text{H})$ ppm. IR (KBr pellet, cm$^{-1}$): 2944, 2862, 1722, 1616, 1556, 1508, 1400, 1292, 1130, 1034, 828, 642. Anal. calcd for C$_{19}$H$_{20}$O$_4$Br (%): C, 55.40; H, 5.27. Found: C, 55.68; H, 5.50. MS ($m/z$): 325, 327 [M + H$^+$].
**7-(11-Bromoundecyloxy)coumarin 2b.** A mixture of potassium carbonate (3.4 g, 24.2 mmol), 7-hydroxycoumarin (2.6 g, 15.9 mmol) and acetonitrile (205 cm$^3$) was heated under reflux for 1.0 h. A solution of 1,11-dibromoundecane (24.9 g, 79.0 mmol) in acetonitrile (80 cm$^3$) was then added to the reaction solution. The resultant reaction solution was heated under reflux for 48 h, allowed to cool to room temperature, filtered to remove inorganic material and then evaporated down to give a yellow solution. The white precipitate formed from this solution on standing overnight at 4 °C was filtered off, washed with hexane (150 cm$^3$), dried under vacuum, recrystallized from a 1 : 1 mixture of hexane and diethyl acetate at $-18\,^\circ\text{C}$ and then purified using flash column chromatography$^{44}$ (silica gel, methanol : dichloromethane, 10% increased up to 100%) to give the desired product (1.54 g, 26.6%). $^1\text{H NMR} (\text{CDCl}_3); \delta 7.63 (\text{d}, 1\text{H}), 7.35 (\text{d}, 1\text{H}), 6.82 (\text{m}, 2\text{H}), 6.24 (\text{d}, 1\text{H}), 4.01 (\text{t}, 2\text{H}), 3.41 (\text{t}, 2\text{H}), 1.77–1.89 (\text{m}, 4\text{H}), 1.30–1.57 (\text{m}, 14\text{H})$ ppm. IR (KBr pellet, cm$^{-1}$): 2921, 2850, 1732, 1618, 1553, 1512, 1400, 1292, 1138, 1030, 841, 721, 640. Anal. calcd for C$_{23}$H$_{29}$O$_4$Br (%): C, 50.76; H, 6.88. Found: C, 60.99; H, 7.08. MS ($m/z$): 395, 397 [M + H$^+$].
**Diethyl-6-[7-(oxycoumaryl)hexyl]phosphonate 3a.** A mixture of 7-(6-bromoheoxy)coumarin 2a (2.0 g, 6.2 mmol) and triethyl phosphite (2.7 cm$^3$, 15.4 mmol) was heated at 150 °C for 16 h. The excess triethyl phosphite was removed under vacuum from the cooled reaction mixture to give a yellow oil. A 1 : 1 mixture of hexane and diethyl acetate (20 cm$^3$) was added to the yellow oil and the resultant clear solution cooled at $-18\,^\circ\text{C}$ overnight to yield a precipitate, which was filtered off, dried under vacuum and finally purified using flash column chromatography$^{44}$ (silica gel, diethyl acetate : dichloromethane, 10% increased up to 100%) to give the desired product (1.68 g, 68.0%). $^1\text{H NMR} (\text{CDCl}_3); \delta 7.63 (\text{d}, 1\text{H}), 7.36 (\text{d}, 1\text{H}), 6.82 (\text{m}, 2\text{H}), 6.24 (\text{d}, 1\text{H}), 4.01–4.11 (\text{m}, 6\text{H}), 1.71–1.8 (\text{m}, 6\text{H}), 1.47–1.50 (\text{m}, 4\text{H}), 1.30–1.34 (\text{t}, 6\text{H})$ ppm. $^{31}\text{P NMR} (\text{CDCl}_3); \delta 33.1$ ppm. IR (KBr pellet, cm$^{-1}$): 2921, 2850, 1732, 1618, 1553, 1512, 1400, 1292, 1138, 1030, 841, 721, 640. Anal. calcd for C$_{19}$H$_{25}$O$_4$P (%): C, 59.68; H, 7.12. Found: C, 59.92; H, 7.39. MS ($m/z$): 383 [M + H$^+$], 504 [M + Na$^+$].
**Diethyl-11-[7-(oxycoumarin)undecyl]-phosphonate 3b.** A mixture of 7-(11-bromoundecyloxy)coumarin 2b (5.0 g, 12.7 mmol) and triethyl phosphite (5.5 cm$^3$, 31.5 mmol) was heated at 150 °C for 16 h under a nitrogen atmosphere to give a yellow oil. The excess triethyl phosphite was removed under vacuum at 50 °C and once again after the solution was cooled. A 1 : 1 mixture of hexane and diethyl acetate (20 cm$^3$) was added to the yellow oil and the resultant clear solution cooled at $-18\,^\circ\text{C}$ overnight to yield a precipitate, which was filtered off, washed with a cold 1 : 1 mixture solution of hexane and diethyl acetate and then dissolved in ethanol (50 cm$^3$) at 50 °C. The precipitate formed on standing overnight at room temperature was filtered off and the filtrate was evaporated down to give a yellow solid. The yellow solid was re-dissolved in ethanol (15 cm$^3$) at 50 °C. The precipitate formed on standing overnight at room temperature was filtered off and the filtrate evaporated down to give the desired product (3.47 g, 60.0% yield). $^1\text{H NMR} (\text{CDCl}_3); \delta 7.63 (\text{d}, 1\text{H}), 7.36 (\text{d}, 1\text{H}), 6.82 (\text{m}, 2\text{H}), 6.24 (\text{d}, 1\text{H}), 3.99–4.14 (\text{m}, 6\text{H}), 1.28–1.72 (\text{m}, 26\text{H})$ ppm. $^{31}\text{P NMR} (\text{CDCl}_3); \delta 33.3$ ppm. IR (KBr pellet, cm$^{-1}$): 2978, 2917, 2852, 1727, 1619, 1554, 1511, 1467, 1405, 1292, 1245, 1133, 1030, 953, 839, 727, 615. Anal. calcd for C$_{23}$H$_{31}$O$_4$P (%): C, 63.69; H, 8.24. Found: C, 63.46; H, 8.48. MS ($m/z$): 453 [M + H$^+$], 475 [M + Na$^+$].
**Mixed ligand-stabilised, anatase titanium dioxide nanorods 4a–f.** Different amounts of a solution of either diethyl-6-[7-(oxycoumaryl)hexyl]phosphonate ligands 3a or diethyl-11-[7-(oxycoumarin)undecyl]phosphonate 3b in chlorobenzene (4 cm$^3$) were added to a solution of the oleic acid-stabilised, anatase titanium dioxide nanorods 1 (0.1 g) in chlorobenzene (4 cm$^3$). The resultant reaction solution was heated to 100 °C and allowed to react for the required time. Acetone (25 cm$^3$) was added to the cooled reaction mixture and the resultant precipitate separated off by centrifugation, washed twice with acetone and then dried in a vacuum oven to yield the mixed ligand-stabilized, anatase titanium dioxide nanorods 4a, and 4b and 4c–4f, respectively.
**Metal–insulator–metal (MIM) fabrication**
Crossbar Metal–Insulator–Metal (MIM) devices were fabricated by spin coating 10% by weight solutions of representative examples of the mixed ligand-stabilized, anatase titanium dioxide nanorods 4a–f onto glass substrates with pre-deposited aluminium bottom electrodes. The top electrodes were then deposited on top of these films (thickness = 200 nm) via remote thermal evaporation with a sample-to-source distance of ca. 400 mm. The high frequency dielectric constant of the materials was extracted from the impedance of the MIM devices using a two-step approach: the resistance R and capacitance C were extracted from the measured impedance using a parallel RC model approximation$^{48}$ with the extracted C value used to provide an estimate of the film’s relative dielectric constant ($C = \varepsilon_0 \varepsilon_R A/d$, where A is the active area of the device and d is the film thickness). The error on these relative dielectric constant values is estimated to be around 5–10%.
**Results and discussion**
**Oleic acid-stabilized, anatase titanium dioxide nanorods 1**
The FTIR spectra of the oleic acid-stabilized, anatase titanium dioxide nanorods 1 show two strong peaks at 1525 cm$^{-1}$ and
1430 cm\(^{-1}\), see Fig. 2, which can be attributed to antisymmetric and symmetric stretching vibrations of the bidentate COO-group indicating the formation of a complex by coordinating the carboxyl groups of the oleic acid with surface titanium centers dominating the interaction of the ligand with the nanorods surface.\(^{39}\) The frequency difference of \(\Delta\nu_{\text{as-s}} = 95\) cm\(^{-1}\) between the asymmetric and symmetric stretching vibrations of carboxylate anions indicates the oleic acid molecules are chemically adsorbed onto titanium dioxide surface in a bidentate chelating mode.\(^{39}\) Elemental analyses shows that 18.6% of carbon, 3.2% of hydrogen and 0.36% of nitrogen are present in the oleic acid-stabilized titanium dioxide nanorods 1. The small amount of nitrogen is probably attributable to traces of residual trimethylamine-oxide (TMAO), although the product has been purified many times by dissolving in toluene and precipitating with acetone. ICP analysis indicates the presence of 42.8% titanium in the oleic acid-stabilized titanium dioxide nanorods 1. The weight percent of titanium dioxide is \(\sim 71\%\) based on the titantium content and TGA analysis (800 °C in air).
The oleic acid-stabilized titanium dioxide nanorods 1 exhibit an aspect ratio between 5–8, see the XRD and TEM discussion below and therefore, they can be readily dissolved in chlorobenzene to produce stable solutions (at least one month) with the desired concentrations of up to 10 wt% to enable deposition of uniform thin films of the nanorods 1 of the desired thickness from solution using standard wet-chemistry deposition techniques, such as spin coating, drop casting doctor blade techniques, inkjet printing, etc., consistent with roll-to-roll fabrication.
The reaction details and the compositions of the mixed ligand-stabilized titanium dioxide nanorods, 4a, 4b and 4c–f, formed in the ligand-exchange reactions between the oleic acid-stabilized titanium dioxide 1 nanorods and either the diethyl-6-[(7-oxycoumaryl)hexyl]phosphonate ligands 3a or diethyl-11-[(7-oxycoumaryl)undecyl]phosphonate 3b, respectively, are shown in Table 1. The ligand exchange rate (LER), the percentage of oleic acid on titanium dioxide surface replaced by the phosphonate ligands 3a and 3b, calculated based on the ICP and CHN results, increases with reaction time, \(t\), but that the solubility of the resultant hybrid organic/inorganic nanorods 4a–f in chlorobenzene decreases. The LER of the mixed ligand-stabilised titanium dioxide nanorods 4a and 4b produced using the shorter diethyl-6-[(7-oxycoumaryl)hexyl]phosphonate ligand 3a is higher than that of the nanorods 4c–f produced using the longer diethyl-11-[(7-oxycoumaryl)undecyl]phosphonate ligand 3b.
As can be seen from Fig. 3, the mixed ligand-stabilised TiO\(_2\) nanorods 4a, with a relatively short hexyl spacer group, and the nanorods 4c, 4d and 4f, with a longer undecyl spacer group, with a relatively high LER (38.6%, 24.1%, 30.2% and 34.0%, respectively) dissolve in chlorobenzene at concentrations up to 10 wt% and 20 wt%, respectively. However, the nanorods 4b and 4e, produced using long reactions times (\(t = 72\) h and 120 h, respectively), with a LER value higher than 42%, do not dissolve in chlorobenzene at all.
Fig. 4 shows the \(^{31}\)P NMR of diethyl-11-[(7-oxycoumaryl)undecyl]phosphonate ligand 3b and those of the corresponding mixed ligand-stabilized TiO\(_2\) nanorods 4c–e before purification and the nanorods 4d after purification. Two peaks at 33.3 and 29.8 ppm can be observed for the mixed ligand-stabilized TiO\(_2\) nanorods 4c–e. The peak at 33.3 ppm is characteristic of the ligand 3b, while the new peak at 29.8 ppm is attributable to the bonds between the inorganic TiO\(_2\) core and the organic ligand in the mixed ligand-stabilized titanium dioxide nanorods 4c–e. The intensity of the peak at 33.3 ppm decreases with increasing reaction time. This observation provides further supporting evidence that LER increases with increasing reaction time, see
 IR absorption spectra of the oleic acid-stabilized TiO\(_2\) nanorods 1.
| Sample | Ligand (mg) | \(t\) (h) | Ti (%) | P (%) | C (%) | H (%) | N (%) | LER\(^a\) (%) | Solubility\(^b\) (%) |
|--------|-------------|-----------|--------|-------|-------|-------|-------|--------------|---------------------|
| 4a (\(n = 6\)) | 40 | 24 | 45.1 | 0.61 | 15.0 | 2.40 | 0.00 | 38.6 | 10 |
| 4b (\(n = 6\)) | 40 | 72 | 45.5 | 0.75 | 13.9 | 2.21 | 0.13 | 51.0 | 0 |
| 4c (\(n = 11\)) | 30 | 24 | 44.9 | 0.51 | 18.9 | 2.59 | 0.33 | 24.1 | 20 |
| 4d (\(n = 11\)) | 30 | 72 | 45.1 | 0.73 | 19.1 | 2.95 | 0.19 | 30.2 | 20 |
| 4e (\(n = 11\)) | 30 | 120 | 44.6 | 0.93 | 18.2 | 3.20 | 0.15 | 42.4 | 0 |
| 4f (\(n = 11\)) | 60 | 48 | 46.1 | 0.67 | 18.4 | 2.83 | 0.25 | 34.0 | 20 |
\(^a\) Percentage of oleic acid remaining on the surface of the nanorods 4a and 4b and the nanorods 4c–f replaced by ligands 3a and 3b, respectively.
\(^b\) Weight-to-weight concentration of the mixed ligand-stabilized, TiO\(_2\) nanorods 4a, with an hexyl spacer group, and the corresponding mixed ligand-stabilized, TiO\(_2\) nanorods 4d, with an undecyl spacer group, dissolved in chlorobenzene.
Table 1. Free, non-bonded 3b can be completely removed by purification as can be readily elucidated from Fig. 4(d). The new peak at 29.8 ppm is very similar to that of TiO$_2$ modified with octadecylphosphonic acid (ODPA) reported previously,\textsuperscript{51,52} suggesting that the ethoxy groups have been displaced upon ligand exchange and that of the diethyl-11-[(7-oxycoumaryl)undecyl] phosphonate ligand 3b is bonded to the surface of the TiO$_2$ nanorods by a tridentate attachment.\textsuperscript{51,52}
The FTIR spectra of oleic acid-stabilized titanium dioxide 1 nanorods, the diethyl-11-[(7-oxycoumaryl)undecyl]phosphonate ligand 3b and the mixed ligand-stabilized titanium dioxide nanorods 4c, produced by their reaction, are shown in Fig. 5. The IR spectrum of the mixed ligand-stabilized titanium dioxide nanorods 4c, produced in the ligand-exchange reaction, clearly shows many peaks characteristic of the phosphonate ligand 3b. However, the presence of strong peaks at 1525 cm$^{-1}$ and 1430 cm$^{-1}$ indicates that only part of oleic acid coating of the oleic acid-stabilized titanium dioxide nanorods 1 nanorods has been replaced by the ligand 3b. The IR spectrum of the ligand 3b shows a P=O stretching band at 1243 cm$^{-1}$ and a P–O–C absorption band at 952 m$^{-1}$, as indicated by the pink line. However, these two bands are not present in the mixed ligand-stabilized titanium dioxide nanorods 4c. A broad band attributable PO$_4$ stretching can be observed at about 1060 cm$^{-1}$, further supporting the conclusion that the ligand 3b is attached to the titanium dioxide surface through a tridentate bonding mode.\textsuperscript{53}
The TGA curves of the ligand-exchanged product the mixed ligand-stabilized titanium dioxide nanorods 4a, with the relatively short hexyl spacer group, and the corresponding mixed ligand-stabilized titanium dioxide nanorods 4d, with a longer undecyl spacer group, are shown in Fig. 6. A major weight loss occurs in the temperature range of 350 °C to 500 °C due to thermal decomposition of the organic ligands. The residues at 950 °C are 75.9% and 75.1% for the mixed ligand-stabilized titanium dioxide nanorods 4a and 4d, with either a hexyl or an undecyl spacer group, respectively.
Analysis of the XRD spectra confirms that these mixed ligand-stabilized titanium dioxide nanorods 4a and 4d both exhibit the anatase phase. The XRD patterns of the ligand-exchanged nanorods 4a and 4d are very similar to that of oleic acid-stabilized titanium dioxide nanorods 1, see Fig. 7, i.e., the ligand exchange reaction does not affect the morphology of the inorganic nanorods. Hence, the TEM images of the ligandexchanged titanium dioxide nanorods 4a and 4d are also similar to that of oleic acid-stabilized titanium dioxide nanorods 1, see Fig. 8. The combination of the XRD and TEM spectra suggests the ligand exchange reaction, carried out on the oleic acid-stabilized titanium dioxide nanorods 1 at 100 °C to form the ligand-exchanged hybrid inorganic/organic titanium dioxide nanorods 4a and 4d, has very little effect, as could be reasonably expected, on the phase, size and shape and, hence, anisotropy, of the core of TiO$_2$ nanorods with an aspect ratio of 5–8, see Fig. 8. The nanorods 4a–d are 18–23 nm in length and 2.4–3.2 nm in diameter on average. TEM images of these nanorods with a very sparse distribution on the TEM grids indicate that the nanorods exhibit a round cross section (cylindrical shape) rather than a rectangular shape.
Samples of the oleic acid-stabilized titanium dioxide nanorods 1 and the ligand-exchanged titanium dioxide nanorods 4d were dissolved in chlorobenzene to produce highly concentrated (20%) solutions (wt/wt) in each case. The chlorobenzene solvent was then allowed to evaporate slowly at room temperature from these solutions and the percentage concentration of the nanorods determined by changes in the weight of the residual solution. The images of these chlorobenzene/nanorod solutions captured using polarizing optical microscopy (POM) at a concentration of 60% (wt/wt) are shown in Fig. 9. Both photomicrographs reveal the presence of birefringent domains containing disclinations at domain boundaries characteristic of the lyotropic liquid crystalline state and, in this case, of a nematic phase. These samples are fluid and can be disturbed by the application of slight physical pressure, which results in ‘flashing’ of the POM images, which is again a typical characteristic of the nematic phase.
Fig. 10 shows POM images of solutions in chlorobenzene of oleic acid-stabilized titanium dioxide nanorods 1 recorded at different concentrations. The image of the nanorod/chlorobenzene colloidal solution at a concentration of 50% (wt/wt) clearly shows the presence of birefringent droplets incorporating four-point brushes typical of the lyotropic nematic state. The Schlieren texture equally characteristic of a nematic phase can be clearly observed at a concentration of 60% (wt/wt) for the same sample. The nematic phase texture completely disappears when the concentration of the nanorod/chlorobenzene solution is above 80% (wt/wt), which is appears to be due to crystallization of the nanorods from solution to form a solid.
In order to investigate the dependence of the lyotropic nematic phase on temperature, a solution of the TiO$_2$–OA nanorod 1 in chlorobenzene (60% wt/wt) was drop cast on a glass slide, circled with AP 101 grease and covered with a cover slip. The POM images of these solutions at different temperature are shown in Fig. 11. It can be seen that with increasing temperature, the Schlieren texture of the lyotropic nematic phase is retained, although some small changes in appearance can be observed, as expected due to the fluid nature of the sample. However, the birefringent Schlieren texture of the solution completely disappears above a temperature of ca. 100 °C to form a colorless isotropic liquid. This thermal process is not reversible and the Schlieren texture does not return on cooling the sample below the nematic–isotropic clearing point (N–I) of ca. 100 °C, as would have been expected normally for a liquid crystal transition. However, that this is not the case is due to the evaporation of the chlorobenzene solvent from the sides of the sample at these temperatures. The oleic acid-stabilised TiO$_2$ nanorods 1 slowly crystallize over time out of this solution as shown in the image taken of this sample after five days, see Fig. 11.
**Film formation and photochemical crosslinking**
The irradiation of coumarin and its derivatives with appropriate wavelengths of UV light results in photo-dimerization in solution and in thin-films.\textsuperscript{34,35} In order to investigate the crosslinking of the coumarin side chains, bonded onto the surface of the titanium dioxide nanorods \textit{via} phosphonate groups, the mixed ligand-stabilized titanium dioxide nanorods 4a and 4d, with either a hexyl or an undecyl spacer group, respectively, were deposited by spin casting onto a KBr substrate using standard procedures, allowed to dry and then photoirradiated with UV light at 250–450 nm and an exposure of 900 J cm\textsuperscript{−2}. The FTIR spectra of sample 4d before and after photoirradiation are shown in Fig. 12. The assignment of representative peaks is recorded in Table 2 by comparison with those of similar structures.\textsuperscript{41,53,56} Several important differences can be clearly observed between the two spectra. Firstly, after exposure of the sample, the carbonyl peak at 1739 cm\textsuperscript{−1} becomes weaker and broader with a shoulder at about 1769 cm\textsuperscript{−1}, suggesting the modification of the enone conjugation due to loss of conjugation resulting from dimerization.\textsuperscript{6} The shift to higher wavenumber suggests the formation of head-to-head (H–H) photodimers.\textsuperscript{56} The absorbance of the weak peak at 1405 cm\textsuperscript{−1} due to the C=C bond decreases upon photoirradiation of the sample, also indicating the 2 + 2 photo-dimerization of coumarin to a cyclobutane derivative. The peak at 1122 cm\textsuperscript{−1} decreases and the peak at 1159 cm\textsuperscript{−1} increases due to the loss of enone conjugation in coumarin and formation of the cyclobutane photoproduct. All these changes in peak intensity and shifts indicate that the coumarin side chains in the ligand-exchanged hybrid inorganic/organic TiO\textsubscript{2} nanorods 4d have been photochemically crosslinked in a head-to-head (H–H) photo-dimerisation reaction.
The solubility of a photoinduced crosslinked thin film of the mixed ligand-stabilized, TiO\textsubscript{2} nanorods 4d, with an undecyl spacer group, was tested by exposing the crosslinked films to the solvent (chlorobenzene) used to prepare the isotropic solutions and monitoring the film thickness before and after washing in the solvent. The film was photoirradiated with light of wavelength 250–450 nm to a total fluence of 200 J cm\textsuperscript{−2}. Chlorobenzene was then spin-coated onto the film at 1000 rpm for 60 s and removed by evaporation. Table 3 shows that the layer thickness is unchanged after this process, demonstrating that crosslinking of the ligands renders the layer of hybrid organic/inorganic nanorods completely insoluble. Smooth homogeneous ‘hairy rod’ films were obtained with thicknesses between 50–400 nm by changing the concentration of the chlorobenzene solutions (2.5% to 20% wt/wt).
**Table 2** Peak assignments in the FTIR spectra of the mixed ligand-stabilized, TiO\textsubscript{2} nanorods 4d to their corresponding vibrational modes prior to – and after – UV irradiation
| Wavenumber (cm\textsuperscript{−1}) | Assignment\textsuperscript{a} |
|-----------------------------------|-------------------------------|
| 1739 | C=O stretching |
| 1616 | Ring C=C stretching |
| 1525 | Bidentate COO– asym. stretching |
| 1464 | CH\textsubscript{2} scissor |
| 1430 | Bidentate COO– sym. stretching |
| 1405 | cis C=C stretching |
| 1280 | C(C=O)-O asym. stretching |
| 1230 | =C–O–C asym. stretching |
| 1159 | Unconjugated ester stretching |
| 1122 | C(C=O)-O sym. stretching |
| 1052 | =C–O–C sym. stretching and PO\textsubscript{3} |
\textsuperscript{a} Sym. = symmetric and asym. = asymmetric.
Morphologically, these thin-films show relatively small surface roughness, $\sim 2–3$ nm RMS, and good uniformity over wide areas with peak-valley distances, $\sim 20$ nm, over profiled areas of $1 \mu m^2$, as measured by atomic force microscopy (AFM), see Fig. 13. It may be reasonably postulated that, as the chlorobenzene solvent evaporates from these dilute solutions of the mixed ligand-stabilized, TiO$_2$ nanorods 4d to form solutions with higher nanorod concentrations on the substrate surface, then the fluid, but ordered, nature of these highly concentrated lyotropic nematic liquid crystalline solutions, see above, will facilitate the self-organized formation of domains on the substrate surface of these nanorods with their long axes parallel to each other and in the plane of the substrate surface, see Fig. 13. This spontaneous orientation of rods with a relatively high degree of anisotropy (aspect ratio = 5–8) on planar substrate surfaces mirrors that of nematic liquid crystals in Liquid Crystal Displays (LCDs).\textsuperscript{57}
Two main features of the dielectric constant spectra are apparent for the oleic acid-stabilized nanorods 1, the mixed ligand-stabilized, titanium dioxide nanorods 4a and 4d before – and after – photocrosslinking, see Fig. 14. Firstly the value of the relative dielectric constants, $k$, are all around 10; secondly each spectrum shows a steady increase of the dielectric constant as the frequency is reduced from 1 MHz toward 1 kHz. This results from polarization effects involving the device’s interface contribution to the impedance.\textsuperscript{49} The dielectric constant values obtained for the mixed ligand-stabilized, titanium dioxide nanorods 4d, with an undecyl spacer group, although slightly lower compared to that of the oleic acid-stabilized titanium dioxide nanorods 1, are actually compatible with the corresponding latter values by taking into consideration the above mentioned relative error. On the other hand, the mixed ligand-stabilized, titanium dioxide nanorods 4a, with a hexyl spacer group, show a higher value for the dielectric constant, $k$, compared to that of the oleic acid-stabilized nanorods 1 and the mixed ligand-stabilized titanium dioxide nanorods 4d, which is due to the lower relative weight of the total ligand component in the film or, equivalently, increased relative weight of the titanium dioxide nanorod component, as compared to the other ligands used. The relatively low value of the effective dielectric constant ($k = 8$) is due to a combination of two factors. Firstly, the nanocomposite comprises two components, a high-$k$ one attributable to the TiO$_2$ nanorod core and a low-$k$ one attributable to the organic ligand shell. Secondly, the stacking of nanorods in a thin film will inevitably create a volume of void space ($k \sim 1$) between the nanorods. It is the average contribution of high-$k$ and low-$k$ components that generates the effective dielectric constant ($k \sim 8$) observed for the dielectric films.
No significant changes are observed in the dielectric constant values between ‘as-spun’ devices and the photo-crosslinked ones using the titanium dioxide nanorods 4d. Hence, the photochemical crosslinking process, used to render the dielectric layer insoluble, does not change the value of the dielectric constant, which for materials 1 and 4 is ca. three times higher than that of poly-methylmethacrylate (PMMA) a typical and widely used organic dielectric material with applications also in electron beam lithography, see dashed curve in Fig. 14.
The leakage current density was relatively high at $2 \times 10^{-7}$ A cm$^{-2}$ @ 2 V and $2 \times 10^{-6}$ A cm$^{-2}$ @ 4 V. Hence, the dielectric breakdown would occur at 5 V for a crossbar device with 200 nm thick high-$k$ film and electrode area of $10^{-4}$ cm$^2$. However, a thickness of 200 nm was considered to be insulating enough to allow a reliable characterization of the dielectric properties of these films.
**Table 3** Thickness of a crosslinked film of the mixed ligand-stabilized, titanium dioxide nanorods 4d before – and after – rinsing in solvent (chlorobenzene)
| Sample | Film thickness before washing (nm) | Film thickness after washing (nm) |
|--------|-----------------------------------|----------------------------------|
| 4d | 55 ± 5 | 54 ± 4 |
**Fig. 13** AFM topography of a sample of the mixed ligand-stabilized, TiO$_2$ nanorods 4d deposited on a flat KBr substrate showing an area of $1 \mu m \times 1 \mu m$.
**Fig. 14** Dielectric constant spectra for oleic acid-stabilized TiO$_2$ nanorods 1 (black), the mixed ligand-stabilized, TiO$_2$ nanorods 4a (red) and 4d before (green) and after (blue) being photocrosslinked. The dashed curve shows the dielectric constant of MIM devices fabricated using PMMA with molecular weight of 100k.
Conclusions
Two new photoreactive phosphonate ligands 3a and 3b were synthesized by means of a Michaelis–Arbuzov rearrangement and used in ligand exchange reactions with the oleic acid-stabilized titanium dioxide nanorods 1 to produce the hybrid inorganic/organic nanorods 4a–f. An optimized ligand exchange reaction at 100 °C does not change the phase and size of the titanium dioxide nanorods, with a high aspect ratio (5–8), in the resultant hybrid inorganic/organic nanorods 4a–f. The ligand exchange rate (LER) depends on the chemical structure of the organophosphorus ligands, i.e., the phosphonate 3a with a shorter alkyl chain has a higher LER. The hybrid organic/inorganic nanorods with an LER lower than 42% can be readily dissolved in chlorobenzene at high concentration to produce lyotropic nematic liquid crystals. Solution-processed and self-organized, uniform thin films of the nanorods 4a–f, with their long axis in the plane of the substrate due to the liquid crystalline nature of the solutions as they dry on the surface, exhibit a relatively high dielectric constant, suitable for use as the dielectric layer for organic field effect transistors, e.g., with low switching voltage, and one that is three times higher than that of PMMA. UV-photo-dimerization and crosslinking of these hybrid organic/inorganic nanorod dielectric layers renders them insoluble, with no change in the dielectric constant, to facilitate the formation of multilayer plastic electronic devices using wet-chemistry techniques. These new dielectric layers show resistive memory switching, which would facilitate the vertical integration of non-volatile memory devices. The relatively high leakage current, due to the low-energy conduction band, of these layers will be addressed in further work in improved prototype devices.
Conflicts of interest
There are no conflicts to declare.
Acknowledgements
The research leading to these results has received funding from the EPSRC under the Grant Agreement Number EP/J001597/1. Mrs A Lowry, Mrs C Kennedy and Dr R Knight are thanked for providing TEM, CHN and ICP analyses, respectively. Professor S. K. Haywood and Dr S. I. Rybenko are thanked for providing access to the Bruker FTIR spectrometer for thin film transmission measurements.
Notes and references
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Responses to dietary supplementation with field bean (*Vicia faba* var. minor) in production indices, mohair growth and hormonal parameters in transition Angora goats
Luca Todini, Hugh Galbraith, Alessandro Malfatti, Gabriele Acuti, Olimpia Barbato, Marco Antonini, Daniela Beghelli & Massimo Trabalza-Marinucci
To cite this article: Luca Todini, Hugh Galbraith, Alessandro Malfatti, Gabriele Acuti, Olimpia Barbato, Marco Antonini, Daniela Beghelli & Massimo Trabalza-Marinucci (2022) Responses to dietary supplementation with field bean (*Vicia faba* var. minor) in production indices, mohair growth and hormonal parameters in transition Angora goats, Italian Journal of Animal Science, 21:1, 1315-1325, DOI: 10.1080/1828051X.2022.2109520
To link to this article: https://doi.org/10.1080/1828051X.2022.2109520
© 2022 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group.
Published online: 11 Aug 2022.
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Responses to dietary supplementation with field bean (*Vicia faba* var. *minor*) in production indices, mohair growth and hormonal parameters in transition Angora goats
Luca Todini\(^{a}\), Hugh Galbraith\(^{b}\), Alessandro Malfatti\(^{a}\), Gabriele Acuti\(^{c}\), Olimpia Barbato\(^{c}\), Marco Antonini\(^{d}\), Daniela Beghelli\(^{e}\) and Massimo Trabalza-Marinucci\(^{f}\)
\(^{a}\)Scuola di Bioscienze e Medicina Veterinaria, Università di Camerino, Camerino, Italy; \(^{b}\)The School of Biological Sciences, University of Aberdeen, Aberdeen, UK; \(^{c}\)Dipartimento di Medicina Veterinaria, Università di Perugia, Perugia, Italy; \(^{d}\)ENEA Dipartimento Sostenibilità dei Sistemi Produttivi e Territoriali, Lab. Bioprodotti e Bioprocessi, Ufficio/Laboratorio Camerino, Camerino, Italy
**ABSTRACT**
Twenty-two pluriparous single-fœtus-bearing Angora goats, housed 3 weeks pre-partum in mid-December, and in transition from pregnancy to lactation were used to test the efficacy of post-partum supplementation (Group S: 11 goats) or not (Group C: 11 goats) with 300 g/head/day of whole field bean seeds (WFBS) to a diet based on mixed hay ad libitum and natural pasture. The goats were maintained with the suckling of their kids for 90 days. Significant decreases in liveweight (LW) and body condition score (BCS) were documented post-parturition in both groups and over these 90 days, through which these suggest a mobilisation in body tissue that was not mitigated by WFBS supplementation. However, the faster growth of the suckled kids and greater elongation of mohair fibre recorded (Group S > Group C), suggested improvement in partition towards production indices of lactation and hair fibre deposition, respectively. Greater concentrations of total thyroid hormones, T3 and T4 in supplemented does were recorded. Overall mean (pre-prandial) plasma insulin concentrations, not different between treatments, decreased ($p < 0.5$) from pre-partum concentration, and showed a pattern in time, similar to that of LW and BCS. Insulin appeared not to contribute to the suggested lactational and hair growth effects and possibly contributed to transition by a homeorhetic-type reduction in concentration post-partum. Mean plasma insulin-like growth factor-I (IGF-I) concentrations trended lower due to supplementation from 3 weeks after kidding. It is concluded that WFBS supplementation was efficacious in improving production indices in the transition Angora goats. The feeding of different quantities of WFBS should be investigated.
**HIGHLIGHTS**
- Supplementation of transition Angora goats with field bean did not affect the loss of body weight or body condition score occurring after kidding.
- Supplementation with field bean induced higher concentrations of blood thyroid hormones, without affecting post-partum reductions in insulin.
- Supplemented dams had a greater mohair elongation rate and their kids grew more, by likely preferential partition to hair growth and lactation, rather than other body tissues.
**Introduction**
Inadequate nutrition has been implicated in the poor performance of Angora goat flocks worldwide with feeding allowances poorly defined (McGregor 2021). Nutritional support for transition from pregnancy, parturition and lactation is of particular importance for adult breeding does and for the development of practical systems of husbandry in local environments.
As a guide to lactation potential, daily milk yields peaked at 6 weeks, with an average production of 415–533 g/day under rangeland conditions (Alizadehasl and Ünal 2021). McGregor (2018) reported 45-day yields averaging 1.49 kg/day. The growth of suckling kids was reported by the current authors (Acuti et al. 2009) as an indirect measure of lactational response by dams to supply nutrients.
**CONTACT** Luca Todini email@example.com
© 2022 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group. This is an Open Access article distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/by/4.0/), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.
Angora goats have been selected principally for essentially continuous growth of the speciality fibre mohair by hair follicles in the skin. There is a particular demand for sulphur-containing amino acids as components of keratins and associated proteins in hair (Galbraith 2000). These cause imbalances which may exacerbate deficiencies in amino acid supply to other tissues. Preferential partition of nutrients towards fibre production has been described even under conditions of nutritional deficit and when secreting milk to contribute to meeting nutritional demands of kids post-partum (Reis and Sahlu 1994).
Dietary energy supplements generally improve live-weight (LW), mohair fibre growth and fibre diameter (McGregor 1998, 2017) and McGregor and Howse (2018). Supplementation with rumen undegradable protein or intestinally-available sulphur-containing amino acids (Shahjalal et al. 1992; Galbraith 1995, 2000) increased yield associated with greater diameter and length of mohair fibres. (Positive responses may be expected where limitations due to individual nutrients are overcome by appropriate additional nutritional supply.
There is particular interest in the use of the nitrogen-fixing legume and field beans (*Vicia faba*) which provide an ecologically and climatically suitable crop in several European countries. O’Kiely et al. (2022) have highlighted particularly the high-quality concentration (e.g. per kg DM and compared with barley grain) of both metabolisable energy (13.4 vs 12.3 MJ) and readily available crude protein (302 vs 116g). Sauvant et al. (2004) provided data on intestinal protein digestion and supply.
Field beans were the choice of supplement for does and kids described in the earlier report (Acuti et al. 2009). Supplementation after parturition produced greater LWs and improved body condition scores (BCSs) of Angora kids and at weaning at 90 days, for secondary hair follicle activity and mohair staple length, and for diameter at 155 days of age. The impact on does, not yet reported, is needed to advise practical guidance for breeders farming Angora goats under European conditions.
The quantification of internal signalling factors (McElwee and Hoffmann 2000; Galbraith 2010) which regulate development and physiological activity and contribute to the partition of absorbed nutrients and in deficiency, mobilisation of body tissues is also required. Such internal signalling factors may be short term ‘acute’ affecting homeostasis or longer term ‘chronic’ and homeoerhetic in nature (Bell and Bauman 1997). Examples include the hormones secreted by the thyroid gland as hormonal components of the hypothalamic-pituitary axis, 3’-5’-triodothyronine (T3), converted from less active thyroxine (T4) precursor and subsequently inactivated by monodeiodinase enzymes (Rhind and Kyle 2004). Thyroid hormones influence basal metabolism, somatic growth, milk, hair fibre production, biological rhythmicity and the homeoerhetic changes during associated physiological transition stages, for example, pregnancy, parturition and lactation (Todini 2007; Todini, Malfatti, et al. 2007; Mancino et al. 2021) foetal hair follicle development and post-natal fibre production (Hopkins and Thorburn 1972; Kenyon et al. 2005). In the data associated with this report (Acuti et al. 2009), significantly greater concentrations of total plasma T4 and T3 were observed in suckling Angora kids with access to lactating dams supplemented with whole field bean seeds WFBS when compared with those unsupplemented. At weaning, T4 values were also negatively correlated \((p < 0.05)\) with the secondary fibre diameter, and the T3/T4 ratio was positively correlated \((p < 0.05)\) with the secondary to primary hair follicle ratio. Both T3 and T3/T4 values were positively correlated \((p < 0.01)\) with staple length at 155 days of age.
Similarly, pancreatic insulin (INS) has a role in the control of nutrient partitioning and metabolic homeostasis in animals (Petersen and Shulman 2018). It binds to receptors on plasma membranes of cells in specific tissues and via signal transduction pathways typically promotes activities such as transporter-mediated glucose transport, glycogen synthesis, lipogenic gene expression and lipogenesis, and suppresses gluconeogenic gene expression and lipolysis. It has a role in the transition of the dairy cow, which typically undergoes rapid changes in nutritional demands for lactation following parturition, particularly where food intake capacity is inadequate, resulting in a change from anabolic to a catabolic state (Bell and Bauman 1997; Kinoshita et al. 2016). In lactating dairy goats, plasma INS levels have been shown to correlate positively with energy intake (Todini, Trabalza-Marinucci, et al. 2007).
While insulin has been ascribed a role as an endocrine peptide hormone, in regulating metabolic fluxes, insulin-like growth factors (IGF-1 and IGF-2) produced by the liver and other tissues, stimulate proliferation and differentiation in a range of cell types (Su et al. 1999; Petersen and Shulman 2018). IGF-1 functions as an important mediator in somatotrophin (ST)-stimulated somatic growth as well as in ST-independent anabolic responses. A role for IGF-1 has been described in the ontogenic development and functional biology of
hair follicles and growth of hair by a systemic endocrine-type effect with paracrine action from the local secretion in the dermal papilla (Galbraith 2010). Binding proteins such as IGF binding protein-3 by bovine mammary epithelial cells modulate the availability of IGFs for interaction with receptors on surfaces of cells (Cohick 1998). Exogenous ST mediated by circulating IGF-1 is well recognised to stimulate milk production in dairy cows (e.g. Collier and Bauman 2014), similar to that suggested to occur in lactating dairy goats (Faulkner and Martin 1999) with the additional possibility of paracrine synthesis in mammary tissue (Nielsen et al. 1990; Prosser et al. 1991).
Maintaining appropriate health and welfare is an aim of good nutritional and husbandry practice in successful Angora goat breeding systems involving interdependence of does and kids. The current study tested the hypothesis that supplementation of diets of Angora does with WFBs during the transition from pregnancy to lactation produced efficacious alterations in production indices, which were mediated by changes in certain signalling molecules. Focus is given to body characteristics, mohair fibre growth, and in blood, THs, insulin and IGF-1. It adds to earlier information describing detailed responses of their kids (Acuti et al. 2009).
**Materials and methods**
**Animals and diet**
Reference is made to a full description provided by Acuti et al. (2009). Briefly for details, and where methodology differed, the study was carried out in a marginal hilly area of Umbria, Central Italy. 22 oestrus-synchronised and naturally-mated pregnant single foetus-bearing Angora goats, aged 2–5 years with a mean initial LW of 39.5 ± 7.1 kg, were studied. They were housed indoors in mid-December, 3 weeks before expected parturition and were group-fed a basal pregnancy diet of mixed hay *ad libitum*, a mineral-vitamin supplement and shared natural pasture containing leguminous and grass species, on the daily turnout for at least 7 h (Table 1). Following normal pregnancies and after kidding on 7 January ±2 days, the does were allocated into two experimental groups by randomised blocks based on number, age, parity, LW and BCS. They were maintained with natural suckling until their kids attained 90 days of age (4 April). The groups were housed separately and continued to receive the above pregnancy diet either without further supplementation (Control group, C) or with supplementation (Group S) with 300 g/head/day *V. faba* var. minor (WFBs), available during daily housing. The amount of supplementation has been defined following guidance to supplementation of female breeding goats under rangeland conditions (300–500 g) by Santucci et al. (1991). The animals had free access to water.
The hand-plucking technique (Wallis de Vries 1995) was used to collect representative samples of the grass pasture consumed by animals. Dietary intakes of hay and, post-kidding, WFBs were measured daily throughout the study. In the absence of direct measures of herbage intake, estimates were made using recognised methodology for Angora goats (Luo, Goestch, Nshahai, Moore, et al. 2004; Luo, Goestch, Nshahai, Sahlu, et al. 2004; American Institute for Goat Research 2020) and confirmed for compliance against calculations of Avondo et al. (2007, 2008) which take into account lactation under Mediterranean conditions and concentration of protein in the dietary concentrate. Samples of all feeds were collected every 15 d to measure nutritive value and chemical composition (Association of Official Analytical Chemists 2000) and metabolisable energy (Demarquilly 1981; Table 1). The basal pregnancy diet was designed to meet or to exceed, depending on the stage of growth of pasture, crude protein and metabolisable energy (ME) requirements of lactating Angora goats producing 1 kg milk/day (National Research Council 1981; Luo, Goestch, Nshahai, Sahlu, et al. 2004; Sahlu et al. 2004; McGregor 2018).
**Liveweight, body condition score and hair fibre**
Values for goats for LW were recorded monthly and at the same dates, for BCS by 4 trained operators, using
| Item | Whole field bean | Pasture, Jan–Feb | Pasture, Mar–Apr | Prairie hay |
|-------------------------------------------|------------------|------------------|------------------|-------------|
| Dry matter, g/kg, as fed-basis | 810 | 347.70 | 206.80 | 040.30 |
| Crude protein | 232.40 | 22.80 | 200.80 | 62.60 |
| Neutral detergent fibre | 188.70 | 318.50 | 386.40 | 621.60 |
| Acid detergent fibre | 89.10 | 158.90 | 161.80 | 386 |
| Acid detergent lignin | 13.70 | 20.70 | 28.50 | 54.70 |
| Calcium | 1.11 | 5.52 | 6.01 | 5.75 |
| Phosphorus | 5.21 | 2.94 | 5.43 | 4.01 |
| Metabolisable energy, MJ/kg dry matter | 13.86 | 14.21 | 13.18 | 7.16 |
a 1–5 scale, based on the general aspect of the animal and palpation of the sternum and lumbar vertebrae as described by Santucci et al. (1991). For Score 1, ‘sternal fat can be seized with the fingers’ and lumbar vertebrae ‘with the whole hand’. For Score 5 the ‘sternal fat cannot be identified. It cannot be seized’ and for the lumbar region, the ‘thickness of the tissue mass is so large … that reference marks are list’. The kids were weighed at birth and at 5, 10, 15, 20, 30, 40, 55, 70 and 90 days of age.
Mohair fibre samples were collected from a marked (5 × 5 cm) patch on the mid side of the body, within 1 week after parturition, mid-February, and mid-March.
Thirty randomly selected individual fibres were straightened and measured to the nearest 1 mm of length, using a plastic ruler. Diameter values were determined by an optical fibre diameter analyser (OFDA 100, BSC Electronics Pty Ltd., Western Australia, Australia) on at least 4000 fibres in samples collected in January and March.
Kemp and other large diameter medullated fibres were allocated to a separate category that contained diameter values in excess of 40 μm.
**Blood sampling and assays**
Blood samples (pre-prandial) were collected from does at 9.00 am by jugular venepuncture, at 2 weekly intervals, from 3 weeks prior to kidding (18 December) to 12 weeks post-kidding (4 April). Samples were collected into 10 mL sodium ethylenediaminetetraacetic acid (EDTA)-containing Vacutainer® tubes, centrifuged at 2500 g for 15 min to separate plasma, for aliquoting and storage at −20 °C until assayed, within a few weeks after the completion of samplings. All the hormone concentrations were determined as the average of duplicate determinants. Hormonal assays were validated for precision, accuracy and linearity as described in detail by Acuti et al. (2009). Assays using commercial enzyme immunoassay kits were performed using the automated processor Brio 2 reader (Seac, Firenze, Italy). Absorbance was measured at 450 nm wavelength. For TH, microplates were read also at 405 nm wavelengths, to better fit the calculation of sample concentrations within the first two lowest calibrators. Total concentrations of T3 and T4 in plasma were assayed using kits for use in humans (T3KT1EW and T4KT2EW; Radim, Rome, Italy). Plasma INS was determined using the sheep insulin enzyme-linked immunosorbent assay (ELISA) kit (EIA-2339; DRG Diagnostics, Marburg, Germany). Plasma total IGF-1 concentrations were determined by the IGF-1 ELISA kit (EIA-4140, DRG Diagnostics, Marburg, Germany). Intra- and inter-assay coefficients of variation (CVs, %) were, for T3, 2.5 and 3.1; for T4, 3.8 and 4.1; for INS, 3.6 and 5.6 and for IGF-1, 6.3 and 11.1, respectively. The assay sensitivities (detection limits), as declared by manufacturers, were: 0.16, 4.5, 0.025 and 1.29 ng/mL, for T3, T4, INS and IGF-1, respectively.
**Statistical analysis**
Statistical analysis was performed using the IBM SPSS Statistics for Windows, Version 25.0 software package (IBM 2017). Normality of distribution and homogeneity of variance of data were examined by Shapiro–Wilk and Levene’s tests, respectively. Log transformations were applied where necessary to satisfy requirements for a constant variance. A mixed model with repeated measures considering diet (S and C) and time (sampling date) as fixed factors were used for all measured parameters. The goat was considered a random factor. Interaction between the two factors (diet × time) was included in the model when found to be significant in the ANOVA. Values recorded at the beginning of the study were included as a covariate in the LW and BCS models, as was LW at birth in the model for the growth of kids. Models used for the analysis of mohair fibre included values measured at first sampling, as covariates. Pairwise comparisons, post-hoc, utilised Tukey’s HSD (honestly significant difference) test. Correlations were estimated by means of Pearson’s correlation coefficient (Sokal and Rohlf 1995). Significance was at $p < 0.05$, unless otherwise stated. Tendencies were recognised when $0.05 < p \leq 0.10$.
**Results**
The composition of the feeds is reported in Table 1. Dietary intakes of hay by does were not affected by the WFBS supplementation for Group S and averaged (daily dry matter ± SD) 750 ± 65 g in both groups C and S. Also, the amount of WFBS concentrate (246 g dry matter) offered to the S goats was always entirely consumed.
Estimates for daily intake of pasture herbage (dry matter) were 810 and 1016 g (C group) and 736 and 942 g (S group) for the periods January–February and March–April, respectively. The impact of consuming the WFBS concentrate was to reduce estimated dry matter intake of pasture by 74 g in both time periods for Group S compared with Group C. Based on the above estimations, values for daily ME intake, were 16.9 and 18.7 MJ for C group does and 19.0 and
21.0 MJ for does in Group S, and for daily ingested crude protein 226.6 and 352.6 g (C group) and 272.2 and 392.3 g (S group) for the same periods, respectively.
Significant decreases ($p < 0.05$ or $p < 0.01$) for LW and BCS between values before, and after, kidding were recorded for does in both groups (Figure 1(a,b)). Subsequent differences in time were not significant. Similarly, there were no effects ($p > 0.05$) due to field bean supplementation between groups C and S at all time points.
Mean LW of kids (Figure 2(a)) was affected by time and diet ($p < 0.001$), being higher in kids of supplemented does ($p < 0.05$), at subsequent time points from 15 days of age for daily LW gain up to weaning (Figure 2(a)).
Mohair fibre length, but not diameter, was greater in samples from the S group (4.86 cm) than those obtained from the C group (3.74 cm) after 2 months of the study (Table 2). Similarly, the percentage of kemp fibres did not differ between treatments. (5.1% vs 5.3% in samples from C and S group does, respectively).
Mean total concentrations in plasma of both THs were affected by dietary supplementation and were greater for S compared with C groups. Overall mean ($\pm$ SEM) concentrations for T3 were 1.81 $\pm$ 0.12 and 2.74 $\pm$ 0.23 ng/mL and for C and S groups, respectively ($p = 0.02$) (Figure 3(a)). Mean ($\pm$SEM) concentrations of T4 were 115.2 $\pm$ 5 and 92.3 $\pm$ 2.2 ng/mL for S and C groups, respectively ($p < 0.01$) (Figure 3(b)). No statistical effect by time, nor diet $\times$ time interaction was observed. Concentrations of plasma T3 and T4 were strongly correlated ($r = 0.75; p < 0.001$).
The overall mean ($\pm$SEM) for plasma concentration of INS (Figure 3(c)) was 0.08 $\pm$ 0.01 ng/mL. No significant differences between dietary treatments nor interaction between dietary treatment and time were found. In the C group, INS concentrations were lower ($p < 0.05$) in samples collected after kidding than in the last week of pregnancy. Plasma INS values were moderately correlated with BCS ($r = 0.5; p < 0.05$).
**Figure 1.** Liveweight (LW) (a) and body condition score (BCS) (b) (mean$\pm$ SEM) in lactating Angora goats supplemented (S, $n = 11$) or not (C, $n = 11$) with 300 g/head/day of whole field bean. Different letters indicate significant differences by time. Lowercase letters = $p < 0.05$; capital letters = $p < 0.01$.
**Figure 2.** Liveweight (LW) (a) and daily weight gain (DWG) (b) (mean$\pm$ SEM) in suckling Angora kids. Diet of the respective dams from kidding was supplemented (S, $n = 11$) or not (C, $n = 11$) with 300 g/head/day of whole field bean. *Significant differences ($p < 0.05$) between groups. Overall daily weight gain means are significantly different ($p < 0.05$) between groups.
Table 2. Fibre length and diameter (mean ± SEM) in lactating Angora goats supplemented (S, n = 11) or not (C, n = 11) with 300 g/head/day of whole field bean.
| Item | Mid-February, 4 weeks after kidding | Mid-March, 8 weeks after kidding |
|-----------------------|-------------------------------------|----------------------------------|
| Fibre diameter, µm | | |
| Group S | 28.96 ± 2.89 | |
| Group C | 28.76 ± 1.68 | |
| Length, cm | | |
| Group S | 1.97 ± 0.05 | 4.87 ± 0.04 A |
| Group C | 1.85 ± 0.06 | 3.74 ± 0.06 B |
Note. Period of fleece growth from parturition until 4 or 8 weeks after kidding. Where the pre-experimental covariate for the same physical property is significant, the values shown are adjusted for that covariate. Different letters within columns = p < 0.001.
For total plasma IGF-1 concentrations (Figure 3(d)), variations and overlap in mean values from −3 to +3 weeks of lactation in both groups, which then diverged, were particularly evident. Values of the supplemented group were consistently lower than for the unsupplemented group at the remaining time points from +3 up to +12 weeks. Overall mean values (±SEM) were 299 ± 59 ng/mL and 246 ± 43 ng/mL for groups C and S, respectively. However, statistical significance due to dietary treatment was not achieved (p > 0.05) when tested by conventional ANOVA with repeat measures, although significance (p < 0.05) was attained by alternative, paired t-test methodology on the values from +3 to +12 post kidding.
Discussion
A challenge in diversifying animal agriculture is the development of successful husbandry and breeding practices for non-traditional species in local environments. The present study investigated the effectiveness of a forage-based diet to supplement with the nitrogen-fixing legume WFBS, on Angora does and their kids in a controlled on-farm environment. The results complement those of a detailed earlier report describing selected responses exclusively in kids (Acuti et al. 2009).
The composition of the feeds (Table 1) was consistent with expected values from previous analyses (Sauvant et al. 2004). The quantities of components of the diets calculated as being consumed, met or exceeded published requirements, for pregnancy and lactation (American Institute for Goat Research 2020) and were well accepted by the goats. These included fibrous prairie hay averaging 760 g/day DMI which was not affected by the inclusion of the WFBS supplement of 246 g/day DMI. Changes in the composition of the grazed herbage gave rise to estimates for the greater intakes of pasture DM, total DM, crude protein and ME in both groups of does in comparing January–February and March–April sample collections. Similarly, in comparisons within the individual time periods, the estimated DMI of grazed herbage was reduced by an estimated 74 g for Group S compared...
with Group C, due to the inclusion of WFBS. The nutritional impact of WFBS included improvement in intakes of ME (11.2%) and CP (20%) during January and February and 12% and 11%, respectively for March and April for Group S, compared with does in Group C. These dietary inputs contributed to the differences in production and physiological parameters observed in does and in the consistent greater growth of kids, from 15 days post-partum, responding to milk output by the does as their major sources of nutrition (Figure 2). Additional information on the response of kids is presented by Acuti et al. (2009).
As expected, removal at the birth of both kid and reproductive tissues from the body of does give rise to reductions in LW measured at week 3 compared with 1 week before parturition and which were not reduced further. Similar reductions in BCS in both groups were also observed which may relate to the mobilisation of body tissues to support lactation such as observed by Santucci et al. (1991) in breeding goats under extensive conditions. These authors also report a similar reduction in BCS at kidding although with a more evident recovery in spring. The lack of difference for LW and BCS between the groups of does, suggests that the improved nutrition provided by WFBS did not produce a benefit in production in addition to that observed in support of the growth of kids and in mohair yield.
In the present study, greater values \((p < 0.05)\) in the length of mohair, but not diameter, for Group S compared with Group C, were evident in samples collected at 8 weeks after parturition, suggesting a positive response to supplementation and preferential partitioning to hair follicle synthesis. Interestingly, a marked trend towards greater growth of fibre was evident in the mid-March compared with mid-February sampling, in both groups perhaps reflecting improved nutritional intakes in both groups. In contrast, a change in the partition of consumed nutrients towards LW and body deposition was not apparent.
Conclusions for practical husbandry, of supplementation with WFBS in the present study, suggest benefits in support of growth of kids, via lactation response, and mohair production by breeding does, with possible additional benefit from seasonal improvements in quality of grazed herbage. The response to the higher energy and protein concentration in the diet in early lactation is consistent with the reports of preferential partitioning of nutrients towards the mammary gland and increased milk production although with lesser effect on mohair fibre production (Thornton 1987; Sahlu et al. 1999).
In contrast, in non-lactating animals such as castrate male Angora goats (Galbraith 2000), positive responses were demonstrated to supply good quality protein supplements or intestinally available methionine, but not energy, in yield and diameter of mohair fibre. Both dietary protein and energy supplements increased LW gain, food conversion efficiency, and partitioning of nutrients into body and carcass weights. Similar observations have been made in a range of reports (e.g. Sahlu et al. 1992; Shahjalal et al. 1992; McGregor 1998). Additional considerations relating metabolic adaptations to nutrition and lactation for goats include genotype (e.g. dairy vs fibre-producing: mohair vs cashmere-bearing), physiological state (pre-partum and post-partum conditions) and photoperiod (Russo et al. 2013). However, it is recognised that energy and protein requirements for milk production remain poorly studied and, in review, McGregor (2018) concluded that proposed energy requirements, and potential milk yield by lactating Angora goats, should be revised upwards.
In considering physiological mechanisms and internal chemical signalling, the greater concentrations of both total T3 and T4 in blood plasma of lactating dams in the present study (Group S > Group C) are of interest. Similar results were previously reported (Acuti et al. 2009) in the kids of the study in which those supplemented from weaning with 80 g/head/day of WFBS had greater concentration of the THs than those unsupplemented. Elevated plasma thyroid hormone concentrations have been implicated in the positive responses to supplementary maize grain during pregnancy in dairy goats (Todini, Malfatti, et al. 2007). Khan and Ludri (2002) observed greater concentration in blood of T3 and T4, during the periparturient period, in single-fœtus vs twin-bearing cross-breed does. Such data indicate a positive relationship between nutrient sufficiency for does in pregnancy and lactation and concentrations of thyroid hormones in the blood. The context includes interactions with the free form at the cellular level with the main effects produced by T3 (Rhind and Kyle 2004). In a study in 5-month-old wether and doeling Angora goats, exogenous daily T4 administration was shown to stimulate mohair growth rate while decreasing fibre diameter (Puchala et al. 2001).
Considering insulin, the results from the present study indicated an increase in blood concentration (9h samples) between weeks 3 and 1 pre-partum and a significant decrease by week 1 post-partum. The lower concentrations were similar in both groups and were maintained thereafter although a trend for the
increase was apparent by weeks 10–12 particularly in Group S possibly in a late response to the nutritional supplementation. A similar pattern was reported by Ghavipanjie et al. (2021), in untreated transition dairy goats in a study to investigate treatment with the alkaloid, berberine. The changes in ‘chronic’ concentration of insulin in such studies, suggest a role in the longer-term homeorhetic events occurring in the transition from pregnancy to lactation and affecting tissues and organs in the body. The results of lowered concentrations in early lactation are consistent with other reports for other ruminants (e.g. Faulkner and Martin 1999) in which insulin contributes a general anabolic influence during pregnancy. Hence, where chronic INS secretion decreases along with reduced responsiveness (insulin resistance) of non-mammary tissues, this allows mobilisation of catabolic processes, such as lipolysis, to increase the supply of fatty acids, glucose and amino acids to the mammary gland during lactation (Bell 1995; Bell and Bauman 1997). While the capacity for glucose uptake in the mammary gland is increased, this appears to be facilitated by the expression of the non-insulin-dependent GLUT1 transporter and not the insulin-responsive GLUT4 glucose transporter (Komatsu et al. 2005). The reduction in BCS evident from 1 week before, to 1 week after, parturition and remaining relatively unchanged for subsequent weeks in the present study is consistent with such mobilisation, particularly of adipose tissues. Ghavipanjie et al. (2021) report a similar reduction in BCS post-partum in transition dairy goats concomitant with elevated concentrations in blood non-esterified fatty acids.
A general increase in plasma INS concentration has been described (Brockman and Laarveld 1986) in homeorhetic-type response to improved nutrient intake as reductions in competing physiology states occur such as in later phases of lactation (Sibbald and Rhind 1997; Archer et al. 2002). Insulin may also act homeostatically, to reduce glucose concentrations short-term in blood and to stimulate metabolism towards lipogenesis and deposition in adipose tissue. The results may be seen more generally in the context of other studies in ruminant animals in which insulin concentrations responded positively to dietary energy intake (e.g. dairy-breed goats: Magistrelli et al. 2005; Todini, Trabalza-Marinucci, et al. 2007; Celi et al. 2008), and protein (e.g. lactating dairy cows: Blauwiekel and Kincaid 1986; Wheeler et al. 1995).
Considering IGF-1, variable concentrations and overlap for both supplemented and unsupplemented groups were evident from −3 to +1 weeks of lactation with evidence for a reducing trend for the remaining +3 to +12 weeks of the study. This reducing trend was associated with consistently smaller mean values for the supplemented, compared with the control group at all time points of sampling and in which statistical significance by paired t-test, but not conventional ANOVA, was attained. The reductions towards parturition in overall profiles of plasma IGF-1 found in the present study have similarities with those reported by Dehnhard et al. (2000) in breeding goats and Gulay et al. (2004) in Holstein cows in which consistently low concentrations were described for the subsequent 4 weeks of lactation. An interpretation of the present results suggests that the dietary supplementation with WFBS did not increase plasma IGF-1 but may be more associated with reduced concentrations compared with unsupplemented controls. This result may be considered inconsistent with the positive correlations between IGF-1 and the level of nutrition reported in goats (Magistrelli et al. 2005) and sheep (Adams et al. 2000), and when related to Somatotropin (ST)-dependent and independent mechanisms (Breier and Gluckman 1991). Elevated concentrations of plasma ST are recognised to increase concentrations of IGF-1, typically from hepatic secretion. Secretion of IGF-1 is also known to become refractory to stimulation by increasing concentrations of ST under conditions of nutritional insufficiency in which reductions in IGF-1 concentrations may occur such as reported in male castrate sheep (Pittoff et al. 2006; Adams et al. 2000). In contrast, Taguchi et al. (2021), report lower values for IGF-1 in the blood of Japanese black heifer calves provided (per day) with 9 L of milk replacer when compared with those given a lesser nutritional input of 7 L/day. In other studies on Merino rams, fed supplements of different legume seeds, variations in hormonal secretions including IGF-1, have been attributed to more subtle differences in chemical constituents and not simply to the content of total energy and protein in the diet (Blache et al. 1996). Furthermore, in breeding ewes, Scaramuzzi et al. (2006), report that plasma IGF-1 concentrations in blood were not affected by nutritional ‘flushing’, which increased circulating concentrations of INS and leptin and decreased those for ST. The lack of any relationship between circulating IGF-1 and mohair growth supports previous findings in Angora goats treated with bovine ST which had elevated concentrations of both ST and IGF-1 (Davis et al. 1999). In ovine species, systemic endocrine actions of IGF-1 appear to be of limited importance for wool growth (Adams et al. 2000), while its fundamental role in supporting cellular function in
the hair follicle, is thought to be paracrine (Su et al. 1999). Interactions with IGFBPs may contribute by retaining IGFs at local sites of synthesis (Breier and Gluckman 1991) with sensitivities of tissues dependent on the presence of active receptors. In the present study, the contribution of similar or lower plasma concentrations of IGF-1, to the response of transition does to the dietary supplement (increased LW gain of kids from apparent increases in milk production, increased hair fibre growth) while maintaining LW and BCS similar to untreated controls, remains unclear.
Conclusions
In conclusion, although dietary supplementation with 300g/day WFBS and improvement in nutritional supply, had no effect \((p > 0.05)\) on LW and BCS reductions post-partum in transition Angora goats, increases were recorded in mohair fibre elongation and in the growth rate of kids. These results support the hypothesis that supplementation with WFBS was effective in improving these production indices under the farm conditions tested. Preferential partitioning of the supplementary nutrition appeared to occur towards the mammary gland and lactation, and integumental hair follicles respectively. Such effects were accompanied by significant increases in plasma thyroid hormone concentrations, while insulin concentrations between Groups C and S, were not significantly different. Insulin possibly contributed to transition after parturition by a homeorhetic-type reduction in concentration which was maintained essentially to the end of the study. Mean plasma insulin-like growth factor-1 concentrations trended lower during lactation due to supplementation.
Further studies could usefully investigate the feeding of greater quantities of WFBS to underpin practical advice on farms concerning nutrition/production relationships and nutrient partitioning in breeding goats.
Acknowledgements
The authors thank Dr. Gianni Berna and his staff at the Maridiana Farm for the care of the animals. Mr. Gianvincenzo Lebboroni is greatly acknowledged for assistance related to OFDA analyses.
Ethical approval
Predating the transposition of European Directive 2010/63/EU into Italian law (Legislative Decree 26/2014), the care and the handling of the animals were in accordance with the guidelines of Italian law on the protection of animals used for experimental and other scientific purposes, in force at that time (DL n.116/1992) and the principles of the Declaration of Helsinki, meeting the Animals in Research: Reporting In Vivo Experiments (ARRIVE) guidelines. The study was planned and performed according to the guidelines of the Animal Ethics Committee of the University of Camerino, Italy. All mandatory laboratory health and safety procedures were complied with during the conduct of the experimental work reported in this paper.
Disclosure statement
No potential conflict of interest was reported by the author(s).
Funding
This research was partially financially supported by grants from the University of Camerino (FAR UNICAM/LT).
ORCID
Luca Todini https://orcid.org/0000-0003-2820-6388
Alessandro Malfatti https://orcid.org/0000-0002-4792-2454
Gabriele Acuti https://orcid.org/0000-0003-4279-8164
Olimpia Barbato https://orcid.org/0000-0003-0838-4610
Marco Antonini https://orcid.org/0000-0002-2398-8993
Daniela Beghelli https://orcid.org/0000-0002-4915-7874
Massimo Trabalza-Marinucci https://orcid.org/0000-0001-9082-0106
Data availability statement
The data associated with this paper are available from the corresponding author [LT] upon reasonable request.
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Andrew Gillum shocks the political world and sets stage for three black U.S. governors
By Lauren Victoria Burke
MMPA Writer
Wildly outspent by a billionaire challenger and the daughter of a former Florida Governor, Tallahassee Mayor Andrew Gillum, 39, shocked the political establishment to win the gubernatorial primary in Florida August 28.
Gillum defeated former Congresswoman Gwen Graham 34-31 percent to win the Democratic nomination. He will now face pro-Trump Congressman Ron DeSantis in the general election November 6. Gillum’s victory caught many political observers by surprise.
The 39-year old Mayor was polling in fourth place less than a month ago. But recent polls showed an upward movement that put him in first place. Gillum and his supporters completed that upward movement by coming in first on election night.
Gillum’s victory sets up a historic opportunity for there to be three sitting African-American governors of the U.S. for the first time in history.
Former Georgia lawmaker Stacey Abrams is the Democratic nominee or governor of Georgia after a decisive July 24 primary victory. Abrams would be the first African-American woman to be a governor from any state, should she win.
Former NAACP President Ben Jealous is running for governor in Maryland against moderate incumbent Republican Larry Hogan. There are also four black candidates for it. governor running this year for the first time in history.
Gillum’s progressive victory was cemented in part by a late visit by Sen. Bernie Sanders in support of his candidacy. Though he did not win, the Independent Vermont U.S. senator who ran for president
Tallahassee Mayor Andrew Gillum, 39, shocked the political establishment to win the gubernatorial primary in Florida on August 28th
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Serving with a servant’s heart
Will Jemison appointed International Chief of Staff for Omega Psi Phi Fraternity
By Othor Cain
Editor
With absolutely no thoughts of taking on a leadership role in 2005, when he transferred his membership from Theta Sigma Chapter at Dillard University in New Orleans to the Beta Alpha Chapter of Omega Psi Phi in Jackson, Miss., Will Jemison was prepared to be financially active and simply support programs.
Those thoughts quickly vanished and his time of rest came to an immediate end when his work in New Orleans and service in Maryland and Washington on a state level for the organization at the time.
Marion recognized Jemison’s ability to “get things done,” and asked him to serve on various committees, including one where he (Jemison) lead the 7th District in an extraordinary outreach effort and reclaimed more than 3,000 inactive members. “This was the largest effort of reclaiming brothers in our history,” Jemison said.
Jemison has been an Omega since 2001. “I knew this was my path,” he said. “I remember as a kid being on the campus of Jackson State University with my brother-in-law Robert Woodsen, who became an Omega in 1981 and watching the camaraderie these guys shared and the impact of their work; I knew then that I wanted to be a part of this group,” he said. “When I got to Dillard, the Omegas were leading on the campus, they were the ones receiving most of the academic awards and leading several different efforts on campus…for me it was a no brainer.”
Jemison is excited about the next chapter for the organization. “I’ve been connected to David for a long time and I know he serves with a servant’s heart, so its easy to buy into his vision,” Jemison said.
He envisions the organization becoming more than a sleeping giant. “We do a lot, but only our organization really knows it,” he said. “I want to see us really engage more in the community and I want the Omegas to help all of the other members of the Divine 9 to do more.”
Jemison reflected on the history of the Divine 9. “I know we were all founded during segregation and at a time when we were dealing with other monumental civil rights issues,” he said. “But we are at a time where we are facing some of those same issues again and I want to see all of us become more than sleeping giants, become more engaged with the community, become more impactful together so we can do it.”
Marion tapped Jemison to serve as international chief of staff, a position he serves with a great amount of preparation and pride. “I’ve served as his
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Check with the voter registrar – Are you still on the rolls?
By Mark Hedin
TriStateWire.com
U.S. citizens across the country soon will vote on all 435 seats in the House of Representatives, for 35 U.S. senators and three dozen governorships. The House of Representatives and possibly the Senate are up for grabs.
Given the high stakes, voters would do well to check at least a month ahead of time with their local board of elections to see if they’re still registered to vote. This is especially true for people of color.
The reason is that millions could find their right to vote challenged or taken away under new laws that are trying to vote more than once, largely due to 26 states using the Interstate Voter Crosscheck system, which compares lists of voters in different states and challenges the registration of those whose names come up more than once.
For the 1,166,000 people in the country who share the surname Garcia, this could be a problem. Likewise for the Rodriguezes (1,091,241), Jacksons (708,099), Washingtons (177,386), Kims (262,352), Patsels (229,973), Lees (693,023) and Parks (106,696).
Crosscheck, developed in 2005 by Kansas Secretary of State Ron Thornburgh as a free service for participating states, promised to detect voter fraud by comparing people’s names, driver’s security numbers and birthdates. Arizona, Nebraska, Iowa and Missouri first implemented it in 2006.
During his tenure as Kansas’ secretary of state, current GOP gubernatorial candidate Kris Kobach expanded Crosscheck to 15 states by 2012 and 29 by 2014 and in 2017 was appointed to a leading role in the White House’s short-lived Presidential Advisory Commission on Election Integrity.
In an analysis of 98 million voting records Crosscheck analyzed, it deemed 7.2 million potential duplicates, although Crosscheck has yet to produce its first voter fraud conviction. Eight states that originally signed on have since dropped out, citing unavailability. Nonetheless, it’s still in use in dozens more.
Eight of those state have Senate seats up for a vote this year in contests that are expected to be close: Arizona, Nevada, Indiana, Missouri, West Virginia, Tennessee, Ohio and Michigan, and 19 Crosscheck-using states are voting on their governor for the next four years.
In a 2015 named “The Health of State Democracies,” the Center for American Progress, a nonprofit funded in part by the Gates Foundation, Wal-Mart, Ford Foundation and many others, concluded that the voters Crosscheck tagged for review are disproportionately non-white.
“States participating in the Interstate Crosscheck system risk purging legally registered voters with a significant oversampling from communities of color,” it said, citing the work of journalist Greg Palast, who’s been investigating the Crosscheck system since 2000, for the BBC, al-Jazeera America, Rolling Stone magazine and others and produced a film about it, “The Best Democracy Money Can Buy.”
Working with data analyst Mark Swedlund, Palast found that among states using Crosscheck, one in six Hispanics, one in seven Asian Americans and one in nine African Americans landed on its list of suspect voters.
“The outcome is discriminatory against minorities,” Swedlund says.
The chief explanation for the racial inequity is that ethnic communities are more likely to share a name, according to Washington Lee, Patel or Kim, Palast told Ethnic Media Services.
Swedlund and Palast found that the Crosscheck system seems satisfied that if two people share a common first and middle initial, Social Security numbers or suffixes such as “Jr.” and “Sr.” don’t keep registered voters off Crosscheck’s lists.
Not all 7 million people whose names appear on Crosscheck’s lists will be denied a vote, though. For one thing, only 36.4 percent of the people
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The National Heart, Lung, and Blood Institute of the National Institutes of Health has renewed its support of the Jackson Heart Study, expanding the program’s ability to make discoveries about cardiovascular health, translate these findings for the community and train the next generation of biomedical scientists.
The JHS is the largest long-term study of cardiovascular health in a defined group, or cohort, of African Americans. Since 1998, the JHS has studied more than 5,300 people from the Jackson metropolitan area. Investigators at the University of Mississippi Medical Center, Mississippi State University, Tougaloo College and the Mississippi State Department of Health received official notification of the six-year extension August 13.
“The funding is new but the JHS remains the same: to figure out what factors can cause and prevent heart disease in African Americans. [The partner institutions] will keep working together in the JHS. But the JHS goal can only be achieved if you continue participating,” said Dr. Adelio Correa, director of the JHS and UMMC professor of medicine in a letter to the cohort members.
According to the Centers for Disease Control and Prevention, heart disease is the leading cause of death for Americans. Among African Americans, nearly half of adults have some form of cardiovascular disease, and almost one in four dies of heart disease each year.
“With this new funding, we will do many of the same activities,” Correa said, such as conducting annual follow-up with participants about their health and hosting community events to share study findings.
The renewed funding, which will support the study until August 2024, also allows for several new components.
“We are delighted that there will be a new Jackson Heart Study Exam 4 during 2020-2022,” Correa said.
Like its predecessors, this exam will add to the extensive longitudinal data on cardiovascular disease risk factors, so-called “omics” and environmental factors, including studies and biological samples. Results from the JHS have been published in the Journal of the American Medical Association-Cardiology, Journal of the American Heart Association and Science Translational Medicine, among others.
At UMMC, the NHLBI funding supports the JHS coordinating and field centers, which conduct research studies and maintain contact with the JHS cohort.
This next JHS phase will also include a component on the relationship between heart health and brain health.
The JHS also gains a new Graduate Training and Education Center at UMMC for students interested in cardiovascular epidemiology and related biomedical research. Led by Dr. Bettina Beech, dean of the School of Population Health, it joins the existing centers for graduate students at JSU and high school and undergraduate students at Tougaloo.
The GTEC at UMMC will provide training in cardiovascular health from a population health perspective to graduate students enrolled in healthcare STEM-, medical science-related doctoral and health professional programs at Mississippi colleges and universities.
“Our program is designed to provide students with diverse hands-on experiences in cardiovascular epidemiology, cardiovascular health, minority health and health disparities to encourage them to pursue careers in biomedical science,” Beech said. “We have assembled a faculty of researchers who are committed to training the next generation of scientists and are senior faculty at the nation’s leading universities in health science including UCLA, Johns Hopkins, University of Texas-Southwestern and Vanderbilt University.”
“The Graduate Training and Education Center provides training in cardiovascular epidemiology that enhances the professional skills of graduate students that will allow them to contribute to the workforce in health sciences and public health,” said Dr. Michael Payton, director of the JSU graduate center.
“Also, this opportunity adds value to scholars’ practical experience in health research to prepare them for careers in biomedical sciences and professions that will greatly impact the Jackson Heart Study community,” said Payton, chair of the department of epidemiology and biostatistics at the School of Public Health at JSU.
Wendy White of Tougaloo College said that thanks to the support of the NHLBI, nearly 200 students have gone through the undergraduate training program, more than half of whom went on to pursue graduate and professional degrees in health-related sciences.
“The Jackson Heart Study is so important for the community and our students,” said White, principal investigator of the undergraduate center. “It’s profound what we have accomplished. To say that we have been going strong for nearly 20 years speaks to how [the NHLBI] holds us in high regard.”
This year, the Mississippi State Department of Health joins the JHS and will manage the new Community Engagement Center.
“We will promote cardiovascular health in the targeted communities surrounding the Jackson area. These include Madison, Rankin and Hinds Counties; however, we will extend our work statewide,” said Dr. Victor Sutton, director of the JHS community center and the Office of Preventive Health at MSDH. “Our team will educate community members, implement evidence-based activities to support optimal health. We look forward to sharing our work across all centers throughout the nation.”
Outside of the Jackson metropolitan area, the JHS maintains relationships with multiple universities serving as Vanguard Centers and makes its data accessible for ancillary studies.
NHLBI Jackson Heart Study project officer Cheryl Nelson wrote in a letter to participants, “Your involvement in the study over the past nearly 20 years has helped to advance our knowledge and direction of medical research in this critical area — and, we believe, is saving lives.”
The JHS is funded by the NHLBI and the National Institute on Minority Health and Health Disparities of the National Institutes of Health.
Servant
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assistant, chief of staff and in other roles for him,” Jemison said. “I’m ready and honored to do it.” As international chief of staff, Jemison will act as an advisor to the Grand Basileus, ensure his programs are executed, serve as a liaison to all alumni members and ensure they have what they need to succeed. “I’m almost like a connector in that position, while my job is to ensure our programs are implemented, I’m also here to make sure that everyone is successful,” he said. “I’ll also work directly with all of our corporate and government partners.”
Jemison shares the vision Marion has cast for the organization. “It is simply about service,” he said. “I knew this when I worked with him in other roles and that’s why it was easy to chair his election this year. Marion was elected the 41st Grand Basileus of Omega Psi Phi in New Orleans in July.
“Marion has already set the tone for his administration and for the fraternity at large. Since July 24, the organization has given $40K to HBCUs and has formed an HBCU initiative committee to support more HBCUs across the country.
During the inauguration of Quinton Ross, who serves as president of Alabama State University (ASU), Marion bestowed a gift of $10K to him from the fraternity. ASU joins the ranks of Jackson State University, Tougaloo and Rust Colleges as the first group of HBCUs to benefit from the newly formed alliance. The best is yet to come.
With more than 60,000 living members, Jemison is excited about the economic impact this organization will have on Mississippians. “This is historic, not only with the Omegas, but with all of the Divine 9, to have this much leadership in Jackson…in Mississippi, its a major opportunity to do some really good work,” he shared excitedly. “If we are to remain relevant, we must stay relevant. If we want to not lose focus,” Jemison said. “The community and all of these organizations must be connected…its about service.”
Vote
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Ohio was exceptional to vote even showed up at the polls in 2014. In one survey of elections between 1960 and 1995, the United States ranks dead last in the democracies of the world, with an average turnout of 48 percent.
Would-be voters whose names are missing from the lists of registered voters will be given what’s called a “provisional ballot” to be tallied if the name is ultimately found to have been wrongly left off the lists. Palast, however, skeptical that many provisional ballots are ever counted, refers to them as “placebo ballots.”
Voters eager to cast genuine ballots, then, might want to call their local Board of Elections well in advance of Nov. 6 to be sure that they’ll be allowed to vote.
In 2018’s highly charged political environment, individual votes may count more than ever. Take, for example, the recent special election for the vacant seat representing Ohio’s 12th Congressional District.
In that still undecided Aug. 7 race, 1,200 votes separate Republican Troy Balderson and Democrat Danny O’Connor at press time.
Ohio has removed almost 200,000 voters from the rolls because they appeared on the Crosscheck lists.
The margin of victory in the state’s 12th District race may ultimately be found among the 5,048 absentee ballots not yet tallied and the still uncounted 3,435 provisional ballots.
No matter which of the candidates is awarded Ohio’s 12th District Congressional seat based on the August election, voters will get another chance to decide between Balderson and O’Connor in November.
That’s why voters who want to have their voices heard Nov. 6, in Ohio and elsewhere, should call local officials ahead of time to see if any problems have come up with their registration.
Gillum
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In 2016, focused on bread and butter issues, many Americans identified with as he ran against Hillary Clinton. Sanders’ issue focus included income inequality, money in politics, corporate greed and raising the minimum wage.
Despite the Democratic Party’s support of the moderate blue dog style of former U.S. Representative Gwen Graham, voters had other ideas and a progressive shift has likely been spurred by Donald Trump’s policies.
Gillum, a graduate of Florida A&M University, is viewed as the continuation of a progressive surge and a shift away from the establishment also seen in the shocking victory of Alexandria Ocasio-Cortez over longtime Congressman Joe Crowley in a primary for his New York House seat. Though her victory is not necessarily a symptom of a widespread trend, it is a signal that a political wave is in the opposite direction of Donald Trump is coming soon in less than 70 days, November 6, 2018.
Lauren Victoria Burke is an independent journalist and writer for NNPA as well as a political analyst and communications strategist. She may be contacted at firstname.lastname@example.org and on twitter at @LVBurke
Clopton brings Digital Magic films to Medgar Evers Library
By James Hampton III Contributing Writer
On Saturday, September 1, a group of young people participating in the Digital Magic program of filmmaker and educator Wilma E. Mosley Clopton, Ph.D. screened their own short film presentations at the Medgar Evers Library located at 4215 Medgar Evers.
The first film titled “Being an Artist” by D’Anthony Thompson, was a personal glimpse into the filmmaker’s life as he addressed the audience directly and told his journey as an artist while promoting artistic virtues as self-discipline and learning from mistakes.
The second, “Music Saved Us,” by Frezale Smith was a documentary film that through words, imagery and sound conveyed the music of African-American music in the struggle and journey of African Americans throughout time. The film began examining and informing on spirituality to gospel music and then illuminated connections from there to blues, jazz, jazz-poetry and hip hop.
The third film screened was “Welcome to Phyllis DIY” by Phyllis Walton. The film was a journey creating how to guide with informative action shots and clear, lively instructions.
Digital Magic is an interactive hands-on program that introduces young Mississippi students to documentary filmmaking. It is led by Clopton, who is an esteemed Mississippi filmmaker. Through this program, students learn valuable techniques, terminology and research methods as they create a film and edit their own short video.
Other participants included Christopher Bell, voice over specialist and Emmanuel McDougal, editor/videographer.
Clopton said kudos to Anne Sanders, branch manager of the Medgar Evers Library and her staff for all they do in creating a safe, loving, creative environment for their constituents to learn and grow.”
The group of participants in the Digital Magic program will collaborate on a film for submission into a worldwide competition sponsored by Planet Forward at George Washington University.
The ACLU of Mississippi recently released a report with recommendations that could lead to a 50 percent reduction in Mississippi’s prison population.
The report is a part of the ACLU’s Smart Justice 50-State Blueprints project, a comprehensive, state-by-state analysis of factors that contribute to mass incarceration and includes reforms that if implemented would end our overreliance on incarceration.
The Blueprint includes an overview of Mississippi’s incarcerated populations, including analysis on who is being sent to jail and prison and the racial disparities that are present, what is wrong with the system, how long people spend behind bars and why people are imprisoned for so long.
Some of the key findings include:
• Mississippi’s prison population has grown nearly fivefold since 1980
• While black men make up 34 percent of the male population in Mississippi, they make up 65 percent of the prison population, which translates to 72 percent of black men in prison
• Drug offenses are the leading driver of this incarceration epidemic. For example, selling just 2 grams of most drugs carries up to 20 years in prison.
The majority of people in county jails — about 56 percent — have not yet been convicted of a crime and are awaiting trial.
“While recent reforms over the last few years has reduced Mississippi’s prison population, the state ranks third in the country in the number of people we lock up every day,” said Jennifer Riley Collins, ACLU of Mississippi executive director. “This addiction to prison is ruining families and communities while costing taxpayers about $324 million in corrections costs. To get better outcomes for the criminal justice system in Mississippi, we must take a different approach and divert resources toward education, infrastructure and economic stimulation.”
Some of the key reforms include:
• Urgent efforts should focus on bail reform, an evaluation of prosecutorial practices, sentencing reform for burglary offenses, and increasing access to alternatives for non-violent drug related offenses
• Policymakers should take state prison time off the table for low-level drug and property offenses and reduce them to misdemeanors.
“The Legislature should also take a comprehensive approach to reform the state’s extreme minimum and maximum sentencing laws as well as sentence enhancements for people with prior convictions.”
In the coming weeks, the ACLU of Mississippi will convene a briefing with the public, advocates, and policymakers to share the findings of the Blueprint and discuss strategies on how to move the criminal justice reform agenda further forward.
The Smart Justice 50-State Blueprints are the first-ever analysis of its kind and will serve as a tool for activists, advocates and policymakers to push for transformational change to the criminal justice system.
They are the result of a multi-year partnership between the ACLU, state affiliates, and the Urban Institute to develop actionable policy options for each state that capture the essence of local laws and sentencing practices.
“The shape of mass incarceration in Massachusetts or Ohio looks different than it does in Arizona or Mississippi. But the reality is where you are, the fact is there are too many people behind bars,” said Udi Ofer, director of the ACLU Campaign for Smart Justice.
“We hope that the Smart Justice 50-State Blueprints provide necessary groundwork for activists and policymakers as they pursue local solutions that will address the stark racial disparities in our criminal justice system and dramatically reduce their jail and prison populations. Some of the reforms contained in the Blueprints are readily achievable, while others are going to require audacious change. But all are needed to prioritize people over prisons.”
The reports are all viewable on an interactive website that allows users to visualize the reductions in jail and prison population that would result from the policy decisions that states pursue.
Robinson receives 4-year appointment to NFHS Board
Kalvin Robinson has been appointed to the National Federation of State High School Associations (NFHS) Board of Directors. His four-year term as at-large representative for Section 3 area began July 1.
“Mr. Robinson will be a terrific representative for the MHSAA and the state of Mississippi,” said MHSAA Executive Director Don Hinton. “He has a tremendous amount of involvement and experience in high school athletics and activities as a former student-athlete and as a leader with 23 years as a teacher, coach and administrator. This is a great opportunity for him to make a positive difference for young people, not only in our state but across the country.”
The Board of Directors assist the NFHS executive director by interpreting and enforcing the provisions of the constitution and bylaws. This includes overseeing the annual budget, establishing committees and approving all sports rules changes.
Robinson, an associate superintendent for the Madison County School District, since 2014, is his third year of a four-year term as president of the MHSAA’s 15-member executive committee.
A standout football player for Jim Hill High School and Alcorn State University, Robinson began his career in education in 1995 as a teacher and coach at Jim Hill High School. In 1999, he became a teacher and coach at Clinton High School before moving on to administration at the Rankin County School District as assistant principal and later as principal. His tenure at Rankin County Schools was from 2003 to 2014. In 2014 he moved to Madison County Schools as associate superintendent.
At Hinds County Human Resource Agency, our goal is to help families and strengthen communities.
The Annual Awards and Recognition Gala is Hinds County Human Resource Agency’s signature development event, which helps to provide critical matching funds for several services such as home-delivered meals, congregate meal sites, and Hinds County rural public transportation.
Maggie Wade, News Anchor/Reporter at WLBT 3 On Your Side & WDBD Fox40, will be featured as the keynote speaker for this year’s Gala. Enjoy dinner, entertainment, and a fabulous silent auction. Cash and credit cards accepted. Tickets are $50.
The Gala provides an important opportunity to create awareness about our programs and services; to celebrate our clients who have transitioned out of poverty to self-sufficiency; and to honor our volunteers and community partners who work with us throughout the year to help eradicate poverty and provided a better life for more than 49,000 low-income citizens throughout Hinds County.
Our programs and services would not be available without the invaluable support of our community and corporate partners.
To make a donation or for more information on tickets, ads, and sponsorships, call 601.923.1838.
September is Attendance Awareness Month
Mississippi Link Newswire
Did you know that chronic absence in kindergarten can affect a students’ reading proficiency in third grade? Did you know that even excused absences count when it comes to the impact of poor school attendance on student success?
Jackson Public Schools is joining the Mississippi Department of Education’s campaign to promote regular school attendance throughout the month of September. The statewide campaign, Strive for Less Than Five, encourages parents to limit their child’s absences five days per school year. This purpose aligns with that of the national Attendance Awareness movement spearheaded by the Attendance Works organization – to reduce chronic absenteeism.
According to Attendance Works, chronic absence occurs when students miss 10 percent or more of the school year. With an average of 180 days a year, that is just 18 days a year or two days a month. It does not matter if these are excused or unexcused absences or extensions; the impact is the same. Chronic absence puts students academically at risk.
“The research is clear about the negative effect that chronic absenteeism has on student achievement,” said Carey Wright, state superintendent of education. “If children are absent in school, they are missing out. Starting as early as preschool and kindergarten, chronic absence can leave third graders unable to read proficiently, sixth graders struggling with coursework and high school students off track for graduation.”
Chronic absenteeism in kindergarten, and even pre-K, can predict lower test scores, poor attendance and retention in later grades, especially if the problem persists for more than a year. • 1 in 10 kids in kindergarten and first grade are chronically absent. In some schools, it’s as high as 1 in 4. • 2 in 10 low-income kids chronically miss too much school. • 2.5 in 10 homeless kids are chronically absent. • 4 in 10 transient kids miss too much school.
If children don’t show up for school regularly, they miss out on fundamental reading and math skills and the chance to build a habit of good attendance that will carry them into college and career.
Preliminary data from a California study found that children who were chronically absent in kindergarten and first grade were far less likely to read proficiently at the end of third grade.
• Who can read on grade level after third grade?
• 64 percent of kids with good attendance in kindergarten and first grade. (Missed nine or fewer days both years.)
• 43 percent of kids with at-risk attendance. (Missed more than nine days both years.)
• 41 percent of kids chronically absent in kindergarten or first grade. (Missed 18 or more days in one year.)
• 17 percent of kids chronically absent in kindergarten and first grade. (Missed 18 or more days in both years.)
What families can do:
• Find out what day school starts and make sure your child has the required shots.
• Build regular routines for bedtime and the morning.
• Talk about the importance of regular attendance and about how your child feels about school.
• Don’t permit missing school unless your child is truly sick. Use a thermometer to check for a fever. Remember that stomach aches and headaches may be signs of anxiety.
• Avoid medical appointments and extended trips when school is in session.
• Keep a chart recording your child’s attendance at home. At the end of the week, talk with your child about what you recorded.
• Develop back up plans for getting to school if something comes up. Ask a family member, neighbor or another parent for help.
New administrators appointed to JPS schools and programs in 2018
Mississippi Link Newswire
Jackson Public Schools has named new administrators at 15 schools and two programs for the 2018-2019 school year. The Early College High School is a new program in JPS this school year.
Former District-level Administrator Chinele Evans is heading the program which operates on the campus of Tougaloo College.
School Administrators
- **Ralph Elementary**
- **Candice Beasley**
Ms. Beasley previously served as Assistant Principal at Sweet Home.
- **Classwell Elementary**
- **Carla Baker Thomas**
Ms. Thomas previously served as Principal at George Elementary.
- **Green Elementary**
- **Rolanda Clark**
Ms. Clark previously served as Principal at French Elementary.
- **John Hopkins Elementary**
- **Dr. Yolanda Lloyd**
Dr. Lloyd previously served as Educational Consultant at the Special Group in Ridgeland, MS.
Program Administrators
- **McLeod Elementary**
- **Mathis Sheriff**
Mr. Mathis previously served as Principal at Walton Elementary.
- **Power APAC Elementary**
- **Cody Shumaker**
Mr. Shumaker previously served as Assistant Principal at the Cleveland School District in Cleveland, MS.
- **Smith Elementary**
- **Malia Wiese**
Ms. Wiese previously served as Assistant Principal at McLeod Elementary.
- **Spence Elementary**
- **Lori Terrell**
Ms. Terrell previously served as Assistant Principal at Spence Elementary.
Adult Education
- **Shawn Terrell**
Mr. Terrell previously served as Principal at Provine High.
Early College High School
- **Dr. Chinele Evans**
Dr. Evans previously served as Executive Director of School Improvement.
BACKGROUND INFORMATION:
- Former Hinds County Asst. Public Defender
- Former Hinds County Asst. District Attorney
- Former Hinds County District Attorney
- Owner of The Peterson Group LLC
- Owner of F & H Realty
- Family Master Hinds County Chancery Court
- Volunteer CLE Trainer for CABA, MAJ, MVLP, MWLA, and the University of Mississippi School of Law
- Former Board Member Hinds County Human Resource Agency
- Zeta Phi Beta Sorority Inc, Alpha Delta Zeta Chapter
- B.S. Physics Jackson State University
- J.D. Mississippi College School of Law
- Member of Cadie Chapel Missionary Baptist Church Usher Board and Circle of Temperance Missionary Group
VOTE NOV. 6
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Upgraded, increased bus surveillance: ‘It’s that time!’
A NEW ED ERA, HOLMES CO. Part 3
If your child’s school bus could see and hear, what would it show and tell? You might be surprised.
When it comes to bus safety, everyone involved in Holmes County Consolidated School District (HCCSD) is dedicated to keeping watchful eyes. However, though physical eyes cannot always be in a position to see everything, Envision this: In March, HCCSD’s Board of Trustees voted unanimously to upgrade and increase its video monitoring systems on the buses. “With so many negative happenings in schools today, it’s that much more important to beef up safety measures and take nothing for granted,” said Superintendent of Schools James L. Henderson, Ed.D.
School districts nationwide and beyond are increasingly using such technology for student and driver safety, especially when it comes to curtailing bullying. According to stopbullying.gov, “Most bullying takes place in school, outside on school grounds and on the school bus.”
“Our students’ safety is top priority in our schools and especially on our buses,” said Henderson, who is professionally trained with hundreds of bus cameras in larger districts. “I applaud the board’s foresight in this matter,” he said.
According to HCCSD Transportation Director Robert King, the district’s new video camera installations bring the current number of buses with video monitoring to twenty. Data on student referrals has determined the priority of camera installations. King, who began his district as a bus mechanic, said since cameras were installed, “there has been a decline in [undesirable] student behavior on the buses.”
The interior coach has a camera pointing from the front to the back; another one from the back to the front; and one in between which views both sides. There is full surveillance coverage. “Drivers were very receptive to the cameras. I’m glad to receive this type of technology because it has significantly reduced problems on their buses,” said King. “Other drivers [have begun] to ask for surveillance cameras to be installed on their bus.”
Amanda Jones, a bus driver for 13 years, said although she has not experienced any major problems, she is glad to have the cameras because they do tend to help handle some of the students from getting overly playful. She said part of her responsibility as a driver is to disclose to students getting on the bus that they are under surveillance. She likes the fact that in the event a child runs home and tells the parent something about the driver or another student, the video can show what actually happened.
Not only do the cameras give drivers extra eyes, they also assist in effective in resolving disputes. King shared an incident in which a parent did not believe her child was acting out of character on the bus as reported. However, to the parent’s amazement, the camera showed otherwise.
While some may take issue with cameras on school buses, there is no real argument when it comes to offering a deterrent to undesired student behaviors such as bullying and unsafe riding actions. Additionally, cameras can also help protect students, schools and drivers from false accusations.
The new administration, district transportation and the board are all working diligently towards fully equipping the entire fleet of 82 buses with surveillance cameras. With the new superintendent’s recommendation and the board’s approval earlier this month to install newer and more cameras, HCCSD’s school bus safety and student behavior are moving in an even more positive direction.
HCCSD’s new bus monitoring system is by TransTrac, which has been in business since 1999. The company has more than 250,000 various monitoring systems worldwide, according to its marketing information. Cameras are turned on automatically upon switch and remain on for up to fifteen minutes after the switch is turned off.
“Our students’ safety and behavior management are top priorities here in the Holmes County Consolidated School District, in our classrooms and especially on our buses,” said Henderson, a native returned, who has served as leadership in large districts in Texas, Missouri and New York. “I applaud the board’s foresight and their approval of such a vital measure of our school safety efforts.”
The rural HCCSD now joins thousands of school districts nationwide that have already given their bus drivers the extra help of the technological equivalent of “eyes in the back of their heads.” Such technology allows them to focus more on road driving safety.
“We understand that kids are going to be kids,” said Board President Anthony Anderson, who was once a bus driver himself for Holmes County Public Schools. “But the cameras give us a better view of what we need and this is very important. They not only allow us to see what the student did or did not do, but also allow us to see what the bus driver did or did not do as well,” Anderson concluded.
The Education Secretary’s $5 billion giveaway to for-profit colleges: Deregulation of student loans
By Charlene Crowell
NNPA News Wire Columnist
Today’s increasingly competitive global economy requires and recruits those who are highly-skilled and knowledgeable. People understand and accept that higher education is a means to become employable, marketable and competitive.
It is equally true that the rising costs of higher education have now forced 44 million consumers to borrow $1.4 trillion in student loans to finance their education. This debt was often viewed as more of an investment than a cost.
That rational works so long as institutions deliver what was promised: a quality education. No loan was ever guaranteed as a lifetime commitment to a debt that worsened with every passing year.
Not only are consumers incurring serious debts, they are also defaulting in disturbing numbers. Student loan defaults plummet credit scores, lowering them by as much as 50-90 points, according to the Urban Institute, a DC-based research organization. As credit scores drop, the cost of any future credit goes up, making it even harder for affected consumers to manage their personal finances.
While $1.6 trillion federal direct student loans and private student loans have grown, guess which consumers are most likely to default: people of color, veterans, and other low-income consumers.
In 2018, the people who a decade ago were targeted for unsustainable, high-cost mortgage loans are now being targeted by for-profit colleges for career training that fails to deliver the skills and incomes that enable to repay student loans.
The Education Department’s Gainful Employment rule, which was finalized in 2014 and took effect in 2015, requires that career and technical training programs lead to income levels that enable students to afford their student loan repayments. It also followed the features of for-profit colleges like Corinthian Colleges, Everest and ITT Tech that left student borrowers without degrees, credits that could not be transferred and losses to taxpayers who fund federal financial aid.
In recent days, however, Education Secretary Betsy DeVos announced plans to revoke this key rule and instead include additional data in the web-based resource called a College Scorecard that the department claims is better than regulation.
The student deserves useful and relevant data when making important decisions about their education post-high school,” said DeVos. “That’s why instead of targeting schools simply by their tax status, this administration is working to ensure that students have access to meaningful information about all colleges and all programs. Our new approach will aid students across all sectors of higher education and improve accountability.”
As Tony Soprano might have said, “Fu**geda bout it!”
Information is the equivalent of rules that protect consumers or enforcement actions that hold bad actors accountable. Last year, over 800 programs covered by the gainful employment rule failed to meet the rule’s established standard – most of these programs were at for-profit institutions.
For example, recent research by the Center for Responsible Lending (CRL), analyzed health care programs at for-profit institutions. Entitled, Bitter Pill: Gainful Employment and Credentialism in Health Care Support Fields, the report found that among the for-profit programs studied:
• Tuition and fees for an 11-month program can cost as much as $17,000;
• 83 percent of programs leading to either a certificate or two-year associate degree scored poorly in the 2017 release of national gainful employment data.
Focus groups participating in the research confirmed the financial devastation wrought by enrolling in these programs, based on the high amounts of debt incurred.
“Deleterious rule would be costly for both students and taxpayers, said James Kvaal, president of the independent and nonpartisan Institute for College Access & Success. “A single round of Department of Education data showed that more than 350,000 students graduated from substandard programs with nearly $7.5 billion in unaffordable debt. The gainful employment rule is needed to prevent programs like these from bilking students and taxpayers.”
Additionally, a recent national consumer poll found strong concerns among voters when it comes to student loans. Conducted by Lake Research Partners released August 8, a majority of likely voters agreed that the amount of student loan debt represents a crisis. This view held strong majorities whether the respondents were independents (67 percent agreement), Republicans (70 percent agreement) or Democrats (71 percent agreement).
“Because of DeVos’ cozy relationship with this industry,” noted Ashley Harrington, a policy counsel with the Center for Responsible Lending, “low-performing programs will continue to operate and enroll students and students into assuming large debts with little hope of repayment. This will cost students and taxpayers almost $5 billion over the next decade, profits that will land almost exclusively in the hands of the for-profit college sector.”
Charlene Crowell is the Center for Responsible Lending’s communications deputy director. She can be reached at email@example.com.
JSU alums create vibrant Obama mural for school renamed in former president’s honor
By Rachel James-Terry
jsunewsroom.com
It’s hard for anyone to miss the massive multicolored mural created by Jackson State University alums Charles and Talamieka Brice. Their intricate, four-panel depiction of Barack H. Obama covers nearly the entire south wall of the public school once known as Davis Magnet IB.
Named for Confederate President Jefferson Davis, the predominantly African-American school renamed Barack H. Obama Magnet by students, parents and educators because it was a more “fitting” choice.
The husband and wife design team spent several weeks in scorching temperatures working to complete the larger-than-life depiction of Obama by the Aug. 17 unveiling ceremony in commemoration of the school’s new moniker.
The president’s quote: “We are the change we’ve been waiting for. We are the change that we seek,” sits slightly above the painting. It is a message of inspiration.
“All of us, in a sense, are imperfect and flawed, but that still doesn’t mean we can’t enact change for the better,” said Talamieka, when asked her reason for choosing that particular quote to complement the mural.
“With the children that are coming behind me, I wanted to instill in them essentially that Barack would say because it’s his own words,” she added.
The Greater Jackson Arts Council put out a call for local artists to reinterpret a preselected image of Obama for the magnet school.
The couple, owners of Brice Media, submitted separate entries, but as Talamieka proudly and jovially pointed out: “My sketch was the winning sketch.”
Despite being each other’s biggest fan, Talamieka – a photojournalist, shared his wife’s elation over the win.
“We’re husband and wife. You have no choice but to help the other person succeed,” he said.
The two agreed that taking on such a momentous task was not easy. The dimensions were off the first time they plotted and traced the outline, so they had to start over. But their years of experience as a team came in handy for the project.
“We both know our strengths and weaknesses and we learn a lot from each other,” said Talamieka, who has devised several award-winning logos and campaigns.
“Charles is really good with oil paints and watercolors. He’s good with oil pastels and markers,” she said.
Preferring colored pencils, pastels and acrylics, Talamieka credits her background in graphic design for her skill at selecting color combinations.
The couple said they used a tag-team approach to finish the president’s jacket. A wet lay one coat down, he would paint it, then she would lay a coat down and replace it layer by layer in some areas,” Talamieka explained.
Sweltering temperatures were not the only obstacle that arose during the painting process. Talamieka alleged that she accidentally slammed her finger in the garage door one morning and had to finish the final touches of the piece with a broken finger.
“It was five days before the unveiling and I couldn’t let the kids down. Just like modified yoga, I had to do modified painting,” she said.
Relieved, excited, honored and overjoyed are some words the design duo used to describe their emotions when the mural was finally complete. Talamieka called the work a collaborative project and said that she and her husband were humbled and grateful to be the vessels to bring the vision to life.
“We did it together. All I can say is we balanced it out in the end,” said Charles.
Perhaps to balance he referenced comes from their 12 years of marriage and 18 years together. Meeting at Jackson State, Charles said he knew Talamieka was going to be his wife from the moment he laid eyes on her.
“This black woman walked through the door with this belly chain and poufy hair. I just kept staring at her, but she wouldn’t stare back,” he said.
After a little persistence from Charles, they began dating. The art majors connected over their love for design, establishing a “true friendship.”
“We are ‘Thou I Love.’ It’s one thing to learn art, but to learn art through your own lens, it’s so empowering. It allows you to really connect with who you are, so we are eternally grateful to JSU,” said Talamieka.
JSU alum Cornell William Brooks receives Harvard Kennedy School appointment
Cornell William Brooks, former president and CEO of the National Association for the Advancement of Colored People (NAACP), civil rights leader, and ordained minister has joined Harvard Kennedy School as professor of the practice of public leadership and social justice. He is the first leader of a major civil rights organization to join the Kennedy School’s senior faculty.
Brooks will teach courses, advise students and launch and direct The William Monroe Trotter Collaborative for Social Justice at the School’s Center for Public Leadership. He will also be a visiting scholar at Harvard Divinity School.
“We are delighted that Cornell William Brooks will bring his unique background in civil rights law, policy, and advocacy to the Kennedy School,” said Kennedy School Dean Douglas Elmendorf. “The William Monroe Trotter Collaborative for Social Justice will be a focal point for students and faculty from across Harvard University who are interested in teaching, research, and achieving excellence in the practice of social justice. Under Cornell’s guidance — and drawing upon his experience and knowledge — we expect the collaborative to have a transformative impact on our ability to prepare students to be leaders in public service and social justice.”
The vision for the Trotter Social Justice Collaborative is that it will promote excellence in the practice of social justice by fostering applied research and use of evidence; advocacy and activism. The collaborative will connect faculty, students, scholars, practitioners, nonprofit institutions and institutions of faith, providing research and field-based training opportunities for faculty and students, and providing leaders of local and national organizations with ideas, policy expertise, and best practices to maximize their impact on social justice. Thus, the collaborative will foster public policy, public leadership, civic social justice for social change. The collaborative honors the legacy of William Monroe Trotter, the first African-American Phi Beta Kappa graduate of Harvard, founder of the Niagara Movement, founding influence of the NAACP and a pioneering activist.
Brooks was most recently visiting fellow and director of the Campaigns and Advocacy Program at the Kennedy School’s Institute of Politics in 2017. Brooks served as the 18th president of the NAACP from 2009 to 2015. Under his leadership, the NAACP secured 12 significant legal victories, including laying the groundwork for the first statewide legal challenge to prison-based gerrymandering. He also reinvigorated the activist wing of the NAACP, which the NAACP dramatically increasing membership, particularly online and among millennials. Among the many demonstrations from Ferguson to Flint during his tenure, he conceived and led America’s Journey for Justice’ march from Selma, Alabama to Washington, D.C., over 40 days and 1000 miles.
Prior to leading the NAACP, Brooks was president and CEO of the Urban League Institute for Social Justice. He also served as senior counsel and acting director of the Office of Communications Business Opportunities at the Federal Communications Commission, executive director of the Fair Housing Council of Greater Washington and a trial attorney at both the Lawyers’ Committee for Civil Rights Under Law and the U.S. Department of Justice. Brooks served as judicial clerk for the Chief Judge Sam J. Ervin, III, on the U.S. Court of Appeals for the Fourth Circuit.
Brooks holds a J.D. from Yale Law School, where he was a senior editor of the Yale Law Journal and member of the Yale Law and Justice movements at Boston University’s School of Law and School of Theology. He was a visiting fellow and director of the Campaigns and Advocacy Program at the Kennedy School’s Institute of Politics in 2017. Brooks served as the 18th president of the NAACP from 2009 to 2015. Under his leadership, the NAACP secured 12 significant legal victories, including laying the groundwork for the first statewide legal challenge to prison-based gerrymandering. He also reinvigorated the activist wing of the NAACP, which the NAACP dramatically increasing membership, particularly online and among millennials. Among the many demonstrations from Ferguson to Flint during his tenure, he conceived and led America’s Journey for Justice’ march from Selma, Alabama to Washington, D.C., over 40 days and 1000 miles.
Parents of a 4-year-old son, Honor Kal-El, and 14-month-old daughter, Love Elohim, the couple said Jackson State is the source of their union and passion for art.
“I can’t tell you how empowering it was to be around such a beautiful sea of black and brown people. Being able to see yourself in all your shades was amazing. We are forever thankful to JSU for that experience,” said Talamieka.
Additionally, Charles credits his uncle, a JSU alum, for teaching him the principles of art at an early age, and Talamieka’s mother nurtured her drawing abilities, the couple shared that their creativity and collegiate experiences were greatly influenced by their professors and the history of the university.
“We are ‘Thou I Love.’ It’s one thing to learn art, but to learn art through your own lens, it’s so empowering. It allows you to really connect with who you are, so we are eternally grateful to JSU,” said Talamieka.
Good Hope Missionary Baptist Church honored by MSH
Good Hope Missionary Baptist Church of Flora received the Vivian Shivers Helping Hands Award at the Friends of Mississippi State Hospital, Inc., Annual Meeting Aug. 29.
Good Hope Missionary Baptist Church has been volunteering at MSH for over 30 years and hosts a party on the first Sunday of November each year that serves as an unofficial kickoff for the Thanksgiving and Christmas seasons at MSH. Church members, typically numbering 35-40, provide a Thanksgiving-style feast along with gifts including socks, T-shirts, underwear, toothbrushes and toothpaste.
The Vivian Shivers Helping Hands Award, established in 2006, honors an individual or group who represents the volunteers and sets the standard for future generations. The Friends Board in 2009 voted to rename this award in honor of Shivers, a former nurse at the hospital and longtime Friend of MSH.
Friends of Mississippi State Hospital is a non-profit, volunteer organization dedicated to educating the public about mental illness and improving the lives of those individuals living with mental illnesses. For more information, contact MSH Public Relations at 601-351-8018.
MSH, a program of the Mississippi Department of Mental Health, was founded in 1855 and helps the individuals it serves achieve mental wellness by encouraging hope, promoting safety, and supporting recovery. The hospital is accredited by the Joint Commission.
National Alliance of Postal and Federal employees honored by MSH
The National Alliance of Postal and Federal Employees received the Nancy B. Foreman Award at the Friends of Mississippi State Hospital, Inc., Annual Meeting Aug. 29.
The National Alliance of Postal and Federal Employees, a Jackson-based chapter of the national labor union, began volunteering at MSH more than 25 years ago. They visit the hospital on the third Sunday in December, bringing sandwiches, chips, fruit, cake, drinks and Christmas gift bags to the patients and residents they host.
The Nancy B. Foreman Award, named for one of the founding members of Friends, is given each year to an individual or group who has demonstrated through their service their commitment to enhancing the quality of life for persons with mental illness.
Friends of Mississippi State Hospital is a non-profit, volunteer organization dedicated to educating the public about mental illness and improving the lives of those individuals living with mental illnesses. For more information, contact MSH Public Relations at 601-351-8018.
MSH, a program of the Mississippi Department of Mental Health, was founded in 1855 and helps the individuals it serves achieve mental wellness by encouraging hope, promoting safety, and supporting recovery. The hospital is accredited by the Joint Commission.
Jackson-Medgar Wiley Evers International Airport Upper Roadway Rehabilitation Project
JAN “Your Connection to the World” – Please be advised of roadwork construction being performed as you enter the vehicle access areas for passenger departure/drop-offs and passenger arrivals/pick-ups at the Jackson-Medgar Wiley Evers International Airport.
Roadwork on the upper-level (Departures) will begin September 5 at 7 p.m. with the closing of the inner two driving lanes for approximately two (2) weeks. The roadway on the lower-level (Arrivals/Baggage Claim) will begin September 6, closing the inner two driving lanes nightly at 12 a.m. and reopening them at 5 a.m. each morning. Traffic will be directed to use the outer two lanes during this construction period. Pedestrian walkways will remain open on the east end. Please use caution when traveling these areas.
About the Upper Roadway Rehabilitation Project
The scope of work includes repairing the elevated section of the airport roadway that provides access to the passenger terminal buildings. Specific services will include: removal and replacement of existing membrane, concrete patch repairs, expansion joint replacement, bearing plate assembly replacement and removal and replacement of pavement marking.
The upper roadway is part of the road system that serves as the entrance to the airport. It provides the only vehicle access to the Land Side of the terminal which is the ticketing and departure level of the airport.
Natural deterioration has occurred over the years to the structure due to weathering, water intrusion and subsurface soil migration and contraction beneath the structure making this project necessary to address these issues.
Aretha Franklin laid to rest Friday, and the number of individuals who paid tribute in either speech or song was long as they showed their respect at a joyous ceremony to the “Queen of Soul.”
The star-studded celebration began at 10 a.m./EDT August 31 and went late into the afternoon, ending some nine hours later. The funeral was held at Greater Grace Temple, a 4,000-member church in Detroit, Franklin’s hometown, where she died August 16 from pancreatic cancer, at the age of 76.
Cable television stations broadcast almost all or parts of the service, switching back and forth between the joyful service for Franklin to the more somber ceremony honoring U.S. Senator John McCain, whose body was lying in state in the Capitol Rotunda. McCain, who died August 25 at his ranch, was buried Sept. 1 at the United States Naval Academy, where he graduated in 1958. He was 81.
Franklin’s funeral drew politicians, civil rights leaders, entertainers and regular people. Television cameras panned the audience, showing Ariana Grande and former U.S. Secretary of State Hillary Clinton. A camera showed a bearded Tyler Perry, with a reflective expression. It was hard to tell, but Perry appeared to be sitting not too far from a smiling Whoopi Goldberg. Other celebrities included Isaiah Thomas, Jesse Jackson Jr., Michael Eric Dyson, U.S. Rep. Maxine Waters and Michigan Gov. Rick Snyder.
Gladys Knight, Stevie Wonder, Shirley Caesar and Ron Isley performed. They were all backed by an orchestra.
Rev. Jesse Jackson, Rev. Al Sharpton, President Bill Clinton shared the stage with Judge Greg Mathis, Former U.S. Attorney General Eric Holder Jr. and Minister Louis Farrakhan of the Nation of Islam. Minister Farrakhan sat two seats away from Clinton.
Farrakhan also stood, walked back and forth on the stage and clapped his hands to show his appreciation for the other speakers and singers, but when news reports covered who was on the stage, it was as if Farrakhan suddenly moved to Argentina and became one of the disappeared.
Sharpton criticized President Donald Trump who said when Franklin died that “she used to work for me.” Sharpton corrected the Trumpian: “She performed for you, but she worked for us.”
Dyson was meaner towards Trump, calling him a “lugubrious leach.” Dyson added that Franklin did “more” for him, she worked above him.
Rev. Jasper Williams Jr., pastor of Salem Baptist Church in Atlanta, told the audience in a spirited delivery that Franklin bailed Angela Davis out of jail, angling her father Rev. C.L. Franklin, who thought Davis was a communist.
Franklin told her father that Davis was a black woman who needed help, and she could help her, said Williams who delivered the eulogy for the Rev. C.L. Franklin.
Jackson told the audience that Franklin donated money to Dr. Martin Luther King to keep the movement alive.
Williams used the ceremony to talk about the number of blacks who kill other blacks. “When a white cop shoots to death a black person, we hold demonstrations, but we don’t do anything when a black shoots and kills another black person,” he said. “Black lives won’t matter until we stop killing ourselves.”
Franklin was buried in Detroit’s Woodland Cemetery, wearing her white fur and holding her gold microphone.
Criticism of Rev. Jasper Williams follows his remarks at Aretha Franklin’s funeral
By Lauren Victoria Burke
MIPA Newswire Contributor
Saying his subject was “Aretha, the Queen of Soul,” Rev. Jasper Williams of the Salem Bible Church in Atlanta, gave the audience gathered for Aretha Franklin’s funeral a few unexpected memories laced with political commentary.
Though he initially simply referenced the history of soul music and gospel, his talk became political towards the end of the ten-hour service. Williams was one of over three dozen speakers at Franklin’s lengthy Detroit home-going ceremony.
Williams referenced black-on-black crime, said single mothers are incapable of raising sons alone and proclaimed that black America has lost its soul and it’s “now time for black America to come back home.”
“Folks, he can’t see, but Stevie Wonder can hear. And he is offering a rebuke to the eulogy. Don’t think for a second, he isn’t. And the folks in the room heard it,” wrote journalist Roland Martin, who attended the service.
“Rev. Jasper Williams’ plantation style speech at #ArethaFuneralFamily is a perfect example why there is a total disconnect between young black people and the older black church crowd. All that cowardly ‘you’s got to do better’ talk ain’t fooling these kids,” offered anti-racist strategist Dajria Jackson on Twitter before Williams spoke.
Smokie Norful, Shirley Caesar, Jennifer Hudson, Chaka Khan, Jennifer Lewis and Ron Isley performed among many others. William Barbour and Jesse Jackson also delivered remarks.
“Aretha was in her very own special category,” said founder of Arista Records Clive Davis. “Her voice will be impacting others for centuries to come,” Davis added.
A second tribute to Franklin and her music is planned at Madison Square Garden this fall.
Lauren Victoria Burke is an independent journalist and writer for MIPA as well as a political analyst and communications strategist. She may be contacted at firstname.lastname@example.org and on twitter at @LBurke.
Seek the Lord while He may be found
By Pastor Simeon R. Green III
Special to The Mississippi Link
Matthew 25 talks about the Day of Judgment. In that day, there will be only two groups of people: Jesus likened to sheep and goats. Which group will you be in, friend? The choice is yours.
Jesus paid the price on Calvary for your salvation, but the decision is still yours. Will you call upon Him while He is near? Will you give heed to the Gospel and believe? When men and women refuse to heed the call and do not seek the Lord while He may be found and while coming upon them, they go out from His presence and, by and by, they get away from God.
Felix told Paul to go his way, and when he had a convenient occasion, he would call for him. May you not entertain the thought, “I don’t want to get saved right now, but one of these days when I need the pastor, I will call him and have him come and pray for me, and everything will be all right.” Where did you get that idea? Who told you it would work out that way? You see, that was all thought up in your own mind. Felix was a governor, and the Jews were looking to him to pass severe judgment on Paul, but he stumbled under the power of God who was testified before him. In essence, he said, “Paul, we’ll put it off for a few days. When I find a convenient time, I’ll call for you.” We have no record that he ever did come back to Paul, but we do read in Acts 24:27, that after two years, Porcus Festus came into Felix’ room; and Felix, willing to show the Jews a pleasure, left Paul bound.
Felix loved the praises of men, and he loved his position. Many people today are wondering what would happen to your friends if you were to get saved. You may think, “How could I tell them that I got saved?” You have come right down to the saving place, friend, just as old Felix did. I want to admonish you not to let anyone or anything stand in the way of your getting saved. You need to get everything and give your life to God. Nothing in this world is worth losing your soul. Sin will take you down.
All, how spirits are working on souls today. The devil likes to use an old rebellious spirit to get hold of precious young people. You must break free from all of that to serve the Lord because when you stand before God, it is going to be just you and God. Looking at it in the light of the Scriptures and in the light of the message, can you afford to say no to God? Can you really afford to turn Him away?
I pray that God will write this down upon your heart and mind so indelibly that you cannot get away from it.
Many precious souls are just drunk on the spirit of the world. Satan makes them drunk on the things of this old world, then they do not notice anything going on about them while they are in the fast lane of life. They are just looking forward to the day of rest so that they can enjoy themselves. In Psalm 23:6, David said, “Surely goodness and mercy shall follow me all the days of my life and I will dwell in the House of the Lord forever.” You must make the choice to go with God.
On the other hand, if you reject God, you will fall under the wrath of God and His severe judgments by your own choosing.
May God bless you. He wants to save you. His ear is open to your call. Won’t you cry out to Him? Again, Paul says in 2 Corinthians 5:10, “We must all appear before the judgment seat of Christ; that every one may receive the things done in his body, according to that he hath done, whether it be good or bad.”
Friend, if you will learn here and now to live under the scrutiny of Christ’s pure light, your final judgment will bring you only delight in knowing the work God has done in you.
Next week, “Why people give up serving God?”
Rev. Simeon R. Green III is pastor of College Hill Baptist Church, 601-352-0760, 31 Lyons Road, Hampton VA 23669. He is a member of the National Association of Evangelism Church of God, Anderson, Ind.
Preserved Blessings come in threes
By Shewanda Riley
Columnist
A few years ago, I shared with one of the English Composition classes that I teach, a wonderful love story of Victorian writers Elizabeth Barrett Browning and Robert Browning. They fell in love over a 20-month correspondence that produced over 574 letters.
When I asked if this kind of courtship via letters could occur in our present time, most of my students agreed that it couldn’t because people are too impatient nowadays. One student emphatically stated that our society is so used to “instant” everything that it would be hard, if not impossible.
Even after I explained how in the letters Elizabeth and Robert got to know each other and developed a deep spiritual and emotional relationship, my class still insisted that it would take too long to wait for a letter. They rejected my theory that if our modern society had that same sincere anticipation, there might be more successful relationships.
The class discussions made me think about three blessings of singleness and how they could help people develop the patience to wait on God with the right attitude.
These blessings are:
Blessing of Anticipation – Have the assurance that no matter how long the wait, God will answer our prayers and fulfill our hearts desires.
Blessing of Integrity – Seek to build a life and character that honors God both in public and private.
Blessing of Sincerity – Decide that living a life purely motivated by a desire to do right.
These blessings may have the biggest impact on our lives while we are single. Why is that? Being able to wait with assurance on God is made much easier when you have a good character of integrity. By the same token, part of why you develop integrity is because you want to be sincere in your actions.
Like a domino effect, these three blessing appear to have the ability to influence your daily life’s decisions. Psalm 119:2, says “Blessed are they who keep his statutes and seek him with all their heart.”
As much as I hated to admit it, my class’ response was correct. Many people today are impatient. If you don’t get a response to your morning email, you text message by lunch to find out what happened. Out of impatience, we compromise and attach ourselves to people and situations that can be destructive. In some instances, rather than anticipating God, we try to manipulate him.
Anticipation, integrity and sincerity point to living a life led by a heart that is motivated to do sincerely by the desire of what is right. Even when we feel the uncomfortable “fire” of having to wait or make the decision based on God’s will and not our immediate needs, embracing these three blessings might make the wait more bearable.
Shewanda Riley is a Dallas, Texas based author of “Love Hangover: Moving From Pain to Purpose After a Relationship Ends.” Email her at email@example.com or follow her on Twitter @shewanda.
Stop Kavanaugh: President Trump’s Supreme Court nominee must not join the high court
By Marc H. Morial
President and CEO
National Urban League
“It is confusion in the men and women who administer the judicial system that is the true bane of the rule of law.” — Supreme Court Justice John Paul Stevens, 53 U.S. 98, Bush v. Gore (Decision), December 12, 2000
There are many words one could use to describe President Donald J. Trump’s White House, but you might be surprised to choose “transparent” as one of them. It should come as no surprise to anyone who even casually follows politics that a president who lacks decades of tradition and references (to this day) to refine his tax returns is offering the American public a nominee for the Supreme Court whose public record of work remains largely unknown and unexamined.
Unfortunately, Trump’s campaign and subsequent presidency has acclimated much of the public, and many of our political leaders, to lowered expectations of open and transparent government. And that this growing tolerance for the erosion of institutional democratic norms must stop now or our nation’s highest court, and the hard-fought gains for gains of human and civil rights, will be lost for generations to come.
If the past is prologue, Judge Brett Kavanaugh can do the civil rights community no favors as a sitting Supreme Court justice. From what we have gleaned from his court decisions, Kavanaugh has a strong record of ruling against policies and protections that seek to address injustices levied on marginalized communities.
Concerned citizens can call 202-224-3121 to tell their Senators to vote no on Kavanaugh’s confirmation.
In 2011, President Obama’s administration blocked North Carolina from requiring residents to show photo ID before voting. In 2012, Kavanaugh wrote an opinion upholding that very same law. In a keynote address to the Heritage Foundation, Kavanaugh shared his view that the Supreme Court was wrong to uphold the Affordable Care Act’s insurance mandate as constitutional.
And in his only decision on record concerning abortion rights, Kavanaugh moved from a decision to allow an undocumented, teenage detainee to seek an abortion, seeking to further delay the process while dismissing the concerns and desires of the young woman.
When fundamental liberties are at stake, the public and our Congress must act. To fully evaluate what kind of justice Kavanaugh will be, we must know what kind of justice and public servant he has been. This is why the National Urban League has joined forces with other civil rights organizations to demand that Kavanaugh’s September 4 confirmation hearing be delayed until his entire record can be fully, thoroughly and carefully examined by the Senate. Based on the research compiled by the Lawyers’ Committee on Civil Rights Under Law and the NAACP Legal Defense Fund, these files will serve on the nation’s highest court.
A rushed nomination process conducted without the full trove of government documents and records related to his nomination will leave a cloud of illegitimacy hanging over every eventual nomination and it will undermine the public’s confidence in our nation’s highest court.
A Supreme Court appointment is a lifetime appointment. In the recent past, reviewing and receiving all relevant documentation and records was the norm. That should remain the case today, especially when so many rights and liberties hang in the balance.
Just because a president, who has the constitutional duty and authority to fill court vacancies, nominates a justice, it is not a foregone conclusion that the nominee will be made to fit the bench just ask Merrick Garland, President Obama’s pick to replace the late Justice Antonin Scalia. In the 229-year history of the Supreme Court, presidents, including George Washington, have nominated 163 men and the occasional woman for the Supreme Court, but only 113 have served on our nation’s highest court.
There have been moments in our history when our nation has had to fight to ensure that the court swings more towards justice and not a particular partisan agenda. While Senate Republicans do not need a single vote from Democrats to confirm Kavanaugh, they do need to know that we the people are watching, and come Election Day, we can and will make our thoughts known with our votes.
To comply with the nomination process under this unnecessarily and politically damaging cloud of secrecy would be a supremely bad decision that would undermine our nation’s judicial branch.
Thursday to send Kaepernick’s grievance to trial and dismissed the players’ motion for summary judgment, finding that Kaepernick had raised sufficient evidence that there was an express or implied agreement between the teams to keep him out of the league.
The collusion is obvious. According to the Wall Street Journal, Dallas Cowboys owner Jerry Jones stated in a sworn deposition that Trump instructed him to tell the owners that the president would continue to attack the league as long as the protests continued.
“This is a very winning, strong issue for me,” Trump said, according to the deposition, brazenly admitting that the race-based protest policy that he pursues with venom. It isn’t hard to realize that the owners, terrified that continued Trump attacks would damage their revenues, decided to lock Kaepernick out as a warning to other players and, of course, to make a sacrificial offering to Trump.
Kaepernick is being punished for expressing his beliefs. He stands in a long tradition of African-American champions who were punished for stepping out of line. Jack Johnson, the first African-American world heavyweight boxing champion, sparked race riots across the country when he won the title in 1908. He further crossed racial boundaries by “consorting” with white women, three of whom he married. He was convicted of violating the Mann Act for traveling with a woman across state lines for immoral purposes – for an affair that took place before the act was even passed into law.
He left the country and spent seven years fighting abroad before returning to spend months in prison. Ironically, it was Donald Trump who finally gave him a posthumous pardon from this injustice.
Muhammad Ali, the most famous champion of all, was prosecuted for evading the draft during the Vietnam War. A convert to Islam, he claimed conscientious objector status. In 1967, at the height of his career, he was banned from boxing for three years, a sentence that was for him a form of execution the Supreme Court eventually overturned.
Curt Flood, the three-time all-star centerfielder for the St Louis Cardinals, refused to accept a trade in 1969, arguing that baseball’s enforcement of lifetime contracts was a clear violation of antitrust laws. The Supreme Court ruled against him, and Flood was essentially blackballed.
Finally, in 1998, Congress passed the Curt Flood Act, formally making Major League Baseball play by the same antitrust rules as other professional sports.
Kaepernick’s protest – joined by fellow athletes across the league – has brought national attention to the question of police brutality, even as Trump and others by insisting they are inflaming the fire with the national anthem. Kaepernick’s grievances – if the courts are not as intimidated by Trump’s tantrums as the owners were – will expose the self-evident truth that he has locked him out of the league.
The owners should pay dearly for their folly, Kaepernick is already paying a harsh price for his expressing his views. A talented athlete at the peak of his career is being locked out of his profession.
Jerry Jones says that Trump told him: “Tell everybody, you can’t win this one. This one kills me.”
It may “lift” Trump, but it disgraces the owners, the league and the country.
NFL owners’ treatment of Kaepernick disgraces league and country
By Rev. Jesse Jackson, Sr.
Founder and President of Rainbow PUSH Coalition
Colin Kaepernick may yet get his day in court. Kaepernick is the talented former NFL quarterback who in 2016 began a protest against police brutality and institutionalized racial discrimination by kneeling during the playing of the national anthem. Other players joined the protests.
Kaepernick wasn’t protesting the anthem or the flag. He was calling on the country to live up to its principles. President Trump led the outcry against the protesters, stirring any player who takes a knee to be fired from the league.
The league owners panicked. One result was that Kaepernick – one of the most talented quarterbacks in a league that suffers a shortage of skilled players in that position – was literally locked out of a job. He hasn’t even got a tryout. He filed a grievance against the league and the 32 teams, calling the action against him a violation of the league’s players contract, as well as an affront to free speech. An arbitrator handed down a decision
My most precious memory of the Great Aretha Franklin
By A. Peter Bailey
TribeGazetteWire.com
My most precious memory of the great Aretha Franklin occurred in the early 1970s when I was an associate editor of Ebony Magazine working in Johnson Publishing Company’s New York City office.
The Rockefeller Center office was headquarters for Ebony’s advertising department. It only had five editorial staffers, myself, Jet editor Cordell Thompson, administrative assistant Bernice Bryant and photographers Marshall Wilson and Pulitzer Prize winner, Moneta Sleet.
Thompson was Jet’s hugely popular New York Bear columnist. If he was away on assignment or vacation, I had the opportunity to write that column. It so happened that he was away when Franklin was scheduled to do a concert in New York City’s Radio City Music Hall.
During the concert, between songs, Franklin posed, smiled, and strutted around the stage, very proud of her new slimness. It was a Diana Ross kind of performance as far as I was concerned and some what distracting since it was not the Franklin we were familiar with. That Franklin would sit at the piano or stand at the piano and sing her soulful journey with her powerful, compelling, incredible singing.
When writing New York Beat, I wrote that I wished Franklin would understand that she didn’t have to do all that posing and strutting. All we needed from her was her glorious voice.
Several months later she was scheduled for a concert in Westchester County which is in New York City’s regional area. The day before her appearance I received a phone call from Barbara Harris, a public relations expert for Atlantic Records. Franklin’s recording company. Harris told me that she had just gotten off the phone with Franklin who told her to make sure I arrived at her concert and to bring me backstage after her last song. Harris took me backstage. When we walked into Franklin’s dressing room, she was sitting in a chair looking as though she was waiting for us. “Good evening Miss Franklin,” I said nervously.
After greeting me, Franklin said in a calm voice, “I read what you wrote in Jet. What do you think about this concert?” She delivered by her sonorous tone in her voice, I said, “That’s exactly what I wrote about. You were absolutely incredible.”
She smiled and we had a brief five minutes conversation, mostly about my love of her singing and her whole style. Harris then led me out of the dressing room. That is my most precious memory of Aretha Franklin.
There is a quote listing three kinds of people in the world – those who make things happen, those who watch things happen and those who wonder what’s happening. Franklin was most definitely one of those folks who made things happen in the black, national and international cultural arenas.
**LEGAL**
**Request for Proposal (RFP) #2018-2**
Management and Operations for Fixed Route and Non-Fixed Route ADA Paratransit Services
The City of Jackson is soliciting Request for Proposals (RFPs) from qualified firms to provide on-going Management and Operations for the City of Jackson’s Fixed Route and Non-Fixed Route ADA Paratransit Services.
Interested firms may obtain a copy of a detailed Request for Proposals, and any proposed addenda from the City’s website at HYPERLINK “http://www.jacksonms.gov/bids.aspx” http://www.jacksonms.gov/bids.aspx. Official proposal documents can be downloaded from Central Bidding at HYPERLINK “http://www.centralbidding.com” www.centralbidding.com. Please reference RFP#2018-2.
A Pre-Proposal Conference and Site Visit will be held on Monday, September 10, 2018, at 9:00 am Central Standard Time (CST), located at 1785 Highway 80 West, Jackson, MS 39204.
Six copies of the offeror’s Proposal together with a PDF file of the Proposal on a CD or USB flash drive shall be submitted to the City of Jackson, Office of City Clerk at 219 South President Street, Jackson, MS 39205 until Friday, October 5, 2018 by 3:30 p.m CST. Electronic bids and/or reverse auctions must be submitted via HYPERLINK “http://www.centralbidding.com” www.centralbidding.com. For all other queries relating to the electronic bidding process, please call Central Bidding at 225-810-4814. Submittals received after the specified date and time shall not be accepted.
The City of Jackson is committed to the principle of non-discrimination in public contracting. It is the policy of the City of Jackson to promote full and equal business opportunity for all persons doing business with the City As a pre-condition to selection, each proposer shall submit a completed and signed Equal Business Opportunity (EBO) Plan with its proposal for review. In accordance with the requirements of the City of Jackson’s Equal Business Opportunity (EBO) Executive Order. Failure to comply with the City’s Executive Order shall disqualify a proposer from being awarded a contract. For more information on the City of Jackson’s Equal Business Opportunity Program, please contact the Division of Equal Business Opportunity at 601-960-1856. Copies of the City of Jackson’s Executive Order – EBO Plan Application, and a copy of the proposal are available at the following location: 209 South President Street, Room 223, Jackson, Mississippi.
The City of Jackson is committed to cultivating and ensuring the quality of life of its citizens, through various programs, employment, initiatives, and assistance. The City of Jackson encourages all persons, companies, and/or entities doing business within the City of Jackson, as well as those who seek to contract with the City of Jackson on various projects and/or conduct business in Jackson to assist the City of Jackson in achieving its goal by strongly considering City of Jackson residents for employment opportunities.
The City of Jackson reserves the right to reject any and all proposals and to waive any informalities or irregularities therein.
Mukesh Kumar, PhD
Director of Planning & Development
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**LEGAL**
**Notice of Sale**
Abandoned Vehicle
Notice of Sale is hereby given in accordance with the Mississippi Statutes governing the sale of abandoned motor vehicles that the following vehicle will be sold for repair and storage charges and for cost of this sale.
2009 Chevy E15
VIN #1GFCV154591167307
Douglas Express Inc.
Bank Plus, Lien Holder
Date of Sale: September 26, 2018
Place of Sale: Archie Towing Services;
6700 Medgar Evers Blvd., Jackson, MS 39213
Sellers reserve the right to bid on the above property and to reject any and all bids. Time: 10:00 A.M.
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**LEGAL**
**Notice of Sale**
Abandoned Vehicle
Notice of Sale is hereby given in accordance with the Mississippi Statutes governing the sale of abandoned motor vehicles that the following vehicle will be sold for repair and storage charges and for cost of this sale.
2012 Nissan Altima
VIN #1N1AL2AP0CN368548
Required to Nickles Tionna or Terrell Trin
Express Acceptance Corp., Lien Holder
Date of Sale: September 26, 2018
Place of Sale: Archie Towing Services;
6700 Medgar Evers Blvd., Jackson, MS 39213
Sellers reserve the right to bid on the above property and to reject any and all bids. Time: 10:00 A.M.
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**LEGAL**
**REQUEST FOR PROFESSIONAL MANAGEMENT SERVICES OF THE JACKSON ZOOLOGICAL PARK**
The City of Jackson, Department of Parks and Recreation is seeking assistance from management firms or individuals desiring to provide professional management services at a City of Jackson facility, namely, the Jackson Zoological Park, located at 1000 West Capitol Street, Jackson, Mississippi. Professional management firms or individuals that may be interested in contracting with the City of Jackson for such services are thereby invited to submit a response to this request in accordance with the following:
Sealed Professional Management Service packets will be received by the City Clerk of Jackson, Mississippi, at 219 S. President Street, Jackson, Mississippi 39201 or at the Post Office Box 17, Jackson, Mississippi 39205, until 3:30 p.m., local time, November 13, 2018.
The bid advertisements August 29, 2018 through November 1, 2018; however, bids will be accepted, and are to be stamped by the City Clerk, prior to the November 13, 2018, 3:30 p.m. deadline. Bid Opening Date: November 13, 2018.
This Request for Professional Management Services is also being posted on the Central Bidding website at: https://www.centralbidding.us/com/main.php. You may submit your bids electronically through this provider. Packets may also be secured from the Department of Parks and Recreation, 1000 Metro Center, Suite 104, Jackson, Mississippi, 39209, telephone number (601) 980-0471.
A Pre-Bid Conference will be held on September 5, 2018, from 1:30 p.m. to 3:30 p.m., local time, in the City of Jackson Metro Conference Room, located at 1000 Metro Center, Suite 104, Jackson, MS 39209. All interested parties are encouraged to attend.
Professional Management Service packets shall be submitted in triplicate, sealed and deposited with the City of Jackson’s City Clerk prior to the hour and date designated above. Each bidder shall write its certificate of responsibility number on the outside of the sealed envelope containing its proposal.
The City of Jackson reserves the right to reject any and all Professional Management Service packets and to waive any and all informalities.
Isom B. Harris, Jr., Director
Department of Parks and Recreation
Dr. Robert Blaine, Chief Administrative Officer (CAO)
Office of the Mayor
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**LEGAL**
**REQUEST FOR PROPOSAL FOR TERMINAL PAGING SYSTEM BY THE JACKSON MUNICIPAL AIRPORT AUTHORITY PROJECT 008-18 SEPTEMBER 5, 2018**
The Jackson Municipal Airport Authority (“JMAA”) requests Proposals (“Proposals,” from a contractor or “Contractor”) to provide equipment, software, technical support, installation, and training services in support of a Terminal Paging System (“System”) for the Jackson Municipal Airport Authority (JMAA).
JMAA will receive Proposals to perform the Services at the offices of JMAA, Suite 300, Main Terminal Building, Jackson-Medgar Wiley Evers International Airport, 100 International Drive, Jackson, Mississippi 39202, by 3:00 p.m. Central Standard Time on October 9, 2018 (the “Deadline”).
JMAA will not consider any Proposals received after the Deadline for any reason whatsoever. Information for Respondents relating to this Request for Proposal (“RFP”) is on file and open for public inspection at the offices of JMAA. The RFP is available for Respondents to download as a PDF file at HYPERLINK “http://www.jmaa.org” www.jmaa.org. For all other queries relating to the electronic bidding process, please call JMAA Manager of Procurement at 601-933-3713.
JMAA will hold a Pre-Submission Conference at 2:00 p.m. Central Standard Time on October 11, 2018, in the Control Tower Room, 3rd Floor, Mezzanine Level, at the Main Terminal Building at the Jackson-Medgar Wiley Evers International Airport, 100 International Drive, Jackson, MS 39202. Attendance at the Pre-Bid Conference is highly encouraged for all those interested in submitting a Proposal. A Pre-Bid Conference is a Private Conference between the Services and persons seeking opportunities to provide work as a Prime Consultant. The benefits of attendance include networking opportunities with the Prime Consultant, and the opportunity, as well as the opportunity to be on a list of contacts that will be published to interested parties as part of the minutes from the Pre-Submission Conference; and a detailed review of the scope of work. No additional conferences or meetings will be scheduled.
JMAA reserves the right to: (1) reject any and all Proposals, for any reason and time; (2) cancel a contract of a Respondent selected by JMAA to perform the Services;
JMAA DBE participation goal is to TBA for the Services solicited by this RFP.
JACKSON MUNICIPAL AIRPORT AUTHORITY
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**LEGAL**
**DEPARTMENT OF FINANCE AND ADMINISTRATION**
**BUREAU OF BUILDING, GROUNDS AND REAL PROPERTY MANAGEMENT**
**JACKSON, MISSISSIPPI**
**ADVERTISEMENT FOR BIDS**
Sealed and electronic bids will be received at the Bureau of Building, Grounds and Real Property Management, 501 North West Street, Suite 1401 B, Jackson, Mississippi, 39201, until 2:00 p.m. on Tuesday, 10/09/2018, for:
RE: GSM 350-029 Hall Damage (Phase III - Old Capitol)
Office of Capital Projects
(Department of Finance and Administration)
RFX #: 3160002520
at which time they will be publicly opened and read. Contract documents may be obtained from:
Professional: Shafer & Associates, PLLC
510 University Drive
Starkville, Mississippi 39759
Phone: 662-323-1628
Email: firstname.lastname@example.org
A deposit of $200.00 is required. Bid preservation will be in accordance with instructions to be found in the project manual. The Bureau of Building, Grounds and Real Property Management reserves the right to waive irregularities and to reject any or all bids. NOTE: Telephones and desks will not be available for bidders use at the bid site.
Calvin R. Sibley, Bureau Director
Bureau of Building, Grounds and Real Property Management
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**LEGAL**
**For information about advertising in The Mississippi Link please call: 601-896-0084**
An Advertiser’s Best Friend?
NEWSPAPERS!
8 out of 10 read ‘em!
Shouldn’t your business ad be where everybody is looking?
Mississippians cite newspapers as the advertising source they rely on most, making the paper Mississippi’s #1 local advertising source!
Regional Rates:
Approximately 30 newspapers per region.
2 column x 2 inch - 1 region = $450
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Mississippi Press Services
To advertise, call: Sue Hicks, 601-981-3060
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JACKSON
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3118 Livingston Road
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Capitol Street and Monument Street
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219 S President St
GARRETT OFFICE COMPLEX
2659 Livingston Road
DOLLAR GENERAL
3957 Northside Dr (North Jackson)
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4331 Highway 80W
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50th Anniversary
Pastor Hickman Johnson
First Lady Gladys Johnson
Farish Street Baptist Church • September 1-2, 2018 • Jackson, MS
PHOTOS BY JAY JOHNSON
FILM REVIEW: VENUS
KITCHEN SINK DRAMEDY DELIVERS TIMELY MESSAGE ABOUT GENDER PREFERENCE TOLERANCE
By Kam Williams Columnist
Sid Gill (Deargo Sanyal) is presently being pressured by his East Indian immigrant parents (Zena Darawalla and Gordon Warnecke) to settle down and start a family. They are even willing to find the bride. Trouble is, they have no idea that Sid is on the verge of transitioning into a woman.
“My body is a costume I cannot take off,” Sal laments to himself, which explains his feeling that “I must have landed here from Venus.” Nevertheless, he’s trying to summon up the courage to inform not only his folks of his gender change plans, but his boss as well.
Meanwhile, he can’t figure out why a kid on a skateboard (Jamie Meyers) has been following him around a lot lately. When he finally confronts the teen on the street, he gets a jaw-dropping explanation: “You’re my dad!”
Sure enough, Ralph turns out to be the love child of Sid and his high school sweetheart, Kirsten Lewis. Too bad, Kirsten (Amber Goldfarb) never bothered to tell him about the pregnancy, and still doesn’t want to have anything to do with him when he knocks on her door to find out. So, Sid brings a little baby-mama drama to the mix.
Oh, and Ralph’s arrival threatens to wreck Sid’s relationship with Daniel (Pierre-Yves Cardinal), Daniel’s gay but deep in the closet, and not ready to further complicate his life with a step-son.
All of the above is unravelled and resolved in delightful fashion in Venus, a kitchen sink dramedy written and directed by Vishal Marjara (Desperately Seeking Shiva). However, like the cross-cultural, cross-generational adventure touches on a variety of themes, what makes it all worthwhile is its timely and tenderhearted exploration of transgender issues.
An apropos redefinition of the meaning of family for the 21st Century!
Very Good (3 stars)
Unrated
Running time: 95 minutes
Production Studio: Compass Productions
Studio: Wolfe Releasing
Review: Support the Girls
A day in the life of gutsy “Den Mother” in charge of Beleaguered Sports Bar
By Kam Williams Columnist
Double Whammies is an unremarkable watering hole located along a desolate strip of highway near Jackson. Teenage tracklers and regulars can slip in and out quietly without drawing much attention to themselves. The seedy sports bar, à la your typical Hooters, is known for its booze and finger food served by scantily-clad waitresses in cut-off jeans and low-cut tops.
The place is run with an iron fist by Lisa Conroy (Regina Hall), a very-protective den mother who takes seriously her mission to shield her employees from perverts inclined to cross a line to fraternize improperly. Though she shows her tough side to the clientele, the tenderhearted manager handles her staff with big kid loves.
Lisa’s mostly crew ranges from naive newcomers to hardened pros, and she’s blessed with a knack for knowing precisely what sort of support each needs. Unfortunately she’s not appreciated by Double Whammies’ owner, Cullen (James Le Gros), probably because the club always seems to have a host of unresolved woes.
For example, at the moment, there’s a burglary in progress thanks to a hapless perp who got himself stuck in a ceiling vent. Lisa knows the show must go on, so instead of summoning the police, she has her own way of dealing with such a distraction which keeps the wheels turning but frustrates her skeptical boss. That’s just the way it goes at this quirky haunt.
Written and directed by Andrew Bujalski (Beeswax), the film features one of the hallmarks of the low-budget genre on which the Mumblecore man built his career. The picture effectively paints a poignant portrait of a day in the life of a humble, dedicated, working-class heroine just trying to make a buck.
Remember how the indie-flick Paterson (2016) managed to elevate a lowly New Jersey poet/bus driver? Well, this tale of re-empowerment pulls off a similar feat. Raw-edged cinematic verite’ cut to the bone, if that suits your taste.
Very Good (3 stars)
Rated R for profanity, sexual references and brief nudity
Running time: 90 minutes
Production Studios: Burn Later Productions / Houston King Productions
Distributor: Magnolia Pictures
Guest Speaker, Audrey B. Wiley,
Vice President Westhaven Funeral Home
MISSISSIPPI SICKLE CELL FOUNDATION
Celebrating Our Stars GALA
The Railroad District
August 24, 2018 • Jackson, MS
PHOTOS BY DESTIN BENFORD, DNA PHOTOGRAPHY, LLC
Lexington mayor dedicates clean-up efforts in memory of the Queen of Soul
The Mississippi Link Newsroom
In a good gesture of her heart, Mayor Robin McCrory dedicated Aug. 18’s successful Clean-Up Day in memory of the Queen of Soul, Aretha Franklin.
McCrory made the impromptu announcement at the Lexington Library as she and cleanup participants posed for a group photo following the event. She and others were fans of the legendary gospel and soul recording artist, acclaimed as one of the greatest musical forces of all time. Franklin succumbed to a battle with pancreatic cancer Aug. 16.
“R-E-S-P-E-C-T,” McCrory belted out as she and the group posed for the photo. She asked them to say, “Respect” instead of “cheese.” “We must have respect for our mother and respect for the city in which we live by keeping it a little free,” she said.
More than 184 people showed up at 9 a.m. and braved the overcast and later rainy skies to pick up trash in their city. The beautification event was coordinated by the City of Lexington in partnership with Keep Holmes County Beautiful. More than 200 bags of trash were collected.
“We picked up a lot of stuff,” said student Jerry Reese of the Lexington County Youth Football Team. “It was good to clean up.” His teammate Deundra Johnson echoed: “It was great! We went to a lot of places; made sure we picked up all of it; and we had a lot of fun,” he said.
Deundra’s mother Yolanda Wallace said she “had no idea that it was that much trash in our community.”
The City of Lexington mayor, aldermen, city officials, Holmes County Chamber of Commerce staff and associates of Keep Holmes County Beautiful are grateful to everyone for their dedication and respect for their community.
At noon, refreshments were served and door prizes were given away.
“The City of Lexington thanks all of our many sponsors that helped make this cleanup event fun and such a huge success,” said McCrory.
Hinds County School District Weekly Update
ENGAGING-EMPOWERING-ENSURING-EXCELLENCE
HCSD holds annual active shooter exercise at Terry High School
The Hinds County School District and local law enforcement held its annual active shooter training exercise at the beginning of school this year at Terry High School.
District spokesman John Neal said, “The most important part of these drills is agencies talking about how we communicate with each and the drills also allow the district to check its procedures and train its employees.” Neal said they will take what they learned from the drill and use it at future drills while school is in session. The district follows state law and performs one active shooter training drill a year with students.
During the drill, emergency and school personnel simulated an active shooter situation in which shots were fired, several students were shot and injured, and the shooter was eventually killed by law enforcement. Student actors played victims and practiced exiting the school safely. School personnel were seen walking out of the school with their hands in the air as they were escorted out by emergency officials and EMS crews tended the injured and transported them from the scene.
Intruder enters the building and SRO sounds alert before being injured.
Emergency responders arrive and begin checking the injured after threat isolated.
Officers from Byram PD enter the building for support
First officers (Terry PD) to enter the building after 911 call with exercise evaluators observing
Support officers arrive from Hinds County Sheriff’s Department
Superintendent Delesia Martin thanks all of the local respondents for their support with the training exercise.
Command post for exercise
Students and employees exit the building after law enforcement give the all clear.
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17 June 2014
Feasibility Study for the Design and Implementation of Demand-side Innovation Policy Instruments in Estonia
Final Report part 2 – Policy Recommendations
Feasibility Study for the Design and Implementation of Demand-side Innovation Policy Instruments in Estonia
Final Report part 2 – Policy recommendations
technopolis [group]
Manchester Institute of Innovation Research
Jari Romanainen, Katre Eljas-Taal, John Rigby, Paul Cunningham, Kincsö Izsak, Katrin Männik, Jelena Angelis, Kristel Kosk, Johanna Vallistu
# Table of Contents
1. Methodology .......................................................... 3
2. Benchmarking Estonia’s position ................................. 5
3. Preconditions for introducing demand side policies and for designing coherent policy mixes ........................................... 9
4. Creation and evaluation of a set of sustainable policy mix for stimulating Estonian smart specialisation areas ....................... 13
4.1 E-governance ...................................................... 13
4.2 Healthcare ......................................................... 19
4.3 Smart construction ............................................. 28
5. Developing an action plan to implement demand-side instruments in smart-specialisation areas ........................................ 35
5.1 Action plan for improving policy preconditions for implementing demand-side instruments ........................................ 35
5.2 Policy options for introducing demand side innovation policy measures in Estonia ............................................ 40
5.3 Tentative road maps towards an action plan ................. 42
6. Principles of measuring the impact of implementation of the demand-side innovation policy ........................................ 49
6.1 Orientation: what are the programme aims? ................. 49
6.2 Monitoring and measurement of specific demand-side instruments .......................................................... 50
6.3 Behavioural additioanality ..................................... 54
7. Executive Summary .................................................. 56
8. Kokkuvõte ............................................................. 62
Appendix A Benchmarking Estonia with other countries .......... 67
Appendix B Policy recommendations .................................. 78
Appendix C Summary of validation seminar ......................... 85
# Table of Figures
Figure 1. Process diagram of the feasibility study .................. 3
Table 1. Representation of necessary preconditions for successful demand side policy implementation .................................................................8
Table 2. Recommendations for implementation of innovation policy-mix in Estonia ...........................................................................................................11
Table 3. Relevant policy measures for developing a policy mix in the smart specialisation area of e-governance in Estonia ..................................................16
Table 4. Relevant policy measures for developing a policy mix in the healthcare smart specialisation area in Estonia .............................................................................25
Table 5. Relevant policy measures for developing a policy mix in the smart construction smart specialisation area in Estonia ......................................................31
Table 6. Most important preconditions for introducing demand side innovation policy measures in Estonia .......................................................................................38
Table 7. Most important preconditions for introducing demand side innovation policy measures in smart specialisation areas ........................................................................39
Table 8. A road map towards action plan for introducing demand-side instruments in e-governance ........................................................................................................43
Table 9. A road map towards action plan for introducing demand-side instruments in healthcare ........................................................................................................45
Table 10. A road map towards action plan for introducing demand-side instruments in smart construction ....................................................................................................48
Table 11. Suggested set of information data and sources for measuring demand-side instruments ........................................................................................................51
Table 12 Suggested set of information data and sources for measuring demand-side instruments – government organisation perspective ........................................................................53
Table 13: Suggested set of information data and sources for measuring behavioural addtionality effects and outcomes: Firms and government organisations/ministries. ........................................................................................................55
Introduction
This second part of the final report is the second report of the feasibility study for the design and implementation of demand-side innovation policy instruments in Estonia. The first part of the final report focused on analysing market potential and international experiences. The aim of this report is to introduce policy recommendations for implementing demand-side innovation policy as well as recommend action plan to implement the demand-side instruments and assessment model for measuring impact of demand-side instruments in Estonia.
The key question of the feasibility study was how to integrate demand-side instruments into existing innovation policy mix. The approach from generic to specific was followed: first global aim of the innovation policy (economic growth) was identified, followed by thorough analysis of the state of play of implementing demand-side instruments in Estonia. Then an analysis of international experiences of using demand-side innovation policy instruments was provided and complemented by international benchmarking. Knowing the existing situation in implementation of innovation policy (only supply-side innovation policy instruments are implemented and no demand-side innovation policy) as well as policy context (necessary preconditions for implementing demand-side instruments) and general objective of innovation policy (economic growth) a missing piece – demand-side innovation policy instruments – were developed.
During the first part of the final report it was concluded that the most used demand-side instruments have been the public procurement of innovation and pre-commercial public procurement. There are fewer national level cases of using regulations or standardisation to influence demand conditions or measures fostering private demand. The most popular, recent areas of innovation procurement programmes are in health, transport and environmental solutions across the EU countries.
The recent European Innovation Scoreboard 2013\(^1\) places Estonia among the innovation followers – its innovation performance has been increasing at a steady rate since 2007 although the growth rate has slowed down since 2009. Estonia’s performance is above the EU average for international scientific co-publications, non-R&D innovation expenditures, innovative SMEs collaborating with others and Community trademarks (IUS, 2013). The story behind this success is the supply-side innovation policy, which Estonia has been using. There is no direct demand-side innovation policy implemented in Estonia so far – government funded support measures lean to the supply side of innovation involving mainly grants. However, the new R&D strategy 2014–2020 introduced a number of growth areas – ICT horizontally across other areas, health and health technologies as well as the more effective use of resources, as the most potential areas for Estonia.
The Government role in creating market demand has been rather modest and its biggest role has been in the ICT sector itself (rather than in the ICT sector as an enabler in other sectors) as well as in the construction sector (as a customer). Nevertheless, the government (including local municipalities) has generally purchased the most cost efficient products and services rather than taking risks and procuring innovative solutions. The Government organisations’ annual planning cycle with its four-year perspective, supports short-term solutions, which tend to prefer a supply-side approach to innovation policy. Nevertheless, there are some attempts to use demand-side aspects in all the smart specialisation areas, but they are ad hoc and any
\(^1\) Innovation Union Scoreboard 2013, European Commission (2014), http://ec.europa.eu/enterprise/policies/innovation/files/ius/ius-2014_en.pdf
solution to specific problems have been serendipitous, rather than the result of a long-term strategy.
A further rationale for introducing demand side elements into innovation and other policies originates from the need to address societal challenges. On the national level, this means developing innovative products, services and solutions to address national challenges (e.g. ageing population, rising cost of healthcare, social divide, environmental concerns, etc.) and in doing so, control public sector expenditures. On the global level, new growth opportunities will emerge and develop for innovative products, services and solutions as other countries address similar challenges.
Developing more systemic innovative solutions related to, for example, smart cities, ambient assisted living (especially of elderly people), more efficient use of resources (including life-cycle considerations, recycling, effective utilization of waste, etc.), or smart and efficient transport systems, requires coherent mixes of policies that extend from R&D and innovation policy across several sector policies. Demand side measures can be quite effective\(^2\) especially in these more extensive policy mixtures in enhancing the demand for innovation and lowering the market access barriers for innovative products, services and solutions.
The Estonian market is small and therefore typically not very interesting for potential growth companies. However, even small markets can be interesting, if they are innovative, i.e. driven by sophisticated demand for new and improved products, services and solutions. A further requirement is that the demand for innovation is consistent with the potential existing and future demand in the international markets.
The demand for innovation should be developed in a way that allows companies to recognise that developing new products, services and solutions to Estonian markets will eventually make them competitive internationally.
Developing demand side elements within the national innovation policy should therefore take into account the specific characteristics of the Estonian markets (e.g. small size, relatively low international visibility, currently not very sophisticated demand, low awareness and adoption capability both among policy makers and market actors), and the need to design potential measures to enhance the demand for innovation that has also recognisable potential in international markets.
The adaptive capability for demand side innovation policy and related policy measures is currently relatively low in Estonia. This is mainly due to the lack of experience, lack of overall awareness, problems related to existing governance models, perception of risks involved in innovation, lack of competences and methods to manage risks, and lack of competences to design and implement demand side measures.
On a more practical level, there are a number of barriers for introducing demand side measures into the R&D and innovation policy domain. Most of these are related to the current low adaptive capabilities. Overcoming of these barriers is the subject of current report.
Current report starts with benchmarking Estonia’s policy culture and practices relevant for implementation of demand-side instruments with other countries (section 2), followed by introduction of necessary preconditions for implementation of demand-side measures (section 3) as well as recommending a sustainable policy mix for stimulating smart specialisation areas (section 4). For each smart specialisation area the roadmap towards detailed action plan is designed – it presents necessary activities to be taken for introducing the demand-side instruments (section 5). Finally principles of measuring the impact of implementation of the demand-side innovation policy are recommended (section 6).
\(^2\)Feasibility Study for the Design and Implementation of Demand-side Innovation Policy Instruments in Estonia
1. Methodology
The aim of the developed methodology was to analyse reasonability of introducing demand-side innovation policy measures and to integrate them into other (supply-side) policies in Estonia. The key issue was understanding why and which types of demand side approaches to apply for specific policy contexts.
The study was provided in three main stages:
**Stage 1:** mapping worldwide trends in demand–side innovation policy in medium and long-term perspective and existing policy gaps in Estonia;
**Stage 2:** Characteristics and market potential for introducing demand–side innovation policy in Estonia;
**Stage 3:** Creating a policy mix for Estonian smart specialisation areas, developing policy recommendations and action plans.
Stages 1 and 2 are covered in the final report part 1 and stage 3 is discussed in the current report. The process of the study is presented on Figure 1. In the first stage of the study mainly **desk research** was used. For international mapping of demand-side instruments recently provided studies were reviewed and analysed. The most interesting examples relevant for Estonia were presented. Estonian innovation policy mix was described on the basis of existing studies on innovation, smart specialisation strategy and sectoral strategies. For mapping of existing support measures related to the smart specialization areas as well as number of public procurements in those areas Structural Funds Information System as well e-procurement registry were used.
Second stage (field-work) of the study focused on data and qualitative information collection about stakeholders as well as their competence, awareness and readiness in order to characterize market potential in all three smart specialization areas. Stakeholders were identified on the basis of their role in the market: first, public sector as market regulator and demand creator and secondly, private sector as innovation supplier. For collection of qualitative information three focus groups were provided in ICT (18 participants), health (31 participants) and resources (17 participants). In addition 11 in-depth interviews were conducted with representatives of public authorities as well as sectoral umbrella organisations. To collect experiences abroad three case studies were provided in the areas of ICT (test platforms in the UK), health (pre-commercial procurements in the UK) and construction (smart regulation in Denmark). Also, looking for existing demand-side experiences in Estonia, three short case studies were provided.
This part 2 of the final report represents the final stage of the study started with benchmarking of Estonia against selected countries – the UK, the Netherlands and Finland. The UK was chosen because of its long history in using demand-side instruments, the Netherlands and Finland because of their similar size compared to Estonia as well as existing demand-side experiences. Benchmarking focused on qualitative aspects rather than quantitative, as no demand-side instruments have been used in Estonia so far.
In next step, overcoming barriers to introduce demand-side instruments in smart specialisation areas identified in the second stage, were addressed with potential demand-side policy instruments. To increase impact of demand-side innovation policy, the focus of smart specialisation areas were narrowed to e-governance (ICT), e-health (health) and smart construction (more effective use of resources) as the most promising areas for further growth in Estonia. Final policy recommendations were validated with stakeholders in order to get their feedback and understand how feasible is introducing of the proposed instruments.
The current report aims to give qualitative input into the development of supportive measures in all smart specialisation areas led by the Estonian Development Fund. As the process is on-going and no specific sectorial measures are yet defined, the level of detail of this report remains on the level of strategic advice. Furthermore, before implementing demand-side instruments a number of basic policy preconditions need to be addressed – ignoring fulfilling these preconditions will result in limited impact from introducing demand-side instruments.
2. Benchmarking Estonia’s position
Policy benchmarking is an important step in the selection, improvement and development of the activities of government. It is generally considered to be good practice for governments to investigate new policies before implementation them and to do this through some form of comparative exercise such as benchmarking, as well as to conduct an impact assessment of the policy to identify what is likely to happen as a result of the introduction of the policy. In order to be successful, a benchmarking exercise must choose the right targets, and compare similar items and or their contexts, otherwise the conclusions reached will be unrealistic. As the report by Lember et al has noted, Estonia does not have at present a generic demand side policy\(^2\). Therefore it is not possible to make a comparison on the basis of usual benchmarking criteria of such countries as the Netherlands, the UK and Finland, where there are such policies, with Estonia, where such policies are not implemented although they are now under discussion. However, **comparison between UK, Netherlands, Finland and Estonia is possible at the level of contexts for policy** and this has been the approach we have taken here. Our stance in this analysis is qualitative and borrows from realist evaluation, which emphasizes the contexts of policy as well as the policies themselves. The importance of qualitative benchmarking is to understand in which innovation and sectoral policy contexts the demand-side instruments in benchmarking countries are implemented and what can Estonia learn from other countries’ experiences. Also, what are the most important preconditions to be in place before introducing any demand-side instruments and what are the preconditions requiring improvement in Estonia. However the benchmarking is based on qualitative interpretation (having no figures to proof the opinion) of policy contexts’, it gives us understanding that **no demand-side innovation policy can be successfully implemented without addressing necessary policy preconditions**.
An examination of the preceding benchmarking exercise enables the following broad conclusions to be drawn (see Appendix A). These are presented according the headings used in the benchmarking exercise (see also Table 1) and grouped under three main topics; governance culture, awareness and recognition of the potential of demand side policies and competence and experience in demand side policies and policy mixes.
**Governance culture**
**Government attitudes towards markets (incl. self-regulation):** All four economies tend to follow liberal or laissez-faire\(^3\) market policies, although business regulation is applied rigorously, particularly in certain sectors, albeit in a way that is intended not to constrain business development. Regulations have been used to stimulate demand in certain areas, such as green technologies (in the UK and Netherlands) while fiscal policies have also been used to stimulate private R&D activity (UK, Netherlands and Finland). Neither regulation nor fiscal policy is used as yet as an innovation policy instrument in Estonia, which thus offers a policy opportunity.
---
\(^2\) Lember, V, Kattel, R, Kalevt, T, Public procurement, Innovation and Policy: International Perspectives, Springer, 2014, available at: [http://www.springer.com/business+%26+management/technology+management/book/978-3-642-40257-9](http://www.springer.com/business+%26+management/technology+management/book/978-3-642-40257-9)
\(^3\) The laissez-faire leadership style is where the leader delegates the tasks to their followers while providing little or no direction to the followers.
Balance between government roles as market actor: In Estonia, the government is a major owner or stakeholder in several more strategic private sector companies (e.g. in energy) and also in the education and health sectors. A similar situation occurs in the Netherlands; here the government controls a number of infrastructure and financial actors. In Finland, state control has been replaced through a process of privatisation and regulatory control, although it retains control of the health and education sector. In the UK, successive governments have followed a long-term strategy of privatisation. The Netherlands and the UK are very active with regard to public procurement and also, increasingly, its use as a policy instrument. In Estonia, no long-term public procurement plans exist, although the government has introduced a number of e-government services – thus, the development of public procurement practices also offer a potential opportunity for Estonia.
Balance between political and expertise based drivers in policy design: While Estonia has no strong traditions of policy studies, analyses and evaluations, in contrast, the UK, Netherlands and Finland (although, perhaps less so in the latter) have policy making systems that are strongly grounded in evidence based approaches, including evaluation and monitoring. Clearly, the development of an effective evidence-based view of policy making is essential to the design and implementation of successful policies in Estonia.
Balance between economic - social - environment policy objectives interaction between different policies and cross-departmental characteristics of policy design: ‘Estonia 2020’ has set in place a consistent set of strategic objectives, although weak cooperation between sectoral ministries has negated some of this consistency. The comparator countries have also set out strategic innovation plans which include economic, social and environmental policy objectives and which require close inter-departmental cooperation: this is achieved only to varying degrees but the presence of a ‘lead’ department seems to enhance this process.
Organised strategic intelligence: Estonian foresight activities have been reduced since 2012, the main driver now being EU funding. In contrast, the UK has an extensive track record in the conduct of strategic reviews, evaluations, foresight exercises and horizon-scanning activities. Likewise, the Netherlands has a culture of evidence-based policy design with a structured policy monitoring and evaluation system in place and has undertaken a number of foresight exercises. In Finland, strategic intelligence activities are less widely undertaken (foresight exercises are carried out) but the strong evaluation and monitoring practice is generally sufficient to provide the necessary supporting evidence for policy making. Stakeholder engagement is also strongly present in the UK, Netherlands and Finland. Such strategic intelligence activities would be a significant enabler in the identification and formulation of policies to stimulate demand in Estonia.
Role of mission oriented policy design: Estonian experience in this area is relatively limited to the planning of the use of EU funds. It is clear from the experience of the other countries examined that cross-governmental coordination, possibly through a lead agency or ministry, is a critical factor in the governance of mission-oriented activities.
Balance between management by objective and management by resources: There is a clear distinction between Estonia, where a management by resources approach dominates and the other countries, where a management by objectives approach is more prevalent, albeit one tempered by the constraints imposed by available budgetary resources. Overall, an objectives-based approach must be accompanied by clear mechanisms for prioritisation and selectivity.
Stakeholders (market actors, end-users) participation in policy design: Overall, the involvement of stakeholders in policy design is far less developed than in the UK, Netherlands and Finland where such dialogue forms a prevalent and important input.
Cross-departmental governance (incl. leadership): Both the UK and the Netherlands utilise lead departments or ministries in research and innovation policy governance,
assisted through extensive cooperation with other relevant departments, ministries, agencies and stakeholders. The Finnish system also makes use of cooperation across government although ‘leadership’ roles for agencies are a newer development. Such practices are absent in Estonia, but would form an essential prerequisite for the development of a government wide demand driven policy initiative.
**Horizontal policy implementation:** Overall, joint strategic action between ministries and departments, when it occurs, is well coordinated in the three comparator countries. However, this appears to be a problematic area for Estonia. This is an issue since demand-side policies typically require a horizontal and strategic approach.
**Public sector risk management culture:** There is a relatively positive attitude to the acceptance of risk in the UK, Netherlands and Finland, which is recognised as a feature of innovation. The occurrence of risk is mitigated by the presence of dialogue, consensus building and appropriate mechanisms for policy design, monitoring and assessment, all of which seek to minimise the consequences of risk. Such attitudes and the associated approaches to the amelioration of risk are absent in the Estonian system.
**Awareness and recognition of the potential of demand side policies**
**Role of demand side in innovation policy:** The UK, Netherlands and Finland all recognise the potential of demand instruments as a component of innovation policy. Both the Netherlands and Finland have been leaders in the introduction of such instruments, and the UK has also introduced some measures, although they have yet to be integrated into broader strategic policy mixes. Direct demand-side policy in Estonia is yet to be developed.
**Innovativeness of potential buyers:** Estonia has no long-term public procurement plans and there is poor awareness of innovative potential and opportunities offered by Estonian firms, a mismatch exacerbated by a lack of communication between both sets of actors. Despite a high demand for public procurement in the UK, the procurement of innovation remains challenging. Recent evidence suggests that Dutch experience with demand side instruments is positive although there seem to be some issues concerning the entry of the outputs into the public sector market. Finland demonstrates some risk aversion concerning the uptake of innovation by the public sector. It appears that, generally, more effort is needed in increasing the acceptance of innovation by public sector clients.
**Innovativeness of end-users:** There is a spectrum of openness of end users to innovation, from Finland, where it is quite high, through the Netherlands, to the UK where openness depends on sectoral characteristics, to Estonia, where there is more reticence to the uptake of innovative products and services, often for reasons of higher cost. A shift from price-based procurement towards an innovation-oriented approach would be required for the introduction of this type of demand-led instrument.
**Competence and experience in demand side policies and policy mixes**
**Experiences with demand side instruments and policy mix:** All three comparator countries have some experience of demand side policies: the UK and Finland have focused on innovation procurement and pre-competitive procurement, to which the Dutch add regulation. All three countries, however, have less experience with the design of strategic policy mixes. Estonia lacks any experience with the implementation of demand side policies.
**Competences (in identifying, designing, implementing and governing policy mixes and potential of demand side instruments)** Although all three comparator countries have some experience of the design and implementation of demand-side instruments, experience is relatively lacking with regard to identifying, designing, implementing and governing policy mixes. However, several studies indicate that policy mixes are organic constructs that arise over time through the sequential evolution of their component instruments and policies. This process can be informed by policy learning processes (i.e. review and evaluation) but an example of the design, *ab initio*, of an
entire policy mix is, as yet, unknown. Since the concept of demand-side innovation policy is new in Estonia, an essential first step would be training and awareness raising within the public sector, coupled with improved competences in evaluation and review practice.
On the basis of benchmarking results the preconditions for implementing demand-side innovation policy instruments can be developed. Table 1 summarises all necessary preconditions for introducing demand-side instruments as well as gives qualitative opinion about status of the precondition in Estonia. When there have been taken some actions already or the precondition has already been addressed on certain level, the current level of implementation is assessed as ‘slight’ (meaning meeting the precondition is on half-way, but still needs to be addressed). When there are no activities taken yet or the level of addressing this precondition is low, the current level of implementation of the precondition is assessed as ‘low’ (meaning strong efforts to meet the precondition should be taken).
The column of importance of change in Table 1 shows the impact of addressing certain precondition – how much impact a precondition has for implementing demand-side instruments. High scores preconditions have high impact for implementing demand-side instruments, meaning these should be addressed in first hand. Medium and low scored preconditions have less impact on implementation of demand-side instruments, meaning they can be addressed in a second or third hand (respectively), but in any cases cannot be ignored or forgotten.
Table 1. Representation of necessary preconditions for successful demand side policy implementation.
| Precondition | Current level of implementation | Importance of change |
|------------------------------------------------------------------------------|---------------------------------|-----------------------|
| Unified cross governmental-level, longer term, ambitious visions and strategies | Slight | high |
| Strong strategic intelligence capacity | Slight | medium |
| Truly horizontal and holistic R&D and innovation policy | Low | medium |
| Partnerships between government and market actors | Slight | high |
| Active role of end-user communities in the design and implementation of policies | Slight | Low |
| Identification and active work with market actors to influence EU-level decisions relevant for enhancing the demand for innovation in selected markets | Low | Low |
| Systematic innovation risk management practices of the public sector | Low | high |
| Regulation and fiscal policy as an innovation policy instrument | Low | medium |
| Development of smart public procurement practices | Low | medium |
| Development of effective evidence-based view of policy making | Low | Low |
| Close inter-departmental cooperation (with possible ‘lead’ department) | Slight | Medium |
| Objectives-based policy making accompanied by clear mechanisms for prioritisation and selectivity | Low | medium |
| Role of demand side in innovation policy | Low | Medium |
| Innovativeness of potential buyers | Slight | Medium |
| Innovativeness of end-users | Slight | Low |
| Experiences with demand side instruments | Low | N/A |
| Innovation related training and awareness within the public sector, coupled with competences in evaluation and review practice | Low | medium |
3. Preconditions for introducing demand side policies and for designing coherent policy mixes
There are a number of barriers that need to be addressed at the overall level of policy and governance in Estonia in order to foster demand side innovation policies and allow for more systematic design of policy mixes. Furthermore, there are a number of barriers related to specific types of demand side instruments that can be addressed at the more general policy level. Both of these are discussed here. Since many of the recommendations related to addressing these barriers are interlinked, all recommendations are presented at the end of this chapter.
Systematic R&D&I are long-term activities, which aim to provide solutions to future market needs. There are markets, in which most future needs have already been recognised. However, fast technological developments and continuous restructuring of global value chains and businesses increases uncertainty. Although **all R&D and innovation include risks**, the more predictable the future market needs are, the higher the incentive for companies to engage in systematic R&D&I activities.
This is important for two reasons. *First*, it will make companies interested in focusing their R&D&I efforts to provide new and better solutions for the public sector, thereby allowing them to plan their long-term R&D activities strategically. *Secondly*, it will allow long-term development of public sector activities and, especially, lead to the improvement of the effectiveness, efficiency and quality of public services with the help of innovation.
As the public sector aims to be a driver for innovation, it must take care that the demand it creates is consistent with future demand in international markets. This further highlights the need for strategic intelligence in defining future public sector needs. Proprietary national solutions should be carefully avoided, since they may encourage companies to waste resources to develop solutions that have minimal or no export potential.
**The main barrier for innovation in the public sector** is too much focus on short-term activities and resources. While there are longer term plans (such as for the structural funds period 2014-2020), these tend to be divided into activities at the level of individual ministries and their activities without any overall government level strategic direction. This leads to fragmentation, which may be overcome with additional coordination efforts. However, more often coordination remains unaddressed or is ineffective. The result is a fragmented set of policies and policy initiatives, which is both confusing for companies and is subject to unexpected changes. Again, this lack of longer-term vision poses a challenge to companies with regards to their strategic investment planning. Short term focus and fragmented policy implementation makes public sector future demand rather unpredictable and therefore less interesting for companies to invest any R&D and innovation efforts.
To overcome this and to enhance the role of public sector demand as a driver for innovation, **governance must place greater emphasis on defining and communicating longer term needs**. This requires changes at all levels of the policy cycle, i.e. strategic intelligence, policy design and policy implementation.
**The main driver for public sector innovation** is the need to address societal challenges. These are often referred also as ‘wicked problems’, since they are difficult to address by the traditional hierarchical government structures and governance models. These include social challenges related to, for example, ageing of the population and social inequalities, and environmental challenges related to, for
example, climate change, waste management, sustainability issues and environmental impact.
In order to address societal challenges, there is a need to improve governance models and/or structures accordingly. A more unified governance approach is needed, which may be achieved through enhanced coordination and collaboration between existing structures or through restructuring. In the innovation policy domain this raises two issues. First, innovation policy must become more horizontal and holistic, i.e. not a sectoral policy under one ministry, but a policy objective shared (and understood) across the whole government. Secondly, innovation policy should shift towards a challenge driven approach, i.e. shifting the focus from supporting R&D&I activities as such towards supporting the creation of innovative products, services and solutions to address societal challenges. This also emphasises the increasing role of demand side policies.
An additional driver for demand side policies is the need to increase the leverage of public policy and especially public funding. As public resources become more and more limited, policies and policy initiatives must become more effective, i.e. achieve a higher impact with less resources. This also means that rather than focusing only on dedicated R&D&I policy resources, all appropriate public resources should be utilised to enhance R&D and innovation. This implies a greater alignment of policies outside the narrowly defined R&D and innovation policy sphere, such as those relating to, for example, energy, transport, health and environmental policies, particularly where R&D and innovation activities may also play a significant role.
Estonia is a relatively market driven economy, so the overall political and economic context would seem to favour this kind of shift. However, in the R&D&I policy domain and in the public sector activities, market driven approaches do not currently appear very strong. In fact, they are relatively weak, as the policy seems to favour supporting public research and support for companies’ innovation activities rather than enhancing the market demand for innovation.
Demand side policies are driven by market needs and, more specifically, future market demand. Whereas the ‘future’ might refer to next year or 10 years from now, the main issue is that the driver for R&D and innovation is the market and its needs. If the government intends to utilise demand side policies to drive innovation, it must focus on how to change market behaviour and specifically how to enhance the market demand for innovation. This inevitably means that government needs to actively seek real partnerships with market actors and end-users.
On one hand, this may change the perception of the role of government. This does not mean that government should become more active in the markets or seek to influence the markets. It means that the government must identify and introduce very targeted and time limited actions to enhance market development towards a direction which favours higher market dynamics, lowers or removes market entry barriers, increases quality and performance based competition and increases the awareness and interest of buyers and end-users to buy innovative products, services and solutions.
On the other hand, this means that government must establish continuous dialogue and strategic longer-term partnerships with market actors. These may take many different forms. However, the main purpose of these partnerships is to make future public sector demand more predictable and ensure that it is consistent with international market demand, and thereby make companies interested in developing and providing solutions that meet these future needs. Partnerships will also enhance public sector strategic intelligence capacity, since public agencies will benefit from the companies’ knowledge of global market trends, public research organisations’ knowledge of global research trends, and changes in consumer/citizen attitudes and needs. Furthermore, partnerships can be very effective in building trust and enhancing
networking, which can support the creation and development of stronger clusters and knowledge concentrations, which in turn are important in attracting R&D&I related FDI into Estonia.
Estonia is a small open economy within the EU. This means that many decisions and limitations related to markets and policies originate and must be adopted from the EU level. In order to be able to influence these decisions, a **small member state must be able to build a stronger negotiation position in selected areas of importance to it**. While there may be several ways to achieve this (including alliances with other member states), being among one of the most advanced Member states in the design and implementation of modern R&D and innovation policies is one of the most effective. Practical experience and showcases of novel policy approaches and initiatives will inevitably raise the visibility of a member state and its influence in future decisions related to innovation policy at the EU level.
This is one of the reasons Estonia should be active in the EU platforms, especially those related to the design and implementation of demand side policies and policy mixes addressing societal challenges. This will also allow Estonian companies and research organisations to identify and network with relevant partners within the EU and thereby enhance their possibility to influence and access future markets based on the new platform technologies, standards and regulatory environments developed to address societal challenges in Europe. This again emphasises the need for partnership between government and companies (and public research organisations), since participation and the ability to enhance the influence of Estonia at EU platforms should be a joint effort.
Based on the above discussion of key overall policy level barriers and the ways in which they may be overcome, we present the following recommendations. These recommendations are given here at a general level. Each recommendation is labelled as **important** (priority no. 1), **desirable** (priority no. 2) or **optional** (priority no. 3) depending on how essential it is for introducing demand side measures and designing policy mixes (see Appendix B). Some of them will be further detailed later in the context of describing the policy mixes and action plans.
**Table 2. Recommendations for implementation of innovation policy-mix in Estonia.**
| Recommendation | Policy mix | Demand-side instruments |
|-------------------------------------------------------------------------------|------------|-------------------------|
| **Governance** | | |
| 1. The Estonian Government should establish unified cross governmental-level, longer term, ambitious visions and strategies. | Important | Desirable |
| 2. The Estonian Government should strengthen its strategic intelligence capacity. | Desirable | Optional |
| 3. R&D and innovation policy should shift towards a truly horizontal and holistic policy. | Desirable | Optional |
| 4. The Estonian Government should actively build partnerships with market actors. | Desirable | Important |
| 5. The Estonian Government should encourage end-user communities to take a more active role in the design and implementation of policies related to markets and innovation. | Optional | Optional |
| 6. The Estonian Government should identify and actively work together with market actors to influence EU-level decisions relevant for enhancing the demand for innovation in selected markets. | Optional | Optional |
| 7. The Estonian Government should establish systematic risk management practices for the public sector. | Optional | Important |
| **Public procurement of innovation and pre-commercial procurement** | | |
| 8. The Estonian Government should establish a small unit to specialise in the public procurement of innovation and pre-commercial | Optional | Important |
Feasibility Study for the Design and Implementation of Demand–side Innovation Policy Instruments in Estonia
| Recommendation | Optional | Desirable | Important |
|--------------------------------------------------------------------------------|----------|-----------|-----------|
| 9. The Estonian Government should make use of public-private partnerships to identify the potential of innovation in addressing the longer-term needs of the public sector. | | | |
| 10. The Estonian Government should make use of end-user communities in understanding the needs of citizens with regard to potential demand-led innovation solutions. | | | |
| 11. The Estonian Government should establish appropriate incentives and governance practices that support innovative procurement. | Desirable| | Important |
| **Smart regulation, standards and norms** | | | |
| 12. The Estonian Government should adopt a government-wide policy to reform the regulatory regime to better enhance innovation. | Desirable| | Desirable |
| 13. The Estonian Government should make use of partnerships to identify and reduce or remove any regulatory barriers for innovation. | Desirable| | Important |
| 14. The Estonian Government should encourage innovative companies to participate in EU-level and other international standardisation activities. | Optional | | Desirable |
| 15. The Estonian Government should establish time limited buyer incentives with a clearly communicated exit plan and impact monitoring system. | Desirable| | Important |
| 16. The Estonian Government should establish experimental platforms aimed at private markets | Optional | | Optional |
| 17. The Estonian Government should establish experimental platforms aimed at public sector solutions to help develop and test applications for the public sector in a safe environment before adopting them more widely. | Desirable| | Important |
How these recommendations may work in practice and in which smart specialisation areas specifically will become evident in the next chapters, where we discuss in more detail how to proceed in designing policy mixes that include demand side instruments.
4. Creation and evaluation of a set of sustainable policy mix for stimulating Estonian smart specialisation areas
Lessons learned from other countries show clearly that the best results of innovation policy are gained from combining supply as well as demand-side innovation policy measures. As both instruments target different aims they perfectly complement each other. For full picture of implementing innovation policy three main aspects have to be in place:
| Horizontal preconditions | to create a scene (framework) for implementing supply and demand-side instruments |
|--------------------------|----------------------------------------------------------------------------------|
| Supply-side instruments | to improve economy’s productive potential and its ability to produce (to supply products/services) |
| Demand-side instruments | to improve domestic demand and innovation potential |
The discussion in this chapter focuses on developing of innovation policy mix in the smart specialisation areas that were identified as the most promising ones to introduce demand side measures (See Table 11 in final report part i). An innovation policy mix is developed for each of these areas. First a rationale behind of suggested policy mix is presented, which is summarised in table format at the end of each smart specialisation area.
4.1 E-governance
The Government’s role in creating market demand is very strong together with that of local governments. So far the focus in developing e-governance has been on the national level introducing e-governance solutions. Due to the strong track record (electronic ID and several public e-services based on it) as well as potential in e-governance solutions, the smart specialisation area of ICT through other sectors can be focused on developing e-governance solutions. E-governance enhances all government related and initiated activities enabling more effective functioning of the public sector as well as offering better public services.
The key stakeholders in the area of e-governance are:
- Government, i.e. politicians and ministries
- Local governments, cities, municipalities
- Public sector organisations providing public services
- Private organisations selected to provide public services (incl. infrastructure, etc.)
- Public sector employees
- End-users, citizens
- Companies developing and supplying e-government solutions
- Research organisations (including competence centres and the NATO Cooperative Cyber Defence Centre of Excellence)
Government (both national and local) motivation is to enhance effectiveness and cost efficiency of public services, and the visibility and positive image of Estonia internationally as a leading adopter of e-government solutions. As ICT is a sector with fast development cycles, even short-to-mid term strategies may be relatively effective.
Hence, the overall governance culture has not been acting as a similarly severe barrier for adopting e-government solutions as it has in other areas. Naturally, the relatively strong political commitment to developing e-government solutions has been essential.
The market for e-government solutions is driven by the public sector as the leading customer.
This means that the market is dominated by public procurement carried out by the government or other public sector organisations. Since e-government solutions are still quite rare internationally, many of the solutions have had to be developed for Estonian needs without the possibility to buy existing solutions from international markets. This has facilitated innovation at the level of these solutions, although the underlying ICT technologies applied have been already in existence. The benefits to end-users (citizens as well as companies) have been visible, although their participation in the actual development of e-government solutions has remained limited (mostly expert driven definition of the need and how to address it). The development has been implemented in the form of government level projects utilizing special expertise. While this has allowed fast implementation, it has not addressed the wider lack of ICT competences and skills within the government and public sector.
So far, e-government solutions developed and adopted in Estonia have focused on areas where these solutions have been relatively easy to adopt without dramatic changes to the public sector role, culture or practices. While there is still ample potential to develop further e-government solutions in similar areas, there will come a time when future e-government solutions will eventually have to challenge the public sector role, culture and practices in a more profound way. There is already evidence of this in the slower than expected adoption of electronic health records. The implementation of the decision to allow open access to public sector data from the beginning of 2015 may face similar challenges.
Potential policy measures for enhancing the incentive for defining and procuring further and more innovative e-government solutions include:
- Governance based on longer term national (and local) strategy and vision, and management-by-objectives instead of management-by-resources
- Funding based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost)
Main drivers of research organisations are financial and scientific. Incentives for research organisations to steer their activities more towards addressing societal challenges and related public sector needs should therefore be mostly financial. This should be integrated with the scientific ambition, focusing more towards stronger international collaboration to ensure longer-term development and sustainability of sufficient scientific competences. Incentives for research organisations to engage more in innovation and multidisciplinary research (often a key prerequisite for innovation) in collaboration with the public sector organisations, companies and end-users include (see Table 3):
- Funding and assistance to participate in international collaboration and networking addressing societal challenges
- Incentives for establishing multidisciplinary research groups to address public sector needs with specific emphasis on future changes in public sector role, culture and practices, future public services for citizens and companies, and societal challenges
- Funding for collaboration and networking with public sector organisations, companies and end-users
- Incentives based on utilisation of research results (rewards, income from spin-offs and licenses, etc.)
- Incentives based on graduates employed in industry
- Pre-commercial procurement based on longer-term strategies and public sector needs
The main driver for companies developing and supplying e-government solutions as well as companies selected to provide public services is the eventual business potential. Companies focusing on e-government solutions may view Estonia as their key market and a demonstration environment that may help them launch their business internationally. Incentives for these companies should therefore be related to a sufficiently high and predictably growing market potential. Incentives may include (see Table 3):
- Awareness of international market developments, public sector needs and innovation potential
- Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, etc.)
- Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.)
- Continuous dialogue with public sector to ensure shared understanding of future challenges and needs (including future smart regulations, standards and norms)
- Funding for collaborative research, development and innovation activities (including Clusters and Competence centres)
- Pre-commercial procurement based on longer term strategies and needs
- Procurement of innovation based on longer term strategies and needs
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, other companies, research organisations and end-users
- Access to open data (to the extent data security and protection of personal data can be ensured)
- Incentives for locating business activities in Estonia (foreign direct investments (FDI))
As the awareness, education level and innovativeness of citizens increase, they may also be able to contribute to the development of public services. End-users are motivated both by money and their personal value systems, which may lean more towards the individual (demanding sophisticated customer) or towards the society (social awareness, helping others). Incentives may therefore include (see Table 3).
- Access to experimental platforms where innovative products, services and solutions are developed and tested in collaboration with e-government solution providers, other companies, public sector and research organisations
- Financial incentives and assistance for establishing social enterprises
- Access to policy design (e.g. via social media, crowd sourcing and other virtual tools)
- Support for establishing active end-user communities
The motivation of public sector organisations responsible for producing public services to participate in innovation is mainly limited by existing traditions and practices. To effectively motivate civil servants to engage in innovation, these activities must be supported by the organisational culture and practices. Innovation should be rewarded and valued, and failures should be tolerated. Incentives for civil servants are therefore largely dependent on the organisational context (see Table 3).
- Financial and other rewards for innovation
- Incentives (time and money) for participating in research and innovation
- Access to experimental platforms where innovative products, services and solutions are developed and tested in collaboration with companies, research organisations and end-users
- Access to policy design (e.g. via social media, crowd sourcing and other virtual tools)
The cultural and organisational context of the public sector organisations is typically highly path dependent (i.e. depend strongly on existing traditions and practices) and it may be further limited by regulation. As long as the government lacks a longer-term
strategy and vision, and the funding is allocated short term and based on low price/cost, the incentive for innovation remains relatively low. To ensure sufficient incentive for innovation among the public sector organisations responsible for producing public services, the incentive should originate from the way funding is allocated to the production of these services, preferably based on a longer-term strategy and vision. The potential incentives include (see Table 3):
- Access to policy design (e.g. via social media, crowd sourcing and other virtual tools)
- Governance based on longer term national strategy and vision, and management-by-objectives instead of management-by-resources
- Funding based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost)
- Establishment of a transparent ranking of service providers based on quality and performance (productivity, end-user and employee feedback)
- Continuous dialogue with the government, end-users and companies to ensure shared understanding of future challenges and needs (including future smart regulations, standards and norms)
- Recognition of innovation such as rewards, visibility, additional resources, etc.
- Funding for collaborative research, development and innovation activities with research organisations and companies
- Incentives for (or mandatory participation in) pre-commercial procurement
- Incentives for (or mandatory participation in) procurement of innovation
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with companies, research organisations and end-users
Table 3. Relevant policy measures for developing a policy mix in the smart specialisation area of e-government in Estonia.
| Policy measure | Barriers for innovation addressed | Value |
|--------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|-------|
| **Governance related measures** | | |
| Governance based on longer term national strategy and vision, and management-by-objectives instead of management-by-resources, reform of the governance model accordingly | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Low capacity how to define the public sector need and how to address it
• Funding models do not encourage or support innovation | Important |
| Allocation of money based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost) | • Low awareness of the potential of innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts
• Funding models do not encourage or support innovation | Important |
| Establish systematic innovation risk management practices for the public sector with special considerations relevant to e-governance (e.g. data security) | • Attitudes towards innovation
• Perceived high (financial) risks related to innovation
• No (or low) tolerance for failure
• No (government guarantee) system to manage risks | Important |
| Continuous dialogue between the government, providers of e-governance solutions, end-users (citizens, companies) to ensure shared understanding of future e-governance challenges and needs and the potential for innovation | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts
• Perceived high (financial) risks related to innovation
• Lack of knowledge and competences
• Intellectual rights are sold with the e-governance solutions
• Complicated relationships between companies (Estonia is small)
• The government buys large solutions and small | Important |
| **Active participation of end-users and public sector employees to policy design (e.g. via social media, crowd sourcing, and other virtual participation tools)** | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts | **Desirable** |
| --- | --- | --- |
| **Increasing transparency of public sector productivity (productivity, end-user and employee feedback)** | • Attitudes towards innovation
• Low awareness of the potential of innovation | **Optional** |
### Funding for R&D and innovation (supply side)
| **Funding and assistance to participate in international collaboration and networking addressing societal challenges (and more specifically developing e-governance solutions)** | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts
• Perceived high (financial) risks related to innovation
• Funding models do not encourage or support innovation
• Lack of knowledge and competences
• Lack of skilled specialists (e.g. ICT, international business) | **Important** |
| --- | --- | --- |
| **Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, branding, etc.)** | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Low capacity how to define the public sector need and how to address it
• Perceived high (financial) risks related to innovation
• Funding models do not encourage or support innovation
• Complicated relationships between companies (Estonia is small)
• The government buys large solutions and small companies are not able to undertake such big projects | **Important** |
| **Incentives for research organisations based on**
• establishing multidisciplinary research groups to address public sector needs with specific emphasis on future changes in public sector role, culture and practices, future public services for citizens and companies, and societal challenges
• graduates employed in industry
• utilisation of research results (rewards, income from spin-offs and licenses, etc.) | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Low capacity how to define the public sector need and how to address it
• Lack of knowledge and competences
• Lack of skilled specialists (e.g. ICT, international business) | **Desirable** |
| **Funding for participation in research and innovation** | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Funding models do not encourage or support innovation
• Lack of knowledge and competences
• Lack of skilled specialists (e.g. ICT, international business) | **Desirable** |
| **Funding for collaboration and networking with public sector organisations, companies and end-users** | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of longer term ambition
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts
• Perceived high (financial) risks related to innovation
• Funding models do not encourage or support innovation | **Optional** |
| Measures | Innovation | Importance |
|-------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------|
| Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.) | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Perceived high (financial) risks related to innovation
• Lack of knowledge and competences
• Lack of skilled specialists (e.g. ICT, international business) | Optional |
| **Other measures facilitating innovation and economic activities** | | |
| Awareness of international market developments, public sector needs and innovation potential | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of long-term ambition
• Low capacity how to define the public sector need and how to address it
• Perceived high (financial) risks related to innovation
• Complicated relationships between companies (Estonia is small)
• The government buys large solutions and small companies are not able to undertake such big projects | Important |
| Access to open data (to the extent data security and protection of personal data can be ensured) | • Attitudes towards innovation
• Low awareness of the potential of innovation
• The government buys large solutions and small companies are not able to undertake such big projects | Desirable |
| Incentives for locating business activities in Estonia (attracting FDI’s) | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Lack of long-term ambition
• Low capacity how to define the public sector need and how to address it
• Lack of knowledge and competences
• Lack of skilled specialists (e.g. ICT, international business)
• Complicated relationships between companies (Estonia is small)
• The government buys large solutions and small companies are not able to undertake such big projects | Optional |
| **Enhancing the market demand for innovation (demand side)** | | |
| (Voluntary or mandatory) allocation of (existing or competitive additional) resources for pre-commercial procurement and procurement of innovation based on longer term strategies and public sector needs | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts
• Perceived high (financial) risks related to innovation
• Financial models do not encourage or support innovation
• Intellectual rights are sold with the e-governance solutions
• The government buys large solutions and small companies are not able to undertake such big projects | Important |
| Establish quality and performance based standards | • Attitudes towards innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts | Desirable |
| Establish quality and performance based smart regulations | • Attitudes towards innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts | Optional |
| **Support for user driven innovation and experimentation (demand side)** | | |
| Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, companies, | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Low capacity how to define the public sector need and how to address it
• Low cooperation between different ministries and field-specific experts | Important |
• Estonian Health Insurance Fund
• Agencies, such as Health Board, Pharmaceutical committee, National Institute of Health Development and State Agency of Medicines
• Healthcare providers, such as hospitals (including management and owners)
• Healthcare professionals, such as doctors, nurses, etc.
• End-users, i.e. patients, employees, citizens
• Wellbeing service providers, such as spas
• Employers, i.e. all organisations in the case of occupational health and preventive healthcare
• Companies producing products and services for the healthcare sector, such as software, e-health solutions, pharmaceuticals, medical equipment, real estate, etc.
• Research organisations (including competence centres)
As discussed in Chapter 2.1.2 and more specifically in Table 9 of the final report part 1, there are several barriers for innovation in the area of healthcare. Policies in this area have not featured long term strategies or visions that would have supported innovation. Biotechnology has been identified as an area with high research and innovation potential in longer term, but most biotechnology research is fragmented and poorly integrated to the needs of the market actors, especially healthcare service providers.
While there is a valid rationale for public funding for basic research, it is not primarily based on economic value stemming from scientific break-troughs in Estonia. The main rationale for a small open economy to invest in basic research lies in developing and maintaining sufficient competences to monitor, understand, adopt and utilise results of global scientific research. This means that academic research in Estonia should especially focus on international collaboration. Access to and collaboration with leading international scientific groups requires that Estonian basic research is able to foster talented scientists and international level research in selected niche areas.
The mismatch between public research and healthcare needs is not problematic in the area of basic research. The key challenge is in applied research, i.e. translating research results into innovation. This barrier for innovation is currently addressed mainly by the Competence centre programme and partly also by the Cluster programme. The Competence centre programme is mainly research driven and aims at international markets. Its links to the Estonian healthcare system are still relatively weak. The Cluster programme is more market actor driven and therefore may address the short- to mid-term needs of the healthcare sector.
Main drivers of research organisations are financial and scientific. Incentives for research organisations to steer their activities more towards the needs of the Estonian healthcare system and innovation should therefore be mostly financial. The scientific ambition should be used more as a driver towards stronger international collaboration to ensure longer-term development and sustainability of sufficient scientific competences. Incentives for research organisations to engage more in innovation and multidisciplinary research (often a key prerequisite for innovation) in collaboration with the healthcare organisations include (see Table 4):
• Funding for collaboration and networking (Competence centres, Clusters)
• Incentives based on utilisation of research results (rewards, income from spin-offs and licenses, etc.)
• Incentives based on graduates employed (healthcare providers, industry)
• Incentives for establishing multidisciplinary research groups to address healthcare sector needs
• Pre-commercial procurement based on defined healthcare strategies and needs
The main driver for companies producing products and services for the healthcare sector is the eventual business potential. Depending on the companies, this may materialise in different ways. For example, large multinational corporations do not necessarily view Estonia as an interesting market as such because of its small size. They may see it more as a part of their market expansion strategy in a wider geographical area, or they may see it as a cost effective location for clinical studies. Smaller software companies focusing on healthcare software solutions may view Estonia as their key market and a demonstration environment that may help them launch their business internationally. To some companies, the healthcare sector is just one of their market segments and, especially if other market segments offer more potential, they are less inclined to engage in innovation in healthcare.
Incentives for these companies should therefore be related to a sufficiently high and predictably growing market potential. Incentives may include (see Table 4):
- Awareness of international market developments, healthcare needs and innovation potential
- Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, etc.)
- Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.)
- Continuous dialogue with healthcare providers to ensure shared understanding of future healthcare challenges and needs (including future smart regulations, standards and norms)
- Funding for collaborative research, development and innovation activities (including Clusters and Competence centres)
- Pre-commercial procurement based on defined healthcare strategies and needs
- Procurement of innovation based on defined healthcare strategies and needs
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with healthcare providers, other companies, research organisations and end-users
- Access to patient and healthcare data (to the extent data security and protection of personal data can be ensured)
- Incentives for locating business activities in Estonia (FDI)
- Buyer incentives for adopting personalised e-health services and products
All organisations need skilled labour and one of the incentives to attract it is additional benefits the employer can offer to increase job satisfaction. As people become increasingly health conscious, these additional benefits may include occupational health services organised and paid by the employer or even services to help maintain the mental and physical ability to work and other preventive healthcare services (such as, for example partly or totally paid participation in sports activities or spa, physiotherapy, massage and other similar treatments). While there may be a shortage of skilled labour and therefore the before mentioned may occur naturally in some areas, without incentives it will eventually reach only a very limited section of the workforce. Incentives for employers should therefore focus on (see Table 4):
- Financial incentives for employers to maintain and enhance employees’ work ability by encouraging financially (organising or offering partial or total funding) employees to engage in activities supporting preventive healthcare (such as sports, active leisure, and the use of spas and other related health tourism services)
Wellbeing service providers in collaboration with healthcare service providers are the key actors in developing the health tourism business. So far these two organisations meet mostly only on the level of healthcare professionals, who may be employed by both. The organisational level collaboration remains limited. The main driver is the business potential, which means that incentives for innovation in this stakeholder group should focus on (see Table 4):
• Awareness of international market developments and innovation potential
• Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, branding, etc.)
• Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.)
• Funding for collaborative research, development and innovation activities, especially between wellbeing and healthcare service providers (including Clusters)
• Access to patient and healthcare data (to the extent data security and protection of personal data can be ensured)
• Buyer incentives for adopting personalised e-health services and products
• Financial incentives for employers to maintain and enhance employees’ work ability by encouraging financially (organising or offering partial or total funding) employees to engage in activities supporting preventive healthcare (such as sports, active leisure, and the use of spas and other related health tourism services)
End-users are gradually becoming increasingly health conscious. As the education level increases, patients are also increasingly aware of their condition and better able to evaluate the quality of healthcare services. The most aware, educated and innovative people may also be able to contribute to the development of healthcare innovation. End-users are motivated both by money and their personal value systems, which may lean more towards the individual (demanding sophisticated customer) or towards the society (social awareness, helping others). Incentives may therefore include (see Table 4):
• Buyer incentives for adopting personalised e-health services and products
• Vouchers allowing the selection of healthcare service providers
• Financial incentives from employers to maintain and enhance one’s work ability
• Vouchers for participating in preventive healthcare activities (such as sports, active leisure, and the use of spas and other related health tourism services)
• Access to experimental platforms where innovative products, services and solutions are developed and tested in collaboration with healthcare providers, companies and research organisations
• Financial incentives and assistance for establishing social enterprises
• Access to healthcare and innovation policy design
• Support for establishing active end-user communities
Direct contact with the healthcare system for the end-users is through healthcare professionals. Their motivation to participate in innovation is mainly limited by existing traditions and practices. While innovative individuals often find an outlet for their innovativeness even in a rigid organisational setting, most of the innovation potential of healthcare professionals often remains untapped. To effectively motivate healthcare professionals to engage in innovation, these activities must be supported by the organisational culture and practices. Innovation should be rewarded and valued, and failures (naturally only within limits and especially ensuring patient safety and quality of healthcare) should be tolerated. Incentives for healthcare professionals are therefore largely dependent on the organisational context (see Table 4):
• Financial and other rewards for innovation
• Incentives (time and money) for participating in research and innovation
• Access to patient and healthcare data (to the extent data security and protection of personal data can be ensured)
• Access to experimental platforms where innovative products, services and solutions are developed and tested in collaboration with companies, research organisations and end-users
• Access to healthcare and innovation policy design
The cultural and organisational context of the healthcare professionals is defined by the healthcare service providers that employ them. The decisions are taken by the
management together with the owners. These decisions are highly path dependent (i.e. depend strongly on existing traditions and practices) and limited by the national healthcare governance practices and government regulation. As long as the government lacks a longer-term strategy and vision, and the funding to provide healthcare services is allocated short term and based on low price/cost, the incentive for innovation remains relatively low. While lack of resources may often be a strong driver for innovation, the indirect governance arrangement typical for the healthcare system can effectively stifle it. To ensure sufficient incentive for innovation among the healthcare service providers and their owners, the incentive should originate from reform of the overall healthcare governance system based on a longer term strategy and vision. The potential incentives include (see Table 4):
- Access to healthcare and innovation policy design
- Healthcare governance based on longer term national strategy and vision, and management-by-objectives instead of management-by-resources
- Funding based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost)
- Establishment of a transparent ranking of healthcare service providers based on quality and performance (monitoring and evaluation of impact, feedback from patients and employees)
- Continuous dialogue with the government, end-users and companies to ensure shared understanding of future healthcare challenges and needs (including future smart regulations, standards and norms)
- (Voluntary or mandatory) allocation of (existing or competitive additional) resources for R&D and innovation
- Recognition of innovation such as rewards, visibility, additional resources, etc.
- Funding for collaborative research, development and innovation activities with research organisations and companies (including Clusters and Competence centres)
- Funding for collaborative research, development and innovation activities, between wellbeing and healthcare service providers (including Clusters)
- Incentives for (or mandatory participation in) pre-commercial procurement based on defined healthcare strategies and needs
- Incentives for (or mandatory participation in) procurement of innovation based on defined healthcare strategies and needs
- Vouchers allowing the selection of healthcare service providers
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with companies, research organisations and end-users
- Access to patient and healthcare data (to the extent data security and protection of personal data can be ensured)
The Estonian Health Insurance Fund is the organisation that channels the funds from health insurance to the healthcare providers. The Fund operates under specific regulations and political supervision. While some changes to the Fund practices could be initiated by the Fund itself, the more significant changes must be made at the government level.
Currently, money from the Fund to healthcare service providers is channelled through contracts (based on a number of insured people in a service region), where competition is somewhat limited (regional availability of healthcare service providers). This does not facilitate or encourage innovation. The available budget is politically defined and allows the Fund only limited room to manoeuvre. The incentive to innovate and support innovation among healthcare providers and companies should therefore originate mainly from the government and be based on longer-term strategy and vision. Potential measures include (see Table 4):
- Access to healthcare and innovation policy design
• Healthcare governance based on longer term national strategy and vision, and management-by-objectives instead of management-by-resources
• Continuous dialogue with the government, healthcare providers, companies and end-users to ensure shared understanding of future healthcare challenges and needs (including future smart regulations, standards and norms)
• Allocation of money based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost)
• (Voluntary or mandatory) allocation of (existing or competitive additional) resources for R&D&I
• (Voluntary or mandatory) allocation of (existing or competitive additional) resources for pre-commercial procurement based on defined healthcare strategies and needs
• (Voluntary or mandatory) allocation of (existing or competitive additional) resources for procurement of innovation based on defined healthcare strategies and needs
• Establishment of a transparent ranking of healthcare service providers based on quality and performance (monitoring and evaluation of impact, feedback from patients and employees)
• Recognition of innovation such as rewards, visibility, additional resources, etc.
• Vouchers allowing the selection of healthcare service providers
Since the government has such a strong role in the healthcare sector, it also has a relatively high impact on innovation. Without the recognition of and support to innovation in the healthcare sector at the government level, the level of innovation in healthcare in Estonia is expected to remain low. An on-going work to define a Health R&D&I Strategy for Estonia represents a step into the right direction.
Healthcare policies should be based on a government level longer-term national strategy and vision. The strategy should be defined and regularly updated in an interactive dialogue with all key stakeholders. The strategy process should focus on finding solutions to national challenges and capture the importance of innovation in continuously improving the quality and performance of the healthcare sector and thereby improving the health and quality of life of the population.
The rationale for government policy action in supporting innovation in healthcare originates from the improved health of the population and therefore lower long term cost of healthcare, and the economic potential of exporting innovative healthcare services, products and solutions, as well as the economic value created by attracting health related FDI and tourists.
While the longer term strategy and vision capturing the value of innovation creates an essential foundation, the practical implementation is based on an appropriate governance model. It should ensure that all relevant stakeholders have sufficient incentives for innovation to overcome existing barriers and obstacles. Furthermore, a governance model should ensure that both healthcare and innovation as well as other relevant policies are designed and implemented in the form of a coherent policy mix.
Agencies, such as the Health Board, Pharmaceutical committee, National Institute for Health Development and State Agency of Medicines all work under the supervision and guidance from the Ministry of Social Affairs. Their role is to support policymaking and/or support in the implementation of policy. Their respective roles should be evaluated in the context of establishing a longer-term strategy and the appropriate governance model to implement it. This may lead to changes in the roles, mandates and/or organisational arrangements of these agencies.
The following Table 4 collects the potential policy measures related to the policy recommendations presented in the previous chapter, as identified above specifically for the healthcare sector and refers to the barriers to innovation they address as well as their relevance to the specific sub-areas of healthcare.
Table 4. Relevant policy measures for developing a policy mix in the healthcare smart specialisation area in Estonia.
| Policy measure | Barriers for innovation addressed | Relevant sub-areas of healthcare | Value |
|--------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------|-------|
| **Governance related measures** | | | |
| Healthcare governance based on longer term national strategy and vision and management-by-objectives instead of management-by-resources, reform of the governance model accordingly | • Attitudes towards innovation
• Low awareness of the potential of innovation
• Low motivation for innovation
• Low capacity for problem definition for innovations
• Risk aversion in the public sector | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Important |
| Allocation of money based more primarily on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost) | • Low capacity for problem definition for innovations
• Low motivation for innovation
• Low exploitation of R&D&I
• Attitudes towards innovation
• High risks barriers in the market
• Low level of patients’ participation in decision-making
• Current financing mechanism not suitable for R&D&I
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Important |
| Continuous dialogue between the government, healthcare providers, companies and end-users to ensure shared understanding of future healthcare challenges and needs and the potential for innovation | • Low awareness of the potential of innovation
• Low capacity for problem definition for innovations
• Low motivation for innovation
• Risk aversion in the public sector
• Attitudes towards innovation
• Lack of complementary knowledge and competences (e.g. ICT)
• Low level of patients’ participation in decision-making
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals
• Low cooperation between different ministries and field-specific experts
• Availability of systematic health data | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Important |
| Establish systematic innovation risk management practices for the public sector with special considerations relevant to healthcare | • Low capacity for problem definition for innovations
• Low motivation for innovation
• Risk aversion in the public sector
• Low exploitation of R&D&I
• Attitudes towards innovation
• Low cooperation between different ministries and field-specific experts
• Availability of systematic health data | • Healthcare services and processes
• e-health | Important |
| Active stakeholder participation to healthcare and innovation policy design | • Low awareness of the potential of innovation
• Low capacity for problem definition for innovations
• Attitudes towards innovation
• Low level of patients’ participation in decision-making
• Availability of systematic health data | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Desirable |
| Establishment of a transparent ranking of | • Low awareness of the potential of innovation | • Healthcare services | Optional |
| Healthcare service providers based on quality and performance (monitoring and evaluation of impact, feedback from patients and employees) | Innovation
- Low motivation for innovation
- Low exploitation of R&D&I
- Lack of resources to adopt innovation (two years to reach eligibility)
- Attitudes towards innovation
- The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | Healthcare services and processes
- e-health | Important |
| --- | --- | --- | --- |
| Funding for participation in research and innovation | Low motivation for innovation
- Low exploitation of R&D&I
- Attitudes towards innovation
- Limited financing | Healthcare services and processes
- e-health
- Health tourism | Important |
| Funding for collaborative research, development and innovation activities (including Clusters and Competence centres) | Low motivation for innovation
- Low exploitation of R&D&I
- Attitudes towards innovation
- Limited financing
- Limited opportunities for research collaboration
- Lack of complementary knowledge and competences (e.g. ICT)
- Current financing mechanism not supporting R&D&I | Healthcare services and processes
- e-health
- Preventive healthcare
- Health tourism | Important |
| Incentives for research organisations based on • graduates employed (healthcare providers, industry) • utilisation of research results (rewards, income from spin-offs and licenses, etc.) • establishing multidisciplinary research groups to address healthcare sector needs | Low capacity for problem definition for innovations
- Low motivation for innovation
- Attitudes towards innovation
- Limited financing
- Limited opportunities for research collaboration
- Lack of complementary knowledge and competences (e.g. ICT) | Healthcare services and processes
- e-health
- Preventive healthcare
- Health tourism | Important |
| (Voluntary or mandatory allocation of (existing or competitive additional) resources for R&D&I | Low motivation for innovation
- Low exploitation of R&D&I
- Lack of resources to adopt innovation (two years to reach eligibility)
- Attitudes towards innovation
- Limited financing
- Current financing mechanism not supporting R&D&I | Healthcare services and processes
- e-health
- Health tourism | Desirable |
| Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.) | Low capacity for problem definition for innovations
- Low exploitation of R&D&I
- Lack of complementary knowledge and competences (e.g. ICT) | Healthcare services and processes
- e-health
- Preventive healthcare
- Health tourism | Optional |
| Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, branding, etc.) | Low motivation for innovation
- Low exploitation of R&D&I
- Attitudes towards innovation
- High risks barriers in the market
- Small size companies in the health sector
- Limited financing
- Lack of complementary knowledge and competences (e.g. ICT)
- Current financing mechanism not supporting R&D&I | e-health
- Health tourism | Desirable |
| Other measures facilitating innovation and economic activities | Awareness of international market
- Low awareness of the potential of innovation | Healthcare services and processes | Desirable |
| Developments, healthcare needs and innovation potential | • Low motivation for innovation
• Low exploitation of R&D&I
• Attitudes towards innovation
• High risks barriers in the market
• Small size companies in the health sector
• Limited financing | • e-health
• Preventive healthcare
• Health tourism |
| --- | --- | --- |
| Access to patient and healthcare data (to the extent data security and protection of personal data can be ensured) | • Lack of resources to adopt innovation (two years to reach eligibility)
• Small size companies in the health sector
• Availability of systematic health data | • Healthcare services and processes
• e-health |
| Incentives for locating business activities in Estonia (attractive FDIs) | • Attitudes towards innovation
• Small size companies in the health sector
• Limited financing
• Low level of complementary knowledge and competences (e.g. ICT) | • Healthcare services and processes
• e-health
• Health tourism |
| **Enhancing the market demand for innovation (demand side)** | | |
| (Voluntary or mandatory) allocation of existing or competitive additional resources for pre-commercial procurement and procurement of innovation based on defined healthcare strategies and needs | • Low awareness of the potential of innovation
• Low capacity for problem definition for innovations
• Low motivation for innovation
• Risk aversion in the public sector
• Low exploitation of R&D&I
• Attitudes towards innovation
• High risks barriers in the market
• Limited financing
• Current financing mechanism not supporting R&D&I | • Healthcare services and processes
• e-health |
| Buyer incentives for adopting personalised e-health services and products | • Attitudes towards innovation
• High risks barriers in the market
• Small size companies in the health sector
• Limited financing
• Low level of patients’ participation in decision-making
• Current financing mechanism not supporting R&D&I
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • e-health
• Preventive healthcare |
| Vouchers allowing the selection of healthcare service providers | • Attitudes towards innovation
• Low level of patients’ participation in decision-making
• Current financing mechanism not supporting R&D&I
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Healthcare services and processes
• e-health |
| Vouchers for participating in preventive healthcare activities (such as sports, active leisure, and the use of spas and other related health tourism services) | • Attitudes towards innovation
• High risks barriers in the market
• Small size companies in the health sector
• Limited financing
• Low level of patients’ participation in decision-making
• Current financing mechanism not supporting R&D&I
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Preventive healthcare
• Health tourism |
| Financial incentives for employers to maintain and enhance employees’ work ability by | • Attitudes towards innovation
• High risks barriers in the market
• Small size companies in the health sector | • Preventive healthcare
• Health tourism |
| Encouraging financially (organising or offering partial or total funding) employees to engage in activities supporting preventive healthcare (such as sports, active leisure, and the use of spas and other related health tourism services) | • Limited financing
• Low level of patients’ participation in decision-making
• Current financing mechanism not supporting R&D&I
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | | |
| --- | --- | --- | --- |
| **Smart regulation (demand side)** | | | |
| Establish quality and performance based standards and norms | • Low capacity for problem definition for innovations
• Attitudes towards innovation
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Important |
| Establish quality and performance based smart regulations | • Low capacity for problem definition for innovations
• Attitudes towards innovation
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Healthcare services and processes
• e-health | Desirable |
| **Support for user driven innovation and experimentation (demand side)** | | | |
| Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with healthcare providers, companies, research organisations and end-users | • Low awareness of the potential of innovation
• Low motivation for innovation
• Risk aversion in the public sector
• Low exploitation of R&D&I
• Attitudes towards innovation
• High risks barriers in the market
• Small size companies in the health sector
• Limited opportunities for research collaboration
• Lack of complementary knowledge and competences (e.g. ICT)
• Low level of patients’ participation in decision-making
• Current financing mechanism not supporting R&D&I | • Healthcare services and processes
• e-health | Important |
| Recognition of innovation such as rewards, visibility, additional resources, etc. | • Low awareness of the potential of innovation
• Low motivation for innovation
• Attitudes towards innovation | • Healthcare services and processes
• e-health
• Preventive healthcare
• Health tourism | Optional |
| Support for establishing active end-user communities | • Low awareness of the potential of innovation
• Low capacity for problem definition for innovations
• Low motivation for innovation
• Attitudes towards innovation
• Low level of patients’ participation in decision-making | • Healthcare services and processes
• e-health
• Preventive healthcare | Optional |
| Financial incentives and assistance for establishing social enterprises | • Limited financing
• Low level of patients’ participation in decision-making
• The nature of healthcare service (how to offer) is regulated instead of setting expected final goals | • Healthcare services and processes
• Preventive healthcare | Optional |
### 4.3 Smart construction
Under the smart specialisation area relating to the more effective use of resources the biggest potential for innovation is foreseen through focusing on smart construction. Smart construction is not just a construction process, but a whole smart living environment including conceptual developments such as smart cities, energy
solutions, environment friendly materials, ICT solutions (but not only) – all physical environment solutions aimed at better serving the needs of end-users.
**Government has a dual role in the construction sector.**
On one hand it controls the markets using regulations, standards and norms; for instance where one may build, what and how is based on permits applied from and issued by the local government, city or municipality. This effectively defines boundaries for innovation in the construction sector. Relevant regulations, standards and norms for the construction sector include use of construction materials, safety during construction, safety of buildings/houses, land use, energy and other utilities, waste management, etc. An increasing number of these are now defined at the EU-level.
The other role the government has in the construction sector is related to public buildings and infrastructures. The role of Riigi Kinnisvara is critical in this respect, as it is responsible for developing and maintaining the main body of public buildings. Riigi Kinnisvara in collaboration with local governments, represents a significant market. Construction and renovation of public buildings may represent an opportunity to enhance the demand for innovation in the construction area.
Increasing political pressures originating from climate change, use of energy, recycling and reducing waste and increasing resource efficiency have been visible also in the construction sector. Especially energy efficiency (e.g. passive and zero energy) has become one of the leading trends in construction.
The Estonian construction sector has been growing and internationalising during the last decade. The sector has been able to develop a niche in international markets by focusing on industrial construction processes, and modular and wooden houses. More recently, the idea of combining ICT within construction and houses (smart construction) has further enhanced the interest towards innovation within the sector.
The key stakeholders in the area of smart construction are:
- Local governments (cities, municipalities) and national government (incl. ministries and politicians) as regulators (construction, but also environmental) and owners of public buildings
- Public sector organisations responsible for the procurement and maintenance of public buildings
- Real estate companies (property owners of buildings and houses rented to end-users)
- Real estate service companies (maintenance of buildings/houses)
- Riigi Kinnisvara (procurer, property owner and real estate service provider)
- End-users (home owners, lease holders)
- Utilities companies (electricity, water, waste, etc.)
- Construction companies
- Construction material companies
- ICT companies
- Manufacturers of appliances, equipment and electronics used in buildings/houses
- Architects and designers
- Research organisations
The **main barriers for driving and utilizing innovation in the public sector** are related to awareness, incentive structures and existing traditions and practices. Awareness of the potential of innovation is relatively low and decisions are driven by existing
practices and traditions. Incentives are mainly short term and linked to available budgets and risk aversion. To overcome these barriers the following measures could be considered (see Table 5):
- Continuous dialogue (partnership) between the government and industries to ensure shared understanding of future challenges and needs and the potential for innovation
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, companies, research organisations and end-users
- Governance based on longer term horizontal national (and local) strategy and vision featuring the potential of research and innovation, and management-by-objectives instead of management-by-resources (incl. quantifiable objectives)
- Public procurement based on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost) featuring issues related to e.g. energy efficiency, land use, community planning, cost effective provision of utilities, traffic and transport, etc.
- Smart regulations, standards and norms designed in collaboration with companies and other key stakeholders to remove barriers and facilitate innovation
- Recognition of innovation such as rewards, visibility, additional resources, etc.
**Owners of buildings/houses typically focus on the cost-benefit** since buildings/houses represents a major long-term capital investment. Appreciation and recognition of innovation is based on existing and new products and services. While the initial investment is still the main criterion, awareness and appreciation of longer-term maintenance costs is increasing. The higher end market is also increasingly interested in personalisation and design. Leaseholders tend to focus mainly on maintenance costs (rent, etc.) and location as well as on quality of the living environment. Owners and leaseholders may be incentivised by using the following measures (see Table 5):
- Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, companies, research organisations and end-users
- Access to policy making and definition of regulations, standards and norms, as well as community planning, land use, and other relevant policy processes
- Incentives (grants, attractive loans, guarantees, etc.) and assistance for procuring innovation
- Buyer incentives for private home owners (e.g. heating/cooling systems)
- Crowd-sourcing and other virtual methods to monitor end-user values and needs
- Fiscal incentives and disincentives (e.g. energy tax, property tax)
**Companies are motivated by profit and growth opportunities.** Since the construction sector features many types of companies representing different industries, collaboration and networking is a necessary precondition for most innovation. Natural incentive structures follow value-chains, i.e. if end-users require innovation, property owners must provide them, which creates a demand for innovation for construction companies. These in turn pass on the requirement to innovate to their subcontractors and construction material manufacturers. Similarly a demand for innovation is passed on to architects, designers, appliances and equipment manufacturers, etc. While there are measures that can be used to enhance innovation among actors further from end-users in the value chain, measures targeting end-users or those close to end-users are typically more effective. Potential measures include (see Table 5):
- Awareness of international market developments, public sector needs and innovation potential (incl. EU and other Smart cities initiatives)
- Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, etc.)
- Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.)
• Continuous dialogue (partnership) with public sector to ensure shared understanding of future challenges and needs (including future smart regulations, standards and norms)
• Funding for collaborative research, development and innovation activities (mainly in the form of Clusters)
• Pre-commercial procurement based on long term quality and performance
• Procurement of innovation based on long term quality and performance
• Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, other companies, research organisations and end-users
• Recognition of innovation such as rewards, visibility, additional resources, etc.
Research that may serve the needs of smart construction is relatively wide ranging from ICT, materials and other technological research to more business-oriented disciplines and social sciences. The main focus in incentivising research should be driven by industry needs and opportunities. Therefore research should be mainly facilitated in collaborative forms between universities, research institutes and companies. A specific dimension of research that should receive sufficient attention and be done mainly in or integrated to international research is related to developing new platforms for smart construction, especially those related to the EU and other Smart cities initiatives. Incentives for research would therefore include (see Table 5):
• Experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, other companies, research organisations and end-users
• Funding for collaboration and networking (industry leadership such as Cluster-type approaches)
• Incentives based on utilisation of research results (rewards, income from spin-offs and licenses, etc.)
• Incentives based on graduates employed by industries
• Incentives for establishing multidisciplinary research groups to address opportunities related smart construction
• Pre-commercial procurement based on future industry needs
Table 5. Relevant policy measures for developing a policy mix in the smart construction smart specialisation area in Estonia.
| Policy measure | Barriers for innovation addressed | Value |
|-------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|-------|
| **Governance related measures** | | |
| Governance based on longer term horizontal national (and local) strategy and vision featuring the potential of research and innovation, and management-by-objectives instead of management-by-resources (incl. quantifiable objectives) | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• inability to define longer term needs
• lack of collaboration between policy makers and organisations responsible for implementing policies
• no or inefficient policy coordination | Important |
| Public procurement and allocation of resources in public real estate based on quality and performance, i.e. longer term cost-effectiveness (rather than short term price/cost) featuring issues related to e.g. energy efficiency, land use, community planning, sustainable effective provision of utilities, traffic and transport, etc. | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• inability to define longer term needs
• lack of collaboration between policy makers and organisations responsible for implementing policies
• no or inefficient policy coordination
• perception of risks related to innovation are high
• perception of benefits related to innovation are low | Important |
| Continuous dialogue | • lack of awareness of the potential of possible measures | Important |
| (partnership) between the government and industries to ensure shared understanding of future challenges and needs and the potential for innovation | enhancing the demand for innovation in the Estonian markets both among policy makers and market actors international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential |
| --- | --- |
| Establish systematic risk management practices for the public sector, possibly including a guarantee system | mismatch between research competences and industrial needs inability to define longer term needs lack of collaboration between policy makers and organisations responsible for implementing policies no or inefficient policy coordination perception of risks related to innovation are high perception of benefits related to innovation are low |
| Funding for collaborative research, development and innovation activities (mainly in the form of industry lead Cluster-type arrangements) | low tolerance of risks especially in the public sector perception of risks related to innovation are high lack of risk identification and management competences and methods |
| Funding and services to help develop innovation to and access international markets (incl. R&D, market validation, etc.) | |
| Funding and assistance for hiring skilled professionals (for R&D, international business development, etc.) | |
| Incentives for research organisations based on • establishing multidisciplinary research groups to address the needs and opportunities related to smart construction • graduates employed in industry • utilisation of research results (rewards, income from spin-offs and licenses, etc.) | |
| Other measures facilitating innovation and economic activities | |
| Awareness of international market developments, public sector needs and innovation potential (incl. EU and other Smart cities initiatives) | shortage of skilled labour lack of absorptive capability for new technologies and innovation among many companies inability to define longer term needs perception of risks related to innovation are high perception of benefits related to innovation are low |
| Enhancing the market demand for innovation (demand side) | |
| (Voluntary or mandatory) allocation of (existing or competitive additional) resources for pre-commercial procurement and development of innovation based on longer term strategies and public sector needs | lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors low tolerance of risks especially in the public sector international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential lack of competences in demand side innovation policy and initiatives among policy makers lack of absorptive capability for new technologies and innovation among many companies inability to define longer term needs |
32 Feasibility Study for the Design and Implementation of Demand-side Innovation Policy Instruments in Estonia
| **Incentives (grants, attractive loans, guarantees, etc.) and assistance for procuring innovation** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• inability to define longer term needs
• perception of risks related to innovation are high
• perception of benefits related to innovation are low |
| --- | --- |
| | **Desirable** |
| **Buyer incentives for private home owners (e.g. heating/cooling systems)** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• lack of absorptive capacity for new technologies and innovations among many companies
• inability to define longer term needs
• perception of risks related to innovation are high
• perception of benefits related to innovation are low |
| --- | --- |
| | **Desirable** |
| **Fiscal incentives and disincentives (e.g. energy tax, property tax)** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• lack of competences in demand side innovation policy and initiatives among policy makers |
| --- | --- |
| | **Optional** |
| **Smart regulations (demand side)** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• lack of competences in demand side innovation policy and initiatives among policy makers
• inability to define longer term needs
• lack of collaboration between policy makers and organisations responsible for implementing policies |
| --- | --- |
| | **Important** |
| **Establish quality and performance based standards and norms** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• lack of competences in demand side innovation policy and initiatives among policy makers
• inability to define longer term needs
• lack of collaboration between policy makers and organisations responsible for implementing policies |
| --- | --- |
| | **Important** |
| **Support for user driven innovation and experimentation (demand side)** | • lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors
• low tolerance of risks especially in the public sector
• international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• lack of competences in demand side innovation policy and initiatives among policy makers
• mismatch between research competences and industrial needs
• shortage of skilled labour
• perception of risks related to innovation are high
• perception of benefits related to innovation are low
• lack of risk identification and management competences and methods |
| --- | --- |
| | **Important** |
| Recognition of innovation such as rewards, visibility, additional resources, etc. | • international markets far more interesting than Estonian markets, especially for innovative companies with high growth potential
• perception of benefits related to innovation are low |
|---|---|
| Crowd-sourcing and other virtual methods to monitor end-user values and needs | • lack of competences in demand side innovation policy and initiatives among policy makers
• perception of risks related to innovation are high
• perception of benefits related to innovation are low
• lack of opportunities for end-users to participate in defining the longer term needs |
| Optional | Optional |
5. Developing an action plan to implement demand-side instruments in smart-specialisation areas
Implementing demand-side instruments requires commitment from several ministries responsible for different policy areas. In more simple words demand-side innovation policy can be implemented only if there is awareness about trends on specific markets as well as knowledge about behaviour and needs of final beneficiaries. This is something where bodies responsible for policy areas (sectoral ministries) can give their input into demand-side innovation policy.
Due to the division of policy areas between ministries, the Ministry of Economic Affairs and Communications plays dual role in implementing innovation policy:
- It has the role of facilitator defining innovation policy objectives and developing strategy, launching support measures for R&D and innovation as well as awareness rising and
- It has the role of sectoral policy making in ICT and construction areas enhancing activities like defining sectoral policy objectives, changing regulations, providing trainings.
The tentative action plans in this chapter include some examples of activities the ministries responsible for certain areas have to initiate in order to introduce demand-side instruments. It has to be noted that before launching any activity the government organisations have to have common understanding about the aims and benefits of the demand-side innovation policy. All ministries have to work in parallel in order to maximise the impact of demand-side innovation policy – implementing demand-side innovation policy is teamwork.
5.1 Action plan for improving policy preconditions for implementing demand-side instruments
It is important to recognise that the preconditions for introducing and implementing demand side innovation policy measures differ from those required for supply side policies.
Benchmarking and other evidence presented in this report clearly show that certain preconditions are essential for successful demand side policies. Attempts to introduce demand side instruments without these preconditions are more than likely to fail or produce less than desired impact.
Some essential preconditions may be addressed simultaneously with the launch of specific demand side policy instruments. However, many of the preconditions require changes in policy culture, practices and traditions, which are typically difficult and take time.
The following Table 6 illustrates the characteristics of the most important preconditions and their relevance for all three smart specialisation areas and different types of demand side policy measures in Estonia. There are a number of activities the ministries responsible should consider launching immediately. The list of activities is not complete, but gives an idea of potential first steps to start addressing the preconditions. As the preconditions are horizontal, all relevant ministries should be involved in the process. Some examples of activities the Ministry of Finance should initiate:
**Policy governance**
- Improve Structural Funds management system with more horizontal management (monitoring committees as a management tool to ensure successful implementation of cross-sectoral strategies, such as innovation)
• Within the framework of strategic planning to train deputy secretary generals, directors of agencies and heads of departments about market demand oriented policy making
• Include innovation risk in strategic planning cycle
**Public procurement of innovation and pre-commercial procurement**
• Create a unit within the Public Procurement Department (it can be one-two persons initially) to support introducing pre-commercial procurements and procurement of innovation
• Provide training to educate the unit with relevant competence (incl. study tours, international internships). Consider involving external knowledge or mentoring.
• Define mandatory allocation of a percentage of budget for innovation (or procurement budget or define a certain number of projects/purchases to be innovative)
**Regulations, standards and norms**
• Improve ex-ante assessment of regulations, standards and norms with regard to their potential impact on innovation (in collaboration with the Ministry of Justice)
• Strengthen consultations with stakeholders before enforcing the regulations, standards and norms
Some examples of activities the **Ministry of Economic Affairs and Communications** (MoEC) should initiate:
**Policy governance**
• Create more close contacts with sectoral umbrella associations, provide monthly/quarterly meetings, test ideas/legislation, get feedback
• Add innovation risk management into general risk management practice (incl. to what extent the innovation risk can be accepted and how to cover cost of failure)
• Provide training and tools on innovation risk management in the MoEC and sectoral ministries
**Public procurement of innovation and pre-commercial procurement**
• Provide training on procurement of innovation and PCP to support the specialised unit and other ministries (one person in the MoEC could be trained first). Consider involving external knowledge or mentoring.
• Provide additional resources (like competitive funding based on the best ideas) for public procurements (to cover costs of innovation)
• Create system of rewards based on success for public sector institution or guarantees against possible failure
**Regulations, standards and norms**
• Launch a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices to support the transition from detailed technical towards quality and performance (and safety) based in construction sector.
Some examples of activities the **Ministry of Social Affairs** should initiate:
**Policy governance**
• Recognise and introduce R&D&I into the longer-term strategies and action plans. Use this process as a framework to establish a more permanent
partnership between all key stakeholders (including companies and end-users).
- Allocate funding based on quality and performance to enhance the adoption of innovation. Consider adjusting the funding structures towards a more balanced approach between preventive healthcare, treatment of illnesses and aftercare.
- Add innovation risk management into general risk management practice (incl. to what extent the innovation risk can be accepted and how to cover cost of failure).
**Regulations, standards and norms**
- Launch a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices to support the transition from detailed technical towards quality and performance (and safety) based.
In addition, to support long-term strategic planning in Estonia the **Development Fund** should consider re-launching policy foresights in all smart specialisation areas as well as monitor systematically behaviour and market dynamics of smart specialisation areas.
Actions to establish these preconditions have to be taken without any delay. In principle, demand side measures are not to be launched before these preconditions have been addressed sufficiently. However, some measures may be possible to launch simultaneously. The current situation with respect to these preconditions varies, which has an impact on the relevant policy options for introducing demand side measures. Sector-based ‘must-be’ preconditions for implementation demand-side instruments are given in Table 7.
Table 6. Most important preconditions for introducing demand side innovation policy measures in Estonia.
| Precondition | Main characteristics | Relevance |
|------------------------------------------------------------------------------|--------------------------------------------------------------------------------------|---------------------------------------------------------------------------|
| **Policy governance** | | |
| The Estonian Government should establish horizontal government-level, longer term, ambitious visions and strategies that feature research and innovation. | • Requires a change in policy culture and practices
• Requires horizontal cross-ministry collaboration
• Typically takes a long time
• May be developed faster in areas where ministries identify common challenges and interests | • Important especially for healthcare and e-governance areas
• Specifically important for procurement of innovation and PCP, desirable for all other demand side measures |
| The Estonian Government should actively build partnerships with market actors. | • Can be established relatively quickly
• Building common understanding and trust takes longer time
• Transparency and consistency are essential | • Important for all smart specialisation areas
• Important for introducing all demand side measures |
| The Estonian Government should establish systematic risk management practices for the public sector. | • Risk identification and management methods exist and are relatively quick to introduce
• Behavioural changes take longer time and must be supported with appropriate incentives | • Important for all smart specialisation areas
• Specifically important for procurement of innovation and PCP |
| **Public procurement of innovation and pre-commercial procurement** | | |
| The Estonian Government should establish a specialised unit to support public procurement of innovation and pre-commercial procurement. | • Relatively quick to establish
• Competence grows quickly through experience
• May be supported by using external expertise
• The unit should facilitate and assist in defining the need (on which the procurement attempts to identify and find solutions to) and implementing the procurement on behalf of the public sector organisations. In longer term as the competences for PCP and procurement of innovation increase, the unit may transform into an advisory and training capacity. | • Important for all smart specialisation areas
• Specifically important for procurement of innovation and PCP |
| The Estonian Government should establish appropriate incentives and governance practices that support innovative procurement. | • Requires changes in policy culture and practices
• May take a long time if based on voluntary action
• Can be significantly faster by using mandatory allocations
• May be challenging under restrictive budget conditions | • Important for all smart specialisation areas, especially healthcare and e-government
• Specifically important for procurement of innovation and PCP |
| **Smart regulation, standards and norms** | | |
| The Estonian Government should adopt a government-wide policy to reform the regulatory regime to better enhance innovation. | • Requires changes in policy culture and practices
• Requires political support
• Should be started in areas which are heavily regulated by detailed and technical legislation | • Important for healthcare and smart construction
• Important for introducing smart regulations |
Table 7. Most important preconditions for introducing demand side innovation policy measures in smart specialisation areas
| Precondition | E-governance | Healthcare | Smart construction |
|------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| The Estonian Government should establish horizontal government-level, longer term, ambitious visions and strategies that feature research and innovation. | While there does not seem to be an overall government level longer-term strategy for e-governance, there are several national high-profile projects, which are based on a longer-term vision. These should provide for a reasonable basis to build on and may therefore fulfil the necessary precondition. | There is an overall longer-term vision and strategy as well as several sub-strategies for developing the healthcare sector in Estonia complemented with longer-term action plans and monitoring. Although these recognise the role of medical science, the role of research and innovation in a wider sense as a tool to enhance the quality and performance of the healthcare sector is missing. | There is no national strategy in the area of smart construction. While there are discussions between stakeholders in clusters and competence centres, these don’t feature the government or public sector, as the main focus in this area is to enhance research and innovation among companies targeting international markets. |
| The Estonian Government should actively build partnerships with market actors. | No systematic partnerships seem to exist, although interactions between key stakeholders have taken place the previous and on-going procurement as well as cluster and competence centres. However, this does not seem to foster innovation to the extent it potentially could. | There are no clearly systematized partnerships in the area of healthcare. Interaction does take place to some extent in the context of clusters and competence centres, but is limited to the actors active in those. The government does not actively participate in this interaction. | No systematic partnerships seem to exist, although interactions between key stakeholders have taken place the previous policy making process. Interaction between market actors and research community has been increasing recently within and between Clusters. There is a lack of awareness of the potential of possible measures enhancing the demand for innovation in the Estonian markets both among policy makers and market actors. |
| The Estonian Government should establish systematic risk management practices for the public sector. | While systematic government level risk management seems to be missing, there should be ample experience from previous and on-going national projects to build on. | Risk management in the healthcare area focuses on patient safety. While this is a highly relevant issue also related to research and innovation, it does not sufficiently address all risks related to innovation in the area of healthcare. | There is no systematic risk management featuring innovation, since there is no innovative procurement, neither is there any incentives or support for it. However, there is one organisation responsible for the whole chain of public real estate (Riigi Kinnisvara). Reorienting the activities of this organisation could form a basis to build on. Furthermore, there is a requirement to use a percentage of public procurement budgets to buy arts and crafts from local designers and manufacturers. This represents an existing feature of policy culture that could be extended to innovation. |
| The Estonian Government should establish appropriate incentives and governance practices that support innovative procurement. | The government has experience from public procurement in the context of national high-profile projects in the area of e-governance. Although these projects have not necessarily been highly innovative (rather based on application of known technologies), this experience can be built on. | There are no incentives or support for procurement of innovation in healthcare. However, major part of all resources in healthcare are allocated via the national health insurance organisation through contracts. Reorienting the activities of this organisation may form a basis to build on. | There are no incentives or support for procurement of innovation in the area of construction. Low tolerance of risk limits innovation procurements. Also, there is lack of absorptive capability for new technologies and innovation among many companies. |
| The Estonian Government should adopt a government-wide policy to reform the regulatory regime to better enhance innovation. | The regulatory regime is relatively flexible and the decision to open public data further emphasises this. While regulations, standards and norms may not specifically enhance innovation, they don’t represent a barrier in any way. | There is no indication of attempts to assess and reform the regulatory regime (including standards and norms) to support innovation. | The construction sector is typically heavily regulated by detailed technical standards and norms. While some of these are defined at the EU-level and may therefore not be changed nationally, there are many standards and norms that does not need to be as technical and detailed as they currently are. Furthermore, there very few regulations, standards or norms in the area of smart construction, especially for introducing ICT to buildings and houses. This may offer a first real advantage to those that are actively developing innovation in the area of smart construction. |
5.2 Policy options for introducing demand side innovation policy measures in Estonia
There are basically three basic options for introducing demand side policy measures. The **first option** is to establish a solid foundation for innovation policies. Here one needs to start by addressing the relevant preconditions first. After they have been sufficiently established, then appropriate demand side measures may be designed and launched. This is the most time consuming, but the most effective option.
The **second option** is to launch experimental demand side measures simultaneously with activities targeted to address the preconditions. This is a more risky option, but could be attempted, especially if the experimental policy measures can be designed to be flexible and sufficient learning processes are put in place.
The **third option** is the most risky one, since it would mean launching demand side policy measures without addressing the preconditions. This would not be advisable, since the failure to reach the desired impact may cause resistance against any future attempts to benefit from demand side policies.
Since the third option is not a real option and can’t therefore be recommended, the following discussion is based on the first two options.
**Policy option 1**
Since the main national strategies seem to be highly integrated into the national plans for using EU structural funds, it would seem appropriate that these plans would be revisited in terms of introducing innovation horizontally in all smart specialisation areas. Another possibility would be to draft national strategies to complement the EU structural fund plans. However, since both should be consistent and coherent to act as a solid basis for longer term policies, it may not be possible to only focus on national strategies without addressing the EU structural fund plans as well.
This may be challenging, because structural fund plans have been negotiated and agreed between the government and EU Commission quite recently. However, if this is not possible immediately, it may be possible at a later date. It is quite natural that national as well as structural fund plans would need to be updated over a 7-year period.
**Potential disadvantage**
This policy option would mean that no demand side policy measures would be launched during the next 1-2 years, since the preconditions are currently not met to a sufficient degree. Even after this period, launching demand side measures would depend highly on the ability to establish the preconditions.
**Advantage**
The positive point in selecting this option would be that demand side policies could be launched more widely. All types of demand side measures could be designed and launched in all smart specialisation areas. This would also allow a more evidence-based design of policy mixes. Furthermore, establishing the preconditions would increase awareness, allowing the building of shared understanding and commitment, and thereby ensure the successful design and implementation of demand side policies and policy measures.
Policy option 2
This option would build on a simultaneous launch of activities addressing the preconditions and design an implementation of selected experimental demand side measures. Many member states have selected to launch experimental demand side measures without addressing the preconditions first. However, this includes risks (which often result in low or no impact) and requires that those preconditions that are highly relevant for the selected demand side measures are addressed sufficiently.
Procurement is the fastest demand side measure to introduce in most countries and Estonia is not an exception. The quick introduction of pre-commercial procurement and procurement of innovation requires a mandatory allocation of procurement budgets for these purposes. This should be supported by establishing a specific unit of procurement experts to support the definition and implementation of PCP and procurement of innovation.
It would be advisable to launch these first as experimental initiatives in selected areas and extend them after sufficient experience has been gained. The most promising areas for PCP would be in most sub-areas of healthcare and smart construction, whereas procurement of innovation should be considered in the areas of e-governance and smart construction, as well as in-e-health.
Smart regulation, standards and norms would most probably have the biggest impact in the area of smart construction. Since the technological platforms for smart construction are eventually going to be international, any attempts to use smart regulations, standards and norms should be complemented with measures to enhance strategic intelligence and access to platforms where international regulations, standards and norms are defined. Example of these are EU-level initiatives in the areas of smart cities and smart traffic as well as any standardisation in related areas. Smart standards and norms may also offer an opportunity in the area of healthcare, especially in cases where these may currently be too detailed and technical and thereby hinder or prevent innovation. However, care should be taken, since these may in some cases be politically sensitive.
Any policy measures targeting smart regulations, standards and norms or innovation procurement should feature strong partnerships between all stakeholders, including the government and public sector. Partnerships may be built making use of the processes needed in the detailed design of these policy measures.
Buyer incentives would seem most appropriate in areas of smart construction and most sub-areas healthcare (e-health, preventive healthcare and health tourism). More detailed design of these measures should be based on a more in-depth analysis of the quality and volume of necessary end-user incentives.
Experimental platforms may be established in all smart specialisation areas. A logical context for establishing these would be policy measures targeting strong networks, i.e. clusters and competence centres. These already attempt to bring together most of the relevant stakeholders with the aim to support research and innovation. However, current networks should be extended to enhance the participation of public sector actors and end-users at least at the level of projects and other activities implemented by networks.
Potential disadvantage
Introducing demand-side instruments without fully meeting the preconditions increases risk/probability of failure. The level of risk accepted has to be commonly agreed before launching any demand-side instruments.
Advantage
Meeting pre-conditions and launching demand-side instruments in parallel, allows some impact in shorter period. Procurement of innovation and PCP as well as introducing smart regulation in construction through Riigi Kinnisvara are the instruments that potentially have the most immediate and highest impact.
5.3 Tentative road maps towards an action plan
While we would recommend policy option 1, we have a distinct feeling that the option 2 will eventually be selected. Budget has already been allocated to demand side measures, which most probably means that there is also a pressure to launch them. That is why the tentative road maps presented here are mostly based on option 2. There are several ways where to start introducing demand-side instruments – either from big national projects like ‘Green Estonia’ or ‘Estonia in the cloud’ or from smaller, easily implementable activities like introducing procurement of innovation by Riigi Kinnisvara as the owner of the majority of public buildings in Estonia. The advantage from starting with big national projects is that many government organisations need to act for one national objective, strengthening cross-ministerial cooperation as one precondition for introducing demand-side instruments. On the other hand starting with small and easily understandable activities, it will give first experiences, success will motivate other public organisations to follow as well as increase awareness. Both approaches can be implemented in parallel.
E-governance
The steps should be taken in the order presented in Table 8, although steps 1 to 5 could also be launched simultaneously, followed by steps 6 and 7. Steps 1a and 1b as well as 6a and 6b can be seen as alternatives – if step \( \alpha \) cannot be taken, then step \( b \) has definitely to be taken. Steps 1, 4 and 6 are the most important measures to support e-governance innovation by demand side policies. Other steps are highly desirable, but not mandatory. Steps 6 and 7 should be complemented with establishing a unit to support innovation procurement. The bodies responsible to initiate the activities are added as well as examples of activities to be launched immediately. Close cooperation with other ministries and public agencies related to the area is essential.
Table 8. A road map towards action plan for introducing demand-side instruments in e-governance
| Step 1a | Ministry of Economic Affairs and Communication (MoEC) | Ministry of Finance (MoF) | Estonian Development Fund (EDF) |
|---------|------------------------------------------------------|---------------------------|---------------------------------|
| Establish a long-term national strategy for e-governance featuring research and innovation. Consider using this process as a framework to establish a more permanent partnership between all key stakeholders (including end-users). The process should be supported with appropriate strategic intelligence of the potential role of research and innovation (studies, analyses, foresight, evaluations, etc.). | | Consider re-launching policy foresights at least in smart specialisation areas. |
| Step 1b | Introduce support for research and innovation to high-profile national e-governance projects (e.g., e-evidence). This can be considered as easy and quick start. Use these as a framework to establish a more permanent partnership between all key stakeholders (including end-users). This should be supported with appropriate strategic intelligence of the potential role of research and innovation (studies, analyses, foresight, evaluations, etc.). | | Consider re-launching policy foresights at least in smart specialisation areas. |
| Step 2 | | Support the transition towards management-by-objectives in public sector. Consult the partnership during the selection of final metrics and indicators. Establish benchmarking for public service providers focusing on performance and quality (use the metrics and indicators defined). |
| Step 3 | Allocate funding based on quality and performance to enhance the adoption of innovation. | | |
| Step 4 | Establish open (safe) experimentation platforms, which are integrated into the real life context and include both physical and virtual elements. Consider building these in collaborative leadership between companies and public sector service providers, e.g. under the umbrella of cluster-type arrangements. | | |
| Step 5 | Consider establishing a programme for SMEs to pilot their innovative e-governance solutions in the public sector. Funding may be allocated also for developing the solution, but mainly for piloting it together with a public sector service provider. The programme could provide both funding and matching services (help in finding the public sector service provider willing to pilot/test the solution). | | |
| Step 6a | Make a political level decision to allocate a percentage of all public procurement to PCP and later also procurement of innovation or designate a certain number of innovative projects/ procurements per ministry/public agency. This may begin from a more limited number of organisations (selection may also be voluntary, in which case it may need to be complemented with an incentive), and extend gradually. | | |
| Step 6b | Establish a high profile certificate/label/association of both public and private organisations pledging that they are committed to voluntarily allocate a percentage of their (procurement, collaboration, etc.) budgets for buying innovative products, services and solutions from innovative SMEs. | | |
| Step 7 | Launch a programme for procurement of innovation where e-governance is one of the focus areas. Programme is important in the beginning to offer platforms for all relevant stakeholders to engage in interaction, learning, collaboration and networking. Platforms are also a vehicle to integrate national activities into EU-level initiatives and networks. | | |
Healthcare
The steps should be taken in the order presented in Table 9, although steps 1, 2, 4, 5, 6 and 8 could also be launched simultaneously, followed by steps 3 and 7, and finally 9 and 10. Steps 4, 5, 6 and 7, as well as steps 9 and 10 are naturally optional and valid only if the respective demand side measures are selected to the policy mix. Steps 9 and 10 should be complemented with establishing a unit to support innovation procurement. Steps 9a and 9b can be seen as alternatives – if step \(a\) cannot be taken, then step \(b\) has definitely to be taken.
The bodies responsible to initiate the activities are added as well as examples of activities to be launched immediately. Close cooperation with other ministries and public agencies related to the area is essential.
It has to be noted, that introducing demand-side instruments in healthcare sector takes more time than in other smart specialisation areas as changes in healthcare are implemented carefully as well as mind shift in healthcare needs time to be adopted.
Table 9. A road map towards action plan for introducing demand-side instruments in healthcare
| Step 1. | Ministry of Social Affairs | Ministry of Economic Affairs and Communications (MoEC) | Ministry of Finance (MoF) | Estonian Development Fund (EDF) |
|---------|----------------------------|--------------------------------------------------------|---------------------------|---------------------------------|
| Recognise and introduce R&D&I into the longer-term strategies and action plans. Use this process as a framework to establish a more permanent partnership between all key stakeholders (including companies and end-users). The process should be supported with appropriate strategic intelligence on the potential role of research and innovation (studies, analyses, foresight, evaluations, etc.). Instead of establishing a separate committee, establish a research and innovation committee focusing more widely on the role and potential benefits of research and innovation in the area of healthcare. | | | | Consider re-launching policy foresights at least in smart specialisation areas. |
| Step 2 | Continue and strengthen the already launched process of establishing the transition towards management-by-objectives and towards quality and performance based regulations, standards and norms. Consult the partnership during the selection of final metrics and indicators. Establish benchmarking between healthcare service providers (domestically and later also internationally) focusing on performance and quality (use the metrics and indicators defined). | | | |
| Step 3 | Allocate funding based on quality and performance to enhance the adoption of innovation. Consider adjusting the funding structures towards a more balanced approach between preventive healthcare, treatment of illness and aftercare. More balanced approach would allow more emphasis and resources on preventive healthcare and aftercare, allowing the development of markets (supply of services). | Consider establishing end-user incentives (e.g. vouchers) to use preventive healthcare (employers and social security), aftercare (health insurance) and e-health services (end-users) to enhance the uptake for these services. Consider eliminating the tax for fringe benefits related to these services (requires changes in value added tax law). | | |
| Step 4 | Launch a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices to support transition from detailed technical towards quality and performance (and safety) based. This can be considered as easy and quick start. Bring the results of the analysis to an open discussion with the partnership in order to define which regulations, standards, norms and practices could and should be changed and how. Initiate the necessary administrative processes to reform the regulatory regime. | | | |
| Step 5 | Strong collaboration with the MoEC | Establish incentives for participating in research and innovation for the healthcare organisations and professionals. This is important to raise the awareness of healthcare organisations and professionals of the potential benefits of research and innovation. Incentives may be | | |
| Step 6 | Strong collaboration with the MoEC | Redesign the networking initiatives so that cluster-type measures are built with the leadership of (business) organisations active in the identified healthcare sub-sector markets. These could be built around care of specific illnesses ranging from preventive to treatment and aftercare including e-health, or around specific types of services/offering.
Competence centre type measures should focus on longer-term development of competences, medical treatments, pharmaceuticals, etc., i.e. research driven innovation. |
| --- | --- | --- |
| Step 7 | Establish open experimentation platforms, which are integrated into the real life healthcare context and include both physical and virtual elements: Consider building these with the leadership of healthcare organisations and companies, e.g. under the umbrella of cluster-type arrangements. |
| Step 8 | Emphasise economic and societal impact throughout public research funding. This may be done in the form of funding criteria (e.g. utilisation of research results, employment of graduates, etc.), additional competitive funding or rewards.
Close collaboration with the Ministry of Education and Research is required. |
| Step 9a | Strong collaboration with the MoEC | Consider establishing a guarantee mechanism (e.g. insurance for health tourism clients) to cover the additional costs of innovation or failure (make a political decision whose responsibility the guarantee fund is – whether managed by MoF or sectoral ministries). |
| Step 9b | Strong collaboration with the MoEC | Establish a high profile certificate/label/association of both public and private organisations pledging that they are committed to voluntarily allocate a percentage of their (procurement, collaboration, etc.) budgets for buying innovative products, services and solutions from innovative SMEs. |
| Step 10 | Strong collaboration with the MoEC | Launch a programme for PCP where healthcare is one of the focus areas. It would be important at the beginning to offer platforms for all interested stakeholders to support knowledge learning, collaboration and networking. Platforms are also a vehicle to integrate national activities into EU-level PCP initiatives and networks. |
Smart construction
The steps should be taken in the order presented Table 10, although steps 1 to 6 could also be launched simultaneously, followed by 7 and 8. Steps 3 to 5, as well as steps 7 and 8 are naturally optional and valid only if the respective demand side measures are selected to the policy mix. Steps 7a and 7b can be seen as alternatives – if step a cannot be taken, then step b has definitely to be taken. Steps 7 and 8 should be complemented with establishing a unit to support innovation procurement.
The bodies responsible to initiate the activities are added as well as examples of activities to be launched immediately. Close cooperation with other ministries and public agencies related to the area is essential.
Table 10. A road map towards action plan for introducing demand-side instruments in smart construction
| Step | Ministry of Economic Affairs and Communications (MoEC) | Ministry of Finance (MoF) | Estonian Development Fund (EDF) |
|------|------------------------------------------------------|---------------------------|---------------------------------|
| **Step 1** | Establish a longer-term strategy and action plan featuring research and innovation. Use this process as a framework to establish a more permanent partnership between all key stakeholders (including end-users). The process should be supported with appropriate strategic intelligence of the potential role of research and innovation (studies, analyses, foresight, evaluations, etc.). | | Consider re-launching policy foresights at least in smart specialisation areas. |
| **Step 2** | Allocate funding based on quality and performance to enhance the adoption of innovation. | | |
| **Step 3** | Consider establishing property owner and/or end-user incentives (e.g. vouchers) to enhance the demand for innovation (e.g. heating/cooling, ICT, real estate services). | | |
| **Step 4** | Launch a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices to support the transition from detailed technical towards quality and performance (and safety) based. This can be considered as easy and quick start. Bring the results of the analysis to an open discussion with the partnership in order to define which regulations, standards, norms and practices could and should be changed and how. Initiate the necessary administrative processes to reform the regulatory regime. | | |
| **Step 5** | Establish open experimentation platforms, which are integrated into the real life construction context and include both physical and virtual elements. Consider building these with the leadership of construction organisations and companies, e.g. under the umbrella of cluster-type arrangements. | | |
| **Step 6** | Emphasise economic and societal impact throughout public research funding. This may be done in the form of funding criteria (e.g. utilisation of research results, employment of graduates, etc.), additional competitive funding or rewards. | | |
| **Step 7a** | Make a political level decision to allocate a percentage of all public procurement to PCP and later also procurement of innovation or designate a certain number of innovative projects/ procurements per ministry/public agency. This may begin from a more limited number of organisations (selection may also be voluntary, in which case it may need to be complemented with an incentive), and extend gradually. Consider establishing a guarantee mechanism to cover the additional costs of innovation or failure. Start with Riigi Kinnisvara. This can be considered as easy and quick start. | | |
| **Step 7b** | Establish a high profile certificate/label/association of both public and private organisations pledging that they are committed to voluntarily allocate a percentage of their (procurement, collaboration, etc.) budgets for buying innovative products, services and solutions from innovative SMEs. | | |
| **Step 8** | Launch a programme for procurement of innovation where smart construction is one of the focus areas. Programme is important in the beginning to offer platforms for all relevant stakeholders to support interaction, learning, collaboration and networking. Platforms are also a vehicle to integrate national activities into EU-level procurement of innovation initiatives and networks. | | |
6. Principles of measuring the impact of implementation of the demand-side innovation policy
6.1 Orientation: what are the programme aims?
Prior to specifying the methodological considerations, which will be required to guide the evaluation, it is first necessary to decide on the precise objectives that the prospective programme is intended to address. In very broad terms, these objectives may be oriented as follows:
- To support the development of Estonian industry in terms of
- Its capacity for the production of innovative products, processes and services
- Its market position (as a public sector supplier), domestically and/or abroad
- Its market position (in the private market), domestically and/or abroad
- To provide directed support to sectors of the Estonian economy which exhibit growth potential (healthcare, e-Governance, Smart Construction, etc.). To ensure the supply of innovative goods and services to the Estonian public sector for the benefit of Estonian society
- A combination of some or all aspects of the above.
In addition, and as recommended elsewhere in this report, the requirements of adopting a horizontal policy approach to demand-led policies will further necessitate the programme objectives to address a range of relevant sectoral objectives that will be set according to the responsibilities and portfolios of other stakeholder departments.
6.1.1 How to deliver the selected objectives
As discussed in the earlier sections of this report, there are a number of routes by which these objectives may be addressed. Summarising from Tables 3, 4 and 5, these include:
- Allocation of resources for pre-commercial procurement and procurement of innovation based on longer term strategies and public sector needs
- Establish quality and performance based smart regulations
- Establish quality and performance based standards and norms
- Establish buyer incentives
However, if it is assumed that the primary goal of the prospective instrument will be the provision of support for user driven innovation and experimentation then the available instruments/policies include:
- Experimental platforms to test and develop innovative products, services and solutions in collaboration with public sector organisations, companies, research organisations and end-users
- Recognition of innovation such as rewards, visibility, additional resources, etc.
- Support for establishing active end-user communities and social enterprises.
On the basis of the above, we will set out a number of issues that need to be considered in the evaluation context of the first option (experimental platforms) and, more specifically on the assumption that measure to be implemented will be similar to examples found in other countries such as the SBRI-type of scheme, i.e. it is valid primarily for procurement type schemes. However, this basic model could be
elaborated so that it might be applied to other forms of demand side policy such as smart regulation, standards and norms, since the main stakeholders are principally the same although their respective roles may vary according to the instrument employed.
In addition, we will elaborate on the issues that will require consideration in the monitoring and evaluation of the broader policy mix in support of fostering demand side support.
6.2 Monitoring and measurement of specific demand-side instruments
Demand-side innovation policy measures are primarily intended to create a change of behavior, in both the way in which public sector departments and agencies address their requirements for new services and products and in the attitude and capacity of the firms that fulfill these requirements.
The approach to evaluating such measures may be sub-divided into the two principal target groups: a) firms and b) Government departments and agencies procuring specific products and services.
6.2.1 Issues for target firms
The key questions here are:
- To assess the extent to which the instrument has generated new business opportunities for companies, provided a route to market for SMEs’ ideas and bridged the seed funding gap experienced by many early stage companies, and;
- To assess the extent to which the instrument has been successful in supporting economic growth and in enabling the development of innovative products and services through the public procurement of R&D.
Information requirements
Broadly speaking, to answer these questions will require gathering information on the following issues:
- Awareness: How firms found out about the scheme;
- Customer journey: Experience of the application and award process;
- Project profiles, enablers and barriers: factors that contributed to or hindered the development of the specific project;
- Impacts of the scheme on innovation outputs, collaboration and performance;
- Subjective estimates of additionality: What did participation in the scheme contribute to the firm and the project?;
- Behavioural additionality effects;
- Effects on business growth, profitability and employment;
- Spill-over, displacement, multiplier and substitution effects.
The data/information gathering process may be divided into (at least) two phases: that which may be collected during the application process ('monitoring data'), such as baseline characteristics against which potential scheme effects may be benchmarked and data/information to be collected through specifically designed evaluation instruments during the evaluation phase(s). An overall suggested set of information and data requirements are set out below (see Table 11).
Table 11. Suggested set of information data and sources for measuring demand-side instruments
| Information/data | Examples/issue | Source(s) of information |
|-------------------------------------------------------|-------------------------------------------------------------------------------|--------------------------|
| **Baseline and comparative data on firm characteristics** | Company size | M + E (survey) |
| | Recent (2yr) size trajectory | M + E (survey) |
| | Company turnover | M + E (survey) |
| | Recent (2yr) turnover trajectory | M + E (survey) |
| | Age of business | M + E (survey) |
| | Business Activity (SIC) | M + E (survey) |
| | Business structure (subsidiary, parent, etc) | M + E (survey) |
| **Data on market conditions** | Intensity of competition faced | M + E (survey) |
| | Market penetration (domestic vs EU & international) | M + E (survey) |
| **Attitude to innovation** | Recent introduction of new/improved products, services, process | M + E (survey) |
| | Likelihood of future introduction of above | M + E (survey) |
| | Cooperation activities (e.g with Government) | M + E (survey) |
| | Likelihood of future cooperation | M + E (survey) |
| | Use of other government support schemes | M + E (survey) |
| **Experience of scheme** | Prior experience as public sector supplier | M + E (survey) |
| | Awareness of scheme | E (survey) |
| | Rationale & expectations from participation | E (survey) |
| | Experience with application process | E (survey) |
| | Extent to which objectives were met | E (survey) |
| | Barriers to success (if applicable) | E (survey) |
| **Impact of scheme** | Potential effects of no support | E (survey) |
| | Direct benefits of scheme participation | E (survey) |
| | Effects on attitude to innovation | E (survey) |
| | Outcomes of participation (new products/services etc) | E (survey) |
| | Effects of non-participation (on turnover, duration of effect) | E (survey) |
| | Reason for positive effects | E (survey) |
| | Effect on market (esp. with public sector/international) | E (survey) |
| | Further outcomes (spin-outs, etc) | E (survey) |
Key: M = Monitoring data (gathered during application phase)
E = Evaluation data (plus evaluation instrument used)
During the evaluation, we would also suggest the selection of a comparable sample of firms against which further benchmarking of the effects of the scheme may be benchmarked. A possible source of such firms would be non-successful applicants (for which initial monitoring data would already be available).
Suggested methodologies
Much, if not all, of the required information and data could be captured through a combination of the application process (as an early stage monitoring exercise) and a survey of firms once sufficient time has elapsed through the lifetime of the programme for appropriate outcomes to have resulted: i.e. an interim evaluation. If feedback on the administration and management of the programme were required, an earlier, more limited survey could be applied in order to address this narrower range of issues. The precise timing of the outcomes/impact evaluation would depend on the duration of a project, which typically could be between two- to four years, according to the stage of deliverable required (i.e. fully developed concept or advanced prototype).
The interim evaluation survey would target participating firms, with a control group of unsuccessful applicants (for which baseline data would already be available via the application process monitoring). An additional control group could be added, through a targeted selection of firms which did not apply, but which exhibit similar characteristics to the applicants and participants.
6.2.2 Issues for government organisations
The main question here is to assess the extent to which the instrument has been successful as a mechanism to enhance the provision of innovative solutions to challenges faced by the public sector, leading to better public services and improved efficiency and effectiveness.
The main target will be all government organisations/ministries engaged with the use of the demand-side instruments.
Information requirements:
Broadly speaking, to answer these questions will require information to be gathered on the following issues:
- Issues concerning procurement
- How are strategic procurement requirements identified?
- Is there dialogue with other departments regarding procurement needs (particularly with regard to horizontal or enabling technologies)?
- Issues relating to department engagement and operation of the scheme
- Level of participation (i.e. number of applications/projects)
- Do the requirements of the scheme complement the normal strategic identification of priorities and requirements?
- Outcomes achieved
- Operational or policy-supporting
- How were procurement priorities identified?
- Impact on exposure/access to range of potential supplier companies or to range of potential products/processes/services
- Risks of lock-in
- Has the scheme led to improved dialogue with suppliers during any stage of the procurement process?
- Has the scheme led to any improvements in the way that public sector services are delivered?
- Relative importance of the scheme in regard to the typical procurement portfolio
- Impact on/comparison to ‘normal’ procurement routes (hinder or assist)
– Effect on procurement specification and post-award dialogue with supplier
– Has there been an increase in the ‘risk’ of procurement and have the benefits outweighed this?
• How effective is the engagement between the agency/department operating the scheme and the procuring department?
• How does the organisation identify and select appropriate applicant projects? What criteria are applied?
– Does the organisation assist companies in the identification/scoping of future potential markets?
An overall suggested set of information requirements is set out in Table 12, below:
Table 12 Suggested set of information data and sources for measuring demand-side instruments – government organisation perspective
| Information | Examples | Sources of Information |
|--------------------------------------------------|--------------------------------------------------------------------------|-------------------------------------------------------------|
| Identification Publication of Strategic Requirements | Presence of a process for identification of strategic priorities | M + E (Departmental interviews) |
| | Cross-departmental/ministerial dialogue | M + E (Departmental interviews, Documentary analysis) |
| | | E (Departmental interviews) |
| Departmental Engagement with Policy | How many departments engaged | M + E (Documentary analysis) |
| | Number of procurements undertaken | M |
| | Size of procurements undertaken | M |
| Comparison of Procurement with other Alternatives | Have innovative procurements been undertaken? | M + E (Departmental interviews, end-user interviews) |
| | What procedures have been used (e.g. Competitive Dialogue, Pre-commercial procurement, performance based specifications) | M = E (Departmental interviews) |
| Outcomes Achieved | Results of procurements compared with traditional procurements on the basis of the following: technical sophistication, effectiveness for the organisation, cost-savings. | E (Departmental interviews, End-user interviews, Case studies, Workshops) |
| Lock-in Risks | Have procurements become more open – greater number of suppliers coming forward to enter procurements including procurement competitions | M (Firm data) + E (Departmental interviews) |
| Comparison with other approaches | Comparison with traditional procurements done under existing procedures [Note: there may not be sufficient comparative data in the case of Estonia] | E (Departmental interviews, Case studies) |
| Agency and Procuring Department Relationship | Nature of contacts between funding agency and industrial provider [depends on nature of programme and if single responsible funding/administrative body is used] | E (Departmental and agency interviews) |
| Identification and Selection of Appropriate Projects | Selection criteria applied (balance between cost, novelty and risk) | M + E (Departmental interviews, Documentary analysis) |
| | Level of assistance to applicants during proposal stage | M + E (Departmental interviews) |
Key: M = Monitoring data (gathered during programme administration)
E = Evaluation data (plus suggested evaluation instrument)
**Suggested methodologies**
As the required information is largely of a qualitative nature, the most appropriate methodology would be the use of structured interviews with relevant officials from the client departments/ministries. In addition, in order to develop cross-departmental issues and to promote additional synergies as an output of the evaluation process, the use of a workshop with all representatives of these organisations/ministries, together with representatives of participating companies and the scheme administrators is also suggested.
### 6.3 Behavioural additionality
The concept of behavioural additionality has been emerging as an issue in evaluation studies for a number of years since its identification by early workers such as Buissert, et al.\(^4\) and its development by others (e.g. OECD, 2006\(^5\), Gök, 2010\(^6\)). The measurement of other forms of additionality (notably input and output additionality) are well established in the evaluation of publicly supported innovation policy instruments particularly since they can be used to justify such support on the basis of notions such as return-on-investment and cost-benefit ratios. However, behavioural additionality refers to the effects of policy instruments in bringing about a sustainable change in the ways that the beneficiaries of such instruments undertake innovation-related activities as a direct consequence of their participation. It thus attempts to identify a range of more subtle and sophisticated programme effects beyond simple, potentially one-off, economic concerns. In fact, the presence of behavioural additionality is seen as a highly desirable policy outcome since it implies a lasting (ideally, positive) change in the target audience’s attitude towards and relationship with innovation activities in the future.
Essentially, behavioural additionality refers to the ways in which target organisations, or the individuals within such organisations, alter their activities (typically referred to as ‘routines’ or ‘organisational routines’) as a consequence of participating in innovation support activities. In the case of demand-side instruments, these participants will comprise the beneficiary firms and the client government organisations or ministries who undertake the (supported) procurement activities.
A number of the evaluation issues identified above can be seen to be closely associated with behavioural additionality concerns. The most significant of these, from the perspective of both firms and government organisations/ministries, are set out as specific elements for the investigation of behavioural additionality effects below (Table 13). It should be noted that, from the perspective of demand-side instruments, which rely strongly on the concept of pre-commercial procurement as well as procurement of innovation (i.e. the assumed potential measure for introduction in Estonia), the principal targets for behavioural additionality effects are the government organisations that have a high requirement for innovative procurement. This is because these are likely to be ‘repeat customers’ for innovative products and services:
---
\(^4\) Buissert, T., Cameron, H., Georgiou, L., (1995). What difference does it make? Additionality in the Public Support of R&D in Large Firms, Int. J. of Technology Management, Vol. 10, 587 - 600.
\(^5\) OECD, (2006). Government R&D Funding and Company Behaviour, Measuring Behavioural Additionality, OECD Publishing, France.
\(^6\) Gök, A., (2010). An Evolutionary Approach to Innovation Policy Evaluation: Behavioural Additionality and Organisational Routines, Faculty of Humanities. Manchester Business School, UK.
the firms that supply such solutions are less likely to engage repeatedly with government clients, largely due to the lack of opportunities.
It should also be noted that the development of evaluation methodologies for the measurement of behavioural additionality effects is still in its infancy. Whilst ‘traditional’ approaches, such as interviews and case studies can be used, these present certain problems (such as pre-suggestions of the possibility that behavioural additionality has occurred, rather than a ‘neutral’ approach to identifying its occurrence). However, more exploratory approaches (such as advanced text-mining) are still awaiting development.
Table 13: Suggested set of information data and sources for measuring behavioural additionality effects and outcomes: Firms and government organisations/ministries.
| Information | Examples | Potential sources of Information |
|--------------------------------------------------|--------------------------------------------------------------------------|---------------------------------|
| **Participant firms** | | |
| **Attitude to innovation** | Likelihood of future introduction of new/improved products, services, processes | E (survey, followed up by interview, case study) |
| | Likelihood of future cooperation activities with Government | E (survey, followed up by interview, case study) |
| | Intended use of other government support schemes | E (survey, followed up by interview, case study) |
| **Impact of scheme** | Effects on attitude to innovation | E (survey, followed up by interview, case study) |
| | Effects on future products, services, etc. outputs | E (survey, followed up by interview, case study) |
| | Effects on future market development (i.e. with regard to public sector clients, international actors/partners, etc.) | E (survey, followed up by interview, case study) |
| | [Effects of non-participation (optional control group counter-factual to examine behavioural additionality outcomes)] | E (survey, followed up by interview, case study) |
| **Government organisations** | | |
| **Identification and Publication of Strategic Requirements** | (Change in) attitudes/presence of process for identification of strategic priorities – future likelihood of use of strategic approach | E (Ministerial interviews) |
| | (Change in) cross-ministerial dialogue – future plans/intentions | E (Ministerial interviews) |
| **Ministerial Engagement with Policy** | Change in level of engagement (positive or negative) | E (Ministerial interviews) |
| **Comparison of Innovative Procurement Approaches with other Traditional Alternatives** | Change in utilisation of innovative procurements | E (Ministerial interviews) |
| | Use of procedures (e.g. Competitive Dialogue, Pre-commercial procurement, performance based specifications) – actual and intended | E (Ministerial interviews) |
| **Ministerial relationship with supplier companies (potential and actual)** | Change in relationship with potential suppliers (e.g. contract notification procedures, changes negotiation, technical specification formulation/negotiations). | E (Ministerial interviews, Documentary analysis) |
| | Dialogue with applicants during proposal stage. Dialogue with successful applicants during project stage. | E (Ministerial interviews, Documentary analysis) |
Key: E = Evaluation data (plus possible evaluation instrument to be used)
7. Executive Summary
Demand-side innovation policy instruments can effectively support supply-side instruments in stimulating economic growth
Over the last decade, and especially during the economic crisis since 2008, governments have been seeking new ways of supporting businesses and communities. Europe 2020 has set challenging targets towards inclusive growth in all EU member states, linking the use of the EU Structural Funds 2014-2020 with smart specialisation. Estonia has defined the following smart specialisation areas as the most promising sectors for economic growth:
- ICT horizontally across other sectors;
- Health and healthcare technologies;
- More effective use of resources.
The R&D strategy “Knowledge based Estonia 2014-2020” and the “Entrepreneurship growth strategy 2014-2020” focus explicitly on supporting companies which have growth potential in smart specialisation areas. Since a “business as usual” policy will not bring the country closer to sustainable economic growth, the Ministry of Economic Affairs and Communications has sought new opportunities to implement its innovation policy. While Estonian R&D and innovation policies have hitherto mainly focused on facilitating supply-side innovation policy, attention has now shifted to the possible use of demand-side innovation policy instruments as a key for further growth.
Demand-side policy refers to an approach where the government stimulates the country’s economy with policies on enhancing the demand for more innovation. An accompanying benefit is that, as a result of innovation, public services may be provided more efficiently and effectively, in the long run saving public money.
For stimulating both market supply and demand with a combination of supply and demand-side innovation policy instruments is considered as a potential. Direct support to companies, competitive grants, government subsidised loans or credit guarantees are seen as typical supply-side innovation policy instruments supporting improving economy’s productive potential. At the same time procurement of innovation, pre-commercial procurements, buyers’ incentives or smart regulation are the most used demand-side instruments supporting improving domestic demand and innovation potential.
The aim of the feasibility study was to analyse how demand-side policies can be integrated into other (supply-side) policies in order to address innovation policy objectives
The key issue was to understand how to introduce and integrate demand-side measures to the specific Estonian innovation policy contexts in order to make them stronger. The study, provided by Technopolis Group and Manchester Institute of Innovation Research, comprised: 1) international benchmarking and case studies, 2) analysis of the Estonian situation and potential for new types of policy measures through individual interviews and focus groups with key stakeholders and potential beneficiaries, 3) development of policy recommendations for introducing demand-side innovation policy measures in Estonia, with a specific focus on smart specialisation areas.
There are several examples of the experience of using demand-side instruments (including those in the UK, Netherlands, Finland, Sweden, Denmark, Austria). A qualitative benchmarking of policy contexts was provided in order to understand the policy context in which successful demand-side innovation policy countries can operate and what Estonia can learn from their experience. This formed an important piece of information, which led to the understanding that no demand-side innovation policy can be successfully implemented without first addressing necessary policy preconditions. Ignoring horizontal preconditions will not deliver the expected economic impact from demand-side innovation policy.
A knowledge of the existing situation in Estonia concerning the implementation of innovation policy, together with the overall policy context and the general objective of innovation policy (economic growth), the fourth and missing piece of this policy jigsaw – the formulation and selection of appropriate demand-side innovation policy instruments – can be developed. Towards this end, the market potential of each smart specialisation area as well as the awareness and readiness of relevant stakeholders was analysed and the sub-sectors of smart specialisation areas with most potential were identified. In order to define the appropriate policy mix and thereby the most appropriate demand-side instruments for each of these areas, an analysis of the key barriers and drivers of innovation of the key stakeholder groups was undertaken. Based on this it was possible to identify the potential and appropriate innovation policy measures that could be used to strengthen the incentives of each stakeholder group to engage in, support and demand innovation. These incentive structures were then used as a basis for defining the appropriate policy mix for each of the selected smart specialisation areas, including specific demand side measures that could be introduced to best strengthen the overall policy mix. This allowed the development of tentative action plans with recommended actions to introduce the specific demand-side instruments for each sub-sector of smart specialisation. Introducing demand-side policies is a learning process. Principles of measuring the impact of implementation of the demand-side innovation policy were developed to support this.
Addressing the necessary preconditions is essential for the successful introduction of demand-side innovation policy instruments
There are a number of barriers that need to be addressed at the overall level of policy and governance in Estonia in order to foster demand-side innovation policies. The main barrier for innovation in the public sector is too great focus on short-term activities and resources. To overcome this, and to enhance the role of public sector demand as a driver for innovation, government must place greater emphasis on defining and communicating its longer-term needs from the private sector. At the same time, the main driver for public sector innovation is the need to address societal challenges; this implies a requirement to improve governance models and/or structures accordingly. An additional driver for demand side policies is the need to increase the leverage of public policy, especially public funding. The introduction of demand-side innovation policy in Estonia will require shifting the focus towards a more market-driven approach of innovation. In advance of the introduction of any demand-side innovation policy instruments in Estonia, the following most important policy context preconditions will need to be addressed (these can also be addressed in parallel with the introduction of demand-side instruments):
1. The Estonian Government to establish horizontal government-level, longer term, ambitious visions and strategies that feature research and innovation.
2. The Estonian Government to actively build partnerships with market actors.
3. The Estonian Government to establish systematic innovation risk management practices for the public sector.
Introducing demand side policies in Estonia should start from specific demand-side policy instruments in selected smart specialisation areas integrated either to big national projects or as smaller, easily implementable activities
There are three main policy options to introduce the implementation of demand-side innovation policy instruments:
1. The first option is to establish a solid foundation for innovation policies. Here, the relevant preconditions must be addressed first. Once these have been sufficiently established, appropriate demand-side measures may be designed and launched. This is the most time consuming, but most effective option.
2. The second option is to launch experimental demand-side measures simultaneously alongside activities aimed at addressing the preconditions. This is a more risky option, but could be attempted, especially if the
experimental policy measures can be designed to be flexible and sufficient learning processes are put in place.
3. The third option is the most risky one, since it would mean launching demand-side policy measures without first addressing the preconditions. This would not be advisable, since the failure to reach the desired impact may cause resistance against any subsequent attempts to benefit from demand-side policies
Since the third option is not a real option and cannot therefore be recommended, the first two options remain as the most preferable. A potential disadvantage of the first option is that no demand-side policy measures would be launched during the next 1-2 years, since the preconditions are currently not met to a sufficient degree. As there seems to be a political desire to introduce demand-side policies rather quickly in Estonia, the second option would seem the most feasible.
As international experience shows and as policy option 2 clearly emphasises, demand-side measures should be introduced gradually while simultaneously addressing the horizontal preconditions. In order to ensure their successful introduction and to maximise their impact, those with potentially high impact should be introduced in selected smart specialisation areas.
E-governance enhancing all government related and initiated activities enabling more effective functioning of the public sector as well as offering better public services
The market for e-government solutions is driven by the public sector as the lead customer. This means that the market is dominated by public procurement carried out by the government or other public sector organisations, which makes procurement of innovation (or pre-commercial procurements) as a major demand-side innovation policy tool to be implemented in this sector. For supporting user-driven innovation, experimental platforms (safe environments, where failure is accepted) to test and develop innovative products, services and solutions in collaboration with public sector organisations, companies, research organisations and end-users should also be considered. In e-government big national projects like ‘Estonia in the cloud’ can be considered as potential projects for introducing innovation. These demand-side instruments should be supported by supply-side instruments such as continuous funding for R&D-based innovation, supporting participation in international collaboration and networking activities addressing societal challenges as well as services to help develop innovation for, and providing access to, international markets (incl. R&D, market validation, branding, etc.). At the same time, awareness rising of both public and private sector stakeholders about international market developments, public sector needs and innovation potential should also be supported.
Healthcare with particular innovation potential in healthcare services and processes, preventive healthcare, e-health solutions and health tourism
The Government’s role in the healthcare sector is strong. In healthcare services and processes as well as in e-health sector, government policies and decisions guide what and how services are provided. This is done through regulation, standards and norms and through public procurement. The end-user (patient/all citizens) has little direct influence on the services and to what extent e-health solutions are used. In contrast, the Government, through its organisations, analyses and interprets the needs of end-users and organises healthcare services accordingly and under politically defined budgetary limitations. Governance is based on mandatory health insurance and procurement from healthcare providers (hospitals). This provides government behaviour with a high impact on innovation in the healthcare sector.
The main recommended demand-side instruments in the healthcare sector are procurement of innovation and the introduction of smart regulation. Although the area is already strongly regulated, the new regulations could focus more on defining the desired results and be performance-based rather than focusing on detailed technical specifications. This will open the possibility to introduce innovative
products or solutions in the healthcare system. Similarly, as in the case of procurement of innovation and pre-commercial procurement, only the final result is specified, leaving the way open for the development of innovative solutions. This demand-based approach will better help to address the needs of end-users as well as raise the quality of healthcare services overall. **Buyer incentives** for adopting personalised health services and products (like arm bracelets for health monitoring or vouchers for preventive healthcare/aftercare) as well as **experimental platforms** to test and develop new products and solutions could also be considered. In parallel, the continued funding of R&D and innovation in the healthcare sector (as supply-side instrument) should also be maintained.
*Smart construction as a whole smart living environment including conceptual developments such as smart cities, energy solutions, environment friendly materials, ICT solutions (and others) – all physical environment solutions aimed at better serving the needs of end-users.*
The Government plays a dual role in the construction sector. On the one hand it controls the markets using regulations, standards and norms; for instance, control over where, what and how building may be carried out is based on permits issued by the local government, city or municipality. This effectively defines boundaries for innovation in the construction sector. Relevant regulations, standards and norms for the construction sector include the use of construction materials, safety during construction, safety of buildings/houses, land use, energy and other utilities, waste management, etc. An increasing number of these are now defined at the EU-level. The other role of the government in the construction sector is related to public buildings and infrastructures. The construction and renovation of public buildings may represent an opportunity to enhance the demand for innovation in the construction area.
The construction sector is the best area to start the introduction of **pre-commercial procurements** and **procurement of innovation**. Riigi Kinnisvara, as the owner and operator of many public buildings, forms a logical facilitator and leader for the purchase of innovation and smart construction solutions. Riigi Kinnisvara can be considered as quick and easy start for introducing procurement of innovation. The innovative behaviour of a government owned company would give a strong signal to the market about the government’s innovative approach. This would also facilitate innovation in other areas. Smart construction also requires **smart regulation** – similar to its use in the healthcare sector, defining the final results and focusing on performance could form the basis of smart regulation in the construction sector. Due to the sector’s characteristics, increased **awareness of international market developments** has also to be considered. Construction is strongly related to the use of new materials, ICT solutions and the addressing of environmental challenges, all of which require high awareness of the use of these possibilities. The setting up of **experimental platforms** to develop and test new solutions is also recommended. These demand-side instruments should be supported by supply-side ones such as the funding of R&D – collaborative research, innovation activities (Cluster-type arrangements) - as well as access to international markets.
*The introduction of demand side innovation policies in Estonia requires a holistic approach*
Ideally, although the introduction of demand-side innovation policy in Estonia would take years to be fully implemented, it is important to start with small and clearly understandable steps. These initial activities to introduce demand-side innovation policy instruments will give a strong signal to the market that the Government is open to innovation and will serve as facilitator to increasing the domestic demand for innovation. The introduction of demand-side instruments is a joint effort of the whole public sector since demand-side innovation policy requires the involvement of innovation as well as sectoral polices. Therefore, the main preliminary tasks for introducing demand-side instruments in smart specialisation areas can be divided between the Ministry of Finance, the Ministry of Economic Affairs and
Communications, the Ministry of Social Affairs and the Estonian Development Fund. The following highlights are the most important actions key policy-makers should take in introducing demand-side innovation policy measures in Estonia.
As a quick start on the policy governance level the **Ministry of Finance** has to consider initiating the improvement of the Structural Funds’ management system with more horizontal management activities (e.g. use monitoring committees as a management tool to ensure the successful implementation of cross-sectoral strategies). In cooperation with the Government Office training of deputy secretary generals, directors of agencies and heads of departments about market demand-oriented policy making has to be launched. Also, as innovation always involves risk, managing innovation risk has to be integrated into normal strategic planning cycle. For introducing public procurement of innovation and pre-commercial procurement a dedicated unit within the Public Procurement Department (it can be one-two persons initially) has to be created. The unit has to be supported by necessary trainings to educate the staff with relevant competence (incl. study tours, international internships, etc.). Involving external knowledge or mentoring is highly recommended. Defining mandatory allocation of a percentage of budget for innovation (or procurement budget) or define a certain number of projects/purchases to be innovative in all or some public organisations will serve as a clear signal towards supporting innovation.
The **Ministry of Economic Affairs and Communications** plays dual role in implementing innovation policy:
- It has the role of facilitator defining innovation policy objectives and developing strategy, launching support measures for R&D and innovation as well as awareness rising;
- It has the role of sectoral policy making in ICT and construction areas enhancing activities like defining sectoral policy objectives, changing regulations, providing trainings.
For performing the task of facilitator, the Ministry, among other activities, has to initiate support measures or programmes for supporting procurements of innovation and pre-commercial procurements as well as open (experimental) platforms to test and develop new products and services. For managing innovation risks a guarantee mechanism (e.g. insurance for health tourism clients) to cover the additional costs of innovation or failure has to be initiated as soon as possible. To introduce demand-side instruments in e-governance and construction sector the Ministry has to launch a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices to support the transition from detailed technical approaches towards quality and performance (and safety) based approaches. In addition, considering launching a programme for SMEs to pilot their innovative e-governance solutions in the public sector, would be a possible start to encouraging innovation in e-governance.
Introducing demand-side instruments in the healthcare sector the **Ministry of Social Affairs** in first hand has to recognise and introduce R&D and innovation into the longer-term strategies and action plans. For getting maximum effect from demand-side innovation policy in healthcare sector funding allocations has to be based on quality and performance to enhance the adoption of innovation. As the sector is heavily regulated a process for analysing the opportunities to improve the regulatory regime as well as standards, norms and practices has to be launched as soon as possible. It is necessary to support the transition from detailed technical approaches towards quality and performance (and safety) based approaches and processes.
In order to support long-term strategic planning in Estonia the **Development Fund** has to consider re-launching policy foresight exercises and monitoring in all smart specialisation areas. This would allow the Fund to give regular strategic and operative input for decision-makers in the key ministries to support long-term evidence-based policy making.
Introducing demand-side innovation policy is a great challenge for Estonia. It requires strengthening cross-ministerial cooperation, setting up field-specific long-term R&D and innovation strategies, developing practices for identifying and understanding market trends as well as raising awareness about innovation. It also gives opportunities to learn and improve governance traditions. Demand-side innovation policy is a step ahead in implementing innovation policy in Estonia – it stimulates domestic demand – a driver to boost economic growth.
8. Kokkuvõte
Turunõudluse ja pakkumise toetamine täiendavad teineteist innovatsioonipoliitika elluviimisel efektiivselt
Riigid on viimasel kümnendil, eelkõige majanduskriisi algusest alates 2008. aastast, proovinud leida uusi viise ettevõtluse ja innovatsiooni toetamiseks. Tagamaks ühtlasi majanduskasvu liikmesriikides on Euroopa Liidu (EL) strateegia „Euroopa 2020“ sidunud EL struktuurivahendite 2014-2020 kasutamise majanduse nutika spetsialiseerumise põhimõttega. Nutika spetsialiseerumise valdkonnad Eestis on:
- IKT horisontaalselt läbi teiste valdkondade;
- tervis ja tervisetehnoloogiad;
- ressurside efektiivsem kasutamine.
Nii teadus- ja arendustegevuse (T&A) ning innovatsiooni strateegia „Teadmistepõhine Eesti 2014–2020” kui ka „Eesti ettevõtluse kasvustrateegia 2014–2020” keskenduvad suure kasvupotentsiaaliga ettevõtete toetamisele eelkõige nimetatud kolmes nutika spetsialiseerumise valdkonnas. Riigi jätkusuutliku majanduskasvu kindlustamiseks ei piisa jätkates tavapärase majanduspoliitika elluviimist, mistõttu on Majandus- ja Kommunikatsiooniministeerium otsimas uusi viise innovatsioonipoliitika teostamiseks. Kuna senine politiitika on keskendunud pigem pakkumispoolsete meetmete rakendamisele (st olemasoleva T&A ja innovatsiooni toetamisele), siis nüüd peetakse nõudlus- ja pakkumispoolte politiikat meetmeid, kui teineteist täiendavad, edasise kasvu võtmeteguriteks. Kui poliitika, mille fookuses on innovatsiooni järele nõudluse tekitamine turul, on tuntud kui nõudluspoolne innovatsioonipoliitika. Innovatsiooni tulemusena muutuvad üldiselt avaliku sektori teenused tõhusamaks ja efektiivsemaks, mis pikemas perspektiivis atab riigil muuhulgas raha säästa. Otsetoetused ettevõtetele, konkursipõhised toetused, riigi poolt subsideeritud laenud või garantiid on tüüpilised pakkumispoolte innovatsioonipoliitika instrumentid, mis toetavad majanduse tootlikkuse arendamist. Teisest küljest on innovaatilised riigihanked, toetused lõpptarbijatele või targad regulatsioonid need vahendid, millega toetatakse kodumaise nõudluse ja innovatsiooni potentsiaali kasvu.
Käesoleva uuringu esmärgiks oli analüüsida kuidas lõimida nõudluspoolne innovatsioonipoliitika meetmed täanse pakkumispoolse innovatsioonipoliitikaga Eestis
Uuringu viisid läbi Technopolis Group ja Manchester Institute of Innovation Policy mitmes etapis: 1) rahvusvaheline võrdlus, 2) täanse innovatsioonipoliitikas elluviimise olukorra ja potentsiaalseste meetmete rakendamise vajaduse analüüs Eestis (sh intervjüud ja fookusgrupid), 3) politikasoovituste valjatootamine spetsialiste nõudluspoolne innovatsioonipoliitika instrumentide rakendamiseks nutika spetsialiseerumise valdkondades.
Mõistmaks, kuidas saaks Eesti teiste riikide kogemustest õppida, alustati rahvusvaheliste nõudluspoolsete instrumentide elluviimise kogemuste kogumises ning nende omavahelises võrdlemises. Kuigi kõik võrdlusriglid Ühendkuningriik, Holland ja Soome (aga ka nt Rootsi, Taani, Austria) rakendavad nõudluspoolske instrumente veidi erinevalt, on neil kõigil üks ühine omadus – neil on suuremal või vähemal määral täidetud nõudluspoolne innovatsioonipoliitika rakendamiseks vajalikud valitsemisalased elutingimused. Kuna Eestil puuduvad seni nõudluspoolske politiika alased kogemused, teostati valitud riikidega kvalitatiivne innovatsioonipoliitika konteksti võrdlusanalüüs. See oli oluline mõistmaks, kuidas sellel alal edukad riigid oma nõudluspoolske innovatsioonipoliitika rakendavad ning mida oleks Eestil neilt õppida. See analüüs viis arusaamisele, et mitte ükski nõudluspoolne innovatsioonipoliitika ei saa edukalt toimida olukorras, kus olulised horisontaalsed elutingimused ei ole täidetud. Elutingimuste täitmise vältime nõudluspoolske politiika ellukutsumisel vähendab loodetud positiivset majanduskasvu.
Teades innovatsioonipoliitika rakendamise hetkeluokorda Eestis, teiste riikide õppimande ja innovatsioonipoliitika peamist eesmärki (majanduskaev), saab välja töötada puuduva elemendi – nõudluspoolse vahendid. Selleks analüüsiti nii iga nutika spetsialiseerumise valdkonna turupotentsiaali kui ka sidusrühmade teadlikkust ja valmisolekut. Tulemusena kitesandati nutika spetsialiseerumise valdkondi suurimast potentsiaalist lähtudes alamvälkkondadeks. Selleks, et iga alamvälkkonna jaoks defineerida sobivaimad nõudluspoolse innovatsioonipoliitika vahendid, selgitati vastavate alade ekspertidest koosnenud huvirühmades välja peamised piiravad ja soodustavad tegurid nõudluspoolse innovatsioonipoliitika kasutamiseks. Kogutud informatsioon oli aluseks iga nutika spetsialiseerumise valdkonna jaoks eraldi nii nõudluspoolse instrumentide kui ka nende eluviimiseks pakutud tegevuskava väljatöötamiseks.
Eeltingimuste täitmine on edukaks nõudluspoolse innovatsioonipoliitika rakendamiseks hädavajalik
Eduka nõudluspoolse innovatsioonipoliitika rakendamine Eestis vajab head eeltööd mitmete politiik- ja valitsemisülesete sõltust täitmiseks. Peamine barjäär innovatsiooni rakendamiseks on avaliku sektoris valdav lühijalaline strateegiline planeerimine ja ressursside kasutamine. Innovatsiooni soodustamiseks peab riik keskenduma pikemaajalisemate strateegiatele (enam kui neli aastat). Samas on peamisena innovatsiooni soodustavaks teguriks vajadus lahendada riigi es seisvald eesti ühiskondlikke probleeme. Teine soodustav tegur on võimalus tõsta riigi finantsvõimekust, selkõige optimeerides riigi raha kasutamist. Enne nõudluspoolse innovatsioonipoliitika instrumentide tutvustamist Eestis peavad olema täidetud järgnevad valitsemisülesed eeltingimused (mõttesed võivad toimuda ka paralleelselt nõudluspoolse innovatsioonipoliitika rakendamisega):
1. T&A ning innovatsioon peavad olema integreeritud riigi pikaajalistesse strateegiatesse;
2. Eesti valitsus peab aktiivselt arendama koostööd turu osapooltega mööstmakts turunõudlust ning lõpptarbitja vajadusi;
3. innovatsiooniga seotud riskide maandamine tuleb süsteemseelt integreerida tavapärasesse riskide maandamise strateegiatesse.
Konkreetsete nõudluspoolse innovatsioonipoliitika instrumentide eluviimist nutika spetsialiseerumise valdkonnas võib alustada nii läbi suure riklike projektide kui ka väiksemate üksiktegevuste
Nõudluspoolse innovatsioonipoliitika tutvustamiseks on kolm strateegilist lähenemist:
1. **Esimene valik** eeldab innovatsioonipoliitikale tugeva vundamendi loomist eeltingimuste näol enne poliitika rakendamist. Käigepaalt täidetakse vajalikud eeltingimused ja alles siis, kui need on vajalikul tasemel, hakatakse nõudluspoolseid innovatsioonipoliitikaid kujundama ja rakendama. See on kõige aegamondväim, kuid kõige efektiivsem valik.
2. **Teine valik** on nõudluspoolsete instrumentide eluviimine samaaegselt eeltingimuste loomiseks vajalike eeltingimuste täitmisega. See valik on riskantsem, aga seda on võimalik katsetada, kui meetmed on pisavalt pandlikud ning sellest tegevusest on võimalik edaspidiseks öppida.
3. **Kolmas valik** on kõige riskantsem, kuna see seisneb nõudluspoolse innovatsioonipoliitika tutvustamises ilma eeltingimustega tegelemata. See valik ei ole soovitatav, kuna võib suure tõenäosusega lõppeda nõudluspoolse innovatsioonipoliitika läbikukkumisega.
Uuringu autoriteepoline soovitus on keskenduda kahele esimesele valikule. Esimese võimaluse peamiseks puuduseks on kaasnev oht, et esimese paaril aasta jooksul ei võeta kasutusse mitte ühtegi nõudluspoolse poliitika instrumenti, kuna eeltingimuste tase ei ole piisav. Poliitiline surve võtta nõudluspoolsed innovatsioonipoliitikad Eestis kasutusele võimalikult kiiresti teeb teisest võimalusest sobivaima valiku.
Tuginedes rahvusvaheliste kogemustele, on nõudluspoolseid instrumente soovitatav tutvustada järk-järgult paralleelselt horisontaalsete eeltingimuste tagamisega. Nõudluspoolse innovatsioonipoliitikast maksimaalse efekti saavutamiseks tuleb keskenduda valitud nutika spetsialiseerumise kitsametele valdkondadele.
**E-valitsemine, mis toetab avaliku sektori efektiivsemat funktsioneerimist ja teenuste pakkumist**
E-valitsemise lahenduste väljatöötamisel on avalik sektor liidrilisels ning dikteerib turunõudlust. Sestöttu on tungu domineerivad riigihanked selles valdkonnas võimetööristaks nõudluspoolse innovatsioonipoliitika rakendamisel. Kasutajakeske innovatsiooni toetamiseks tuleb koostöös avaliku sektori organisatsioonidega, ettevõtete, teadusasutuste ja lõpptarbitajatega lisaks uute **eksperimentaalsed platvormid** (ehk turvalised riskivabad testkeskkonnad), võimaldamaks testida ja arendada innavaatlike tooteid teenuseid ja lahendusi. E-valitsemine on see valdkond, kus riigi on huvitõmmus kasutada nõudluspoolseid vahendeid suurendama nutikate projekteid nagu ‘Eesti liik pilve’ elluviimiseks. Nimetatud nõudluspoolseid instrumente tuleb jätkuvalt toetada pakkumispoolsete meetmete nagu nidev T&A rahastamine, ühiskondlike probleemide alase rahvusvahelise koostöö ja suhtlusvõrgustiku toetamine kui ka innovaatilise toote (rahvusvaheliste) turule toomise kaasaaitamine. Samal ajal tuleb nii avalikus kui ka erakorstites tegeleda teadlikkuse tostmisega rahvusvaheliste turgude trendide, avaliku sektori vajaduste ja innovatsiooni potentsiaali tuvastamiseks.
**Tervishoid, kus avaldub innovatsiooni potentsiaal eelkõige tervishoiuteenustes ja protsessides, ennetavas tervishoius, e-tervise lahendustes ja terviseturismis**
Riigi roll tervishoiu sektoris on tugev. Nii tervishoiu teenuste ja protsesside kui ka e-tervise vallas suunavad riigipoolsed politikad ja otsused seda, kuidas ja milliseid teenuseid pakutakse. Riik juhib seda sektorit peamiselt läbi regulatsioonide, standardite, normide ja riigihangeete. Lõpptarbitja (patserindid/kodanikud) omab vähe otsest mõju sellele, millised e-tervise teenused ja millises ulatuses on talle kätesaadavad. Valitus, seestvaad, analüüs ja interpreteerib läbi erinevate organisatsioonide lõpptarbitja vajadusi ning korraldab tervishoiuteenuste politiitilise päiku pandud eelarvest läbivaatl. Sektori valitsemine põhineb kohustuslikul tervisekindlustusel ja tervishoiuteenuste (haiglatele) sisestool.
Peamine soovitus nõudluspoolse innovatsioonipoliitika rakendamiseks tervishoiu sektoris on **innovaatiliste hangete** kasutamine ja **targa regulatsiooni elluviimine**. Kuigi sektor on juba tugevalt reguleeritud, peavad uuendatud regulatsioonid keskenduma vajadus- ja tulemuspohisele, mitte detailsetele tehnilistele kirjeldustele. Sarnaselt peaks riigihangeete ja kommercksatusele eelnevate hangete puhul olema defineeritud eelkõige lõpptulmenus, mis jätab ettevõtetele vabad käed toote või teenuse arendamisel. See nõudluspoolne lähemine aitab paremini lahendada lõpptarbitja vajadusi ning tõsta tervishoiuteenuste teenuste üldist kvaliteeti. Samuti on nii **ostja stimulite** personaalseid tervishoiuteenuste ja tooteid (nt käel kantavad nutiseadmed tervisega seotud parametreite järgimiseks või nn vautserid, terviseenetuseks või taastusraviks) ostmiseks kui ka **eksperimентаalse testplatvormide** loomine soovitatav. Samal ajal peab kindlasti säilima paralleelselt T&A jätkuv toetamine tervishoiusektoris.
**Nutikas ehitus kui terviklik nutika elukeskkonna kontseptsioon nagu näiteks smart city, nutikad energiahaldused, loodusõbrakuid materjalid, IKT lahendused – kõik füüsiline keskkonna lahendused, mille eesmärk on lõpptarbitja vajaduste parem rahuldamine**
Riigil on ehitussektoris kahene roll. Ühelt poolt kontrollib ta turgu kasutades regulatsioone, standardeid, norme, millega piiritletakse innovatsioonitegevus. Olulised regulatsioonid, standardid ja normid hõlmavad ehitusmaterjale, töötohutust, hoonete ohutust, maa-, energiakasutust, jäätmekäitlust jne. Üha suurem osa eelpool nimetatutest on defineeritud EL tasemel. Teiselt poolt on riik ehitussektoris klient talle kuuluva kinnisvara ja infrastruktuuri ehitamisel ning haldamisel. Nende hoonete
ehitus ja renoveerimine pakub hea võimaluse innovatsiooni järelle nõudluse tekitamises.
Ehitussektor on parim koht kommertskasutusele eelnevate hangete ja innovaatiliste riigihangete tutvustamiseks. Riigi Kinnisvara, paljude riigile kuuluvate hoonete omanik ja haldaja, on nutikate ehitusalahenduste ostmistel loomulik nõustaja ja juht. Riigile kuuluvla ettevõtte innovaatiline käitumine annaks turule tugeva positiivse signaali riigi innovaatilisest suhtumisest ning aitaks omakorda kaasa innovatsioonile ka teistes sektorites. Tutvustades innovaatilisi riigihangete läbi Riigi Kinnisvara oleks lihtne ja kiire viis nõudluspoole meetmete kasutamise praktika tekitamiseks. Nutikas ehitus vajab tarka regulatsiooni – sarnaselt tervishoiusektorile peaksid lõpptulemusse defineerimine ja tulemusele keskendumine looma ehitussektori regulatsioonile aluse. Ehitussektori iseloomust lähtudes on oluline teadlikkus tõstmine rahvusvahelistel turgudel toimuva kohta, sest ehitamine on tugevalt seotud uute materjalide, IKT lahenduste ja keskkonnamõjude vähendamisega.
Eksperimentaalse platvormide loomine uute teenuste ja lahenduste testimiseks on samuti soovitavat. Nõudluspoolne innovatsioonipoliitika peab olema jätkuvalt toetatud pakkumispoolsete meetmetega nagu teadus- ja arendustegevuste rahastamine, klastritüüpi tegevused kui ka juurdepääs rahvusvahelistele turgudele.
Nõudluspoolne innovatsioonipoliitika tutvustamine Eestis vajab terviklikku lähenemist
Riigi huvi turunõudluse suurendamisel annab turule selge signaali, et riik on innovatsioonile avatud ja käitub koduturu innovatsiooni vahendajana. Nõudluspoolne innovatsioonipoliitika instrumentide tutvustamine on avaliku sektori ühine jõupingutus, kuna see nõuab valdkondlike ja innovatsioonipoliitika koostööd. Esialgsed ülesanded nõudluspõhise innovatsioonipoliitika tutvustamiseks saab jagada Rahandusministeeriumi, Majandus- ja Kommunikatsiooniministeeriumi, Sotsiaalministeeriumi ning Arengufondi vahel. Järgnevalt on toodud peamised tegevused, mida erinevad poliitikate elluviimise eest vastutajad ja avaliku sektori organisatsioonid peavad eeskätt ellu viima.
Üheks kiireimaks vahendiks, kuidas Rahandusministeerium saab valitsemisülesel koostööd parendada on muuta EL struktuurivahendite juhikomisjoni töö valdkondadeleitseks juhtimisvahendiks. Koostöös Riigikantsleriga tuleb välja tootada spetsialne politiik ja nõustamisprogramm, mis aidaks paritüüpidega (ministeeriumide asekantseid, osakonnapõhisi aidajaid, riigiametite direktorid jbp)paremini mõista nõudluspole politiikta võimalusi ning teha vastavat sisuliselt otsestsed uute toodete ja teenuste tellimiseks. Kuna innovatsioon on alati seotud riskiga, siis on väga oluline luua innovatsiooniriskide maandamise meetmed (nt. garantifond innovatsiooni ebaõnnestumisel kulude katmiseks) üldisse arenguliisse planeerimise. Rahandusministeerium, kui riigihankepoliitika eestvedaja, saab innovaatiliste riigihangete elluviimiseks luua vastava ettevalmistusega üksuse riigihangete osakonnas, kelle ülesanne on nii aidata harumusteeuriundel defineerida vajadus innovatsiooni järelle kui ka nõustada neid innovaatiliste riigihangete läbiviimisel. Lisaks on Rahandusministeeriumi pädevuses juurutada tava eraldada teatud osa iga ministeriumi või asutuse riigihangete eelarvest innovaatiliste hangetele või leppida kokku, et teatud arv sisseostetavatest toodetest või teenustest peavad olema innovaatilised.
Majandus- ja Kommunikatsiooniministeeriumil on innovatsioonipoliitika elluviimisel kahene roll:
- Esiteks, innovatsioonipoliitika elluviimise eestvedaja defineerides poliitika eesmärgid, algatades ja läbi viies toetusmeetmed ning tõstes teadlikkust;
- Teiseks, valdkondlike poliitikate – IKT ja ehitus - eestvedaja omades spetsialist valdkonnapõhist ekspertisi, algatades ja läbi viies valdkonnapõhiseid poliitikaid, muutes regulatsioone ning tõstes valdkonnaspetsifilisi teadmisi.
Majandus- ja kommunikatsiooniministeerium peab algatama meetmed toetamaks innovaatiliste riigihangete elluviimist, eksperimentaalsete platvormide asutamist välja töötamaks ja katestamaks uusi tooteid ja teenuseid. Innovatsiooniriskide juhtimiseks tuleb luua nt. tagatise (garanti) mehhanismi katmaks võimalike riskide realiseerumisega seotud kuludest innovatsiooni sissoostmisel. Targa regulatsiooni rakendamiseks ehitusvaldkonnas tuleb koostöös turu osapooltega analüüsida milliseid regulatsioone on võimalik ja mõistlik muuta, et need soodustaksid parima lõpptulemuse ja kvaliteedi saavutamist. Väike ja keskmise suurusega ettevõtete innovaatilisuse suurendamiseks tuleb luua toetusmeede, kus nad saaksid riskivabalt katestada oma innovaatilisi tooteid või teenuseid avalikus sektoris.
Juurudes nõudluspõhise innovatsioonipoliitika põhimõtteid tervise valdkonnas peab Sotsiaalministeerium siduma T&A ja innovatsiooni tihedamalt oma pikaajaliste strateegiate ja tegevuskavadega. See on oluline tekitamaks mõttemaailma muutust traditsioonides kinniolevas tervishoiu valdkonnas. Saavutamaks tervise valdkonnas nõudluspõhistest instrumentidest maksimaalset efekti, tuleb tervise valdkonna raha eraldada pigem kvaliteedi ja efektiivsuse kriteeriumist lähtudes. Samal ajal tuleb muuta rahastust tasakaalustatumatums ennetustegevuse, ravi ja taastusravi vahel. Kuna tervishoiu sektor on tugevalt reguleeritud, siis tuleb nutikate regulatsioonide väljatöötamiseks algatada analüüs, milliseid regulatsioone on võimalik ja mõistlik muuta. Viimased peavad soodustama parima lõpptulemuse ja kvaliteedi saavutamist mitte keskenduma tehniliste üksikasjade defineerimisele.
Toetamaks T&A ning innovatsiooni kaasavate pikaajaliste strateegiate koostamist Eestis on häidavajalik teada pikaajalisi valdkondlike kasvutrende. Selleks peab Arengufond taaskäivitama arengusüsteemi, kõigis nutika spetsialiseerumise valdkondades ning süsteematiilisel jälgima ja analüüsima turu kaitumist ja dünaamikat. Registraarne seire annab väärtuslikku sisendi võtmeministeeriumide poliitika planeerimisse. Teadmata pikemaajalisi trende ja selega seonduvalt Eesti võimalusi, ei saa poliitikas teha pika-ajalisi otsuseid.
Nõudluspoole innovatsioonipoliitika elluviimine Eestis on suureks väljakutseks ja võimaluseks. See nõuab hästi toimivat ministeeriumidevahelist koostööd, pikaajalisi valdkondlike T&A ja innovatsioonistrategiaid, samuti kõrgelt teadlikkust innovatsioonist ja turgude dünaamikast. Samal ajal loob see võimalusi luua uued valitsemise traditsioonid avalikus sektoris. Igal juhul on nõudluspõhine innovatsioonipoliitika samm edasi kindlustamaks Eestile sihipärast majanduskasvu.
## Appendix A Benchmarking Estonia with other countries
### A.1 Governance culture
| Country | Government attitudes towards markets (incl. self-regulation) |
|---------|-------------------------------------------------------------|
| **Estonia** | Estonian economic policy follows principles of liberal economic policy intervening market as less as possible. However, in the areas of health or construction, as an example, market regulations are well developed and monitored strictly. Economic and fiscal policy has rather been entrepreneurship friendly enabling launching new companies easy and quickly, modernizing business law, release companies from corporate income tax of reinvested profit (motivating companies rather invest than to take dividends out). At the same time no tax incentives for R&D or innovation activities either on highly educated employees have been introduced. The main goal of fiscal policy is to tax everything/everyone as equally as possible and as less as possible tax exemptions. Incentives on corporate income tax in one main driver for business units to operate today. Business sector has expressed an urgent need to set a ceiling for social security taxes in order to balance costs on highly educated specialists, the innovative companies need the most. |
| **UK** | Economic policy in the UK is managed in accordance with the principles of market liberalisation and low taxation and regulation. Regulation is strictly enforced; however, the Government has embarked on a process of ensuring that regulation does not impose an unnecessary burden of the growth of firms and innovation, particularly with regard to SMEs. UK innovation policy aims to address market failures and to provide innovating businesses with easy access to the knowledge infrastructure, to enter new export markets and to strengthen innovation at the local level through local leadership and engagement. The UK Government employs a range of instruments to encourage higher levels of innovation activity, which include competitive grant funding and fiscal measures such as R&D tax credits.
Despite its general laissez-faire approach to market development, the Government nevertheless sees a role in stimulating the creation of new market opportunities for UK companies (such as graphene technology applications) through strategic approaches which may include investment in public R&D, infrastructures, promotion of collaboration and the development of lead markets through public procurement. |
| **Netherlands** | The Netherlands follows a rather laissez-faire economic policy. Although over the past years also as a reaction to the crisis of 2008 many reforms happened in the area of trade, reviewing administrative rules for businesses and strengthening labour market rules.
Interventions in markets have been minimalist, but for instance the Dutch Government intervened in certain areas such as in green electricity. A regulatory energy tax was introduced in the 1990s, which led to a substantial increase in demand. An issue was that this demand was served by imports rather than domestic producers and this led to a change in policy approach shifting towards a more balanced approach of demand and supply side.
Fiscal incentives are important policy measures in the Netherlands. Companies can obtain a tax relief for R&D wage costs and R&D investments via the WBSO (Research and Development Tax Credit) and the new RDA (R&D deductions) schemes. A new RDA+ scheme promotes private public partnership.\(^7\)
| **Finland** | The overall economic policy in Finland is based on free market principles, although there are still a number of sectors, which are either highly regulated (e.g. taxis, pharmacies) or where the public sector is a major market actor (e.g. healthcare, education). Economic policy is horizontal in principle, though from time to time there is a tendency for specific political decisions that target specific sectors (e.g. retaining data protection policies, electronic voting system). There is a clear choice to develop Finland into a more enterprise friendly environment by lowering the administrative burden, simplifying the granting of various permits, innovating and other incentives and developing important infrastructures. While the main principle in developing the fiscal system is neutrality, there are still some sector specific tax incentives, especially in the area of energy and transport. Innovation policy is still mainly horizontal, even though there is an increasing political interest to focus resources to specific areas recognised to have high future growth potential. |
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\(^7\) Netherlands Enterprise Agency, [http://english.rvo.nl](http://english.rvo.nl)
| Country | Balance between government roles as market actor |
|---------|-------------------------------------------------|
| **Estonia** | Estonian government owns a number of companies in strategically important infrastructure areas in energy production and supply as well as in transport (Tallinn harbour, Tallinn airport, Estonian railways) and real estate (Riigil Kinnisvara holds state real estate – buildings of ministries, public agencies, schools aso). In these areas the government participates actively on the market. In the area of education in addition to private service providers, government owns also a number of schools, vocational education schools as well as universities. Public healthcare services are offered by a number of hospitals (in the form of foundations) as well as private hospitals and clinics. Government policy is to regulate the market as less as possible and as much needed as well as tax everything equally – to use as less tax incentives as possible. There are no long-term public procurement policies in place. Government considers that the most important role of the market is in ICT introducing several e-services (e-government, e-health, e-voting, e-business register, e-tax and customs, e-mail, e-ID aso). Still, several studies underline that government support and industry needs have been developing in different directions as well as dialogue between government and industry has not been very strong and sustainable. |
| **UK** | Following a continuing ‘neo-liberal approach to economic policy, and particularly championed by a succession of Conservative governments, but also espoused by subsequent Labour administrations, the UK has embraced a policy of privatisation of many former state controlled enterprises, ranging from energy production, transport, manufacturing, utilities companies, telecommunications and, recently, postal services. These have combined outright ‘sell-offs’ of state owned concerns and so-called private finance initiatives (PFIs) which sought to introduce market conditions into a range of public sector organisations such as the Post Office and the National Health Service, ostensibly to promote a higher degree of entrepreneurship. Current policy continues to follow a general desire to ‘roll back’ the boundaries of the state. The government retains control of the state-school sector, although there are numerous private educational establishments. Universities, which obtain a large proportion of their support from state funds are nevertheless autonomous entities (only one is privately owned) and have charitable status although some have trading businesses with limited company status for more commercial activities. Finally, a large number of government laboratories have been privatised to varying degrees and operate under a range of contractual and business models. |
| **Netherlands** | The Dutch government is a major shareholder in a number of Dutch companies that serve the public interest, but it is cautious about investing in new government holdings. It holds an interest in the following kinds of companies: monopolies such as the Dutch Railways, Schiphol Airport and the electricity grid operator Tennet; and companies that provide services for the government such as the Bank for Netherlands Municipalities. At the end of 2008 the Dutch government bought the Dutch parts of the Belgian Fortis group in order to safeguard the stability of the financial markets. It has been active in fostering public procurement of innovation and pre-commercial public procurement through various schemes. |
| **Finland** | Many of the previously government owned companies have been privatised, although the government still retains ownership in companies operating in strategic sectors. Government has continued to reduce its ownership in companies and thereby its direct role in the market. The previous ownership role in the markets is being replaced with regulatory control, fiscal incentives and indirect ownership in the form of strategic investments via Industry Investment Ltd (a government venture capital fund operating on market principles). The overall tendency is to reduce government role in the markets, although the political pressures especially during the current economic situation have slowed this development. Education sector is either government owned or heavily dependent on and therefore controlled by government funding. All hospitals are government owned and only a small fraction of basic locally organised healthcare services are procured from the private sector. The private healthcare service sector is growing mainly because of healthcare benefits offered by organisations to their employees. Universities are autonomous, but heavily dependent on government funding (university education is free for all students). There are practically no private research institutes. |
| Country | Balance between political and expertise based drivers in policy design |
|---------|-----------------------------------------------------------------------|
| **Estonia** | Estonian policy making in general is rather politically driven – there are no strong traditions of policy studies, analyses and evaluations. In some areas and in some cases the policy planning relies on thorough analyses, but this is rather rare. The use of EU Structural Funds imported also a culture of policy analyses and evaluations into Estonia. |
| **UK** | The UK has a very strong and internationally recognised track record in the evaluation of R&D and innovation policies, at a range of levels from the programme, institutional, sectoral and national perspective. Few major policy changes are implemented in the absence of some form of review or specific evaluation and all government-funded programmes are subject to periodic evaluation as a requirement of HM Treasury. The use of ‘evidence-based policy making’ is therefore widespread through all sectors of government. The government publishes and requires the use of various evaluation methodologies to assess programmes ex ante and ex post (see later note below), the design and assessment of programmes is therefore more technical than political. |
| **Netherlands** | The Netherlands has a culture of policy design where scientific expertise, analyses and data play an important role in shaping policies. For instance the Dutch policy-makers rely on the studies and reports of the independent Central Bureau of Statistics. Policy analysis, evaluation and monitoring are common practice and each policy measure is monitored and evaluated. Most recently the Dutch government established the Commission Theeuwes with the aim to develop a series of activities to achieve an adequate monitoring and impact analysis of the financial budget. The Commission Theeuwes is composed of a panel of experts on policy evaluation such as scientists, the Central Planning Bureau, the General Court (as observers), the Central Bureau of Statistics etc (Erwatch, 2012). |
| **Finland** | R&D and innovation policies in Finland have been evidence based since 1980’s. While especially in time of difficult economic situations the pressure to make politically motivated decisions might have lead into isolated decisions that may not be that strongly supported by evidence, the main policy design is very much evidence based. There is a strong tradition of policy analysis and evaluation in Finland, which has been further emphasised by the increased visibility of the State Audit offices. Accountability and transparency as well as evidence based policy making in general have become stronger in all policy areas, although the tradition and especially the quality of monitoring and evaluation still varies across sectors. Lately the tendency to launch a large number of studies and analyses to support political decision making has increased. Unfortunately this has not (yet) resulted in faster or more systemic political decisions or policies. |
| Country | Balance between economic - social - environment policy objectives interaction between different policies and cross-departmental characteristics of policy design |
|---------|----------------------------------------------------------------------------------------------------------------------------------|
| **Estonia** | Joining the EU has forced Estonian politicians to agree on strategic objectives - strategy ‘Estonia 2020’ sets up the most challenging objectives Estonia has ever had. On the strategic level there is a consistency of objectives – the strategic planning process is managed centrally by the Ministry of Finance (who also manages the State Budget Strategy), but on the policy implementation level the consistency is lost as it needs strong cooperation between sectoral ministries, which is weak. |
| **UK** | Whilst there is no central, overarching government strategy, mechanisms are in place to ensure that policy coordination is undertaken at the highest level. However, in terms of innovation policy, the Department for Business, Innovation and Skills (BIS) takes the lead executive role in the formulation of innovation strategies and forms the majority component of the bulk of civil public sector R&D funding. Policy formulation is conducted in a coordinated fashion through discussions at a range of levels with other concerned departments and ministries. Thus, for example, BIS was responsible for the recent Industrial Strategy which sets out investment plans and policies in eleven key sectors of the economy. |
| **Netherlands** | Cross-departmental cooperation appears in many support measures. The Netherlands pursues a strategy of green growth, with regard for space and security as well. |
| **Finland** | As a Nordic welfare state Finland has featured social and environmental objectives relatively high on the political agenda. This has ensured a balanced match of economic, social and environmental policy objectives. However, in some cases this has resulted in some coordination inefficiencies, such as in the administrative burden for companies in getting environmental permits or rather rigid labour markets (e.g. low mobility, high income tax). The main policy focus is set in the government programme, which is based on and should have an impact on national policy strategies. While most policy design is typically driven by a single ministry, other ministries as well as all relevant stakeholders are consulted and involved. However, the implementation of policies remains responsive to the needs of the market and coordination between ministries is typically weak. The coordination in the area of R&D and innovation policies is somewhat stronger, but mainly at the level of agencies or between agencies and... |
| Country | Organised strategic intelligence (isolated, coordinated, joint strategie) |
|---------|------------------------------------------------------------------------|
| **Estonia** | Since 2006 Estonian Development Fund carried out foresight studies on different socio-economic areas – the foresight studies were a bit ahead of its time and always created a lot of discussions. Since 2012 the foresights were stopped as new CEO focused on development of start-ups, green economy and entrepreneurship culture. Development has slowed and the only way to carry out a national strategy now - there is no systematic process of collecting and analyzing global trends, carrying out evaluations or policy studies/policy notes today. The only systematic centrally coordinated long-term strategic planning process is planning of EU funds, which takes place after five years, before next EU financing period. The main and only driver for that exercise and commitment is EU funding. |
| **UK** | The UK Government conducts a wide range of strategic intelligence gathering activities through a number of processes. These include strategic reviews, evaluations, foresight exercises and horizon-scanning activities.
The UK is recognised internationally as having a well-developed culture of evaluation, which forms an integrated part of the cycle of policy formulation. Of particular relevance to the broader context within which evaluation takes place is the underlying performance monitoring system of Public Service Agreements (PSAs) put in place by the Treasury. This serves as a broader mechanism for performance measurement and for monitoring progress against targets. Failure to meet PSAs can affect future budgetary allocations (allocated through three-year Spending Reviews); hence it is in the clear interest of ministry officials to ensure that their policies are designed to effectively and efficiently meet these targets.
In terms of the evaluation of innovation support programmes (including R&D funding programmes) the development of evaluation practice is undertaken by BIS, with supporting interest from HM Treasury and the National Audit Office, while other executive and funding agencies also play major roles. Evaluations are conducted either by dedicated bodies within the funding agencies or by external consultancies. A range of stakeholders may be consulted on the technical and operational details of policy measures, depending on the nature of research being designed. Since BIS took over the oversight of innovation support policies implemented (at least in England), responsibility for oversight of the evaluation of these innovation support instruments now also resides with BIS.
In the definition of research priorities, the Government ensures that it takes the views of a large range of stakeholders (including the private sector) into account. This may be done through foresight exercises (which are now more specific than the broad Foresight exercises of the 1990s), through ‘horizon scanning’ activities or through invited consultations on a range of documents, such as draft strategies. The Government also consults extensively with a range of stakeholders in the preparation of its STI policies - an example being the recent consultation in advance of the publication of a new science and innovation strategy foreseen in Autumn 2014.
HM Treasury produces guidelines on evaluation and assessment practice across Government, for example in its Green Book and Magenta Book. |
| **Netherlands** | As noted earlier, the Netherlands has a culture of evidence-based policy design with a structured policy monitoring and evaluation system in place.
In terms of foresight exercises, the Netherlands carried out a study to identify 9 top sectors that now constitutes the core of its enterprise policy. The top sector approach covers all relevant policy domains, for which stakeholders developed a targeted agenda and implementation plan.
Regarding the top sector approach, the Central Bureau of Statistics (CBS) in consultation with the Ministry of Economic Affairs, Agriculture and Innovation (EL&I) and the Centre of Policy Statistics (EB) has elaborated the first monitoring report of the policy based on a consistent statistical overview of the economic position of the top sectors: “Monitor topsectoren: Uitkomsten eerste meting”. The aim of the report was to obtain a picture of the top sectors in the form of (macro)economic indicators, that can be followed over time and thus contribute to the monitoring analysis of the evolution and development of the selected leading sectors.
Other foresight exercises include:
- The state of the Netherlands as innovative country, TNO 2012
- Knowledge and Innovation Agenda 2011-2020. |
| **Finland** | Strategic intelligence at the level of the government relies mostly on a number of isolated studies and analyses launched by politicians and the systematic intelligence resulting from the work done at the agencies and sometimes at the ministries. Since there is a strong evaluation and monitoring practice, these are usually enough to provide the necessary supporting evidence for policy making. The problem is not so much in the lack of strategic intelligence as it is in the ability to make difficult political decisions in a consensus seeking political culture.
Evaluation and monitoring activities are widespread and mostly transparent. The strengthening visibility State Audit office and requirements from the EU in relation to... |
70Feasibility Study for the Design and Implementation of Demand-side Innovation Policy Instruments in Estonia
| Country | Role of mission oriented policy design (i.e. designing cross-departmental policies to address societal challenges, existence of government level strategic initiatives governed from the top level) |
|---------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| **Estonia** | There is one national agenda where all the ministries are involved into implementation – planning the use of EU funds. Also, an outstanding well-coordinated process, where all government organisations were committed, was joining the Eurozone. These cases prove that Estonian government organisations can cooperate, if there is a national agenda to fulfill. |
| **UK** | While UK government departments deal with specific policy areas, the approach to ‘mission-oriented’ policy is carried out in a coordinated, joined up fashion across government. However, when such policies are explicitly or implicitly connected with innovation and R&D issues more specifically, BIS will generally take a lead or strong supporting role. For example, in delivering the Industrial Strategy, several government departments have been asked to set out a leading role in helping UK businesses confidence to invest and grow. The Industrial Strategy has five strands: sectors; technologies; access to finance; procurement; and skills. While this is intended to offer flexible support to all sectors; however, BIS has developed sector-specific strategies in eleven sectors where Government intervention can have the most impact. These are: Aerospace; Agri-tech; Automotive; Construction; Education; Information Economy; Life Sciences; Nuclear; Offshore Wind; Oil and Gas; Professional Business Services. In addition, in the area of R&D policies, the UK Research Councils, under the umbrella coordination of Research Councils UK, run a number of programmes relating to grand societal challenges. |
| **Netherlands** | In 2011, the Dutch government allocated 1,5b euros for financing research related to the selected top 9 sectors: Agro-Food; Horticulture and Propagating Stock; High Tech Materials and Systems; Energy; Logistics; Creative Industry; Life Sciences; Chemicals and Water. |
| Country | Balance between management by objective and management by resources |
|---------|-------------------------------------------------------------------|
| **Estonia** | Management by resources strongly dominates. There have been attempts to introduce management by objectives (or by results) in the Ministry of Finance and some other public agency/local municipality, but no real implementation or any sustainability can be seen. |
| **UK** | UK policy is clearly driven by a process of management by objective. The specific objectives are defined through a strategic process of review, evaluation, consultation with stakeholders and dialogue across government. Nevertheless, this management process is fully cognisant of the need to adhere to public spending targets (set by HM Treasury) and is subject to a process of prioritisation and selectivity. |
| **Netherlands** | Management by objectives applies in terms of selecting top sectors to target RDI policy at and to monitor and evaluate policy measures on a regular basis. |
| **Finland** | Finnish public sector is formally driven by a process of management by objective. However, as politician often find it hard to make difficult political decisions - especially those related to budget - this often leads to reducing budgets across the public sector, which turns the focus back on management by resources. Also the Ministry of Finance has an unfortunate tendency to micro manage resource allocations, which may in some cases further emphasise management by resources. |
| Country | Stakeholders (market actors, end-users) participation in policy design |
|---------|---------------------------------------------------------------------|
| **Estonia** | Involvement of stakeholders is enliven after introducing EU structural funds in Estonia – strong involvement of stakeholders was one requirement for getting EU funds. Normally sectoral umbrella associations, universities or Chamber of Commerce are consulted. Final beneficiaries, customers/patients are rarely included into policy-making process. However, involvement/consultation traditions vary a lot between sectors and organisations; no strong continuous dialogue or systematic consultation really take place. Still, consultation with stakeholders in many cases is seen as something additional and time consuming and no impact is often seen. Ministries attempt to involve them, but often they do not understand themselves the real impact of that process. In hand, this makes stakeholders skeptical and reduces their willingness to be committed. |
| **UK** | As noted above, as part of its policy formulation processes, the UK Government makes extensive use of stakeholder engagement through a large number of consultation exercises. These may be open consultations, to which any stakeholder group or individual may provide an input, to more formal or targeted reviews which invite inputs from selected stakeholder groups and organisations. Industry lobby groups, consumer groups (such as patients or more general, market-based consumers) are frequently invited to provide inputs to aspects of policy debate. With regard to the more specific design of policy instruments, the views of target groups and beneficiaries may be taken into account and the views of selected representatives of such groups sought. |
| **Netherlands** | The Dutch policy design follows the so called “polder model” which means that social dialogue plays an important role in getting public support for the introduction of policy initiatives. There is a long tradition of negotiation through frequent contact between trade unions, employers’ organisations and government, as well as regular discussions between employers and employees. |
| **Finland** | Finnish government consults stakeholders regularly in designing policies. Industry, labour unions and government discuss R&D and innovation policies together with academia and all major funding agencies in the Research and Innovation Council. While it is an advisory body for the government, the wide representation of the government and all stakeholders makes its recommendations relatively strong. End-user participation has been increased over the last years with the use of web-based consultations. The more detailed design of policy initiatives includes consultation with the more specific stakeholder groups either at the level of ministries or at the level of agencies depending on the policy instrument. |
| Country | Cross-departmental governance (incl. leadership) |
|---------|--------------------------------------------------|
| **Estonia** | Real leadership is missing in Estonian governance t the moment. Also, there is no national objective to fulfill. In case of cross-departmental governance, dominating personality (minister) will take the leadership. No clear tradition, no actual leaders seen in the system. |
| **UK** | Cross departmental governance, in the area of innovation policy (which broadly encompasses the areas of industrial and science and technology policy) is the responsibility of BIS. In more specific terms, BIS has oversight of further and higher education policy; supporting innovation and development of the UK science and research industry; consulting on business support; and better regulation. To facilitate this work in cooperation with animal and agencies and public bodies and its partner organisations include nine executive agencies. Specific topics of concern are: Business and Enterprise; Consumer Rights and Issues; Employment; Europe; Financial Services; Further Education and Skills; Higher Education; Regulation Reform; Science and Innovation; Trade and Investment; and the UK Economy. BIS is responsible for formulating strategic policies and plans on all these issues, a process which involves extensive stakeholder dialogue, both within and outside government. The Minister at the head of BIS, the Secretary of State for Business, Innovation and Skills and President of the Board of Trade, is a member of the Prime Minister’s Cabinet. |
| **Netherlands** | The main actors and institutions in research governance include the Ministry of Education, Culture and Science (OCW) and the Ministry of Economic Affairs (EZ). The latter is responsible for facilitating a competitive business climate and, in addition, developing policy that encourages current and future ‘top sectors’ of the Dutch economy. Cross-departmental cooperation appears in many support measures. The SBIR programme for instance has an interdepartmental nature as an interdepartmental group was established to facilitate and promote the uptake of SBIR. |
| **Finland** | The Research and Innovation Council represents the main platform for strategic policy coordination in the area of R&D and innovation policy. In addition, both the Ministry of Employment and the Economy and the Ministry of Education prepare their own strategies related to higher education, research and innovation. At the operational level coordination between ministries is relatively weak and more based on division of labour. |
| Country | Horizontal policy implementation (joint strategic action, coordination, isolated) |
|---------|----------------------------------------------------------------------------------|
| **Estonia** | Horizontal policy implementation is definitely very problematic and difficult as the cooperation between ministries/agencies is weak and everybody is fighting for its organisation. There is lack of overall strategic ‘helicopter view’ both among top managers of the public service as well as policy implementing agencies. |
| **UK** | The UK Government defines horizontal policy as “those policies which address economy-wide market failures and provide the resources and economic environment in which all businesses and individuals can operate effectively. Policies range from direct investment in human capital and coordination through to legal and regulatory frameworks. In reality, however, few policies are purely horizontal. For example, BIS has a number of policies which support adult skills, some of which are horizontal, whilst others have greater degrees of sector application”.
Horizontal policy (and, hence, its governance and implementation) can play a key part in providing a stable policy environment. However, in a constantly changing environment, there is a need for such policy to also be flexible to facilitate industrial change. ‘Innovation policy is one example in the UK where there has been relative stability in the interventions provided by the Government (for example, Knowledge Transfer Networks, Grant for R&D and Collaborative R&D), whilst at the same time the Technology Strategy Board (TSB) works with stakeholders to identify changing technology priorities to ensure interventions support those areas that will be important in the future’.
In the UK, sector and horizontal policy are highly complementary: the latter is essential for providing the foundations for basic capabilities and structures in the economy, but there can be a need for policy to be tailored in terms of its content, application or design to address specific issues caused by sector specific market failures. As noted already, the lead coordinating government department with responsibility for innovation (and, hence, industry) policy is BIS which works with other departments and ministries to ensure that coordination with other relevant policy areas is achieved. |
| **Netherlands** | Innovation policy actions are coordinated by the Ministry of Economic Affairs. Ministries have joint strategic actions and coordination mechanisms through interdepartmental working groups for example. |
| **Finland** | Horizontal policy implementation is mainly based on joint overall policy and division of labour with the additional layer of coordination. There has been very little joint strategic action across ministries, apart from some policy initiatives. Recently launched Team Finland concept represents a change in this respect. It is the first joint strategic action between several ministries and agencies. |
| Country | Public sector risk management culture |
|---------|---------------------------------------|
| **Estonia** | Public sector risk management culture is missing. There is lack of knowledge and negative attitude towards risk – taking risk is not allowed, any failure has to be avoided. There is a risk management plan for EU structural funds implementation system, but this is a separate system and doesn’t have any relation with introducing/purchasing innovation. In general there are no mechanisms to manage risks or risk prevention. |
| **UK** | The notion of public sector support for R&D and innovation is predicated on the broadly accepted belief that such support is required in order to reduce the perception of risk on the side of business and industry. This concept forms one of the underpinning rationales in UK innovation policy.
Innovation, by its very nature, entails a degree of risk, which is also reflected in the implementation of policies to support it. However, the risk of failure of such policies can be minimised through a process of careful preparation in the design of policies, accompanied by close monitoring and periodic evaluation. These all form critical elements of policy learning and, as noted above, the UK has firmly established processes in place in this regard. The UK has also been active in the encouragement of innovation within the public sector itself – thus, the public sector has become more comfortable with the notion of innovation and the benefits it can offer. In turn, one could argue that this makes it a better prepared customer for externally derived innovation.
With specific regard to the implementation of demand side instruments, risk may be further minimised by establishing and maintaining a close dialogue between the client and the contractor/supplier of innovation. This is essential in developing a clear understanding of the expectations on both sides. Indeed, the current evaluation of the UK SBRI is examining the development of relationships between contracting departments and the suppliers of innovation (the programme participants) and the role this plays. |
as a contributory factor in the success, or otherwise, of the programme.
At the centre of Government, the Major Projects Agency has been established to control risk on major projects in which the State is the customer. Ensuring that innovation is achieved as well as tight control of budgets and plans is part of the mission of the MPA.
**Netherlands**
The Pianoo and SBIR schemes provided a framework to manage risks associated with public procurement of innovative products and services. The Pianoo platform has been instrumental since 2005 in providing a professional network to rely in case of innovation procurement questions and helped to mitigate public sector risk.
**Finland**
Risks are accepted in the area of R&D and innovation policy because of the specific nature of research and innovation. While the attitudes favour risks, they are also quite sensitive to the impact of public funding.
In other policy areas the tradition is avoid risks and failure. This is further emphasised by consensus seeking policy culture. While policy making is mainly evidence based and would therefore offer a good basis for risk identification and management, there is no systematic approach across the government. Risk management is a requirement for all ministries and agencies, but each may follow their own practices.
### A.2 Awareness and recognition of the potential of demand side policies
| Country | Role of demand side in innovation policy (incl. action plans) |
|---------|-------------------------------------------------------------|
| **Estonia** | There has been no direct demand-side policy in Estonia so far. Demand-side innovation policy aspects can be found in some initiatives/programmes, but they have happened not due to the systemic policy implementation. Mainly supply-side instruments have been used. |
| **UK** | In the UK, demand, as a driver of innovation and change, is recognized throughout government policy statements on the economy. Within the BIS ECONOMICS PAPER NO. 18, Industrial Strategy UK Sector Analysis, which underpins the new UK Industrial Strategy, the role of demand is strongly emphasised, as is the role of government on the demand-side in innovation policy. Further changes to reform government procurement will focus on value for money and supporting innovation. The government is planning major changes in this area, but firm proposals have not yet been made\(^8\).
Citing evidence from the World Economic Forum\(^9\), the 2014 UK Innovation Report (BIS, 2014) notes that “the UK ranks poorly in terms of the impact of government procurement on stimulating innovation, although no country included in the study performed strongly in this area” (see Table below, also). |
| **Netherlands** | Although there is no integrated demand-side policy in the Netherlands called as such, demand-side policy tools especially innovation procurement received increasing policy attention in the past decade. Beside being a pioneer in PCP schemes, the Dutch policy aimed at supporting a demand-driven R&D policy, user-driven innovation and open innovation as well. |
| **Finland** | Finland has been among the first countries in Europe to develop systemic demand side policies and strategies. These have also been taken to the level of action plans and launch of demand side policy instruments.
However, the systemic demand side approach has not included the design of strategic policy mixes. Regulation, standards and norms have not been used much as a driver for innovation. Pre-commercial procurement and procurement of innovation have been launched in the form of funding instruments, but without strategic sector policy support (e.g. voluntary or mandatory allocation of procurement budgets). |
---
\(^8\) see the Communities and Local Government Committee – Sixth Report, Local government procurement, published 24th February 2014
\(^9\) World Economic Forum (2014), *The Global Competitiveness Report 2013-2014*, WEF, Geneva.
WEF data: Indicator 12.05: Government procurement of advanced tech products\textsuperscript{10}.
| Country | Value | Rank (out of 148) |
|---------|-------|------------------|
| Estonia | 3.9 | 34\textsuperscript{th} |
| Netherlands | 4.1 | 26\textsuperscript{th} |
| UK | 3.6 | 56\textsuperscript{th} |
| Finland | 4.2 | 21\textsuperscript{st} |
| Country | Innovativeness of potential buyers (adoption of innovative products, services and solutions, ability to identify the potential of innovation in their activities, longer term vision and strategy) |
|---------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Estonia | There are sectoral strategies until 2020 (or even 2030), but as the real implementation of a strategy is related to the State Budget Strategy made for four years ahead, the real strategic planning is receded on four years. There are no long-term public procurement plans in public organisations set up. Public sector is often not aware about possible innovative solutions the market can offer. At the same time Estonian companies are rather innovative – they are eager to experiment with new products/services/solutions that improve innovative products. There are many start-ups operating, government support (both financial as well as awareness rising) for start-ups is functioning well, there are many students involved in creating and enforcing innovations in tables in many schools. Today, it’s rather lack of communication between public sector (what are the long-term strategic plans) and private sector (what is the capacity to introduce innovation). |
| UK | Public sector procurement occurs across a very large range of institutions ranging from large government departments with very large single procurement items (for example in Defence), down to regional and local government. And yet some local government organisations are large, and taken together local government spend around £60b on public procurement from central and private. House of Commons Communities and Local Government Committee Report Sixth Report). While there are parts of the public sector where there is pressure and the expectation and capacity to engage in the procurement of innovation, in the majority of areas, there is a strong and increasing focus on value for money purchasing, and less focus on the adoption of new innovations. The government's report (HM Treasury Review of Competitive Dialogue, 2010) highlighted in the area of procurement of innovation the absence of capability in handling complex procurements using this procedure, a fact that may suggest that the procurement of innovation generally is highly challenging in the UK generally, although there are some areas of significant success. This may explain the poor ranking achieved by the UK indicated in the WEF figures provided above. |
| Netherlands | As mentioned above, the innovativeness of public buyers have been stimulated by the SBIR scheme and supported by the Pianoo professional network. A recent evaluation of the Dutch SBIR scheme by Technopolis Group (2010) found that the cost of implementation of the various SBIR elements are not high and the government departments are satisfied with the programme implementation. While some departments exploited the SBIR well, others were more cautious to embark upon the scheme. It is also seen as a strong positive aspect that the scheme attracts SMEs that were not previously involved in public innovation programmes. The programme is good in getting new products/services developed, in involving SMEs in innovation but it is less straightforward to organise how these new products and technologies will be bought by public procurers. |
| Finland | Ministries and agencies seldom have longer term vision or strategy. This is mainly due to relatively low strategic capacity of ministries. While foresight activities are quite common in the public sector, the link between foresight and strategies (which may refer to a longer timeframe, but often in reality focus mainly on short term) is typically weak. Risk evasiveness limits the application of innovation in the public sector. |
\textsuperscript{10} World Economic Forum, \url{http://www.weforum.org}
A new programme for innovative buyers emphasises also companies as buyers of innovation.
| Country | Innovativeness of end-users (activity of end-user communities, attitudes towards innovation) |
|---------|-----------------------------------------------------------------------------------------------|
| **Estonia** | Innovativeness of end-users is different among sectors, but in general they are rather passive in demanding/motivating/rising awareness on the market (with exemptions). In general, innovativeness of end-users is rather low as innovative products/services/solutions cost more than normal ones and Estonian consumers are very sensible on price issues. As an example, the need for smart houses can be very narrow in Estonia, but consumers are eager to try new yoghurt, bread or cheese. Regarding innovative healthcare solutions, Estonian people can be very careful – if positive impact on everyday life is easy to recognize, the product/service/solution can be accepted easily, if not, then Estonians are rather sceptic. |
| **UK** | End user orientation towards innovation is difficult to measure and any index measure for the whole country is likely to obscure significant variety in practice. Distinctions can be made between private end-users (who are sometimes the target of government procurement of innovation programmes), and public sector end-users, such as doctors and nurses in the health sector or the armed services within the defence sector. |
| **Netherlands** | The Global Entrepreneurship Monitor 2012 report for the Netherlands concluded that there is a reduced perception of good opportunities for setting up a business among the Dutch adult population, which trends is more pronounced as compared to similar economies worldwide. However, the Dutch adults remain very positive about entrepreneurship and the intentions to start a business have increased, although lag behind internationally. The innovativeness of end-users are rather positive and encourages innovation. Innovation community initiatives such as Brainport Eindhoven also foster innovative and creative thinking and demand for new solutions. |
| **Finland** | Consumers in Finland are mostly oriented towards innovation. Attitudes towards education, research and innovation are favourable. People are generally quite willing to try the newest products and services. Some sectors have active end-user communities, there is a long tradition of third sector organisations (NGOs) and the interest towards social entrepreneurship is increasing. |
### A.3 Competence and experience in demand side policies and policy mixes
| Country | Experiences with demand side instruments and policy mix (intentional demand side initiatives, non-intentional demand side instruments, instruments with demand side characteristics, only with supply side initiatives, policy-mix design, implementation, governance) |
|---------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| **Estonia** | There is no direct demand-side innovation policy implemented in Estonia so far. |
| **UK** | The UK has experience of demand side policies. The NESTA Paper (Innovation policy mix and instrument interaction: a review) gives a number of examples of how this balance is considered generally and in the UK to a very limited degree. These policies in the UK fall into the following four main types: framework conditions; organisational and capability building activities; identification and signalling of needs; incentivising innovative solutions (NESTA Discussion Paper Review of Measures in Support of Public Procurement of Innovation No. 13. The government’s main scheme to support pre-commercial procurement is the Technology Strategy Board’s Small Business Research Initiative which works mainly with the larger government departments. |
| **Netherlands** | As mentioned above, the Dutch innovation policy relies on demand-side tools such as innovation procurement, PCP or regulations. The PIANO expertise network was established in 2005 to professionalise public procurement and to stimulate the use of public procurement for innovation or sustainability. The interdepartmental SBIR pre-commercial public procurement programme was established in 2004. Ministries define societal problems and contracts are awarded in a three-phase competition: feasibility, research and commercialisation phase. The SBIR programme was evaluated in 2010, which concluded that it is a well-functioning programme. The key challenge of the scheme is to link the worlds of procurers of new solutions at the national level and the final buyers at regional and local level. It is seen as a critical issue to incentivise regional and local public authorities to be open to new products and services, which at the current time is a challenging task given the public budget constraints and risk-adverse attitudes. |
Regulation such as ‘green procurement’ has also been used to stimulate innovation: the Dutch government has committed itself to make public procurement 100% sustainable in 2010 (Mostert and Deuten, 2011).
**Finland**
The experience in Finland with demand side measures is mainly related to pre-commercial procurement and procurement of innovation. Previously isolated demand side measures are being increasingly integrated into supply side measures. While there has been a tradition to define government level and other strategic initiatives, the design of related policy mixes is not very systematic and their governance is based on loose coordination rather than strong leadership.
| **Country** | **Competences** (to identify policy mixes and potential of demand side instruments, to design policy mix and demand side instruments, to implement policy mix and demand side instruments, to govern policy mix) |
|-------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| **Estonia** | Competences to implement demand-side innovation policy in Estonia needs improvement. As the whole concept of demand-side innovation policy is new in Estonia, training/awareness rising first of all among public sector would be essential. |
| **UK** | In the UK, the practice of identifying policy mixes is relatively limited, and is typically undertaken at a general level in the context of reviews of innovation policy such as the BIS Innovation Report. Some evaluations of programmes have examined the performance of support instruments in the context of similar or related schemes (for example, the provision of finance, or support to SMEs) but have not come to any major conclusion regarding the appropriateness of the overall portfolio of innovation policy support measures… The concept is difficult to operationalize as various authors have claimed. As already mentioned, the lead department here is the Department for Business Innovation and Skills. |
| **Netherlands** | The Netherlands is advanced in certain demand-side policy tools such as innovative procurement or PCP schemes and has been able to improve its policy following the results of the evaluations of these initiatives. However, it needs more policy learning in terms of other tools and in policy coordination. More integrated and coordinated demand-supply side policy could be explored in the future. |
| **Finland** | There is an understanding of the potential of demand side measures as well as some experience. Both demand and supply side policies are featured in the overall innovation policy. However, the design of strong policy mixes including demand side policy measures still remains weak. Demand side measures remain isolated or integrated only to R&D and innovation funding schemes. Even though there is a long history of R&D policy coordination, the design and governance of innovation policy mixes remains weak, especially in areas where the policy mix should include measures related to changes in regulations, standards and norms, changes in practices of public sector organisations or changes to the fiscal system, or where the governance should be based on strong coordination across several ministries. |
Appendix B Policy recommendations
The policy recommendations are given here at a general level. Each recommendation is labelled as important, desirable or optional depending on how essential it is for introducing demand side measures and designing policy mixes.
Governance
Recommendation 1 demand side: desirable policy mix: important
The Estonian Government should establish unified cross governmental-level, longer term, ambitious visions and strategies.
These should be coherent with the national action plan for using Structural funds and they should preferably focus on the same societal challenges that have been identified at the EU level but with relevance to the Estonian context, particularly with regard to specific requirements and national level capacities for action. This would allow better integration of EU and national activities, and ensure that the eventual innovative solutions would be consistent with European market needs. Specifically in the R&D and innovation policy domain, Estonia should identify and focus on selected niche areas within the wider societal challenges. While allocating resources according to the longer-term ambitious strategies would be preferable, the use of resources for the strategy should also be coordinated across ministries and agencies. The main requirement is that a clear and effective government lead from the top governance level is established to ensure effective and efficient implementation of the strategy. Establishing longer term strategies can also ensure that short term planning and activities are consistent with the longer-term objectives.
Recommendation 2 demand side: optional policy mix: desirable
The Estonian Government should strengthen its strategic intelligence capacity.
This can be done at the higher governance level or at the level of each ministry, but preferably at both levels. The purpose is to move towards evidence-based policy making, which makes better use of all available relevant knowledge and also includes forward looking analyses (foresight, scenario building, horizon-scanning, etc.). The better the understanding that government and its constituent ministries have about trends and possible futures, the better their position for making longer term decisions, which are essential in increasing the predictability of public sector developments and thereby enhancing public sector innovation. In practice, strengthening strategic intelligence requires both improving competences in the ministries, and allocating more resources for studies, evaluations and analyses which provide the necessary knowledge to support policy making. Furthermore, competence alone is not enough. In order to capture the full benefit from the stronger strategic intelligence, knowledge and competences, interactive analytical processes should be introduced to translate the available evidence and information and integrate it into existing policy processes. These should preferably be transparent and include a wider range of stakeholders, including market actors. Establishing the Development Fund and especially its foresight (currently not active) and interactive policy support activities represent steps to the right direction.
Recommendation 3 demand side: optional policy mix: desirable
R&D and innovation policy should shift towards a truly horizontal and holistic policy.
Rather than focusing on enhancing R&D and innovation competences and activities as such or on economic benefits only, policies should recognise the role of R&D and innovation more widely in addressing all policy objectives. Policies should be better linked to grand challenges at the top government level or, alternatively, each ministry should be required to establish their own strategy describing how R&D and innovation is expected to support their respective policy needs.
However, a combination of these two approaches would be the ideal. This would create a basis for interaction and collaboration between ministries to establish coherent policy mixes which would include both sector policy initiatives and more horizontal policy initiatives such as R&D and innovation and, for example, green policies. Design and implementation of horizontal and holistic policies requires special attention to governance. Governance models and practices need to be renewed to establish sufficiently strong leadership and coordination, especially to overcome traditional barriers for collaboration between ministries.
**Recommendation 4**
The Estonian Government should actively build partnerships with market actors.
Partnerships form a platform for organising continuous dialogue between government (and its agencies) and market actors. Partnerships should be strategic and longer term, and allow market actors to contribute to strategic intelligence and its interpretation, and to participate in the policy design process (especially with regard to the design of demand side measures). This increases a shared understanding of the challenges, mutual trust and commitment to policy objectives. Continuous dialogue can ensure that policies and policy changes become increasingly predictable and more understandable to market actors. Since market actors can also contribute to policy design, the ability to for the Government to identify, reduce and remove various regulatory and other barriers related to market dynamics, market access, competition and innovation can also be enhanced.
**Recommendation 5**
The Estonian Government should encourage end-user communities to take a more active role in the design and implementation of policies related to markets and innovation.
Appropriate policy initiatives may include awareness raising, facilitation of community building, various voucher models, end-user access to experimental platforms and demonstrations and buyer incentives. The main purpose is to encourage and facilitate stronger end-user involvement in defining their needs and increasing their interest to buy and adopt innovative products, services and solutions.
**Recommendation 6**
The Estonian Government should identify and actively work together with market actors to influence EU-level decisions relevant for enhancing the demand for innovation in selected markets.
Partnerships with market actors should be used to identify relevant regulatory and other barriers limiting access and entry of innovative products, services and solutions to EU markets.
**Recommendation 7**
The Estonian Government should actively work together with market actors to influence EU-level decisions relevant for enhancing the demand for innovation in selected markets.
The Estonian Government should establish systematic innovation risk management practices for the public sector.
Public sector governance culture tends to be risk evasive. Short-term budgetary limitations and low or no tolerance of failure (which is seen as waste or inefficient use of tax payers’ money) discourage taking any risks. Innovation always includes risks. If risk management capability is weak and failure is not tolerated, the incentive to engage or adopt innovation remains low. If the government wants to drive innovation, the public sector organisations need to be able to manage risks, including early detection of risks about to happen and appropriate measures to deal with realised risks.
While the recommendations above address the preconditions for introducing demand side instruments and designing coherent policy mixes in Estonia, selected demand side instruments suffer from a number of specific barriers. Recommendations on how to address these barriers are presented below. Some of these are linked to the overall policy recommendations and, hence, they may not be effective if implemented in their absence.
**Public procurement of innovation and pre-commercial procurement**
**Recommendation 8**
The Estonian Government should establish a small unit to specialise in the public procurement of innovation and pre-commercial procurement.
The purpose of this unit would be to initially implement these types of procurement processes on behalf of public sector organisations and subsequently provide help and advice if and when these become more frequent. The same unit could also be responsible for green procurement and other special forms of future oriented procurements, where the procurement process is interactive and selection criteria are based mainly on longer term performance and quality rather than immediate price. A separate unit is the most effective way to overcome the barriers related to a lack of competence and experience.
**Recommendation 9**
The Estonian Government should make use of public-private partnerships to identify the potential of innovation in addressing the longer-term needs of the public sector.
This will allow companies to better predict when and what innovations are needed by the public sector, and engage in R&D and innovation activities to develop products, services and solutions accordingly. Through the dialogue, companies can also bring their knowledge of the potential related to new technologies and solutions to the public sector, and thereby raise its awareness of the potential for innovation. Furthermore, partnerships can be used to identify potential regulatory and other barriers for innovation in the sectors concerned. They will also ensure that the conditions in future tenders will not lead to proprietary national solutions, but that solutions are consistent with international market needs.
**Recommendation 10**
The Estonian Government should make use of end-user communities in understanding the needs of citizens with regard to potential demand-led innovation solutions.
This may be done by facilitating and encouraging end-user communities and their activities, or via various virtual solutions (social media, crowd sourcing). This will empower end-users and invite them to define future public services. This may also encourage social entrepreneurship, which can further reduce the burden on public resources and alleviate unemployment.
Furthermore, it can improve awareness among end-users and thereby may increase the demand for innovation.
**Recommendation 11**
The Estonian Government should establish appropriate incentives and governance practices that support innovative procurement.
These include sufficient political commitment, risk management practices, requirement for longer-term ambitious strategies at all levels of governance (including local governments), competence building and assistance, and coordination in the case of applying innovative procurement in the case of grand challenges or other cross-ministry strategies. Incentives may be in the form of additional resources (competitive funding based on the best ideas), mandatory allocation of a percentage of budget (or procurement budget), rewards based on success, or guarantees against possible failure.
*Smart regulation, standards and norms*
**Recommendation 12**
The Estonian Government should adopt a government-wide policy to reform the regulatory regime to better enhance innovation.
This should require that all new regulations, standards and norms are subject to ex-ante assessment with regard to their potential impact on innovation. Consultation should be held with key stakeholders before enforcing the new regulations, standards or norms. Where appropriate, there should be a shift from detailed technical specifications towards performance and quality based standards and norms.
**Recommendation 13**
The Estonian Government should make use of partnerships to identify and reduce or remove any regulatory barriers for innovation.
A continuous dialogue should be established between government and market actors to identify existing and potential barriers and recognise how they could be reduced or removed. The same dialogue should be used to monitor the impact of the new regulations, standards and norms, to identify opportunities to utilise self-regulation of market actors and could be used to for the early communication and discussion of any potential future changes in regulations, standards and norms. It would also ensure the right timing and appropriate part of the value chain to introduce new smart regulations, standards and norms. The involvement of employee organisations, end-user communities or related experts is important to ensure that employee and end-user safety issues are sufficiently covered in any new regulations, standards and norms.
**Recommendation 14**
The Estonian Government should encourage innovative companies to participate in EU-level and other international standardisation fora and activities.
In particular, SMEs should be encouraged to participate in the formulation of international standards. This would help them to be better prepared for new standards and offer them the possibility to influence future standards.
**Buyer incentives and experimental platforms**
**Recommendation 15**
While buyer incentives (such as government subsidies for buyers of electric cars) can be very effective in lowering market access, enhancing the adoption of innovation and speeding up market development and growth, they may very soon become quite costly and unnecessary as the markets start working on their own. To optimise government intervention, the timing must be right and the incentive sufficient to reach the desired impact. After the impact has been reached, government intervention should be gradually removed. The exit (i.e. gradual removal of buyer incentives) should be timed and implemented in a way that does not slow market development excessively, but at the same time ensures that only a necessary amount of public funds is used. An appropriate impact monitoring system should allow for the design of an appropriate exit.
**Recommendation 16**
Only if the timing is right, market actors are sufficiently committed, and there is a real potential for establishing an internationally visible showcase effect. These platforms should be established only if there is a real potential for them to become commercially viable business activities in a foreseeable future. Ensuring the need and commitment of market actors is therefore essential. Identification of appropriate timing and potential for reaching international visibility (if successful) as well as ensuring sufficient commitment requires interactive stakeholder consultation or utilisation of systematic interactive partnerships (ref. recommendation 1.4).
Recommendation 17
The Estonian Government should establish experimental platforms aimed at public sector solutions to help develop and test applications for the public sector in a safe environment before adopting them more widely.
This facilitates better risk management and may therefore significantly increase interest in innovation among public sector actors. While some of these platforms may be virtual and therefore easy to extend to companies, end-users, researchers and other stakeholders, in some areas they may have to be physical or at least include physical facilities. It is important that these platforms represent real life contexts with real end-user participation during experimentation. This means that they should preferably be created inside the public sector as separate environments or selecting existing environments and allowing and facilitating experimentation with innovative solutions in them (e.g. developing and experimenting with innovative services and products for a selected patient group such as e-health for diabetes, ambient assisted living in a rural municipality, or smart energy grids in a city). Finally, experimental platforms can be very effective in enhancing collaboration and networking as they often require effective collaboration between several companies and public sector organisations (e.g. provision of e-health services or developing smart houses and residential areas).
Appendix C Summary of validation seminar
Validation seminar
Date: 3 June 2014
Participants
| Name | Organisation |
|--------------------|---------------------------------------------------|
| Kristiina Kaarna | Ministry of Finance |
| Helena Pärenson | Ministry of Agriculture |
| Hardo Lilleväli | Ministry of Education and Research |
| Jüri Truusa | Ministry of Environment |
| Aivar Roop | Entreprise Estonia |
| Caroline Rute, | Development Fund |
| Erkki Karo | Tallinn University of Technology |
| Kuldar Kuremaa | Health Insurance Fund |
| Raul Mill | E-Health Foundation |
| Kitty Kubo | Academy of Sciences |
| Priit Krus | PRAXIS |
| Sigrid Rajalo | Ministry of Economic Affairs and Communications |
| Kristiina Tuisk | Ministry of Economic Affairs and Communications |
| Katre Eljas-Taal | Technopolis Group |
| Katrin Männik | Technopolis Group |
| Jari Romanainen | Technopolis Group |
| Kristel Kosk | Technopolis Group |
| Paul Cunningham | Manchester Institute of Innovation Research |
| Jakob Edler | Manchester Institute of Innovation Research |
1. **Benchmarking of Estonia with the countries in terms of implementing demand-side instruments**
- What method was used for benchmarking (evaluating) preconditions?
- Jari, Jakob, Paul: Qualitative methods based on international experience. As there are no quantitative data regarding demand side policies available in Estonia, a qualitative approach was used.
- Should we wait with the demand side policy until all the preconditions are met?
- Jari: Yes, it is one possibility, but we would suggest starting with addressing the preconditions in parallel with introducing selected demand-side innovation policy instruments.
2. Horizontal activities towards introducing demand-side instruments
- Estonia is a small country. It might happen, that most of the innovative solutions need to be imported. Therefore we will be financially supporting foreign innovation. Should the government support only the local actors?
- Jari: There should be a balance in supporting private sector. Constant dialogue with companies that have the potential to meet the need of the government and ministries should be established. Pre-commercial procurement would allow to focus the procurement process to local companies, but procurement of innovation should be open also to international companies.
- Jakob: Opposition to pre-commercial procurements is standing on exactly that argument. However innovation social spill-over will happen anyway, no matter where the innovative solution/product is built. The country will benefit from the spill-over in longer-term.
- A good example from Estonia is Estank- they are doing metal tanks for gas and liquid. Enterprise Estonia supported building a factory where they use specific welding equipment. Now they are market leaders in Estonia and Finland. This is the case of how it was possible to transfer technology that was not available in Estonia before.
- Jari: Integration of demand-side instruments into existing supply side measures is important.
- Are there any examples of lead departments (ministries) in UK?
- Jakob: Previous government in UK established a lead department. There is an obvious link with demand side measures. They agreed on cabinet level, that every ministry should have innovative public procurement plan. In the beginning they (especially health) were very reluctant, however “innovation champions” in the ministries were eventually activated due to the innovation plan. This initiative changed the way of thinking in public sector. It is important to understand, that this lead department is not doing all the measures on their own, but has a rather supportive role to the ministries. Innovation ministry should not be the “king” who is leading (this always leads to conflicts).
- However, lead department should coordinate larger scale horizontal initiatives (e.g. smart cities).
- There was a doubt that in Estonia there is nobody who would take in charge. Development Fund maybe? Smart specialisation is quite narrow. Where to start?
- Jari: it would be smart to address the same societal challenges that are already defined at the EU level. Big national projects like “Green Estonia” or “Estonia in the cloud” could also be used as a starting point. The problem owners - the government or key ministries in most cases - should take the leadership. However, they may consider assigning the operational management to an agency such as the Development Fund.
3. Procurement of innovation and pre-commercial procurements (A type of procurements to purchase R&D and innovation)
- One option to introduce procurement of innovation and pre-commercial procurements (PCP) is to define a certain percentage of procurement budgets for innovation. There was a doubt that it’s risky to define percentage for horizontal project - risk of lock-in for product-to-market cycle.
- Jari: Not the percentage of overall budget, but only the procurement budget. It is important that the ministries use their own money to procure innovation from the very beginning. There is a lock-in
problem in e-governance at the moment. IPR goes to buyer, but it definitely shouldn’t. Also the price is lower if company can keep the IPR.
- How exactly would launching a programme for PCP and procurement of innovation takes place?
- Jari: Launch 1 programme with 3 focus areas. All the key ministries should be involved in the steering committee, but Enterprise Estonia or another agency should do the day-to-day management.
- Jakob: Pitfalls in the UK: Very often the problem with the PCP (develop until the prototype) is that in the end they can’t find a buyer. If additional money is allocated, the public sector is not interested in buying. One needs to be very careful in developing the scheme with a clear commitment to buy in the end. The “need” needs to be defined and addressed. There doesn’t need to be a support agency, it can also be done as a competition etc.
- Jari: Good example is the dike example from the Netherlands where government supported developing a dikes’ monitoring methodology and left the decision which solution to buy to the local governments, whose responsibility was to take care of dikes.
- Jari: Canadian scheme would also be a good example – matching innovation to the real market need. SME with innovative solution not yet in the market approaches an agency, which if the solution is innovative enough matches the SME with a public sector organisation that has a need that can be addressed with this innovative solution. The agency supplies them with the additional money for testing.
- What kind of expertise is needed in the recommended innovation procurement unit?
- Jari: Combination of understanding what is innovation. Sector specific combined with overall procurement skills.
- Jakob: 1) Expertise to make a business case for innovation, 2) to know about the market and the technology (for example in health sector there is a lot of technology that nobody actually uses), 3) internal analysis what does innovation actually means.
- Jari: sectoral knowledge comes from the sectoral ministries. Business case comes from the companies. Main competence needed in this unit is therefore how to run innovative procurement processes.
- How would the pre-commercial procurement exactly work?
- Jari: Example from construction sector - Riigi Kinnisvara would like to have an ICT solution to monitor the maintenance needs of heating and cooling systems in buildings. They define the energy saving criteria they want to reach. Invite the companies and research organisations who would be interested in developing such a system to discussion. These form consortia with other companies and research organisations or come alone to make a proposal. After Riigi Kinnisvara has received all proposals, they select the best ones - typically 2-4 offers that fulfil the criteria representing different potentially viable solutions - they cover the costs of R&D of all selected bidders (this is the risk need to be taken by Riigi Kinnisvara/government). This would eventually lead into 2-4 innovative ICT solutions in the market for all property owners.
- Shouldn’t we start with defining the outcome before talking to the companies?
- Jari: Depends on how innovative the companies are. One example is Motiva from Finland. They ask around in the market in advance to make sure that there is a sufficiently large number of interested potential clients. The potential clients are then invited to make a commitment to buy the innovative product, service or solution provided that it fulfils jointly defined requirements at a reasonable
price. This offers companies a good insight on market needs, a successful early market launch and therefore reduces the risks related to commercialisation. Crowd-funding have been used in a similar fashion, i.e. companies with an idea for an innovative product request crowd-funding with a promise to develop the product if they reach their funding target. Typically those participating in the crowd-funding are promised this innovative product first and possibly at a reduced price.
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Power Quality Problems, Signature Method for Voltage Dips and Swells Detection, Classification and Characterization
Lucien Duclos Ndoumbe\textsuperscript{1}, Samuel Eke\textsuperscript{1}, Charles Hubert Kom\textsuperscript{1,2*}, Aurélien Tamtsia Yeremou\textsuperscript{1}, Arnaud Nanfak\textsuperscript{1}, Gildas Martial Ngaleu\textsuperscript{1}
\textsuperscript{1} Laboratory of Energy, Materials, Modelling and Methods, National Higher Polytechnic School of Douala, University of Douala, Douala 2701, Cameroon
\textsuperscript{2} Laboratory of Computer Engineering and Automation, University of Douala, Douala 2701, Cameroon
Corresponding Author Email: firstname.lastname@example.org
https://doi.org/10.18280/ejee.230303
Received: 9 September 2020
Accepted: 13 May 2021
Keywords:
power quality, voltage dips, voltage swells, signatures
ABSTRACT
This paper is in the field of electric power quality monitoring and presents a new approach for the identification, classification and characterization of the nine voltage dips and swells in electricity networks. The proposed method is based on the study in the complex plane of the signatures of the different voltage dips and swells. In the study of these signatures, the elements taken into account are the root mean square (RMS) values of the phases, the existence or not of an additional phase shift of the voltages and their rotation sense. The informations obtained are synthesized in three variables, and used to the implementation of the method. The results found by the computer simulations carried out by the MATLAB/Simulink software show that the proposed approach uses few parameters, is easy to implement and understand, and makes it possible to efficiently detect, classify and characterize the nine voltage dips and swells.
1. INTRODUCTION
Power Quality problems are defined as any power problems manifested in voltage, current, or frequency deviation that results in failures or malfunctions of customers equipments [1]. Voltage dips and swells are the two recurrent disturbances affecting voltage magnitude. Voltage dips, also known as voltage sags are one of the most serious problems of electric power quality and represent a major handicap for the industrial and domestic consumers [2]. The voltage dip is a sudden drop in voltage at a point of the power system to a value between 90% and 1% (IEC 61000-2-1) or between 90% and 1% (IEEE 1159) of a reference voltage. This affects one or more phases, followed by a voltage recovery after a short period of time between the fundamental half-period of the system (10 ms to 50 Hz) and one minute [3]. Voltage dips are mainly caused by short circuits, earth faults in the power grid or connected installations, and high current demands due to the starting of large induction motors, arcs or transformer saturation [4, 5]. They affect the operation of control devices, such as unintentional opening of contactors and relays, cause switching faults in inverters, malfunctions in analogue or digital electronic systems, and errors in the execution of computer calculations [6]. On the other hand, the rise in voltage that occurs when a voltage dip disappears causes an overcurrent in rotating machines, leading to the creation of heat sources and short duration electrodynamics forces that can have long term effects such as ageing [7]. As opposed to voltage dip, the voltage swell is a rise in voltage at a point of the power system to a value between 110% and 180% of the normal voltage for duration from half a cycle to several seconds. It occurs when heavy load is turned off, when loss of generation, badly regulated transformer, faulty conditions at various points in the AC distribution system, under loading of a phase while other two phases in a 3-phase system are overloaded Johnson and Hassan [8] or by intermittent renewable energies connected to the grid [9, 10].
During the last decades, equipment’s used in the industrial sector have become more sensitive to voltage dips and swells due to recent advances and the increasing use of power electronics devices [11]. Due to all this, the implementation of methods for the detection, classification and characterization of voltage dips has become an essential condition for monitoring the quality of electrical power, which represents the preliminary step in the search of solutions. The characterization of voltage dips allows extracting informations about the causes of dip, location of the fault in the grid and states of the grid when the fault occurs.
In order to detect, analyze and determine the type of voltage dip, several methods are proposed in the literature. Among these methods, we have the 6-voltages method which compares the RMS values of the 6 simple and compound voltages [12]. The type of voltage dip is determined from the lowest RMS value. This method does not provide any information on the affected phases and does not allow the classification of different types of voltage dips and swells. The symmetrical component method [13, 14] which determines only three types of voltage dips by studying the complex plane of forward and reverse voltages. Eke and Imano [15] proposed an exhaustive classification algorithm of the nine types of voltage dips and swells based on a combination of the 6-voltages and symmetrical component methods. Another classification approach, the space vector method, was presented by Ignatova et al. [16]. This method is based on the transformation of the space vector, which describes the three-phase voltage system by a complex variable: the space vector.
For Alam et al. [17], a new approach based on polarization ellipse in 3-D coordinates is proposed. This approach exploits signatures and parameters of three-phase voltage signals. Five parameters extracted of ellipse including azimuthal angle, elevation, tilt, semi-minor axis and semi-major axis are used to classify and characterize. Ma et al. [18] proposed a new algorithm based on the shapes of Type C and Type D for calculating the voltage dip type. Some technics are using Kalman Filtering Models such as Extented Kalman Filtering Algorithms for overcoming the limitations of Linear Kalman Filters [19], which offers accuracy in the optimal estimation of the magnitude, duration of voltage dips and phase angle jump are proposed in refs. [20, 21]. Fourier Transform Methods are studied and produce accurate results which generate significant delay in the response of the system to voltage sags by extraction of informations from a signal in the frequency domain [22, 23]. Other Methods on Numerical Matrix Sag Detection are also developed by analysing different harmonics present in the supply voltages [24]. Another approach based on analysis of the envelope of the voltage network is used to detect the voltage dip determined by locating the Signal Local Maximums is presented by Boujoudi et al. [25]. These local maximums are calculated by using an algorithm founded on the detection of the sign changing of two consecutive samples of the signal difference. With the development of artificial intelligence tools, several intelligent classifiers of voltage dips are proposed in the literature. For instance, many Learning Machine Algorithms such as K-Means-Clustering, Logistic Regression Algorithms and others are developed for characterization of recorded voltage dips and real-time measured voltage data [26, 27]. A dip type identification algorithm based on K-means-Singular Value decomposition and Least Squares Support Vector Machine is presented by Axelberg et al. [28]. According to Sha et al. [29], a support vector machine (SVM) classifier using five time-frequency domain features extracted from the RMS waveform of voltage dips is proposed. The features are used as the training data of the SVM to realize the identification of the voltage dip type. In Adegbite and Okelola [1], a naive Bayes classifier is proposed for the classification of voltage dips and swells.
In this paper, a new approach for the classification and characterization of voltage dips is proposed. It is based on the signatures of the different voltage dips. This method allows an exhaustive classification and a complete characterization of three-phase voltage dips. All computer simulations were performed in MATLAB/Simulink software.
After the Introduction section, the remaining part of this paper is organized as follows: Section II presents the nine types of voltage dips and swells and their complex representations. The principle of proposed method is described in Section III. Section IV presents the platform and simulation results. A conclusion is given in section V.
2. THE VOLTAGE DIPS AND SWELLS SIGNATURE
Voltage dips and swells are characterized by their depth amplitude and duration. In addition to duration and amplitude, three-phase voltage dips are characterized by the phase shift between the phase voltages [2]. Three-phase voltage dips and swells are often analysed in the complex plane, where the three voltages are represented as vectors characterised by their amplitude and phase, also called phasors. The relationship between the phasors in the complex plane is called the signature [16]. The signature vectors associated at types of voltage dips and swells are presented in Table 1.
Table 1. Voltage dips and swells types and signature vectors
| Dips Types | Single phase dip | Two-phase dips | Three-phase dips |
|------------|------------------|----------------|------------------|
| Without phases shift | (b) Type B | (c) Type E | (a) Type A |
| Without swell | (d) Type D | (c) Type C |
| With phases shift | (f) Type F | (g) Type G |
| With swell | (h) Type H | (i) Type I |
Dip and swell signatures depend on several parameters such as voltage dip cause, voltage dip location and system grounding. The ABC voltage dip classification is based on the fault type which leads to the dip. According to this classification, all voltage dips are classified into seven dip types namely A, B, C, D, E, F and G dip types [30] and two types of voltage swells namely H and I [16].
The parameters that characterize the signature vector are:
- $V$: the RMS value of the electrical voltage
- $d$: the depth of the voltage dip
- $m$: the value of the drop in voltage (C, D, F, G, H and I)
- $\alpha$: additional phase shift
The signature of the voltage dips can be modified by the transformers located within the network. The Figure 1 and Table 2 below present the different dips that propagate downstream of the network, through the most commonly used Dy transformers.
Figure 1. Transformations of voltage dip types [31]
Table 2. Propagation of voltage dips [31]
| Voltage level | Types of voltage dips |
|---------------|-----------------------|
| I | A B C E - |
| II | A C D F H, I |
| III | A D C G - |
3. THE SIGNATURE ANALYSIS
In this paper, it is proposed a new algorithm of classification for voltage dips and swells. This new method consists to detect, to classify and to characterize the nine types of voltage dips and swells, in order to implement a process and monitor a power supply quality. This new approach exploits the signature vectors of the different voltage dips and swells. In the study of these signatures, we take into account the amplitude of the RMS values, the existence or not of additional phase shift and their rotation sense for each phase. From the study of the different signatures, the detection and classification of the different voltage dips can be summarized by the study of the three parameters $\theta$, $\sigma$ and $MV$ defined as follow.
The parameter $\theta$, informs us about the existence or not of additional phase shifts and its rotation sense. This parameter is calculated from the phase shifts between the different phases. The increase or decrease of these phase shifts in relation to the normalised value of $\frac{2\pi}{3}$ is an indication of the existence of an additional phase shift, of the phases concerned and of its rotation sense. A study of the signatures of the different voltage dips and swells allowed us to establish the relationship between the values of $\theta$ and the different types of voltage dips and swells:
- For $\theta = -1$ (counter-clockwise rotation), possible voltage dips and swells are C, G and H;
- For $\theta = 0$, possible voltage dips are A, B, E or no fault (NF);
- For $\theta = 1$ (clockwise rotation), possible voltage dips and swells are D, F and I.
The parameter $\sigma$ informs us about the presence or absence of voltage reduction on the phases. The values of $\sigma$ are defined on the basis of the RMS values $V_a$, $V_b$ and $V_c$ of the three phases. A study of the signatures of the different voltage dips and swells has enabled us to establish the relationship between the values of $\sigma$ and the different types of voltage dips and swells:
- For $\sigma = 0$, no fault;
- For $\sigma = 1$, possible voltage dips and swells are B and H;
- For $\sigma = 2$, possible voltage dips and swells are C, E and I;
- For $\sigma = 3$, possible voltage dips are A, D, F and G.
Figure 2. Algorithm of proposed method for voltage dips classification
Table 3. Propagation of voltage dips [4]
| Fault | $m$ | $a$ | $d$ |
|-------|-----|-----|-----|
| $A$ | / | / | $1 - \min(V_a, V_b, V_c)$ |
| $B$ | / | / | $1 - \min(V_a, V_b, V_c)$ |
| $C$ | $\min(V_a, V_b, V_c)$ | $\sin^{-1}\left(\frac{1}{2m} - 30^\circ\right)$ | $1 - m \cos(\alpha)$ |
| $D$ | $\max(V_a, V_b, V_c)$ | $\tan^{-1}\left(\frac{d \sqrt{3}}{4 - d}\right)$ | $1 - \min(V_a, V_b, V_c)$ |
| $E$ | / | / | $1 - \min(V_a, V_b, V_c)$ |
| $F$ | $\max(V_a, V_b, V_c)$ | $\tan^{-1}\left(\frac{d}{\sqrt{3}(2 - d)}\right)$ | $1 - \min(V_a, V_b, V_c)$ |
| $G$ | $\min(V_a, V_b, V_c)$ | $\cos^{-1}\left(\frac{1 - d}{m}\right)$ | $\frac{5(1 - \max(V_a, V_b, V_c))}{2}$ |
| $H$ | $\max(V_a, V_b, V_c)$ | $\tan^{-1}\left(\frac{d \sqrt{3}}{2 + d}\right)$ | $1 - \min(V_a, V_b, V_c)$ |
| $I$ | $\min(V_a, V_b, V_c)$ | $\tan^{-1}\left(\frac{d \sqrt{3}}{1 - d}\right)$ | $\frac{(\max(V_a, V_b, V_c) - 1)}{2}$ |
The variable $MV$ is used to separate voltage dips of type D and F, having almost similar signatures. The idea for this parameter comes from the work of Eke and al., but there is a difference in the expression of the $MV$ parameter against the one defined in [15]. Indeed, we use:
$$MV = \frac{\sqrt{3}}{2} V_{RMS}$$
Instead of:
$$MV = \frac{2}{3} V_{RMS}$$
with,
$V_{RMS}$ is the RMS value of the reference voltage.
We have then:
- $M = \max(V_a, V_b, V_c) \geq MV$, for type D
- $M = \max(V_a, V_b, V_c) < MV$, for type F
with $V_a$, $V_b$ and $V_c$ and the RMS values of phases $a$, $b$ and $c$ respectively.
All the relationships established between the parameters and the different voltage dips are summarized in the algorithm in Figure 2.
The characterization of the voltage dip after detection and classification is carried out graphically, by indication of phases that have undergone a voltage drop and an additional phase shift. In addition to this information, the depth, duration and angle of the additional phase shift are given. All these informations can contribute to the identification of the cause of the fault, and by dip spectrum analysis, at the location of the fault. Table 3 summarizes the expressions of the characteristic parameters of the different voltage dips and swells.
4. SIMULATION RESULTS AND DISCUSSION
A three-phase 230/380 V electrical network with a frequency of 50 Hz has been considered for the simulation. Then, in Simulink, we have introduced single-, two- and three-phase faults of type A, B and E respectively. To generate the other voltage dips and swells, Dy transformers have been used in order to modify the signature of voltage dips according to Table 4. The voltage dips and swells analyser receive the single voltages as input and returns the dip type or swell type and the voltage fault characterization elements as output. The MATLAB/Simulink platform is shown in Figure 3.
Simulation results are summarized in three categories of variables:
- The detection variable $\lambda$ based on RMS value, which informs us on the existence or not of voltage dips and swells. $\lambda = 1$ in the event of a fault and 0 otherwise
- The classification variable $\rho$ based on variables $\theta$, $\sigma$ and $MV$, which informs us about the nature of the voltage dip and swell from the legend code defined in Table 4.
Table 4. Classification legend
| $\rho$ | Voltage dip |
|--------|-------------|
| 0 | ND |
| 1 | A |
| 2 | B |
| 3 | C |
| 4 | D |
| 5 | E |
| 6 | F |
| 7 | G |
| 8 | H |
| 9 | I |
Figure 3. Simulink model of simulation
The characterization variables $d$, $m$, $\alpha$, $\delta_{i;i=1,2,3}$ (which informs us on the phases having undergone a voltage drop or overvoltage) and $\varphi_{i;i=1,2,3}$ (which informs us on the phases having undergone an additional phase shift), $\delta_i = 1$ in case of overvoltage, -1 in case of voltage drop and 0 in the opposite case, $\varphi_i = 1$ if the phase has undergone an additional phase shift and 0 if not.
The results presented in this section are the result of a series of measurements made from simulations on our power grid. Indeed, we carry out the marking of the nine voltage dips and swells known to date from the detection, classification and characterisation blocks carried out from the variables obtained from studying their different signatures. It should be noted that $MV$ is a relevant parameter only for voltage dips of type D and type F only; similarly, the variable $m$ is not relevant for voltage dips without additional phase shift namely A, B and E.
Figure 4 presents the results of a A-type voltage dip affecting all phases and occurring between 0.3s and 0.5s as illustrated in (a.1), as well as the corresponding detection, classification and characterisation variables. We observe that the detection variable $\lambda$ in (a.2) is equal to 1 between 0.3s and 0.5s. In (b.1) and (b.2), the method variables indicate that all three phases are affected by the fault ($\sigma=3$) and there is no additional phase shift ($\theta=0$). From these values, we obtain in (b.4) the value of the classification variable $\rho=1$ which indicates that it is a A-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-1$, (c.2) $\delta_2=-1$ and (c.3) $\delta_3=-1$ indicate voltage drops of more than 10% of the reference value of the three phases. Similarly, the additional phase shift variables in (c.4) $\varphi_1=0$, (c.5) $\varphi_2=0$ and (c.6) $\varphi_3=0$ indicate that none of the phases are subject to additional phase shift. This is verified by the value of the additional phase shift $\alpha=0$ in (c.9).
From this, it can be deduced that the fault is a three-phase voltage dip with a dip depth of 50% (c.7) without additional phase shift.
Figure 5. B and E-type voltage dips
(a) Three-phase voltage and detection variable
(b) Parameters and classification variables
(c) Characterization variables
Figure 5 presents the results of B-type (affecting only one phase) and E-type (affecting two phases) voltage dips occurring respectively between 0.3s and 0.5s and between 0.7s and 0.9s as illustrated in (a.1) as well as the corresponding detection, classification and characterization variables. We observe that the detection variable $\lambda$ in (a.2) is equal to 1 twice, the first time between 0.3s and 0.5s and the second time between 0.7s and 0.9s.
Between 0.3s and 0.5s, the variables of the method in (b.1) and (b.2), indicate that one of the three phases is affected by the fault ($\sigma=1$) and there is no additional phase shift ($\theta=0$). From these values, we obtain in (b.4) the value of the classification variable $p=2$ which indicates that it is a B-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=0$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=0$ indicate voltage drops of more than 10% of the reference value on phase b. Between 0.7s and 0.9s, the variables of the method in (b.1) and (b.2), indicate that two of the three phases are affected by the fault ($\sigma=2$) and there is no additional phase shift ($\theta=0$). From these values, we obtain in (b.4) the value of the classification variable $p=5$ which indicates that it is a E-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=0$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=-I$ indicate voltage drops of more than 10% of the reference value on phase b and phase c. The additional phase shift variables in (c.4) $\varphi_1=0$, (c.5) $\varphi_2=0$ and (c.6) $\varphi_3=0$ indicate that none of the phases are subject to additional phase shift in both cases. We deduce that between 0.3s and 0.5s the fault is a single-phase voltage dip with a dip depth of 50% (c.7) without additional phase shift and between 0.7s and 0.9s the fault is a two-phase voltage dip with a dip depth of 50% (c.7) without additional phase shift.
Figure 6 presents the results of C-type (affecting two phases) and F-type (affecting three phases) voltage dips occurring respectively between 0.3s and 0.5s and between 0.7s and 0.9s as illustrated in (a.1) as well as the corresponding detection, classification and characterization. We observe that the detection variable $\lambda$ in (a.2) is equal to 1 twice, the first time between 0.3s and 0.5s and the second time between 0.7s and 0.9s. Between 0.3s and 0.5s, the variables of the method in (b.1) and (b.2), indicate that two of the three phases are affected by the fault ($\sigma=2$) and there is an additional counter-clockwise phase shift ($\theta=-I$). From these values, we obtain in (b.4) the value of the classification variable $p=3$ which indicates that it is a C-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-I$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=0$ indicate voltage drops of more than 10% of the reference value on phases a and b. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=0$ indicate that these are the phases a and b that have an additional phase shift. We deduce that between 0.3s and 0.5s the fault is a two-phase voltage dip with a dip depth of 22% (c.7) with additional phase shift of 11° (c.9).
Between 0.7s and 0.9s, the variables of the method in (b.1), (b.2) and (b.3), indicate that all three phases are affected by the fault ($\sigma=3$), there is an additional clockwise phase shift ($\theta=I$) and the maximum RMS value $M$ is lower than the value of the parameter $MV$. From these values, we obtain in (b.4) the value of the classification variable $p=6$ which indicates that it is a F-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-I$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=-I$ indicate voltage drops of more than 10% of the reference value of the three phases. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=0$ and (c.6) $\varphi_3=1$ indicate that these are the phases a and c that have an additional phase shift. We deduce that between 0.7s and 0.9s the fault is a three-phase voltage dip with a dip depth of 50% (c.7) with additional phase shift of 11° (c.9).
Figure 7 presents the results of D-type and G-type voltage dips (affecting three phases) occurring respectively between 0.3s and 0.5s and between 0.7s and 0.9s as illustrated in (a.1) as well as the corresponding detection, classification and characterization. We observe that the detection variable $\lambda$ in (a.2) is equal to 1 twice, the first time between 0.3s and 0.5s and the second time between 0.7s and 0.9s. Between 0.3s and 0.5s, the variables of the method in (b.1) and (b.2), indicate that all three phases are affected by the fault ($\sigma=3$), there is an additional counter-clockwise phase shift ($\theta=-I$) and the maximum RMS value $M$ is lower than the value of the parameter $MV$. From these values, we obtain in (b.4) the value of the classification variable $p=4$ which indicates that it is a D-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-I$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=-I$ indicate voltage drops of more than 10% of the reference value of the three phases. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=1$ indicate that these are the phases a and c that have an additional phase shift. We deduce that between 0.3s and 0.5s the fault is a three-phase voltage dip with a dip depth of 22% (c.7) with additional phase shift of 11° (c.9).
and the second time between 0.7s and 0.9s.
Between 0.3s and 0.5s, the variables of the method in (b.1), (b.2) and (b.3), indicate that all three phases are affected by the fault ($\sigma=3$), there is an additional clockwise phase shift ($\theta=-I$) and the maximum RMS value $M$ is higher than the value of the parameter $MV$. From these values, we obtain in (b.4) the value of the classification variable $\rho=4$ which indicates that it is a D-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-I$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=-I$ indicate voltage drops of more than 10% of the reference value of the three phases. The additional phase shift variables in (c.4) $\varphi_1=0$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=1$ indicate that these are the phases b and c that have an additional phase shift. We deduce that between 0.3s and 0.5s the fault is a three-phase voltage dip with a dip depth of 33% (c.7) with additional phase shift of 9° (c.9).
Between 0.7s and 0.9s, the variables of the method in (b.1) and (b.2), indicate that all three phases are affected by the fault ($\sigma=3$) and there is an additional counter-clockwise phase shift ($\theta=-I$). From these values, we obtain in (b.4) the value of the classification variable $\rho=7$ which indicates that it is a G-type voltage dip. Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=-I$, (c.2) $\delta_2=-I$ and (c.3) $\delta_3=-I$ indicate voltage drops of more than 10% of the reference value of the three phases. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=0$ indicate that these are the phases a and b that have an additional phase shift. We deduce that between 0.7s and 0.9s the fault is a three-phase voltage dip with a dip depth of 40% (c.7) with additional phase shift of 5° (c.9).
Figure 8 presents the results of I-type and H-type voltage swells (affecting three phases) occurring respectively between 0.3s and 0.5s and between 0.7s and 0.9s as illustrated in (a.1) as well as the corresponding detection, classification and characterization. We observe that the detection variable $\lambda$ in (a.2) is equal to 1 twice, the first time between 0.3s and 0.5s and the second time between 0.7s and 0.9s.
Between 0.3s and 0.5s, the variables of the method in (b.1) and (b.2), indicate that two of the three phases are affected by the fault ($\sigma=2$) and there is an additional clockwise phase shift ($\theta=1$). From these values, we obtain in (b.4) the value of the classification variable $\rho=9$ which indicates that it is an I-type voltage swell.
Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=1$, (c.2) $\delta_2=1$ and (c.3) $\delta_3=-1$ indicate an overvoltage of more than 110% of the reference value on phases a and b. The phase c has a voltage drop of more than 10% of the reference value. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=0$ indicate that these are the phases a and b that have an additional phase shift. We deduce that between 0.3s and 0.5s the fault is a single-phase voltage swell with a dip depth of 5% (c.7) with additional phase shift of 9° (c.9). Between 0.7s and 0.9s, the variables of the method in (b.1) and (b.2), indicate that one of the three phases is affected by the fault ($\sigma=1$) and there is an additional counter-clockwise phase shift ($\theta=-1$). From these values, we obtain in (b.4) the value of the classification variable $\rho=8$ which indicates that it is a H-type voltage swell.
Concerning the characterization variables, the amplitude variables in (c.1) $\delta_1=1$, (c.2) $\delta_2=1$ and (c.3) $\delta_3=-1$ indicate an overvoltage of more than 110% of the reference value on phases a and b. The phase c has a voltage drop of more than 10% of the reference value. The additional phase shift variables in (c.4) $\varphi_1=1$, (c.5) $\varphi_2=1$ and (c.6) $\varphi_3=0$ indicate that these are the phases a and b that have an additional phase shift. We deduce that between 0.7s and 0.9s the fault is a two-phase voltage swell with a dip depth of 18% (c.7) with additional phase shift of 7.2° (c.9).
According to the results of simulations carried out from our characterization block, we obtained all the types of voltage dips known in the classification. It appears that the proposed algorithm detects and completely characterizes each type of voltage dips and swells. The characterization variables thus defined can be used to rigorously construct an expert monitoring tool.
5. CONCLUSION
In this paper, a new approach for the identification, classification and complete characterization of voltage dips has been proposed and implemented in the MATLAB/SIMULINK environment. The proposed method is based on studying in the complex plane the signatures of the different voltage dips and swells. Our method has been summarized by the study of three variables, $\theta$, $\sigma$ and $MV$ deduced from different signatures. The interest of this approach lies on the reduction of the number of parameters taken into account for the classification and the simplicity of the classification algorithm. This approach would allow the development of diagnostic tools and rapid management of the identification and localization of faults in real time by an implementation through a DSP or FPGA.
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**NOMENCLATURE**
| Symbol | Description |
|--------|-------------|
| IEC | International Electrotechnical Commission |
| IEEE | Institute of Electrical and Electronics Engineers |
| RMS | Root Mean Square |
| MV | Parameter of signature method |
| M | Maximum effective voltage |
| m | the value of the drop in voltage |
| d | the depth of the voltage dip |
| Dy | Triangle-star transformer |
| Max | Maximum |
| Min | Minimum |
| $V_{rms}$ | RMS value of the reference voltage |
| $V_a$ | RMS values of phase $a$ |
| $V_b$ | RMS values of phase $b$ |
| $V_c$ | RMS values of phase $c$ |
| SVM | Support Vector Machine |
| ms | millisecond |
| s | second |
| NF | No Fault |
**Greek symbols**
| Symbol | Description |
|--------|-------------|
| $\lambda$ | Detection variable |
| $\rho$ | Classification variable |
| $\theta$ | Parameter of signature method |
| $\sigma$ | Parameter of signature method |
| $\varphi_{i,i=1,2,3}$ | Characterization variables |
| $\delta_{i,i=1,2,3}$ | Characterization variables |
| $a$ | Additional phase shift |
|
QUESTIONING THE TEACHING OF “QUESTION INTONATION”: THE CASE OF CLASSROOM ELICITATIONS
CANTARUTTI, MARINA NOELIA
ISP DR JOAQUÍN V GONZÁLEZ / UNIVERSITY OF YORK
firstname.lastname@example.org
ABSTRACT
In pronunciation textbooks for EFL teachers and learners, “question intonation” has been most widely associated to syntactic structure and attitudinal meanings. Even though these descriptions may refer to frequent realisations in real life, they appear to assume that all interrogatively-formatted utterances fulfil only informational functions and work similarly across different contexts. This reflective paper will make a critical review of the descriptions of “question intonation” in a selection of theoretical and practical materials employed in the Phonetics modules in three graduate Teacher Training programmes to contrast them to the findings of a short conversation/discourse-analytic study on teacher questions in classroom discourse, as representative of one of the speech genres EFL teachers are trained in. Finally, a case will be made for the need for further corpus-based descriptions of intonation that focus on social action in situated contexts of language use.
Keywords: intonation, questions, elicitations, teacher training, classroom discourse
1. INTRODUCTION
“There is no such thing as question intonation”, Cruttenden [7, p.59] categorically asserted. However, “question intonation” is presented as something apparently easily definable and predictable in many English Language Teaching instructional materials.
The simplifying assumptions found in these textbooks differ with the complex reality of question form and use, since questions “can be used for actions other than questioning, and questioning can be accomplished by linguistic forms other than questions” [26, p.34]. What is more, many of the accounts in these textbooks are based on decontextualised and artificial examples, and arguably, many of the descriptions are introspective in nature, since there is no explicit reference to corpus work.
The current paper will present a review of “question intonation” in a selection of intonation manuals and activity books. The descriptions made in these materials will be problematised, and confronted with the results of a small-scale corpus study of teacher questions in one particular form of institutional talk: classroom discourse.
This study converges with previous discourse and interactional research on intonation [11, 18, 33, 29] and on intonation in questions [6, 31], that describe how prosodic choices both project, and are constrained by, the wider context of culture (i.e. genre) [10, 12], as well as by the specifics of the here-and-now emerging context of interaction. Therefore, this reflective paper will finally propose that descriptions of those intonation choices that have a certain regularity and systematicity should be presented to learners alongside the descriptions of the social and structural organisation of particular occasions of language use, with a focus on verbal and non-verbal social action [28].
2. QUESTIONS IN INTONATION MATERIALS
This section will review the description of “question intonation” in a selection of materials comprising the set bibliography in the Phonetics and Phonology modules at three Teacher Training Colleges in the city of Buenos Aires, Argentina. These materials are expected to inform teacher trainees’ choices of intonation in different speech situations, including “teacher talk”.
| | Syntactic | Attitudinal | Functional |
|----------------|-----------|-------------|------------|
| | | | Discourse control / Info status | Linguistic action |
| Baker [2] | ✓ | ✓ | (✓) | |
| Brazil [4, 5] | | (✓) | ✓ | |
| Hewings [13] | | | | ✓ |
| O’Connor and Arnold [22] | ✓ | ✓ | | |
| Wells [32] | ✓ | ✓ | (✓) | |
| Tench [29, 30] | (✓) | (✓) | ✓ | ✓ |
Figure 1: Criteria associated to “question intonation” in pronunciation/intonation materials
2.1 Syntactic accounts of question intonation
Most of the materials scrutinised assume a one-to-one mapping between intonation and grammatical form. Falls are associated with wh-questions, and to the final item in a closed alternative question [22, 32, 2] and the use of non-falls is ascribed to the expression of attitudinal stance, making the question “more gentle, kindly encouraging” [32, p.43].
In [22, 32, 2], rises and fall-rises are said to belong in yes/no questions, and on the first items in closed
alternative questions, or on all the items in open alternative questions.
According to [32], it is the use of rises that marks *declarative* questions as such, though Brazil [4, 5] and Tench [29, 30] acknowledge the common use of falls in these. The inclusion of “declaratives” is the only hint in these materials so far that questions may not just be effected through interrogatively-formatted structures.
### 2.2 Attitudinal accounts of question intonation
Attitudinal approaches to tone include the association of intonational contours with displays of affect, emotion, and social solidarity or distance. This is a criterion some materials resort almost fully to [22] or combine with syntactic criteria [32], whereas others approach this in a functional way [4, 5, 29, 30].
Low falling tones on wh-questions are said to be indicative of “briskness”, “seriousness”, “urgency”, “disapproval” [22, 32], whereas high falling tones are “business-like”, “insistent”, “interested” [22, 32]. On yes/no questions, falls are used for “urgent discussion”, “scepticism”, “protest”, [22], as expressions of “surprise” or “pleasure” [13], or to establish forms of social divergence [4,5].
Rises and fall-rises on wh-questions display “interest” and “friendliness” [22], but with a low head the speaker may seem “disapproving and resentful”. In wh- or yes/no phatic questions -enquiries about social wellbeing-, rising tones establish convergence and “insinuate togetherness” [4, p.79].
### 2.3 Functional accounts of question intonation
Functional descriptions of question intonation are far less common in the materials scrutinised and are associated to the traditions of either Discourse Intonation [4, 5, 26] or Systemic Functional Linguistics [29, 30]. Functional accounts could be broadly classified into two sub-criteria: information status and discourse control, and linguistic actions.
#### 2.3.1 Questions and discourse control and/or information status
In terms of information status, the most widely developed account is by Brazil [4, 5], associating falling tones to *finding out* and rising tones to *making sure* questions, thus postulating the independence between tone and syntax. Falling tones mark the matter of the question as unnegotiated, and the answer that will be provided is expected to change the state of listener-hearer convergence, moving interaction forward.
Rising tones, also known as “checking” tones, request confirmation of a hypothesis or previous understanding [4, 5, 13]. For Brazil [4, 5], the choice of which rising tone is used in questions is related to discourse control, that is, the freedom to make greater linguistic choices: fall-rises are used to “avoid overt assumption of superiority” [4, p.95], and thus, questions with this tone are heard as a “request for the favour of a reply” [4, p.94], whereas rises are seen as questions presented “as of right”.
The connection between rising tones and given information also briefly appears in connection to echo, repetition, independent-elliptical, and please-repeat questions in [22, 32, 2]. However, these authors associate attitudinal labels such as “surprise” and “incredulity” to these uses.
Tench [29, 30] considers falling tones to be associated with speaker dominance, which he relates to speaker knowledge. Falls are used when the speaker focuses on what is known -e.g. the presupposed part of a wh-question- and requests what is unknown. Rises, on the other hand, express a speaker’s deference to the hearer’s better knowledge.
#### 2.3.1 Questions and linguistic action
Of all the materials reviewed, only [29] makes an explicit, systematic connection between linguistic action and tone, especially in the realm of “suasion”, extending beyond information exchange. Falling tones emphasise the knowledge dominance of the speaker, and this is used in conducive questions -acting as covert opinions-, guesses, denials, prompts, lead-ins to stories or jokes, second-repeats, and second-attempt questions, and recommendations.
On the other hand, rises are found in invitations, requests, and offers, deferring authority to the addressee [29, 30]. For Brazil [4] these goods-and-services questions carry rises when asked “for the benefit of the hearer”, whereas when it is the speaker who “gains” from the answer, fall-rises are preferred.
The review of materials above has revealed the following underlying assumptions: a) questions are generally instantiated as interrogative forms; b) the grammar of the question may define its intonational contour; c) the intonation of a question may also be contingent on social, attitudinal or informational concerns; d) the intonation of questions is somehow predictable, beyond the context of use. And, based on the scrutiny of the examples provided in these textbooks: e) questions are generally produced as one intonation phrase (IP), except for alternative questions, and those with a “non-final” level tone [22] followed by a final rising or falling tone. In the sections that follow, the applicability of these descriptions will be evaluated in one particular institutional form of talk: classroom discourse.
3. QUESTIONS IN “TEACHER TALK”
The singularity of the structure of classroom interaction has been widely described [1, 8, 9, 18, 19, 25, 26, 27]. The most popular model establishes that the classroom exchange is typically organised around three moves: Initiation, Response and Follow-up (IRF) [26], and these generally occur in whole-class “recitations” of information testing and recalling [20].
In a corpus study, Alexander [1] found that recitations were generally brief and that “teachers moved from one child to another in rapid succession in order to maximise participation, or from one question to another in the interests of maintaining pace” (p.99). Since teachers often know the answers [14], students have to “match the questioner’s knowledge, or fall within those parameters” [17, p. 286], which is why these are known as test [20, 21], recitation [8, 9, 20] or display [14] questions. Two other types can be established in terms of a possible “prescriptiveness” of the answer: questions to which there is no closed answer are called referential [14], or authentic [20, 21]; and uptake questions, that incorporate a student’s previous answer as a way of “facilitating the negotiation of understandings” [21, p.146]. Conversation Analysis (CA) studies have observed that these question-types cannot be identified as such until the Follow-up move [18, 19], as it reveals the teacher’s orientation to the students’ answer, which in itself uncovers how the student interpreted the question.
A second CA-relevant classification centres around teacher control in speaker selection and turn-taking, and divides questions into individual nomination questions, invitations to bid, and invitations to reply [17]. Individual nomination questions are addressed to a particular student, whereas invitations to bid are questions requesting voluntary participation; invitations to reply, on the other hand, allow students to freely self-select to provide the answer straightforwardly. In the following section, these categories will be cross-matched to the descriptions of questions above.
4. METHODOLOGY
For this exploratory study, a short corpus (33 minutes) of Key Stage 2 British classroom interactions was scrutinised. The 90 teacher-led elicitation tokens found were collected from 7 whole-class recitations acting as revisions, or lead-ins. The lesson segments were selected from two YouTube channels: LessonsinObservation [15], and MediaMergeLtd [16]. Both companies claim to have obtained informed consent for online publication.
In-keeping with the qualitative methodologies privileged in DA and CA, questions were classified according to the types already discussed, and coding decisions made after turn-by-turn analyses of sequential positioning in the exchange, student orientation, and teacher feedback. Consistently with other studies of social action, non-interrogatively formatted items acting as questions were also included, so the term “elicitation” will be preferred.
Each question was transcribed, divided into IPs and its tone contours were specified according to those described in British school of intonation [22, 32]: fall, rise, fall-rise, rise-fall, level. Impressionistic observations were validated instrumentally with Praat [3]. The initial exploration of data revealed the presence of type-conflated, multi-IP questions, which posed the need for further intonational detail, so the specification of IP numbers for each question, and the tone produced in each, were added.
Apart from qualitative analyses, basic inferential statistics were run in order to establish possible relations between terminal tone (i.e. tone in the last IP) and the different question types in the data.
5. RESULTS AND DISCUSSION
As expected, the data reveal several complexities that cannot be easily predicted by the above descriptions of question intonation. A selection of these issues will be addressed below.
A simple glance over the results might misleadingly confirm a straightforward relation between terminal tone and syntax, and with question type:selection, with a smaller likelihood of a connection between tone and question type:answer. However, statistics can be deceptive when these questions are seen in the sequential verbal and non-verbal context of their production, and in terms of the specifics of their formatting.
The fact that over half (57.8%) of the elicitations were produced as more than IP led to the problematisation of the role of terminal tone. Most questions were generally complex, made of an invitation to bid followed by a display question in the same syntactic structure, and these were also signalled with intonation: the invitations to bid had their own IP, with a fall-rise (58%), a level tone (25%), a fall (8.5%) or a rise (8.5%), and the upcoming display part of the elicitation generally carried a fall (92%), whether it was a yes/no, or a wh-question -including rear-loaded Wh-questions (Margutti, 2006 in [6]).
An examination of non-verbal behaviour also contributed to the questioning of the defining role of terminal tone. In some cases, the timing of anticipatory student bidding was found to be a marker of projectability, indicating that the function and content of the question were made relevant before the last IP was produced. This was also supported by teacher’s gaze direction as the question was being staged. Their monitoring of student bids and immediate nomination after the end of the question may render these final falls as markers of turn-transition, while the previous IPs with either fall-rising or level tones may have been employed to give students time to process the question and bid. Thus, in this respect, tones appear to bear an organisational role over any grammatical or attitudinal association, with falling tones “advancing” [27] the lesson. This makes sense with what has been described for recitations, where the teacher’s control over the whole class and the preference for progressivity are foregrounded [1, 8, 9, 20, 21].
What is more, Tench’s [29, 30] reference to knowledge dominance and the notion of “conducive questions” (also covered in [6]) appear to be better suited to the discussion of display questions, as it cannot be argued that falling tones mark these as truly “finding out” [5], unless we consider display questions as elicitations whose information gap lies in the teacher’s need to know if the topic is clear, or easily recallable [8]. It is clear, nonetheless, that except for the “businesslike” nature of these questions in recitation, none of the attitudinal labels proposed in the above materials seem to characterise these classroom elicitations.
Rising tones were frequently found in the few (19%) individually-nominated yes/no uptake elicitations. Even though these are concerned with already-negotiated information, it is not the teacher’s own “making sure” function that is expressed, but they are presented as invitations to check, correct, or fine-tune the answers given, symbolically “deferring” to the learner’s knowledge to try again. Some of these were formatted as closed alternative questions, following the rising + falling patterns described.
The only clear syntax-tone correlation occurred in level-tone declaratives, which were in fact designedly incomplete utterances [DIU, 19], acting as “fill in the blanks” invitations to reply, answered in unison.
6. FINAL REMARKS
The use and formatting of elicitations is distinctive in “teacher talk”. Situated studies of questions in different episodes of everyday social action can, and have shed light into characteristic tonality and tone patterns that can only be made sense of if they are embedded on a particular occasion of talk, and not on “context-free notions of grammar, meaning and function”[28, p.150]. As ELT materials have done for the teaching of grammar, lexis and structure for different written genres, the role of intonation as an essential part of meaning-making in speech needs to be taught in close relation to in particular episodes of situated language use and speech styles[11], with a focus on social action.
6. REFERENCES
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|
A Study of Play Across the Lifespan
by
Sarah L. Cosco
A thesis submitted in partial fulfillment of the requirements for the degree of
Master of Science
Centre for Health Promotion Studies
University of Alberta
© Sarah L. Cosco, 2017
ABSTRACT:
I explored how play and playfulness changed across the lifespans of an international sample of adults aged 18 to 70. My research study was informed by phenomenological methodology and used interviews as a means of data collection. Participants were recruited from a number of platforms, including a university graduate faculty, a play-based listserv, a play conference, and an international discussion forum. Eighteen participants were recruited from Canada, the United States, Germany, and Argentina. Semi-structured interviews were held in person, over Skype, or were written and emailed to me. Data was concurrently collected and analyzed thematically. The main themes yielded were, ‘play as exploration’, ‘wellbeing’, ‘play as serious’, ‘it is not what you do, it is how you do it’, and ‘stigma’. In general, play behaviours refined as participants aged, and followed a pattern of beginning as predominantly physical play, focusing more on social play during adolescence, and then further honing into social and emotional play during adulthood. Adults recollected more instances of playfulness as they aged rather than play. Play was shown to promote and facilitate wellness holistically across the lifespan.
This research contributes to the foundation of play research by examining the transitions of child to adolescence, and adolescence to adulthood, as opposed to maintaining age-group silos. While the research question is unusually large for a thesis, it provides the seeds of hypotheses for future studies on play. Results from the data were mapped on to the Wheel of Wellness to show how play influences holistic wellbeing.
PREFACE
This thesis is an original work by Sarah Cosco. The research project received research ethics approval from the University of Alberta Research Ethics Board, Project Name “From Childhood Memories to Adulthood Activities: A Study of Play”, No. MS3_Pro00038579, May 25th, 2013.
Acknowledgements
This thesis was built by the hands, words, love, memories and efforts of many people. From the nurturing guidance and endless support from my supervisor, Candace Nykiforuk, to the critical questioning and enthusiasm from my committee members, Jane Springett and Nancy Spencer-Cavaliere, this thesis was shaped and strengthened by their wisdom.
I must also acknowledge with immense gratitude—my participants. Your memories, dreams, laughter, and adventures spun this thesis into something magical. I cannot thank you all enough for allowing me to glimpse into your lives and listen to your joys, hardships, and everything in between. The spark of life in this research is born from the experiences you shared with me.
Lastly, my local support crew: Mom and Dad, for having my university fund set up before I even existed, my friends who helped me rally my energy in times of research-fatigue, the US Play Coalition, for giving me such precious access to other play scholars and becoming my home-away-from-home, David’s Tea, for all the late-night mugs, Google, for answering every question under the sun… ‘how to write a thesis’. My partner-in-crime, you know who you are, you are always game for the next adventure, and I am endless grateful that throughout this process you made sure I took time to play too.
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Abstract | ii |
| Preface | iii |
| Acknowledgements | |
| Table of Contents | iv |
| List of Figures | viii |
| List of Tables | ix |
| **Chapter One** | |
| 1.0 Introduction | 1 |
| Contemporary issues in play research | 2 |
| The Current Study | 3 |
| 1.1 Research Question and Goals | 3 |
| **Chapter Two** | |
| 2.0 Background | 5 |
| 2.1 Grounding Definitions | 6 |
| Leisure | 6 |
| Recreation | 7 |
| Active Play | 8 |
| Play | 8 |
| 2.2 Theories of Play | 13 |
| Natural Selection | 14 |
| Broaden and Build | 14 |
| Erikson’s theory of Psychosocial Development | 15 |
| Piaget and Vygotsky | 16 |
| Huizinga and Goffman | 17 |
| 2.3 Playfulness | 18 |
| Playfulness in Relationships | 18 |
| Broaden and Build Theory | 20 |
| Cognitive Reframing | 20 |
| Playfulness and Personality Traits | 22 |
| **Chapter Three** | |
| 3.0 Methodology | 25 |
| Study Design | 25 |
| Sample | 26 |
| Exclusion Criteria | 27 |
| Recruitment | 27 |
| Risks and Benefits to Participation | 28 |
| 3.1 Participants | 29 |
| 3.2 Data Collection | 30 |
| 3.3 Data Storage | 33 |
| 3.4 Data Analysis | 33 |
3.5 Positionality 34
Chapter Four
4.0 Results 37
4.1 Participant Definitions of Play and Playfulness 37
4.2 Main Themes 41
4.2.1 Play as Exploration 41
Testing Boundaries 42
Risk 43
Fairness 46
Sandbox 48
4.2.2 Wellbeing 50
Mental Health 51
Happiness (Positive Affect) 52
Mental Illness and Negative Moods 53
Balance 54
Social Connection 55
4.2.3 Play as Serious 58
Conscious Effort 59
Intensely Engrossing 60
Challenge 61
Competition 62
Play Style 65
4.2.4 It Is Not What You Do But How You Do It 69
Invisible Play 71
Structured and Unstructured 72
4.2.5 Stigma 83
Social Stigma 73
Over-Structure 78
Summary 79
Chapter Five
5.0 Discussion 81
5.1 Conceptualizations of Play 81
5.2 Play as Exploration 84
5.3 Wellbeing 88
5.4 The False Dichotomy of Work and Play 91
5.6 Play as Serious 92
5.7 Stigma 95
5.8 It Is Not What You Do But How You Do It 95
5.9 Summary 96
5.10 Reflections on Study Methods 96
5.10.1 On the Note of Memories 96
5.10.2 Interview Options 98
5.10.3 Limitations 98
Chapter Six
6.0 Conclusion and Implications for Public Health and Health Promotion 100
6.1 On Play and Wellbeing 100
6.2 Contributions to Research 101
6.3 A Parting Reflection 103
References 105
Appendices
Appendix A: Recruitment Letter and Bulletins 121
Appendix B: Information Letter 122
Appendix C: Consent Form 124
Appendix D: Written Interview Guide 127
Appendix E: At a Glance Tool 129
List of Figures
Figure 1 The Wheel of Wellness. Reprinted from “The Factor Structure of Wellness: Reexamining Theoretical and Empirical Models Underlying the Wellness Evaluation of Lifestyle (WEL) and the Five-Factor Wel”, (2004) by J.E. Myers, R.M. Luecht, and T.J. Sweeney.
Figure 2 Overlapping criteria found in definitions of play, leisure and recreation.
Figure 3 Feedback loops within Aune and Wong’s theoretical path model (Aune & Wong, 2002, p. 282).
Figure 4 Percentage of participants purposively recruited from different sites.
Figure 5 Coding structure for the theme ‘Play as Exploration’.
Figure 6 Coding structure for the theme ‘Wellbeing’
Figure 7 Coding structure for the theme ‘Play as Serious’
Figure 8 Coding structure for the theme ‘It Is Not What You Do, It Is How You Do It’.
Figure 9 Coding structure for the theme ‘Stigma’.
Figure 10 Components of the Wheel of Wellness facilitated by play.
Figure 11 How play facilitates positive affect, and encourages the broadening of both internal and external resources.
List of Tables:
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 1 | Definitions and criteria of play | 10 |
| 2 | A breakdown of the demographics of participants recruited for the study. | 30 |
| 3 | Breakdown of number of participants per interview method | 31 |
1.0 INTRODUCTION:
Decreasing levels of free play have been observed and recorded across the lifespan from young children (Singer, Singer, D’Agnostino, & DeLong, 2009; Gleave, 2009; Gray, 2011a) to seniors (Aronson & Oman, 2004; McCarville & Smale, 1993). This reduction in play is alarming given that play provides a holistic range of health benefits across the lifespan as well as contributes to happiness and well-being (Gray, 2009). While a set definition of play does not exist, the literature agrees that play is voluntary, self-directed, intrinsically motivated, fun to engage in, and is a means to its own end, done for its own sake (Gray, 2009; Alexander, Frohlich, & Fusco, 2014; Berinstein, & Magalhaes, 2009; Goldmintz & Schaefer, 2007; Eberle, 2014). When play meets these criterion, it is often called free play, or unstructured free play. Structured play, by contrast, is used to describe play that is organized by adults, for example, sports leagues, or children’s summer camp activities. Controversially, some argue that organized sport should not be considered true play, because it is not self-directed, but rather externally-directed (Kimiecik, 2016; Gray, 2009; Henricks, 2008; Perry & Branum, 2009). Play is a spontaneous event instead of a scheduled or planned activity (Alexander, et al., 2014; Berinstein, & Magalhaes, 2009; Gray, 2009; Goldmintz & Schaefer, 2007; Eberle, 2014). It is not bound by ‘free time’ (Shen, 2010, Shen, Chick, & Zinn, 2014): play is fluid and can occur in any context or environment as it is the manifestation of a mental state. The mental state, *playfulness*, is explored more thoroughly within the literature review (Chapter 2), along with a more thorough exploration of what play is and how it is defined. For the purposes of this thesis, references to ‘play’ include both structured and unstructured forms, whereas dialogue specific to a particular form of play will be labelled unstructured or structured play.
Unstructured, free play helps children develop a holistic range of motor (Graham & Burghardt, 2010; Mayfield, Chen, Harwood, Rennie & Tannock, 2009), social (Graham & Burghardt, 2010; Mayfield et al., 2009), emotional regulation (Gleave, 2009), and coping skills (Sutton-Smith, 2008; Fiorelli & Russ, 2012), as well as resiliency (Henricks, 2009), and increased physical fitness (Gleave & Cole-Hamilton, 2012; Mayfield et al., 2009). Free play also helps children understand who they are (Singer et al., 2009) and how they fit into larger communities and societies (Gleave, 2009; Gray, 2009; Henricks, 2009), as well as improve academic performance (Gleave & Cole-Hamilton, 2012; Sarama & Clements, 2009), build problem solving skills (Mayfield et al., 2009; Singer et al., 2009) and enhance creativity (Bergen,
During adulthood, play helps maintain physical fitness and increases quality of life (Lloyd & Auld, 2002; Magnuson & Barnett, 2013), provides sandbox environments to test ideas and beliefs (Goldmintz & Schaefer, 2007), maintains cognitive prowess (Power, 2011; Proyer, 2012; Goldmintz & Schaefer, 2007) and promotes social cohesion (Lloyd & Auld, 2002; Gray, 2009; Chick, Yarnal, & Purrington, 2012; Baxter, 1992).
Play is a pathway to releasing human potential in that it is creative in nature and the joy felt while in engaging in play becomes self-motivating (Twietmeyer, 2007). Play allows us to consider the possibilities, the ‘what ifs’ of life, and pursue them with our imagination in a sandbox-like play frame, allowing us to test our ideas and push our boundaries (Kohn, 2011). Seniors’ health could particularly benefit from play activities. As we age, health issues such as onset of chronic disease, loneliness, mental illnesses, specifically depression, and decreased senses and range of joint mobility all become concerns (Day, 2008). Play can help strengthen social bonds and decrease depression, and provide pleasurable opportunities for physical activity and involvement in the community. In order to encourage and maintain play – and its associated holistic health benefits – across the lifespan, it is then, therefore, necessary to better understand play across all age groups, not just during childhood.
There are currently two contemporary issues of concern in the realm of free play: free play is disappearing from the lives of children and adults, and research on play is still heavily weighted to exploring childhood, leaving the rest of the aging spectrum relatively unexamined. As free play has decreased in society, increases in mental illness (Gray, 2009) and sedentary lifestyles (Vitale, 2011) have been observed. The social and problem solving skills of children, as well as their creative capacities, have also seen decreases as opportunities to play have steadily diminished (Gleave, 2009). Sedentary lifestyles, increased stress levels, and social fragmentation are contemporary health issues that plague adults too overburdened to overcome them (Alexander, 2008; Magnusen & Barnett, 2013). Researchers across a range of fields including psychology (Brown & Vaughan, 2010; Gray 2009), education (Mayfield & Chen, 2009), health (McKenzie, Crespo, Baquero, & Elder, 2010; Vitale, 2011), and early childhood development (Frost, 1997; Frost, Brown, Sutterby, & Thornton, 2004) have collectively argued that diminishing free play has contributed to this range of health and social issues. While this body of research has identified the importance and usefulness of free play to holistic health and well-being, an in-depth exploration of play across the lifespan is still lacking. The oversight of
adult play, in particular, is a curious thing. We know that diminished play in seniors affects their ability to function and be independent, to maintain their social bonds and cognitive capacities (Gray, 2009; Yarnal & Qian, 2011; McCarville & Smale, 1993; Aune, & Wong, 2012; Magnusen & Barnett, 2013; Proyer, 2012). Young and middle-aged adults have these same problems, and play is just as important for them as it is for children and seniors (Gray, 2009; Goldmintz & Schaefer, 2007). There is also an interesting and significant knowledge gap in regards to adolescent play. Studies on adolescent play are few and far between (Staempfli, 2007; Caldwell & Witt, 2014; Pellegrini, 1994), however, limited research has shown that playful adolescents are more psychologically and physically healthy, with higher levels of self-confidence than their non-playful peers (Staempfli, 2007; Caldwell & Witt, 2014; Hess & Bundy, 2003), and that adolescents explore their social standing and hierarchies with their peers through play (Pellegrini, 1994).
The current research explores adult’s retrospective and current perceptions of play from their childhood to adulthood, beginning with adult recollections of childhood play and moving through time to note how play changes as they aged. Particular attention will be given to the value of play, and what lessons of life and cherished moments adults take away from their play experiences, as well as how adults perceive their current engagement in play. The ultimate goal of the research is to present a story of play (in the context of holistic health and wellbeing across the lifespan), its essence, what it looks like, where it occurs, what we get from play and how play colours our lives from childhood to elder hood. Given that extant research has shown a multitude of ways play facilitates health, knowing how play changes as we age may highlight opportunities to increase and encourage play across the lifespan. Across the lifespan there may be periods in the aging process where play is vulnerable. Knowing where those faltering moments are will provide direction to key target areas to continue engaging in maintain play from childhood to elderhood.
1.1 RESEARCH QUESTION AND GOALS:
Play is often studied within isolated age groups (e.g., early childhood, young adults), with children’s play given the bulk of attention (Magnuson & Barnett, 2013; Alexander, Frohlich, & Fusco, 2012). Childhood, adolescence, and adulthood do not have firm boundaries, where one falls asleep a child and wakes up the next morning an adolescent. Aging is a process, and people
mature at different paces (Woolfolk, Winne, Perry, & Shapka, 2008). Given that aging is not a series of silos, this research arose from wondering how play transitions through these life stages, in particular the grey areas of between childhood and adolescence, and adolescence and adulthood.
Beyond the basic descriptions of what play involves across the lifespan, this research questions the experience of play, what it feels like, what motivates it or hinders it, why we think we play, and whether or not this experience undergoes its own series of transitions as we age. In studying play across the lifespan, this research will begin to explore gaps left in current play research regarding the lived experience of adult play, and transitions between age groups. In sum, this research aims to explore the recollected experience of playing across the lifespan, constructed from memories of childhood and adolescence and reflections on adulthood, and examines these experiences within the context of holistic health and wellbeing. Thus, the specific research questions asked in this study are:
- How do adults recollect their play histories across different points in their lives?
- What do adults perceive to be the benefits of playing?
- How do experiences of play facilitate holistic health and wellbeing across the lifespan?
- Are there vulnerable points in play transitions across the lifespan?
2.0 BACKGROUND
This chapter begins by explaining some of the foundational concepts and models used to frame the study. Definitions of key concepts and a review of the literature will be presented.
Public health is defined as the deliberately structured measures taken to sustain and facilitate the health of populations via prevention (and intervention) of disease, promotion of health, and provision of conditions through which people can attain and maintain optimal health (World Health Organization [WHO], 1998). The World Health Organization’s definition of health is widely accepted and used by public health globally and is constructed as “a state of complete physical, mental and social well-being and not merely the absence of disease or infirmity” (WHO, 1998, p. 1). The concept of wellbeing is subjective, but Witmer, Sweeney, and Myers’ (1996) holistic model, the Wheel of Wellness encompasses theory and literature from a range of disciplines to create a wellness wheel focused on three life tasks (*work, love*, and *friendship*), two foundational tasks (*spirit* and *self-direction*), and 12 sub-tasks of self-direction (refer to the 'spokes' of the wheel depicted in Figure 1, and written below).
© J. M. Witmer, T. J. Sweeney, & J. E. Myers, 1996, reprinted with permission
Figure 1: The Wheel of Wellness. Reprinted from “The Factor Structure of Wellness: Reexamining Theoretical and Empirical Models Underlying the Wellness Evaluation of Lifestyle (WEL) and the Five-Factor Wel”, (2004) by J.E. Myers, R.M. Luecht, and T.J. Sweeney.
The life tasks outlined by Witmer et al., (1996), can be successfully met and maintained by the sub-tasks of *self-direction* that interact with one another and with life forces (for example *global events, government, education*, or *media*) to determine the wellness of an individual (Witmer et al., 1996; Myers, Luecht, & Sweeney, 2004). The model shows that the life tasks are met with personal resources of *cultural identity, stress management, sense of worth, sense of control, problem solving, creativity, emotional awareness and coping*, as well as *physical fitness*, and *nutrition*. The centre of the model contains *spirituality*, which encompasses a sense of oneness, positive affect, purpose, and values (Witmer, & Sweeney, 1992). The Wheel of Wellness’s attention to the faceted dimensions of health and wellbeing make it a model of holistic health, aligning it to WHO’s definition of health. The sub-tasks of the wheel are important because they provide the domains that can be matched to play behaviours, illustrating linkages between play and health. An example of such a link would be the sub-task of *problem solving and creativity*. This sub-task facilitates holistic wellness, and divergent thinking, which is essential to problem solving, and is nurtured through play. These linkages can also be used as justification for why organized bodies seeking to optimize wellness should likewise be interested in optimizing free play.
This section will: highlight research that illustrates how play contributes to the life tasks of wellbeing across the lifespan; describe theories used to explain the role of play; and provide a review of interdisciplinary literature focused on play. Prior to reviewing the literature, it is first important to distinguish between leisure, recreation, and play: three different concepts that are often mistakenly used interchangeably (Caldwell & Witt, 2011).
### 2.1 GROUNDING DEFINITIONS
Leisure can be defined as a form of time (free time) or type of activity, and is typically oriented around characterizing adult time and/or behaviour. Leisure activities are characterized as engaged in for relaxation, competition, or personal growth (Hurd, Anderson, Beggs & Garrahy, 2011; Dupuis & Smale, 2000; Watkins & Bond, 2007). Engaging in leisure activities involves a sense of freedom (as in personal autonomy and lack of barriers to participation), intrinsic motivation, positive affect, and perceived competence (Hurd et al., 2011). Dimensions of leisure as experienced and lived include passing time, exercising choice, lack of feeling evaluated, and achieving fulfillment (Watkins & Bond, 2007; Shaw, 1985). These experienced
moments of leisure tend to be phrased as reactions to situations, for example, a stressful day at work, or resisting obligations by making decisions on how to spend one’s time, and thus taking control over one’s life (Watkins & Bond, 2007). Interestingly, while definitions of leisure often tout its active engagement, lived experiences in research dating back to the 1950s have depicted passive leisure pursuits (Watkins & Bond, 2007; Shaw, 1985; Freysinger, 1995; Dupuis & Smale, 2000). Conceptualizations of leisure from phenomenological and phenomenographical studies included passive pursuits and were described as ‘doing nothing’, ‘take[ing] it easy’, or ‘being lazy’, often in response to the perception of having spare time (Watkins & Bond, 2007; Dupuis & Smale, 2000). This is a marked difference from play, which is always actively engaged (Gray, 2009; Bergen, 2009; Henricks, 2008) – either physically, emotionally, or intellectually.
The primary difference between leisure and play from Hurd et al.’s definition is that leisure is concerned with a particular outcome (relaxation, growth, etc.) whereas play is a means to its own end. Importantly, leisure is often conceptualized as bound by time, i.e., leisure time, which is seen as separate from work-time (Tribe, 2015). Play, by contrast, can occur in any context regardless of environment, and can layer over other activities, including work (Shen, 2010; Shen, et al., 2014). Some play scholars have concluded that leisure is neither a sufficient nor necessary component of play, given the fluidity of play across boundaries and environments linked to work, free time, and non-work responsibilities (Shen, 2010, Shen, et al., 2014).
Playfulness has also been found to have little to no correlation with what activities are pursued during leisure (Barnett, 2011). Barnett developed an instrument to measure playfulness in young adults, based on 15 descriptors of a playful person that were consolidated and validated in a previous study (Barnett, 2007; Barnett, 2011). In a follow up study, Barnett (2011) used both the instrument and a single self-reported indicator to measure the playfulness of a sample of young adults (Barnett, 2011). Barnett then took the mean of the participants and divided them into playful and non-playful groups, excluding participants who scored within 10% of the mean. Both non-playful and playful individuals were found to report the same level of interest in participating in activities such as sports, health and fitness, fine and performing arts and both outdoor and indoor activities (Barnett, 2011). What this finding demonstrates is that merely observing someone engaged in any particular activity will not indicate whether that person is playful.
Recreation as defined by Hurd et al. (2011; Tribe 2015) is an activity engaged in during free time that is enjoyable, morally acceptable to society as a whole, outcome-oriented, and meets societal needs. The differences between recreation and leisure include recreation being viewed as contributing to societal function, whereas leisure is typically aimed as contributing to individual function. While leisure pursuits may remain fairly stable, ‘acceptable’ recreational activities changes over time. This change is due to the evolving perception of what behaviours are considered ‘morally acceptable’, for example, dog fighting used to be a common recreational activity to engage in, now it is frowned upon and not seen as societally beneficial (Cross, 2008). The key differences between recreation and play are: that recreation is bound by time, in that it is only undertaken in free time (Tribe, 2015; Webster, n.d.; Hurd et al., 2011; Interprovincial Sport and Recreation Council [ISRC], 1987); that recreation is purposeful in nature; and that it is bound by societal-level rules of appropriate behaviour deemed beneficial to the public (ISRC, 1987). Other definitions of recreation are far narrower, describing recreation merely as activities engaged in during leisure, suggesting that recreation exists within the state of leisure time and nowhere else (Tribe, 2015). The following figure illustrates the areas of overlap between play, leisure and recreation:
Figure 2: Overlapping criteria found in definitions of play, leisure and recreation.
Recreation for children is often labelled 'play' as a form of framing, designating specific play behaviours as socially-acceptable behaviours engaged in for societally-beneficial outcomes (Alexander et al., 2012; Frohlich, Alexander, & Fusco, 2013; Alexander et al., 2014), Canadian public health efforts use ‘Active Play’ as a brand name for physical activity efforts aimed at children, where they define active play as including a mandatory physically active component (specifically as providing greater energy expenditure than energy intake) for the purposes of weight reduction and maintenance of physical health (Alexander et al., 2014; Active Healthy Kids Canada [AHKC], 2012).
Encouraging ‘Active Play’ is most often justified as a health initiative primarily aimed at preventing obesity, and to a lesser extent for child development (Anderson, Economos, & Must, 2008; Kimbro, Brooks-Gunn, & McLanahan, 2011; Hemming, 2007; Brockman, Jago, & Fox, 2010; Veitch, Salmon, & Ball, 2007). These health aims are public health goals (Burdette & Whitaker, 2005; Frohlich et al., 2013; Alexander et al., 2014), and as such, render activities promoting those goals to be purposeful activities. Further, Active Play initiatives are produced top-down, from institutions and adults down to children, and are not considered to be child-directed (Frohlich et al., 2013), which compromises Active Play’s potential to actually *be* free play (Gray, 2009). This does not mean that Active Play initiatives cannot be enjoyable, indeed, recreation is considered to be a pleasant means of filling leisure time. It simply means that Active Play initiatives should not be generalized as play, which carries the assumption that they are a means to their own ends, voluntary, self-directed, and invoke a feeling of joy.
The conceptualization of play is much like a labyrinth viewed through a kaleidoscope. There is no single definition. Different disciplines depict play in various lights, influenced by the theories prominent in each field. Henricks (2008) quotes the oft-mentioned Huizinga, a famous classical scholar of play, and cautions disciplinary scholars to “celebrate the diversity” (p. 157) of play rather than try to narrow it and risk losing the holistic nature of what play is. Despite the vast array of definitions outlining play, there are moments of agreement and the beginnings of structured, descriptive criteria.
One of the difficulties in defining play is that “play proves often a subtle, elusive phenomenon that seems to appear without notice and then disappear just as quickly” (Henricks, 2008, p. 160). Indeed, we often recognize overt forms of play when we see them, however defining and classifying play is far more complex. This complexity is in part because “play’s
distinguishing characteristics lie not in the overt form of the activity but in the motivation and mental attitude that the person brings to it” (Gray, 2009, p. 480). Without the ability to read minds, an individual could be playing without anyone around them even knowing. How then can play accurately be defined? One clue is already provided: by observing that mental attitudes and motivations are central to play, it has been established then that internal motivation is one characteristic that defines play (Bergen, 2009; Gray, 2009; Perry & Branum, 2009; Burghardt, 2010; Batt, 2010). Perhaps more obvious is a second characteristic, which is that play invokes joy or fun (Eberle, 2011; Bergen, 2009; Gray, 2009; Henricks, 2008; LaFreniere, 2011) and prompts positive attitudes in those who take part in it (Burghardt, 2010; Yarnal & Qian, 2011).
Continuing with the theme of play and the mind, play has been deemed an imaginative pursuit (Power, 2011; Batt, 2010; Nwokah & Graves, 2009) complete with mental rules that designate the parameters of the play experience - what is, what is not, and what is possible within this instance of play (Winther-Lindqvist, 2009; Perry & Branum, 2009; Eberle, 2011; Henricks, 2011). These rules lead to another characteristic—play as a phenomenon involving a shared understanding of a new reality constructed by the players (Bekoff & Pierce, 2008; Gray, 2009; Sarama & Clements, 2009; Eberle, 2011). The concept of a shared understanding revolves around the notion of play frames. When humans (and other mammals) play, they use special signals to create a contextual frame around their behaviours (Henricks, 2008; Bekoff & Pierce, 2009). All actions within this frame become play. The play frame, or play context, is maintained by repetition of play signals, such as bowing in dogs (Bekoff & Pierce, 2009), when children make statements such as, ‘This is pretend!’ (Nwokah & Graves, 2009), or the sly wink of a flirtatious adult; all of these actions serve to keep the shared play experience continuous. Put more poetically, “[t]o play is to create and then inhabit a distinctive world of one's own making” (Henricks, 2009, p. 159). The rules of these created worlds of play are crafted by the players and are fluid, changing with the changing of the play context (Winther-Lindqvist, 2009). The arbitrariness of rules is partly because of yet another defining characteristic: that play is equitable and fair (Bekoff & Pierce, 2009; Gray, 2009; Sutton-Smith, 2008). Rules are adapted to accommodate players of different skill ranges to better allow the full participation of all people involved (Perry & Branum, 2009; Bekoff & Pierce, 2009; Winther-Lindqvist, 2009). When in play, players are motivated to keep the moment of play going, and to do so, the players themselves must be kept in the game for as long as possible, which is achieved through creating
a level playing field so that every player has, more or less, an equal chance of winning or remaining in the game. Balancing play to create fairness is not limited to humans, it is a trait of play that is also seen in animals, underscoring how foundational shared understandings and rules are across play (Bekoff & Pierce, 2009).
The most important aspects of play are that play is voluntary and that the player is in control (Gray, 2009; Bergen, 2009, Perry & Branum, 2009; Burghardt, 2010). An individual who is forced to play is not really playing, they have not chosen to play nor do they have control over the activity assigned to them, so they are merely going through the motions as instructed of them. A common example of this is physical education class, where children are obligated to participate in sports and games as part of school. These two aspects are present in virtually every set of criteria for defining play (see Table 1). Control over play is seen as internal and is linked to internal motivation (Gray, 2011a; Kimiecik, 2016). When playing in groups, people share this sense of control, playing roles and democratically announcing rules (Henricks, 2009). Above all, the player must be able to choose when they play, what they play and importantly—when they will stop playing. If these requirements are not met, then the play is not truly voluntary (Gray, 2009). If players were forced to continue playing, then creating an equal playing field would be unnecessary for the perpetuation of the game, the necessity of shared understanding to forge the equal playing field would similarly be lost, and the play experience would unravel.
Table 1: Definitions and Criteria of Play
| Author (Date) | Voluntary | Self-Directed | Actively Engaged | Imaginative | Rules | Shared Understanding | Spontaneous | Fun |
|---------------|-----------|---------------|------------------|-------------|-------|----------------------|-------------|-----|
| Gray (2009) | x | x | x | x | x | | | |
| Bergen (2009) | x | x | x | x | | | | x |
| Bekoff & Pierce (2009) | x | x | | | x | | | |
| Henricks (2008) | x | x | x | x | x | x | | |
| Perry & Branum (2009) | x | x | | x | | | x | |
| Burghardt (2010) | x | x | x | | | | x | x |
| Henricks (2010) | x | | | x | x | x | x | |
| Bergen & | x | x | x | | | x | x | |
On the note of being actively engaged, some scholars have drawn on Csikszentimihalyi’s concept of *flow*, arguing that play often triggers a flow state of pure concentration (Henricks, 2008; Bergen, 2009; Gray, 2009). Flow, otherwise termed the ‘optimal experience’ (Csikszentimihalyi, 2008), describes a state whereupon challenge and skill intersect to create a moment so engaging that one becomes utterly immersed in their chosen task. This immersion leads to personal growth and development as to remain in the optimal experience, one must continue to challenge themselves and push their skill level higher and higher to meet the demands of the challenges they face. In order to maintain the balance of skill level and challenge, one must concentrate fully on the experience, to the point that one’s sense of time disappears and no other thoughts exist. The optimal experience is an enjoyable one, often ending with feelings of great satisfaction and awe of oneself.
Flow and play seem to be closely related, and often co-occur (Bergen, 2009). Both play and flow are intrinsically motivated and allow for exploration, challenge, engrossment, discovery, pleasure, and personal growth (Csikszentimihalyi, 2008). Play and flow can also occur across multiple dimensions and times, both are fluid and are likely to pop up nearly anywhere. Further, both play and flow involve an individual restructuring their experience to gain control over their situations and represent them in novel and engaging manners. Csikszentimihalyi (2008) conducted a study to see how often a group of 4,800 participants experienced flow, and where and what they were doing while immersed in their flow states. His methods involved pinging participants eight random times a day, and having them report whether they were in flow or not. In his findings, participants were more likely to experience flow while at work (54% of pings at work) rather than during leisure (18% of pings during leisure). These findings were explained by the nature of work—using skills to complete tasks (challenges), and the reality of leisure (often low-stimulus activities such as socialization, watching television, eating out, etc), in this comparison work activities were more likely to facilitate access to flow (Csikszentimihalyi, 2008).
Play and flow coexist, they are both fluid and dynamic, and can be experienced across social structures such as work-time (work-time including time spent on chores or other unpaid tasks) and leisure-time. While not every scholar defining play incorporates flow into their
conceptualization of being actively engaged (Burghardt, 2010; Perry & Branum, 2009), it is a trait that is commonly brought up across the literature.
Defining and conceptualizing play can be difficult, not only because some forms of play are not as readily apparent as others, but also because play is both a noun and a verb. Depending on a person’s play style, this may not be an issue—for them, playing a sport may actually be play. For others, playing sports is a task, non-play work, or an unfortunate aspect of mandatory gym class. This emphasizes the importance of checking in and asking individuals whether or not they feel they are playing, as it is necessary to disentangle what is play and what is recreation, or leisure, in order to better differentiate the three concepts. Play as a verb can also make searching the literature for studies on play somewhat difficult and tedious. For example, studies that involve participants playing sports may, or may not, be providing examples of play. Unless the research includes follow up with participants to ensure they are operating within a state of play, there is no way to tell whether the research is play-based or recreation-based. Merely knowing that a participant is engaged in a game of basketball, for example will not tell you whether they are playing or simply engaging in a sport. The experience of ‘play’ during the game must be identified as such and revealed by the players themselves as opposed to being taken for granted.
Some researchers have attempted to circumvent the ambiguity of the word play by instead using the term *ludic* to describe play activities. This term is not overly popular in play literature, and tends to only be used to refer to the most spontaneous forms of play and playfulness, making it a limited option for dispelling confusion.
In summary, free play is loosely defined as an action that is internally motivated, pleasurable to engage in, voluntary, imaginative, having rules, being equitable, and self-directed. How many of these characteristics need to be present in order for an activity to be labeled play has yet to be settled on, though the literature agrees that fulfillment of a single criterion is insufficient (Burghardt, 2011). Within these criteria for play, linkages to wellness are already apparent. Within free play, individuals are building their sense of control (recall the Wheel of Wellness sub-task of the same name), and the positive affect that is promoted through play can be assigned to the *spirituality* centre of Myers et al.’s Wheel of Wellness, which they describe as “the centre of wholeness is spirituality (e.g., oneness, purposiveness, optimism and values” (Witmer, & Sweeney, 1992, p. 140; Myers, et al., 2004).
Play facilitates the exploration of societal roles across the lifespan, and thus the wellness tasks of *cultural* and *gender identity* (Winther-Lindqvist, 2009). Much of play with young children involves negotiating rules, assigning identities and testing out different roles, allowing children to figure out who they are in relation to their peers and mimicking societal functions within their play time (Winther-Lindqvist, 2009). Exploration of social roles falls into two categories: orderly and disorderly (Henricks, 2009). Orderly play involves activities that, as the name suggests, create order, for example, turn-taking games, or dramatic games where children adopt social roles such as pretending to manage a household or go to work. This form of play explores the construction of society, enables people to find their place within society’s hierarchical structure, and reflects cultural values and realities (Henricks, 2009). Within orderly play, people learn and practice how to operate in society, how to cooperate, and how to function in a larger system. In contrast, disorderly play enables people to explore and to assume roles that do not reflect societal structure, cultural, or class norms. For example, children who live in very structured environments, with little control over day to day routines, might play pretend to be kings or overlords, experiencing total freedom and power, or create worlds of their own, designed as they please. An adult parallel to this example can be seen in the carnivalesque draw of amusement parks during the rise of industrialization, rejecting the peaceful pastimes deemed culturally appropriate by the upper class (Cross, 2008). An adult working in a structured, factory environment can seek release, thrill, excitement, and freedom through the fast-paced rides of an amusement park; they are granted power through choice of where to go and what to do. This has continued into modern times, with stilted corporate environments and the lure of casinos, clubs, and bars. In this light, disorderly play becomes a means of allowing the player (whether child or adult) to question authority and norms, and to reclaim self-control. As Sutton-Smith (2008) declares, regarding the disorderly nature of play, “It seems as if [people] are waging a war of sheer originality against conventional commonsense [*sic*] and righteousness” (p. 94).
**2.2 THEORIES OF PLAY:**
The role of play, its purpose or reason for existence, can be explored through multiple disciplines and theories. Each theory and discipline contributes to the different facets of play, exploring the complexities of play through a myriad of lenses. As noted earlier, academic
research has focused on play mostly in the context of the child, however, the study of play was first examined in animals using an evolutionary perspective.
Explorers and notable figures such as Darwin and Wallace focused on animal play as seen in a plethora of creatures from ants, sea creatures, primates, horses, and dogs, and contemporary researchers have carried on studying the play of mammals, reptiles, birds and insects (Burghardt, 2010; Brown, 1988, Burghardt, Ward & Rosscie, 1996; Siviy, 2010; Panksepp & Burgdorf, 2010; Vanderschuren, 2010). There is wisdom to studying play as it occurs in animals—insights gleamed from the play of other creatures aids in deciphering the evolution of human play (Burghardt, 2010; Vanderschuren, 2010). Over time, the vast spectrum of research conducted on animals soon narrowed to focus on creatures deemed intelligent, and play was studied merely as a means of survival skills acquisition (Burghardt, 2010). Survival of the fittest, or ‘Natural Selection’ (Darwin, 1872; Gray, 2011b), still has a forefront role in attribution to play (LaFreniere, 2011; Henricks, 2014); however, researchers from multiple disciplines are finding new value in this age-old and primal activity.
From a contemporary evolutionist perspective, play has evolved over time to aid in the development of healthy and fit bodies, the practice of social and cultural skills, the establishment of social bonds and knowledge of how to maintain those bonds, as well as the development of impulse control and regulation of emotion (LaFreniere, 2011; Erikson, Paul, Heider & Gardner, 1959; Woolfolk et al., 2008). Even the joy that play invokes serves to inspire children to begin to explore their surroundings, to test their abilities and react to spontaneous situations, preparing them for unexpected events (LaFreniere, 2011).
The feeling of joy or pleasure that is accompanied by much of play prompts consideration of Barbara Fredrickson’s Broaden-and-Build theory (2004). Positive affect, more commonly termed happiness, is more than just an uplifted mood. Happiness promotes open mindedness and encourages behaviours that result in building resources and achieving goals (Lyubomirsky, King, & Diener, 2005; Fredrickson, 2004). According to the theory, those who experience joy are motivated to play, and those who experience engaged interest are motivated to seek further knowledge or experience and to explore. Feeling content prompts us to savour, and experiencing love can motivate playing, savouring, and exploring because the individual experiencing love feels *safe* to broaden their behaviours (Fredrickson, 2004; Eberle, 2014). In the process of broadening (i.e., *playing* or *exploring*), a person acquires and builds personal resources, which in
turn increase their likelihood of success and happiness. In this theory, happiness (positive affect) is both an indicator, and facilitator of overall well-being. When we are experiencing optimal life conditions we feel happy, and when we feel happy we continue to behave in ways that broaden and build our resources (Eberle, 2014).
The Broaden and Build theory draws from the concept of *action tendencies*—actions that are prompted from emotions. A classic example of an action tendency is the fight or flight response to fear stimulus. When we feel fear we are motivated to act in either escape or defense. Negative emotions narrow our range of behavioural options in order to prompt quick-action. If the flight or fight response included seven other possible actions we may be harmed while still deciding how we should act. By only stimulating two responses we are able to initiate a specific action much more quickly and save ourselves from harm. In contrast to action tendencies, positive emotions do not produce specific actions, instead they open up a *range* of thoughts and behaviours and broaden the possibilities of action (Fredrickson, 2000). Thus, while negative emotions provide quick responses to situations that endanger our immediate survival and are an adaptive reaction, positive emotions are designated to activities that provide a long-term evolutionary advantage (Power, 2011). This advantage is maintained across the lifespan, but much of play theory and research hone in on the special properties of play during childhood.
The concept of play as influencing child development dates back to the philosophical dialogues of Plato, where Plato observed that how children played informed, and shaped, how they matured into adults (D’Angour, 2013). Children are strongly motivated to explore not just their social environments, but also their physical environments—including the bodies they inhabit (Woolfolk et al., 2010; Gleave & Cole-Hamilton, 2012). Physical development is facilitated through play as children run, jump, climb, test their strength and flexibility, and build their balancing and coordination skills. Erik Erikson (Erikson, et al., 1959; McLeod, 2013) weighed in on play in his psychosocial theory of development. Erikson’s theory notes that between toddler years and childhood, the stages of development navigated involve building skills and building independence. Physical play, therefore, helps children move about the world autonomously as they learn to walk, run, and grasp at objects without the help of an adult. Through play, children practice and perfect physical techniques and abilities. Play in children is often repetitive, and through this repetition children reflect and build from their explorations and experiences in a manner that echoes the recursive nature of Game Theory (Marks-Tarlow, 2010).
In game theory, each ‘round’ of the game is built upon the information gathered and events experienced in the previous round. In the same way, through play, children build the internal cognitive structures that they use to make sense of the world around them as they grow (Marks-Tarlow, 2010).
The exploration of the role of play in child development, no two theorists receive more attention than Piaget (Piaget, 1950; Piaget, 1999; Sutton-Smith, 2008, Woolfolk et al., 2008; Winther-Lindqvist, 2009) and Vygotsky (Vygotsky, 1978; Bodrova, Germeroth, & Leong, 2013; Winther-Lindqvist, 2009; Woolfolk et al., 2008). Both theorists approach play from a cognitive developmental perspective and argue that play is necessary for children’s learning (Henricks, 2008). While Piaget focuses more on children learning through play by testing their ideas about how the world works, Vygotsky’s arguments involve the presence of rules in play and how involvement of an adult during can accelerate children’s learning by means of scaffolding, observing the child playing and helping the child discover new challenges (Piaget, 1950; Vygotsky, 1978; Henricks, 2008). A particular distinction between Piaget and Vygotsky is that Piaget’s Stages of Development are befitting of a more biological, evolutionary perspective, whereas Vygotsky’s theories fit more with other social theories that depict play as a means of learning social order, such as Huizinga’s play-as-preceding-and-creating-culture, or the conflict-enculturation theory from Roberts and colleagues (Roberts, Arth, & Bush, 1959; Winther-Lindqvist, 2009; Lancy & Grove, 2011; Cross, 2008). Piaget’s theories were often cited in conjunction with descriptions of building mental, emotional, physical, and cognitive skills (Bergen, 2009). Vygotsky’s theories, in contrast, complemented discussions on the introduction of social norms, roles, identity creation and maintenance (Winther-Lindqvist, 2009).
Both Piaget and Vygotsky had opinions of social play. When in group play, children co-create meaning and experience, and in doing so they learn and grow together (Woolfolk et al., 2010). Vygotsky’s sociocultural theory explains that as children engage in social play they are building their cognitive development by constructing shared understanding of the world around them. While Vygotsky argued in favour of pairing children with adults or people of higher knowledge bases, Piaget argued in favour of peer-based learning (Woolfolk et al., 2010). The benefit of peer-based learning is that children create meaning together and learn from one another, expanding each other’s cognitive capacities in new and novel ways. Peer play gives children the opportunity to expand their development in social and emotional arenas.
Both Erikson (1959) and Freud (Lacan, 2010; Sutton-Smith, 2008) view play as a means of developing emotional regulation and reconciling emotions and fears, a sandbox in a sense, to confront and cope with adversary (Henricks, 2008; Elkind, 2007). Sutton-Smith (2008) agrees with this view in his own play theories, arguing that play is for “emotional survival” (Henricks, 2009, p. 12). These theoretical contributions to the role of play reinforce Gray’s (2011a) bold statement that lack of play is causing the rise in psychopathology seen in the past fifty years. Without opportunities to build coping skills, confront adversary, or exercise emotional regulation, children will be more vulnerable to mental illnesses. While these theorists grounded their work in the context of the child, play continues to serve by building and maintaining coping skills and sandboxes. This provision provides adults with a safe and non-threatening framework to explore societal structure, negotiate relationships, and confess feelings and fears in a realm where ideas can be tested before practiced in reality (Baxter, 1992). Detailed explanation is provided by Johan Huizinga and Erving Goffman, the final two theorists to be explored. Both see play as both constructing and deconstructing social and cultural norms, as a means of developing necessary social skills and as a phenomenon that is both built and framed.
Huizinga (1949), a play theorist who was more concerned with adults than children, and Goffman (1974), a famous sociologist, both theorize about the presence of separate contexts that can be applied to play (Henricks, 2009; Huizinga, 1949). Huizinga’s theories of play contain a ‘magic circle’ whereupon everything inside this circle is considered ‘play’ (Henricks, 2009; Huizinga, 1949). Similarly, Goffman’s theory of framing provides the understanding that play is framed as a space between reality and fantasy (Henricks, 2009; Henricks, 2011b). Within this separate space, normal behaviours and rules do not apply; instead, the created rules of play, as decided by the players, are the only rules upon which behaviours are judged (Goffing, 1974; Henricks, 2009). This freedom and flexibility allows for the deconstruction and reconstruction of social norms, cultural norms, social identities, as well as the reclaiming of self-control from societal structures. Again, this theme of play as a release and as a place of freedom and imagination is brought up, underscoring that play makes a poor site for social control.
In sum, this collection of theories highlight how play is foundational to health, and can help explain some of the patterns in which play changes as we age. The development of the child, physically, socially, emotionally and spatially, is honed and promoted through play. Within a play frame a child can use their imagination to create any scenario they need to practice
and develop their skills. The nuts and bolts behind these explanations can be found in neuroscience. Playing in enriched environments creates robust neural connections and prompts the growth of a highly complex brain with a better developed cortex (Diamond & Hopson, 1998; Rushton & Larkin, 2001; Brown & Vaughan, 2010). What is key from the original research on enriched environments and development conducted by Diamond in the 1960s (Brown & Vaughan, 2010), is that it must involve socialization and a diverse range of toys to tinker and puzzle over. Lack of socialization and access to playful objects results in the brain developing neural growth in fewer areas, as opposed to the holistic development seen in playful young mammals—animals and humans alike.
2.3 PLAYFULNESS:
Research on play in adults is considered to be an understudied area of inquiry and tends to be limited to play in the context of romantic relationships (Proyer, 2012; Baxter, 1992). Yet, recently there has been a spate of research that has started to look at play, in particular, *playfulness*, in a more holistic manner—analyzing how playfulness correlates with personality characteristics, how playfulness manifests in work environments, and the relationship between play and creativity (Chick, et al., 2012; Shen et al., 2014; Proyer & Ruch, 2011; Proyer, 2012; Proyer, 2013; Yanal & Qian, 2011).
In regards to relationship research, playfulness has been attributed to six functions that maintain and facilitate personal relationships, whether romantic or platonic. These functions of playfulness manifest behaviourally within the criteria of play, in that they involve voluntary practices, shared understandings, are engaged in for their own sake, and create positive affect, but playfulness itself is not studied within the criteria of play, it is seen as the mental attitude from which play spawns (Baxter, 1992). First, play becomes evidence of the intimacy and closeness between individuals. Second, play is a tool used in conflict management, providing both parties in a relationship a means of tackling sensitive issues within the safety of a play frame. Thirdly, play can be used to create a sandbox for communication to test how a partner may react to, for example, a declaration of love, a suggestion for a change, or to see how a partner may handle adversity (Chick et al., 2012; Baxter, 1992). Fourth, through play, partners can showcase themselves as an individual within the relationship dyad, or celebrate their pairing with one another through inclusive games, built with the shared understanding that occurs during
social play (Baxter, 1992). Fifth, play broadens the means by which partners and friends can communicate with one another, moving beyond simple verbal communication. Lastly, play promotes intimacy, becoming a foundation on which partners can build a relationship upon or deepen an already existing one (Chick et al., 2012; Baxter, 1992). When differentiating between romantic relationships and platonic relationships, Baxter (1992) found that romantic partners focused more on the *feeling* of playfulness that being with their partner created, whereas those in platonic relationships focused more on the manifestation of play activities they engaged in while with one another. While play is often seen as a light-hearted past time or state of being, it also contributes to serious functions of relationship maintenance and growth.
Aune and Wong (2002) furthered Baxter’s research, focusing on the creation of a theoretical model for play in romantic relationships. Their research built on Baxter’s *Forms and Functions of Intimate Play in Personal Relationships* (1992), and also previous research linking self-esteem, humour, and positive emotion to playfulness and relationship satisfaction. The results of Aune and Wong’s research showed individual partners’ self-esteem and use of humour promoted playfulness in their relationship, and that playfulness led to positive emotions and high satisfaction with one’s relationship (Aune & Wong, 2002). The theoretical model Aune and Wong constructed is seen in Figure 3, with feedback loops added (dotted arrows) to their original diagram to better illustrate the results as described in their research.
This model explains how individuals with high self-esteem and use of humour promote playfulness within their relationships, leading to positive emotion, which ultimately fosters
relationship satisfaction. Relationship satisfaction, in turn, generates positive emotion, which stimulates playfulness, and through playfulness humour is encouraged and the acceptance of playfulness bolsters self-esteem (Aune & Wong, 2002). Aune and Wong also comment that playfulness “can be considered from a dialectical perspective” (2002, p. 284). This perspective involves three oppositions that create the foundation for communication within a relationship: “autonomy-connection, novelty-predictability, and open-closedness” (p. 284). From their results, Aune and Wong concluded that play facilitates all three of these oppositions:
“Playful behaviours can allow an individual to stand apart, or remind partners of their bond; they can bring spontaneity and novelty into a routine pattern, or they can be a comforting reminder of the relationship’s history; and finally, play can facilitate disclosure, or can serve as a convenient shield, protecting the inner thoughts or feelings of a partner while still remaining connected” (p. 284).
These results, coupled with Baxter’s (1992) earlier research, demonstrate that play is a resource for both the maintenance and facilitation of relationship building. From communication to intimacy, play and playfulness bring people together and create a framework in which partners can experiment and express themselves in a safe manner, increase their relationship satisfaction, and feel more positive emotions. Given that humans are social creatures, and that social cohesion is a known component of health and well-being (Henricks, 2009), encouraging play as a means of helping people connect with one another could be a potential project or tool to help increase cohesion. This research also collectively showcases how playfulness in relationships builds the life tasks of *love* and *friendship* from the Wheel of Wellness. Aune & Wong (2002) also postulated that playful individuals might experience more positive emotions and relationship satisfaction due to their playfulness building their resilience, which allows them to manage conflict with ease, using humour and play. They recommended that future research examine the relationship between stress, coping, and playfulness to see if playful individuals experienced less stress.
The Broaden and Build theory can help answer the questions posited by Aune & Wong. Personal characteristics found to correlate with consistent positive affect overlap neatly with the personal characteristics that correlate with playful individuals. Confidence, self-efficacy, prosocial behaviour, optimism, healthy coping skills, and adaptability are among the characteristics listed as clustering with both playful individuals and those who experience positive affect (Proyer, 2012; Lyubomirsky, et al., 2005). In relation to coping skills, playful individuals exhibited a tendency to reframe situations to assess them as within their personal control, thus decreasing their perceived stress (Proyer, 2012; Sutton-Smith, 2008; Homeyer & Morrison, 2008). Reframing situations can involve turning a tense situation into a humorous situation, or looking at a situation in a new way that lessens stress, for example, seeing the positive side of a problem or treating it as a challenge instead of an insurmountable barrier. Fredrickson (2000) showed, in a series of laboratory studies, that individuals who experience positive affect directly after a negative experience are able to regulate negative emotions and promote cardiovascular recovery much more quickly than individuals who do not experience positive affect. Taken together, these findings help explain how playful individuals, who by their very nature are predisposed to feel positive affect more often, manage negative emotions by reframing situations in a manner that produces positive affect, and reduce the influence that negative emotions have on the physical body. By prompting positive affect, the playful individual broadens their thought and action repertoire and has greater access to more flexible coping skills.
Magnuson and Barnett (2013) conducted a study examining how playfulness might enhance one’s ability to cope with stress and found that, indeed, playful individuals are less likely to perceive adversity as being beyond their capacity to cope. As children, time spent playing allows for the safe tackling of stressors and adversities, which combined with the opportunities to assess limits and capacities within play, boosts children’s divergent thinking and coping skills (Sutton-Smith, 2008; Henricks, 2009). Magnuson and Barnett (2013) also found that playful adults are more likely to use healthy coping strategies in comparison to their non-playful peers, and that they used a similar reframing process to look at stressful situations in a way that made them less negative. This reframing process occurs during the initial cognitive appraisal when a stressor is encountered, where playful individuals can minimize the impact of a stressor by reframing it in a manner that yields to their cognitive resources and can be resolved. Playful individuals were also found to use coping strategies involving engagement with stressors in higher frequency than those involving denial or disconnect from problem. This finding is unsurprising, given that further research on personality traits that correlate with playfulness tends
to emphasize an internal locus of control coupled with a wealth of cognitive resources with which to actively cope and problem solve (Henricks, 2009; Gray, 2011a).
Traits found to correlate with low levels of stress also correlate with playfulness (Magnusen & Barnett, 2013; Fiorelli & Russ, 2012; Henricks, 2009; Proyer, 2012), raising questions about potential confounding of these constructs. If a trait such as self-confidence is correlated with low levels of stress and playfulness, and playfulness itself is correlated with low levels of stress, how do we know that it is not simply the self-confidence on its own that contributes to decreased stress levels? A detailed examination of the relationship between correlating traits highlights that traits work together and facilitate one another to become a defensive shield against stressors. A person that tackles tough emotional situations through dramatic play increases their confidence and mastery of emotional regulation. Their heightened capacity to handle tough situations then allows them to feel more confident in engaging future situations that prompt emotional reactions, for example. Playfulness is a seed that promotes the growth of stress-nullifying personality traits such as happiness, cognitive-emotional reframing (Magnuson & Barnett, 2013), divergent thinking (Fiorelli & Russ, 2012), social cohesion (Henricks, 2009), and creativity (Proyer, 2012). Through playfulness and play behaviours, these other traits are honed and maintained, feeding back into one another and perpetuating a mentally healthy outlook on life while building a variety of resources to use in the face of potential adversity.
Other personality traits and behaviours that seem to cluster around playfulness include intrinsic motivation, an inclination towards engaging in flow-states, emotional strength, higher intellect coupled with less self-restraint, creativity, spontaneity, positive attitude (Schiffrin, & Nelson, 2010), job satisfaction and high performance in the workplace (Lyubomirsky, & King, 2005), and innovative behaviour (Proyer, 2012). In a series of studies conducted by Proyer (2012), measurements of playfulness were correlated with: the Big 5 personality characteristics (openness, extraversion, conscientiousness, neuroticism, and agreeableness); gelotophilia (people who like to be laughed at), gelotophobia (people who are scared of being laughed at), and katagelasticism (people who like to laugh at others); and, the *Orientation to Happiness* scale, which assesses whether people are drawn more to a life of pleasure, a life of engagement, or a life of meaning. The results of these studies help illustrate how playful people come from a variety of orientations, and demonstrate different *styles* of playfulness.
Facets of playfulness that correlated with measures of personality included the following combinations. Participants who scored low in silliness, but indicated that they liked having fun, scored higher in the Big 5’s trait of agreeableness (Proyer, 2012). Participants whose playfulness manifests in creativity also scored high in the Big 5’s trait of culture, emotional stability and conscientiousness. Silly and spontaneous preferences in play were matched by lower scores in conscientiousness. Overall, higher scores in playfulness was associated with lower fear of being laughed at, and higher scores in both enjoying being laughed at and laughing at others. In terms of orientations of happiness, playful people were found to have high correlations with both a life of engagement and a life of pleasure (Proyer, 2012).
Proyer’s series of studies found that playful adults were highly intrinsically motivated, and held high expectations that their goals would be achieved (Proyer, 2012). Alongside these findings were low scores in extrinsic goals, coupled with low expectations of extrinsic goals manifesting. Proyer summed up his series with the following portrait of a playful person, “the prototypic playful adult can be described as being extraverted, low in conscientiousness, open, gelotophilic, agreeable, following intrinsic life goals with extrinsic goals of being of low importance (and their likelihood to occur is also lowly valued), an endorsement of a pleasurable and engaged life and having both high self-perception of the own ability to be genuine” (Proyer, 2012, p. 120).
Taken together, experts describe the playful adult as one who is instilled with a cluster of wellness-promoting personality traits such as confidence and a disposition towards active coping skills, and is oriented towards seeking happiness. *Sense of humour* is a sub-task of the Wheel of Wellness that is likely to be met with ease by the playful adult. The subtasks of *sense of worth* and *sense of control* are also within the grasp of the playful adult, as they are more likely to be emotionally stable, have positive relationships with friends and romantic partners, and have developed the ability to reframe stressful situations into silver linings.
Research on adult play has honed in on the personality trait *behind* the manifestation of play behaviours. While playfulness research helps clarify what playful people look like and what behaviours and other personality traits can be expected of them, it continues to leave gaps in the overall body of play literature. Areas that require more light include every day occurrences of play, how playful people define play and playfulness, and how aware are playful people of the benefits of play? What benefits do they perceive they reap from their playfulness? Is playfulness
a conscious decision? An exploration of a possible darker side of play has also been urged by researchers as well as delving into the exploration of more intellectual playful pursuits (Proyer, 2012). This research study explores the gaps present in the literature by casting a net of inquiry around play across the lifespan. The everyday play –the play of children, adolescents and teens, adults and seniors– and the perceptions of participants on play and how playing influences their life are teased apart to shed light in the darker corners of play studies.
3.0 METHODOLOGY:
Study Design:
This study utilized a qualitative approach, informed and bolstered by phenomenological values such as bracketing and deep, rich data. Phenomenology stems from the ‘epistemology of idealism’, which considers knowledge to be a product of social construction and both accepts and values subjectivity (Ajjawi & Higgs, 2007). Phenomenological research methodology was the best fit with the proposed research questions because it allowed for the capturing of complex life experiences from multiple understandings and perceptions (Ajjawi & Higgs, 2007). Play is a phenomenon experienced by children, adolescents, and adults (Gray, 2009). Thus, the study of play as a human experience is congruent with the philosophy and methods of phenomenology. The features of phenomenological methodology include exploring the lived experience, bracketing, and interpretation of the experience of a phenomenon that is sub-conscious, or taken for granted as every day (Ajjawi & Higgs, 2007; Ritchie, Lewis, & Elam, 2003), as is in the case of play. The importance of bracketing, in this particular study, was to put aside the academic perception of play and allow a new understanding to develop from the data itself (van Manen, 2007).
Phenomenology demands rich data and is less concerned with generalizability than with discovering the lived experience of a select group of people, or even a single individual (Smith, Flowers, & Larkin, 2009; Ritchie, Lewis, & Elam, 2003; Mason, 2010). The intent of the research was to achieve depth, rather than breadth, and so even a small sample size would yield a large amount of rich, detailed data to be analyzed. Research in phenomenological methods suggests that sample sizes between 2 and 25 participants are average (Smith et al., 2009; Ritchie, Lewis, & Elam, 2003; Mason, 2010; Berinstein, & Magalhaes, 2009), but that ultimately, recruitment should continue until saturation is accomplished.
There are several sub-branches of phenomenology, including transcendental, realistic, and existential (Linsenmayer, 2011). Each of these sub-types has a specific focus, embedded values and philosophies, and limitations that were considered when designing this study. Instead of subscribing to one of these subtypes, a more fitting strategy followed the interpretation of phenomenology by Max van Manen. Van Manen’s (1990) take on phenomenology is a blend of interpretative and descriptive phenomenology, which collects pure experience, describes it, but also interprets it by incorporating the layers of social and structural influence present in the
dialogue, as well as acknowledging the role of the researcher, and reflecting, in the process of research. This decision to not lock the research within the confines of a precise method is backed by the German philosopher Heidegger (1988), who declared that there is no such thing as a single phenomenological approach. Van Manen furthers this thought by adding, “Phenomenological method, in particular, is challenging, because it can be argued that its method of inquiry constantly has to be invented anew and cannot be reduced to a general set of strategies or research techniques” (2006, p. 720). To incorporate both of these research perspectives, the study design utilized for this research was kept as flexible as possible, while maintaining the values of phenomenological approaches to guide the research process.
**Sample:**
This study aimed to interview adults in order to capture the transition of child-to-adult play experiences. Thus, the minimum age of inclusion was 18 years old, as it is the age of adulthood in Canada, and earliest ‘instrumental’ age at which a participant could recollect the child-to-adult process of aging. The study aimed to collect a wide variety of participants with diverse backgrounds, and so adults of any gender, sex, ability, health status, marital status, and countries or origin were welcome, provided they met the age requirement, were fluent in English, and had an internet connection, which was used for data collection and correspondence. Phenomenological methodology attempts to discover the structure of an essence (van Manen, 1997), and in this study I sought the structure of the essence of play, as it changes across the lifespan, with attention to whether the presence of play influences health. Given that culture also has a structure (Parsons, 1968), I felt that it was necessary to sample cross-cultures in order to tease apart the structure of play from the structure of the culture the play is experienced within. A diverse sample could yield evidence that a cross-cultural structure of play has been discovered, whereas a homogeneous sample could be confounded by the cultural structure the participants reside in. The conceptualization of ‘culture’ is used broadly in this study to denote the culture of locality, geography, ethnic background, gender, or hobby-based community (e.g., the culture of scrapbookers). An international sample was also used to contribute to triangulation of findings, under the belief that if participants from a variety of backgrounds reached the same conclusions and expressed similar experiences, then the likelihood that an essence of play had been discovered would be stronger (Ritchie, et al. 2003).
Exclusion Criteria:
The study excluded people under the age of 18, because they are not considered adults in Canada and this study specifically focuses on the full transition of child to adult, if only bureaucratically defined. People who are not fluent in English were excluded because English is the researcher’s native (and only) language, a translator was beyond the research budget, and there were multiple ethical concerns with interviewing people with a first language other than English *sans* interpreter, such as gaining truly informed consent and genuine representation (Koulouriotis, 2011). This study also excluded international participants without an internet connection because an internet connection was necessary for data collection and correspondence. Thus, institutionalized members of society (such as seniors in care facilities) were unlikely to be reached by any of the recruitment strategies described below.
Recruitment:
Participants were recruited purposively via fliers and an email newsletter sent through the Graduate Student Association at the University of Alberta. Further recruitment occurred online, targeting an international discussion site covering a broad range of topics (psychology, world politics, social relationships, etc) as well as an international play listserv attached to The Association for the Study of Play, in-person at a US conference focused on play, and once more online within a Canadian group page comprised of women that focused on a range of hobbies and pastimes. The intention behind recruiting from multiple locations was to achieve a sample of diverse individuals who engage in a variety of play activities and have a variety of different backgrounds.
Recruitment letters and advertisements were used for online recruitment and were posted with permission to the forum, group page, and listserv. These advertisements contained a small summary of the study and included the contact information of the researcher (Appendix A). Participants were responsible for contacting the researcher by phone or email for more information about the study or to volunteer. After doing so, participants were given the Information Letter that contained the details of the study and were encouraged to ask questions (Appendix B). Participants were screened by age and fluency in English by the researcher and notified within two weeks to schedule an interview if they fit participant criteria. Participants
that met the inclusion criteria and still wished to participate were asked to choose their preferred data collection method, as outlined in the next section.
I recruited from several online communities in which I am a participant; my justification for using these sites is that I have belonged to the community long enough that the owners of the sites trusted the legitimacy of my study, which facilitated access to community members (Ritchie et al., 2003). My relationship with individuals on these sites is ‘fellow community member’. The forums and groups I recruited from all have specific sub-forums or posting-protocol for announcements, requests, essentially ‘off topic’ posts, and within the culture of the online forum it is known that all participation and requests are entirely voluntary, and can be completely ignored if non-participation is desired. I was explicit in my recruitment post that there is no obligation to participate. As I did not specifically seek any one particular participant, there should be no feelings of being targeted or pursued. I chose not to target groups or forums where I am considered a core, influential member of the community, and thus I did not have bonds with any of the other members that might stimulate feelings of obligation. Instead, I opted to target platforms where I was anonymous, but present for long enough that fears of being spam or untrustworthy were unlikely to be barriers to participation. With the presentation of the Information Letter, containing my personal information and that of the University of Alberta’s Research Ethics Board, participants and forum and group owners were assured of the legitimacy of this project.
**Risks and Benefits to Participating:**
There was a low risk of participants feeling negative emotions associated with play experiences. Participants were made aware, throughout the research process, that they did not have to answer any questions they did not want to, without giving reason, and that they could cease participation at any time. Given the loose structure of the interview guide, and the encouragement of storytelling, participants had full control over what experiences they chose to disclose. No participants reported feeling distress, and through the recollection of memories, many participants reported feeling joy and positive nostalgia throughout their interviews. The research project received research ethics approval from the University of Alberta Research Ethics Board, Project Name “From Childhood Memories to Adulthood Activities: A Study of Play”, No. MS3_Pro00038579, May 25th, 2013.
3.1 PARTICIPANTS
Once ethics approval had been granted, eighteen participants were recruited in order to achieve saturation, complying with the average sample size of 15 as recommended by the literature (Smith & Osborn, 2007; Mason, 2010). Once saturation was reached (see Analysis section for details), recruitment of participants ceased. Recruitment began in August 2013 and continued through to June 2014. Interviews and data analysis were also conducted during this period of time. The recruitment process began with four participants sampled from the Graduate Student Association and the international discussion forum, in August of 2013. As interviews were transcribed and preliminary analysis began, further recruitment from these two sites yielded two more participants. A brief hiatus from recruitment occurred in November to December of 2013, allowing the researcher to transcribe and analyze data, and assess progress towards saturation. By December 2013, the age-range of participants was still quite narrow, with the eldest participant being 36 years of age and the youngest being 21. Recruitment continued in January 2014, and four more participants were engaged by mid-February through the discussion forum and the play conference noted earlier. The month of March 2014 was spent transcribing and assessing the data for saturation, with recruitment of participants from a play listserve yielding seven more participants by May 2014. The last two participants volunteered during June 2014, bringing the total number of participants to 18. After the data had been fully transcribed, no new codes emerged after the 15th participant, however, a deepening consensus and richer vision of the experience of play was built through the inclusion of the remaining participants.
The participants included 13 women and 5 men, spanning the ages of 20 to 70 years old. Participants were recruited from four platforms, as shown below in Figure 4, and resided in 5 different countries located on three continents, as can be seen in Table 2.
Figure 4: Percentage of participants purposively recruited from different sites.
Table 2: A breakdown of the demographics of participants recruited for the study.
| Sample Characteristics: | n= | Country | n= |
|-------------------------|----|-----------------|----|
| Age: | | | |
| 20-29 | 6 | Canada | 7 |
| 30-39 | 4 | USA | 8 |
| 40-49 | 3 | Romania* | 1 |
| 50-59 | 3 | Argentina | 1 |
| 60+ | 2 | Germany | 1 |
| | | *Participant moved to Canada during adulthood. |
| Sex: | | | |
| Male | 5 | | |
| Female | 13 | | |
| Total # | 18 | | |
3.2 DATA COLLECTION
Prior to data collection, written or verbal informed consent was sought from all participants, depending on mode of interview. For face-to-face interviews and written interviews, written consent was sought (see Appendix C for consent form). For online (i.e., Skype) interviews, verbal consent was sought. The researcher reviewed the Information Letter with the participants and time was granted to address questions and concerns. Consent was documented by means of written forms and recorded, explicit oral consent. This documentation is kept in a private, locked cabinet only accessible to the researcher. Place and people names
were omitted or modified in order to ensure confidentiality. Identifying information that has been retained included age, sex, and country of origin, however, care has been taken to render all other details vague so that participants cannot be identified. Participants were told that they may leave the study at any time with no consequence, up until the final draft of the thesis was submitted.
Data was collected through in-person, Skype, or phone-based semi-structured interviews. Interviews lasted one hour, on average, and in-person interviews were conducted on university campus and within a secure conference centre. Written stories and interviews provided a second means of data collection, and participants were asked to choose their preferred method of providing their information. Written interview questions were sent electronically to participants via email. Participants who asked for a written interview, but did not return the completed interview within a month were contacted by email to see if they still wished to participate. After two re-contact attempts were made, participants whom had still not responded were considered disinterested and no further attempts were made to contact them.
Using a variety of interview options facilitated participants’ preferred means of self-expression. Subsequent interviews or questions were requested by the researcher on three occasions in order to clarify participant stories where participant age was not mentioned, when an activity was mentioned that was unfamiliar to the researcher, and for further probing on how retirement affects play.
Most of the participants opted for the written interview, however, all the methods offered (i.e., written, phone, Skype and face to face) were taken up across the participants. The breakdown of method used by number of participants (each participant chose one method only) can be seen in Table 3.
Table 3: Breakdown of number of participants per interview method
| Interview Method | n= |
|------------------|----|
| **Written** | 11 |
| **Face to Face** | 4 |
| **Skype** | 2 |
| **Phone** | 1 |
| **Total** | 18 |
Differences in data did emerge across the various interview styles. In general, it was found that interviews conducted via face to face, phone, and over Skype contained very positive accounts of play experiences, whereas written interviews yielded data that encompassed a broader range of emotions, including negative experiences as well as positive. It may be that participants felt safer confiding negative emotions in their written interviews given the added anonymity of not being able to see the researcher or hear the researcher’s voice, or simply had more time to compose their thoughts and reflect on their experiences, however these are speculations. Written interviews also seemed to make it easier for participants to choose whether they answered the interview questions one at a time, or as a story.
Storytelling is a means of sharing an experience in a holistic manner that accepts all sensory input, reflection, the reliving of a moment, and the possibility of probing into an experience from multiple angles (Benner, 1994). Storytelling allows for the presentation of a rich context that can be shared with the listener (Benner, 1994; Ritchie, Lewis, & Elam, 2003). Other qualitative methods that rely solely on description would not capture the reflection of play, or the value of play as seen from the perspective of the participant. Given that phenomenology opens the door to capturing complex phenomena, a data collection method that provides flexibility to study complex phenomena must be chosen, and storytelling through a loosely-guided interview met that criteria.
The semi-structured interview was generally broken into three parts: first, a recollection of childhood play experiences with attention to the places, the feelings experienced during play, the social structures of play, risky play, and particular memorable moments. The interview then transitioned to asking questions exploring becoming an adolescent and how play manifested during teenage years. The third part of the interview focused on the adult experience of play-- is it overt or covert? Does young adult play differ from older adult play, (and do recollections differ from current experiences)? What does it look like, feel like, what are the facilitators or barriers, and so on. The intent behind the structure was to create a dialogue that showed how play changes as we age (if it changes at all), with probing questions that explored experiences more deeply and allowed for transition periods to be discussed.
The interview guide (Appendix D) was reviewed by two experts in the field of play and was piloted with two participants of different ages, and then critiqued for flow, comprehension, and face validity. The interview guide was used for all methods of interviewing. Verbal
interviews were recorded with participant permission and transcribed by the researcher using Express Scribe software, using continuous line numbers to facilitate coding.
3.3 DATA STORAGE
Interview files and transcriptions were stored on a private password-protected computer that only the researcher has access to. A password-protected Master List that links data files to participants is also stored with the interview files, and is viewable by the researcher. Anonymized transcripts (participant names and locations removed) were hosted on a secured, private cloud storage server during the analysis and write up stages of the study production due to the researcher and supervisor being located in different provinces while needing to collaborate. Data (interviews and transcriptions) will be kept for a period of five years post study completion, after which they will be destroyed, completely wiping them off the hard drive.
3.4 DATA ANALYSIS
The data analysis ran concurrent to data collection to facilitate immersion in the data, and participant recruitment until data saturation was reached. Total immersion within the data is necessary to produce a detailed and thorough representation and analysis of the phenomenon as lived by the participants (Offredy & Vickers, 2010), both across the data set and within each individual interview. Following Kleiman’s (2004) analysis protocol, the interview transcripts and written interviews were first read entirely, without coding, in order to grasp the whole of the interview, and then again to begin the collection of separate themes and to start coding (Offredy & Vickers, 2010). Data was coded inductively and iteratively to allow for the creation and recreation of themes. The researcher coded by hand as opposed to using software, a personal preference of the researcher, and a codebook was created to render the coding process transparent as well as for organizational purposes (Saldana, 2012). A layered coding approach was taken where codes were formed first as overall impressions of the interview as a whole, also known as Initial Coding (Saldana, 2012), then at the paragraph level, and then using a line by line approach. Codes were constructed in terms of both description and interpretation (Saldana, 2012), making the coding process consistent with the blend of interpretive and descriptive data analysis used (van Manen, 1990). Codes that formed patterns were arranged into categories and then analyzed to discover conceptual themes, both within and across interviews (Saldana, 2012). In order to assess patterns across interviews, an ‘At a Glance’ tool was created to map out
similarities and differences (Appendix E) by listing codes in a check-list type fashion (e.g., present in the interview or not present). This allowed an immediate visual presentation of which codes came up most often, and which were isolated to a single participant. This visual representation was used to identify the most universal codes across participants, and to capture overall patterns, for example, the narrowing of play behaviours as participants grew into adolescents.
Analysis of the codes, and interpretation and writing of the analysis, were similarly rewritten and re-formed as new trends emerged and as coding underwent refinement (Fereday & Muir-Cochrane, 2006; Saldana, 2012). The transcripts were read and re-read during the iterative analysis process to develop, refine and recreate themes until the essential meanings, the universal patterns, and the general structure of the phenomenon were discovered (Offredy & Vickers, 2010; Howitt & Cramer, 2008). The data was revisited once more to confirm the findings of the analysis, and examples of the phenomenon’s essence and structure were pulled from the interviews and woven into the analysis to verify the findings (Offredy & Vickers, 2010).
Reflections written during and after each interview by the researcher were considered for coding (Saldana, 2012). This was necessary because the first research question posited asks *how* do adults recollect their childhood experiences. Field notes, or jotting, while undergoing the interviews captured observations such as excited facial expressions, laughter, perceived feelings of nostalgia, and the researcher’s immediate thoughts, for example. Further thoughts were recorded after the interviews had finished, or the researcher had finished the initial reading for written interviews. After an initial write up of the analysis, the themes and categories created were reviewed by another member of the research team for overlap, gaps in the analysis, and overall data integrity. Bracketing continued during the coding process, and so no theories or literature were used to frame the coding procedure. Once coding was complete, the Wheel of Wellness was used to map the avenues in which play influences health and wellbeing.
3.5 POSITIONALITY:
To give the reader a better understanding of where I stand as a researcher and as the interviewer, I conducted this study in my late 20s to early 30s, I am told I appear feminine despite my identification as androgynous, I am white and I come from a middle-class Canadian family. My political leanings slant towards a medley of socialist, liberal and green orientations. I was raised, and still am, a Unitarian Universalist. I do not want to assume how this collusion of
variables may have affected my participants’ willingness to divulge information to me. I did not perceive at any time that I had power over any of my participants, in truth, I did feel several times, particularly with my older participants, that my identification as a student served to place me in a position of *eager learner* as opposed to a leader or guider of interviews.
While knowledge may be co-created, I did do my best to keep as much of *me* out of the interviews as possible. My intention was to listen and seek as many details from my participants as I could without steering them in any forced direction, so that they would be able to tell me any story of their choosing, not of my prompting. I confess my excitement over the occasional shared experience did overcome that intention several times, but I would like to think I reined myself in before my thesis could become an autobiography. I experienced both being an insider and an outsider in regards to my participants, in that some of my participants come from similar backgrounds to me (growing up in a small town, pre-internet, for example), and others lived lifestyles so different to me that I had no experiences of my own to relate to their stories.
The mixed-methods in interviews adds complexity to my positionality relative to my participants, in that only some of my participants ever saw me, some only heard my voice, and most of them never heard nor saw me. Most of my participants opted for a written interview, and as such their only interaction with me was via text. For those participants, they knew my name, sex, my location, that I was a student and that I had an interest in play.
In terms of research inquiry, I consider myself a constructivist, believing that knowledge is created through human experience, perception, and socialization, and is thus, subjective. My academic background is also a mixture, primarily of social sciences, though I harbour a deep love for biology. My two main backgrounds are in linguistics and public health, though I consider myself a play scholar, and feel I belong to the interdisciplinary field of play. This is important, as there are particular values of public health and health promotion that do not necessarily align with those values in the field of play. Social control, and the aesthetic of health as promoted by public health and health promotion, for example, are aspects of population health that conflict with encouraging play. Health promotion will encourage a population to eat particular foods in particular amounts, public health will encourage a population to uptake certain behaviours to prevent disease and disorder. In play, the emphasis is typically placed on having the freedom to do whatever you wish, and whatever you wish may involve illicit drugs, promiscuous sex, or having ice cream for breakfast. When these values collide, I find myself
agreeing with those in the field of play over that of the field of health promotion or public health. It is a reluctant separation, and an awkward one, given that I am currently a student in a school of public health, but the more I research play, the more I feel that public health’s involvement in play is a poor choice, and the more I am driven to align myself more fully with other play scholars. It was easy to withhold the values of health promotion and public health during the research process given that I do not agree with them in the context of play, though it does call into question whether I can critique public health’s involvement in play from an unbiased point of view. I did pause mid-study to question whether my disagreement with public health stemmed from ideology or science, and I do think my opinion is informed by research, however I realize I may be biased and am perhaps critiquing too harshly.
4.0 RESULTS
The data yielded five main themes and one main barrier to play. Each theme will be presented beginning in childhood and moving towards adulthood. For the purposes of this research, and in the spirit of bracketing, I did not use a set definition of play. Instead, I decided to tease apart what play was to my participants by analyzing their experiences and seeking commonalities. Many of my participants defined play on their own without prompting, but other participants struggled to match a definition of play to the wide variety of their own experiences. Further, as participants talked about the evolution of their play they often transitioned from describing play experiences in childhood and adolescence, to playful experiences during their adulthood. Therefore, it is necessary for the presentation of study results, to both define play and playfulness, as they are not quite the same.
4.1. PARTICIPANT DEFINITIONS OF PLAY AND PLAYFULNESS
Most often, play was defined synonymously with “fun” or “just for fun”, with the majority of participants reporting that play also had to be serious. Seriousness was a point of contention, where other participants felt that seriousness negated play, but I also noticed that ‘seriousness’ could mean being very focused and engrossed in play, in which case it was certainly part of what play is and commonly described as Flow (Csikszentmihalyi, 2008). Playfulness, by contrast, was a mood that was also fun, but did not necessarily have to be serious, and was more often considered to be “light-hearted”. Participant 16 articulated definitions for both play and playfulness:
P16P29: (Female, 38, Canada)
I see there being a difference between play, playful activities, and playfulness. Play, in its purest form is when an individual is engaged in an experience that for them is all encompassing, enjoyable, and has no specific purpose or goal in/of itself. Playfulness is more a disposition or approach to make anything play or playful.
In discussing play during teenage years, Participant 4 reflected that there was an absence of play, which she described as a lack of doing things ‘just for fun’:
P4L125: (Female, 22, USA)
I don’t remember doing that many things just for fun, like playing after 15 or so
Participant Two also used ‘fun’ as synonymous for play in her description of the ‘element of play’ needed in children’s martial arts classes, and Participant 5 echoed this sentiment by deciding that once she had decided something was fun, even if by societal standards it may be also considered educational or serious, it became play:
P2L196: (Female, 28, Canada)
And, so, it was like all ages and this sort of thing and so you had like little kids, right? And so you had to, there has to be an element of play or else you can’t have little kids doing it if there’s no element of play like they won’t stay and they’ll be really unruly, and… yeah, like you need to be in a situation where you can have a balance between serious practice and fun
P5P12: (Female, 26, Canada)
Much like the expression “one man’s trash is another man’s treasure”, “an activity one person considers boring, is another person’s play”. The definition of play that I came across doing a google search was: “engage in activity and recreation rather than a serious or practical purpose”. I find no serious or practical purpose to reading fiction, and therefore will deem it play. Although a museum or science centre (or doing math problems) could be considered educational activities, I think the minute that I choose to do these things for fun, it become playing, for me.
Conversely, Participant 6 gave me an example of playing basketball, where she reported that she enjoyed it, even loved it, and yet it was not considered play:
P6L125: (Female, 34, Romania)
P: Yeah, yeah, you can imagine at that time I wasn’t playing anymore. [laughs]
I: [laughs] No, you wouldn’t be, so, does that also mean, like would you consider playing basketball play or is it something different?
P6: No, no no, there was no way of playing, like no. No no, that was work!
I: Oh, okay!
P6: That was something I loved doing it but, definitely wasn’t the, you know, wasn’t that kind of play, you know what I mean? I mean, there were so many rules, there were so many things you had to do correctly, and, yeah, it was high performance, it wasn’t, okay, community basketball. … Um, so, I enjoyed it, I loved it, but it was work.
Participant 6 did not specifically use the word fun, but she does illustrate that mere enjoyment is not enough for an activity to be dubbed play. In her reference to ‘wasn’t that kind of play’, Participant 6 illustrates one of the difficulties in defining play—play is also a verb commonly
used to describe engagement in a sport, regardless if the ‘player’ is actually *playing*. However, alongside the criterion of fun, the concept of flow, an engrossing state of timelessness, was also mentioned in participant definitions, and may help disentangle play from other pursuits:
P9L279 (Male, 49, Germany)
if you ask me, this was play as well. It made us full and there was flow and there was an idea and there was being together and creating something that evolves into a number of parties and feasts and living well.
P12L368 (Female, 57, USA)
if you can get them to recognize that this is another way to just escape, you know, some people take up hobbies where they can just, become immersed in the hobby, well that’s their play.
P4L222 (Female, 22, USA)
I: [laughs] Okay, so I like that statement of *barely over the line of play*, what would have made it better?
P4: Um, I guess if it weren’t so clearly focused on learning things rather than having fun with it, it was for, you couldn’t really forget he wanted it, us to practice the material or something like that.
I: Okay, yup. So that brings up another question, is part of play being able to just get lost in the activity or is being totally aware of what you’re doing part of play, like which..
P4: Um, I think it would be more being able to get lost in it, like, any game is more fun if you can, if you’re not thinking about the fact *oh I’m just playing a game, this isn’t important*, like it has to sort of become important to you in order for it to be engaging.
At the end of her quote, Participant 4 notes the relationship between something being important, and the ability to become lost, or immersed in the activity, in other words, to achieve a state of Flow. This *importance* of a task was sometimes also used interchangeably with the notion of seriousness, in that if an activity was perceived as important, participants were quite serious, or intensely engrossed, in their play. The seriousness of play will be explored later on during this Results chapter.
Playfulness, by contrast, was described more as a mood or perception that one would *bring to* a situation, or apply to a situation. Participants would often mention taking a very active role in finding opportunities to be playful.
P8P7: (Male, 40, USA)
I would say that I am playful under two different definitions. I seek to amuse myself almost at all time with irregular bursts of energy that allow me to get work done. ... Another way I am playful is through my relationships with others. Most people who meet me think I am the most serious person they have ever met. Most people who know me think I am the least serious person they have ever met. ... I try to make every conversation fun, but usually with a deadpan face.
P5P15: (Female, 26, Canada)
My husband says that I am a playful person. I think it’s because I try to find enjoyment in the things that I’m doing, and still have some childish tendencies, like randomly skipping down the sidewalk and short moments of voicing stuffed animals.
P2L230: (Female, 28, Canada)
I: Can you tell me a little bit more about … being playful at work?
P: Um, it’s just a… personality sort of thing? Personality isn’t right, but like the ability to not remain in that professional ‘yes maam yes sir’, like that sort of… like it’s almost a collegiality, like a, an awareness that the people you are working with are also people with interests and, you know, they want to have fun too, like they don’t.. they want to get their work done and you know, you want to do it well and you want to take pride in your work but you don’t want to be an automaton, right? Nobody wants to be an automaton.
Participant 2 furthers the notion of conscious effort to be playful while also seeking to make atmospheres fun for other people as well as herself. (Creating a playful environment at work will be further explored in a later theme: It Is Not What You Do, It Is How You Do It.) Below, Participant 3 explores how her time in university was not considered to be playful because it was too serious.
P3L177: (Female, 32, Canada)
Um, that is like… there is university that just took up like many, many years of, I don’t know, it wasn’t like playful, it was very serious, right?
Participant 8, quoted above, also hints that seriousness is at odds with being playful,
P8P7: (Male, 40, USA)
I would say that I am playful under two different definitions. ... Another way I am playful is through my relationships with others. Most people who meet me think I am the most serious person they have ever met. Most people who know me think I am the least serious person they have ever met. ... I try to make every conversation fun, but usually with a deadpan face.
From this quote, playfulness and seriousness seem to lie at either ends of a spectrum, and Participant 8 plays with this dichotomy by pretending to be one while actually being the other. In contrast, Participant 18’s personal definition of playfulness embraced both lighthearted and serious sides of the spectrum:
P18P23 (Female, 70, USA)
I love being playful – to me that means the ability to laugh and enjoy the silly and serious. It also means still being able to enjoy the game – regardless of outcome. It means taking risks and still willing to explore.
The definitions of play and playfulness continue to be slippery and difficult to pin down. The general descriptor seems to be that play is something fun, and engrossing and that playfulness is the mood of seeking to make something playful or to engage in play without being serious, but neither of these definitions are operational in the sense that they cannot tell you if a person is engaging in play or playfulness or not. It seems to remain that the only means of deciding whether or not something is an act of play is to directly ask the people involved.
4.2 MAIN THEMES
The themes that arose from the data will be presented as capitalized headings, with major categories contributing to each theme being presented one by one as underlined subheadings. Each category will be explored from three points of time: childhood, adolescence, and adulthood, with a summary statement at the end tying the category back to the theme it belongs to. The first theme to be presented is that of Play as Exploration.
4.2.1 PLAY AS EXPLORATION
Figure 5: Coding structure for the theme ‘Play as Exploration’.
Childhood play behaviours were defined by most participants as a time to explore. Exploration arose as a broad theme, created from the major categories of Testing Boundaries, Fairness, and Sandbox. Through these areas, participants explored their physical limits, pushed their boundaries of what they could achieve, gained mastery over skills, encountered and grappled with the idea of fairness and negotiation, and discovered personal interests. Each category will be elaborated further, and then discussed as a piece of the larger theme, Exploration.
Testing Boundaries:
Physical limits were most often encountered and explored by seeking the extremes of an activity. It was not enough for participants to learn to run or climb, they were spurred further to run faster and faster, to climb higher and higher, to see how far they, and their friends, could push themselves. In pursuing extremes it is of no surprise that most participants engaged in activities that could be considered risky.
P17P6 (Male, 36, USA)
I suppose you might say I played in ways that could be considered dangerous. As a young boy, I looked to other boys on the playground to see what they could do. The older ones were stronger, faster, and taller, and of course they could climb up to areas of the play structures that were a challenge to the younger kids.... naturally, we younger kids wanted to prove that we could do it too! So I did lots of climbing, lots of exploring, played on structures where a fall would have certainly meant a broken bone or three. I enjoyed climbing trees.
P14P2 (Female, 58, Canada)
We would build ramps and race over them, or climb backyard fences and jump off. I remember biting my tongue one time doing that; it bled all over the place. I also broke my arm doing acrobatics with my tricycle at the age of eight. My mom said I was accident prone but I think I was just a passionate player.
P2L26 (Female, 28, Canada)
I mean I would race, lots of racing and like, how far can you go underwater, how far can you go, or how fast can we go
Risk:
Taking and managing risks was mentioned by nearly all the participants, though it is notable that during childhood, participants reported largely being unconcerned with the risk that their chosen activities may have harboured. Some were not aware of the risk at all. The impulse to have fun, to explore, was the main driver behind engaging in activities that may be considered dangerous to some. As Participant 4 illustrates below, the concept of risk was tied to the promise of something new—the next level, or unexplored territory.
P4L87 (Female, 22, USA)
Also, I guess some exploring out with friends, just walking away farther than we should have gone, but, I guess, yeah, I would say that the risk made it more fun, because you know if you’re playing in a place that is completely safe, eventually you run out of things to do there so, you think if you go farther away there must be something interesting out there that’s new out there.
P6L66 (Female, 34, Romania/Canada)
I don’t think in terms of danger or risk but we would think in terms of how funny it was. [laughs]
P3L132 (Female, 32, Canada)
no, you didn’t think about, you know safety or those of things [laughs]. I mean, you’d maybe check to see if cars were coming across the street but it wasn’t, I don’t know, you didn’t think about, ‘oh let’s go in the ravine and ride along the little path that’s quite steep’ … I just want to ride along it and go to the end.
Other participants did have an awareness of danger, which led to the notion of a threshold. For these participants, once the level of risk had approached the threshold of being viewed as dangerous many participants would reign in their engagement. One participant elaborates on how danger is viewed negatively:
P3L130 (Female, 32, Canada)
I think sometimes if you like, like if you got too high up the tree and it was swinging too much, then I think you’d get a little nervous and be like, ‘okay I think I need to climb down a little bit’
Another participant talked about a threshold, where a certain level of danger was okay, but they would not seek to go beyond it.
P1L376 (Male, 21, Canada)
...we found that there was always an acceptable level of danger we’d, like I’d say, and we found that-- there was always the teachers didn’t want anyone getting hurt but like, somebody got a little bit hurt we were okay with that, but there wasn’t like any kind of a, like a high level of danger.
The transition from childhood to adolescence comes with a transition in how participants viewed the dangers associated with risky play. The notion of danger went from ‘scary’ to ‘alluring’, and was more willingly sought out as adolescents continued to engage in risky behaviours as part of testing boundaries and exploring their potential. Participant One mused about the difference in how he perceived danger as a teenager as opposed to how he viewed it as a child:
P1L399 (Male, 21, Canada)
P: Um, yeah, when we were older, definitely it was like, you know, the danger factor was like, awe yeah, the more danger the more fun, but we didn’t really think about that when we were younger, like probably like, one-- fourteen and up when it was always like, oh, jump off the roof or something like that, but um, I think when we were younger the danger would get ratched up because we thought, you know it would be more fun, but then we’d also, we were young enough that we realized you know this was kind of scary ... but, yeah, it wasn’t really the allure, later on of course, but when we were younger it wasn’t, it was only kind of, what we thought was fun, if we thought it was dangerous it was, we didn’t really do it a whole bunch.
The above quote also provides an example of how fear was a barrier to playing. Participants who felt scared during childhood play would scale back to a level more comfortable and within their boundaries. In adolescence and teenage years, the feeling of adrenaline when encountering a risky situation became attractive and sought after. Participant 8 echoed the sentiments of Participant 1’s risky teenage play, discussing the lure of adrenaline and how pursuit of the rush led to dangerous behaviours:
P8P5 (Male, 40, USA)
I started drinking, driving fast, full contact sports such as football, and other foolishness, such as throwing apples at a house until the owner came out and chased us, all for the adrenaline.
During adolescence, participants who continued to play experienced testing boundaries primarily in two domains: social and physical. Structured sport became the main play activity for many, allowing participants to challenge and push themselves physically in an environment that encouraged competition. Verbal play became the main mode for connecting with others and maintaining friendships while providing opportunities to test social boundaries through games such as Truth or Dare, as well as pushing at social norms. This transition from childhood to adolescence is marked by refinement in both play style and friend group. Several participants discussed a different sort of testing boundaries and taking risks than those they had engaged in during childhood. One participant labelled these activities ‘dark play’:
P14P16 (Female, 58, Canada)
What I did do through my teenage and early twenties would be more accurately described as ‘wreckreation’, or dark play. I drank too much, was sexual promiscuous, played dangerous games of chicken, and struggled to find lightness and love in my life. But I do think this play despite its cynical bleak appearance did serve the same purpose of exploration and personal growth.
Here the participant lists activities that are typically deemed negative in our society, and yet the participant argues that there is still learning in this type of exploration, and acknowledges the value of such experimentation. Through this ‘dark play’ the participant is exploring not only who she is, but who she is in relation to others.
P14P16 (Female, 58, USA)
[I] was driven by a strong desire to prove myself tough and independent, to extend my limitations, to push myself just as my play as a child had done. As for the benefits, who can say, I learned plenty during that time, I learned what I did not want or like in my life, who I was not happy being, and what hurt me
The concept of reckless play was not always clear, and some participants struggled with deciding whether or not their adolescent behaviours were play. Ultimately, it came down to whether they thought the activity was fun, even if it had negative consequences. Participant One spoke about speeding down the street in his car, sometimes going up to 160 km/h, and how during an episode of reckless play he and his friend were driving towards one another and were unable to dodge each other’s cars:
P1L461 (Male, 21, Canada)
we ended up like running into each other at like 40 and then you know, nobody was really was seriously hurt but like, my car was totalled and his car was- he didn’t get it back for like 8 months, but like, you know. It just kinda put you know, the fear of god into us like holy shit, you know, that could’ve been a lot worse, no like, one, I think one kid broke his nose, and that was the worse we had, like that, that I guess you would kinda call that play?
He continued to weigh the concept and ultimately concluded that such behaviour did belong to a ‘broad definition of play’. Several participants shared the sentiment that while they were adolescents they did not consider their actions to be in the spirit play, however, looking back they really actually were playing.
P1L475 (Male, 21, Canada)
yeah, it’s tough to say like, to look back on it now, it did, yeah it doesn’t.. thinking of it that way it does seem like play and more immature and then, but if you’d ask me that same question, you know, three years ago I’d have thought, oh that was the coolest thing ever.
The perception in this quote was that a ‘cool’ activity was thought to be more adult, more mature, in comparison to childhood play, however at a later age, in reflection, the behaviour was now viewed as actually immature, and still an act of play. This desire to separate oneself from behaviours developed in childhood will be covered more fully in the theme of Stigma.
Fairness:
Not all of childhood and adolescent play past-times involved dangerous activities or pursuit of new and grandiose adventures. Exploration in play was also described in social interactions where participants grappled with notions of fairness and began to negotiate with their peers regarding the structure of the games they would play. Multiple participants noted that an unfair game ceased to be fun, and were motivated to keep the playing field even in order to perpetuate the game. Two participants had similar experiences with the board game Monopoly:
P4L56 (Female, 22, USA)
Um, well, for example for Monopoly we always thought it was kind of unfair that you couldn’t, that so much depended on luck, when just what you land on, we came up with
this whole bargaining system, once all the properties were sold, there would be steps you could follow to buy and sell properties and like that.
P14P11 (Female, 58, Canada)
However for all our playing together there was little competition in it. We often reinvented rules in games such as monopoly to create collaborative games out of them. I have always hated losing but felt equally bad winning as that meant someone else had lost. … We always made exceptions for younger children in our games on the street, it was the inclusion that counted, not who won.
Another perspective on fairness was presented by two participants who enjoyed competitive games, but considered an even playing field as a means of maintaining the level of fun throughout adolescence and adulthood:
P1L.62 (Male, 21, Canada)
…you’d try to make it so it’s even I guess, we would find, that, ‘cause if one team would kind of run away with it no one was having any fun, right
P17P16 (Male, 36, USA)
I don’t play for the recognition, but it’s nice to be the best player in the arena, because I can control how the game goes. In fact, if my team is super far ahead in points, I will go back to the vesting room and get a different pack and join the other team just for the hell of it. I want games to be fair and not grossly one-sided, because that’s no fun, and I want people to have a good time and come back
Participants thus alter rules, switch teams, and create games to ensure that fairness is maintained and fun is uninhibited. Rule alteration and the creation of fairness involved a great deal of negotiation, where games were decided on democratically by the participants as they explored which roles they wanted to play and how they would fit in to what their friends were planning.
P1L205 +282 (Male, 21, Canada)
At school like, we would play, it would almost become more like a rugby sport or, you could pick up the ball and run with it, and it was you know, you kinda made the rules as you went—people would be like oh, *you can’t do that, you know it’s a new rule after this*, so, yeah … later on, even now, like when we play like, shinny hockey we’re like okay you know, are we playing like touch-icing or you know, something like that, if you really want to get technical about it because like everyone understands the different levels and
rules at that point, like there is amateur rules and professional rules and that sort of thing, so, we made an agreement on what we’re going play.
P3L39 (Female, 32, Canada)
…as I got older I remember it was more, it was like less play but more talking about, *well you should do this, and I’ll do this, and then we’ll pretend this and*, so, it, it took awhile to actually figure out like what you were gonna play like ‘cause you’re talking it out and do all that stuff.
Participant One went on to describe how the concept of fairness evolved as he grew older: how in a group of players with different skill levels, while it was unfair to stack the game entirely towards more proficient players, it was also unfair to restrict them. He goes on to describe how a compromise was made:
P1L287 (Male, 21, Canada)
…where there were other students who weren’t, I guess you know, kinda, as athletic… they were allowed to go until they actually hit something, and then, for awhile there was kind of like discontent among the other students like, *aw we’re going to be here forever*, but like as we got in to grade 11 and 12 it was kind of like, *oh, you know like, [John] or whatever, the one student, he never really excelled at any sports but we like, kinda try to cheer him on because he was trying really hard and you know, he’d hit a ball and we’d all kind of like oh good, you got her*, and you know. So. Yeah so. I think, it does as we matured we kind of understood why at the same time it was, yeah.. and I think other students as they matured realize that, *ok, even if I’m not that good, I’m going to have to play with the rules*, so there is kind of a compromise is met, I guess, kinda like an unspoken one, students realize, *okay, you know, I didn’t get it this time but maybe the next time*, you know
**Sandbox:**
Negotiation has similar qualities as ‘play as a sandbox’, a category more concerned with the internal exploration and back-and-forth of testing new ideas. Whereas in negotiation participants are interacting with their peers and exploring how they behave in relation to others, in sandbox they are exploring their own potential and development from within. I noticed many of my participants engaged in storytelling, world creation, and dramatic play from childhood straight through to their adult years. Curious, I asked them what this particular form of play provided them with, what the allure of it was, or why they thought they engaged in it.
P4L258 (Female, 22, USA)
Hm. That’s a good question, I think a lot of it was inspired by, a lot of reading, but I was also… but then, have to ask, what makes that so appealing to, and, it’s just, I guess to be able to try out, try out different lives then, than the one you currently have.
Other participants, engaging in a myriad of play activities, echoed the sentiment of trying out new things and exploring interests, ideas, and possibilities. These quotes all reflect the ‘safe’ nature of this form of play, where within a playframe the participant can toy, tinker, and daydream without fear of serious consequence.
P7P9 (Male, 25, Canada)
Racing games were my strong point, and I truly believed my high ability and persistence in a racing simulator made a much better driver of me. It also sowed the seeds for an interest in mechanics and motor sport.
P15P15 (Female, 60, USA)
It allows you to travel new and different paths in a hopefully safe way--a "play with ideas" sort of stance.
P16P8 (Female, 38, Canada)
Play during childhood always involved a lot of imagination, thinking of ‘what is possible’, ‘what would happen if’.
The theme of exploration was pervasive throughout childhood all the way to adulthood. As children, my participants described stretching their capacity to run, climb, and jump. They forged friendships and negotiated complicated, dramatic, play scenarios, as well as pushed their physical limits with structured sports. Rule creation and alteration initiated by participants ensured an even playing field as they sought fairness in their activities. In adolescence, structured sport and social games such as Truth or Dare (a game in which players take turns choosing to either reveal a truth or enact a dare as directed by another player) furthered the pursuit of exploration. Also arising at this time of life was a new form of explorative play, deemed ‘dark play’, which encompassed activities such as experimenting with drugs and vehicular speeding. Adulthood saw exploration in the continuation of games allowing participants to try on new roles and identities, and seeking opportunities to engage in sports with like-minded people striving to be their best. The drive to explore led participants to encounter and engage in risky activities where they could have been (and sometimes were) injured during their play. Unanimously,
participants that engaged in risky activities were dismissive of the risk and either failed to even notice it as children, or thought it made play more fun. There was a consensus that yes, you may get hurt, but it was worth it, because you were having *fun*.
It is no surprise that in exploring their bodies, environments, friendships, and future selves, participants also linked play to health and wellness. Wellbeing emerged as a theme across the lifespan, largely focusing on positive affect in childhood, maintaining and creating social connections in adolescence and adulthood, and primarily contributing balance to their lives in adulthood.
### 4.2.2 WELLBEING
![Diagram showing the coding structure for the theme 'Wellbeing']
**Figure 6:** Coding structure for the theme ‘Wellbeing’
The benefits of play during childhood are commonly linked to the domains of physical activity and education. In this study, only three participants mentioned the physical health benefits of play (and all did so during the ‘adulthood’ portions of their interviews), but all participants engaged in physically active play as children. For many of them, this activity continued into adolescence, but physically active play was not as universally engaged in during adulthood. This does not, of course, mean that participants decreased their physical activity; it only implies that for some of them, physically active pursuits ceased to be considered play.
Social connections become the main focus of adolescence and it is no surprise that participants recalled their early teens as time spent with friends. The activities they undertook as play at this time being less important than the people they undertook those activities with. Still, participants in the extremely playful categorization retained robust play repertoires and were attuned to their need and love for play, refusing to relinquish it for the sake of societal norms. It is interesting that, in reflection, some participants believe their social conversations with friends
were, in fact, play though they never would have considered it so at the time. Other participants were adamant that their conversational behaviours were not play at all. The reasoning behind the sudden disconnect from play is examined more in depth under the theme of Stigma: however, in this section I will explore the perceived benefits participants feel they receive from their time spent playing.
Adulthood was characterized with the introduction of work, responsibilities, and the corresponding stressors that accompany having duties and deadlines. Participants maintained the social aspects of their play, but now mental health benefits were being recognized more often as well. Reflecting on the role of play across their lifespans, participants expressed holistic and complex webs of influence where play contributed vital components to their lives, such as joy and coping in the face of adversity. They then further underscored a more powerful message: that play is central to life.
**Mental Health:**
Participants emphasized play’s contribution to mental health, time and time again. Happiness, in particular, arose in every interview. In my coding, I designated Mental Health as a category, primarily made up of the codes Positive Affect and Coping, yet there is some overlap with Balance, another category. Balance is comprised of Stress Relief and Relaxation, i.e., participants recounted the relaxing and stress-relieving effects of play in relation to both their mental health, and in maintaining equilibrium in their lives. Finely nuanced, maintaining equilibrium via pursuit of playful relaxation is different from stress relief in terms of reclaiming energy levels and making time to balance different needs such work related productivity and family time. In contrast, mental health was most often spoken of in terms of emotions—happiness, depression, and coping. In a nutshell, Balance is about what you do, and mental health is about how you feel. Participant 13 helps show the differentiation:
P13P17 (Female, 59, USA)
I think laughter is healing, in part because it creates distance from harmful situations, but also because it can jar you out of a negative perspective into a positive one. Play allows me to laugh, socialize, relax, get distance on situations, allow my subconscious to work on writing projects.
Here we see the divide between the constructs of healing, creating distance, and positivity, and those of socialization, relaxation, and subconsciously letting ideas percolate. On the one hand, healing, distance and positivity are creating a mentally healthy state of being, whereas on the other hand, the participant is balancing work and duty with time to see friends, time for relaxation, and taking a break from the conscious focusing on projects. Continuing with the category of Mental Health, no emotion was mentioned more than happiness.
**Happiness (positive affect):**
Positive affect, or happiness, was prominent from childhood to adulthood and featured in nearly every participant’s reasoning for their play behaviours. Every participant mentioned the positive affect they gained from play, often using identical descriptors of their experience.
P3L403 (Female, 32, Canada)
Interviewer: What do you believe is the purpose of play and when I say that, I’m thinking like, childhood, teens, adulthood, like, in general just why do we do this?
P: I think one its fun, like it makes you happy, it makes you feel good
P7P29 (Male, 25, Canada)
It promotes good mood, a sense of belonging and purpose. Occasionally I am in a good mood, I’d say it’s a requirement for sustaining play.
P11P16 (Female, 20, Argentina)
Being playful makes me feel happier, makes me feel good with the people around me and myself.
P14P21 (Female, 58, Canada)
What does play do for me? It makes me happy, helps me learn, opens me to interactions with people, animals, and things. It relaxes me, fires me up and gives me much to think about as a student of play.
P15P10 (Female, 60, USA)
What does it do for me? Just makes me feel good, feel connected to others when we share a laugh.
P6L204 (Female, 34, Romania/Canada)
I think it gives me, it makes people laugh, it makes me laugh, it makes me feel good, it just keeps me in a good mood, positive.
It just makes you feel good, seemed to be the consensus, the bottom line of why we play across our lifespans. I was left with the impression that even if play did not contribute to physical, emotional and social growth, even if it didn’t provide stress relief or relaxation, increase our productivity or contribute to our health, people would still play. In the face to face interviews these descriptions of feeling good, of just being happy or having fun, were often accompanied by disarming shrugs as if the proclamation was just simple and sweet with no other words necessary.
**Mental Illness and Negative Moods:**
During the interviews a trend arose concerning mental health. Seen from both sides of the coin per se, positive mental health was deemed both a facilitator and by-product of play, and mental illness was seen as a barrier to play and considered incompatible with play. My participants’ stories articulated how they could not play when they felt sad or depressed. Other participants expressed that while playing they were able to disconnect from their depression and gain respite. I asked my participants if they had ever used play to get themselves through a difficult time. Not all of them had, but participants agreed that it was easier to play when they were feeling cheerful.
P3L322 (Female, 32, Canada)
I think when you’re upbeat it’s a lot easier to be in that kinda playful mindset and it just comes a little easier, yeah.
P7P15 (Male, 25, Canada)
Yes, but it was a bit escapist usually. It is difficult for people to cheer me up.
P18P22 (Female, 70, USA)
I loved my childhood play experiences and can’t remember being unhappy or sad until high school. During that time I developed several problems. However, I believe it was my ability to laugh and enjoy things that these were mitigated.
Two participants, in particular, mentioned struggling with depression. One of them expressed his depression as being a barrier to play, whereas the other articulated how playing allowed her moments of escape from her struggles. Here I asked Participant 7 if he considered himself to be a playful person. His response was short and to the point:
P7P27.5 (Male, 25, Canada)
Not much for the time being (depression).
P14P14 (Female, 58, Canada)
In the last decade I have had both a serious illness and a depression and both times I struggled with the idea of play; feeling I had lost the ability to play, that play was lost to me. During my chemotherapy puzzles helped me; it was not demanding play and the quiet hours shifting shapes and colours helped me get through the days. During my depression I would walk my dogs for hours in the woods, aimlessly wandering singing to myself, observing the flora and fauna and gradually when I began to recover I realized how life saving those walks had been. Beauty and nature helped to lift me beyond the narrow black world of despair.
Further into Participant 7’s interview, he elaborated on the conflict between depression and play and poignantly opined on the loss of play:
P7P40 (Male, 25, Canada)
I believe, it is a sad day when a person loses the motivation to engage in play. When nothing is interesting enough to command curiosity, of equal and opposite magnitude. I’d link most of it to depression or mental exhaustion of some sort. Though I’d blame the outlet availability rather than question the motivation/creativity of the individual. Balanced play should always be part of the routine, this deficit is surely amongst the worst kinds of poverty.
**Balance:**
Stress had a similar effect on participants, though it seemed easier for participants to engage in play despite it. The causes of stress will be outlined more fully in the Stigma section of this analysis; here I will provide quotes and stories from participants in how play provided relief from the stressors they faced. The benefit of play in stress relief was often expressed as the opportunity to disconnect or take a break from situations causing stress so that the participant would feel refreshed and ready to take on their life after engaging in play. This engagement had the effect of providing balance, where stress would tip the participant into a negative state, and play would lift them back into a positive state.
P2L408 (Female, 28, Canada)
…with the playing D&D once a week you have this absolute place of stress relief, even if it will mean that you will have to do something later, it means that you’re in a mindset
where you’re like, *okay, this is no longer everything I’ve ever done is this work, like nothing else exists*, it’s like something else did exist, and now I’m relaxed and now I can sit down and write this, this thing*. And I often find that if I’m having trouble, say, formulating an argument for a paper or something what I should do is I should go and make some jewellery or go and write a story that’s completely unrelated or go and draw a picture or something like that, or even, you know, there’s a … swing set by my house right now, so you know, I’m getting frustrated I’ll just go over to the swing set, and do some … swinging… for an hour [laughs] and … I’ll come back and I’m like *yes, perfect, wonderful, now I can write my paper*. So, I, I honestly don’t know how people who don’t do that sort of thing get through life… and I don’t know if, if they probably do do these things and I just don’t see them doing it.
P3L425 (Female, 32, Canada)
And I know like if I’m stressed or work, like it’s not a great day, you know going to work, I feel so much better after because you’re playing and hanging out with the kids or if we go see our nieces like you leave and you can’t help but smile because you had so much fun doing that stuff. Yeah.
P11P21 (Female, 20, Argentina)
I believe that the purpose of play is to free yourself, forget about the every day and the worries and be happy.
Participant 2 elaborated on combatting stress through play in her description of weekly game nights with her friends. She mentions the idea of disconnecting, which allows for the return of positive affect and return to a mentally healthy state:
P2L318 (Female, 28, Canada)
you know, you’ve got to coordinate a bunch of people if you’re doing an on-going campaign and it can be difficult and so it was like, no, it’s at Wednesdays, and you know there were days when it was like, *oh, you know I don’t, I don’t really feel like going, like I’ve got so much to do*… and I *never* regretted going, like, it relaxes you, it makes you feel more prepared to move on, it lets you, it lets you be something else and do something else for just a short period of time, like whatever the issues are in your life, or [laughs] like you don’t need to think about those while you’re there, it’s just… it’s just fun, you know?
**Social Connections:**
Emotional well-being was often linked to the presence of friends and the development of social bonds. Play and being playful did not just help participants meet new people and forge new friendships; it also helped them maintain those friendships throughout their lives. Across their interviews, participants talked about how being playful allowed others to feel more comfortable around them, how it reduced feelings of shyness, and how laughter stimulated a
positive, shared experience. I asked Participant 3 why she thought people played, and she spoke of that desire to be with other people and to engage in something fun:
P3L404 (Female, 32, Canada)
I think part of it too is that it’s that socialization it’s, you kinda, I don’t know, for most people like they really like to be alone but I think there is that craving or yearning to be around other people and, um, and I think that if you’re doing that and it’s in a fun way, like of course you want to go out and do those things, um, and I think be out of that you get your, sort of your emotional wellbeing and that kind of stuff and I think that’s why you do it. Mmhm.
Connection was another word that came up repeatedly as participants reflected on their play histories and on how play shaped their ability to interact with others.
P15p15 (Female, 60, USA)
Play is critical in life. It allows for connection, collaboration, a positive energy. … It creates culture and connection for adults and children.
P10P21 (Female, 47, USA)
In many ways play facilitates connections, helping people become more comfortable with each other. Most usually it just happens, but now and then something structured/predetermined is useful.
Participant 17 observed how play had transformed across his life, raising the interesting point of how certain forms of play become more central at different stages of life. Social play is more fluid across different environments and can be adapted to a large number of settings, making it a more accessible form of play even in structured, professional atmospheres.
P17P11 (Male, 36, USA)
I would say I’m a playful person, in that I like to keep things lighthearted and fun, and crack jokes. Again, it seems to have changed format, from physical to mental and now to social. I still enjoy board games, and to some extent video games, but now my playfulness is geared toward the social aspect. It’s certainly a more appropriate format when one’s in an office job - no playground or basketball hoop, no time to play a long game of chess while faxes and phone calls are incoming. 😊 But it’s fun to joke to each other about pop songs in the background, about getting together for karaoke, recounting funny tales for coworkers. In this way, play serves the dual function of keeping us knit together as a group that would otherwise have nothing in common, and of keeping the atmosphere light and (indirectly) keeping all of us productive.
P18P30 (Female, 70, USA)
I think play changes over time but I don’t think it becomes less important or loses its value. Being able to play is refreshing and provides a wonderful social opportunity in any number of settings.
Play at work came up in nearly every interview and will be discussed at length later in this paper, but in this example provided by Participant 17, we can see that the social aspect of play contributed a great deal to the participant’s experience. Being playful made work more enjoyable, it helped forge connections between people who would otherwise not have much in common, and it served to maintain productivity. In the next theme, Play as Serious, I will discuss some of the myths of play, one of which being that play is a frivolous waste of time.
Backing up Participant 17’s experience, other participants focused more on family settings and explained ways in which being playful strengthened family bonds, helped family members participate and engage with one another, and resolve conflicts. Social play can also be seen as a gateway into other activities as friends and family introduce one another to new pastimes.
P16P12 (Female, 38, Canada)
My family is very playful – lots of laughter, lots of jokes, lots of pranks, lots of games. My grandmother was very silly, as are my parents, my siblings and my nieces/nephews. I believe that playfulness helps create and foster positive healthy bonds with others. It also helps create spaces in which others can start to feel more comfortable to be themselves.
P14P22 (Female, 58, Canada)
I find that as always play comes with/ through my family, in particular my children who continue to play with me. They are now in their twenties, my daughter just hit thirty, but when they visit we get silly and make jokes and puns and even chase each other around, or throw things at each other much like they did as kids. I laugh until I cry. In fact with my kids it seems all I ever do is play. I always have a puzzle on the living room table for our Christmas visits which is surprisingly quickly completed (could I say even competitively so!). Living in the country means that we do outdoor activities like skiing, snowshoeing, hiking, canoeing, swimming, biking together when they come here and if I visit them they often take me to music festivals or various shows.
P15P11 (Female, 60, USA)
Play has a huge role in family relationships. We love to get silly with toasts and roasts when sharing a dinner. Younger members of the clan learn to laugh along with the silly grown ups and even develop resiliency when the teasing turns to them. You have to be able to laugh at yourself. My closest friends have always been playful and could see the humour in things--politics, TV shows, pop culture, etc.
My husband and I have always used play fighting and silliness as a part of the way we interact. It really helps manage the "bumps" in life. He is also silly with our daughters--way sillier than I am in fact.
Relationships, the term used broadly to denote platonic, kin and romantic bonds, and play have an interesting relationship in the participants’ narratives. In the theme of Wellness we saw how play facilitates social connections and the emotional wellbeing that comes along with having friends and family. In this next theme, Play as Serious, I will illustrate how play style affects whether or not people become friends, and how having a different play style from those around you can have a negative impact on your life. Play is often linked to childish pursuits, and people disdainful of play may carry the opinion that play is frivolous, a waste of time, and seem outright offended at the thought of a person acting silly. In this theme we will see how play is actually quite serious, and is often taken seriously.
4.2.3 PLAY AS SERIOUS
Figure 7: Coding structure for the theme ‘Play as Serious’
Play as Serious is a theme made up of the categories Intensely Engrossing, Conscious Effort, and Play Style. These categories are in turn built from the experiences and concepts of flow, shared goals, competition and challenge, seeking play opportunities and generating opportunities, as well as isolation. One of the clearest divides amongst my participants can be seen in this theme: competitive play styles versus non-competitive play styles. Participants who just want to have fun are serious about this intent, too much structure, or having a fellow player who either will not commit to the game or places their desire to win over the shared experience of engagement, can ultimately ruin their play. Conversely, competitive participants spoke that
when fellow playmates were not interested in intense games and competition, their ability to play was diminished and they could not push themselves as hard as they wanted to, thus lessening their joy. Most participants were careful about who they would play with, to ensure that their playstyles matched their playmates’. The serious nature of play operates at multiple levels; however, participants did not just invest in compatible playmates, they were also engaged in creating space and time to play.
Making a conscious effort to play was mentioned by most of my participants. This effort tended to come in two forms: scheduling play time and seeking play opportunities. As children, play was largely unsought, it simply happened wherever they were, with whoever was around. During adolescence unstructured play was sometimes more of a challenge, as participants grappled with wanting to distance themselves from childhood, but more participants became engaged in scheduled, structured play. It is also during adolescence that some participants actively sought ‘dark play’ opportunities, as highlighted in the theme of Exploration. It was really in adulthood that conscious effort was undertaken to make sure that play continued to be present in my participants’ lives. I quoted Participant 2 earlier in regards to her weekly game nights, and during the interview asked her to elaborate on the importance of that scheduled play activity:
**Conscious Effort:**
P2L309: (Female, 28, Canada)
I: Can you tell me more about… um, kind of taking this time out of your week to do that, like was it a really conscious effort, was it really important to do that?
P: It was, we actually kicked someone out of our group [laughing] for not being there all the time. Um, and like, you know, everybody is understanding of like, okay, I have my exams we have to let it go, and like I’ve had a busy time at work and I can’t make it, or like my character can’t be there, like.. play for me, or, or you know, or have them fall down a hole and I’ll get out next time. [laughs] But no, it was, it was a, like it had to be sort of enforced or else it didn’t happen
This quote speaks to the conflict of structured adult life, and need for relaxed, social, play time. The schedule of which had to be enforced, to the point of kicking members out if they could not commit to the weekly schedule, because consistent social play *matters*.
P5P11: (Female, 26, Canada)
I would say that I was not an overly playful person during my bachelors because I was really busy being focused on school, but in the masters/post-school era, I’ve remembered that play is very important and fun. Examples of being playful now: weekly board game nights with friend and family, still participating in organized play (choir, skating), playing flash games on the computer, lightsaber duels, reading, going to the playground at 9pm (hoping there are no kids or cops), going on “adventures”, like camping, visiting the science centre, [historical park], [park], the … waterpark, bowling, mini-golf…
Participant 5’s list of play activities is an example of some of the litanies I collected during the interviews. Not all participants had such robust play inventories, but many engaged in play in a myriad of ways. The conscious effort of *making time* for play and seeking play opportunities is displayed in the quotes from Participant 5 and the next few participants:
P15P16: (Female, 60, USA)
I think more often than not, it just happens but I am also open to the opportunities and aware. I try to "leave space for play" in my life by not overbooking my life.
P11P11: (Female, 20, Argentina)
I never felt I was too old to play, and I think I never will, and if that happens one day, I want everybody to remind me how important play is. On the contrary, I’m always looking for play, in any way I can.
These quotes show how participants strive for balance between keeping space open for spontaneous play, and also consciously seeking out play opportunities. Spontaneous play carries its own lightheartedness, the surprise and delight of a moment of play springing into creation, but because of its nature, it cannot be planned.
**Intensely Engrossing:**
Intensely Engrossing is a category made up of codes including challenge, shared goals, competition and flow. These aspects of the category all contribute to how seriously participants viewed play. Many of these codes contribute to other themes, for example challenge, competition and shared goals often overlapped with Exploration, as participants tested their limits during childhood and adolescence. However, the assignment to this theme is derived from the emotion they felt *while* engaged in testing their boundaries was intense focus, and this focus allowed them to enter flow states. For some participants, the intensity of play made the experience more fun
and motivated them to continue their engagement. Many participants articulated to me that this serious focus was part of what made play *play*:
**P14P19:** (Female, 58, Canada)
I know as a small child I took all my play as absolutely seriously and as real, how can that not translate to what I do now, that as an adult playing I can take myself as seriously and believe as much in the reality of my play. Actually it is not really play if you don’t take it seriously.
**Challenge:**
Another aspect of Intensely Engrossing was challenge. Participants often remarked that they found certain play activities to be challenging, which motivated them to pursue further engagement and seek to achieve mastery. Challenge was seen as both a motivator as well as the spark that prompted a participant to play. I noticed that across this theme there was very little transition: across the lifespan from childhood to adulthood, the influence of challenge never seemed to falter.
**P7P34:** (Male, 25, Canada)
Definitely in most of my jobs I tried hard to become a team player and acquire the skills for the task. The purpose of the game was to excel and outrank, learn all the secrets, etc... and hopefully move on to greater objectives at regular intervals.
**P18P15:** (female, 70, USA)
We also skied a lot at the country club where there was a rope tow and a small to medium size hill. There were a couple of places where we could practice jumping which I always found was a fun challenge and eventually became quite good at it.
**P6L71:** (Female, 34, Romania)
...but other games we had, um, two sets of stairs, one on one side of the school and one on the other side of the school. One was for the students and one was for the professors, the teachers, the instructors, and we were not allowed on those set of stairs, but, guess what? We would go, of course. So we would try not to get caught by the teachers and we would count how many times you went and at the end of the day there was a champion.
At the end of Participant 6’s quote, she draws on another facet of the Intensely Engrossing theme, that of competition. Competition was quite similar to challenge, though challenge was often experienced as a solitary pursuit to better oneself, whereas competition tended to involve an external pursuit to better oneself in comparison to others. There is clearly
overlap between the two areas, but I find that challenge aims to constantly improve, whereas competition is more about winning over another, no improvement necessary so long as one person comes out ahead.
**Competition:**
Among participants, the presence of a competitive nature in one’s play ended up being quite influential as to how play transitioned during adolescence. Participants who were not interested in competition found themselves on the outside of athletic sports and often turned to other pursuits, generally intellectual in nature. Competition was often linked to being serious, however some participants experienced no issue blending joyfulness, seriousness and play all together:
P12L239: (Female, 57, USA)
my husband I probably play some form of European board game 3 or 4 times a week, in fact on Saturday we played a four and a half hour game and it is stressful because it’s a competition but its joyful because you’re problem solving and planning ahead
P2L190: P2L196: (Female, 28, Canada)
the dojo was very serious, like very competitive dojo and people had fun, but it was.. you know, we’re striving to be the best of the best and super serious and all this sort of thing and the, the dojo that I had been at before for my, my Judo, it was at a community centre … And, so, it was like all ages and this sort of thing and so you had like little kids, right? And so you had to, there has to be an element of play or else you can’t have little kids doing it … and… yeah, like you need to be in a situation where you can have a balance between serious practice and fun and, and it’s actually kind of wonderful if your kid starts being whatever someone just picks him up [laughs]
Participant 4 told me her experience with a daily competition involving her school’s back field and how there was a hill at the very back that every student wanted to hang out at:
P3L81: (Female, 32, Canada)
P: And it was fabulous, and that was the place where everybody wanted to go. And yeah.
I: Did you have to race?
P: Oh yes.
I: Our territory.
P: Yes, and you’d claim your little, your little, your house or fort area and, and it was like, *you don’t get to go in there*, and I remember I think there was stuff with, I think it was like pinecones and rocks, and then people were like trying to take them, and it was a very big deal, yeah. And I don’t remember what it was for but it was like, you had to have those things and hide them. Yeah.
Her experience touches on complex competition. There is first a race to acquire ‘territory’, and then the subsequent competition to hoard pinecones and rocks, to steal and guard them as if they were precious currency. The entire play frame containing this experience is both competitive and serious in nature, without compromising the fact that it is play. For other participants, competition *did* diminish the experience of play, either by taking away the enjoyment of it, or by the competition fostering a hierarchy where some participants were left out of play due to their non-competitive natures.
Whether a play activity should be competitive or non-competitive seemed to generate conflict in a manner that no democratic rule altering could solve, whereupon play activities were portrayed by participants as being competitive or non-competitive with no grey area in between. This was most vividly seen in dialogues surrounding structured sport. Several participants explored the notion of competition in sports from different perspectives:
P1L528: (Male, 21, Canada)
But, I think, yeah, like their example would be they definitely missed that level of competitiveness in junior hockey whereas, university hockey at that, the ACC level, not so much the [team] here, but it’s kinda of, it’s a different style of hockey and I think some of them adapt better to that and its, it’s kinda the same way I’m talking about with like the high school hockey to a rec hockey where its, you know, nobody takes it that seriously, and if you do kinda take it too seriously you’re kinda ridiculed I guess.
Participant 1 is describing how recreational hockey is aligned more towards the “for fun” side of the play spectrum, and that players playing in this league are ridiculed if they are too serious about their gameplay. In contrast, Participant 17 describes a different issue he experienced in school-organized sport teams:
P17P8: (Male, 21, Canada)
I’d say that transition started to happen around age 10-11. By then, many of the boys in school were starting to focus on sports more than less-structured playground games. Basketball became popular among my classmates. The focus of those games became achievement and competition, leaving the "fun" element behind. You didn't just play for "fun", you played to win. And if you DID play for fun, as I did, your skills weren't as
good as the kids who practiced more often, and you weren't taken seriously. In essence, you became the little kid in dodgeball all over again, despite being the same age as your classmates.
Here the opposite issue occurs. School-based hockey is more aligned on the ‘competitive’ side of the play spectrum, and players less interested in being competitive are seen as being less serious. Both participants felt serious about their intent to play, but their play style is at such odds that they cannot reconcile with members of the opposite play style. This perception, of non-competition being less serious, resulted in social rejection from the sports team:
P17P9: (Male, 36, USA)
By the time I was 13-14, there was a clear divide between the kids who were good at sports (the eventual "jocks") and the kids like me who would have had fun playing, but who weren’t wanted on the teams.
Although Participant 17 is a competitive participant, he enjoys the social aspect of play, in his adulthood (as quoted earlier in the chapter during the category of Fairness) he continues to play competitive sports, opting for a more recreational environment in order to achieve the sense of fun he wishes to pursue. However, a certain degree of competition and intensity is required of school-based sport systems and some of my participants found that distasteful. For Participant 1, intensity and seriousness made sports more fun, but he also observed how this seriousness could prompt negative emotions:
P1L260: (Male, 21, Canada)
P: Uh, as I got older, kind of like, hockey always seemed more competitive, and like a lot more, kinda like anger-- I shouldn’t say anger, people would become angry at times, not like I-- I wouldn’t get angry but like, I always felt like I was better at kind of like realizing it was just a game where other students in my class who were a little more competitive were-- you know like, we have, I grew up with a guy whose now, now plays in the NHL and he would really good at, he was a really good athlete obviously, and we have another guy who plays a high level, like senior baseball right now, he was named, never like a pro, and they would always kind of clash because they were kind of the two best athletes, but um, yeah like, we would have like clashes amongst them
In summary, how participants viewed competition impacted what types of sporting activities they engaged in. As previously seen in the Fairness category, non-sport related competition was often dealt with using rule adaptation if participants wanted to level the playing
field or engage in less competitive play. Comparing adolescent and teen sports teams, which were viewed as very serious, with community-provided sports teams, which seemed more fostering of lighthearted play, we see a spectrum in provision of physically active play opportunities geared to both ends of the competition spectrum. Participants did not often mention engaging in recreation-centre sports during their teenage years. Rec centre environments seemed to become available to participants during their young adulthood years, and in contrast, competitive sports ceased being available to participants once they were out of the school system. Whether participants considered themselves competitive or not is part of their play style, the general patterns or genres of types of play they engage in.
**Play Style**
Participants often spoke of the people they played with. As children, many of participants reflected that their playmates were friends by proximity, as opposed to shared interests or backgrounds. These other kids lived nearby and thus became playmates because they were there and available, not necessarily because of compatible play style. As participants grew to adulthood, however, play style increased in importance, creating a transition as participants started off with general playmates and then honed in on playmates with harmonious play styles. Participants 3, 7, 2 and 15 illustrate how playmates in childhood were typically acquired:
P3L13: (Female, 32, Canada)
…it was just whoever was outside, gathered together, you’d see some kids down the street and go join them and you know, play tag or your make believe games that you kind of made up, right?
P7P4: (Male, 25, Canada)
My best friend happened to be a grade lower than me. We didn't have that much in common except proximity
P2L103: (Female, 28, Canada)
…you know when you’re a little kid and you don’t know the difference between a good friend and somebody who is just there and therefore your friend?
P15P1: (Female, 60, USA)
We also had neighbourhood group games like "Kick the can" and would sled and explore the woods together around our houses.
From these experiences it became clear that geographical location played an important role in who participants played with during childhood. Several participants also mentioned having cousins that either lived close by or were visited enough during the year that they became regular playmates. In adolescence, a focus on play style started to emerge as participants began to discuss their specific play groups and what they had in common with other players that cemented their bonds. Extremely playful participants attracted like-minded friends, those who would play with abandon, but they also maintained friendships with teens who were not particularly playful. Other participants befriended those who were in similar mindsets of wanting to distance themselves from play due to its association with childhood. A common thread across interviews was participants finding people who would play the same way they wanted to play.
P7P25: (Male, 25, Canada)
In high school, I also drifted off from my earlier friends, and was a group jumper, no intense socially playful relationships lasting more than a year. (I withdrew.)
Then we started smoking together, and eventually shared some of the same friends. I preferred concrete play, or one on one conversations. Never did well in group play.
P11P8: (Female, 20, Argentina)
My play was influenced by the people I wanted to play with or that were with me at that time. What I mean is that I never played the same games with everyone, with a group of friends I would play certain games, and with my best friend I would play some other types of games.
P16P4: (Female, 38, Canada)
When there were other people in the picture, play started in involve attending hockey games, chasing after boys and alcohol. It was not as ‘free’ in a sense as play with other people other than my best friend involved having to take account social norms and did not feel as free, silly or natural.
The above quotes help show that play activities became more central to engagement in play than mere proximity of people. During childhood, participants tended to play with anyone around them, most often neighbours or family members. Adolescents formed friend groups based around activities they enjoyed and were more discriminating in who they played with, often citing that they had a special ‘group’ of friends. In adulthood this *choosing of friends* became further refined as participants sought out similar styles of play and playfulness (recall that a main transition from childhood to adulthood was that play often transitions to *playfulness*).
P16P14: (Female, 38, Canada)
I am naturally attracted to (and usually maintain friendships with) those who are playful as well. While I am open to having relationships with others who are very serious, I enjoy those who help scaffold and join in on playful behavior. With those who are not necessarily playful and silly, I find as though I am more on guard or must help them feel more comfortable whereas others who are naturally playful I feel as though we are on the same playing field and they help bring joy and laughter into my world. Our relationships can grow through the playful lens we share. The types of playful behavior or humor, however must be shared as those who are extremely silly or playful in ways that I do not necessarily relate to annoy me very quickly.
P2L513: (Female, 28, Canada)
P: Yeah, yeah, like I can there are people who I can be like work friends or school friends with, you know? And you’re cordial and you’re friendly and you tell jokes but these aren’t the people that you know, you know you won’t be able to hang out with them for several hours at a time, and it’s… like, it’s, there’s nothing wrong with them, it’s nothing against them, and, but you know, if.. like you couldn’t do it! [laughs] You know that you wouldn’t, like, in some cases they are the sweetest people in the world and I just… you know, I’d want to like run out in front of a train [laughing] if I had to hang out for like ten hours or something so, yeah, whereas so, I have these other friends since high school and so it’s, yeah! And again I think that’s just how people interact, I don’t think that’s a mark against like how they play or what they’re like, like I say most of these people are wonderful people and it’s just…
I: It’s just different.
P: Yeah! And that’s okay, in fact that’s great, you need this variety.
P3L308: (Female, 32, Canada)
I: Nice, do you think that is sort of playfulness helped draw the two of you together?
P: I think so, I do, and I think there’s times like, I think, I, I am playful but I think he’s probably more playful and so then he’ll be like ‘don’t be so serious’ about a few things and so then it helps make a bit more light-hearted and um, those kinds of things, but I do think it does draw you together and you kind of see someone that, you kind of have the same sense of humour the same idea of what’s fun, and so then you naturally wanna, yeah, hang out and joke around and do those kinds of things so.
I: Absolutely, and so is that the same with your friend group as well?
P: Yeah, it’s, yeah, I think so, everyone’s pretty easy-going, just likes to have fun and you know, joke around and laugh and that kind of stuff, so, yeah, and I think that the few that didn’t… I don’t, you’re still friends with them but it’s maybe not as deep as a friendship over the years just because you don’t have as much in common and, or the same kind of viewpoint of life and that kind of stuff, so.
Participants 2, 16 and 3 discuss how play style influenced who they spend time with. They also acknowledge that they are still friendly and friends with people who are not similar to them, but that those friendships do not deepen or grow, and in Participant 2’s case, remain at a ‘colleague’ level only.
Play style was not only relevant in whether or not relationships deepened, it also influenced how participants played. Social play, in particular, was susceptible to play style, as participants who did not have similar play styles as their peers were often isolated.
P7P20: (Male, 25, Canada)
For social games, I had trouble/distance since college. Didn’t see what most people were laughing at, or why I should join in. I constantly saw people teasing/insulting each other, it made no sense, I preferred exchanging facts or discussing opinions. I tried, but my insults weren’t “ok”, so I stayed on the side line more and more only “coming in” to drop jokes, overrule advice or play a game, change a track…I figured that was kind of pointless and set all my efforts to solo/impersonal types of play/flow through my interests.
P5P4: (Female, 26, Canada)
I remember that I used to get picked on at school a lot and left out of games at recess which was why I liked playing on the playground doing solitary things like the monkey bars and flying fox, or climbing up on the roof of the little huts and sitting there alone. I used to get “picked” as the tire pusher and didn’t get to be on the swing as much.
For Participants 5 and 7, having a different play style from their peers resulted in them engaging in solitary play and feeling left out. Having differing play styles is not necessarily the end of all communication, for example, Participant 14 has a different play style from her husband and discusses their differences:
P14P23: (Female, 58, Canada)
As for my husband I always call him Master of Leisure as he is unwavering in his pursuit of extreme sports in his leisure time. Though oddly this creates somewhat of a fracture between us as I am not interested in his sports (motorcycles, kitesurfing) finding them
frightening and he does not read much for pleasure so I find we often play separately. But then there is sex and that is very playful between us.
Even though Participant 14 has a different play style from her husband they still share common ground. She remarked later in her interview that they both love animals and have other shared interests.
From these examples we see that, in adolescence, play style can dictate whether you play with others or alone, but in adulthood, different play styles do not lead to isolation so much as simply not playing together. Similar to the quotes above from Participants 2, 16 and 3, adults are still open to relationships with people of other play styles, they just tend not to spend their ‘play time’ with them. Participant 2 also mentioned the idea of work friends and how playfulness can manifest at work. As previously mentioned in the chapter, play at work was mentioned by nearly every participant. Some manifestations of this came in the form of playfulness—banter, jokes, and pranks, but other participants created games and play activities to motivate themselves throughout the day. Some of these forms of play would be very difficult to ‘diagnose’ as play from observation alone, which brings us to our next theme: It Is Not What You Do, It Is How You Do It.
4.2.4 IT IS NOT WHAT YOU DO, IT IS HOW YOU DO IT
Figure 8: Coding structure for the theme ‘It Is Not What You Do, It Is How You Do It’
Sometimes the same activity can be both play and not-play, depending on the context in which the activity is engaged in. An example of this was presented earlier, with Participant 2’s experience with structured martial arts, where in one setting this became play, and in another setting it was deemed too serious and ceased to be play.
P2L187 (Female, 28, Canada)
I did Tae Kwan Do again briefly afterwards. I consider them play, but I don’t think everybody else that does them considers them play, and it, it depend on the gym, the time that I went back to, to Tae Kwon Do, I think mid-way through my undergraduate degree, I don’t even remember, but the dojo was very serious
Many of my participants mentioned similar activities, but disagreed on whether or not that activity was play. We have already seen an example of this with intense, structured sports, which is play to Participant 1, but was not considered play to Participant 6, despite her enjoyment of it. Reading also came up as an activity that some participants listed as play, but others considered it to be a pleasurable past-time and nothing else. This brings up an interesting point for thought: we often think of play as something we would recognize if we saw it, but as my participants recounted their memories, they gave me a series of examples of past-times and activities that many people would not consider play, and likely would not ‘diagnose’ as play if they were to observe someone engaged in them. I have dubbed these examples ‘invisible play’, which is a category of play behaviours made up of the codes educational play, intellectual play, and mental play.
Invisible Play:
Educational play emerged most often within this category, but I also considered daydreaming, reading, and chores to be coded examples. Chores-as-play will be explored more thoroughly in another category, Play at Work, though I felt it overlapped with both. Invisible Play is more concerned with play activities that if observed from the outside would probably not be seen as play. Participants 5, 7, 8, and 11 all illustrated situations where educational or intellectual activities were considered play to them. These experiences spanned childhood to adulthood, showing that these invisible forms of play are stable across the lifespan.
P5P9: (Female, 26, Canada)
I was a studious type, so I spent a lot of my time doing homework. Looking back on it, some of that could even be considered “playing”, like doing an entire math work book or French verb conjugation booklet, without it being assigned, because I wanted to. (As an aside, I finished my masters in January, and I’ve actually reached the point where I miss school work enough to want to dig out textbooks and do practice problems, for fun! I actually had a ridiculous amount of “fun” studying for the Fundamentals of Engineering exam in April
P7P1: (Male, 25, Canada)
There was a bit of educational playtime that I enjoyed, doing arithmetic exercises.
P8P8: (Male, 40 USA)
On my 45-minute commute home or to work I listen to audio books on quantum theory and metaphysics
P11P14: (Female, 20, Argentina)
But my play changed recently also. A couple of months before I turned 20, I discovered my passion for writing. I discovered that once I started writing I couldn’t stop. And I know that writing is also a way of play, a different one. Because I can play with the characters of the stories, I can play with different life situations and resolve them the way I like.
Again, from the perspective of an outside observer watching someone commute to work, write, or do their math homework, I am skeptical that these activities would be labelled play. There were also examples of purely mental play, which is completely hidden from external view. Participants 14 and 15 both provided examples of mental play, or daydreaming:
P14P18: (Female, 58, Canada)
I feel I play all the time in my life and nothing is so exciting to me than a profound conversation (or book) full of ideas in which I can feel my brain going ooh and ahh as my neurons carve out new pathways and eureka moments light up my head. Writing these responses to your study fascinates me and I play around with these ideas as I write happily. I also love nature and being in it and when I garden or kayak I find myself in conversation with the earth or water, creating little scenarios, developing imaginary narratives, fantasizing different lives, different ways of being.
P15P8: (Female, 60, USA)
Yes I think it served the same role as when I was younger as it was away from adults but more private, a more internal pursuit. I could be alone with my own thoughts, day dreaming. I still liked walking places with my friends and being independent.
Mental play is interesting because not only is it completely hidden from view, but it also exists in a place unshared by any other person. This form of play is completely isolated and private and can occur anywhere and during any time as it only requires the presence of a mind. While there are some facial cues that might identify someone as being lost in thought, it would be very difficult to discern whether or not someone was mentally playing without actually asking them.
Many of the above quotes would be considered unstructured play, perhaps with the exception of Participant 5’s homework sessions for school that ended up becoming intellectual play for her. There is conflict within the play field regarding whether or not structured play actually is play, given that it is not player-directed. Continuing with the theme of It Is Not What You Do… I found my participants largely all participated in both structured and unstructured activities and considered both to be opportunities for play.
**Structured and Unstructured:**
Participant 17 mentioned how his play transitioned from unstructured games in childhood to more structured games in adolescence.
P17P8: (Male, 36, USA)
I’d say that transition started to happen around age 10-11. By then, many of the boys in school were starting to focus on sports more than less-structured playground games.
For Participant 2, adding some structured play to her routine meant that she had dedicated social time and was able to engage in more group play:
P2L387 (Female, 28, Canada)
And then, yeah, and, again, like, the structured play was very, very nice, it was, it was… a very good way to, first of all, ensure that you actually saw your friends, that you don’t become too insular, it was a way to explore creativity in a, like all my other creative pursuits are very-- like they’re just, they’re just me, you know?
Participant 10 agreed that structured play has its place.
P10P21 (Female, 47, USA)
In many ways play facilitates connections, helping people become more comfortable with each other. Most usually it just happens, but now and then something structured/predetermined is useful.
Both of these participants emphasized the social benefit of structured play, where structure allows for parameters that allow people to set aside time for play, and be more comfortable engaging in playful behaviour. Participant 12 provided a comical example of adults relearning how to play with loose parts in an unstructured environment. Her story begins as a workshop she conducted where adults reconnect with their playful selves. The workshop involves piles of loose parts that the adults are to explore and play with, on their own without instruction.
P12L368 (Female, 57, USA)
Now what is hysterical is that we don’t look at them, because they keep waiting for us to stop and they are embarrassed, and they don’t feel comfortable, and they are kind of looking around the room seeing what everybody else is doing first, … it is priceless to watch it happen, and then after about, maybe five or ten minutes it takes them, then they begin to pick up the materials and to look at them, and then it takes them maybe 15 or 20 minutes to get fully engaged, and then once they are fully engaged, we let them play and the room is absolutely quiet except for the sound of materials.
Participant 12’s example also illustrates that while some adults are rusty with disuse of their unstructured play muscles, they can relearn how to play and take initiative without structured direction.
4.2.5 STIGMA
Figure 9: Coding structure for the theme ‘Stigma’.
Many participants felt that during adolescence they were intentionally distancing themselves from prior play behaviours in order to express that they were no longer children. Here there is a division between participants who are extremely playful and participants who are more moderately playful, a differentiation explained further in depth during the adult portion of this theme. Extremely playful participants were less concerned with what others thought of them, and continued to invest in playful pastimes and generate playful opportunities. In contrast, moderately playful participants mentioned their conscious efforts to distance themselves from play, and for some, feelings of sadness or regret that they had to choose between friend groups and playing.
P11P13 (Female, 20, Argentina)
And when you start getting older, specially a teenager (at least, that’s what I observed here in Argentina), is that they think that because they are teenagers they are, boys and girls, more cooler, and that play is for children.
P14P13 (Female, 58, Canada)
Adolescence was terribly serious for me and I felt at the time I had lost play, or the ability to play. I have a vivid memory of being with my family on a trip to our country place stopping for one of our famous winter picnics (basically you stand around freezing eating sandwiches) when my younger brother and sister started fooling around and I let loose and joined them, swinging them around in the snow, falling down and laughing and I was very aware of how I had let down my adolescent defensive attitude in that moment and how much I missed playing like that.
P3L143 (Female, 32, Canada)
I don’t know, there wasn’t much… I don’t know, and it was strange because as soon as you hit grade 7, like junior high, it was the same friends but then you got there and it was like, no, we’re too cool to play tag, we’re too cool to go run to the back of the field and get the pinecones and whatever, it’s like ‘no we’re not doing that, we’re just doing to walk around and yeah, just talk, right?’ [laughs]. … So it’s like, kinda lame [laughs] Oh well [laughs].
During my interview with Participant 3 we explored the idea of perhaps not play, but still some playfulness during adolescent years. Her story touched on reckless play, a common fixture in adolescent play behaviours, and distancing, but also incorporated a shift in perspective, where what was ‘cool’ as a teen was no longer deemed ‘cool’ as an adult, similar to how in Participant 1’s story about driving, what he thought was cool as a teen was later deemed immature and an act of play.
P3L151 (Female, 32, Canada)
I: But, in your talking, your hanging out, did you see like aspects of playfulness, like banter, teasing, laughing?
P: Yeah, yeah of course, it’s like joking around and trying to, um, I guess there was one, like we would go, my one friend’s house it was just really unique the way it was laid out, I think they had two stairwells and I just remember going over there and we played … but there would be the like the wood beam with the towels so kind of like tag, with towels [laughs] so and you’d kinda that would sort of be going on in the middle of sort of hanging out and yeah, the mom would get mad because all her stuff would get wrecked, right? So. Yeah, and then I think we, we I don’t know, it’s like playing, maybe playing
some card games …like Crazy 8s or those sorts of things, like I think maybe doing that but not very often it was more just hanging out, kinda joking around, yeah.
I: Strange how that happens.
P: I know, you’re just too cool, right?
I: Yeah you are. You’re too cool but the things you do are so lame.
P: I know, very lame! [laughs] Like we’re all just sitting in the room, like staring at each other like—fun! [laughs] Yeah.
**Social Stigma:**
In contrast to the distancing behaviours and change in perception of my moderately playful participants, my extremely playful participants continued to hold pro-play beliefs throughout their adolescence. This attitude became the main difference between participants who were moderately playful (but would give playing up if they thought there might be a negative social reaction) and extremely playful participants (who would continue to play no matter what another person thought of them). Here are a series of examples of my moderately playful participants contrasted against my extremely playful participants.
P13 (Female, 59, USA): I had to force myself to stop “story stringing” … (my father and brothers and sisters used to make fun of me for doing it)... I didn’t really want to stop doing pretend play, but no one my age would pretend anymore and I was considered weird enough anyway.
P4 (Female, 22, USA): So yeah it kind of is, I guess, like if it would be more acceptable to go out and build weird little things in the background I might not have played Minecraft as much.
P3 (Female, 32, Canada): I think [play] started seeming more important college age, like around 18 or so. 19. Because, then, at some point you stop being so worried about trying to be an adult and then you realize it’s important to have fun, too
These quotes provide examples of barriers to continuing play in adolescence. Participants mentioned wanting to fit in with their peers, like Participant 13 above, or being shamed for their play behaviours as reported by Participant 4. Participant 3 shared her experience, echoed by
others, of wanting to be an adult, and having this concept that to be an adult meant not having fun or playing. Extremely playful participants displayed a very different set of beliefs and behaviours:
P11 (20 Female, Argentina): I never felt I was too old to play, and I think I never will, and if that happens one day, I want everybody to remind me how important play is. On the contrary, I’m always looking for play, in any way I can.
P16 (Female, 38 Canada): I don’t recall a time when I have felt too old to play. Play has always been a core piece of who I am.
P15 (Female, 60 USA): Play has a huge role in family relationships. We love to get silly with toasts and roasts when sharing a dinner. Younger members of the clan learn to laugh along with the silly grown ups and even develop resiliency when the teasing turns to them. You have to be able to laugh at yourself.
P2 (Female, 28, Canada): …so I think [my friends] really want to like, put themselves out there as this like hyper-professional, hyper, and you know, I’d rather put myself out—as me! [laughs] If they don’t want to hire me that’s fine, I probably don’t want to work for them! [laughs]
The last quote, from Participant 2, was regarding how her friends would portray themselves as ‘professional’—meaning no play, and no evidence of caring for non-work related interests, in response to the difficult economic situation facing new-graduates. Quotes from extremely playful participants exuded confidence, adult playful role models and families, and a strong internalization of playfulness that was central to who they are. The commonality across these quotes involves social modeling, where if moderately playful individuals felt they would receive a negative response for their play behaviours they would cease them, and where extremely playful participants had pro-play family members and felt comfortable being themselves regardless of what others might be doing.
The stigma against play, shrugged off by my extremely playful participants, was noticeable and several of my participants commented on how society shapes play behaviours. As my participants reflected on play as adults they tended to critique mainstream social perceptions of play:
P14P19 (Female, 58, Canada):
It took me years studying to adult play to recognize what I do as play, to realize the limitations of our prejudicial stereotypical view of play as what children do.
P16P27 (38, Female, Canada):
I feel as though society does not value play, which is very sad considering all the ways it has been shown to benefit animals, children, and adults. While society sees play as losing its value at younger and younger ages, I do not feel as though play should ever be devalued.
P17P7 (36, Male, USA):
In a sense, children are the most free humans - they can play, invent, imagine, and only later in life do other people start to place constraints upon them and shame them for being "silly".
P14P34 (Female, 58, Canada)
Never, it is our perception of play that shifts and much of that is due to a cultural bias, in the social stigma that play belongs to children and young animals. I have rarely met an elderly person who does not play or know the value of play. Actually I think those in their third age are more playful than most teenagers I know as they are substantially less self-conscious, and not burdened with the need to prove themselves.
Participant 14 touches back on the perception that some participants reported having as adolescents that play is strictly for children. Many of my moderately playful participants echoed this sentiment, internalized it as teenagers, and later began to shrug it off as they grew older.
P4L125 (Female, 22, USA)
P: So... I'm trying to think of other things that I would have done around that time. Um. It's kind of sad, I don't remember doing that many things just for fun, like playing after 15 or so.
I: Was there something that got in the way of it or were you just not interested, or...?
P: It was, some of it was that, with, with most of my friends they were not, I don't know, kind of trying to be grown up and like not do childish things, um. Oh, I guess on my own I did some crafty things, I was kind of into making jewellery for awhile and I wasn't very good at it, but it was fun.
P1L438 (Male, 21, Canada)
I couldn't tell you why it became less cool but... it's kinda just like, I don't know, my sociology training is like societal norms, it just did, it fell out of favour, seen as kind of kid stuff, so I don't know if we were trying to distance ourselves from student, like
obviously we knew like the younger students, the younger grades but, you know, *aw, that’s for young kids we don’t do that anymore.*
**Over-Structure:**
During adulthood many of my participants voiced the struggle to find time to play. Play, seen as a pursuit only for children, is not included in the social structures and schedules that adults find themselves ushered in for work or school.
P16P20 (Female, 38, Canada):
Playfulness is a part of me, all the time. It remains dormant, however, when too much structure is placed on my activities or my tasks
P5P19 (26, Female, Canada):
I wish that I had played more during my bachelor’s degree because when I look back on that time, I feel like I spent too much time doing homework and studying, especially on courses that I didn’t enjoy
P11P10 (20, Female, Argentina):
Sometimes when I’m really stressed I want to go back when I was 5, 6 years old because all that mattered at that age was play and no worries, no responsibilities.
The lament of over-structure, desiring a respite from responsibilities, from proper behaviour, or wanting to go back to that freedom of spontaneous play was a common thread across interviews. Participants reflected wistfully about the freedom they felt they had as children, and often spoke about being able to do whatever they liked during their play time.
P8P3 (Male, 40, USA)
When I think back on my early childhood I think of all of the carefree quiet time, childhood wonder, and close friendships.
P9L31: (Male, 49, Germany)
I had to be back by dusk, and my parents were completely relaxed about me coming back because that was the iron law as we say, there was no way around being late, and they didn’t bother really what we did. So we went into the forest, where we lit fires, we had little battles from the other village, and that was complete freedom.
P14P12 (Female, 58, Canada):
Remembering this makes me feel nostalgic for childhood and the freedom to just be whoever you imagined yourself to be at the moment, to have those long stretches of time
ahead of you on a summer day, where life seems full of promise and rich with potential. These days when I have a day free of responsibilities I often find myself fretting at the non-productivity, it takes me a number of these days to finally unwind and revel in the pleasure of strolling, daydreaming, doing nothing.
Participant 14 also reflected on the struggle to allow herself to have free time, and how it can be difficult to let go of the notion that we should be productive all the time, to just relax and play instead. It is unfortunate that this sample did not also include children, as it would have been interesting to see if children perceive themselves as free from expectations of productivity or if they, too, feel burdened by work and expectations to be *doing* things during their free time.
**Summary:**
Overall, as participants aged, play transitioned in several ways, all of which involved a process of *refining*. Participants recollected that as children they began with the capacity to play with anyone, anywhere, at any time. As they grew older, participants told stories of transitioning into adolescents and young adults, navigating peer groups and social expectations, and how their perspectives and behaviours of play changed during this time. Some participants displayed extraordinary playful capacities; they resisted social barriers and identified strong urges to maintain play, despite the nature of that play evolving, as they aged. Other participants shared memories of faltering during adolescent years and losing their ability to play as freely as they would have liked, although most were able to begin playing anew in adulthood.
From childhood to adulthood, play habits began as being expressed largely through physical movement in childhood, motivated by the need to explore. Social games and structured sports emerged during adolescence, and these behaviours narrowed to mostly social playfulness in adulthood, with each participant offering a cluster of play-based activities they enjoyed with friends or on their own. Within each individual interview, participants refined their range of play behaviours as they grew older, honing in on activities and playful orientations they enjoyed and could share with friends, solidifying their own, unique, playful identities. Most participants reported similar specific play habits in childhood that they continued to engage in during adulthood. Participants that enjoyed sports as children still enjoyed sports as adults, and participants that recollected world-building activities in childhood (Lego, imaginative storytelling) continued to engage in these forms of play as they grew older (filming movies, engaging in role-play games, writing). In these stories, personal play styles became more apparent as
participants held on to certain play behaviours across their lifespans while discarding others, and by participant friend selection, where friendships with similar play styles were retained and allowed to deepen, while individuals with differing play styles were often only kept as acquaintances.
When recounting childhood memories, participants spoke of their play habits and activities as spontaneous and constant. As they grew older, their memories shifted towards planned activities and having to make a conscious effort to find opportunities for play. Playfulness, by contrast, seemed to remain spontaneous, and was consistent across the lifespan. The findings of this research were largely consistent with the literature and can be explained by theories of play from a range of disciplines. There were, however, points of contrast and areas of illumination. These consistencies, contrasts, and illuminations will be explored in the Discussion chapter.
5.0 DISCUSSION
The purpose of this study was to discover how play changes as we age, to seek the value of play as experienced by participants, to find out how adult participants perceive their current engagement in play, and whether or not there are vulnerable points in the continuity of play across the lifespan. The study was undertaken within the discipline of health promotion, however the biases and values of health promotion were purposefully set aside during the interview and analysis to comply with the qualitative process of bracketing. The results of this research aligned with pre-existing literature, particularly data that emerged from participants’ memories of childhood play. This chapter will explore: the definition of play as provided by participants contrasted against the definitions of play purported by academics; the main themes relative to extant play literature and theory; and, aspects of wellness, framed by the Wheel of Wellness, which were often overtly implicated by participants’ in their discussions of play. One of the difficulties in discussing the findings in a linear manner is that the various facets of play yielded from the data were commonly interrelated across themes. Some of these interrelated pieces, such as stigma, or play at work, will be explored separately, in full, and touched on briefly within the themes they overlap with. Following this chapter, implications for public health and health promotion, including a critique of public health’s current involvement in play will be discussed in Chapter 6: Conclusion and Implications for Public Health and Health Promotion.
5.1 CONCEPTUALIZATIONS OF PLAY
The most obvious difference between definitions of play, when comparing academic literature to participant responses, is the emphasis on fun. Participant definitions of play stressed that fun must be an aspect of their play behaviours or they could not be considered playing. The moment an activity becomes fun is the threshold to which an activity becomes play. Some academic researchers have been hesitant to claim fun as being necessary to play as they saw having fun as being at odds with the serious nature of some play experiences (c.f., Henricks, 2010), while other researchers take up the opposite stance and believe that fun is mandatory for an experience to be play (c.f., Bergen, 2009). The ancient philosophers Plato and Aristotle both seemed to hold the idea that play could be either fun or serious (D’Angour, 2013; Motte, 2009), but the participants of this study did not dichotomize seriousness and fun, instead they welcomed both states simultaneously.
The inclusion of flow into play experiences was largely agreed on between the literature and participants. Most participants were already familiar with the concept of flow and used the term explicitly. Other participants eluded to flow by mentioning total engrossment in their chosen play activity, combined with the sensation of losing track of time and spending hours in the moment. This is an area that warrants more exploration. Play can be fluid and spontaneous, sometimes only existing for a mere moment (Henricks, 2008); such fleeting experiences of play seem unlikely to spawn flow states, so it is plausible that there is play without flow. What does play without flow look like compared to play with flow? Do these two different states of play have different functions?
Flow can be described as the equation of concentration, plus clear goals, immediate feedback, and the intersection of challenge and skill level, that together equal a positive experience notable most for its erasure of sense of time (Csikszentimihalyi, 2008). In participant responses, flow and play coexisted in multiple variations. Flow experiences during solo play often involved physical or intellectual tasks that challenged the player to push boundaries (the goal) and were engrossing to the point of flow. Flow experiences during social (or group) play manifested in a different manner. In social play, the concentration of the players is focused more on their fellow players, reading body language, altering rules, and both co-creating and maintaining a level playing field. While there may be skills required to play the game or activity engrossed in, another set of skills - social competence and emotional intelligence - are being honed to be able to read fellow playmates and make the necessary adjustments to the game to keep the play experience continuous. The ultimate goal of play is to keep as many players playing for as long as possible.
It is unsurprising that both academic and participant definitions of play prove troublesome for providing diagnoses as to whether someone is playing or not. Play is the manifestation of the trait playfulness, which lies in the mind, away from view (Gray, 2009). This can be readily seen through the ‘invisible’ play behaviours of the participants, many of whom turned every day activities into play (school work, commuting) or played alone in their heads with their thoughts (day dreaming). Daydreaming is an interesting form of play in that it is completely private. It can be shared with others after the fact, but in its moment it exists purely in a world of one’s own making. This private world can be an ideal location to sort out personal worries and problems through imagining different possibilities and rehearsing strategies to
situations that may (or may not!) crop up in the future. In essence, this form of daydreaming is the adult equivalent of the ‘floor is lava’ - where problem solving, creativity and divergent thinking are exercised in a realm of fiction. Daydreaming can also be a source of whimsical entertainment for when a person is bored and in an environment where more overt forms of play may be inappropriate. Not all mental play involves daydreaming, however. Participants in this study also shared a fondness for mental stimulation in the form of intellectual pursuits - playing with scientific ideas and computing answers in their heads for the sheer fun of it. The benefit of this invisible form of play is that it requires no props or tools, it can be undertaken anywhere and costs nothing to engage in.
The lasting impression fostered by the participants’ definitions of play was that play invokes a particular sense of joy that is uplifting and deeply motivating. Though the results of this study are not generalizable (and are not meant to be), future attempts to define play should take care not to neglect this aspect of play, as it is possible that fun is a pivotal characteristic of what separates play from other states and orientations. A detailed analysis of happiness and play is presented further on, in the theme of Wellbeing.
Lay conceptualizations and definitions of both adult play, and to a lesser extent, adolescent play may be subject to stigma. The stigma against adult play in Western societies has been articulated by play scholars as the product of Protestant influences and the values of industrial growth, which promote arduous labour and productivity over lighthearted fun (Cross, 2008; Henricks, 2008). In a capitalist society, there is still heavy emphasis placed on an individual “being productive”, a stance that disproportionately values work and pushes play to the fringes of acceptable behaviour. Yet, play and productivity are not at odds: examples of this can be found from the participants in this study, who used play during work to create games that would motivate them to work faster and more effectively. Some forms of play may indeed be frivolous, may involve disconnecting from productive work, and these forms have become overgeneralized as the mascots of play (Barnett, 2007; Proyer, 2012). This focus on certain forms of play over others predisposes some individuals against the notion of play simply because they have not been exposed to types of play that resonate with their own play styles. The inclusion of invisible play may also obscure the full range of what play can be, leaving the more overt forms of play to take centre stage. In particular, loud, silly, unruly play tends to garner the most attention and has gained a reputation for inciting poor behaviour (Peeters, 2007). Much as
there are play styles for competitiveness and collaboration, I believe there are play styles for chaos and order that can be seen most vividly in an individual’s preference for either structured or unstructured play.
Many adults do seem comfortable with the notions of play and being playful, however. Pranks, teasing, and banter are among many ways that adults express playfulness in ways that would not be categorized as leisurely or recreational pursuits, as they exhibit the spontaneity and fluidity of play, as opposed to structured, time-bound activities. Conversely, several participants in this study also overtly mentioned that some structure can be helpful in coaxing inhibited individuals out, and allowing them to become comfortable with playing. Using structured forms of play to ease self-conscious adults into playing shows that a person can become more playful over time with the right encouragement and environment. Recall the example given by Participant 12 that involved a series of workshops she ran on adult play where adults required more instructions and wanted to know ‘what do I do?’ before they felt confident enough to engage and eventually switch to free play. It would be interesting for future research to investigate how people who self-report low levels of playfulness define play and conceptualize play. Would there be patterns in their definitions? Do they have a narrow conceptualization of play or is there a particular aspect of play they are adverse to? Do they wish they were playful (or that others were not)?
5.2 PLAY AS EXPLORATION
The theme of play as exploration is widely supported by academic literature across a range of disciplines (LaFreniere, 2011; Burghardt, 2010; Henricks, 2008; Winther-Lindqvist, 2009; Lancy & Grove, 2011; Bergen, 2009; Woolfolk et al., 2010). Differing disciplines focus on different facets of exploration (social, physical), and how play-based exploration contributes to development, primarily childhood development. The results of this study help tie all of these disciplines together and locate play as a foundation to wellness. Across interviews with participants, exploration was experienced across multiple domains: social, physical, and introspective.
In social play, study participants reported group play with peers more often than family play, though there were many instances of both. In their group play, participants often created new worlds, negotiated rules, and explored the idea of fairness and boundaries. These forms of
play help develop the child’s value system and cultural orientation as they construct and deconstruct meanings taken from the world around them (Woolfolk et al., 2010). Participants often discussed incorporating ideas that they read about in books, or watched on television, into their play, but they also created worlds simply from their imagination. Media is often portrayed negatively and as a barrier to play, however participants in this study used what they learned from media outlets to try new possibilities and ideas, shaping them and exploring them, and making them their own. Often the games that children created, inspired by media, became very physical games, variants of tag such as Cowboys and Indians (two groups of children chasing one another in territorial battles), or pretending to be wizards from Harry Potter and running around casting spells on imaginary foes.
Physical exploration during play was readily seen across all interviews, where participants described running, climbing, swimming, and jumping during their childhood years. As participants discussed play across their lifespan, their physical explorations were increasingly confined to structured sports, though a couple of participants mentioned they rode their bicycles around town with their friends. The desire to engage in physical exploration continued to taper in adulthood, however it is important to note that just because a participant did not consider physical activity to be play, it does not indicate that they have abandoned physical activity altogether. Play changes as we age, it evolves and refines relative to life experiences and circumstances. Across these interviews, participants recounted the strong push to be active, and the idea of physical activity being fun seemed to drop off in adolescence in favour of social exploration.
The transition of play from physical exploration in childhood to social exploration in adolescence is best explained by Erik Erikson. The fifth stage of psychosocial development, according to Erikson, is that of identity versus role confusion (Erikson et al., 1959; Woolfolk et al., 2010). During this stage, adolescents strive for identity both individually and through their peer group. Noticeably, participants recollected stories of striving to ‘fit in’ with their group of friends, and having to either adjust their play activities accordingly, or specifically aligning with friends who would play the same way the participant wanted to. Peer groups are important during adolescence as a source of social connection, influence, and social development (Woolfolk et al., 2010). Given that people are able to foster and maintain social relationships and positive bonding through play, we might expect an extremely playful adolescent to experience
buffering from stressful or negative situations, greater than their lesser-playful peers. Research in this area shows that playful adolescents *are* less affected by stress (Hess & Bundy, 2003), but that playfulness may hold an indirect role in stress management by prompting adolescents to engage in more play behaviours, feel happy about their play behaviours, and thus mediate the adverse effects of stress (Staempfli, 2007). Other research indicates that highly playful adolescents report better self-confidence than their less playful peers, which likely influences their perception of stressors as within their control (Staempfli & Mannell, 2005). Playful participants in this study did have positive memories of their adolescence, though a minority of participants mentioned hiding their playful tendencies from some friends, and only indulging in their play with ‘best’ friends or as solitary pursuits.
Another explanation for engaging in social play during adolescence is that through play, adolescents can practice and try on new versions of themselves through imaginary play, and in doing so help hone their visions of what type of person they want to become (Bergen, 2009). Examples of this social exploration can be seen in the participants who engaged in world-building activities as teens (drama, or story-telling), and in adolescents who played experimentation games like *Truth or Dare*, another form of testing boundaries and figuring out where they fit in. Building worlds of their own allowed participants to experiment with creating laws, societal structures and infrastructure, depending on their medium of choice, as well as participating in the worlds they created by casting themselves as characters and trying on new lives and different personas. World building play allows people to make connections between the reality of the now, and the potential of a future, imagined self (Bergen, 2009). World-building play does not require other people, it can be a solitary event through writing or construction play, but participants most often engaged in this activity with others, either collaboratively or in parallel play. Participants continued world-building play habits into adulthood, through mediums of writing, role-play games and day-dreaming.
While most research on ‘play as driving exploration’ comes from studies on children, the building interest on adulthood helps to capture social exploration through play (Fredrickson, 2004). Sociologist Huizinga (1949), theorized that culture itself is built through play, and that the play of individuals (his research focused on adults) create the arts in which our societies treasure and express themselves, great literary works, plays and musical compositions, to name a few (Henricks, 2008; Henricks, 2014). Participants in this study did engage in play, both structured
and unstructured, and often chose play activities that expanded their knowledge (audio books, museums and science centres), built artistic skills (such as writing), or engaged them in crafts, or allowed them to take on new roles and characters (role-play games). Many participants, however, mentioned their sense of *playfulness*, their ability to change an everyday occurrence into play, or the social play that they initiated across different environments (work, school, family and friends). Playfulness seemed easier for participants to engage in, as it can be done anywhere with anyone at any time, whereas play activities often involved specific places, people, and things.
Overall, participants explored themselves, their peers, and their surroundings through play from the time they were children to their current ages (young adult to elder hood). There was a clear transition from physical exploration to social exploration concurrent with aging described by participants across interviews, but many participants who engaged in structured sports, in particular, continued to engage in them into their adulthood. Transitions from physical to social engagement in play revealed in this study mirrored literature and theories of child and adolescent development (Erikson, et al., 1959; Piaget, 1950; Sutton-Smith, 2008; Vygotsky, 1978; Gray, 2011b). Of the themes that arose from the literature, *Play as Exploration* yielded the most consistent results with current research (Gleave, 2009; Frost et al., 2004; Fiorelli & Russ, 2012; Eberle, 2011), and contained very few surprises, likely due to the fact that exploration is entwined with development, and this facet of play is without a doubt the most studied and researched.
An issue within exploration that is not researched as thoroughly, is the idea of holistic risk. Risk, particularly when studied from health and educational fields, often focuses narrowly on physical risks undertaken by children and teenagers (Kimbro, Brooks-Gunn & McLanahan, 2011; Hemming, 2007; Brockman et al., 2010; Veitch et al., 2007). Risk in active play is currently a contentious issue as parents and teachers are fearful of letting their children experience risk lest they be injured (Fox, 2004), yet active play is currently promoted as one way of mitigating the risks associated with sedentary behaviours among children (Fox, 2004; Kimbro et al., 2011; Kriemler et al., 2011; Trost et al., 2008) Attempting to restrain children from more active forms of play does not block children from experiencing risk, as children are adept at finding risk elsewhere, either in unconventional spaces like ravines or as part of social risk, chiefly on the internet (Jenkins, 2006; Frost, 2012; Internet Society, 2012; Turkle, 1995). The internet can be one of the few environments where children can be anonymous and unsupervised
in their play, making it a virtual playground for all manner of social and emotional risk. Social and emotional risk are not just for children; teenagers and adults engage in risky play within these domains as well. Examples of risk from social and emotional domains can include playing Truth or Dare, watching horror movies, reading adventure or thriller books, or pretending to be someone else in a digital game or social media site. Like physical risk, social and emotional risk carries the potential for hazards or genuine dangers, and also like physical risk, children and adolescents must learn to navigate these waters safely as part of optimal development.
5.3 WELLBEING
Childhood memories of play incorporated words of fun and happiness, and while those themes were ever-present across interview foci across the lifespan, the emotions spawned by play were most present in the participants’ recollections of play experiences as adults. This transition towards an emotional driver of play was accompanied by the transition of social play becoming emphasized over physical play. Participants often spoke about how the positive affect provided by play helped them connect with other people and build their social bonds.
Happiness and social connection also both contribute to wellness. As seen in the Wheel of Wellness (p. 96) positive affect is a component of spirituality, which lies at the center of the wheel. Social connection contributes to several of the life tasks and subtasks outlined by the wheel, notably those of Friendship, Love, Community and Family. From the participant stories in this study, the positive affect and social connections provided through play also contributed to subtasks of stress management, coping, sense of control, and self-care. Participants managed stress and coped with adversity through play by gaining distance from troubling issues, letting their subconscious tinker away at problems while they focused on their play, and surrounding themselves with friends and laughter which increased their happiness and relaxation. These findings are not entirely surprising: previous research notes that playful adults are more likely to use healthy coping and active coping strategies than their non-playful peers (Proyer, 2012).
The happiness that play invokes, maintains, and motivates is crucial to play’s role in wellbeing. Positive affect is a prevalent feature in models of wellbeing (Ryff, 2014; Roscoe, 2009, Ryan & Deci, 2001; Renger et al., 2009), and is often located within an overarching trait domain, for example, emotional health (Myers & Sweenet, 2004; Ryan & Deci, 2001; Renger et
Using the Wheel of Wellness as an anchor for this discussion, play-driven-positive affect can be seen below as influencing multiple areas of the wheel.
Figure 10: Components of the Wheel of Wellness facilitated by play.
The state that happiness brings also calls back to the Broaden and Build theory, which explains how happy people broaden their minds to new ideas and opportunities and can expand their available resources (Fredrickson, 2000; Fredrickson, 2004). Participants in this study echoed this theory by commenting how when they played they felt happy and open to new experiences and connections with other people. The result of this positive-affect-driven openness was that participants broadened their social networks through play, and reported creating new ideas while playing. Participants also created balance and cared for their mental health through play - achieving happiness during stressful periods of life by making sure they had time to play. The joyful aspect of play is not only important to differentiating play from other concepts, but it is also a significant pathway in which play influences and promotes wellbeing across multiple domains and subtasks. Ultimately, the relationship between play and positive affect leads to the creation of two outcomes: reframing and broadening. A model of this relationship can be seen
Figure 11: How play facilitates positive affect, and encourages the broadening of both internal and external resources.
Playful states broaden an individual’s resources and options for action, whereas negative states narrow an individual’s repertoire for action. The participants’ stories of positive mental health and play, in combination with Sutton-Smith’s research on the polarization of play and depression (Sutton-Smith, 2008), make me question whether it is possible to be simultaneously depressed and playful. It seems unlikely that the two opposing states could be maintained at the same time given that one state broadens while the other narrows. Several participants voiced their experiences with depression and noted how being depressed could become a barrier to play, but if that barrier was surmounted, that play provided welcome respite. Such breaks from negative affect seemed to serve as lifelines, and as tethering moments, that kept participant’s heads above tumultuous waters.
Positive affect was ultimately the underlying universal aspect of play that arose from this study. Every participant mentioned the positive emotions they felt while playing, and many of them described how happy they felt just reminiscing about their past play experiences. While there is a large body of research trumpeting the benefits to experiencing consistent, positive affect (Gordon, 2014; Fredrickson, 2004; Furlong, Gilman, & Huebner, 2014; Lyubormirsky, et al., 2005; McCabe et al., 2011; Isen & Reeve, 2005; Schriffrin & Nelson, 2008; Schueller, 2009; Tay & Kuykendall, 2013), happiness still seems to be an emotion taken for granted and is not viewed as a permissible end in of itself in public health campaigns. Positive affect is a core component of every day mental health and wellness, and should be considered a viable outcome
for health promotion-based initiatives, not just those in the domain of play (Allmark, 2005; Scorsolini-Comin & Santos, 2010; Keyes, 2007; WHO, 2004; Pollet, 2007). Even within the field of play, happiness tends to take a background position to the perceived educational and physical health benefits of play (Graham & Burghardt, 2010; Mayfield et al., 2009; WHO, 2004; Fiorelli & Russ, 2012; Gleave & Cole-Hamilton, 2012).
5.4 THE FALSE DICHOTOMY OF WORK AND PLAY
There seems to be societal perspectives that to adopt professional behaviour, one must be serious, responsible, and dutiful (van Mook et al., 2009a), and that there is no room for playfulness within a professional environment. This perception of play clashing with professional behaviour is likely due to the concept of self-regulation, in that professionals are supposed to self-regulate their behaviour, and playfulness is often portrayed as a wild abandon of delighted indulgence (Swailes, 2003; Henricks, 2008). Participants in this study did not subscribe to such a dichotomy, and provided multiple examples of how play at work bolstered their experience and increased their productivity and happiness at the same time. Many participants recounted how they observed the societal stigma and misconception that to be playful somehow means unproductive, and their stories were often voiced with disdain or bewilderment in the face of such an opinion.
From participant stories and recollections it is easy to see that being at work does not in of itself provide a barrier to play. Participants played both while at work and with those they worked with. The curious perceived dichotomy of work and play can be found back to the time of Plato, who scorned the divide and argued long that one whose work was play lived a life transcended over others (Ardley, 1967). Work is defined by dictionaries as either a task or effort that requires either physical or mental capacity to achieve some sort of objective (“work”, n.d.). From this definition, taken from the Merriam-Webster dictionary and corroborated with the online dictionaries from Cambridge and Oxford, it is easy to see that work is not play, but that there is nothing about work that would prevent play from taking place. Work is not done for its own sake, it is done for an objective or result, in stark contrast to play, which is done simply for itself. However, moments of play can squeeze into work by influencing the environment (for example, the playful banter mentioned by participants; creating games or races against colleagues during breaks), or by turning tasks into games for the sheer fun of it.
The opposite of play is not work, it is depression (Brown & Vaughan, 2010). Brown and Vaughan argue that play and work are the two pillars of life that support us. With play we are granted newness, spontaneity, a refresh, and with work we are granted a purpose, a means of contributing to something larger. Integrating the two together creates a feeling of positivity and momentum. To play during work makes work more satisfying because play makes us feel good, it connects us to our colleagues and strengthens our bonds with them. Participants echoed this view by giving examples of the coworkers they enjoyed who played the same way they did, or how they purposely made their work environments more playful so their colleagues would have fun.
5.6 PLAY AS SERIOUS
Play as Serious manifested in many ways across interviews. At different points in participants’ lives, play was serious for different reasons and along different dimensions. Play was taken seriously in childhood and adulthood, play had a serious impact during adolescence, and continued to have explicit serious implications into adulthood. Why play was serious emerged in terms of the intensity of the engagement in play, the need to have time to play, and the depth of relationships that one could forge with someone who played similarly to them, or dissimilarly to them.
Seriousness arose in childhood as a marker of the engrossed engagement that participants remembered their play episodes invoking. Whether it was being totally dedicated to pushing their limits and stretching their physical capacities or completely becoming an imagined role, participants remembered taking their play very seriously. The shared understanding dimension of this seriousness manifested in the elaborate worlds children created with their peers and playmates, the rules they created and enforced, and the fierce competition their games engendered.
In relation to the Wheel of Wellness (Figure 1), the serious intent with which participants played as children can be understood as contributing to their sense of control, their emotional awareness and coping, exercise, problem solving and creativity, and identity. Serious intent is part of the drive of mastery, previously discussed in the Play as Exploration theme, and that mastery brings with it sense of control, sense of competence, and confidence. The seriousness with which children become the roles they create in their dramatic play lends intense focus towards their playmates and fellow actors, paying attention to emotional cues and body
language. The challenges undertaken in play and the focus required to overcome them drives problem solving and creativity. In this way, Play as Serious during childhood aligns with the founding of wellness though the development of key wellness skills and orientations.
During adolescence and teenage years, the seriousness of play had less to do with the nature of the activities undertaken and more to do with the reactions that other people had to play habits, the play styles considered acceptable or unacceptable, and the social consequences of matching play habits to friends. Social perceptions of play that affected participants as adolescents and teenagers are discussed in depth within the Stigma portion of this chapter. Given the importance of peer groups during adolescence, as raised in Play as Exploration, it is no surprise that participants recalled struggling to align their play with that of their peers. Some participants found they could not engage in their preferred play styles with other people their age, either because their peers disdained certain goofier forms of play, or because ‘play to win’ replaces ‘play for fun’ in school sports. The conflict of play style can have a serious impact on friendships, allowing some to deepen while forcing others to collapse. Play style mismatches also caused some participants to abandon forms of play they wanted to indulge in and pursue new forms of play in other areas. These changes in play can be seen as refining, or transitioning due to circumstances.
True refinement of play style, unhindered by social pressure, is a facet of self discovery. Some participants mentioned a sense of loss when they were shamed or pressured into giving up pieces of play that made up who they are. Ideally, play style should be nurtured in the same manner in which hobbies and interests should be nurtured, as play contributes to self confidence and self-esteem. The spokes of the Wheel of Wellness that this nurturing would promote are *self worth, identity, spirituality*, and *sense of control*, but depending on how the play style of the adolescent manifests, it may also bolster *friendships, community* and *family* as well. In play, teens discover who they are, practice skills, hone social relationships, and build on the developments begun in childhood. Their successes and mastery during play become positive experiences and raise their confidence and perceptions of their competence.
Play as Serious in adulthood manifested across multiple domains. The most blatant of these domains was participant recognition and value for play. Nearly every participant spoke of explicitly pursuing play during adulthood. Several mentioned reaching a stage after their teenage years where their prior decision to distance themselves from play was now seen as folly, and that
during their 20s they realized how important play was. I have categorized these instances as serious because it demonstrates a dedication to play, and an adoption of play into core needs. Participants also recognized that without play they often became stressed or sad, and this knowledge motivated them to take time for play despite busy schedules. Not only were these situations serious due to dedication to play, but they were also serious in that there was a mental health consequence for play deprivation.
During their adulthood, participants explained how they played and were playful in and around the social structures of their life. The concept of being over-structured and having to juggle multiple responsibilities and time constraints was mentioned as a barrier to play, but often participants found ways around this hardship. Leaving space for play by not overbooking themselves with other priorities was one such strategy, creating a sort of ‘white space’ where play could take root. Another strategy was to consciously create a block of time in their schedule where a participant would play, often with their friends.
Participants voiced how important their play time was, and many expressed how they were constantly looking for opportunities to play and be playful. This dual-tactic of both making sure their schedule had room to play, as well as actively seeking more play opportunities, meant that participants in this study overtly incorporated play and playfulness into their daily lives. Maintaining consistent playfulness contributes to the self care facet of the Wheel of Wellness, in that participants both recognized that time to play and have fun is vital to their well-being, and so they made sure they created time and space for it.
Commitment to play may be a possible explanation or contribution to the research finding that playful individuals experience less stress than non-playful individuals (Magnuson & Barnett, 2013; Goldmintz & Schaffer, 2007; Proyer, 2014). Role-conflict and over-crowded schedules are contemporary stressors most adults face (Goldmintz & Schaefer, 2007; Örtqvist & Wincent, 2006), but participants in this study prevented themselves from being overwhelmed by protecting pockets of time to just have fun and play. Another aspect of role-conflict concerns the behaviours expected of individuals performing those roles (Örtqvist & Wincent, 2006; van Mook et al., 2009a), mentioned previously in the discussion about what constitutes professional behaviour. In this study, most of the extremely playful participants simply rejected the notion that professionalism and playfulness were at odds, catered away from jobs where they could not play or be their playful selves, and avoided that form of stress altogether.
5.7 STIGMA
Stigma against play was threaded throughout the interviews and came up across the lifespan, as mentioned within each theme. This stigma took on different forms, sometimes it acted against who was playing (child versus adult), where someone was playing (home versus work), or how someone was playing (societally acceptable past times versus not).
This encounter of stigma was reported across the stages of life: in childhood memories of parents and teachers portraying play negatively and as conflicting with educational goals; as teenage memories of peers disdaining play as a barrier to growing up; and, in adult memories of colleagues and peers assuming play was only for children, and was an unproductive past-time. Not every participant received this negative feedback, however. Half of my study participants recounted playful adult role models (usually parents) who encouraged play throughout the participant’s life, and were adult figures with whom the participant could play with. These participants with playful role models never abandoned play during their adolescence and came across as more confident and sure of their playfulness than participants who had received negative feedback about their play habits. This finding was perhaps the most striking of the research—a pro-play adult role model might help set playful children on a trajectory of increased positive mental health and wellness, higher self-esteem and confidence, as well as a stronger sense of autonomy in comparison to their peers. Adolescence was shown to be crucial time point in the lifespan where half of the study participants relinquished their playful behaviours to perceived social norms, and the other half sailed on in playful disregard of societal pressure.
Given that, in this study, there was an even divide between adult figures that supported and denied play, and an even split between extremely and moderately playful participants, it can be tentatively reasoned that abolishing play in adolescence is not simply a natural aspect of growing up. Children are taught to either embrace play as a human characteristic, or to indulge in it only in their early years, with consequences that may shape the rest of their lives.
5.8 IT IS NOT WHAT YOU DO BUT HOW YOU DO IT
Perhaps one of the hallmark differences between play and recreation, and to a lesser extent leisure, is that play cannot be diagnosed by the nature of the activity engaged in. *What* one engages in is irrelevant, it is instead *how* one engages in an activity that governs whether or not that activity may be deemed play. What constitutes a playful activity for one person may not be a playful activity for another person. Further, what may be a playful moment of engagement at one
time may not be playful the next time. Play is fluid, it is a mental attitude that flows across situations, environments and time itself, capable of being in constant flux. In contrast, recreation and leisure are often deduced by the activity engaged in. Taking yoga classes, joining a curling team or going to the gym are activities that can be considered recreative in nature, while reading a book, enjoying a picnic at the park, or having a spa day could be considered leisure activities. This same list of activities may or may not have aspects of play, we cannot tell from simply listing them, but if we asked people engaged in these activities whether or not they were playing we might discover there are playful elements—or not.
The implication of this finding is that research methods used in the study of play must contain a component for participant check-in, to validate whether or not the participant is playing. While self-reported data is sometimes thought of as weak or infallible (Lance & Vandenberg, 2009; Stone & Shiffman, 2002), for play studies it may be necessary in order to avoid miscategorizing a behaviour as play when it is not, or vice versa. With the inclusion of invisible play, self-report data is possibly the only way some manifestations of play could ever be studied.
5.9 SUMMARY
The data from this study not only elucidated how play transitions as people age from children to adults, it also provided further evidence to support the idea that play is foundational to wellbeing.
5.10 REFLECTIONS ON STUDY METHODS
5.10.1 On the Note of Memories:
It has long been found that memories used in research are fallible (Yarrow, Campbell & Burton, 1970; Rubin, 2000). Research on the accuracy of memories seems to focus on two types of memory: cases of abuse or trauma (Chu, Frey, Ganzel, & Matthews, 1999; Hardt & Rutter, 2004), and the study of everyday experiences (Reis & Judd, 2000, Sobel, 1990; Yarrow, Campbell, & Burton, 1970). From this body of research, certain characteristics influence accuracy of recall more than others. Unsurprisingly, memories of more recent events tend to be recalled more accurately (Reis & Judd, 2000). Moments in life that involve unusual circumstances, or heightened emotion, tend to colour recollections of past memories, so that a small number of very emotionally-charged moments can influence one’s impression of a longerterm situation or relationship (Reis & Judd, 2000). How a participant feels in the moment can also influence the emotions that they recollect from the past, where participants will report emotions from previous memories that parallel how they currently feel (Reis & Judd, 2000).
A counter point to the accuracy of adults recollecting childhood memories comes from Sobel (1990), in his article of adult and child memories of special places. In this text, it is reasoned that childhood experiences cannot always be fully grasped, or understood, until later in life when we have the language and maturity to comprehend what we have experienced (Sobel, 1990). In this argument, the adult recollection adds an extra dimension of understanding on top of the childhood experience that provides a more genuine recounting because the adult is able to express themselves more fully than the child, and can also add the depth of meaning as it is carried across time and age. It is my opinion that the memories of participant’s childhoods, in this study, are more likely accurate than not, as most memories concern not specific details so much as routine and frequency of play habits (for example, the participant who would play in the park while his brother undertook swimming lessons, or the participant whose family would go to the lake every summer and her father would pretend he was a sea monster and chase them). The details given that may be more guesswork or embellishment did not influence the analysis, and largely addressed the specific ages participants gave to their earliest play memories (most participants mentioned being four years of age), or the height of objects they jumped off of as children. Aligning participant stories with general trajectories of child development, no participant remembered engaging in situations that seemed divergent for the age they reported themselves as being, so while precise ages may be incorrect, I do not believe estimations were off by much.
Looking back on one’s childhood may invoke a sense of nostalgia, and participants in this study reflected on the freedom they perceived they had as children. I questioned whether this perception was genuine, and also whether or not current children felt their childhoods were as free as the childhoods of my participant’s. In reading literature from the 1960s to 1990s I was struck by how much the study of play has changed, from adult-focused to child-focused, from acceptance of the fluidity and ambiguity of play to developmental-based and purposeful. What stood out the most, however, in accounts of children’s play from 30 to 40 years ago, was the absence of dialogue on risk, homework, structured play, scheduled tasks, surveillance and safety (Erikson, 1963; Schwartzman, 1976; James, 1998; Opie & Opie, 1969; Sutton-Smith, 1977).
While I could not find accounts of children proclaiming their freedom, I suspect this was because freedom to play was not an issue, there was no question of whether they could play freely because this research was conducted before the leashing of childhood began. It would not surprise me if children’s perceived freedom has changed dramatically over the past four decades, and that the perceived freedom of my participants was genuine.
5.10.2 INTERVIEW OPTIONS
The multi-method approach I used for interviewing (i.e., written, Skype, face-to-face and phone options) resulted in different findings per method, which was anticipated in the original study design, although I did not predict how the differences might manifest. In designing this study I opted for multiple interviewing options in hopes of meeting the needs of participants by allowing them to express themselves in whichever manner they felt most comfortable with. The most obvious difference between the methods used was that participants who established a face to face connection (via in-person interviews or skype interviews) reported entirely positive accounts of play. Participants who wrote their interviews tended to give more comprehensive emotional ranges, delving into barriers, moments of exclusion, and struggles with health and happiness. This is not to suggest that participants interviewed in person necessarily withheld negative experiences, but perhaps the in-person conversation prompts a more positive account, whereas the written word is more facilitative of a multi-faceted reflection (e.g., due to fewer time restrictions or social conventions, and permissive of multiple episodes of editing or iterative responses to capture nuance and depth). This is speculation. In-person and skype interviews were accompanied by a great deal of laughter and smiles, and the interviews themselves often became playful with banter and jokes. While a charming state of affairs, this did become a difficulty when transcribing the data, as words were sometimes engulfed in giggles.
5.10.3 LIMITATIONS:
The limitations of this study are many. A more experienced researcher would likely have been able to more critically interview participants in order to achieve a richer sample of data, whereas my attempts provided only a general glimpse of play across the lifespan. However, this study does provide a sound platform for future research in this area to build on. The exclusion of children in this study is another limitation, as it would have allowed better comparisons between
adult recollections of typical childhood play behaviours and actual childhood lived experiences in the moment, per se. Children were not included in this project due to the extra ethical considerations their presence would require, and the lack of resources on my part to provide the environment necessary for children to take part (i.e: renting an interview room where a parent could wait outside, having a second researcher or assistant during the interview for the security of the child) (Fargas-Malet, Mcsherry, Larkin & Robinson, 2010; Gibson, 2012). The participants involved in the study were overwhelmingly in favour of play, and thus this research misses the voice of people who are not playful and do not wish to be playful. The findings drawn from the data regarding the many benefits of play can therefore be challenged under the basis that these benefits could be achieved from other non-play practices. The sample of participants included 18 people, aged 20 to 70 years of age, and while three of these participants came from countries overseas, the sample was ultimately predominantly North American. This sample provided a mild step up from being entirely homogeneous, however, it is not diverse enough to make generalizable claims on the nature of play. There may be other cultures fully invested in play as opposed to the Western belief that productivity is a more worthwhile pursuit than playfulness.
In contrast, the strengths of this research include multiple interview methods, which facilitated different responses, a lifespan approach which rejects the construction of age-based silos, and utilized qualitative methodology to explore the lived experience. The lifespan approach also allows for links between childhood and adulthood play habits and patterns, which captured the refining aspect of play’s transition as we age. Research studies on adult playfulness have thus far focused on quantitative methods that capture perceptions of play without room for real examples. This research, thus, both begins to fill a research gap and is complementary to other adult playfulness studies. The findings from this research provide valuable, fertile ground for future research in child-to-adolescent and adolescent-to-adult play transitions, the importance of playful adult role models, and research methods appropriate for capturing invisible forms of play.
6.0 CONCLUSION AND IMPLICATIONS FOR PUBLIC HEALTH AND HEALTH PROMOTION
6.1 On Play and Wellbeing
The variety of play behaviours and activities that arose in this study was surprising. A range of activities spanning a diverse spectrum of areas was expected, but even still some of the gems unearthed, such as listening to physics audio books, were new and amusing. The magnitude of importance assigned to play by my participants was also a surprise, given that so much of the play literature describes play as either taken for granted or disdained (Gordon, 2014; Goldmintz & Schaefer, 2007; Singer et al., 2009). Part of that finding is likely due to selection bias, in that this was a study of play, openly recruiting participants to discuss play, and it is unlikely a non-playful individual would be interested in participating.
The themes of Play as Exploratory and Wellbeing were expected, much of the literature on play from the fields of Education and Psychology, in particular, weigh heavily in these areas (Mayfield et al., 2009; Fiorelli & Russ, 2012; Gray, 2009). Play as Serious, particularly the findings concerning participants’ conscious effort to generate play opportunities in adulthood, was an important theme to arise, in that it gives evidence to a desire for play in adulthood. The theme of Is Not What You Do, But How You Do It, is often indirectly eluded to in research that defines play as a mental attitude (Brown & Vaughan, 2010; Barnett, 2007; Eberle, 2014; Motte, 2009), and having clear examples of how that manifests in the real world will help bring attention to this concept. The importance of realizing that play is not an activity, but is a mindset, is that all too often people and organizations assign the word play to activities that are not actually considered play to those engaged in them. This essentially means deciding for someone, or a group of someone’s, how they feel joy. It undermines the voluntary component of play, in that only the player can decide when they are playing, and that they can always opt *not* to play, even if participating.
Play clearly has a role in contributing to holistic health from childhood to adulthood. Although play changes as we age, it evolves as we grow, continuing to meet our needs for joy, social interaction, challenge, balance, and most importantly—fun. Participants in this study shared a diverse array of lifestyles, needs, priorities, and orientations. The play habits of each participant were as individual as the lives they led, highlighting how personal one’s play style
becomes, changing as we change, refining as we mature, and adapting to our needs and priorities.
The transitions of play during adolescence proved to be the most influential indicator of play during adulthood. Social conditioning from adult role models, particularly parents and teachers, seemed to influence whether participants felt play as ‘just for kids’ or whether they felt comfortable continuing to seek out fun, playful adventures as they aged. Some participants reflected that even though they shied away from calling their teenage banter or risk-taking play, they felt now during their adulthood that those activities were actually playful in nature. It is an interesting puzzle in terms of the definition of play—can you retroactively label an activity play? Can an activity be *un*playful at one point in time and playful in reflection?
6.2 CONTRIBUTIONS TO RESEARCH:
The findings in this study are important in several ways, both to the field of public health, should it continue its interest in play, and to the larger interdisciplinary community of play scholars. In terms of research methodology, the concept of invisible play and play as a mental attitude carry with them consequences for appropriate methods used in studying play, regardless of the disciplinary lens invoked by the research.
Play studies that aim to capture play in its entirety must fully embrace the nature of play in that it is a mental attitude, not an activity. For research methodology, this means checking in with participants and explicitly asking them “is it play?”, rather than having the researcher diagnose play based on the activity the participant is engaged in. Awareness must be formed that if a study is built around a single activity, or single genre of activity (for example, sports) that play may be missed in the data collection, and any findings may not be generalizable to play as a whole. This is particularly salient for those interested in the area of ‘active play’, which is more about promoting physical activity (as a mitigator of childhood sedentarism and risks of obesity) than it is about promoting active forms of *play*.
For practitioners and program marketers, play as an attitude (not an activity) effects the accuracy of how programs and campaigns are labelled. Marketing for children often uses ‘fun’ as a selling point, and in a health context, often labels health-based practices as ‘fun’ in order to coax children into engaging in them (Alexander et al., 2014). This does not, by default, make these programs play. The usage of ‘play’ as an anti-obesity treatment by Health Canada and other health authorities in both Canada and the US is similarly a label and not indicative of actual
engagement in play (Alexander et al., 2014; Kimbro et al, 2011; Hemming, 2007; Brockman et al., 2010; Veitch et al., 2007). The conflation of play with physical activity is problematic for both domains: obscuring the necessity and importance of having a variety of forms play in one’s life, and potentially assigning health and social benefits (i.e. wellbeing) to the physical activity domain that cannot actually be achieved.
Another problem with institutions adopting narrow, or inappropriate, definitions of play is that it runs the risk of certain forms of play being neglected in favour of perceived ‘better’ forms of play (Biddle, Gorely, Marshall, Murdey & Cameron, 2004). An example of this phenomenon occurred in the field of education, where educational play has taken hold, and where unstructured, free play has become a negative activity that takes away from productive, school-based pursuits that are seen to preferentially support curricular competencies (Pellegrini, 2008; Elkind, 2007). This movement is in the process of reversing, but the impact of such a belief is that many children no longer have unstructured, free play during school (Frohlich et al., 2013; Elkind, 2007; Brown & Vaughan, 2010) or during preschool programs, potentially compromising early childhood development (Gleave, 2009; Alexander et al., 2014; Elkind, 2007). In public health, a similar stigma is building against sedentary forms of play, particularly video games, despite those forms of play having unique benefits, such as bolstering creativity, developing coping skills, and building imaginations (Eighenbaum, Bavelier, & Green, 2014; Biddle et al., 2004; Graham, 2010). Sedentary play activities listed by participants in this study included reading, writing, arts and crafts, board games, video games, singing, and puzzles/logic games. Some of the benefits participants mentioned from engaging in these activities including allowing them to distance themselves from stressful situations, helping them maintain their social connections, allowing them to engage in creative and intellectual pursuits, and providing balance so that they could feel like they have done more in their day than just toil at work.
Play style and program provision is also an interesting area that would benefit from more attention. Participants in this study agreed that play opportunities in school, particularly from their adolescence to their teenage years, largely involved competitive sports, with no ‘for fun’ activities being offered. Conversely, when they left school, participants noted that sporting opportunities became more ‘for fun’, and less competitive. This left gaps for several participants, whose play styles did not line up with the play opportunities available to them. This may also
mean that more research is needed to better understand different play styles, and the prevalence of different play styles, to better inform play provision.
From the findings in this study, other future research efforts examining play across the life span are recommended in the area of social conditioning. What percentage of the population is told to stop playing as an adolescent? How many children have, or had, playful role models? Is social conditioning the reason why some individuals cease playing and other individuals continue playing as they age? It would also be interesting to know how self-reported non-playful individuals define play, and what activities or situations those individuals find fun.
Recommendations for practitioners and providers of play are simple—let play be. Instead of attempting to engineer a specific goal deemed attractive by the practitioner, refocus on the process of play, and allow it to evolve naturally. There is no such thing as play-for-education, or play-for-health, there is only play-for-play. Recognizing that play is for its own sake, that it is beneficial in all its forms, and that it must be self-directed and voluntary, should help guide play opportunities provided to children and teenagers. Attention to play style, particularly competitive versus cooperative play, could help ensure that play opportunities meet the needs of more individuals, especially those school-aged and older.
6.3 A PARTING REFLECTION:
Play, at its best, is unrestrained, and uninhibited, by the desires and motivations of others. The underlined, underscored, and emphasized conclusion of my participants is that play makes you feel good. The dialogues of fitness, of fatness, of developmental discourse, risk and hazard, are academic and do not meet the lived experience of play, nor should they be imposed on the lived experience of play. The irony of forcing play into any particular health or educationally-oriented direction in order to reap a reward, is that the benefits derived from play are immediately limited, and the perceived value of play – in and of itself – societally diminished. The experience is narrowed; the play begins to diminish. An easy example is active play programs, which carry with them an unspoken top-down rule imposed on to the games of children. In active play the play must be active. The moment a child is too tired, the game stops. The play stops. In unstructured play, they game can keep going, it can evolve, it does not have to be anything, you can be still, catch your breath, and leap into action once more.
Left to wander, saunter and run on its own accord, play will enrich one’s life in a myriad of directions. Play will provide balance all on its own, in a chaotic schedule play can provide tranquility, and during dull routine play can liven up your life with adventure. Play is fluid, that is its state, attempting to capture it and force it into particular shapes denies play its truest manifestation, the characteristics of play, that set it apart from time and setting-bound leisure, recreation and work. Contemporary literature on play makes the argument that children must be allowed to roam freely, I argue that play, too, must be allowed to roam freely.
At the end of the day, the only question that remains for me is why joy is not seen as enough to encourage play. If not for a health benefit, an educational benefit, a productive benefit, play is swept to the side, we only focus on it now because of the curious idea that play is salvation from obesity. Why does it seem more important for national health institutions that our children be slender instead of happy? Why do we promote only one form of physically active play and disregard the imaginative, and dramatic play that fuel our earliest adventures? Why do so many adults strive to bend our adolescents into becoming stern, miniature adults instead of growing, lively teenagers that smile, and laugh and take delight in the world around them? Why do we so rarely acknowledge that adults can be silly and play for the sake of play? What happened to joy?
The conclusion of this thesis is that play brings happiness, and happiness is enough.
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Hello, I am posting regarding an opportunity to participate in a research study. This study explores how adults remember their childhood play experiences, and how play changes as they age.
To enter the study, participants must be aged 18 or older, and fluent in English. Participation will involve 1 interview that will be conducted in person, verbally over Skype or written through email or messaging software. There is no obligation for you to participate.
If you are interested in participating, or want more information about the study, please contact the researcher, Sarah Cosco, at email@example.com
Thank you for your consideration!
This research is being conducted through the Centre for Health Promotion Studies at the University of Alberta in Canada. The research has been approved by the Research Ethics Board.
Recruitment Letter for University of Alberta Graduate Students:
Study Recruitment: Childhood Memories of Play – We are looking for volunteers (over the age of 18 and fluent in English) for a study on play. Participants will be interviewed in person or over Skype (~ 45 minutes – 1 hour), or may submit written stories about their memories of childhood play, and descriptions of how they play now as adults. The aim of the research is to explore how play changes as we age. Contact Sarah Cosco, MSc Health Promotion at firstname.lastname@example.org or 604-440-2968 for more information.
Background
This research is part of my Master’s thesis. The draft title of the study is “From childhood memories to adulthood activities: A study of play”. Participants are being recruited locally, in Edmonton, across Canada, and internationally. The goals of the study are to learn how adults remember their childhood play experiences, and how play changes as they age.
Purpose
This study would like to capture the different ways people play as children. Where participants played, what they played, and who they played with, will all be explored through loosely-structured interviews and storytelling. As the interview continues, the focus will change from childhood to adulthood, to better understand how play changes as we age.
You are being asked to participate in 1 interview; either face-to-face, over the phone, over Skype, or, if you like writing, email or messaging systems will be made available. The interview is expected to last about an hour. If you feel later on that you have more to add, an extra interview can be scheduled.
Confidentiality
The interviews will be tape recorded if you agree. In our records, you will be assigned a number and your name will only appear on a Master List that links your name with your project number. This way, any information you give us will only linked to a number. This will help protect your privacy. The tape recorded information and the Master List will be stored in a password-protected, private computer as an encrypted file, at the Centre for Health Promotion Studies, University of Alberta. These materials will only be available to the researcher and her supervisor. After 5 years, these materials will be destroyed.
Your name and exact location will not be mentioned in the thesis or any articles published. Fake names will be used in place of real names and locations will be obscured, for example, “an urban city located in [province/state]” would be used in place of a city name.
At any point in time during the study you may leave with no penalty. You may also choose to not answer any of the questions asked, without having to give reason.
Use of Data
With your permission, quotations and summaries of the interview will be used in journal articles and presentations. Before any material is published it will be sent to you for double-checking to ensure you are being represented truthfully. These articles will be available to other researchers, and decision makers who are interested in how people play.
The information will be used to help decision makers understand why play is important, and what steps need to be taken to reduce barriers that get in the way of letting people play. This information may help inform decisions regarding recreational and park development, as well as decisions regarding working conditions.
Possible Risks and Benefits
Possible benefits of you participating include:
Adding to research and helping educate researchers;
Reliving the joy of childhood play experiences;
Having the chance to share your experiences with play.
There is minimal risk with you participating in this project. You do not have to answer questions you do not want to. You can stop participating in the project at any time without penalty. If you feel any distress the researcher can provide you with helpful resources.
Contact Information
If you have any questions or concerns, or would like to stop participating in the project at any time, please contact either:
Sarah Cosco, Co-Investigator (1-604-440-2968; email@example.com) or Candace Nykiforuk, Supervisor (1-780-492-4109; firstname.lastname@example.org)
If you have any questions or concerns regarding your rights as a participant, or how this study is being conducted, you may contact the University of Alberta's Research Ethics Office at 780-492-2615. This study has been passed through ethical review at the University of Alberta Research Ethics Board, Panel.
Appendix C
Consent Form
Informed Consent: Written Version for in-person interviews
From Childhood Memories to Adulthood Activities: A Study of Play
Co-Investigator: Sarah Cosco, MSc C
School of Public Health
Centre for Health Promotion Studies
Ph: 1-604-440-2968
email@example.com
Supervisor: Candace Nykiforuk, Ph.D
School of Public Health
Centre for Health Promotion Studies
Ph: 1-780-492-4109
firstname.lastname@example.org
Do you understand that you have been asked to be in a research study? Y N
Have you read and received a copy of the attached Information Sheet? Y N
Do you understand the benefits and risks involved in taking part in this project? Y N
Have you had an opportunity to ask questions and discuss the study? Y N
Do you understand that you are free to withdraw from the study at any time, without having to give a reason? Y N
Has the issue of confidentiality been explained to you? Y N
Do you understand who will have access to your responses? Y N
I agree to take part in the study. Y N
Who explained the study to you?
_____________________________________________________
Signature of Participant
_____________________________________________________
Printed Name __________________________________________
Date _________________________________________________
Consent Script for Verbal Interviews
Verbal Script for Obtaining Informed Consent
(See references for original script)
“Hello, my name is Sarah. I am a graduate student at The University of Alberta in the Centre for Health Promotion Studies, and I am in Canada undertaking research that will be used in my Master’s thesis.
I am studying adult recollections of childhood play experiences, and how play changes as we age. I would like to ask you about how you played as a child, and over the course of the interview work towards what you do as an adult that might be considered play or being playful.
The information you share with me will be of great value in helping me to complete this research project, the results of which will inform the research community about the value of play during childhood, the experience of play in adults, and what supports, or gets in the way, of play.
This interview will take about an hour and fifteen minutes of your time.
There is no risk of a breach of confidentiality. I will not link your name or location to anything you say, either in the transcript of this interview or in the text of my thesis or any other publications.
There is a potential risk that hearing these questions will make you feel uncomfortable, if this occurs, you are under no obligation to answer any questions and again, you are free to stop participating at any time with no consequence. If you feel any distress as a result of the interview, the researcher will provide resources for where you can access help.
Participation is voluntary. If you decide not to participate, there will be no consequence.
I would like to make a tape recording of our discussion, so that I can have an accurate record of the information that you provide to me. I will transcribe that recording by hand, and will keep the transcripts confidential and securely in my possession. I will erase the tape after my data analysis is complete.
If you have any additional questions concerning this research or your participation in it, please feel free to contact me, my thesis supervisor or our university ethics office at any time.”
(The respondent will be given an information card, when applicable, containing name, institutional affiliation, and contact information.)
Do you have any questions about this research? Do you agree to participate? [If yes] May I have your permission to record the interview?
Great, let’s begin!”
Original script provided by Gunther, R. (2010).
Appendix D
Written Interview Guide
These questions are part of my thesis research, studying adult memories of childhood play, and how play changes as we age. You are under NO obligation to answer any of the questions, please feel free to write in story-format, or narrative if that is more comfortable for you! You may withdraw your participation at any time during the study. Questions and interview answers may be directed to Sarah Cosco, at email@example.com, thank you for your participation!
CONSENT:
I, ___________ agree to participate in the From Childhood Memories to Adulthood Activities: A Study of Play research. I give my consent that I understand the research process I am participating in, and understand that I may withdraw my participation at any time.
Demographics:
Age:
Sex:
CHILDHOOD:
1. When you think back on your childhood, how did you play? What did you do?
Prompts: (These are just suggestions, touch on as many or as few as you feel comfortable with)
- Who did you play with?
- Did you ever play pretend? What did you pretend?
- Did you ever engage in risky play, or did things while playing that might be considered dangerous?
- Did you ever use play to get through a tough time? Can you describe that?
- What influenced or inspired your play?
- Did you create any games while you were a kid? How did you play the game? Rules?
- What does thinking of childhood play invoke for you? How does it make you feel?
2. Did you ever reach an age or time in life where you felt too old to play or outgrew playing or even using the word ‘play’, hit a time when it wasn’t considered ‘cool’ to play?
- Looking back on those activities, would you now consider them play or something else?
3. Did how you play change as you became a teenager? What did play look like during your teens?
• Do you think play served the same purpose or had the same benefits during your teen years as it did your childhood years?
4. Before we move on to adulthood is there anything you’d like to add about your childhood or teenage play experiences?
ADULTHOOD:
5. Would you say you’re a playful person? Can you give me examples of being playful?
• What does being playful ‘do’ for you?
6. Thinking about your personal relationships, do you see aspects of play or playfulness there?
• What role does play have in your relationships with friends, family or partners?
7. Do you belong to any communities that were formed around play or a playful activity? Tell me a bit about that!
8. Do you notice play or playfulness in other domains of your life? For example in your work or school?
9. What do you believe is the purpose of play? Do you feel that play enhances your life in any way?
• Is playing or being playful important to you? Do you make a conscious effort or does it just happen?
10. Is there an age or time in life when play becomes less important or loses its value?
Great! I think that is all I have to ask, is there anything else you’d like to share? Thank you so much for participating in my thesis research!
Appendix E
At A Glance Tool
AT A GLANCE:
Participant #: ____
What forms of play are present during childhood?
___Physically Active
___Social
___Sibling
___Solitary
___Structured
___Animal
___Imaginary (Pretend)
___Construction
___Games with Rules
___Unstructured
___Dramatic (RPing)
___Limit Testing
___Exploration
___Creative
___Risky
___Competitive
___Pranks
___Other (Elaborate)
What forms of play are present during adolescence?
___Physically Active
___Social
___Sibling
___Solitary
___Structured
___Animal
___Imaginary (Pretend)
___Construction
___Games with Rules
___Unstructured
___Dramatic (RPing)
___Limit Testing
___Exploration
___Creative
___Risky
___Competitive
___Pranks
___Other (Elaborate)
What forms of play are present during adulthood?
___Physically Active
___Social
___Sibling
___Solitary
___Structured
___Animal
___Imaginary (Pretend)
___Construction
___Games with Rules
___Unstructured
___Dramatic (RPing)
___Limit Testing
___Exploration
___Creative
___Risky
___Competitive
___Pranks
___Other (Elaborate)
What supported or facilitated play during childhood?
What blocked or restricted play during childhood?
What supported or facilitated play during adulthood?
What blocked or restricted play during adulthood?
Settings mentioned in childhood:
__Yard
__Street
__Body of water (natural)
__Pool
__School
__Forest
__Park
__Gym
__Basement
__House
__Playground (___School ___Park)
__Field (Farm or empty)
__Beach
__Rec Centre
__Other (Elaborate)
Settings mentioned in adulthood:
__Yard
__Street
__Body of water (natural)
__Pool
__School
__Forest
__Park
__Gym
__Basement
__House
__Playground (___School ___Park)
__Field (Farm or empty)
__Beach
__Rec Centre
__Other (Elaborate)
Did the participant stop playing during adolescence?
___Yes ___No ___Played, but didn’t call it play
Does the participant play as an adult?
___Yes ___No ___Fluctuates (Reason: __________________________)
Does the participant describe themselves as playful?
___Yes ___No ___Fluctuates (Reason: __________________________)
Why does the participant play?
|
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Recommended Citation
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INQUIRY
THE JOURNAL OF THE VIRGINIA COMMUNITY COLLEGES
VOLUME 26 | NUMBER 1 | SPRING 2023
Published by Digital Commons @ VCCS, 2023
Community College Presidents and Campus Safety: Perspectives on Critical Issues
Chad C. Sartini, Dennis E. Gregory, Kim E. Bullington, Mitchell Williams, Joshua Howell, William L. Nuckols, and Minghui Hou
Community college presidents must understand the phenomenon of campus safety. For this mixed-methods study, community college presidents in one state were surveyed, and three presidents from the same community college system participated in in-depth interviews. Descriptive statistics measured the levels community college presidents’ knowledge and perceptions on campus safety. The in-depth interviews provided a deeper understanding of the connections between community college presidents and campus safety. Overall, the results show that campus safety is important to community college presidents, who believe that, overall, their institutions are safe. We found that community college presidents believe they should be proactive and reinforce values that promote and prioritize campus safety, follow regulations, and provide sufficient resources to ensure campus safety measures. However, inadequate funding also plays a role in what can be allocated, and community college presidents voiced that they were concerned about promoting safety in the face of declining budgets and resources.
Supporting English Language Learners in the Era of Direct Enrollment
Breana Bayraktar
In the spring of 2021, the Community College System in which the author works was in the middle of a planned three-year pilot of math and English self-placement (“Direct Enrollment”) procedures. Concerns about the significant English language learner (ELL) population at one institution led to the development of a corequisite support course designed to support English language learners as they enrolled in first-semester composition. This course is considered a “gateway” course, with success rates hovering around 60% for traditional students, dropping to under 35% for students age 25 and older. As the planned pilot of Direct Enrollment was underway, faculty and administrators at the College were concerned about how placement and enrollment changes would impact the success of ELLs. In this article, the author outlines the problems faced by two-year institutions with large ELL populations and presents data on success rates in transfer-level English, including the impacts of English Direct Enrollment and the ELL corequisite support course pilot. The author then provides recommendations for how the community college system can support ELLs in accessing the support they need to succeed.
How Can a Culturally Responsive Discussion of the Five-Paragraph Essay Help Asian American Students Write Well?
Yuemin He and Catherine Megliola Gaiser
The five-paragraph essay is highly controversial, and yet it has also been a useful format for composition. In this essay we explain why, despite its limits, students need to go along with the format to make what use and get what advantage of it. We then demonstrate that valuing the philosophical, historical, cultural, and educational backgrounds of our students can help navigate away from the restrictive nature of the format and lead to equitable learning for all students. Finally, we introduce a few curriculum designs and instructional practices to expand the epistemological and pedagogical frontiers of the format. In short, we conduct a culturally responsive discussion of issues students with non-Western backgrounds--Asian American students in particular--may encounter when writing the five-paragraph essay. By sharing student learning-focused approaches, we aim to improve Asian American students’ learning experiences.
Use of a Clinical Skills Training Center to Supplement a Distributive Model of Education in a Veterinary Technology Program
Megan Taliaferro
A distributive model of education has recently become a popular method for training veterinary technicians in the United States. Although this model has significant benefits, such as decreased cost of program infrastructure, there are significant challenges in managing students and their clinical skill acquisition using private veterinary hospitals. A clinical skills training center was implemented at Tidewater Community College to address a main shortcoming of the distributive model, namely the lack of specialized training models at outside hospitals. Based on survey findings, both students and clinical mentors found the veterinary technology clinical skill training center to be a beneficial addition for student clinical skill acquisition.
Denial on Campus: How Antisemitism Affects College Faculty and Students
Sarah H. Hall
The Notes in Brief contribution explores instances of Holocaust denial on college campuses and addresses issues of academic freedom for faculty as well as students. The author explores questions regarding how we teach the Holocaust and how to better decrease denial and antisemitism.
VCCA 2022 Convention Keynote Address: The Mission of the Community College
Jim McClellan
This keynote address was delivered at the Virginia Community College Association (VCCA) Convention in Virginia Beach on October 5, 2022. The community college is an attempt to realize the promise of the Declaration of Independence: the ideal that all are created equal. It is to higher education what universal suffrage is to the ballot, voting rights for all, higher education for all. The mission of the community college is to provide access for those to whom it has traditionally been denied.
EDITOR’S NOTE
Last month, I had the pleasure of attending my 9th VCCS New Horizons conference in Roanoke. It was as lively and engaging as always with faculty, staff, and administrators from across the state sharing innovations, strategies, and high impact practices to benefit our students and improve equity in access. There were fantastic keynote addresses, immersive workshops, opportunities for networking, and great coffee and snacks. And on the last morning, peer groups convened to tackle the major issues in our fields of study and plan for our own conferences.
At each session, I envisioned how much it felt like the content of *Inquiry* being developed. The presenters’ studies and insights consistently met the aims and scope of what our journal publishes, and I saw the future contributions to *Inquiry* as they took shape to much applause and interaction. Though so many of us are already engaging in the early steps, finishing manuscripts and publishing those ideas takes time and effort. Those who continue to refine and hone their work for a wider audience deserve our praise and attention. I hope that you’ll take some time to listen to your colleagues once again, in a different medium but just as rewarding. You can even pair your reading with the coffee and snacks.
I am proud to announce this new issue of *Inquiry*, which features several high-quality articles. With VCCS strategic plan Opportunity 2027 in mind, these authors tackle significant concerns regarding equity and access. Their articles address campus safety, support for our English language learners, culturally responsive pedagogy for diverse learners, clinical skills training centers, Holocaust education, and the mission of our community colleges. And like the New Horizons theme, they move beyond ideas to implementations at our colleges and in our classrooms. Some of these works have been awaiting publication for some time as we completed a two-part special edition honoring Chancellor Glenn DuBois, yet the conversations remain exigent and topical for our spring 2023 issue.
I want to offer a special thanks to our editorial staff Bethany Arnold and Beth Bensen for all of their feedback for writers, ideas for advancing the journal, and advocacy for new submissions. They are – and have been for quite some time – integral to this publication, and their hard work is appreciated both by me and all the authors published over the years. I also want to thank Laura Clark, Sandy Gharib, and Jordan Hewett for being the biggest supporters of *Inquiry*; I am grateful that you see the value of this publication and embrace my ideas for improving the journal.
Enjoy the articles!
Tom Geary
Community college presidents must understand the phenomenon of campus safety. For this mixed-methods study, community college presidents in one state were surveyed, and three presidents from the same community college system participated in in-depth interviews. Descriptive statistics measured the levels community college presidents’ knowledge and perceptions on campus safety. The in-depth interviews provided a deeper understanding of the connections between community college presidents and campus safety. Overall, the results show that campus safety is important to community college presidents, who believe that, overall, their institutions are safe. We found that community college presidents believe they should be proactive and reinforce values that promote and prioritize campus safety, follow regulations, and provide sufficient resources to ensure campus safety measures. However, inadequate funding also plays a role in what can be allocated, and community college presidents voiced that they were concerned about promoting safety in the face of declining budgets and resources.
The concept of campus safety is not new to community college educators; in fact, the way leaders look at campus safety today is very different than just a few years ago. Campus safety concerns of community college leaders today include crime, natural disasters, community unrest and political divisions, and health and safety concerns related to the COVID-19 pandemic. There are many who are affected by unsafe environments on college campuses, and these include current and prospective students, employees, campus law enforcement, and the communities that are adjacent to the campus. When a campus is perceived as unsafe, it can negatively affect enrollment (Braaten et al., 2020) and legal actions from a victim or their family can take a toll on institutions (Bienstock, 2019). Campus safety may “be seen as an issue that destabilizes the core principles of higher education itself” (Jennings et al., 2007, p. 1).
Campus crime has been reported since Colonial America, but it was not until the 1980s and 1990s that society demanded changes in the reporting requirements of campus crime statistics (Sloan & Fisher, 2011). The 1986 rape and murder of Jeanne Clery, a student at Leigh University, and the efforts of her parents brought campus crime and safety to the forefront of public concern (Gross &
More recently, as media coverage brought stories of campus crime to Americans, community colleges and universities have been negatively affected (O’Donnell et al., 2018), and college leaders have taken note.
Problems with campus crime are often overshadowed by more immediate threats to the safety of students and college staff: the COVID-19 pandemic, community unrest and racial tensions, and climate-related natural disasters. These events impact community colleges, and it is important for leaders to recognize and understand the community college’s threat landscape in order to protect the college and the community it serves. Crimes, health threats, violent student protests, cyber threats, and natural disasters can disrupt daily class schedules and impact critical college infrastructure. Although this study focuses on campus crime, it is important to acknowledge that other threats to campus safety do not stop when leaders are addressing campus crime-related events. Leaders must constantly monitor threats and identify areas in which the college can improve safety procedures and policies in order to maintain continuous delivery of classes and other learning activities. The findings of this study provide an advancement of knowledge on the processes needed for campus operations – even when resources are limited.
**Statement of the Problem**
It is important that community college administrators are familiar with issues related to prevention of violent and nonviolent crimes that could affect their students and employees. In addition, the cost of compliance with federal campus safety laws and reporting requirements has a disproportionate impact on already stretched community college budgets.
Although college presidents usually do not have direct oversight of campus safety matters, they are held responsible by governing boards and not campus constituencies: students, faculty, administrators, and the communities served by the college. Since presidents are accountable for the
legal, financial, and professional effects of campus safety policies, it is important to focus empirical research on their perceptions of campus safety issues. Much of the research has concentrated on officials in student affairs who are more directly responsible for campus safety (Janosik & Gregory, 2003, 2009; Jee & Good, 2017; Latham-Staton et al., 2020; Patton & Gregory, 2014), but there is a clear need for more research on senior college leaders’ awareness of campus safety issues, especially at community colleges.
**Purpose of the Study**
The purpose of this mixed methods study was to examine community college presidents’ perceptions and level of understanding of campus safety. It is important for governing boards and other college constituencies to know if presidents are aware of issues that can adversely affect the safety of their institutions. The study addressed research questions pertaining to how community college presidents describe: (a) their role related to campus safety, (b) the level of safety on their campus, and (c) their level of knowledge regarding legal issues pertaining to campus safety.
**Significance of the Study**
Decision making is a skill all higher education leaders need, but it is especially important for community college leaders. They lead institutions which are traditionally under-funded, and which serve a large proportion of students historically marginalized by other institutions of higher education, including women, people of color, first generation college students, students who have jobs, and students with physical and learning disabilities. Since the Great Recession of 2008, most community colleges have faced declining state appropriations, and more recently these same institutions faced enrollment declines related to the COVID-19 pandemic (Laderman & Tandberg, 2021). These fiscal and enrollment challenges have created unprecedented problems for community
college leaders, faculty, and staff. Presidents must find ways to balance meeting academic standards and safety requirements with dwindling budgets. In these difficult times, funds are sometimes transferred from one area of the budget to cover another priority. This could lead to situations in which campus safety suffers. For example, the availability of the latest security tools and a lack of safety personnel can have dire consequences. The findings of this study will help presidents to ensure that campus safety requirements are met to help ensure that those who are on or near their campuses are safe. Although campus safety usually does not appear in writing in a community college’s mission statement, it certainly is implied that those who go there to learn and work should feel safe.
Conceptual Framework
Heifetz’ (1994) approach to ethical leadership provides the conceptual framework for this study. Heifetz’ approach allows leaders, including community college presidents, to use the authority granted to them to help those directly dealing with the issues solve challenging problems. Community college presidents can provide support through funds to bolster campus safety initiatives like emergency alert systems, adequate lighting, and hiring more security personnel or support staff. As community colleges grapple with decreasing state funding, difficult decisions must be made about where to properly allocate funds, and this can create ethical dilemmas on how to disperse those funds to the areas that need them the most.
The American Association of Community Colleges ([AACC], 2018) published a list of competencies for community college leaders. Two of the competencies that are directly related to this study are collaboration and resource management. Collaboration, or the ability to create change through teamwork and cooperation (AACC, 2018), is a natural fit to Heifetz’ (1994) ethical leadership approach. Resource management is an area where community college leaders must
allocate funds in a manner consistent with the college mission, master plan, and local, state, and national policies (AACC). Community college presidents view resource management as one of their most important and challenging issues (Garza Mitchell, 2012; Tuliao et al., 2021), especially in light of dwindling state funding. Community college presidents must, at times, make moral and ethical leadership decisions to ensure that very limited funds are allocated where they are most needed. Campus safety must remain a priority and is an important goal of proper resource management. Beyond the community college leaders’ basic responsibility to keep students and employees safe, there are statutory and legal obligations related to the mandates of federal and state laws, the cost of regulatory noncompliance, and potential lawsuits due to negligence.
**Review of the Literature**
There have been many high-profile incidents on college campuses, and much of the news reporting on these events have cast wider nets on tragedies like Jeanne Clery’s rape and murder, mass shootings on college campuses like Franklin Tech and Northern Illinois University. Community colleges have not been immune to similar tragedies, like at Umpqua Community College in 2015. The mass media has played a large role in disseminating information on these events, which has led to an unfair assessment that campuses are unsafe; however, when comparing reported campus crime rates, we can see that these assessments are exaggerated or misunderstood.
While community college and university campuses are not crime-free, they are safer than portrayed by the media (Birnbaum, 2013). Between 2006 and 2016, violent and nonviolent campus crimes decreased from 60,024 to 37,389, with burglary being the most reported crime, which decreased from 35,082 to 13,575 (United States Department of Education [ED], 2018). In 2018, there were over 37,500 crimes reported on college campuses nationwide, and 3,883 (10.3%) of those occurred at community colleges. Of those, 1,184 (30.49%) were aggravated assault, 858 (22.09%)
were motor vehicle theft, and 383 (16.25%) were robberies (Office of Postsecondary Education, 2021). Compared to 2008, crime numbers are down quite significantly; however, they are still high. There were 52,730 overall reported crimes, and 8,039 occurred at community colleges. The top three reported crimes remain the same and are aggravated assault 4,230 (52.61%), motor vehicle theft 1,714 (21.32%), and robbery 814 (10.12%) (Office of Postsecondary Education, 2021).
The Impact of the Clery Act
The purpose of the *Clery Act* is to provide the public, including potential students and their families, information about specific crime statistics and information about reported campus crimes to help them make an informed decision to attend. Another purpose is to ensure that those on campus are aware and notified of potential security threats so they can change safety behaviors (Janosik & Gregory, 2003). After several decades, scholars have continued to measure, and question, the impact of *Clery* on campus crime and safety. Janosik (2001) found that a strong majority of respondents were not aware of Clery and only 4% used the security report when making their college decision. Student discipline officers have had to make adjustments in their processes because *Clery* requires reporting of campus crimes (Harshman et al., 2001). *Clery* does not require reporting of crimes off campus. This lack of reporting crimes that occur near campus or crimes that affect students of a certain institution not being reported can create a false sense of security (Nobles et al., 2012; LoMonte, 2014; Thomas-Montford, 2020).
*Clery* requires that timely warnings, which are targeted messages often referred to as campus alerts, are issued for “serious or on-going situations” on campuses (Sulzer et al., 2022). Timely warnings have been found to be effective as some students changed their safety behaviors (Jee & Good, 2017), but younger students, known for feeling invincible and more immune to crime (Peralta & Cruz, 2005; Rader et al., 2012), tend to be less fearful of becoming a victim of a campus crime and
their perceptions of the crimes that could affect them are not based in fact (Patton & Gregory, 2014). Other studies reported that faculty and staff also feel safe on campuses, but they are not immune to the fear of becoming a victim as well (Baker & Boland, 2011; Kyle et al., 2017); however, female faculty and staff did report higher levels of knowledge of campus safety services (Fletcher & Bryden, 2009) or changed working hours to avoid being on campus after hours (Trawalter et al., 2021).
*Clery* requires that institutions keep “students and employees informed about threats to their safety and health in a manner that allows them to protect themselves” (U.S. Department of Education, 2016, p. 6). This is done through daily logs, email notifications, and annual reports. However, notifications, especially email notifications, may not be interpreted in the way they are reported (Janosik & Gregory, 2009). Crisis communication can also be affected by relevance, create different levels of anxiety and fear, and can result in “reduced campus participation” (Hasinoff & Krueger, 2020, p. 602). For example, these communications, often poorly worded, can result in misunderstandings, particularly around racial and ethnic stereotyping (Van Vliet, 2020).
**Methodology**
This mixed methods study examined community college presidents’ knowledge and understanding of campus safety as well as their perceptions of campus safety at their institutions and in higher education, in general. The research also assessed the participants’ direct experience with campus safety issues. This study was approved by the Old Dominion University Human Subjects Review Committee (project #1010282-1).
Community college presidents from one southeastern state were chosen through purposeful sampling, which allowed the researchers to decide who to select, to determine a sampling strategy, and pick the sample size (Creswell, 2013). The Franklin (pseudonym) Community College System
(FCCS) is a system of 23 institutions. As the research team had access to this population, convenience sampling was also employed to survey the FCCS presidents and select three presidents for in-depth interviews. Focusing on FCCS leaders created a homogeneous sample in terms of education and professional achievement as each president adheres to the governing guidelines of the Franklin State Board for Community Colleges and reports to the system chancellor. However, individual characteristics such as race, age, and gender, as well as institutional characteristics like campus size and location were not homogenous. The sample consisted of three community college presidents representing a small, medium, and large-enrollment college based on the classification of the Carnegie Classification of Institutions of Higher Education (n.d.). Institutions deemed *Very Small* and *Small*-enrollment have full-time equivalent (FTE) enrollments of 1,999 students or less; *Mid-Sized* institutions have FTEs between 2,000 and 9,999; *Large* and *Very Large*-enrollment institutions have 10,000 or more FTEs. Geographically, smaller FCCS colleges are found in rural areas; mid-sized colleges serve both rural and urban populations, and large colleges are generally in urban or large suburban areas. This allowed for the three presidents to come from a cross-section of campuses throughout the Franklin system.
The study began with a survey instrument distributed to the 23 community college presidents in FCCS. The results of the survey informed the interview questions for the three in-depth interviews.
**Data Collection Measures**
Two data collection methods were employed in this mixed methods study. The first was a survey of the 23 FCCS presidents. The survey asked participants to rate their knowledge and perceptions on campus safety issues with various items utilizing a Likert-type scale. A panel of experts, with expertise in campus safety issues, reviewed the instrument to establish content validity. Several
revisions to the instrument were made as a result of this review. The reliability of the revised instrument was established through a test-retest procedure. Finally, a pilot test of the instrument was conducted by FCCS employees.
The lead researcher asked the president of the college where he worked to contact the other 22 FCCS presidents to introduce the survey and for the presidents to expect a call for participation. An email followed with an introductory email from the research team, which provided the research purpose and information on human subjects’ protections, and anonymity and confidentiality. This email was followed the day after with the electronic survey, which was opened for five weeks, with weekly reminders. Twenty-two of the 23 FCCS presidents participated in the survey; one had retired, and the incoming president was too new to the role to participate.
The survey measured FCCS presidents’ knowledge and perceptions of campus safety and was analyzed using descriptive statistics. The survey results also informed the in-depth interview protocol. Three FCCS presidents were chosen from the 22 respondents based on campus size and geographical location. The lead researcher recorded the interviews and took field notes. Member checking, “the ongoing consultation with participants to test the ‘goodness of fit’ of developing findings” (Hays & Singh, 2012, p. 206), was used to ensure the accuracy of the interview transcripts.
Data Analysis
The initial survey provided descriptive statistics of the FCCS presidents’ perceptions and knowledge of campus safety issues both on their campuses and in general. Common themes were identified from the survey results and were used to develop the interview protocol, which included open-ended questions designed to produce the levels of knowledge, perception, as well as the individual experiences the participants had surrounding campus safety. The pattern matching process, which involved searching for meanings and patterns in the data, initiated the analysis, cross-case synthesis
was used to determine similarities and differences between the three cases (Creswell, 2013). Finally, the researchers developed naturalistic generalizations from analyzing the data, generalizations learned from the cases to be applied to a population of cases (Creswell, 2013).
Trustworthiness
To maximize the trustworthiness of the findings, the research team maximized the participants’ voices. The first method was member checking, which is “the ongoing consultation with participants to test the ‘goodness of fit’ of developing findings” (Hays & Singh, 2012, p. 206). The researchers provided transcripts to the participants and allowed them to review and amend their transcribed words. Trustworthiness was strengthened through triangulation; the researchers sent a survey instrument to the entire population of FCCS presidents and performed in-depth interviews with presidents from three different size institutions. Finally, after independently coding the interviews, two peers familiar with the project reviewed the interviews and the codes for dis/agreement to establish inter-rater reliability. The reliability ratio was calculated at 0.78, which is higher than the 0.70 acceptable minimum (Hays & Singh, 2012). Finally, an audit trail was used that included field notes and transcripts from the in-depth interviews, the codebook, the audio recordings, and a reflective journal (Hays & Singh, 2012).
Limitations
This study has several limitations. The first is that it only examined one state community college system, which does not allow for generalizability and transferability of the findings to other community colleges. Further, the differences in community college governance from state to state may have an impact on a community college president’s knowledge and perceptions of campus safety. Additionally, this study took place in one state, with the pseudonym Franklin, where one of
the worst historical instances of campus violence occurred. The impact of that mass shooting may have influenced the experiences of community college presidents in the state.
**Results**
The study produced a considerable amount of data from the survey of all community college presidents within the Franklin system and in-depth interviews with three of the presidents. The results are presented in the three focus areas of the study: the role of the president related to campus safety; the presidents’ perceptions of the level of safety on their campuses; and the presidents’ level of knowledge on safety-related issues.
**Presidents’ Role and Experience Related to Campus Safety**
The survey instrument asked the respondents whether they believed their campus had an adequate emergency response plan. All respondents indicated they believed this to be the case. Another question inquired whether the presidents believed their decisions impact campus safety. Over 90% of the respondents agreed or strongly agreed they did. A third question asked whether the respondents had experience with dealing with campus safety issues. Over three quarters of the respondents (77.2%) reported they did have such experience, while three respondents neither agreed nor disagreed, and two respondents reported they did not. A final survey question asked whether the presidents knew what to do in an emergency. All the presidents either agreed or strongly agreed they had this knowledge.
Additionally, the presidents also addressed seven survey questions regarding their role and responsibility regarding campus safety for their institution. All of the presidents responded that they should – and do – keep up with campus safety issues. Most respondents (90.9%) reported that considerations of campus safety issues guided their decision making and two respondents neither
agreed nor disagreed. Also, all the presidents indicated they had a responsibility to address campus safety issues with their constituents. Specifically, over 90% of the respondents expressed an obligation to address their governing board members about safety issues. More than three quarters (81.82%) of the survey respondents noted that they advocated for funding for their campus safety initiatives and the same percentage advocated for funding for safety personnel. Nineteen of the 22 respondents (86%) noted that they read their Annual Security Reports before they were released to the ED and constituents.
In the interview responses related to this research question, the major theme was the presidents indicated they did not have resources to reinforce campus safety and security issues on their campuses. In response to this, the three interview subjects indicated a desire to acquire the latest tools and equipment to assure campus safety. The three presidents believed that prioritizing campus safety and security was an important function of their jobs. Managing and controlling safety issues and impacting the overall environment and climate of the school community were also perceived to be important aspects of their jobs.
Community College Presidents’ Perceptions of Safety on Their Campuses
Thirteen statements in the survey instrument addressed this research question. Seven statements addressed the presidents’ level of agreement about how they and various groups on campus viewed campus safety. Six statements asked the presidents’ level of agreement with the adequacy of safety personnel, initiatives, and features at each participant’s institution. All but one of the presidents indicated their campus was safe with one president believing that their campus was not safe. Over 90% of the same respondents indicated they believed their students thought their campus was safe while the remainder were not sure. Over 86% reported that both faculty and staff believed the campus to be safe. All but one of the presidents reported their perceptions that their security
personnel and campus visitors perceived the campus to be safe. A smaller – but still high – percentage (over 80%) of the presidents reported their perception that the areas around the campus were safe.
From the interviews, the data indicated a need to be proactive in creating a multifaceted program on their campus to address and prepare for threats and other issues. Among their expressions of concern, they addressed issues of the need to have an accredited and sworn police force to increase visibility of police presence, providing drills and mock training as required by the Clery Campus Safety Act, providing formal training for college personnel beyond campus police, and keeping up with technological advances.
**Presidents’ Level of Knowledge About Laws Pertaining to Campus Safety**
There were seven survey questions that addressed the presidents’ knowledge of laws regarding campus safety. The first asked whether their institution published an annual campus security report. Only one respondent was unsure; the remaining 21 presidents agreed that their institution produced such a report. The next question measured the presidents’ beliefs of their awareness of federal campus safety laws. Twenty respondents (95.2%) were familiar with such laws and two participants were not. The next question measured the presidents’ belief their institution was following federal safety laws. All 22 presidents strongly agreed that their institution was complying. The next question measured the presidents’ perception of knowledge of state laws that pertain to campus safety. Twenty of the presidents indicated they were aware of these laws, while two participants disagreed.
A more specific question asked the presidents whether they perceived the Clery Campus Safety Act as effective in promoting safe colleges. Less than half (45.5%) of the respondents agreed that the law was effective; eight were unsure, and four participants believed it was not. The final question assessed perceived agreement with the effectiveness of the state of Franklin campus safety
laws. Over half of the respondents agreed the laws were effective, six participants were unsure, and four participants felt the state laws were not effective campus safety laws.
The main theme that emerged from the presidential interviews involved the need for community college presidents to understand and comply with safety protocols, policies, and regulations. The participants specifically mentioned Federal Emergency Management Agency (FEMA) regulations, SANS cybersecurity training, and the campus safety regulations of the *Clery Act*.
**Discussion**
The current study revealed that while community college presidents are generally familiar with the issues and laws related to campus safety, they still struggle with assuring campus safety is a priority. Acquiring appropriate funding and resources to ensure campuses have what they need to be safe, and for students to feel secure continues to be a challenge. The current study supports the findings of Garza Mitchell (2012) who marked this as a critical issue for community college presidents and that the need for money for campus safety issues was continually of concern to presidents.
The respondents in this study indicated they believe campus stakeholders think their respective campuses and most community colleges are safe. The presidents noted their belief that employees (including security personnel) and visitors felt the campuses were safer than did the students, and that employees were more aware of what to do in emergency situations than students. Most respondents perceived that they had adequate resources to fulfill campus safety initiatives; this was not found in the in-depth interviews where the presidents interviewed expressed the concern about inadequate resources. Further, the interview participants believed they needed to be proactive in creating campus safety initiatives and increasing the visibility of safety personnel by having or partnering with an accredited police force. This finding confirms previous research, including
Connolly’s (2012) report on the promotion of crisis preparation and threat assessment at community colleges.
Both the survey responses and the interviews revealed the positive roles of community college presidents on safety issues. Community college presidents continue to play an active role in protecting their campuses as well as communicating safety decisions and measures to the rest of the community. From the interviews, community college presidents provided examples on how they reinforce safety values and practices primarily through communication. Community college presidents need to spearhead the institution’s safety practices and enhance institutional preparedness and readiness when faced with campus safety issues (Gnage et al., 2009; Paape, 2021) whether related to campus crime, natural disasters, the COVID-19 pandemic, or cyber security issues.
Both the survey and interview responses provided similar responses, regarding the awareness of the community college presidents on the importance and efficiency of the laws on campus safety. Participants provided *Clery Act* annual reporting and FEMA and SANS training as examples. Participants were knowledgeable about the fact that colleges and universities must follow laws pertaining to campus safety. Additionally, they displayed skepticism on the efficacy of campus safety laws, which illustrates a deeper understanding of campus safety laws than mere working knowledge of their existence. Awareness, working knowledge, and skepticism of the effectiveness of campus safety laws indicates that participants understand the importance of campus safety at their institutions, which is positive for constituent confidence.
**Implications for Community College Presidents**
The results of this study may be used by community college presidents to modify or improve their current campus safety initiatives and as they advocate for funding for initiatives aimed at providing safe learning environments. By promoting a safe campus environment all stakeholders benefit,
potentially leading to more efficient performance from all members of the college community. This study demonstrates the awareness and readiness of college presidents to provide the best and safest possible environment for their students, faculty, staff, and visitors. However, there are issues and challenges faced by community college presidents as they perform their roles.
Based on the study results, we offer several recommendations which may be employed in current practice and future studies. Community college presidents should regularly review their own perceptions of campus safety at their institutions, and they should compare their perceptions to those of key constituency groups. Additionally, the presidents should contrast their perceptions with actual campus crime data. Community college presidents should increase their awareness of the current state of campus safety by continually updating their knowledge pertaining to campus safety issues and pursue information as needed. Further, by studying the examples and practices of other colleges, community college presidents can discover new perspectives that could assist them in their leadership practices in terms of campus safety initiatives. Community college leaders must address how students prepared for emergency situations when the majority of the students are part-time as well as commuter students. Leaders must find ways to focus on emergency preparedness in venues other than the classroom. One seemingly obvious option is to ask faculty to instruct students on campus safety at the start of each semester. A challenge with this option is finding adequate training time for full-time faculty who are on nine- or ten-month contracts as well as training for adjunct faculty members who spend limited time on campus. A better option may be to provide mandatory online emergency preparedness training for all students, faculty (full- and part-time), staff, and administrators like the National Center for Campus Public Safety’s training webinars for higher education professionals.
Future researchers can advance the knowledge of campus safety by conducting interviews with other community college officials, faculty, students, governing board members, and
community-based stakeholders. The additional data may help improve overall recommendations for how campus safety may be improved based on the perceptions and experiences of all campus stakeholders. Future research should examine how institutional characteristics such as the size of enrollment (small, medium, or large) and location (rural, suburban, or urban) affect the presidents’ perceptions of the campus safety.
**Conclusion**
The results of this study may be employed as solid pieces of evidence that expand the body of research on campus safety. This study is unique given that the main data source used was gathered from the community college presidents themselves. Community college presidents’ firsthand perceptions and experiences brought new insights and lessons on how community college presidents view campus safety. Leaders must also take charge and stay proactive and current on campus safety conditions and the needs of their respective institutions. In addition, although the community college presidents were positive about the current status of the safety of their respective colleges, the respondents voiced concerns about promoting and maintaining safe institutions in the face of inadequate funds and resources. Community college presidents face lack of funding, which greatly affects their ability to develop and enact safety initiatives. Ultimately, the community college presidents reported the importance of following the laws, policies, and other regulations to warrant the welfare and safety of all the stakeholders of the campus. Through this research study, the participants consistently highlighted the importance and value of campus safety.
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Supporting English Language Learners in the Era of Direct Enrollment
Breana Bayraktar
In the spring of 2021, the Community College System in which the author works was in the middle of a planned three-year pilot of math and English self-placement (“Direct Enrollment”) procedures. Concerns about the significant English language learner (ELL) population at one institution led to the development of a corequisite support course designed to support English language learners as they enrolled in first-semester composition. This course is considered a “gateway” course, with success rates hovering around 60% for traditional students, dropping to under 35% for students age 25 and older. As the planned pilot of Direct Enrollment was underway, faculty and administrators at the College were concerned about how placement and enrollment changes would impact the success of ELLs. In this article, the author outlines the problems faced by two-year institutions with large ELL populations and presents data on success rates in transfer-level English, including the impacts of English Direct Enrollment and the ELL corequisite support course pilot. The author then provides recommendations for how the community college system can support ELLs in accessing the support they need to succeed.
In the spring of 2021, the Virginia Community College System (VCCS) was in the middle of a planned three-year pilot of math and English direct enrollment procedures. At one large multi-campus college in the system (“the College”), concerns about the significant English language learner (ELL) population led to the proposal and eventual development of a corequisite support course designed to support English language learners as they enrolled in first-semester composition. The College’s English as a second language (ESL) program is well-known across the country (Institute of International Education, 2017); for decades, it has served students by providing academic English language instruction with high success rates. As the College prepared to implement English direct enrollment, including revised placement procedures and new developmental English courses, ESL and English faculty involved in the pilot were concerned about impacts on the success of English language learners (ELLs). Multilingual learners come to community colleges from diverse linguistic, cultural, and socioeconomic backgrounds. For these students, the speed of language acquisition and balance of skills vary greatly. When students from these diverse academic and professional backgrounds end up in ESL classes together, instructors are
challenged to address the diverse needs and skill sets (Bergey et al., 2018). Because of these placement and instructional challenges and the exigency of implementing English direct enrollment (EDE), several initiatives to support faculty and students were developed and piloted. This article describes the implementation and impacts of these programs and advocates for meeting the needs of ELLs through appropriate placement, high-quality instruction and academic support, and robust data collection.
**ELLs in the Community College**
Students enrolled in English as a second language coursework come from diverse academic and personal backgrounds. Many second language learners have strong academic backgrounds in their native languages, but they still need English language support to be successful in American higher education. Other students come to community college with little or no literacy in their native language. ELLs in higher education are comprised of three broad and somewhat overlapping categories: international students, immigrant students, and generation 1.5 students (Hayward, 2020), within which there are many sub-populations (Roberge et al., 2009).
International students, or students who have graduated from a foreign high school and who come to the U.S. to pursue higher education, are best served with English instruction that emphasizes cultural acclimatization to the system of education in the United States and focuses on preparing them for entry into their academic discipline (Bergey et al., 2018). While arriving from different home countries, international students tend to have similar prior academic experience and English language preparation. In contrast, individuals who immigrate to the United States as adults arrive with a wide range of professional and academic experiences and are likely to be the most diverse in background, age, educational attainment, and socioeconomic status of ELLs. Many have completed higher education in their home countries (41% have a bachelor’s degree or higher), but
nearly a quarter (23%) have not finished high school (Pew Research Center, 2015). Immigrant students are more likely to be older and focused on improving job opportunities while supporting a family and report that family responsibilities and “weak math and English skills” are “obstacle[s] to their academic success” (Soria & Stebleton, 2013, p. 12).
Students born outside the United States, or born inside the U.S. to immigrant parents, make up 24% of the community college population (Community College Consortium for Immigrant Education, 2015) and 27% of the total postsecondary enrollment in Virginia (Batalova & Feldblum, 2020). Generation 1.5 is generally used to refer to students “who arrive in the U.S. at an early age, obtain much or all of their education in U.S. K12 settings, and arrive in college with various patterns of language and literacy that don’t fit the traditional, ‘institutionally constructed’ profiles” of developmental or ESL students (Roberge et al., 2009, p. vii). Because Generation 1.5 students enter school in the U.S. at a young age, and benefit from immersion into the social environment of K12 schools, they can often be stronger in oral communication than written communication skills (Llosa & Bunch, 2011). Frequently, students who immigrate at a young age sound like fluent English speakers in everyday conversation while still developing proficiency in academic reading and writing skills. This oral fluency can be misleading to faculty and staff who interact with Generation 1.5 students as they begin the enrollment process. Despite having graduated from an American high school, they may still need targeted English language development (Bergey et al., 2018) to successfully transition to college-level coursework.
Multilingual learners come to community colleges from diverse linguistic, cultural, and socioeconomic backgrounds. They are both “learners of English” and “users of English” (Roberge et al., 2009, p. 5; emphasis in the original) at the same time. For these students, the speed of language acquisition and balance of skills vary greatly. When students from these diverse academic and professional backgrounds end up in ESL or college English classes together, instructors are
challenged to address the diverse needs and skill sets (Bergey et al., 2018), and institutions face the challenge of providing appropriate support for and equitable access to successful completion of a degree or credential.
Accurate Placement Supports Success
ELLs need a minimum proficiency level to succeed in content courses (Kuo & Bostian, 1999). Accurate placement is crucial for second language acquisition: students must be challenged to work toward tasks and skills at or just above their level of proficiency (i.e., theory of i+1; Krashen, 1985; Krashen & Terrell, 2000) to make progress. Placement at a level that is too easy slows language acquisition, while placement at a level too difficult for the learner increases course repeats and attrition (Ferris & Lombardi, 2020). Being able to accurately assess one’s oral and written communication skills to the degree necessary for guided or informed self-placement is a challenge for second language learners (Krausert, 1991; Strong-Krause, 2000). For students coming to community college after graduating high school, their prior English/ESL experiences may have included either a premature or delayed exit from English language services, either of which “can greatly complicate” their perception of and attitude towards the placement process they encounter at the higher education level (Roberge et al., 2009, p. 13). As they leave high school and enter college, particularly if they take some time off before continuing with their education, students may “shift to English dominance and yet still retain features in their speech and writing that are learner-like or ESL-like” (p. 19). As ELLs transition to postsecondary education, the supports they may have experienced in high school may be different to what is available in college; the course expectations are different as well. While self-placement offers benefits to students, learners’ lack of knowledge of what will be expected of them in their college courses presents a challenge to implementation of self-placement procedures.
Faculty at the College have long been concerned about ELLs of all backgrounds wishing to accelerate their progress by skipping levels of ESL or enrolling in multiple credit-bearing courses while still enrolled in ESL courses. The concerns focus on the potential impacts to the individual student attempting a course load too challenging for their language ability but also on impacts to their peers. As Ferris and Lombardi (2020) explained, allowing students electing to skip levels as they self-place “might pose considerable risks not only for that individual student but also for overall programmatic coherence” (n.p.). Anecdotally, faculty at the College identified clear patterns of students believing themselves to be more prepared for transfer-level English than their subsequent performance in English or ESL classes would support. Recent high school graduates in particular seem to over-estimate their reading and writing abilities and under-estimate the level of and quantity of work expected from them in transfer-level English after taking ELL-specific sections of high school English. These concerns are echoed in recent research on self-placement (e.g., Calhoon-Dillahunt & Margoni, 2022; Che, 2022; Melito et al., 2022). Success data on students who may have been enrolled in ELL programs in high school and who enrolled directly in transfer-level English have traditionally not been available; more robust data collection is addressed in the recommendations section. Without these data to inform the discussions of ELL success, it is hard to evaluate the accuracy of faculty perceptions of students’ language ability.
Placement via multiple measures “can help ensure that English language learners are appropriately placed into courses that match their level of skill and knowledge as well as facilitate their achievement of educational goals” (Rassen et al., 2021, p. 5). A placement model that includes student questionnaires, course information and expectations, student analysis of model reading and writing samples, student reaction to “can-do” statements, and robust academic advising has seen initial success in placing H.S. graduates, ELL and non-ELL, in California (White & Newell, 2022). Given the fact that “little research has been conducted on ESL placement practices” (Raufman et al.,
2019, p. 14), and given the challenges of providing accurate advising at the scale that would be needed to support incoming students at the College, the EDE implementation team, and the English and EL faculty in general, had serious concerns that a self-placement process without guidance or direction would, as the Conference on College Composition and Communication (CCCC) position statement on writing assessment asserted, “become merely a right to fail” (CCCC, 2014). If implementing self-placement, the most current best practices are to adopt a model that includes “students’ academic history, educational goals, and English language experience” (White & Newell, 2022, p. 11), engages students in proactively thinking about their preparedness for transfer-level English, and provides robust advising on these topics. These best practices are supported by the programs the College focused on during the pilot and which are described in this article.
Accelerated ESL Course Progression
A key component to the redesign of developmental course sequences across the country is accelerating students into transfer-level coursework by compressing or eliminating altogether credits spent in pre-transfer courses (i.e., developmental English or math courses). There is not enough research on accelerating ESL programs or implementing ESL corequisite courses (Avni & Finn, 2021; Raufman et al., 2019; St. Amour, 2019), and accelerating students into content courses may cost ESL students success in the long term (Bunch et al., 2011). The field of second language acquisition (SLA) studies has long supported the idea that the language skills needed for success in academic settings develop over time (Cummins, 1981). While communicating in social situations (i.e., Basic Interpersonal Communication Skills, BICS) where specialized language is not required can be achieved within two or so years of full-time immersion in the target language, the skills for academic learning (i.e., Cognitive Academic Language Proficiency, CALP) take five to seven years to develop and require direct instruction (Hakuta et al., 2000). Despite this body of research,
proponents of a corequisite model of English language instruction believe that ELLs will benefit from a faster progression through English language-focused courses and into discipline-focused courses. The corequisite model “accelerates the process” of “attaining academic language proficiency,” (Avni & Finn, 2021, p. 3) based on the belief that fluency in academic language skills is not a prerequisite to participation in disciplinary courses; in a corequisite model, language learning and disciplinary content learning should happen “in parallel . . . as an integrated component of course material” (Avni & Finn, 2021, p. 3). There is as yet not enough evidence to support the use of corequisite support courses instead of a sequence of leveled ESL courses to support linguistic and academic development in English, but researchers looking at developmental education placement practices in community colleges more broadly suggest that these practices “may provide pertinent lessons on how systems for determining ESL placements could have negative consequences for many students, including delayed progression or stopping out” (Raufman et al., 2019, p.24)
Research on developmental English redesign, and particularly impacts on English language learner populations, is in early stages in Texas (Daugherty et al., 2018), California (Hayward, 2020; Rassen et al., 2021; Rodriguez et al., 2019), and Tennessee (Ran & Lin, 2019)) shows that programs serving ELLs have been mainly exempt from redesign efforts. In Tennessee, students for whom English is not their first language take locally created English placement tests or the ACCUPLACER test. In California, where directed self-placement has recently been implemented, standardized placement tests (i.e., Accuplacer; Regional Educational Laboratories, 2011) are still allowed for placement into ESL courses (Perez & Stanskas, 2018), although some California institutions are starting to use multiple measures to place ESL as well as non-ESL students (White & Newell, 2022). In Texas, ELLs are exempt from the maximum credit rules that limit the number of developmental credits a student can take (Daugherty et al., 2018). Clearly, even in states at the forefront of
developmental coursework redesign, ELLs are viewed as having legitimate and different needs than their native English-speaking peers.
High-Quality Instruction to Meet Non-Traditional Learners’ Needs
Research throughout the past 40 years has shown that faculty in higher education impact students’ educational outcomes (Condon et al., 2016; Gyurko et al., 2016) by providing high-quality academic support and contributing to students’ sense of belonging and academic confidence (Strayhorn, 2010; Terenzini et al., 1996; Walton & Cohen, 2011; Williams & Ferrari, 2015). For traditionally underserved students, who are more likely than peers to enroll at a community college, high-quality instruction goes beyond access to course content. Caring, involved instructors contribute to building relationships that are necessary for longer-term success. For students still acquiring English, this combination of access and support is particularly powerful, potentially impacting their short- and longer-term success and persistence.
Finding teachers who are highly qualified to work with ELLs and able to differentiate instruction is key to meeting ELLs’ diverse needs CCCC, 2020). Because of the diversity of students in adult ESL programs, it is challenging for instructors to provide instruction appropriate for all students (Mathews-Aydinli & Van Horne, 2006). In the two-year setting, teaching ESL is different than teaching developmental English for native English speakers (Rodriguez et al., 2019). Because developmental English is designed with native English speakers in mind, ELLs in these courses may be inappropriately penalized for language errors that are a natural part of the language acquisition process (Ellis, 1994; Krashen, 1982) or may not receive appropriate language support necessary to ensure their success in college (Benson et al., 1992; Rodriguez et al., 2019). Adult language learners require explicit instruction to help them apply what they already know about language to the new one they are acquiring (DeKeyser, 2017). Community college English faculty do not typically have
preparation in second language acquisition (SLA) or teaching second language learners. Considering that two-thirds of all composition classes at the community college level are taught by adjunct faculty (Center for Community College Student Engagement, 2014), in institutions where, nationwide, over 70% of all instructional appointments are contingent (American Association of University Professors, 2018) the challenge of finding faculty with educational preparation and experience meeting the needs of diverse, multilingual learners is consequential.
Corequisite Support Course Model
There is growing support across the nation’s community colleges for corequisite rather than remedial or developmental models of delivering basic English and math instruction. A growing body of research (e.g., Martorell & McFarlin, 2011; Scott-Clayton et al., 2012; Scott-Clayton & Rodriguez, 2014; Xu, 2016) shows that for many students, especially traditionally underserved students, corequisite support is effective. Some studies have shown dramatic gains in the number of students completing a transfer-level course under the corequisite model (Mejia et al., 2020). However, most successful programs are ones where students receive additional academic support (i.e., embedded tutor support, supplemental instructional support) while enrolled in a transfer-level course in math or English. Despite this growing body of research, there is as yet no evidence that these gains continue beyond that first course, with Ran and Lin’s (2019) analysis seeing no longer-term benefits in persistence, transfer, or graduation for students in corequisite models versus students who enrolled in prerequisite developmental courses or placed into college-level work without additional support.
Offering an ELL-specific corequisite support course is based on the premise that fluency in academic language skills is not a prerequisite to participation in disciplinary courses. Proponents argue that language learning and disciplinary content learning should happen “in parallel” with
language development “as an integrated component of course material” (Avni & Finn, 2021, p. 3). There is very little evidence to support the use of corequisite support courses instead of a sequence of leveled ESL courses to support linguistic and academic development in English. There are a few community colleges or systems offering ELLs immediate entry to college-level English composition along with a corequisite support course (see Avni & Finn, 2021; and Henson & Hern, 2018, for two examples), and there is limited empirical research on student outcomes in this model (Kanno, 2018; Kanno & Harklau, 2012), although more recent analyses of ELLs who are high school graduates entering the California state system show promise for direct enrollment into transfer-level English (Hayward, 2020). Within the limited literature, two components of corequisite support show promise. The paired cohort model pairs an ESL course with a content course, frequently English composition but also history or library research, and, have shown success (Bunch & Kibler, 2015), and integrated courses, where the ESL support course has the same reading and writing assignments as the paired discipline course, have also shown benefits for ELLs (Rodriguez et al., 2019). One example of paired support courses with general education courses is that of Avni and Finn’s (2021) pilot of an ELL-focused support course paired with a general education course. The authors found that instructors’ “academic and professional backgrounds shaped the ways in which they balanced the demands of the two courses and combined their objectives” (p. 7), and that instructors focused on the disciplinary content “over an extensive focus on language and literacy development,” describing the language instruction as “infused” in the course content. Faculty “worried that students did not have enough opportunities to learn and practice English language mechanics, grammar, and sentence structure, which they felt were critical for the students’ success in future college courses” (Avni & Finn, 2021, p. 12). As the English direct enrollment (EDE) implementation team began to plan a new ELL-focused corequisite support course, we considered these and other concerns, discussed in the next section.
Development and Delivery of an ELL Corequisite Support Course
Before fall 2020, based on trends in the state and the nation, the ESL faculty at the College had discussed the possibility of piloting an ESL corequisite course to support the linguistic needs of ELLs in a transfer-level English composition course (ENG 111). Given the move to multiples measures and informed self-placement, as well as changes in placement procedures necessitated by COVID-19 (i.e., closure of campus testing centers), the English direct enrollment (EDE) implementation team and the ESL discipline group in spring 2021 moved forward with developing the course description and goals for a corequisite support course for English language learners (ELLs), with a pilot course designation of ESL 95. The pilot course description stated that the 3-credit ESL 95 support course: “Provides academic English language support for successful completion of ENG 111. Students will identify and apply academic skills including critical reading, writing, thinking, and introductory research with second language acquisition support.” The goal of the course was “to aid students who have met requirements to enroll in ENG 111 but who may need further academic English language support.” The target audience for the paired ENG 111 and ESL 95 support course was students who, prior to fall 2021, would have enrolled in ENG 111 with a general English support course (prior to fall 2021, ENF 3) and who were English language learners at some point in their academic career. Without the option of enrolling in ENG 111 with ESL 95, these students would be required to enroll in ENG 111 with EDE 11 or in ENG 111 alone, depending on their placement. With the option of enrolling in ENG 111 with ESL 95, students would not be required to take EDE 11.
Delivery Models in the Pilot
In fall 2021, the new support course for ELLs (ESL 95) was offered in two different paired models. Some sections of a paired ENG 111 and ESL 95 course were taught by one instructor cocredentialed in English and ESL. Other sections were taught by two instructors, an English faculty member assigned to ENG 111 and an ESL faculty member assigned to ESL 95. In this model, the two faculty members worked together to teach and assess the course assignments and assessments. Offering two models allowed the College to adapt to the differences between campuses to meet local needs, including flexibility of scheduling and staffing limitations. With both models, students placed into the ENG 111/ESL 95 paired courses in a variety of ways. Some students had progressed through ESL coursework at the College and were advised by their instructors to choose ENG 111/ESL 95 as an alternative to enrolling in ENG 111/EDE 11. Other students who were new to the College heard about the ESL 95 option from peers or from an advisor, or by reviewing the materials published on the College webpages about English placement and English course options. Still others elected to take the optional ESL placement exam, an online evaluation of a student’s reading and writing ability created by ESL faculty to replace the Accuplacer placement test used prior to March 2020. All students placed via the ESL placement received personalized advising from an ESL faculty member to help them understand the different course options.
Outcomes
Although we only have one semester of data on the pilot of English direct enrollment and the ESL 95 corequisite support course, it is helpful to examine the preliminary student success data from fall 2021 to data collected before the direct enrollment changes. Prior to fall 2021, students had several paths to transfer-level English. New students took either the Virginia Placement Test-English (VPT) or the ACCUPLACER test, depending on how they answered questions about their home language. Students who were native speakers of English took the VPT, and would be placed into either transfer-level English (ENG 111), transfer-level English with a support course (ENG 111 with English Fundamentals 3), or one of two pre-transfer level English Fundamentals courses (ENF
Students who took the ACCUPLACER would be placed into either transfer-level English (ENG 111), transfer-level English with a support course (ENG 111 with English Fundamentals 3), or into the College ESL program, which offered 4 levels of reading, writing, and oral communications courses.
Student Success Data: Pre-Implementation
Students enrolled in the ESL program at the College have long been highly successful in their post-ESL coursework (*ESL Discipline Review*, 2019). Longitudinal student success data shows that students who have taken ESL courses succeed in ENG 111 at much higher rates (average 92% ABC rate, fall 2017 through fall 2019) than other student populations, as seen in Table 1.
**Table 1: ENG 111 Success Rate by Placement, Fall 2017-2020**
| Placement | Fall 2017 | | Fall 2018 | | Fall 2019 | | Fall 2020 | |
|----------------------------|-----------|----------|-----------|----------|-----------|----------|-----------|----------|
| | ABC | n | ABC | n | ABC | n | ABC | n |
| ESL placement | 95.1% | 142 | 92% | 113 | 89% | 146 | 87.5% | 427 |
| Development ENG placement | 61.5% | 1099 | 57% | 1132 | 66.1% | 1179 | 62.7% | 754 |
| College-level ENG placement| 64.7% | 4056 | 66.6% | 5371 | 77.6% | 3975 | 74.1% | 2424 |
| No placement on record | 74.4% | 1721 | 75.7% | 461 | 81.3% | 187 | 55% | 1866 |
Similarly, students who have taken ESL courses succeed in other “gatekeeper” courses (e.g., BIO 101, BUS 100, CST 100 & 110, SDV 100 & 101) at very high rates (average 91% ABC rate, fall 2017 through fall 2019), as seen in Table 2.
**Table 2: Course Success Rates, Fall 2017-2019 of ESL-placed students**
These success rates confirm the findings of the ESL discipline review (completed spring 2019), showing the significant benefit ELLs receive from taking ESL courses at the College. Table 3 presents a longer-term view (fall 2007 through fall 2015) of students who have passed ENG 111 with a D or higher. Passing rates, earning a D or higher in ENG 111, for students coming out of the College’s ESL program range from 93.1% to 96.8%; this is consistently 10-15 percentage points higher than the passing rate for students who did not start in the ESL program.
**Table 3: ENG 111 Pass Rates, ESL vs. non-ESL Enrolled Students**
| | ABCD Pass Rate |
|------------------|----------------|
| | Former ESL Students | Non-ESL Students |
| Fall 2007 | 95.1% | 80.8% |
| Fall 2008 | 94.4% | 83.4% |
| Fall 2009 | 93.7% | 84.2% |
| Fall 2010 | 93.1% | 83.8% |
| Fall 2011 | 96.8% | 80.3% |
| Fall 2012 | 94.2% | 85.3% |
| Fall 2013 | 96.4% | 75% |
| Fall 2014 | 96% | 86.5% |
| Fall 2015 | 96.2% | 74.6% |
| Overall | 95% | 82% |
From the data presented in this section, it is clear that, before implementation of EDE reforms to placement and course sequence, ELLs leaving the College’s ESL program had mastered academic English communication skills at a level that allowed them to succeed academically at the college level (Northern ESL Discipline Review, 2019; Gateway English, 2022).
Student Success Data: Post-Implementation
Preliminary student outcomes data comparing fall 2021 to fall 2019 ABC success rates show that students in ENG 111 with the ESL support course were more successful than students enrolled in ENG 111 with the developmental English support course (EDE 11), and they were much more successful than students who enrolled in ENG 111 with no support course. Table 4 shows the percentage of students who passed ENG 111 with an A, B, or C in fall 2019 versus fall 2020 and presents the total number of students enrolled in each course combination during those two semesters. In fall 2019, 65% of students \((n = 644)\) enrolled in one of the two developmental English courses (ENF 1, 8 credits; ENF 2, 4 credits) passed with a C or higher; in fall 2021, 54% of students \((n = 171)\) enrolled in EDE 10 (3 credits) did. Students enrolled in one or more ESL courses in 2019 \((n = 3,681^1)\) passed\(^2\) at a rate of 88%, while in fall 2021 \((n = 1,594)\) 80% passed. Students enrolled in ENG 111 with the corequisite developmental English support course (ENF 3, 2 credits) in 2019 \((n = 2,315)\) passed at 70%, and in 2021 the pass rate for students enrolled in ENG 111 with the English corequisite (EDE 11, 3 credits) dropped to 53% \((n = 1,555)\). Students enrolled in ENG 111 with the corequisite ESL support course (ESL 95) in 2021, the first semester this course combination was offered \((n = 203)\), passed at 88%.
---
1 Students enrolled in ESL courses may take more than one course at a time; therefore, this represents total enrollment, not headcount.
2 “Passing” in ESL is earning an S (satisfactory), which requires earning at least a 75% in the course. Thus, passing in ESL is equivalent to a C+ or higher.
Table 4: Fall 2019-Fall 2021 Student Outcome Data
| Course | Fall 2019 | | Fall 2021 | |
|---------------------------------------------|-----------|----------|-----------|----------|
| | % ABC | n | % ABC | n |
| Composition with English Support Course* | 70% | 2,352 | 53% | 1,347 |
| Composition with ESL Support Course** | --- | --- | 88% | 203 |
| Composition with NO Support Course | 70% | 5,873 | 61% | 7,191 |
| Developmental English*** | 65% | 644 | 54% | 171 |
| ESL (Levels 2-5) | 88% | 3,681 | 80% | 1,555 |
| Dual Enrollment Composition | 91% | 4,965 | 92% | 5,676 |
* Fall 2019: ENG 111 with ENF 3; Fall 2021: ENG 111 with EDE 11
** Fall 2019: not offered; Fall 2021: ENG 111 with ESL 95
*** Fall 2019: ENF 1 and 2; Fall 2021: EDE 10
From these data, we can see that the success of students who enrolled in the ESL corequisite support course in fall 2021 was equivalent, with 88% earning a passing score (i.e., S for Satisfactory), as students in other levels of ESL in fall 2019. We can also see that more students enrolled directly into ENG 111 without any corequisite support course than had before the pandemic: 5,873 in fall 2019 versus 7,191 in fall 2021. Many fewer students enrolled in ENG 111 with the EDE 11 corequisite support course (1,005 fewer students in 2021 than in 2019). Likewise, the number of students enrolling in pre-ENG 111 developmental English courses was much lower in 2021 ($n = 171$) than in 2019 ($n = 644$). Overall, far more students enrolled directly into ENG 111 and many fewer students enrolled in English developmental or ESL courses. These English and ESL enrollment numbers provide important context for the recommendations in the next section.
Recommendations
These recommendations focus on providing equitable access to transfer-level English and equitable opportunities for success in this course and the rest of their academic program, aims supported by the VCCS strategic plan, Opportunity 2027, whose overarching goal is that “Virginia’s Community Colleges will achieve equity in access, learning outcomes, and success for students from every race, ethnicity, gender, and socioeconomic group” (VCCS, 2021). A combination of placement and diagnostic assessments, expert instructors with class sizes that allow for the individualized attention students need, appropriate support services, and robust data collection and reporting will help to ensure the continued achievement of the VCCS ELL population.
Placement and diagnostic assessments
Accurate placement of ELLs is, above all else, an equity issue. Pre-pandemic, the ESL program at the College relied on “multiple, adaptive, and ongoing assessments” to best capture where a student needed support in developing their reading, writing, speaking, and listening skills (Bergey et al., 2018, p.9). An initial placement assessment followed by a diagnostic assessment within the first week of class allowed faculty with expertise and experience to help students enroll in the courses they need to succeed while moving forward quickly through their program of study. While this system was upended somewhat by pandemic-related changes to the availability of on-campus testing, the ESL faculty at the College were able to develop and pilot a new placement currently being used to advise students on which courses will provide them with the appropriate balance of challenge and support. First-week diagnostics allow students to demonstrate changes in proficiency since placement (Hille & Cho, 2020) and help students understand what will be asked of them in their current course. Students for whom the diagnostic indicates they are already performing well above the level expected are offered the opportunity to move into a higher-level class. Those for
whom the diagnostic points to significant areas of concern in their performance can be advised to consider moving into a more appropriate course where they are more likely to be successful.
Staffing and class size
Another key recommendation for supporting access to opportunities for ELLs is providing high-quality instruction in an environment that supports student growth. Part of this is ensuring that all ELLs have access to instructors with experience and expertise in delivering targeted linguistic and academic support. Because the corequisite support course for ELLs is intended to help with academic English language acquisition as they are co-enrolled in ENG 111, the professor must be credentialed to teach ESL. Two equally successful models were piloted: (1) a single instructor model, where an ESL faculty member co-credentialled to teach English taught both ENG 111 and the ESL support course; (2) a co-teaching model, where an English faculty member taught ENG 111 and an ESL faculty member taught the ESL support course. Both models provide ELLs with high-quality instruction designed to meet their specific needs.
Another piece of supporting student growth is offering appropriate class sizes to allow ESL and English instructors to do the intensive work of providing the frequent and detailed feedback that we know benefits students who are acquiring academic English. Repeated calls for small class sizes have long been part of advocacy efforts at the national level. The Two-Year College English Association (TYCA) calls for English instructors to have no more than 100 students per semester (Klausman et al., 2020), while the Conference on College Composition and Communication (CCCC) position statement on the Principles for the Postsecondary Teaching of Writing recommends a class size of 20 students in English composition and 15 students in developmental English classes (CCCC, 2015). Faculty support is key to successfully implementing a corequisite model, as seen in past English and math corequisite program implementation within the VCCS (Emblom-Callahan et
al., 2019) and across the country (Daugherty et al., 2018). Smaller class sizes, in line with reasonable workload expectations of faculty working with community college students in writing-intensive disciplines, provide instructors with the time needed to attend to the diverse needs of students in their courses.
Support services
A third key recommendation concerns access to institutional support services. While research has long demonstrated the importance of supplemental support services to community college students in particular (Karp et al., 2008), ELLs have even more need of support in understanding the requirements—spoken and unspoken—of being a successful student. Counselors knowledgeable about ELLs’ unique needs (Bunch et al., 2011; Kanno, 2018) can help students understand placement results and how their course selection influences their program planning and eventual success. Research also states it should be the colleges’ responsibility to inform and guide students in ways that are accessible from student perspectives (Bunch & Panayotova, 2008), something that community colleges have long failed to do successfully (Karp et al., 2008). Although many institutions have been challenged by pandemic-related staff shortages in critical student support functions (e.g., advising and counseling, writing center/tutoring center, disability services), it is vital that the VCCS re-double efforts to support consistent access to these important support services.
Robust data collection
If our goal is to understand how students perform in their English courses and how their longer-term success is impacted by changes in enrollment procedures, thorough data collection must be part of the process. Given the limitations, however, in how student data is collected and
organized, we are very limited in what data trends we can follow. We do not currently have any way of collecting data on home language, for example, or whether a student took high school courses designated for ELLs. This problem is not unique to our College or system; the performance of ELLs in higher education is an under-studied area (Harrison & Shi, 2016). Institutions collect demographic data routinely but must make a better effort to collect data about language background and proficiency that would paint a fuller picture of whether and how multilingual students’ needs are being met (Bergey et al., 2018). Finally, efforts must be made to examine the educational outcomes for students who complete ESL coursework, developmental English coursework, and those who begin at transfer-level English with no corequisite support course (Hayworth, 2020). Exploring outcomes for students who might have entered ESL or taken transfer English with an ESL-specific support course but who instead elect to enroll directly into transfer English with no support will help the VCCS to better understand who our multilingual students are, and how their success and persistence is impacted by the English pathway they follow. Following the three-year pilot, the VCCS must continue to evaluate how the direct enrollment policy and procedure changes impact students as well as faculty and staff.
**Conclusion**
The success of multilingual students is vital for the VCCS to address. Population trends across the state predict growing numbers of students needing English language support as they transition into higher education, given the growth in the number of K12 students in Virginia who are still acquiring English proficiency (Department of Education, n.d.). Appropriate placement in courses that provide challenge and support is vital to the success of ELLs in community colleges. The impact guided self-placement might have on ELLs and multilingual writers more broadly is still being investigated, with many early self-placement pilots excluding multilingual writers from participating in self-placement.
A further complication in looking to other institutions as models is that at many schools ELLs are lumped into “developmental English” due to insufficient numbers (Calhoon-Dillahunt & Margoni, 2022). With changes to direct enrollment replacing a standardized placement process for ELLs with informed self-placement and multiple measures placement, it is more vital than ever to consider whether we are providing not just *equitable access* to transfer-level coursework but *equitable opportunities to be successful* in that coursework.
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How Can a Culturally Responsive Discussion of the Five-Paragraph Essay Help Asian American Students Write Well?
Yuemin He and Catherine Megliola Gaiser
The five-paragraph essay is highly controversial, and yet it has also been a useful format for composition. In this essay we explain why, despite its limits, students need to go along with the format to make what use and get what advantage of it. We then demonstrate that valuing the philosophical, historical, cultural, and educational backgrounds of our students can help navigate away from the restrictive nature of the format and lead to equitable learning for all students. Finally, we introduce a few curriculum designs and instructional practices to expand the epistemological and pedagogical frontiers of the format. In short, we conduct a culturally responsive discussion of issues students with non-Western backgrounds--Asian American students in particular--may encounter when writing the five-paragraph essay. By sharing student learning-focused approaches, we aim to improve Asian American students’ learning experiences.
The five-paragraph essay has been a staple in US K-12 school and college composition teaching and writing. This standard essay format is a useful scaffold (Sztabnik, 2017). Last year history professor Zachary M. Schrag at George Mason University wrote a typical five-paragraph essay to expressly defend the usefulness of this writing format as “building blocks” for students to learn to develop longer essays. However, the five-paragraph essay has also been under fire as it functions as “an anti-perplexity machine” (Elbow, 2012, p. 308), leaves “no room for the untidiness of inquiry or complexity and therefore no energy in the writing” (Bomer, 2016, p. xi), and approaches taken by writing teachers are, to quote book author and educator John Warner (2018), “not nearly challenging enough” and should be “killed” (p.142).
As writing instructors teaching community college students who often struggle to develop an adequate grasp of academic writing, we do not intend to engage with the debate directly. Instead, we aim to, first, unfold difficulties students with non-Western cultural and educational backgrounds, especially Asian American students, experience when crafting this type of essay. Second, based on our findings, we share in the spirit of culturally responsive pedagogy (CRP) some curriculum design and instructional practices. We hope this discussion can lead to recognizing and valuing the cultural,
community, and family backgrounds of our students as strengths as well as respond to the exigency for academic discourse on reshaping the five-paragraph essay in theory and praxis.
From Cultural and Thinking Differences to Writing Differences
We are starting with a personal story as stories not only present personal references but also broader meanings. Thus, we echo CRP experts Gloria Ladson-Billings (2021) and Geneva Gay (2018) in believing the power of personal narratives to expand epistemological and pedagogical boundaries.
In 2002, when I (Yuemin) was drafting my dissertation, I noticed that my professor would suggest that I add a topic sentence to my body paragraphs or move the last sentence of my body paragraphs to the beginning of those paragraphs. Since the absence of a topic sentence occurred so often, once my professor left a note on a page: “Every paragraph (almost) needs a clear + overarching topic sentence. You rarely have one.”
This comment illustrates the difference between deductive and inductive writing. The deductive style of writing is often characterized as a top-down approach. Specifically, Laurie Kirszner & Stephen Mandell explain that deduction “moves from general statements, or premises, to specific conclusions.” By contrast, the inductive style, sometimes called bottom-up, “begins with specific observations (or evidence) and goes on to draw a general conclusion” (2017, p. 125 & 137).
Below is one occasion where I (Yuemin) wrote inductively rather deductively.
All the poems we have examined expound directly Chinese religious (chiefly Taoist) or philosophical beliefs. Masters admires these beliefs though he was an atheist. He was receptive to them because they help to overcome adversity and maintain peace of mind. However, Masters’s realization of their value is more often based on a comparison of the Eastern and Western religions.
So there are many poems in *Lichee Nuts* where Western Christianity and Chinese religions wrestle with one another.
Elmer Chubb—interestingly, one of the pseudonyms Masters once adopted—is a key persona in *Lichee Nuts*. He is pious, almost bigoted American Christian. He frequents Chinatown and misses no chance to preach. As a foil to the Chinatown men, he challenges Buddhist practices in poem 21: Do the Buddhist priests have books to follow? What good morals do they preach? What kind of salvation do they preach? Hip Lung, tired of Chubb’s insistence, says that the Buddhist sage Huen Sha preaches to his people by resigning preaching and encouraging people to listen to the singing of birds outside the temple. What is subtle about Huen Sha’s preaching, it can be inferred, is that he makes people realize in nature “the peace of beauty in hearts at one with nature” (poem 20). This has to do with the Buddhist transcendence of discrimination, which perceives everything in this world as interconnected. Human beings are connected with nature, and the best way to approach truth is to transcend the sense of *I* and *we* and be with nature. Elmer Chubb is by contrast too instrumental in his approach, insisting on using holy books, preaching morals, and following idols. He cannot get the subtlety involved in the sage’s doing. This, on the one hand, leaves Hip Lung and the wisdom embedded in Huen Sha’s story isolated; on the other hand, it stresses the ignorance of Chubb and celebrates the Eastern wisdom. The final result is that few would like to identify with Chubb even if they could be firm believers of Christianity. To question some Christian practices and to tilt victory toward the East is exactly what Masters does here.
In this example, the first paragraph sums up previous analyses of some poems, which means the writing is done in an inductive manner. It also shifts the writing into a new direction with the transition that “there are many poems in *Lichee Nuts* where Western Christianity and Chinese religions wrestle with one another.” The second paragraph therefore begins with the analysis of one concrete poem and eventually concludes that Masters intends to question some Christian practices and to tilt victory toward the East. This paragraph contains a post-positioned topic sentence, which
is a conclusion, and the paragraph reads clear and logical. However, the professor suggested addition of the topic sentence, “[t]o show the conflict between Chinese + Western belief practices, M [Masters] introduces the figure of Elmer Chubb, a pious and bigoted American Christian.”
These cases suggest that American readers are more receptive to writings that present information in a deductive manner and this expectation has shaped how an introduction of an essay should end (with a thesis statement), how the body paragraphs should unfold (with a topic sentence), how to end the essay (by repeating the subordinate points and thesis), and eventually how the five-paragraph essay has become the monolith at the center of English classrooms. Since the above paragraph does not satisfy that expectation, it needs to be “fixed.”
Indeed, composition and composition teaching may not everywhere be interpreted and experienced the way it is defined by Western models in the English language. Researchers, such as Jianping Chen (2008), Karen Glaser (2013), Xinghua Liu and Clare Furneaux (2014) and others have discovered that although there are commonalities and shared understanding between the so-called “Eastern” and “Western” perspectives on college writing, it is increasingly recognized (such as in Gish Jen’s elaborate account of her father’s writing in her book *Tiger Writing*) that many Eastern, or non-Anglophone, writings, have distinctive features and perceptions due to deeply embedded philosophical traditions, cultural values, and educational systems. For instance, in China the inductive approach has been the staple for essay writing. Schools and coaches at various levels have been training students to write in the Chinese equivalent of the five-paragraph essay in an inductive manner. Top-rated essays from the Chinese college entrance exam display this preferred format and pedagogical approach. Amusingly, the practice has also been criticized for its formulaic characteristics.
To further illustrate that, let us fast forward from the early of this century to spring 2022 and cite a student example from our community college classrooms. I (Yuemin) was using *The*
Address Book: What Street Addresses Reveal About Identity, Race, Wealth, and Power by Deirdre Mask (2020) as a reader in my first-year English composition classes. The second assignment (Appendix I) requires students to imitate Mask’s chapters to write about one specific type of address. One student wrote about fictional addresses. After group work and class discussions, prewriting, and student-professor conference, the student’s first draft reads:
Fictional Addresses in Real Cities
What does 221B Baker Street mean to someone? Nothing if the person doesn’t know who that address is associated with. The same could be said about 4 Privet Drive. However, to fans of Sherlock Holmes and Harry Potter, respectively, both locations are a must-visit. But aren’t Sherlock and Harry fictional characters? And so, how can anyone visit a place that only exists in readers’ imagination? The answer to that is though characters are fake, the sites themselves are real. They are just not where one might expect to find them.
221B Baker Street, at the time of Sherlock Holmes’ creation in 1881, used to be a purely fictional address. Back then, Baker Street house numbers only extended into the 100s. But as time went on, the street was renumbered, and now had 200s in it. But there was still no building with the famous detective’s address, even without a B. That, however, didn’t stop the Sherlock Holmes International Society from opening the Sherlock Holmes Museum in 1990 and putting 221B Baker Street on its address plaque. There was only one problem. According to Jimmy Stamp, it was illegal to display a different address when the townhouse they had chosen to open the museum in still had its original, 239 Baker Street, in London’s database. The problem lasted all the way into 2000s, when by the special permission of the City of Westminster, the Sherlock Holmes Museum was finally granted its desired address. And today, all of the mail addressed to Holmes or his companion Dr. Watson ends up in the correct place, despite its physical location being between 237 and 241 Baker Street.
4 Privet Drive is a similar situation. Though it never became a real address like 221B Baker Street, it holds sentimental value to Harry Potter fans as the home of Harry’s cruel uncle and aunt Dursleys, where he spent 11 years before going to Hogwarts. And like Sherlock Holmes’ imaginary address, it also has a location in the real world. The house at 12 Picket Post Close, about 40 miles from London. According to Karen Hua, when Warner Brothers were first filming *Harry Potter and the Sorcerer’s Stone*, they had rented the now iconic house for two weeks before building a replica on studio grounds for later films. Since then, the house had undergone renovations and now only the exterior is a reminder of a place where Harry was so reluctant to return every summer break. But to true Harry Potter aficionados, the exterior alone is enough to pay $620,000 if it means they can experience the beginnings of a great magician.
In connection to Deirdre Mask’s *Address Book*, she mentions that in Great Britain, people who live on streets with religious connections tend to be more religious themselves. Then, she asks the question: “Do you live on Church Street because you are religious and want to live near a church? Or do you become more religious because you live on Church Street?” (87) And, similarly, in the cases of 221B Baker Street and 4 Privet Drive, the question is whether people move there because they are fans or if they become fans by moving there.
This essay is clear – first asking questions and then using “show and tell” strategy to unveil what happens in individual novels before drawing a conclusion. However, it is clear only when readers are receptive to an inductive manner of presenting evidence, and they are patient (enjoy delayed gratification), interactive (evaluate the evidence while reading), and flexible (not expecting the usual topic sentences). However, if the essay is evaluated according to the five-paragraph essay format, it fails to include a clear thesis (only has thesis questions), topic sentences in the body paragraphs, and a third example. I (Yuemin) relayed this feedback to the student, targeting a five-paragraph essay as a final product. I suggested the student add one more example of a fictional address and some critical thinking that the three examples can lead to, esp. in relation to the reading
of Mask’s chapters. That way the essay would be long enough to meet the length requirement, and if the source information were better integrated, the essay would be effective. Below is the student’s new version.
Fictional Addresses in Real Cities
221B Baker Street and 4 Privet Drive may not sound so different from other addresses. However, to fans of Sherlock Holmes and Harry Potter, both locations are a must-visit. But aren’t Sherlock and Harry fictional characters? And so, how can anyone visit a place that only exists on paper? The answer to that is though characters are fake, the sites themselves are real. And many fans, believe it or not, go as far as sending letters or even placing a bid on the place. This raises the question why people are willing to pay real money just to live by the address of their fictional heroes.
One example of a fictional address with a real location is 221B Baker Street, the home of the literary world’s greatest detective, Sherlock Holmes. At the time of Holmes’ creation, however, 221B used to be purely fictional. Back then, in 1881, Baker Street house numbers only extended into the 100s. But as time went on, the street was renumbered, and now had 200s in it. And yet, there was still no building with the famous detective’s address, even without a B. That, however, did not stop the Sherlock Holmes International Society from opening the Sherlock Holmes Museum in 1990 and putting 221B Baker Street on its address plaque. There was only one problem. According to Jimmy Stamp, a writer for Smithsonian magazine, it was illegal to display a different address when the townhouse they had chosen to open the museum in still had its original, 239 Baker Street, in London’s database. The problem lasted all the way into 2000s, when by the special permission of the City of Westminster, the Sherlock Holmes Museum was finally granted its desired address, despite its physical location being between 237 and 241 Baker Street. Thus, the identities of people living on Baker Street were transformed, because now, every time they look at the plaque that says 221B, they can imagine the famous detective sitting inside, about to close another unsolvable case.
4 Privet Drive is a similar situation. Though it never became a real address like 221B Baker Street, it holds sentimental value to Harry Potter fans as the home of Harry’s cruel uncle and aunt Dursleys, where he spent 11 years before going to Hogwarts. And like Sherlock Holmes’ imaginary address, it also has a location in the real world. The house at 12 Picket Post Close, about 40 miles from London. According to Karen Hua, a writer at Forbes, when Warner Brothers were first filming *Harry Potter and the Sorcerer’s Stone*, they had rented the now iconic house for two weeks before building a replica on studio grounds for later films. Since then, the house had undergone renovations and now only the exterior is a reminder of a place where Harry was so reluctant to return every summer break. But to true Harry Potter aficionados, the exterior alone is enough to pay $620,000, because it transforms the identity of the people living inside by letting them imagine growing up as future magicians.
In addition to 221B Baker Street and 4 Privet Drive, 123 Elf Road is an example worth mentioning. This time, it concerns Kris Kringle or Santa Claus as he is better known as. Every year, children around the world send thousands of letters to Santa, describing what they want to get for Christmas. And each letter always gets a response. But Santa being a fictional character, who actually responds to all those letters? The answer is the U.S. Postal Service or rather members of its Operation Santa program. Since 1912, they have been hand-sorting letters addressed “To Santa, North Pole”, and sending them to families or organizations that can satisfy each request. However, according to Kim Frum, the spokesperson for the Postal Service, sorting the letters by hand was time consuming and so they had to come up with a solution. That is how 123 Elf Road was born. Whenever a computer sees that address, it knows to send the letter to Operation Santa and a child could now expect to receive his or her Christmas gift so much sooner. Though 123 Elf Road doesn’t have a physical location like the previously mentioned two, it still transforms identity, because by thinking of that address, kids can imagine Santa sitting in his home on the North Pole and writing each one of them a letter. Thus, the idea of Christmas Magic lives on.
These three examples are not too different from the one in Deirdre Mask’s *Address Book*: in Great Britain, people who live on streets with religious connections tend to be more religious themselves. Mask also theorizes whether they live on Church Street because they are religious or if they became more religious by living on Church Street (87). And with fictional addresses, do people move there because they are fans, or do they become fans by moving there? But that is the question of which came first, the chicken or the egg. What’s important is that places change identity. Human beings’ relationship with an address transforms based on who or what they associate it with. And association with the unreal is no different. In the cases of 221B Baker Street and 4 Privet Drive, people value the otherwise ordinary houses more because of its connection to the fictional universe, as they can now experience it while staying in the real world. And in the case of 123 Elf Road, it is valued not because of how it looks but rather because of its symbol as a place from which magic comes to life.
Evidently, the student converted the original inductively written body paragraphs to deductively written ones though his topic sentences can still be stronger. He also delved deeper into the meanings of those examples. Later, when asked if he was aware of the five-paragraph format and why he was writing the way he had, the student replied that he was not aware of the format, and he had been writing the way he felt right. The student is Eurasian by origin, had studied in a Canadian grade school before settling down in the US. He now considered himself Asian American.
We can see that as the result of thinking and cultural differences, the differences between “Eastern” and “Western” writing are rather fundamental. Therefore, though the differences between the so-called “East” and “West” should not be viewed as a fixed demarcation based on geography, it is necessary that instructors who are used to Western way of thinking develop understanding of the alternative conceptualizations to respond to an increasingly diverse and globalized student population. This is critical when instructors are tasked to guide students with Eastern cultural and
linguistic backgrounds to adapt to the expectations of Western readers that include their instructors, publishers, colleagues, supervisors, etc.
So, rather than drawing on the over-simplified Western/Eastern dichotomy, we recognize the impetus of different philosophical and cultural traditions and narrow our focus to improve the learning experiences of Asian American college students of diverse Asian backgrounds. We believe pedagogical strategies informed by awareness of the differences can guide the students onto the expected course of five-paragraph essay writing. We also hope by spotlighting these differences in academic discourse, more interesting springboards to launch an active exploration of relevant pedagogies can emerge.
**Understanding Differences to Enhance Instruction**
Since we both work in a community college and are faculty leads in equity-based programs, we focus on Asian American students in community colleges like ours as part of our efforts to implement CRP in teaching. This responds to the gap we have identified from the literature survey: Elizabeth Guzik, Thomas E. Nunnally (1991), Kimberly Wesley (2021), David Labaree (2018), and Edward P.J. Corbett (1999) in their respective study all have confirmed English as a Foreign Language and English as a Second Language students' preferential attitude towards inductive thinking. As mentioned earlier, American critics have written much about the strengths and weaknesses of the five-paragraph essay format. However, the connection between Asian American students' difficulties in writing the five-paragraph essay and their experience of the two modes of logic thinking remains understudied. Therefore, bearing in mind that our students' cultural, family, and community backgrounds are strengths rather than baggage to teaching and learning, we strive to fill the gap. We will first exemplify how to teach these students to construct body paragraphs in a deductive manner. (To be comprehensive, we should also discuss the thesis statement and essay
conclusion, but that would be the scope of another essay) Then we move on to level the playground for all students by introducing a contrastive instructional method. Finally, we showcase strategies to expand the frontiers of the five-paragraph essay.
A. *Training students to understand the body paragraph construction for a five-paragraph essay:* Below are annotated body paragraphs. The source of each paragraph is indicated under the paragraph as well as listed in the reference. Uppercase, numbers, and bold type are added to the original to help annotate these paragraphs. The annotations on the left explain the usual structure of a body paragraph and how evidence with an effective topic sentence offers a smooth transition or “roadmap.” During class, we can show one sample annotation to the students and then assign them to annotate the other paragraphs.
The topic sentence in uppercase (which is added) makes a claim about the effect of the cats of 2channel on Japanese culture. Because evidence follows the claim, this paragraph illustrates deductive reasoning.
The paragraph provides four pieces of evidence (numbers added) that show Japan’s current and historic fascination with cats. In an inductive structure, the topic
THE CATS OF 2CHANNEL EXTENDED AN ANTIQUE FASCINATION WITH CATS IN JAPANESE CULTURE.
[1] In Japan, shopkeepers and restaurateurs commonly place figurines of cats with beckoning paws, called *maneki-neko*, at their doorways for good luck. [2] Cat colonies are often allowed to live near Shinto shrines, and Buddhist tradition says that cats were once entrusted with guarding scriptures from mice. [3] According to folklore, cats can bring good or bad fortune at will, and the unfortunate person who kills a cat will be reborn with bad luck for seven lifetimes. [4] During the Edo period, owners supposedly killed their cats when the cats turned seven, lest the cats take on demonic features and turn on their owners.
sentence would follow these examples, acting as a conclusion, not as a claim.
(White, 2020, p. 49)
This topic sentence clearly fulfills two functions: By referring to a preceding explanation of teknonymy, it serves as a transition; and by following a deductive structure, it makes a claim about indigenous conversational styles.
Instead of several examples, one elaborate example supports the claim made in the topic sentence. Specifically, the absence of words for "please" and "thank you" is used as evidence that "everyday conversational styles" in indigenous cultures are shaped by their societal goals of kinship and connection.
JUST AS THE PRACTICE OF TEKNONYMY IN MANY SOUTHEAST ASIAN SOCIETIES UNDERSCORES THE IMPORTANCE OF BEING IMMERSED IN WEBS OF KINSHIP, AND OF LINGUISTICALLY UNDERSCORING ONE'S CONNECTIONS TO OTHERS, SO DO EVERYDAY CONVERSATIONAL STYLES CONVEY SIMILAR THEMES. Aragon’s contribution cogently illustrates that the absence of indigenous words for *please* and *thank you* in Central Sulawesi languages reveals much about social relations. Among other things, she underscores that the fact that so many indigenous languages in the archipelago lack these words does not mean that people do not experience gratitude. Rather, these words are not deemed necessary, as to utter
In this case, the individual sentences that support the topic sentence cannot stand alone. Each is a necessary component of one piece of evidence.
words of thanks would be akin to preventing much valued interpersonal bonds of indebtedness to develop. In these island societies, she suggests, people see identities not as isolated, but rather as contingent on sociality. As Aragon writes, “Debts of significance cannot be released with a few fluffy words. Obligations are a state of being and a means to create relations… anew.”
(Gillogly & Adams, 2011, p.10)
In this example, the topic sentence is in the middle of the paragraph.
The text in bold marks the beginning of the topic sentence. Because “this organization” refers to the preceding fact about the use of couplets, it functions as a transition.
My father, in any case, [1] using the couplet to organize his narrative, follows his introduction with a second section about the generation named after the first character, *guo*—his grandfather’s generation. He devotes the next section to the generation named after the second character, *en*—his father’s generation—and so on. **THIS IS AN ORGANIZATION THAT WOULD ACTUALLY MAKE SENSE EVEN INDEPENDENT OF THE COUPLET, SINCE THE GRANTING OF THE**
The underlined text, which marks the end of the topic sentence, makes a claim about recognizing family status. This claim is supported by the evidence in the last sentence of the paragraph.
COUPLET WAS TO BEGIN WITH A RECOGNITION OF MY FATHER’S GRANDFATHER’S STATUS. [2] He was, after all, the one who put this branch of the family on the map—the one who made its fortune, built its compound, and in many ways defined the Edenic years of peace and prosperity my father enjoyed in Yixing.
(Jen, 2013, p. 18)
Taken collectively, these paragraphs demonstrate both the common and divergent components of body paragraphs that take a deductive approach. Individually, they offer clear examples of how to construct topic sentences and present evidence. Ultimately, they demonstrate that instruction and learning centering on deductive reasoning can be effective.
Since understanding the structure and function of strong topic sentences is essential to successful deductive writing, students can use the topic sentence in each of the annotated paragraphs as a model. The topic sentence in paragraph 1, for example, makes a clear claim about the effect of the cats of 2channel on Japanese culture. The topic sentences in paragraphs 2 and 3 have two distinct parts—a transition and a claim. By referring to a preceding explanation of teknonymy, topic sentence 2 begins with a transition and ends with a claim about indigenous conversational styles. Likewise, topic sentence 3 uses the reference to couplets as a transition and ends with a claim about recognizing family status. With some practice, students will recognize transitions and claims in other topic sentences they encounter.
Meanwhile, students can learn three ways to present evidence: The presentation of evidence in paragraph 1 is perhaps the most familiar to them because it mirrors the approach they often take: the list. Although each piece of evidence is independent from the other two, all three are nevertheless bound by and supportive of the topic sentence. This paragraph also offers an ideal occasion to unravel the complexity of making a seemingly simple list: What order should be used to organize all the evidence? What should be the unifying factor? How can they avoid repetitiveness while organizing the evidence? By referring to the doorways of shopkeepers and restauranteurs, the list in paragraph 1 starts with a modern example of the cats’ role. As the list progresses, the examples serve to secure and elevate the cats’ place in Japanese history as the paragraph moves from typical commercial establishments to shrines, folklore, and finally the Edo Period. To support the claim about linguistic styles among indigenous peoples, Paragraph 2 presents evidence as an elaborate example composed of a series of interconnected ideas that build on each other. The word “rather” suggests that the first sentence is needed to make sense of the second. This paragraph thus accomplishes two important tasks: It demonstrates how to present evidence as a discussion built around one idea rather than list of separate ideas, and it encourages synthesis and higher-order thinking for a cohesive presentation of evidence. Paragraph 3 shows how evidence can both precede and follow a topic sentence that is placed in the middle of a paragraph. Despite its “new” location, the topic sentence still contains a transition and a claim about family status.
All three paragraphs prove that while generally adhering to an established structure, a deductive approach can still accommodate flexibility and judgment for supporting a claim. Of course, what we have here is only one way to teach these skills. Myriad other ways (Appendix II), can be utilized in class, student-professor conferences, and office hours to achieve the same goal.
B. Using contrastive conversion exercise, which is inspired by Robert Kaplan’s theory of contrastive rhetoric in the mid 1960s, to raise student awareness of both types of logical thinking and writing: This practice
levels the ground for all students. It is vital for an education that responds to global communication, cooperation, and competition. We cite one example.
The following paragraph is from the introduction of *Everyday Life in Southeast Asia* (Adams & Gillogly, 2011, p. 4). Consisting of 24 chapters by Western authors, the book targets American audiences, particularly entrance-level readers in anthropology or other humanities fields.
The colonial histories of the countries that comprise Southeast Asia differ dramatically as well: Burma was a part of the British empire in India and so tied to Malaysia and Singapore; Indonesia was a Dutch colony; Vietnam, Laos, and Cambodia formed French Indochina; the Philippines was a colony of Spain, then the United States; and East Timor was a Portuguese colony, and later colonized and incorporated for a time by Indonesia. That Thailand maintained its independence was in part due to its role as a buffer state between British and French colonial territories, as well as due to the astuteness of its ruling kings in assimilating western technologies of governance such as mapping, as Thongchai Winichakul demonstrated in *Siam Mapped* (1994).
Even though it is from a book introduction, this body paragraph follows the topic-sentence and then evidence format: makes its main point clear in the first sentence and all the other sentences lending evidence to prove this point. This is true of many other paragraphs in the same introduction. Together, they help underscore the central theme of the book--Southeast Asia (hereafter SEA) is a dynamic region of unity, continuity, and fluidity. They also conveniently unify the book’s chapters as they discuss varied aspects of SEA everyday life. The final result is that we as readers hear a firm tone that leaves little room for doubting the point or theme.
Since teaching students to think critically is one of the most important goals of composition classes, while teaching the text, Yuemin took her students’ understanding to the next level by putting them into small groups and asking them to find out:
1). How many countries were in SEA during the beginning of the 21st century?
2). How are the countries grouped together? Does each of the colonial histories in SEA support the point in the topic sentence?
3). Why is Thailand the last country discussed?
4). What does the fact that Indonesia was colonized by the Dutch but later it colonized East Timor reveal?
After group work, the students pointed out that Brunei, first a British protectorate and then occupied by the Japanese during WWII, was left out of the paragraph. They were then asked, “Was the country too unimportant to be mentioned? How does the omission affect the readers’ reading?” They also believed that Thailand does not support the targeted point as neatly as the rest of the SEA countries in terms of their history. They realized why it not only takes the most space in the paragraph but also appears as the last piece of evidence. The trick, they observed, is by that time the targeted point has already taken roots in the readers’ mind. As for Indonesia, they made comments about the complexity and self-serving nature of colonialism and human beings. This discussion made students aware that authors consider rhetorical strategies even when writing seemingly factual paragraphs. Students learned about the importance for readers to read vigilantly and to evaluate the evidence carefully. Some students exclaimed that they finally understood what critical thinking meant.
At this juncture, the students were put into groups again, and asked to rewrite the paragraph in an inductive manner. Their revised paragraphs showed their understanding that inductive writing begins with a presentation of evidence that must be persuasive and credible to hold the audience’s interest until the main point is revealed at the end. Later, they voted for the version below:
During the history of Southeast Asia, Burma was once a part of the British empire in India and so tied to Malaysia and Singapore; Indonesia was a Dutch colony; Vietnam, Laos, and
Cambodia formed French Indochina; the Philippines was a colony of Spain, then the United States; and East Timor was a Portuguese colony, and later colonized and incorporated for a time by Indonesia. That Thailand maintained its independence was in part due to its role as a buffer state between British and French colonial territories, as well as due to the astuteness of its ruling kings in assimilating western technologies of governance such as mapping, as Thongchai Winichakul demonstrated in *Siam Mapped* (1994). Therefore, the colonial histories of the Southeast Asian countries also differ dramatically along with the previous/above differences.
Then they were asked:
1.) What are the similarities and differences between the original and the new version?
2.) How does the inductive structure affect understanding of SEA?
3.) Comparatively speaking, is the new version more reader-centric?
4.) What can be learned about writing from the new version?
They reported the following:
1.) Some readers might wonder where the new version goes until they complete the paragraph.
2.) It becomes more obvious that Southeast Asian countries suffered from colonialism, but to varied degrees.
3.) The new version gives the readers time to think before the main point is revealed; some readers may agree to the point, and others may disagree because the same evidence does not necessarily lead to the same conclusion for each reader.
4.) Due to the inductive structure, the main point is reached less firmly, leaving room for doubt and debate.
This contrastive method is interactive, revealing, and thought-provoking. While the deductive approach is a teacher-centric strategy, the inductive approach is more student-centric. The exercise prepares students to be discerning and flexible readers, and conscious and resourceful writers. Asian American students will become aware of the expectation of their Western professors and learn to adjust quickly. As they write, they may realize that Western readers, including their professors, expect them to be firm about their point, which is not a small feat for many Asian American students who are inclined to valuing unity and harmonious relationship. Whereas, when reading a paragraph in an inductive structure, the other students will feel the need to step out of the comfort zone, and develop what John Keats calls “negative capability” (Hebron, 2014). And, to know the claim, they should skim to the end of the paragraph. This use of the contrastive method, then, shows students that there is more than one way to present and consume information in academic papers and gives faculty another “tool in their toolbox” as they strive to appeal to novice writers coming from different writing traditions.
C. Opening up new frontiers for the five-paragraph-essay: Believing that within the framework of the five-paragraph essay, there is still room to stretch epistemological boundaries, we researched for new tools and strategies to reshape the format. The attached assignment (Appendix III) is one of the products. We pair this written assignment with two readings: “Superman and Me” by Sherman Alexie (1998) and “Surrendering” by Ocean Vuong (2016).
Designed for first-semester college composition students, this assignment shows that the uncomplicated format of the five-paragraph essay makes it a good candidate for incorporating recent equity-based strategies to teach Asian American students and their peers.
Dr. Mary-Ann Winkelmes (2019) founder and principal investigator of TILTHigherEd, describes the language of college as a “code” that keeps students from succeeding. Transparent
Assignment Design demystifies that code by relying on an assignment framework that makes certain information transparent (p. 2). The sample assignment succeeds by making explicit the purposes of the assignment so students understand *why* they are doing work, *which skills* they will develop, and *what* they will learn; by providing specific steps so students know *what* to do; and by disclosing the criteria for success, such as a rubric, so students know *how* to do well. The economical format of the five-paragraph essay thereby provides a solid foundation for students to embark on conveying themselves through writing.
The assignment’s focus on a student’s community makes room for cultural and linguistic diversity and it, to borrow CRP expert Zaretta Hammond’s words, “grounds the lesson” in a way that is “relevant and meaningful to students” (2015, p.15). Because the assignment requires identifying a community-based problem and proposing a solution, it entails the study of other communities (such as that of Alexie, Vuong, and student peers), and activates an opportunity for students to cultivate cultural competence that affirms and appreciates their own culture while also learning about one other culture. This assignment shows that the five-paragraph essay can accommodate an assignment that asks students to write about complex topics like culture and community and teaching that speaks to the strengths and interests of our students.
Moreover, this sample 5-paragraph essay assignment is flexible enough to implement Problem-Based Learning, a pedagogical practice whereby students learn “through facilitated problem solving that centers on a complex problem that does not have a single correct answer” (Hmelo-Silver, 2004, p. 235). The possibility for multiple solutions suggests that the problem is “ill-structured” (Savery, 2006, p. 13) and thus allows students free inquiry, including investigation into their personal experiences. At the same time, it casts us instructors as “facilitators” as we coach the students through their unique lines of self-directed discovery, research, and analysis.
Overall, the integration of new approaches in this assignment can intensify many students’ sense of belonging, an essential component of student success: Asian American students are initiated to this format, and get a timely start. For those educated in Western traditions, recognizing the assignment not only makes them feel they belong in the college classroom, but also activates prior knowledge by creating connections between past and current assignments.
All these point to the conclusion that despite inherent weaknesses, well used, the five-paragraph essay’s spare format encourages careful consideration of an assignment’s purpose, the assignment’s relationship to the course content summary, and the scaffolded assignments that precede it. Its limited number of body paragraphs help carve out space for teaching students to do focused revisions. Its flexibility, efficiency, and durability allow experiment with new pedagogies in a relatively low-stakes, low-risk environment. Finally, its affordances provide a solid foundation for students who progress beyond first-year composition to more complex forms of writing in their upper-level writing-intensive classes.
**Challenging Ourselves, Changing Our Students**
Readers probably have noticed that this essay cites many examples that are informed with and by Asian content. It is indeed an unspoken part of our effort to infuse Asian studies in undergraduate composition and exemplification of what CRP underscores: Education works best if students’ diverse backgrounds are treated as strengths; teaching is more effective if what the students read is exactly how they are expected to write; since all students should be introduced to cultures, infusing varied cultures in curriculum design is a vital means to achieve that. Therefore, we end with these questions for our peers: How do you see your current course’s relationship with the five-paragraph essay? Are there any cultural elements that are currently left unaddressed? How has your course already broken the five-paragraph essay format?
et al.: Full Text
Published by Digital Commons @ VCCS, 2023
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Wesley, Kimberly (2021). The Ill Effects of the Five-Paragraph Theme (Teaching Writing in the Twenty-First Century). *The English Journal*, 90(1): 57–60. doi:10.2307/821732.
Winkelmes, M. (2019). Introduction. In M. Winkelmes, A. Boye & S. Tapp (Eds.) *Transparent Design in Higher Education Teaching and Leadership* (pp. 1-14). Stylus.
APPENDIX I
Assignment: In Response to Mask’s Line of Thinking
Topic: Addresses come in different sizes, shapes, colors, significance, etc. This is evident if we realize how long the list of adjectives that we can use to describe the word addresses. Here is a list that you can expand both horizontally and perpendicularly.
a) popular addresses: Hollywood
b) prestigious addresses: 1600 Pennsylvania Address
c) notorious addresses: Skid Row
d) humorous addresses: The Other Street
e) fictional addresses: Salem’s Lot
f) copycat addresses: Bollywood,
g) online addresses: Wikipedia
h) immigrant addresses: Chinatown, Little Saigon, Little Italy
i) overused addresses: Main Street
j) business addresses: Parks
k) creative addresses: King Family
This assignment asks you to think over what happens at the intersection of a specific type of addresses (from the above list or at your own choice) and an issue of your own choice (employment, neighborhood security, school choice, immigration, influencer culture, environment protection, academic research, etc.) In chapters 13, 14, 1 & 2, Mask contemplates what happens at the intersection of addresses and issues of poverty, homelessness, wealth accumulation, and natural disaster management. Therefore, the chapters are excellent models.
Requirements: Based on the assigned readings, class discussions, and your own speculations, you will develop a specific topic to write an essay. Your essay should have an explicit thesis and express a view of yours. The essay should be double-spaced, in 12 pt. Times New Roman font, and at least three pages long (not including the works-cited). It should have an effective title and use the MLA documentation style to record materials from any source. The first draft and the final draft are due at the beginning of our class on March X and by the end of March XX, respectively. To receive full credit for this assignment, you must turn in a complete first draft and a revised final draft.
Grading Criteria: Your essay will be evaluated by
a) if the basic length, title, format, and draft number requirements are satisfied (10%)
b) how deep the critical thinking extends (10%)
c) how effective the writing is in content and language use (60%)
d) if the essay properly integrates research from Mask as well as other sources (10%)
e) what kind of relationship it forges with its targeted audience (10%)
APPENDIX II
1. Provide students with several topic sentences and, in groups or independently, ask them to identify the transition and claim in each one.
2. Provide students with several topic sentences and, in groups or independently, instruct them to work backward to create a topic sentence template.
3. Provide students with two consecutive paragraphs and, in groups or independently, ask them to connect the transitional part of the topic sentence (in the second paragraph) to the corresponding information in the first.
4. Provide students with several paragraphs and, in groups or independently, ask them to identify the author’s method for presenting evidence (list, elaborate, or compare/contrast).
5. Provide students with several paragraphs and, in groups or independently, ask them to determine if the author’s evidence adequately supports the claim made in the topic sentence.
6. Ask students to examine the body paragraphs in their reader/textbook and find one or two to write an analysis of the writing strategies employed by the author to get a “behind the scene” perspective, very much like what this essay does right now.
APPENDIX III
Assignment: Proposing a Solution to a Problem
BACKGROUND: Writers, such as Sherman Alexie and Ocean Vuong, are often inspired by their childhood challenges. Alexie grew up on an Indian reservation near Spokane, Washington. His writings invariably incorporate issues Indian reservations suffer—poor schools, inadequate healthcare, low employment, and high rates of substance abuse. Vuong, who emigrated from Vietnam to Connecticut when he was very young, lived in a lower-income Vietnamese neighborhood with his single mother and grandmother, who spoke no English. Vuong began his American education in ESL classes, and when he “graduated” to non-ESL classes, he was treated poorly by his teachers and his peers. His poetry and prose reflect these experiences. More importantly, both writers share these challenges with their readers as they offer solutions to those problems to help their communities.
Because every community, including mine and yours, has problems and because you are writers, you already have two things in common with Vuong and Alexie.
ASSIGNMENT: For this assignment, you will write a five-paragraph essay that identifies a problem in your community and proposes a solution. Your community could be your neighborhood, school, workplace, place of worship, club, or any other place where people gather. As for problems, some affect many communities, but to different degrees. For instance, the hardships that Alexie faced in his community exist in other U.S. communities as well. Other problems are specific to communities, such as what should be done to help Amerasians and Vietnamese Americans negotiate with their multilayered identities, or whether an afterschool program should be provided in Chinese for a Chinese American community.
If Alexie were assigned this essay, he might write about the high rate of unemployment on Indian reservations. After researching the topic, he would propose one way to increase job opportunities for his community and use his research as support for his proposal. Vuong might show that some elementary schools lack adequate resources for ESL students. Then, after careful research, he could explain one way that schools could improve educational opportunities for those students and use his research as support for his proposal. To brainstorm, you can start from current issues listed in the table below. Some, like social media use, can cause problems while others, like domestic violence, are problems. Consider how these issues affect your community. You can certainly propose your own choice of issue too.
| Low AAPI Student Graduation Rate | Freedom of Speech | Domestic Violence |
PURPOSE: The overall purpose of this assignment is to learn to use writing as a tool to address a problem in your community. The solution will demonstrate your efforts to conduct effective research, make sense of your experiences and those of your community members, and approach reality in a well-informed, creative, and wise manner. Below are specific skills and knowledge you will accumulate as you work on this essay.
Skills
- Cultural Awareness – Becoming knowledgeable of the culture in which the issue exists
- Problem-Solving – using research and personal experience to propose a solution
- Inquiry – knowing what questions to ask to get the information you need
- Research – knowing how to locate relevant and reliable sources
- Critical Thinking – Making sense of what you learn and applying it toward a solution
- Writing with a purpose and to an audience – Knowing what you are writing and for whom
New Knowledge
- Ways an issue can affect a community
- Dynamics between selfhood and community, thinking and praxis, etc.
- Knowledge construction, accumulation, application, and expansion
STEPS: Writing an essay is like following a thread, or strand, of tasks that lead you through the writing process. Here is the strand for this essay:
| S | Select an issue or topic that interests you. |
|---|---------------------------------------------|
| T | Think without doing any research. Write down your own ideas about the issue so you’ll have a record of what you think. |
| R | Research the library’s website to find books, videos, and database articles about your topic. |
| A | Accumulate sources for working a bibliography (a list of your current sources). |
|---|--------------------------------------------------------------------------------|
| N | Note-taking as you conduct your research and keep track of your sources. |
| D | Draft your essay according to the “Criteria for Success.” |
**CRITERIA FOR SUCCESS:** A successful essay includes the elements listed below:
- The following paragraphs:
- An **introduction** that identifies the issue and the community, provides general information about problem and whom it affects, and ends with your proposed solution.
- **Three Body paragraphs** that support your proposed solution. Each body paragraph consists of a topic sentence and evidence that supports the idea in the topic sentence.
- A **conclusion** that restates your proposed solution and summarizes the main ideas you learned from your research.
- Research
- that supports the idea in the topic sentences.
- that is smoothly integrated with signal phrases and in-text citations to pinpoint its use in your essay.
- that is neatly documented in a works-cited to indicate the sources you used.
A veterinary technician is educated to be the veterinarian’s nurse, laboratory technician, radiography technician, anesthetist, and surgical assistant. Veterinary technicians are graduates of a two-year educational program, typically offered at a community college, that is accredited by the American Veterinary Medical Association. Graduates must also pass a national credentialing exam to become licensed. The first veterinary technology program opened in 1961 in New York and there are now more than 200 accredited veterinary technology programs in the United States (American Veterinary Medical Association, 2022-a; American Veterinary Medical Association, 2022-b).
Historically most veterinary technology programs have utilized a traditional model of education. Students participate in lecture classes on-campus and laboratory classes where students are taught clinical skills on live animal patients that are held at the on-site veterinary teaching hospital at the college. Recently, the American Veterinary Medical Association Committee on Veterinary Technology Education and Accreditation (AVMA CVTEA) formally defined a distributive model of education for veterinary technology programs and now allow programs to use this method of education to meet accreditation standards. In a distributive model, students receive all or a substantial part of their clinical education at off-campus sites, such as private veterinary...
hospitals, rather than at a traditional, on-site veterinary teaching hospital (American Veterinary Medical Association, 2022-c). Out of the more than 200 accredited veterinary technology programs in the United States, 17% currently offer a distributed model of education (American Veterinary Medical Association, 2022-b).
The primary driver for this educational model change has been economics. Cuts in state funding allocated for education have made it financially difficult for schools to build and operate large, on-site veterinary teaching hospitals. In addition, the rapid expansion of high-quality private veterinary hospitals, particularly in cities and suburban areas, have increased the availability of qualified training sites for students to develop and hone their clinical skills (Gordon-Ross et al., 2014).
**Benefits of a Distributive Model of Veterinary Education**
There are many benefits to utilizing a distributive model of education in veterinary training programs. This type of model offers a substantial facility cost reduction compared to the infrastructure required to support a traditional educational model. One of the largest limitations to launching a veterinary technology program is the need to construct an on-site licensed veterinary teaching hospital to support student learning. A veterinary hospital must contain an operating suite, dental suite, radiology suite, pharmacy, laboratory, treatment area, and separate canine and feline kennels. In addition, the veterinary teaching hospital must meet local, state, and federal regulations and be licensed by the state’s Board of Veterinary Medicine. Of particular concern is that veterinary hospitals must store and use controlled drugs, including opioids, to perform surgical procedures. The presence of opioids on a community college campus requires additional security considerations to ensure student safety and prevent access to these controlled drugs.
Another benefit to using off-site veterinary hospitals to support student learning is the sheer number of cases students can observe and participate in. A small animal veterinary hospital in the United States averages 1,012 appointments per month (American Veterinary Medical Association, 2021). Due to the presence of this large caseload, students have more opportunities to develop and hone their clinical skills. This allows for many more repetitions, thus increasing student proficiency and confidence.
The use of private, off-site veterinary hospitals allows students to be exposed to the full spectrum of veterinary care. Veterinary professionals must provide care for the pets of an economically diverse clientele. Students need to develop the skills to be responsive to client financial limitations while still offering acceptable care to their patients. Private veterinary hospitals allow students to see diverse patient mixes, not just the pets of clients willing to travel to a college or university for care. At private veterinary hospitals, they see how medicine can be tailored to the individual pet owner which helps them understand the economic realities of veterinary medicine. (Fingland et al., 2021)
Students benefit from mentorship at these private veterinary hospitals. They work hand in hand with experienced veterinary technicians, and veterinarians and begin developing networking skills and forming relationships that will serve them after graduation. The veterinarians and veterinary technicians at the practice also benefit from this mentor-student relationship. By helping to educate veterinary students they contribute to the future of veterinary medicine. In addition, since they work so closely with the students, they help programs identify any gaps in curriculum and training.
Challenges of a Distributive Model of Veterinary Education
It is relatively straightforward to monitor the clinical training of students at a single, centralized, on-site veterinary teaching hospital. Faculty are trained to instruct and evaluate students and patients are carefully selected for ideal student clinical experiences. Since accreditation guidelines dictate that the primary purpose of the hospital must be teaching, not revenue generation, daily case load is kept low to allow students time to manage their patients at a slower pace, ideal for students learning new clinical skills (American Veterinary Medical Association, 2022-c).
The distributive model of education poses several challenges, primarily associated with the management of many veterinary hospitals involved in the teaching of students and delivery of curriculum. Veterinary technology programs utilizing a distributive model of education must have a dedicated faculty member who oversees and monitors the progress of each student at each hospital. This involves frequent communication via phone calls and in-person visits with the student’s primary mentor at their hospital. This communication is imperative to ensure that each student is learning and mastering their clinical skills at an appropriate pace and that their mentor can identify an adequate number of patients and procedures for student practice.
Veterinary hospital quality is an important part of the evaluation process prior to student placement. Veterinary hospitals must have all necessary equipment for student training on-site, must see an adequate number of daily patients of a variety of species, and must perform all clinical procedures needed for student training. For example, a specialty veterinary practice, such as a cardiology practice, would not allow a student the opportunity to practice dentistry skills, which is a required part of the veterinary technology curriculum. Programs that utilize a distributive model of education rely on informational questionnaires, species and equipment checklists, and in-person visits to ensure appropriateness of the hospital before student placement (Gordon-Ross et al., 2014).
Veterinary hospitals must have enough licensed personnel to support student learning. Veterinary technology programs require each student to have a licensed veterinarian or licensed veterinary technician as their clinical mentor. The clinical mentor is responsible for teaching the student each clinical skill in the curriculum and identifying appropriate patients for them to practice and refine their skills. A veterinary practice that is understaffed is often not able to take the time to properly instruct students on the performance of clinical skills.
One of the biggest challenges with a distributive model of education in veterinary technology programs is the lack of formal, structured hands-on laboratories. Students learn clinical skills during the flow of a regular day at the veterinary hospital. Cases are available based on the types of appointments and procedures that are scheduled by the clients of the practice. Students may participate in a dentistry case one day but may not have another opportunity to practice dentistry skills until another dental case is scheduled by a client. At a traditional on-site veterinary teaching hospital, patient procedures are scheduled based on the clinical skills students are responsible for learning that semester. For example, if students are taking a dentistry class, only dental cases are scheduled during that semester. This allows for structured, consistent clinical skill practice.
Private veterinary hospitals also lack veterinary training models for students to practice on prior to performance of the clinical skill on a live animal patient. This can cause pain and anxiety for the animal while the student masters the basic gross and fine motor skills required for the adequate performance of the skill. Practicing on a training model first allows a student to master the necessary psychomotor skills before progressing to a live animal patient.
Solution to Distributive Model of Education Challenges: Clinical Skill Training Center
Tidewater Community College began their veterinary technology program in 2018 and became accredited in 2020. Due to budgetary challenges that precluded the construction of an on-site veterinary teaching hospital, a distributive model of education was selected. Upon joining the program, students are placed at local veterinary hospitals within 45 miles of the Virginia Beach campus. Students must spend a minimum of 20 hours a week at their assigned veterinary hospital learning, practicing, and honing their clinical skills, in addition to attending lecture classes on campus.
A dedicated, full-time faculty member monitors each student’s clinical progress at their individual veterinary hospital through formal evaluations by the student’s clinical mentor twice a semester plus frequent communication via email and in-person visits. Veterinary hospitals are carefully chosen to support student learning. Veterinary hospitals must have all necessary equipment for student training on-site, must have adequate licensed personnel, must see an adequate number of daily patients of a variety of species, and must perform all clinical procedures needed for student training.
After a few years of operation, several challenges and shortcomings were identified with the use of this distributive model of education. Surveys indicated that the majority of students desired the ability to learn a skill on a life-like model prior to live animal use at their hospital (see survey question 1). Clinical mentors at the veterinary hospitals also requested that students have a dedicated space available for practice with training models if they identified a skill that needed additional refinement.
Survey Question #1: Do you prefer to learn a skill on a model prior to practicing on a live animal?
| | Yes | No |
|----------------------|-----|----|
| Freshman Students | 19 | 5 |
| Sophomore Students | 24 | 2 |
Based on this feedback from the students and clinical mentors, a Clinical Skills Training Center was launched in 2022 at the school. This 1500-square foot area is a dedicated space where veterinary technology students can learn, practice, and refine clinical skills utilized across multiple species. The goal of the center is to allow the students to supplement the didactic curriculum and clinical cases seen at their veterinary hospital with relevant, hands-on psychomotor skills training. Students can practice their skills in a safe, low-risk environment, using models that range from simple, low-fidelity models to more sophisticated, high-fidelity (i.e., life-like) models.
The Clinical Skills Training Center at Tidewater Community College includes the following:
- Life size horse model
- IV catheter trainers
- Restraint models
- CPR high-fidelity canine model
- Anesthesia machines
- Surgical equipment and instruments
- Canine intubation trainers
- Dental prophylaxis models
- Venipuncture models (jugular, cephalic, and lateral saphenous veins)
- Bandaging models
Students can practice clinical skills in the following areas:
- Small animal nursing
- Large animal nursing
- Dentistry
- Surgical assisting
- Anesthesia
- Restraint
Clinical skill labs are common in both medical and veterinary training programs and have been proven through studies to enhance medical and veterinary student performance (Sanchez et al., 2006; Van Sickle et al., 2006; Scalese et al., 2007; Scalese and Issenberg, 2005). Although clinical skill labs are prevalent, to my knowledge, this is the first time a clinical skill lab has been used to specifically enhance and supplement the use of a distributive model of education at a veterinary technology program.
At Tidewater Community College, students are required to spend a specified number of hours each semester in the Clinical Skills Training Center, in addition to their weekly hours at their veterinary hospital. The student must log additional hours in the Clinical Skills Training Center if a clinical mentor notifies the faculty member that a student is deficient in a particular skill. The student is then instructed to practice the skill at the Center before attempting to repeat the skill on a live animal patient at their veterinary hospital.
Students can practice 38 unique clinical skills in the training center. Students work at their own pace and can focus on the specific clinical skills they need additional repetitions with, which may vary between students. Skills may be practiced as many times as needed until a student can master the gross and fine motor skills required. Based on survey results, our veterinary technology students typically require 4-6 repetitions to master a skill, but some students reported needing up to 7-9 repetitions (see survey question 2). For students struggling to master a particular skill, this amount of repetition can be difficult to accomplish at their veterinary hospital as USDA and AVMA requirements limit the amount of practice that can be performed on a single patient (American Veterinary Medical Association, 2022-c).
Survey Question #2: How many repetitions does it typically take for you to become proficient in a clinical skill?
| | 1-3 times | 4-6 times | 7-9 times |
|----------------------|-----------|-----------|-----------|
| Freshman Students | 5 | 15 | 4 |
| Sophomore Students | 4 | 14 | 8 |
One challenge with supplementing a distributive model of education with a Clinical Skills Training Center is which days and times the center should be available to students. Although our students spend a minimum of 20 hours each week at their veterinary hospital, each student’s schedule varies based on the individual veterinary hospital’s staffed hours. Our veterinary technology students therefore have different days and times during the week that they are available to come to the Clinical Skill Training Center to practice skills.
A survey was submitted to Tidewater Community College’s veterinary technology students to determine when the Clinical Skill Training Center should be open (see survey question 3). Based on the survey results, it was determined that to benefit the majority of students, the Clinical Skill Training Center would need to be open 12 hours a day, 7 days a week.
Survey Question #3: When are you available to practice skills in the Clinical Skill Training Center?
| | Weekday 8-11 am | Weekday 12-3 pm | Weekday 4-6 pm | Weekday 7-9 pm | Saturday all day | Sunday all day |
|----------------------|-----------------|-----------------|----------------|----------------|------------------|----------------|
| Freshman students | 3 | 1 | 3 | 2 | 6 | 9 |
| Sophomore students | 9 | 2 | 2 | 2 | 5 | 6 |
Since budgetary constraints prohibited the staffing of the clinical center seven days a week, an alternative method of providing clinical skill training support needed to be implemented. It was determined that technology would be leveraged to replace the presence of an on-site clinical skill instructor. A training site utilizing the Canvas learning management system was developed to accompany the models, simulations, and equipment at each skill station in the Center. Each clinical skill has a dedicated page in the learning management system where students can access step-by-step directions on how to perform each skill and can also watch a video of an instructor performing the skill on the models. A high-resolution camera is available in the Center if a student would like to record themself performing a skill, either for self-critique or to share with an instructor for feedback.
Safety must be of prime consideration when students are on campus using the Clinical Skill Training Center, particularly on weekends when the campus is relatively free of other students and faculty. The center’s room is locked with a keypad, which can only be opened with a code. The code is changed each semester and only given to enrolled veterinary technology students. The door to the room was also modified to close and lock automatically behind the students after they enter for additional safety. The campus is staffed with security 24 hours a day and the number for security is prominently displayed in the room.
**Conclusion**
The distributive model of veterinary education has become increasingly popular among newly launched veterinary technology programs. This model has many benefits including decreased cost of program infrastructure, increased caseload, exposure to diverse patient mixes, and mentorship. However, there are many challenges with this type of educational model which includes student management, hospital selection, lack of formal laboratories, and lack of training models at
the assigned veterinary hospitals. A Clinical Skills Training Center addresses the last two disadvantages of a distributive model by allowing students to practice skills in a low-stress, safe environment, using both low and high-fidelity training models proven to enhance clinical skill acquisition.
While the Tidewater Community College Clinical Skills Training Center was developed to enhance its veterinary technology program, the center has three key characteristics that can be applied to any academic program that utilizes a distributive model of education and training. The Center allows flexibility for students with varied schedules to practice skills by being open 7 days a week. The Center offsets staffing and budgetary challenges by leveraging the use of technology for skill instruction in lieu of a faculty or staff member. Finally, the Center utilizes life-like models and simulations to facilitate rapid learning of advanced skills.
References
American Veterinary Medical Association. (2022, June 21-a). *The Backbone of Veterinary Technology for Twenty Years*. https://www.avma.org/news/backbone-veterinary-technology-50-years
American Veterinary Medical Association. (2022-b). *Veterinary Technology Program Data*. https://www.avma.org/sites/default/files/2022-09/2022-CVTEA-Mega-Veterinary-Technology-Program-Survey-Report.pdf
American Veterinary Medical Association. (2022-c). *Accreditation Policies and Procedures of the AVMA Committee on Veterinary Technician Education and Activities*. https://www.avma.org/sites/default/files/2023-01/Manual_PP_CVTEA-January_2023.pdf
American Veterinary Medical Association. (2021, August 25). *Are We In a Veterinary Workforce Crisis?* https://www.avma.org/javma-news/2021-09-15/are-we-veterinary-workforce-crisis.
Fingland, R.B., Stone, L. R., Read, E. K. (2021). Preparing veterinary students for excellence in general practice: building confidence and competence by focusing on spectrum of care. *Journal of the American Veterinary Medical Association*, 259 (5), 463-470. doi.org/10.2460/javma.259.5.463
Gordon-Ross PN, Schilling EF, Kidd L, Schmidt PL. (2014). Distributive veterinary clinical education: a model of clinical-site selection. *Journal of Veterinary Medical Education*. 41(2):179-88. doi: 10.3138/jvme.0713-104R. PMID: 24556677.
Sanchez LD, Delapena J, Kelly SP. (2006). Procedure lab used to improve confidence in the performance of rarely performed procedures. *European Journal of Emergency Medicine*. 13: 29-31. Doi: 10.1097/00063110-200602000-00007.
Scalese RJ, Obeso VT, Issenberg SB. (2007). Simulation technology for skills training and competency assessment in medical education. *Journal of General Internal Medicine*. 23 (Suppl 1): 46-49.
Scalese RJ, Issenberg SB. (2005). Effective use of simulations for the teaching and acquisition of veterinary professional and clinical skills. *Journal of Veterinary Medical Education*. 32: 461-467.
Van Sickle KR, Ritter EM, Smith CD. (2006). The pretrained novice: Using simulation-based training to improve learning in the operating room. *Surgical Innovations*. 2006, 13: 198-204.
Doi: 10.1177/1553350606293370.
Denial on Campus: How Antisemitism Affects College Faculty and Students
Sarah H. Hall
This Notes in Brief contribution explores instances of Holocaust denial on college campuses and addresses issues of academic freedom for faculty as well as students. The author explores questions regarding how we teach the Holocaust and how to better decrease denial and antisemitism.
Higher education might seem an unlikely place to encounter seemingly backward ideas like antisemitism and Holocaust denial, but it is in fact a real problem among students and faculty at colleges and universities. Particularly in the United States and Canada, recent years have seen several professors accused of antisemitism, either for outright hate speech outside the classroom or for espousal of antisemitic views on campus. Students, too, have been guilty of antisemitic speech and Holocaust denial. Some have carved swastikas into their Jewish peers’ residences or thrown Nazi-themed parties. Others have made misguided historical arguments as part of a poorly vetted class assignment.
What do recent events tell us about Holocaust denial on college campuses and what might that suggest for the future of Holocaust education? These are the questions I hope to explore in this paper. First, I focus on Holocaust deniers in faculty positions, their arguments about the protections of academic freedom, and the different consequences they face for antisemitic speech. Second, I explore students and their relationship to antisemitism and Holocaust denial, particularly as it relates to their rights to free speech and expression.
Academic Freedom and Deniers on the Faculty
Holocaust denial has appeared among academics in the guise of free academic thought and debate. However, there are different levels of denial in the classroom, which means there is also a
difference in the severity of consequences (or any action taken by college administrations) as a result of this denial. Some teachers have incorporated questionable content into their classrooms and curriculum, ranging from simulations (considered inappropriate in Holocaust education) to badly worded questions that leave the existence of the Holocaust up to interpretation. This is a difficult problem because many teachers do this out of ignorance. They know that Holocaust education is, if not required, then greatly desired, and seek out information about these events that may come from biased sources. This sort of problem has inspired educational stakeholders such as Facing History and Ourselves or Echoes and Reflections to provide guidance and resources for instructors.
Recently, the United States Congress passed the Never Again Act which allows for millions of dollars in funding for the United States Holocaust Memorial Museum to develop and disseminate training on Holocaust education (Braunstein, 2022).
While better training and resources may address the well-meaning but ignorant instructors, it is more difficult to determine how we might handle others who have outright denied the Holocaust in the classroom. One might expect that Holocaust denial would earn a professor immediate expulsion from a college or university, but this is rarely the case. Feldman (2019) writes that a professor at Arkansas Tech University was honored with a posthumous scholarship in his name despite the fact that he was accused of assigning “Holocaust-denying books” to his students and was “briefly removed from teaching duties before being reinstated” (para. 5). This is not only a problem in colleges, but in secondary education as well. Joseph DiMarco, a history teacher in Ontario, Canada, was removed from his position in 2019 and had his teaching certification revoked after he “spent so much time teaching his own unapproved Holocaust [denial] instructional work that the students fell behind in what they were supposed to be learning from the actual curriculum” (Bessner, 2022, para. 12). DiMarco’s dismissal and decertification was a first for Ontario, made easier by DiMarco’s decision to discuss and push these views in his classroom. When professors are dismissed
for views they admit to holding but *deny* having shared in the classroom, the institution must often find other reasons with which to explain that dismissal. Instead of firing the professor for their views (expressed on campus or not), they instead must find “a reason to investigate and fire them over something unrelated, after they’ve said something controversial” (Goldstein, 2022, para. 1).
Others have been outspoken Holocaust deniers *outside* of the classroom, while keeping their views quiet on campus. Arthur Butz, an electrical engineering professor at Northwestern University, has continued to spout denial rhetoric outside of his official capacity as a professor, though he has not addressed denial in the classroom, and he has escaped sanctions from his administration because of that restraint (O’Neil, 2017). In autumn of 2021, Perimeter College math instructor Larry Coty was accused of making antisemitic posts online, though he did not appear to share those beliefs in the classroom. Nearly one year later, he appears to still be employed there as an assistant professor (Jaben-Eilon, 2021). Kaukaba Siddique, an English professor at a historically black college in Pennsylvania, spoke at a pro-Palestinian rally not associated with the school. His anti-Zionist comments there led to further investigation into his “past statements that the Holocaust was a ‘hoax’ intended to buttress support for Israel” (Berrett, 2010, para. 3). Siddique claimed his statements were protected as part of academic freedom, “as an example of a questing mind asking tough questions” (Berrett, 2010, para. 4).
Siddique’s defense brings up an interesting question. Does academic freedom allow for the denial of established fact? If so, who is responsible for deciding what is fact and what is not? The institution? Experts in the field? The government? If the academy decides to punish or silence those who speak out against established facts, then any revisionist thought in any field could come under attack. Some believe that we must allow for the protection of Holocaust denial in order to protect academic inquiry in other areas because “academic freedom [is] a value that survives only if it protects remarks we despise as well as those we endorse” (Nelson and Schaefer Riley, 2010, para.
Consider the history of science and, particularly, Nicolaus Copernicus’s assertions of a heliocentric solar system, which went against the accepted facts at the time but were later proven correct. If academic freedom is meant to allow for progress and updated thinking, then we cannot police facts as accepted facts can sometimes change.
According to the United States justice system’s Blackstone Principle, it is preferable that ten guilty men go free than one innocent man be imprisoned. This principle carries over into academic freedom. Better that a person who challenges known facts and spouts antisemitic rhetoric is allowed to remain in the academy than for an academic on the cutting edge of a new theory to be ostracized when they might turn out to be completely correct.
Should Holocaust denial be the exception here? After all, denial of the Holocaust involves the denial of the multitude of evidence available and there is seemingly no proof of the Holocaust that would ever change the mind of deniers. In this way, it is not a revisionist historical argument but an antisemitic argument. If Holocaust denial is by definition antisemitic, then it is hate speech, not academic discourse.
**Students and Holocaust Denial**
What happens when students, rather than faculty, are the ones exhibiting denial behavior (intentionally or not) or are the ones responsible for deciding on the veracity of Holocaust deniers’ claims? For this paper, I have divided antisemitic student actions into two categories: students who intentionally deny the Holocaust or participate in antisemitism or hate speech and students who unintentionally deny the Holocaust because of poorly conceived assignments or exercises.
Intentionally antisemitic incidents are not rare on college campuses. In the first few months of 2022, swastikas were painted or carved on walkway and buildings at more than twenty colleges across the United States, including Kent State University, New York University, the University of
Georgia, and the University of California San Diego (“Search and Filter Data,” 2023). These are just a few examples of the hundreds of antisemitic incidents reported by the AMCHA Initiative in the first five months of 2022. In May, university presidents from across the United States gathered for the University Presidents Summit on Campus Antisemitism to discuss possible responses to antisemitism when it occurs on their campuses. *Hillel International* president Adam Lehman told the *Jerusalem Post* that “university leaders are our most important allies in confronting antisemitism on campus” (“Higher Education Groups,” 2022). But how can they successfully reduce antisemitic incidents on their campuses?
For example, can antisemitic incidents (even those outside the classroom) be addressed with student codes of conduct? Can students be held accountable, according to college policies, for racist themes for a party that occurs off campus? Can they be disciplined for these types of activities?
One example makes it very clear how difficult it is for a university to handle racist actions by the student population. Randolph-Macon College, a private institution in the suburbs of Richmond, Virginia, includes in its student handbook a “student bill of rights” including provision II-A, which states that “students have the right to participate in free discussion, inquiry, and expression” (“Student Bill of Rights,” n.d.). This became a problem when one of its fraternities took part in a racist “United States versus Mexico”-themed party and Randolph Macon announced plans to discipline the parties involved and suspend the fraternity’s activities while they investigated further. According to Kruth (2013) from the Foundation for Individual Rights in Education, the student bill of rights at Randolph-Macon makes clear that “students should, therefore, be able to host parties with offensive themes and dress in controversial costumes without being subject to investigation and discipline” (para. 6). To deny students the right to express themselves and to reprimand them for doing so would mean that the college was reneging on its promise to safeguard students’ rights. This could apply to something as innocuous as “streaking” or to something as nefarious as a mock
slave auction. Without clear indication from the college of what is considered free expression and what is considered hate speech, there is much room for interpretation.
Finally, students can suffer from badly designed assignments such as one that asked students to argue for or against the existence of the Holocaust. In this case, eighth grade students were provided with three sources – two from popular history websites and one from a denial group – and asked to write an essay in class about whether the Holocaust occurred. Whether the instructor intended this to be an open-ended question or a rhetorical one, many student submissions showed that they were “expressing doubt or flatly denying that the Holocaust occurred” based on the evidence made available to them (Yarbrough, 2014, para. 2).
When students are presented with this type of assignment, whether it is misguided or malicious, they might be misled into making denial statements or thinking that there is more room for interpretation and opinion than there actually should be. The ramifications of this could be severe. They might actually think there is room for debate on something like Holocaust denial, or they might believe in the history of the Holocaust, but their argument has still been put into the world. Future employers might come across these written ideas and assume that they accurately express the thoughts of their potential hire. One of them might run for office before someone digs up their past college paper arguing against the existence of gas chambers based on faulty information provided by their instructors rather than on actual fact. In the digital age where papers cannot simply be shredded or thrown away, bad assignments can live forever, with students paying the consequences.
**Ideas for Further Research**
Holocaust denial has infiltrated higher education in varied ways and must be met with equally multifaceted opposition. Faculty and student conduct are two pieces of the puzzle, but
Holocaust education and its efficacy in discouraging Holocaust denial also makes up a large part. Does Holocaust education prevent antisemitism and, by extension, denial? The Anti-Defamation League, the United States Holocaust Memorial Museum, and many others think so. Proponents of human rights education, though, assert that teaching about the Holocaust does not make students more likely to behave more ethically or be upstanders in the future. Wisse (2020) wrote that “anti-Semitism in the United States has spread *in tandem* with increased teaching about the Holocaust,” rather than decreasing as the population becomes more educated (para. 4). This could mean that the message of Holocaust education is not reaching far enough, or it could mean that the education itself is backfiring. Is it possible that the way we teach the Holocaust might make denial worse? These are questions without easy answers, but if our goal for Holocaust education is to decrease denial and antisemitism, perhaps they are questions that must be considered.
References
Berrett, D. (2010, October 26). *Academic freedom and holocaust denial*. Inside Higher Ed.
https://www.insidehighered.com/news/2010/10/26/academic-freedom-and-holocaust-denial
Bessner, E. (2022, January 23). *A former Timmins Catholic School teacher’s license was revoked due to his Holocaust denial and antisemitic lessons*. The CJN. https://thecjn.ca/news/a-former-timmins-catholic-school-teachers-licence-was-revoked-due-to-his-holocaust-denial-and-antisemitic-lessons/
Braunstein, M.L. (2022, January 13). *This is not how Holocaust education was supposed to work*. The Dispatch. https://thedispatch.com/p/this-is-not-how-holocaust-education?s=r
Feldman, A. (2019, April 23). “Arkansas College Honors Alleged Holocaust Denier With Scholarship.” Forward. https://forward.com/fast-forward/423052/arkansas-college-honors-alleged-holocaust-denier-with-scholarship/
Goldstein, A. (2022, May 31). *A tale of two pretexts: sham investigations silence professors at Central Florida and Princeton*. The Foundation for Individual Rights in Education.
https://www.thefire.org/a-tale-of-two-pretexts-sham-investigations-silence-professors-at-central-florida-and-princeton/
*Higher education groups and university leaders work to counter campus antisemitism*. (2022, May 17). Insight Into Diversity. https://www.insightintodiversity.com/higher-education-groups-and-university-leaders-work-to-counter-campus-anti-semitism/
Jaben-Eilon, J. (2021, November 12). *Local college teacher accused of antisemitic postings*. Atlanta Jewish Times. https://www.atlantajewishtimes.com/local-college-teacher-accused-of-anti-semitic-postings/
Kruth, S. (2013, November 22). *Randolph-Macon forgets its promises of free expression in responding to party theme*. The Foundation for Individual Rights in Education.
https://www.thefire.org/randolph-macon-forgets-its-promises-of-free-expression-in-responding-to-party-theme/
Nelson, C., and Riley, N.S. (2010, November 14). *Does academic freedom protect Holocaust deniers?* Chronicle of Higher Education. https://www.chronicle.com/article/does-academic-freedom-protect-holocaust-deniers/
O’Neil, R.M. (2017). Academic freedom to deny the truth: beyond the Holocaust. *Minnesota Law Review*, 101(2065), 2068-2088.
*Search and filter data on incidents of antisemitic activity that occurred on U.S. college and university campuses from 2015 to present day.* (2023). AMCHA Initiative. https://amchainitiative.org/search-by-incident#incident/display-by-date/
*Student Bill of Rights.* (n.d.). Randolph-Macon College. https://www.rmc.edu/offices/student-conduct/the-student-handbook/student-bill-of-rights
Yarbrough, B. (2014, July 11). *Exclusive: Holocaust denied by students in Rialto school assignment*. The Sun. https://www.sbsun.com/2014/07/11/exclusive-holocaust-denied-by-students-in-rialto-school-assignment/
VCCA 2022 Convention Keynote Address: The Mission of the Community College
Jim McClellan
This keynote address was delivered at the Virginia Community College Association (VCCA) Convention in Virginia Beach on October 5, 2022. The community college is an attempt to realize the promise of the Declaration of Independence; the ideal that all are created equal. It is to higher education what universal suffrage is to the ballot, voting rights for all, higher education for all. The mission of the community college is to provide access to education for those to whom it has traditionally been denied.
I started my career at Northern Virginia Community College 47 years ago. My father-in-law at the time was a full Professor of History at the University of Texas. After my first semester, he asked me this question: “Jim, what’s it like teaching at a junior college?” I respected him, and I gave his question serious consideration, and then I divorced his daughter.
I do not now, nor have I ever, taught at a junior college. We work and teach at a community college. We are not created in the image of the universities. We are not simply preparing students to study at another institution; we are preparing students for life and all life has to offer. We provide opportunities for those who have too often been denied them.
I was hired to teach history and the mission of the community college is clear when seen in its historical context. The founding goal of our nation was set forth by Thomas Jefferson in 1776: “We hold these truths to be self-evident, that all men are created equal” (U.S National Archives, 2020). Equality was an aspiration, not a reality in 1776. American history is the story of the continuing effort to realize this aspiration: equality of opportunity, equality of voice, equal protection of the law. In 1805, an enslaved Native American named Mingo Jackson sued for his freedom here in Virginia. At his trial, Mingo could have offered this amazingly prophetic prediction:
Across this land of great promise, the sons and daughters of Africa, the sons and daughters of Europe, and the sons and daughter of Native America—all enslaved or
indentured—toil shoulder to shoulder in the fields of Jefferson, Madison, Monroe, Washington and others of their class. Someday, from these very fields of the wealthy will rise special colleges—colleges where the descendants of the enslaved and the indentured will sit in classrooms shoulder to shoulder acquiring the knowledge and the skills that will enable them to have their fair share of all America has to offer.
There is absolutely no evidence to prove Mingo actually uttered these visionary words. The transcript of his trial has been lost. Therefore, there is absolutely no evidence to prove he did not. He did win his freedom, and Virginia declared Indian slavery unconstitutional in 1806.
It is doubtful that either Mingo or the generations of disadvantaged before and after him could even imagine the potential that community colleges would offer their descendants. The community college is to higher education what universal suffrage is to democracy: an equal voice for all, higher education for all. Education is the great equalizer. But when our country was founded, education was a privilege of the rich, not the right of the many. Wealthy men sent their sons—and never their daughters—to private schools. The masses remained uneducated and largely illiterate. They were excluded from any formal education by race, gender, or economic background. Most of those who were not wealthy could only sign their names with an X.
There was no equality of voice. The right to vote was also restricted to white males who owned property. The prevailing attitude of the colonial and early national periods had been that government represented property, not people. The Founding Fathers were the richest men in America. Most were comfortable maintaining aristocratic rule and content to keep Mingo and others like him in servile roles.
Adam Smith wrote in *Wealth of Nations* in 1776: “Civil government is in reality instituted for the defense of the rich against the poor, or of those who have some property against those who have none at all” (Smith, 2012). As Chief Justice John Jay reportedly explained it: “Those who own
the country ought to govern it.” (Foner, 1976). Or, as James Madison wrote, government ought to “protect the minority of the opulent against the majority” (National Historical Publications, n.d.). If the majority who were without property were allowed to vote, what would prevent them from using the ballot box to take for themselves the wealth of the opulent minority? Working class people who owned no property, field hands, indentured servants, women, slaves, free African Americans, and Native Americans could not vote or hold office. There were thresholds of wealth that determined the eligibility of the levels of office that could be held. In some states, the right to vote and hold office belonged only to around five percent of the population. That population was wealthy, white, and male. The richer the candidate, the higher the office he could pursue.
It may be surprising for many to learn that there were more women professionals in 1750 than in 1900. Women may not have been able to vote or hold office in the colonial and early national periods, but they could enter professions. Anyone, regardless of gender, could become a doctor, a pharmacist, or a lawyer by serving as an apprentice to one. But then around 1800, a strange thing happened: the professions underwent “professionalization.” A college degree was now required to enter the professions. When a young women named Lucinda Foote applied for college, she received this answer: “We find the applicant fully qualified, except in her sex, to be received as a pupil at Yale” (“Celebrating 150 Years of Yale Women,” 2020). The same answer awaited other female applicants for college. Women disappeared from the professions and the professions became the realm of men.
By the 1830s, the movement for equality was gaining strength and America moved from the “Age of Aristocracy” into the “Age of the Common Man.” Our nation came to the realization that government should represent people, not property. Universal Manhood Suffrage began to replace property qualification for voting and holding office. That enfranchised white men regardless of wealth. It did not enfranchise women or people of color. To assure that the masses could vote
responsibly, the Age of the Common Man introduced tax-payer supported public schools. Education was no longer just a privilege of the rich. It was now the right of the many.
During the period of slavery, the laws of Virginia were designed to prevent African-Americans from being educated. As a cold and inhumane statement from the Virginia Assembly in 1832 put it:
We have, as far as possible closed every avenue by which light might enter their minds; we have only to go one step further to extinguish the capacity to see the light, and our work would be completed; they would then be reduced to the level of the beasts of the field and we should be safe… (Berry and Virginia General Assembly, 1832, p. 3)
The Age of the Common Man marked another step backwards for women. Education was not important for them. As the saying went, women needed to know only “sufficient geography to find their way around the house and enough chemistry to keep the pot boiling” (Family Planning Amendments, 1989, p. 40). In the words of Grace Greenwood, “True feminine genius is ever timid. (It is) doubtful, and clingingly dependent, a perpetual childhood” (qtd. in Welter, 1966, p. 160). Dr. Charles Miegs, in a commencement address for Jefferson Medical College, observed that “woman has a head almost too small for intellect, but just big enough for love” (qtd. in Welter, 166, p. 160).
The end of the Civil War was a step forward for African-Americans. The Thirtieth Amendment ratified after the Civil War ended slavery. The Fourteenth Amendment in 1868 took Jefferson’s promise of equality and inserted it in the Constitution for the first time, guaranteeing all the “equal protection of the law.” The Fifteenth Amendment stated that the right to vote could not be denied because of race, color, or previous condition of servitude. However, it took a century to implement these amendments. In the decades after the Civil War, publicly funded state colleges and universities were established. However, most were intended for men. Separate colleges were
created for women and people of color. Women’s colleges prepared women for the only acceptable jobs available to them: secretary, teacher, nurse. Black colleges prepared black students for roles within the Black community.
The Constitution was amended again in 1920 to grant women an equal voice. And the electorate was doubled. The channeling of women and racial minorities into lower paying roles in the economy continued. The equality promised by Jefferson and mandated by the 13th, 14th, and 15th Amendments remained unrealized. Implementing these three Civil War Amendments was what the Civil Rights Movement of the 1950s and 1960s was all about: giving the excluded an equal chance to succeed.
Community colleges are an extension of the Civil Rights Movement. It is no coincidence that the VCCS was founded in the mid-1960s. The Civil Rights Movement was about including in the America Dream those who had been traditionally denied access and equality. They are now our students. The majority are women. Half of our students are people of color. Many of our students are recent immigrants. The vast majority of our students come from the lowest income brackets in our economy. More than 80 percent of the students we serve are members of groups traditionally denied access to higher education. They are not completely welcome at the universities even today. Over six decades, we have given generations of students their best chance to reach their full potential, and by so doing, to pursue the American Dream.
We need to remain true to this fundamental mission. It is easy to be sidetracked from the path that brought us here and leads straight on into the future. Community colleges have a special mission. We are more than farm teams for universities. We are more than recruiters for big business. Like most of our students, no one in my family had been to college. When I was 15, I went to work in a factory where my father had worked before me. My high school counselor called me to her office one day and told me there were two options after high school: college or the workplace. Then
she glanced at my file and told me that I was not college material. She said I should take shop to learn a skill. I flunked metal shop. Then I flunked electric shop. And finally, I flunked wood shop. Being without any skill, what choice remained but to go to college?
At the new student orientation, I sat with 2,000 other freshmen in the university auditorium and listened to the Dean of Students say this: “Sixty percent of you will not return for your sophomore year. The freshman year will weed out those of you who are not college material.” Then he asked everyone in sections one and two to stand and told those in the third section to remain seated. “This many of you are not college material,” he announced. Seeing so many stand opened again the question of how I could really be part of the 40 percent who were college-material. Then I realized, I was sitting in section three. I was going to make it.
Now, there is the first difference between a community college on one hand and junior college and senior college on the other: unlike universities that seek to “weed out” those not considered college material, we consider anyone who wants to learn as college material. We do not expect that 60 present of our students will flunk out; it is our expectation that all can succeed. We do not ask prospective students to write an essay or take the SAT or get references from their high school counselor. We do not pre-judge their abilities based upon a glance at their applications. We do not reject a single student who applies to learn in our classrooms. We accept 100 percent of our applicants. We believe letting them prove they are college-material by their performance in our classrooms is preferable to pre-judging them based upon the number of words in their application essay. We have open admission and immediate acceptance. The toughest question we ask an applicant is his or her name.
Out tuition is relatively low. A student taking a three-credit freshman English course in the VCCS would pay $462 in tuition. The exact same course at the University of Virginia will cost $1,488 this fall. The exact same course at George Washington University costs $5,985. For the cost
of one course at George Washington, a student could pay tuition for a full year in the VCCS and have $1,365 in change.
We do not put first-year college students in an auditorium with 500 other freshmen. Our average class size is closer to 20. Unlike a university where a grad student is assigned to teach first and second-year students, each member of our faculty is the survivor of an exhaustive search to find the best teacher. We have full professors teaching introductory survey courses. At a university, students might not see a full professor until their junior year. While we value and support research, we hire and evaluate faculty on their skills in the classroom rather than the library.
We realize that students learn in different ways, and we try to assure that each can succeed. Is it any wonder that our students do better when they transfer to a four-year school than the students who started there as freshmen? It was never about ability. It was about opportunity and support. I have devoted my career to the community college because I believe in our mission.
I now have a wife who understands the importance of what I have done for 47 years. When I came to the VCCS, I was in my twenties. I will be 77 next month. To paraphrase Powhatan, I am now grown old and must soon retire. I hope that your love for community colleges will be no less than mine.
References
Berry, H. & Virginia General Assembly House of Delegates. (1832). *The speech of Henry Berry (of Jefferson) in the House of Delegates of Virginia, on the abolition of slavery.*
*Celebrating 150 years of Yale women.* (2020, Nov/Dec). Yale Alumni Magazine.
https://yalealumnimagazine.org/articles/5237-celebrating-150-years-of-yale-women
Family planning amendments of 1989: report together with additional views to accompany S. 110. (1989). U.S. Senate Committee on Labor and Human Resources.
Foner, P.S. (1976). *The Democratic-Republican Societies: 1790-1800.* Greenwood Press.
National Historical Publications & Records Commission. (n.d.). *Term of the Senate [26 June] 1787.*
https://founders.archives.gov/documents/Madison/01-10-02-0044
Smith, A. (2012). *Wealth of nations.* Wordsworth Editions.
U.S. National Archives and Records Administration. (2020, July 24). *Declaration of independence: A transcription.* https://www.archives.gov/founding-docs/declaration-transcript
Welter, B. (1966). The cult of true womanhood (1820-1860). *American Quarterly, 18*(2), 151-174.
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Global maps of ground magnetometer data
C. L. Waters\textsuperscript{1}, J. W. Gjerloev\textsuperscript{2,3}, M. Dupont\textsuperscript{1}, and R. J. Barnes\textsuperscript{2}
\textsuperscript{1}School of Mathematical and Physical Sciences, University of Newcastle, Callaghan, New South Wales, Australia, \textsuperscript{2}The Johns Hopkins University Applied Physics Laboratory, Laurel, Maryland, USA, \textsuperscript{3}Birkeland Centre of Excellence, University of Bergen, Bergen, Norway
Abstract A statistical-based method combined with basis function expansion techniques is described in order to provide extensive maps of the ground level perturbation magnetic field from 40° magnetic latitude to the north magnetic pole for all longitudes. The method combines historical data from the SuperMAG data base, Principal Component Analysis, and a spherical cap harmonic basis function expansion in order to fill in magnetic perturbation data where there are no magnetometers and produce the poloidal current potential. The maps have a regular grid with a 2° latitude and 1 h longitude spacing. The statistical process uses SuperMAG data derived magnetic indices plus the solar zenith angle which orders the resulting spatial maps by geomagnetic activity indicators to enhance model agreement with the data. For quiet through to moderate magnetic activity intervals, the root-mean-square error between the input and the fitted data are 18 nT and 10 nT for the north-south and east-west components, respectively, which are of similar magnitude to the statistical uncertainty in the SuperMAG data set.
1. Introduction
Ground-based magnetometer data have provided fundamental information on auroral processes since the early 1900s. While the association between magnetic field variations and auroral activity was recognized as early as the mid-1700s, the work of Birkeland (1908) yielded the first estimates of the polar region electric current patterns using data obtained from ground magnetometer measurements. Since then, as pointed out by Gjerloev [2012], ground magnetometer data have been pivotal for magnetosphere-ionosphere studies including substorm properties and dynamics, connections between solar wind variability and ionospheric currents, auroral dynamics and ionosphere electrojet systems. These are considered “global” phenomena and their study requires measurements at degree-scale spatial resolution (at least in latitude) and minute temporal intervals. This paper is concerned with obtaining comprehensive, ground level magnetic field signatures of electric currents flowing in the auroral ionosphere.
Magnetosphere-ionosphere energy coupling involves large spatial scale processes which has motivated the establishment of magnetometer arrays. A number of two-dimensional magnetometer arrays were installed during the International Magnetospheric Study (IMS; 1976–1979) in order to deduce properties of the source current systems [e.g., Untiedt and Baumjohann, 1993]. After extracting the vector magnetic field components due to external currents, the data were often represented as equivalent current maps using the horizontal magnetic field components, which led to methods that separate the divergence-free and curl-free parts of the magnetic field and ionospheric current systems [Kamide et al., 1981; Akasofu et al., 1981].
It was soon realized that electrical properties of the ionosphere over the auroral zone might be deduced from ground magnetometer measurements. Kamide and Richmond [1982] used data from the IMS Alaskan magnetometer array to investigate the influence of different ionospheric conductance models on the current systems derived from ground magnetometer observations. In order to achieve the required spatial coverage, the data were averaged in magnetic local time (MLT) bins, thus trading off spatial for temporal information. Maps of electrodynamic parameters were obtained over all MLT and from 60° to the pole using spherical harmonic basis function expansion methods.
Ground magnetometer data obtained from any 2-D spatial array is insufficient to uniquely determine the ionospheric current geometry. Additional information such as ionosphere conductance or satellite measurements are required. This means that ground magnetic perturbation signatures can be estimated if information on electrodynamic properties of the ionosphere are available. For example, assuming a constant Pedersen to Hall...
conductance ratio and statistical models of the ionospheric electric and magnetic potential, Weimer [2005] compared two methods for estimating the large-scale, long-period ground-level geomagnetic variations. The temporal resolution of such data was improved by Green [2006] and Green et al. [2007] who folded in electric field patterns obtained from the Super Dual Auroral Radar Network (SuperDARN). A disadvantage of this approach is the dependence on ionosphere conductance properties that are not well known on suitable spatial and temporal scales.
Ground magnetic field measurements at minute cadence over limited regions have been available for many decades. However, the difficulty is to provide such data over a global spatial extent. Research efforts in both the geophysics and space physics communities have forged international collaborations that allow data exchange among separated magnetometer arrays. For example, during the 1980s the International Real-time Magnetic Observatory Network (INTERMAGNET) was established, which aims to deliver global magnetic field data.
SuperMAG is a more recent international collaborative effort designed to provide global, ground-based magnetic field data at 1 min cadence with a focus on magnetosphere-ionosphere research [Gjerloev, 2012]. The SuperMAG initiative represents state-of-the-art data preprocessing and delivery, allowing easy access to magnetometer data from over 300 locations around the world in a common format and with best practice applied in order to remove data anomalies. While the number of magnetometer stations has increased since the 1980s, the instrumentation is confined to available land. Therefore, obtaining estimates of global ground magnetometer signatures with degree-scale spatial resolution in longitude remains a challenge.
2. Extending SuperMAG Data Spatial Coverage
Given a sparse and irregularly spaced distribution of magnetometer data over Earth’s surface, the objective is to provide estimates of these data at locations where instrumentation is absent. The standard procedure in geophysics is to employ a basis function expansion using spherical harmonic functions, keeping the order sufficiently small in order to avoid aliasing in areas of sparse data coverage [Chapman and Bartels, 1940]. Magnetometer arrays in both latitude and longitude configurations have typical spacings of $1^\circ - 2^\circ$ in latitude and subhour spacing in MLT over limited areas. Since the perturbation fields detected by ground magnetometers sense magnetic effects of ionospheric currents integrated over an area of order $\approx 200$ km, a spacing of $2^\circ$ is the target latitude separation [Ponomarenko et al., 2001].
The resolution in MLT is often less stringent, given that typical longitudinal structures of the large-scale ionosphere current systems in the auroral regions are larger than the latitude spatial scales. While specific spatial patterns of the auroral current systems vary with solar and geomagnetic activity, the current systems tend to align with the geometry of the space environment while Earth rotates beneath. Therefore, for a given latitude distribution of sensors on Earth’s surface, information is available at all local times at least once per day, albeit at different times.
A direct approach for estimating physical values over some discrete latitude and MLT grid is to bin all available data by parameters that might be considered “drivers” of the system. For example, the SuperDARN data processing bins ionospheric Doppler velocity values by Interplanetary Magnetic Field (IMF) magnitude and geometry in order to construct statistical convection patterns which are then used to fill in spatial data gaps for a given UT, followed by basis function fitting [Ruohoniemi and Baker, 1998]. This approach assumes adequate specification of the system through identification and selection of relevant drivers that are keyed to unique system states. In particular, assumptions of this approach include (i) the IMF variations measured at the L1 Lagrangian point (e.g., at the ACE spacecraft) propagate toward Earth as a plane wave with no in-plane structure, (ii) internal magnetosphere processes are excluded, (iii) there is no delay between IMF “cause” and any effects on the system, (iv) states of the system are uniquely characterized by the IMF, (v) there is no filtering of the driver so that a “spike” in the IMF data can give a different system state, and (vi) there is no information included that is related to the history of the magnetosphere-ionosphere system.
Statistical regression methods can also be applied to these types of problems. This approach can provide more information on the data estimation process including estimates of uncertainties and cross-correlation details compared with the driver binning approach. Examples include multilinear regression (MLR) using least squares fit criterion and Bayesian regression methods. For the SuperMAG data, we have employed the MLR-least squares fit approach coupled with Principal Component Analysis (PCA). This method is known as...
Principal Component Regression (PCR) [e.g., Burnham and Anderson, 2002]. The drivers of linear models are chosen from a set of magnetic indices in order to avoid difficulties with using solar wind variables. The PCR process fills in spatial data gaps, allowing subsequent high-order spherical cap harmonic analysis (SCHA). The potential functions obtained from the SCHA may then be used with SuperDARN and satellite data from the Active Magnetosphere and Planetary Electrodynamics Response Experiment to give estimates of the ionosphere conductance [Green et al., 2007].
3. Experimental Data
The ground magnetometer data are at 1 min cadence and were obtained from the SuperMAG database, where the contributed magnetometer data are processed and stored in a common format [Gjerloev, 2012]. A local, orthogonal magnetic coordinate system is used where the component values are $B_N$ positive in the local magnetic north direction, $B_E$ is positive magnetic eastward, and positive $B_Z$ points vertically downward. Locations of the available magnetometers for 2001 are shown in Figure 1.
The selection of model parameters is more involved. One approach is to follow the SuperDARN method, choosing solar wind parameters that might order the ground magnetometer data. This would require unraveling links between parameters obtained outside the magnetosphere such as solar wind velocities and interplanetary magnetic field (IMF) components [Arnoldy, 1971; Weigel et al., 2003], IMF clock and cone angles, dynamic pressure and energy coupling functions [Newell et al., 2007], accounting for the transition of energy through the magnetosphere, and ionosphere with associated ionosphere conductance effects.
Based on this approach, a multilinear regression (MLR) model was attempted that used over 50 parameters involving solar wind properties, functions of these variables, and magnetic indices. This exercise highlighted two main difficulties. The first involved adverse consequences of using a large number of parameters in a statistical model which can cause overfitting of the data [Burnham and Anderson, 2002]. Second, any cause-effect pathways between the ground perturbation magnetic signatures and parameters measured in the solar wind will most certainly have time delays, and these may not necessarily be the same over all latitudes and MLT. While time lags can be accounted for in more sophisticated models, this complication can be avoided if time-lagged data (e.g., solar wind measurements) are excluded. Such a simpler approach is described below, given that the aim is to provide uniform gridded coverage without attempting to discern causal relationships.
Our approach was to confine selection of the model parameters to data products derived from the ground magnetometer data. Specifically, there are several magnetic indices that are derived from ground observations at minute time cadence. Newell and Gjerloev [2011a] used data from magnetometer arrays that collaborate with SuperMAG to derive the SME = SMU – SML indices. These are a generalization of the auroral electrojet indices calculated from 100 or more sites instead of the 12 used in the International Association of Geomagnetism and Aeronomy (IAGA) auroral electrojet indices, $AE(12) = AU(12) - AL(12)$. Newell and Gjerloev [2011b] showed that there are three advantages to including more stations: (i) improved timing of auroral events, (ii) improved knowledge of event location, and (iii) improved measures of event intensity. These improvements are a result of the additional number of stations distributed in MLT which increases the probability of a station being in the right location at the right time.
Table 1. List of Regression Model Parameters
| Model Parameter | Description |
|-----------------|-------------|
| SML | SuperMAG auroral AL index |
| SMU | SuperMAG auroral AU index |
| SML_s | SML for sunlit locations |
| SMU_s | SMU for sunlit locations |
| SML_d | SML for dark locations |
| SMU_d | SMU for dark locations |
| SMR00, SMR06, SMR12, and SMR18 | SuperMAG partial ring current indices |
| SYM-H and SYM-D | IAGA defined ring current indices |
| ASYM-H and ASYM-D | IAGA asymmetric ring current indices |
| Solar zenith angle | Solar zenith angle (degrees) |
| PC | Polar cap magnetic index |
The SYM-H index can be regarded as a 1 min version of the hourly Dst index [Wanliss and Showalter, 2006]. Newell and Gjerloev [2012] used the SuperMAG data to introduce partial ring current indices. These are labeled SMR-00, SMR-06, SMR-12, and SMR-18 for their center local time range. These indices incorporate data from 98 midlatitude and low latitude stations. Newell and Gjerloev [2012] concluded that the SMR-local time indices showed large differences during the evolution of a magnetic storm and only came back to the same values at the latter stages of the recovery phase. This indicates that the assumption of a symmetric ring current, on which the SYM-H and Dst indices are based, is questionable for the main phase and early recovery phase of magnetic storms. Both the SME and the SMR indices used in this study were downloaded from the SuperMAG website. At higher latitudes, the polar cap magnetic index (PC) may be used. This index is derived from stations located at Thule and Vostok and may be downloaded from http://pc-index.org. At present, there is no SuperMAG analog for PC. The choice of model parameters used in the PCA and multilinear regression process are listed in Table 1.
4. Principal Component Regression Model
Given a time series of ground magnetic field data and a set of model parameters (magnetic indices and solar zenith angle), a linear model is
\[ y_i = \beta_0 + \beta_1 x_{i1} + \cdots + \beta_k x_{ki} + e_i \quad (i = 1, \ldots, n) \]
(1)
For Principal Component Regression (PCR) the \( y_i \) are the perturbation magnetic field \( dB_y, dB_z, \) and \( dB_x \) values from SuperMAG. The \( x_{ki} \) are eigenvectors of the covariance matrix derived from the magnetic indices and solar zenith angle values that represent the independent variables, \( \beta_k \) are the regression coefficients, and \( e_i \) are the model errors, assumed to have zero mean. In matrix form
\[ y = X\beta + \epsilon \]
(2)
and the usual least squared estimate for \( \beta \) is
\[ \hat{\beta} = (X^\top X)^{-1} X^\top y \]
(3)
In the usual multilinear regression (MLR) process, the magnetic indices, and solar zenith angle values would be directly used as the \( x_{ki} \) in equation (1). For PCR, the magnetometer data are regressed onto a set of eigenvectors derived from the covariance matrix. In detail, the procedure is as follows:
1. The magnetic indices and solar zenith angle data over a given year were sorted into 3 min wide MLT windows.
2. For each 3 min wide MLT bin, each variable was standardized (subtract the mean, divide by the standard deviation).
3. These data were used to calculate the covariance matrix and since the data are standardized, the covariance matrix is identical to the correlation matrix.
4. The eigenvectors and eigenvalues of this correlation matrix were computed. For $p$ variables used to construct the correlation matrix, there are $p$ orthogonal eigenvectors, each being a linear combination of the standardized magnetic indices and solar zenith angle values. The percentage variance explained by $k$ of these $p$ eigenvectors ($k \leq p$) and associated eigenvalues, $\lambda_k$ is
$$\frac{\lambda_1 + \lambda_2 + \cdots + \lambda_k}{\lambda_1 + \lambda_2 + \lambda_3 \cdots \lambda_{p-1} + \lambda_p} \times 100\%$$ \hspace{1cm} (4)
where the denominator is the sum of all eigenvalues. The eigenvectors were sorted according to the magnitudes of the eigenvalues.
5. Equation (4) was used to select the $k$ eigenvectors required to achieve a statistical confidence level of 99%.
6. Each component (e.g., $dB_N$) of the MLT binned magnetometer data were regressed onto these $k$ eigenvectors to give the regression coefficients, $\beta$, as described by equation (3).
The north–south ($dB_N$), east–west ($dB_E$), and vertical ($dB_Z$) components of the perturbation magnetometer data from all available stations in the $40^\circ - 90^\circ$ latitude range for a full year were used. The magnetic indices and solar zenith angle values were obtained for the same UT times, allowing for the solar zenith angle to vary with magnetometer location and time. This gave a linear model with 16 possible parameters which are given in Table 1. If any parameter value was missing then the whole data record for that time was discarded. The number of data records discarded depends on the year and the station. For 2001, 136 stations provided data and 110 stations had over 80% availability.
The 3 min wide MLT bin was stepped by 1 min intervals through 24 h of MLT. This process yielded 1440 sets of regression coefficients for each station, keyed to each MLT minute of the 24 h of MLT. Using these coefficients, the model $dB_N$, $dB_E$, and $dB_Z$ were calculated for all MLT. This provided PCR model perturbation magnetic field values for all MLT in 1 min steps and with a latitude spacing of $2^\circ$.
5. Results
An example map of vector ($dB_N$ and $dB_Z$) data for a quiet interval ($Kp = 1$) is shown in Figure 2. The vectors have been rotated by $90^\circ$ to more clearly demonstrate the link between the ground fields and the ionospheric plasma convection pattern. For a given UT, the input SuperMAG observations are at specific locations on a magnetic latitude (MLat), MLT map, as shown in red. In a number of cases, there are multiple stations in the
for spherical cap harmonics have noninteger eigenvalues from the imposed boundary conditions. A method to generate these basis functions to high order and for both Dirichlet and Neumann boundary conditions was described by Ogburn et al. [2014] and used previously by Waters et al. [2001] and Waters and Sciffer [2008].
The $dB_N$ and $dB_E$ magnetic perturbation data shown in Figure 2 were input to a basis function expansion process that used vector spherical harmonic cap functions. The magnetic field data included the experimental values obtained from SuperMAG in addition to the PCR model values at locations where magnetometers were absent. The basis function expansion allows for different weightings to be applied on the SuperMAG compared with the PCR model magnetic field values. In this work, both data sets have a weighting of unity. The maximum latitude extent was 50° with the largest spherical cap eigenvalue chosen to give 2° latitude resolution and azimuthal wave number, $m = 5$. The fitted data (rotated by 90°) are shown in Figure 3. For the input data, the (min;max) of the $dB_N$ component was ($-91;116$) nT while the (min;max) of the $dB_E$ component was ($-68;100$) nT. Comparison of Figures 2 and 3 shows that the input and spherical cap basis function fitted data are very similar. An estimate of how similar, or the quality of the fit, may be obtained from the root-mean-square error (RMSE) calculated using the input and fitted data at the locations of the input data. These RMSE values were (18;10) nT for $(dB_N; dB_E)$ components.
6. Discussion
Figures 2 and 3 show that a multilinear regression model that uses indices derived from ground magnetometer data may be used to fill in magnetic perturbation values to obtain a more global data set. This approach does not provide cause and effect information for the ground magnetometer data in a way that a solar wind based, parameter model might do. However, the magnetic index-based approach is more direct and simple and avoids difficulties with time delays between possible solar wind drivers and the ground signatures and unknown ionospheric conductance effects.
Any process that uses a mixture of experimental data supported by statistical methods to infer additional data values requires an assessment of the goodness of fit. The usual root-mean-square error (RMSE) metric was used to quantify deviations of the PCR model outputs from the input experimental data values. However, the PCR model performance depends on the choice of parameters to include which is related to the methodology used to assess which parameters might be relevant. Table 1 lists the parameters that might be included. After
the chosen parameter data, over a given time period (e.g., years), are standardized, the correlation matrix reveals how each parameter is related (or correlated) to all others in the set. For example, the SYM-H index showed correlation coefficients of $\rho > 0.95$ with all the SuperMAG partial ring current indices (SMR00, SMR06, etc.). SMU is similar to SMU_s ($\rho = 0.98$) and similarly for SML and SML_s ($\rho = 0.9$). This suggests that SML, SMU, and SYM-H can be deleted from the model parameters as any influence they might have would be taken care of by the remaining parameters.
A direct process of parameter choice, based only on the linear correlation coefficient, may be inappropriate for all parameters. The correlation coefficients for all combinations of SMR00, SMR06, SMR12, and SMR18 were $\rho > 0.9$, meaning that on average, these are highly correlated parameters. These were all retained in the model parameter list since they can become less dependent during intervals of enhanced magnetic activity, as discussed by Newell and Gjerloev [2012]. For the 24 May 2001 event shown in Figure 2, including all 16 parameters, gave RMSE values of (33;29) nT for the $(dB_N; dB_E)$ component data. Excluding the polar cap index gave RMSE values of (34;27) nT.
The SuperMAG auroral indices SMU and SML may be combined to form SME = SMU − SML along with their sunlit and dark ionosphere versions. The minimum RMSE values were obtained for a PCR model that only used SME, SME_s, and SME_d; the four partial ring current indices; and solar zenith angles; giving a RMSE = (29;25) nT. Ten PCR models were trialed, using different combinations that included and then excluded the polar cap index, SYM-H and SYM-D, ASYM-H, and ASYM-D, and changing SMU_s for SME. Over these different models, the RMSE values only varied by 5 nT.
The choice of parameters to include was therefore informed by correlation analyses in addition to consideration of parameters that might be expected to improve the solution. Some dependence on MLT is provided by the SMR00-SMR18 indices. The latitude and MLT dependence of the PCR model goodness of fit for all SuperMAG data over 2001 is shown in Figure 4. One region for improvement, common to all three magnetic field components, is the dayside polar cap which would benefit from additional magnetometer data in addition to further research on parameters that might account for the cusp region. For $dB_N$ and $dB_Z$, the RMSE are larger around the auroral zone. However, the larger RMSE values are consistent with the ground magnetometer values which are generally larger there. The choice of parameters might be further refined by taking narrower ranges in latitude that target known processes at midlatitude, auroral latitude, and high latitude, in addition to the development of indices that are more focused on specific components of the magnetometer data. Any future refinements will be described and the refined data made available from the SuperMAG web sites (http://supermag.jhuapl.edu and http://supermag.uib.no).
The PCR model is useful for adding data in order to constrain high-order, spherical harmonic basis function-based fits to the ground magnetometer data. The basis function sum is directly related to the poloidal potential used for M-I coupling studies [Green et al., 2007]. Figure 3 shows the results of such a data fit for a magnetically quiet case. For these spherical harmonic cap fitted data, the RMSE values were (18;10) nT for the $(dB_N; dB_E)$ magnetic field components. The expected uncertainties for the SuperMAG data as a whole were defined and discussed by Gjerloev [2012]. Their estimates of the full width, half maximum values are similar to the RMSE values obtained from the basis function expansion fit. Therefore, our method provides perturbation magnetometer data with an accuracy that approaches statistical limitations of the SuperMAG data set.
Global maps of the ground magnetic field perturbations are invaluable for studies of magnetosphere-ionosphere coupling. The more interesting cases involve transitions of the magnetosphere from relatively quiet to more active states. A $Kp_{\text{max}} = 7$ storm that was associated with a southward turning ($B_y$ of −15 nT) of the IMF occurred around 0320 UT, 28 October 2001. While the IMF $B_x$ component remained small, the $B_y$ component jumped to values up to 15 nT. This represents a challenging case for any statistical model.
A sequence of four maps of the horizontal components of the ground magnetometer data for 0300−0330 UT, 28 October 2001, are shown in Figure 5. The red arrows show the input $(dB_N; dB_E)$ components from SuperMAG. The green arrows show the results from the spherical cap harmonic fit to the input and PCR model data. All vectors have been rotated by 90°. Over the 0300−0320 UT interval, there was moderate magnetic activity ($Kp = 3$), with IMF $B_z \approx -4$ nT and $B_y \approx +5$ nT. Figure 5 shows good agreement between the input SuperMAG data and the fitted vectors. Figure 5d shows the enhanced activity pattern, which is consistent with the positive IMF $B_y$. The spherical cap expansion process uses a magnetic potential useful in...
Figure 4. Root-mean-square error (RMSE) values for all 2001 data using an PCR model with 1 min cadence. The RMSE for north-south (top), east-west (center), and vertical (bottom) components of the perturbation magnetic field data.
Figure 5. Sequence of maps of the horizontal components of the ground magnetometer data for 0300–0330 UT, 28 October 2001. The red arrows show the input data from SuperMAG, while the green arrows are from the spherical cap basis function fit.
magnetosphere-ionosphere coupling studies when the divergence and curl free parts are required. The PCR based data modeling described here facilitates obtaining these solutions over $40^\circ – 90^\circ$ latitude and all MLT.
7. Conclusion
Perturbation magnetic field data over all MLT and from mid to high latitudes at minute time cadence are desirable for global studies of magnetosphere-ionosphere coupling. While the number of operational magnetometers has increased over recent years, the experimental data are ultimately limited by land availability. In order to pursue high spatial resolution information from ground magnetometer data, a PCR model has been described that may be used to fill in ground magnetometer data in order to constrain spherical harmonic basis function-based fitting. Assisted by the PCR model, the goodness of fit, based on the RMSE calculated from the input magnetometer data and the spherical cap fitted data, is of similar magnitude as the statistical uncertainties in the SuperMAG data set.
The PCR model is based on parameters that are useful for extending spatial coverage rather than attempting to untangle causal relationships between solar wind parameters and auroral current systems. SuperMAG data derived indices are used in order to capture MLT variability in more detail compared with the IAGA defined values. This has highlighted some need for development of suitable parameters that capture cusp dynamics and those that have a greater dependence on the ground magnetometer $dB_z$ component. The horizontal magnetic field components are normally used in magnetosphere-ionosphere studies, and the approach described provides estimates of these components at 2° latitude resolution, for all MLT and for quiet and active magnetic conditions.
**Acknowledgments**
For the ground magnetometer data we gratefully acknowledge the following: InterMagnet; USGS; Jeffrey J. Love; CARISMA and PI Ian Mann; CANMOS; the S-RAMP Database, PI K. Yumoto, and K. Shiokawa; The SPIDR database; AARI, PI Oleg Troshichev; The MACCS program, PI M. Engebretson, Geomagnetism Unit of the Geological Survey of Canada; GIMA; MEASURE, UCLA IGPP, and Florida Institute of Technology; SAMBA, PI Eftychia Zesta; 210 Chain, PI K. Yumoto; SAMNET, PI Farideh Honary; the institutes who maintain the IMAGE magnetometer array, PI Eija Tanskanen; PENGUIN; AUTUMN, PI Martin Connors; DTU Space, PI Jörgen Matzka; South Pole and McMurdo Magnetometer, PIs Louis J. Lanzarotti and Alan T. Weatherwax; ICESTAR; RAPIDMAG; PENGUin; British Antarctic Survey; McMac, PI Peter Chi; BGS, PI Susan Macmillan; Pushkov Institute of Terrestrial Magnetism, Ionosphere and Radio Wave Propagation (IZMIRAN); GFZ, PI Jürgen Matzka; MFJG, PI B. Heilig; IGF-PAS, PI J. Reda; University of LAquila, PI M. Vellante; and SuperMAG, PI Jesper W. Gjerloev. Data used in this study are available from the SuperMAG web site (http://supermag.jhuapl.edu and http://supermag.uib.no).
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|
GENRES, FORMS, MEANINGS
Essays in African Oral Literature
GENRES, FORMES, SIGNIFICATIONS
Essais sur la littérature orale africaine
Edited by
Textes réunis par
VERONIKA GÖRÖG-KARADY
GENRES, FORMS, MEANINGS:
Essays in African Oral Literature
Papers in French and English
Edited by
VERONIKA GÖRÖG-KARADY
With a Foreword by RUTH FINNEGAN
JASO
Oxford 1982
©JASO 1982. All rights reserved.
The essays that appear in this volume were first published in the *Journal of the Anthropological Society of Oxford (JASO)*, Volume XII no.1 (1982), except for the last contribution, and the Preface and Foreword, which were written especially for this publication. The Editors of *JASO* gratefully acknowledge the generous subsidy made from Paris by the Centre National de la Recherche Scientifique (Equipe de Recherche Associée no. 246) and the Fondation de la Maison des Sciences de l'Homme, without whose assistance the publication of this book would not have been possible.
*JASO* is a Journal devoted to social anthropology, now in its 13th year; it appears three times annually. Subscription information may be obtained by writing directly to the Editors, *JASO*, 51 Banbury Road, Oxford, OX2 6PF, England.
| Author | Title | Page |
|---------------------------------------------|----------------------------------------------------------------------|-------|
| Preface by VERONIKA GOROG-KARADY | | i-ii |
| Foreword by RUTH FINNEGAN | | iv-vi |
| DIANA REY-HULMAN | Pratiques langagières et formes littéraires | 1-13 |
| JEAN DERIVE | La reformulation en littérature orale. Typologie des transformations linguistiques dans les différentes performances d'une même oeuvre | 14-21 |
| JAN KNAPPERT | Swahili oral traditions | 22-30 |
| VERONIKA GOROG-KARADY | Retelling Genesis: The children of Eve and the origin of inequality | 31-44 |
| GENEVIEVE CALAME-GRIAULE | La jeune fille qui cherche ses frères. Essai d'analyse | 45-56 |
| DOMINIQUE CASAJUS | Autour du rituel de la nomination chez les Touaregs Kel Ferwan | 57-67 |
| BRONISLAW ANDRZEJEWSKI | Alliteration and scansion in Somali oral poetry and its cultural correlates | 68-83 |
| CHRISTIANE SEYDOU | Comment définir le genre épique? Un exemple: l'épopée africaine | 84-98 |
| ELISABETH GUNNER | New wine in old bottles: Imagery in the izibongo of the Zulu Zionist prophet, Isaiah Shembe | 99-108 |
| KEVIN DONNELLY and YAHYA OMAR | Structure and association in Bajuni fishing songs | 109-122 |
NEW WINE IN OLD BOTTLES:
IMAGERY IN THE IZIBONGO
OF THE ZULU ZIONIST PROPHET, ISAIAH SHEMBE
It is a characteristic of some oral art forms that they adapt to changing social and political conditions. In some cases new pressures produce a new genre, as in the case of Somali heello. In other cases the form remains the same but the content reflects and comments on the changing circumstances. In many instances oral art forms part of changing rituals which are themselves crucial cultural symbols. The izibongo (translated as 'praise-poem' or 'praises') of Isaiah Shembe, founder of the Zionist Nazareth Church, are of interest in a number of ways. Firstly they show the extension of a praise-poem to convey a new set of beliefs. Secondly they are an example of izibongo for a leader who is not royalty but who has modelled his leadership on the patterns of Zulu royalty, and thirdly the izibongo show the ability of a praise-poem to incorporate new imagery and also to capitalise on and in some cases redeploy existing images. This third point will be my main concern in this paper.
Shembe was born in 1870 and died in 1935 at which point the leadership of his Church was taken over by his son Johannes Galilee Shembe. He began his ministry at a time when the Zulus had suffered loss of power, territory and national identity. It is significant that he was baptised in 1906, a year after the Bambatha rebellion which was a short-lived (but long-remembered) expression of anger and outrage at an alien and repressive administration. Shembe started his own Nazareth Church in 1916, three years after the Natives Land Act whereby blacks were debarred from buying land. He acquired land in reserve territory eighteen miles from Durban, and Ekuphakameni (The Exalted Place) became the centre of his Church. Here he adapted Zulu rituals
for the worship of the Nazarites, particularly for the two great festivals held in July and January. Sundkler refers to the 'formative and integrative influence of the festivals' (1961, p.178). In his later *Zulu Zion* he refers also to the regenerative influence of the Zionist Churches (one of which was Shembe's Nazareth Church) on their followers:
There was a new realization of selfhood and worthy identity in these men and women because of their discovery in and with Zion, of the richness and relevance of their own religions and cultural expressions. (*Zulu Zion*, pp.318-9)
Shembe not only adapted Zulu ritual and ceremony to the Christian worship of his Church, he also composed a series of hymns, some 222 in all, some nationalistic, some visionary. The hymns have formed the cornerstone of his followers' religious expression. They have been extensively discussed by both Sundkler (1961;1976) and Oosthuizen (*The Theology of a Black Messiah*, Leiden; Brill, 1967). The *izibongo* of Shembe have not been mentioned in studies on the prophet, yet they were regarded as an important expression of church unity by Nazarites in the east coast of Zululand where I did field work in 1975 and I was lucky to be able to find one of J.G. Shembe's bards, Azariah Mthiyane. The version I have of Isaiah Shembe's *izibongo* is from him. He was, he said, fifth in the line of Nazarite bards and the version he recited was a composite one with sections composed by each of the earlier bards. The Zulu praising tradition unlike the contemporary Xhosa tradition, emphasises stability and continuity in the *izibongo* of leaders. The Shembe *izibongo* therefore do not change radically at each performance; Mthiyane emphasised this by pointing out that certain lines were the composition of a particular earlier bard, and the name mentioned most frequently was that of Mdladla, the first bard of Isaiah Shembe. In a recent paper on the eighteenth century Xhosa Christian, Ntsikana, Janet Hodgson remarks that 'Any new socio-cultural development must find a mode of communicating ideas and ideals through language, as well as in ritual behaviour'. Shembe's hymns and his *izibongo* are a brilliant example of such communication. Other records of *izibongo* show the application of the traditional praise-poem to modern topics. There is for example the praise-poem by S.E.K. Mghayi, the Xhosa 'bard of the nation' and novelist. He was commissioned to compose and perform *izibongo* for the Prince of Wales on his visit to South Africa in 1925 and his eulogy contained the following ironic and caustic lines:
Ah Great Britain! Great Britain!
Great Britain of the endless sunshine ....
She sent us the preacher: she sent us the bottle,
She sent us the Bible, and barrels of brandy.
Archie Mafeje gives examples of modern Transkei politicians being verbally castigated by Xhosa bards and in another instance illustrates the ease with which a richly associative cattle metaphor can be used for modern political comment. The Xhosa bard is commenting on the plight of a chief exiled by the South African Government:
... up to now, nobody has made any reference to Joyi,
The dark bull that is visible by its shiny horns,
Horns that today are smeared with streaks of blood.
It is for that reason that today he is not among us.
(Mafeje, 1963, p.91)
Mathabela and Cope provide a rare example of a modern Zulu praise poem, performed for the KwaZulu Minister of Education at a Durban school's speech day. Here great play is made of the Minister's illustrious ancestry and in this example a stock martial metaphor is transferred to the classroom:
He overcame me with the spear of arithmetic,
He overcame me with the spear of English,
He overcame me with the spear of the Zulu Treasury,
He overcame me with the spear of the deep thinker,
The depth and solidarity of the Zulu Storehouse.
(Mathabela and Cope, 1976 p.21)
The izibongo referred to above serve to demonstrate that praise-poetry is not imprisoned in a rhetoric binding it to a crumbled social structure and a past glory. Yet only Shembe's izibongo have attempted eulogy for a contemporary Christian leader on a scale usually reserved for Zulu royalty. With his izibongo, past and present fuse in a way not found in other contemporary praises.
Shembe's izibongo are clearly the work of bards deeply familiar with the royal izibongo. There are many parallels which are obviously intentional and this is not surprising given the way in which leadership in the Nazareth Church is modelled on the Zulu kingship pattern. (Sundkler, 1961: 102, 104). The praises of Shembe are therefore in a sense 'royal'. Yet they are also very clearly the praises of a Zionist prophet and not of a Zulu king. There are clear differences where the needs of communication have forced the composers to new modes of expression and new points of reference. The parallels with the royal praises are as follows: it is essential that a bard include in his composition a number of references to places associated with the hero. In the izibongo of the kings from Shaka to Dinuzulu the place names refer largely to conquest and victories. Those in Shembe's praises list many of the places that this untiring traveller visited in the course of his ministry and instead of referring to homesteads associated with the hero the izibongo return insistently to Ekuphakameni; so much so that this holy village of the Nazarites, their earthly Zion, becomes a leitmotif of the praises moving in its associations from the earthly to the heavenly Zion.
One of the ways in which prestige and crucial lineage links are underlined in the royal praises is through the mention of early ancestors of the royal line. Thus Shaka is praised as UNodumehlezi kaMenzi, He-Who-Thunders-At-Home-descendant-of-Menzi. The names of other ancestors such as Phunga, Ndaba and Mageba carry the same eulogistic connotations and help to establish the exalted aura of the royal praises. Shembe had no royal connections whatsoever, his lineage was obscure and though the names of his father, grandfather and great-grandfather are mentioned in the izibongo they would obviously carry no affective charge. The bards compensated for this by using metaphorical praise names which stress Shembe's appeal to royalty and to the chiefs while other praise names underline his support for their authority. The following praise suggests not only attraction but dependence as well:
(98)Nduku yethusi edondolozela makhos' akithi ohlanga.
USwazi oluncokazi
Luyelwabonwa amakhos' akithi oSwayimani bakaZiphuku.
Bathi, 'Nanti uSwazi oluncokazi lukaThixo.
(98)The Copper Staff on which our royal leaders lean.
Switch of many colours
Which was seen by our chiefs Swayimani and his people
the children of Ziphuku.6
They said, 'Here is the many-coloured switch of God'.
Shembe in turn is drawn to them:
(38)IMpukane ijing' isilonda
Wobujing'abohlanga lwendlu eSenzangakhona.
(38)Fly which pesters a sore
As it pestered the royal line of Senzangakhona.
Besides setting out these indirect links with the chiefs and the royal line the bards attempt closer associations by working into Shembe's izibongo praise names already associated with one or more of the kings. For example they open and close with the praise name uGugabadele, Kneeler-and-they-are-satisfied, a praise that is used for Cetshwayo kaMpande but also for God. Shembe's UVemvane olunamabalabala, Butterfly-with-many-colours, echoes the butterfly praise epithets of Shaka and Dingane and the 'Copper Staff' referred to above is also a praise epithet for both Shaka and Dingane.7 What seems to matter in taking over such praise names is that the affective charge accompanies the praise. The precise denotative meaning of praise names is often not important; they can convey a heroic aura while they defy explanation. Innes remarks on a similar phenomenon with Mandinka praise names in the Sunjata epic: the meaning of the praise name may be opaque but its affective power for a Mandinka audience is striking.8
Besides the metaphorical praise names associated with a particular king there are also metaphors which are normally confined to royalty or to people of status and examples of these
too appear in Shembe's praises. The sometimes ambiguous metaphor of the eagle - it can suggest both protection and potential destruction\(^9\) appears as a praise name for the prophet. Shembe, personified as a great protective bird, is the 'Eagle beating its wings above our own place at Ekuphakameni'. The royal image of 'the horned viper' is also used but in a specifically Nazarite way: the ferocity is balanced by love and Shembe is praised as 'Horned Viper with the compassion of his fathers'.
The praises of Shembe may have these strong and intentional echoes from the royal praise poems yet there are other techniques used which link the izibongo to the wider tradition. One of these is the inclusion of formulae in Shembe's izibongo. In Zulu praise-poems where the emphasis is on composition before performance and on memorisation the formulae serve as recognised ways of referring to character and action. Although they appear to show no metrical regularity they often exploit standard stylistic devices, and figurative language which features frequently in the formulae, adds to their aesthetic appeal.\(^{10}\) Shembe's qualities as inspirational leader, his courage and his great thirst for new converts are conveyed in formulae some of which are expanded so that the specific Nazarite message is clear. In two instances the bare formulae suffice. He is described as
(10) *Usambula 'nkwezane kuvel' ukukhanya,*
Scatterer of the fog and there is light,
and in a line first recorded in 1868 as 'a typical warrior's praise' (H. Callaway, *Nursery Tales, traditions and histories of the Zulus*, London: Trübner, 1868) he is
(12) *UMlamula 'nkunzi ungayeki zibulalane.*
Peacemaker among the bulls instead of leaving them to kill each other.
In another instance, the expansion significantly shifts the thrust of the single line formula by describing Shembe's evangelising ministry. The formula 'Spear red even at the haft' with its evocation of bloody combat is expanded and turned into an image of evangelism:
(54) *UGag'elibomvu ngasekuphathweni,*
*Kuhlasele ngalo kumPukunyoni*
*Ngoba kuhlasele ngeVangeli.*
(54) Spear red even at the haft,
You attacked with it at Mpukunyoni
Because you attacked with the Gospel.
The themes of combat and more especially conquest provide another rich source of adaptation for the Shembe bards. Instead of listing the victims of battle, the izibongo mark off those who succumbed to his preaching, becoming members and priests of his Church. The imagery of the elements in turmoil - derived from
the fierce electrical storms of the region - has martial connotations in the royal praises, for example in those of Shaka (Cope, 1968: 92, 100). In Shembe's praises the idea of spiritual power dominates; the sky thunders and hurls down bolts of lightning to inspire and convert rather than destroy:
(129) Lidumela liphos'imbane phezu kwentaba eNhlangaazi.
Lamthath' uGwabhaza kwabakaShangase,
Lamshaya ngamasango esEkuphakameni.
(129)(The Sky) thundered and hurled down lightning above Nhlangakazi mountain.
It took hold of Gwabhaza of the Shangases,
It struck him at the gates of Ekuphakameni.
Cattle imagery which features so prominently in the oral poetry of East and Southern Africa is a vital source of reference for composers of izibongo. Cattle play an important part in Zulu society and metaphors of bulls and calves in particular permeate the praise-poems. Yet far from becoming hackneyed as might be the case in a written tradition they continue to give aesthetic pleasure. D. Kunene (op.cit.) associates cattle imagery in Zulu and Sotho praise poetry with status but in the Zulu praises they also in many cases stand for a general sense of worth and often have additional associations of strength, virility and beauty. Once again the Shembe bards exploit the metaphors for their own purpose while capitalising on their intrinsic appeal. Using the trinity of colours which dominate Zulu thought patterns the praises refer to Shembe as
(81) IThole lakithi) eliwaba elihle ngokutshekula kwaNontand-abathakathi
(Our Calf) of black, white and red, Graceful Mover of the Place-of-the Lover-of-wizards.
Elsewhere he is Luncokazi, The Many-Coloured Calf, and a little later in lines which hint at the divine qualities which some of his followers ascribe to him he is
(114) IThole lakithi kwaNontandabathakathi
Elifihle ngamahlahla enhla komuzi kaJan Dube,¹²
Lithe elighamuka laselim'bal' imithathu.
(114) Our Calf of the Place-of-the-Lover-of-wizards
Which hid among the lopped-off branches at the upper end
of John Dube's home.¹²
Then it appeared in a trinity of colours.
In an essay attacking the emasculating effect of Christianity on African traditions Ali Mazrui¹³ argues that images of virility such as the bull cannot be absorbed into the new religion. Certainly there is no evidence of any such loss or emasculation in the Shembe praises. Here the prophet is at one point seen as a bull caught by a hostile crowd - a reference to resistance met
during his preaching - and elsewhere, in reference to a successful campaign, he is personified as
(138) IN kunzi yakithi emwayidwa egweb' ezinye emantshwebeni,
INohlasela ngeVangeli kwaMpukunyoni.
(138) Our Tall Bull which gores the others in the flank,
Warrior with the Gospel at Mpukunyoni.
Not all the imagery of the prophet's izibongo is set in the aggressive and martial 'Shakan' mould (see Cope, 1968:50 and R.M. Kunene, An Analytical Survey of Zulu Poetry, University of Natal M.A. thesis, 1962:60-107) of so many of the examples cited so far. In an attempt, perhaps, to convey a different aspect of conversion and the softer aspects of Shembe's personality the bards use the metaphors of the hornbills, the heavenly messengers of traditional thought (A.I. Berglund, Zulu Thought-Patterns and Symbolism London: Hurst 1976) and a buck:
(143) I'nsingizi zakhal' esangweni kwaNduli waze wavuka.
UManxala aphande esangweni koMhlakazi waze wavuka.
(143) The Hammerheads which called out at the gate of Nduli's place until he awoke.
Buck which pawed (the ground) at the gate of Mhlakazi's place until he awoke.
Similarly, in moving from a record of Shembe's life to the attitudes of the Nazarites towards their leader, the imagery the bards employ is more lyrical. Examples i and ii below convey a sense of the mystical and the visionary as they express the Nazarite view of the prophet's role as intermediary at the gates of heaven (see Sundkler, 1961 pp323; 1976 pp200-201). This sense of other-worldly revelation is also present in the third example below. Here a formula line containing the metaphor of the moon is expanded to describe Shembe's risen presence returning to his old haunts and remaining protectively over the gates of Ekuphakameni. There is no precedent in earlier izibongo for the gate image which appears so frequently in Shembe's praises. Sundkler (ibid.) mentions its recurrence in the Shembe hymns and its importance in all Zionist dream life. In the praises the gates symbolise entry into a new mode of existence, acceptance by a greater being and protection from the dangers and evils of what lies outside. The use of this key Zionist symbol underlines the visionary dimension in the Shembe izibongo which so distinguishes them both from the royal praise-poems and from other contemporary izibongo.
Example i
(133) UPhuhlu njeng' ikhowe emasangweni asEkuphakameni.
Sudden springer-up like a mushroom at the gates of Ekuphakameni.
Examples ii and iii
(105) UMghibuka njeng' ithanga
Oghibuka ngaphakathi ngamasanga asEkuphakameni.
INyanga bath'ifile kanti basho nje iduke emafini.
Ugudlagudla i'ntaba zoMkhambathi.
Uthe ngimbona eshona ngaleziya 'zintaba zakwaMadladla.
Uthi namhlanje unempilo eside simbona.
Waseqhamuka esekhazimula esexhopha ngaphakathi kwamasango
asEkuphakameni.
(105) Sudden Blossomer like a pumpkin
Bursting into flower inside the gates of Ekuphakameni.
Moon which they said had died but it was only wandering
in the clouds.
He skirted the mountains of Mkhambathi
And then I saw him disappearing in the direction of those
far off hills.
Even today he is alive and we behold him constantly.
He appeared shining, dazzling the eyes, within the gates of
Ekuphakameni.
The way in which the Shembe izibongo resemble and yet differ
sharply from the royal praises is also evident in the centripetal
and centrifugal tensions contained within them. On the one hand
they, like the nineteenth-century royal praises (but unlike the
more muted royal praises of Solomon kaDinuzulu d.1933) are
intensely nationalistic. They deliberately stress the distinctive-
ly Zulu nature of Shembe's Church. Whereas other churchmen are
shown worrying over doctrinal niceties:
(26) Baphenya amadastamente namaBhayibheli abavumela,
Athi, 'Kubhaliwe kanjalo !'
(26) They brandished their Testaments and their Bibles in
unison saying, 'It was written thus !'
Shembe's Zulu separatism is applauded:
(28) UHlamuka simuke siye kithi kwelakwazulu,
Ngoba uhlamuka ngevangeli,
(28) Breaker-Away, let us leave and let us head for our own
Zululand,
Because he broke away with the Gospel.
And in a striking compound metaphor which plays on the double
meaning of 'Zulu' i.e. (a) 'the heavens' and (b) 'the Zulu people',
the exclusive nature of Shembe as a Zulu prophet is expressed:
(70) ISihlahla esihle somdlebe engasihlalwa 'zinyoni,
Siyasehlalwa 'zinyoni zeZulu.
(70) Beautiful Euphorbia Bush on which no (ordinary) birds perch
It is a perch for the birds of the Zulu.
Yet the praises also touch upon the universality of Christianity.
They chronicle Shembe's incessant travelling not only in Zululand
and Natal but to the Transkai and mention is made of a hoped-for
journey to the territory of 'Mzilikazi of Mashobane' in present-
day Zimbabwe. In lines which stress the supra-national message
of Christianity he is praised as
(135) The Star which brought light to the darkness,
It enlightened all nations beneath the sun.
(135) INkanyezi ekhanyise emnyameni
Yakhanyisela zonk' izizwe phansi komthunzi welanga.
Gerard (Four African Literatures: Xhosa, Sotho, Zulu, Amharic, Berkeley: University of California Press, 1971: 184) refers to Shembe's hymns as a phenomenon of transition from oral to written literature. The izibongo represent a different kind of transition in that they show bards working in the oral mode and using an established poetic genre to express new concepts and new ideals. Shembe's praises are therefore both conservative and profoundly innovative. It is perhaps significant that these izibongo which are still performed for Shembe's successors were for the most part composed at a time when the Zulu kingship was weak. Certainly the praises of Solomon kaDinuzulu (Isaiah Shembe's royal contemporary) do not bear comparison with the prophet's izibongo either in the richness of their language or the boldness of their vision. Although they are in one sense an important religious statement Shembe's izibongo can also be seen as serving a function sometimes ascribed to epic: they create a sense of national consciousness, pride and purpose at a time of national crisis and weakness. In their nationalism and their continued success as a vehicle of cultural and religious identity the izibongo demonstrate how an oral art form can exploit the past and maintain its relevance to the present.
NOTES
1. See Abner Cohen, 'Political Symbolism', Annual Review of Anthropology, Vol. 8, 1979, pp. 87-113.
2. See S. Marks, Reluctant Rebellion, Oxford: Clarendon Press 1970. The sources for details of Shembe's is John Dube, UShembe, Pietermaritzburg: Shuter and Shooter 1936; for an illuminating interpretation of Shembe as a Zionist leader and a great poet see Bengt Sundkler, Bantu Prophets in South Africa, Oxford: Oxford University Press 1961 (2nd ed.), also, B. Sundkler, Zulu Zion, Uppsala: Gleerups with Oxford University Press 1976.
3. See A.T. Cope, Izibongo: Zulu Praise-Poems, Oxford: Clarendon Press 1968, especially pp. 27-38; J. Opland, 'Praise Poems as Historical Sources', in C. Saunders and R. Derricourt, eds., Beyond the Cape Frontier, London: Longman 1974, pp. 1-37; and J. Opland, 'Imbongi nezibongo: The Xhosa Tribal Poet and the Contemporary Poetic Tradition', P.M.L.A., Vol. 90, 1975, pp.185-208.
4. Janet Hodgson, 'The Genius of Ntsikana', paper read at a conference on Literature and Society in Southern Africa, University
of York, September 1981.
5. See A.C. Jordan, *Towards an African Literature; the Emergence of Literary Form in Xhosa*, Los Angeles: University of California Press, 1973; A. Mafeje, 'A Chief Visits Town', *Journal of Local Administration Overseas*, 2, 1963, pp. 88-99. Also Mafeje, 'The Role of the Bard in a Contemporary African Community', *Journal of African Languages*, IV, 3, 1967, pp. 193-223. E. Mathabela and A.T. Cope, 'Sabela Zulu: A Zulu Praise-poem', *Theoria*, 46, 1976, pp. 17-25. An early example of Zulu izibongo for a contemporary figure is the praise-poem for Harriet Colenso composed by Mboza Matshiwulwana, one-time bard of the Hlubi chief Langalibalele. See Alice Werner's translation in *Ilanga laseNatal*, May 31, 1907.
6. Line references are to the 156-line version recited by and checked with Azariah Mthiyane of Emkayideni, Richards Bay, May-August 1976. My thanks also to Thandiwe Mngadi for checking the transcriptions and translations at the University of Zululand, Ngoye in 1976.
7. See Cope, 1968, p. 95 and D. Rycroft and A.B. Ngcobo, Unpublished transcription of the izibongo of Dingane kaSenzangakhona recorded by James Stuart, Zonophone 4176, 1927.
8. G. Innes, 'Formulae in Mandinka Epic: their affective function', in *The Oral Performance in Africa*, ed. I. Okpewho, Ibadan and London: Ibadan University Press and Longman, forthcoming 1983.
9. See D. Kunene, 'Metaphor and Symbolism in the Heroic Poetry of Southern Africa', in *African Folklore*, ed. R. Dorson, Bloomington: Indiana University Press, 1979, pp. 295-318.
10. See Gunner, 'Wand or Walking Stick?: the formula and its use in Zulu praise-poems', in Okpewho op.cit.
11. One of Shembe's houses at Ekuphakameni. He is said to have converted and therefore loved many wizards.
12. The Zulu writer and politician who was also Shembe's biographer and neighbour. See note 2.
13. A. Mazrui, 'Phallic Symbols in Politics and War: an African Perspective', *Journal of African Studies*, Vol. 1, part 1 (1974) pp. 40-69.
14. The Nazareth Church has now split into two sections following a succession dispute after the death of Johannes Galilee (J.G.) Shembe in 1977.
|
591 Reasons Why Pubs Board Will Survive
Edinburgh University Students Publications Board present
THE KENNETH ALLSOP MEMORIAL LECTURE on Monday, 6th December, at 5.15 p.m. in the George Square Theatre
NEAL ASCHERSON Foreign and Polish Affairs correspondent for The Observer will deliver his address on 'ON BEING A FOREIGN CORRESPONDENT'
Chairman: The Principal, Dr J. BURNETT, MA, DPhil, FRSE.
ADMISSION FREE with the assistance of the Scottish Arts Council
For further information contact: The Managing Secretary, E.A.S.P.B., 1 Buccleuch Place, Edinburgh EH8 9LW. Tel. 031-467 5718.
COME TO AUDITIONS for ENGAGED! by W. S. GILBERT at the Bedlam Theatre Wednesday, December 8th, 2-5 pm Saturday, December 11th, 2-5 pm Sunday, December 12th, 2-5 pm No experience necessary. Performances in February.
TRAVERSE THEATRE FINAL WEEK! Fri Sun Dec 5 TRAVERSE FANFARE UMBRELLA Thurs Dec 4 at 7.30 pm MICHAEL CLARK & LAURIE BOOTH plus ANNE TERESA DE KEERSMAEKER plus Videodance programmes at 7pm (ie Sun) 8pm & 9pm daily Judson Dance Theater Exhibition
THE TRAVERSE FESTIVE FLING Sat Dec 18, 8 pm (10 very late) with good food, drinks, music, dancing and others! Full details from the Box Office 226 2633. Tra venue opens Wednesdays, Thursdays and Fridays only £4.00. Tra venue opens Sundays, closed Mondays.
**Thursday 2 December**
- **Kinks Playhouse**
Ray Davies, 'The Kink', 'Geriatic' Davies and the lads churn out their famous hits. The Kinks' drummer's mother went out with the drummer of this lot, so they must be a bit dodgy. But they're not that bad, less, so you never know. A revival?
- **Friday 3 December**
Pookiesnackenburger Pottery Gig of the week. Definitively the most interesting of all those long summer days in the Fringe, this is a great gig. They've been show twenty times in a row. It was up to 100 people last night. Get a few pints down and dance till you drop. Silly name, though.
- **Friday 3 December**
Bow Wow Wow Coaster
'Mammy' (Lizzy 'McLaren') is one-time protege's are in town with a new album. Lizzy wears extremely short skirts so get there early, ladies. The girls are close. Obvious - that they're brilliant musicians, but is that all? What about the clothes, the music, guys and gals. Don't kid yourself.
- **Saturday 4 December**
Cliff 'Holy Roller' Richard is here with his 'solid our souls for what we've got' show. He thinks he's Jesus and reckons he's going to come back from the light nine years ago - although he's not sure. If you're a fan of Barker would say about that. Probably needs balls, please." I think Cliff because he's a pirate and he never grows old.
- **Monday/Tuesday 6 December & 7 Edinburgh Quarters**
Dire is certainly the word. Not only is the band extremely close, obvious - that they're brilliant musicians, but is that all? What about the clothes, the music, guys and gals. Don't kid yourself.
- **Friday 3 December**
Calton Studios
Late bar £1.25. UB40 £1.75 others
- **Goombay Beat**
Reggae Club at the Bermuda triangle
Every Thursday and Saturday 9 Videos: Rockers and Woodstock
Late bar till 2.15 am
- **Queen's Hall**
Late night jazz 10 pm
Martin Taylor Trio and Carol Kidd
- **Queen's Hall**
Thursday 2 December 7.45
Edinburgh Quarters
The group continues its Beethoven quartet cycle with the first two quartets of Elgar and Haydn (Op. 33 No. 2).
- **Usher Hall**
Friday 3 December 8-10
Scottish National Orchestra
Two concerts on English music conducted Vernon Handley and guest Philip Ledger. First concert in Arthur Bliss's Piano Concerto, Elgar's Violin Concerto, Elgar's Brigg Fair and Elgar's not unfortunately forgotten Symphony no. 1. The symphony is the symphonic work of which he is such a distinguished interpreter, but the other two works are also well worth hearing.
- **Friday 2 December**
Teviot Row 7.30 pm
Film: 'Vicar' stars Roger Daltrey as the infamous convict. 60p entry. Repeated Sunday 6.45 pm
- **Thursday 2 December**
Chambers Street
Disco: playing golden oldies on request. Free.
- **Friday 3 December**
Poltergeist
Live band Pookiesnackenburger
75p entry
- **Friday 3 December**
Chambers Street
Roller Disco
- **Friday 3 December**
Pleasance
Folk night EU Folk Songs Soc
Happy Hour 8-9 pm.
- **Saturday 4 December**
Chambers Street
Big Dance Night
Live band to be announced.
- **Saturday 4 December**
Teviot Row
New late licence till midnight
Disco in Park Room
- **Sunday 5 December**
Teviot Row
Longman's Carvery All day licence. 'McVicar', Dave Allison playing in Teviot Bar. Happy Hour 8.45 pm
---
**Fruitmarket Gallery**
Stirling Street
New Sculpture in Britain
Monday-Saturday 10-5 pm
**Gallery of Modern Art**
Until 5 December
From Picasso to Chia
New Art Exhibition 7.30-82
Mon.-Sat. 10 am-dusk
Sun. 2-5 pm
**Fine Art Society**
12 Great Street King
On Forth and Clyde
Exhibition of work by Rowland Rovers
Mon.-Fri. 10 am-6 pm
Sat. 10 am-4 pm
**Open Eye Gallery**
75 Cumberland Street
Until 9 December
Terracotta Magicians by Ian Morton
Paintings by Rob Failing
Mon.-Fri. 10 am-8 pm
Sat. 10 am-4 pm
**City Art Centre**
2 Market Street
Until 1 December
The Eye of the Needle
Work by the new Scottish Embroidery Group
Mon.-Sat. 10 am-5 pm
---
**Glengyle Hotel**
Lalmington Terrace
Sunday 5 December
Zips For Lips — blue buzz band.
---
**Usher Hall**
Friday 4 December 7.30
Edinburgh Royal Union and Scottish Baroque Ensemble
Bach: Mass in B minor. In the last decade the Chamber Orchestra has risen out of the ashes, under Christopher Bell's direction, to produce singing of surprising clarity and precision, so don't be put off by the aspect of outdated forces. Good solosists too.
---
**Caird Hall**
Wednesday 9 December 7.45
Scottish Chamber Orchestra
Concerto Grosso by Vivaldi, Rousset's Sinfonietta and the world premiere of a Boléro à bojoloux! (can it stand without accompanying puppet show?) by Jean-Bernard Lefebvre. Piano Concerto No. 1 — Jean-Bernard Lefebvre and conductor Standby. £1.
**Odeon**
1. *Who Dares Wins*
1:40, 4:30, 7:35
Lee Marvin and Collins stars as an SAS tough-guy. Apparently this is the first film to show how the very secretive, commando group operates.
2. *An American Werewolf In London* and *Love At First Bite*
5:00, 8:00, 10:30
'An American Werewolf' is a horror-comedy based on the 1930's horror movies, and also of the modern 'werewolf' sub-genre. Opens in a pub called 'The Straightjacket Inn' with 'The Blue Moon', directed by John Landis, and 'Love At First Bite', starring George Hamilton.
3. *Bloodline*
2:10, 5:35, 9:00
Not a particularly good spin-off from the phenomenally successful 1968 Polish horror film, but a pretty routine horror stuff neither directed by Polanski nor starring Mia Farrow. Avoid.
---
**ABC**
1. *Private Lessons*
1:55, 4:40, 7:40
Heard much rubbishy about this one, which Sylvia Kristel, of 'Emmanuelle' fame, revives her career in. It's a story of a young man breaking the innocence of a 16 1/2 Momma Darest (1981) and getting his comeuppance. Joan Crawford in this film based on the book by the same name. Pure Hollywood sensationalism.
2. *19 and Arthur*
3:00, 6:00, 9:00
'19' is wearing thin with clothes and joke from B.D. Dene. 'Arthur' is something — if you want to see more of her, try to get hold of the other films in the series that were ordered to be cut (by US censors). 'Arthur' is a very funny film. 'Arthur' is much funnier with the added bonus of being Debbie a rich boy in the quest for true love. 'Blonde' can't act but sure can sing and dance. 'Blonde' is it.
Excellent performance by John Gielgud.
3. *Days One Summer*
6:00, 9:00
Full film starring Sean Connery, which makes the film hard to swallow. The film is set in a beautiful child scenery and Fred Zinnemann's camera.
---
**Filmhouse**
1. *Until Saturday 4 December*
*Moonlighting* 6:30, 8:30
*Sunset Boulevard* 8:30
Starring Jack Nicholson and Jeremy ('Brideshead' Irons, about four feet tall) as a private eye in December 1961 at the time of the Second World War in Germany, Poland, and the effects this action has on the characters involved. From Sunday 5 December
2. *Chariots Of Fire*
The total British Oscar winner of 1981 makes another appearance. It's a bit of a slow burner, but picks up during the rounds more often during the 'Falklands War' — just to keep the flag flying.
3. *Until Saturday 4 December*
*Richard Pryor Live In Concert*
Richard Pryor (Pryor), who is usually teamed with Gene Wilder, gives a concert in America. According to the programme notes, Pryor has ought to wash out his mouth with a bottle of 'Mead' (the proliferation of four-letter words in the film is a certificate).
---
**EU Film Soc**
Friday 3 December 19H
*The Rocky Horror Show* (1979)
About a debate in 1971 between master male chauvinist Norman Norell and feminist Susan Brown.
11:30 Momma Darest (1981)
A 16 year old girl (Sylvia Kristel) is raped by a gang of skinheads.
Sunday 5 December Playhouse
*Rock 'n Roll High School* (1979)
A rock 'n roll vet returns for the Ramones.
*The Union City* (1979)
Unseen city blues.
Monday 6 December 19H
*Blonde* 6:45 M 1931
A rich boy in the quest for true love. 'Blonde' can't act but sure can sing and dance. 'Blonde' is it.
Wednesday 8 December GST
*Fulfil* 6:45 M 1931
Brilliant Fritz Lang psychological thriller. A man (Ralph Stanley) and Peter Lorre, making his film debut as a serial killer, are disturbed children in Berlin.
8:40 *Peeping Tom* (1960)
Very disturbing and distressing film directed by Michael Powell about a demented photographer who murders his subjects and photographs of their reactions to death.
---
**Cannon Classic**
1. *Passion and Sexophobia*
1:30, 5:00, 8:25
Wonder if the bloody warmish germs in this film really had anything to do with Uptown's recent success? I'm sure students have much more important things to worry about (or lack of it) than this dive.
---
**Talbot Rice Art Centre**
Old College
Until 11 December:
Recent paintings by John McLean
Mon.-Sat. 10-4.5 pm
369 Gallery
369 West Terrace
Until 10 December:
New drawings by Brian McGeoch
Mon.-Sat. 12-4.30 pm
National Gallery
Until 10 December:
Samuel Palmer 1805-1881
Mon.-Sat. 10-5 pm
---
**Thursday 2 December**
22 Bucklewell Place 8.30 late
EU Friends of the Earth disco. Tickets 75p on door.
---
**Thursday 2 December**
22 Bucklewell Place
Anglican Students Society
presentation of Another Bread and Cheese Lunch tickets.
Repeat performance Tuesday December 7th.
---
**Thursday 2 December**
rm. 118 DHT 7 pm.
SWSD talk by Dave Sherry on The Socialist Party and its attitude to Socialism and/or China?
---
**Friday 3 December**
Chapel Room 6.30 pm
CU talk by Major Marshall
Aberdeen University on the 'Arab-Israeli Conflict'.
---
**Friday 3 December**
DHT Faculty Room North 1 pm
John Mulvey (leader of Lothian Socialist Action Group) will speak on Piton.
---
**Friday 3 December**
Brad Room Societies Centre, Pleasance 7.30 pm
Speaker plus video on the Falklands War, organised by the Communist Society.
---
**Friday 3 December**
Overseas Student Centre
24 Queen's Road 7.30 pm
Polish Society film and food evening. Everyone welcome.
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**Friday 3 December**
Drawing Room, Newbattle Abbey College, Dalkeith 7 pm
Talk on Edwin Muir by the principal of the college and author of EUSPB's latest publication, *A Catalogue Beyond Aesthetic and Academic*. Followed by ridiculous cheap drinks.
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**Wednesday 8 December**
Pleasance Bar 7.30 pm.
Similar to last week's event.
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**Wednesday 8 December**
Faculty Room 6.30 pm
Workshop for Research Students and Supervisors is being held for all research students and members of staff. Question time. Refreshments provided. Contact Postgrad Convener, Association Offices, Student Centre, Brae Street.
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**JIMMY WITHERSPOON**
Queen's Hall, Clerk St.
Friday, 9th December, 10 pm.
Tickets £2.00
Groggad's guitarist's own instrumental group.
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**MARTIN TAYLOR TRIO**
Queen's Hall, Clerk St.
Friday, 9th December, 11 pm.
Tickets £2.00
Groggad's guitarist's own instrumental group.
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**JAZZ PLATFORM**
CSY Room 23, George Square
Friday, 9th December, 10 pm.
A Medieval Disputation
Thesis: 'The authority of Rome and the authority to reach on faith and morals.'
— argued by Fr. Columba Ryan op.
— refuted by Fr. Martin Taylor op.
There will be a chance for discussion of the 20th century style afterwards.
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**Sunday 5 December**
Nicolson Square Methodist Church 8 pm
Metheos Dr Ian Howard on Islam.
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**Monday 6 December**
Teviot Row Debating Hall 8 pm-11 pm
EU Sailing Club Christmas Centrifugo Disco. Fancy dress optional. All welcome at club meetings or at door.
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**Wednesday 8 December**
Pleasance Bar 7.30 pm.
Similar to last week's event.
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**Wednesday 8 December**
Faculty Room 6.30 pm
Workshop for Research Students and Supervisors is being held for all research students and members of staff. Question time. Refreshments provided. Contact Postgrad Convener, Association Offices, Student Centre, Brae Street.
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**PLATFORM BRINGS YOU THE BEST THERE IS.**
Tasting Time
One normally associates wine tasting with more wealthy sections of the community than students. But for one pound, it was possible to have a really good sniff, gargle and gulp of a variety of good vino at a display and promotion exercise given by the Rioja Wine group last week. Ray Clancy indulged, and gives an informed report of the wines' merits and the tasters' opinions.
On Wednesday the 24th of November Rioja (pronounced 'Ri-oh-a') held its annual promotion in Edinburgh as part of their national promotion of wines. It was the only Scottish venue, so we can feel suitably privileged. Few people had heard of Rioja until this event.
Rioja wine is made in an upland valley called the Rioja Valley on the Ebro River in the mountains north of Bordeaux. It is Spain's most famous wine grape region and its best. The grape, the soil, the climate and the time of year that the grapes produce some of the world's finest wines. It has been around since 1102 and now there are more than 160 to 180 wineries. The wines range from light reds to robust reds and from dry to semi-sweet.
The main reason for the uniqueness of Rioja wines lies in the wine making process. Here in a subtropical atmosphere, the grapes give off a heady aroma of pressed grapes, the wines mature in oak barrels for at least two years before they reach their characteristic Rioja bouquet. The barrels must be oak to reach the distinctive velvety tongue of Rioja wines and are usually 250 litres in volume; larger casks do not give the wine sufficient contact with the wood. In some small cases, the wine is too much contact with the wood and becomes too woody.
Information Centre in London was responsible for this promotion and the Rioja group travelled throughout the UK including television appearances. This was the first time that Rioja had promoted their wines at universities. I asked Mr Blass, who was in charge of the promotion, he felt the student population needs to be made aware of the wines because they are the future leaders of their country and they will need to be educated about wine.
A question that was asked was the best way to approach wine education. At their previous events, Oxford and Cambridge among others, as well as Edinburgh, the reaction of the students was tremendous, which was very encouraging. "I would after all 'investing in the future of Rioja'. He felt they may have made a mistake in not promoting Rioja earlier, but he was not terribly concerned because it was too late to change things. It was unfortunate, that when people think of wine, they automatically look to France and Germany or even Italy, and forget about the rest of the world. His hopes that students will now regard Rioja wines as one of the better wines.
The promotion continues this week at London University. At Exeter University, the previous week, the students were being making things very difficult, and the whole affair turned into a rather chaotic situation.
What did the students think of it all? I asked Mr Blass, who was placed around Teviot Row Ball room with one bottle of Rioja and glass goblet (to keep) and ten tastes of wine, each of which was different. The students thought excellent value for money. The students were very impressed with success. Such phrases as 'should have more', 'excellent', and 'fantastic value', "Can we have another one tomorrow" echoed around the room. There was enthusiasm, and hum of satisfaction. One student said "I met one chap who took great delight in the fact that the wines didn't sell well in this country and that he was delighted that he could get much better wines through his 'contacts back home'". The Rioja group also organised for those who wanted to know more about Rioja to find out where to buy it. Those ladies and gentlemen who were approached were wine merchants and shipperies were only too delighted to tell them where to buy it. They said they enjoyed the promotion and that the students did. They liked talking to students and echoed for their sentiments that students are more discerning than ordinary people regarding wine, so should be educated about it. At Edinburgh University, Mr Blass told me that several people had said that they would like to learn more.
For the Rioja Wine Promotion was a great success. After a good night's sleep, I am not going to argue that it wasn't (the aforementioned chap having left). The Rioja group, with the same information goes, the creative marketers, achieved what they set out to do. Students came to place their treasured Rioja goblets gingerly into their bags, hoping to find a good deal. They then stagger down the Teviot stairs and fall into the rain. Come back Rioja, next time.
Classix ancians
Quintessence
Reid Hall
Mozer's wonderful Clarinet Quintet did not receive the performance it deserves. There were some pleasing moments, particularly in the lovely, lyrical slow movements, but the interaction between the players was quite rang true and caused their playing to lose its sparkle for most of the time. Milhaud's trio for piano, oboe and clarinet was a treat for the ear and the eye. The piano which punctuated the jazz-like rhythms and brought some life to the piece was very well played.
Level 42 Coasters
Prokofiev's Overture on Jewish Themes was the last item on the programme. The group sounded as if they have warmed up all day and gave a much more commanding performance than the one they typically wittily piece.
William Conway
William Conway Bedlam
It was obvious from the moment that William Conway drew the first notes of Bach's Toccata and Fugue that this was to be a performance of a calibre not often encountered at the University theatrepiece: and a vague feeling of unease amongst an audience unaccustomed to the free-flowing of classical music in their midst. The unease was soon to close invenience in the piece. Conway's playing was an impressive technical virtuosity but through his playing there was a strong own deep feeling for the music. The test of any talented musician is whether he can create something original out of the material given him by the composer's script, and with some minor exceptions he did so. The pace, William Conway laid it down with a certain authority, and when he finally stood up, it was to be left hesitantly smiling for a full minute before he could bring himself to make the adjustment down to the floor. The audience should applaud one of the most successful performances I have heard Bedlam has yet launched.
Katherine Need
The 369 Gallery Brian McGeoch 'Hearts and Mind' Until December 10
Allegory, parody, caricature, satire, and irony are all employed against the power of the mass media with a certain delicate and intimate mood of etching. Brian McGeoch is a Glaswegian artist who has exhibited extensively throughout Britain and abroad. Here at the 369 Gallery we catch the art of McGeoch in his other cynical mood. McGeoch illustrates how the mass media has on people tells us many things about ourselves. He has a great deal more. His series of 26 etchings brings to light how cable TV, Channel 4, Student at, deeply affects our hearts and minds and minds. A good deal of the exhibition at least is similar in tone to Bradbury's "Fahrenheit 451". In "Some Light on the Subject" we see a man (presumably a man idling television, sets) high on a pole, and in "The Light of Ignoring the True Light of Day" "humanity is lost in the thoughts of ourselves - we are perfect, even godlike in our own eyes." In "The Man Who Listens to TV", "Sony Boy is a Greek god, device of the gods, the god of "Walkman". His melody sings sweetly, but he is a lonely god and lives in his lonely, headphoned world.
We see the media as monolithic, infallible. Mr McGeoch is telling us differently. He is telling us to look for it - after all this is Student.
Giles Sutherland
Jazz Funk
Charlie McNair Band/Tommy Smith Quintet Queen's Hall
The Charlie McNair Band on a Friday's a really good scene. You sit at the small tables, take a drink, eat some food and relax. Tonight was no different: close-up music, good food, good drinks.
And it was nice to see guys not taking themselves too seriously. They were calm and obviously enjoying themselves. I first spotted the Tommy Smith Quintet featuring the young old leader on saxophone. They played some good tunes, including the likes of Sky Train and Autumn in New York. The evening was memorable.
The Charlie McNair Band, leader of the seven-piece band that followed, was a veteran of the scene. He was relaxed, knew how to give us a good time. Like the rest of the band, he played trumpet, clarinet, banjo, electric bass and drums. He was good and pretty effective. Stirring dinky little numbers, he had the whole of the soundtrack to a Buster Keaton or a Harold Lloyd movie - and that's about right. It was fun and enjoyable it was. Charlie himself was a good guy, too. Laugh showing his pannier, singing his heart out. And the rest of the guys on the stage there was plenty for me to do. The half of 'em got to smoke a 'n' it was a toe-tapping evening alright. I was in my element, a happy place if I had to be you spotted the Charlie McNair Band.
Finally found somebody who could tell me why Due Me made me feel true love.
(sung in a bobby sherrill Acker Bilk type voice)
This was the ultimate 4 am music - a single-line dingo along the street. "I shoulda made this place a bit more often," said the gal behind me - ah hell - I reckon so.
Zap
New Competition Time (Again)
There's a decent bottle of wine going for the guy or gal who can answer these questions:
- How many heads can you see in the Arts pages of 18/X/82 (P.S. very difficult!)
- In a two words - what do you reckon of the Arts Pages?
- Just drop your answers in at Student Union (Just behind George Square). Any old bit of paper will do. Postage obviously not necessary. Answers will be published.
Don't suppose you'll have room for this, but thought it'd put it in anyway.
Charlie McNair Band/Tommy Smith Quintet
Queen's Hall
The instrumental bits showed that they played great funk occasionally, they sounded like they were having a good time. Lasting value in the way they're capable of putting together a really easy way out, straight funk baby, easy listening baby.
If you had the energy and the cotton wool ear muffs, then you'd have found it a bit rough. Keep a look out for this band, they're a new band, and look like getting better every time. One of the best jazz-funk bands in town
Verdun Clarke
Student Concession (£1.50)
(remember to bring your student card!)
CINEMA 1
Thu 2 — Fri 3 at 8.30-30 Sat 4 at 4.30-6.30
Jeremy Irons in MOONLIGHTING (AA)
Sat 4-30 Special Preview
Glenda Jackson, Julie Christie, Ann-Margaret and Alan Bates in THE RETURN OF THE SOLDIER (AA)
Thurs 9-11, 12.00-2.00 (Also 3.00 Wed 8)
CHARIOTS OF FIRE (A)
CINEMA 2
Thur 2-3.30 Fri 3.30-30 Sat 4
RICHARD PRYOR LIVE IN CONCERT (X)
plus the Marx Brothers in MONKEY BUSINESS (U)
Mon 6, 11.5-15.30 Soviet Cinema
THE CARRIAGES ARE FLYING (A)
Wed 8, 4.30-7.30 Soviet Cinema
UNCLE VANTA (A)
Wed 9, 4.30-7.30 Soviet Cinema
SOLARIS (A)
COMING SOON!
Rod Steiger in THE CHOSEN/3D thriller in THE BUBBLE/WAR OF THE WORLDS/HAMMETT/36 CHOWRINGHIE LANE/ THE LOVELESS/ THE ATOMIC CAFE
It's My Party
Duncan McLean (everyone's favourite reviewer) gets invited to a party.
This wasn't like any birthday party I've ever been to. Instead of cake and presents, there was gobbling and Jack Daniels (one tall glass for me, one for my throaty Nick Cave). Instead of pin-up girls and disco music, there was an audience of crazed rockers, punkers, and heavy metal fanatics. And instead of poppy whining softly into the baccy, there was an intense mixture of heavy-knuckledly and writhing pop music, all of which was our ear drums. And then there was the singing. The singer was in black with hair like a lightning-bolt, and he was cavorting on the floor, dragging over cymbals and drums in a fantastic fit of passion, all the time screaming and screeching into his microphone. He was the greatest of the top-rock singer you've ever seen. The whole thing was orchestrated chaos but fronted by this incredible singer. It was a mix of erotic politician and psychotic bible-black-magic-thunderbolt. If you've heard records at all, you'll have a good idea what I'm talking about. But only it was many times more intense, and the band hadn't made their acquaintance yet, here's a brief: The guitar is by turns shredding and scrabbling played by a mutant lizard-human with transparent skin and bushbaby eyes; the butch bass is played by a man in a suit. The drums are heart thumping and head spinning, with a swirling brew of rhythms and riffs. And the lyrics are torn from the pages of a book of poetry, with claws of some rabid demon or rock god.
Despite their obvious originality and power, sadly, the Birthday Party will never achieve any great commercial success you will never hear them. The reason for this is that they are blessed with clarity and name is unsettling to find a place in your life. It will be a long battle around your mind long enough for you to file away in a musty corner of your brain. "Music Purely Entertainment". And if a song is not entertaining, exciting and exciting, cannot be made safe like this, then you are too scared to appreciate them.
Non-Fizzy Pop
To Edwyn with love. Caroline Binnie writes a letter.
Dear Edwyn,
In different eras, with different icons and lower expectations, you might have been content with penning a Postcard, or the back of a tacky picture of St. Paul's Cathedral. You would have been content to fill all my hopes here and hear the words "I'm sorry, I pity you attained a modicum of what we now call 'success' with inverted commas, "success". Let's close the inverted commas and end the sentence with the punctuation.
So you're a big boy now, moving up a league, benevolent patronage of your own, and a chivalrous Strawberry Switchblade as support for the supposed "success" - so what? Why bother with the pretence of the root of your problems, the same old blue jeans-skirts and polka dots, sugar and milk, bastardised versions of Sunday school, and the same old weakness. And, in this case, the weakness love was painfully and ironically wrong.
Do you love me, Edwyn, 'cos you're a big boy now? Don't blame me. Wanna know my secrets? Wanna know why? Don't bother, I'm not going to tell you. It won't take long.
I'm not going to tell you everyone's favourite hoary old cliches, and Laughter and Simply Thirsty Honey. Me, I'm simply revolted. Have you no respect for these fragile screws of your youth... and my youth? Have you no dignity left, that you need to "go out there and exposed, solting this and that, and that ineffable repulsion"? Or is it just that you've suddenly realised that you haven't really respected me, and you confess, "that's just what YOU don't do". Instead, you've chosen to degenerate into an ingrown, high-maintenance parody of your original self, no longer caring for you, no indictment of you from the outside, no respect for anything else.
But, Edwyn, it's just that you once wrote sweet music for me, and I still play it, and listen to. Now YOUR facade has slipped and you have no furtile like a woman scorned.
Yours, in lost love and empathy,
Caroline Binnie.
P.S. I didn't enjoy the gig!
A Religion?
Colin McCubbin delivers a sermon.
Those arriving at Chameleon on Saturday night were greeted by a hundred or so hopped zombies wandering around in kilties and slapping each other's foreheads. We were in for a pleasant surprise. Although the band have been labelled as spear-heading the psychobilly revival (a claim that they totally refute), in their own words they play "melodic rock'n'roll". With many influences, they cite the Byrds, the Beatles, the Ramones and U2. It was this unique blend of sounds that has kept them in the limelight for the last few decades which made Saturday nights go by so quickly. It was fascinating and enjoyable to be stoned at Chameleon Street for years.
The band's origins date back to 1980 when Peter Koppes struck up the band and guided the band's best known effort and latest single, "The Last Monday". This song is so derivative and influenced and yet so perfect it is a wonder that they have bothered to write it before.
On to the gig itself and one witnessed the incredible sight of people crowding the stage half an hour before the band came on. Obviously, the band has gained status in this country, mainly due to the fact that they are so slick, spring. Then the moment the punters had been waiting for hit as the lights went down and the lipstick trickled out onto the PA white the band trooped onto the stage. From the first distinctive chord of "The Last Monday" a Rickenbacker one could sense that this was going to be a good set.
The band launched into Just for Fun, a song from the album Australia, which features one of the greatest guitar solos of all time, "Smile (Come Up And See Me)". The band varied the set with a mixture of their two best albums and new songs such as "The Last Monday" and "Just for Fun".
The new songs in particular were a revelation. Steve's powerful voice which cut through the sound was backed with a Weller-esque type arrangement.
Considering how big they are in America, it was a shame that they show live and on video they are not as good as they are thought throughout this country. After all only to months ago The Church hit the headlines in Britain during the dreadful Talk Talk. Maybe Steve and Co. could get an ear transplant?
Ford Corinta last week. They're to be congratulated for bringing the rock soul can pay for the fire — but a parking fine's eleven quid nowadays. The band's music sells more than their last one, not only because of the lack of oral sex. Soames informs me that the band's lead guitarist, a bright red vocalists, has taken to smoking a pipe and dressing up as Casey Jones. The band's next tour finds them called Mornington Ride. I'll be there, and I'll be there (it about this time, and lasses and lads, and Chameleons on Saturday night and thought they were going to be there. It was that. Horrible Sexy Vampire on show at the Potterrow on Wednesday night. Don't you love it all Bye for now.
Next week it's the Dance Floor Top Ten, a compilation of the best records, most of which you've never heard of...
1. Butcher Gals 12" — Malcolm McLaren.
2. Wham! Rap 12" — Wham!
3. Eel Pie Theatre of Hate — Eel Pie Theatre of Hate.
4. Where the Heart Is 12" — The Cure.
5. Go To Bed 12" — The Cure.
6. For You 12" (ing) — Paul Haig.
7. Modern Fly — Circus.
8. Let Me In — Heaven 17.
9. Man in A Uniform — Gang of 4.
10. The Ballad — Jam.
Once more, kindly compiled by Nick of Ripping Records.
Sports Union Ball
MESSAGE FROM THE SPORTS UNION:
Tickets for the ball on sale for the Annual Sports Union Ball, to be held for the first time in the Caledonian Hotel (Queens Street), on 27th January 1983. For £22 (deuxieme) you will enjoy an excellent evening’s entertainment with a buffet supper, live band, Scottish country and disco dancing, and a jazz band all in the sumptuous surroundings of the recently redecorated Caledonian Hotel. To add to the festive atmosphere, dinner is available at 6pm or 10.30pm, and the hotel bar will be open until 3am when breakfast will be available for an additional £5. The ball promises to be a marvellous high-class event, and should give great satisfaction for everyone. Tickets are available from Union shops, the Sports Union office (104 Pleasance) and sports club secretaries.
Can you think of a finer or more original way to present, buy your ticket now!
Losing touch
Women's Hockey Club
Last Wednesday saw Edinburgh University women's hockey team win their unbeaten-for-four-years Wednesday afternoon record to Aberdeen (at Aberdeen).
The first half saw competitive play from both teams with attack, with the usual sparkling support from the back line. E. Maken narrowly failed to score shortly after the break but the (cold) Reeboks kept well to the side; her penalty corner shot was saved off the post. The game at halftime was 0-0.
The second half saw Edinburgh mount countless attacks (E. M.'s 10 shots on goal were only two dozen) and the final quarter saw the ball seldom cleared from the Reebok goal. This performance was broken only by the Aberdeen goalkeeper who scored three times. This was not a good day for Edinburgh - they were favourites for the match.
This Wednesday sees the return of the women's team to Pelfermill with eight XI members representing Edinburgh. The team will be playing in Saturday's rearranged (home) National League fixture with Hillhead.
Plea for fair play
Intra-Mural Football
In your article 'An Apology in your name' (The Student, 24th November) concerning the misconduct of the ACBK football team I would like to comment on the match which took place on 18 November against Edinburgh Agric Alistairs.
I found this article both shocking and disappointing. I am the Captain of ACBK Football and I have nothing but contempt for this standards item! The facts are that we lost today's match and I would now like to take this opportunity of refuting the comments made in the article.
1. The pitch was slightly muddy and the weather cold but these were not as bad as suggested.
2. The score was 3-1 at half-time and 5-1 at the end of the match.
3. In the second half ACBK found themselves 5-1 down and started to make more effort - this involving 50-50 balls - hard but fair!
4. I saw only one slight cut on an Agric at the end of the game - a cut which had recently been stitched and reopened in a clash of heads whilst going for a loose ball.
5. The goalkeeper who is known to be a very good player could lose an eye during the match without any blame being given.
6. The goalkeeper did receive a knock and had to go to the changing room for one of his own players.
7. No goal was scored not as the whistle went, but with two minutes remaining in the game.
I feel it most regrettable that the person who wrote the previous article for the Student has so obviously lost the sporting attitude which is essential to make sport enjoyable. His action can only be described as unprofessional and unporting and has without doubt damaged the good relationship between the two teams.
To ask for an apology would be an insult to the team and the writer of the previous article is obviously not an exception.
Richard Bourne
Capt ACBK Football Team
People going places GO SCOTTISH
Eastern Scottish coaches provide regular links from Edinburgh direct to: Aberdeen, Birmingham, Hull, Inverness, Leeds, Liverpool, Manchester, Nottingham, Middlesbrough, Newcastle, Sheffield, Sunderland and York—and that's just a selection. Then there are the regular day and night services to London, Lomond, and the fast (75 minutes) service to Glasgow.
GO SCOTTISH
St Andrew Square Bus Station, Edinburgh
Telephone Express Services 031-556 8464
Private hire 031-556 7040
|
Nordic Council, 1962 (NORD)
MUNUC 34
# TABLE OF CONTENTS
CHAIR LETTER ........................................................................................................... 3
CRISIS DIRECTOR LETTERS .................................................................................. 5
COMMITTEE STRUCTURE & MECHANICS .......................................................... 8
TOPIC: NORDIC COUNCIL ..................................................................................... 12
- History of the Problem ......................................................................................... 12
- Statement of the Problem .................................................................................... 31
- Character Biographies .......................................................................................... 47
- Glossary ............................................................................................................... 62
- Bibliography ......................................................................................................... 63
Delegates,
It is my absolute pleasure to welcome you to MUNUC 34! My name is Dannerys Peralta and I will be serving as your Chair in the Nordic Council, 1962! I am a second year student at The University of Chicago from New York City (New York pizza>>> Chicago deep dish) majoring in Global Studies and Linguistics with a minor in Human Rights. I am interested in all things international relations as well as the way language plays a role in the way people interpret law and communicate.
With that being said, I think it would be helpful to tell you a little bit more about myself and my MUN experience. Before coming to college I had never participated in Model UN (and now I’m in all the MUN organizations in college, but we’ll get to that later). The closest thing to Model UN in my high school was a club named UN Connection Club (which was nothing like Model UN). It was through this club that I learned about “The United Nations” and how it works. Ever since then, I have been interested in learning more. It wasn’t until I was applying to college that I learned about Model UN (yes, I’m embarrassed to admit that considering you all are highschoolers and already know what Model UN is) and how as a club it worked. I knew that I wanted to be involved with it in college, and hence my involvement in MUNUC, ChoMUN (the conference for other universities), and Team (the competitive Model UN team at UChicago). I think that if there were more Model UN organizations I would join them too!
Although MUN is a pretty big part of my life, it’s not the only thing (probably best for my sanity). On campus, I’m involved in Students in International Relations Club, Seeds of Justice, Leaders of Colors, and I am a Fellows Ambassador for the Institute of Politics at UChicago. In my free time, I like to explore Chicago with my friends by eating at new restaurants and traveling randomly on the train; at the end of each quarter my friends and I get on the train and get off at a random station with no plans and just walk and explore (what better way to see something new)! Another big part of my life is nutrition and wellness. I like to run, swim, and really do any outdoor activity. I’m also vegetarian, so if you have any vegetarian/vegan restaurants that you would recommend in Chicago please let me know!
Now that you all know a little bit more about myself, I am beyond excited to get to know you all throughout the weekend at MUNUC 34! I am super excited to welcome you all to the amazing Nordic Council Committee and introduce you all to the MUNuniverse! Scandinavian countries are an interest of mine and prior to this committee all I really knew was Norse Mythology and the Vikings Show (which I would highly recommend). Don’t worry if you’re not too familiar with how MUN works; Kevin (the Crisis Director) and I are here to answer any questions you might have, and we are really excited to explore all the different aspects of what this committee offers!
If you have any questions, concerns, or restaurant recommendations, please don’t hesitate to reach out to me at firstname.lastname@example.org. I can’t wait to see you all in person at MUNUC 34!
Best,
Dannerys Peralta
Dear Delegates,
It is my honour to welcome you to Scandinavia! My name is Kevin Yao, and I will be serving as your Crisis Director for the Nordic Council Committee! I am from Vancouver, Canada (thus explaining all the extra u’s in words throughout this background guide) and am a second year at the University of Chicago majoring in Chemistry, Molecular Engineering, and Philosophy. Besides MUNUC I am also involved with ChoMUN, the Model UN conference for undergraduates hosted at UChicago, sporadically perform in the various performance and theater groups around the college, and trawl through early modern European history (better known as the age of the horsey boys).
As a high school student, I ran and competed in Model UN events myself, and always enjoyed the experience. Besides the public speaking and critical thinking skills, the community that forms around Model UN is truly incredible. The days of the conference may be intense, but I found that it was often during those moments that bonds are formed. I hope that by the end of everything, you will leave the committee having met a group of amazing individuals just like yourself.
This period is an extremely exciting one, as I hope you will agree, and will offer a wide range of freedom for creative responses towards the issues you will need to face - or create! I hope as Crisis Director to facilitate that freedom and provide interesting challenges. As fitting for a rather tense but peaceful (at least at the start of committee) period in Europe, we want to encourage engaged debate and plenty of backroom intrigue! I urge you to explore the history and context, but don’t feel constrained by this framework. We welcome experimentation and believe that mistakes should never be a deterrent to trying new things.
With that said, Dannerys and I believe strongly in creating a safe, inclusive environment for all of that creativity to grow, and thus we require that sensitive issues, when brought up, are treated with both maturity and consideration. If at any time historical accuracy conflicts with what is appropriate, never feel that you need or should go along with it. Such things happen, but they should not be an
excuse nor a reason to put you in an uncomfortable spot! If you ever have any questions about what conduct is or is not appropriate, please send us an e-mail at email@example.com.
All in all, I hope you are as excited as we are to join us in Scandinavia for MUNUC 34, and that you will enjoy your time on this committee. I look forward to meeting you all!
Kindest regards,
Kevin Yao
Dear Delegates,
The intent of the committee is first and foremost educational. We aim to provide a safe environment for delegates to explore an interesting topic of history and to practice their public speaking skills. As such, anything that may damage such an environment will not be tolerated at all. We strongly urge delegates to be always mindful of their behavior, ensuring that they do not make other delegates uncomfortable or violate the general etiquette of the committee. Even as we simulate a committee situated in the past, delegates should remember that they are still themselves, and should follow the standards expected by our modern society. Sensitive topics should only be discussed with the greatest of respect and sincerity for the purpose of pedagogical development.
We trust that delegates will be respectful of this and will be able to enjoy fruitful discussions that help them explore the topic at hand. If at any time delegates feel unsure whether something is acceptable or not, or feel uncomfortable themselves, we strongly urge them to reach out to us in order to help resolve the issue.
Best,
Dannerys and Kevin
General Assembly (GA)
The Nordic Council is a Regional Body committee because it specializes in one region of the world, that being Scandinavia for our committee. However, don’t focus too much on the fact that it is a Regional Body; it is more important to know that our committee will use both GA and Crisis elements throughout the weekend of conference. What this entails is that the first sessions of the committee will be General Assembly (GA) sessions, during which a Final Resolution will be passed. The rest of the committee will then flow based on that resolution. The GA sessions are extremely important because they will establish the decisions and powers of the committee. To help you get a better picture of how this committee comes together, we have included terms and mechanisms that you should be familiar with before the start of the conference.
Clause Writing is a term used in Model UN to describe the process of writing the things that make up a Directive. Clauses are statements that declare actions to be taken by the body, accompanied by bullet points that essentially answer the questions: Who? What? When? Where? and How? Successful clauses include information that answers these questions. Clause writing is going to be essential for the GA portion of the conference, as clauses will make up the Final Resolution. You will want your clauses to be included in the Final Resolution document because that will ensure that your ideas and solutions have an impact on the rest of the committee. A final resolution comes about after a merger, a process in which clauses from various working papers are combined into one document that is called the Final Resolution.
A merger occurs when the Chair decides that only one document will exist at the end of committee. In order to have a successful merger, delegates need to have complete clauses that are unique to their characters to ensure that their clauses are kept in the final document and that the things that they contribute in the frontroom are included for the rest of the committee. Because of the nature of the Nordic Council, delegates will want their clauses and ideas to be in the Final Resolution, as the trajectory of committee will depend largely on the contents of that document.
The Final Resolution, in accordance with the language used before, includes the conditions of the treaty that the Nordic Council (this is all of you) agree on. The rest of the Committee will flow based on the agreement of the Final Resolution. It should be noted that even if these things may sound complicated and nerve wracking, you should not fret; all of these components will come to you once you get into your character. It is important also to remember that while you are representing a historical figure, you don’t have to stick to what actually happened in history, and in fact you are encouraged not to do so. All that we ask is that you consider the nationality and role of your character and act accordingly, as the position that you are representing is important to the committee. Finally, MUN is a fun activity and you should let your creative juices flow. Have fun with it!
The last of the useful vocabulary for the GA session of committee are the terms Presentation and Q&A. The purpose of the Presentation and Q&A is to facilitate discourse on the pros and cons of the draft resolutions. It is here that one asks questions on content that is debatable or speaks on the weaknesses of that proposed resolution. Ultimately, you want to point out the flaws of the draft resolution in a respectful and constructive way.
**Transition**
As mentioned before, the Nordic Council is a committee with both GA and Crisis components. As a result, there will be a transition between the GA session and the continuous Crisis sessions. This transition will take place after the treaty is completed and agreed upon by all of you. The results of the GA sessions are contingent on the success, details, and contents of the treaty signed. As mentioned before, the GA components are extremely important in determining how the rest of the committee will flow.
**Crisis section**
Committee will proceed through the remainder of the conference as a continuous crisis committee. When the committee is in session, delegates will focus on two main aspects: the frontroom and backroom.
In frontroom, delegates will continue to be ministers of the Nordic Council and follow all procedures of parliamentary debate. However, whereas delegates had a predefined goal for the GA sessions, during continuous crisis delegates will have to work together to draft, debate and vote on directives intended to address a variety of issues that they will not know beforehand.
These issues will be presented to the committee in real time as crisis breaks, which represent news regarding the status of the committee and the greater world. These crisis breaks will greatly depend on the choices made by the committee as well as individual delegates (in the form of backroom). For example, a poor response by the committee towards a famine in one crisis break may lead to the next crisis being a protest by farmers.
Directives should focus on the topic at hand, and will usually only address topics relevant to past crisis breaks. Multiple directives can be submitted and passed for any single crisis break, although each directive will require a certain number of signatories, a quantity which will be based on the size of the committee, in order for it to go to a vote. Thus, delegates will need to work together in groups and merge ideas for directives.
Alongside frontroom debate, delegates will also be able to manage their backroom, which represents the actions taken by their character outside of authority of the committee. Backroom will primarily take the form of writing private notes, which are relatively short letters addressed to people outside of the committee. They compel the recipient to take some particular action, such as asking a brother to start a bakery, a friend in the army to recruit defectors, or a newspaper company to print propaganda. These notes will be accepted at regular intervals throughout the committee by committee staff, receive responses, and then returned, informing delegates of the outcome of their actions and how they can move forward. You can learn more about notewriting and continuous crisis by consulting the training materials on the MUNUC website.
During this committee, a two-notepad system will be used, through which delegates will first write on one notepad, give the notepad to committee staff for a reply, and write on their second notepad while they wait for a response. This system will give delegates a chance to always be working on their backroom, and offers plenty of opportunities for strategy! That strategy can include writing to multiple people simultaneously to maximize time and resources.
In writing notes, delegates should aim to build up resources, such that they will eventually be able to produce outcomes that are able to affect the committee. When that happens, delegates may then be able to create a narrative that becomes a crisis break. In general, delegates should aim to generate interesting and important events with their backroom during committee, and should feel free to be creative. Remember that well-written and detailed notes are more likely to succeed, and delegates who respond well to the outcome of their past notes will be better positioned to impact the frontroom.
In addition to notes, which are written by individual delegates, two or more delegates may sometimes choose to work together to write a Joint Personal Directive, or JPD. In effect, JPDs allow delegates to pool together resources to achieve mutual goals. Often, actions that singular delegates find difficult achieving can become possible with a JPD. JPDs should be written as a normal note, but they should be passed between cooperating delegates and indicate all people involved with the note.
**Delegate and country delegations**
Delegates in this committee will be representing individuals within the Nordic Council. Moreover, due to the nature of the Nordic Council as an intergovernmental organisation, delegates will each be from one of the nations and territories represented within the Council. Whilst delegates are not required to adhere strictly to their character’s beliefs and ideologies, they should nevertheless keep them in mind, especially during the GA portion of committee and in their backroom arcs. Additionally, delegates from the same country do not need to work together always (and may not always wish to), but are also free to use shared nationality as a basis for cooperation.
The nations that compose the Nordic Council cover a large region from North America to the Arctic to Northern Europe, centered around the Scandinavian area. With such a large geographical distribution, there is inevitably a multitude of narratives that can be told as to how the region became the nations, territories and peoples that comprise the region. That said, however, this brief overview will focus primarily on the Scandinavian area, in what is now Denmark, Norway and Sweden (sometimes more broadly defined to include Finland and Iceland as well), the countries in which a majority of the more than 20 million people of the Nordic Council nations reside.\(^1\) To its Southwest is the Baltic Sea, which connects it with the Baltic Coast and Northern Germany, to its North are the White and Arctic Seas, and to its West is the North Sea as well as the greater Atlantic Ocean.
The history of Scandinavia is one of close interaction within the region as well as with Europe as a whole. While this overview is not intended to be comprehensive, it should offer a general explanation for the historical developments and events that shaped the region up to the time of committee.
**Early History**
**Prehistory to the Viking Age**
Early settlement into Scandinavia was initially slow and seasonal due to glacial remains and cold weather, but by the late Stone Age it had been settled by humans. Although it maintained a low population over the next millenniums, the area slowly developed trading ties with European and
\(^1\) “Population of Scandinavia,” Tacitus.nu, Accessed August 15, 2021, [http://tacitus.nu/historical-atlas/population/scandinavia.htm](http://tacitus.nu/historical-atlas/population/scandinavia.htm).
Middle Eastern civilisations during the Bronze Age.\textsuperscript{2} Meanwhile, continual waves of settlement by diverse people led to a variety of different cultures inhabiting the area, such as the Sami, a group indigenous to northern Scandinavia, even into the modern era.\textsuperscript{3} Of the different cultures that formed in Scandinavia, the collection of tribes termed to be Germanic would spread from the region, moving into central Europe and later into parts of the Roman Empire.
The transition of the region from independent tribes and fiefdoms into the more centralized kingdoms of the Middle Ages, however, would only begin during the period known as the Viking Age. During this period, Scandinavians explored, colonised, and traded with much of Europe, going as far west as modern-day Newfoundland in North America and as far East as Constantinople of the Byzantine Empire in modern-day Turkey.\textsuperscript{4} Indeed, it was during this time that island territories such as Iceland and Faroe Islands began to be populated by Scandinavian people. The Scandinavian expansion changed much of Europe, helping to shape the population of the British Isles as well as Russia. This period was also a boom for Scandinavian culture, during which great sagas of heroes were written, the Norse mythology became roughly what it is today, and the Runic language was reproduced on artifacts all over Europe.\textsuperscript{5} Meanwhile, many great Kingdoms were formed during a political period which saw a brief unification of Norway, settlement of Normandy, and even the formation of a North Sea Empire that united England, Denmark and Norway.
With such expansion, the Scandinavian people inevitably came into contact with Christianity, and through varying degrees of resistance, Christianity came to be adopted in all three Kingdoms (Norway, Denmark and Sweden) by the 1200s.\textsuperscript{6} The Christianization of Scanadinavia critically occurred first in the upper ruling classes instead of being adopted first by the general populace as in other areas; thus, the region became the northernmost border of Christian civilization. As a result, the social change that typically followed Christianization happened slowly, especially for minority
\textsuperscript{2} “Bronze Age Scandinavia’s trading networks for copper: Crossing the North Sea before crossing the Alps!,” ScienceDaily, Aarhus University, Accessed August 14, 2021, www.sciencedaily.com/releases/2021/06/21061715530.htm.
\textsuperscript{3} “The Sami,” Northern Norway, January 12, 2021, https://nordnorge.com/en/tema/the-sami-are-the-indigenous-people-of-the-north/.
\textsuperscript{4} Hayden Chakra, “The Early History of Scandinavia - Origins, Vikings and More…,” About History, March 16, 2021, https://about-history.com/the-early-history-of-scandinavia-origins-vikings-and-more/#:--:text=The%20Early%20History%20of%20Scandinavia%20-%20Origins%2C%20Vikings,and%2oreligion.%20.%20%20Conversion%2oto%20Christianity.%20.
\textsuperscript{5} “Ibid.”
\textsuperscript{6} Stefan Keßner, “The Christianization of Scandinavia,” Academia, n.d.
groups and in rural areas, with the new religion often becoming intertwined with local beliefs. Nevertheless, the intermingling of beliefs and introduction of the Scandinavian Kingdoms into Christian European politics led to a slow decline of viking raids, marking the end of the Viking Age for Scandinavia.\footnote{“Kalmar Union,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/place/Kalmar-Union.}
\textit{The Kalmar Union}
The Kalmar Union of 1397 was one of the earliest attempts to unify the Scandinavian region into a single political entity.\footnote{Andrew McKay, “Scandinavia’s Kalmar Union,” Life in Norway, May 24, 2021, https://www.lifeinnorway.net/kalmar-union/.} As a personal union - where multiple Kingdoms come to be ruled by a shared monarch - between the three Kingdoms of Norway, Denmark, and Sweden (which included the territory of East Sweden, now modern-day Finland), the Kalmar Union was not a centralised nation state. Rather, each Kingdom remained largely independent, and any attempt to centralize the Kingdoms into a single, truly unified Kingdom was thwarted by the local nobility.\footnote{“Kalmar Union,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/place/Kalmar-Union.}
The Kalmar Union would break apart and reform again repeatedly over the next century, as various monarchs either gained or lost the support of the nobility. Eventually, however, Swedish dissatisfaction towards increasing Danish dominance over the union led to armed conflict, during which the Swedish nobility elected their own new monarch, Gustav Vasa.\footnote{“Kalmar Union,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/place/Kalmar-Union.} With Swedish military victory, the Kalmar Union was effectively dissolved, although the personal union between Norway and Denmark continued to hold, as a new Denmark-Norway Union took the place of the Kalmar Union.
However, the direct legacy of the Kalmar Union should not be overstated. While the unification of the three Kingdoms was an impressive feat, no true sense of Nordic identity was fostered. To those that supported the union, the aim was primarily economic, with each kingdom intending only to use the union to strengthen its own position against other kingdoms. Furthermore, the personal union had little effect on the common peasantry, to whom life under the Kalmar Union was no different.
than life under a separate kingdom. Yet the Kalmar Union, as a union of Scandinavian nations, grew into a symbol with the advent of modern ideas of nationalism and pan-national identity.\textsuperscript{12} Some see the Kalmar Union as evidence for the inability of the Scandinavian nations to ever be united as one nation, whilst others see it as a historical symbol for a modern Scandinavian union.
\textit{The Reformation and the Thirty Years’ War}
Following the Christianization of Scandinavia, the papacy of The Catholic Church grew over the Middle Ages to become a centralised authority for much of the Christian world. Growing corruption within the Catholic church, theological disputes, and a variety of other issues led to the beginnings of the Protestant Reformation in Europe.\textsuperscript{13} The details of the Reformation itself are much too numerous and complex to discuss here, but critically one branch of Protestantism, Lutheranism, quickly became dominant in both kingdoms (Sweden, which held Finland, and Denmark-Norway), displacing the Catholic church.\textsuperscript{14} In Sweden, Gustav Vasa, the same king elected by Swedish nobles following the secession of Sweden from the Kalmar Union, spearheaded the change to Lutheranism, having converted during his time in northern Germany before becoming king.\textsuperscript{15} Meanwhile, in Denmark, Lutheranism grew to become popular amongst the population, causing the initial Catholic monarchy to gradually split from the Pope in Rome.\textsuperscript{16} With the adoption of Lutheranism, the kingdoms seized church property to form a national church, concentrating religious authority under the monarch rather than the Pope. This shift in religion would be the last major religious transition for the Scandinavian region. Although other movements and branches of Christianity would form over the coming years, Scandinavia would remain predominantly Lutheran up to the 1960s.
\textsuperscript{12} Andrew McKay, “Scandinavia’s Kalmar Union,” Life in Norway, May 24, 2021, https://www.lifeinnorway.net/kalmar-union/.
\textsuperscript{13} “The Reformation in Scandinavia,” The Reformation, Accessed August 15, 2021, https://www.thereformation.info/scandinavia/.
\textsuperscript{14} Martin Schwarz Lausten. “The Early Reformation in Denmark and Norway 1520–1559,” in \textit{The Scandinavian Reformation: From Evangelical Movement to Institutionalisation of Reform}, ed. Ole Peter Grell (Cambridge: Cambridge University Press, 1994), 12–41. doi:10.1017/CBO9780511758690.004.
\textsuperscript{15} Ingun Montgomery, “The Institutionalisation of Lutheranism in Sweden and Finland,” in \textit{The Scandinavian Reformation: From Evangelical Movement to Institutionalisation of Reform}, ed. Ole Peter Grell (Cambridge: Cambridge University Press, 1994), 144–178. doi:10.1017/CBO9780511758690.008.
\textsuperscript{16} Thorkild Lyby and Ole Peter Grell, “The Consolidation of Lutheranism in Denmark and Norway,” in \textit{The Scandinavian Reformation: From Evangelical Movement to Institutionalisation of Reform}, ed. Ole Peter Grell (Cambridge: Cambridge University Press, 1994), 114–43. doi:10.1017/CBO9780511758690.007.
A direct political issue, however, was that the change to Protestantism aligned the two Kingdoms on one side of a growing internal conflict within the Holy Roman Empire - a large, decentralised empire encompassing much of central Europe - that exploded into the Thirty Years’ War in 1618. Protestant princes and kingdoms soon found themselves in a major conflict against Catholic princes and the Catholic Emperor.\textsuperscript{17} Both kingdoms, although not themselves members of the Holy Roman Empire, participated in the fighting at different times during the war. Denmark-Norway joined early in the conflict but suffered a series of major defeats which caused it to lose support from Protestant princes.\textsuperscript{18} The Treaty of Lübeck in 1629 marked the end for Denmark-Norway in the Thirty Years’ War. However, while Denmark-Norway fared poorly, the Thirty Years’ War marked the beginning of the rise of Sweden as a major European power.
\textit{The Rise and Fall of the Swedish Empire}
Following its departure from the Kalmar Union and its conversion to Protestantism, Sweden was able to expand at the expense of its neighbors. By the time of the Thirty Years’ War, Sweden had taken much of the Baltic from Poland-Lithuania and the western coast of Russia, securing a strong position within the Baltic Sea. These conquests were made under King Gustavus Adolphus, under whom Swedish military power came to be known and respected in Europe.\textsuperscript{19} With the success of Sweden during the Thirty Years’ War, during which Sweden became a major military member of the Protestant forces, Swedish power only grew.
Seizing upon Danish weakness following their defeat, in the years following the Thirty Years’ War Sweden made multiple attempts to conquer territory from Denmark-Norway, breaking Danish control over the Straits connecting the Baltic to the greater Atlantic by seizing territory which had previously allowed Denmark to extract a toll from passing ships.\textsuperscript{20} As a result, Sweden was able to
\textsuperscript{17} “Thirty Years’ War,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/event/Thirty-Years-War.
\textsuperscript{18} Paul Douglas Lockhart, \textit{Denmark in the Thirty Years’ War, 1618-1648: King Christian IV and the Decline of the Oldenburg State} (Selinsgrove: Susquehanna University Press, 1996).
\textsuperscript{19} “Map of Scandinavia, 1648: Sweden’s Golden Age,” TimeMaps, May 19, 2021, https://www.timemaps.com/history/scandinavia-1648ad/.
\textsuperscript{20} Erik Esvelt, “The Swedish Empire and the Baltic Nations,” Accessed August 15, 2021, http://conflicts.rem33.com/images/The%20Baltic%20States/svenskrijk.htm.
quickly grow at the expense of Danish territory, almost all of which remained in Swedish hands and whose populations have become mostly Swedish.\textsuperscript{21}
This series of conquests also represented the high watermark of Swedish power in Europe. The growing strength of Russia and the desire of the nations to regain lost land culminated in the Great Northern War of 1700 to 1721. Initial Swedish success was followed by a growing coalition of nations led by a rising Russian Empire under Peter the Great, which dealt multiple defeats to an increasingly demoralised Swedish Army.\textsuperscript{22} The Swedish Army was eventually forced to withdraw from many of its continental holdings, ceding them to the Russian Empire, Prussia, and Denmark. With Swedish defeat in the Great Northern War, Russia came to replace Sweden as a major European power. Although the core of Swedish territory remained intact, along with some of its other holdings, the economic devastation and military demoralisation resulting from the war left it unable to regain what it had lost.\textsuperscript{23}
The Swedish Empire, although somewhat brief compared to other major European powers, is a point of national pride. Gustavus Adolphus came to be popularised as a skilled general and king, not only in Sweden but throughout Europe following the surprising successes of Sweden during the Thirty Years’ war.
\textit{Napoleonic Era}
\textit{The Second League of Armed Neutrality and the Battles of Copenhagen}
With the outbreak of the French Revolutionary Wars in 1793, the British navy began to enforce blockades over shipping that could potentially supply French forces on the continent. This only intensified as French military success on the mainland ended any likelihood of a quick end to the French Revolutionary movement. In response, following the model of a previous agreement made during the American Revolutionary Wars, the Russian Empire formed a second League of Armed
\textsuperscript{21} Sabana Grande, “Peter the Great of Russia vs. The Swedish Empire,” Medium, Lessons from History, February 20, 2021, https://medium.com/lessons-from-history/peter-the-great-of-russia-vs-the-swedish-empire-1a434230edf4.
\textsuperscript{22} \textit{Ibid.}
\textsuperscript{23} \textit{Ibid.}
Neutrality with Prussia, Denmark-Norway, and Sweden.\textsuperscript{24} The purpose of the League was primarily to ensure the safety and freedom of their countries’ neutral shipping as it provided an armed deterrent against the indiscriminate searches being conducted by the British Royal Navy.
The British, however, concerned over the potential hostility of the League and even the possibility of their alignment with France, attacked the joint Danish-Norwegian fleet near Copenhagen during the First Battle of Copenhagen in 1801.\textsuperscript{25} This attack, along with other political events in Russia, caused the League to quickly collapse, once again opening up Baltic trade to the British.
Despite this defeat, the Danish fleet remained intact, and as the French Revolutionary Wars transitioned into the Napoleonic Wars, the territories of the new French Empire bordered those of Denmark. A worried Britain once again attacked Copenhagen, destroying much of the Danish-Norwegian fleet and at the same time setting the city on fire during the bombardment.\textsuperscript{26} In the aftermath of the attack, Denmark-Norway aligned themselves with Napoleonic France, joining Napoleon’s continental system. Now without a naval fleet, however, their position was greatly weakened.
\textit{The Formation of Sweden-Norway}
Although Sweden initially aligned itself with Britain and Russia against France in 1805, French success on the continent made armed opposition to France more difficult.\textsuperscript{27} After Russia made peace with France and joined Napoleon’s Continental System in 1806, pressure mounted for Sweden to join as well. Swedish’s rejection and French diplomatic maneuvering culminated in the Finnish War of 1808 to 1809, during which Russia, with some limited support of France and her allies, invaded Sweden.\textsuperscript{28} Despite British support, Sweden was defeated and forced to sign the Treaty of
\textsuperscript{24} “Great Britain, France, and the Neutrals, 1800–02,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/event/Napoleonic-Wars/Great-Britain-France-and-the-neutrals-1800-02.
\textsuperscript{25} John Rickard, “Battle of Copenhagen, 2 April 1801,” History of War, Accessed August 15, 2021, http://www.historyofwar.org/articles/battles_copenhagen.html.
\textsuperscript{26} Ibid.
\textsuperscript{27} Magnus Olofsson, “The Swedish Army in the Napoleonic Wars,” The Napoleon Series, April 2008, https://www.napoleon-series.org/military-info/organization/Sweden/Army/Organization/c_swedisharmy.html#:~:text=At%20the%20outbreak%20of%20the%20Napoleonic%20Wars%20Sweden%2C,economy%20was%20based%20on%20a%20weak%20agrarian%20sector.
\textsuperscript{28} Ibid.
Fredrikshamn, which saw the loss of the territory of East Sweden, reorganised under the Russian Empire as the Grand Duchy of Finland. This would mark the beginning of the Finnish state as a nation separate from Sweden, although still not yet independent. Additionally, the treaty saw the cession of the Swedish-speaking island group of Åland to the Grand Duchy of Finland, which became heavily militarised by the Russian navy until a British treaty forced its perpetual demilitarisation.
The military defeat and loss of territory led to a short period of great political instability, during which Napoleon was eventually able to install one of his own generals, Marshall Jean-Baptiste Bernadotte, as the heir to a dying king of Sweden in 1810.\(^{29}\) Upon his ascension to the throne, Bernadotte, styling himself as Charles XIV, aligned Sweden with France, bringing Sweden into the Continental System.
However, unlike France’s Danish allies who were in a greatly weakened position after the loss of their fleet, Charles XIV maintained the strength of the Swedish military as a critical but independent ally of France. As French fortunes turned with the disastrous invasion of Russia, Charles XIV reversed Sweden’s position and joined the Sixth Coalition against Napoleon. As a result of this defection, as well as Sweden’s contributions during the major Battle of Leipzig in which Napoleon was defeated, Charles XIV put Sweden into a strong diplomatic position to demand concessions from Denmark-Norway, who remained allied to France. As a result of the peace treaty signed in Kiel, Sweden exchanged Swedish Pomerania, the last of its continental possessions, for the entire Kingdom of Norway.\(^{30}\)
This development marked the end of Denmark-Norway and the beginning of the United Kingdoms of Sweden and Norway, which would last up until 1905.\(^{31}\) Critically, however, Norwegian colonial territories, such as Greenland, Iceland, and the Faroe Islands, were not transferred along with Norway. Instead, they became territories of Denmark.\(^{32}\) The Kingdom of Norway showed their rejection of this transfer by electing their own King, forcing Charles XIV to invade. As a result of
\(^{29}\) Ibid.
\(^{30}\) “The Peace Treaty of Kiel,” The Royal House of Norway, February 13, 2007, https://www.royalcourt.no/artikkel.html?tid=30100&sek=27320.
\(^{31}\) “Independence and Union with Sweden in 1814,” The Royal House of Norway, January 8, 2007, https://www.royalcourt.no/seksjon.html?tid=28691.
\(^{32}\) Niels Brimnes, “The Colonialism of Denmark-Norway and Its Legacies,” Nordics.info, Aarhus University, January 7, 2021, https://nordics.info/show/artikel/the-colonialism-of-denmark-norway-and-its-legacies/.
Swedish victory in the brief Norwegian-Swedish war of 1814 - the last war Sweden ever fought - a personal union between Sweden and Norway was established. Since this conflict, however, Swedish diplomacy has shifted to a more neutral position, with the country staying away from any conflict in Europe.
**19th Century**
*Liberalisation*
The 19th Century began the slow transition of Scandinavia to Liberal Democracies and Constitutional Monarchies. The Grand Duchy of Finland, although a part of the authoritarian Russian Empire, maintained a relatively liberal constitution from its time as part of Sweden, which made provisions for rights and protections. Political independence and economic development would be gradual, but independence from Sweden and consolidation into a single political entity began Finnish ideas of national consciousness.
Meanwhile, the Kingdoms of Denmark and Sweden both began to make reforms by reducing the power of the monarch in favour of constitutions and parliamentary democracy. Denmark became a full constitutional monarchy through the March Revolution of 1848, while Sweden adopted a more liberal stance, although the monarchy maintained a police force to deter would-be revolutionaries, especially Norwegian nationalists.\(^{33}\)\(^{34}\) However, it should be noted that such reforms were judged to be liberal by premodern standards. Voting was restricted to property holding men, among various other restrictions. Universal suffrage for men would only begin deep into the 19th century, and female suffrage only in the early 20th century.\(^{35}\)
\(^{33}\) "The Nation State: the Constitution of 1849," National Museum of Denmark, Accessed August 15, 2021, https://en.natmus.dk/historical-knowledge/denmark/the-nation-state-1848-1915/.
\(^{34}\) "Parliamentary Reform," Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/place/Sweden/Parliamentary-reform.
\(^{35}\) P. Orman Ray, "Woman Suffrage in Foreign Countries," *American Political Science Review* 12, no. 3 (1918): 469–74. https://doi.org/10.2307/1946097.
Despite this lack of suffrage, the liberal reforms also encouraged a wave of social reforms.\textsuperscript{36} The ability for women to hold property and receive equal legal treatment was complete by the latter half of the 19th century. Additionally, due to the lack of serfdom the peasantry quickly became an active participant in national politics once suffrage was granted. Literacy rates improved as schools were established, and although the society’s conservative nature meant that new ideas spread slowly at first, concepts such as civil rights, constitutional rights, and democracy eventually became common ideas of the intelligentsia.
\textit{Industrialisation}
The latter half of the 19th century saw the industrial revolution spread into Scandinavia. The mass cultivation of highly nutritious New World crops such as potatoes, alongside developments in medicine, led to a population boom. The new agricultural society quickly became overpopulated and migration into the city, as well as to North America, began to take place.\textsuperscript{37} Meanwhile, importation of industrial methods led to the growth of local bourgeoisie and businesses, setting the foundation for the modern industrialised economies of Scandinavia.\textsuperscript{38} Factories were quickly established, while railroads connected major ports and cities.\textsuperscript{39}
The growth of the urban population also brought with it the formation of labour unions and workers committees, as well as the growth in popularity of social democratic movements. These parties, still being outvoted by larger conservative parties, would grow in strength as the nations modernised, ultimately becoming the future political factions that would come to dominate Scandinavian politics.
\textsuperscript{36} Vilhelm Aubert, “Law and Social Change in Nineteenth-Century Norway,” in \textit{History and Power in the Study of Law: New Directions in Legal Anthropology}, ed. Starr June and Jane F. Collier (Ithaca; London: Cornell University Press, 1989), 55-80. http://www.jstor.org/stable/10.7591/j.ctt207g6xn.7.
\textsuperscript{37} Lennart Jörberg, “The Industrial Revolution in Norway,” \textit{Scandinavian Economic History Review} 20, no. 2 (1972): 165–70. https://doi.org/10.1080/03585522.1972.10407729.
\textsuperscript{38} Susanna Fellman, “Economic Development in the Nordic Countries,” Nordics.info, Aarhus University, June 13, 2019, https://nordics.info/show/artikel/economic-development-in-the-nordic-countries/.
\textsuperscript{39} Douglas Fisher, “Sweden during the Industrial Revolution,” \textit{The Industrial Revolution} (1992): 190–223. https://doi.org/10.1007/978-1-349-13445-8_6.
Norway’s Separation from Sweden
Norway’s union with Sweden ended any immediate hope of an independent Norway, but the structure of the personal union allowed the Kingdom to develop its own independent parliament and government. This political situation, coupled with growing nationalism during the 19th century, began a push within Norway to move towards independence. That desire only heightened as Sweden and Norway industrialised, which created a divergence of economic interests and started weakening the strength of the union.\(^{40}\) Such pressures eventually caused the Swedish King Oscar II to renounce his claim to the Norwegian throne, leading to the dissolution of the union between the two kingdoms and the election of King Haakon VII in Norway.
The World Wars
The First World War
Denmark, Norway, and Sweden all remained neutral during the First World War, each following their own policies of neutrality that have been developed over the years.\(^{41}\) As a result, Scandinavia was largely spared from the destruction brought by the First World War, although many neutral sailors did lose their lives as a result of submarine warfare in the Atlantic. This marine interconnection allowed the nations to maintain trading ties, helping grow their economies by exporting the raw materials needed by both sides to maintain the conflict.
Communism, Socialism and Democracy
Finland, on the other hand, participated in the First World War with the Entente as a subject of Russia, contributing volunteers and officers to the Russian Army.\(^{42}\) While Finland was not ever invaded, the wartime pressures severely damaged the Finnish economy. When the February Revolution began, initial desires by the new Russian Provisional Government to maintain control
\(^{40}\) Lennart Jörberg, “The Industrial Revolution in Norway,” *Scandinavian Economic History Review* 20, no. 2 (1972): 165–70. https://doi.org/10.1080/03585522.1972.10407729.
\(^{41}\) “Neutrality and the Nordic Countries,” Nordics.info, Aarhus University, Accessed August 15, 2021, https://nordics.info/show/artikel/neutrality/.
\(^{42}\) Julian Simbeteanu, “The Finns in the First World War,” Europe Centenary, February 7, 2018, https://europecentenary.eu/the-finns-in-the-first-world-war/.
over Finland were resisted by the Finnish government, who declared independence in December 1917. This independence was not at first recognised by the Provisional Government, but was recognised by the Bolshevik (Communist) government that subsequently took over Russia in October 1917 in the aptly named October Revolution. By 1918, Russia was in a complete state of civil war with the Communist government (termed the Red Forces) at war against various generals, monarchists, and conservative democrats (collectively termed the White Forces), while a similar conflict was occurring in Finland. The newly independent Finnish government (termed the White Government as opposed to the ‘Red’ Left-wing governments) was also now challenged by Red Communist uprisings, whose leaders wanted union with the new Communist Russian state.\(^{43}\) Unlike in Russia, the White forces, with Swedish and German support, prevailed. Many Communist sympathisers were jailed or executed in the aftermath.
Communist uprisings also occurred in Sweden, and to a lesser extent Norway and Denmark, in the aftermath of the war, but generally failed to gain any traction. Yet, more moderate Socialist and Social Democratic parties found the postwar years to be a major period of growth. In Denmark, the Social Democratic party that would come to dominate politics gained its first majorities, while liberal parties that favoured social reform made great headway in Norway and Sweden. These political parties would largely survive the Second World War and retain their prominent position to the time of committee.
**The Second World War**
**Invasion and war**
During the Second World War, the Nordic countries, especially Norway and Finland, were a strategic target to the German forces. Germany saw that Great Britain was interested in this territory, and as a result, so was Germany. With Finland being geographically close to the Soviet Union, it was just a matter of time until the USSR tried to annex Finland.
\(^{43}\) C. Jay Smith, "Russia and the Origins of the Finnish Civil War of 1918," *American Slavic and East European Review* 14, no. 4 (1955): 481-502. doi:10.2307/3001208.
Finland and the Winter War
During this time Germany and the USSR (The Soviet Union-Russia) had been advancing in their European conquest. They had been successful with Poland, Lithuania, Estonia, and Latvia, and as a result wanted to continue annexing other territories and countries. Germany, up until this point, had been successful in all of its efforts and attempted annexations, and thus the USSR naturally wanted to follow suit. This was the moment when interest turned to Finland. After the annexation of the bordering countries, it was in the best interests of the USSR to advance to Finland.
However, Finland was resistant and not as easy a conquest as Estonia, Lithuania, and Latvia. Finland refused the USSR’s offering of territorial compensation for the cessions that it was requiring for its own strategic reasons. As a result of this refusal, Finland and the USSR went to war, now known as the “Winter War.” Finland’s armed forces amounted to about 200,000 troops in 10 divisions. The Soviets eventually brought about 70 divisions, equating to about 1,000,000 men, to support their attack on Finland, along with about 1,000 tanks. Soviet troops attacked Finland on November 30, 1939.\(^{44}\) The invaders succeeded in isolating the little Arctic port of Petsamo in the far north but were repelled on all of the fronts chosen for their advance. On the Karelian Isthmus, the massive
\(^{44}\) “The war in Europe, 1939–41,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/event/World-War-II/The-war-in-Europe-1939-41.
reinforced-concrete fortifications of Finland’s Mannerheim Line blocked the Soviet forces’ direct land route from Leningrad into Finland. The Soviet planners had grossly underestimated the Finns’ national will to resist and the natural obstacles created by the terrain’s numerous lakes and forests.
On February 1, 1940, the Red Army launched 14 divisions into a major assault on the Mannerheim Line. The offensive’s weight was concentrated along a 10-mile sector of the line near Summa, which was bombarded by a tremendous artillery bombardment. As the fortifications were pulverized, tanks and sledge-carried infantry advanced to occupy the ground while the Soviet Air Force broke up attempted Finnish counterattacks. After a little more than a fortnight of this methodical process, a breach was made through the whole depth of the Mannerheim Line. Once the Soviets had forced a passage on the Karelian Isthmus, Finland’s eventual collapse was certain. On March 6, Finland requested peace, and a week later the Soviet terms were accepted: the Finns had to cede the entire Karelian Isthmus, Viipuri, and their part of the Rybachy Peninsula to the Soviets. The Finns had suffered about 70,000 casualties in the campaign, and the Soviets more than 200,000.
**Great Britain and German Interests in Norway**
Hitler up until this point in the War had never shown any interest in the Scandinavian countries. It wasn’t until Great Britain, and particularly Winston Churchill, talked about stopping the Swedish exportation of iron ore to Germany that Hitler became interested in potentially annexing Norway. Rumors got out about Great Britain’s plans and it wasn’t long after that Great Britain and Germany both went for Norway. The British Cabinet, in response to Churchill, authorized at least the
preparation of a plan for a landing at Narvik. In mid-December of 1939, a Norwegian politician, Vidkun Quisling, leader of a pro-Nazi party, was introduced to Hitler. On January 27, 1940, Hitler ordered plans for an invasion of Norway.
After Germany’s conquest of Poland, land operations were not very active on the western powers. This time was called “The Phony War” (which lasted six months), because nothing seemed to be happening with Great Britain or Germany on land. However, that was not the case at sea, as German U-Boats were sinking more and more British boats. Germany was targeting the merchant ships in an effort to starve Great Britain and weaken the effectiveness of the arms and food that the U.S. was sending Great Britain.\(^{45}\)
On April 9, 1940, the major Norwegian ports from Oslo northward to Narvik, 1,200 miles away from Germany’s naval bases, were occupied by advanced detachments of German troops, and so the invasion had started. Norwegian resistance at Narvik, Trondheim (the strategic key to Norway), Bergen, Stavanger, and Kristiansand had been overcome very quickly. Moreover, Oslo’s effective resistance to the seaborne forces was nullified when German troops from the airfield entered the city. While all of this was happening in Norway, the Germans occupied Denmark on April 9, sending troopships supported by aircraft, into Copenhagen harbour and marching over the land frontier into Jutland. This occupation was necessary for the safety of their communications with Norway. By occupying Norway, Hitler had ensured the protection of Germany’s supply of iron ore from Sweden and had obtained naval and air bases with which to strike at Britain if necessary.
**Icelandic Independence**
Up until this point, one can see that WWI and WWII had affected the Nordic Countries significantly. However, it wasn’t until 1918 that Iceland became an independent and sovereign state separate from Denmark. As a result, Iceland and Denmark have an interesting and unique relationship. Before one can discuss the current relationship, it would be beneficial to see how it was that Iceland came to be a part of Danish rule.
\(^{45}\) “The Baltic states and the Russo-Finnish War, 1939–40,” Encyclopædia Britannica, Accessed August 15, 2021, https://www.britannica.com/event/World-War-II/The-Baltic-states-and-the-Russo-Finnish-War-1939-40.
Up until the 1840s, the Icelandic people were content with being a “colony” of Denmark; it wasn’t until 1843 that there was a wave of Icelandic nationalism that forced the Danish King to issue a royal decree. The decree was intended to restore the “Althing,” which is the national parliament of Iceland. The people wanted to feel like they had more representation than would a mere colony of Denmark. The first election was held in 1844, and then in Reykjavík on July 1 in 1845. In the summer of 1845, the elected Althing met for the first time in Reykjavík and, in the following decades, met for several weeks every two years with representatives from all over Iceland. In the beginning, the Althing had no legislative power and was only advisory to the Danish king in Icelandic financial and legal matters. The Icelandic nationalist movement was led by Jón Sigurðsson (1811-1879) who, in addition to being the leader of this movement, was a scholar who investigated and published Icelandic manuscripts. He was very much involved in Icelandic culture and wanted to be independent from the Danish monarchy. Sigurðsson was such an important figure for Iceland liberation that the national day is celebrated every year on his birthday, June 17.
In 1871, the Danish Parliament adopted a new law on Iceland’s constitutional status. The Danish government subsequently gave Iceland its own constitution with effect from August 1, 1874. Thus, Iceland gained increased autonomy, but executive power was still in Danish hands. To a large extent, the Constitutional Act of 1874 still forms the basis of the Icelandic constitution. The 19th century was a time of great advancement for the country as it saw large population growth and social changes that helped it achieve independence in 1918. The new century saw the start of engines being used on fishing boats, and this new technology quickly replaced the old open rowboats. Increased prosperity followed, urbanisation took off at full speed, and a great need arose to reorganise the political system based on a more modern society. Both women and workers received full civil rights in the first decades of the 20th century, and in 1904 Iceland changed from being part of Denmark to having home rule. However, the political power struggle was not over. The country was still regarded as an integral part of the Danish kingdom and the following years were characterised by strong nationalism. In 1908, Icelandic voters rejected an accord regarding the status of the country reached between the Althing and the Danish parliament, but Icelandic and Danish parliamentarians managed to resolve the crisis by the end of World War I. In November 1918, a Danish-Icelandic law was passed
in both parliaments which came into force on December 1, 1918. Thus, Iceland had become a free and sovereign state in personal union with Denmark.\textsuperscript{46}
On November 30, 1918, the Danish Parliament passed an Act of Union (\textit{Forbundsloven}) whereby Denmark recognised Iceland as an independent, sovereign state in personal union with Denmark.\textsuperscript{47} The main elements of the union were the joint monarchy and Denmark’s responsibility for Iceland’s foreign affairs and the coast guard. In 1940, Denmark was occupied by the Germans and Britain occupied Iceland. The following year, American soldiers replaced the English by agreement with the Icelandic home rule administration. With the German occupation of Denmark in 1940, Denmark was prevented from fulfilling its obligations under the 1918 Act of Union, which is why the Althing decided that, for the time being, the Icelandic government would exercise the authority of the King and take over foreign affairs. In 1944, Iceland wanted to have the issue of its constitutional status and the question of full independence settled, but negotiations with Denmark could not be conducted because of the situation caused by the war. The Danish government wanted to maintain the union, but not if it was opposed by Iceland. From an Icelandic point of view, the personal union was never considered anything but a temporary scheme supposed to last for 25 years. The Althing decided on June 16, 1944 to abolish the 1918 Act and the following day the Constitution of the Republic of Iceland was declared. The personal union was dissolved by Iceland following a referendum in Iceland in May 1944; more than 98% were in favour of a repeal of the union. On June 17, 1944, Iceland was declared an independent republic.
\textbf{The Cold War}
\textit{Cold War in Europe}
Although other world conflicts had subsided, the U.S. and the USSR continued to struggle. After the period of WWII, the world entered a period known as the “Cold War;” although no physical fighting happened, the world was affected by developments resulting from the war. This period could be characterized as one in which division and clear “sides” were picked, since everyone was either with
\textsuperscript{46} “History of Iceland, 1840s to the Second World War,” \textit{nordics.info}, Aarhus University, Accessed August 15, 2021, https://nordics.info/show/artikel/history-of-iceland-1840s-to-the-second-world-war/.
\textsuperscript{47} \textit{Ibid.}
the Warsaw Pact, NATO (the North Atlantic Treaty Organization), or was a non-aligned country. The Cold War divided the Baltic Sea in the post-war period. Denmark and Norway belonged to NATO, and Finland and Sweden were considered politically neutral countries (for the map below they will be referred to as “non-aligned countries). These dynamics will be discussed further in the subsequent section.
**The Nordic Council**
**Initial founding**
The Nordic Council was created in 1952 after WWII as part of a worldwide movement to promote international co-operation. This was the time when the United Nations was established, the Council of Europe was created, and the first steps were taken towards the formation of the EU. Simultaneously, discussions were held on much closer Nordic co-operation, which eventually led to the establishment of the Nordic Council in 1952. The Nordic Council was created as the official body
for formal inter-parliamentary Nordic cooperation among the Nordic countries. It consists of 87 representatives from Denmark, Finland, Iceland, Norway, and Sweden as well as from the autonomous areas of the Faroe Islands, Greenland, and the Åland Islands. The representatives are members of parliament in their respective countries or areas and are elected by those parliaments. The Council holds ordinary sessions each year in October or November and usually one extra session per year with a specific theme. The council's official languages are Danish, Finnish, Icelandic, Norwegian, and Swedish, though it uses only the mutually intelligible Scandinavian languages—Danish, Norwegian, and Swedish—as its working languages.
Cold War
Cold War Overview
At the time of committee, the Cold War was at some of its most tense moments.\(^{48}\) The rivalry between the United States and the Soviet Union had made the two decades of peace following the Second World War dangerously tense for the nations of Europe. This was no different for the members of the Nordic Council, especially with Scandinavia being situated between the Soviet Union and the Western powers. The members of the Nordic Council were therefore in a unique position to be courted by both sides. However, such courtship can easily turn hostile or even volatile if handled poorly.
Diplomacy
The member nations and territories of the Nordic Council have not been unified in their diplomacy. During the Second World War, after the occupation of Denmark and Norway by Nazi Germany, Iceland signed treaties with the United States to allow for basing rights. This agreement built a close framework of cooperation that led to Iceland becoming a signatory to the Northern Atlantic Treaty, a multilateral defense pact that formed The North Atlantic Treaty Organization (NATO).\(^{49}\) However, portions of the population of Iceland were opposed to this act as they worried it would lead to the militarisation of Iceland.
Denmark and Norway were likewise founding members of NATO. Such a decision, however, was not universally supported within both countries, which had enjoyed a long tradition of diplomatic neutrality. Indeed, discussions between Sweden, Denmark and Norway were held regarding a joint Scandinavia defensive pact that would have allowed the three nations to act as an independent
\(^{48}\) “NATO Update - 1962,” NATO, Accessed August 14, 2021, https://www.nato.int/docu/update/60-69/1962e.htm.
\(^{49}\) “Iceland and NATO,” Government.is, Government of Iceland, Accessed August 14, 2021, https://www.government.is/diplomatic-missions/permanent-delegation-of-iceland-to-nato/iceland-and-nato/#:~:text=Iceland%20has%20been%20a%20member%20of%20the%20North,to%20the%20Alliance%20has%20als o%2oundergone%20major%20changes.
neutral entity, thus resisting both NATO and Soviet influence. The governments of Denmark and Norway, however, feared that such a neutral organisation would leave the nations diplomatically isolated without a sufficient military force to secure the neutrality they wanted. Instead, worried about Soviet influence in their own countries following the communist coup that brought Czechoslovakia into the Soviet orbit, Denmark and Norway both signed the North Atlantic Treaty in 1949.\(^{50}\)
Sweden, however, chose to follow its long history of neutrality. Having never been occupied by any power during the Second World War, Sweden entered the Cold War era without any previous diplomatic pacts with either the US or USSR.\(^{51}\) Although it received funds from the Marshall Plan, the US program which supplied economic aid to European nations following the Second World War, Sweden officially was not a member of NATO. Nevertheless, many members of the Swedish government were worried about potential Soviet invasion, and this fear led to many close, informal
\(^{50}\) “Denmark and NATO - 1949,” NATO, Accessed August 14, 2021, https://www.nato.int/cps/en/natohq/declassified_162357.htm?selectedLocale=en#:~:text=Denmark%20was%20involved%20in%20NATO’s%20Northern%20Command.%20In,Norway%2C%20Denmark%2C%20the%20North%20Sea%20and%20the%20Baltic.
\(^{51}\) “Sweden. Some Historical Remarks,” Coldwarsites, The Baltic Initiative Network, Accessed August 14, 2021, https://coldwarsites.net/country/sweden/.
links between Sweden and NATO. None of these connections, however, were made official due to fear of both the Soviet response as well as the violation of Swedish neutrality. As an officially neutral nation, Sweden pursued military independence far more than did any of the other members of the Nordic Council. As a result, the Swedish coast along the Baltic was strengthened and significant investment was made into developing a strong navy and air force. Indeed, Sweden would even attempt its own nuclear weapons program, and by the time of committee had become a major player in Cold War espionage.
Finland, on the other hand, moved in a different direction. Situated on the border with the Soviet Union and having once been a part of the Russian Empire, relations between Finland and their much larger neighbor have often been complicated.\(^{52}\) The Soviet Union, early during the Second World War, demanded annexation of regions around Leningrad, now St. Petersburg, from neutral Finland. Finnish refusal led to the Winter War of 1939, during which Finland was able to initially resist the Soviet advance, damaging Soviet military reputation. Continued conflict and Soviet military reorganisation, however, saw a reversal of fortunes for the Soviet Union as the Finnish army began to see defeats. With Finland at risk of complete Soviet occupation on one hand, and the Soviets concerned about military losses on the other, both parties concluded the conflict with the Moscow Peace Treaty, which saw Finland give up the Karelia and Salla regions. Dispute over these territories would lead Finland to cooperate with German forces during the Nazi invasion of the Soviet Union in 1941, wherein Finnish forces participated in the siege of Leningrad.\(^{53}\) The reversal of fortunes and the Soviet counterattack once again led Finland to sign a peace treaty with the Soviet Union in 1944, reaffirming the loss of territories during the Winter War in addition to the further territory of Petsamo. At Soviet insistence, Finland then forcefully expelled German soldiers remaining in Finland in the Lapland War, concluding the final period of conflict for Finland during the Second World War.
Such a complicated history with the Soviets led to a careful diplomatic balancing act, with the aim of preserving Finnish independence. Finland would refuse both the Marshall Plan aid from the United
\(^{52}\) “Finland during the Cold War – Diplomatic Balancing Act or Anxious Subordination?,” University of Regensburg, Accessed August 15, 2021, https://www.uni-regensburg.de/philosophie-kunst-geschichte-gesellschaft/geschichte-suedost-osteuropa/medien/bilder/exkursionen/helsinki-2013/essay_finlandisation.pdf.
\(^{53}\) Geoffrey Roberts, “Why Finland Allied Itself with Nazi Germany,” *The Guardian*, February 23, 2018, https://www.theguardian.com/world/2018/feb/23/why-finland-allied-itself-with-nazi-germany.
States and NATO membership. Instead, engaging in a policy termed by others as Finlandisation, Finland worked to ensure that their diplomacy was acceptable to the Soviet Union. However, it continued to trade with the West and refrained from empowering its own Communist Party, keeping at bay offers to join the Warsaw Pact.\(^{54}\) Reparation payments to the Soviet Union established a framework for trade, and by the time of committee, Finland had become an industrialised nation on reasonably friendly terms and with established trading relations between itself and both the USSR and the West.
**Strategic Importance**
Each of the member nations of the Nordic Council was geographically important in the context of the Cold War, and as such, each became major considerations in the military and diplomatic strategy of both sides.
Iceland’s strategic position over the Greenland-Iceland-United Kingdom (GIUK) gap made it critical in the NATO effort to limit and monitor the movements of Soviet submarines, which only grew in significance with the development of submarine-launched intercontinental ballistic missiles carrying
\(^{54}\) “Warsaw Pact,” *Encyclopædia Britannica*, Accessed August 14, 2021, https://www.britannica.com/event/Warsaw-Pact.
nuclear weapons.\textsuperscript{55} Using Iceland as a base for aircraft and radar, NATO forces could ensure that, in the case of war, Soviet submarines would have great difficulty entering the Atlantic.\textsuperscript{56} This strategic importance made Iceland a major member of NATO despite an almost complete lack of military forces. However, while the GIUK gap is key to defending northern Russia, it is also a naval choke point for the Soviet Union as well.\textsuperscript{57}
Norway maintained a large number of secure ports along the Norwegian and North Sea, and whilst it lacked any large navy, the ability to maintain naval bases so close to the Soviet Union was of major value to NATO.\textsuperscript{58} Norway also controlled much of the coastline, meaning that the Soviet North Fleet leaving Murmansk and Archangel often had to pass through oceans easily patrolled from Norwegian
\textsuperscript{55} “The GIUK Gap’s Strategic Significance,” International Institute for Strategic Studies, Accessed August 14, 2021, https://www.iiss.org/publications/strategic-comments/2019/the-giuk-gaps-strategic-significance.
\textsuperscript{56} Andrew Metrick, “(Un)Mind the Gap,” U.S. Naval Institute, October 30, 2019, https://www.usni.org/magazines/proceedings/2019/october/unmind-gap.
\textsuperscript{57} Julianne Smith, Jerry Hendrix, and Robert D. Kaplan, “Forgotten Waters,” Center for a New American Security, Accessed August 14, 2021, https://www.cnas.org/publications/reports/forgotten-waters.
\textsuperscript{58} “Norway and NATO - 1949,” NATO, Accessed August 14, 2021, https://www.nato.int/cps/en/natohq/declassified_162353.htm#:~:text=Due%20to%20its%20geography%2C%20Norway%20has%20a%20huge,air%20force%2C%20an%20army%20and%20a%20Home%20Guard.
ports.\textsuperscript{59} On the other hand, the value for Norway to become a submarine base for the Soviet Union was also considerable, as it was capable of significantly threatening NATO trans-Atlantic movement.\textsuperscript{60}
Denmark occupied the mouth of the Baltic Sea where it enters the North Sea and thus the greater Atlantic, controlling an important access point for both NATO and Soviet military vessels.\textsuperscript{61} Since the Baltic Sea is a critical sea trade lane and home to the Soviet Baltic fleet, both parties likely wish to secure control of these important straits and the islands which guard them. The Danish territory of Denmark was also home to the Thule air base, which would allow aircraft access across the Arctic to the Soviet Union, as well as to Canada and the continental United States.
Sweden’s coastline along the Baltic Sea gave it significant control over the traffic in the region.\textsuperscript{62} With much of the Baltic Sea occupied by the Soviet Union or other Warsaw Pact members such as Poland and East Germany, Sweden is geographically positioned to be of great importance in the Cold War.
Finland shared a long border with the Soviet Union and in the south overlooks the Finnish Sea, which connected Soviet naval bases for the Baltic fleet near Leningrad to the greater Baltic. Additionally, although having lost some territory to the Soviet Union, Finland was nevertheless extremely close to many major Soviet cities and bases.
\textsuperscript{59} Rowan Allport, “Fire and Ice: The Defence of Norway and NATO’s Northern Flank,” Human Security Centre, July 8, 2017, http://www.hscentre.org/uncategorized/fire-and-ice-the-defence-of-norway-and-natos-northern-flank/.
\textsuperscript{60} “Norway and NATO,” Norgesportalen, Accessed August 14, 2021, https://www.norway.no/en/missions/nato/norway-nato/#:--:text=As%20a%20founding%20member%20of%20the%20North%20Atlantic,played%20an%20active%20part%20in%20the%20creation%20.
\textsuperscript{61} “Norway and NATO - 1949,” NATO, Accessed August 14, 2021, https://www.nato.int/cps/en/natohq/declassified_162353.htm#:--:text=Due%20to%20its%20geography%2C%20Norway%20has%20a%20huge,air%20force%20an%20army%20and%20a%20Home%20Guard.
\textsuperscript{62} “Sweden. Some Historical Remarks,” Coldwarsites, The Baltic Initiative Network, Accessed August 14, 2021, https://coldwarsites.net/country/sweden/.
By 1962, economic reconstruction and development had led to the formation of two trade blocs in Europe: the European Economic Community (EEC) and the European Free Trade Area (EFTA). None of the members of the Nordic Council were members of the EEC, which by 1962 was still mostly composed of Western European states. Denmark and Norway both submitted applications to the EEC in 1961, but due to distrust amongst the members of the EEC, mainly from France, both nations were rejected.\(^{63}\) However, Norway, Denmark (with Greenland), and Sweden were members of the EFTA alongside Switzerland, Austria, Portugal, and the United Kingdom. Nevertheless, the inclination to join the EEC was present for some in all three nations, although many others feared competition with more industrialised nations such as France, Germany, and the United Kingdom.
\(^{63}\) M. Donald Hancock, "Sweden, Scandinavia and the EEC," *International Affairs* (Royal Institute of International Affairs 1944-) 48, no. 3 (1972): 424-37. https://doi.org/10.2307/2612718.
Iceland and Finland were not members of either organisation, with Iceland concerned about preserving its unrestricted fishing access and Finland not willing to aggravate the Soviet Union.\textsuperscript{64}
\textit{Social Movements}
\textit{Åland Islands}
Sitting in the Baltic Sea between Finland and Sweden, the Åland Islands are a part of Finland that has been and has remained demilitarised after treaties in the 19th century.\textsuperscript{65} The population is largely Swedish speaking, and so after the First World War, when Finland became independent from Russia, there was a movement for the transfer of the islands to Sweden. However, Finland refused to cede the islands, and after deliberation by the League of Nations, made the islands an autonomous part of Finland, whereby its residents would be able to enjoy and use the Swedish language. By 1962, demand for transfer of the islands to Sweden had generally ended in favour of their designation as
\textsuperscript{64} Michael T. Skully, "Finland and the EEC: a historical economic outline of their trade relations," \textit{Journal of Baltic Studies} 7, no. 3 (1976): 220-30. http://www.jstor.org/stable/43210776.
\textsuperscript{65} Kate Middleton, "The Åland Islands," Independence Day Project, January 1, 1970, https://independencedayproject.blogspot.com/2008/06/land-islands.html.
an autonomous territory of Finland. At this time, the islands continue to maintain a strong independent tradition.
**Greenland**
At the time of committee, Greenland was considered a county within the Kingdom of Denmark. After being colonised by the Danish in the 17th century, Greenland acted as Denmark’s colony for much of its history. By the end of the Second World War, the United States became interested in the region and offered to purchase the territory, a proposal which was refused. In 1953, Greenland became a full county within Denmark, and attempts towards culturally assimilating the residents of Greenland were made. These efforts have led to a growing movement towards independence from Denmark, and although full independence may seem a long way off, supporters for it on the island do exist.
Faroe Islands
The Faroe Islands are located in the North Atlantic, north-northwest of Scotland and halfway between Norway and Iceland. It is a constituent country, which means that it makes up part of a larger political entity, that being the Kingdom of Denmark. The Faroe Islands have a complicated history of being part of different countries. Between 1035 and 1814, they were part of the Kingdom of Norway. In 1814, although Norway was transferred to the Kingdom of Sweden, the Faroe Islands were not and instead remained part of the Kingdom of Denmark. It was while the Faroe Islands were part of Denmark that they established their own autonomous government in 1948. They controlled most areas of government and daily life, except for military defense, policing, justice, currency, and foreign affairs. Additionally, they had their own independent trade policies which established trade agreements with other states.
Minority cultures in the Nordic Countries
One must first define the term “minority cultures.” Whenever minority culture is brought up in this document it describes “a clearly distinguishable group or category of people who comprise less than half of a national population.”\(^{66}\) Nordic countries are dominated by ethnic minorities because by “common consensus” these minorities have a distinct cultural identity recognized by both “the majority” and “the minority,” as well as a shared myth of origin based on acknowledged kinship origins. Thus, the Nordic countries are dominated by ethnic majorities - Swedes, Danes, Finns, Norwegians, and Icelanders - and all have minorities. In the time of committee, minorities everywhere faced similar problems when fitting in with the majority: their cultural identity, language, physical features, and religion were oftentimes questioned and demeaned because of these differences. Oftentimes these countries and their governments fail to recognize the diversity in their population and as a result they often fail to achieve equal treatment and equal rights in the educational and labor systems. With all that being said, the Nordic Countries are working towards an equal country for everyone. They strive to find a balance between similarity and difference, and between equal rights and the right to one’s own cultural identity. They are characterized by the
\(^{66}\) “Ethnic minorities in the Nordic countries,” nordics.info, Aarhus University, August 15, 2021, https://nordics.info/show/artikel/ethnic-minorities/.
strong role of the state and, to some extent, by their emphasis on equality. The minority groups in the Nordic countries will be broken down into the following categories: Indigenous Peoples, National Minorities, and Immigrants.
**Indigenous People**
The Sami people—also known as the Saami, Same, Sadme, and Lapp—are an indigenous group of people from Northern Europe inhabiting Sapmi. The Sapmi region in which they live encompasses parts of Sweden, Norway, Finland, and the Kola Peninsula. Their lifestyle is a nomadic one where hunting, fishing, and trading have been preserved.
*The Sapmi region*
The only indigenous group in the Nordic region are the Sami. The Sami have faced centuries of ethnic discrimination and assimilation policies from the state. These have led them to truly be a minority that wants to get more recognition from the state and have a legitimate say in the government. The language of the Sami is a topic of tension because they are not allowed to learn in
their native tongue, which is a dialect in the Uralic family of languages.\textsuperscript{67} Attention has started to build regarding this issue as well as that of gaining political representation for the Sami minority.
\textit{National Minorities}
The groups considered national minorities have a long record of residence in the Nordic countries yet remain culturally distinctive. The main national minorities are Jews (most numerous in Sweden and Denmark), Finns in Sweden and Norway (known as \textit{kvæner} in northern Norway), Germans in southern Jutland, Denmark, and Gypsies and Romani (or travelers, formerly known as \textit{tatere/tattare}), in Sweden, Finland, and Norway.\textsuperscript{68} While they lack formalised linguistic and territorial rights, most national minorities are acknowledged to have been subjected to oppression in the past, and their cultural heritage is, to varying degrees, in the process of being legally protected and recognized.
\textit{Immigrants}
After World War II, the Scandinavian countries, in particular Sweden, Denmark, and Norway, received a new wave of immigrants from the smaller and poorer countries who had suffered tremendously due to the post-war effects, especially with respect to labor. The largest nationality groups from this period are Turks (Denmark and Sweden), Pakistanis (Norway) and Yugoslavs (Sweden).\textsuperscript{69} During the Second World War, in which Sweden was not directly involved, Sweden became a place of refuge for about 180,000 refugees, in particular from Finland, Norway, Estonia, Denmark, and Germany. In 1954, following the formation of the Nordic Council, Sweden, Denmark, Norway, and Iceland introduced a common labor market. Similar to the freedom of movement enjoyed by citizens of the more recently established EU, citizens of the northern European countries wishing to work in a Nordic partner country have since been able to move freely across internal borders without a work or residence permit. The agreement was also later joined by Finland. By then Sweden had developed into the North’s leading economic and industrial nation. Unlike countries
\textsuperscript{67} Hanne Hagtvedt Vik, Steven LB Jensen, Linde Lindkvist, and Johan Strang, “Histories of Human Rights in the Nordic Communities,” Nordic Journal of Human Rights 36, no. 3 (2018). https://doi.org/10.1080/18918131.2018.1522750.
\textsuperscript{68} “Ethnic minorities in the Nordic countries,” nordics.info, Aarhus University, August 15, 2021, https://nordics.info/show/artikel/ethnic-minorities/.
\textsuperscript{69} Bernd Parusel, “Historical Development of Migration to and from Sweden,” Bundeszentrale für politische Bildung, November 26, 2015, https://www.bpb.de/gesellschaft/migration/laenderprofile/215650/historical-development.
such as Germany and the Netherlands, the Swedish government did not pursue a "guest worker policy," but rather assumed from the outset that immigrant workers would stay, integrate, and eventually become Swedish citizens.
**Economic Issues**
Now transitioning from social policies and movements in the Nordic countries, another important topic is the region’s economic situation. The postwar period can be seen as the peak of a longer process: the transformation of the Nordic countries from a poor early 19th century European periphery to privileged status as some of the richest members of the Western world.
The Nordic economies had traditionally linked up with the world market through exports of staples: fish from Iceland and Norway, iron from Sweden, forest-products from Norway, Sweden and Finland, and agricultural products from Denmark. Denmark and Iceland relied on food exports, lacking industrial raw materials. In the early 20th century, it became possible to generate hydro-electric power from waterfalls; this was particularly important in Norway, where a sector of foundries (heavy melting/process-industries transforming raw material inputs to e.g., aluminum) emerged. In the 1960s, offshore oil exploration started on the Norwegian continental shelf, adding yet another energy source to Norway's economic assets. Norway here differs from the other Nordic countries: its economic development, even in the 20th century, is influenced by the discovery of new natural resources.
Denmark and Sweden had a considerably higher standard of living in the nineteenth century than Finland, Iceland, or Norway. The industrialisation of Denmark and Sweden started in the early part of the nineteenth century and became rapid in the late nineteenth century, while the other three countries’ industrialisation is considered to have begun only in the latter part of the nineteenth century. Even in the late nineteenth century some Swedish companies, like SKF (originally *Svenska Kullagerfabriken*), Ericsson, *Allmänna Svenska Elektriska AB*, and Alfa Laval were world-leaders.
Denmark too was the home of several large, internationally competitive companies in the early twentieth century.\textsuperscript{70}
Up until now all the countries had a rather well-balanced economy; however, after World War I and World War II, the level of economic development became a problem as each country was in a different state regarding its industrialization and economic production. At this time, it was Sweden who was the regional industrial leader, since it was able to continue its production normally through World War II and who was able to quickly deliver many of the goods needed for postwar reconstruction. Because of this “Swedish supremacy,” the small industries of Norway and Denmark started to propose new social democratic reforms, supporting and pressuring transformation of these big industries to increase competition. However, these efforts to increase completion were futile because of the non-socialist parties and business decision-makers who tilted the balance against the proposed Nordic customs union.
Until the late 1950s, the pace of structural change was modest in all of the Nordic countries, except for Finland. The small, open Nordic economies were heavily reliant on their limited number of dominant export sectors: wood, pulp, paper, fish, and timber, as well as iron- and metal-products. In Norway, incomes from shipping services and energy-intensive raw materials also played an important role. A rather narrow range of export products had to finance increasingly varied imports, not just due to increasingly sophisticated tastes among consumers, but also due to the need for upgrading and specializing manufacturing technology. The impact of such dominant export sectors was fundamental because it required a very specific approach. This system works as follows: “Raw materials and semi-finished goods follow quite regular business cycles in the world economy. The products are mostly simple and homogenous, being traded in traditionally competitive markets. Prices are highest at the business cycle peaks. These sectors then work at full capacity, and they are led to plan for extension of capacity. Seduced by current surpluses, they ignore historical experience. As the peak turns to downturn, they are caught — thanks to their recent investment decisions — in profit squeezes and liquidity problems. They seek the help of the state, requesting moderate
\textsuperscript{70} “Economic development in the Nordic countries,” nordics.info, Aarhus University, Accessed August 15, 2021. https://nordics.info/show/artikel/economic-development-in-the-nordic-countries/.
incomes policies, possibly combined with devaluations.\textsuperscript{71} In each of the countries where this system took hold there were a few nuances, but this is the system’s most fundamental model.
\textsuperscript{71} Lars Mjøset, “The Nordic Economies, 1945-1980,” ARENA Centre for European Studies, University of Oslo, 2000, https://www.sv.uio.no/arena/english/research/publications/arena-working-papers/1994-2000/2000/wpoo_6.htm.
1. **Olfert Viggo Fischer Kampmann, Prime Minister, Denmark**
Viggo Kampmann is the Social Democratic Prime Minister who served in multiple governments. Born in Frederiksberg, a municipality of the Copenhagen area, to a middle-class family, Kampmann was well educated by the time of his enrollment at the University of Copenhagen. Obtaining an education in economics and political science, Kampmann first served as a secretary to the newly formed Danish Tax commission until 1948. Afterwards, he served briefly as president of the Kingdom of Denmark mortgage bank, before becoming successful in politics in his own right. He was first elected to the Folketing, the Danish Parliament, in 1953, serving as Finance Minister for three separate cabinets. In 1960, following the death of the previous Prime Minister, Kampmann was made Prime Minister himself, becoming the first Danish Social Democratic Prime Minister to have come from a middle-class and educated background. Indeed, he was one of the first Social Democratic Prime Ministers with a university degree, and one of the most well-educated of all Danish Prime Ministers up to that point. As Prime Minister, Kampmann came to adopt a somewhat reserved nature and his cabinet focused on improving social welfare and health insurance within the country, although he would speak against Denmark becoming a welfare state. In foreign policy he was a strong supporter of both the Nordic Council and NATO, arguing that it was necessary for Denmark to be a member of both.
2. **Jens Otto Krag, Foreign Minister, Denmark**
Jens Otto Krag is the highly esteemed Social Democratic Foreign Minister for Denmark from Randers, a town that was once quite prosperous from industrialisation, but had fallen behind by the 1960s. Starting from a young age, Krag joined the Social Democratic Youth organisation in Denmark, beginning his long history of involvement with the party. After attending university and earning a degree in political science, he became a coordinator in the directorate of supply, managing labour during the Second World War. In the post-war environment, Krag was elected to the Danish parliament and became a strong proponent of the Danish transition away from strict neutrality and towards NATO in order to pursue a strong defense policy. This marked the end of the first phase of
his political career, when he resigned his seat in parliament and served as an economic advisor for the Danish Embassy to the United States of America, where he built strong foundations for future relations with the United States. His subsequent return to the Danish parliament saw his quick rise, first as a Minister without Portfolio, then Minister of Foreign Economic Affairs before finally becoming Foreign Minister. Krag is a strong supporter of building close relations with the West, especially bringing Denmark in the EEC and fostering closer ties with the United States. With his diplomatic experience and general prominence in Denmark, Krag is also not without connections to achieve this aim.
3. Hans Erling Hækkerup, Minister of Justice, Denmark
Born into a family of prominent Social Democratic leaders, Hans Hækkerup was easily able to quickly rise up the ranks into the position of Minister of Justice. Born in Ringsted in Zealand, Hans worked closely with his family and brother, becoming part of the members of the Danish Social Democrats who, after the Second World War, believed in closer diplomatic ties with the United States and Europe. However, whereas other members of his family focused more on international politics, Hans himself served almost purely within the Ministry of Justice. By the time of committee, he had served on six separate cabinets over a period of more than a decade and had amassed a significant amount of experience. With this, and his extensive familial connections, Hans will likely play a key role in managing the political structure of Denmark.
4. Hans Christian Poul Hansen, Defense Minister, Denmark
Hans Christian Poul Hansen serves as the Minister of Defense for Denmark, having held the position for more than half a decade continuously. The son of a carpenter, he initially trained to be a carpenter as well in the town of Hillerød in Zealand. However, during his apprenticeship, he became involved with the Social Democratic Youth organisation, becoming a co-founder of his local division. This marked the beginning of his transition to politics. Hans first became national chairman for the Social Democratic Youth organisation, before stepping down to become a journalist at a Social Democratic newspaper. In 1945, he was elected to the Danish Parliament, where he served in a series of Defense committees, gradually gaining prominence until he was made Minister of Defense in 1956. As Defense Minister, Hans focused on improving the system of service and volunteer training,
as well as critical defense plans against possible Soviet incursions. Hans rejected the possible placement of American nuclear weapons in Denmark but agreed to further NATO cooperation and the deployment of US soldiers in Denmark. Opposed to both Communism and reactionary conservatism, Hans seeks to find a middle path for Denmark to preserve both peace and independence.
5. Erik Eriksen, Member of Parliament and Leader of Opposition, Denmark
Erik Eriksen is the leader and representative of the Liberal Party called Venstre who, at the time of committee, was the main opposition party against the Social Democratic Party in Denmark. The Venstre party, initially an agrarian organization made by peasants to combat the greater political power of rich landowners, had gradually shifted towards a more general free-market stance. Nevertheless, much of its traditional farmer support base remained through the transition. Indeed, Erik himself was a farmer. Erik served as Prime Minister of Denmark between 1950 and 1953, adopting a variety of reforms on land, both agricultural and urban. Additionally, Erik was also a prime supporter of the Nordic Council during his time as Prime Minister, even becoming its president in 1956. However, the Venstre party suffered a series of political splits, which gradually weakened its support base, allowing the Social Democratic party to maintain a majority in government ever since. Erik Eriksen will likely either prove to be a figure critical in bridging the gap between the government and opposition in Denmark, or the person who will finally unite Danish opposition parties to bring down the dominant position of the Social Democrats.
6. Martti Juhani Miettunen, Prime Minister, Finland
Martti Juhani Miettunen is the Agrarian Party Prime Minister for Finland. Born into a Finnish farming family, Martti initially trained to become a farmer and an agricultural specialist. After inheriting some land from his family and working as an agricultural specialist for a brief period, Martti eventually became a member of the Agrarian Party, quickly being elected to the Parliament in 1945 near the end of the Second World War. He would serve as a member of Parliament, during which time he held positions related to Transport and Public Works, before briefly becoming Minister of Finance in 1957. In 1958, he was appointed as the Governor of the province of Lapland, the largest Finnish province by area in the Northernmost region of the country. A native himself of the region,
Martti worked to improve the economic situation of a generally rural area. In 1961, however, he was appointed Prime Minister as well, beginning a close relationship with the President of Finland, Urho Kekkonen, a fellow member of the Agrarian party. Martti is a supporter of the current Finnish strategy to maintain Finnish independence by appeasing both the USSR and NATO and will play a critical role in helping Finland maneuver through the difficult diplomacy ahead.
7. Johan Otto Söderhjelm, Minister of Justice, Finland
Johan Otto Söderhjelm is the Minister of Justice with an extensive legal career. Born into a middle-class Finnish family, Johan moved through his law education quickly, earning the position of an associate judge in 1925 and becoming a Doctor of Law in 1928. After serving as a Helsinki lawyer and then as a Parliamentary Ombudsman, a position similar to the Chancellor of Justice, Johan stepped down into the private sector. There, he would take up many positions, including representative for the Finnish Confederation of Wood Process Industries, Chief Executive Officer of a Finnish Nickel mine, and a member of the board of Directors of the Gulf Oil Corporation, one of the largest global oil companies at the time. Johan also served as the chairman of the board for ABB, a Swedish-Swiss industrial group. During his illustrious career in the private sector, Johan also returned to Finnish politics where he was a member of the Finnish Parliament, serving in the Ministry of Justice and the Ministry of Finance. Johan was a supporter of the continued demilitarisation of the Åland islands and made many trips to Moscow during his lengthy career. Importantly, Johan participated in the negotiations that would eventually lead to the treaty of peace and friendship signed between the Soviet Union and Finland at the end of the Second World War.
8. Ahti Kalle Samuli Karjalainen, Foreign Minister, Finland
Ahti Kalle Samuli is the Agrarian Party Foreign Minister of Finland. Ever since his appointment into the Finnish government by President Urho Kekkonen, the two have worked closely, sharing a similar outlook for the need to appease the Soviet Union for the sake of Finnish independence. Ahti served as the Minister of Trade and Industry briefly from 1959 to 1961 before moving to a new position as Foreign Minister in 1961. In addition to this, however, Ahti also held a position in the private sector, working for the Bank of Finland. Using his background in monetary policy, he was initially a director for the Bank’s financial research division, before being made a member of the Board of Management
in 1958. As such, Ahti has an interesting mix of experience, both in the private and public sectors, whilst the connections to the Finnish President make him likely a key player for deciding the future of Finland, as well as that of the greater Nordic region.
9. Edvard Björkenheim, Defense Minister, Finland
Edvard Björkenheim was perhaps an interesting choice for Minister of Defense. A dedicated member of the Agrarian Party which held power in Finland at the time of committee, Edvard was initially purely focused on agriculture. Born into a family of farmers, Edvard initially trained professionally to become a farmer. However, his involvement in local politics and support for the Agrarian party eventually led to him being awarded the title of Agricultural Councilor in 1953, which gave him some prominence. This marked his political rise that saw him become Chairman of the Agricultural Society in the following year, and his appointment as Minister of Defense in 1958. Edvard has now served in two consecutive governments, and while the relative peace of the era has meant Finland needed to see no military action, the coming tense political period will likely prove a great test to Edvard’s ability and skill.
10. Karl-August Fagerholm, Member of Parliament and Leader of Opposition, Finland
Karl-August Fagerholm is a member of the opposition Social Democratic party and one of the leading political figures in Finland at the time. He was born into a Swedish-speaking working-class family, and after a brief early political position as chairman of the Barber’s Union, became a member of the Finnish Parliament in 1930. There he worked for the rehabilitation of the Social Democratic party, which due to its alignment with other more radical left-wing parties had seen scrutiny by the recently victorious conservative White Finnish government. This eventually culminated in Karl-August Fagerholm being made a member of the cabinet, as the Minister for Social Affairs in 1937. He was a strong proponent of a neutral foreign policy, aiming to avoid antagonising the Soviet Union. The outbreak of the Winter War and Finland’s participation in it put him on the sidelines for much of the wartime period. However, in the post-war era, Fagerholm came to become a major political player in Finland in his new position as the leader of the Social Democratic Party. Fagerholm, although generally opposed to Soviet influence, had better relations with the USSR and thus faced less opposition in forming his first few governments. Interestingly, Fagerholm also maintained good
relations with the US embassy in Helsinki and, through his Swedish-speaking roots championed a potential military defense pact covering Finland, Sweden, and the rest of the Nordic nations. Nevertheless, after narrowly losing the 1956 Presidential vote to the Agrarian party leader Urho Kekkonen, the Social Democrats seem to perhaps be once more on the decline, a clear challenge with which Fagerholm will have to contend.
11. Bjarni Benediktsson, Minister of Justice, Iceland
Bjarni Benediktsson serves as the Minister of Justice for Iceland and comes from a family with a history of supporting Icelandic politics. Bjarni’s father was the leader of the Icelandic Independence movement and served as a prominent member of the Icelandic Independence Party during Bjarni’s childhood. This would prove to be a significant influence on Bjarni, who after studying constitutional law took up a teaching position at the University of Iceland in 1932. However, he would enter politics in his own right two years later, first becoming a member of the city council of Reykjavik in 1934 and then the city’s Mayor in 1940. He would serve as the mayor of the capital of Iceland through the period of the Second World War, during which German occupation of Denmark led to the declaration of independence of Iceland. Following independence and the founding of the Republic, Bjarni became a member of the newly formed Icelandic cabinet in 1947, serving as Foreign Minister. During this time, Bjarni became known for his controversial push for Icelandic entry into NATO and for the leasing of a strategic airbase near the capital to the United States. This and other factors led to a period of political weakness for the Independence party in 1956, during which Bjarni served as an editor for a major Icelandic conservative newspaper. Yet by 1959, Bjarni was once more in government, serving as Minister of Justice. With a long history of experience in various branches of government, and a position that emphasises both Icelandic independence and cooperation with NATO, the coming times will be full of possibilities for Bjarni.
12. Ólafur Tryggvason Thors, Prime Minister, Iceland
Ólafur Tryggvason Thors serves as the Prime Minister of Iceland, leading a coalition government of both his own Independence party members and Social Democrats. Born into a family of entrepreneurs, Ólafur attended High School in Iceland but moved to Denmark to be educated in Copenhagen. However, after only one semester, Ólafur returned to Iceland and ran the profitable
family fishing company with his brother. This led Ólafur to become a member of the Trawler’s Owner’s Association in Iceland - which represented the critical fishing industry in Iceland - marking the beginning of a long political career. In 1925, Ólafur became a member of the Icelandic Parliament, before then serving as Minister of Justice in 1932 and Minister of Communications in 1939, during which time he was also a member of the Board of Directors for a major Icelandic bank. In 1942, Ólafur took on the dual positions of Prime Minister and Minister of Foreign Affairs. Ólafur would serve in both positions through the Second World War, during which Iceland declared independence from Denmark. Following the war, Ólafur’s first term as Prime Minister would end, and from 1947 to 1948 he served as a representative of Iceland to the United Nations. Returning from the UN, Ólafur continued to serve as Prime Minister for various Icelandic governments, also briefly serving as Minister of Industries from 1950 to 1953.
13. Guðmundur Ívarsson Guðmundsson, Foreign Minister, Iceland
Guðmundur Ívarsson Guðmundsson is the Icelandic Minister of Foreign Affairs with a long and extensive career. After obtaining a law degree in 1934 and serving as an attorney for the Supreme Court in 1939, Guðmundur initially began his career in legal practice. In 1945, however, Guðmundur was elected as the mayor of Hafnarfjörður, and ten years later as a Bailiff in Kópavogskaupstaður, during which he became a member of Parliament. As a member of Parliament, Guðmundur worked on various tax and labour reform programs. His entry into the Icelandic cabinet began with his first appointment as Minister of Foreign Affairs in 1956 until 1958, only to be reappointed nineteen days later in 1958 as Minister of Foreign Affairs and Finance. In this position, Guðmundur made the critical contribution as a representative for Iceland to the United Nations Conference on the Law of the Sea, which Iceland, heavily reliant on its fishing industries, saw as particularly important. In 1959, Guðmundur returned to his old position as Minister of Foreign Affairs, serving the new coalition government. With nearly half a decade of experience in foreign politics, Guðmundur is keenly aware of the political position of Iceland and will likely be a major player in the coming political period.
14. Emil Jónsson, Member of Parliament and Leader of Opposition, Iceland
Emil Jónsson is a member of Parliament and the leader of the Social Democratic Party. Although not strictly an opposition party, sitting alongside the Independence Party in a coalition government,
Emil’s Social Democratic Party maintained its independence as a separate party, holding its own political agenda. Emil himself was born into a working-class family. After moving briefly to Copenhagen for his engineering degree, Emil returned to Iceland in 1926 to serve as an engineer in the town of Hafnarfjörður, where he would be then elected mayor in 1930. Additionally, during this time he founded a vocational school in Hafnarfjörður for engineers, and was its principal until 1944—a position he would hold even while he pursued a long political career. In 1934, Emil joined the Icelandic Parliament and became the Director of Lighthouses and Port Affairs in 1937. After serving as Minister of Transport and Commerce for several years beginning in 1947, Emil became both speaker for the parliament and leader of his own party in 1956. Briefly becoming Prime Minister from 1958 to 1959, Emil oversaw labour and agricultural reforms that improved wages and working conditions. However, the rise of the Social Democratic Party stagnated afterwards, and Emil resigned in 1959 to serve as Minister of Fisheries in the newly formed coalition government with the Independence party. Emil is a passionate politician with a close connection to the people he serves. Heavily focused on internal politics and economic conditions, Emil and the Social Democratic Party aims to help Iceland develop a stronger economy and is less concerned with foreign entanglements.
15. Einar Henry Gerhardsen, Prime Minister, Norway
Einar Henry Gerhardsen is the Prime Minister of Norway who belongs to the Labour Party of Norway. Gerhardsen is well loved by Norwegians, they often refer to him as the “Landsfaderen,” which translates to “Father of the Nation,” since he is considered to be one of the main architects of the post-war rebuilding of Norway after WWII. In addition to his role as Prime Minister, he served as the second President of the Nordic Council in 1954. Gerhardsen was born in the municipality of Asker to a humble family. His father was a rodesmester and a foreman of the trade communion union. Gerhardsen has always been involved to a certain degree in politics and social movements, whether that be with friends of his father or with the Labour Party’s Youth Movement. This would later come to impact his life, especially when he was a road worker, for it was here that he became politically active in the socialist labour movement during the 1920s. In 1932, Gerhardsen was elected to Oslo city council, and he became the city’s deputy mayor in 1938. After the German occupation in 1940, he became the acting Chairman of the Labour Party but was forced to resign since no political parties were allowed. During and after his periods in office, Gerhardsen was greatly respected by the
people: even by those who did not share his democratic views. Poverty and unemployment were sharply reduced by his government's policies of industrialisation and redistribution of wealth through progressive taxation, together with the creation of a comprehensive social security system.
16. John Daniel Lyng, Conservative Opposition, Norway
John Daniel Lyng is a Norwegian conservative party politician. Lyng was born in Trondheim to a merchant family. During his student years Lyng was active in the leftist *Mot Dag* student group, and his time in Germany in the early 1930s gave him a strong dislike of totalitarian movements. Before and after World War II he worked as a lawyer and a judge. He joined the Norwegian resistance movement during the occupation of Norway by Nazi Germany. Lyng was originally a member of the Free-minded Liberal Party, heading the local party chapter from 1934 to 1935. He was a member of the executive committee of the Trondheim city council from 1934 to 1940 and in 1945, but had changed to the Conservative Party in 1938, heading the party chapter in Trondheim until 1947. He was then elected to the Norwegian parliament in 1945 and was later reelected in 1949.
17. Helge Sivertsen, Minister of Education and Church Affairs, Norway
Helge Sivertsen was born in Mandal in Vest-Agder, Norway to a humble family. His father was a college professor, and from a young age he appreciated the subjects of history and politics. It was History that he went on to study at the University of Oslo. During the occupation of Norway by Germany he was a member of Milorg, which was the main Norwegian resistance movement during WWII. Resistance work included intelligence gathering, sabotage, supply-missions, raids, espionage, transport of goods imported to the country, release of Norwegian prisoners, and escort for citizens fleeing the border to neutral Sweden. After the liberation of Norway in 1945, he became secretary of the Military Investigation Commission of 1945. Sivertsen pursued a career in politics and was secretary to the Prime Minister Einar Gerhardsen in 1947, state secretary to the Minister of Education and Church Affairs from 1947 to 1956, and Minister of Education and Church Affairs from 1960. He was also a Norwegian school administrator who served as the director of education in Oslo, Akershus, and Ostfold from 1956 to 1960. In addition to all of his positions in government he was a gifted athlete, who was the discus champion at the 1936 Berlin Summer Olympics. His political affiliation was the Labour Party.
18. Halvard Manthey Lange, Foreign Minister, Norway
Halvard Manthey Lange is a Norwegian politician belonging to the Labour Party. He is very involved with the daily occurrences of the party since he sits on its central board, a position he has held since 1945. Lange has also been a teacher and lecturer in the past, particularly at the University of Oslo. In addition to his central position in the Labour Party and academic background, he has served as the Minister of Foreign Affairs since 1946. In fact, it was Lange who signed the NATO agreement for Norway when it was concluded between twelve countries in Washington D.C. in 1949. Like many other Norwegian political figures during German occupation, he was against the occupation and was arrested various times because of his anti-German manifestations. In August of 1940, Lange was arrested by the German occupation authorities and imprisoned for almost a year. In the summer of 1942 he was arrested again, and in February 1943 he was sent to the Sachsenhausen concentration camp in Germany, where he remained in various concentration camps until the end of the war (1945).
19. Gudmund Harlem, Defense Minister, Norway
Gudmund Harlem is a Norwegian physician and politician for the Labour Party. He has been serving as the Norwegian Minister of Social Affairs since 1955. He was born in Kristiania, Norway to a middle-class family. Due to the German occupation, he fled the country for Sweden in 1943 and stayed there until the end of World War II. In the autumn of 1945, he became the leader of the Norwegian Students' Society. He was hired as a physician at Statens Attføringsinstitutt in 1946 and was promoted to chief physician in 1953. His political life, however, started much before his life in medicine. His first steps into politics were in 1934, when he became a member of the revolutionary group called Mot Dag, the revolutionary group that started in the 1920s and continued until the 1930s, which group today would be considered to be affiliated with the Labour Party. After his involvement with the group, he became a member of the Labour Party and sat on the Oslo city council from 1945 to 1947. He then sat on the school district board from 1948 to 1955, before serving as a member of the central committee of the Workers' Youth League from 1946 to 1949 and of the International Union of Socialist Youth board from 1946 to 1951. From 1949 to 1957, he was a deputy
member of the Labour Party's central committee, and he was deputy chairman of the Oslo branch from 1952 to 1957.
20. Tage Fritjof Erlander, Prime Minister, Sweden
Tage Fritjof Erlander has been the Prime Minister of Sweden since 1946 and is the leader of the Sweden Social Democratic Party. He rose to power upon the death of the Prime Minister Per Albin Hansson in October 1946, maintaining the position of the Social Democrats as the dominant party in the country. Known for his moderation, pragmatism and self-irony, Erlander often sought approval from the liberal-conservative opposition for his policies, *de facto* dropping all pretense of wide-scale nationalizations whilst introducing reforms such as universal health insurance, pension additions and a growing public sector, although stopping short of raising tax levels above the average OECD levels at the time. Until the 1960s, income taxes were lower in Sweden than in the United States. For most of his time in power, Erlander ran a minority government of the Social Democrats. The Social Democrats held a majority of seats in the upper house for most of this time, thus allowing Erlander to remain in power after the 1956 general election when the right-wing parties won a majority. In foreign policy, after unsuccessfully seeking an alliance of Nordic countries, he instead maintained strict neutrality while building up one of the most impressive armed forces in the world, surpassed only by the United States, the Soviet Union and Israel in terms of per-capita spending. This made the Swedish Air Force the third largest in the world, although ultimately rejecting nuclear capability. Erlander's mandate coincided with the post–World War II economic expansion, in Sweden known as the record years, in which Sweden saw its economy grow to one of the ten strongest in the world, subsequently joining the G10.
21. Herman Kling, Minister of Justice, Sweden
Herman Kling is a Swedish diplomat and politician who has been serving as the Minister of Justice and ambassador to Denmark and Portugal since 1959. Herman Kling was born in Västanfors as the son of the merchants. He graduated with a bachelor's degree in law in 1938 and became a notary in the same year. From 1944 through 1945, he was an expert at Stockholm City Hall Court and then became temporary head of the law office. In 1947 he ended up at the Ministry of Agriculture as head of expedition until 1950, when he was appointed State Secretary in the Ministry of Civil Affairs. In
1956, Kling became Director General and Head of the State Office. Kling was also chairman of the National Debt Council from 1952–1956, Deputy Chairman of the Swedish General Mortgage Bank from 1954–1957, and board member of AB Atomenergi (a nuclear power installations company) from 1956.
22. Bo Östen Undén, Minister of Foreign Affairs, Sweden
Bo Östen Undén is a Swedish academic, civil servant, and Social Democratic politician who served as acting Prime Minister of Sweden from October 6th to 11th in 1946, following the death of Per Albin Hansson. His resume is extensive—starting with being the Minister for Foreign Affairs of Sweden from 1924–1926 and since 1945, served as the government's chancellor for universities from 1937–1951, and chair of the parliament's committee on foreign relations during World War II. Undén is much respected, particularly within the Social Democratic Party, but was never uncontroversial. He belonged, together with Ernst Wigforss, clearly to the left-wing faction of the Social Democrats, and has been criticised for a much too optimistic view of the Soviet Union. At the same time, Undén must be acknowledged as a chief representative for Sweden's secret Cold War adaptation to the United States; in his view Swedish governmental agencies, including the Defense Forces, were free to conclude any agreements with foreign powers and agencies that did not contradict international treaties to which Sweden was a party, as long as he and his ministry were not formally involved. As an effect, the Swedish government could even, before the founding of NATO, agree to build air bases in eastern Scandinavia suitable for bombing missions against Leningrad, an important city in Russia.
23. Sven Olof Morgan Andersson, Minister of Defense, Sweden
Sven Olof Morgan Andersson is a Swedish Social Democratic politician who has been serving as the Minister of Defense since 1957. He is considered by many to have played a prominent role in the Swedish Social Democrats' fight against communism during the post-war period. Before his involvement in politics, he had a lot of manual jobs, working as a book trade assistant, a bookbinding apprentice, and a carpenter. From 1934–1940, he was a member of the federal board of the Swedish Social Democratic Youth League (SSU), in addition to having spells as secretary and chairman of the Swedish Social Democratic Youth Union in the Gothenburg district. He became a member of the
Gothenburg City Council in 1939, serving as a member of the second chamber between 1941 and 1944 and of the first chamber from 1948. In 1947 he was one of the initiators of the formation of Folkreklam, which later became the ARE companies, an advertising company.
24. Nils Olof Thorbjörn Fälldin, Opposition Representative, Sweden
Nils Olof Thorbjörn Fälldin is a Swedish politician belonging to the Centre Party in Sweden. He was born into a small agrarian family of farmers and in 1956, he and his wife took over a small farm. However, the farming authorities did not approve the purchase, as the farm was considered too small and too run down for production, and so refused to provide farm subsidies. This fight led him into the youth branch of the Swedish agrarian party Farmers’ League (Bondeförbundet), which in 1958 changed its name to the Centre Party. It was because of his personal involvement with his farm that he gained popularity and in 1958 was elected to the Swedish Riksdag as a representative of the agrarian-rooted Centre Party. He was not one to allow others to control him, but still maintained friendly relations with all people, as he was willingness to listen to all opinions.
25. Peter Mohr Dam, Prime Minister, Faroe Islands
Peter Mohr Dam is the Prime Minister of the Faroe Islands; he has just recently taken office in 1959. Before his rise as Prime Minister he has always been an avid participant in the political sphere of the Faroe Islands. He is considered one of the founders of the Social Democratic Party—or in Faroese, the Javnadaflokkurin, which literally translates to the Equality Party. He has served as the Chairman of this party since 1936. Before becoming Prime Minister, he served as the mayor of the town of Tvøroyri from 1934-1957. In addition, he served as a representative of the Danish parliament, also known as Danish Folketing, from 1948 to 1957, as one of only two Faroese members. As a result, he has formed many Danish connections in addition to Faroese ones.
26. Erlendur Patursson, Representative, Faroe Islands
Erlendur Patursson is a Faroese politician and writer. He was born in Kirkjubøur, and his father was a nationalist leader and representative in the Danish Parliament. Patursson came up with the idea for the Nordic House in the Faroe Islands. In the Nordic Council he pushed for Greenlandic
independence as well as independence for Åland. He was one of the founders of *Tjóðveldisflokkurin*, the Faroese Republican Party, in 1948. The Republicans are a left-wing Faroese political party in favor of national independence from Denmark. He has also been a member of the *Løgting* since 1958. He also has expertise in fishing and finance, which he hopes to parlay into policy that will bolster the Faroe Islands.
27. **Knud Ludvig Johannes Hertling, Minister, Greenland**
Knud Ludvig Johannes Hertling, more commonly known as Knud Hertling, is the Minister for Greenland. Hertling graduated from the Metropolitan School in 1949 and, after a period as a fellow at the United Nations in 1952, received his law degree in 1956 in Copenhagen and was then employed as a secretary in the Ministry for Greenland. As a minister, Hertling is very active in promoting a Greenlandic desire for home rule; he wants to see Greenland be its own country with its own rights. Since he is the first Greenlandic minister for Denmark, he is determined to represent his people on a regional and international scale.
28. **Elis Andersson, Representative, Åland**
Elis Andersson is a Swedish journalist, literary critic, and theater critic. Andersson graduated from the University of Gothenburg with a degree in Latin in 1907, a bachelor's degree in Philosophy in 1911, and a licentiate degree in Philosophy from the University of Gothenburg in 1913. Andersson was a contributor to the weekly *Hvar 8 Dag*, the monthly magazine *Varia*, and to *Göteborgs-Posten* over the course of half a century as a theater and literature critic. He was also active in the scout movement, where he was a member of the Swedish Scout Council. He was a member of the Independent Party, which he coupled with his academic background in his political endeavours.
29. **Atos Kasimir Wirtanen, Representative, Åland**
Atos Kasimir Wirtanen is a Finnish left-wing intellectual, journalist, member of Finnish parliament from 1936 through 1953, and cultural critic. He was born in Saltvik, Åland. Wirtanen rose to parliament from the Social Democratic Party of Finland (SDP) list, but in 1946 he defected to the Finnish People's Democratic League (SKDL). Wirtanen was also active in the Socialist Unity Party
(SYP) and served as its chairman from 1948 to 1955. In 1955 he led the SYP out of the SKDL.
Wirtanen published two memoirs: *Mot mörka makter* (Against Dark Force) and *Political Memoirs*. He also published several collections of aphorisms and other literary works. He was also married to a dance artist: he truly enjoyed the arts.
Basing Rights: A concession made by one sovereign nation to another that allows the other nation to maintain bases - air, naval, land or otherwise - within their own territory.
Grand Duchy: The official designation for Finland under the Russian Empire. The territory was marked as distinct from Russia itself, and it would operate under its own laws and political system. However, the Russian Emperor was still its head of state as the Grand Duke.
Intelligentsia: The class of the educated peoples engaged in academics, education, art or other media.
Lutheranism: A branch of Protestantism of the Christian faith following the ideas of Martin Luther. Particularly dominant in regions such as North Germany and Scandinavia.
Nordic: A geographic designation that covers Denmark, Norway, Sweden, Finland, Iceland, and additional island territories in the North Sea.
Personal Union: A union caused by two or more states coming to share a single monarch. However, states under a personal union can remain largely separate and independent of one another. Should the states come to have different monarchs, such as due to inheritance laws or revolt, the personal union ends.
Runic Language: A set of characters used by various German and Nordic languages for writing.
Scandinavia: A geographic designation that includes Denmark, Norway and Sweden, but not other Nordic regions like Iceland or Finland.
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Haplogroup R1b (Y-DNA)
Author: Maciamo Hay.
Last update July 2023 (famous individuals)
Contents
1. Geographic distribution
2. Phylogeny
3. Origins & History
- Paleolithic origins
- Neolithic cattle herders
- The Levantine & African branch (V88)
- The Pontic-Caspian Steppe & the Indo-Europeans
- The Maykop culture, the R1b link to the steppe?
- R1b migration map
- The Siberian & Central Asian branch
- The European & Middle Eastern branch
- The conquest of "Old Europe"
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Geographic distribution
Distribution of haplogroup R1b in Europe
R1b is the most common haplogroup in Western Europe, reaching over 80% of the population in Ireland, the Scottish Highlands, western Wales, the Atlantic fringe of France, the Basque country and Catalonia. It is also common in Anatolia and around the Caucasus, in parts of Russia and in Central and South Asia. Besides the Atlantic and North Sea coast of Europe, hotspots include the Po valley in north-central Italy (over 70%), Armenia (35%), the Bashkirs of the Urals region of Russia.
(50%), Turkmenistan (over 35%), the Hazara people of Afghanistan (35%), the Uyghurs of North-West China (20%) and the Newars of Nepal (11%). R1b-V88, a subclade specific to sub-Saharan Africa, is found in 60 to 95% of men in northern Cameroon.
**Distribution map of haplogroup R1b in the Old World**
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Phylogeny of R1b
If you are new to genetic genealogy, please check our Introduction to phylogenetics to understand how to read a phylogenetic tree.
Phylogenetic tree of haplogroup R1b
(as of February 2017)
Paleolithic
M343
R1b
L278
R1b1
L754
R1b1a
L388
R1b1a1
P297
R1b1a2
M18
Y7777
Y8451
V35
Y8447
Mesolithic
Near East & Europe
R1b1a
Levant & Africa
V88
Neolithic
Central & South Asia
R1b1a1a
Caucasus
M269
R1b1a1a2
Balkans, Turkey & Armenia
PF7562
R1b1a1a2b
L23
Pontic Steppe
R1b1a1a2a
East & Southeast Europe
L51
Eastern Europe & West Asia
Z2103
R1b1a2a2
Central Europe
L11/P310
Z2118
R1b1a2a1
Proto-Italo-Celtto-Germanic
S21/U106
Proto-Germanic
P312/S116
Western & Northern Europe
L21/M529
Atlantic Celtic
DF27/S250
U152/S28
Ibero-Atlantic
Z195
L2
Z36
Z56
Z193
Italo-Gaulish
DF88
Z302
DF19/S232
Z2337
L624
Z29644
Z39300
Nordic
A8051
L238/S182
Y18209
A9063
DF100/S1194
Early Bronze Age
Chalcolithic
Middle Bronze Age
Click on the trees below to enlarge
Phylogenetic tree of Haplogroup R1b-Z2103
(as of February 2017)
R1b1a2a2
Z2103
Northern Middle East + Europe
Europe, Central Asia, Middle East & South Asia
L584
Z2106
Z2109
Z29823 Sardinia
CTS7763 China
PH4902
FGC48354 Bulgaria Turkey Sardinia Arabia
CTS3937 Hungary England
Y16005 Y22198 Y22199
M64
KMS67 Iraq
Y21707
Y5592
CTS7556
CTS9219
BY250
Y15982
Y16143
Y19752 Norway
BY3297
Y18455 Y19137 Italy England
BY3717
Y23493 Poland France England
Y28635
Y14306 Russia Poland Romania Italy
Y5587
Y5586
Y22219 Bulgaria Spain Italy
Y18959
BY611
PH544 M4099
Z2705
Y593
Y14306 Russia Bulgaria
Y5586
Y22219 Bulgaria Spain Italy
FGC29330
Y20344
BY3298 England
FGC14590
L943
Y18687 Ukraine
CTS1848 Armenia
A12332 Russia Turkey
FGC14598
Y19434
Y11410 L539 Z232
FGC14600
Y21258 Lithuania
Romania
PH1639
PH2731 Turkey Spain Sweden
L277.1
Y4366
M12135
BY3293 Near East
CTS7078 BY3294 Greece BY3716 Italy
Y19847
Y24543 Ukraine Pakistan Armenia Italy Germany
Phylogenetic tree of Haplogroup R1b-U106
(as of August 2021)
© Eupedia.com
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Phylogenetic tree of Haplogroup R1b-U152
(as of December 2021)
© Eupedia.com
Bronze Age Central Europe
(2500-2000 BCE)
R1b1a2a1a2b
U152/S28
Alpine Celtic branch
ZZ45
A274
Z36
BY3849
Central & NW Europe
A7966
A7967
A7993
A7993
Y16884
Z37
Etruscans
CT55531
FGC6418
FGC6511
Switzerland
S8024
V2488
England
Sweden
Finland
Malta
CT510146
CT510276
Switz., Italy & Malta
La Tène Celts
A517
NW Europe
BY3550
UK & Ireland
FGC43778
Britain
Benelux
Italic branch
Z56
L2
see L2 tree
Z43
Italics/Latins
Z71
L4
Jewish
Z48
CT57696
Italy
BY3958
France
Z192
Z193
Z40483
Z194
Italy
Germany
Ireland
BY4179
England
BY6661
Italy
PF6694
Italy
BY3630
Italy
PF6656
BY3650
Britain
BY3642
Europe
CT511993
Italy
CT52617
Poland
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Phylogenetic tree of Haplogroup R1b-L2
(as of December 2021)
© Eupedia.com
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Phylogenetic tree of Haplogroup R1b-ZZ12
(as of December 2021)
© Eupedia.com
Phylogenetic tree of Haplogroup R1b-L21
(as of August 2021)
© Eupedia.com
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
**Phylogenetic tree of Haplogroup R1b-Z39589**
(as of February 2021)
Origins & History
Paleolithic mammoth hunters
Haplogroup R* originated in North Asia just before the Last Glacial Maximum (26,500-19,000 years ago). This haplogroup has been identified in the remains of a 24,000 year-old boy from the Altai region, in south-central Siberia (Raghavan et al. 2013). This individual belonged to a tribe of **mammoth hunters** that may have roamed across Siberia and parts of Europe during the Paleolithic. Autosomally this Paleolithic population appears to have contributed mostly to the ancestry of modern...
Europeans and South Asians, the two regions where haplogroup R also happens to be the most common nowadays (R1b in Western Europe, R1a in Eastern Europe, Central and South Asia, and R2 in South Asia).
The oldest forms of R1b (M343, P25, L389) are found dispersed at very low frequencies from Western Europe to India, a vast region where could have roamed the nomadic R1b hunter-gatherers during the Ice Age. The three main branches of R1b1 (R1b1a, R1b1b, R1b1c) all seem to have stemmed from the Middle East. The southern branch, R1b1c (V88), is found mostly in the Levant and Africa. The northern branch, R1b1a (P297), seems to have originated around the Caucasus, eastern Anatolia or northern Mesopotamia, then to have crossed over the Caucasus, from where they would have invaded Europe and Central Asia. R1b1b (M335) has only been found in Anatolia.
Neolithic cattle herders
It has been hypothesised that R1b people (perhaps alongside neighbouring J2 tribes) were the first to domesticate cattle in northern Mesopotamia some 10,500 years ago. R1b tribes descended from mammoth hunters, and when mammoths went extinct, they started hunting other large game such as bisons and aurochs. With the increase of the human population in the Fertile Crescent from the beginning of the Neolithic (starting 12,000 years ago), selective hunting and culling of herds started replacing indiscriminate killing of wild animals. The increased involvement of humans in the life of aurochs, wild boars and goats led to their progressive taming. Cattle herders probably maintained a nomadic or semi-nomadic existence, while other people in the Fertile Crescent (presumably represented by haplogroups E1b1b, G and T) settled down to cultivate the land or keep smaller domesticates.
The analysis of bovine DNA has revealed that all the taurine cattle (Bos taurus) alive today descend from a population of only 80 aurochs. The earliest evidence of cattle domestication dates from circa 8,500 BCE in the Pre-Pottery Neolithic cultures in the Taurus Mountains. The two oldest archaeological sites showing signs of cattle domestication are the villages of Çayönü Tepesi in southeastern Turkey and Dja'de el-Mughara in northern Iraq, two sites only 250 km away from each others. This is presumably the area from which R1b lineages started expanding - or in other words the "original homeland" of R1b.
The early R1b cattle herders would have split in at least three groups. One branch (M335) remained in Anatolia, but judging from its extreme rarity today wasn't very successful, perhaps due to the heavy competition with other Neolithic populations in Anatolia, or to the scarcity of pastures in this mountainous environment. A second branch migrated south to the Levant, where it became the V88 branch. Some of them searched for new lands south in Africa, first in Egypt, then colonising most of northern Africa, from the Mediterranean coast to the Sahel. The third branch (P297), crossed the Caucasus into the vast Pontic-Caspian Steppe, which provided ideal grazing grounds for cattle. They split into two factions: R1b1a1 (M73), which went east along the Caspian Sea to Central Asia, and R1b1a2 (M269), which at first remained in the North Caucasus and the Pontic Steppe between the Dnieper and the Volga. It is not yet clear whether M73 actually migrated across the Caucasus and reached Central Asia via Kazakhstan, or if it went south through Iran and Turkmenistan. In any case, M73 would be a pre-Indo-European branch of R1b, just like V88 and M335.
R1b-M269 (the most common form in Europe) is closely associated with the diffusion of Indo-European languages, as attested by its presence in all regions of the world where Indo-European languages were spoken in ancient times, from the Atlantic coast of Europe to the Indian subcontinent, which comprised almost all Europe (except Finland, Sardinia and Bosnia-Herzegovina), Anatolia, Armenia, European Russia, southern Siberia, many pockets around Central Asia (notably in Xinjiang, Turkmenistan, Tajikistan and Afghanistan), without forgetting Iran, Pakistan, northern India and Nepal. The history of R1b and R1a are intricately connected to each others.
The Levantine & African branch of R1b (V88)
Like its northern counterpart (R1b-M269), R1b-V88 is associated with the domestication of cattle in northern Mesopotamia. Both branches of R1b probably split soon after cattle were domesticated, approximately 10,500 years ago (8,500 BCE). R1b-V88 migrated south towards the Levant and Egypt. The migration of R1b people can be followed archeologically through the presence of domesticated cattle, which appear in central Syria around 8,000-7,500 BCE (late Mureybet period), then in the Southern Levant and Egypt around 7,000-6,500 BCE (e.g. at Nabta Playa and Bir Kiseiba). Cattle herders subsequently spread across most of northern and eastern Africa. The Sahara desert would have been more humid during the Neolithic Subpluvial period (c. 7250-3250 BCE), and would have been a vast savannah full of grass, an ideal environment for cattle herding.
Evidence of cow herding during the Neolithic has shown up at Uan Muhuggiag in central Libya around 5500 BCE, at the Capeletti Cave in northern Algeria around 4500 BCE. But the most compelling evidence that R1b people related to modern Europeans once roamed the Sahara is to be found at Tassili n'Ajjer in southern Algeria, a site famous pyroglyphs (rock art) dating from the Neolithic era. Some painting dating from around 3000 BCE depict fair-skinned and blond or auburn haired women riding on cows. The oldest known R1b-V88 sample in Europe is a 6,200 year-old farmer/herder from Catalonia tested by Haak et al. (2015). Autosomally this individual was a typical Near Eastern farmer, possessing just a little bit of Mesolithic West European admixture.
After reaching the Maghreb, R1b-V88 cattle herders could have crossed the Strait of Gibraltar to Iberia, probably accompanied by G2 farmers, J1 and T1a goat herders. These North African Neolithic farmers/herders could have been the ones who established the Almagra Pottery culture in Andalusia in the 6th millennium BCE.
Nowadays small percentages (1 to 4%) of R1b-V88 are found in the Levant, among the Lebanese, the Druze, and the Jews, and almost in every country in Africa north of the equator. Higher frequency in Egypt (5%), among Berbers from the Egypt-Libya border (23%), among the Sudanese Copts (15%), the Hausa people of Sudan (40%), the Fulani people of the Sahel (54% in Niger and Cameroon), and Chadic tribes of northern Nigeria and northern Cameroon (especially among the Kirdi), where it is observed at a frequency ranging from 30% to 95% of men. According to Cruciani et al. (2010) R1bV88 would have crossed the Sahara between 9,200 and 5,600 years ago, and is most probably associated with the diffusion of Chadic languages, a branch of the Afroasiatic languages. V88 would have migrated from Egypt to Sudan, then expanded along the Sahel until northern Cameroon and Nigeria. However, R1b-V88 is not only present among Chadic speakers, but also among Senegambian speakers (Fula-Hausa) and Semitic speakers (Berbers, Arabs).
R1b-V88 is found among the native populations of Rwanda, South Africa, Namibia, Angola, Congo, Gabon, Equatorial Guinea, Ivory Coast, Guinea-Bissau. The wide distribution of V88 in all parts of Africa, its incidence among herding tribes, and the coalescence age of the haplogroup all support a Neolithic dispersal. In any case, a later migration out of Egypt would be improbable since it would have brought haplogroups that came to Egypt during the Bronze Age, such as J1, J2, R1a or R1b-L23.
The maternal lineages associated with the spread of R1b-V88 in Africa are mtDNA haplogroups J1b, U5 and V, and perhaps also U3 and some H subclades (=> see Retracing the mtDNA haplogroups of the original R1b people).
**The North Caucasus and the Pontic-Caspian steppe: the Indo-European link**
Modern linguists have placed the Proto-Indo-European homeland in the Pontic-Caspian Steppe, a distinct geographic and archeological region extending from the Danube estuary to the Ural mountains to the east and North Caucasus to the south. The Neolithic, Eneolithic and early Bronze Age cultures in Pontic-Caspian steppe has been called the *Kurgan culture* (4200-2200 BCE) by Marija Gimbutas, due to the lasting practice of burying the deads under mounds ("kurgan") among the succession of cultures in that region. It is now known that kurgan-type burials only date from the 4th millenium BCE and almost certainly originated south of the Caucasus. The genetic diversity of R1b being greater around eastern Anatolia, it is hard to deny that R1b evolved there before entering the steppe world.
Horses were first domesticated around 4600 BCE in the Caspian Steppe, perhaps somewhere around the Don or the lower Volga, and soon became a defining element of steppe culture. Nevertheless it is unlikely that R1b was already present in the eastern steppes at the time, so the domestication of the horse should be attributed to the indigenous *R1a people*, or tribes belonging to the older R1b-P297 branch, which settled in eastern Europe during the Late Paleolithic or Mesolithic.
period. Samples from Mesolithic Samara (Haak 2015) and Latvia (Jones 2017) all belonged to R1b-P297. Autosomally these Mesolithic R1a and R1b individuals were nearly pure Mesolithic East European, sometimes with a bit of Siberian admixture, but lacked the additional Caucasian admixture found in the Chalcolithic Afanasevo, Yamna and Corded Ware samples.
It is not yet entirely clear when R1b-M269 crossed over from the South Caucasus to the Pontic-Caspian steppe. This might have happened with the appearance of the Dnieper-Donets culture (c. 5100-4300 BCE). This was the first truly Neolithic society in the Pontic-Caspian Steppe. Domesticated animals (cattle, sheep and goats) were herded throughout the steppes and funeral rituals were elaborate. Sheep wool would play an important role in Indo-European society, notably in the Celtic and Germanic (R1b branches of the Indo-Europeans) clothing traditions up to this day. However, many elements indicate a continuity in the Dnieper-Donets culture with the previous Mesolithic hunter-gatherers, and at the same time an influence from the Balkans and Carpathians, with regular imports of pottery and copper objects. It is therefore more likely that Dnieper-Donets marked the transition of indigenous R1a and/or I2a1b people to early agriculture, perhaps with an influx of Near Eastern farmers from 'Old Europe'. Over 30 DNA samples from Neolithic Ukraine (5500-4800 BCE) were tested by Mathieson et al. (2017). They belonged to Y-haplogroups I, I2a2, R1a, R1b1a (L754) and one R1b1a2 (L388). None of them belonged to R1b-M269 or R1b-L23 clades, which dominated during the Yamna period. Mitochondrial lineages were also exclusively of Mesolithic European origin (U4a, U4b, U4d, U5a1, U5a2, U5b2, as well as one J2b1 and one U2e1). None of those maternal lineages include typical Indo-European haplogroups, like H2a1, H6, H8, H15, I1a1, J1b1a, W3, W4 or W5 that would later show up in the Yamna, Corded Ware and Unetice cultures. Indeed, autosomally genomes from Neolithic Ukraine were purely Mesolithic European (about 90% EHG and 10% WHG) and completely lacked the Caucasian (CHG) admixture later found in Yamna and subsequent Indo-European cultures during the Bronze Age.
The first clearly Proto-Indo-European cultures were the Khvalynsk (5200-4500 BCE) and Sredny Stog (4600-3900 BCE) cultures in the Pontic-Caspian Steppe. This is when small kurgan burials begin to appear, with the distinctive posturing of the dead on the back with knees raised and oriented toward the northeast, which would be found in later steppe cultures as well. There is evidence of population blending from the variety of skull shapes. Towards the end of the 5th millennium, an elite starts to develop with cattle, horses and copper used as status symbols. It is at the turn of the Khvalynsk and Sredny Stog periods that R1b-M269's main subclade, L23, is thought to have appeared, around 4,500 BCE. 99% of Indo-European
R1b descends from this L23 clade. The other branch descended from M269 is PF7562, which is found mostly in the Balkans, Turkey and Armenia today, and may represent an early Steppe migration to the Balkans dating from the Sredny Stog period.
Another migration across the Caucasus happened shortly before 3700 BCE, when the Maykop culture, the world's first Bronze Age society, suddenly materialised in the north-west Caucasus, apparently out of nowhere. The origins of Maykop are still uncertain, but archeologists have linked it to contemporary Chalcolithic cultures in Assyria and western Iran. Archeology also shows a clear diffusion of bronze working and kurgan-type burials from the Maykop culture to the Pontic Steppe, where the Yamna culture developed soon afterwards (from 3500 BCE). Kurgan (a.k.a. tumulus) burials would become a dominant feature of ancient Indo-European societies and were widely used by the Celts, Romans, Germanic tribes, and Scythians, among others.
The Yamna period (3500-2500 BCE) is the most important one in the creation of Indo-European culture and society. Middle Eastern R1b-M269 people had been living and blending to some extent with the local R1a foragers and herders for over a millennium, perhaps even two or three. The close cultural contact and interactions between R1a and R1b people all over the Pontic-Caspian Steppe resulted in the creation of a common vernacular, a new lingua franca, which linguists have called Proto-Indo-European (PIE). It is pointless to try to assign another region of origin to the PIE language. Linguistic similarities exist between PIE and Caucasian and Hurrian languages in the Middle East on the one hand, and Uralic languages in the Volga-Ural region on the other hand, which makes the Pontic Steppe the perfect intermediary region.
During the Yamna period cattle and sheep herders adopted wagons to transport their food and tents, which allowed them to move deeper into the steppe, giving rise to a new mobile lifestyle that would eventually lead to the great Indo-European migrations. This type of mass migration in which whole tribes moved with the help of wagons was still common in Gaul at the time of Julius Caesar, and among Germanic peoples in the late Antiquity.
The Yamna horizon was not a single, unified culture. In the south, along the northern shores of the Black Sea coast until the north-west Caucasus, was a region of open steppe, expanding eastward until the Caspian Sea, Siberia and Mongolia (the Eurasian Steppe). The western section, between the Don and Dniester Rivers (and later the Danube), was the one
most densely settled by R1b people, with only a minority of R1a people (5-10%). The eastern section, in the Volga basin until the Ural mountains, was inhabited by R1a people with a substantial minority of R1b people (whose descendants can be found among the Bashkirs, Turkmans, Uyghurs and Hazaras, among others). The northern part of the Yamna horizon was forest-steppe occupied by R1a people, also joined by a small minority of R1b (judging from Corded Ware samples and from modern Russians and Belarussians, whose frequency of R1b is from seven to nine times lower than R1a). The western branch would migrate to the Balkans and Greece, then to Central and Western Europe, and back to their ancestral Anatolia in successive waves (Hittites, Phrygians, Armenians, etc.). The eastern branch would migrate to Central Asia, Xinjiang, Siberia, and South Asia (Iran, Pakistan, India). The northern branch would evolve into the Corded Ware culture and disperse around the Baltic, Poland, Germany and Scandinavia.
**The Maykop culture, the R1b link to the Steppe?**
The Maykop culture (3700-2500 BCE) in the north-west Caucasus was culturally speaking a sort of southern extension of the Yamna horizon. Although not generally considered part of the Pontic-Caspian steppe culture due to its geography, the North Caucasus had close links with the steppes, as attested by numerous ceramics, gold, copper and bronze weapons and jewelry in the contemporaneous cultures of [Mikhaylovka](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml), Sredny Stog and [Kemi Oba](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml). The link between the northern Black Sea coast and the North Caucasus is older than the Maykop period. Its predecessor, the Svobodnoe culture (4400-3700 BCE), already had links to the Suvorovo-Novodanilovka and early Sredny Stog cultures. The even older Nalchik settlement (5000-4500 BCE) in the North Caucasus displayed a similar culture as Khvalynsk in the Caspian Steppe and Volga region. This may be the period when R1b started interracting and blending with the R1a population of the steppes.
The Yamna and Maykop people both used kurgan burials, placing their deads in a supine position with raised knees and oriented in a north-east/south-west axis. Graves were sprinkled with red ochre on the floor, and sacrificed domestic animal buried alongside humans. They also had in common horses, wagons, a heavily cattle-based economy with a minority of sheep kept for their wool, use of copper/bronze battle-axes (both hammer-axes and sleeved axes) and tanged daggers. In fact, the oldest wagons and bronze artefacts are found in the North Caucasus, and appear to have spread from there to the steppes.
Maykop was an advanced Bronze Age culture, actually one of the very first to develop metalworking, and therefore metal weapons. The world's oldest sword was found at a late Maykop grave in Klady kurgan 31. Its style is reminiscent of the long Celtic swords, though less elaborated. Horse bones and depictions of horses already appear in early Maykop graves, suggesting that the Maykop culture might have been founded by steppe people or by people who had close link with them. However, the presence of cultural elements radically different from the steppe culture in some sites could mean that Maykop had a hybrid population. Without DNA testing it is impossible to say if these two populations were an Anatolian R1b group and a G2a Caucasian group, or whether R1a people had settled there too. The two or three ethnicities might even have cohabited side by side in different settlements. The one typical Caucasian Y-DNA lineage that does follow the pattern of Indo-European migrations is G2a-L13, which is found throughout Europe, Central Asia and South Asia. In the Balkans, the Danube basin and Central Europe its frequency is somewhat proportional to the percentage of R1b.
Maykop people are the ones credited for the introduction of primitive wheeled vehicles (wagons) from Mesopotamia to the Steppe. This would revolutionise the way of life in the steppe, and would later lead to the development of (horse-drawn) war chariots around 2000 BCE. Cavalry and chariots played an vital role in the subsequent Indo-European migrations, allowing them to move quickly and defeat easily anybody they encountered. Combined with advanced bronze weapons and their sea-based culture, the western branch (R1b) of the Indo-Europeans from the Black Sea shores are excellent candidates for being the mysterious Sea Peoples, who raided the eastern shores of the Mediterranean during the second millennium BCE.
The rise of the IE-speaking Hittites in Central Anatolia happened a few centuries after the disappearance of the Maykop and Yamna cultures. Considering that most Indo-European forms of R1b found in Anatolia today belong to the R1b-Z2103 subclade, it makes little doubt that the Hittites came to Anatolia via the Balkans, after Yamna/Maykop people invaded Southeast Europe. The Maykop and Yamna cultures were succeeded by the Srubna culture (1600-1200 BCE), possibly representing an advance of R1a-Z282 people from the northern steppes towards the Black Sea shores, filling the vacuum left by the R1b tribes who migrated to Southeast Europe and Anatolia.
Migration map of Y-haplogroup R1b from the Paleolithic to the end of the Bronze Age (c. 1000 BCE)
Migration map of Y-haplogroup R1b in the Late Neolithic and Early Bronze Age (c. 5500-3000 BCE)
Suggested associations of early Neolithic cultures with Y-DNA haplogroups
Kongemose culture: I*, I2a, I2c
Tardenoisian culture: C1a, I, I2, I2a, I2c
Printed Cardium Pottery: G2a, (I2a, J1, T1a)
Thessalian Neolithic: G2a, (C1a, E1b1b, I2a, H2, T1a)
Helladic Greece: G2a, I2, (H2, J1, T1a)
La Almagra Pottery: E1b1b, G2a, R1b-V88, T1a
Kunda culture: I2, R1a, R1b
Bug-Dniester culture: I2, R1a, R1b
Caucasian Neolithic: J2, J1, G2a, T1a, R1b
Anatolian Neolithic: G2a, (H2, I2, J2, R1b, T1a)
Hassuna: J2, R1b, G2, J1, T1a
Amuq-Byblos: E1b1b, G, H2, R1b-V88, T1a
Ertebølle culture: I*, I2a
Linear Pottery culture: G2a, (C1a, I, I2, I2a T1a)
Cardium Pottery: G2a, E1b1b, I2a, (J1, T1a)
Starčevo culture: G2a, (C1a, I2a, H2, T1a)
Lengyel culture: G2a, J2a, E1b1b, I2a, T1a
Megalithic cultures: G2a, I2, I2a, E1b1b, R1b-V88, La Almagra Pottery: E1b1b, T1a, R1b-V88, G2a
Narva culture: I2a1, R1a1a, R1b-P297
Karma culture: N1c1
Khvalynsk culture: R1b, R1a, Q1a
Dnieper-Donets culture: R1a, I2
Cucuteni-Trypillyan culture: G2a, E1b1b, I2a1b
Shulaveri-Shomu: J2a, G2a, J1, (R1b, T1a)
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Suggested associations of Late Neolithic cultures with Y-DNA haplogroups
- Funnelbeaker culture: G2a, I*, I2
- Megalithic cultures: I2, G2a
- Rössen & Lengyel cultures: G2a, I*, I1, I2, (H2, T1a)
- Printed Cordium Pottery: G2a I2, (J1, T1a)
- Eastern Linear Pottery: G2a, I*, I1, I2, (T1a)
- Neolithic Greece & Balkans: G2a, I2a, (C1a, H2, T1a)
- La Almagra Pottery: R1b-V88, G2a, E1b1b, T1a
Comb Ceramic Pottery: N1c1, R1a, R1b-P297, I2a1
- North Yamna culture: R1a, (R1b-L23, J2b)
- South Yamna culture: R1b-L23, (R1a, I2a2a, J2b)
- Cucuteni-Trypillian culture: G2a, I2a1b, E-V13, R1a
- Maykop culture: R1b-L23, G2a, (I2c)
- Kura-Araxes: J2, J1, G2a, (R1b, I2c)
- Mesopotamia: J1, E1b1b, T1a, G, R1b
- Levant: E1b1b, G, H2, R1b-V88, T1a
Minor or less likely haplogroups are in brackets
Suggested associations of Chalcolithic cultures with Y-DNA haplogroups
- Funnelbeaker culture: G2a, I*, I2
- Wartberg culture: G2a, I*, I1, I2, (T1a)
- Megalithic cultures: I2, G2a, R1b-V88, E1b1b, T1a
- Baden culture: G2a, I*, I2, (E1b1b, J2a, T1a)
- Globular Amphora Culture: G2a I2, (R1a)
- Cucuteni-Trypillian Culture: G2a E-V13, I2a1b, (R1a)
- Neolithic Greece & Balkans: G2a, I2a, (C1a, H2, T1a)
Comb Ceramic Pottery: I2, N1c1
- North Yamna culture: R1a, (R1b-L23, J2b)
- South Yamna culture: R1b-L23, (R1a, I2a2a, J2b)
- Maykop culture: R1b-L23, G2a-U1, J2-L70, (I2c2)
- Kura-Araxes: J2, J1, G2a, T1a, I1b, (R1b)
- Mesopotamia: J1, E1b1b, T1a, G, R1b
- Levant: E1b1b, G, H2, R1b-V88, T1a
Minor or less likely haplogroups are in brackets
The Siberian & Central Asian branch
When R1b crossed the Caucasus in the Late Neolithic, it split into two main groups. The western one (L51) would settle the eastern and northern of the Black Sea. The eastern one (Z2103) migrated to the Don-Volga region, where horses were domesticated circa 4600 BCE. R1b probably mixed with indigenous R1a people and founded the Repin culture (3700-3300 BCE) a bit before the Yamna culture came into existence in the western Pontic Steppe. R1b would then have migrated with horses along the Great Eurasian Steppe until the Altai mountains in East-Central Asia, where they established the Afanasevo culture (c. 3600-2400 BCE). Afanasevo people might be the precursors of the Tocharian branch of Indo-European languages. In 2014, Clément Hollard of Strasbourg University tested three Y-DNA samples from the Afanasevo culture and all three turned out to belong to haplogroup R1b, including two to R1b-M269.
The R1b people who stayed in the Volga-Ural region were probably the initiators of the Poltavka culture (2700-2100 BCE), then became integrated into the R1a-dominant Sintashta-Petrovka culture (2100-1750 BCE) linked to the Indo-Aryan conquest of Central and South Asia (=> see R1a for more details).
Nowadays in Russia R1b is found at higher frequencies among ethnic minorities of the Volga-Ural region (Udmurts, Komi, Mordvins, Tatars) than among Slavic Russians. R1b is also present in many Central Asian populations, the highest percentages being observed among the Uyghurs (20%) of Xinjiang in north-west China, the Yaghnobi people of Tajikistan (32%), and the Bashkirs (47%, or 62.5% in the Abzelilovsky district) of Bashkortostan in Russia (border of Kazakhstan).
R1b-M73, found primarily in North Asia (Altai, Mongolia), Central Asia and the North Caucasus is thought to have spread during the Neolithic from the Middle East to Central and North Asia, and therefore can be considered to be pre-Indo-European.
The European & Middle Eastern branch
The Indo-Europeans's bronze weapons and the extra mobility provided by horses would have given them a tremendous advantage over the autochthonous inhabitants of Europe, namely the native haplogroup C1a2, F and I (descendants of CroMagnon) and the early Neolithic herders and farmers (G2a, H2, E1b1b and T1a). This allowed R1a and R1b to replace most of the native male lineages (=> see How did R1b come to replace most of the older lineages in Western Europe?), although female lineages seem to have been less affected.
A comparison with the Indo-Iranian invasion of South Asia shows that 40% of the male linages of northern India are R1a, but less than 10% of the female lineages could be of Indo-European origin. The impact of the Indo-Europeans was more severe in Europe because European society 4,000 years ago was less developed in terms of agriculture, technology (no bronze weapons) and population density than that of the Indus Valley civilization. This is particularly true of the native Western European cultures where farming arrived much later than in the Balkans or Central Europe. Greece, the Balkans and the Carpathians were the most advanced of European societies at the time and were the least affected in terms of haplogroup replacement. neolithic lineages survived better in regions that were more difficult to reach or less hospitable to horse breeders, like the Alps, the Dinaric Alps, the Apennines and Sardinia.
The Conquest of "Old Europe" and Central Europe (4200-2500 BCE)
The first forays of Steppe people into the Balkans happened between 4200 BCE and 3900 BCE, when cattle herders equipped with horse-drawn wagons crossed the Dniester and Danube and apparently destroyed the towns of the Gumelnita, Varna and Karanovo VI cultures in Eastern Romania and Bulgaria. A climatic change resulting in colder winters during this exact period probably pushed steppe herders to seek milder pastures for their stock, while failed crops would have led to famine and internal disturbance within the Danubian and Balkanic communities. The ensuing Cernavodă culture (Copper Age, 4000-3200 BCE), Cotofeni/Usatovo culture (Copper to Bronze Age, 3500-2500 BCE), Ezero culture (Bronze Age, 3300-2700 BCE), in modern Romania, seems to have had a mixed population of steppe immigrants and people from the old tell settlements. These Steppe immigrants were likely a mixture of both R1a and R1b lineages, with a probably higher percentage of R1a than later Yamna-era invasions.
The Steppe invaders would have forced many Danubian farmers to migrate to the Cucuteni-Trypillian towns in the eastern Carpathians, causing a population boom and a north-eastward expansion until the Dnieper valley, bringing Y-haplogroups G2a, I2a1 (probably the dominant lineage of the Cucuteni-Trypillian culture), E1b1b, J2a and T1a in what is now central
Ukraine. This precocious Indo-European advance westward was fairly limited, due to the absence of Bronze weapons and organised army at the time, and was indeed only possible thanks to climatic catastrophes which reduced the defences of the towns of Old Europe. The Carpathian, Danubian, and Balkanic cultures were too densely populated and technologically advanced to allow for a massive migration.
In comparison the forest-steppe R1a people successfully penetrated into the heart of Europe with little hindrance, due to the absence of developed agrarian societies around Poland and the Baltic. The Corded Ware culture (3200-1800 BCE) was a natural northern and western expansion of the Yamna culture, reaching as far west as Germany and as far north as Sweden and Norway. DNA analysis from the Corded Ware confirmed the presence of R1a and R1b in Poland c. 2700 BCE and R1a central Germany around 2600 BCE. The Corded Ware tribes expanded from the northern fringe of the Yamna culture where R1a lineages were prevalent over R1b ones.
The expansion of R1b people into Old Europe was slower, but proved inevitable. In 2800 BCE, by the time the Corded Ware had already reached Scandinavia, the Bronze Age R1b cultures had barely moved into the Pannonian Steppe. They established major settlements in the Great Hungarian Plain, the most similar habitat to their ancestral Pontic Steppes. Around 2500 BCE, the western branch of Indo-European R1b were poised for their next major expansion into modern Germany and Western Europe. By that time, the R1b immigrants had blended to a great extent with the indigenous Mesolithic and Neolithic populations of the Danubian basin, where they had now lived for 1,700 years.
The strongly patriarchal Indo-European elite remained almost exclusively R1b on the paternal side, but absorbed a high proportion of non-Indo-European maternal lineages. Hybridised, the new Proto-Indo-European R1b people would have lost most of their remaining Proto-Europoid or Mongolid features inherited from their Caspian origins (which were still clearly visible in numerous individuals from the Yamna period). Their light hair, eye and skin pigmentation, once interbred with the darker inhabitants of Old Europe, became more like that of modern Southern Europeans. The R1a people of the Corded Ware culture would come across far less populous societies in Northern Europe, mostly descended from the lighter Mesolithic population, and therefore retained more of their original pigmentation (although facial traits evolved considerably in Scandinavia, where the I1 inhabitants were strongly dolicocephalic and long-faced, as opposed to the brachycephalic and broad-faced Steppe people).
The Conquest of Western Europe (2500-1200 BCE)
The R1b conquest of Europe happened in two phases. For nearly two millennia, starting from circa 4200 BCE, Steppe people limited their conquest to the rich Chalcolithic civilisations of the Carpathians and the Balkans. These societies possessed the world's largest towns, notably the tell settlements of the Cucuteni-Tripolye culture. Nothing incited the R1b conquerors to move further into Western Europe at such an early stage, because most of the land north and west of the Alps was still sparsely populated woodland. The Neolithic did not reach the British Isles and Scandinavia before circa 4000 BCE. Even northern France and most of the Alpine region had been farming or herding for less than a millennium and were still quite primitive compared to Southeast Europe and the Middle East.
North-west Europe remained a tribal society of hunter-gatherers practising only limited agriculture for centuries after the conquest of the Balkans by the Indo-Europeans. Why would our R1b "conquistadors" leave the comfort of the wealthy and populous Danubian civilisations for the harsh living conditions that lie beyond? Bronze Age people coveted tin, copper, and gold, of which the Balkans had plenty, but that no one had yet discovered in Western Europe.
R1b-L51 is thought to have arrived in Central Europe (Hungary, Austria, Bohemia) around 2500 BCE, approximately two millennia after the shift to the Neolithic lifestyle in these regions. Agrarian towns had started to develop. Gold and copper had begun to be mined. The prospects of a conquest were now far more appealing.
The archeological and genetic evidence (distribution of R1b subclades) point at several consecutive waves towards eastern and central Germany between 2800 BCE and 2300 BCE. The Unetice culture was probably the first culture in which R1b-L11 lineages played a major role. It is interesting to note that the Unetice period happen to correspond to the end of the Maykop (2500 BCE) and Kemi Oba (2200 BCE) cultures on the northern shores of the Black Sea, and their replacement by cultures descended from the northern steppes. It can therefore be envisaged that the (mostly) R1b population from the northern half of the Black Sea migrated westward due to pressure from other Indo-European people (R1a) from the north, for example that of the burgeoning Proto-Indo-Iranian branch, linked to the contemporary Poltavka and Abashevo cultures.
It is doubtful that the Bell Beaker culture (2900-1800 BCE) in Western Europe was already Indo-European because its attributes are in perfect continuity with the native Megalithic cultures. The Beaker phenomenon started during the Late
Neolithic and Early Chalcolithic in Portugal and propagated to the north-east towards Germany. During the same period Bronze Age Steppe cultures spread from Germany in the opposite direction towards Iberia, France and Britain, progressively bringing R1b lineages into the Bell Beaker territory. It is more likely that the beakers and horses found across Western Europe during that period were the result of trade with neighbouring Indo-European cultures, including the first wave of R1b into Central Europe. It is equally possible that the Beaker people were R1b merchants or explorers who travelled across Western Europe and brought back tales of riches poorly defended by Stone Age people waiting to be conquered. This would have prompted a full-scale Indo-European (R1b) invasion from about 2500 BCE in Germany, reaching the Atlantic (north of the Pyrenees at least) around 2200 BCE.
Ancient DNA tests conducted by Lee et al. (2012), Haak et al. (2015) and Allentoft et al. (2015) have all confirmed the presence of R1b-L51 (and deeper subclades such as P312 and U152) in Germany from the Bell Beaker period onwards, but none in earlier cultures. German Bell Beaker R1b samples only had about 50% of Yamna autosomal DNA and often possessed Neolithic non-Steppe mtDNA, which confirms that R1b invaders took local wives as they advanced westward. Another study by Olalde et al. (2017) confirmed that Iberian Bell Beakers were genetically distinct from the previously tested German samples. None of the Spanish or Portuguese individuals associated with Bell Beaker pottery possessed any Steppe admixture, and none belonged to the Indo-European haplogroup R1b-L23 or its subclades. Instead they belonged to typical Megalithic lineages like G2a, I2a1, I2a2 and the Neolithic R1b-V88. The paper also confirmed a high frequency of R1b-L51 lineages in central Europe during the Beall Beaker period. In Britain, Megalithic individuals belonged exclusively to Y-haplogroup I2 (mostly I2a2 and I2a1b-L161), but were entirely replaced by R1b-L51 (mosly L21 clade) in the Early Bronze Age. This means that the Bell Beaker culture was not associated with one particular ethnic group. Beaker pottery originated in Megalithic Iberia, but then spread to France and central Europe and was used by invading R1b-L51 Steppe people, who brought it with them to the British Isles, while wiping out most of the indigenous Megalithic population. There was therefore no 'Bell Beaker people', but just various populations trading and using Beaker pots during that period.
DNA samples from the Unetice culture (2300-1600 BCE) in Germany, which emerged less than two centuries after the appearance of the first R1b-L51 individuals in the late Bell Beaker Germany, had a slightly higher percentage of Yamna ancestry (60~65%) and of Yamna-related mtDNA lineages, which indicates a migration of both Steppe men and women. That would explain why archeological artefacts from the Unetice culture are clearly Yamna-related (i.e. Indo-European), as
they abruptly introduced new technologies and a radically different lifestyle, while the Bell Beaker culture was in direct continuity with previous Neolithic or Chalcolithic cultures. R1b men may simply have conquered the Bell Beaker people and overthrown the local rulers without obliterating the old culture due to their limited numbers. Taking the analogy of the Germanic migrations in the Late Antiquity, the R1b invasion of the Bell Beaker period was more alike to that of the Goths, Burgunds and Vandals, who all migrated in small numbers, created new kingdoms within the Roman empire, but adopted Latin language and Roman culture. In contrast, the Corded Ware and Unetice culture involved large-scale migrations of Steppe people, who imposed their Indo-European language and culture and conquered people, just like the Anglo-Saxons or the Bavarians did in the 5th century.
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The cultures that succeeded to Unetice in Central Europe, chronologically the Tumulus culture (1600-1200 BCE), Urnfield culture (1300-1200 BCE) and Hallstatt culture (1200-750 BCE) cultures remained typically Indo-European. The Hallstatt culture, centered around the Alps, is considered the first classical Celtic culture in Europe. It quickly expanded to France, Britain, Iberia, northern Italy and the Danube valley, probably spreading for the first time Celtic languages, although not bronze technology nor R1b lineages, which had both already spread over much of western Europe during the Bell Beaker period.
=> See also Metal-mining and stockbreeding explain R1b dominance in Atlantic fringe
Did the Indo-Europeans really invade Western Europe?
Proponents of the Paleolithic or Neolithic continuity model argue that bronze technology and horses could have been imported by Western Europeans from their Eastern European neighbours, and that no actual Indo-European invasion need be involved. It is harder to see how Italic, Celtic and Germanic languages were adopted by Western and Northern Europeans without at least a small scale invasion. It has been suggested that Indo-European (IE) languages simply disseminated through contact, just like technologies, or because it was the language of a small elite and therefore its adoption conferred a certain perceived prestige. However people don't just change language like that because it sounds nicer or more prestigious. Even nowadays, with textbooks, dictionaries, compulsory language courses at school, private
language schools for adults and multilingual TV programs, the majority of the people cannot become fluent in a completely foreign language, belonging to a different language family. The linguistic gap between pre-IE vernaculars and IE languages was about as big as between modern English and Chinese. English, Greek, Russian and Hindi are all related IE languages and therefore easier to learn for IE speakers than non-IE languages like Chinese, Arabic or Hungarian. From a linguistic point of view, only a wide-scale migration of IE speakers could explain the thorough adoption of IE languages in Western Europe - leaving only Basque as a remnant of the Neolithic languages.
One important archeological argument in favour of the replacement of Neolithic cultures by Indo-European culture in the Bronze Age comes from pottery styles. The sudden appearance of bronze technology in Western Europe coincides with ceramics suddenly becoming more simple and less decorated, just like in the Pontic Steppe. Until then, pottery had constantly evolved towards greater complexity and details for over 3,000 years. People do not just decide like that to revert to a more primitive style. Perhaps one isolated tribe might experiment with something simpler at one point, but what are the chances that distant cultures from Iberia, Gaul, Italy and Britain all decide to undertake such an improbable shift around the same time? The best explanation is that this new style was imposed by foreign invaders. In this case it is not mere speculation; there is ample evidence that this simpler pottery is characteristic of the steppes associated with the emergence of Proto-Indo-European speakers.
Besides pottery, archaeology provides ample evidence that the early Bronze Age in Central and Western Europe coincides with a radical shift in food production. Agriculture experiences an abrupt reduction in exchange for an increased emphasis on domesticates. This is also a period when horses become more common and cow milk is being consumed regularly. The overall change mimicks the Steppic way of life almost perfectly. Even after the introduction of agriculture around 5200 BCE, the Bug-Dniester culture and later Steppe cultures were characterised by an economy dominated by herding, with only limited farming. This pattern expands into Europe exactly at the same time as bronze working.
Religious beliefs and arts undergo a complete reversal in Bronze Age Europe. Neolithic societies in the Near East and Europe had always worshipped female figurines as a form of fertility cult. The Steppe cultures, on the contrary, did not
manufacture female figurines. As bronze technology spreads from the Danube valley to Western Europe, symbols of fertility and fecundity progressively disappear and are replaced by sculptures of domesticated animals.
Another clue that Indo-European Steppe people came in great number to Central and Western Europe is to be found in burial practices. Neolithic Europeans either cremated their dead (e.g. Cucuteni-Tripolye culture) or buried them in collective graves (this was the case of Megalithic cultures). In the Steppe, each person was buried individually, and high-ranking graves were placed in a funeral chamber and topped by a circular mound. The body was typically accompanied by weapons (maces, axes, daggers), horse bones, and a dismantled wagon (or later chariot). These characteristic burial mounds are known as kurgans in the Pontic Steppe. Men were given more sumptuous tombs than women, even among children, and differences in hierarchy are obvious between burials. The Indo-Europeans had a strongly hierarchical and patrilinear society, as opposed to the more egalitarian and matrilinear cultures of Old Europe. The proliferation of status-conscious male-dominant kurgans (or tumulus) in Central Europe during the Bronze Age is a clear sign that the ruling elite had now become Indo-European. The practice also spread to central Asia and southern Siberia, two regions where R1a and R1b lineages are found nowadays, just like in Central Europe. The ceremony of burial is one of the most emotionally charged and personal aspect of a culture. It is highly doubtful that people would change their ancestral practice "just to do like the neighbours". In fact, different funerary practices have co-existed side by side during the European Neolithic and Chalcolithic. The ascendancy of yet another constituent of the Pontic Steppe culture in the rest of Europe, and in this case one that does not change easily through contact with neighbours, adds up to the likelihood of a strong Indo-European migration. The adoption of some elements of a foreign culture tends to happen when one civilization overawes the adjacent cultures by its superiority. This process is called 'acculturation'. However there is nothing that indicates that the Steppe culture was so culturally superior as to motivate a whole continent, even Atlantic cultures over 2000 km away from the Pontic Steppe, to abandon so many fundamental symbols of their own ancestral culture, and even their own language. In fact, Old Europe was far more refined in its pottery and jewellery than the rough Steppe people. The Indo-European superiority was cultural but military, thanks to horses, bronze weapons and an ethic code valuing individual heroic feats in war (these ethic values are known from the old IE texts, like the Rig Veda, Avesta, or the Mycenaean and Hittite literature).
After linguistics and archaeology, the third category of evidence comes from genetics itself. It had first been hypothesised that R1b was native to Western Europe, because this is where it was most prevalent. It has since been proven that R1b haplotypes displayed higher microsatellite diversity in Anatolia and in the Caucasus than in Europe. European subclades are also more recent than Middle Eastern or Central Asian ones. The main European subclade, R-P312/S116, only dates back to approximately 3500 to 3000 BCE. It does not mean that the oldest common ancestor of this lineage arrived in Western Europe during this period, but that the first person who carried the mutation R-P312/S116 lived at least 5,000 years ago, assumably somewhere in the lower Danube valley or around the Black Sea. In any case this timeframe is far too recent for a Paleolithic origin or a Neolithic arrival of R1b. The discovery of what was thought to be "European lineages" in Central Asia, Pakistan and India hit the final nail on the coffin of a Paleolithic origin of R1b in Western Europe, and confirmed the Indo-European link.
All the elements concur in favour of a large scale migration of Indo-European speakers (possibly riding on horses) to Western Europe between 2500 to 2100 BCE, contributing to the replacement of the Neolithic or Chalcolithic lifestyle by a inherently new Bronze Age culture, with simpler pottery, less farming, more herding, new rituals (single graves) and new values (patrilinear society, warrior heroes) that did not evolve from local predecessors.
The Atlantic Celtic branch (L21)
The Proto-Italo-Celto-Germanic R1b people had reached in what is now Germany by 2500 BCE. By 2300 BCE they had arrived in large numbers and founded the Unetice culture. Judging from the propagation of bronze working to Western Europe, those first Indo-Europeans reached France and the Low Countries by 2200 BCE, Britain by 2100 BCE and Ireland by 2000 BCE, and Iberia by 1800 BCE. This first wave of R1b presumably carried R1b-L21 lineages in great number (perhaps because of a founder effect), as these are found everywhere in western, northern and Central Europe. Cassidy et al. (2015) confirmed the presence of R1b-L21 (DF13 and DF21 subclades) in Ireland around 2000 BCE. Those genomes closely resembled those of the Unetice culture autosomally, but differed greatly from the earlier Neolithic Irish samples. This confirms that a direct migration of R1b-L21 from Central Europe was responsible for the introduction of the Bronze Age to Ireland.
The early split of L21 from the main Proto-Celtic branch around Germany would explain why the Q-Celtic languages (Goidelic and Hispano-Celtic) diverged so much from the P-Celtic branch (La Tène, Gaulish, Brythonic), which appears to have expanded from the later Urnfield and Hallstat cultures.
Some L21 lineages from the Netherlands and northern Germany later entered Scandinavia (from 1700 BCE) with the dominant subclade of the region, R1b-S21/U106 (see below). The stronger presence of L21 in Norway and Iceland can be attributed to the Norwegian Vikings, who had colonised parts of Scotland and Ireland and taken slaves among the native Celtic populations, whom they brought to their new colony of Iceland and back to Norway. Nowadays about 20% of all Icelandic male lineages are R1b-L21 of Scottish or Irish origin.
In France, R1b-L21 is mainly present in historical Brittany (including Mayenne and Vendée) and in Lower Normandy. This region was repopulated by massive immigration of insular Britons in the 5th century due to pressure from the invading Anglo-Saxons. However, it is possible that L21 was present in Armorica since the Bronze age or the Iron age given that the tribes of the Armorican Confederation of ancient Gaul already had a distinct identity from the other Gauls and had maintained close ties with the British Isles at least since the Atlantic Bronze Age.
Distribution of haplogroup R1b-L21 (S145) in Europe
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
The first Proto-Celtic R1b lineages to reach France and the Iberian peninsula from Central Europe were probably L21 and DF27. Whereas L21 might have taken a northern route through Belgium and northern France on its way to the British Isles, DF27 seems to have spread all over France but heading in greater number toward the south.
The Bronze Age did not appear in Iberia until 1800 BCE, and was mostly confined to the cultures of El Argar and Los Millares in south-east Spain, with sporadic sites showing up in Castile by 1700 BCE and in Extremadura and southern Portugal by 1500 BCE. These Early Bronze Age sites typically did not have more than some bronze daggers or axes and cannot be considered proper Bronze Age societies, but rather Copper Age societies with occasional bronze artefacts (perhaps imported). These cultures might have been founded by small groups of R1b adventurers looking for easy conquests in parts of Europe that did not yet have bronze weapons. They would have become a small ruling elite, would have had children with local women, and within a few generations their Indo-European language would have been lost, absorbed by the indigenous languages (=> see How did the Basques become R1b?).
Martiniano et al. (2017) sequenced the genomes of various skeletons from West Iberia dating from the Middle and Late Neolithic, Chalcolithic and Middle Bronze Age (since the Early Bronze Age did not reach that region). They found that Neolithic and Chalcolithic individuals belonged to Y-haplogroups I*, I2a1 and G2a. In contrast, all three Bronze Age Portuguese men tested belonged to R1b (one M269 and two P312), although they carried Neolithic Iberian maternal lineages (H1, U5b3, X2b) and lacked any discernible Steppe admixture. This is concordant with a scenario of Indo-European R1b men entering Iberia from 1800 BCE as a small group of adventurers and taking local wives, thus diluting their DNA at each generation, until hardly any Steppe admixture was left after a few centuries, by the time they reached Portugal. Nowadays, Spaniards and Portuguese do possess about 25% of Steppe admixture, which means that other more important Indo-European migrations took place later on, during the Late Bronze Age and the Iron Age.
Iberia did not become a fully-fledged Bronze Age society until the 13th century BCE, when the Urnfield culture (1300-1200 BCE) expanded from Germany to Catalonia via southern France, then the ensuing Hallstatt culture (1200-750 BCE) spread
throughout most of the peninsula (especially the western half). This period belongs to the wider Atlantic Bronze Age (1300-700 BCE), when Iberia was connected to the rest of Western Europe through a complex trade network.
It is hard to say when exactly DF27 entered Iberia. Considering its overwhelming presence in the peninsula and in south-west France, it is likely that DF27 arrived early, during the 1800 to 1300 BCE period, and perhaps even earlier, if R1b adventurers penetrated the Bell Beaker culture, as they appear to have done all over Western Europe from 2300 BCE to 1800 BCE. The Atlantic Bronze Age could correspond to the period when DF27 radiated more evenly around Iberia and ended up, following Atlantic trade routes, all the way to the British Isles, the Netherlands and Scandinavia.
Distribution of haplogroup R1b-DF27 in Europe
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
The Italo-Celtic branch (S28/U152/PF6570)
Furtwängler et al. (2020) analysed 96 ancient genomes from Switzerland, Southern Germany, and the Alsace region in France, covering the Middle/Late Neolithic to Early Bronze Age. They confirmed that R1b arrived in the region during the transitory Bell Beaker period (2800-1800 BCE). The vast majority of Bell Beaker R1b samples belonged to the U152 > L2 clade (11 out of 14; the other being P312 or L51).
Starting circa 1300 BCE, a new Bronze Age culture flourished around the Alps thanks to the abundance of metal in the region, and laid the foundation for the classical Celtic culture. It was actually the succession of three closely linked culture: the Urnfield culture, which would evolve into the Hallstatt culture (from 1200 BCE) and eventually into the La Tène culture (from 450 BCE). After the Unetice expansion to Western Europe between 2300 and 1800 BCE, the Urnfield/Hallstatt/La Tène period represents the second major R1b expansion that took place from Central Europe, pushing west to the Atlantic, north to Scandinavia, east to the Danubian valley, and eventually as far away as Greece, Anatolia, Ukraine and Russia, perhaps even until the Tarim basin in north-west China (=> see Tarim mummies.
R1b-U152 would have entered Italy in successive waves from the northern side of the Alps, starting in 1700 BCE with the establishment of the Terramare culture in the Po Valley. From 1200 BCE, a larger group of Hallstatt-derived tribes founded the Villanova culture (see below). This is probably the migration that brought the Italic-speaking tribes to Italy, who would have belonged mainly the Z56 clade of R1b-U152. During the Iron Age, the expansion of the La Tène culture from Switzerland is associated with the diffusion of the Z36 branch, which would generate the Belgae around modern Belgium and in the Rhineland, the Gauls in France, and the Cisalpine Celts in Italy.
Antonio et al. (2019) analysed the genomes of Iron Age Latins dating between 900 and 200 BCE, and the samples tested belonged primarily to haplogroup R1b-U152 (including the clades L2, Z56 and Z193), as well as one R1b-Z2103 and one R1b-Z2118.
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One common linguistic trait between Italic and Gaulish/Brythonic Celtic languages linked to the Hallstatt expansion is that they shifted the original IE *kʷ sound into *p. They are known to linguists as the P-Celtic branch (as opposed to Q-Celtic). It is thought that this change occurred due to the inability to pronounce the *kʷ sound by the pre-Indo-European population of Central Europe, Gaul and Italy, who were speakers of Afro-Asiatic dialects that had evolved from Near-Eastern languages inherited from the Neolithic. The Etruscans, although later incomers from the eastern Mediterranean, also fit in this category. It has recently been acknowledged that Celtic languages borrowed part of their grammar from Afro-Asiatic languages. This shift could have happened when the Proto-Italo-Celtic speakers moved from the steppes to the Danube basin and mixed with the population of Near-Eastern farmers belonging to haplogroups E1b1b, G2a, J and T. However, such an early shift would not explain why Q-Celtic and Germanic languages did not undergo the same linguistic mutation. It is therefore more plausible that the shift happened after the Proto-Italo-Celts and Proto-Germanics had first expanded across all western and northern Europe. The S28/U152 connection to P-Celtic (and Italic) suggests that the shift took place around the Alps after 1800 BCE, but before the invasion of Italy by the Italic tribes circa 1200 BCE.
The expansion of the Urnfield/Hallstatt culture to Italy is evident in the form of the Villanovan culture (c. 1100-700 BCE), which shared striking resemblances with the Urnfield/Hallstatt sites of Bavaria and Upper Austria. The Villanova culture marks a clean break with the previous Terramare culture. Although both cultures practised cremation, whereas Terramare people placed cremated remains in communal ossuaries like their Neolithic ancestors from the Near East, Villanovans used distinctive Urnfield-style double-cone shaped funerary urns, and elite graves containing jewellery, bronze armour and horse harness fittings were separated from ordinary graves, showing for the first time the development of a highly hierarchical society, so characteristic of Indo-European cultures. Quintessential Indo-European decorations, such as swastikas, also make their appearance. Originally a Bronze-age culture, the Villanova culture introduced iron working to the Italian peninsula around the same time as it appeared in the Hallstatt culture, further reinforcing the link between the two cultures. In all likelihood, the propagation of the Villanova culture represents the Italic colonisation of the Italian peninsula. The highest proportion of R1b-U152 is found precisely where the Villanovans were the more strongly established, around modern Tuscany and Emilia-Romagna. The Villanova culture was succeeded by the Etruscan civilisation, which displayed both signs of continuity with Villanova and new hybrid elements of West Asian origins, probably brought by Anatolian settlers (who would have belonged to a blend of haplogroups G2a, J2 and R1b-Z2103).
Distribution of haplogroup R1b-S28 (U152) in Europe
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
The Germanic branch (S21/U106/M405)
The principal Proto-Germanic branch of the Indo-European family tree is **R1b-S21 (a.k.a. U106 or M405)**. This haplogroup is found at high concentrations in the Netherlands and north-west Germany. It is likely that R1b-S21 lineages expanded in this region through a founder effect during the Unetice period, then penetrated into Scandinavia around 1700 BCE (probably alongside R1a-L664), thus creating a new culture, that of the [Nordic Bronze Age](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (1700-500 BCE). R1b-S21 would then have blended for more than a millennium with preexisting Scandinavian populations, represented by haplogroups I1, I2-L801, R1a-Z284. When the Germanic Iron Age started c. 500 BCE, the Scandinavian population had developed a truly Germanic culture and language, but was divided in many tribes with varying levels of each haplogroup. R1b-S21 became the dominant haplogroup among the West Germanic tribes, but remained in the minority against I1 and R1a in East Germanic and Nordic tribes, including those originating from Sweden such as the Goths, the Vandals and Lombards.
The presence of R1b-S21 in other parts of Europe can be attributed almost exclusively to the Germanic migrations that took place between the 3rd and the 10th century. The Frisians and Anglo-Saxons disseminated this haplogroup to England and the Scottish Lowlands, the Franks to Belgium and France, the Burgundians to eastern France, the Suebi to Galicia and northern Portugal, and the Lombards to Austria and Italy. The Goths help propagate S21 around Eastern Europe, but apparently their Germanic lineages were progressively diluted by blending with Slavic and Balkanic populations, and their impact in Italy, France and Spain was very minor. Later the Danish and Norwegian Vikings have also contributed to the diffusion of R1b-S21 (alongside I1, I2b1 and R1a) around much of Western Europe, but mainly in Iceland, in the British Isles, in Normandy, and in the southern Italy.
From the Late Middle Ages until the early 20th century, the Germans expanded across much of modern Poland, pushing as far as Latvia to the north-east and Romania to the south-east. During the same period the Austrians built an empire comprising what is now the Czech Republic, Slovakia, Hungary, Slovenia, Croatia, Serbia, and parts of Romania, western Ukraine and southern Poland. Many centuries of German and Austrian influence in central and Eastern Europe resulted in a small percentage of Germanic lineages being found among modern populations. In Romania 4% of the population still
consider themselves German. The low percentage of R1b-S21 in Finland, Estonia and Latvia can be attributed to the Swedish or Danish rule from the late Middle Ages to the late 19th century.
O'Sullivan et al. (2018) tested the genomes of Merovingian nobles from an early Medieval Alemannic graveyard in Baden-Württemberg. Apart from one individual belonging to haplogroup G2a2b1, all men were members of R1b, and all samples that yielded deep clade results fell under the R1b-U106 > Z381 > Z301 > L48 > Z9 > Z325 clade. The lineage of the Kings of France was inferred from the Y-DNA of several descendant branches (see famous members below) and also belongs to R1b-U106 > Z381. Their earliest-known male-line ancestor was from Robert II, Count of Hesbaye, a Frankish nobleman from present-day Belgium. The House of Wettin (see famous members below), one of the oldest dynasties in Europe, which ruled over many states at various times in history, was yet another well-known noble Germanic lineage part of R1b-U106 > Z381.
Distribution of haplogroup R1b-S21 (U106) in Europe
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
How did R1b come to replace most of the older lineages in Western Europe?
Until recently it was believed that R1b originated in Western Europe due to its strong presence in the region today. The theory was that R1b represented the Paleolithic Europeans (Cro-Magnon) that had sought refuge in the Franco-Cantabrian region at the peak of the last Ice Age, then recolonised Central and Northern Europe once the ice sheet receded. The phylogeny of R1b proved that this scenario was not possible, because older R1b clades were consistently found in Central Asia and the Middle East, and the youngest in Western and Northern Europe. There was a clear gradient from East to West tracing the migration of R1b people (see map above). This age of the main migration from the shores of the Black Sea to Central Europe also happened to match the timeframe of the Indo-European invasion of Europe, which coincides with the introduction of the Bronze-Age culture in Western Europe, and the proliferation of Italo-Celtic and Germanic languages.
Historians and archeologists have long argued whether the Indo-European migration was a massive invasion, or rather a cultural diffusion of language and technology spread only by a small number of incomers. The answer could well be "neither". Proponents of the diffusion theory would have us think that R1b is native to Western Europe, and R1a alone represent the Indo-Europeans. The problem is that haplogroup R did arise in Central Asia, and R2 is still restricted to Central and South Asia, while R1a and the older subclades of R1b are also found in Central Asia. The age of R1b subclades in Europe coincide with the Bronze-Age. R1b must consequently have replaced most of the native Y-DNA lineages in Europe from the Bronze-Age onwards.
However, a massive migration and nearly complete anihilation of the Paleolithic population can hardly be envisaged. Western Europeans do look quite different in Ireland, Holland, Aquitaine or Portugal, despite being all regions where R1b is dominant. Autosomal DNA studies have confirmed that the Western European population is far from homogeneous. A lot of maternal lineages (mtDNA) also appear to be of Paleolithic origin (e.g. H1, H3, U5 or V) based on ancient DNA tests. What a lot of people forget is that there is also no need of a large-scale exodus for patrilineal lineages to be replaced fairly quickly. Here is why.
1. **Polygamy**. Unlike women, men are not limited in the number of children they can procreate. Men with power typically have more children. This was all the truer in primitive societies, where polygamy was often the norm for chieftains and kings.
2. **Status & Power**. Equipped with Bronze weapons and horses, the Indo-Europeans would have easily subjugated the Neolithic farmers and with even greater ease Europe's last hunter-gatherers. If they did not exterminate the indigenous men, the newcomers would have become the new ruling class, with a multitude of local kings, chieftains and noblemen (Bronze-Age Celts and Germans lived in small village communities with a chief, each part of a small tribe headed by a king) with higher reproductive opportunities than average.
3. **Gender imbalance**. Invading armies normally have far more men than women. Men must therefore find women in the conquered population. Wars are waged by men, and the losers suffer heavier casualties, leaving more women available to the winners.
4. **Aggressive warfare**. The Indo-Europeans were a warlike people with a strong heroic code emphasising courage and military prowess. Their superior technology (metal weapons, wheeled vehicles drawn by horses) and attitude to life would have allowed them to slaughter any population that did not have organised armies with metal weapons (i.e. anybody except the Middle-Eastern civilizations).
5. **Genetic predisposition to conceive boys**. The main role of the Y-chromosome in man's body is to create sperm. Haplogroups are determined based on mutations differentiating Y-chromosomes. Each mutation is liable to affect sperm production and sperm motility. Preliminary research has already established a link between certain haplogroups and increased or reduced sperm motility. The higher the motility, the higher the chances of conceiving a boy. It is absolutely possible that R1b could confer a bias toward more male offspring. Even a slightly higher percentage of male births would significantly contribute to the replacement of other lineages with the accumulation effect building up over a few millennia. Not all R1b subclades might have this boy bias. The bias only exists in relation to other haplogroups found in the same population. It is very possible that the fairly recent R1b subclades of Western Europe had a significant advantage compared to the older haplogroups in that region, notably haplogroup I2 and E-V13. [Read more](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml)
Replacement of patrilineal lineages following this model quickly becomes exponential. Imagine 100 Indo-European men...
conquering a tribe of 1000 indigenous Europeans (a ratio of 1:10). War casualties have resulted in a higher proportion of women in the conquered population. Let’s say that the surviving population is composed of 700 women and 300 men. Let’s suppose that the victorious Indo-European men end up having twice as many children reaching adulthood as the men of the vanquished tribe. There is a number of reason for that. The winners would take more wives, or take concubines, or even rape women of the vanquished tribe. Their higher status would guarantee them greater wealth and therefore better nutrition for their offspring, increasing the chances of reaching adulthood and procreating themselves. An offspring ratio of 2 to 1 for men is actually a conservative estimate, as it is totally conceivable that Bronze-Age sensibilities would have resulted in killing most of the men on the losing side, and raping their women (as attested by the Old Testament). Even so, it would only take a few generations for the winning Y-DNA lineages to become the majority. For instance, if the first generation of Indo-Europeans had two surviving sons per man, against only one per indigenous man, the number of Indo-European paternal lineages would pass to 200 individuals at the second generation, 400 at the third, 800 at the fourth and 1600 at the fifth, and so on. During that time indigenous lineages would only stagnate at 300 individuals for each generation.
Based on such a scenario, the R1b lineages would have quickly overwhelmed the local lineages. Even if the Indo-European conquerors had only slightly more children than the local men, R1b lineages would become dominant within a few centuries. Celtic culture lasted for over 1000 years in Continental Europe before the Roman conquest putting an end to the privileges of the chieftains and nobility. This is more than enough time for R1b lineages to reach 50 to 80% of the population.
The present-day R1b frequency forms a gradient from the Atlantic fringe of Europe (highest percentage) to Central and Eastern Europe (lowest), the rises again in the Anatolian homeland. This is almost certainly because agriculture was better established in Eastern, then Central Europe, with higher densities of population, leaving R1b invaders more outnumbered than in the West. Besides, other Indo-Europeans of the Corded Ware culture (R1a) had already advanced from modern Russia and Ukraine as far west as Germany and Scandinavia. It would be difficult for R1b people to rival with their R1a cousins who shared similar technology and culture. The Pre-Celto-Germanic R1b would therefore have been forced to settled further west, first around the Alps, then overtaking the then sparsely populated Western Europe.
The Balkanic and Asian branch (Z2103)
Asian branch
Haak et al. (2015) tested six Y-DNA samples from the eastern reaches of Yamna culture, in the Volga-Ural region, and all of them turned out to belong to haplogroup R1b. Four of them were positive for the Z2103 mutation. IN all likelihood, R1b-Z2103 was a major lineage of the Poltavka culture, which succeeded to the Yamna culture between the Volga River and the Ural mountains. It eventually merged with the Abashevo culture (presumably belonging chiefly to R1a-Z93) to form the Sintashta culture. Through a founder effect or through political domination, R1a-Z93 lineages would have outnumbered R1b-Z2103 after the expansion to Central and South Asia, although important pockets of Z2103 survived, notably in Bashkorostan, Turkmenistan and Uyghurstan (Chinese Turkestan).
R1b-Z2103 would have become an Indo-Iranian lineage like R1a-Z93. This is true of two Z2103 subclades in particular: L277.1 and L584. The former is found in Russia to Central Asia then to India and the Middle East, just like the R1a-L657 subclade of Z93. It can be associated with the Andronovo culture and Bactria–Margiana Archaeological Complex, as well as the Indo-Aryan migrations. R1b-L584 is found especially in Iran, northern Iraq, the South Caucasus and Turkey, and correlates more with the Iranian branch of Indo-Europeans, which includes Persians, Kurds and Scythians.
Distribution of haplogroup R1b-ht35 (Z2103) in Europe
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Anatolian branch
The **Hittites** (c. 2000-1178 BCE) were the first Indo-Europeans to defy (and defeat) the mighty Mesopotamian and Egyptian empires. There are two hypotheses regarding the origins of the Hittites. The first is that they came from the eastern Balkans and invaded Anatolia by crossing the Bosphorus. That would mean that they belonged either to the L23* or the Z2103 subclade. The other plausible scenario is that they were an offshoot of the late Maykop culture, and that they crossed the Caucasus to conquer the Hattian kingdom (perhaps after being displaced from the North Caucasus by the R1a people of the Catacomb culture). In that case the Hittites might have belonged to the R1b-Z2103 or the R1b-PF7562 subclade. The first hypothesis has the advantage of having a single nucleus, the Balkans, as the post-Yamna expansion of all Indo-European R1b. The Maykop hypothesis, on the other hand, would explain why the Anatolian branch of IE languages (Hittite, Luwian, Lydian, Palaic) is so archaic compared to other Indo-European languages, which would have originated in Yamna rather than Maykop.
There is substantial archaeological and linguistic evidence that **Troy** was an Indo-European city associated with the Steppe culture and haplogroup R1b. The Trojans were Luwian speakers related to the Hittites (hence Indo-European), with attested cultural ties to the culture of the Pontic-Caspian Steppe. The first city of Troy dates back to 3000 BCE, right in the middle of the Maykop period. Troy might have been founded by Maykop people as a colony securing the trade routes between the Black Sea and the Aegean. The founding of Troy happens to coincide exactly with the time the first galleys were made. Considering the early foundation of Troy, the most likely of the two Indo-European paternal haplogroups would be R1b-M269 or L23.
The **Phrygians** and the **Proto-Armenians** are two other Indo-European tribes stemming from the Balkans. Both appear to have migrated to Anatolia around 1200 BCE, during the 'great upheavals' of the Eastern Mediterranean (see below). The Phrygians (or Bryges) founded a kingdom (1200-700 BCE) in west central Anatolia, taking over most of the crumbling Hittite Empire. The Armenians crossed all Anatolia until Lake Van and settled in the Armenian Highlands. Nowadays 30% of
Armenian belong to haplogroup R1b, the vast majority to the L584 subclade of Z2103 (=> see The Indo-European migrations to Armenia).
Most of the R1b found in Greece today is of the Balkanic Z2103 variety. There is also a minority of Proto-Celtic S116/P312 and of Italic/Alpine Celtic S28/U152. Z2103 could have descended from Albania or Macedonia during the Dorian invasion (see below), thought to have happened in the 12th century BCE. Their language appear to have been close enough to Mycenaean Greek to be mutually intelligible and easy for locals to adopt. The Mycenaeans might have brought some R1b (probably also Z2103) to Greece, but their origins can be traced back through archaeology to the Catacomb culture and the Seima-Turbino phenomenon of the northern forest-steppe, which would make them primarily an R1a tribe.
Greek and Anatolian S116 and some S28 lineages could be attributed to the La Tène Celtic invasions of the 3rd century BCE. The Romans also certainly brought S28 lineages (=> see Genetics of the Italian people), and probably also the Venetians later on, notably on the islands. Older clades of R1b, such as P25 and V88, are only a small minority and would have come along E1b1b, G2a and J2 from the Middle East.
The great upheavals circa 1200 BCE
1200 BCE was a turning point in European and Near-Eastern history. In Central Europe, the Urnfield culture evolved into the Hallstatt culture, traditionally associated with the classical Celtic civilization, which was to have a crucial influence on the development of ancient Rome. In the Pontic Steppe, the Srubna culture make way to the Cimmerians, a nomadic people speaking an Iranian or Thracian language. The Iron-age Colchian culture (1200-600 BCE) starts in the North Caucasus region. Its further expansion to the south of the Caucasus correspond to the first historical mentions of the Proto-Armenian branch of Indo-European languages (circa 1200 BCE). In the central Levant the Phoenicians start establishing themselves as significant maritime powers and building their commercial empire around the southern Mediterranean.
But the most important event of the period was incontestably the destruction of the Near-Eastern civilizations, possibly by the Sea Peoples. The great catastrophe that ravaged the whole Eastern Mediterranean from Greece to Egypt circa 1200
BCE is a subject that remains controversial. The identity of the Sea Peoples has been the object of numerous speculations. What is certain is that all the palace-based societies in the Near-East were abruptly brought to an end by tremendous acts of destruction, pillage and razing of cities. The most common explanation is that the region was invaded by technologically advanced warriors from the north. They could have been either Indo-Europeans descended from the Steppe via the Balkans, or Caucasian people (G2a, J1, J2a, T1a) linked with the expansion of the earlier Kura-Araxes culture to eastern Anatolia and the Levant.
The Hittite capital Hattusa was destroyed in 1200 BCE, and by 1160 BCE the empire had collapsed, probably under the pressure of the Phrygians and the Armenians coming from the Balkans. The Mycenaean cities were ravaged and abandoned throughout the 12th century BCE, leading to the eventual collapse of Mycenaean civilization by 1100 BCE. The kingdom of Ugarit in Syria was annihilated and its capital never resettled. Other cities in the Levant, Cyprus and Crete were burned and left abandoned for many generations. The Egyptians had to repel assaults from the Philistines from the East and the Libyans from the West - two tribes of supposed Indo-European origin. The Lybians were accompanied by mercenaries from northern lands (the Ekwesh, Teresh, Lukka, Sherden and Shekelesh), whose origin is uncertain, but has been placed in Anatolia, Greece and/or southern Italy.
The devastation of Greece followed the legendary Trojan War (1194-1187 BCE). It has been postulated that the Dorians, an Indo-European people from the Balkans (probably coming from modern Bulgaria or Macedonia), invaded a weakened Mycenaean Greece after the Trojan War, and finally settled in Greece as one of the three major ethnic groups. The Dorian regions of classical Greece, where Doric dialects were spoken, were essentially the southern and eastern Peloponnese, Crete and Rhodes, which is also the part of Greece with the highest percentage of R1b-Z2103.
Another hypothesis is that the migration of the Illyrians from north-east Europe to the Balkans displaced previous Indo-European tribes, namely the Dorians to Greece, the Phrygians to north-western Anatolia and the Libu to Libya (after a failed attempt to conquer the Nile Delta in Egypt). The Philistines, perhaps displaced from Anatolia, finally settled in Palestine around 1200 BCE, unable to enter Egypt.
Other migrations occurred from Europe to the Near East and Central Asia during the Antiquity and Middle Ages. R1b-S28 (U152) was found in Romania, Turkey, northern Bashkortostan (a staggering 71.5% of the local population according to Myres et al.), and at the border of Kazakhstan and Kyrgyzstan. Some of it was surely brought by the La Tène Celts, known to have advanced along the Danube, and created the Galatian kingdom in central Anatolia. The rest could just as well be Roman, given that R1b-S28 is the dominant form of R1b in the Italian peninsula. Some have hypothesized that some "lost" Roman legions went as far as Central Asia or China and never came back, marrying local women and leaving their genetic marker in isolated pockets in Asia. A more prosaic version is that Roman merchants ended up in China via the Silk Road, which existed since the 2nd century BCE.
A small percentage of Western European R1b subclades were also found among Christian communities in Lebanon. They are most likely descendants of the crusaders.
The lactase persistence allele and R1b cattle pastoralists
Lactose (milk sugar) is an essential component of breast milk consumed by infants. Its digestion is made possible by an enzyme, called lactase, which breaks down lactose in simple sugars that can be absorbed through the intestinal walls and into the bloodstream. In most mammals (humans included), the production of the lactase enzyme is dramatically reduced soon after weaning. As a result, older children and adults become lactose intolerant. That is true of a big part of the world population. Some people possess a genetic mutation that allows the production of lactase through adulthood. This is called lactase persistence (LP). Lactase persistence is particularly common among Northwest Europeans, descended from the ancient Celtic and Germanic people, and in parts of Africa where cattle herding has been practiced for thousands of years. The highest incidence for the lactase persistence alleles, known to geneticists as -13,910*T (rs4988235) and -22018*A (rs182549), are found among Scandinavian, Dutch, British, Irish and Basque people. Sub-Saharan populations with lactase persistence have different mutations, such as -14010*C, -13915*G and -13907*G.
R1b men are thought to be the first people on earth to successfully domesticate cattle and to develop a lifestyle based on cattle husbandry and herding during the Pre-Pottery Neolithic (see Neolithic section). Looking for pasture for their cows, R1b tribes migrated from the Near East to the savannah of North Africa (which has since underwent desertification and become the Sahara) and to the Pontic Steppe in southern Russia and Ukraine. For several millennia no other human population was so depended on cattle for their survival as these R1b tribes.
It is known that most Neolithic herding societies consumed at least some animal milk and even made cheese from it (since cheese contains less lactose and is easier to digest for people who are lactose intolerant). In most of Europe, the Middle East and South Asia, people essentially herded goats and sheep, better suited to mountainous environment of the Mediterranean basin, Anatolia and Iran. Goats and sheep could also be kept easily inside villages by sedentary cereal cultivators, while cows needed vast pastures for grazing, which were particularly scarce in the Middle East. Domesticated cattle were sometimes found in small number among other Neolithic populations, but the ones that relied almost entirely on them were the R1b tribes of the Pontic Steppe and North Africa. To this very day, semi-nomadic pastoralists in the Sahel, such as the Fulani and the Hausa, who are descended from Neolithic R1b-V88 migrants from the Near East, still maintain primarily herds of cattle. It is among these cattle herders that selective pressure for lactase persistence would have been the strongest.
There has been speculations among geneticists and evolutionary biologists regarding the origin of the lactase persistence allele in Europeans. Over 100 ancient DNA samples have been tested from Mesolithic, Neolithic and Bronze Age Europe and Syria, and the -13910*T allele has been found only in Late Neolithic/Chalcolithic and Bronze Age individuals. The origin of the mutation does not really matter, since it could have been present at low frequencies in the human gene pool for tens of thousands of years before it underwent positive selective pressure among cattle-herding societies. What is certain is that individuals from Bronze Age cultures associated with the arrival of Indo-European speakers from the Pontic Steppe already possessed relatively high percentages of the LP allele. For example the LP allele was found at a frequency of 27% (see Schilz 2006) among the 13 individuals from the Lichtenstein Cave in Germany, who belonged to the Urnfield culture, and were a mix of Y-haplogroups R1b, R1a and I2a2b.
Nowadays, the LP allele is roughly proportional to the percentage of R1b, and to a lower extent R1a, found in a population. In the British Isles, the Low Countries and south-west Scandinavia, where LP is the highest in the world, the combined percentage of R1a and R1b exceeds 70% of the population. In Iberia, the highest percentage of LP is observed among the Basques, who have the highest percentage of R1b. In Italy, LP is most common in the north, like R1b. The lowest incidence of LP in Europe are found in South Italy, Greece and the Balkans, the regions that have the least R1b lineages.
Tishkoff et al. (2017) confirmed that the Hausa and the Fulani, two Sahel tribes with high incidence of R1b-V88, possessed the same LP allele as Europeans, but that East African pastoralist populations with a high prevalence of the lactase persistence trait possess a completely different mutation, which arose independently. This finding is the strongest evidence so far that the -13,910*T allele originated with the first R1b cattle herders in the Near East, who are the ancestors of both the Indo-Europeans and of African R1b-V88 tribes.
**R1 populations spread genes for light skin, blond hair and red hair**
There is now strong evidence that both R1a and R1b people contributed to the diffusion of the A111T mutation of the SLC24A5, which explains approximately 35% of skin tone difference between Europeans and Africans, and most variations within South Asia. The distribution pattern of the A111T allele (rs1426654) of matches almost perfectly the spread of Indo-European R1a and R1b lineages around Europe, the Middle East, Central Asia and South Asia. The mutation was probably passed on in the Early neolithic to other Near Eastern populations, which explains why Neolithic farmers in Europe already carried the A111T allele (e.g. Keller 2012 p.4, Lazaridis 2014 suppl. 7), although at lower frequency than modern Europeans and southern Central Asians.
The light skin allele is also found at a range of 15 to 30% in various ethnic groups in northern sub-Saharan Africa, mostly in the Sahel and savannah zones inhabited by tribes of R1b-V88 cattle herders like the Fulani and the Hausa. This would presuppose that the A111T allele was already present among all R1b people before the Pre-Pottery Neolithic split between V88 and P297. R1a populations have an equally high incidence of this allele as R1b populations. On the other hand, the A111T mutation was absent from the 24,000-year-old R* sample from Siberia, and is absent from most modern R2
populations in Southeast India and Southeast Asia. Consequently, it can be safely assumed that the mutation arose among the R1* lineage during the late Upper Paleolithic, probably some time between 20,000 and 13,000 years ago.
Fair hair was another physical trait associated with the Indo-Europeans. In contrast, the genes for blue eyes were already present among Mesolithic Europeans belonging to Y-haplogroup I. The genes for blond hair are more strongly correlated with the distribution of haplogroup R1a, but those for red hair have not been found in Europe before the Bronze Age, and appear to have been spread primarily by R1b people (=> see *The origins of red hair*).
**The maternal lineages (mtDNA) corresponding to haplogroup R1b**
**Identifying mtDNA lineages spread by the Indo-European migrations**
=> See the main article:
*Mitochondrial DNA lineages associated with the Bronze Age Indo-Europeans*
What were the original mtDNA lineages of Neolithic R1b tribes in the Near East?
R1b tribes are thought to have domesticated cattle in that region 10,500 years ago, yet only moved across the Caucasus some time between 7,500 and 6,500 years ago. For three or four millennia, semi-nomadic R1b herders were bound to have intermingled with some of the Near Eastern or Caucasian neighbours. One way of determining what mt-haplogroups R1b tribes carried at the very beginning of the Neolithic, is to compare the above haplogroups with those of African ethnic groups known to possess elevated percentages of R1b-V88. The best studied group are the Fulani, whose mtDNA include three European-looking haplogroups H, J1b1a, U5 and V making up about 15% of their total maternal lineages. These haplogroups have been identified in all four Central African countries sampled, confirming a strong correlation with haplogroup R1b. However, their H, V and U5 could have come from the Berbers of Northwest Africa. The Berbers also carry R1b-V88, but it's possible that some of it came from different Neolithic migrations, including a re-expansion from Iberia, as Berbers carry H1, H3, V1a1a, V5 and U5b1b1, lineages that are all found in the Iberian peninsula. U5b1b1 descends from...
Mesolithic West Europeans, but at present it is not yet clear how the other haplogroups reached Iberia or Northwest Africa. One hypothesis is that they came from the Near East during the Neolithic, perhaps with R1b-V88 tribes.
African R1b-V88 and Eurasian haplogroup R1b-P297 split roughly 10,000 years ago, almost certainly in Eastern Europe, where they carried mostly mt-haplogroup U5. Toward the end of the last glaciation, some R1b men would have migrated from Eastern Europe to the region of modern Kurdistan accompanied by women belonging to mtDNA U5. Soon after they arrived J1b1a (and maybe V) would have been the first indigenous Near Eastern lineages assimilated by R1b tribes. R1b-V88 might have assimilated H1 and H3 women in the Levant before moving to North Africa, but that remains highly hypothetical.
**Famous individuals**
**R1b-S1200 branch**
The [Adams Surname Y-DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) compared the Y-DNA of 15 families that have an oral history of being related to the US Presidents [John Adams](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (second president of the United States) and his son [John Quincy Adams](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (6th president). All the men tested share the same haplotype that falls into haplogroup **R1b-S1200 > S14328 > S1196 > S6868 > FGC23892**. The statesman, political philosopher, and Founding Father [Samuel Adams](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (1722-1803) also shares the same paternal lineage.
The great American inventor [Thomas Alva Edison](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (1847-1931) appears to have belonged to **R1b-S1200 > S14328 > SZ5489 > Y28597 > S10242** according to the [Edison Y-DNA project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (lineage 1). Edison was one of the most prolific inventors in history with 1,093 US patents in his name. He invented among others the phonograph, the automatic telegraph, the movie camera, the alkaline battery and the long-lasting, practical electric light bulb.
Larmuseau et al. (2013) tested the Y-DNA of three living members of the House of Bourbon, one descending from Louis XIII of France via King Louis Philippe I, and two from Louis XIV via Philip V of Spain. They concluded that all three men share the same STR haplotype and belonged to haplogroup R1b-U106 (Z381* subclade). These results contradict earlier studies by Lalueza-Fox et al. (2010), who had analysed the DNA from a handkerchief dipped in the presumptive blood of Louis XVI after his execution, as well as by Charlier et al. (2012), who tested the DNA of the severed head which allegedly belonged to Henry IV of France. Both of these studies had identified the remains as belonging to haplogroup G2a. All kings of France being descended in patrilineal line from Robert the Strong (820-866), unless a non-paternity event happened some time before Louis XIII, it can be assumed that all kings of France belonged to the same R1b-Z381 lineage. The House of Bourbon also includes all the kings of Spain from Philip V (1683-1746) to this day with King Juan Carlos, all the kings of the Two Sicilies, the grand dukes of Luxembourg since 1964, and of course all the dukes of Orléans and the dukes of Bourbon.
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
The lineage of the **House of Wettin** was identified as R1b-U106 > Z2265 > Z381 > Z156 > Z305 > Z307 > Z304 > DF98 > S18823 > S22069 > Y17440 > A6535 by the testing of two known descendants of the Wettin line by Brad Michael Little. The results confirmed that the two men, who share a common ancestor in Francis, Duke of Saxe-Coburg-Saalfeld, possess the same haplogroup and haplotype. Members of the House of Wettin include the Kings Edward VII, George V, Edward VIII and George VI of the United Kingdom, all the Kings of the Belgians, the Kings of Portugal from 1853 to 1910, the Kings of Bulgaria from 1887 to 1946, several Kings of Poland and Grand Dukes of Lithuania, the Margraves of Meissen from 1075 to 1423, the Electors of Saxony from 1423 to 1806, the Kings of Saxony from 1806 to 1918, and the rulers of the numerous smaller Saxon duchies.
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Clan Gordon is a Scottish clan originating in the 12th century in the Scottish Borders region. The main branch descends from Elizabeth Gordon, daughter of Sir Adam Gordon, who married Alexander Seton in 1408. Their son was Alexander Gordon, 1st Earl of Huntly (d. 1470), whose patrilineal line was therefore Seton/Seaton and not the original Gordon lineage, was the progenitor of all the subsequent chiefs of clan. His descendants later became Marquesses of Huntly (1599-present), as well as Dukes of Gordon from 1684 to 1836. A cadet branch of the Huntly became Earls of Aberdeen (1682), then Marquesses of Aberdeen and Temair from 1916. The Gordon DNA Project identified the aristocratic Seton-Gordon line as R1b-U106 > Z2265 > S12025 > FGC52782 > FGC15048 (and matching people with the surname Seaton). The parent clade (FGC52782) has been found in Scandinavia and points to a common ancestor living a bit over 1000 years ago, suggesting that the Seton-Gordon line was of Viking origin.
The main branch of Scottish Clan Sinclair, whose clan chief has held the title of Earl of Orkney from 1379 to 1479, then of Earl of Caithness since 1455, belongs to R1b-U106 > Z381 > L48 > Z9 > Z30 > Z7 > Z346 > S5246 > S5629 > FGC15254 > FGC35613 > ZS5151 according to the St Clair/Sinclair DNA Project.
The main branch of Scottish Clan Boyd, whose clan chief has held the title of Lord Boyd (1454) then of Earl of Kilmarnock from 1661 to 1746, belongs to R1b-U106 > Z381 > S1684 > U198 > S15627 > DF89 > FGC12770 > FT69836 > JFS0024 according to the Boyd DNA Project.
A descendant of Thomas Cecil, 1st Earl of Exeter (1542-1623) tested at the Cecil DNA Project and belongs to R1b-U106 > Z381 > L48 > Z9 > Z331 > Z330 > Y6669 > S21728 > FGC18850 > Y21406 > Y20959 > FGC51954. His half-brother was Robert Cecil, 1st Earl of Salisbury. Assuming that there hasn't been any non-paternity event on either line, all the He was the progenitors of all the Earls, then Earls and Marquesses of Exeter and the Earls and Marquesses of Salisbury would belong to this haplogroup. The most famous
member was probably **Robert Gascoyne-Cecil, 3rd Marquess of Salisbury** who served as British prime minister three times for a total of over thirteen years under Queen Victoria.
**Benjamin Franklin** (1706-1790), a polymath and one of the Founding Fathers of the United States, whose head has featured on the $100 bills since 1914, is a probable member of haplogroup **R1b-U106 > Z18 > DF95** according to the [testing of relatives](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml). Ben Franklin was a political theorist, a statesman, a diplomat, and a scientist, among others. He is also known for being the inventor of the lightning rod, bifocals, and the Franklin stove.
**John Witherspoon** (1723-1794) was one of the Founding Father of the United States and the president of Princeton University from 1768 to 1794. He was the only active clergyman and the only college president to sign the Declaration of Independence. Based on results from the [Witherspoon DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) was a member of **R1b-U106 > S263 > L48 > L47 > Z159 > Z4714 > BY35813 > BY56495**.
**John Rutledge** (1739-1800) and his brother **Edward Rutledge** (1749-1800) were both Founding Fathers of the United States. Edward was the youngest signatory of the United States Declaration of Independence. John was one of the original Associate Justices of the Supreme Court and as its second Chief Justice. He also served as first governor of South Carolina after the Declaration of Independence, while he brother was the 10th governor. Descendant testing from the [Rutledge/Routledge DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) determined that they belonged to **R1b-U106 > S263 > L48 > L47 > L44 > L163 > Y23482 > Y23476**.
**James K. Polk** (1795-1849), the 11th president of the United States, was a member of **L48** subclade based on the results from the [Polk-Pollock DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml). He was a descendant of William Polk/Pollock (c. 1700-1757). Polk is chiefly known for extending the territory of the United States through the Mexican–American War; during his presidency, the United States expanded significantly with the annexation of the Republic of Texas, the Oregon Territory, and the Mexican Cession following the American victory in the Mexican–American War.
Franklin Pierce (1804-1869), the 14th president of the United States, was a member of R1b-U106 > Z381 > Z156 > S497 > DF96 based on the results from the Pierce DNA Project (North) (Group C). Pierce was a northern Democrat who believed that the abolitionist movement was a fundamental threat to the unity of the nation, he alienated anti-slavery groups by supporting and signing the Kansas–Nebraska Act and enforcing the Fugitive Slave Act.
Nathan Bedford Forrest (1821-1877) was a prominent Confederate Army general during the American Civil War, renowned as a cavalry leader and military strategist. He was the only general on either side who began as a private. After the war he became the first Grand Wizard of the Ku Klux Klan, which has made him a controversial figure in American history. His lineage was identified (group B) in the Forrest/Forrester DNA Project, which makes him a member of R1b-U106 > S263 > S499 > L48 > Z9 > Z30 > Z349 > Z2 > Z7 > S5945 > FGC17344 > Y28576 > FGC51332.
According to the Grant DNA Project, Ulysses S. Grant (1822-1885), the 18th President of the United States and the military commander of the American Civil War, belonged to R1b-U106 > S263 > S499 > L48 > L47 > Z159 > S3249 > Y2924 > Y3264 > FGC8590 (descendant of Matthew Graunt).
William Howard Taft (1857-1930), the 27th President of the United States and the tenth Chief Justice of the United States, belonged to R1b-U106 > Z381 > Z301 > Z30 > Z338 > FGC1954 according to the results from the Taaffe DNA Project (descendant of Robert Taft, 1640-1725). Taft also served as 6th Solicitor General of the United States (1890-1892), Governor-General of the Philippines (1901-1903), 42th United States Secretary of War (1904-1908), and 1st Provisional Governor of Cuba (1906).
American journalist and writer Ernest Hemingway (1899-1961), who won the Nobel Prize of Literature in 1954, was a descendant of Ralph Hemingway who emigrated from England to Boston, MA. As such he must
have belonged to R1b-U106 > Z381 > Z301 > L48 > L47 > Z159 > FGC15335 according to the Hemingway Y-DNA Project.
The two first human beings to have their whole genome sequenced, James D. Watson, the co-discoverers of the structure of DNA, and biologist Craig Venter both happen to be members of Y-DNA haplogroup R1b-S21 (U106), although they belong to distinct subclades (L48 > Z9 > Z30 for Watson, and L48 > L47 > L44 > L163 > L46 > L45 for Venter). Though both are American citizens, their patrilineal ancestors are respectively Scottish and German.
Actor Alec Baldwin (b. 1958) is a descendant of John Baldwin (1635-1683) of Stonington, Connecticut, which places him in the R1b-U106 cluster in the Baldwin Surname DNA Project. Nevgen assign his haplotype to R1b-U106 > Z381 > Z156 > BY12482 with 100% certainty. Baldwin won two Primetime Emmy Awards, three Golden Globe Awards, and seven Screen Actors Guild Awards, making him the male performer with the most SAG Awards in history.
The Academy Award nominated American actor and a playwright Woody Harrelson (b. 1961) belongs to haplogroup R1b-U106 > Z2265 > Z18 > Z372 > ZP91 > ZP158 > ZP161 > ZP262 according to the Harrelson DNA Project (descendant of Paul Harrelson from Denmark).
Other famous members of haplogroup R1b-U106
- Emir Abdelkader (1808-1883) : was an Algerian religious and military leader who led a struggle against the French colonial invasion in the mid-19th century. One of his descendants tested at the Syrian DNA project (kit BP18930) and was found to belong to R1b-U106 > Z381 > Z156 > S497 > DF96, which in Algeria could be of Vandalic (or possibly Gothic) origin.
- Charles Curtis (1860-1936) was an American attorney and Republican politician from Kansas who served as the 31st vice president of the United States from 1929 to 1933 under Herbert Hoover. He also previously served as the Senate
Majority Leader from 1924 to 1929. Testing of relatives determined that he belonged to R1b-U106 > Z381 > Z301 > S1688 > U198 > S16994.
- **Malcolm Gladwell** (born 1963) : is an English-born Canadian journalist, author, and speaker. He has been a staff writer for The New Yorker since 1996. He has written five books, which were all on The New York Times Best Seller list. His haplogroup was revealed in Faces of America.
### R1b-P312 branch (Celto-Germanic)
The Grant DNA Project identified the main lineage of Clan Grant descending from Duncan Grant of Freuchie (c. 1413-1485), 1st Laird of Freuchie and other early chiefs as belonging to R1b-P312 > DF19 > DF88 > Z17274. Later chiefs became Earls of Seafield (1701 to present), Barons Strathspey (1858 to present).
The ancestral lineage of Lowland Scottish Clan Armstrong appears to be R1b-P312 > FGC84729 > ZZ37 > ZZ38 > Z30597 > Z30600 > Z39305 > A9439 > FT275048 according to the Armstrong Y-DNA Project. The most famous member of the clan was probably the astronaut Neil Armstrong, who was the first person to walk on the Moon, and who took with him a piece of the Clan Armstrong tartan.
The remains of Philip Calvert (c.1626-1682), 5th governor of Maryland, were analysed by Reich at al. (2016) at Harvard Medical School and found to belong to haplogroup R1b-P312 > DF19 > DF88 > FGC11833 > S4281 > S4268 > Z17112 > S17075 > S10067. He was the son of George Calvert, 1st Baron Baltimore, who was Secretary of State under King James I, and the brother of Cecil Calvert, 2nd Baron Baltimore, after whom the city of Baltimore was named, and of Leonard Calvert, 1st Proprietary-Governor of Maryland.
The influential **Randolph family** of Virginia belongs to **R1b-P312 > Z39300** (aka PH2278) based on the results from the **Randolph/Randall/Randle/Randol Surname Group** (Albemarle County group). The family contributed numerous politicians, statesmen and military officers in the course of U.S. history. The most prominent carrier of the Randolph name was perhaps **Peyton Randolph** (1721-1775), who served as the first President of the Continental Congress during the American Revolution. **Edmund Randolph** (1753-1813) was the seventh Governor of Virginia, the second Secretary of State, and the first United States Attorney General during George Washington's presidency. **George W. Randolph** (1818-1867) was a Confederate general who served for eight months in 1862 as the Confederate States Secretary of War during the American Civil War.
**Woodrow Wilson**, 28th President of the United States, belonged to haplogroup **R1b-P312 > Z30597** based on the testing of a descendant of his grandfather, Judge James Wilson (1787-1850) at the **Wilson DNA Project** (Genetic Family ZZN). Wilson served as the president of Princeton University and as the 34th governor of New Jersey before winning the 1912 presidential election. As president, he oversaw the passage of progressive legislative policies unparalleled until the New Deal in 1933. He also led the United States into World War I in 1917, establishing an activist foreign policy known as Wilsonianism. He was the leading architect of the League of Nations.
**R1b-L21 branch (Atlantic Celtic)**
The **O'Neill dynasty** is a Gaelic Irish lineage that dominated the northern half of Ireland from the 6th to the 10th century. They claim descent from the 4th-century Irish king **Niall of the Nine Hostages**. According to the **O'Neill DNA Project**, the latter's probable lineage was **R1b-L21 > DF13 > DF49 > Z2980 > Z2976 > DF23 > Z2961 > S645 > Z2965 > M222 > Y2605 > Y2841 > DF104 > DF109 (aka DF105)**, which split into 29 branches. Among these, it is believed that the S588 clade corresponds to the **Cenél nEógain**, the DF85 clade to the **Cenél Conaill**, and the A18726 clade to the **Uí Briúin** (royal dynasty of Connacht). The O'Neills have held the titles of **Earl of Tyrone**, **Viscount O'Neill**, **Baron O'Neill**, among others. Notable O'Neills include the American playwright and Nobel
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
laureate Eugene O'Neill (1888-1953), the American businessman and founder of the O'Neill brand Jack O'Neill (1923-2017), the 4th Prime Minister of Northern Ireland Terence O'Neill (1914-1990), and the British economist Jim O'Neill, Baron O'Neill of Galley (b. 1957).
The Dalcassians are a Gaelic Irish tribe who became powerful during the 10th and 11th centuries, when Brian Boru (941-1014) became High King of Ireland. He was the founder of the O'Brien dynasty, who were at various times in history Kings of Munster, Kings of Thomond (1118-1543), Earls of Thomond (1543-1726), Marquesses of Thomond (1726-1855), and Barons Inchiquin -1543-present), among others. According to the O'Brien DNA Project, most O'Brien members fall within the "Dál gCais" group belonging to R1b-L21 > DF13 > Z253 > Z2534 > L226, with a most recent common ancestor living about 1500 years ago.
According to descendant research conducted by Brad Michael Little, the Reginarids' lineage was identified as R1b-L21 > DF13 > FGC5494 > FGC5561 > A913 > A7607. The Reginarid dynasty includes the first Counts of Hainaut, all the Counts of Louvain & Brussels and the original Dukes of Brabant & Lothier, as well as the entire House of Hesse (Landgraves and Grand-Dukes) and by extension the Battenberg family (Lords Mountbatten).
Clan MacLean is one of the oldest clans in the Highlands, with origins going back at least to 852. The clan owned large tracts of land in Argyll as well as the Inner Hebrides. According to the MacLean DNA Project, the chiefly lines of Duart and Lochbuie belong to R1b-L21 > DF13 > DF1 > S5668 > FGC13499 > S5979 > S5982 > Z17816 > A1069 > Z17815, with a most recent common ancestor living about 1000 years ago.
Clan Gregor (or McGregor) is a Highland Scottish clan that claims an origin in the early 800s. The clan's most famous member is the folk hero Rob Roy MacGregor (1671-1734). The Clan is also known to have been among the first families of Scotland to begin playing the bagpipes in the early 17th century. The Clan Gregor DNA Project identified the main MacGregor line from Argyllshire as belonging to R1b-L21 > DF13 > Z39589 > L1335 > L1065 > Z16325 > S744 > S691 > S695 > BY144 > S690. The surname MacGregor was
proscribed by Royal decree in Scotland from about 1650 to 1750 and many clan members changed their name to Murray. The clan chief has held the title of baronet Murray, then baronet MacGregor of MacGregor, since 1795. Scottish actor Ewan McGregor (b. 1971) could also belong to that haplogroup, although it hasn't been confirmed yet.
Clan Chattan is a confederaton of Highland Scottish clans. It was formed by descendants of the original clan, namely Clan Macpherson, Clan MacBean (or McBain) and Clan MacPhail, with the Clan Mackintosh and their cadet branches (Clan Shaw, Clan Farquharson, the Ritchies, and Clan MacThomas), and other clans unrelated by blood such as the MacGillivrays and the Davidson. According to the Clan Chattan DNA Project, most of the people with the original clan surnames fit within the R1b-L21 > DF13 > L1335 > S733 > Z16325 > S744 > Y16858 clade.
According to the Buchanan DNA Project, most members of the Highlands Scottish Clan Buchanan belong to haplogroup R1b-L21 > DF13 > L1335 > L1065 > S744 > S691 > S695. The clan is said to descend from Anselan O Kyan, a son of one of the kings of Ulster, who landed on the northern coast of Argyll, near Lennox, about the year 1016 and helped Malcolm II of Scotland in repelling the Danes. Some of the most notable clan members include the 15th President of the United States, James Buchanan (1791-1868), and American political commentator Pat Buchanan (b. 1938), who descends from the medieval clan chiefs.
Results from the Clan Cameron DNA Project indicate that the vast majority of participants of Highland Clan Cameron belong to R1b-L21 > DF13 > Y16233 > A2070 > Y16765 > A7298 > A6138. This includes several cadet branches. However the clan chiefs, Cameron of Lochiel, haven't been tested yet. The origins of the clan are unclear, but one hypothesis is that Donal Dubh, the first chief of Clan Cameron was descended either from the Macgillonies. Genetic genealogy confirms this link as members of Clan MacGillonie carry the same haplotype as the Cameron. British Prime Minister David Cameron and Canadian film director James Cameron probably belong to the same lineage, but it hasn't been confirmed yet.
Clan Campbell is historically one of the largest and most powerful of the Scottish Highland clans. The clan chief have held the title first of Lord Campbell (from 1445), then Earl of Argyll (1457), Marquess of Argyll (1641) and lastly Duke of Argyll from 1701 to this day. Another branch became the Earls of Loudoun (1633-1786). The Clan Campbell DNA Project identified the main Campbell line from Argyllshire as belonging to R1b-L21 > DF13 > Z39589 > L1335 > L1065 > FGC10125 > FGC10117, with a common patrilineal ancestor who lived about 1000 years ago.
Clan Drummond is a Highland Scottish clan whose clan chief were granted the title of Lord Drummond of Cargill (1488), then of Earl of Perth (1605 to this day). From 1716 to 1800, a Jacobite branch also held the title of Duke of Perth. The Drummond DNA Project determined that the Drummond Peerage belonged to R1b-L21 > DF13 > L513 > S5668 > A7 > Z17623 > S5982 > FGC30224 > ZS4584 > BY4017.
According to the Stewart Stuart DNA Project, the House of Stuart, who ruled Scotland from 1371, then also England and Ireland from 1603 until 1707, belongs to R1b-L21 > DF13 > Z39589 > DF41/S524 > Z43690 > S775 > L746 > S781. The most prominent members were King Robert II of Scotland, Kings James I, Charles I, Charles II and James II of England & Ireland. The Confederate States Army general J.E.B. Stuart (1833-1864) descends from the Baronet of Castle Stuart and therefore belonged to the same lineage. Formula One champion Jackie Stuart (b. 1939) desends from an illegitimate branch of King Robert III of Scotland, the Stewarts of Blackhall & Ardgowan.
James Scott, 1st Duke of Monmouth was the eldest illegitimate son of Charles II of England, Scotland, and Ireland with mistress Lucy Walter. He married Anne Scott, 1st Duchess of Buccleuch and daughter of the 2nd Earl of Buccleuch. The firstborn son descending from this couple have been carrying the title of Duke of Buccleuch and Earl of Dalkeith (among others), and been the Chief of Clan Scott ever since. In 2012, the 10th Duke of Buccleuch showed that he shared the same Y chromosome as a distant Stuart cousin, thus confirming that Charles II was indeed Monmouth's father (see House of Stuart above). Other ducal lineages descended from illegitimate sons of King Charles II include the Dukes of Cleveland (extinct in 1891), the Dukes of Grafton, the Dukes of St Albans, and the Dukes of Richmond (combined with the Dukedoms of Lennox and Gordon). The Dukes of Berwick, who
have been part of the Spanish nobility since 1707, descend from James FitzJames, the illegitimate son of King James II, and therefore also carry the Stewart Y-chromosomal line. The current Duke of Berwick also hold 3 other dukedoms (including Duke of Alba) and 35 other titles, making him the most titled aristocrat in the world.
Clan Mackenzie is a Highland Scottish clan descending from Kenneth Mackenzie, 1st of Kintail (d. 1304). The Mackenzie have possessed the titles of Earl of Seaforth from 1623 to 1781, and of Earl of Cromartie (1703-1746 and 1861 to present). The clan's main branch, including confirmed descendants of Alexander Mackenzie of Kintail back in the 15th century, belong to R1b-L21 > DF13 > DF1 > S5668 > A7 > S7834 (aka S7828), with a common patrilineal ancestor who lived about 1200 years ago, based on the results from the Mackenzie DNA Project.
The lineage of the clan chiefs of Highland Scottish Clan MacLaren belong to to R1b-L21 > DF13 > Z39589 > L1335 > L1065 > S744 > S764 > Y16252 > BY23333 according to the Clan MacLaren DNA Project.
American statesman and lawyer and Founding Father Roger Sherman (1721-1793) probably belonged to R1b-L21 > DF13 > FGC5494 based on the results from the Sherman DNA Project. He is the only person to have signed all four great state papers of the United States: the Continental Association, the Declaration of Independence, the Articles of Confederation, and the Constitution. Union general William Tecumseh Sherman (1820-1891), who played a key role during the American Civil War, shared a common ancestor with Roger Sherman in the person of Henry Sherman (1511-1590) from Dedham, Essex. So both men would share the same paternal haplogroup. The M4 Sherman, the most widely used medium tank by the Allies in World War II, was named after General Sherman.
The first President of the United States, George Washington (1732-1799), may well have belonged to R1b-L21. This deduction is based on the results from the Washington DNA Project where most bearers of that
surname belong to various clades under DF13. The only member who claims descend from John Washington (1632-1677), great-grand-father of the 1st US president, belongs to **R1b-L21 > DF13 > ZZ10 > Z253 > Z2186 > BY2744**.
American Founding Father **Patrick Henry** (1736-1799) belonged to **R1b-L21 > DF13 > DF1 > S6365 > BY16 > Z16372** according to relative testing at the [Henry DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (lineage R1b-06). Henry is best known for his declaration to the Second Virginia Convention (1775): "Give me liberty, or give me death!" He served as the first and sixth post-colonial Governor of Virginia.
**Henry Clay** (1777-1852) was an American attorney and statesman who represented Kentucky in both the Senate and House and served as 9th Secretary of State. He was part of the so-called **Great Triumvirate**, along with Daniel Webster and John C. Calhoun, who dominated American politics for much of the first half of the 19th century. Clay ran for U.S. president in 1824, 1832, and 1844 and received the electoral votes each time, but nevertheless lost the elections. Many descendants of his great-great-grand-father Charles Clay (d. 1686) from Virginia tested at the [Clay DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (lineage 01), which fits into haplogroup **R1b-L21 > DF13 > FGC11134 > CTS4466 > A541 > A195 > BY55890**.
The 12th president of the United States, **Zachary Taylor** (1784-1850) belonged to haplogroup **R1b-L21 > DF13 > Z39589 > L1335 > L1065 > S764 > BY3148 > FGC18451** based on the results from the [Taylor DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (Group 06), and is ultimately descended from Sir John Taylor (1327-1377), a Knight to King Edward III. Taylor previously was a career officer in the United States Army, rose to the rank of major general and became a national hero as a result of his victories in the Mexican–American War. His son, **Richard Taylor** (1826-1879) was a Lieutenant General in the CSA and became army commander in the Trans-Mississippi Theater.
**William Ewart Gladstone** (1809-1898), a British Liberal politician who served a record four times as Prime Minister under Queen Victoria, belonged to R1b-L21 based on a [comparison](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) of his genealogy with the results
from Gladstone DNA Project. His deep clade would be R1b-L21 > DF13 > FGC5494 > FGC5561 > Z16503 > Z16504 > Z16502 > Z17653 > L1444 > BY23824.
The analysis of his descendants's Y-chromosomal DNA confirmed that Joseph Smith (1805-1844), the founder of Mormonism and the Latter Day Saint movement, belonged to haplogroup R1b-M222 (R1b-L21 > DF13 > DF49 > Z2980 > Z2976 > DF23 > Z2961 > S645 > Z2965 > M222).
Rutherford B. Hayes (1822-1893), the 19th president of the United States, most probably belonged to haplogroup R1b-L21 > DF13 > L513 > S5668 > Z16357 > Z16854 > ZS349 based on the results from the Hayes DNA Project (Group H, descendant of George Hayes, 1655-1725). Hayes was a lawyer and staunch abolitionist. At the start of the Civil War, he joined the Union Army as an officer. He was wounded five times, earned a reputation for bravery in combat and was promoted to the rank of brevet major general.
George B. McClellan (1826-1885) was an American soldier, civil engineer, railroad executive, and politician who served as the 24th Governor of New Jersey. As major general during the American Civil War he played an important role in raising a well-trained and organized army. He was Commanding General of the Union Army for 5 months. His paternal lineage was identified through the McClellan Y-DNA Project as a descendant of Brig. General Samuel McClellan, making him a member of haplogroup R1b-L21 > DF13 > Z39589 > DF49 > DF23 > Z2961 > M222.
The American financier and banker J.-P. Morgan (1837-1913) descended from Sargent Miles Morgan who migrated from Wales to Massachusetts. This places him in Group 23 in the Morgan Surname Y-DNA Project corresponding to haplogroup R1b-L21 > DF13 > Z39589 > FGC43861 > BY2868 > BY132302.
William McKinley (1843-1901), the 25th president of the United States, probably belonged to haplogroup R1b-L21 > DF13 > L1335 > S764 based on the results from the MacKinlay DNA Project (descendant of James McKinley b. 1670 in Callender, Perthshire). During his presidency, McKinley led the nation to victory in the Spanish–American War, raised protective tariffs to promote American industry, and kept the nation on the gold standard in a rejection of the expansionary monetary policy of free silver.
Warren G. Harding (1865-1923), the 29th president of the United States, belonged to R1b-L21 > DF13 > Z39589 > DF49 > DF23 > ZP75 based on the results from the Harden/Harding DNA Project. He descended from Richard Harding (1583-1657) from Denbury, Devon, England and his son Stephen (1623-1698) who migrated to Braintree, Massachusetts and died in Rhode Island.
The forensic analysis of the skeletal remains of Che Guevara (1928-1967), the Argentine Marxist revolutionary and major figure of the Cuban Revolution, revealed that he belonged to haplogroup R1b-L21.
One of the greatest boxers of all time, Muhammad Ali (1942-2016), born Cassius Marcellus Clay Jr, belonged to haplogroup R1b-L21 (deep clade DF13 > Z253 > Z2185 > Z2186 > L1066 > Z40246 > FGC53689). His Y-DNA haplogroup was determined by Big Y testing of his brother, Rahaman Ali.
Actor Matt LeBlanc (b. 1967), well known for playing the character of Joey Tribbiani in the TV series Friends and its sequel Joey, has a genealogy that can be traced back to Daniel Leblanc (1626-1695) who migrated from France to Port-Royal in Acadia (modern Nova Scotia). The same individual is listed in the Normandy Y-DNA Project as a member of R1b-L21 > DF63 > BY592. Geni.com mentions his haplogroup as R1b-M269.
Other famous members of R1b-L21
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
- **Henry Louis Gates** (subclade **M222**): an American literary critic, educator, scholar, writer, and editor. He was the first African American to receive the Andrew W. Mellon Foundation Fellowship. He has received numerous honorary degrees and awards for his teaching, research, and development of academic institutions to study black culture. He is the host of the PBS television series *Faces of America* and *Finding Your Roots*, which use traditional genealogical research and genetics to discover the family history of well-known Americans, including their haplogroups.
- **Bill O'Reilly** (subclade **M222**): an American television host, author, journalist, syndicated columnist, and a political commentator. He is the host of the political commentary program The O'Reilly Factor on the Fox News Channel. His Y-haplogroup was revealed by the PBS television series *Finding Your Roots*.
- **Bill Maher** (subclade **M222**): an American comedian, writer, producer, political commentator, actor, media critic, and television host. As a television host, he is well known for the HBO political talk show Real Time with Bill Maher. His Y-haplogroup was revealed by the PBS television series *Finding Your Roots*.
- **Rory Bremner** (subclade **M222**): a Scottish impressionist and comedian, noted for his work in political satire and impressions of British public figures.
- **Adrian Grenier** (subclade **M222**): an American actor, producer, director and musician. He is best known for playing Vincent Chase in the HBO series Entourage.
**R1b-U152 branch (Italo-Celtic)**
Based on the data from the [Habsburg Family Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml), there is a high likelihood that the haplogroup of the [House of Habsburg](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) was **R1b-U152 > L2 > Z41150 > DF90 > FGC59564**. The Habsburg originated in the eponymous village in northern Switzerland. They first became Kings of the Romans in 1273, obtained thenf Dukes of Austria from 1278, Kings of Spain from 1516, Kings of Hungary and Croatia from 1526... The Habsburgs provided all the Holy Roman Emperors but one from 1440 until the dissolution of the empire in 1806. However the senior Y-DNA line of the Habsburgs ended with Emperor Charles VI (1685-1740), father of Empress Maria Theresa. Check also [Haplogroups of European kings and queens](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) for mtDNA lines of many Habsburg family members.
While testing for paternal relatives of Richard III of England to confirm the identity of his presumed remains (see Haplogroup G2a), researchers found that three modern relatives with the surname Somerset and descended from House of Lancaster all belonged to haplogroup R1b-U152 (x L2, Z36, Z56, M160, M126 and Z192). Although this points to a non-paternity at some time in the Plantagenet lineage, it is likely that most if not all Dukes of Beaufort, and possibly most Plantagenets monarchs outside the House of York belonged to R1b-U152.
Clan Erskine, a Lowland Scottish clan from Renfrewshire, apparently belongs to R1b-U152 > Z36 > BY1328 > BY2151 > A7992 > A8001 > BY32396 based on at least one descendant from John Erskine, 19th Earl of Mar (1558–1634) at the Erskine/Askey Surname Project. The Erskines have held the title of Earl of Mar since 1404, of Earl of Kellie since 1619, and of Earl of Buchan since 1640.
Abraham Lincoln (1809-1865), the 16th president of the United States, appears to have belonged to R1b-U152 > L2 > Z142 > Z150 > S20376 > S20376. The Lincoln DNA Project tested several descendants from Samuel "the weaver" Lincoln, who was Abraham Lincoln's great-great-great-great-grandfather, and they all share the same haplotype.
Grover Cleveland (1837-1908), the 22nd and 24th president of the United States, could have belonged to R1b-L20, a subclade of L2, based on the numerous results from the Cleveland DNA Project.
The American singer, songwriter and dancer Michael Jackson (1958-2009), who was known as the "King of Pop", and he is regarded as one of the most significant cultural figures of the 20th century, belonged to haplogroup R1b-U152 > L2 > Z258 > Z367 > L20 > BY203086 > FT121435 > FT121274. His Y-DNA was determined by Big Y testing of a relative descending from Michael's paternal great-grandfather Israel Nero Jackson Sr (1838 - 1934) at Family Tree DNA. Not much is known about this deep clade except that it is also
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
found in northern France.
Actor **Kevin Costner** (b. 1955) descends from George Adam Costner (Kastner) from Edenkoben, Rhineland-Palatinate, Germany, and his father Andreas Kastner. This places him in Group 2 in the [Kastner Y-DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml), who belong to **R1b-U152 > L2 > A19725 > BY39321**.
American-Canadian actor **Matthew Perry** (b. 1969), most famous for playing Chandler Bing in the sitcom Friends, probably belongs to haplogroup **R1b-U152 > L2 > Z49 > Z142 > CTS2819** based on results from members of the [Perry Y-DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) (Family 7). He is a descendant of John Perry (1604-1674) and his father John Perry (1588-1621) from Hampshire, England.
**Other famous members of R1b-U152**
- **Jörg Jenatsch** (1596-1639): was a Swiss political leader during the Thirty Years' War, one of the most striking figures in the troubled history of the Grisons in the 17th century.
- **Mario Batali**: is an American chef, writer, restaurateur and media personality. He is an expert on the history and culture of Italian cuisine, including regional and local variations. His haplogroup was revealed in [Faces of America](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml).
**R1b-DF27 branch (Celtic)**
**Clan Bruce** is a Lowlands Scottish clan, which was a Royal House in the 14th century, producing two kings of Scotland (**Robert the Bruce** and **David II of Scotland**), and a disputed High King of Ireland, **Edward Bruce**. The Bruces were first Lords of Annandale from 1124 until King Robert the Bruce conferred the title to his nephew, Thomas Randolph. Robert the Bruce successfully fought off the English in the First War of Scottish...
Independence and is now revered in Scotland as a national hero. Other clan members later became Barons of Clackmannan, Lords Bruce of Kinloss (1608), **Earls of Elgin** (1633) and **Earls of Kincardine** (1647), titles that they keep to this day. The [Bruce DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) determined that the noble lineage of Clan Bruce belongs to **R1b-DF27 > ZZ12 > Z46512 > FGC78762 > ZZ41 > S7432**.
Highland Scottish **Clan Murray** and **Clan Sutherland** both descend from a Flemish nobleman by the name of **Freskin**, who settled in Scotland during the reign of King David I and was granted lands in West Lothian and the ancient Pictish kingdom of Moray (which would become known as Sutherland). Freskin's descendants were designated by the surname de Moravia ("of Moray" in the Norman language), which later became 'Murray'. Freskin's great-grand-son was **William de Moravia** (c. 1210–1248), became 1st **Earl of Sutherland**, a title that the clan chief who keep until 1535, when it passed to Clan Gordon. Clan Murray descends from William's cousin. They would acquire the title of Earl of Tullibardine (1606), Earl of Atholl (1629), Marquess of Atholl (1676), and ultimately **Duke of Atholl** (1703) to this day. The second son of the 1st Marquess of Atholl and his descendants would become **Earls of Dunmore**. According to the [Sutherland DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml), the ancestral Sutherland line belongs to **R1b-DF27 > ZZ12 > FGC23071 > FGC23066 > BY48361 > BY130907 > BY67446** and has Y-chromosomal matches in modern Flanders, confirming Freskin's origins. It is believed that **Clan Douglas** also descends from Freskin and the biggest cluster in the [Douglas DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml) indeed matches the Sutherland and Murray haplotype.
According to the [Boyle DNA Project](https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml), the **Earls of Glasgow** belongs to **R1b-DF27 > Z196 > SRY2627 > Z206 > BY3222**. The Earl is the hereditary clan chief of **Clan Boyle**, whose ancestors came from the Norman town of Beauville near Caen.
**John Hancock** (1737-1793) was an American merchant, statesman, prominent Patriot of the American Revolution and signatory of the Declaration of Independence. He served as president of the Second Continental Congress and was the first and third Governor of Massachusetts. He was a descendant of John Hancock (1506-1570) from Chesterfield, Derbyshire. Another branch descending from that ancestor tested on
the Hancock DNA Project (Group 01) and was found to belong to R1b-DF27 > Z195 > Z198 > Z292 > Z262 > Z201 > Z202 > Z205 > Z206 > Z208. Another notable descendant of the same John Hancock of Chesterfield was Union general Winfield Scott Hancock (1824-1886). Known to his Army colleagues as "Hancock the Superb", he was noted in particular for his personal leadership at the Battle of Gettysburg in 1863.
The House of Bernadotte, which has been the royal house of Sweden since in 1818, and also of Norway between 1818 and 1905 belongs to R1b-DF27 > Z195 > Z272 > S450 > Z295 > S25783 > CTS4065 > S16864 > A5000 > FGC39239 according to the testing of a cousin of King Gustaf V. The dynasty was founded by Jean Bernadotte, a former marshal of Napoleon, who was elected the heir-presumptive to the childless King Charles XIII of Sweden, and became King Charles XIV John. Bernadotte was a native of Pau in Gascony, where this haplogroup is indeed common today.
Commodore Matthew Calbraith Perry (1794-1858), the man who forced Japan to open its ports to Western ships, which eventually caused the downfall of the Tokugawa shogunate and the Meiji restoration, probably belonged to haplogroup R1b-DF27 > Z196 > Z209 > Z295 based on shared genealogy (descendant of Edward Perry 1630-1695 from Devon, England) with members of the Perry Y-DNA Project (Family 11).
Braxton Bragg (1817-1876) was an American army officer during the Second Seminole War and Mexican–American War and later a Confederate army officer who served as a general in the Confederate Army during the American Civil War. His most important role was as commander of the Army of Mississippi. His fatherline was identified in the Bragg DNA Project (Family 2, descending from Joseph B. Bragg), making of him a member of R1b-DF27 > Z196 > SRY2627 > Z208.
The Austrian composer, music theorist and painter Arnold Schönberg (1874-1951) belonged to Y-haplogroup R1b according to his profile on Geni. According to the Schönberg DNA Project his lineage (grandson of Abraham Schoenberg, born in 1812 in Szécsény) falls under the BY16148 clade downstream of DF27.
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
George H.W. Bush (1924-2018), the 41st president of the United States, and his son George W. Bush (b. 1946), the 43rd president, apparently belong to haplogroup R1b-DF27 > Z196 > Z209 > CTS4065 > S16864 based on the results from the Bush DNA Project (group A). They descend from Reynold Bush (1600-1686) who emigrated from England (Fering Parish, Essex) to the Massachusetts colony about 1640.
Canadian statesman Pierre Trudeau, the third longest-serving Prime Minister in Canadian history, and his son Justin Trudeau, who served as the second-youngest Canadian Prime Minister, probably belong to haplogroup R1b-DF27 > Z196 > SRY2627 > Z208 according to FTDNA's French Heritage Project and their genealogy on Geni.com.
Undetermined R1b branch
Yehia Z Gad and his team at the Ancient DNA lab of the National Museum of Egyptian Civilization in Cairo retrieved the DNA of several members of the 18th Dynasty of Egypt (c. 1550–1295 BCE), which included Amenhotep I to III, Thutmose I to IV, Hatshepsut, Akhenaten and Tutankhamun. The Y-DNA analysis established that The royal male lineage belonged to Y-haplogroup R1b.
Professor Tomasz Kozlowski tested the Y-DNA of Prince Janusz III of Masovia, Duke of Czersk, Warsaw, Liw, Zakroczym and Nur. He was a direct descendent of the Piast Dynasty, the first historical dynasty ruling over Poland, starting with Prince Mieszko I (c. 930–992) and ending in 1370 with the death of King Casimir III the Great. The Piast family continued to rule over the Duchy of Masovia until 1526 and the Duchy of Silesia until 1675. Prof. Kozlowski announced that the prince belonged to haplogroup R1b, and therefore probably also other members of that royal lineage, including all the Dukes of Masovia (1138-1526), as long as no non-paternity event took place.
Bogdanowicza et al. (2009) tested the Y-chromosomal DNA and mitochondrial DNA of the exhumed remains of the Renaissance astronomer Nicolaus Copernicus. They established that he belonged to Y-haplogroup R1b-P310 and mt-haplogroup H.
Rogaev et al. (2009) tested the DNA of the presumed grave of Tsar Nicholas II of Russia and all his five children, and compared them against archival blood specimens from Nicholas II as well as against samples from descendants of both paternal and maternal lineages. The results unequivocally confirmed that the grave was the one of the last Russian Royal family. Nicholas II belonged to Y-haplogroup R1b and mt-haplogroup T2. Consequently, all Russian emperors of the Romanov dynasty since Peter III (1728-1762) also belonged to haplogroup R1b. This paternal lineage ultimately descends from the House of Oldenburg, which includes all the Kings of Denmark since Christian I (reigned from 1448) as well as several Kings of Norway, Sweden and Greece, and the current heirs to the British throne (Prince Charles and his son Prince William).
The great English naturalist Charles Darwin (1809-1882), who proposed the scientific theory of evolution and the process of natural selection, was a member of haplogroup R1b according to the test results from his great-great-grandson.
Kevin Bacon (b. 1958), an American actor and musician whose films include musical-drama film Footloose (1984), the controversial historical conspiracy legal thriller JFK (1991), the legal drama A Few Good Men (1992), the historical docudrama Apollo 13 (1995), and the mystery drama Mystic River (2003). Bacon has won a Golden Globe Award and three Screen Actors Guild Awards, and was nominated for a Primetime Emmy Award. The Guardian named him one of the best actors never to have received an Academy Award nomination.
The American actor **Robert John Downey Jr.** (b. 1965) had his Y-haplogroup was revealed by the PBS television series *Finding Your Roots*. His father adopted the surname Downey, but before that his paternal ancestors were called Elias, or Eliasovitz before they emigrated to the United States. He was nominated for the Academy Award for Best Actor and won him the BAFTA Award for Best Actor in a Leading Role in the movie *Chaplin* (1992), and won a Golden Globe Award for his role in the TV series *Ally McBeal*. He is also known for portraying the role of Marvel Comics superhero Iron Man.
**Other famous members of haplogroup R1b**
- **Harry Connick Jr.** (born 1967) : is an American singer, musician, and actor. He has sold over 28 million albums worldwide. Connick is ranked among the top 60 best-selling male artists in the United States by the Recording Industry Association of America.
- **Charlie Rose** (born 1942) : is an American television talk show host and journalist. Since 1991, he has hosted Charlie Rose, an interview show distributed nationally by PBS since 1993.
Haplogroup E1b1b (Y-DNA)
The main paternal lineage in North Africa.
Haplogroup I2 (Y-DNA)
The main paternal lineage of Mesolithic Europeans.
Haplogroup R1a (Y-DNA)
The dominant paternal lineage in Northeast Europe.
Haplogroup H (mtDNA)
The largest European maternal lineage.
Neanderthal facts & myths
How much did we inherit from Neanderthals?
Haplogroup G2a (Y-DNA)
The main paternal lineage of Neolithic farmers.
Haplogroup J1 (Y-DNA)
The dominant Arabic paternal lineage.
Haplogroup R1b (Y-DNA)
The dominant paternal lineage in Western Europe.
MtDNA by country
Frequencies by regions in Europe and the Near East.
The origins of red hair
Where is it more common? Where did it come from?
Haplogroup I1 (Y-DNA)
The original paternal lineage of Nordic Europe.
Haplogroup J2 (Y-DNA)
The Greco-Anatolian paternal lineage.
Y-DNA Maps
Maps of the main paternal lineage in Europe.
Facts about DNA
Fun tutorial about the basics of genetics.
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
**Medical DNA**
SNP's linked with traits and medical conditions.
- **54 Comments**
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**archaeo** a year ago
Under "Haplogroup R1b - ... Western Europe ...
you state,
"The archeological and genetic evidence (distribution of R1b subclades) point at several consecutive waves towards eastern and central Germany between 2800 BCE and 2300 BCE. The Unetice culture was probably the first culture in which R1b-L11 lineages played a major role. It is interesting to note that the Unetice period happen to correspond to the end of the Maykop (2500 BCE)"
However, in fact,
Majkop starts around 3'700 BC (first genetics 3'237/3'369 in Wang 2019: I1, L2; no R), within the Repin-phase, and ended around 2'900 BC (Bamut stage).
Unetice/Aunjetitz starts 500 y later, around 2'400 BC (2835/2660 after Papac 2021 confused: 2200-1700 for Bohemia according to his S1) and ends around 1'600 BC. The Date for I7197 in Quiles' allancient dna around 4400 BC is complete nonsense and an obvious typo.
"Migration map of Y-haplogroup R1b from the Paleolithic to the end of the Bronze Age (c. 1000 BCE)"
I do not believe this map makes sense in view of the latest data. There are quite a few samples of ancient persons with R-Z2103 from around 3000 BCE from Samara to Vologograd and even Orsk. So the Z2103 group was already formed before the Yamna moved West into Bulgaria and the Balkans (and before Z2103 appeared in Anatolia). I would guess that both Z2103 and L51 moved together and then may have taken partially divergent paths from the Balkans. M269 with some Z2103 moved West-Northwest into Central and Western Europe, while Z2103 with some M269 moved South into Greece and Anatolia. Following that, Z2103 was part of the Westward sea-based migration of Greeks and Anatolians into Southern Italy and Sicily, while M269 descendants (as Italic tribes) came into Italy from the North. Then the two Yamna migrations met again in Italy. How does this sound to you? Nothing in demographics is 100% but this would explain much of the current data.
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Exactly. The idea that R1b was born in the Middle East and only later, with the Kurgan culture, spread across the steppes, has no support whatsoever in publications of recent years. What these publications show is just the opposite: that R1b was already a major haplogroup in the steppes and Eastern Europe before the Kurgans spread to the north. I think what's going on is this: The author built his theory many years ago, before aDNA studies of steppe samples were released. However, he then saw that these studies, after finally seeing the light of day, did not support his ideas, but that they could not be ignored, either. But instead of abandoning his youthful theses, as a serious writer would, he allowed his pride to speak louder than the truth and decided to simply ignore the facts that most explicitly contradicted his writings, and march on.
A question to the author: The S21/U106 map shows 5-10% frequency in Russian Tatarstan (I assume among Volga Tatars) and also a few percent among the nearby Chuvash. What is the source of that? Is that reliable? If it is reliable then what is the possible explanation? Goths joined to the Bulgars? This is a weird result there. I understand the Bashkir Z2103, after all it is near to the Samara region where we have Z2103 from 5000 years ago, but U106?
Im not an expert on this but as far as i know there are volga germans or atleast male descendants.
Yes and they actually intermixed with Tatars. But 5-10% from this specific lineage is a lot. This lineage is just in the 15-30% range even in Germany itself. So here 5 years later I came to conclusion that those numbers on the map are probably inflated by uneven sampling (and low number of samples).
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
stoyan denev Slumbery3 years ago
Explanation is, in Yamnaya we have SNP V88 marker 3300 BC:
https://en.wikipedia.org/wiki/Yamnaya_Culture
The V88 comes with the PIE through balkans, we have it Varna culture, before Yamnaya 4200 BC:
https://genetiker.wordpress.com/2016/09/05/indoeuropaeische-ursprunge-im-kontext-des-europaeischen-neolithikums/
Slumbery stoyan denev21 hours ago
I just noticed this because of the other recent answer. This is not a good explanation, V88 has nothing to do with S21/U106, a completely different branch with divergence in the Paleolithic.
And most Yamnaya R1b is Z2103 which is much closer related to U106 than V88, but still not upstream to it. U106 is a rather specifically Germanic related lineage with a root TMRCA coinciding with the Bell Beaker culture and a lot even younger sub-braches.
LS B Slumbery5 years ago
In the first half of the first millennium, was migration goths to east lands of the Bulgars.
source: http://www.emersonkent.com/2017/01/01/germanic-migration-to-the-east/
how the actual fuck does anyone think that it makes more sense to vaguely refer to time periods as "paleolithic" "mesolithic" "neolithic" etc instead of a number like 11000 BC - 5000 BC? why?
We need both, because where some areas live still in the Mesolithic period, others are already in the early Bronze Age.
Archaeo
not answering the question. there is no good answer. cuz i'm right. when talking about when people migrated where everyone should use numbers not stupid names describing the technological advancement that vary from culture to culture, it's completely retarded. that's like me trying to tell you the time by saying it's 2am but not referring to what time zone i'm in. what a disgracefully lacking field of science
Dates ARE also stated.... There IS a REASON why STUDYING and Remembering what one Studies are a Vital Part of the "Sciences". Your problem is somewhat similar to what mine was, no knowledge, but you can always decide to Study instead of whining, just sayin'. P.S. Jesus Christ was NOT black.(((Rudy))).....
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Saint James Matamoros pjlu2a year ago
WE WUZ SAVIORZ N' SHEET!
Glen Thomas pjlu25 years ago
jesus was not black? why are you saying this to me? are you an insane person? you can't argue with me cuz i'm right, using numbers is a lot more practical than using retarded terms like mesolithic neolithic etc that vary across different parts of the world.
pilu2 Glen Thomas5 years ago
Jesus wasn't an R1a ARYAN.
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
No one else has a problem with the article other than the foul mouthed RETARD that is YOU! I don't even bother (((arguing))) the non-sequitur of Janitors. :) Swear all you (((want to))) cry baby, but YOU are The Failure!
lol.... Nice #Gaslighting attempt, nutBar!
i think this article is not showing all the truth. truth is that R1a and R1b is the turkic gaplogroups. In the article about R1a was not showed where was R1a-M420. R1a was appeared firstly on the Northwest of Iran and has NOT RELATES to the Slavs. If you read the history of the Russian Empire you will understand how russian have done genocide to the turkic peoples. Now such persons as Klyosov saying that R1a is russian and slavs' gaplogroups. this is fake. R1a and R1b was brothers. Klyosov says that R1b is turkic, R1a is slavian. Slavian and Turkic languages are absolutely opposite languages what means that they can't be relative languages. Onle 1 of ths 2 statements can be true: R1a and R1b are both slavians, or R1a and R1b are both turkic. There are proved that R1b is turkic. That means R1a be ONLY turkic and nothing else.
For what reasons Russian "scientist" Klyosov is doing that falsifications? Russian government knows that Turk peoples are getting more interested in their past which was hidden from Turks for the 90 years while Soviet Union existed. Now Turks can reveal all the details of the Russian aggressive expansion and genocide acts against the Turkic nations. That is why Russian scientists want to show that R1a is the Slavian haplogroup but at the same time Slavian "experts" can't explain how is that possible that Kirgyz and Khosons from Mongolia have respectively 60 and 80 percent of R1a haplogroup. Kirgyz and Khosons from Mongolia are Slavians or Slavians are Turks?
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
"Mishka" dzhavidamirov4 years ago edited
"Truth is that R1a and R1b is the turkic haplogroups",
Haplogroup R* originated in North Asia just before the Last Glacial Maximum (26,500-19,000 years ago). This haplogroup has been identified in the remains of a 24,000 year-old boy from the Altai region, in south-central Siberia (Raghavan et al. 2013). This individual belonged to a tribe of mammoth hunters that may have roamed across Siberia and parts of Europe during the Paleolithic. Autosomally this Paleolithic population appears to have contributed mostly to the ancestry of modern Europeans and South Asians, the two regions where haplogroup R also happens to be the most common nowadays (R1b in Western Europe, R1a in Eastern Europe, Central and South Asia, and R2 in South Asia). (Eupedia)
R1a & R1b carriers were born before existance of "Turks" or "Slavic" or others indo-europeans. R1a & R1b carriers are ancestors of large part of North Eurasians, middle eastern and North Africans...
archaeo dzhavidamirov3 years ago edited
People claiming to know "the truth" generally do not know what they talk about. ...archaeo
In particular, dzhavidamirov referred to the Russian history. However, he completely forgets the much more important history of the Turcic peoples in connection to the attested haplogroups, here R1a. archaeo
In contrast, all three Bronze Age Portuguese men tested belonged to R1b (one M269 and two P312), although they carried Neolithic Iberian maternal lineages (H1, U5b3, X2b) and lacked any discernible Steppe admixture.
This is false. The Martiniano study did find EHG admixture in these R1b samples, and EHG is from the steppe. Honestly, for all the work Eupedia does in being comprehensive, it sure is sloppy when it comes to the depth of its commentary.
Firstly, i would like to extend a big thank you for all the work that has been put out here for all of us to review. In spirit of maintaining accuracy due to the time that has extended since the last update, i highly recommend it. Personally, i am of the R1b...DF63 and this particular offspring is not represented here or elsewhere. i have so many questions about the DF63 and so if you have information in this particular i would greatly benefit from it either here or through a PM to my gmail account email@example.com. Again thank you for your time and please consider an update to this subject matter. Cheers.
This article is horrible. The author simply treats his favorite speculations as a near-proven fact, even though all the evidence is lining up against his conclusions. There is no evidence, for example, that R1b first sprouted in the Middle East. The oldest samples of R1b and its ancestors, researchers found in Europe and Siberia. And R1b had already emerged in the steppes before the Kurgans spread to the North Caucasus. The author simply pretends these facts don't exist in order to continue to feed his pet-theories.
The Etruscans WERE NOT later incomers from the eastern Mediterranean.
Could you please prepare map s1194?
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
archaeo 3 years ago
Could you please update the wunderful article!? E.g., "R1b1a (P297)," is now (ISOGG 2020) R1b1a1.
Jatt Scythian 3 years ago edited
Do you guys this that R1b is ultimatley an ENA lineage? Genetics is crazy if that's true.
archaeo 3 years ago edited
You wrote "It is now known that kurgan-type burials only date from the 4th millenium BCE and almost certainly originated south of the Caucasus." < The latter is wrong. South of the Caucasus, Kurgans appear in Laila Tepe (SE of the Caucasus) around the same time as in the Majkop-C. (N of the Caucasus), around 3600 BC. A second wave - the "Early Kurgan period" (!) appeared in the middle BA at Bedeni and Trialeti. After all sources.
Milosz Herman 3 years ago
https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
This article is a fraud in parts presenting the coming of R1 haplogroups was a "conquest". There is no evidence of such assumptions, just the contrary. It seems from the archeological evidence that there was a gradual intermingle process of both populations, adopting technologies, life styles and culture from one another.
archaeo 4 years ago
Dear maricamo,
Your overview articles are always interesting. Now I stepped across your claim under "Haplogroup R1b (Y-DNA), where you wrote "Modern linguists have placed the Proto-Indo-European homeland in the Pontic-Caspian Steppe, ..." - Having studied Indo-European sciences for decennia, and having most authoritative textbooks at hand, I wonder which "Modern linguist" you refer to. Please note that in particular, linguists (and archaeologists) remain very much reserved and cautious regarding the decision of a homeland wherever localized. You will need much more references, not only limited to bio-systematics. Thank you
Mishka 4 years ago
Respect to the oldest middle eastern R-V88 carrier who fathered the Chadic Tribes of Nothern Cameroon and Nigeria, Chad, Rwanda ...
"The first forays of Steppe people into the Balkans happened between 4200 BCE and 3900 BCE, when cattle herders equipped with horse-drawn wagons crossed the Dniester and Danube and apparently destroyed the towns of the Gumelnita, Varna and Karanovo VI cultures in Eastern Romania and Bulgaria. A climatic change resulting in colder winters during this exact period probably..."
This requires clarification:
1. I would be eager to learn where in exactly that time is a "horse-drawn wagon" attested. There is none and the sentence is a fake.
2. Further, which climatic proxy attests for colder winters in the above time window? There is none. The sentence is a fake.
Best, archaeo
(regrettably the "living DNA" advertising hinders/covers editing the discussion)
Coker 5 years ago
This article states M269 is R1b1a2. However, ISOGG shows R1b1a1b-M269.
https://isogg.org/tree/index.html
Maciamo, your tree differs significantly from the 2017 tree, https://isogg.org/tree/2017..., writing, "most European R1b belongs to R1b1a1a2a1a1-M405/S21/U106 or R1b1a1a2a1a2-P312/PF6547/S116." Now its Your turn.
so according to that map of r1b migration. it came into britain after 3000BC. so there wasn't anyone in britain before that? who was before that? aren't there more native brits than that? isn't there a shitload of evidence of humans in britain going back further than that? what haplogroup do native brits have? did they get wiped out? what is this shit this doesn't add up at all
"Aggressive warfare. The Indo-Europeans were a warlike people with a strong heroic code emphasizing courage and military prowess. Their superior technology (metal weapons, wheeled vehicles drawn by horses) and attitude to life would have allowed them to slaughter any population that did not have organised armies with metal weapons"
"Replacement of patrilineal lineages following this model quickly becomes exponential. Imagine 100 Indo-European men conquering a tribe of 1000 indigenous Europeans (a ratio of 1:10). War casualties have resulted in a higher proportion of women in the conquered population. Let's say that the surviving population is composed of 700 women and 300 men. Let's suppose that the victorious Indo-European men end up having twice as many children reaching adulthood as the men of the vanquished tribe. There is a number of reason for that. The winners would take more wives, or take concubines, or even rape women of the vanquished tribe. Their higher status would guarantee them greater wealth and therefore better nutrition for their offspring, increasing the chances of reaching adulthood and procreating themselves. An offspring ratio of 2 to 1 for men is actually a conservative estimate, as it is totally conceivable that Bronze-Age sensibilities would have resulted in killing most of the men on the losing side, and raping their women. Even so, it would only take a few generations for the winning Y-DNA lineages to become the majority. For
instance, if the first generation of Indo-Europeans had two surviving sons per man, against only one per indigenous man, the number of Indo-European paternal lineages would pass to 200 individuals at the second generation, 400 at the third, 800 at the fourth and 1600 at the fifth, and so on. During that time indigenous lineages would only stagnate at 300 individuals for each generation.
Based on such a scenario, the R1b lineages would have quickly overwhelmed the local lineages. Even if the Indo-European conquerors had only slightly more children than the local men, R1b lineages would become dominant within a few centuries. Celtic culture lasted for over 1000 years in Continental Europe before the Roman conquest putting an end to the privileges of the chieftains and nobility. This is more than enough time for R1b lineages to reach 50 to 80% of the population."
you either have to identify this conquered population and what their haplogroup is to make your claims, or you have to be of the position that there were no homo sapiens in western europe before 3000BC. there isn't evidence of what you're saying. it's a random unsupported theory. it's a hypothetical situation that doesn't add up
"there isn't evidence of what you're saying. it's a random unsupported theory"
Dear Mr. Martian in planet Earth there is no evidence of any other possibility, it is a natural behavior in any social mammal, it is a fact in the Human History, it is absurd to suppose different in early periods.
White people presence in North America could give you a clue, different percentile in South America expose several things, like Imperialism concepts and differences between movie scripts and History. But not now, next course Mr. Martian.
Recent studies by David Reich would appear to support this interpretation. "Who We Are and How We Got Here", 2019; Oxford University Press, 978-0-19-882126-7.
you're not answering the question. who were the native europeans that these r1b europeans conquered? what haplogroup were the native brits? are you saying that the native brits were i haplogroup? what haplogroup did neanderthals have? this shit doesn't make sense. we know every single haplogroup in the british isles. are you saying the native brits and irish were one of the non r1b haplogroups? like i? or j? r1a? this shit is not adding up like people act like it is
I2a were definitely there. You can see how it was rapidly replaced (conquered, slaughtered, interbred, etc) by R1b in a few centuries around 2,500 BCE. Search for "Population transformation in Britain associated with the arrival of the Beaker complex"
so the i haplogroup really was in europe first. does the number in the title of a haplogroup indicate which came first? like does i1 being titled such mean that it came before i2? are i1 or i2 europeans more native? i would've thought i2 came first based on its distribution
oh shit ok i looked it up, that's interesting didn't realize we knew that thanks
"o according to that map of r1b migration. it came into britain after 3000BC. so there wasn't anyone in britain before that? who was before that? aren't there more native brits than that? isn't there a shitload of evidence of humans in britain going back further than that? what haplogroup do native brits have? did they get wiped out? what is this shit this doesn't add up at all"
Please define "native Brit". Everybody's ancestors came from somewhere else, it is not like people evolved locally. If "native" is the first human group that populated the area, then they died out more than 30 000 years ago.
I don't understand the "so there wasn't anyone in britain before that?" question. There is nothing in the article above that would lead to such conclusion.
Also, you must understand that:
1. The Y-DNA is just a small part of the full DNA. Just because every male have particular Y-DNA haploproup, it does not mean that everybody
Maciamo Hay. (Last Updated Jul. 01, 2023). Haplogroup R1b (Y-DNA), re. Babylonian Radhanites, Ashkenazi, Jewish merchant-banker imposters. Eupedia. Reproduced for educational purposes only. Fair Use relied upon. Source: https://www.eupedia.com/europe/Haplogroup_R1b_Y-DNA.shtml
else died out.
2. Even modern Brits are not R1b only. (It is about 67% in England, according to this site.)
I suggest you a reading on topic of the population change in Britain after 3000 BC to answer many of your questions: https://www.biorxiv.org/con...
Britain was first populated by modern humans something like 40 000 years ago (give or take), interrupted by the Last Glacial Maximum when people died out, but repopulated right after that. The people who lived here just before the arrival of R1b had mostly I2a as paternal lineage, but before them there were other migrations and frequency changes.
Mishka 4 years ago
R1b carriers killed all old lineage in Europe : I2*,G2a*,E-V13,Q,R1a 3500 years ago...
kthetra mali 5 years ago edited
Throughout the time I've read and DNA analysis, and I have not seen any DNA analyzes Pellazget Illyria Albanians V-13 by scholars and authors is an ignorance because all peoples of Europe have Illyrian origins, Thrace, Dacian. It is a shame to hide from the origins of the history of Albanians, but the truth will come out whether or not the author agrees
Tom Nowacki 5 years ago edited
The author takes a fairly strong stand on proto-IE expansion. I noticed, for example, in a paragraph that refers to the Maykop culture (3700-2500 BCE):
Combined with advanced bronze weapons and their sea-based culture, the western branch (R1b) of the Indo-Europeans from the Black Sea shores are excellent candidates for being the mysterious Sea Peoples, who raided the eastern shores of the Mediterranean during the second millennium BCE.
Why? The Black Sea region is more remote from the Aegean -- the eastern Mediterranean -- than most other regions, the Levant, Mycenean Greece, western Anatolia, the Tyrrhenian Sea, the Adriatic, the Ionian Sea (home of Odysseus), the Aegean itself (Cyprus, Crete), Thrace. Moreover, Sea Peoples were late and not early Bronze Age.
Another point I would highlight: Proto-Celtic in the context of Indo-European westward expansion from the Carpathian Basin?
The "Celtic from the West" theory proposes that Celtic was Indo-European with an Iberian accent (loss of 'p') and spread from modern Portugal, through diffusion, not through invasion, much as the Bell-Beaker phenomenon. An interesting mystery that genetics may one day help to unravel is what happened to the Iberian population of the El Argar culture, where sites were suddenly abandoned 1300 BCE. Where did the Argarians disappear to? And what of the Indo-Europeans (Proto-Celts?) in central Iberia at the time?
Note: El Argar (2200-1300 BCE). South-eastern Spain, 10% ruling elite, 50% slaves, 40% impoverished other trades.
R1b has a 95% distribution in central Africa, especially in Cameroon. I think it is likely that there is the birthplace of the haplogrup. Later spreading across Europe and Asia.
That is super unlikely. It is only R1b-V88 that is frequent in some parts of Africa, R1b as a whole have a much bigger diversity in Eurasia. Also all the related Y-DNA groups are Eurasian. You cannot handle the origin of R1b separately from the origin of R1a for example, because they have to meet at some point in the past. R1b is a very clearly Western Eurasian haplogroup.
BTW, what "has a 95% distribution in Central Africa" means? Are you trying to say that it has a 95% frequency in Central Africa? It has not, nowhere near. That 80+% spot in Northern Cameroon probably represents samples from one tribe and the coloration in the wider region is mostly extrapolation (but even that extrapolation shows R1b-V88 to be nowhere near 95%).
Obviously the most likely scenario causing an influx of R1b is from Europe. It is a relatively wage statistical footprint used to establish the heat map of R1b in Africa.
Correct, although not from Europe but from western and central Asia (origin of R1b). This has been studied and is called the "Back to Africa" migration (compared to the "Out of Africa" events)
Probably the Mamluks.
Mesopotamia...... The Levant..... Mesopotamia.... The Levant...... (((Denial))) while ARYAN bibi nyet&yahoo plays more jooish than jeebus, and trump is an idiot like pretty well ALL Americans....
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Developing Models to Predict the Number of Fire Hotspots from an Accumulated Fuel Dryness Index by Vegetation Type and Region in Mexico
D. J. Vega-Nieva 1, J. Brisenño-Reyes 1, M. G. Nava-Miranda 2, E. Calleros-Flores 1, P. M. López-Serrano 7,*., J. J. Corral-Rivas 2, E. Montiel-Antuna 1, M. I. Cruz-López 3, M. Cuahutle 3, R. Ressl 3, E. Alvarado-Celestino 4, A. González-Cabán 5, E. Jiménez 6, J. G. Álvarez-González 7, A. D. Ruiz-González 7, R. E. Burgan 8 and H. K. Preisler 9
1 Facultad de Ciencias Forestales, Universidad Juárez del Estado de Durango, Río Papaloapan y Blvd. Durango S/N Col. Valle del Sur, CP 34120 Durango, Mexico; email@example.com (D.J.V.-N.); firstname.lastname@example.org (J.B.-R.); email@example.com (E.C.-F.); firstname.lastname@example.org (E.M.-A.)
2 Instituto de Silvicultura e Industria de la madera, Universidad Juárez del Estado de Durango, Boulevard del Guadiana 501, Ciudad Universitaria, Torre de Investigación, 34120 Durango, Mexico; email@example.com (M.G.N.-M.); firstname.lastname@example.org (J.J.C.-R.)
3 Comisión Nacional para el Conocimiento y Uso de la Biodiversidad (CONABIO), Liga Periférico-Insurgentes Sur 4903, Parques del Pedregal, Del. Tlalpan, CP 14010 Ciudad de México, Mexico; email@example.com (M.I.C.-L.); firstname.lastname@example.org (M.C.); email@example.com (R.R.)
4 School of Environmental and Forest Sciences, University of Washington, Mailbox 352100, University of Washington, Seattle, WA 98195, USA; firstname.lastname@example.org
5 Pacific Southwest Research Station, US Department of Agriculture Forest Service, (retired), 4955 Canyon Crest Drive, Riverside, CA 92507, USA; email@example.com
6 Centro de Investigación Forestal-Lourizán, Xunta de Galicia (Spain), Carretera de Marín km 3.5, CP 36153 Pontevedra, Spain; firstname.lastname@example.org
7 Departamento de Ingeniería Agroforestal, Universidad de Santiago de Compostela, Escuela Politécnica Superior de Ingeniería, Campus Universitario s/n, 27002 Lugo, Spain; email@example.com (J.G.A.-G.); firstname.lastname@example.org (A.D.R.-G.)
8 Rocky Mountain Research Station, USDA Forest Service, (retired), 1505 Khanabad Drive, Missoula, MT 59802, USA; email@example.com
9 Pacific Southwest Research Station, USDA Forest Service, 800 Buchanan, St. Albany, CA 94710, USA; firstname.lastname@example.org
* Correspondence: email@example.com; Tel.: +52-618-233-6612
Received: 20 February 2018; Accepted: 29 March 2018; Published: 7 April 2018
Abstract: Understanding the linkage between accumulated fuel dryness and temporal fire occurrence risk is key for improving decision-making in forest fire management, especially under growing conditions of vegetation stress associated with climate change. This study addresses the development of models to predict the number of 10-day observed Moderate-Resolution Imaging Spectroradiometer (MODIS) active fire hotspots—expressed as a Fire Hotspot Density index (FHD)—from an Accumulated Fuel Dryness Index (AcFDI), for 17 main vegetation types and regions in Mexico, for the period 2011–2015. The AcFDI was calculated by applying vegetation-specific thresholds for fire occurrence to a satellite-based fuel dryness index (FDI), which was developed after the structure of the Fire Potential Index (FPI). Linear and non-linear models were tested for the prediction of FHD from FDI and AcFDI. Non-linear quantile regression models gave the best results for predicting FHD using AcFDI, together with auto-regression from previously observed hotspot density values. The predictions of 10-day observed FHD values were reasonably good with $R^2$ values of 0.5 to 0.7 suggesting the potential to be used as an operational tool for predicting the expected number of fire hotspots by vegetation type and region in Mexico. The presented modeling strategy could be replicated for any fire danger index in any region, based on information from MODIS or other remote sensors.
1. Introduction
The quantification of the influence of varying fuel dryness on temporal fire occurrence risk is critical for improving decision-making in strategic fire management planning (e.g., [1–3]), especially under growing conditions of vegetation stress associated with climate change, which can alter the length and severity of the fire seasons (e.g., [4–7]).
Based on weather information, several operational fire danger systems have been developed to estimate fuel dryness and associated fire occurrence risk (e.g., [8–13]). Examples of these widely applied weather-based fire danger indices are those from the Canadian Forest Fire Danger Rating System, (CFFDRS) (e.g., [14–17]), or the fire danger indices of the National Fire Danger Rating System, (NFDRS) (e.g., [18–20]). Such indices have demonstrated their usefulness for predicting the temporal fire occurrence probability (e.g., the expected days of fire activity thorough the season; [18,21,22]) and also for predicting the temporal evolution in the expected number of fires (e.g., [14,15,23–26]), which can be used for decision support in strategic fire suppression resource allocation and prioritization (e.g., [1,27]). In addition, some authors have proposed indices that combine both weather and satellite information for predictions of fire occurrence risk [28–35] based on works that have demonstrated the potential of satellite sensors for monitoring vegetation greenness and associated fire danger and risk (e.g., [36–41]).
One of the most used operational indices that integrates meteorological and satellite information is the Fire Potential Index (FPI) [28]. The FPI combines remotely sensed estimates of vegetation greenness—as measured by 10-day Normalized Difference Vegetation Index (NDVI) composites—with daily estimates of dead fuel moisture content [42,43] for mapping fuel dryness conditions and associated fire risk and danger. The FPI fuel dryness index has been operationally used for fire danger monitoring and occurrence risk prediction in the United States of America (USA) [28,33–35], Indonesia [44], and on the European continent (e.g., [29–31,45]), including studies of regional application in northern Spain [46–48]. Several of these works have highlighted the need to understand how the same values of a fuel dryness index such as FPI result in different patterns of fire occurrence under different bioclimatic regions and vegetation types.
In Mexico, Manzo-Delgado et al. [49,50] demonstrated the potential of the temporal evolution of NDVI-based indices as indicators of fuel drought and associated fire risk for the central region of the country. Some studies have evaluated the role of weather variables such as precipitation or temperature on fire occurrence risk (e.g., [51–53]), mainly at regional or local scales. The work of Pompa-García et al. [54] explored the association between fire records and the Standardized Precipitation-Evapotranspiration Index (SPEI) drought index, finding that the relationships of drought and fire vary by regions in the country. The FPI system [28] was tested by Sepulveda et al. [55,56] in the region of Baja California, but its performance has not been tested nationally for fire occurrence prediction.
Fire monitoring efforts in Mexico country include the development of an interface for active fire hotspots [57] near-real time monitoring [58,59]. The monitoring of fire hotspots is used for strategic decision making in fire suppression by considering the number of active fire hotspots as indicators of the level of fire ignitions and potential for forest fire spread in the main regions of the country.
Previous analysis of monthly fire MODIS hotspot and NDVI-based fuel greenness dynamics for the main vegetation types in Mexico [60,61] suggested that the relationship between fire hotspots occurrence and fuel dryness varied by month, with similar values of fuel dryness resulting in a higher number of fire hotspots as the fire season advanced. These results suggested that the accumulated dryness from the previous months might have potential for explaining the temporal evolution in fire hotspot occurrence.
Based on the above-mentioned results, this study provides further insight into the potential benefit of using an accumulated fuel dryness to explain forest fire occurrence variability. The current study tested an Accumulated Fuel Dryness Index (AcFDI), to predict 10-day (dekad) number of MODIS active fire hotspots, expressed as a Fire Hotspot Density index (FHD). The AcFDI was calculated from the temporal accumulation of a remote-sensing-assessed fuel dryness index (FDI)—based on the structure of the FPI index [28]—for the main ecoregions and vegetation types of Mexico.
Overall, the considerably wide variety of vegetation domains, meteorological conditions, and fire seasonality patterns existing in Mexico offered a valuable opportunity to explore the relationships of fire occurrence and fuel dryness under a variety of vegetation types, ecoregions, and weather conditions.
The specific goals of the current work are (1) to estimate thresholds for fire occurrence for the fuel dryness index (FDI) for each vegetation type and region in Mexico; and (2) to develop models to predict 10-day MODIS Fire Hotspot Density (FHD) for the main vegetation types and regions in Mexico.
2. Materials and Methods
2.1. Study Area
The area of study was the whole Mexican territory. Figure 1 shows the main vegetation types in the country according to the most recent land use map (INEGI Land Use Map Series V, year 2011, 1:25,000 [http://www.inegi.org.mx/geo/contenidos/recnat/usosuelo/](http://www.inegi.org.mx/geo/contenidos/recnat/usosuelo/)) of the National Institute of Geography and Statistics (INEGI in Spanish). Given the well-documented variations in fire regimes seasonality in the country (e.g., [62–65]), five geographical regions were established: Northwest (NW), Northeast (NE), North-Centre (NC), Centre (C), and South (S) (Figure 1). The definition of regions was based on the North American Level 3 Ecoregions Map (EPA, [https://www.epa.gov/ecoresearch/ecoregions-north-america](https://www.epa.gov/ecoresearch/ecoregions-north-america)), together with previous analysis of the temporal trends and spatial patterns of clustering in fire hotspots in the country [54,60,61]. Vegetation types were reclassified into the following categories: temperate forest (FOR), dry tropical forest (DTROPF), seasonally dry tropical forest (SDTROPF), seasonally wet tropical forest (SWTROPF), wet tropical forest (WTROPF), wetlands (WET), desert shrubby vegetation (DSHR), natural pastureland (NPAS), and agricultural croplands (AGR) (Figure 1). Agricultural lands were included in our analysis because of the relevance of agricultural burns, including escaped burns from agriculture and slash-and-burn agriculture in the occurrence of forest fires in the country—particularly in the Centre and South regions (e.g., [54,61,66]). The desert shrubby vegetation of all regions and natural pastureland of the North-Centre arid region were excluded from our analysis because of the relatively low registered number of hotspots and fire suppression registers in these vegetation types and regions. This resulted in a total of 17 vegetation and region units (Figure 1).
2.2. MODIS Active Fire Hotspots
MODIS active fire hotspots for the study period were compiled from the Forest Fire Early Warning System operated by the National Commission for Knowledge and Use of Biodiversity (CONABIO) ([http://incendios1.conabio.gob.mx/](http://incendios1.conabio.gob.mx/)). Active fires were obtained based on the Contextual Fire Detection Algorithm for MODIS [57]. The algorithm classifies MODIS pixels as possible active fires by applying minimum thresholds for brightness temperature and considering the context of the surrounding pixels [57,67].
To minimize false detections, active fire hotspot data were filtered by CONABIO following the protocol described by Cruz-Lopez [67]. This process includes the consideration of specific thresholds for brightness temperature [67], in order to avoid false detection by sun-light and very high albedo (e.g., [68]). Several additional masks were also considered in the filtering, such as a NDVI and vegetation mask to remove desert areas without vegetation, or a stable light mask, generated from DMSP satellite images ([http://julius.ngdc.noaa.gov:8080/production/BIOMASS/night.html](http://julius.ngdc.noaa.gov:8080/production/BIOMASS/night.html)), as described in [67].
Figure 1. Map of vegetation types and regions. Source: INEGI Land Use Map Series V (2011), 1:25,000. FOR: temperate forest; DTROPF: dry tropical forest; WTROPF: wet tropical forest; SDTROPF: seasonally dry tropical forest; SWTROPF: seasonally wet tropical forest; WET: wetlands; AGR: agricultural croplands; NPAS: natural pastureland; DSHR: desert shrubby vegetation; POPUL: major population centers; WATER: water bodies; NW, NE, C, NC, S: Northwest, Northeast, Centre, North-Centre, and South regions, respectively.
2.3. Fire Hotspot Density Index (FHD) Calculation
For each of the 17 vegetation types and regions considered, Fire Hotspot Density was calculated for each 10-day (dekad) period by dividing the number of MODIS hotspots observed by dekad in each vegetation/region by the surface \((\text{km}^2)\) of the corresponding vegetation/region considered, scaled to a Fire Hotspot Density index (FHD) as follows (Equation (1)):
\[
\text{FHD} = \frac{\text{Number of hotspots}}{\text{Surface} (\text{km}^2)} \times 20,000
\]
(1)
The scaling factor was chosen as \(1/10\) of a reference surface of 200,000 km\(^2\), which is approximately equivalent to the surface of the temperate forests of the Northwest or Centre regions that are the main regions of forest fire occurrence in the country. Therefore, the FHD index directly represents \(1/10\) of the observed number of hotspots by dekad on a reference surface of 200,000 km\(^2\).
2.4. Fuel Dryness Index (FDI) Inputs
The inputs for calculating FDI were daily images of the estimated moisture content of 100-h time-lag dead fuels \((H_{100})\) [42] and 10-day NDVI composites. The daily \(H_{100}\) images were calculated in CONABIO following the Cervera-Taboada [69] calibration of the NFDRS algorithms of dead fuel moisture content [42,43] for Mexico. This is based on temperature and relative humidity from MODIS atmospheric profiles combined with precipitation data from the TRMM satellite [58,59,69]. CONABIO calculated the 10-day MODIS NDVI composite images with a spatial resolution of \(1 \times 1\) km, using the harmonic time series methodology (HANTS) proposed by Roerink et al. (2000), cited by De Badts et al. [70], as described by Cruz-Lopez [67]. The study timeframe was from 2011 to 2015, based on the availability of historical \(H_{100}\) images calculated daily by CONABIO. We computed the average FDI value for 10-day periods for each vegetation type and region in the period of study.
2.5. Fuel Dryness Index (FDI) Calculation
The FDI was calculated based on the Fire Potential Index (FPI) developed by Burgan et al. [28], which integrates NDVI information with daily maps of dead fuels moisture content. FDI followed the general index structure proposed by Burgan et al. [28] (Equation (2)):
\[
\text{FDI} = (1 - \text{LR}) \times (1 - \text{MR}) \times 100
\]
(2)
where LR is the live ratio obtained from 10-day NDVI images following Equations (3)–(5), and MR is dead fuels moisture ratio obtained following Equation (6).
Following Burgan et al. [28], the index represents the fuel dryness, with values close to 100 when both live and dead fuel moisture values are close to the maximum fuel dryness values, and lowest values when the fuels have higher fuel greenness and higher dead moisture conditions.
Whereas some works have suggested a potential improvement by using the Normalized Difference Water Index (NDWI) instead of NDVI for the FPI calculation (e.g., [33]), we chose to utilize NDVI as in the original model formulation and several related works (e.g., [30,31,34,35]). The reason for this was the operational availability of 10-day MODIS NDVI compounds from the near-real-time fire monitoring systems of CONABIO [58]. This availability is advantageous both for the historical period and also for future real-time implementation of the fuel dryness index calculation.
The first component of the index—live ratio—was calculated based on relative greenness values following Burgan et al. [28] (Equations (3) and (4)):
\[
\text{LR} = \text{RG} \times \text{LR}_{\text{max}} / 100
\]
(3)
where RG is relative greenness, calculated as:
\[
\text{RG} = (\text{NDVI}_0 - \text{NDVI}_{\text{min}}) / (\text{NDVI}_{\text{max}} - \text{NDVI}_{\text{min}}) \times 100
\]
(4)
where NDVI$_0$ is the observed NDVI for each pixel every 10-days, NDVI$_{\text{min}}$ and NDVI$_{\text{max}}$ are the absolute minimum and maximum NDVI values for each pixel from the period of study, and LR$_{\text{max}}$ is the maximum live ratio value for each pixel.
In the first FPI formulation [37], LR$_{\text{max}}$ was determined as a function of the live and dead loads, but this original proposal resulted in overestimated FPI values for some areas in the U.S. A second empirical formulation was proposed by Burgan et al. [28] for the calculation of LR$_{\text{max}}$ in the U.S., scaling this index from 35 to 75% based on the NDVImax map. For the FDI index calculation in this work, based on the observed number of hotspots for every LR value in Mexican vegetation types, we scaled LR$_{\text{max}}$ following Equation (5):
\[
\text{LR}_{\text{max}} = 30 + 30 \times (\text{NDVI}_{\text{max}} - 125) / (255 - 125)
\]
(5)
where LR$_{\text{max}}$ is the live ratio for a given pixel when the vegetation is at maximum greenness, and NDVImax is the historical maximum NDVI observed for a given pixel. The values 125 and 255 are the absolute minimum and maximum NDVI values observed for Mexico, following Burgan et al. [28].
The second component of the FDI—MR—represents the ratio of dead fuel moisture. In the formulation of Burgan et al. [28] for the FPI, MR is calculated as a ratio of dead fuels moisture to fuels moisture of extinction based on the NFDRS fuels map for the U.S. Because no fuel extinction moisture map is available for Mexico, we tested the following expression for scaling MR for the FDI (Equation (6)):
\[
\text{MR} = (\text{H}_{100} - \text{H}_{100\text{min}}) / (\text{H}_{100\text{max}} - \text{H}_{100\text{min}})
\]
(6)
where H$_{100}$ is the observed value of 100 h dead fuel moisture, and H$_{100\text{max}}$, H$_{100\text{min}}$ are maximum and minimum observed H$_{100}$ values for each pixel.
2.6. Threshold FDI\textsubscript{p} Values by Vegetation Type and Region
We calculated the accumulated percentage of fire hotspots by FDI for each vegetation type and region for the whole study period. Based on the accumulated percentage of fire hotspots, we calculated the minimum values of FDI above which 85%, 90%, and 95% of the accumulated FHD values occurred (FDI\textsubscript{p}, with \( p = 85\%, 90\%, 95\% \)), similar to the work of Sebastián-López et al. [31].
2.7. Accumulated Fuel Dryness Index (AcFDI)
We tested a simple accumulated fuel dryness index AcFDI, based on the sum of the FDI values above the threshold for fire occurrence (FDI\textsubscript{p}) in the previous three months. The index was assumed to be zero at values below the FDI\textsubscript{p} threshold (Equation (7)).
The index was calculated for each vegetation type and region as follows:
\[
\text{If } \text{FDI}_i < \text{FDI}_p, \quad \text{AcFDI}_i = 0; \quad \text{If } \text{FDI}_i > \text{FDI}_p, \quad \text{AcFDI}_i = \sum_{i=n-9}^{n} (\text{FDI}_i - \text{FDI}_p)
\]
(7)
where AcFDI\textsubscript{i} is the Accumulated Fuel Dryness Index for dekad i, FDI\textsubscript{i} is the observed Fuel Dryness Index for each dekad i, n is the current dekad, and FDI\textsubscript{p} is the Fuel Dryness Index threshold for fire occurrence, calculated for each vegetation type and region as the FDI value above which the \( p \) percentage of hotspots occurs, with \( p = 85\%, 90\% \) and 95\% (Section 2.6).
The nine-dekad period for accumulating fuel dryness above the threshold was selected based on previous indices of accumulated fuel dryness derived for tropical countries (e.g., [71]), together with the observation of the FDI and FHD temporal evolution plots, by observing the average time difference between the start of fuel dryness accumulation above the FDI threshold and the observed starts and peaks of the fire season from FHD observations.
2.8. Models for the Prediction of Fire Hotspot Density (FHD)
We tested linear and non-linear models for the prediction of FHD\textsubscript{i} from FDI\textsubscript{i} or AcFDI\textsubscript{i}. Because the most robust results were obtained from non-linear models, here we report only results for these non-linear models. However, results for all linear models tested are available upon request from the corresponding author. The non-linear models tested were (Equations (8) and (9)):
\[
\text{FHD}_i = a \times \text{FHD}_i^b
\]
(8)
\[
\text{FHD}_i = a \times \text{AcFDI}_i^b
\]
(9)
where FHD\textsubscript{i} is Fire Hotspot Density index for dekad i (Equation (1)), FDI\textsubscript{i} is Fuel Dryness Index for dekad i (Equation (2)), AcFDI\textsubscript{i} is Accumulated Fuel Dryness Index for dekad i (Equation (7)), and \( a \) and \( b \) are model coefficients to be estimated.
In addition, we also tested the following non-linear model, including an autoregressive term to account for the effect of the fires that occurred in the previous dekad FHD\textsubscript{i-1} on the predicted FHD\textsubscript{i} values at dekad i, as follows (Equation (10)):
\[
\text{FHD}_i = a \times \text{AcFDI}_i^b + c \times \text{FHD}_{i-1}
\]
(10)
The \( c \) coefficient for the autocorrelation of FHD was estimated as the calculated correlation coefficient between FHD\textsubscript{i} and FHD\textsubscript{i-1} values for each vegetation type and region.
The models were fitted using non-linear least-squares regression (NLS) and non-linear quantile regression (NLQ) [72], using the packages \( nls \) and \( nlrq \), respectively, of the software R [73]. For the quantile regression, we tested as candidate percentile values ranging 5 percentile units from 55 to 95\%.
These candidate models were evaluated by using the coefficient of determination for nonlinear regression (\( R^2 \)) as a statistical criterion (see [74], pp. 419 and 424), together with root mean square error (\( RMSE \)) and model Bias. \( R^2 \) is defined as the square correlation coefficient between the measured
and estimated values \((y_i, \hat{y}_i)\) and the root mean square error (RMSE), which can be defined as follows (Equations (11)–(13)):
\[
R^2 = r^2 y_i \hat{y}_i
\]
(11)
\[
RMSE = \sqrt{\frac{\sum(y_i - \hat{y}_i)^2}{n - p}}
\]
(12)
\[
Bias = \sum(y_i - \hat{y}_i) / n
\]
(13)
where \(y_i\) and \(\hat{y}_i\) are the observed and estimated values of the dependent variable, respectively, \(n\) is the total number of observations used to fit the model, and \(p\) is the number of model parameters.
Because the models will be used for fire risk strategic decision making, conservative predictions would be preferred. Therefore, in addition to highest \(R^2\) and lowest \(RMSE\) values, we established as a criteria for selecting as best models those where the bias ranged from \(-5\) to \(-15\), therefore providing conservative overestimations for most of the observed values, as preferred for cautious risk decision making.
3. Results
3.1. Observed Fuel Dryness Index for Vegetation Types and Regions
As expected, the observed temporal evolution of FDI varied by vegetation type and region. The observed FDI temporal trends for temperate forests of four regions (Figure 2 top plot) and for four tropical forests in the South region (Figure 2 bottom plot) for the five years of study are shown in Figure 2.
**Figure 2.** Observed Fuel Dryness Index (FDI) for temperate forest of the Northwest (NW), Northeast (NE), Centre (C), and South (S) regions and for dry and wet tropical forests and wetlands of the South (S) region. FDI: Fuel dryness Index; FOR: temperate forest; DTROPF: dry topical forest; WTROPF: wet topical forest; WET: wetlands. Dotted lines of the corresponding color represent the FDI\(_{95}\) threshold values for each vegetation type (Table 1).
**Table 1.** FDI\(_p\) threshold values for \(p = 95\%, 90\%, 80\%\).
| Veg_Reg | FDI\(_{95}\) | FDI\(_{90}\) | FDI\(_{85}\) |
|---------|-------------|-------------|-------------|
| FOR_NW | 59 | 66 | 70 |
| FOR_NE | 52 | 55 | 59 |
| FOR_C | 47 | 53 | 57 |
Table 1. Cont.
| Veg_Reg | FDI$_{85}$ | FDI$_{90}$ | FDI$_{95}$ |
|-------------|------------|------------|------------|
| FOR_S | 38 | 42 | 45 |
| FOR_NC | 59 | 66 | 70 |
| DTROPF_C | 46 | 53 | 57 |
| DTROPF_S | 48 | 52 | 54 |
| DTROPF_NE | 46 | 51 | 53 |
| DTROPF_NW | 59 | 65 | 68 |
| SWTROPF_S | 46 | 50 | 53 |
| SDTROPF_S | 48 | 51 | 53 |
| WTROPF_S | 41 | 45 | 47 |
| WET_S | 43 | 46 | 48 |
| AGR_C | 44 | 51 | 55 |
| AGR_NW | 57 | 64 | 68 |
| AGR_NE | 52 | 54 | 58 |
| AGR_S | 42 | 47 | 50 |
| NPAS_C | 50 | 56 | 60 |
$p$: percentage of hotspots that occurred above the FDI$_p$ value; Veg. Reg: vegetation type and region; FOR: temperate forest; DTROPF: dry tropical forest; WTROPF: wet tropical forest; SDTROPF: seasonally dry tropical forest; SWTROPF: seasonally wet tropical forest; WET: wetlands; AGR: agricultural cropland; NPAS: natural pastureland; NW, NE, C, NC, S: Northwest, Northeast, Centre, North-Centre, and South regions, respectively.
Results show that more arid regions had higher FDI values, with the highest values found for temperate forest of the Northwest that reached maximum values of close to 90 in the years 2011, 2012, and 2013, and up to 80 for the wetter years 2014 and 2015. In the case of temperate forest of the Centre and Northeast regions, the maximum values of approximately 80–85 were reached in the dry years 2011 and 2013 (Figure 2).
The lowest FDI values for the temperate forest were observed for the South region, which receives the highest precipitations in the country (>2000 mm). In this more humid region, the highest observed FDI values were approximately 70 in the dry years 2011 and 2013, reaching maximum values of 60 to 65 in the remaining years (Figure 2). As expected, higher FDI values were found for the dry tropical forest compared to the wet tropical forest in the south region, the latter reaching maximum values from around 60 to approximately 50 in the wet year 2014. The dates at which FDI started rising and decreasing also varied by vegetation type, region, and year (Figure 2).
3.2. Threshold FDI$_p$ Values by Vegetation Type and Region
Based on the accumulated percentage of hotspot distributions, we calculated the threshold FDI$_p$ values above which accumulated percentages values $p$ of 85%, 90%, and 95% of the fire hotspots occurred for each vegetation type. The FDI$_{95}$ values for each vegetation type are shown in Table 1. Drier regions such as temperate and tropical forest of the Northwest had higher threshold values for fire occurrence (e.g., FDI$_{95}$ of approximately 60), compared to lower thresholds observed in the wetter vegetation types and regions such as temperate and wet tropical forests of the south, with FDI$_{95}$ values of approximately 40. The Centre and Northeast regions showed intermediate threshold values, with FDI$_{95}$ values in the range of 45–50.
Thresholds for FDI$_{95}$ are shown together with temporal evolution plots of FDI in Figure 2 for some vegetation types. These plots allow visualization of the trends of fuel dryness accumulation above the threshold for the AcFDI index (Equation (7)). Once the FDI goes down to values below the threshold, fires are predicted to cease, according to the first condition of Equation (7). Therefore, these plots also allow visual interpretation of the predicted ends of the fire season each year based on FDI. FDI values in forests of the Northwest and Northeast generally started to decrease and reached values below the threshold one month later (June–July) than forests of Centre and South regions (May–June). The date of the FDI decrease also varied between years, possibly reflecting the differences in the occurrence of rain events between years and regions.
3.3. Predicting Fire Hotspot Density (FHD) from AcFDI by Vegetation Type and Region
Non-linear models based on fuel dryness showed higher goodness of fit statistics compared to linear models. The $R^2$ values for non-linear models using AcFDI and FDI (Equations (8) and (9), respectively) are shown in Table S1. For all vegetation types and regions, higher or similar predictive capacity for estimation of FHD was obtained using AcFDI compared to FDI (Table S1). The highest improvements for FHD using AcFDI instead of FDI were observed for temperate and tropical forests of Centre and temperate forests of the Northwest (NW), where $R^2$ values increased from 0.19, 0.21, and 0.35 to 0.51, 0.50, and 0.74, respectively (Table S1). Smaller gains or marginal increases were obtained for tropical forests of the South (S) and Northeast (NE) regions.
The best models for predicting fire FHD by vegetation type and region and the corresponding goodness of fit coefficients are summarized in Table 2. The best fitted models were obtained with AcFDI, calculated with FD$_{95}$ threshold values of $p = 95\%$ (FD$_{95}$) from Table 1, using a non-linear expression, including autoregressive terms (Equation (10)), for all vegetation types.
The chosen percentile for the best fit percentile regression models ranged from 65 to 90, with most vegetation types having a best fit for percentile values of 70 to 80. As defined in the criteria for model selection, the bias of the selected models in Table 1 ranged from $-5$ to $-15$, which was chosen to represent a conservative overestimation for cautions risk decision making. The $R^2$ values of the best fit models ranged from approximately 0.5 to 0.7 (Table 2), with the highest $R^2$ values for temperate forests of the Northwest and Centre regions and for dry tropical forest of the Centre region. The lowest values for several tropical forests of the South and Northeast regions, and for the temperate forest of the arid North-Centre region. RMSE values ranged from approximately 20 to 80, with most vegetation types having RMSE values in the range 30–60, as shown in Table 2.
**Table 2.** Coefficients and goodness of fit statistics of the best models for predicting fire hotspot density.
| Veg_Reg | Perc | Coefficients | Goodness of Fit |
|---------|------|--------------|-----------------|
| | | $a$ | $b$ | $c$ | $R^2$ | RMSE | Bias |
| FOR_NW | 80 | 13.7 | 3.14 | 0.76 | 0.707 | 43.4 | $-10.6$ |
| FOR_NE | 90 | 22.8 | 2.20 | 0.80 | 0.619 | 39.6 | $-8.6$ |
| FOR_C | 80 | 11.5 | 1.98 | 0.83 | 0.703 | 41.6 | $-9.5$ |
| FOR_S | 70 | 1.8 | 4.70 | 0.72 | 0.575 | 57.4 | $-5.9$ |
| FOR_NC | 95 | 5.6 | 3.49 | 0.61 | 0.463 | 21.4 | $-6.9$ |
| DTROPF_C| 80 | 9.6 | 1.98 | 0.84 | 0.725 | 40.3 | $-12.9$ |
| DTROPF_NW| 85 | 41.9 | 0.88 | 0.70 | 0.523 | 29.1 | $-11.1$ |
| DTROPF_NE| 90 | 35.7 | 0.95 | 0.59 | 0.461 | 21.7 | $-5.1$ |
| DTROPF_S| 80 | 78.6 | 0.59 | 0.75 | 0.601 | 60.3 | $-13.5$ |
| WTROPF_S| 80 | 38.6 | 1.95 | 0.74 | 0.587 | 31.9 | $-8.2$ |
| SWTROPF_S| 65 | 100.8 | 1.35 | 0.70 | 0.625 | 62.1 | $-7.92$ |
| SDTROPF_S| 75 | 129.4 | 0.77 | 0.71 | 0.496 | 81.4 | $-7.5$ |
| WET_S | 70 | 16.9 | 2.49 | 0.67 | 0.511 | 48.1 | $-8.69$ |
| AGR_C | 90 | 9.9 | 1.83 | 0.80 | 0.712 | 32.6 | $-14.4$ |
| AGR_NW | 90 | 24.4 | 0.82 | 0.61 | 0.457 | 23.5 | $-10.8$ |
| AGR_NE | 90 | 25.8 | 0.61 | 0.78 | 0.615 | 18.9 | $-9.2$ |
| AGR_S | 65 | 20.2 | 1.59 | 0.83 | 0.708 | 42.2 | $-8.7$ |
| NPAS_C | 80 | 11.1 | 1.29 | 0.84 | 0.727 | 24.1 | $-7.7$ |
Veg_Reg: vegetation type and region; Perc: percentile selected for the best fitted percentile non-linear regression model; $a$, $b$, and $c$: model coefficients for Equation (10), using the threshold values FD$_{95}$ for calculation of AcFDI; $R^2$: coefficient of determination; RMSE: root mean square error (FHD units: Equation (1)); Bias: model bias (FHD units: Equation (1)); FOR: temperate forest; DTROPF: dry tropical forest; WTROPF: wet tropical forest; SDTROPF: seasonally dry tropical forest; SWTROPF: seasonally wet tropical forest; WET: wetlands; AGR: agriculture; NPAS: natural pastureland; NW, NE, C, NC, S: Northwest, Northeast, Centre, North-Centre, and South regions.
The highest values of the $b$ coefficient were obtained for temperate forests of the South, North-Centre, Northwest, Centre, and Northeast regions; with $b$ values ranging from approximately 2 to 4.7. This suggests that for these vegetation types, increases in accumulated FDI index resulted in
strong increases in fire occurrence. In contrast, most of the tropical forests had lower $b$ coefficients, ranging between 1 and 2, suggesting a less pronounced effect of AcFDI on FHD for these more humid regions.
The value of the $c$ coefficient for autoregression of FHD was highest in the temperate and tropical forests of the Centre region, suggesting a larger effect of previously existing fires on fire occurrence in these regions.
Examples of the predicted FHD values against observed MODIS FHD with the selected models are shown in Figure 3 for several vegetation types.
The observed temporal evolution of FHD shown in Figure 3 varied by region. The Centre and South regions had earlier starts of the fire season, in the months of January and February, compared to a later start of the fire season in the Northwest region, where fire activity generally started in the months of March and April. (Figure 3).
**Figure 3.** Predicted and observed Fire Hotspot Density with the best fit mode for temperate forest of the NW region (a); Centre region (b); Northeast region (c) and wetlands of the South region (d). FOR: temperate forest, WET: wetland; NW, NE, S: Northwest, Northeast, and South regions, respectively. PREDpx: predicted values with the xx best fit percentile; OBS: observed values. FHD: Fire Hotspot Density index (Equation (1) for observed values; Equation (10), with coefficients from Table 2 for predicted values).
Interestingly, for most vegetation types and years, predicted FHD showed a gradual increase from 0 (no risk) to levels of 50 (medium fire risk) in the first months of the year, prior to the start of the fire season (Figure 3). This might be useful as an early warning of the levels of fuel dryness accumulation before the start of the fire season, as will be briefly discussed below in Section 4.3.
For the temperate forests of the Northwest, years 2011, 2012, and 2013 had high-to-medium fire occurrence as shown in the observed FHD plots (Figure 3a), whereas years 2014 and 2015 had low and very low fire occurrence, respectively. This matches with the observed FDI values (Figure 2), where lower FDI values were reached in these latter years, and FDI remained above the FDI threshold for a shorter period compared to the first above-mentioned three years. In this region, the AcFDI index explained a substantial part of the variability in FHD, with $R^2$ values of more than 0.7 for the models with only FDI (Table S1).
For the temperate forests of the Northeast, the highest FDI values (up to 80) were achieved in the years 2011 and 2013, together with large periods of FDI well above the threshold (Figure 2),
corresponding to years of high and medium FHD, respectively (Figure 3b). The fires occurring in this region in the very dry year 2011 were the largest fires recorded in the country, according to CONAFOR records, cited in [54]. Years 2012 and 2014—when lower FDI values of up to 70 were observed (Figure 2)—corresponded to low fire activity (Figure 3b), and year 2015—where the period above the threshold was extremely reduced—had very low fire activity.
In the case of temperate forests from the Centre, both high FDI values and high fire occurrence were reached in the very dry year 2011. In contrast, 2014 was both a year with wetter fuel conditions as noted by lower FDI (Figure 2) and low fire activity as measured by FHD (Figure 3c). For the year 2015, in spite of wet fuel conditions as noted in the FDI plot, the observed fire FHD was higher than expected based on only fuel dryness. This seems to suggest a strong anthropogenic influence resulting in a large number of ignitions in spite of wet fuel conditions. In this region, the $c$ coefficient for autoregression of FHD was higher than in the Northwest, and the increase in $R^2$ was higher with the addition of the autoregressive term compared to modeling with only AcFDI ($R^2$ of 0.7 for the model including autoregression of FHD (Equation (10), Table 2) compared to a value of 0.5 for the model with only AcFDI (Equation (9), Table S1).
For the wetlands of the South (Figure 3d), very high fire occurrence was recorded for the very dry year 2011 and high FHD was observed for the dry year 2013. Although the maximum FDI values reached (Figure 2) did not vary strongly between years, the period where the FDI remained above the threshold for fire occurrence was longer in those dry years with higher fire occurrence, resulting in higher AcFDI values. Those values were larger than the AcFDI values in 2014, when fuel dryness accumulated above the threshold for a short period, resulting in a year of low fire occurrence. For the year 2015, the FDI index and the associated FHD predicted from the AcFDI seems to capture both the decrease in month 06 (June) and the rapid increase in the following weeks.
4. Discussion
4.1. Observed Fuel Dryness Index (FDI) for Vegetation Type and Regions
The marked variation in observed FDI by vegetation type and region agrees with that reported from the works with the FPI index, which has a very similar structure to the FDI used here (e.g., [31]), and to previous works in Mexico that have reported distinct NDVI temporal cycles for different vegetation types (e.g., [50]).
The higher observed ranges of the FDI for the temperate forests of the Northwest, Northeast, and Centre regions (Figure 2), compared to the temperate and tropical forests of the South region (Figure 2), suggest that less-marked drying and wetting processes occurred in the wetter regions and vegetation types, such as the temperate forests of the south or in the evergreen wet tropical forests. This agrees with the observations of Huesca et al. [46] in northern Spain, who found more marked seasonal fluctuations in the FPI temporal trends in the drier ecoregions, compared to smaller seasonal fluctuations in wetter ecoregions.
The temporal evolution of FDI from this work matches with previous observation of the monthly MODIS NDVI fuel dryness dynamics in the country [60,61], where a similar gradient in the dates of fuel dryness decrease from Centre and South regions to the Northwest region was observed. This is possibly related to the different timing of precipitation occurrence between these regions (generally one month later in the Northwest) (Figure 2), which corresponds well with the timing of the observed FHD decreases (Figure 3).
Compared to the temporal monthly NDVI based fuel dryness temporal evolution data shown in previous works (Vega-Nieva et al. [60,61]), the observed evolution of the weekly FDI in the current work showed more sharp increases and decreases (Figure 2). This is not surprising: the NDVI temporal evolution are rather gradual, possibly reflecting accumulated dryness effects on the vegetation reflectance, which has been frequently associated with live vegetation dynamics in the literature (e.g., [33,41]). In contrast, the integration of the daily dead fuel moisture content ratio in the FDI index
as proposed by Burgan et al. [28] implies a higher sensitivity to daily events of precipitation or raising temperature on the most rapidly changing dead vegetation moisture component of the index [42]. This sensitivity of the FDI to precipitation events could be advantageous compared to the monitoring of NDVI alone for establishing the predicted dates of end of the fire season based on the FDI thresholds, as illustrated in Figure 2 and Section 3.2.
4.2. Threshold FDI Values by Vegetation Type and Region
The thresholds obtained from the FDI distributions are similar to those observed in previous studies on the similar FPI index (e.g., [29,31,33]). The variation of FDI thresholds by region, with higher threshold values observed for drier regions and lower values for the wetter regions (Table 1), supports that reported by Sebastián-López et al. [31] in a study for a number of bioclimatic regions in Southern Europe, where the highest threshold values for fire occurrence were also observed for the drier regions.
4.3. Predicting Fire Hotspot Density (FHD) by Vegetation Type and Region
The observed temporal evolution of FHD showed differences by vegetation type and region, coinciding with previous monthly FHD observations [61]. The observation of a more anthropogenic influence of fire occurrence—possibly from agricultural burns—in the Centre and South regions supports observations from previous works (Pompa-García et al. [54] and Vega-Nieva et al. [61]). In these two regions, agricultural activities account for 40–50% of fires suppressed, as opposed to less than 20% attributed to this cause in the Northwest and Northeast regions, according to CONAFOR’s fire suppression records for the study period.
The utilization of an accumulated fuel dryness index combined with percentile regression resulted in conservative estimates of the start of the fire season (Figures 2 and 3). Whereas all the NLS models underestimated a large number of the FHD observations, the use of percentile regression was more conservative. It has been acknowledged that using regression analysis can be problematic for these types of phenomena, because models equally penalize over- and under-estimations, which might have different implications for decision making in fire suppression [33]. The use of percentile regression [72] seems to offer a potentially useful alternative for more conservative predictions.
As noted in Section 3.3., the observed gradual increases in accumulated fuel dryness and associated FHD predictions (Figures 2 and 3) in the first months of the year—raising gradually from levels of 0 (no significant number of fires expected) to levels of 50 (medium fire risk) before the fire season starts—could be useful as indicators of the evolution of fuel dryness and potential fire risk early in the year. Because the effect of the autoregression on FHD before the start of the fire season is negligible, this gradual increase is entirely explained by the accumulated fuel dryness since the last rain event at the first months of the year. The monitoring of this early gradual increase in fuel dryness and associated fire occurrence risk might be useful for supporting operational decisions on fire suppression resources allocation with some advance prior to the start of the fire season. This predictive capability might be further enhanced in future works with the use of weather forecasts, similar to the works of Roads et al. [75,76], Chen et al. [77], or Preisler et al. [1,78], who developed monthly to seasonal estimates of fire danger from gridded weather forecasts.
The FDI index showed a reasonably good predictive capacity of observed fire occurrence, confirming previous findings relating the similar FPI index to fire occurrence in other ecosystems (e.g., [28–31,33–35,45–48]).
Our study corroborated the nonlinearity of the relationship between the similar index FPI and number of fires observed by Sebastián-López et al. [30,31], and the coincidence of months and years with highest FHD values with FPI peaks, including bimodal fire occurrence, observed by Huesca et al. [46].
The strategy of developing specific models for different vegetation types and regions addressed in this study is consistent with the approach used in other studies with the FPI index, where different
models were constructed for dissimilar ecoregions [31], sub-geographic areas of similar climate, fuels and topography [34,35], or combinations of vegetation types and climatic ecoregions [47,48], because of the largely documented influence of vegetation types on fire occurrence risk (e.g., [79–82]).
Our results seem to confirm the hypothesis of FDI saturation in the warmer regions and seasons suggested by Sebastián-Lopez et al. [31] for the similar FPI index. This also agrees with the observations from Vega-Nieva et al. [60,61], who found that similar monthly NDVI-based fuel greenness values resulted in a higher number of fire hotspots as fire season advanced in Mexico, suggesting an accumulated dryness effect on fire occurrence. A possible effect of the propagation of existing fires (modeled in this study by autoregressive coefficients) or a “contagion effect” in anthropogenic fires might also contribute to that result.
All of the best fit models in our study included autoregressive coefficients for FHD. Similarly, Huesca et al. [47], comparing models for predicting number of fires with only autoregressive terms, with other models combining both FPI and autocorrelation for number of fires, concluded that both autoregressive terms and FPI significantly explained the observed number of fires.
Although compared to other studies, our approach considered an ample ensemble of data, referred to a varied spectrum of ecological and weather conditions, in future works it will be necessary to validate this initial modeling effort with additional information from other years.
On the other hand, new sensors for active fire hotspot detection at higher spatial resolutions such as the 375 m VIIRS hotspots from NPP satellite [83], which have been used operationally in the country by CONABIO since 2015, should be tested in future works, once the period is long enough and covers representative variations in fuel dryness and fire occurrence.
Another limitation of the current work is inherent to the use of number of fire hotspots as indicators of fire risk. Whereas active fire hotspot products are used on a daily and weekly basis for decision support of fire suppression planning by the National Forestry Commission CONAFOR in the country, the total number of active fire hotspots is not the only variable considered for fire suppression decision making and resource prioritization. Similar to some works that have explored both active fire hotspots and fire suppression records from forest agencies to compensate limitations inherent to both types of datasets (e.g., [27,84]), future works might explore relationships between fuel dryness, fire hotspots, and fire suppression records from CONAFOR to develop operational recommendations for fire suppression resource allocations. Furthermore, the consideration of spatial variables such as road or population distance or density, which have proven of great value for developing spatial [85–88] and spatio-temporal fire occurrence risk maps (e.g., [82]), should be explored in future works.
5. Conclusions
The work presents the first effort towards developing an operational model for the prediction of the expected number of fire hotspots expressed as a fire hotspot density index, using remotely sensed weather and NDVI information, at a national level in Mexico. The models used percentile regression to predict 10-day fire hotspot density from accumulated fuel dryness and autoregression with previously observed fire hotspots. The reasonably good accuracies for most of the vegetation types and regions obtained suggest the potential to be included in operational GIS tools to assist in fire management decision making in the country.
It would be desirable that future works address the modeling of spatial patterns of fire occurrence from fuel dryness together with the consideration of human factors. The models could be tested in combination with forecasted fuel dryness—based on weekly or seasonal weather forecasts—to orient fire suppression strategic planning.
The modeling strategy presented here for predicting the expected number of fire hotspots by vegetation types and ecoregions from accumulated fuel dryness and satellite observed fire hotspots of the previous days could be replicated for any fire danger index in any region, based on records of daily active fire hotspots and available fuel dryness indices.
**Supplementary Materials:** The following are available online at [http://www.mdpi.com/1999-4907/9/4/190/s1](http://www.mdpi.com/1999-4907/9/4/190/s1), Table S1: Goodness of fit statistics for non-linear models for prediction of Fire Hotspots Density from FDI (Equation (8)) and from ACFDI (Equation (9)). Where: Veg_Reg: Vegetation type and region; $R^2$: coefficient of determination; RMSE: Root Mean Square Error; FOR: temperate forest; DTROPE: Dry Tropical Forest; WTROPE: Wet Tropical Forest; SDTROPE: Seasonally Dry Tropical Forest; SWTROPE: Seasonally Wet Tropical Forest; WEI: wetlands; AGRI: agriculture; NPAS: natural pastureland; NW, NE, C, NC, S: Northwest, Northeast, Center, North-Center and South regions.
**Acknowledgments:** Funding for this work was provided by CONAFOR/CONACYT Project C0-3-2014 “Development of a Forest Fire Danger Prediction System for Mexico”. We want to thank CONABIO’s personnel for providing us access to the satellite daily data of fire hotspots, 10 day NDVI composites and daily dead fuel moisture images for Mexico for the period of study.
**Author Contributions:** D.J. Vega-Nieva, M.G. Nava-Miranda, E. Calleros-Flores, P.M. López-Serrano, J.J. Corral-Rivas, J.G. Álvarez-González and A.D. Ruiz-González performed the statistical analysis. J. Briseño-Reyes programmed the code for the daily Fuel Dryness Index automated calculation and for the extraction of FDI values to the daily fire hotspots. M.I. Cruz-López, M. Cuadraole and R. Reséll calculated daily 10:00 and 10-day NDVI composites from satellite information from CONABIO. D.J. Vega-Nieva, J.J. Corral-Rivas, E. Montiel-Arriurta, E. Alvarado-Caballero, A. García-Gómez, E. Pérez-Carrillo, R.E. Burgan and H.K. Prentice reviewed and edited the manuscript. R.E. Burgan provided the Fire Potential Index algorithm, upon which much of this research is based.
**Conflicts of Interest:** The authors declare no conflict of interest. The founding sponsors had no role in the design of the study; in the collection, analyses, or interpretation of data; in the writing of the manuscript, and in the decision to publish the results.
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Municipal Public-Private Partnership Framework
18
COMMUNITY ENGAGEMENT
# TABLE OF CONTENTS
1.0 Purpose of this Module 02
2.0 Community Engagement 03
- 2.1 Why is Community Engagement Important in PPP Projects? 03
- 2.2 Six-Step Community Engagement Process 04
- 2.3 Mapping Community Engagement 05
- 2.4 Reporting, Evaluating, and Monitoring 05
3.0 Making PPPs More Pro-Poor and Gender Inclusive 06
- 3.1 What is the Context of Women and the Poor? 06
- 3.2 How to Design the Project for the Benefit of Women and the Poor? 09
- 3.3 What Additional Benefits Might the Project Provide to Women and the Poor? 11
- 3.4 How Can the Poor Communicate with the Project? 13
- 3.5 How Can the Project Communicate with Women and the Poor? 14
- 3.6 What Incentives Should Be Placed on the Project Participants to Protect the Interests of Women and the Poor? 15
4.0 List of References 16
1.0 Purpose of this Module
This module sets out different tools to be used throughout the PPP project cycle to engage with the communities affected by and associated with the project, with a special focus on women and the poor.
2.0 Community Engagement
Community engagement provides critical information for PPP project design, to ensure services are delivered in the right way, to the right people. Community engagement can also help create local community buy-in to the project and facilitate adaptation to change. Municipal PPP projects should systematically implement community engagement programs. Engagement is a two-way process. It is just as important to listen to and consider community input, as it is to share information or inform communities about PPP project activities—for project proponents to address issues and concerns and provide feedback to each other. This module outlines a basic approach to community engagement using a six-step process, which will need to be adapted to the specific needs of the municipality.
2.1 Why is Community Engagement Important in PPP Projects?
Municipalities should design and resource community engagement activities from the earliest phase as projects are being identified and then continue to engage the community through construction and operation of PPP projects. While this may involve initial costs for the municipality, a PPP that has good community engagement is more likely to be profitable, to survive changes in circumstances over time, and therefore to attract private sector investment. For example, an international study indicated that PPP projects that engage with local communities have rates of economic returns that were more than twice as high as projects that did not engage the local community well.\(^1\)
Figure 1: Commonly Recognized Benefits of Community Engagement
- **Community Buy-In**
- Strengthens community commitment to, and ownership of, the PPP Project and leads to increased uptake and support of project services.
- **Improved Design**
- Greater community input from the start improves PPP project design and performance and ensures that designs accurately reflect community priorities and needs, the quality of decisions and the quality and sustainability of public and private-sector services.
- **Flexible Design**
- Engagement processes provide a means for the PPP Project to continuously verifying the relevance and appropriateness of their project and make adjustments to the design as needed.
- **Manage Risk**
- Engagement processes provide an opportunity to foresee and resolve potential obstacles before making a decision. PPP proponents can mitigate risk by disseminating project information, learn about potential community issues and establishing a dialogue with the community stakeholders.
- **Prevent Delays**
- Community engagement has the potential to prevent delays and avoid unforeseen costs in the implementation phase.
- **Exchange Information and Experiences**
- The Community and PPP Proponents learn from each other by exchanging information and experiences increasing understanding of the objectives of PPP Project and the issues surrounding them.
- **Build Capacity**
- Engagement can help build local capacity of PPP Proponents, including their capacity to analyze problems and initiate other development activities.
- **Measure Value of Project**
- PPP Projects are supposed to provide value to the Public. The information from community engagement can confirm or identify the need to reassess whether a project will deliver value to the Community.
---
\(^1\) Kottak, Conrad Phillip. 1991. *Cultural Anthropology*. 5th ed. McGraw-Hill.
2.2 Six-Step Community Engagement Process
**Step 1 - Define the purpose of engagement:**
Being clear about the purpose of the engagement and key issues to address will set the context for community interactions and manage expectations of those participating in the process. To define the purpose, project proponents must first agree on what can be accomplished with the engagement. Once the purpose of engagement has been defined, municipalities should agree on what level of participation is actually being sought, which depends on the phase of the PPP and the type of project being proposed.
**Step 2 - Decide the parts of the community to engage:** Create a list of ‘with whom to engage’—with individuals, groups, and organizations that could have an interest in the PPP or have some influence over the success of the PPP. The list is a living document and will evolve over time.
**Step 3 – Community engagement ranking assessment:** Not all parts of the community will receive the same level of engagement. The municipality will need to rank the level of interest and influence that the different individuals, groups, and organizations have in the PPP project. This ranking process should be done at the beginning of the PPP process, and then reviewed and adjusted as necessary at each phase of the PPP project.
**Step 4 - Develop engagement plan:**
Different techniques and tools can be used by the municipalities to engage the community. Municipalities should develop a project-specific engagement plan which should describe proposed engagement strategies, tools, and schedule for engagement during each phase of a PPP, including transparency mechanisms (see Module 3: Sample Project Concept Note and Module 4: Feasibility Study).
**Step 5 - Tracking and complaints management process:** Municipalities will need to track issues, questions, and concerns raised by the community in an organized and consistent way. An issue tracking table should be created to document ideas, concerns, or questions, including a systematic way of managing complaints and grievances.
**Step 6 - Reporting and monitoring:** Accurately recording community feedback, sharing it with key stakeholders for planning and project design, is critical to build trust and support among participants. Monitoring the effectiveness of the engagement process is essential to ensuring a successful process (see Module 12: Contract Management).
2.3 Mapping Community Engagement
The municipality should use this six-step process for all phases of PPP project development. The PPP identification phase may rely more on the knowledge of municipal staff to begin to identify key community members and groups, but as the PPP moves into the feasibility and procurement phases, it will require more intensive engagement directly with the community, using a variety of engagement tools and techniques.
Steps 2 and 3 identify individuals, groups, and organizations ranked according to their level of interest in the project and influence on the project. Figure 3 shows a sample ranking matrix.
2.4 Reporting, Evaluating, and Monitoring
Municipalities should track issues, questions, and concerns raised by the community in an organized and consistent way, including a grievance and complaints management process. This process must be documented. Poor documentation of community engagement work is the biggest weakness of most municipal processes.
A municipality will need to monitor progress to ensure all sub-groups of the community are engaged, determine if the methods and tools they have selected are effective (or not), and identify where effort and resources will need to be allocated to keep the project moving forward.
3.0 Making PPPs More Pro-Poor and Gender Inclusive
PPP projects often fail to recognize the issues relevant to the poor and to women. Private investors often rely on the government to consider and address issues relevant to women and to the poor. The government often relies on the private sector to address these issues as fundamental to service delivery of the project. A PPP project provides an opportunity to join public and private capacities to focus on issues relevant to women and the poor.
This section provides a framework to help make PPP projects more pro-women and pro-poor.
A project that considers issues relevant to women and the poor has the following:
- **Reflects good governance**: Well-managed infrastructure considers the interests of the entire community.
- **Contributes to the developmental goals of the government, development partners (like the World Bank), and private investors**: Seeking to address the needs of women and the poor will help meet the government’s development goals, the UN Sustainable Development Goals, and other national and regional priorities. It can also help the project access support from different sources of funding and financing, as and when needed—for example to the extent bilateral or multilateral investment is sought.
- **Is good business**: Women and the poor are consumers; they may form a key part of the labor pool, business owners, or service providers; they are key community and political stakeholders. A project that proactively seeks the interests of women and the poor is more resilient and more robust in times of change, particularly in times of political change where new policies might suggest a change in support for the project. It is harder to undermine a project when it clearly serves the needs of the local community. If the project supports the community, in times of change the community is far more likely to support the project. A pro-poor, gender-inclusive project can also avoid public relations and stakeholder conflict issues and reinforces its marketing strategy.
The project prefeasibility/feasibility study or outline/full business case should address the questions set out in this section. Equally, bidders and financiers should ask these questions in their due diligence processes to make sure they are adequately addressed. During implementation, the questions should be revisited periodically to ensure that the project is still adequately addressing relevant issues.
For further discussion of these issues, see the pro-poor and gender pages of the World Bank’s Public-Private Partnership Legal Resource Center http://ppp.worldbank.org/public-private-partnership.
3.1 What is the Context of Women and the Poor?
(1) Is there a practical method of identifying the poor? Do applicable laws, regulations, and practices, nationally or at the level of the state/province/county provide a definition of the poor? Is there more than one category of the poor that is relevant for these purposes?
A simple, specific definition of ‘poor’, based on cultural and social context, can be challenging to achieve. Some projects define the poor based on housing, for example, anyone whose residence has a dirt floor. In others, a national database is available to identify the poor, for example, the poverty identification system and database (the Sistema Nacional de Selección de Beneficiarios or SISBEN) of Colombia. This database is used to target subsidies and other benefits designed to support the poor.
(2) Are there local cultural, social, or religious practices that could impede service provision to women or the poor, or access to economic opportunities from the project?
The cultural, social, and religious context of women and the poor will have an important influence on the issues more relevant to them. Certain members of the community may be excluded from opportunities or services or may be segregated from other aspects of the community. This may result in their poverty or may be caused by their poverty. For example, poor communities often include refugee and immigrant communities (legal or illegal), who may not benefit from the support of local political elites, tribal communities, religious groups, or social groups. They may be excluded from the protections afforded by political structures to the extent they are focused on citizens or only people from certain countries, religions, or cultural groups.
(3) Are there legal constraints that could impede women or the poor, for example, does one need to have land tenancy, a registered address, or identity card, before accessing services, seeking employment, starting a business, receiving compensation (for example, resettlement), or engaging in other activities associated with the project?
Women and the poor may not have certain legal standing; in some cases, services cannot be provided to those without a legal right to property (a registered address linked to property ownership or leasehold/rental agreement). Many live in informal settlements or as squatters and it may be difficult for the government to allow public services to be provided to illegal residents. That was the case in Côte d’Ivoire where the social water tariff and social connection of water services offered to poor households were offered only in legal settlements. As an estimated 70 percent of the unserved population was non-Ivoirian, and living in illegal settlements, they could not benefit from the policy.
Some utilities have found ways to provide services in such circumstances, for example the condominial model developed for the Manila Water Concessions, where the utility delivers bulk water to the boundary of the illegal settlement. Community organizations purchase the bulk water and manage the distribution system within the illegal settlement, collecting fees from residents to pay for the bulk water and for the distribution network.
(4) Are there power structures in local communities affecting women or the poor, or certain groups among the poor, which will influence the location or design of the project and the ability of the poor to benefit from the project?
Local power structures may be well placed to manage services or subsidies for the poor, being selected by and having key connections with poor communities. But in some cases, those local power structures are ill equipped to do so. The project design needs to understand the context of these power structures. For example, an NGO in Mexico provided boreholes for villages with mechanical pumps to reduce the time needed to draw water and therefore allow more time for education and other activities. However, the NGO failed to engage with the local power structure. As soon as the NGO had installed the pump, the local mayor removed the handle and would not allow access unless he was paid a fee by each user, eliminating the benefit for the poor.
(5) Are there factors within the communities such as high violence rates that are specific to women or the poor?
In some cases, the poor live in informal settlements and other areas with specific characteristics that limit the ability of the poor to access services. For example, some poor communities suffer from high rates of violence, in particular at night. Toilet and washing facilities designed to be available at night may be effectively inaccessible due to the level of crime and violence that will be attracted by a well-lit area at night. Women may need access to special entrances, improved lighting, or heightened security, to protect them from potential violence.
(6) Do women or the poor receive subsidies that might help access benefits from the project?
The poor may receive support from the government or other sources. The project will need to understand the nature of such support and any relevant terms and conditions to ensure that the services are designed to work well with such support. For example, the poor may receive free access to primary education, but may be required to meet certain criteria, for example, they are required to provide books or school uniforms. While the free access to education is a clear benefit, the other conditions may be unaffordable for the poor. Women may be given access to training or other learning opportunities. The project will need to understand the context of women to help them access these opportunities.
(7) To what extent can women and the poor receive and pay bills (for example, are there requirements of land tenancy, registered address, identification card, or otherwise)?
Women and the poor may not have access to the same financial services as the better off, for example, there may be some initial deposit limits, identification, registered address, or other requirements that prevent elements of the community from having bank accounts or credit cards. Therefore, they may use barter arrangements, cash, or mobile money for financial transactions. Billing may, thus, need to adopt more flexible arrangements. Some systems allow cash payments to be made locally, for example, at post offices or mobile phone outlets. The Côte d’Ivoire SODECI concession instituted quarterly billing by the operator. The poor could not meet the requirements of such infrequent billing, and many were disconnected. Local billing centers, more flexible payment methods, and schemes to pay off arrears have been established, and the situation has improved.\(^3\) In Bangalore, the Bangalore Water Supply and Sewerage Board allows consumers to pay bills through a variety of options such as water kiosks, electronic clearing service systems, and household e-banking facilities.\(^4\)
(8) Where are the poor located as compared to the existing service network? Are there technical/cost complexities of serving poor areas? Are the poor located in areas likely to be vulnerable to disasters? How does the location/alignment of the project affect potential benefits to, and participation by women and the poor, for example travel commuting patterns, location of employment, education and social focal points?
The location of the poor can have a significant impact on the ability to provide services or to ensure that they receive specific benefits. For example, the poor may be located far from the existing facility, requiring special connections or facilities. Where a BRT line is located in a corridor that is difficult to access for the poor, other transit facilities may need to be developed to connect the poor with the BRT, for example, feeder buses, pedestrian bridges, or tunnels. Security in such areas can be more difficult to ensure, requiring close engagement with community groups and special facilities such as women-only space on bus platforms, special entrances, lighting or security support.
The last mile connections—for example, for water, power, or telecoms—can be a particular challenge for poor neighborhoods in urban areas that are crowded, with narrow streets and with only informal utility facilities, where access may be difficult and land ownership unclear. PPP operators can be required to deliver last mile, but funding will need to be found, either through cross-subsidy from other users or from government subsidies. In many cases, last mile infrastructure for the poor is publicly funded and is a key focus for development finance institutions.
PPP projects, in particular during construction stage, often involve an influx of goods and workers into a vulnerable community (for example, rural, small, and remote), transport of materials, and other changes to the rhythm of the community that can create additional risk. An influx of outside goods and workers often brings an increased risk of squeezing out local businesses, increased demand for goods and services that raises prices and crowds out local consumers. It may result in increased traffic and road accidents. Bringing transient workers into a community can result in expansion of prostitution, increase in sexually transmitted diseases, sexual harassment, gender-based violence, sex trafficking and child abuse, hostile work environments, and exposure to health risks (such as HIV/AIDS and water-borne illnesses). To ensure project activities and guard against potential risks related to sexual exploitation and abuse and other forms of gender-based violence, the Vanuatu Aviation Investment Project stipulates contractor responsibility for the implementation, enforcement, and monitoring of a code of conduct covering gender-based violence. Contractors are also responsible for development and implementation of a complementary action plan to provide awareness and ensure that any such violation is addressed efficiently.
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\(^3\) Fall, Matar, Philippe Marin, Alison Locussot, and Richard Versypck. 2009. *Reforming Urban Water Utilities in Western and Central Africa: Experiences with Public-Private Partnerships*, Vol. 1, Impact and Lessons Learned. Water Sector Policy Discussion Paper Series. http://documents.worldbank.org/curated/en/356151468236369882/pdf/487300NWP00811011PPPWestAfricaVol1.pdf.
\(^4\) Water and Sanitation Program. 2008. *Performance Improvement Planning: Developing Effective Billing and Collection Practices*. http://documents.worldbank.org/curated/en/7135771468158288578/pdf/44419OWSP0INOP1ive0billing01PUBLIC1.pdf.
3.2 How to Design the Project for the Benefit of Women and the Poor?
(1) Are complementary arrangements/inputs needed to ensure that women and the poor can use the services optimally (for example, information/education, lighting, security, and low-cost methods to access services)? Can women and the poor provide labor or other in-kind contributions to implement the project and thereby reduce the cost of services?
The project may need to offer additional support or services to maximize benefits for women and the poor. Women may not be able to use new or upgraded infrastructure services in the same way as men due to safety and security issues:
- Better lighting (for example, at bus stops) for access during the night.
- Step-free access to public transport for women with young children and the elderly.
- Separate male and female facilities (for example, female-only cars for transit projects, female-only waiting areas, separate female public toilets/washing facilities).
- Additional facilities to ensure discretion, for example, around the entrance to female toilets.
- Selection of locations for water stand posts and electricity supply where women congregate.
- Pedestrian crossings, with speed bumps, and so on to ensure the security of pedestrians, where women with young children or the elderly may be less mobile.
Such additional support or services should form part of the project obligations and should be included in the key performance indicators to ensure the benefits are hardwired into the project. For example, services such as electricity and telecommunications only benefit communities to the extent that the community understands their use and potential benefits. The project may include training for poor communities or for women, and programs to make available the tools that will ensure benefits are made accessible.
In some cases, women and the poor can provide support, for example physical labor to deliver services at a lower cost. In some cases, communities are located in informal settlements where space is constrained, footpaths are not improved, and installing equipment can be challenging for outside contractors. The community can help install pipes, cables, or other equipment in the settlement, for example excavation services, that will reduce the cost of construction and therefore the cost of services.
(2) Do women and the poor receive services through alternative providers or systems (for example, off grid)? What are the technical and financial implications of such alternative services (for example, cost per unit, health implications)? Can/should the project be incentivized to facilitate such provision? What would be the implication if the informal supply networks were formalized? Or removed in favor of a formal system? How could any negative impact be minimized?
Part of the community may currently receive services from informal providers such as water vendors, or through localized infrastructure such as mini-grids for electricity. Providing new services may squeeze out informal services, which are themselves often delivered by the poor. This may result in lost jobs and economic opportunities for the poor.
The project may intend to replace such service providers, in which case the transition will need to be carefully planned to mitigate impact on consumers and to help the informal service providers to find other opportunities. In other cases, the project may absorb such alternative service providers, possibly by bringing them into the project to help deliver services and engage with the community using the experience they have developed as alternative providers. The latter may involve the alternative service providers becoming ‘last mile’ providers for the project. In Kisumu, Kenya, the utility Kisumu Water and Sewerage Company (KIWASCO) sells bulk water to service providers contracted to operate and manage parts of the network in an informal settlement. KIWASCO selects and recruits these service providers through a publicly advertised and competitive process. These service providers can either be private entrepreneurs or CBOs.
(3) How should the project be designed to enhance any subsidies that women or the poor receive, and to maximize benefits obtained through those subsidies?
There may be other externalities that can be harnessed to support women and the poor through the project such as subsidies or other benefits provided by the government, civil society, or otherwise. The project may be able to help communities utilize such benefits to greater effect and leverage greater investment and advantage. For example, the poor may have access to grants if their children attend school, or if they visit health clinics periodically. A PPP project can take such programs into consideration when providing services, helping
the poor to access such grant funds more easily or use such funds more efficiently.
(4) Can third parties (for example, the community, NGOs) help provide services to women or the poor to reduce cost of delivery, for example, through bulk supply?
Providing benefits to women and the poor may involve the project partnering with third parties, for example NGOs, who may help deliver services or may provide an additional conduit for those services. The project will need to create a protocol for working with the relevant third parties and agreements with those third parties to ensure that the solution is well designed and sustainable. Under the Bayan Tubig (Water for the Community) initiative in Manila, the Philippines, CBOs and local and international NGOs intermediate by providing financial, logistic, and technical support to the initiative, even training on hygiene and environment awareness. They also create links between the formal network that delivers water to the perimeter of the informal settlement and community groups extending connections to public taps and household connections.\(^8\)
(5) How does the location/alignment of the project affect potential benefits to and participation by women and the poor, for example, travel commuting patterns, location of employment, education and social focal points?
The location of project assets can have a specific impact on the benefits and advantages that a project can provide to women and the poor. Assets often connect locations of importance to the wealthy and the middle class, and to the often predominately male decision makers. Transport infrastructure and the location of water points, electricity connections, and sanitation facilities needs to reflect economic opportunities, employment, education, social purposes, travel patterns, and security concerns of women and the poor.
(6) Does the project lead to displacement, resettlement, and/or livelihood loss of the poor disproportionately? What strategies can be developed to minimize or avoid these risks? Do anticipated compensation measures (for example, for loss of assets, usage rights, or crops) lead to equal results for women and the poor?
Infrastructure development often requires land acquisition, leading to involuntary resettlement or causing losses of assets or loss of access to livelihoods or assets and resources. Women and the poor are often vulnerable to the processes of allocating compensation and/or resettlement, where they lack input into decision processes or are not able to raise their concerns. The processes need to take capacity differences into account regarding land or assets access, control and use, and the resulting losses. Compensation may be provided primarily to landowners, excluding those living on the land or relying on that land to earn their living. Failure to consider the interests of these poor, disenfranchised, and possibly informal communities can create social and civil friction which has undermined many a PPP project.
(7) To what extent will tariffs on consumers be affordable to the poor? Are the poor willing to pay such tariffs? How much subsidy/cross-subsidy will be needed by the government or other users to make tariffs affordable for the number of poor consumers that need access? Would such cross-subsidy be affordable to other users?
The government may choose to include subsidy or cross-subsidy mechanisms to make services affordable for the poor, and/or to finance connection or other large periodic payments to allow the poor to pay over time. The project may seek to leverage funding from other sources, such as government grants, donor support, or other third-party funding sources to provide access to services and to maintain their affordability over the course of their supply. The project may also be designed to work alongside other entities implementing such pro-poor funding mechanisms. In Côte d’Ivoire, the SODECI concession provides for a social tariff, coupled with a social connection fee, financed by a charge collected from water customers, in addition to the water tariff.
To preserve incentives for rational economic behavior, subsidies should only cover a proportion of the total costs of the service and should ideally be contingent on beneficiaries paying their share of the bill. Under this same logic, subsidies should not be paid for consumption beyond the subsistence level, and given for a long enough period to avoid the effects of the poverty trap.\(^9\) The World Bank Group supported North Luzon Expressway in the Philippines. To improve access by the poor to the highway, the project designed the toll for mini passenger buses (called jeepneys) at a flat daily rate, instead of the per-entry toll used for other vehicles, to allow them to get on and off the highway and to pick up and drop off passengers at no additional cost.
(8) Is tariff setting and imposition appropriate to the context of women and the poor? What billing and payment technology would be most appropriate given location, access to payment systems, access to cash, and other context of women and the poor,
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\(^8\) Inocencio, Arlene B., and Cristina B. David. 2001. “Public-Private Community Partnerships in Management and Delivery Services to Urban Poor: The Case of Metro Manila.” Discussion Paper Series No. 2001-18, Philippine Institute for Development Studies.
\(^9\) World Bank. 2003. “Subsidies and Poverty: A Framework for Analysis.” World Development Report 2003. Washington, DC: World Bank.
for example, mobile-phone based mechanisms, payment offices located near poor neighborhoods, access for illiterate and multilingual facilities?
In some cases, the tariffs themselves are not as much of a challenge as is the method of imposition of tariffs. Those tariffs need to be set and charged in a way appropriate to women and the poor. For example, rising block tariffs involve an increase in per unit tariffs the more total units a user consumes in a given period. Thus, a consumer using a large amount of service each month (for example, industrial and other large-scale [wealthy] users) should pay a higher per unit tariff. In the energy sector, this can be an effective way to shift higher costs on larger users of services. Though, often, the inverse is true, commercial and industrial users pay lower prices to encourage industrial growth and investment in the community. In the water sector, in some communities the poor group together to pay for a water connection due to the high cost of connection; this means that several families may share a single connection. Also, the poor may use larger amounts of water for economic purposes, for instance to provide laundry services; but this means that a single connection in a poor community may have a higher total usage per month, therefore a higher block tariff will be applied with subsequently a higher tariff paid by poor families.
In addition to tariff levels and how they are calculated, the billing and payment system itself needs to be designed to meet the needs of women and the poor. Frequently, women and the poor do not have access to credit cards or bank accounts. They may receive income only gradually over time—not in weekly or monthly payments, as those formally employed. Therefore, the project may need to adapt the billing and payment mechanisms to allow consumers to pay as and when they can. In the Rural Electrification Extension Program in Thailand, respected local representatives, for example school teachers, are appointed to act as collection agents.\(^6\) The agent represents the community and ensures collection. The agent is paid a fair salary. The project saw collection costs drop significantly.
The project may need to develop more flexible billing and payment mechanisms, including:
- Mobile money accounts;
- Pay-as-you-go models; and
- Cash payments at local agents, for example at post offices, mobile phone outlets, local billing centers, and water kiosks.
### 3.3 What Additional Benefits Might the Project Provide to Women and the Poor?
A project is likely to provide a number of benefits and opportunities for the poor in addition to the services provided through the project, including jobs, economic opportunities, access to different economic resources, and attraction of investment, among others. Sometimes indirect benefits can be even more important to the poor than direct benefits.
(1) **What opportunities are there for jobs to be filled and/or created for women and the poor? Are there key constraints to accessing these jobs? What support could be provided to help them access better job opportunities?**
PPP projects often create jobs, an important opportunity to cement a project to the interests of the local community, but sometimes women and the poor may be at a disadvantage when trying to access jobs. This may relate to skill levels, access to information, connections needed to apply, interviewing skills, or other gaps that can be addressed through the project.
A gender-responsive project will encourage employment of women during all stages of the project, require contractors to pay equal wages to men and women for equal work, provide training on sexual harassment, provide separate sanitary and other facilities, and ensure protective clothing and safety equipment for both male and female workers. For example, the Yunnan Integrated Road Network Development Project in China, integrated gender-specific actions, including:\(^7\)
- Recruiting women in construction and maintenance work of the subproject (during the construction, women were recruited for pit repairing; cleaning the road, ditches, and culverts; collecting wasted materials and planting trees and grass on roadsides to prevent soil erosion);
- Giving priority to people from poor families and women when employing the local people;
- Paying men and women equally according to domestic law and international conventions;
- Providing a safe working environment for all employees;
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\(^6\) Provincial Electricity Authority, *Rural Electrification in Thailand: Policy and Implementation*. https://www.iea.org/textfiles/other/Thailand%20Day%20-%20%20Bangkok/IRE%20Policy%20and%20Implementation%20-%20Mr.%20Reungchai%20Vechasara.pdf
\(^7\) Asian Development Bank, *Social Monitoring Report – GAP Implementation, PRC: Yunnan Integrated Road Network Development Project*. http://www.adb.org/sites/default/files/project-document/216316/40626-013-smr-18.pdf
• Providing technical training on road maintenance techniques and use of equipment for female employees as well as safety training; and
• Providing safety and health training courses for workers to raise their awareness on safety and prevention of sexually transmitted diseases.
(2) What opportunities are there for local, small businesses to provide services to the project? Which of those services might be provided by businesses owned by women or the poor or employing women or the poor? What support could be provided to those companies to access these opportunities?
In addition to employment by the project, there may be opportunities for services to be provided to the project. Businesses of women or the poor may be unprepared or ill adapted to the needs of the project. For example, small businesses such as local convenience stores can serve as payment collection points. Local suppliers can provide many needs of the project during construction and implementation. In mining projects, local suppliers are often excluded from opportunities to supply goods and services to the mining operations, as they cannot guarantee to the mining company that they can provide the volume and quality of supply demanded. A large mine requires huge volumes of food, security services, housing, and so on. If local suppliers are not able to provide the required level of services, they will miss out on opportunities. Some effort could be made by the project to help poor businesses to deliver the relevant services and win bids (individually or in consortia). The project may include support to poor communities to understand and prepare for the opportunities that will be created by the project and where they are best placed to take advantage of those opportunities. The project may set performance-based indicators linked to services provided by businesses owned or operated by women or the poor.\(^8\)
(3) What are the potential indirect economic benefits of the project for women and the poor (for example, more economic activity leading to greater supply of jobs, more employment opportunities due to higher commuting ability, more skills transfer due to access to power and transport)? Will the project provide, directly or indirectly, new access to markets, for example, through improved transportation, information, or education? How might the design of the project further magnify these indirect benefits?
The economic benefits may not come from the project but rather may be made available by the project. For example, transport projects may provide the poor with access to new markets, new services (such as education and health care), or new opportunities (whether by improved access to transport, lower costs, higher cargo capacity, and so on). The design of the project should consider the nature of these economic benefits and should focus on maximizing these benefits and ensuring their sustainability. To improve the affordability of public transport for the poorest, Bogotá rolled out in early 2014 a “pro-poor” public transit subsidy, through a personalized smartcard. The construction of feeder lines and bike lanes provided improved accessibility to public transport for populations living in the low-income periphery of the city.
(4) Are there facilities being developed for the project that might also provide benefits to the poor, for example, water treatment, electricity generation, solid waste management? Can the project be used to provide other services to the poor? Is there an opportunity for cross-selling or other public service delivery?
In some cases, the infrastructure developed by a project might be extended or expanded to provide services to the poor. For example, infrastructure for tourism facilities can be expanded to provide services to the local community. Tourists will want to see the local community well supported, may want to be part of an outreach to local poor communities, and may be willing to pay extra to provide such support. As another example, special economic zone (SEZ) projects also generally include the development of infrastructure to service tenants of the SEZ. These facilities may be expanded to provide services to the local community, in particular poor communities.
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\(^8\) International Finance Corporation. 2012c. “Gender Impact of Public Private Partnerships – Literature Review Synthesis Report.” https://ppp.worldbank.org/public-private-partnership/library/gender-impact-public-private-partnerships-%E2%80%93-literature-review-synthesis-report.
3.4 How Can the Poor Communicate with the Project?
It is important for the project to benefit from advice and feedback from the poor.
(1) How does the political context of women and the poor allow them to communicate with the project? Does local government represent women and the poor well?
Women and the poor may have ‘voice’ (the ability to make one’s ideas and concerns heard) through established political representatives, who may be well attuned to the interests of women and the poor, and may be able to act as a conduit for their views for the project. Local political structures may even have agencies or task forces designed to support women or poor communities, which may be well placed to provide voice where the project is concerned. However, it may be that while women and the poor are an important concern for local political structures, the capacity of such structures to engage with these communities or provide them with voice where the project is concerned might be limited. In these cases, other mechanisms may be needed to provide voice to women and the poor. For example, the project may engage with local community bodies or NGOs; or it may create a separate community engagement body, specifically for the project. Such engagement committees can be critical to project success, ensuring good communication and avoiding misunderstandings. The National Transmission Modernization Project in Pakistan showed that women are particularly vulnerable in rural areas, with no recognized role in the authority structure of the villages despite representing 46 percent of the population. Only around 2—3 percent of women participate in business activities or formal employment, and only 30 percent participate in local representation or political gatherings. Women are rarely engaged in community consultations and compensation matters.\(^9\)
(2) How does the cultural context of women and the poor allow them to communicate with the project? Are there community groups that reflect the interests and concerns of women or the poor?
Cultural context may create challenges for the voice of the poor, for example where the poor are not allowed to express concerns or raise issues in public forums. Community groups may provide voice to the poor and may have better connection to their interests, for example village or township councils may represent the interests of the poor well and may provide an opportunity for voice. However, the poor may not be entitled to be represented in community organizations (for example, where membership is linked to land ownership).
(3) Are there civil organizations/NGOs that reflect the interests and concerns of women and the poor? Can these groups be used as intermediaries/support mechanisms to ensure protection and communication of the interests of women and the poor?
Civil organizations such as NGOs may be able to provide voice or support to the poor to allow them to express their views and provide feedback on the project. Such organizations are often focused on the interests and context of the poor. In Tangerang, Indonesia, only 22 percent of the population had access to clean water provided by the utility. A local NGO constructed a series of centers to provide water and sanitation in these areas, maintained and operated by local families who run them as concessions. They sell water and provide toilet, shower, and washing facilities.\(^{10}\)
(4) How do women express opinions and priorities in decision making in the family and in the community? How are men and women organized and represented in these decision-making structures?
In many cultures, social norms or laws may prevent women from standing up, speaking, and being heard during community discussions and decisions, for example, at community meetings. Staff need training to reach out effectively to local women and to create an environment that enables women to participate in community meetings, for example organizing meetings at a time and location that allows women to participate, the provision of transport or child care, or the organization of separate meetings for women and men. Women may also be more comfortable talking with other women. Culturally sensitive survey teams and community liaison staff should therefore also include female members who can conduct discussions or lead interviews, if needed. The project team for the National Transmission Modernization Project in Pakistan uncovered a lack of voice and agency of women, and proposed project staff trained in effectively reaching out to the communities, and especially women, seeking their involvement in its consultations, development, and implementation, and a conducive environment for all women through gender-sensitive consultations to assist with consultations, eligibilities, entitlements, and management of grievances in a gender-informed manner.
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\(^9\) World Bank. 2017d. *Project Appraisal Document on a Proposed Loan in the Amount of US$425 Million to the Islamic Republic of Pakistan for the National Transmission Modernization I Project*. http://www.worldbank.org/curated/en/34509151391168260/pdf/Pakistan-Transmission-PAD22736-PAD-updated2-11302017.pdf.
\(^{10}\) United Nations ESCAP. 2009. *Community Toilets in Tangerang, Indonesia*. https://www.unescap.org/sites/default/files/Tangerang_ES.pdf.
3.5 How Can the Project Communicate with Women and the Poor?
Just as it is important for women and the poor to communicate with the project, it is also important for the project to be able to communicate with women and the poor.
(1) **How do women and the poor access information** (print media, radio, television, informal networks, meetings)? **What are literacy levels? Are there established mechanisms for communicating with the illiterate population, for example, familiar access technologies? What languages are used as common communication in the community?**
Communication with women and the poor can raise specific challenges, especially in the face of low levels of literacy. The languages spoken among the poor may be different from those in other parts of the community. In particular, the poor community may not be as familiar with the common language, which may disadvantage the poor when faced with economic opportunities or commercial engagements. Some mechanisms can help address language and literacy challenges. The community itself may have developed coping mechanisms, for example civil society groups may provide support for literacy and translation. In some cases, a service industry develops around these support functions. The project may need to provide local offices for support, for instance to provide written documents and services in other local languages. Mexico’s Oportunidades Program (now Prospera Program of Social Inclusion) found that out of the 110 bilingual personnel working for them in 2010, 79 percent of them were not assigned to areas where they could communicate in their mother tongue. They therefore renewed efforts to hire bilingual promoters and relocate existing ones to match linguistic demands.\(^{11}\)
Women in low- and middle-income countries are, on average, 10 percent less likely to own a mobile phone than men, in South Asia this number climbs to 26 percent. Women are 26 percent less likely to use mobile Internet than men, and 70 percent less likely in South Asia. Among mobile owners, women are 18 percent less likely to use mobile Internet than men.\(^{12}\) Closing this gap would create a substantial commercial opportunity for mobile operators.
(2) **How can the project engage with women and the poor, in particular in designing the project, and in monitoring the project? To what extent are poor and female beneficiaries consulted when monitoring performance of the project?**
As a fundamental part of the project design,\(^{13}\) a communication mechanism should provide for engagement with women and the poor.
This process will include formal communication arrangements to collect qualitative and quantitative information to address specific performance criteria and data points required for project operation. It will also include informal consultations to allow the poor community and women to raise issues, ask questions, and help the project identify gaps, needs, and changes in context.
(3) **How can the project ensure that women are represented throughout the consultation process (for example, timing of meetings, women-only meetings)?**
Project information must be understandable and accessible for those affected by or benefiting from the project (for example, translations into local languages, audio recordings) or involving women's representatives to provide support. For example, the Trung Son Hydropower Project in Vietnam made extra efforts to ensure that community members, in particular women, would participate in stakeholder consultations and that potential language barriers were addressed:\(^{14}\)
- At least three weeks before the consultation meeting, information of appropriate form and in local languages was provided at district, commune, village, and household level.
- Audio recordings of the project information, frequently asked questions, and contact information, with a machine on which they could be played, were provided at the village level. Recordings were in four languages: Vietnamese, Thai, Muong, and H'Mong.
- Consideration was given to having separate meetings with any group that was reluctant to attend the village meetings to encourage women and other vulnerable groups to participate.
- A short oral summary of the project, its impacts, and proposed mitigation measures was presented in the meeting. All questions/feedback, requests, and responses were properly recorded.
- Group discussions were held if needed. In addition to Vietnamese, translation of the discussions into local languages was provided as necessary.
(4) **How can the project provide expedited dispute resolution that is accessible to women and the poor, for example, complaint mechanisms; mechanisms for communications, access to the regulator, representative located on site, tele kiosks? In the event of renegotiation or modification of the project, to what extent can the project consult with women and the poor?**
The project needs to ensure that the poor community is able to access conflict resolution
---
\(^{11}\) Nieto, Daniel Ortega, and Camila Alva Estabridis. 2015. *How to Overcome Communication and Cultural Barriers to Improve Service Provision to Indigenous Populations*. Global Delivery Initiative. http://www.globaldeliveryinitiative.org/sites/default/files/studies/k8437_how_to_overcome_cultural_barriers_indigenous_people_cl_pil.pdf.
\(^{12}\) GSMA. 2018. *The Mobile Gender Gap Report 2018*. https://www.gsma.com/mobiles/development/wp-content/uploads/2018/04/GSMA_The_Mobile_Gender_Gap_Report_2018_32pp_WEB.pdf.
\(^{13}\) See in Question 1—Sub question a) for instance, the legal obligation in Paraguay of including in the sustainability studies of PPP projects the project’s impact on the population and the inclusion of specific groups in situation of vulnerability.
\(^{14}\) World Bank. 2017e. *Results of Collaboration for Social Inclusion in the Trung Son Hydro Power Project, Vietnam*. Washington, D.C.: World Bank Group. http://documents.worldbank.org/curated/en/903511496219887678/Results-of-collaboration-for-social-inclusion-in-the-Trung-Son-Hydro-Power-Project-Vietnam.
mechanisms where project performance does not meet expectations. These procedures will allow resolution of conflicts before they grow into disputes. Poor communities often do not have access to the resources needed to manage conflicts well with sophisticated counterparts such as the investors in the project. Gender-sensitive conflict resolution mechanisms may include community meetings, through women’s representatives to ensure that women feel comfortable submitting their complaints and concerns. For example, the Transmission Efficiency Project in Vietnam provides for dedicated staff to receive and address complaints and grievances. Local organizations, such as the Women’s Union, participate actively in the process.\(^{15}\) Expedited conflict resolution will help raise issues with the project more quickly, and allow the project to address challenges early, when they are easier and cheaper to address.
### 3.6 What Incentives Should Be Placed on the Project Participants to Protect the Interests of Women and the Poor?
(1) **What bidding criteria should be imposed to ensure that the successful bidder knows how to work with issues of women and the poor, and can demonstrate a history of doing so?**
The bidding process should help identify a private partner that has the expertise and experience in implementing pro-poor and pro-women solutions in other projects. The bidding process can also be used to raise some of the issues identified and ask bidders for creative solutions to address the issues raised. This will test the ability of bidders to develop effective solutions for issues associated with the constraints in question, and can also evaluate the extent to which said bidders have implemented such solutions in other projects.
(2) **What specific pro-poor and pro-women obligations should be placed on the project (for example, consultations, capacity building, infrastructure, and financing mechanisms for connection costs)?**
The project needs to place a clear set of obligations on the government authority, on the private investor and on other project parties—things that parties must do and things that they must not do or must only do at certain times and in certain ways.
(3) **What key performance indicators (KPIs) should the PPP agreement include, for example, number of poor consumers, number of female employees?**
In addition to obligations placed on project parties, incentives should be designed to encourage the project parties to comply with those obligations and otherwise achieve specific outputs. These incentives are often implemented through the establishment of KPIs, which if breached can result in financial penalties and possibly project termination. Pro-poor and gender-inclusive KPIs should be included based on the issues identified above. Possible KPIs might include the following:
- Number of poor consumers using the service
- Number of new connections to the poor
- Volume of service provided to the poor
- Number, salary level, and seniority of project-related jobs awarded to women as compared to male staff
- Relative number and value of service contracts awarded to women owned or operated businesses
Depending on the risk allocation, there may be performance penalties, for example, if the financing mechanisms for poor consumers is not used enough or a bonus paid if a certain proportion of employees are female. There may be a financial penalty if complaints are not resolved within a certain time frame, or bonus payments for each poor consumer newly connected to the services.
(4) **What is the best way to monitor those KPIs and ensure compliance with obligations?**
Both parties should be encouraged and incentivized to monitor implementation of the contract, including compliance with obligations and fulfillment of KPIs. A robust monitoring and (preferably) third-party validation mechanism is needed to monitor the performance indicators. The poor can often be victims of collusion between private providers and government monitors. The monitoring should include project implementation related indicators, as well as outcome indicators that can help assess the net welfare gains or losses among women and the poor from the project, differentiating between direct and indirect (or second order) impacts. During implementation, the monitoring system should aim to provide timely and periodic feedback on (1) the status of implementation of the pro-poor and gender inclusive elements in the contract and (2) whether the incentives to encourage inclusion of women and the poor as project beneficiaries are working—so that course corrections can be adopted as needed.
---
\(^{15}\) World Bank. 2014b. *Project Appraisal Document on a Proposed Loan in the Amount of US$500 Million to the Socialist Republic of Vietnam for a Transmission Efficiency Project (TEP).* http://documents.banquemondiale.org/curated/f/564/214681775701152/pdf/PAD7660PADOP13000JU0090JR20140017101.pdf.
Asian Development Bank. 2016. *Social Monitoring Report – GAP Implementation, PRC: Yunnan Integrated Road Network Development Project*. https://www.adb.org/sites/default/files/project-document/216316/A0626-013-smr-18.pdf.
Fall, Matar, Philipp Marin, Alain Locoussu, and Richard Verspyck. 2009. *Reforming Urban Water Utilities in Western and Central Africa: Experiences with Public–Private Partnerships, Vol. 1, Impact and Lessons Learned*. Water Sector Board Discussion Paper Series. http://documents.worldbank.org/curated/en/356151468236368922/pdf/487300NWPDv10B1P131PPWesfrica1v1.pdf.
GSMA. 2018. *The Mobile Gender Gap Report 2018*. https://www.gsma.com/mobilefordevelopment/wp-content/uploads/2018/04/GSMA_The_Mobile_Gender_Gap_Report_2018_32pp_WEBv7.pdf.
International Finance Corporation, World Bank, PPIAF, Government of Canada. 2019. *Gender Equality, Infrastructure and PPPs: A Primer*. https://library.pppknowledgelab.org/documents/5720.
International Finance Corporation. 2012c. *Gender Impact of Public Private Partnerships – Literature Review Synthesis Report*. https://ppp.worldbank.org/public-private-partnership/library/gender-impact-public-private-partnerships-%E2%80%93-literature-review-synthesis-report.
Innocencio, Arlene B., and Cristina B David. 2001. “Public–Private Community Partnerships in Management and Delivery of Water to Urban Poor: The Case of Metro Manila.” Discussion Paper Series No. 2001-18. Philippine Institute for Development Studies.
Kottak, Conrad Phillip. 1991. *Cultural Anthropology*. 5th ed. McGraw-Hill.
Nieto, Daniel Ortega, and Camila Alva Estabridis. 2015. *How to Overcome Communication and Cultural Barriers to Improve Service Provision to Indigenous Populations*. Global Delivery Initiative. http://www.globaldeliveryinitiative.org/sites/default/files/case-studies/k8437_how_to_overcome_cultural_barriers_indigenous_people_cs_p8.pdf.
Provincial Electricity Authority. 2014. *Rural Electrification in Thailand: Policy and Implementation*. https://www.itlk.ac.in/me/anops/for14/PPTs/Day%20-%205%20Bangkok/RE%20in%20Thailand%20-Policy%20and%20Implementation%20-%20M.%20Reungwith%20Vechasart.pdf.
United Nations ESCAP. 2009. *Community Toilets in Tangerang, Indonesia*. https://www.unescap.org/sites/default/files/Tangerang_ES.pdf.
Water and Sanitation Program. 2008. *Performance Improvement Planning: Developing Effective Billing and Collection Practices*. http://documents.worldbank.org/curated/en/713571468138288578/pdf/44190WSP0IND5iveBilling10PUBLIC1.pdf.
World Bank. 2014b. *Project Appraisal Document on a Proposed Loan in the Amount of US$500 Million to the Socialist Republic of Vietnam for a Transmission Efficiency Project (TEP)*. http://documents.banquemondiale.org/curated/fr/566821468177570152/pdf/PAD7660PAD0P1300OUO0900P20140017101.pdf.
World Bank. 2017d. *Project Appraisal Document on a Proposed Loan in the Amount of US$425 Million to the Islamic Republic of Pakistan for the National Transmission Modernization I Project*. http://documents.worldbank.org/curated/en/345091513911668260/pdf/Pakistan-Transmission-PAD2036-PAD-updated2-11302017.pdf.
World Bank. 2017e. *Results of Collaboration for Social Inclusion in the Trung Son Hydro Power Project, Vietnam*. Washington, D.C.: World Bank Group. http://documents.worldbank.org/curated/en/903511496219887678/Results-of-collaboration-for-social-inclusion-in-the-Trung-Son-Hydro-Power-Project-Vietnam.
|
Short Text Classification Using Contextual Analysis
SAMI AL SULAIMANI AND ANDREW STARKEY
School of Engineering, University of Aberdeen, Aberdeen AB24 3UE, U.K.
Corresponding author: Sami Al Sulaimani (firstname.lastname@example.org)
This work was supported by the Ministry of Higher Education, Research and Innovation-Sultanate of Oman.
ABSTRACT Micro blogging tools provide a real time service for the public to express opinions, to broadcast news and information and offer an opportunity to comment and respond to such output. Word usage in social media is continually evolving. Micro bloggers may use different sets of words to describe a specific event and they may use new words (i.e. neither exist in the training dataset nor in informal or formal dictionaries) or use words in new contexts. Dynamically capturing new words and their potential meaning from their context can help to reflect the words relationship in social media, which then can be useful for solving various problems, like the event classification task. Different approaches have been proposed in this regard, one of them is Contextual Analysis. This paper focuses on examining the potential of this approach for grouping short texts (tweets) talking about the same event into the same category. A new transparent method for text multi-class categorization is presented. It uses the Contextual Analysis approach to capture the most important words in the context of an event and to detect the usage of similar words in different contexts. In order to test the efficacy in these areas, this study evaluates the performance of the proposed method and other well known methods, such as Naïve Bayes, Support Vector Machines, K-Nearest Neighbors and Convolutional Neural Networks. On average, the experiments’ results show that the proposed multi-class classification method can effectively categorize tweets into various event groups, with a high f1-measure score $f1 > 97.09\%$ and $f1 > 95.27\%$, in the imbalanced classes and high number of classes experiments, respectively. However, similar to the baseline methods, the performance is negatively influenced by the imbalanced dataset. The Convolutional Neural Networks method produces the best performance among the other algorithms with $f1 > 97.74\%$ in all experiments, which is $1.73\%$ and $2.72\%$ higher than the lowest performance of Naïve Bayes and K-Nearest Neighbors, respectively, but does not meet the requirements of transparency of results.
INDEX TERMS Text analysis, event classification, contextual analysis, supervised machine learning.
I. INTRODUCTION
Micro blogging tools have evolved recently to offer a real time service for the public. Micro blogging is a form of social media that facilitates communication by offering people a platform to express opinions, to broadcast news and information and provide an opportunity to comment and respond to such output. People tend to use these services as a medium to publish various types of mostly useful content (e.g. texts, images and short video clips of events as soon as they occur). Most blogs refer to real-life events, such as social events (e.g. weddings parties, graduation ceremonies, etc.), political events (e.g. presidential campaigns) and emergency events (e.g. terror attack, earthquake, tsunami, etc.).
One of the most popular micro blogging services is Twitter. The number of Twitter posts has increased rapidly since the service was launched in 2006: on average the number of posts on Twitter every second is 6000 [1], [2], but it is not clear whether this number applies to new tweets only or includes replies. In addition to supporting tweets Twitter provides a developer platform with Application Programming Interface (API) services. This enables researchers to access real-time and historical social data. As a result, many scientists and researchers have come to use the information available through Twitter in a variety of ways. While some have studied its structure and characteristics, others have helped develop applications linked to its API. Some results
were quite unexpected. It is found, for example, that monitoring tweets could help detect earthquakes [3].
This makes the process of automatically categorizing the vast amount of collected short texts into various events’ groups a very useful task. Machine learning algorithms offers some capabilities in such analysis. For example, work described in [4] successfully applied Naïve Bayes algorithm to infer the sentiment of hotels’ reviews. However, the classification decisions by some of these methods, like Support Vector Machines, are generally less interpretable [5].
Although the importance of interpretability is clear for various critical real world applications, like medical diagnosis, there is no general agreement on its definition. Lipton [6] suggests that this term is not a monolithic concept, in which different properties for interpretability are proposed. These properties are categorized in two groups, which represents the two main notions of interpretability: transparency (i.e., how does the model work?) and post-hoc interpretability (i.e., what else can the model tell me?). The discussion of the topic is out of the scope of this paper, readers interested in this can find more details in prior work described in [6] and [7]. This paper adopts the evaluation approach conducted by Mori and Uchihira [5], which is motivated by the theoretical outcomes of the efforts in [6], to assess the interpretability of the proposed method. The three properties of the transparency, i.e. Simulatability, De-composability and Algorithmic Transparency, that are suggested by [6] are used to provide a qualitative assessment, as the following:
- Question 1: “Is the entire model simple enough to be fully understood by a user?”
- Question 2. “Is each part of the model (each input, parameter, and calculation) intuitively explainable?”
- Question 3. “Is the algorithm deterministic (non-stochastic) without using any random numbers?”
To contribute in this emerging field, i.e. interpretable machine learning, this paper proposes a new approach for short text multi-class classification problems that can be easy to interpret. It uses a method, called Contextual Analysis [8], to build a tree-like structure for the words that appear in a similar set of sources, and then creates a model for the classification purpose.
This rest of this paper is organized as follows. Section II introduces, in general, some of the related works on the classification of short texts. Section III describes briefly the Contextual Analysis approach. Section IV presents details of our proposed multi-class classification approach using the Contextual Analysis method. Section V discusses the experiments and results obtained by comparing the new approach and the baseline methods. Finally, Section VI gives the conclusion remarks and our future work.
II. RELATED WORK
A number of works have attempted to employ various approaches to classify micro blogging posts, like tweets, into two categories (binary classification) or more. The majority of these efforts use existing machine learning techniques, such as Support Vector Machines (SVM), Naïve Bayes (NB), K-Nearest Neighbors (KNN), etc.
The authors in [9] proposed an approach to classify tweets that are related to “news”, “events”, “opinions”, “deals” and “private messages” using Naïve Bayes algorithm. Seven binary features were suggested (e.g. whether a tweet contains time event phrases or not) as well as one nominal feature for the authors information. The main findings of this study are: the author feature show a discriminative ability; and their selected features produced higher classification accuracy compared to the traditional bag of words strategy.
The work conducted in [10] classified tweets’ texts into 18 predefined set of generic categories, such as “technology”, “science”, “politics”, etc. They examined various machine learning algorithms in their text-based approach, in which the best accuracy, 65%, was achieved using Naïve Bayes Multinomial classifier.
The efforts in [11] adopted the supervised learning methods in their proposed system to automatically classify citizen complaint tweets into general topics (such as “department of transportation”, “education”, etc.) and specific topics (such as, “flood”, “damaged roads”, etc.). They evaluated two different scenarios to accomplish this task. The first one starts by classifying the general topics and then, based on them, the specific topics are further classified. The second scenario is that the specific topics are directly classified. Their results show that the former scenario achieved better accuracy than the later, and the best result was obtained by using Support Vector Machines with Sequential Minimum Optimization.
In [12] the authors classified tweets into 14 categories (sensitive topics), such as “racism”, “sexual orientation”, “family & personal”, etc., in order to develop a privacy protection approach. Naïve Bayes algorithm was selected for the classification purpose. The authors found that the topic classification performance improved by 3.4% by adding user’ topic preferences along with tweets’ texts that were processed by Term Frequency–Inverse Document Frequency method.
In [13] an attempt is made to utilize machine learning algorithms, include Support Vector Machines, Naïve Bayes and AdaBoost, in order to build a classifier that can detect Islamic State of Iraq and Syria (ISIS) related tweets. The classifier was trained by a number of 619 features from three different types, such as stylometric features (e.g. frequent words, hashtags, word bigrams, etc.), temporal features (e.g. hour of day, types of day, day, etc.) and sentiment features (very negative, negative, neutral, positive and very positive). AdaBoost produced the best performance.
The work presented in [14] where a real time event detection framework is proposed to identify large-scale (global) and related small-scale (local) events from micro blogging posts. In the classification part of their framework, they employed Naïve Bayes algorithm in order to distinguish between ‘event’ and ‘non-event’ tweets. They found that this method produced the best f1 score (85.43%) compared to Support Vector Machines (83.86%) and Logistic Regression (80.22%).
Other researchers have paid considerable attention to employ deep learning techniques, such as Convolutional Neural Networks (CNN) [15], Recurrent Neural Network (RNN) [16], etc., and their various architectures for short text classification in Twitter posts. For example, [17] proposed an approach that combines SVM and CNN for short text sentiment analysis, in which CNN was used for feature extraction and SVM for the classification task.
Another interesting example is the work in [18] where the authors experimented with various techniques, such as Long Short-Term Memory (LSTM), Gated Recurrent Unit (GRU), CNN-LSTM, CNN-GRU and SVM, in order to detect hate speech in Twitter. Their effort tend to focus on classifying tweets (in Arabic) into five classes, include “racial”, “sexism”, “general hate” and “not hate”. The best performance was achieved by using CNN-LSTM approach, with an f1 score of 73%.
The work in [19] focused on using machine learning methods to provide an early warning for depressions symptoms among Arab women. A model is created for Arabic language by applying LSTM in order to classify tweets into two categories, namely “depression” or “not depression”. They found that this method gives the best performance, f1 score (69%) compared to other approaches, such as CNN, SVM, etc.
It is well recognized in literature [20], [21], that despite these successes, that focus needs to be given to the availability of transparent methods to solve classification problems in general, and is especially important for detecting critical events via social media. A number of techniques, like the deep learning methods, have been shown for their effectiveness to solve various text classification problems, however, their opaque nature hindered their usage in some critical domains that require skeptical users trust. Offering algorithmic decisions that are transparent in nature is an urgent need for the analysts in these fields and for complying with the introduced regulations that adopt the “Right to Explanation” [22].
III. CONTEXTUAL ANALYSIS
Abdul Aziz and Starkey [8] proposed a novel approach known as Contextual Analysis which builds a tree-like structure, called Hierarchical Knowledge Tree (HKT), in order to capture the relationship between the words based on their appearance in the same context. This relationship can be articulated by grouping the words that appear in a similar set of sources (tweets for example) in a node in the tree, and in its child nodes as a parent-child relationship, depending on the strength of this relationship. For detailed description about this approach, the readers are referred to the original work in [8].
It is important to note that in a related research line to the Contextual Analysis work, efforts have been conducted to use graph properties in order to capture the contextual information of short texts [23]–[26]. For example, in [25] the authors used posts in Twitter to build a language graph based on words (or hashtags) co-occurrence, in which a node represents a word and an edge represents a link connecting two words co-occurring in the given text. By examining seven link prediction methods (such as Weighted Common Neighbors, Weighted Adamic-Adar, etc.), it is found that the links between the words (or hashtags) can be predicted in spite of the incomplete graph structure.
Similar to the link prediction approaches, the Contextual Analysis method can establish a link between two words even if they do not co-occur within any specific text (source) in the dataset. A node that encapsulates two words (or more) can be linked to one or more child-nodes, which may contain words that do not necessarily exist in all words’ sources in the parent node. However, unlike the link prediction approaches, the algorithm develops this latent link during the construction of the tree and without using any external methods.
In general, and differently from the traditional graph approaches, Contextual Analysis is capable of determining the various senses of the words (i.e. different meanings of words) based on their context automatically. For example, the word “beat” may refer to a defeat in a football game (Liverpool beat Everton), or to an act of stirring cooking ingredients (beat the fat with the sugar). This lexical ambiguity is addressed by creating a simple hierarchical structure to capture the various topics and their sub-topics, for example “beat” as a sub-topic for “Liverpool, Everton” and “beat” as a sub-topic for “fat, sugar” depending on the sources. More details about this representation are clearly presented in later section (Section V).
The work conducted in [8] applied Contextual Analysis to predict the performance of supervised machine learning models and to give an indication when these models start to degrade. The experiments described in [27] employed Contextual Analysis in the classification task for sentiment analysis. By using a training dataset, it creates a Hierarchical Knowledge Tree (HKT). This allows analysis of the nodes against the labeled sources that map to them and can then be determined to have mostly positive or mostly negative sources (using a pre-defined threshold value). These nodes, also called influential nodes, are then used to classify any new dataset.
Although Contextual Analysis received the lowest, on average, performance figures in in-domain and cross-domain sentiment analysis in comparison with state-of-art machine learning models, the difference is not significant. It is important to note that this algorithm introduced a new measure, called unclassified results, which are caused by either the new words in the testing dataset or the equivalence between the number of positive and negative words in the sources. Also, the words relationships in the tree can hold important information about their context which can be used for further analysis. However, there are no experiments in this previous work to show how this method performs in multi-class classification tasks. Also, the performance for this algorithm has been assessed using one corpus, Amazon reviews dataset, which contains longer texts’ sources compared to other important domains for
this type of analysis, like Twitter. Further investigation is required.
Abdul Aziz and Starkey [8] suggested that the important words for the sentiment classification purpose can be identified via the ‘influential nodes’ in the tree. Using the labeled samples, two techniques were proposed in order to highlight these nodes: via calculating the node accuracy (i.e. the accuracy of sources in each class) or using the Term Frequency-based ratio (i.e. dividing the total number of sources in each node for every class, positive or negative, over the total number of samples). Then, according to a certain threshold against the output of one of these two processes, the influential nodes, which encapsulate the important words, are triggered. However, it is not clearly described how the threshold value should be selected. Also, there is no guidance on how to fire the influential nodes in a tree that contains more than two classes (i.e. multi classes). In other words, how can the contextual analysis tree be employed to capture the important words for a multi-class problem?
Up to now, there have been no attempts to examine how Contextual Analysis approach can be employed to solve multi-class classification tasks and whether it is capable of doing so. Also, there has been no systematic analysis of Contextual Analysis in addressing the problems when a training sample comprises of imbalanced classes or a high number of classes.
Although these problems, i.e. imbalanced classes or a high number of classes, have recently gained extensive attention [28]–[31], we believe that there is a lack of experimental evaluation of various machine learning algorithms in the context of short text multi-class classification domains, especially in micro blogging posts (where the imbalanced distribution of various classes within these posts is highly skewed in nature), and in particular the applicability of the Contextual Analysis algorithm to these two areas has also not been determined. In addition, the solutions for imbalanced data cannot be applied to real time analysis of unlabeled short text data. Thus, this work provides empirical assessments of Contextual Analysis and the well known machine learning approaches for comparison purposes, such as Naïve Bayes (NB), Support Vector Machines (SVM), K-Nearest Neighbors (KNN) and Convolutional Neural Networks (CNN), in this domain.
In this paper, a new method for the Contextual Analysis based on the average precision and recall is presented, which can help to employ the constructed nodes in order to capture the important words in multi-class problems. It converts every word in the tree to a vector, which can then be utilized for multi-class classification tasks. This is the first study to empirically employ Contextual Analysis for this type of problem.
IV. MULTI-CLASS CLASSIFICATION APPROACH USING CONTEXTUAL ANALYSIS
As is clearly explained in the original paper on describing the generation process of the Contextual Analysis tree [8], every node encapsulates information about the words and their sources. Some of these nodes are believed to be considered as important pillars in understanding the data, whereas other nodes may be discarded in the analysis. This verdict is highly dependent on the predefined threshold setting.
In this paper, inspired by word2vec [32], it is suggested that the understandability of the data can be improved by considering all nodes, with various influence, in the process of analyzing the training dataset and in detecting the important words in the tree. Also, the nodes should trigger their importance in any class without any external intervention (i.e. pre-defined threshold value). Therefore, this study presents a new method, based on the original work, in order to involve all tree nodes in the analysis.
Suppose that a training dataset \((D)\) consists of \((n)\) number of records and \((m)\) number of classes \((Class)\), it is hypothesized that the strength of any single node \((Node_x)\) in a set of the constructed tree nodes \(Node_1, \ldots, Node_z\) in every class \(Class_1, \ldots, Class_m\) can be captured by calculating the average precision and recall (f1 score) (see equation (1), (2), (3)) of every class in this node (i.e. \(Node_x\)), where \(x\) and \(z\) are the number of nodes in the tree and the number of the classes in the training samples, respectively.
\[
Precision = \frac{TruePositive}{TruePositive + FalsePositive} \tag{1}
\]
\[
Recall = \frac{TruePositive}{TruePositive + FalseNegative} \tag{2}
\]
\[
f1Score = 2 \times \frac{Precision \times Recall}{Precision + Recall} \tag{3}
\]
The output of this process is a vector \(Node_xVec = Node_xVecClass_1, \ldots, Node_xVecClass_m\), where each numerical element is made up of the f1 scores and represents the strength of each node in a specific class. This process should be repeated for every node \([Node_1, \ldots, Node_z]\) in the tree. The final output of this phase is a set of vectors for all nodes in the tree \(T = Node_1Vec, \ldots, Node_zVec\). To give an illustration, Fig. 1 shows three nodes that are encapsulated in the first level of a tree, and where each node presents varying strengths for the four different classes. According to the figure, class (Class1) is the dominant class in the node (Node1), in which all other classes have less apparent influence in this node. Also, Class3 is the weakest class in this level of the tree, however, it will show its strength in other levels of the tree and whenever its f1 score for any node is high.
The next phase is to create a vector \((WordVec)\) for every word \(Word_1, \ldots, Word_n\) that is present in the whole tree. This vector demonstrates the word strength in every class in the tree. By looping through all the words, any word vector \((Word_xVec)\) accumulates the nodes vectors values \(Node_1Vec, \ldots, Node_zVec\) wherever this word is encountered in any node. The result of this phase is a set of words’ vectors \(Word_1Vec, \ldots, Word_nVec\) that represent the degree of influence of each word in every class. These vectors are then transformed using SoftPlus function (see equation (4)).
\[
f(x) = \ln(1 + e^x) \tag{4}
\]
FIGURE 1. Example of a hierarchical knowledge tree container that encapsulates three nodes. The influence of each class (Class1, Class2, Class3 and Class4) in every node is represented by f1 scores. The class with highest score in the node is the dominant class. While Class1 is the dominant class in Node1, Class2 and Class4 have the greatest influence on Node2 and Node3, respectively.
TABLE 1. Hardware and software configurations.
| Operating System | Windows 10 64-bit operating system, x64-based processor |
|------------------|--------------------------------------------------------|
| Running Memory | 8 GB (7.88 usable) |
| Processor | Intel(R) Core(TM) i7-3632QM @2.20 GHZ 2.2 GHZ |
| Hard Disk | 917 GB (601 GB free) |
| Software | Visual Studio 2019 (community), SQL Server Express 2017, SQL Management Studio (V18.2). |
V. EXPERIMENTS
A. EXPERIMENT ENVIRONMENT
All the programming works on this paper’s experiments were carried out using C# and Structured Query Language (SQL). The hardware and software configuration of the experiments is shown in Table 1.
B. EXPERIMENT DATASET
The experimental data was downloaded from the University of Glasgow website on December 2019 [33]. Work described in [34] created an event detection corpus from Twitter which contains 120 million tweets, collected in 2012. They managed to identify 506 events linked to more than 150 thousand tweets, which are manually annotated using crowd sourcing. However, this corpus only contains tweet ids. We managed to collect 70 thousands tweets out of 150 thousands through Twitter API.
C. EXPERIMENT DETAILS
1) TEXT PRE-PROCESSING
The first phase of the experiments in this study is to pre-process the texts in the given corpus. A simple pre-processing is undertaken for every tweet in the training and testing datasets. All hyperlinks and any non-alphabetic or non-numeric characters, except “#” and space characters, are removed from the text. Also, by using Microsoft.ML library [35], tweets are tokenized based on the space between any set of characters and stop words are removed. To achieve a fair evaluation, all sub-datasets, either for training or testing purposes, from the main corpus went through the same pre-processing phase for Contextual Analysis and the baseline algorithms i.e. Naïve Bayes, Support Vector Machines (SVM), K-Nearest Neighbors (KNN) and Convolutional Neural Networks (CNN) (see V-C3), before conducting the experiments.
2) CONTEXTUAL ANALYSIS IMPLEMENTATION
Contextual Analysis algorithm starts by creating a lookup table for the words. The aim of this process is to create a unique numeric representation for every word in order to speed up the computations required by this algorithm.
This is followed by the core steps in the Contextual Analysis approach which are implemented by creating nodes and their Hierarchical Knowledge Tree (HKT) containers. Every node contains two different sets: a set of words and a set of sources. By starting with the word \((Word_1)\) with the highest number of sources, the first node \((Node_1)\) is created. This node is then encapsulated in the first (or seed) HKT container \((Seed\_HKT)\) which can be comprised of more than one node.
All words in the nodes that are included in this container \((Seed\_HKT)\) must have number of sources above the threshold value \((\alpha)\) which is calculated against the \((Word_1)\) number of sources. Also, the words that share similar set of sources, above a threshold value \((\beta)\), are grouped in a single node. In this paper, these parameters are set to 0.7 and 0.5 for \((\alpha)\) and \((\beta)\), respectively. This selection is based on preliminary experiments on the selected corpus for this paper.
After creating the first HKT container \((Seed\_HKT)\), a set of remaining words for every node (i.e. not used in the creation of pre-assessor node) is used to build sub-level HKT. Every sub-level HKT must be linked to a parent node.
The last two steps are focused on creating nodes and words vectors. Using the labeled events in the training dataset, all nodes and words in the tree are vectorized according to the method that is explained in section IV.
3) BASELINE METHODS IMPLEMENTATION
Before applying the developed system with the new method, Naïve Bayes, Support Vector Machines, K-Nearest Neighbors algorithms and Convolutional Neural Networks are selected in order to accurately compare the performance of the results. The implementations published in [36] and [37] are used for the experiments in this paper.
a: Naïve BAYES
Naïve Bayes is a common supervised machine learning algorithm for classification tasks. It is a probabilistic algorithm that is based on Bayes Theorem. This technique has been widely studied to solve various machine learning classification problems, more commonly in the domain of text classification [38]. By representing a document \((D)\) as a bag
of words, Naïve Bayes algorithm starts by estimating the posterior probability of each class (using the training dataset) via Bayes rule [39]:
\[
P(C|D) = \frac{P(C) \times P(D|C)}{\sum_{c \in C} P(C = c) \times P(D|C = c)}
\]
(5)
where \(P(C|D)\) is the posterior probability that a given set of a document’s terms \((D)\) belongs to a class \((C)\), \(P(C)\) is the prior probability of the occurrence of the class \((C)\) in the corpus, \(P(D|C)\) is the conditional probability that a randomly chosen set of document’s terms from documents in the class \((C)\) is in the document \((D)\), and \(P(D)\) is the probability that a randomly chosen document from the corpus is the document \((D)\). Then, the algorithm gives an output of the highest probable class for the query document \((D)\), as follows:
\[
Class(D) = argmax_{C \in AllClasses} P(C|D)
\]
(6)
It is important to mention that Naïve Bayes makes the assumption that the documents’ terms are independent from each other.
**b: SUPPORT VECTOR MACHINES**
Support Vector Machines (SVM) is a supervised machine learning algorithm. The goal of SVM is to learn an optimal hyperplane that separates the samples, like tweets, according to classes. It is designed to find the greatest possible margin between the hyperplane and the training samples [40]. This is achieved by identifying two other parallel hyperplanes that passes one or more of the instances, called support vectors, and with an optimal distance from the central hyperplane. The unseen samples are then classified according to which side of the hyperplane they falls on.
**c: K-NEAREST NEIGHBORS**
K-Nearest Neighbour (KNN) is one of the frequently used algorithms for text classification. It categorizes documents into one of the predefined categories in the training dataset. It is based on the assumption that nearby points should be classified to the same class [41]. Given a document \((D)\), this algorithm begins by finding the \(K\) closest instances to \((D)\) by comparing to all samples in the training set. Then, it uses the categories of the \(k\) top closest neighbors to identify the category of the input document \((D)\). It is noteworthy that the only task accomplished during the K-NN training phase is storing training documents. The core process is triggered when a new query document is fired during the categorization phase. Thus, it is referred to as a lazy learner.
**d: CONVOLUTIONAL NEURAL NETWORKS**
Convolutional Neural Networks (CNN) [15], also known as ConvNet, is a popular method that falls under the deep learning umbrella. It was originally implemented in the realm of image-based applications, for instance, to solve image classification problem. Also, studies have shown the potential of the CNN based architectures to solve various text classification tasks [42], [43]. For example, in [43] the author empirically demonstrates the effectiveness of their CNN based approach in the sentiment analysis and question classification.
Although there are various CNN architectures for the text classification purpose, they mainly comprise of two main components, namely: the feature extraction stage; and the classification stage. Typically, these components consist of various types of layers, in which the output of each layer is fed as an input for the next layer, as in the following:
- **Embedding layer**: For text classification tasks using CNN, the input documents need to be transformed to matrices. Each word in the document is mapped to a low-dimensional vector. This layer conducts this mapping operation. Although these embeddings can be randomly initialized and then learned during the training phase, they can also be selected from pre-defined models.
- **Convolutional layer**: The main purpose of this layer is to automatically learn features’ representations of the inputs. It contains a number of kernels (or filters) in order to perform the convolution operation on the input data. This process computes feature maps for each kernel, which is followed by an activation function, such as ReLU.
- **Pooling layer** (also known as sub-sampling layer): This layer receives the output of the convolutional operation in order to help in reducing the dimensions of the input features. By using the advantages of pooling techniques, most commonly max pooling operation, higher-level features are obtained.
- **Fully-connected layer**: Following the process of extracting high-level features in the previous layers (i.e. feature extractions component), the output is fed to one or more fully connected layers for the classification phase. This is a classical feed-forward neural network hidden layer, in which it delivers the results to an output layer (i.e. the last layer of CNN).
It is important to note that the number of the stacked convolutional and pooling layers in the architecture varies according to the problem in hand. In this paper, as a baseline method, we apply the approach that is presented in [43], in which three kernel settings (3,4,5) are implemented followed by the max pooling technique for each, and similar initial parameters are used. However, in this work we train the model without predefined word embeddings (i.e. random initialization). Details about this approach can be found in the original work.
**D. EXPERIMENTAL DESIGN**
In order to examine the effectiveness of the new method to solve multi-class classification tasks against problems found in real world real time data, the experiments are carefully designed to measure the performance from two different perspectives:
- **Imbalanced Classes**: when there is an unequal distribution of samples for the classes in the dataset.
• High Number of Classes: when the number of classes in the dataset is high.
1) IMBALANCED CLASSES EXPERIMENTAL SETUPS
A dataset is considered imbalanced when the difference between the number of samples in the majority class (a class with the highest number of samples) and the minority class (a class with the lowest number of samples) is significant [31]. This can be measured by calculating the imbalance ratio, as the following:
\[
\text{Imbalance\_Ratio} = \frac{\#of\ SamplesMajorityClass}{\#of\ SamplesMinorityClass}
\]
(7)
As a rule of thumb, if \( \text{Imbalance\_Ratio} > 1.5 \), the dataset is deemed imbalanced.
To test whether Contextual Analysis can effectively classify imbalanced classes, 11 different sub-datasets from the main corpus are selected. Each subset (group) contains a different set of events, as described in Table 2. There are three different themes for the eleven groups: Theme A, Theme B and Theme C. Theme A contains groups that have balanced classes (\( \text{Imbalance\_Ratio} < 1.5 \)), each of them consisting of a high number of tweets. In Theme B, the groups contain classes that are balanced but contain low number of tweets. Groups in theme C comprise of imbalanced classes (\( \text{Imbalance\_Ratio} > 1.5 \)) with varying tweet counts.
a: EVALUATION METHODOLOGY
To compare Contextual Analysis and the baseline methods, the algorithms are fed with these series of themes, after every input precision, recall and f1 score are calculated. To estimate the overall performance, the macro averaged f1 measure is selected (see equation (8), (9), (10), where q is the number of classes.). In order to increase the reliability of the measures, Contextual Analysis and the baseline method are fed with each group five times, giving a total of 55 different trials. In every attempt the training and testing tweets are selected randomly.
\[
\text{Macro\_Precision} = \frac{\sum_{i=1}^{q} Precision_i}{q}
\]
(8)
\[
\text{Macro\_Recall} = \frac{\sum_{i=1}^{q} Recall_i}{q}
\]
(9)
\[
\text{Macro } f1 = 2 \times \frac{\text{Macro\_Precision} \times \text{Macro\_Recall}}{\text{Macro\_Precision} + \text{Macro\_Recall}}
\]
(10)
b: RESULTS
All the results on the imbalanced classes dataset are shown in Table 3 (with the best results for each group highlighted in the table) and in Fig. 2.
On average, as can be seen from Table 3 and Fig. 2, Convolutional Neural Networks approach outperforms all methods. Also, Support Vector Machines produces the second best results, however when it is compared to the other three algorithms in Theme B, the difference is negligible (p>0.05 using paired t-test). Interestingly, the results of the experiments in all themes show no significant difference between the f1 measures of Contextual Analysis, Naïve Bayes and KNN, p>0.05, using One-way analysis of variance. However, the performance of Naïve Bayes in Theme C is the worst, where the difference between the number of tweets in each group’s classes is high. This is mostly due to the low recall value, see table 3 and figure 3.
2) HIGH NUMBER OF CLASSES EXPERIMENTAL SETUPS
In order to investigate the effects of an input dataset that contains a high number of classes on the performance of the method on the classification task, 30 different balanced sub-datasets (with the identified Group ID) as described in Table 4 are selected. Although there are various techniques to alleviate the skewed distribution in the classes, the well known Random Under Sampling (RUS) mechanism [29] is
| Theme | Group ID | Training Dataset Count | Testing Dataset Count | Imbalance Ratio | EventID* | No. Tweets |
|-------|----------|------------------------|-----------------------|-----------------|---------|------------|
| A | 1 | 2645 | 1138 | 1.12 | *55*:660, *6*:648, *12*:636, *31*:628, *46*:624, *15*:587 |
| | 2 | 2025 | 874 | 1.33 | *97*:564, *5*:527, *2*:501, *18*:454, *20*:428, *47*:425 |
| | 3 | 1680 | 723 | 1.12 | *57*:420, *146*:413, *32*:404, *18*:398, *35*:393, *36*:390 |
| B | 4 | 462 | 203 | 1.01 | *279*:111, *275*:111, *341*:111, *241*:111, *493*:111, *447*:110 |
| | 5 | 444 | 194 | 1.06 | *211*:110, *183*:108, *365*:106, *83*:105, *69*:101, *181*:104 |
| | 6 | 428 | 186 | 1.02 | *197*:103, *98*:103, *45*:102, *14*:102, *487*:102, *467*:101 |
| C | 7 | 1591 | 686 | 5.95 | *55*:660, *6*:648, *12*:636, *279*:111, *275*:111, *341*:111 |
| | 8 | 1338 | 578 | 5.32 | *97*:564, *5*:527, *2*:501, *211*:110, *183*:108, *365*:106 |
| | 9 | 1081 | 465 | 4.08 | *57*:420, *146*:413, *32*:404, *481*:105, *98*:103, *54*:103 |
| | 10 | 8138 | 3496 | 52.36 | *82*:2735, *157*:1580, *14*:957, *6*:648, *4*:398, *254*:241, *482*:165, *422*:144, *72*:138, *153*:138 |
| | 11 | 6700 | 2877 | 25.90 | *14*:137, *11*:2808, *222*:1430, *12*:636, *355*:392, *383*:241, *349*:165, *13*:132, *70*:132, *439*:132 |
selected, in which the distribution of the classes is adjusted by randomly removing samples from the majority classes. Thus, each group in the sub-datasets contains the same proportion of randomly selected tweets from randomly selected events from the corpus. The number of tweets in each event is constrained to 200. For example, the experiments in Group 1, 2 and 3 contain 5 different events, each event contributes, randomly, by exactly 140 tweets and 60 tweets to form the training and the testing sub-dataset, respectively.
**a: EVALUATION METHODOLOGY**
Similar to the previous experiment, the Contextual Analysis algorithm is compared with the four baseline methods and the macro averaged f1 measure is chosen. Three random trials are conducted to construct the training and testing dataset, giving a total of 90 different trials.
**b: RESULTS**
The results that are summarized in Fig. 3 compare the performance of the algorithms when the input dataset contains higher number of classes. Overall, the figure reveals that there is a clear trend of decreasing performance of the five algorithms when the number of events increases. Similar to the results of the previous experiment, Convolutional Neural Networks method achieves the best performance among all approaches. On the other hand, as is apparent from Fig. 3, KNN achieved the lowest performance, p<0.05 (paired t-test), in most of the datasets. Interestingly, when the number of the events in the sample is less than 30, no significant difference is found among Contextual Analysis, Naive Bays and SVM, p>0.05 using One-way analysis of variance.
### TABLE 4. Dataset setup for high number of classes experiment. Each row indicates that there are three different balanced sub-datasets selected with the same settings (i.e. same number of training samples, testing samples and events). Here each one group contains randomly selected tweets from randomly selected events from the corpus.
| Group ID | Training Dataset Count | Testing Dataset Count | Number of Events |
|----------|------------------------|-----------------------|------------------|
| 1, 2, 3 | 700 | 300 | 5 |
| 4, 5, 6 | 1400 | 600 | 10 |
| 7, 8, 9 | 2100 | 900 | 15 |
| 10, 11, 12 | 2800 | 1200 | 20 |
| 13, 14, 15 | 3500 | 1500 | 25 |
| 16, 17, 18 | 4200 | 1800 | 30 |
| 19, 20, 21 | 4900 | 2100 | 35 |
| 22, 23, 24 | 5600 | 2400 | 40 |
| 25, 26, 27 | 6300 | 2700 | 45 |
| 28, 29, 30 | 7000 | 3000 | 50 |
### TABLE 3. Performance comparison between different text categorization methods (Contextual analysis, Naive bayes, Support vector machines, K-nearest neighbors and convolutional neural networks method) on imbalanced classes’ datasets(%) (see Table 2). Macro averaged metrics, i.e. macro precision, macro recall and macro f1, scores are presented. The best f1 results are highlighted in green, the worst in red.
| Theme | Contextual Analysis | Naive Bayes | Support Vector Machines | K-Nearest Neighbors | Convolu. Neural Networks |
|-------|---------------------|-------------|-------------------------|---------------------|--------------------------|
| Avg. Precision | A | 97.22 | 97.50 | 98.75 | 97.72 | 98.90 |
| | B | 99.18 | 99.36 | 99.25 | 98.73 | 99.87 |
| | C | 97.87 | 98.14 | 99.58 | 98.98 | 99.76 |
| Avg. Recall | A | 97.15 | 97.45 | 98.71 | 97.70 | 98.91 |
| | B | 99.15 | 99.34 | 99.18 | 98.63 | 99.87 |
| | C | 96.60 | 95.89 | 98.57 | 96.62 | 99.36 |
| Avg. f1 | A | **97.09** | 97.45 | 98.71 | 97.65 | **98.89** |
| | B | 99.14 | 99.34 | 99.19 | **98.63** | 99.87 |
| | C | 97.18 | **96.92** | 99.05 | 97.71 | **99.55** |
b: RESULTS
As a result of the deterministic behavior of the four algorithms (Contextual Analysis, Naïve Bayes, Support Vector Machines and K-Nearest Neighbors), they all fulfill the transparency requirement of the third component, i.e. question 3. With a particular input dataset, each algorithm will always generate the same model. On the other hand, Convolutional Neural Networks approach is non-deterministic due to the use of a stochastic optimization method in their training phase.
With the specified constraint above, Contextual Analysis, Naïve Bayes and KNN are assessed as simple methods and their parts allows an intuitive explanation. This is due to the nature of these approaches, where each step can be easily followed to generate the prediction model. On the other hand, SVM and CNN are regarded as a non-transparent method in component 1 and 2. SVM generates a separating hyperplane for classification tasks and the support vectors with the parameter tuning optimization inside the algorithm that can lead to a model that can be difficult to comprehend. Like the other methods in the deep learning family, the nested structure and the underlying complicated interactions among the various layers as well as the optimizations processes, contribute negatively to the transparency assessment of CNN.
In this context, it is observed that Contextual Analysis may offer a valuable insight of the most important events’ words and their relationships in a simple representation. It is noticed that there is a logical link between the words that appear in the nodes in the upper levels of the created tree and the events in the annotated dataset (represented by its description). Also, by navigating through the child HKTs of these nodes, other words that are strongly related to the event context emerge. To illustrate, Fig 4 shows a screenshot of a tree representation of the first level (or seed) HKT’s nodes (such as Node1, Node2, etc.) and their child HKTs’ nodes (such as Node1.1, Node1.2 and Node1.3 as child nodes for Node1) that are produced using the Contextual Analysis application and the events dataset in Table 2 - Group 5. The Seed-HKT encapsulates the most important words in the corpus, such as “wallace”, “mike”, “slam”, “cardiff”, etc.. The words that are found in a similar set of sources are grouped in the same node, such the words “dalton”, “mcegunity”, “premier” and “ontario” in Node4 and “hurricane” and “sandy” in Node5. The nodes with the symbol <>, such as Node7, represents data not matching the words shown at that level and ensures that every sample (tweet) matches at least one node. Each node is linked to at most one container (Child-HKT) for its child nodes which represents other important words found in the parent node’s tweets, although at a lower frequency in the corpus. For example, the words “speed” and “touchdown” are the other important words found in the tweets that mention the words in Node1. Also, the word “resigns” in Node4.1 appears to be an important word when people tweeted about the words in Node4.
According to the annotated description of these events, as summarized in Table 5 and found in the original work of the used corpus [33], most of them can be linked to a certain node with its descendant HKTs. For example, Node4 captures the words in the context of the resignation of the Ontario premier Dalton McGuinty (event id 365). The words that are displayed in this node and in its child HKT, such as “mcegunity”, “dalton”, “premier”, “ontario”, “resigns” are related to this event. Also, by investigating the child HKTs for Node3 it is found that the words “cardiff”, “injured”, “hit”, “run”, “people” and “11” are mainly used in this context which are strongly related to the description of the event id 211. Given the HKT is developed in an unsupervised manner without reference to the target class of the tweets, this is an important result demonstrating how the process automatically analyses the underlying structure in the dataset in an easily understandable output.
| Event Id | Description |
|----------|-------------|
| 69 | The death toll in the U.S. attributed to Hurricane Sandy rises to at least 90 |
| 83 | Buster Posey grand slam leads SF Giants to historic Division Series |
| 181 | Football match between USC and Oregon |
| 183 | Mike Wallace scoring a touchdown during the Giants and Pittsburgh football game. |
| 211 | A woman is killed and 12 other people injured in a series of hit and run incidents in Cardiff, south Wales. A 31-year-old van driver is arrested by police. |
| 365 | Ontario premier Dalton McGuinty announces his resignation. |
VI. CONCLUSION & FUTURE WORKS
In this paper a new approach, based on Contextual Analysis, for text multi-class classification is proposed. Various experiments were carefully designed to measure the performance of the proposed method from two different perspectives: Imbalanced Classes and High Number of Classes. In order to evaluate the performance, a comparative study is conducted, using well known classification techniques such as Naïve Bayes, Support Vector Machines, K-Nearest Neighbors and Convolutional Neural Networks over real-world event corpus form Twitter. On average, the result shows that the proposed method performs well in categorizing short texts (tweets) into various groups (events), with f1>97.09% and f1>95.27% in the imbalanced classes and high number of classes experiments, respectively. For most tasks, this level of performance would be considered to be acceptable. Also, the interpretability assessment reveals this approach is simple and transparent, unlike the other methods used in this study.
There are several issues reserved for future work. While Support Vector Machines and Convolutional Neural Networks fail to satisfy the transparency requirements for interpretability, they outperform the other methods in most of the experiments, with f1>97.35% and f1>97.74%, respectively. Converting Support Vector Machines type methods to transparent methods has proven extremely difficult [7]. Further studies are needed to improve the performance of the proposed Contextual Analysis method without sacrificing the transparency, and to define transparency in a manner which will allow comparison with other methods more directly. The results show that performance of the proposed approach is disadvantaged by the imbalanced training data, careful attention should be devoted in this regard. Future work needs to focus on how new words can be identified dynamically and their potential meaning from their context in real time, in which the data are unlabeled and highly skewed. The Contextual Analysis approach has been shown to give competitive performance in classification tasks without being best in class but due to its transparency could be used for real time problems such as detecting new events as they occur in real time.
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**SAMI AL SULAIMANI** received the B.Sc. degree in computer science from Sultan Qaboos University, Oman, in 2005, and the M.S. degree in advanced software engineering from the University of Leicester, U.K., in 2014. He is currently pursuing the Ph.D. degree in computing science with the University of Aberdeen, U.K. From 2006 to 2019, he was a software engineer and a system analyst.
**ANDREW STARKEY** is currently a Senior Lecturer with the University of Aberdeen. He has been awarded an Enterprise Fellowship from the Royal Society of Edinburgh and Scottish Enterprise. He is also responsible for Blueflow Ltd., a spin out company from the University of Aberdeen that proposed a solution for a wide range of data analysis areas, such as financial, textual, and web data, such as blogs and discussion threads, and condition monitoring. His research interests include the area of explainable AI, automated AI, and autonomous learning methods.
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PACIFIC SEABIRDS
A Publication of the Pacific Seabird Group
Volume 35 Number 2 Fall 2008
The Pacific Seabird Group (PSG) was formed in 1972 due to the need for better communication among Pacific seabird researchers. PSG provides a forum for the research activities of its members, promotes the conservation of seabirds, and informs members and the public of issues relating to Pacific Ocean seabirds and their environment. PSG members include research scientists, conservation professionals, and members of the public from all parts of the Pacific Ocean. The group also welcomes seabird professionals and enthusiasts in other parts of the world. PSG holds annual meetings at which scientific papers and symposia are presented; abstracts for meetings are published on our web site. The group is active in promoting conservation of seabirds, including seabird/fisheries interactions, monitoring of seabird populations, seabird restoration following oil spills, establishment of seabird sanctuaries, and endangered species. Policy statements are issued on conservation issues of critical importance. PSG’s journals are *Pacific Seabirds* (formerly the PSG *Bulletin*) and *Marine Ornithology*. Other publications include symposium volumes and technical reports; these are listed near the back of this issue. PSG is a member of the International Union for Conservation of Nature (IUCN), the Ornithological Council, and the American Bird Conservancy. Annual dues for membership are $30 (individual and family); $24 (student, undergraduate and graduate); and $900 (Life Membership, payable in five $180 installments). Dues are payable to the Treasurer; see the PSG web site, or the Membership Order Form next to inside back cover.
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**Pacific Seabirds**
*Pacific Seabirds* publishes short peer-reviewed articles, reports of ongoing work, conservation news, and other items of importance to conservation of seabirds in the Pacific Ocean. The journal is published twice a year in spring and fall. Materials should be submitted to the Editor, except that conservation-related material should be submitted to the Associate Editor for Conservation. Information for contributors to Pacific Seabirds is published in each Fall issue. Back issues of the *Bulletin* or *Pacific Seabirds* are posted on the group’s web site or may be ordered from the treasurer (see Membership/Order Form next to inside back cover for details). Submission deadlines are April 1 for the spring issue and October 1 for the fall issue; manuscripts may be submitted at any time.
**Pacific Seabirds Editor**
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**Marine Ornithology**
*Marine Ornithology* presents peer-reviewed contributions concerning international seabird science and conservation. The journal is published two times a year. It is available on its web site or by subscription. The journal is supported by a partnership of global seabird societies, including the Pacific Seabird Group (PSG), African Seabird Group, Australasian Seabird Group, the Seabird Group (U.K.), Dutch Seabird Group, and Japan Seabird Group. For further information see www.marineornithology.org
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Send changes of address to the PSG Treasurer, Ron LeValley, P.O. Box 324, Little River, CA 95456-0519, USA. Telephone: (707) 496-3326 (cell), (707) 937-1742 (work); fax: (707) 442-4303; e-mail: firstname.lastname@example.org or email@example.com
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PACIFIC SEABIRDS
A Publication of the Pacific Seabird Group
Dedicated to the Study and Conservation of Pacific Seabirds and Their Environment
Volume 35 2008 Number 2
Notice
Pacific Seabirds Is Going Electronic ................................................................. 27
Special Achievement Award
Edward F. Melvin. By Katie O’Reilly and Vivian Mendenhall ........................................... 29
Conservation Report ............................................................................................................. 33
Seabird News
Volcano Buries Alaska Seabird Colony and Monitoring Site ............................................ 37
PSG News .............................................................................................................................. 39
Regional Reports
Alaska ................................................................................................................................. 40
Canada ................................................................................................................................. 43
Washington and Oregon ....................................................................................................... 48
Northern California ............................................................................................................. 52
Southern California ............................................................................................................. 55
Non-Pacific United States .................................................................................................. 56
Hawai‘i and Pacific Rim ...................................................................................................... 57
South America and the Antarctic ....................................................................................... 60
North Atlantic ...................................................................................................................... 61
General Information
Information on the Pacific Seabird Group ........................................................................ Inside Front Cover
Information for Contributors to Pacific Seabirds ................................................................. 63
Publications of the Pacific Seabird Group ........................................................................... 65
PSG Committees .................................................................................................................. 67
PSG Life Members and Recipients of Awards .................................................................... 68
Membership Application and Order Form .......................................................................... 69
PSG Executive Council for 2008 ....................................................................................... Inside Back Cover
The Pacific Seabird Group occasionally honors outstanding contributors to seabird science and conservation with Lifetime Achievement or Special Achievement awards. The Special Achievement Award recognizes an individual who has achieved significant, exemplary accomplishment for seabird research, conservation, and/or education. Below is our tribute to Ed Melvin, the 2007 recipient of the Special Achievement Award.
SPECIAL ACHIEVEMENT AWARD: EDWARD F. MELVIN
Katie O’Reilly and Vivian Mendenhall
The Pacific Seabird Group presented its Special Achievement Award to Edward F. Melvin on 10 February 2007, at its annual meeting in Asilomar, California. The award was given in recognition of significant and original contributions to the conservation of Pacific seabirds. Ed is directly responsible for saving the lives of hundreds of thousands of seabirds. His research and collaborations are reducing seabird bycatch in fishing gear from Alaska to Antarctica.
Ed Melvin is the Marine Fisheries Research Scientist for Washington Sea Grant, at the University of Washington’s School of Aquatic and Fisheries Sciences in Seattle. The principal focus of Ed’s research is to develop and implement seabird avoidance gear, in order to reduce seabird mortality in commercial net, trawl, and hook-and-line fisheries. His first project addressed seabird bycatch in the driftnet fishery for salmon (*Oncorhynchus* spp.) in Puget Sound, Washington; he went on to a series of projects on the demersal longline fishery in the North Pacific and Bering Sea, where bycatch has included the endangered Sort-tailed Albatross (*Phoebastria albatrus*). Recently his work has expanded to the southern hemisphere, where declines in many albatross populations are ascribed to incidental mortality in fisheries.
Ed grew up in New York City. After attending a technical high school, he knew he didn’t want to be an engineer. He began college at the University of Pennsylvania as a pre-medical student. He saw the light in his junior year when one of his professors developed a marine biology curriculum. After he received his BA in Zoology, he moved to the West Coast and got his MS in Fisheries Science from Humboldt State University in 1980. He had his eye on a Sea Grant position in nearby Eureka, but instead got a position with that program in Monterey Bay, at Moss Landing Marine Labs. After working on a variety of projects, including wetland restoration and handling of troll-caught salmon and albacore (*Thunnus alalunga*), Ed became the Marine Fisheries Specialist with the Washington Sea Grant Program in Seattle in 1990. He has since received over two million dollars in funding to create, modify, and test seabird avoidance gear. Ed has also served a critical role in ensuring implementation of new gear, by cooperating with fishers during testing and development, educating them on using the new gear, and by working with local, state, and federal agencies on developing regulations and performance standards for reducing seabird bycatch.
Solving seabird bycatch problems is a challenge. Birds are caught by swimming among fish schools near a net, attacking baited hooks, or trying to scavenge scraps near fishing gear. The goal is to keep birds away from fishing gear or move it quickly out of their reach. Effective deterrents vary greatly with the fishery, depending on fishing gear, vessel size, feeding guilds of seabirds, wind and sea conditions, and the demands of fishing operations. Each fishery has its own issues—deterrents that work in one fishery may be ineffective or dangerous in another. Biologists began documenting bycatch and deterrents in longline fisheries in the 1980s; the first streamer line deterrent (tori line) was developed by Japanese fishers, and it was required in parts of the Southern Hemisphere by the mid-1990s. Research had also begun in the northern hemisphere, including Norway. However, many studies were limited in scope or did not lead to effective regulations—and none applied to the North Pacific.
Ed received his initiation into bycatch problems in Puget Sound. Gillnets for salmon were catching Common Murres (*Uria aalge*) and Rhinoceros Auklets (*Cerorhinca monocerata*)—over 3500 birds in 1994 alone. From 1994 through 1996, Ed’s group tested deterrents such as conspicuous net panels and audible “pingers” while recording seabird numbers and bycatch. The industry supported Ed’s recommendations; the state of Washington now requires visible mesh...
in the top portion of gillnets for non-treaty fishers. (Regrettably, the Treaty Tribes and Canada, which participate in the same fishery, have no requirements for reducing seabird bycatch.)
Ed turned next to seabird bycatch in the huge Alaskan longline fishery. More than 1800 vessels, from skiffs to catcher-processors, harvest Pacific cod (*Gadus macrocephalus*), halibut (*Hippoglossus stenolepis*), and other species by deploying hooks on the bottom of the ocean. An average of 14,000 seabirds was caught incidentally in Alaskan longlines each year between 1993 and 1999. The majority were Northern Fulmar (*Fulmarus glacialis*) and gulls (*Larus* spp.). However, the greatest concern was the highly endangered Short-tailed Albatross (*Phoebastria albatrus*); fisheries are subject to interruption or closure if too many endangered Short-tails are caught. The National Oceanographic and Atmospheric Administration (NOAA) issued preliminary regulations to reduce seabird bycatch in 1997, but there had been no research on deterrents in Alaska.
In 1999 and 2000, Ed and his collaborators evaluated bycatch deterrents on Alaskan longliners, comparing bycatch on vessels with four types of deterrents and without deterrent gear. The most effective deterrent proved to be a pair of tori lines behind each vessel, which kept more than 90% of seabirds away from longline hooks. Final regulations on bycatch reduction by large longline vessels were adopted by NOAA in 2004. Overall seabird bycatch rates were reduced by almost 80%, and no take of Short-tailed Albatrosses has been observed for ten years.
Ed is not one to leave a problem with loose ends. He went on to study deterrents for small longliners, since methods used on large vessels may not work on small ones. The result was a new requirement for longliners of 26–55 (8–17 m) to use a single tori line; they also are allowed to fish without a deterrent in sheltered waters that have few vulnerable birds. Weighted longlines cause the hooks to sink rapidly, but dangling weights can be dangerous on fast-moving gear; Ed’s group has recently evaluated a new type of longline with lead integrated into its weave. In the past two years Ed has begun evaluating potential deterrents for the Alaskan trawl fishery, in which seabirds are taken incidentally in nets and through collisions with cables. He has also begun assessing the potential for interactions with albatrosses and other seabirds by the hook-and-line and trawl fishing fleets of Washington, Oregon and California.
Ed’s newest work focuses on the Southern Hemisphere. Many albatross populations have been declining sharply in the southern oceans since bycatch in longline vessels began. The Commission on the Conservation of Antarctic Marine
Setting gillnet in Puget Sound, with white “bird panels” in upper portion. Normal monofilament net appears darker on drum in foreground, and it hangs in water below the “bird panel.” (Photo E. Melvin)
Living Resources (CCAMLR) started requiring vessels to use deterrents as early as 1992; Ed’s group recently joined them to review the effectiveness of current methods. In 2008 Ed began research to improve deterrents on pelagic longliners in the mid-southern latitudes. Hooks that target tuna (*Thunnus* spp.) and other fish are suspended in mid-water and sink slowly, and thus require different deterrents than in high-latitude demersal longlining. During a pilot project off South Africa, Ed modified the tori lines that the vessel was already using. His new version made a good impression: “the difference . . . was dramatic (a collective gasp from the crew)” (Melvin et al. 2009:6).
Ed Melvin, more than anyone else, is responsible for changes in the way seabird bycatch problems are viewed by fishers and agencies. His contributions have gone far beyond the design of new deterrent gear. His success has been due especially to the unique organization of his projects, which combine rigorous science, collaboration with fishermen, and consultation with agencies. He recognized early that collaboration of researchers and fishers is mutually beneficial to both. His group incorporates the observations and ideas of fishers into the team’s own insights. (Fishers dislike catching birds, often from concern about the birds, but especially because bycatch interferes with catching fish.) Potential new deterrents are then tested during commercial fishing operations, and he can then recommend gear that not only is effective in reducing seabird bycatch, but also is safe for fishers and does not reduce their harvest of target fish. Because fishers have contributed to practical solutions, they “buy into” the innovations and sometimes adopt new deterrents before they are legally required.
At the same time, Ed and his colleagues have advanced the standard of scientific protocols for evaluating deterrents. He insists on rigorous experimental design, including a large sample size that covers various deterrents (including none), an extensive area, and various weather conditions. Studies of this scale are made possible by their close collaboration with the industry and federal observers. Because of Ed Melvin’s work on seabird bycatch over the past two decades, regulations are continually updated, and seabird mortality in many
fisheries is declining. And if this were not enough, Ed produces educational videos and brochures and has co-edited a symposium on bycatch.
PSG honors Ed Melvin for his leadership of practical efforts to conserve seabirds during this era of industrial harvesting of the seas.
**PARTIAL BIBLIOGRAPHY**
(Unpublished Washington Sea Grant reports are available at http://www.wsg.washington.edu/pubs)
Dietrich, K.S., and E.F. Melvin. 2007. Alaska trawl fisheries: potential interactions with North Pacific albatrosses. Washington Sea Grant, University of Washington, Seattle. Project WSG-TR 07-01.
Dietrich, K.S., E.F. Melvin, and L. Conquest. 2008. Integrated weight longlines with paired streamer lines—best practice to prevent seabird bycatch in demersal longline fisheries. Biol. Conserv. 141:1793-1805.
Melvin, E.F., K.S. Dietrich, and T. Thomas. 2004. Pilot tests of techniques to mitigate seabird interactions with catcher processor vessels in the Bering Sea pollock trawl fishery; final report. Washington Sea Grant, University of Washington, Seattle. Project WSG-AS 05-05.
Melvin, E.F., C. Heinecken, and T.J. Guy. 2009. Optimizing tori line designs for pelagic tuna longline fisheries: South Africa. Washington Sea Grant, University of Washington, Seattle. Project WSG-TR 09-01.
Melvin, E.F. and J.K. Parish. 2001. Seabird bycatch: trends, roadblocks, and solutions. Proceedings of the symposium, Blaine, Washington, February 26-27. University of Alaska Sea Grant, AKK-SG-01-10, 2001, 206 pp.
Melvin, E.F., and J.K. Parrish. 2001. Focusing and testing fisher know-how to solve conservation problems: a common sense approach. Pp. 224-226 in Putting Fishers’ Knowledge to Work: Conference Proceedings. Edited by N. Haggan. University of British Columbia, Victoria, BC.
Melvin, E. F., J. K. Parrish, and L. L. Conquest. 1999. Novel tools to reduce seabird bycatch in coastal gillnet fisheries. Conserv. Biol. 13:1386-1397.
Melvin, E.F., J.K. Parrish, K.S. Dietrich, and O. Hamel. 2001. Solutions to seabird bycatch in Alaska’s demersal longline fisheries. Washington Sea Grant, University of Washington, Seattle, WA. Project WSG-AS 01-01.
Melvin, E. F., B. Sullivan, G. Robertson, and B. Wiernneke. 2004. A review of the effectiveness of streamer lines as a seabird bycatch mitigation technique in longline fisheries and CCAMLR streamer line requirements. CCAMLR Sci. 11:189-201.
Melvin, E.F., and M.D. Wainstein. 2006. Seabird avoidance measures for small Alaskan longline vessels. Washington Sea Grant, University of Washington, Seattle, WA, project A/FP-7.
Melvin, E.F., M.D. Wainstein, K.S. Dietrich, K.L. Ames, T.O. Geernaert, and L. Conquest. 2006. The distribution of seabirds on the Alaskan longline fishing grounds: implications for seabird avoidance regulations. Washington Sea Grant, University of Washington, Seattle. Project A/FP-7.
(Right) Ed collaborates with a longliner crew, cutting squid for bait. (Photo G. Balogh/U.S. Fish and Wildlife Service)
(Above) Bob Day presents PSG’s Special Achievement Award to Ed Melvin, 10 February 2007. (Photo V. Mendenhall)
WORLD’S LARGEST MARINE SANCTUARIES ESTABLISHED IN U.S. TROPICAL PACIFIC
PSG wrote the chairman of the Council on Environmental Quality in October 2008 to express strong support of expanding Marine Conservation Management Areas adjacent to Johnston Atoll, Howland Island, Baker Island, Jarvis Island, Kingman Reef, Palmyra Atoll, Wake Island, and Rose Atoll (Pacific Seabirds 35:9, 2008). We noted that many of these islands support seabird colonies, including Black-footed Albatrosses (*Phoebastria nigripes*), Sooty Terns (*Sterna fuscata*), Gray-backed Terns (*S. lunatus*), Brown Noddies (*Anous stolidus*), Black Noddies (*A. tenuirostris*), Blue Noddies (*Procellerina cerulea*), White Terns (*Gygis alba*), Red-tailed Tropicbirds (*Phaethon rubricauda*), Masked Boobies (*Sula dactylatra*), Red-footed Boobies (*S. sula*), Wedge-tailed Shearwaters (*Puffinus pacificus*), Christmas Shearwaters (*P. nativitatis*), Audubon’s Shearwaters (*P. lherminieri*), and Polynesian Storm-Petrels (*Nesofregetta fuliginosa*). PSG emphasized that this White House initiative was important to protect seabird colonies and the food upon which the birds rely. These tropical oceanic islands and the surrounding waters are remote from human populations; however, they need to be protected against increasing risks from industrial fishing and the rats that fishing vessels may inadvertently carry.
The efforts of PSG and a broad conservation community bore fruit. In early January, President Bush used his authority under the 1906 Antiquities Act to designate three new monuments in remote areas of the Pacific near US territories, encompassing more than 500,000 km$^2$. The president had previously designated the Papahanaumokuakea Marine National Monument in Hawaii, encompassing 364,000 km$^2$ of ocean. Most of the monuments extend 50 nautical miles out from each small island. The Marianas Marine National Monument is more than 247,000 km$^2$, protecting areas around both the Marianas Trench and three small uninhabited islands that are rich in marine life. The Pacific Remote Islands Monument is 224,000 km$^2$ and protects a string of tiny uninhabited islands often called the Line Islands. The Rose Atoll National Monument protects coral reefs and a lagoon that are home to the region’s largest concentration of nesting sea turtles, birds, and giant clams.
BIRDLIFE INTERNATIONAL MAY DOWNLIST LAYSAN ALBATROSS
In mid-November 2008, BirdLife International began a process to downlist the Laysan Albatross (*Phoebastria immutabilis*) from the status of “vulnerable” to “near threatened.” The group is taking comment on this proposed change. BirdLife International had listed the Laysan Albatross because it believed the population was declining a few percentage points per year over the 1990s on average; BirdLife’s biologists predicted that such declines would result in greater than a 30% decrease over a three-generation period (84 years, based on a generation length of 28.5 years). The predicted declines did not materialize. In fact, numbers at breeding colonies have increased since the early 2000s. Some biologists were concerned that the data were insufficient to justify a “vulnerable” listing, and that the status did not take into account the fact that Laysan Albatrosses often skip breeding in some years, due to oceanographic or other conditions. Thus short-term declines of nest counts should not be the sole basis for predicting the species’ population trajectory.
PSG AGAIN OPPOSES DELISTING OF MARBLED MURRELET
In June 2008, separate decisions by two federal courts—a U.S. District Court judge in Washington, D.C. and the 9th U.S. Circuit Court of Appeals—denied efforts by the timber industry to remove the Marbled Murrelet (*Brachyramphus marmoratus*) from protection under the Endangered Species Act (ESA). However, in early October 2008, in response to another petition by American Forest Resource Council, the Carpenters Industrial Council of Douglas County, Oregon, and an individual, USFWS found that delisting the marbled murrelet might be warranted. The agency has initiated a status review of the species and intends to review its range-wide status. When the review is complete, USFWS will issue a 12-month finding on the petition. More details of these developments are in Pacific Seabirds 35:6, 2008.
PSG provided extensive comments to USFWS on the status of the Marbled Murrelet in December 2008, thanks to Kim Nelson, Bill Ritchie, Greg Balogh, Alan Burger, David Lank and Doug Bertram. We expressed extreme concern about the future of the Marbled Murrelet’s population in Washington, Oregon, and California. We stated that removal of
the tri-state population from the federal Endangered Species List is not appropriate, considering its current status in those three states, as well as threats to the entire population throughout its range. PSG recommended that the tri-state Discrete Population Segment of Marbled Murrelet continue to be listed, and furthermore, that it should be reclassified from threatened to endangered. Otherwise, it is likely to become extinct within its tri-state range in the foreseeable future. PSG also expressed its concern about the future of the British Columbia and Alaska populations, since they seem to be declining as well. PSG recommended that, at the very least, the USFWS should list Marbled Murrelets as a species of special concern in British Columbia and Alaska, and should fund research on population declines and threats to the species. With their low reproductive rates and declining populations, murrelets in British Columbia (BC) and Alaska may not be able to recover quickly from the variety of perturbations that plague them. Proactive and immediate action is needed to prevent these populations from becoming threatened (Alaska) or endangered (BC).
CALIFORNIA CONCLUDES THAT BROWN PELICAN HAS RECOVERED
On 5 February 2009, the California Fish and Game Commission voted unanimously to remove the Brown Pelican (*Pelecanus occidentalis*) from the list of species considered to be endangered by the State. This is the first species that the state of California has ever deemed to have recovered from endangered status.
The delisting decision came more than three years after the Endangered Species Recovery Council (ESRC) filed separate petitions with federal and California agencies to declare that the California Brown Pelicans has recovered (*Pacific Seabirds* 33:56, 2006). ESRC filed its petitions in December 2005, with the statement that this would preserve the integrity of the federal and state endangered species acts, because those laws should focus on species that are actually in current danger of extinction. The ESRC noted that wildlife agencies should have recognized long since that this iconic coastal seabird has recovered, and indeed that its population has now exceeded historic levels.
USFWS proposed to remove the Brown Pelican from the federal endangered species list via an announcement in the February 2008 *Federal Register*. PSG filed comments supporting federal delisting in April 2008, and no conservation organization has opposed delisting. It is anticipated that the species will be formally removed from the federal list in mid-2009. The delisting and acknowledgement of success with this species would have never happened without the support of Bill Everett and David Ainley.
ARE KITTLITZ’S MURRELETS ENDANGERED UNDER ALASKA LAW?
The Center for Biological Diversity (CBC) petitioned the Alaska Department of Fish and Game in early March 2009 to list the Kittlitz’s Murrelet (*Brachyramphus brevirostris*) under Alaska’s endangered species law. CBC petitioned USFWS for federal ESA listing eight years ago, That agency has determined that listing of the Kittlitz’s Murrelet is “warranted,” but that the action is “precluded” due to budgetary or staff constraints. CBC states that Kittlitz’s Murrelet populations in Alaska have fallen 80% to 90% during recent decades, although USFWS notes that very little is known about the species. The declines may be associated with accelerated glacial retreat and reduced ice cover. The species nests on mountains in Alaska and Siberia, especially in Prince William Sound, Cook Inlet, and the Bering and Chukchi seas.
Alaska’s endangered species law was enacted in 1971, and few species have ever been listed under it. Alaska law requires a determination that a species has declined so much that its continued existence is threatened. If such a determination is made, the law requires habitat protections. Alaska law has much less enforcement power than the federal law and allows for only a single classification, “endangered.” Alaska’s law also has the category “species of special concern,” which may be similar to “threatened” in other states. The Alaska statute does not mandate critical habitat designation, does not require consultation between agencies before development permits are issued, and imposes no deadlines. Nevertheless, CBC is hoping that the state will increase protection of Kittlitz’s Murrelet habitat by controlling vessel traffic in Prince William Sound, Cook Inlet, and other glacier-influenced waters. It also wants a reduction of bycatch in gillnet fisheries and fewer oil spills. PSG has written the Alaska Department of Fish and Game and stated that it believes listed is warranted. In addition, USFWS may soon take steps to list the species under the federal ESA.
USFWS PROPOSES ESA PROTECTIONS FOR 7 PENGUIN SPECIES
In mid-December 2008, USFWS proposed listing seven penguin species as endangered or threatened under the ESA. Penguins occur in the Southern Hemisphere; the species in USFWS’s proposal are found in New Zealand, Southern Africa, and South America. Any U.S. protections would therefore focus on regulations and import restrictions (e.g., bringing penguins into US zoos or marine parks would become more difficult). The comment period closed in February, and USFWS may make a final decision during 2009.
USFWS proposed endangered status for only one species, the African or Jackass Penguin (*Spheniscus demersus*), found near Cape Town and on islands along the southwest coast of Africa. Threatened status was proposed for six other species or population segments: Yellow-eyed Penguins (*Megadyptes antipodes*), White-flippered Penguins (*Eudyptula minor albosignata*, a subspecies of Little Penguins), Fiordland Crested Penguins (*Eudyptes pachyrhynchus*), Humboldt Penguins (*Spheniscus humboldti*), Erect-crested Penguins (*Eudyptes sclateri*), and a population of the Southern Rockhopper Penguin (*Eudyptes chrysocome*) (the Campbell Plateau portion of the New Zealand/Australia Distinct Population Segment).
In its original petition to USFWS for listing of ten penguin species, CBC contended that industrial fishing and climate change have led to their decline across the Southern Hemisphere. USFWS denied protection for the three most ice-dependent penguin species—Northern Rockhopper Penguin (*Eudyptes moselyi*), Macaroni Penguin (*Eudyptes chrysolophus*), and Emperor Penguin (*Aptenodytes forsteri*). The agency also denied listing for the Southern Rockhopper Penguins in the remainder of their range, concluding that global warming impacts are too “uncertain” to warrant listing those species.
All the penguin species face various threats to their habitat and food sources. For instance, commercial fishing and oyster dredging have contributed to the decline of the Yellow-eyed Penguin, according to USFWS. Fishing operations incidentally catch the penguins, and oyster dredging has modified the local marine habitat on which it depends for food.
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**OAHU PREDATOR PROJECT MOVES FORWARD**
PSG wrote the Hawaii Department of Land and Natural Resources in January 2008 to support a proposal to erect a predator exclosure fence at Kaena Point, Oahu (*Pacific Seabirds* 34:52–53, 2007). The proposed fence would be designed to eliminate the harm that dogs, cats, mongooses (*Herpestes auropunctatus*), and rats (*Rattus* spp.) cause to seabird colonies at the Kaena Point Natural Area Reserve on the north point of Oahu. At least 100 seabirds are killed at this reserve each year, and this mortality is a major obstacle to maintaining healthy Wedgetailed Shearwater and Laysan Albatross colonies. PSG noted that if predators are removed and native vegetation restored, colonies of Red-footed Boobies or Great Frigatebirds (*Fregata minor*) might become established. The fence is now in the final permitting stages and may be erected by late summer or autumn 2009. This schedule would protect breeding albatrosses and shearwaters during the 2009–2010 breeding season. The project was delayed when four petitions opposed the Environmental Assessment. The final alignment was selected with the advice of traditional Hawaiian kupuna, addressing their concerns that the project would allow Hawaiian spirits to be able to leap off the hill top into the afterlife.
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**PSG ASSISTS ERADICATING PACIFIC RATS FROM FIJIAN ISLAND**
PSG’s Small Grant program supported a project intended to eradicate Pacific rats (*Rattus exulans*) from Mabualau Island, Fiji. The project was completed in 2008, and monitoring will be conducted for the next two years to determine whether the eradication was successful. The Fiji project will protect Red-footed Boobies, Black Noddies (*Anous tenuirostris*), and Lesser Frigatebirds (*Fregata ariel*).
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**PSG COMMENTS ON PROPOSED MARINE RESERVES/MARINE PROTECTED AREAS OFF OREGON COAST**
In November, thanks to Jan Hodder, PSG asked Oregon’s Ocean Policy Advisory Council to consider the needs of marine birds as they undertake marine conservation planning and evaluation in Oregon’s Territorial Sea. PSG noted that over one million birds nest on the offshore rocks along the Oregon coast, and that seabirds are top predators that require healthy stocks of forage fish and invertebrates for continued success. Specifically, PSG asked the council to consider designating marine reserves in three areas of the ocean that have been recognized by the Important Bird Area program to be critically important to marine seabirds: Astoria Canyon, Heceta/Stonewall/Perpetua Banks, and Cape Blanco/Port Orford Reef. PSG also endorsed designating the following areas as Marine Reserves/Marine Protected Areas because of their ecological importance to seabirds: Tillamook Head to Cape Falcon; Three Arch Rocks area; Cascade Head; Cape Perpetua to Heceta Head; Siltcoos area; Seven Devils/Cape Arago area; Port Orford Reef area; and Cape Sebastian/Mack Reef area. Oregon’s Ocean Policy Advisory Council seems to be considering PSG’s comments seriously.
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**FISHING GROUP AGREES TO SAVE BIRDS BY SCARING THEM OFF**
The Fishing Vessels Owners’ Association, a West Coast longline fishing group, announced in February 2009 that it will alter its equipment to prevent seabird bycatch. Birds such as albatrosses are attracted to the long lines of baited hooks that trail behind the deep-sea fishing vessels; the birds try to eat the bait,
and they can become hooked and pulled under by the sinking lines. The Alaska longlining fleet has reduced bird deaths by up to 80% by using lines of flapping streamers parallel to the fishing gear that scare the birds away. Some of the techniques that work in Alaska will be put in place by the smaller longlining fleet off the coast of California, Oregon and Washington. This is anticipated to protect Black-footed, Laysan, and Short-tailed (*Phoebastria albatrus*) Albatrosses, as well as other seabird species. The action was taken even though there are few data on the incidence of bycatch in this fishery.
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**FAO ISSUES NEW GUIDELINES TO REDUCE SEABIRD BYCATCH**
The United Nations Food and Agriculture Organization (FAO) agreed in March 2009 to a new suite of best-practice guidelines for reducing the accidental deaths of seabirds in fisheries. The new guidelines extend the scope of the FAO’s seabird action plan beyond longline fisheries. Previously, FAO’s seabird action plan addressed only longline fisheries for tuna (*Thunnus* spp.), swordfish (*Xiphias gladius*), toothfish (*Dissostichus* spp.), and similar high-value fishes. Now the agency will also specify what each nation should do to reduce seabird bycatch in trawls and gillnets. The scope of the guidelines has also been extended, from fishing nations to the Regional Fisheries Management Organizations that govern high-seas fisheries. New standards are set for research and data collection, observer programs, and education.
The new guidelines have special relevance for the European Union, which is committed to producing a Community Plan of Action for reducing seabird bycatch in domestic waters and wherever European Union-flagged vessels operate overseas. The Community Plan of Action is to be completed in 2009. This will be the first FAO seabird action plan to address all the different kinds of fishing gear that have adverse impacts on seabirds.
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**WIND AND WAVE ENERGY PLATFORMS PROPOSED IN HAWAII**
A $4 billion renewable energy project in the ocean between Oahu and Molokai was proposed in March 2009 by Grays Harbor Ocean Energy Company. The company proposes to erect as many as 100 offshore platforms over a 200 km$^2$ area, to harness up to 1100 megawatts of electricity from waves and wind. The project could replace most of Oahu’s current energy needs. The proposed site is Penguin Bank, the eroded summit of a submerged volcano, which is located in the Hawaiian Islands Humpback Whale National Marine Sanctuary. Penguin Bank was proposed because it is large, relatively shallow (no more than 55 m deep), close to shore, and near the electricity market of Honolulu. All platforms, which would rival some of Honolulu’s tallest buildings, will be at least 16 km from shore, to allay concerns about visual blight. The structures would be a mile apart and would be visible from shore only a few days each year when the sky is exceptionally clear. Impacts to seabirds are largely unknown.
The project would entail the erection of concrete-encased steel pipes extending to the ocean floor. These would support platforms that rising 50 feet above the ocean surface to hold wave and wind turbines. The company has applied for a preliminary permit for the wave portion of the project from the Federal Energy Regulatory Commission (FERC); a decision is expected soon. If the permit is granted, the company could do feasibility studies for three years. Construction would be allowed only if the company subsequently obtained a license from FERC to erect a small-scale pilot project. If that were successful, the company would pursue a commercial license to develop the entire wave project. Grays Harbor is separately pursuing an agreement with the U.S. Minerals Management Service for the wind portion of the project. The windmills would produce 90 percent of the project’s electricity; each would consist of three spinning blades over 200 feet long, mounted on a steel tower 300 feet high. Many economic and technical hurdles remain, and the project could be completed around 2016 at the earliest.
VOLCANO BURIES ALASKA SEABIRD COLONY AND MONITORING SITE
“This was an exceptional year at Kasatochi,” begins the Regional Report for that island—a major understatement. Kasatochi volcano erupted violently on 7 August 2008, burying the entire island under more than 10 meters of ash. Two biologists on the island were rescued only 40 minutes before the cataclysm.
Field crews from Alaska Maritime National Wildlife Refuge (AMNWR) have spent the last 13 summers on Kasatochi, a major seabird monitoring site in the central Aleutian chain. The island was a volcanic cone 314 m high and 260 ha in extent, with lush vegetation and a deep-blue lake in its crater. Slopes of grass and forbs, talus, and rock provided habitat for more than 200,000 auklets, murres, puffins, storm-petrels, cormorants, gulls, and guillemots. Biologists stayed in a renovated 1920s-era cabin that was originally built by a fox trapper. They compiled data on population trends, survival, productivity, chick growth, and diets. They also monitored songbirds, avian predators (including diets), and marine mammals, documented nearshore oceanography, and inventoried flora and arthropods. Their seabird monitoring included neighboring Ulak and Koniuji Islands, but Kasatochi was the “mother lode” for auklet studies in the central Aleutians. There had been no volcanic activity in historic times, other than one uncertain report in 1760, and a little bubbling in the lake that biologists observed a couple of years ago. The volcano was considered extremely unlikely to erupt.
Ray Buchheit and Chris Ford arrived at Kasatochi on the refuge vessel *Tiglax* in May 2008 and spent a normal field season there. The *Tiglax* was due to pick them up in late August.
On 2 August the biologists began noticing small earthquakes, which are not unusual in the Aleutians. However, the events increased in frequency and intensity during successive days. The men reported them to the refuge’s field office on Adak Island, 50 miles away. Lisa Spitler in the Adak office checked the website of the Alaska Volcano Observatory (AVO) and inquired by telephone. AVO told her that Kasatochi was dormant, but they adjusted their instrumentation to monitor it more closely.
The earthquakes on Kasatochi increased and the biologists’ concerns grew. By 6 August, two to three tremors were coming every 5 minutes. AVO recommended to the refuge that Buchheit and Ford should be evacuated.
Lisa Spitler in the Adak office started arranging the rescue. The *Tiglax* was 24 hours away. A U.S. Coast Guard helicopter happened to be at Adak—but it was under repair. Spitler finally contacted...
a local fisherman, Al Giddings. He and deckhand Eric Mochinzuk agreed to leave for Kasatochi at dawn in his 32-foot vessel.
By 7 August, Kasatochi was emitting a new sulfurous smell. In mid-morning came a strong nine-minute earthquake. Buchheit and Ford headed for the beach. They considered leaving for Great Sitkin Island in their rubber boat; however, the weather and seas were bad for a 30-km crossing, and Giddings would not be able to find them. AVO informed the refuge at 10:30 that the seismic tremors were changing to a type that indicates an imminent eruption. Giddings was less than 10 miles away by this time, and he reassured everyone over the radio that he would arrive soon.
The *Homeward Bound* reached Kasatochi about noon. Ford and Buchheit hurried aboard with just one small bag each. Most of their gear, including computers and personal belongings, was left behind. Approximately 40 minutes after the boat left, Kasatochi erupted with an explosion of super-hot gas and volcanic ash. Violent eruptions continued into the next day, blowing away part of the crater rim and scorching the island with pyroclastic flows. Ash plumes rose to 45,000 feet, blew eastward around the globe, and disrupted air traffic between Alaska and the Lower 48.
Refuge staff visited Kasatochi two weeks later. The island was buried under a hot gray mantle. Its contours were transformed, the cabin was under 30 m or of ash, and the new shoreline was several hundred meters beyond the old one. A few Steller’s sea lions, Glaucous-winged Gulls, and Tufted Puffins (and one Peregrine Falcon) had returned; no other birds were seen. Nests with fledgling puffins, storm-petrels, and some auklet chicks were deep under the ash.
Alaska Maritime National Wildlife Refuge lost a seabird-monitoring site that will be difficult to replace. Many data for 2008 were lost along with the computers, but about half the data could be reconstructed from notebooks that were saved. The refuge is taking a positive view—biologist Jeff Williams wrote, “It is a great opportunity to look at re-establishment of an island. Seldom does there exist ‘before’ data, but in this instance we have it.” They are already planning to monitor the island’s slow recolonization. But the most important outcome is that, owing to the courage of Al Giddins and Eric Mochinzuk and Lisa Spitzer’s coordination, the two refuge biologists are safe.
(Sources: Jeff Williams, U.S. Fish and Wildlife Service, Alaska Maritime National Wildlife Refuge, Homer, Alaska; Alaska Volcano Observatory, University of Alaska, Fairbanks [http://www.avo.alaska.edu].)
Kasatochi Island, 2006. Refuge cabin (former fox trapper’s cabin) is small white object at top of low cliff, near left side of photo.
Kasatochi Island after eruption, from same viewpoint as photo at left. Site of cabin is indicated. Note how shoreline now extends farther to left and towards viewer. (Last 4 photos U.S. Fish & Wildlife Service)
ALL FUTURE ISSUES OF PACIFIC SEABIRDS WILL BE MOSTLY ELECTRONIC
Starting with the next issue of *Pacific Seabirds* (Volume 36, publication year 2009), this journal will be mailed only to those members who specifically request it. Members who do not request a hard copy of *Pacific Seabirds* via mail will be able to download every issue from the PSG website, www.pacificseabirds.org. The paper and electronic versions of the journal will still look the same.
*You are welcome to continue receiving Pacific Seabirds in the mail as long as you wish.* However, any member who wants to continue receiving copies by mail after this issue must contact the Treasurer, Ron LeValley. His e-mail is firstname.lastname@example.org or email@example.com; address P.O. Box 324, Little River, CA 95456-0519, USA; telephone (707) 496-3326 (cell) or (707) 937-1724 (work).
Libraries and institutions will automatically continue to receive *Pacific Seabirds* through the mail, since this can be important for reliable archiving.
The PSG Executive Council has decided in favor of distributing *Pacific Seabirds* electronically to most members because many journals already are electronic (including our other journal, *Marine Ornithology*), and because the change will save printing and mailing costs. Some people prefer to receive their journals online. However, we will continue to send *Pacific Seabirds* through the mail on request, because some members cannot get it over the Internet conveniently, or they may just prefer a paper copy.
For any questions, please contact the Treasurer (information above) or the Editor, Vivian Mendenhall (firstname.lastname@example.org).
Thank you for your support of PSG and *Pacific Seabirds*!
PSG MEETINGS IN 2010 THROUGH 2012
PSG will hold its annual meeting for 2010 in Long Beach, California, on 17-21 February.
The next PSG meeting after Long Beach will take place at the World Seabird Conference on 7-11 September 2010, in Victoria, British Columbia, Canada. PSG is host for this major conference, in which more than twenty other seabird groups worldwide are participating formally. Symposia are planned on restoration of seabird islands, impacts of global climate change on seabirds, seabird-fishery interactions, and seasonal seabird movements; special paper sessions may include variability in seabird populations and life-history parameters, disease, pollution, and the relationship between fishery management and seabird conservation.
There will be no meeting in 2011 (because two meetings will have been held in 2010; this has happened occasionally in the past when PSG participated in a special conference).
PSG’s regular meeting schedule will resume in early 2012, with an annual meeting on Oahu, Hawai‘i. The date and other details are being determined.
Regional reports summarize current seabird work of interest to PSG members. Regional Reports generally are organized by location of the work, not by affiliation of the biologist. They should not be cited without permission of the authors. Several longer reports will appear in the next issue.
**ALASKA**
Compiled by Heather Renner
**SOUTHEAST ALASKA**
Michelle Kissling (U.S. Fish and Wildlife Service [USFWS]), Scott Gende (National Park Service), and many other collaborators completed another field season studying Kittlitz’s Murrelets (*Brachyramphus brevirostris*) in Icy Bay, Alaska. As in 2007, they attached radio transmitters to 32 birds in May and located birds throughout the breeding season. In 2008 they also determined mercury levels for all radio-tagged birds, banded an additional 52 individuals, and attached radios to 3 hatch-year birds. In hopes of gathering information about post-breeding movements of this species, they radio-tagged an additional 10 individuals in late July and August. Nick Hatch, who has worked on this project for two years, began a Master’s project titled, “Diet composition and reproductive energetics of a rare and declining seabird, the Kittlitz’s Murrelet” at Oregon State University under direction of Dan Roby. The Kittlitz’s Murrelet work in Icy Bay is expected to continue through 2011.
Population trend and annual productivity data were collected at St. Lazaria Island on eight species of seabirds breeding there: Fork-tailed Storm-Petrel (*Oceanodroma furcata*), Leach’s Storm-petrel (*O. leucorhoa*), Pelagic Cormorant (*Phalacrocorax pelagicus*), Glaucous-winged Gull (*Larus glaucescens*), Common Murre (*Uria aalge*), Thick-billed Murre (*U. lomvia*), Rhinoceros Auklet (*Cerorhinca monocerata*), and Tufted Puffin (*Fratercula cirrhata*). For Pigeon Guillemots (*Cepphus columba*), only population data were collected. Diet samples were also collected for both species of Storm-Petrels, Pelagic Cormorants and Rhinoceros Auklets. The field crew consisted of Emily Tompkins (for a second season), Margaret Bellows, Tracie Merrill, and Leslie Slater.
Kim Nelson (Oregon State University [OSU]), Scott Newman (Food and Agricultural Organization of the United Nations), Darrell Whitworth (California Institute of Environmental Studies), Harry Carter (Carter Biological Consulting), and Matt Kirchhoff (Alaska Department of Fish and Game [ADF&G]) continued their study on the health, activity patterns, foraging ranges, and habitat use of Marbled Murrelets (*Brachyramphus marmoratus*) in the Port Snettisham area of Southeast Alaska. Our focus this year was on breeding behavior, identifying nesting habitat, documenting movements of nesting birds, and studying foraging and forage flock behavior. We again radio-marked 40 adult murrelets and tracked them using aerial flights, boat surveys, and data loggers. We located 16 tree and ground nests (for a total of 36 nests over 4 years). We continued to look at the temporal and spatial distribution of murrelets on the water in relation to forage fish schools, tides, time of day, and other factors. We found that distance to flyways was one of the most important variables affecting murrelet distribution relative to prey, and that murrelets tracked prey over a broader range of scales at medium relative abundances compared with low and high abundance. Mixed-species forage flocks included up to 13 bird species and Humpback Whales (*Megaptera novaeangliae*). As was the case last year, capelin (*Malotus villosus*) was the only forage fish species found below the feeding flocks (dip-net samples). We recorded three observations of humpback whales rising to the surface to capture a capelin ball and in the process accidentally consuming murrelets and other seabird species. On one occasion, 10 or more birds may have been consumed by the whale. Field support was provided by Blake Barbaree, Trevor Haynes, Veronica Padula, Spencer Plumb, and Sarah Thomsen, with assistance during captures from Sean McAllister, Percy Hebert, Shane Moore, and Mike Mauntler. This project is funded by ADF&G, Division of Wildlife Conservation.
A survey of seabirds between Washington and Alaska, conducted by Shannon Fitzgerald of the National Oceanographic and Atmospheric Administration, included the Inside Passage south of Juneau (see Washington–Oregon regional report).
**GULF OF ALASKA**
At East Amatuli Island in the Barrens group, Arthur Kettle, Kathryn Frens, Em McKeever, and Gina Peters (USFWS, Alaska Maritime National Wildlife Refuge [AMNWR]) monitored reproductive success, prey, and population trends of Fork-tailed Storm-Petrels, Black-legged Kittiwakes (*Rissa tridactyla*), Common and Thick-billed Murres, and Tufted Puffins.
Leslie Slater (AMNWR), with help from Meg Hahr of Kenai Fjords National Park (KFNP), completed replicate seabird counts in the Chiswell Islands within AMNWR, as well as some Horned Puffin (*Fratercula corniculata*) colonies within KFNP in July 2008.
Bill Ritchie of the Washington Department of Fish and Wildlife (WDFW) greatly assisted with Marbled Murrelet
transect counts and seabird colony counts near Afognak and Shuyak islands. This was a cooperative study involving additional participation from Jeff Lewis and Bill Pyle (Kodiak National Wildlife Refuge), David Irons and Kathy Kuletz (USFWS, Migratory Bird Management, Anchorage [MBM]), with project oversight by Leslie Slater.
Caspian Terns (*Sterna caspiana*) were discovered breeding on a small island on the fish-rich Copper River Delta near Cordova, Alaska in 2005. Joint monitoring in 2008 by the Prince William Sound Science Center (PWSSC), supported by OSU, revealed that the colony is increasing rapidly, with 209 viable nests counted in 2008 compared to 118 in 2006. Small numbers have been noted breeding at various locations in Alaska, although at around 60° north, this is close to the northern edge of their range.
The PWSSC, in conjunction with USFWS, is conducting surveys of seabird distribution in Prince William Sound throughout the non-breeding season. Abundance and habitat use throughout the fall and winter will be examined for the 42 species of seabird and sea duck recorded. This study aims to assess the role of seabird predation in suppressing recruitment to the Pacific herring (*Clupea pallasi*) population, which has not recovered since its collapse soon after the 1989 oil spill. By the same token, the importance of this food source to particular species of wintering seabirds such as the declining Marbled Murrelet may be highlighted. Hydroacoustic surveys and sampling of fish schools are being undertaken concurrently in major over-wintering areas for juvenile herring. A complementary study starting in Fall 2008 aims to capture Marbled Murrelets in Price William Sound at several points through the non-breeding season to provide data on body condition at this energetically demanding time of year.
Bob Day and Steve Murphy (ABR, Inc.-Environmental Research & Services [ABR]) continued research on the effects of the *Exxon Valdez* oil spill on birds in Prince William Sound. Bob and Adrian Gall (ABR) continued research on seasonal and inter-annual patterns of distribution and abundance of seabirds and marine mammals in lower Cook Inlet.
Tuula Hollmen of the Alaska SeaLife Center [ASLC] and University of Alaska Fairbanks [UAF], together with ASLC sea duck research staff David Safine, Shiway Wang and Ann Riddle and graduate students Abbie Ellsworth, Rebekka Federer, Mary Bozza and Chris Latty (all of UAF), worked on several research projects involving captive eiders, laboratory, and field studies. Projects focused on reproductive physiology, disease ecology, nutrition, and diving physiology. Theses completed in 2008 include “Responses of captive Common Eiders (*Somateria mollissima*) to implanted satellite transmitters with percutaneous antennas” by Chris Latty, and “Characterization of annual sex steroid and behavioral profiles in Spectacled Eiders (*Somateria fischeri*)” by Abbie Ellsworth. Rebekka Federer has completed her lab analyses and plans to defend her thesis, “Nutrient allocation to reproduction in captive Spectacled Eiders using δ13C and δ15N isotope analyses,” in spring 2009.
Tuula Hollmen, Shiway Wang and Sara Iverson (Dalhousie University) received funding from the North Pacific Research Board (NPRB) to estimate diets of two threatened species, the Steller’s (*Polysticta stelleri*) and Spectacled Eider. They validated quantitative fatty acid signature analysis on captive eiders, providing the basis for characterization of dietary patterns. The project will lead to further understanding of the species’ habitat requirements and how environmental changes in the marine ecosystem may impact their populations.
Hollmen and Ann Riddle (ASLC) received funding from the *Exxon Valdez* Oil Spill Trustee Council to evaluate injury to Harlequin Ducks (*Histrionicus histrionicus*) from sublethal concentrations of hydrocarbons in Prince William Sound, using species-specific cell lines. Ann is also assessing flock diversity by genotyping the captive flock of Steller’s and Spectacled Eiders at the Alaska SeaLife Center, in collaboration with the U.S. Geological Survey (USGS) Molecular Ecology Laboratory.
David Safine finished collecting data for a study on the dynamics of plasma yolk precursors in laying Spectacled Eiders. This project aims to assess the feasibility of estimating breeding propensity in sea ducks by the use of yolk precursors. Collaborators are Tuula Hollmen, Ann Riddle, Dan Esler and Tony Williams (both of Simon Fraser University).
Scott Hatch (USGS Alaska Science Center) continued research and monitoring on Middleton Island, including continuation of the protocol for supplemental feeding of Black-legged Kittiwakes in the radar-tower colony. Construction continues on a Common Murre research habitat to complement the tower colony of kittiwakes and Pelagic Cormorants. Jana Kotzerka (University of Kiel, Germany) served as camp leader on Middleton and continued her studies of seabird foraging behavior, including deployment of time-depth recorders on cormorants and miniature GPS trackers on kittiwakes. Sarah Leclaire (University of Toulouse, France) completed her second year of studies on mate choice in kittiwakes. Middleton volunteers included Jens Eichstädt and Britta Merkel (Germany), Brigitte Planade and Emilie Moëc (France), Carolina Bello (Spain), Kevin Kelly (Canada), and Casey Eganey (California). In 2008, kittiwakes on Middleton had their most productive season in many years, hinting at possible changes in oceanography and prey populations in the Gulf of Alaska. In the office, Scott completed and launched web applications for data entry and data retrieval from the Pacific Seabird Monitoring Database (accessible online at http://seabirds.usgs.gov).
William Ritchie (WDFW) worked with the USFWS on seabird and marine mammal surveys around Afognak and surrounding islands, in the Gulf of Alaska northwest of Kodiak. The primary objective of this research study was to conduct seabird colony surveys and marine bird and mammal transects to detect changes in abundance and distribution of all
species, with an emphasis on Marbled Murrelet. The surveys were a joint effort between Bill Pyle, Brandon Saito, and Jeff Lewis at the Kodiak National Wildlife Refuge, Leslie Slater (AMNWR), and David Irons and Kathy Kuletz (MBM). Surveys were conducted from a skiff supported by the USFWS research vessel *Ursa Major II*. Preliminary data suggest lower numbers for most species, and fewer colonies, than were previously reported.
**Aleutian Islands – Seabird Monitoring**
Jeff Williams coordinated long-term seabird monitoring for AMNWR at Aiktak, Kasatochi, and Buldir Islands and other studies in the archipelago. At Aiktak Island in the eastern Aleutians, Brie Drummond and Maureen McClintock monitored timing of nesting events, reproductive success, food habits, and population size of Glaucous-winged Gulls, Black Oystercatchers (*Haematopus palliatus*), Tufted Puffins, Ancient Murrelets (*Synthliboramphus antiquus*), and Leach’s and Fork-tailed Storm-Petrels.
In the central Aleutians, there have been 3 annual monitoring sites: Kasatochi, Ulak, and Koniugi Islands. At Ulak Island, populations and productivity of burrow-nesting seabirds were monitored, and cormorant and murre population levels were recorded. On nearby Kasatochi, Ray Buchheit and Chris Ford primarily studied Least and Crested Auklet (*Aethia pusilla* and *A. cristatella*) productivity, chick growth, food habits, attendance patterns, populations and adult survival rates. They also monitored population levels of Pigeon Guillemots, Red-faced (*Phalacrocorax urile*) and Pelagic Cormorants, and Leach’s and Fork-tailed Storm-Petrels. This was an exceptional year at Kasatochi—the island’s volcano erupted on 6 August; it buried all seabird colonies and the year’s data, and the researchers barely escaped with their lives! [See article under “Seabird News” —Editor.]
At Buldir Island in the western Aleutians, Scott Freeman, Kevin Payne, and Bob Keller conducted the 21st year of annual seabird monitoring. Species monitored included Red-legged (*Rissa brevirostris*) and Black-legged Kittiwakes, Common and Thick-billed Murres, Least, Crested, Whiskered (*Aethia pygmaea*) and Parakeet (*A. psittacula*) Auklets, Pelagic and Red-faced Cormorants, and Leach’s and Fork-tailed Storm-Petrels. For most species, timing of nesting events, productivity, food habits and population levels were monitored.
**Aleutian Islands – Other Research**
Steve Ebbert (AMNWR) led a project to trap foxes on islands in the Sanak Group, a cooperative partnership with the Sanak Corporation, to restore native seabird populations. This was a follow-up to the main trapping initiated in 2007.
Jeff Williams and Margaret Petersen (USGS) captured Common Eiders on Adak and Amchitka Islands and implanted satellite transmitters to determine movement patterns of Aleutian eider populations. Results so far have indicated that eiders remain very close to their breeding location year round.
Conservation groups and the AMNWR are calling the extermination of Rat Island’s namesake rodent population a success, although it will take several years to determine whether the island is truly rat-free. Organizers anticipated spending up to 45 days on the island but wrapped up the project up in just 10 (26 Sep to 5 Oct), due to an unexpected spell of favorable weather. AMNWR worked with the Nature Conservancy and Island Conservation to coordinate the eradication. Rats arrived on the island after a shipwreck in the 1780s and have since overrun the native ecosystem, taking a heavy toll on seabird populations. The refuge hopes that once the rats are gone, seabirds will return to the island. Rats have been eradicated on 250 islands worldwide, but Rat Island is unique for its remoteness and extreme weather conditions. At 2777 ha, it is also the third-largest island where eradication has been attempted. Eighty thousand kg of equipment, including 50,000 kg of rat bait and 18,527 l of helicopter fuel, were ferried ashore from vessels, while two helicopters from Pathfinder Aviation in Homer “hopscothed” to Rat Island. The poison (brodifacoum) was administered in 45,359 kg of bait pellets, which were hand-loaded into broadcast buckets and were spread over the island by helicopter. Pellets were spread by hand around ponds and sensitive areas.
Jeff Williams conducted a survey of Ayugadak Islet to document seabird species prior to eradication of rats (*Rattus norvegicus*) on nearby Rat Island. It is thought that Ayugadak can act as a reservoir for breeding seabirds to repopulate Rat Island, which is only 1000 m away. Ayugadak does not have rats and is home to hundreds of nesting Whiskered and Cassin’s Auklets (*Ptychoramphus aleuticus*), Tufted Puffins, and Leach’s Storm-Petrels.
Alex Bond, PhD candidate at Memorial University of Newfoundland (MUN) has been working in the past year on Kiska Island on the diet and demography of Least Auklets and the species’ relationship with rats. Bond is collaborating with Jeff Williams and Vernon Byrd (AMNWR) and Ian Jones (MUN). Norway rats were significantly more abundant than in 2007; nevertheless, Least Auklet productivity was 0.64, the highest recorded from Kiska since monitoring began in 2001. After the eruption of Kasatochi, which was home to hundreds of thousands of auklets, Bond mused that the 2009 season may be “a very interesting one.”
Ian Jones, Rachael Buxton and Heather Major conducted work on Amatignak and Little Sitkin Islands. The goal was to document the presence of nesting seabirds on islands where Arctic foxes (*Alopex lagopus*) have been introduced. The team established that some Ancient Murrelets and Storm-Petrels are breeding in low numbers on each island. They also conducted social attraction experiments to document the response of these species to call playback. Results were very encouraging and suggest that these species respond favorably to social facilitation actions. It is hoped that a
protocol to help recovery on these islands can be developed to aid managers and biologists in restoring these systems.
AMNWR assisted several researchers conducting work at Bogoslof Island in preparation for a 2 year project of the Bering Sea Integrated Ecosystem Research Program (BSIERP). AMNWR also continued its Seabird and Marine Mammal and Oceanography Coordinated Investigations (SSMOCI) at Buldir Island in 2008. The crew included Jeff Williams, Martin Renner, Deb Rudis, Catherine Berg, Ian Jones, John Piatt, Erica Madison, Brenda Holladay and Mary Price.
**BERING SEA**
In the Pribilof Islands, AMNWR’s annual monitoring program of kittiwakes, murres and auklets was conducted by Greg Thomson and Luke DeCicco on St. Paul Island, and Paula Shannon, Claudia Mischler and Nikolai Konyukhov on St. George Island. In addition, population counts were conducted of ledge-nesting species in July by Dennis Wynn on St. Paul and by Kathy and Roger Herrnsteen on St. George.
The first year of the BSIERP was initiated in 2008, with funds from the NPRB. Seabird projects included intensive colony work on the Pribilof Islands by AMNWR (Caroline Poli and John Warzybok), OSU (Rosana Paredes), and students of Sasha Kitaysky (University of Alaska Fairbanks [UAF]). Kathy Kuletz (USFWS) coordinated seabird surveys at sea for the project. Numerous volunteers and seasonal employees assisted.
Diane Calamar Okonek and Brian Okonek (ADFG) monitored Black-Legged Kittiwake, Common Murre, and Pelagic Cormorant populations and productivity on Round Island, in the Walrus Islands State Game Sanctuary.
Kathy Kuletz relinquished her seat on the North Pacific Fishery Management Council’s Bering Sea and Gulf of Alaska Plan Teams; she was replaced by Leslie Slater.
**REGIONAL REPORTS • Alaska**
**NORTHERN ALASKA**
Annual seabird monitoring was conducted at Cape Lisburne, where Dave Roseneau and Jim Schneeweis (AMNWR) collected data on the population and reproductive success of Black-legged Kittiwakes and Common and Thick-billed Murres.
The Alaska Cooperative Fish and Wildlife Research Unit continues its research on the migration of King Eiders (*Somateria spectabilis*) from north Alaska into the Bering Sea. In August 2008, we captured 13 adult female and juvenile King Eiders 20 km southeast of Teshekpuk Lake on Alaska’s North Slope and implanted them with satellite transmitters. Transmitters provide locations every 5 days; you can track them via GoogleEarth at http://mercury.bio.uaf.edu/kingeider. For more information contact Steffen Oppel (email@example.com). Oppel cooperated with the North Slope Borough’s Department of Wildlife Management on the 7th season of King Eider nest monitoring and trapping, at a study site 10 km south of Teshekpuk Lake. During June and July they quantified the amount of time King Eiders spend foraging after arrival on breeding grounds. They also monitored nesting success; 2008 turned out to be an extremely poor year, possibly due to very warm and dry weather.
Bob Day and Adrian Gall (ABR) began a study of seasonal and interannual patterns of distribution and abundance of seabirds in the Chukchi Sea.
**RUSSIA**
Falk Huettmann and his Ecological Wildlife Habitat Data Analysis for the Land and Seascape (EWHALE) laboratory at UAF surveyed Long-billed Murrelets (*Brachyramphus perdix*) in Russian waters off Sakhalin Island. Line transect surveys were done in June and August off the Verengery River region. This was the third year of such surveys, which have been done consistently. Noteworthy was the quantification of chicks on the water and their temporal occurrence. In addition, strong efforts were invested in creating a seabird-related Arctic GIS database, and in running a Marxan analysis for designing a circumpolar arctic national park.
**OTHER PROJECTS**
Huettmann contributed several chapters for the “Good Professional Practice” handbook for Marxan runs (http://www.pacmara.org/) that help establish Marine Protected Areas (MPAs). A PhD project with Sue Hazlett is currently assessing the effectiveness and costs associated with MPAs, using Marxan and ALCES (A Landscape Cumulative Effects Simulator) algorithms in Glacier Bay.
In collaboration with C. Deal and D. Atkinson of the International Arctic Research Center (IARC), another new project at the EWHALE lab involved MSc candidate Grant Humphries’s modeling of dimethyl sulfide (DMS) as a seabird habitat feature in the North Pacific. Monthly global maps have been created for DMS, and the link between DMS and seabirds is being further investigated. Quantitative and spatially-explicit predictions are being sought.
Dave Roseneau (AMNWR) coordinated collection of murre and gull eggs for the long-term Seabird Tissue Archival and Monitoring Project (STAMP) contaminants program. He arranged to get eggs from a number of nesting colonies within AMNWR, as well as elsewhere in Norton Sound, the Bering Strait, and the eastern Chukchi Sea. The NPRB provided funding.
Bob Day (ABR), in cooperation with Michelle Kissling (USFWS), continued research on Kittlitz’s Murrelet plumages at museums. Bob and Richard Greer (Golder Associates) finished a synthesis of the effects of light on arctic organisms, including seabirds.
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**CANADA**
Compiled by Ken Morgan
**BRITISH COLUMBIA**
Pat Baird (Centre for Wildlife Ecology [CWE] at Simon Fraser University [SFU], Burnaby, British Columbia
[BC]) continued working on Western Sandpipers (*Calidris mauri*). Her team has been involved in a multi-component survey of water birds, especially sandpipers, on the coast of Panama (Darien to Chitre) and the coast of California from Mexico to Monterey. They radio-tagged Western Sandpipers in Panama Bay and followed them to coastal and inland California, parts of coastal Oregon, southwestern coastal British Columbia, and the Copper River Delta, of Alaska. Baird collaborated with **Roy Lowe** (U.S. Fish and Wildlife Service [USFWS]), **Eric Davies** (grad student, University of Toronto [UT]), **Natyi Montenegro** and **Arce Wong** (grad students, University of Panama [UP]), **Ovidio Jamarillo** and **Angel Sosa** (undergrads, UP), and volunteers **Evan Davies** (UT), **Liz Hayes** (Long Beach, California), **Neil Dawson** and **Mary Anne Bishop** (Prince William Sound Science Center), **Sherri Miller** (U.S. Forest Service), **Josh Adams** (U.S. Geological Survey), **Chris Mull** and **Zed Mason** (California State University [CSULB]), **Leah Bendell** (SFU), and **Tim Burr** (U.S. Navy).
**Doug Bertram** of the Canadian Wildlife Service (CWS), Sidney, BC continued working on population trends in Marbled Murrelets (*Brachyramphus marmoratus*), using radar monitoring at key locations in BC. He is chair of the Canadian Marbled Murrelet Recovery Team. Bertram and collaborator **Bernard Schroeder** (Bernard Schroeder Consulting, Nanaimo, BC) surveyed the Central and South Coast Marbled Murrelet Conservation regions of BC. Bertram is also working with grad student **Michael Janssen** (University of Guelph [UG]) and **Peter Arcese** (University of British Columbia [UBC]) on Marbled Murrelet diet, condition, and timing of breeding in Desolation Sound, BC. Bertram loaned a radar unit to **Dave Lindsay** of TimberWest Forest Products (Nanaimo, BC) for an ongoing project on eastern Vancouver Island. TimberWest summer employees **Jaylene Goorts** and **Roxanne Tripp** conducted Marbled Murrelet radar surveys based from a truck. Bertram loaned another unit to **Heather Major** (PhD candidate, SFU) for her project on Ancient Murrelets (*Synthliboramphus antiquus*) on Langara Island in the Queen Charlotte Islands, BC (QCI; also known as Haida Gwaii). **James Clowater** continued work on a database of marine bird distribution and abundance, including Marbled Murrelet observations at sea, as part of a bycatch study; funding was a grant from the Canadian Interdepartmental Recovery Fund, via Bertram.
**Alan Burger** (University of Victoria [UVIC], Victoria, BC) is continuing research on Marbled Murrelets and other seabirds. In 2008-09 he is surveying habitat plots along the north and central coasts of BC and on eastern Vancouver Island, in collaboration with **David (Dov) Lank** and **Michael Silvergieter** (SFU) and field assistants **Michelle Paleczny** and **Natalie Arseneau** (UVIC). This work will complement the growing database (now over 26,000 trees) showing the availability of potential nest platforms for murrelets in all coastal regions of the province. Preliminary analysis shows significant regional trends in moss development and platform availability, in addition to the expected effects from tree species and size. Burger is also continuing work with **Louise Waterhouse** (BC Ministry of Forests, Nanaimo, BC), **Alvin Cober** (BC Ministry of Environment [BCMOE], Haida Gwaii), and Lank on analyzing data from low-level helicopter surveys to identify and map murrelet nesting habitat in BC.
**Trudy Chatwin** of BCMOE, Nanaimo, BC, continues to be involved with the conservation of old-growth habitat on Vancouver Island. She is working with the Marbled Murrelet Habitat Recovery Implementation Group to set aside Wildlife Habitat Areas (WHA) for murrelets. She is also working with **Monica Mather** (BCMOE, Nanaimo, BC) on a Conservation Assessment Mapping project to determine how much suitable habitat is protected within parks, WHAs and Old Growth Management Areas.
Chatwin is now analyzing data she collected during the 2006 and 2007 breeding seasons on disturbance distances of seabirds at colonies and at roost sites on Vancouver Island. She is determining the factors that influence the distance at which birds responded (became noticeably agitated or flushed). Factors include bird species, their acclimatization to boat traffic (motorized or kayak), whether nesting or roosting, time of year, and sea conditions. Boat tests were conducted in Barkley Sound, Clayoquot Sound and in the Southern Strait of Georgia, with the help of the Conservation Officer Service and rangers from BC Parks and the Parks Canada Agency (PCA). Chatwin hopes to develop scientifically-based viewing guidelines that will allow boaters to appreciate seabirds without adversely impacting the birds.
Chatwin is also conducting nest counts of Double-crested (*Phalacrocorax auritus*), Brandt’s (*P. penicillatus*) and Pelagic (*P. pelagicus*) Cormorants around Vancouver Island, working with **Harry Carter** (Carter Biological Consulting, Victoria, BC), Parks Canada and CWS to. They conducted opportunistic surveys in Barkley Sound, southwest Vancouver Island, the Strait of Georgia, and Clayoquot Sound. The results indicate drastic declines, and many historic nest sites were unoccupied.
They hope to gather data in 2009 from Nootka through Kyuquot Sound on the west coast of Vancouver Island, and to acquire count records for Triangle Island. Possible causes of the declines are high levels of predation by Bald Eagles (*Haliaeetus leucocephalus*) or changes in forage-fish availability. Chatwin also worked on assessing the risk to birds from the August 2007 oil spill from a barge in Robson Bight Ecological Reserve, on the east coast of Vancouver Island.
**Louise Blight** is continuing her PhD at UBC. She is studying how Glaucous-winged Gulls (*Larus glaucescens*) can serve as monitors of coastal ecosystem change in southwestern BC over the past century, working with **Peter Arcese** at UBC’s Centre for Applied Conservation Biology. She has also been Co-Chair of the Local Organising Committee for the World Seabird Conference, to be held in Victoria, BC in Sept 2010.
Anne Harfenist (Harfenist Environmental Consulting) continued to study survival of Leach’s Storm-Petrel (*Oceanodroma leucorhoa*) at two sites along the BC coast. Her assistants were contractors Janet Gray (Queen Charlotte City, BC) and Adrian Dorst (Tofino, BC). This is the third year of the project, funded through the Bulkley Valley Centre for Natural Resources Research and Management. Adult survival estimates will be generated for two colonies: Rock Islet (southeast QCI) and Cleland Island (off southwestern Vancouver Island).
Mark Hipfner (CWE, Burnaby, BC and CWS, Delta, BC) reported that 2008 marked the 15th year of the CWE’s seabird research and monitoring program on Triangle Island, BC. The 2008 field crew consisted of Hipfner, Mikaela Davis, Vanessa Richard, Ummat Somjee, and Johanna Havelaar (SFU contractors), Josh Malt (BCMOE), Kyle Morrison (MSc student, SFU), Mieke van Opheusden (SFU volunteer), Connie Smith (CWE), and Marjorie Sorenson (MSc student, UG). They monitored breeding chronology, breeding success, and related demographic parameters in Cassin’s Auklets (*Ptychoramphus aleuticus*), Rhinoceros Auklets (*Cerorhinca monocerata*), Tufted Puffins (*Fratercula cirrhata*), Common Murres (*Uria aalge*), Pelagic Cormorants, Black Oystercatchers (*Haematopus bachmani*), and Glaucous-winged Gulls. Breeding success in 2008 was excellent for most species; of particular note, it was the most successful year in the 15-year time series for Rhinoceros Auklets and Tufted Puffins. On the other hand, Common Murres failed to raise any young at all in 2008, while very few Pelagic Cormorants even laid eggs. This was apparently due to excessive disturbance by eagles. The CWS also continued with their seabird-monitoring program in BC in 2008. Hipfner also assisted CWE’s work on Coats Island, Nunavut (NU; see “Arctic Canada,” below).
Moira Lemon (CWS, Delta, BC) led contractors Glen Keddie and Rachel Darvill in population surveys at the Ancient Murrelet and Cassin’s Auklet colonies on East Copper and George islands (QCI). Hipfner and Keddie visited Pine and Lucy Islands (Queen Charlotte Strait area, BC) in June and July to carry out surveys and band breeding Rhinoceros Auklets; this was part of a pilot project to investigate the effects of fisheries bycatch on these large populations. Akiko Shoji (MSc candidate, University of Ottawa) studied incubation behavior in Ancient Murrelets at Reef Island, Haida Gwaii in Apr-Jun 2008, using birds that occupied nest boxes that were installed in 1997. Of 74 surviving boxes, 82% were occupied in 2008. The team also monitored breeding chronology and success. Adult birds were collected for stomach contents analysis, and adult blood was collected for stable isotope analysis and sexing. Assistants were Jake Pattison and Kerry Woo (contractors, CWS) and Motomi Yoneda (volunteer); Tony Gaston (CWS, Ottawa, ON) provided guidance. Kyle Elliott (MSc student, University of Manitoba [UM]) studied the foraging behavior of two plankton-feeding alcids that nest on Reef Island, Ancient Murrelets and Cassin’s Auklets. Elliott also studied the species’ diving behavior and collected birds for examination of their physiological adaptations. Conditions for Ancient Murrelet reproduction at Reef Island in 2008 seemed different from 2007 and the 1980s; the mean time between first egg laying and the start of incubation was several days longer than observed in the earlier studies. The length of incubation shifts was shorter than in the 1980s.
Jen Rock (Halifax, Nova Scotia [NS]) reported that 2008 marked the 19th year in which the Laskeek Bay Conservation Society (LBCS) has monitored seabirds on Limestone Island, QCI. Rock was camp supervisor/biologist in 2008. LBCS’s main projects were monitoring departures of Ancient Murrelets chicks, and reproductive success and chick diets of Black Oystercatchers (the latter project included portions of Gwaii Haanas National Park). The team also monitored breeding activity of Cassin’s Auklets and Pigeon Guillemots (*Cepphus columba*). They conducted regular surveys by boat to determine the distribution and abundance of marine birds and mammals, using a series of nearshore and offshore transects. Rock Pattison and Jake Pattison (interpreter/assistant biologist, Queen Charlotte City, QCI) were assisted by a diverse group of volunteers who committed their time on a weekly basis. The number of Ancient Murrelet chicks departing the island was the lowest recorded to date, a trend that appears specific to this colony. Predation could explain the decline in chick departure numbers, although the cause remains unknown. Otherwise, LBC’s monitoring of seabirds and water birds revealed generally similar trends as in previous years.
A survey of seabirds between Washington and Alaska, conducted by Shannon Fitzgerald of the U.S. National Oceanographic and Atmospheric Administration, included coastal waters of BC (see Washington –Oregon regional report).
Gal Ribak (Technion, Israel) conducted laboratory research on the biomechanical aspects of foraging in avian divers. Species studied this year included Great Cormorants (*Phalacrocorax carbo*) and Barrow’s Goldeneyes (*Bucephala islandica*). Goldeneyes were studied in collaboration with David R. Jones (UBC).
**Central and Eastern Canada**
Gail Fraser of York University (YU, Toronto), Greg Robertson (CWS, St. John’s, Newfoundland [NL]) and Janet Russell (Alder Institute, NL) continued monitoring Manx Shearwaters (*Puffinus puffinus*) and Leach’s Storm-Petrels on Middlelawn Island, NL. With assistance from Tony Diamond and Dorothy Diamond (Atlantic Cooperative Wildlife Ecology Research Network [ACWERN] at the University of New Brunswick) and Leesa Fawcett (YU), they banded 131 new Leach’s Storm-Petrels and recaptured 201, and banded 24 new Manx Shearwaters and recaptured 13. There appeared to be lots of active burrow digging by Manxes; however, only three active nests were found after
several days of searching empty burrows (1 large downy chick, 1 egg, and one adult with egg, plus two nests with cold eggs). **Dave Andrews** (YU) successfully defended his MSc thesis on cormorants, and **Sharis Lakfard** (YU) continued her studies on Common Terns (*Sterna hirundo*) at Tommy Thompson Park in Toronto. Fraser continued her research on raccoon (*Procyon lotor*) predation on Black-crowned Night Herons (*Nycticorax nycticorax*).
**Vicki Friesen** (Queens University [QU], Kingston, ON) continues to focus on evolutionary and conservation genetics of seabirds. Former PhD students **Andrea Smith**, **Elena Gomez-Diaz** and colleagues published a paper in *Proceedings of the National Academy of Sciences USA* describing evidence for sympatric speciation in storm-petrels, one of the best examples of this controversial model for a bird. BSc students **Anna Bailie** and **Previn Gulavita** found evidence for sympatric speciation in the Guadalupe subspecies of Leach’s Storm-Petrels. PhD students **James Morris-Pocock** and **Scott Taylor** published a paper in *Molecular Ecology* on mechanisms of population differentiation in murres; this study shows the importance of considering non-equilibrium conditions in predicting the extent of population genetic structure in high-latitude seabirds. Morris-Pocock’s main research involves testing the importance of foraging distribution in shaping population genetic structure in seabirds using Brown (*Sula leucogaster*) and Red-footed boobies (*S. sula*) as model systems. Taylor’s main focus is on testing the stepping-stone model of parapatric speciation in seabirds, using Blue-footed (*S. nebouxii*), Peruvian boobies (*S. variegata*), and Brown Pelicans (*Pelecanus occidentalis*) as model systems. **Petra Deane** recently began a MSc project investigating evidence for sympatric speciation in the populations of Band-rumped Storm-Petrels (*Oceanodroma castro*) on Cape Verde Island, Ascension, and on St. Helena. Research associate **Tim Birt** (QU) and colleagues (primarily **Harry Carter**) are conducting a conservation genetics study of Xantus’s Murrelets (*Synthliboramphus hypoleucus*). Friesen and Birt continue to seek samples and funding for a conservation genetics study of Kittlitz’s Murrelets (*Brachyramphus brevirostris*), which has been proposed for Threatened listing under the US Endangered Species Act. Please contact Friesen (firstname.lastname@example.org) if you can assist with samples.
**Greg Robertson** (CWS, St. John’s, NL) reported that 2008 was a relatively quiet year with no large mortality events of marine birds reported in the province. Field work focused on banding operations and sampling for avian influenza (along with **Hugh Whitney**, Animal Health Division, Province of Newfoundland and Labrador, and **Andrew Lang**, MUN). **Steve Votier** and **Tony Bicknell** (University of Plymouth, UK) visited Gull Island, Witless Bay (NL) to sample Leach’s Storm-Petrel DNA as part of an Atlantic-wide investigation of population structure. In spite of a late spring, seabird productivity was generally average in NL.
**Jean-François Rail**, **Richard Cotter** and **Jean-François Ouellet** (CWS, Québec City) surveyed the seabird colonies along the Gaspé Peninsula. Preliminary results show that the positive population trends observed between 1989 and 2002 continued for most species between 2002 and 2008. Large increases were again noted in Great Cormorant, Common Eider (*Somateria mollissima*), Ring-billed Gull (*Larus delawarensis*), Razorbill (*Alca torda*) and Black Guillemot (*Cepphus grylle*). In contrast, a downward trend in Herring Gull (*Larus argentatus*) numbers along the Gaspé Peninsula appears to have been constant since 1979, including a 35% decline during the 2008-2008. The 2008 estimate (3,323 pairs) is only a third of that for 1979. Results have yet to be analysed for another declining species, the Black-legged Kittiwake (*Rissa tridactyla*). Finally, two species that showed stable numbers between 1989 and 2002 showed divergent trends in 2002-2008: Common Murres decreased by 38%, while Double-crested Cormorants (*Phalacrocorax auritus*) increased by 52%.
**Rail**, assisted by **Myriam Drolet-Lambany** (CWS/EC, Québec, QC) and a few volunteers, monitored breeding success and chick growth in a colony of Razorbills on Le Gros Pélérin, and in a colony of Black-legged Kittiwake on île Bicquette; both islands are located in the St. Lawrence River Estuary. The project was financed by the State of the St. Lawrence Monitoring Program. The Razorbill colony fared very well, whereas heavy predation by gulls and a red fox (*Vulpes vulpes*) left only one kittiwake egg to hatch, out of a hundred nests.
**Rail**, **Pierre Brousseau** and **Louis Lesage** (CWS, Québec City) managed to reach Akpatok Island (NU) as part of the IPY project “Seabirds Help Detect Arctic Ecosystem Change.” After many problems, they finally arranged to have Inuit boatman **Tommy Kudluk** take **Sandy Suppa** (technician with the Makivik Corporation) to the Island. Suppa collected 31 Thick-billed Murres (*Uria lomvia*), which were sent to CU for analyses of stomach contents and stable isotopes.
**Don Dearborn** (Bucknell University [BU]) has been collaborating with **Mark Haussmann** (BU) and **Bob Mauck** (Kenyon College) to study nesting growth and coordination of parental care in Leach’s Storm-Petrels on Kent Island in the Bay of Fundy.
**Alex Bond** of Memorial University of Newfoundland collected productivity and survival data on Least and Crested Auklet (*Aethia pusilla* and *A. cristatella*) productivity at Sirius Point, Kiska Island for the second year of his PhD program. Alex is also investigating the interaction and dynamics of rats and auklets (see Alaska regional report).
**ARCTIC CANADA**
**Paul Smith** (PhD candidate, National Wildlife Research Centre, Environment Canada and Dept. of Biology, Carleton University [CU]), **Kyle Elliott**, and **Kerry Woo** visited Digges Sound (NU) during July and August to study murre breeding ecology and to monitor colonies of Iceland Gulls (*Larus glaucopterus*) and Glauconous Gulls (*L. hyperboreus*). Digges Sound is home to Canada’s largest
aggregation of Thick-billed Murres, with nearly a million individuals estimated to breed or summer within its boundaries. This effort was a component of an IPY project led by Tony Gaston, Bill Montevecchi (MUN), and Gail Davoren (UM, Winnipeg, MB). The larger IPY project seeks to understand better the effects of a changing climate on the ecology of seabirds from the North Atlantic to the High Arctic. At their camp on East Digges Island, Smith, Elliott and Woo studied the diet of adult murres and their chicks, which they will compare with historical data. Diet observations were correlated with dive behavior, using temperature-depth loggers. They also deployed leg-mounted geolocators to augment the understanding of winter range previously based on band recoveries. These data will be combined with data collected at several other arctic colonies to provide a range-wide assessment of the impact of environmental change on the breeding ecology of Thick-billed Murres.
Tony Gaston directed the 2008 work at Coats Island, northern Hudson Bay, where the Thick-billed Murre colony was visited again as part of EC’s long-term project. Jennifer Provencher (MSc candidate, UVIC), Kerry Woo and Kyle Elliott (CWS contract researchers) and Paul Smith (CU) arrived on 13 July; some went on to Digges Sound and were replaced by Josiah Nakoolak (research assistant, Coral Harbour, NU), Mark Hipfner, and Brianne Addison (PhD candidate, University of Missouri, St. Louis, Missouri). The team departed on 17 August. Many long-term objectives were carried out, including daily attendance counts, monitoring of breeding biology, time-depth-recorder deployment, and measurements of nestling growth. Several other studies were initiated this year, including parasite monitoring. Little chick banding was done this year, due to strong winds and heavy rainfall during the chick-rearing period; however, more adults were banded than usual. The wet weather resulted in many dead chicks being observed in puddles on the cliffs, as well as a few adults that slipped, fell into crevices, and became stuck. Capelin (*Mallotus villosus*) was the most abundant fish during five feeding watches, following the trend of the last several years. Very little fox predation was observed, so that many adults nesting in peripheral regions of the colony had high chick fledging success. Glaucous Gulls, which nest among the murres, also had high success. One polar bear (*Ursus maritimus*) was seen on the colony but was not observed taking any birds or eggs.
**OTHER WORK**
Alex Bond, PhD candidate at MUN, has been working on Kiska Island, Aleutian Islands, Alaska on Least Auklet diet and demography and their relationships with rats (see Alaska regional report).
Ken Morgan (CWS, Sidney, BC) and other members of Canada’s Short-tailed Albatross /Pink-footed Shearwater (*Puffinus creatopus*) Recovery Team finalized the two-species Recovery Strategy. Other team members (past and present) are Louise Blight, Myke Chutter (BCMOE, Victoria, BC), Peter Hodum (Oikosmos-Ecosystem Knowledge, Seattle), Tamee Mawani (Fisheries and Oceans Canada, Vancouver, BC), Nadine Parker (Transport Canada, Vancouver, BC), Jo Smith (UW), and Ross Vennesland (PCA, Vancouver, BC). The document can be downloaded at [http://www.sararegistry.gc.ca/document/default_e.cfm?documentID=1354](http://www.sararegistry.gc.ca/document/default_e.cfm?documentID=1354)
Between March and June, Morgan was on leave from work to volunteer at the office of the Secretariat to the Agreement on the Conservation of Albatrosses and Petrels (ACAP) in Hobart, Tasmania. Three draft reports on the status of the North Pacific albatrosses were developed, in collaboration with Greg Balogh (USFWS, Anchorage), Maura Naughton (USFWS, Portland, OR) and Kim Rivera (National Oceanographic and Atmospheric Administration, Juenau). The documents will be part of the process to have the albatrosses included under the Agreement. The draft reports were presented by Naughton and Balogh to the ACAP Advisory Committee in Cape Town in August 2008 (see *Pacific Seabirds* 35:10, 2008 for more on this meeting), and were favorably received. It is hoped that the North Pacific albatrosses will be added to the list at the next meeting of ACAP in April 2009. Morgan also continued monitoring seabirds and marine mammals in the northeast Pacific (with contractor Mike Bentley, Victoria, BC), and for the second year in a row, he worked with Carina Gjerdrum (CWS, Dartmouth, NS) and Ed Carmack (Department of Fisheries and Oceans, Sidney, BC) to place observers on Canadian Coast Guard ships, who surveyed seabirds and marine mammals along Canada’s three maritime coasts.
Rob Ronconi completed his PhD with Alan Burger at UVIC. His work on Marbled Murrelets and other alcids included papers on habitat selection, foraging ecology, distance sampling methodology, and interspecific competition. Ronconi has now begun a two-year postdoctoral fellowship with Marty Leonard (Dalhousie University, Halifax) studying the diets, habitat use, and migrations of Greater (*Puffinus gravis*) and Sooty Shearwaters (*P. griseus*). The work is an extension of a four-year collaboration with Heather Koopman, Andrew Westgate and Sarah Wong of the Grand Manan Whale and Seabird Research Station (Grand Manan Island, NS). Associated tracking studies of shearwaters were also launched off the coast of Newfoundland in collaboration with Bill Montevecchi and April Hedd (MUN).
Spencer Sealy (UM, Winnipeg, Manitoba) reports that he and Harry Carter continue to plug along on work initiated more than 25 years ago involving analyses of vagrancy in auks (see details in *Pacific Seabirds* 29:109, 2002). Since 1999, several papers have been published and two detailed analyses are nearing completion: vagrancy in aukslets (*Aethia* spp.), and relationships between inland vagrancy and wrecks of Dovekies (*Alle alle*). Interpretations of these analyses are being couched in terms of the species’ breeding biology, oceanic features, and weather. Sealy and Carter are also examining Ancient
Murrelet family groups off Vancouver Island and the west coasts of Washington and Oregon, far from the nearest nesting colonies. Sealy and Wayne Campbell (Biodiversity Centre for Wildlife Studies, Victoria, BC) are have compiled records of vagrancy in the Red-legged Kittiwake (*Rissa brevirostris*) inland and along the west coast of North America south of Alaska, and are preparing this for publication.
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**WASHINGTON-OREGON**
Compiled by Don Lyons
**Marbled Murrelets**
William Ritchie of the Washington Department of Fish and Wildlife (WDFW) consulted with Biologist Marie Fernandez of Willapa National Wildlife Refuge, U.S. Fish and Wildlife Service (USFWS), to enhance and restore suitable Marbled Murrelet (*Brachyramphus marmoratus*) nesting habitat on former industrial timberlands acquired by the refuge. While working on this forestry prescription, he also consulted with Tom Kollasch and Bill Lecture with The Nature Conservancy (TNC) and contract forester Tom Serogins. WDFW has worked with TNC and refuge scientists during the past two years designing a monitoring plan, gathering baseline data on Marbled Murrelet activity, and collecting stand-level forest inventory data for this project. Treatment sites are adjacent to small patches of older “legacy” trees in a second-growth forest, with the goal of enhancing the forest around these stands and accelerating the onset of older forest conditions. Additional large-scale thinning of young plantation forests is underway. Future work is planned for adjacent forests in TNC’s Ellsworth Creek watershed.
William Ritchie and others at WDFW continue to examine the effects of a major winter storm that hit southwestern Washington and northwestern Oregon in December 2007. Thousands of acres of coastal forestlands with Marbled Murrelet nesting habitat were destroyed or severely damaged. Dialogue continues with state and private landowners, the Washington Department of Natural Resources (WDNR), and USFWS to assess the damage and to examine the adequacy of nest-site buffer protections. We have implemented strategies to enhance the protection of remaining habitat and improve the efficiency of salvage operations, while meeting regulatory obligations. In some cases, WDFW is working with land managers to develop Special Wildlife Management Plans for habitat at Marbled Murrelet sites.
Ritchie also participated in capture operations for an ongoing telemetry study of Marbled Murrelet breeding ecology in northwestern Washington State, which is being conducted by Martin Raphael and Tom Bloxton of the U.S. Forest Service–Pacific Northwest Research Station (PNW).
WDNR Northwest Region Biologist Peter McBride, in conjunction with William Ritchie (WDFW), has completed an alternative scheduling method for Marbled Murrelet forest breeding surveys in high-elevation habitats. This method will be employed for surveying selected sites in rugged, mountainous locations where early season access is limited and potentially hazardous. This method was developed using geographically specific data and validated with paired surveys.
Turnstone Environmental Consultants conducted Marbled Murrelet surveys on state lands in the Coast Range of Oregon, under contract to the Oregon Department of Forestry (ODF). Surveys covered 6 ODF districts (Astoria, Tillamook, Forest Grove, Western Lane, Coos Bay and West Oregon). Surveyors visited a mixture of first, second and multi-year survey sites and conducted almost 1,900 surveys at 227 unique sites and 1,042 unique stations. All Marbled Murrelet surveys by Turnstone (there and elsewhere) were conducted according PSG’s 2003 protocol. Murrelets were present during 236 surveys and “occupied” behavior was noted during 39 surveys. Tom Williamson was the Turnstone project manager. District representatives for ODF were Jenny Johnson in Astoria, Nick Stumpf in Tillamook, Laurie O’Nion in Forest Grove, Tom Mickel and Ole Buch in Western Lane, Ryan Greco in Coos Bay and Eric Foucht in West Oregon. Matt Gostin was the ODF contract administrator and primary contact.
Turnstone biologists completed a 2-year Marbled Murrelet survey contract for the City of Cannon Beach, Oregon. They conducted intensive and biologically acceptable surveys for Marbled Murrelets, as part of an impact assessment for future development adjacent to the city’s wastewater treatment facility. Five surveys were performed at one site. Tom Williamson was the project manager; Rainmar Bartl was the city representative. Turnstone biologists also conducted Marbled Murrelet surveys for City of Corvallis in the coast range of Oregon, in support of developing a long-term management plan for the city’s watershed. Three sites were delineated within the watershed and a total of 20 surveys were conducted. Jeff Reams of Turnstone was the project manager for Turnstone and Gary Rodgers was the City of Corvallis representative.
Turnstone conducted Marbled Murrelet pre-management surveys for Forest Capital Partners in the coast range of Oregon, in support of proposed timber management regimes. A total of 64 surveys were conducted at 12 sites. Marbled Murrelets were detected at one site during the 2008 season. Jeff Reams was the Turnstone project manager and Jennifer Bakke was the Forest Capital Partners representative. Plum Creek lumber company also contracted Turnstone to augment their pre-management Marbled Murrelet survey efforts in 2008. Turnstone biologists surveyed several sites in the central Oregon coast range, as needed. Jeff Reams of Turnstone was the project manager and Jeff Light was the Plum Creek representative.
Turnstone finished the second year of surveys on the southern Washington coast in support of a proposed wind energy project. Two sites have been
delineated and a total of 18 surveys per year have been conducted. No Marbled Murrelets have been detected at either site to date. Tom Williamson acted as the Turnstone project manager.
Martin Raphael and Tom Bloxton of PNW continued collaborating on studies of Marbled Murrelets in Puget Sound, the Strait of Juan de Fuca, and Hood Canal during 2008. They completed the 9th year of long-term population monitoring at sea under the Northwest Forest Plan (NWFP), along with researchers elsewhere in Washington, Oregon, and northern California. The NWFP is a large-scale ecosystem management plan for federal lands in this part of the U.S. Raphael and Bloxton surveyed murrelets and other seabirds and marine mammals in Recovery Zone 1, from the San Juan Islands to Olympia in Puget Sound and the Strait of Juan de Fuca. They also continued collecting baseline data on both within-season and annual changes in distributions, densities, and productivity of murrelets in the San Juan Island archipelago, Admiralty Inlet, and Hood Canal. These in-depth data have not been collected in the latter two water bodies since 2003; we plan to repeat the collections at five-year intervals into the foreseeable future.
The fifth season of capturing and radio-tagging Marbled Murrelets at sea around the Olympic Peninsula, Washington yielded 18 tagged adults. Two nests were located for these tagged birds, including our first record of a bird tagged on the Olympic Peninsula nesting in the Cascade Mountains. The bird was tagged in Admiralty Inlet near Port Ludlow in May; in June it was found nesting in the central Cascades near North Bend, 90 km away. This nest was apparently successful, as the radio-tagged adult foraged near Kingston, WA, 75 km from its nest. Our other nest, on the northern Olympic Peninsula, failed during the chick stage. This work was completed with support and cooperation from Richard Bigley, Peter Harrison, Scott Horton, Andrew Horton, and Dan Ramos of the Washington Department of Natural Resources, and Deanna Lynch of the USFWS.
Scott Pearson and Monique Lance (WDFW) conducted surveys for Marbled Murrelets on the outer coast of Washington from mid May to July. WDFW has been monitoring Marbled Murrelets at sea since 2000, along with researchers from federal and state agencies in Washington, Oregon and California. The goal of monitoring is to estimate Marbled Murrelet populations and trends for the area between the Washington–Canada border and San Francisco. All seabirds are recorded along transects; other species of interest included record numbers of Ancient Murrelets (*Synthliboramphus antiquus*) and Cassin’s Auklets (*Ptychoramphus aleuticus*), as well as a Manx Shearwater (*Puffinus puffinus*) and a Fork-tailed Storm-Petrel (*Oceanodroma furcata*). Surveys were also conducted on historic Tufted Puffin (*Fratercula cirrhata*) colonies on the outer coast to determine occupancy.
Kim Nelson of Oregon State University (OSU) and her cooperators continued their study of Marbled Murrelets in the Port Snettisham area of Southeast Alaska (see Alaska regional report).
**Caspian Terns and Double-crested Cormorants**
Research on predation by seabirds on salmon smolts (*Oncorhynchus* spp.) in the lower Columbia River continued under OSU, the U.S. Geological Survey–Oregon Cooperative Fish and Wildlife Research Unit (USGS), Real Time Research (RTR), and their cooperators. They studied the largest known breeding colonies of Caspian Terns (*Hydroprogne caspia*) and Double-crested Cormorants (*Phalacrocorax auritus*) on the west coast, both on East Sand Island in the Columbia River estuary. They also studied colonies of Caspian Terns, Double-crested Cormorants, and several gull species on the mid-Columbia River, the Columbia Plateau, and elsewhere in the Pacific Northwest.
The size of the Caspian Tern colony on East Sand Island was approximately 10,670 pairs in 2008, compared to approximately 9,850 in 2007. Juvenile salmonids comprised 29% of the diet of East Sand Island terns in 2008, similar to 2007. Northern anchovy (*Engraulis mordax*) and surfperch (Embiotocidae) were the most prevalent non-salmonid prey in tern diets. The size of the Double-crested Cormorant colony on the island was approximately 10,950 nesting pairs in 2008, compared to approximately 13,770 in 2007. While colony size is down by 20% from 2007, it has increased dramatically since the colony was first noted 20 years ago. In 2008 we also initiated satellite telemetry of East Sand Island cormorants to investigate post-breeding dispersal and location of wintering areas.
East Sand Island continues to be the largest known post-breeding roost site for California Brown Pelicans (*Pelecanus occidentalis californicus*), a subspecies currently listed as endangered. Over 12,000 Brown Pelicans were counted on the island in early to mid-September.
Crescent Island is approximately 500 km upriver from the estuary, near the confluence of the Snake and Columbia rivers in eastern Washington. The Caspian Tern colony on this island was estimated to be approximately 390 nesting pairs in 2008, up from 355 in 2007. This colony remains the largest Caspian Tern colony in the Columbia Plateau Region and the third largest in the Pacific Northwest. Juvenile salmonids comprised 68% of the diet of Crescent Island terns in 2008, similar to diet composition during 2000-2007.
Foundation Island, located 9 km upriver from Crescent Island, has the largest Double-crested Cormorant breeding colony on the mid-Columbia River. This tree-nesting colony consisted of at least 357 nesting pairs in 2008, up from about 334 in 2007. The largest Double-crested Cormorant colony in the Columbia Plateau Region, however, is on Potholes Reservoir, where around 1000 pairs nested in trees in 2008. This was similar to recent years.
Implementation of the Caspian Tern Management Plan was initiated in 2008, when the U.S. Army Corps of Engineers built two 0.4-ha nesting islands, one at Crump Lake in southeastern Oregon and
the other at Fern Ridge Reservoir near Eugene, Oregon. Caspian Tern decoys and sound systems playing tern calls were deployed at both sites, which were monitored for tern activity throughout the breeding season. Approximately 430 Caspian Tern pairs were attracted to nest on the new island in Crump Lake. The birds nested successfully and produced about 145 fledglings. Tui chub (*Gila bicolor*) and catfish (Ictaluridae) made up the bulk of tern diets. No Caspian Terns nested in 2008 at the new island in Fern Ridge Reservoir. However, based on a review of video recordings, at least nine different Caspian Terns visited the island on several occasions.
Dungeness Spit is in Dungeness National Wildlife Refuge, on the north coast of the Olympic Peninsula, Washington. We continued our monitoring of its Caspian Tern nesting colony. Approximately 880 pairs of terns nested there in 2008, down from approximately 1,150 in 2007. This remains the second largest Caspian Tern colony in the Pacific Northwest.
This year’s research team included Dan Roby (USGS/OSU), Jessica Adkins, Dan Battaglia, Max Bockes, Karren Fischer, Nathan Hostetter, Pete Loschl, Don Lyons, Frank Mayer, Lauren Reinalda, and Yasuko Suzuki (OSU), and Ken Collis, Melissa Carper, Allen Evans, and Mike Hawbecker (RTR), plus a number of seasonal technicians and volunteers. The interagency Caspian Tern Working Group also participated, including the National Marine Fisheries Service, U.S. Army Corps of Engineers, USFWS, Oregon Department of Fish and Wildlife, WDFW, Idaho Department of Fish and Game, Columbia River Inter-Tribal Fish Commission, and others. This study was funded by the Bonneville Power Administration, the Northwest Power and Conservation Council, and the U.S. Army Corps of Engineers.
Additional monitoring of the Caspian Tern Management Plan in San Francisco Bay, California, is included in the California regional report.
WASHINGTON—OTHER SPECIES
Scott Pearson, Peter Hodum, Julia Parrish, and Tom Good continued their multi-year study comparing foraging ecology and reproductive success of Rhinoceros Auklets (*Cerorhinca monocerata*) on Protection and Tatoosh islands, Washington. They added Destruction Island as a study site in 2008. They are assessing diet composition and quality, coupled with breeding phenology and measures of success. They are comparing parameters between years and habitats, with Protection representing inshore Puget Sound, Tatoosh the transitional Outer Coast, and Destruction the Outer Coast marine habitat. Breeding success has been consistently high across sites and years. The project also includes multi-year monitoring of the Tufted Puffin population on Tatoosh, and a survey of current occupancy on historically occupied breeding sites in the San Juan Islands, Strait of Juan de Fuca, and on the outer coast. In the Strait and San Juans, only Smith and Protection islands have retained breeding populations. Results of surveys in 2007 and 2008 indicate a 38% decline in the number of historic breeding islands that are still active.
Shannon Fitzgerald of the National Oceanic and Atmospheric Administration (NOAA–Fisheries), assisted by WDFW biologist William Ritchie, conducted a seabird survey from Puget Sound to Juneau, Alaska. The route transited through the inland passages of British Columbia and Southeast Alaska. The survey platform was the NOAA ship *John N. Cobb*, a 93-foot vintage research vessel (ca. 1950). Ritchie also worked with the USFWS on s surveys around Afognak and surrounding islands in the Gulf of Alaska (see Alaska regional report).
Joe Evenson, Bryan Murphie, and Tom Cyra (WDFW–Game Division) are continuing low-level aerial surveys in winter 2008-2009, which have been conducted since 1992 throughout Washington’s inner marine waters. The flights are part of the marine bird component of WDFW’s annual Puget Sound Assessment and Monitoring Program (PSAMP). Maps of density indices for selected species and other data products are available for the 1992-2008 winters and the 1992-1999 summer surveys at the following web site: http://wdfw.wa.gov/mapping/psamp/. These data are also accessible through the Wildlife Resources Data Section, Washington Department of Fish and Wildlife, in Olympia.
Evenson, Nysewander, Cyra, and Murphie initiated a large-scale study of molt in scoters (*Melanitta* spp.). The project aims to mark and recapture birds over the entire molt period to quantify when and where the various scoter species and sexes molt. Flightless birds are driven into floating nets, captured, and banded at sites near Oak Harbor and Padilla Bay. Many biologists and volunteers assisted with boat operations, net deployment and retrieval, removing birds from nets, and data recording. A study of capture feasibility on scoters during molt, using specially modified gill nets to increase banding effort, began in September 2007 and was expanded in 2008. Over 1300 Surf and White-winged Scoters (*Melanitta perspicillata* and *M. fusca*) were banded on 22 capture days between 1 Aug and 30 Sep 2008, at four areas: Padilla Bay, Oak Harbor, Boundary Bay, and the mouth of the Fraser River. This effort was highly successful, due to extensive collaboration between WDFW staff, Dan Esler (Simon Fraser University, British Columbia), Eric Anderson, Jenn Barrett, and numerous volunteers from British Columbia and Washington State. For more information, contact Joe Evenson at email@example.com.
WDFW also implemented a study of sex and age ratios of scoters and Harlequin Ducks (*Histrionicus histrionicus*) in Feb 2008, to examine hatch-year recruitment. The sampling scheme involved 28 days of boat surveys that covered all wintering locales of Harlequin Ducks and most wintering concentrations of scoters known to occur in the inner marine waters of Washington State. The observations are scheduled to be repeated in Feb 2009.
Other WDFW projects on breeding marine birds are continuing or evolving. Two prominent ones are studies on Black Oystercatchers (*Haematopus bachmani*), and archiving of results from 1999-2003.
breeding surveys of Pigeon Guillemots (*Cepphus columba*) throughout the inner marine waters of Washington State. Any questions or interest on these can be directed to Joe Evenson, 360-902-8137, Dave Nysewander, 360-902-8134, Ruth Milner (360-466-4345x265), or Tom Cyra (425-379-2307).
**OREGON—OTHER SPECIES**
Shawn W. Stephensen, Amanda Gladics, Amy Kocourek, and Jason Ziegler of the Oregon Coast National Wildlife Refuge Complex (OCNWR) conducted a census of burrow-nesting seabirds in Jun–Aug 2008. Species include Pigeon Guillemot, Cassin’s Auklet, Rhinoceros Auklet, Tufted Puffin, Leach’s Storm-Petrel (*Oceanodroma leucorhoa*), and Fork-tailed Storm-Petrel. The survey area included all rocks, reefs, islands, and mainland along the Oregon coast. A precise population estimate of nesting storm-petrels was obtained by determining burrow density, burrow occupancy, and nesting area, calculated with the aid of LIDAR (Light Detection and Ranging) equipment and DEM (Digital Elevation Modeling) images. The most recent coast-wide survey was completed in 1988, and many colonies and species populations have changed since then. Preliminary results indicate the Tufted Puffin population has declined by an order of magnitude compared to 1988 data.
Brian Cooper and Peter Sanzenbacher of ABR, Inc. (Fairbanks, Alaska) collaborated with Roy Lowe and Dave Ledig (USFWS) to examine the efficacy of radar techniques for obtaining indices of abundance of Leach’s Storm-Petrels at several nearshore breeding colonies in Oregon. In addition, we used night-vision techniques to help document mammalian predator activity on the colonies. Objectives of the study were (1) to determine the feasibility of radar as a non-intrusive (off-site) means to derive population indices for colonies of nocturnal seabirds; (2) compare radar population indices of Leach’s Storm-Petrel populations with traditional estimates collected by USFWS in the summer of 2008, using on-site grubbing, playback, and burrow-cams; (3) make among-colony comparisons of radar counts, first arrival times, and activity patterns during the incubation/chick rearing period; and (4) determine the feasibility of night-vision technology for determining presence or absence of nocturnal avian and mammalian predators and estimating their levels.
Shawn Stephensen and pilot Ray Bentley (USFWS) conducted an aerial census of California Brown Pelicans on the coast of Oregon on 4–5 Sep 2008. The survey extended from Smith River, Del Norte County, northern California to Willoughby Rock, Grays Harbor County, southern Washington. All rocks, reefs, islands, coastal beaches, and waters up to 1 km offshore were surveyed from an altitude of 70 to 270 meters above ground level. The aircraft was a fixed-wing Cessna 182; the total flight time was 11.0 hours. A total of 12,425 individual birds were counted in 2008, in comparison to 18,769 in 2007. The largest congregation of birds (3,867 individuals) was located on East Sand Island, Columbia River.
**OTHER WORK**
WDFW has begun technical review of a conceptual framework to guide post-construction monitoring and mitigation, with the aim of reducing adverse impacts from wind energy facilities. This is a collaborative effort, which the U.S. Department of Interior will use to develop a national wind power policy. WDFW has established a Wind and Water Energy Section within its Habitat Program. The department has increasingly been called on to review preliminary survey plans for proposed wind-power projects in coastal counties.
The Port Townsend Marine Science Center, Port Townsend, Washington (Jean Walat and colleagues) is conducting a survey of plastics consumption in Glaucous-winged gulls (*Larus glaucescens*). They are studying birds nesting on Protection Island, the largest colony of this species in Puget Sound. Trained volunteers have dissected more than 200 boluses, which were collected with the help of the Seabird Ecology Team, to determine the amount of plastic has been ingested, as well as other inorganic materials like cigarette butts, glass, and aluminum foil. Depending on results, this project may be followed up with studies of other breeding areas. Work is funded by the Washington Department of Ecology.
Ed Melvin and Troy Guy of Washington Sea Grant and Rob Suryan of OSU are currently working with NOAA–Fisheries to assess the potential for interactions with albatrosses and other seabirds by the hook-and-line and trawl fishing fleets of Washington, Oregon and California. They plan to recommend seabird-avoidance measures (in consultation with the fishing industry), and conduct seabird avoidance workshops at ports on the west coast. They also are working to make streamer lines available free of charge to the west coast hook-and-line fleet.
Nathalie Hamel is in the last throes of her PhD in the School of Aquatic and Fishery Sciences at the University of Washington. Her study focuses on assessing the vulnerability of seabirds to bycatch, using telemetry and data derived from beached-bird monitoring programs. She was awarded the Marc Hershman Marine Policy fellowship starting in December 2008 at the Department of Ecology, Washington. As a fellow, she will be reviewing the Washington Coastal Zone Management Program and providing recommendations to update the law.
Stephani Zador successfully defended her PhD dissertation in September 2007 at the University of Washington. Her work included studies of fishery interactions with Short-tailed Albatrosses in Alaska and Common Murres (*Uria aalge*) in the Pacific Northwest. Although she is currently doing a post-doc on arrowtooth flounders (*Atheresthes stomias*) in the Bering Sea, she continues to be involved with birds through an ongoing study of seabird attraction to trawling discards in Alaska.
NORTHERN CALIFORNIA
Compiled by Craig Strong
Marbled Murrelets
The Marbled Murrelet (Brachyramphus marmoratus) Effectiveness Monitoring Program continues to monitor the status and trend of Marbled Murrelet populations and nesting habitat. This is an interagency effort to evaluate the effectiveness of the Northwest Forest Plan (NWFPlan). The Population Monitoring Team has monitored murrelet populations annually from boats since 2000, covering about 8,806 km$^2$ (3,400 mi$^2$) of coastal waters throughout murrelet conservation Zones 1 through 5 (US-Canada border to San Francisco Bay). In 2008, Washington surveys were led by Marty Raphael and Tom Bloxton (U.S. Forest Service–Pacific Northwest Research Station [PNW]) in Zone 1 (Puget Sound through Straits of Juan de Fuca), and by Scott Pearson and Monique Lance (Washington Department of Fish and Wildlife) in Zone 2 (outer coast). Oregon surveys were led by Craig Strong (Crescent Coastal Research). In California, Sherri Miller, with crew leader Elias Elias (U.S. Forest Service-Pacific Southwest Research Station [PSW]) led surveys in Zone 4 (Coos Bay, Oregon south through Humboldt County, California), and Craig Strong led surveys in Zone 5 (Mendocino through Marin Counties). Annual population estimates for the 5-zone area have ranged from about 17,400 to 23,700 murrelets (95% confidence limits of 12,800 to 29,000 birds). Population surveys will continue in 2009. The Habitat Monitoring Team continues work on modeling murrelet nesting habitat relationships across the 5 conservation zones, for an assessment of murrelet nesting habitat through the first 15 years of the NWF Plan (1993–2008). This team includes Marty Raphael, Kim Nelson (Oregon State University [OSU]), Sherri Miller, Jim Baldwin (PSW), and Deanna Lynch and Rich Young (U.S. Fish and Wildlife Service [USFWS]). Other contributors to the monitoring program included Beth Galleher (PNW) and CJ Ralph (PSW), plus the many seasonal technicians who made the population surveys possible. Gary Falxa (USFWS) coordinates the NWF Plan murrelet monitoring program. A report on results of the monitoring program through 2003 is available at http://www.fs.fed.us/pnw/pubs/pnw_etr650.pdf. A report on results from 2003 through 2007 will be available at http://www.reo.gov/monitoring/mm-overview.shtml, and includes a preliminary population trend analysis based on 8 years of population monitoring data (2000–2007).
Steve Singer of the Santa Cruz Mountains Murrelet Group and Tom Hamer of Hamer Environmental (HE) are continuing a long-term radar study monitoring Marbled Murrelet use of the Gazos Creek Canyon flight corridor. Gazos Creek Canyon is one of only five flight corridors used by murrelets in the Santa Cruz Mountains. Although the study is not yet complete, the number of birds detected in 2008 was slightly lower than in 2006. The project also includes ground surveys of murrelet detections and flight behaviors at Gazos Mountain Camp, which has become the most active inland murrelet site in the Santa Cruz Mountains. Field biologists were Erin Coleclazier of HE and Portia Halbert of the California State Parks Department (CSPD). The project is sponsored by the Office of Oil Spill Prevention and Response (OSPR) of the California Department of Fish and Game (CDFG), and the Sempervirens Fund.
Steve Singer also assisted Portia Halbert and the CSPD in developing a Grounded Marbled Murrelet Protocol for use when fledglings are found on the ground in or near old-growth redwood stands in the Santa Cruz Mountains. Historically, one or more fledglings are found on the ground each year, often by park visitors. This protocol provided guidance to park staff and docents in how to document and care for the birds until they can be transported to an appropriate rehabilitation facility.
Zach Peery and Laurie Hall (Moss Landing Marine Laboratories) and Laird Henkel (California Dept. of Fish and Game [CDFG]) conducted a second year of at-sea Marbled Murrelet surveys off central California, funded by the T/V Command Trustee Council. Based on these surveys, the local (genetically distinct) population has apparently declined from an estimated 600–700 in the early 2000s to 367 in 2007 and 174 in 2008. For the first year, no juveniles were detected during at-sea surveys.
Caspian Terns
Research on colony status and diet composition of Caspian Terns (Hydroprogne caspia) was restarted at colonies in the San Francisco Bay area of California during 2008. Additionally, we initiated a radio telemetry study to assess foraging ecology of Caspian Terns nesting on Brooks Island, the largest tern colony in the Bay area.
Four breeding colonies of Caspian Terns were known in the San Francisco Bay area in 2008: Brooks Island, Eden Landing, Stevens Creek and Agua Vista Park. The total nesting population was approximately 1025 pairs, compared to approximately 1010 pairs in 2005. As in previous years, the majority of pairs nested at the Brooks Island colony (approximately 79% in 2008). Marine forage fishes, in particular anchovies (Engraulidae), surfperch (Embiotocidae), and clupeids (e.g. herring and sardines), were the predominant prey for Brooks Island terns in 2008; juvenile salmonids made up approximately 10% of their diet. Brooks Island is well north of the Bay Bridge. Diet composition at Eden Landing was different, with silversides (Atherinidae) and surfperch being the most common prey, while juvenile salmonids made up less than 1% of the diet at this colony, located well south of the Bay Bridge.
Forty-two adult Caspian Terns were captured and radio-tagged on Brooks Island during late incubation in 2008. Of these, 20 individuals were confirmed to be nesting on Brooks Island, one nested at Eden Landing, and two left the Bay Area. The most commonly used foraging areas were the west side of San Francisco Bay near the Golden Gate Bridge, the nearshore area outside of the Bay, and
the eastern side of San Pablo Bay up to the mouth of the Carquinez Strait.
Participants in the study included Oregon State University (OSU), Real Time Research (RTR), and the U.S. Geological Survey—Oregon Cooperative Fish and Wildlife Research Unit (USGS). This year’s team included Dan Roby (OSU/USGS), Lindsay Adrean, Dan Battaglia, Don Lyons, Tim Marcella, Kim Nelson, and Yasuko Suzuki (OSU), Ken Collis and Allen Evans (RTR), and a number of seasonal technicians and volunteers. The study was funded by the U.S. Army Corps of Engineers, with logistic support and technical assistance from the East Bay Regional Parks, USFWS, Don Edwards National Wildlife Refuge, CDFG, and the San Francisco Bay Bird Observatory.
**OTHER SURVEYS AND MONITORING**
Under **Breck Tyler** (Principal Investigator), aerial surveys were continued in 2008 for marine birds and mammals in California continental shelf waters, under contract with OSPR. Other participants were Jeff Davis, Phil Capitolo, Brad Keitt, Tonya Haff, Dave Lewis, and Glenn Ford (University of California, Santa Cruz [UCSC]); Laird Henkel was in charge at OSPR. The surveys are designed to collect baseline distribution and abundance data and to maintain rapid-response capabilities for oil spills. During the past year, the surveys focused on waters from Sonoma County to Monterey County. In late 2007, the team responded to the *Cosco Busan* oil spill in San Francisco Bay, providing OSPR with real-time distribution and abundance data for affected areas. Ryan DiGaudio has joined the survey team, replacing Tonya Haff who is pursuing a PhD in Australia.
Phil Capitolo (UCSC), in cooperation with Gerry McChesney (USFWS), conducted aerial photographic surveys of Common Murre (*Uria aalge*), Brandt’s Cormorant (*Phalacrocorax penicillatus*), and Double-crested Cormorant (*P. auritus*) breeding colonies from the Oregon border to Point Conception, under contract with OSPR (Laird Henkel; also see Southern California regional report). Zach Coffman and Peter Kappes (USFWS), Deasy Lontoh (Humboldt State University [HSU]), and Travis Poitras (UCSC) assisted. Breck Tyler was Principal Investigator.
Mark Rauzon (Marine Endeavors), Meredith Elliott (PRBO Conservation Science [PRBO]), Eric Lichtwardt (LSA and Associates), and Jason Minton (Garcia and Associates) cooperated in a one-day boat survey of Double-crested Cormorants (*Phalacrocorax auritus*) on 2 San Francisco Bay bridges on 30 May 2008: the Richmond-San Rafael Bridge and the San Francisco-Oakland Bay Bridge. We have been conducting one-day surveys (usually in mid-May) on these bridges since 2004, to collect basic population data for comparison with our more detailed studies in 1988–1990 and 2000. Results from 2008 indicate approximately a 50% decline in the number of nests from 2007. Reasons for this decline are unknown. Possible causes include the May heat wave, disturbance from construction activities on the San Francisco-Oakland Bay Bridge (unlikely, since construction of the roadway is now complete), and the fact that part of the available habitat on the Richmond-San Rafael Bridge was boarded off for maintenance work.
Jaime Jahncke and Meredith Elliott (PRBO), Ben Saenz (Stanford University), Lisa Etherington (Cordell Bank National Marine Sanctuary[NMS]), and Jan Roletto (Gulf of the Farallones NMS) completed the fifth year of at-sea work (and their 20th cruise) in the Gulf of the Farallones and Cordell Bank NMSs. They have collected data on seabird and marine mammal abundance and distribution (using line transect survey methods), krill abundance and distribution (using hydroacoustics), zooplankton community (using nets), and physical oceanographic conditions (using continuous underway data and vertical profiles from CTD casts along survey transects). Results to date show that there was reduced and delayed upwelling in 2005 and 2006, which led to a decline in krill (*Euphausia spp.*) abundance and an increase in gelatinous zooplankton from 2004 levels. Krill declines resulted in complete breeding failure of Cassin’s Auklets (*Ptychoramphus aleuticus*) in 2005 and 2006. Stronger, earlier upwelling conditions occurred in 2007 and 2008; as a result, krill abundance increased, and adult krill (the main diet item of Cassin’s Auklets) were also more abundant during these years. We are doing spatial analysis to understand what drives the abundance and distribution of birds and mammals and their prey. We are working closely with the National Marine Sanctuaries program to coordinate efforts and increase sampling coverage.
Susan Euing (USFWS) and Meredith Elliott (PRBO) worked at the California Least Tern (*Sternula antillarum browni*) colony at Alameda Point (the former Alameda Naval Air Station). The 2008 breeding season had one of the best reproductive years since the beginning of monitoring in 1976. There were an estimated 323 breeding pairs and 336 nests. Of the 633 eggs laid, 543 hatched, for a hatching success of 86%. An estimated 432 fledglings were produced, and breeding success was 1.3 fledglings per pair. Few eggs were abandoned or failed to hatch. While predation was higher than normal on adults and fledglings, predation rates on eggs and chicks were lower than in other years.
Point Reyes National Seashore (PRNS) staff are working with USFWS to monitor Common Murres and other seabirds as part of a Natural Resource Damage Assessment restoration program. PRNS also responded to the *Cosco Busan* oil spill in December 2007, which left oiled seabirds at Point Reyes, including Marbled Murrelets. In collaboration with PRBO, PRNS monitored western Snowy Plovers (*Charadrius alexandrinus*) as part of a long-term monitoring and management program. Plovers had poor productivity in 2008 because of intense wind, high tides, and predation. Only 21 nests were counted, compared to 28 last year, and only 52% were successful. Of the 30 chicks hatched, only 5 fledged. PRNS’s educational docents contacted hundreds of visitors on
weekends during the breeding season to reduce disturbance of plovers. Monitoring and management will continue in 2009, including a restoration project on 121 hectares of coastal dunes, in which non-native beach grass that has severely reduced plover habitat will be removed. Plovers were documented using restored habitat for nesting and brooding young immediately after previous dune restoration projects.
The Common Murre Restoration Project is conducted cooperatively by the USFWS (San Francisco Bay National Wildlife Refuge Complex; **Gerry McChesney**, **Peter Kappes**), HSU (**Rick Golightly**, **Deasy Lontoh**, **Sandy Rhoades**, **Lisa Eigner**, **Phil Capitolo**, **Kim Borg**, **Erica Donnelly**), National Audubon Society (**Steve Kress**), and Carter Biological Consulting (**Harry Carter**), with additional assistance from PRNS. In 2008, we continued studies of disturbance at Common Murre colonies in central California with funds from the Command Trustee Council. We also monitored the status of the restored Devil’s Slide Rock colony and population trends of other California seabirds (in cooperation with UCSC and CDFG), funded by the Apex Houston and Command Trustee Councils. Capitolo and McChesney also completed surveys of sample Western and California Gull (*Larus occidentalis* and *L. californicus*) colonies in northern and central California, with funding from USFWS.
**Other Projects**
**Jennifer Martin** (PRBO) is initiating the California Current Joint Venture (CCJV). This program will provide a critical link between scientific research and resource management to achieve conservation goals in the California Current Large Marine Ecosystem. A key goal is the development and utilization of ecosystem-based management tools and policies. In our pilot project for the CCJV we are examining options for advancing ecosystem-based management of forage species. These mid-trophic-level prey occupy a critical role in the food web as essential resources for top predators—marine birds, mammals, and other fish such as salmon and tuna, some of which are endangered or commercially valuable. To improve protection of these species and the integrity of marine ecosystems, federal and state managers need to adopt innovative scientific methods and an ecosystem-based approach. However, there are complex scientific and management issues surrounding ecosystem-based forage fish management. Improvements will require collaboration among scientists and community leaders with forage fish and ecosystem expertise, knowledge of state and federal management policies, and an understanding of harvest practices and fishery economics. PRBO is working with a diverse group of stakeholders to prepare the West Coast Forage Fish Action Plan, which will describe challenges and make recommendations for the ecosystem-based management of forage species. The Action Plan is due to be completed in December, 2008. For more information, please contact Jennifer Martin at firstname.lastname@example.org.
**Michelle Kappes** is continuing her PhD thesis research with **Daniel P. Costa** and **Scott A. Shaffer** at the UCSC on the foraging ecology and energetics of Laysan (*Phoebastria immutabilis*) and Black-footed Albatrosses (*P. nigripes*) at Tern Island, Northwestern Hawaiian Islands, and Indian Yellow-nosed Albatrosses (*Thalassarche carteri*) at Amsterdam Island, Southern Indian Ocean (see Hawaii and Pacific Rim regional report).
A goal of Oikonos-Ecosystem Knowledge is to collaborate with educators to develop innovative programs that disseminate our research results to a broad, diverse community. Our ocean stewardship activities, coordinated and implemented by **Carol Keiper**, have been used by over 1,400 students in the east San Francisco Bay area since 2006. We have been using the Black-footed albatross as “Winged Ambassadors for a Clean Ocean,” to link science with public stewardship for marine conservation. The pilot program Plastics in the Ocean is now fully funded by the City of Benicia, California to teach all 6th grade students about the critical need to prevent plastic pollution. In 2008 we initiated a pilot program to expand Plastics in the Ocean to 7th and 8th grades and to high school oceanography classes. The program uses Oikonos’s albatross research to teach science skills and ocean stewardship. All activities are available on the Oikonos website, http://www.oikonos.org/projects/oceanstewardship.htm
New on the site is the “Campus Trash Survey Activity,” a project for making a difference locally by monitoring trash and documenting improvements. Other new features on the site are student art and essays and teacher comments about the program.
**Scott Shaffer**, **Bill Henry**, and **Don Croll** of UCSC and the Tagging of Pacific Predators program (TOPP) program continue to track albatrosses at French Frigate Shoals, Midway Atoll National Wildlife Refuge, and Guadalupe Island, Mexico, using satellite, GPS, and archival geolocation loggers. **Hillary Young** (Stanford University) and Shaffer continue studying the foraging ecology of boobies at Palmyra. (See regional reopports for Hawaii and Pacific Rim and Southern California and Mexico for details.)
**David Ainley** (HT Harvey Associates/Penguin Science) worked with **Josh Adams** and others using satellite transmitters to investigating the foraging range of Hawaiian Petrels (*Pterodroma sandwichensis*) nesting at Haleakala National Park (see Hawaii and Pacific Rim regional report).
**Ainley** and **David Hyrenbach** (Hawaii Pacific University) have been investigating population trends of central California seabirds, by analyzing a 20-year data set collected in conjunction with Rockfish Assessment cruises of the National Marine Fisheries Service (NMFS), Southwest Fisheries Science Center. Funding has been provided by California Department of Fish & Game.
**Ainley** has also been synthesizing marine bird and prey abundance data for area from Newport, Oregon to
Crescent City, California, working with Katie Dugger and Dough Reese (OSU), Cyndy Tynan (Research Scientists of Woods Hole), Ric Brodeur (NMFS, Newport), and Glenn Ford (RG Ford Consulting). This work is being funded by the National Science Foundation as part of the U.S. Northeast Pacific Global Oceans Ecosystems Dynamics Program (NEP–GLOBEC).
SOUTHERN CALIFORNIA
Compiled by Dan Robinette
Laurie Harvey (National Park Service) continues to oversee seabird projects in Channel Islands National Park, under the Montrose Settlement Restoration Program. Four seabird habitat restoration projects were continued in 2008. Reproductive effort, success, and phenology of Cassin’s Auklets (*Ptychoramphus aleuticus*) were monitored on Scorpion Rock (Santa Cruz Island) as well as at a reference site at Prince Island (San Miguel Island, in collaboration with U.S. Geological Survey). A pilot project on revegetation and soil stabilization at Scorpion Rock was completed in fall 2008; the plant work was carried out in cooperation with Growing Solutions. Reproductive effort, success, and phenology of Ashy Storm-Petrels (*Oceanodroma homochroa*) were monitored on Orizaba Rock and in 4 Santa Cruz Island sea caves by Harry Carter (Carter Biological Consulting), Bill McIver (U.S. Fish and Wildlife Service [USFWS]), and Harvey. Baseline data for colony sizes, reproductive success, and timing of breeding were gathered for comparison to baseline data since 1995. The Cavern Point Cove Caves colony was decimated by island spotted skunks (*Spilogale gracilis amphiala*) which killed at least 30 adults. Social attraction techniques (21 artificial nest sites and a vocalization broadcast system) were first deployed at Orizaba Rock, and Ashy Storm-Petrels laid eggs in association with four artificial sites. Ten Ashy Storm-Petrel eggs were collected for contaminants analysis.
Harvey monitored reproductive effort, success, and phenology of Xantus’s Murrelets (*Synthliboramphus hypoleucus*) at Santa Barbara Island (SBI). Plant habitat restoration on SBI was expanded to four sites. Social attraction for Cassin’s Auklets will commence there in 2009.
Dan Robinette and Julie Howar (PRBO Conservation Science) have completed their 10th year of seabird data collection. Environmental conditions in 2008 were similar to Southeast Farallon Islands and the central California coast, with cool water temperatures and heavy winds in spring extending into the summer. Nearshore pelagic conditions were conducive to foraging flock formation, implying high productivity and prey availability. Seabird productivity was variable, although variation was not extreme compared to past years. Pelagic feeding seabirds seemed to fare the best this year, followed by demersal feeders. Those dependent on the rocky intertidal zone were less successful than in previous years. The California Least Tern (*Sterna antillarum browni*) population continues to be low compared with previous years, but fledging success was 2nd highest on record. Brandt’s and Pelagic Cormorant (*Phalacrocorax penicillatus* and *P. pelagicus*) populations were slightly smaller. Brandt’s Cormorants initiated breeding later than in previous years. Productivity was not affected by the late start and was “average” to “better than average.” Western Gulls (*Larus occidentalis*) started off strongly. There were more nests off-colony than in previous years but the majority of those nests did not fledge chicks. Birds on the colony had high productivity, similar to previous years. Black Oystercatchers (*Haematopus bachmani*) did not put forth a strong reproductive effort this year; the number of territories occupied was similar to previous years, but not all had breeding activity and few were successful.
Kathy Keane (Keane Biological Consulting [KBC]) continued monitoring the California Least Tern nesting population in the Los Angeles Harbor, with several assistants. Least Terns initiated 529 nests in 2008, a 25% decrease from 2007 numbers. This decrease may be due to more suitable nesting conditions at nearby sites, frequent visits by a Peregrine Falcon (*Falco peregrinus*), and unsuccessful vegetation management in 2008. In addition to Least Terns, approximately 3300 Elegant Terns (*Sterna elegans*), 270 Caspian Terns (*S. caspia*) and three to 20 Royal Terns (*S. maxima*) nested successfully in Los Angeles Harbor in 2008. KBC also monitored the third year of a restoration project in Upper Newport Bay, Orange County, to ensure that dredging and other activities are avoiding the Least Tern nesting area and other endangered birds. KBC also is finishing compilation of a database for the USFWS Portland office for all tern and skimmer species in California.
Mike Horn (California State University, Fullerton) continued his long-term project to assemble manuscripts on the food and foraging of nesting terns and skimmers in southern California. He will submit them to *Studies in Avian Biology*. Jeanette Hendricks, a graduate student working with Horn, studied the foraging locations and diet of nesting Elegant Terns at the restored and expanded Bolsa Chica Ecological Reserve on the coast of Orange County in 2007 and 2008. Her goal is to determine whether adult terns will forage in the newly created full tidal basin adjacent to the nesting areas, or will continue to feed mainly in the ocean as they did before restoration. Results from the two seasons indicate mostly ocean foraging by this tern. As has occurred in seabird diets in the North Atlantic, pipefish (Syngnathinae) have increased markedly in the diet of Elegant Terns at Bolsa Chica. We are planning studies for the 2009 nesting season to attempt to assess the impact of pipefish on chick growth and reproductive success in this Elegant Tern colony.
Phil Capitolo and Jeff Davis (University of California, Santa Cruz [UCSC]; Breck Tyler, Principal Investigator) conducted aerial photographic surveys of Brandt’s Cormorant and Double-crested Cormorant (*Phalacrocorax auritus*) at
breeding colonies south of Point Conception under contract with the California Department of Fish and Game—Office of Spill Prevention and Response (Laird Henkel). The goal of surveys is to document the current locations of breeding colonies, and archived digital images can be used to determine breeding population sizes and trends. Dani Lipski (Channel Islands National Marine Sanctuary) assisted.
The Tagging of Pacific Predators program (TOPP; UCSC) continues to deploy archival tags on Laysan Albatrosses at Guadalupe Island, in coordination with work at several colonies throughout the North Pacific. PhD student Bill Henry has been involved in the research on Guadalupe, as well as monitoring for breeding success and changes in diet. See also the report for Hawai‘i and the Pacific Rim.
Lisa T. Ballance and Robert L. Pitman continue to conduct seabird surveys as a regular part of the marine mammal and ecosystem assessment cruises, under the National Oceanic and Atmospheric Administration (NOAA)—Southwest Fisheries Science Center and NOAA—Fisheries. Two areas are monitored regularly. One is the California Current (US–Mexico border to US–Canada border and seaward to 300 nautical miles offshore); it is surveyed every three years during Jun–Nov, using 120 sea days aboard one NOAA research vessel. This survey ended on 1 Dec 2008. The project involves collaboration with a number of National Marine Sanctuaries along the west coast, within which we conduct marine mammal and ecosystem assessment during some years at a fine spatial resolution. The seabird highlight of 2008 was a confirmed sighting of a Wandering Albatross (*Diomedea exulans*). Details of this cruise, including regular reports from the field, are posted at http://swfsc.noaa.gov/prd-orcawale.aspx
The second monitoring area, the eastern tropical Pacific (waters between the US–Mexico border, Hawaii, and Peru), is surveyed approximately every three years during Aug–Nov, using 240 sea days aboard two NOAA research vessels. The most recent survey was conducted in 2006; the next survey is planned for 2010. Details can be found at http://swfsc.noaa.gov/prdstar.aspx
Nina Karnovsky (Pomona College) and two undergraduates, Julia Gleichman and Derek Young and one alumna, Laurel McFadden, studied the foraging behavior of Dovekies (*Alle alle*) in Hornsund Fjord, Spitsbergen (see North Atlantic regional report).
In retirement, Charlie Collins continues his field studies of California Least Terns breeding at Seal Beach Naval Weapons Station and survival of Black Skimmers (*Rhynchops niger*) in Southern California. He is also working up a variety of accumulated data for publication (not all of it on seabirds).
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**NON-PACIFIC UNITED STATES**
Compiled by Melanie Steinkamp
Research continued on seabird ecology in South Carolina, under the guidance of Patrick Jodice (U.S. Geological Survey—South Carolina Cooperative Research Unit, and Clemson University [CU]) Lisa Ferguson Egger (CU) continued her PhD research focusing on reproductive and physiological ecology of seabirds at protected colonies. Lisa Wickliffe (CU) completed her MS degree examining the relationship between seabird foraging activities and commercial shrimp trawling activity in South Carolina. Along with Will Mackin (University of North Carolina) and Jennifer Arnold (Pennsylvania State University), Jodice deployed geolocators on 11 Audubon’s Shearwaters (*Puffinus lherminieri*) and 13 White-tailed Tropicbirds (*Phaethon lepturus*) breeding in the Bahamas. Funding was from the Avian Influenza Surveillance Monitoring Program of the U.S. Fish and Wildlife Service (USFWS) (yep, we swabbed birds too!). Two devices were retrieved after 5 weeks, and we will attempt to recover the remaining devices in spring and summer 2009. Our lab also assisted the South Carolina Department of Natural Resources in organizing the first Southeastern Seabird Working Group meeting, which focused on colony surveys and colony management issues throughout the region.
Jeff Spendelow (U.S. Geological Survey—Patuxent Wildlife Research Center) continues to oversee a long-term cooperative research project on the metapopulation dynamics and ecology of endangered Roseate Terns (*Sterna dougallii*; ROST) in the Massachusetts–Connecticut–New York region. Two manuscripts by Spendelow et al. will be published in *Waterbirds* in 2008: on temporal variation in adult survival rates based on an analysis of 19 years of capture-recapture data at 5 colony sites, and on the breeding dispersal of 6 adults from Buzzards Bay, Massachusetts (BBMA) to two colony sites in Maine. Jeff conducted his 2008 breeding season fieldwork in BBMA, in collaboration with Carolyn Mostello (Massachusetts Division of Fisheries & Wildlife) and her staff. Nine hundred thirty-five adult ROSTs were trapped. Old color bands were recorded and fixed as needed, and 666 new combinations were put on; we think that more than half of breeding adult ROSTs in the colony are now color-banded. During the post-breeding dispersal period, Jeff worked with collaborators to resight and identify banded ROSTs all around the greater “Cape Cod and Islands” area. Cooperators included Becky Harris (Director), Ellen Jedrey (Assistant Director), and other staff of Massachusetts Audubon’s Coastal Waterbird Program, Edie Ray (Nantucket Conservation Foundation), Katie Blake (graduate student at Antioch University), long-time colleague Ian Nisbet, and others. During a 5-week period that started on 2 August, Jeff himself identified 1080 color-banded individuals, which are more than half the estimated 2030 ROSTs that have been color-banded on BBMA and are thought still to be alive. (Color-banding was resumed in BBMA in 2004.) Resighting data from mid July...
through September 2008 are still being summarized, but we expect that we obtained nearly 15,000 identifiable sightings from at least 10 locations.
A study has been initiated to evaluate foraging ecology and nest site attendance of Atlantic Puffins (*Fratercula arctica*) on Petit Manan Island, Maine. The project is being conducted by NWR biologist Linda Welch of the Maine Coastal Islands National Wildlife Refuge (MCINWR), Paul Sievert of U.S. Geological Survey–Massachusetts Cooperative Fish and Wildlife Research Unit (MCFWRU) and graduate student Sarah Spencer. The goal of the project is to understand characteristics of foraging flights and dives of puffins, and to learn how nest site attendance and provisioning affect productivity. The project overlaps with research being conducted for an Atlantic Puffin Metapopulation Study. Researchers placed digital cameras at puffin burrows to determine status of burrows and monitor nesting activity. We also placed infrared video cameras at 14 burrows to evaluate nest site attendance and provisioning rates. We took morphological measurements, a small blood sample for DNA analysis, and banded each bird with a metal and a field-readable band. Temperature depth recorders (TDRs) were attached to the puffins’ bands, to allow us to monitor dive depth and duration, number of dives in a foraging trip, time spent traveling between the breeding colony and foraging habitat, and time allocation of the birds throughout the day. We attempted to re-trap birds for TDR removal and to measure mass four to five days after TDR deployment.
The MCFWRU, National Audubon Society (NAS), and MCINWR initiated a study to evaluate foraging behavior and nest site attendance of Razorbills (*Alca torda*) on Matinicus Rock, Maine. The project is being conducted by Paul Sievert, graduate student Katherine Kauffman, NAS biologist Scott Hall, and Linda Welch. The goal is to understand characteristics of foraging flights and dives of Razorbills, and to document site attendance and provisioning rates. Temperature depth recorders (TDRs) were attached to the razorbills’ bands, to obtain dive and time-budget data as in the puffin study (previous paragraph). Results will be compared to similar studies carried out in the central latitudes of the Razorbill’s breeding range.
The 2008 field season represented the 25th year of seabird restoration efforts at MCINWR. In cooperation with our partners in the Gulf of Maine Seabird Working Group, the refuge has been managing six islands along the coast of Maine in an effort to restore populations of Roseate Tern, Arctic Tern (*Sterna paradisaea*), Common Tern (*Sterna hirundo*), Atlantic Puffin, and Razorbills. Many of these birds had been eliminated from coastal islands in recent decades, due to rapidly increasing populations of Great Black-backed Gulls (*Larus marinus*) and Herring Gulls (*Larus argentatus*). The refuge has used pyrotechnics, harassment, shooting, dogs, egg and nest destruction, and the avicide DRC 1339 to make the islands safe for nesting terns. Once the islands are “gull free,” the refuge has used social attraction techniques to lure the birds back to their historic nesting islands. Decoys of puffins, razorbills, and terns, combined with recordings of an active seabird colon, were used to entice the birds to nest. These methods have been highly successful, and the seabirds have made significant progress towards recovery objectives. Within the State of Maine, all the Roseate Terns, Atlantic Puffins, and Laughing Gulls (*Larus atricilla*) nest on 10 islands managed by the Refuge, National Audubon Society, and Maine Department of Inland Fisheries and Wildlife. These 10 islands also support over 90% of Common and Arctic Terns in Maine. Within the United States, 98% of Atlantic Puffins and 75% of the Razorbills nest on 4 islands owned and managed by the MCINWR. The refuge also supports over 97% of Arctic Terns nesting in the lower 48 states.
Carsten Egevang (Greenland Institute of Natural Resources) and Iain Stenhouse (National Audubon Society) retrieved some of 50 archival geo-locator loggers that they deployed on Arctic Terns and Sabine’s Gulls (*Xema sabini*) breeding in Northeast Greenland in 2007 (see report for the North Atlantic).
Robin M. Overstreet and post-doctoral fellows Stephen Bullard and Hongwei Ma (Gulf Coast Research Laboratory, The University of Southern Mississippi, Ocean Springs, [USM]) continued to work on helminths of birds as well as on other host groups, with an emphasis on trematodes and nematodes. During the last year, three papers were published on parasites of crabs and fish, some of which mature in birds. Three more manuscripts are in press concerning parasites that mature in birds. Additional new research is presently underway at USM on bird parasites with larval stages in fishes, with student Eric Pulis and colleagues Richard Heard (USM), Andrew Mitchell (U.S. Department of Agriculture, Stuttgart, Arkansas) and Vasyl Tkach (University of North Dakota). A variety of parasites that infect birds in Summer Lake, Oregon are being collected, in conjunction with Marty St. Louis and others of the Summer Lake Wildlife Area, Oregon Department of Fish and Wildlife.
Don Dearborn and collaborator Mark Haussmann (both of Bucknell University) and Bob Mauck (Kenyon College) to study nestling growth and parental care in Leach’s storm-petrels (*Oceanodroma leucorhoa*) in Canada’s Bay of Fundy (see Canada regional report). Dearborn and Frans Juola (University of Miami) are using Great Frigatebirds (*Fregata minor*) to test for a link between inbreeding and reduced immune function (see Hawaii and Pacific Rim regional report).
HAWAI‘I AND PACIFIC RIM
Compiled by Linda Elliott
MAIN HAWAIIAN ISLANDS
The Hawai‘i Division of Forestry and Wildlife and the U.S. Fish and Wildlife Service (USFWS) are in the midst of a joint planning effort
to improve coordinated, statewide conservation of Hawai‘i’s Federally listed and candidate seabirds. These include the endangered Hawaiian Petrel or ‘ua‘u (*Pterodroma sandwichensis*), threatened Newell’s Shearwater or ‘a‘o (*Puffinus auricularis newelli*), and candidate Band-rumped Storm-Petrel or ‘ake‘ake (*Oceanodroma castro*). Contact **Holly Freifeld** (USFWS) or **Nick Holmes** (Kauai Endangered Seabird Recovery Project) for more information.
**Lindsay Young** will finish her PhD at the University of Hawai‘i (UH) in May 2009, on the population genetics and foraging ecology of Laysan Albatross (*Phoebastria immutabilis*). Her dissertation has produced several surprising results, most notably the high rates of female-female pairing in this species, and now in Black-footed Albatross (*Phoebastria nigripes*). Lindsay plans to continue doing seabird research in Hawai‘i after graduation; she recently received funding to track Wedge-tailed Shearwaters, Red-tailed Tropicbirds (*Phaethon rubricauda*), and Red-footed and Brown Boobies (*Sula sula* and *S. leucogaster*) on Lehua Islet off of Kauai. Her co-principal investigators will be **David Hyrenbach**, **Scott Shaffer** and **Rob Suryan**.
Young also deployed archival loggers on juvenile Laysan Albatrosses at Kaena Point, Oahu, as part of a larger collaboration with **Rob Suryan** (Oregon State University) and **Marc Romano** and **Maura Naughton** (USFWS), and the Tagging of Pacific Predators Project (TOPP) to examine the breeding and post-breeding movements of North Pacific albatrosses at several colonies throughout the North Pacific. Archival loggers have been deployed on adults at Tern and Guadalupe Islands, Midway Atoll National Wildlife Refuge (NWR), and Kaena Point all during the same breeding season (see also Northwestern Archipelago, below, and the regional report for Southern California and Mexico).
Young is project coordinator for the Kaena Point Ecosystem Restoration Project on Oahu, which will be constructing a predator-proof fence in early 2009 to protect Laysan Albatross, Wedge-tailed Shearwaters (*Puffinus pacificus*) and 11 endangered plant species from predators. Eradication of predators from within the reserve is scheduled to occur shortly afterwards.
**Cathleen Bailey** reports that Haleakala National Park (HNP) continues to monitor endangered ‘ua‘u (Hawaiian Petrel) populations in the upper elevations of Haleakala on Maui. There are currently more than 1000 known nesting burrows, and there may be several hundred more burrows in backcountry areas that have yet to be documented. The population shows remarkable recovery since first being documented in the 1960s. This is attributed to improvement of ‘ua‘u nesting habitat. The National Park Service (NPS) removes and controls feral ungulates and introduced predators. New protocols for monitoring the ‘ua‘u are being developed to gain more details on its population at HNP. Even with intensive predator control, predation on ‘ua‘u still occurs. A motion-sensitive camera set at the entrance of an ‘ua‘u burrow documented a feral cat (*Felis catus*) entering and exiting a burrow. The cat had ‘ua‘u feathers it its mouth. However, the next frame showed an ‘ua‘u exiting the same burrow. Our speculation is that the cat got only feathers of the ‘ua‘u, not the actual bird. In response to this documented instance, predator control techniques have been modified and the capture of feral cats has increased.
**Josh Adams** (U.S. Geological Survey [USGS] Western Ecological Research Center) and **David Ainley** (HT Harvey and Associates) led a collaborative project to track movements of breeding Hawaiian Petrels on the islands of Maui and Lana‘i via satellite telemetry. This was their third and final year of telemetry. They discovered that petrels nesting in Haleakala travel on long-range foraging loops into the North Pacific. Average trips are 9500 km or more and last approximately 18 days. Other researchers on the project were **Cathleen Bailey** and **Joy Tomatose** (HNP), **Holly Freifeld** (USFWS), **Greg Spencer** (FirstWind) and **Jay Penniman** and **Fern Duvall** (Hawai‘i Department of Lands and Natural Resources, Division of Forestry and Wildlife [DOFAW]). The project has been funded by the USGS Science Support Partnership program and the USFWS Pacific Islands Office, with major assistance from HNP, Hawai‘i Division of Forestry and Wildlife, and the Pacific Cooperative Studies Unit (PCSU) of the University of Hawai‘i (UH). In 2009, again funded jointly by USFWS and USGS, these partners will initiate a PIT (passive integrated transponder) study of nest-site attendance and concurrent radar studies of Hawaiian Petrels nesting from the largest known colony, atop Haleakala on Maui. The Hawaiian Petrel population is estimated at 20,000, based on at-sea surveys by Larry Spear and cooperators.
**David Duffy** (PCSU) is principal investigator for seabird research and management on the islands of Maui Nui (Maui, Lana‘i and Moloka‘i), Hawai‘i. **Fern Duvall** of DOFAW initiated this effort and continues to help direct it. **Nick Holmes** (PCSU) has participated form the start in program activities and ongoing project design. **Jay Penniman** (PCSU) manages the program from Maui. The question, “Are there Hawaiian Petrels and or Newell’s Shearwaters breeding on the island of Lana‘i?” was first addressed in spring of 2006. Subsequent surveys have confirmed a significant breeding population of Hawaiian Petrels. Although no definitive numbers have been estimated, listening surveys and observations with night-vision and thermal-imagery equipment have indicated that several thousand Hawaiian Petrels are attending the Lana‘ihale colony. A few Newell’s Shearwaters have also been heard during nighttime surveys, but no indication of breeding activity has been documented. Management to benefit Hawaiian Petrel includes control of predators (cats and Barn
Owls (*Tyto alba*), fence line visibility enhancement, and habitat restoration (primarily removal and suppression of *Psidium cattlianum*). Habitat restoration and a portion of predator control are partially funded by Castle and Cooke, LLC. This funding serves as mitigation for potential take of endangered species at seven meteorological towers, which were erected to assess the potential for wind farms on Lana’i (their electricity would be exported to Oahu).
Hawaiian Petrel and Newell’s Shearwater surveys on the island of Moloka’i were begun this year. Small numbers of Hawaiian Petrels were observed and no Newell’s Shearwaters were found. Surveys on Moloka’i will continue in 2009. Wedge-tailed Shearwaters breed on all of the islands of Maui Nui. **Fern Duvall** initiated a banding program for this species (and Hawaiian Petrels) in 1996. This effort has now expanded from Maui (5 colonies) to Moloka’i (1 colony), Lana’i (1 colony), the islet Molokini (1 colony), and the islet Alau (1 colony). First recaptures were collected this year on Maui; all had been banded on Molokini. Efforts to map all of the Wedge-tailed Shearwater colonies of Maui Nui continue.
Research is exploring several aspects of Hawaiian Petrel biology: genetics (**Helen James**, funded by NSF, and **Robert Fleischer** of the Smithsonian Institution); stable isotope analysis (**Peggy Ostrom**, Michigan State University); breeding phenology (PCSU); and activity and movement patterns during the chick-provisioning period by satellite tagging (**Josh Adams** [USGS] and **David Ainley** [H.T. Harvey and Associates], and **Holly Freifeld** [USFWS]).
Other species known to breed on the islands of Maui Nu include Band-rumped Storm-Petrel, Bulwer’s Petrel (*Bulweria bulwerii*), Red-tailed Tropicbird, White-tailed tropicbird (*Phaethon lepturus dorotheae*), Masked Booby (*Sula dactylatra personata*), Brown Booby (*Sula leucogaster plotus*), and Black Noddy (*Anous minutus melanogenys*). The Maui Nui Seabird Program has the long-range objectives of locating, mapping, protecting and expanding the colonies and nesting areas of these species. Project staff are members of the newly formed Kahoolawe Faunal Restoration Working Group. The group will review plans for research and management on the island, such as seabird surveys, predator control and potential reintroductions, and will participate in activities there, as permitted by time, funding and Kahoolawe Island Reserve Commission agreement.
**Bob Day** and **Brian Cooper** of ABR conducted research on movement patterns of Hawaiian Petrels and Newell’s Shearwaters on Oahu Island. Along with **Jon Plissner** (ABR), they also continued research on movement patterns of Hawaiian Petrels and Newell’s Shearwaters on Lanai Island.
The Maui Nui Seabird Program takes primary responsibility on Maui for retrieval, rehabilitation, banding and release of seabirds that are “downed” during fledging by light attraction and human infrastructure. They also handle seabirds downed on ocean-going vessels, primarily cruise ships. Project staff continue to help with an on-line database for downed birds being developed by **George Phocas** (USFWS). Program staff are trained and certified by The Clean Island Council for oil spill response.
In the fall of 2007, the Hawaii Audubon Society (HAS) received the gift of an acre (0.4 hectare) of ocean-front property at Black Point, on the south shore of Oahu, for the purpose of establishing the Freeman Seabird Preserve (FSP) for the protection of native birds, plants and habitat. The site supports a thriving colony of Wedge-tailed Shearwaters. They have been nesting on the FSP and on several surrounding properties of neighbors for decades, under shrubs and in shallow burrows and rock crevices. Anecdotal observations are inconsistent and unreliable for estimating population fluctuations. Since the site was a vacant residential lot for several years, it is in need of clean-up and alien plant removal, predator control, and nesting habitat enhancement. From mid-December 2007 through March 2008, while the birds were at sea, HAS volunteers met regularly at FSP to remove trash and invasive grasses, vines and shrubs. Predator control was confined in 2008 to placement of ten bait stations for rats (containing Diphacinone) on the property. Initially the bait was heavily consumed and needed replenishment weekly, but by May 2008, biweekly bait checks were adequate. No evidence of mammal predation has been noted in the Wedge-tailed Shearwater population at FSP in 2008. Several unhatched eggs were found during a population survey conducted in the afternoon of 6 September 2008. Forty-seven downy chicks were counted in active nesting sites and about 200 past or potential nesting sites (containing guano and/or feathers) were identified on the preserve. Plans for 2009 include further cleanup, landscaping, and planting of native shrubs and grasses to provide additional breeding and nesting habitat.
**Linda Elliott** of the Hawai‘i Wildlife Center (HWC) is providing consultation, protocol development, and staff training for the Save our Shearwater program on Kauai. This program responds to the annual rescue of seabirds “downed” due to light pollution, including the Newell’s Shearwater and Hawaiian Petrel. HWC also remains active in the Hawai‘i Area Committee for oiled wildlife response and participated in subcommittees on volunteers and inter-island transport of oiled seabirds for rehabilitation. Linda responded to an avian botulism outbreak on Midway (see “Northwestern Archipelago” in this report). HWC began site work in 2008 for the first conservation and emergency response center for the Hawaiian archipelago’s native seabirds, waterbirds, birds of prey and forest birds.
**Northwestern Hawaiian Archipelago**
**Michelle Kappes** is continuing her PhD thesis research with **Daniel P. Costa**
and **Scott A. Shaffer** at the University of California Santa Cruz (UCSC) on the foraging ecology and energetics of Laysan and Black-footed Albatrosses at Tern Island, and Indian Yellow-nosed Albatrosses (*Thalassarche carteri*) at Amsterdam Island, Southern Indian Ocean. As part of TOPP (http://topp.org), she has investigated foraging behavior and marine habitat use by Hawaiian albatrosses, and found that despite inter-annual differences in foraging distribution, sea surface temperature was consistently the most important environmental variable in predicting search effort of albatrosses of both species.
TOPP continues to track albatrosses at French Frigate Shoals (FFS) and Midway Atoll NWR. The work at FFS is our seventh season of tracking both Laysan and Black-footed Albatrosses using satellite, GPS, and archival geolocation loggers. We have been tracking fledgling albatrosses of both species at Midway Atoll NWR since 2006. Last season, archival geolocation loggers were also deployed on breeding adults at Midway. The TOPP team working on this project are doctoral students **Michelle Kappes** and **Melinda Conners**, and faculty members **Scott Shaffer, Yann Tremblay, and Daniel Costa** of UCSC. This work is an ongoing collaboration with USFWS biologists, including **John Klavitter, Marc Romano, and Maura Naughton**.
**Don Dearborn** (Bucknell University) and **Frans Juola** (University of Miami) are using Great Frigatebirds (*Fregata minor*) to test for a link between inbreeding and reduced immune function. Field work was completed on Tern Island in 2007. Lab work is being conducted to measure nestling immune function and genetic similarity between mates.
**Linda Elliott** (HWC) provided emergency response assistance for the avian botulism outbreak affecting the critically endangered Laysan Duck (*Anas laysanensis*) at Midway Atoll National Wildlife Refuge. The Laysan Ducks had been introduced to Midway Atoll in 2004 and 2005 in order establish a second viable population of this very rare duck species. The transplanted population was growing well until the botulism event that started the first week of August. One hundred forty-five ducks were collected dead and 28 ducks were successfully rehabilitated.
**Non-Hawaiian Pacific**
**Hillary Young** (Stanford University) and **Scott Shaffer** continue studying the foraging ecology of boobies at Palmyra. This includes tracking birds, and collection of diet samples, blood, and feathers to understand the trophic relationships of the Palymra seabird community.
**Michelle Kappes** is continuing to study Indian Yellow-nosed Albatrosses at Amsterdam Island, Southern Indian Ocean (see Northwestern Hawaii, above).
**Other Work**
**Simon Hoyle** reports that a workshop on modeling of Black-footed Albatross populations was held at UH on 7-9 November, 2007. This workshop followed one in December 2001 on Protected Species Modeling, which was sponsored by the Pelagic Fisheries Research Project (PFRP). That workshop concluded that integrated statistical models of Hawaiian albatross populations are feasible. The PFRP subsequently funded two projects on modeling the Black-footed Albatross. Purposes of the 2007 workshop were to review results of the PFRP-funded projects, compare them with other population assessments, identify problems in model development and application, and suggest future directions.
Workshop participants agreed on several urgent issues. Among these were:
- Research and model development are impeded by data availability and legal constraints; these problems need to be resolved.
- In order to estimate bycatch and understand fishery impacts, information is needed on spatial and temporal overlap between fishing effort and bird distribution. Researchers need better access to tracking results for birds, and they should develop a uniform way of characterizing longline fishing depth.
- Band resighting data should be archived better by government databases and made available to researchers. They also need better access to various collections of research data.
- A critical piece of information for determining the status of the Black-footed Albatross is change in its population size. Additional population parameters should be determined each year.
- Additional data might be collected on colonies without compromising current protocols. Among other suggestions, banding efforts could be optimized among islands and age classes, feathers and eggshells could be archived, and data could be collected for mated pairs on known-age plots.
- Population models should incorporate environmental factors that are believed to mediate breeding success.
Details and conclusions from the workshop are at http://www.soest.hawaii.edu/PFRP/wiki/tiki-index.php?page=Albatross+Modeling+Workshop. The full workshop report at http://www.soest.hawaii.edu/PFRP/wiki/tiki-index.php?page=Workshop+Report.
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**South America and the Antarctic**
Compiled from other reports
**Liliana Ayala** (Peruvian Association for the Conservation of Nature [APECO]) completed her albatross projWe conducted surveys of 18 long-line fisheries vessels from Paita to Salaverry. Seventeen vessels targeted common dolphinfish (*Coryphaena hippurus*), and one targeted blue shark (*Prionace glauca*) and shortfin mako shark (*Isurus oxyrinchus*). During the 18 longline trips, we observed 381,521 hooks deployed in 171 sets; this is the largest observed effort today in Peru. The principal target of the vessels was common dolphinfish, because the shark season was poor in fall 2007. The days monitored per month varied from 6 to 35. Seabird bycatch by longline fishery vessels was assessed in 2006, 2007 and 2008 by direct observation. Seabirds were not reported as bycatch by any observer. However, this study is only 0.5% of the observation effort of all longline fishery efforts in Peru. Collaborators were Samuel Amoros (APECO), Cynthia Cespedes (National Institute of Natural Resources) and Shaleyla Kelez (Duke University). We participated in the Fourth International Albatross and Petrel Congress with a poster: Catch and Bycatch of Albatross and Petrel in Peru. The project was funded by Ruffrod Small Grants, Idea Wild, Duke Marine Center and Oak foundation. The work on bycatch permitted our participation in the Peruvian Report on implementation of the Agreement on the Conservation of Albatrosses and Petrels.
Research on the conservation of the Humboldt Penguin in Huarmey, on the central coast of Peru, is being undertaken by Raul Sanchez-Scaglioni (APECO) and L. Ayala. We reported at least 292 penguins in the study area, with higher numbers along the northern coast of Peru. Furthermore, we interviewed 35 fishermen; 63% said that they had eaten penguins at some time, 70% said that there are fewer penguins than there were years ago, and 86% know that penguins are threatened. In addition, we are looking at ways to gain the attention of authorities to manage or protect the Humboldt Penguin nesting sites. This project is funded by the mining company Antamina.
L. Ayala and R. Sanchez-Scaglioni also are finishing a series of seabird conservation videos for the general public with direct and simple language. These videos are about conservation projects of the Marine-Coastal Program in APECO, such as “Albatross: Endangered Air and Sea Giant,” “Where are the Humboldt Penguins?,” and “The Mysterious Peruvian Storm-Petrel.”
R. Sanchez-Scaglioni, L. Ayala and L. Felipe developed a project on predation, weather, microclimate and nest site selection in an Antarctic Tern (*Sterna vittata*) colony, King George Island. The objective was to know if Antarctic Terns choose nest sites with similar conditions. We participated in the Latin-American Symposium of Antarctic Research with the poster: Microclimatic conditions in nesting sites of Antarctic Tern and Antarctic Skua (*Catharacta antarctica*), King George Island. Under the conditions of our study, nest sites were not chosen by thermal characteristics of the air, humidity, and soil. This project was funding by the INANPE (Peruvian Antarctic Institute).
David Ainley (HT Harvey Assoc./Penguin science), Chris Ribic (University of Wisconsin), Bill Fraser (Polar Ocean Research Group), Eric Woehler (University of Tasmania), Glenn Ford (RG Ford Consulting), and Cyndy Tynan (Research Scientists of Woods Hole) have summarized almost all the cruise data collected in the Southern Ocean (including the Pacific Sector) since the late 1970s, and are relating seabird patterns to large-scale fronts and water masses. This work has been funded by National Science Foundation as part of U.S. Southern Oceans Global Oceans Ecosystems Dynamics Program.
David Ainley and John Weller are using private funding to organize a workshop about the Ross Sea, the last pristine high-seas ecosystem on Earth, for the International Marine Conservation Congress, Washington, D.C. (May 2009). In the meantime, we have barraged the Commission for the Conservation of Antarctic Marine Living Resources (CCAMLR) with a series of white papers detailing the importance of Patagonian toothfish (*Dissostichus eleginoides*; also called Chilean sea bass) to the Ross Sea ecosystem, to the degree that CCAMLR has agreed to pay more attention. Through the Antarctic and Southern Ocean Coalition, a proposal has been submitted to CCAMLR about Marine Protected Area status for the Ross Sea. The issue has been taken up and supported by The Whale and Dolphin Conservation Society, as well as the Marine Conservation Biology Institute, along with other non-government organizations, as a prime area in need of protection.
Ainley and associates have begun the 13th season of a demographic study of Adelie Penguins (*Pygoscelis adeliae*) at Ross and Beaufort Island, Ross Sea. Co-principal investigators are Katie Dugger, Oregon State University, and Grant Ballard, Point Reyes Bird Observatory. The goal is to explain population trajectories in the Ross Sea sector of the Southern Ocean. This work is being funded by the National Science Foundation.
NORTH ATLANTIC
Compiled from other reports
Nina Karnovsky (Pomona College) and two undergraduate students, Julia Gleichman and Derek Young, and one alumna, Laurel McFadden, studied the foraging behavior of Dovekies (*Alle alle*) in Hornsund Fjord, Spitsbergen. They assessed the oceanographic conditions adjacent to the colony during at-sea surveys aboard the R/V *Oceania*. They made measurements of diets and reproductive success and chick growth at the colony. They determined the lengths of foraging trips through observations of marked birds and with passive integrated transponders (PIT tags), and they placed time-depth recorders on foraging adults.
to examine dovekie diving behavior. They documented their field season in a blog (http://projects.pomona.edu/arctic/). This was the fifth year of this study of how Dovekies respond to changing conditions in the Arctic.
Carsten Egevang (Greenland Institute of Natural Resources) and Iain Stenhouse (National Audubon Society) retrieved some of the archival geo-locator loggers that they deployed on birds breeding on Sand Island, Northeast Greenland, in 2007. They retrieved 10 of 50 that were deployed on Arctic Terns (*Sterna paradisaea*) and 11 of 30 deployed on Sabine’s Gulls (*Xema sabini*). Preliminary data look good. This study is expected to provide clear documentation of migration routes and stopover/wintering areas for these champions of long-distance, trans-equatorial migration. The field report on this work is online at http://www.natur.gl/UserFiles/File/feltrapporter/Fieldreport_%20Sand-Island_2008_final.pdf.
Pacific Seabirds is a journal of the Pacific Seabird Group. Manuscripts and news items are welcome on any topic relating to Pacific seabirds or to their conservation. Short manuscripts are preferred (about 1,000 to 5,000 words for major submissions). Submit materials to the Editor (except as noted below): Dr. V.M. Mendenhall, 4600 Rabbit Creek Road, Anchorage, Alaska 99516; e-mail email@example.com. Deadlines are normally 15 April for the spring issue and 15 October for the fall issue.
CONTRIBUTIONS
Contributors are invited to submit the following:
- **Articles** on original research (to be peer-reviewed)
- **Reports** on current topics (e.g., research in progress or seabird conservation issues; not peer-reviewed)
- **Forum** (discussion of a current topic)
- **Review articles** (these may cover seabirds worldwide)
- **Conservation News** (*submit to* Craig Harrison, Conservation Chair; e-mail firstname.lastname@example.org)
- **News items** (short news relating to seabird research, conservation, or the Pacific Seabird Group)
- **Book reviews**
- **Letters** commenting on content of *Pacific Seabirds* or other issues
- **Art work**, such as sketches of seabirds, either accompanying a text or for publication alone
PEER-REVIEW OF MANUSCRIPTS
Articles and review articles will be submitted to two peer reviewers for technical review. Other submissions may also be sent for review, if the author requests this or at the editor’s discretion.
SUBMISSION OF MANUSCRIPTS
Material may be submitted by e-mail or regular mail or (addresses above). Materials sent by e-mail should be attached to the main message and should be in Word, WordPerfect, or Rich Text Format, except that materials less than 300 words long may be sent in the body of the e-mail. For manuscripts submitted by e-mail, figures must also be sent as separate files or via regular mail. If a manuscript is submitted by regular mail, include a CD.
FORMAT OF MANUSCRIPTS
Contributors should consult format used in a recent issue of *Pacific Seabirds*.
GENERAL FORMAT
Manuscripts should be double-spaced with 1-inch margins. If your paper size is A4 (European), the bottom margin must be at least 1\(\frac{3}{4}\) inch (including in electronic files), to ensure that it will print properly on U.S. equipment. Pages should be numbered, except for Tables and Figures.
Give the scientific name (*italicized*) after the first mention of any genus or species. English names of bird species are capitalized (e.g., Fork-tailed Storm-Petrel). Names of mammals, other taxa, and English names of bird groups are lowercase, except for proper names (e.g., blackbirds, shield fern, Steller’s sea cow).
If you use an acronym, give the entity’s *full* name the first time it is mentioned. Avoid excessive use of acronyms.
Use the 24-hour clock without a colon (e.g., 1830). Give dates as day-month-year. Use metric measures, except when quoting informal statements. For quantities less than 1, use an initial 0 (\(P = 0.95\), not \(P = .95\)).
Typographical conventions follow *Scientific Style and Format*, 6\(^{th}\) edition, by the Style Manual Committee of the Council of Biology Editors; Cambridge University Press (1999).
ORGANIZATION
**Articles** should contain the following sections, in this order: Title, Author(s), Authors’ affiliations (including e-mail for corresponding author), Abstract, Key words, Introduction, Methods, Results, Discussion, Acknowledgments, Literature Cited, Tables, Figure legends, and Figures. **Other types of manuscript** may use a different organization (e.g., a review or report could contain sections on various locations); however, the same formats for Literature Cited, Tables, and Figures will apply.
**Abstract**—An abstract is required for longer articles and suggested for short ones. It should contain essential information from each section of the text, without statistics. One or more additional abstract(s) may be provided in languages other than English.
**Key words**—Five to 10 words for use in computerized searching. Species names in both Latin and English should be included.
**Introduction**—Present the aims and significance of the work, and place it in the context of pre-existing information. State hypotheses that are being tested, if any.
**Methods**—Describe the methods, location, time, and personnel of the study. Include statistical methods, if any.
**Results**—Present results that are pertinent to aims given in the Introduction. Where feasible, summarize information and give the full data in Tables or Figures. Give sample sizes and the significance levels of statistical tests. Literature citations normally should not be in the Results section.
Discussion—Summarize the results briefly, then evaluate the results, and develop their importance in relation to other work. Do not include primary results and statistical tests, which belong in Results.
Text citations should be “Surname year.” Two authors are “Surname and surname year”; 3 or more authors are “Surname et al. year” (but all authors should be given in the Literature Cited). E.g., (Pratt et al. 1987, Schreiber and Schreiber 1988). If appropriate, specify page number(s) in a book or long article (Pratt et al. 1987:32–34).
Literature Cited—List all references in alphabetical order of the authors’ surnames. Surname of the first author should be listed first, then initials; subsequent authors’ names should be listed as Initial(s), Surname. List all authors in the Literature Cited (do not use “et al.”). Year of publication follows, then title and journal reference. Include page numbers for all cited works, including the total number of pages in a book. Use standard abbreviations for journal titles; if you are unsure, spell them out. Spell out names of agencies and institutions.
The first line of each citation should be justified to the left margin; subsequent lines may be left-justified or indented. Do not use all-capital letters or italics in the Literature Cited, except that scientific names should be in italics. Examples:
Pratt, H.D., P.L. Bruner, and D.G. Berrett. 1987. A field guide to the birds of Hawaii and the tropical Pacific. Princeton University Press, Princeton, NJ. 409 pp.
Schreiber, E.A., and R.W. Schreiber. 1988. Great Frigatebird size dimorphism on two Central Pacific atolls. Condor 90:90–99.
Verify that all items in the Literature Cited are referenced in the article, and vice versa.
For articles that you read in a language other than English, list the citation in the original language. An English translation of the title [in brackets] is optional.
Supporting materials
Tables—Tables should be numbered in the order they are first mentioned in the text. Refer to each table at least once. Use horizontal lines below the main heading(s); do not use vertical lines in tables. The Table (including its heading) should be comprehensible without immediate reference to the text. Data in Tables should not be repeated in the text, except to summarize.
Figures—Figures should be numbered in the order they are first mentioned in the text. Refer to each figure at least once. Figures should be drawn at least 50% larger than they will appear in print. Make all lettering, numbers, and symbols large enough to be read easily after they are reduced. The figure (including caption) should be comprehensible without immediate reference to the text. Define all symbols in a legend or the caption. Shading in figures should be black, white, or coarse cross-hatching; do not use half-tone shading or background.
For each figure, a high-quality graphics file or original drawing must be submitted with the final version of the manuscript. Graphics files should be in TIFF (preferably), GIS, or EFS format, separate from the text document. A high-resolution JPG file may work; graphics in Word format are not acceptable.
Photographs—Pacific Seabirds occasionally publishes photos. The best ones are very sharp, with good detail and a range of dark/light values. Digital images submitted by e-mail must be at least 250 ppi (when reduced to publication size). The common low-resolution snapshot (often 72 ppi) does not reproduce well in publication; most cameras give the option of higher resolution. Do not submit half-tone originals. If the original is in color, submit it in that format; the editor will convert it to black and white.
Art work—Original art work is welcomed. The original or a high-resolution scan should be sent. Pen and ink drawings reproduce the most satisfactorily.
REVISIONS AND PROOFS
Materials that are sent for peer review will be returned to the author, along with reviewers’ and editorial suggestions. If the Editor has accepted the article, he or she will endeavor to return the manuscript within 60 days. If the article needs major work, the author may be invited to revise and re-submit it for future acceptance.
For peer-reviewed articles, proofs will be mailed to the author before publication. Corrections should be returned within one week. Proofs of other materials will not be sent to the author unless he or she requests them.
The Pacific Seabird Group publishes symposia and other works. **PSG Symposia** are occasionally held at Annual Meetings; those which have been published are listed below. **Technical Reports** prepared by PSG working groups also are listed. *To order one of these PSG publications, please see instructions after each item.*
**Abstracts** of papers and posters given at PSG meetings are published annually. Abstracts for meetings of 1974 through 1993 appeared in the PSG Bulletin (Volumes 2–20); for meetings of 1994 through 2003, in *Pacific Seabirds* (Volumes 21–30); and for meetings of 1997 and later, at www.pacificseabirdgroup.org
PSG publishes the journals *Pacific Seabirds* (www.pacificseabirdgroup.org) and *Marine Ornithology* (www.marineornithology.org). Current and past issues of both journals are available online or by subscription. Back issues may be obtained online; those of *Pacific Seabirds* also are available from the PSG Treasurer (order form on last page).
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### SYMPOSIA
**SHOREBIRDS IN MARINE ENVIRONMENTS.** Frank A. Pitelka (Editor). Proceedings of an International Symposium of the Pacific Seabird Group. Asilomar, California, January 1977. Published June 1979 in Studies in Avian Biology, Number 2. *Available free of charge at* http://elibrary.unm.edu/sora/Condor/cooper/sab.php
**TROPICAL SEABIRD BIOLOGY.** Ralph W. Schreiber (Editor). Proceedings of an International Symposium of the Pacific Seabird Group, Honolulu, Hawaii, December 1982. Published February 1984 in Studies in Avian Biology, Number 8. *Available free of charge at* http://elibrary.unm.edu/sora/Condor/cooper/sab.php
**MARINE BIRDS: THEIR FEEDING ECOLOGY AND COMMERCIAL FISHERIES RELATIONSHIPS.** David N. Nettleship, Gerald A. Sanger, and Paul F. Springer (Editors). Proceedings of an International Symposium of the Pacific Seabird Group, Seattle, Washington, January 1982. Published 1984 as Canadian Wildlife Service, Special Publication. *Out of print; available free of charge at* www.pacificseabirdgroup.org
**THE USE OF NATURAL VS. MAN-MODIFIED WETLANDS BY SHOREBIRDS AND WATERBIRDS.** R. Michael Erwin, Malcolm C. Coulter, and Howard L. Cogswell (Editors). Proceedings of an International Symposium at the first joint meeting of the Colonial Waterbird Society and the Pacific Seabird Group, San Francisco, California, December 1985. Colonial Waterbirds 9(2), 1986, $12.00. *Order from:* Ornithological Societies of North America, PO Box 1897, Lawrence, Kansas 66044; phone (800) 627-0629; no online orders.
**ECOLOGY AND BEHAVIOR OF GULLS.** Judith L. Hand, William E. Southern, and Kees Vermeer (Editors). Proceedings of an International Symposium of the Colonial Waterbird Society and the Pacific Seabird Group, San Francisco, California, December 1985. Published June 1987 in Studies in Avian Biology, Number 10. $18.50. *Available free of charge at* http://elibrary.unm.edu/sora/Condor/cooper/sab.php
**AUKS AT SEA.** Spencer G. Sealy (Editor). Proceedings of an International Symposium of the Pacific Seabird Group, Pacific Grove, California, December 1987. Published December 1990 in Studies in Avian Biology, Number 14. *Available free of charge at* http://elibrary.unm.edu/sora/Condor/cooper/sab.php
**STATUS AND CONSERVATION OF THE MARBLED MURRELET IN NORTH AMERICA.** Harry C. Carter, and Michael L. Morrison (Editors). Proceedings of a Symposium of the Pacific Seabird Group, Pacific Grove, California, December 1987. Published October 1992 in Proceedings of the Western Foundation of Vertebrate Zoology, Volume 5, Number 1. $20.00. *Order from PSG Treasurer* (order form on last page), *or available free of charge at* www.pacificseabirdgroup.org
**THE STATUS, ECOLOGY, AND CONSERVATION OF MARINE BIRDS OF THE NORTH PACIFIC.** Kees Vermeer, Kenneth T. Briggs, Ken H. Morgan, and Douglas Siegel-Causey (editors). Proceedings of a Symposium of the Pacific Seabird
Group, Canadian Wildlife Service, and the British Columbia Ministry of Environment, Lands and Parks, Victoria, British Columbia, February 1990. Published 1993 as a Canadian Wildlife Service Special Publication, Catalog Number CW66-124-1993E. **Order free of charge from:** Publications Division, Canadian Wildlife Service, Ottawa, Ontario, K1A OH3, Canada.
**BIOLOGY OF MARBLED MURRELETS—INLAND AND AT SEA.** S. Kim Nelson and Spencer G. Sealy (Editors). Proceedings of a Symposium of the Pacific Seabird Group, Seattle, Washington, February 1993. Published 1995 in Northwestern Naturalist, Volume 76, Number 1. $12.00. **Order from PSG Treasurer** (order form on last page), or **available free of charge at** www.pacificseabirdgroup.org
**BEHAVIOUR AND ECOLOGY OF THE SEA DUCKS.** Ian Goudie, Margaret R. Petersen and Gregory J. Robertson (editors). Proceedings of the Pacific Seabird Group Symposium, Victoria, British Columbia, 8–12 November 1995. A special publication compiled by the Canadian Wildlife Service for the Pacific Seabird Group. Published 1999 as Canadian Wildlife Service Occasional Paper number 100, catalog number CW69-1/100E. **Order free of charge from:** Publications Division, Canadian Wildlife Service, Ottawa, Ontario, K1A OH3, Canada, or **available free of charge at** www.pacificseabirdgroup.org
**SEABIRD BYCATCH: TRENDS, ROADBLOCKS AND SOLUTIONS.** Edward F. Melvin and Julia K. Parrish (editors). Proceedings of an International Symposium of the Pacific Seabird Group, Blaine, Washington, 26–27 February 1999. Published 2001 by University of Alaska Sea Grant, Fairbanks, Alaska. Publication no. AK-SG-01-01. $40.00. **Order from publisher.**
**BIOLOGY, STATUS, AND CONSERVATION OF JAPANESE SEABIRDS.** Nariko Oka (editor). Proceedings of an International Symposium of the Japanese Seabird Group and Pacific Seabird Group, Lihue, Hawaii, February 2001. Journal of the Yamashina Institute of Ornithology 33(2); Symposium (5 papers), pp 57-147, other papers pp. 148-213. In English with Japanese abstracts. $75.00. **Order from PSG Treasurer** (order form on last page).
**OIL AND CALIFORNIA’S SEABIRDS.** Harry R. Carter (convener) and Anthony J. Gaston (editor). Proceedings of a Symposium of the Pacific Seabird Group, Santa Barbara, California, February 2002. Published 2003 in *Marine Ornithology* 31(1). **Available free of charge at** www.marineornithology.org
**THE BIOLOGY AND CONSERVATION OF THE AMERICAN WHITE PELICAN.** Daniel W. Anderson, D. Tommy King, and John Coulson (editors). Proceedings of a Symposium of the Pacific Seabird Group. *Waterbirds*, Volume 28. Special Publication 1, 2005. Published by the Waterbird Society. $15.00. **Order from PSG Treasurer** (order form on last page).
**NEW! BIOLOGY AND CONSERVATION OF XANTUS’S MURRELET.** Harry R. Carter, Spencer G. Sealy, Esther E. Burkett, and John F. Piatt (editors). First part of the proceedings of a symposium of the Pacific Seabird Group, Portland, Oregon, January 2005. Published 2005 in *Marine Ornithology* 33(2):81-159. **Available free of charge at** www.marineornithology.org
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**Information on presenting symposia:** Pacific Seabird Group Symposia or Paper Sessions may be arranged by any member who is interested in a particular topic. Before planning a special session, refer to Meetings/Symposia Guidelines at www.pacificseabirdgroup.org; also contact the Coordinator of the Publications Committee and the Scientific Chair for the meeting.
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**TECHNICAL PUBLICATIONS**
**EXXON VALDEZ OIL SPILL SEABIRD RESTORATION WORKSHOP.** Kenneth I. Warheit, Craig S. Harrison, and George J. Divoky (editors). Exxon Valdez Restoration Project Final Report, Restoration Project 95038. PSG Technical Publication Number 1. 1997. **Available free of charge at** www.pacificseabirdgroup.org
**METHODS FOR SURVEYING MARBLED MURRELETS IN FORESTS: A REVISED PROTOCOL FOR LAND MANAGEMENT AND RESEARCH.** Pacific Seabird Group, Marbled Murrelet Technical Committee. PSG Technical Publication Number 2. 2003. **Available free of charge at** www.pacificseabirdgroup.org
Committees do much of PSG’s business, as well as the conservation work for which PSG is respected. The committees welcome (and need) participants; contact the coordinators for information.
**AWARDS COMMITTEE**
The Awards Committee consists of the Past Chair, Chair, and Chair-elect. Committee members for 2008 are Verena Gill (chair), Doug Bertram, and Greg Balogh; contact information is on inside back cover.
**CONSERVATION COMMITTEE**
Craig S. Harrison, 4953 Sonoma Mountain Road, Santa Rosa, CA 95404, USA. Telephone: (202) 778-2240, e-mail: email@example.com
**CONSERVATION SMALL GRANTS COMMITTEE**
Robert Day, ABR, Inc.—Environmental Research and Services, P.O. Box 80410, Fairbanks, AK 99508-0420, USA. Telephone: (907) 455-6777, e-mail: firstname.lastname@example.org
**ELECTION COMMITTEE**
Pat Baird, Simon Fraser University, Centre for Wildlife Ecology, Department of Biological Sciences, Burnaby, BC, Canada V5A 1S6. Telephone: (604) 928-5510, e-mail: email@example.com
**JAPAN SEABIRD CONSERVATION COMMITTEE**
Motohiro Ito, Hokkaido University, 3-1-1, Minato-cho, Hakodate, Hokkaido 041-8611, Japan. Telephone and fax: 0138-40-8863, e-mail: firstname.lastname@example.org
**KITTLITZ’S MURRELET TECHNICAL COMMITTEE**
Michelle L. Kissling, U.S. Fish and Wildlife Service, 3000 Vintage Blvd, Suite 201, Juneau, AK 99801, USA. Telephone: (907) 780-1168, Fax: (907) 586-7154, e-mail: email@example.com
**LOON/GREBE TECHNICAL COMMITTEE**
Joel Schmutz, U.S. Geological Survey, 1011 E. Tudor Rd., Anchorage, AK 99503, USA. Telephone: (907) 786-3518, e-mail: firstname.lastname@example.org
**MARBLED MURRELET TECHNICAL COMMITTEE**
William P. Ritchie, P.O. Box 1102, Port Angeles, WA 98362-0209, USA. Telephone: (360) 902-2365, fax: (360) 417-3302, e-mail: email@example.com
**PUBLICATIONS COMMITTEE**
Patrick Jodice, South Carolina Cooperative Fish and Wildlife Research Unit, Clemson University, Clemson, SC 29634, USA. Telephone: (864) 656-6190, fax: (864) 656-1034, e-mail: firstname.lastname@example.org
**SEABIRD MONITORING COMMITTEE**
Scott Hatch, Biological Resources Division, U.S. Geological Survey, Alaska Biological Science Center, 1011 E. Tudor Rd., Anchorage, AK 99503 USA. Telephone: (907) 786-3529, fax: (907) 786-3636, e-mail: email@example.com
**XANTUS’S MURRELET TECHNICAL COMMITTEE**
Shaye Wolf, Island Conservation, 100 Shaffer Road, University of California, Santa Cruz, California 95060. Telephone: (831) 459-4581, e-mail: firstname.lastname@example.org.
**PSG DELEGATES TO THE AMERICAN BIRD CONSERVANCY**
Craig S. Harrison, 4953 Sonoma Mountain Road, Santa Rosa, CA 95404, USA. Telephone: (202) 778-2240, e-mail: email@example.com. And Malcolm C. Coulter, P.O. Box 48, Chocorua, NH 03817 USA. Telephone: (603) 323-9342, e-mail: firstname.lastname@example.org
PSG LIFE MEMBERS 2008
David Ainley
Sarah G. Allen
Daniel W. Anderson
Edgar P. Bailey
Pat Herron Baird
Lisa Ballance
Mrs. Don Bishop
Kenneth T. Briggs
Joanna Burger
Douglas Causey
Ellen W. Chu
Roger B. Clapp
Cheryl Conel
Malcolm C. Coulter
Kathy Cousins
Theodore L. Cross
Jeff Davis
Robert H. Day
Tony DeGange
Jan Dierks
George J. Divoky
Stewart Fefer
Lloyd C. Fitzpatrick
Elizabeth Flint
Douglas J. Forsell
Michael Fry
Adrian Gall
Lisa Haggbloom
Judith Latta Hand
Craig S. Harrison
Scott A. Hatch
Monica Herzig Zürcher
Nancy Hillstrand
Joel D. Hubbard
David B. Irons
Ronald Javitch
Sarah Keller
James G. King
Kathy Kuletz
James Kushlan
Lora Leschner
David B. Lewis
Peter Major
Eugene Y. Makishima
Vivian Mendenhall
Godfrey Merlen
Pat Mock
Ken Morgan
Edward C. Murphy
Maura Naughton
S. Kim Nelson
David R. Nysewander
Haruo Ogi
Koji Ono
Katie O’Reilly
Julia K. Parrish
Robert Pitman
C. John Ralph
William P. Ritchie
Chad Roberts
Daniel D. Roby
Gerald A. Sanger
Palmer C. Sekora
Nanette Seto
Kouzi Shiomii
Kitty Simonds
William E. Southern
Arthur L. Sowls
Jeffrey A. Spendelow
Takaki Terasawa
W. Breck Tyler
Enriqueta Velarde Gonzalez
Kees Vermeer
John S. Warriner
Yutaka Watanuki
Jennifer Wheeler
Jeff Williams
RECIPIENTS OF PSG’S LIFETIME ACHIEVEMENT AWARD
Philip and Myrtle Ashmole
James C. Bartonek
W.R.P. Bourne
Richard G.B. Brown
G. Vernon Byrd
John Croxall
Charles Guiguet†
Michael P. Harris
Thomas R. Howell†
George L. Hunt, Jr.
Karl W. Kenyon†
James G. King
Spencer G. Sealy
Robert E. Ricklefs
Miklos D.F. Udvardy†
John Warham
RECIPIENTS OF PSG’S SPECIAL ACHIEVEMENT AWARD
Malcolm Coulter
George J. Divoky
Craig S. Harrison
Hiroshi Hasegawa
Lora Leschner
Edward Melvin
S. Kim Nelson
Arthur L. Sowls
Steven M. Speich†
Mark J. Rauzon
†Deceased
Pacific Seabird Group
Membership Application/Publication Order Form
(Please copy)
**Membership (includes subscription to Pacific Seabirds)**
- Individual and Family $30.00
- Student (undergraduate and graduate) $24.00
- Life Membership¹ $900.00 (optional payment plan: five $180 installments)
- Sponsored Membership $30.00
Name of Sponsored Member______________________________________________________ $__________
**Donations²**
- To the Endowment Fund¹ $__________
- Other (please specify)_________________________________________________________ $__________
**Pacific Seabird Group publications**
A full list of PSG publications appears on the preceding pages. If the publication you want is not listed on this page, please order according to information in the publications list.
**Back issues of Pacific Seabirds (can also be downloaded from www.pacificseabirds.org)**
- Vols. 1-8 (1974-1981) _________________________________ _________ x $2.50 $__________
- Vols. 9 (1982 to present) _______________________________ _________ x $5.00 $__________
**PSG Symposia**
- Status and Conservation of the Marbled Murrelet in North America ___________ x $20.00 $__________
- Biology of Marbled Murrelets: Inland and at Sea _________x $12.00 $__________
- Biology, Status, and Conservation of Japanese Seabirds ___________ x $75.00 $__________
- The Biology and Conservation of the American White Pelican ___________ x $15.00 $__________
**TOTAL ENCLOSED**
Prices include postage (surface rate) and handling.
**SEND CHECK OR MONEY ORDER (payable in US dollars to the Pacific Seabird Group) to:** Ron LeValley, PSG Treasurer, P.O. Box 324, Little River, CA 95456-0519, USA.
MEMBERSHIPS (new and renewing) and DONATIONS may also be paid online at www.pacificseabirdgroup.org
---
² Proceeds from Life Memberships go to the Endowment Fund, which supports the publications of the Pacific Seabird Group. Contributions may be given for a specified purpose; otherwise they also go to the Endowment Fund.
¹ Donations may be tax-deductible; see inside front cover for more information.
**Member/Sponsor or Order**
Name_____________________________________________________
Address_____________________________________________________________________
___________________________________________________________________________
Telephone_____________________________________________________
Fax_______________________________________________________________
E-mail_____________________________________________________________________
**Deliver/Ship to (if different)**
Name_____________________________________________________
Address_____________________________________________________________________
___________________________________________________________________________
Telephone_____________________________________________________
Fax_______________________________________________________________
E-mail_____________________________________________________________________
Pacific Seabirds • Volume 35, Number 2 • Fall 2008 • Page 69
PSG EXECUTIVE COUNCIL 2008
For Executive Council members in current year (if different), see PSG's web site, http://www.pacificseabirdgroup.org
Officers
Chair
Doug Bertram, Canadian Wildlife Service, Institute of Ocean Sciences, 9860 West Saanich R., P.O. Pox 6000, Sidney, BC, Canada V8L 4B2. Telephone: (250) 363-6735; fax: (250) 363-6390; e-mail: email@example.com
Past Chair
Verena Gill, U.S. Fish and Wildlife Service, Marine Mammals Management, 1011 E. Tudor Rd., MS 341, Anchorage, AK 99503-6199, USA. Telephone: (907) 786-3584, or (907) 250-3721 (cell); fax: (907) 786-3816; e-mail: firstname.lastname@example.org
Chair-Elect
Greg Balogh, U.S. Fish and Wildlife Service, 605 W. 4th Ave. Rm G-61, Anchorage, AK 99501, USA. Telephone: 907-271-2778; Fax: 907-271-2786; e-mail: email@example.com
Vice-Chair for Conservation
Craig S. Harrison, 4953 Sonoma Mountain Road, Santa Rosa, CA 95404, USA. Telephone: (202) 778-2240; e-mail: firstname.lastname@example.org
Treasurer
Ron LeValley, P.O. Box 324, Little River, CA 95456-0519, USA. Telephone: (707) 496-3326 (cell), (707) 937-1742 (work); fax: (707) 937-2868; e-mail: email@example.com
Secretary
Mark Hipfner, Pacific Wildlife Research Centre, Environment Canada, RR#1, 5421 Robertson Rd., Delta, BC, Canada V4K 3N2. Telephone: (604) 940-4720; Fax: (604) 946-7022; e-mail: firstname.lastname@example.org
Editor, Pacific Seabirds
Vivian Mendenhall, 4600 Rabbit Creek Rd., Anchorage, AK 99516, USA. Telephone: (907) 345-7124; fax (907) 345-0686; e-mail: email@example.com
Regional Representatives
Alaska and Russia
Heather Renner, Alaska Maritime NW, 95 Sterling Highway, Suite 1, Homer, AK 99603, USA. Telephone: (907) 226-4623; fax: (907) 235-7783; e-mail: firstname.lastname@example.org
Canada
Ken Morgan, Institute of Ocean Sciences, P.O. Box 6000, 9860 W. Saanich Rd., Sidney, B.C., Canada V8L 4B2. Telephone: (250) 363-6537; fax: (250) 363-6390; e-mail: email@example.com
Washington and Oregon
Don Lyons, Oregon Cooperative Fish and Wildlife Research Unit, Dept. of Fisheries and Wildlife, Oregon State University, 104 Nash Hall, Corvallis, OR 97331, USA. Telephone: (503) 791-2958; e-mail: firstname.lastname@example.org
Northern California
Craig Strong, Crescent Coastal Research, P.O. Box 2108, Crescent City, CA 95531, USA. Telephone: (707) 487-0246, or (707) 954-3500 (cell); e-mail: email@example.com
Southern California
Dan Robinette, PRBO Conservation Science, Vandenberg Field Station, 205 N. H St., Suite 217, Lompoc, CA 93436, USA. Telephone (805) 735-7300; fax (805) 735-8817; e-mail firstname.lastname@example.org
Non-Pacific United States
Melanie Steinkamp, U.S. Fish and Wildlife Service, 11510 American Holly Dr., Room 206C, Laurel, MD 20708, USA. Telephone (301) 497-5678; fax: (301) 497-5706; e-mail: email@example.com
Pacific Rim
Linda Elliott, Hawaii Wildlife Center, P.O. Box 5006, Hawi, HI 96719. Telephone and fax: (808) 884-5576; e-mail: firstname.lastname@example.org
Old World
Linda Wilson, Joint Nature Conservation Committee, Dunnet House, 7 Thistle Place, Aberdeen, AB10 1UZ, Scotland. Telephone: +44 (0) 1224 655713; Fax: +44 (0) 1224 621488; e-mail: email@example.com
Student Representative
Heather Major, Dept. of Biological Science, 8888 University Dr., Simon Fraser University, Burnaby, BC, Canada V5A 1S6. Telephone (778) 782-5618; Fax (778) 782-3496; e-mail: firstname.lastname@example.org
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Senator Elizabeth Warren delivers Stellar performance at town hall event
By Othor Cain
Editor
Looking for that perfect comeback?
That’s what Massachusetts Sen. Elizabeth Warren has been doing since her botched handling of claims of Native American heritage. She has watched other senators that are 2020 presidential hopefuls zoom past her in their quest to become president Donald Trump next November.
Warren might have found her mojo.
At a CNN-sponsored town hall event held on the campus of Jackson State University, Mississippi, Warren delivered a very strong performance. Her strength in the policy arena was on full display as she told heart wrenching stories of her childhood struggles.
CNN’s Tapper, Chief Washington Correspondent, for CNN host of The Lead with Jake Tapper and host of CNNs Sunday morning public/political affairs program State of the Union, served as the moderator for the town hall. During one exchange with Tapper, Warren became very emotional as she shared her early childhood struggles.
Tapper: You talk about how your family stood at the brink of financial disaster through a good part of your childhood. How has that shaped your life in the Senate?
Warren: I’ll tell you about that. I have three older brothers. They all went off and joined the military. That was their ticket to America’s middle class. I was born into a life baby. My mother used to call me the “surprise” and about the time I was in middle school, my daddy had a heart attack and it was serious. Thought he was going to die. The church neighbors brought him a dish. It was a scary time. He survived but he couldn’t go back to work. We lost our family station wagon and at night I would hear my parents talk and that’s where I learned words like mortgage and foreclosure. I remember the day that I walked into my parents’ bedroom and laying out on the bed is the dress. And some people here will know the dress. It’s the one that only comes out on weddings, funerals, graduations and my mother is in a slip and in her stocking feet and she’s pacing back and forth and she’s crying. She is saying “we will not lose this house.” She was 50 years old and had never even caught the house. She was totally terrified. And I watched her while she finally just pulled it together, put that dress on, put on her high heels and blew her nose and walked to the Sears and got a minimum wage job, and that minimum wage job saved our house.
NAARC applauds reparations conversation by 2020 presidential contenders
By Julienne Malveaux
NNPA News Wire Columnist
The National African American Reparations Commission (NAARC) applauds the presidential contenders for their recent expressed interest in reparations and calls on all the candidates to prioritize reparative justice as an issue of importance to black voters in the weeks and months ahead.
NAARC is also calling on all 2020 candidates, as well as other lawmakers, to support HR40, the reparations bill authored by former US Cong. John Conyers, which has languished in Congress since 1989. HR-40, which was reintroduced in the 115th Congress, was developed by the late Rep. Conyers and NAARC.
It calls for establishing a federal commission to study reparations proposals for African Americans that would repair the horrific socio-economic damages caused by the enslavement and generations of racially exclusive/discriminatory policies and practices post-emancipation.
The current reparations conversation, namely being forged by candidates Sens. Kamala Harris, Elizabeth Warren and former Housing Secretary Julian Castro, is especially relevant in light of the fact that 2019 marks the 400th Anniversary of the arrival of Africans in chains in Virginia, which opened the era of slavery, one of the most sordid chapters in U.S. history.
“In general, the recent statements by presidential candidates are a positive development,” said Ron Daniels, Convenor of NAARC and president of the Institute of the Black World 21st Century (IBW). “They reflect an increasing body of scholarship that increasingly draws the connection between the arrival of Africans and the persistent wealth-gap and underdevelopment of Black America.”
Candidates are also responding to the growing, multifaceted reparations movement in this country and to the fact that in recent public opinion polls, reparations now enjoys the support of a majority of African Americans as well as from a growing percentage of young white millennial voters.
“NAARC stands ready to educate and orient candidates and legislators on the definition, background, process, internationally accepted norms and historical precedents for reparations to repair damages inflicted on peoples and nations. Hopefully, this will enrich the public dialogue on this vital issue,” added Daniels.
NAARC was established in April 2015 at a National/International Reparations Summit convened by IBW in New York City. The nonpartisan group is comprised of distinguished Black leaders from across the U.S. in the fields of education, health, wealth, economic development, religion, labor, civil and human rights.
For decades, the National Coalition of Blacks for Reparations in America (NCOBRA) has been a leading force advancing the struggle for reparations in the U.S. Kamm Howard, national co-chairperson of NCOBRA and a NAARC commissioner, welcomes the surge in support for reparations by the presidential candidates but insists that the discussion and debate be centered around reparations and full reparations.
“The international standard holds that reparations ‘must wipe out all consequences’ of the wrongful acts committed against enslaved Africans,” said Howard. “To get us to full repair, policies programs and practices must be developed to produce the following outcomes: cessation and guarantee of non-repetition, restitution, compensation, satisfaction, and rehabilitation. These are the intended outcomes of HR 40. The candidates, some of whom are Senators, should craft a Senate companion bill. This can be done now if they are serious about their support for reparations.”
To help frame the public discourse and as a guide for action by governmental and private entities, NAARC has devised a comprehensive and detailed 10-point reparations proposal that addresses the issues of repair and restitution. The creation of a National Reparations Trust Fund is among the proposals outlined in the NAARC Reparations Program.
The authority would receive funding grants, scholarships, land and other forms of restitution to benefit the collective advancement of Black America. It would be comprised of a cross-section of credible representatives of reparations, civil rights, and human rights, labor, faith, educational, civic and fraternal organizations and institutions.
Reparations
Continued on page 3
JSU student Stacey Lanthrip named MCM February Volunteer of the Month
The Mississippi Link Newswire
Jackson State University (JSU) student Stacey Lanthrip has been named the Mississippi Children’s Museum (MCM) Volunteer of the Month for February.
“Volunteering challenges us to work with new people and explore different surroundings,” explains Sharon Griffin, volunteer coordinator at MCM and adjunct professor at JSU. “Stacey Lanthrip only recently started volunteering at our museum and jumped right in and tackled many different tasks presented to her. She is passionate, positive and genuinely enjoys helping children.”
MCM is one of the approved sites at which JSU students can volunteer within the community. Students are required to complete 120 hours of volunteer service in order to graduate.
“At first, I was a little nervous, because I wasn’t familiar with the MS Children’s Museum,” reflected Lanthrip. “Now I’m glad I chose MCM. Everyone has made me feel so welcome. I wouldn’t trade my experience for anything!”
“I have really enjoyed seeing the smiles on faces of children who visit the museum,” shared Lanthrip. “The highlight of my time volunteering at MCM was during Dr. Seuss’ Silly Birthday Celebration when a little girl walked up to me while I was wearing my Dr. Seuss hat and gave me a hug. That melted my heart and made me so glad that I decided to volunteer at the museum.”
“Volunteers are a vital part of the MCM team,” said Griffin. “They assist us with special programs and activities, and they help us carry out our mission within the community. We are very thankful for all of our terrific volunteers.”
For more information about volunteer opportunities at MCM, go to www.mschildrensmuseum.org.
Reverend Marquette R. Wells delivered opening Prayer to the state senate
Reverend Marquette R. Wells, Pastor of Greater Harvest Missionary Baptist Church in Jackson, delivered an opening prayer to the state senate on Wednesday, March 20, 2019, at the invitation of Senator David Blount, who led the Pledge of Allegiance before Lt. Governor Tate Reeves guided lawmakers into the day’s business.
The Mississippi Senate, Monday, March 18, 2019 honored Civil Rights icon and blues advocate Dr. Edgar E. Smith of Jackson, who presented Senate Concurrent Resolution 541 saluting his longtime dedication to promoting the blues and seeing that blues musicians could find financial assistance when needed.
Smith, a retired biochemist, is chairman of the Mississippi Blues Commission’s Blues Musicians Benefit Fund, supported primarily by the sale of Mississippi Blues Trail license plates, a $10,000.00 yearly gift from the Mississippi Blues Marathon, and private donations. Smith
“As a son of the Delta, I am keenly aware of the challenges that confront these artists on a daily basis. Many musicians, especially the older ones, have no health insurance and no other source of income other than what they get from blues gigs,” said Smith, who has helped raise hundreds of thousands of dollars to assist struggling blues artists.
Smith said since 2011, they have gifted $92,000 to blues artists in need.
Dr. Edgar E. Smith, (4th from right), accepted Senate Concurrent Resolution 541 from Senator John Horhn, as Malcolm Shepherd, a member of the Central Mississippi Blues Society, (6th from right), holds Senate Concurrent Resolution 633, presented to him by Senator Horhn recognizing the cultural contributions of the organizations, as retired Tougaloo College President Beverly Hogan looks on.
Warren
Continued from page 1
house, but more importantly, it saved our family.
This exchange with Tapper gave America a clearer perspective of who Warren is as a person and not just a candidate. It offered a glimpse into her heart. For more than an hour, Warren hit on issues ranging from the future of health care in America to her plan to break up tech giants like Amazon, Facebook and reparations.
Warren launched her presidential campaign early but has struggled to break through in the initial round of primary polling. She used the national stage to show off the energetic stage presence and affecting personal story that have become a hallmark of her presence on the stump.
Warren said Monday she believes Mississippi should adopt a new state flag without the Confederate battle emblem.
“Mississippi’s the only state in the country that still has the confederate battle emblem on the state flag – do you think Mississippi should adopt a new flag?” Tapper asked.
Warren replied with one word – “Yes” – and was met with loud applause from the crowd.
A question from an audience member went deeper.
“As a presidential hopeful, do you have any plans on addressing the removal, or lack there of, of the reminders of this nation’s dark past, or have any plans on preserving the nation’s history in a way that explains it in a more educational sense versus showing praise to the losing side?”
Warren said she would “support removing Confederate celebrations from federal land and putting them in museums, where they belong.”
Warren found her momentum.
See related story page 16.
Reparations
Continued from page 1
The legislation would be empowered to establish subsidiary trust funds to administer projects and initiatives in the areas of culture, economic development, education, health and other fields as deemed appropriate based on the demands of the Reparations Program (https://bit.ly/2TOMlZt).
To increase public awareness of the Program, NAARC has organized several luncheons and town hall meetings in Atlanta and New Orleans and plans to hold additional sessions in a number of cities across the country.
Pan-Africanist and international movements in support of slavery reparations have emerged across the globe, from the Caribbean and Latin America to Europe, Asia and Australia. In that regard, it is significant to note that NAARC works closely with the CARICOM Reparations Commission (CRC) which is claiming reparations from the former European colonial powers for Native genocide and African enslavement.
In addition, there is a growing movement within the American electorate to support reparations for slavery. This movement has been led by the NAACP, which has been calling for reparations for slavery since 1910. The NAACP has also called for reparations for the victims of the transatlantic slave trade.
Collins
Continued from page 1
2007, in the Incident of Joshua Brown: An Interrogation, Juvenile Defense Training Module, published Spring of 2008. Doubly, hopefully, A Practical Clog in the School House to Jail House Pipeline; Avoiding the School-House to Jail-House Track, A Self Help Handbook for Children, Parents, and Community Leaders; and Train the Trainer, Juvenile Justice Advocacy Training Manual.
In 2018, she was nominated for recognition as one of Mississippi’s Most Outstanding Women Lawyers. She is member of the Project Equity Advisory Board.
Her military career exceeds 20 years of both active and reserve duty. Assignments include Counterintelligence Platoon Leader, 504th MI BDE; Commander, Special Security Group, Ft. Meade, MD with assignment at the Test and Experimentation Command; Battalion S2, 2-2 Air Defense Artillery Battalion; Security and Intelligence Officer, 540th MI BN (TXNG); SIGNET/EW and Operations Officer, 255th Military Intelligence Company (MSNG); Intelligence Officer, 3rd Personnel Support Battalion; Security and Intelligence Officer, 3rd Personnel Command (USAR Deployed to Camp Arifjan, Kuwait); and Brigade S2, 177th AR BDE (USAR - Mobilized). Her last assignment was Command Inspector General for Camp Shelby Joint Forces Training Center (USAR – Mobilized).
She has been awarded the Meritorious Service Medal (1 Oak Leaf Cluster), Joint Service Medal, and the Army Commendation Medal (3 Oak Leaf Clusters).
Collins’ military education includes Basic Training - Private Riley - 1985, Military Intelligence Officer Basic Course - 1988, Military Intelligence Officer Advanced Course Jun1994, Combined Arms and Services Staff School, -1997 Command and General Staff Course 2009, and the Inspector General School -2010. She has also completed the following Naval War College courses: Joint Military Operations Course – 2013, the Strategic and Warfare Course – 2012, and the National Security Decision Making Course – 2011 earning 12 hours toward a Master of International Relations.
Collins is a member of New Horizon Church International, Leadership Jackson and Alpha Kappa Alpha Sorority, Inc. She has been a racial diversity trainer for Leadership Madison. In January 2014, Collins was appointed as a member of the US Commission on Civil Rights Mississippi Advisory Committee.
MVLP to co-sponsor free “Restoration Day” Expungement Clinic in Hinds County
Mississippi Link Newswire
The Mississippi Volunteer Lawyers Project (MVLP), the Clinton Alumnae Chapter of Delta Sigma Theta Sorority, Inc., and the Magnolia Bar Association are hosting a “Restoration Day” Expungement Clinic to assist low-income residents with clearing their record. The clinic will be held Saturday, March 30, 2019, 9 a.m. at Belmont Baptist Church-Raymond, 1811 MS-Hwy 18, Raymond, MS 39154. Participants must bring the following documents to receive services:
• Your driver’s license or state issued ID
• A copy of your abstract (obtained from municipal/juvenile court in the city where the charges were received) or sentencing order (obtained from Circuit Court in the county where the charges were received) and copies of any and all documents related to the incident you want to be expunged
• Record(s) of any previous expungement and
• Proof that terms of sentence have been completed with completed copy of abstract from court or certificate showing that you have completed terms of probation.
This clinic is free and open to individuals with misdemeanor and felony charges received in Mississippi. Individuals should not have any new or pending charges. Individuals who qualify may be eligible to meet with an attorney for one-on-one to have their expungement documents drafted. The services are free; however, the individual is responsible for their court filing fees.
For more information on MVLP pro-se legal clinics, please contact 601-882-5001 or visit http://www.mvlp.net/pro-se-legal-clinic-schedule/.
“Couture Cares” presents HER PROM CLOSET Experience – Jackson
Mississippi Link Newswire
Saturday, March 23, 2019 at 11 a.m.-2 p.m., Couture Cares will present Her Prom Closet Giveaway at Cade Chapel MB Church Family Life Center, 1040 Ridgeway Street, Jackson, MS 39213.
In addition to several community events and awarding of scholarships to high school students, Couture Care presents its first prom closet each year in Memphis for young ladies in the Memphis and Shelby County School Districts. This is the 5th year the organization has presented the event in Memphis. Additionally, for the 2nd year, the organization presented the event in Chicago, IL and the 1st year for Jackson, MS.
On the day of the event, there will be a welcome from Rev. Reginald Buckley, moderator of Cade Chapel, guest speaker and plenty of giveaways. Afterwards the young ladies will have an opportunity to select a prom dress and accessories at no cost along with a free lunch sponsored by McAlister’s and much more!
The 2019 Couture Cares Her Prom Closet will host about 80 local high schools’ girls from the Jackson Public School District. The young ladies will be trying on dresses to find their perfect fit. There will be a completely unique experience. This will be a life changing experience for a lot of girls, where they can say “Yes To The Dress” simply because they have never experienced something such as this.
“I am committed to making a difference to our youth and Couture Cares has given me the platform to help young ladies,” said Davina Jones, founder and CEO of Couture Cares.
For anyone wanting to donate we accept donations over the phone or directly monetary at couturecares.org #ROCKITWEARITGIVEIT #HPC2k19
Point of contact for more information is Colonel Marlene McReyns-Oliver, email@example.com or at 601-207-4352.
2019 Mississippi Spelling Bee winner, runner-up announced
Mississippi Link Newswire
Yolanda Ni is the winner of the 2019 Mississippi Spelling Bee. Ni is an eighth-grade student at Oak Grove Middle School in the Lamar County School District. She spelled the word “apothecary” for the win.
The runner-up was Soyeon Park, an eighth-grade student at Armstrong Middle School in the Starkville Oktibbeha School District. Park was the 2017 winner of the Mississippi Spelling Bee.
Mississippi Public Broadcasting broadcast the spelling bee live on MPB Television as well as online. The event was sponsored by the Mississippi Association of Educators and took place at the MPB Auditorium, 1000 Ridgewood Road in Jackson.
Ni, who was competing for the fourth time in the state bee, will vie for a chance to become the nation’s top speller during the 92nd Scripps National Spelling Bee in Washington, D.C. in May. The winner of the national competition will emerge from a pool of 11 million spelling bee participants.
For additional information concerning the Mississippi Spelling Bee, contact MAE Director of Communications Hannah Orlansky at 601-354-4463 ext. 3009 or email her at firstname.lastname@example.org.
House District 71 Representative Ronnie Crudup Jr. Swearing-In Ceremony
March 18, 2019 • House of Representatives Chamber • Jackson, MS
PHOTOS BY KEHINDE GAYNOR
Crudup and family with Speaker of the House Phillip Gunn
Crudup taking oath from speaker Gunn
Crudup addresses chamber after swearing-in
A legacy of family
Crudup and wife Andrea
Smarter energy for a brighter tomorrow.
At Entergy Mississippi, we’re taking action today to build a smarter energy future for generations. That means more reliability, fewer outages and more customer control.
COMMUNITY SOLAR
Entergy customers can soon join our push for solar power. Participating in community solar has many benefits, which may include monthly bill credits. More important, it’s an opportunity to help cultivate a smarter energy future for generations to come.
ADVANCED METERING
Over the next three years, Entergy Mississippi will be installing new technologies to better serve our customers and crews. More detailed energy usage information will help customers potentially lower their bills while improving outage response time.
SMART SERVICES
We’re always searching for ways to provide our customers with more options to manage energy costs. So we’re developing new services like fixed billing, green pricing and smart thermostats. We may also provide eligible customers with backup generators to ensure power stays on—no matter what.
Part of building a bright future includes keeping our rates among the lowest in the nation to attract new business and lift our communities. Because together, we power life.
Learn more about Mississippi’s bright energy future at entergybrightfuture.com.
WE POWER LIFE™
Congratulations to the 2019 Reading Fair winners
Mississippi Link Newswire
Jennifer Walker of Spamm Elementary and twin sisters Arielle and Arianna Brumfield of Bailey APAC Middle School were winners of the Regional Reading Fair held February 1 in Jackson. They also qualified to compete in the State Fair held February 26.
The Mississippi Reading Fair originated at the Mississippi Department of Education in 1998.
The purpose of the competition is to provide students in grades K-12 the opportunity to share their favorite fictional book through a storyboard display.
The goal of the Reading Fair is to enhance and encourage reading at all grade levels and to allow students to collaborate with their peers.
There are four levels of competition: Level 1 – School Level 2 – District, Level 3 – Regional and Level 4 – State. Only first place winners in each division proceed to the next round of competition.
Students’ participation in the school and district reading fairs prepares them for the regional and state competitions.
City Of Jackson awarded $1.2 M grant to introduce Universal Pre-K pilot program
Mississippi Link Newswire
On Monday, March 18, Mayor Chokwe Antar Lumumba along with Chief Administrative Officer Robert Blaine and Director of Human and Cultural Services, Adrienne Dorsey Kidd announced plans to develop a Universal Pre-K pilot program in Jackson, funded by a $1.2 million grant awarded to the city by the W.K. Kellogg Foundation.
During the announcement, Mayor Lumumba said, “We are excited about the partnership with the W.K. Kellogg Foundation to support the city’s initiative to provide universal pre-K. We have recognized that one of the significant deficits in children’s ability to learn in Jackson Public Schools is that they are entering into the school system at different levels of preparation, and we need to assist our community in preparing our young people to start school ready to learn. To take a quote from Frederick Douglas, it is said that it is a lot easier building strong children than repairing broken men. And so, as we try to build a dignity economy, we must invest in our children from the start.”
While research shows that 90 percent of children entering grade school are ill-equipped for learning, the Universal Pre-K program, Ready To Learn, seeks to ensure that every child in Jackson is well-prepared to enter kindergarten by the age of five.
“Ready To Learn creates the opportunity to develop a program that ensures that all five-year-olds enter kindergarten ready for the learning environment. One of the greatest enhancements that we can make to our educational system is to make sure that students enter kindergarten on grade level. If we can achieve this transition, it will both enhance what happens in our public schools and provide a foundation of educational success for all of our students,” said Blaine.
The Ready To Learn pilot program is undergoing a two-year development process with the first year dedicated to building data and coalitions of early childhood educators across the city. The second year will focus on implementing the pilot universal pre-K program at two early childhood development centers in Jackson.
“I think the grant from Kellogg is going to be life-changing. It gives us an opportunity to level the playing field. Our kids are invested just as any other child would be; I think their brightness will shine through because if given the same opportunity, we can perform at the same rate or better according to research,” said Kidd.
The Ready To Learn program will be made available to home-schooled children through child television programming and curriculum offered by the City of Jackson’s PEG Network.
Additionally, the grant seeks to offer technical assistance for early childhood development centers to become certified universal pre-K facilities.
Through the implementation and success of Ready To Learn, the City of Jackson hopes to expand the program with federal funding.
JSU general counsel honored as Mississippi Business Journal’s 2018 Leaders in Law
By LaToya Hertz-Moore
email@example.com
Edward Watson was recently recognized as one of the top attorneys in the state by the *Mississippi Business Journal*.
“I am humbled to receive this honor and recognition,” says Watson. “I have been influenced to continually give my all to what matters the most to me, a vast amount of people, both in my family and professional life.”
For more than 16 years, Watson has represented clients in the areas of higher education law, municipal law, labor and employment law, construction, commercial, governmental and general tort liability defense.
“The selection committee found that my knowledge, skills and successful representation on behalf of my clients and the community exemplifies integrity, aggression and passionate leadership,” says Watson. “Receiving this honor reminds me to continue to do justly, love mercifully and walk humbly in my personal and professional life.”
Previously, he has been selected as a Rising Star by Super Lawyers Top Attorneys in Mississippi for the past three consecutive years. Watson is licensed to practice law in all federal and state courts in the state of Mississippi. Prior to joining Jackson State, he was a founding member of the firm Alexander & Watson, P.A.
He is an alumnus of Tougaloo College where he earned a bachelor’s degree in political science. Watson acquired his juris doctorate degree from Mississippi College School of Law.
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Margaret Walker Center hosts 13th Annual Creative Arts Festival, extends submission deadline
Walker
The Margaret Walker Center invites proposals for papers, presentations and panels for the 13th Annual Creative Arts Festival, scheduled for Friday and Saturday, April 12 and 13, 2019. Proposals must be submitted electronically by March 22, 2019. The theme of the conference is “Arts as Activism / Activism as Arts.” The organizers welcome proposals from high school, undergraduate and graduate students on any topic.
Proposal submissions should be 250-500 words and should fit in one of four categories:
**Poetry/Spoken Word**
(10-15-minute presentations in original storytelling or poetry, including brief comments about inspiration &/or form of the work)
**Visual Arts** (up to 3 pieces of artwork in any media with 10-minute presentations)
**Writing** (10-page essays with 20-minute presentations)
**Performing Arts** (up to 15-minute dance, musical and theatrical presentations).
In the case of panel proposals, please submit the names of the participants and their credentials and provide a brief synopsis of the panel’s topic and of the individual paper proposals.
To submit a proposal, please send a document in Microsoft Word or Adobe PDF to firstname.lastname@example.org.
Note that submissions in the written and poetry categories will be considered for publication, and the best essay by a JSU student on the “black experience in the United States” will receive the $1,000 Margaret Walker Alexander Annual Award.
Submissions for the Margaret Walker Alexander Annual Award can be in many forms, including literary analyses, creative writing, research papers, biographical studies, autobiography, and historical studies.
JSU students who would like to be considered for this award must present their papers at the Creative Arts Festival Saturday, April 13, and submit their 10-page essays by Thursday, March 28, 2019.
This project is supported in part by funding from the Mississippi Arts Commission, a state agency, and in part, from the National Endowment for the Arts, a federal agency.
For more information, contact the Margaret Walker Center (email@example.com or 601-979-3935) or the Conference Coordinator, Dr. Helen Crump (firstname.lastname@example.org), and Dr. Robert Luckett (email@example.com).
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Mississippi Historical Society honors Wilcox for Mt. Olive Cemetery project
By LaToya Hertz-Moore
firstname.lastname@example.org
Heather Wilcox recently received the award of merit from the Mississippi Historical Society for her outstanding work to restore and preserve the Mount Olive cemetery. The organization is a non-profit membership association that has a unique blend of scholars and laypersons who share an interest in the history of Mississippi.
Mount Olive cemetery is located on the campus of Jackson State University and suffers from years of deferred maintenance with many deteriorated markers. The historic site is one of the oldest private cemeteries for African Americans in the state of Mississippi.
Wilcox’s ability to visualize the beauty underneath the dilapidated and decaying markers and mausoleums in the cemetery led to years of diligent research with the Center for University-Based Development staff to ensure proper restoration. Ultimately, she wanted to ensure that others did not forget the people buried there whose sacrifices made it possible for many of the freedoms we experience today.
“I completed the research for Mount Olive Cemetery because it was important to the community and our university,” says Wilcox. “Now we know how the cemetery was started, who is buried there, and this research tells the story of African-American culture in Jackson.”
Additionally, Wilcox has worked intensely to complete Phase I of the project, which included publishing a research book and restoring the Jim Hill and Ida Revels Redmond statues. In June 2017, Mount Olive Cemetery was finally added to the National Register of Historic Places.
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D’Andra Orey is the Anna Julia Cooper Teacher of the Year
By Rachel James-Terry
email@example.com
D’Andra Orey, professor of political science, received the Anna Julia Cooper Teacher of the Year Award March 15, 2019, at the 50th Anniversary of the National Conference of Black Political Science Associations annual meeting in Baton Rouge, L.A. Orey was nominated for the award by a former student.
“I was pleasantly surprised to receive notification of being selected for this year’s Anna Julia Cooper teaching award. In my role as teacher and advisor, I do not see myself as doing anything extra,” said Orey. “The students are so amazingly talented that often I really hand them an application and they are accepted into some of the most elite graduate programs and summer research programs in the country.”
Kesicia Dickinson, a former student of Orey’s who is currently pursuing her doctorate at Michigan State University, described the professor as a “selfless instructor and mentor” committed to student success.
“Dr. Orey played a vital role in my development throughout my undergraduate career and strongly influenced my decision to pursue a political science doctoral degree,” said Dickinson in a letter of support to members of the selection committee.
The Anna Julia Cooper Award is named after Anna Julia Cooper, administrator, and teacher at the M Street School and founder of the Fredrighsen University. She lived in Washington D.C. Although Cooper was born into a condition of enslavement, she eventually received a bachelors and masters in mathematics and her Ph.D. in French from the University of Paris more commonly known as the Sorbonne.
Orey believes that it is not him but the students who go the extra mile to achieve their goals. “So, in many ways, I think the students are more deserving of this award than I am,” he said.
One of a student with a 2.62 GPA, Orey said he learned vicariously through his pupils. “I think that is why I am so hard on some students because they reminded me of myself when I did not apply myself. Students really respond when they know that you care. As the adage goes, ‘People do not care how much you know until they know how much you care.’”
Jacques King, a junior political science major, is one of two JSU student fellows in the Mary Ellen Pleasant Entrepreneur Fellowship program supported by the JSU and Melinda Gates Foundation.
A member of Orey’s student-led research team, King said she gained first-hand experience that she believes cannot be found on any other college campus.
“Dr. Orey’s dedication to the development of his research team allowed for each member to be pushed to unimaginable limits and inspired creativity geared toward problem-solving amongst each of us,” she said.
According to the organization’s website, the National Conference of Black Political Scientists was established in April 1969, by approximately thirty-five black political scientists gathered at Southern University in Baton Rouge, Louisiana to discuss the problems faced by persons teaching political science in historically black colleges and universities.
The group reconvened in September of that year at the Annual Meeting of the American Political Science Association in New York. It was consensus of this new smaller group that the problems facing black political scientists, independent of their geographical location or institution, were sufficiently similar to warrant establishment of a national organization. Consequently, the persons present at this September 1969 meeting voted to establish themselves as the National Conference of Black Political Scientists.
The organization’s first Annual Meeting was held at Atlanta University in Atlanta, GA in May 1970.
The NASA Stennis Space Center Office of STEM Engagement has announced collaboration opportunities for 2019 ASTRO CAMP® in the Community.
The ASTRO CAMP® program combines an evidence-based curriculum with a proven out-of-school learning methodology to provide universities, schools, museums and youth-serving organizations with a hands-on NASA-unified STEM (science, technology, engineering and mathematics) engagement experience for 2nd-12th grade students across the country. Currently, organizations from six states comprise this year’s list of collaborators: Mississippi, Louisiana, Alabama, Georgia, Texas and South Carolina.
ASTRO CAMP® activities are aligned to Next Generation Science and College and Career Readiness Standards that support the work of NASA’s four mission directorates (science, science technology, human exploration and aeronautics) in an effort to produce a more “STEM-centric” workforce. Particular emphasis is placed on increasing the participation of learners traditionally underserved and/or underrepresented in STEM fields and students in special needs populations.
The theme for this year’s ASTRO CAMP® is “Next Generation Exploring the Moon Today … Mars Tomorrow!” It includes the pilot of the new MOON TO MARS curriculum modules directly supporting NASA’s four mission directorates. ASTRO CAMP® also incorporates math and science principles through fun, hands-on activities that teach teams of campers to work together to complete NASA science-directed missions with real-world applications.
ASTRO CAMP® sessions provide campers the NASA experience of astronauts from first flight to return flight; space technology engineering design with robotics applications; and Solar System-and-Beyond activities featuring planets, moons, stars and galaxies, with an accompanying survey of the Earth. Human exploration in space activities include real-world applications for living and working in low-Earth orbits and for preparing the next generation of explorers who will travel deeper into space to live and work on the moon today and Mars tomorrow.
ASTRO CAMP® provides collaborators professional development; the 2019 ASTRO CAMP® Facilitators Guide, activity supply lists, on-line resources, NASA completion certificates and the on-line support of education specialists (as needed) to collaborate. Camps must provide: 1) a camp leader, 2) support staff, 3) facilities, 4) supplies/materials and 5) camp management for each camp site.
For more information about becoming a community collaborator contact:
Maria Lott at firstname.lastname@example.org or 228-688-1776.
For more information about Stennis Space Center, visit: www.nasa.gov/centers/stennis/
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Mississippi Department of Wildlife, Fisheries, and Parks (MDWFP) fisheries biologists expect another good year for anglers in Northeast Mississippi.
“Supplemental forage stockings of bream and threadfin shad in 2018 should enhance the bass populations at lakes Lamar Bruce, Monroe and Elvis Presley,” said MDWFP Fisheries Biologist Trevor Knight. “Last year, Lamar Lake, which is popular with bream anglers in the area, started producing bass over 10 pounds and we anticipate that Monroe will do the same in this year.”
Anglers who do not want to fight the crowds should consider checking out Lake Lowndes State Park.
“Our fall surveys indicated a healthy crappie population that is often overlooked,” Knight added. “Trophy-sized bass and catfish are also present due to an abundant gizzard shad population.”
The Tennessee-Tombigbee Waterway will continue to provide consistent results for crappie, bass and catfish anglers. Bay Springs and Columbus Lake have a healthy population of bass and crappie.
“We see more out-of-state crappie anglers fishing these lakes to get away from the crowds on the more popular, larger reservoirs,” Knight said. Pickwick Lake should continue to produce quality bass, crappie and catfish in 2019. Crappie anglers should expect Bear and Yellow Creeks to produce good numbers of crappie, as they have in years past.
The heavy rainfall in the region during the past year may result in less aquatic vegetation coverage in 2019. As a result, bass anglers should focus more on fishing Pickwick’s warm ledges to catch largemouth, smallmouth and spotted bass.
For more information regarding fishing in Mississippi, visit our website at www.mdwfp.com or call us at (601) 432-2212. Follow us on Facebook at www.facebook.com/mdwfp or on Twitter at www.twitter.com/MDWFPonline.
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Employees honored for service at Mississippi State Hospital
Mississippi State Hospital March service award recipients include: Front row (left to right): Cassandra Myles (Byram, 20 years), Angie Ware (Whitefield, 30 years), Eddie Williams (Pearl, 10 years). Back row (left): Tasha Evans (Jackson, 30 years), Tracy Dotson (Jackson, 1 year), Vicki Payne (Brandon, 10 years), Suzanne Blakely (Brandon, 10 years).
The Mississippi Link Newswire
Mississippi State Hospital recently honored employees with March service awards for their years of service to the hospital.
Service awards are given to MSH employees in the month of their date of hire, beginning with one year and followed by every fifth anniversary year. Employees receive a Certificate of Appreciation and a Service Award Pin.
The program is sponsored by Friends of Mississippi State Hospital, Inc.
MSH, a program of the Mississippi Department of Mental Health, was founded in 1855 and helps the individuals it serves achieve mental wellness by encouraging hope, promoting safety and supporting recovery. The hospital is accredited by the Joint Commission.
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Shelby Carson of Raymond recently served as a junior page for the Mississippi Senate. Pages assist in the day-to-day operations of the senate, generally running errands for officials and staff. Shelby is pictured with Lt. Governor Tate Reeves, who sponsored her visit. Shelby is the daughter of Fulton and Raquel Carson and attends Raymond High School. When asked about the week, Shelby said, “Being able to page for the senate has helped me understand some of the legislative process. I plan to return next year to further my interest in state politics.”
Azalea Scott of Raymond recently served as a junior page for the Mississippi Senate. Pages assist in the day-to-day operations of the senate, generally running errands for officials and staff. Azalea is pictured with Lt. Governor Tate Reeves, who sponsored her visit. Azalea is the daughter of Willie and Donna Scott and attends Raymond High School. When asked about the week, Azalea said, “This experience has been great. I enjoyed watching senators display a tireless effort to get bills passed through the democratic process. This opportunity has inspired me to take a proactive role in the future of our state politics.”
Helping missing black girls
By Stacy M. Brown
NNPA Newswire Correspondent
Have you seen Iniya Wilson?
Just 14, Iniya has been missing from her Columbus, Ohio home since January 25.
She’s African American, has brown hair and brown eyes; standing 5 feet 6 inches tall and weighs 120 pounds.
Have you seen Skylar Mannie?
From Lancaster, Calif., Skylar is also black and just 13 years old. She was last seen Feb. 14.
She has black hair, brown eyes, stands 5 feet 5 inches and weighs 130 pounds.
The numbers among the estimated 64,000 black girls and women across the United States that have gone missing, Iniya and Skylar are also among an unfortunately growing number of young people listed in the nationally missing section of the expansive database of the National Center for Missing & Exploited Children.
That includes girls and women of all backgrounds, an important distinction because of the lack of media coverage of African Americans who’ve gone missing.
That has spurred activists and some in Congress to action.
In efforts to address the problem of missing black children nationwide, they hope to create public policies that can help eliminate barriers and experiences experienced by black women.
According to BlackNews.com, members of the caucus believe that more federal assistance and collaboration is needed to further eliminate the problem.
“I feel like knocking on every attic, every garage to see where those girls are,” House Majority Leader Nancy Pelosi said. “Let’s be an example to the world that we won’t rest until these girls are found.”
Further, the nonprofit Black and Missing But Not Forgotten, also has focused its attention on spotlighting and finding missing African Americans.
Since 2007, the organization has sought to develop relationships with law enforcement agencies and the public to ensure that missing African Americans receive prompt attention and concern to garner the best possible outcomes for each case.
A 2010 study about the media coverage of missing children in the United States discovered that only 20 percent of reported stories focused on missing black children despite it corresponding to 33 percent of the overall missing children cases.
The National Center for Missing & Exploited Children said that in 2018 alone, there were 424,066 reports of missing children made to law enforcement around the country.
John and Revé Walsh and other child advocates founded the National Center for Missing & Exploited Children as a private, non-profit organization to serve as the national clearinghouse and to provide a coordinated, national response to problems relating to missing and exploited children.
Walsh, who formerly hosted “America’s Most Wanted,” now does similar work with his show, “In Pursuit.”
The show, which airs on the Investigative Discovery network, has remained relentless in its pursuit of missing children.
“I’m excited to see our co-founder John Walsh back doing what he does best – catching fugitives and bringing justice to victims,” John F. Clark, NCMEC’s president and CEO, said in a blog on the NCMEC website.
So far, the nonprofit has helped law enforcement find more than 284,000 missing kids, and NCMEC’s 24/7 Call Center has handled more than 4.8 million phone calls and has access to 190 languages.
Walsh founded NCMEC nearly 30 years ago after his 6-year-old son, Adam, was abducted and later found murdered.
With the expanding power of social media, Walsh said people are more involved now than ever before. “Call me. Contact me… You tell me where the bad guy is and we’ll go get ‘em,” Walsh said on the blog.
When black girls go missing, it’s often unclear whether they have run away from home, were kidnapped or violated, or lured into the sex industry, among others. Essentially, according to BlackNews.com, their safety and assurance to be brought back home was commonly ignored and an almost unconcerned matter.
That changed when enlightened when investigators in California announced that they were trying to identify the body of a young black girl who was found dead inside a duffel bag in a suburb of Los Angeles. The girl was eventually identified as Trinity Love Jones.
Investigators said the circumstances of her death are still being determined.
The discovery combined with the list of at least nine missing persons report that made the girl’s description shed further light on the plight of missing black girls.
Trinity’s body was found near a hiking trail in Hacienda Heights but authorities said initially that they had little information to help identify her. She was found wearing a long pink shirt with the words “Future Princess Hero” and grey pants with panda ears.
Because Hacienda Heights isn’t far from Lancaster, where Skylar Mannie went missing, the Los Angeles Sheriff Department released a statement clarifying that the body found did not belong to Skylar.
“LASD confirms the victim found in Hacienda Heights is not Skylar Mannie who was reported missing in Lancaster. Homicide investigators are working diligently to solve the case of the girl found in Hacienda Heights and we ask our residents to keep an eye out for Skylar,” the sheriff’s department said in the statement at the time.
“We’ve identified two people of interest who may be connected to the case,” a subsequent statement said.
While she has not been named a suspect in the death of her daughter, Trinity, Taquesta Graham, 26, arrived in California for court hearings after being detained in Texas on an alleged parole violation.
Deputy Michelle Sanchez of the Los Angeles County Sheriff’s Department Information Bureau said the defendant, Graham remains to be held in Los Angeles County custody on the unrelated warrant. Homicide investigators continue to vet community tips and follow up on additional evidence obtained during the investigation.
The criminal case naming Taquesta Graham is being prepared for presentation to the District Attorney’s Office on a later date.
Graham’s boyfriend, Emiel Lonnell Hunt, 38, was charged with murder in the death of Trinity Love Jones. He is scheduled to appear in Los Angeles County Superior Court to enter a plea April 26.
Hunt served more than a decade in prison following a conviction for abusing his son in San Diego County in 2005, according to sheriff’s Detective Marc Boivert.
Yes, Herenton is serious about wanting to be mayor of Memphis again
By John Semian
Special to The New Tri-State Defender
As the incumbent talks about accelerating momentum, and a first-term Shelby County commissioner rides an out-of-the-gate buzz about “we can’t wait,” former mayor Willie W. Herenton is putting things in place to do it.
“It’s been almost a year since Herenton, who has been elected Memphis mayor five times, declared that he wanted back in. Since then, incumbent Jim Strickland has formally launched his reelection bid. And last week, District 7 Commissioner Tami Sawyer asked her mayoral claim, one that would make her the first woman to victory. Less known are candidates like Pam Moses and Lemichael Wilson.
The New Tri-State Defender hooked up with Herenton at his campaign headquarters on Third St. recently. The exchange lasted about an hour and came to a close with Memphis’ longest serving mayor choosing not to supply individual answers to a series of questions drawn from an informal survey of TSD readers.
“My team is developing position papers on all of these issues and others that are in the minds of Memphians,” Herenton said. “And as the campaign moves along, those plans will be revealed to the public.”
The interview was in a conference room. An office administrator that has been aligned with Herenton for years was setting up her office. Others inspected the campaign signs, putting pictures on the walls.
The first question was why he was running.
“To make a long story short, I left (public office) before completing the agenda,” Herenton said. “And I’m going to come talk in the campaign about how I left an unfinished agenda. If you notice I didn’t have a clear succession pattern…”
The first African American elected mayor, Herenton served from 1992 through 2009, resigning about a year into his fifth term. He made reference to the resignation, which came amid a federal investigation into a real estate deal involving him. The probe didn’t yield any charges against Herenton, but it did reveal, “It weighed very heavily on my family and my ability to perform my duties as a mayor in the manner that I wanted to do,” Herenton said. “If you will recall, I submitted my resignation in the second half of my fifth term as mayor.”
He has since determined that his life’s purpose is still public service and that he has more to contribute as mayor of Memphis. He noted that his candidacy was announced April 5, 2018, the day after the 50th commemoration of the assassination of Dr. Martin Luther King Jr.
“Going back into public service as the mayor of Memphis, given this historical significance to the life and the legacy of Dr. King, I felt a sense of rededication to Dr. King’s mission and my own personal mission,” Herenton said. “I started with the Black Mondays at a very young age.”
Without calling any names, Herenton said today’s “so-called activists” don’t know “a damned thing about activism.”
Marching with Dr. King meant “putting my job on the line,” he said. “We were real activists. It was put everything on the line when I was very young.”
“I’m 78. I’m still here,” Herenton said. “I still have the passion and the energy...to go back and finish the unfinished agenda.”
This unfinished agenda includes economic empowerment for “people who have been left out of the economic growth of this community,” he said.
“The current administration keeps boasting about momentum and yet you hear the inadequate and a rising tide of unemployment. There are boats in Memphis that are not being lifted. In fact, there are some people who don’t even have a boat.”
Never mentioning Strickland by name, Herenton said the current administration talks about the billions of dollars in construction within the city limits of Memphis.
“We will focus on building strong families. That’s going to differentiate us,” he said. “We want to get at the root causes of poverty and crime.”
Herenton said he sees three generations of poor people and “90 percent didn’t make it.” Success means making more money, doing well with the right values in children than making sure there is a father in every household. He grew up with a strong mother and grandmother, who stressed the importance of education, hard work and going to church.
“This generational poverty, we’ve got to break (it), and I think it starts by identifying the root causes of the poverty and putting together a plan of action that gets at those root causes.”
Herenton wants to address what he sees as the city’s deteriorating infrastructure.
“It wasn’t like that during my tenure. Something happened,” he said. “All you have to do is drive the streets of Memphis.”
Herenton said crime was worse than now it was when he was mayor.
“When I was mayor we aggressively fought the crime problem. We had aggressive police programs. But Crush didn’t do a phenomenal job. I don’t see that aggressive crime fighting today. We’re going to be aggressively fight crime while addressing the causes of crime.”
Said this former mayor: “We would invest in the youth of Memphis.” Herenton said a lot of people received their first job in summer youth programs sponsored by his office.
“My life continues to be a purposeful life, and I wanted people to know I returned with a cloud that was not of my own choosing,” Herenton said. “I know history will be somewhat kind to me but I’m still not through with the legacy and history.”
Bitterness-killing the root
By Pastor Simeon R. Green III
Special to The Mississippi Link
“See to it that no one falls short of the grace of God and that no bitter root grows up to cause trouble and defile many.” (Hebrews 12:15)
Christians are to be known as peacemakers. Rebellious and lack of faith can produce dissension and disharmony among the family of God. Therefore, the author exhorts them to pursue peace.
• “Blessed are the peacemakers, for they will be called children of God.” (Matthew 5:9)
• “Therefore, since we have been justified through faith, we have peace with God through our Lord Jesus Christ” (Romans 5:1)
The root of bitterness grows in the soil of hurt that has not been dealt with properly. The roots absorb and store in the heart hurt, anger, hatred and thoughts of bitterness. Love keeps no record of wrongs but bitterness keeps detailed accounts.
When you pull a weed from the ground, if you don’t get the roots, weeds will return. So it is with bitterness. Fortunately, Scripture shows us how to kill the root of bitterness. According to Ephesians 4:31-32, the only way to eliminate the root of bitterness is forgiveness. “Get rid of all bitterness, rage and anger, brawling and slander, along with every form of malice. Be kind and compassionate to one another, forgiving each other just as Christ God forgave you.”
No one is going to see the inside of Heaven with a bitter spirit. Bitterness is a destroyer. It destroys homes, congregations and the closest of friends. It will set you back spiritually in your life. One has well said, “Forgiveness is the key that unlocks the door of resentment and the handcuffs of hate. It is the power that breaks the chains of bitterness and the shackles of selfishness.” Another quote says this: Bitterness is like drinking rat poison and waiting for the rat to die.” You cannot have bitterness in your heart and have a good relationship with God at the same time. They just don’t mix!
What does the Bible say about attitude?
Writing from a prison cell in Rome, the Apostle Paul wrote about the attitude a Christian should have. “Whatever happens conduct yourselves in a manner worthy of the gospel of Christ.” (Philippians 1:27) No matter what unexpected disruptions, frustrations or difficulties come our way, we are to respond with a Christ-like attitude. We should be standing firm and striving for the faith. Paul later writes, “Your attitude should be the same as that of Jesus Christ” (Philippians 2:5). He is writing about demonstrating humility and selflessness in relationships. He also encourages us in Ephesians 5:1 to be “imitators of Christ as dearly beloved children.” 3-4, Do nothing out of selfish ambition or conceit. Rather, in humility value others above yourselves, 4, not looking to your own interests but each of you to the interests of the others.” (Philippians 2:3-4)
Rev. Simeon R. Green III is pastor of New Bethel Church of God, 31 Jaynes Road, Hampton VA 23869. He is a member of the National Association of Evangelism Church of God, Anderson, Ind.
God wastes nothing
By Shewanda Riley
Columnist
Through my years as a student, writer and teacher of English, I’ve learned many things. I’ve learned about the beauty of creativity and the power of choosing the right word to share your thoughts. However, I think the most important thing that I’ve learned as a writer is that God wastes nothing. For me, this means revisiting earlier rough drafts of writing projects. Often, there may be a sentence or a phrase on the rough draft that ends up being just what I was looking to add to my final draft.
My life experiences as an administrative assistant at a jail, french fry “specialist” at McDonald’s, radio show producer and host, and earing piercer seem so unrelated. However, every thought of those jobs were over 30 years ago. I see how they all taught me things that I’m using in my life today. For example, I learned to deal with fear when I worked at a jewelry store in high school. Women would come to college and have their ears pierced as part of the job. I just thought it would be great to get a discount on jewelry, but what I really learned was how to deal with fear…mine and others’. In addition, some of the ear-piercing customers wanted their piercings done and were afraid that it would hurt. What they didn’t know is that I was also afraid that I would hurt them. I had to learn to gently console the parents of the fearful crying children or, in some cases, crying and anxious adult customers. Even though it was sometimes hard, I couldn’t lie about the pain but had to convince them that the pain wouldn’t last forever.
Over 20 years later, I now find myself having to use the same logic in my college English class. I know that my students are fearful and anxious about writing. They don’t know that I’m just as afraid to read them sometimes. But I convince them that the pain of writing the paper is worth it because that paper won’t last forever, just a semester. In the end, they learn how to combine selected sentences and create great papers.
God also allows our “failures” to be a blessing to others. What we think are random, negative experiences can be a blessing to others who may be going through the same thing. We may think that the disappointment, set back or failure we’ve suffered is the worst thing that has ever happened to us, but in the end, we allow Him to use our wisdom about that experience, God will use it to encourage us and others.
Romans 8:28 says, “And we know that in all things God works for the good of those who love him, who have been called according to his purpose.” Part of God “working it out for good” means that we will eventually see the good that might come from those negative and stressful situations.
Shewanda Riley is a Dallas, Texas based author of “Love Hangover: Moving From Pain to Purpose After a Relationship Ends.” Email email@example.com or follow her on Twitter @shewanda.
Blacks on white privilege
By E. Faye Williams
Trice Edney NewsWire
For many years many black people have been denied opportunities for no reason other than the color of their skin. I’ve been guilty like many others who said, “It must be nice to have white privilege.” Now, I’m not so sure. I’d rather not have anybody know that I was in with evidence that I’ve violated the law by cheating somebody to get something I didn’t deserve. In other words, I wouldn’t feel good about stealing something from someone who was more deserving via honest means than I was.
Most of us thought white privilege was a good thing – being close with the privilege and never having to worry about their next meal, being able to pay utility bills, being able to pay for medicine they needed, and not worrying about where to find funds to pay for their child’s college education. That must have been nice. I guess white privilege was good while it lasted.
But in the few days, white privilege has come to be a bit uncomfortable. As some of us struggle for everything we’ve ever had in life, we probably slept better not having been the recipient of white privilege. Though some of us have worked to achieve justice and equality all of our lives, we did rather well on our own in the position of privileged ones who’s flashed across TV screens for cheating to get their children in called “good schools.”
We probably feel better that the Russians didn’t help us win an election we didn’t deserve. Those of us without the benefit of white privilege are probably happy that we’re not Michael Flynn, Roger Stone, Michael Cohen, Paul Manafort, Rick Gates – or the occupants in the White House. Just being the daughter of #45, Ivanka and her husband received at least a cool $82 million dollars last year. Now that’s super white privilege, but I still think my clothing are just fine so I don’t need to have white privilege to attract others to buy my brand of clothing while I sweat it out wondering if white privilege might not keep me out of jail for breaking laws.
I feel more comfortable trying to live up to the 10 Commandments, trying to use my resources helping families, helping my community, treating all with respect, honesty and fairness. When I make a mistake. I do all I can not to make any privilege I may have to excuse myself. I asked several black friends, and none wanted unfair privilege. One of those with whom I spoke said, “The most phenomenal aspect of white-privilege is that the wealthy are allowed to do it. They get exceptional privileges without the pathological dream of being aware of it. They get a huge dopamine drip as if they accomplished things on their own merit, but did not.”
Lately, white-privilege has been laid bare. Most of us are finding how ugly this is going to be. Shame is a much greater burden than guilt. Momma and daddy’s money can’t fix this. The entire system is complicit. This is the tip of the white-privilege iceberg. It permeates every sector. White-privilege needs its own truth and reconciliation committee, but I won’t hold my breath.
I studied at two of the “best schools” in the country. If I did it the way it should be done. Submit credentials, pay fees very hard. Do your work once there. Expect nothing you didn’t earn honestly. Pray that you’re judged fairly. Graduate and let your work speak well for you. Those are not things I learned at the schools in the news now. I learned them at Grambling University, Howard University and Spelman College. I’m not sorry my parents did what they did.
E. Faye Williams is national president of the National Congress of Black Women. www.nationalcongresscbw.org. She hosts ‘Wake Up and Stay Woke’ on WPFW-89.3 FM.
Let’s call the white terrorists out
By Julianne Malveaux
NNPA News Wire Columnist
An Australian white nationalist man who says he hates immigrants accused of murder by murdering at least 50 people and seriously injuring dozens more. He directed his act at two mosques in the New Zealand city of Christchurch, and posting online, he called his attack that he deplete with anti-immigrant and anti-Muslim ranting. It is important to know that it was a white man, not a person of color, who perpetrated the most deadly mass shooting in New Zealand. It is essential to call out the white terrorism that is so willing to commit atrocities around heinous acts, and to describe these terrorists as mentally ill. Why are so many willing to soft-pedal the abhorrence of these acts?
To his credit, the 45th President did acknowledge the “horrible massacre” in New Zealand, which is much better than he did when Heather Heyer was murdered in Charlottesville, and 45 said that there were “good people on both sides” of that insanity. The Charlotte bomber was not charged because the man who slaughtered 50 people in New Zealand embraced our President as a symbol of renewed white identity and common purpose.
Has 45 speak of sense, he may have addressed his inclusion in the shooter’s manifesto and condemned it. But how could 45 actually condemn the actions of a white nationalist when, heretofore, he has embraced them, riled them up, supported them, and even used the word “nationalist” himself when he has quoted him.
The New Zealand terrorist also referenced Dylan Roof in his manifesto. Roof, of course, was the man who has been convicted for his attack at the Emanuel African Methodist Episcopal Church in Charleston, South Carolina. The way that law enforcement chose to codle Roof, and the way the media sought to “explain him” is a textbook case in how white privilege works, even for terrorists.
Upon his arrest, Roof was taken to get a fast-food meal. Perhaps his blood sugar was low, and someone hoped to attribute his terrorism to the fact that he may have forgotten to eat. In any case when have you know an African-American perpetrator of any crime to be so behaved? What is the point? There is, of course, a professional courtesy that “law enforcement” officials treat white terrorists, while the FBI stirs up anti-black sentiment with their bulletins about “Black Identity Extremism.” The worst terrorists are really those who appeal to Race (instead, it is described as a murderer and white supremacist) but his massacre of nine black people in church was nothing less than terrorism. But if we call Roof a terrorist, we must also call all of the police who codled him as terrorist enablers. We have to look at the media who rushed to explain his background as terrorist-explainers. We have to ask white people why such terrorism is accepted.
Let’s consider the massacre at the Tree of Life Congregation in Pittsburgh last year. The assailant, Robert D. Bowers, killed 11 people and wounded several others, including four police officers. For all the talk of the anti-Semitism that supposedly comes from Muslims, African Americans and others, it was a white terrorist who killed all those people at the Tree of Life Congregation. But for all the talk we hear about terrorists, we rarely experience people calling terrorists just that.
A white man kills 49 at two mosques. A white man kills 11 at a synagogue. But the people who are being accused of hate are black and brown. What if black, brown (Muslim, Palestinian, Latino) and Jewish people decided to call the white supremacists that permeate our nation? Then do you think, we could all get along?
We may not all agree, but we must call out the white terrorism that leaves too many dead or maimed. We must say “enough!” to a president who fans the flames of white nationalism, while white terrorism, for sport and to inflame his base. When will he stop? When will it end? And, equally importantly, when will some folks call white nationalism for the terrorism that it is?
Julianne Malveaux is an author and economist. Her latest book, “Are We Better Off? Race, Obama and Public Policy” is available via www.amazon.com for booking, wholesale inquiries or for more info visit www.juliannealmevaux.com
College admissions scandal highlights rampant inequality in educational access
By Marc H. Morial
President and CEO
National Urban League
I have probable cause to believe that the defendants conspired with others known and unknown (1) to bribe college entrance exam administrators to facilitate cheating on college entrance exams; (2) to bribe varsity coaches and administrators at elite universities to designate certain applicants as recruited athletes, thereby facilitating the applicants’ admission to those universities; and (3) to use the facade of a charitable organization to conceal the nature and extent of the bribe payments.” – FBI College Admissions Bribery Scheme Affidavit
In a few weeks, the National Urban League will release report cards on states’ plans to address inequity in their education system plans that are required to submit to the federal government under the Every Child Succeeds Act. The task is daunting, as inequities are stark, everywhere in the United States.
That’s why the nation was outraged by the news that wealthy parents – whose children already have inconceivable advantages over low-income families – allegedly resorted to outright bribery and fraud to get their children into elite colleges. More than 50 people, including two Hollywood actresses, were charged on allegations that ranged from cheating on entrance exams and bribing college officials to claim falsely that certain students were athletic recruits. That money plays a big role in elite college admissions has been no secret. A donation of $500,000 or more can equal 500 points on the SAT, according to journalist Daniel Golden, author of The Price of Admission: How America’s Ruling Class Buys Its Way Into Elite Colleges and Who Gets Left Outside the Gates.
Given the outrageous advantage wealthy families already legally have, the cheating scandal throws new light on the disparity of opportunity between poor and students and children of color. Disadvantaged students and their families who are striving with all their might and resources to overcome systemic challenges viewed the scandal with particular despair.
“Just knowing that due to circumstances outside of school, you do give your best in all that you can, but you also have to kind of balance being an adult,” HS student senior Khloe Jackson of Kansas City told The New York Times. “To know that these parents are throwing money at all of these people and being like, ‘Can you do this for my child?’ it’s kind of discouraging. Some of us will probably never work for the lifetime to see money like this.”
African-American students have far less access to college preparatory courses. According to the United Negro College Fund, only 57 percent of African-Americans have access to a full range of math and science courses necessary for college readiness, compared to with 81 percent of Asian American students and 71 percent of white students.
When black students do attend schools that offer honors or advanced placement courses, they are vastly underrepresented. Black and Latino students comprise 38 percent of students in such schools, but only 29 percent of students enrolled in at least one AP course.
African-American students are often located in schools with less qualified teachers, teachers with lower salaries and novice teaching staff, according to UNCF.
Black students are twice as likely to have their education disrupted by suspension, nearly four times as likely to receive out-of-school suspensions and more than twice as likely to be referred to law enforcement or subjected to school-related arrests.
Students of color are much more likely to attend schools where three-quarters of the students or more are poor or low-income, and poor districts with a higher proportion of students of color have been found to receive substantially less state funding than comparably poor districts that have more white students.
Anyone convicted of engaging in criminal activity to bypass an income-rigged system should be punished to the full-extent of the law. But more importantly, we need to address a system riddled with bias and inequality.
To halt HIV, advocates push for PrEP outreach to black women
By Heather Boerner
NPR
In 2013, not quite a year after the Food and Drug Administration approved the drug Truvada for HIV prevention, a coalition of 50 experts in HIV and women’s health called on U.S. public health agencies to promote the drug, which is also called pre-exposure prophylaxis, or PrEP, explicitly to women.
Not much happened.
“No one until recently spent time talking about PrEP for women,” says Dr. Dawn K. Smith, biomedical interventions implementation officer at the Centers for Disease Control and Prevention. “I think we need to have a clearer message: ‘If you’re at risk for HIV, you should consider this. It can work for you.’”
And women are at risk, especially black women. After gay men and transgender women of any race, who have the highest rates of HIV infection, black women are the group most vulnerable to HIV, according to the CDC. And while PrEP has been proven to reduce new HIV diagnoses when used consistently, it’s mostly white gay men who have been referred to it.
So as President Trump pledged Feb. 6, 2019 to reduce HIV rates in the U.S. by targeting HIV transmission hotspots, black women say that their communities ought to be a focus.
“We cannot neglect our PrEP to women until it’s resolved in the new plan,” says Leisha McKinley-Beach, a national HIV/AIDS consultant and a member of the coalition that pushed for PrEP for women in 2013. McKinley-Beach says she has been frustrated to see little change in the rates of HIV transmission among blacks, both men and women, while rates among white men dropped by 10 percent since 2013.
“We need to do more for our communities,” she says.
No matter what comes of the Trump administration’s plans, public health researchers and grassroots advocates are already working to fill the gap. McKinley-Beach works with a group of black women in Atlanta, where some neighborhoods have high HIV rates, raising awareness among women that PrEP is for them too. Nationally, groups like the Black AIDS Institute and the Black Women’s Health Imperative, have started campaigns to reach women. And they’re using different tactics than those that work to reach gay men.
The PrEP gap
About 1.1 million Americans are at high risk for HIV and could benefit from PrEP, according to the CDC. Around half of those are black men and women, who have the highest rates of risk by far of race. But only 4 percent of PrEP prescriptions have gone to black people of any gender, according to data the CDC’s Smith presented at an HIV conference in 2018. And only 10,000 women of any race were using the pill to prevent HIV.
The CDC suggests people consider PEP if they have any of several risk factors for infection, including if they are in a relationship with someone who is HIV-positive or whose status they don’t know, if they are in a relationship that’s nonmonogamous, are dating and having sex with more than one person, or don’t use condoms consistently.
But there’s another risk factor that often affects black women even if they have none of the others, explains Dr. David Malbranche, an HIV researcher at the Morehouse School of Medicine. Simply living in an HIV hotspot area, such as those that the president’s plan aims to reach, can raise your odds of exposure. In Atlanta, for instance, there are some ZIP codes where the HIV rate is as high as 1.9 percent, while others are as low as 0.14 percent.
Black women make up 62 percent of all new HIV diagnoses among women – despite accounting for just 13 percent of women in the U.S. And yet, according to a study published in January, knowledge about PrEP among women is low, particularly for black and Latina women.
Perhaps this lack of knowledge stems from the fact that PrEP has been sold about twice as widely in the country to gay men, “particularly white gay men,” says Rasheeta Chandler, a researcher at Emory University specializing in women’s sexual and reproductive health and an advance-practice nurse in HIV care.
Even she didn’t connect the dots between the new HIV prevention pill and the women she was studying and treating until years after first hearing of Truvada. “I just filed it away as a new prevention effort that had biomedical capability,” she says. Now it’s the focus of her work.
Chandler’s most recent study presented at the Association of Nurses in AIDS Care Conference in 2018, two-thirds of the college-age black women she spoke to had never heard of PrEP. And while a chunk of them said they would probably take the pill, 67 percent said there was a chance they might take PrEP in the future.
If low rates of PrEP use continue among the women who could most benefit from it, it may undermine efforts to ease the HIV epidemic for those women, says Raquel Jones, an associate professor in the School of Nursing at Northeastern University.
“If we don’t adequately promote HIV prevention in black women, we’re risking seeing HIV infection booming in that population,” she says. “We have got to stop the epidemic in men. We’ve got to stop it in [gay and bisexual men]. But we cannot forget about HIV infection in women.”
Black women helping black women
At a conference room in an Atlanta hotel recently, a group of black women gathered to talk about their ability to protect themselves from HIV. The event, put on by local nonprofit SisterLove is just one local effort, led by black women for black women, to spread the word about PrEP. Attendees, called Atlanta Black Women’s Advocates for PrEP which McKinley-Beach is part of, is also mobilizing to raise women’s awareness of PrEP. McKinley-Beach is creating palm cards – small cards about the size of a business card that women can keep in their purse. Listing the contact info of local clinics that offer PrEP to women.
Later in 2019, SisterLove plans to open a clinic dedicated to reaching out to black women, particularly black women. When it does so, it will significantly increase women’s access to PrEP in the city.
Meanwhile, the local Planned Parenthood office is looking into serving more PrEP to women in Atlanta. And all these efforts are being amplified by national efforts by Planned Parenthood and other public health nonprofits to get PrEP in the hands of women.
This all comes as the nation’s premier agency for health prevention efforts the U.S. Preventive Services Task Force, recently endorsed PrEP in a draft recommendation as a recommended HIV prevention method for all people of any gender at high risk for HIV.
In almost all of these programs, the messages to black women are different than those public health officials are using to reach gay men. While for gay men, the message has been all about their anxiety about dating and sex, the messages to black women present PrEP as part of an overall health and wellness strategy, and focus on empowering them to protect themselves.
“The momentum is building,” McKinley-Beach says. “It’s getting birthed out of a need.”
Black women ‘deserve good sex’
If now Atlanta clinics offering PrEP to women were around a year ago, Brittany M. Williams’ experience might have been different. Williams, 28, a doctoral candidate at the University of Georgia, heard there was a pill that could prevent HIV after her boyfriend broke up with her last year. But at the time, she was more focused on her general health.
“If you look at [all the health conditions] that African Americans can have, that’s what my family history looks like,” she says, listing diabetes and hypertension among other conditions.
“I’m trying to make sure I’m not that person,” she says. “I’m out here running half marathons and I’m vegan every now and then.”
And she’s been insisting on HIV tests since she was an undergrad in college.
Last year, she was dating a man who was living with HIV. He was on treatment and had an undetectable viral load, which meant he couldn’t pass it on to her. Still, it got her thinking about her favorite uncle, who died of AIDS-related complications. And she thought of friends, women who had acquired HIV the first time they’d had sex.
Black women helping black women
Little appetite for food freedom in Mississippi
By Brett Kittredge
mspress.org
A few years ago, the Mississippi legislature adopted a cottage food operators law, bringing the industry, those who bake goods at home and then sell to the public, into the light.
Cottage food operators, who have annual gross sales of less than $20,000, are given the freedom to sell goodies they bake in their own home, without the government inspecting their kitchen or providing a certificate.
Because of this law, those who had long been baking without asking government permission could start the business. However, the law is limited. Many states don’t have limits on sales. Mississippi does and such limits are artificially low. Additionally, cottage food operators aren’t allowed to post images of their products for sale on Facebook, Instagram or any other site else on the web. These are just two of the many restrictions.
As a result of the internet exclusion, the Department of Health has seen cease and desist orders sent to the rogue operators who posted pictures of their creations online. The legislature attempted to mend this peculiar prohibition this year.
A bill sailed through the House that would have permitted online sales of food you bake at home. It also slightly raised the cap for gross sales to $35,000. It quietly died in the Senate without a vote.
Who could be against these entrepreneurs trying to earn a living or perhaps making extra money at home? Naturally, the established food industry. The Mississippi Restaurant Association, on their own website, has called the cottage food industry “problematic,” citing “wide-ranging” concerns creating an uneven playing field.
They like to point to the fact that cottage food operators aren’t regulated by the government. That is true. But is that bad? If the local (or state) police, bakers are best regulated by the free market. An individual who sells an awful-tasting cookie or cake won’t be in business long.
This isn’t much different than the fight to limit food truck freedom. During much of 2018, the city of Tupelo debated restrictions on food trucks that were operating, and thriving, in the city. Were consumers unhappy with the food they were receiving? No, it was the brick-and-mortar restaurants who were unhappy.
The Tupelo city councilmen who were pushing for restrictions acknowledged they were interested in protecting established restaurants. Never mind the fact that thriving downtowns should welcome and encourage food trucks, it is simply not the business of government to prefer one industry, or one sector of an industry, or one participant, over another.
If the residents in Tupelo didn’t want food trucks, there would be no food trucks. All food trucks are doing is responding to market demands. In doing so, they are serving a consumer niche the way an entrepreneur would. Fortunately, the city councilmen relented and didn’t adopt burdensome regulations that would have driven food trucks out of business.
The legislature could have adopted statewide regulations that would have pre-empted local ordinances limiting food trucks, but they, again, decided it was not something they wanted to do.
The legislature also once again passed on a bill that would have allowed intrastate sales of agricultural products directly from the producer to consumers and would have prevented local governments from restricting such sales. This would have also opened the door for the legal sale of raw milk for human consumption.
Again, there was a much larger segment of the industry that didn’t want to see small farmers providing competitive pressure. And they won.
Whenever new entrepreneurs enter the arena, whatever that arena might be, the response from the established interests is the same: “It doesn’t work.” It doesn’t matter whether it’s restaurant owners not liking food trucks or cottage food operators, the fight waged against Uber and Lyft by the taxi monopolies, or the fight against Airbnb by the hotel lobby, incumbents will always seek ways to protect their positions. They should recognize it when we see it.
Every incumbent industry will portray their request for protection as merely seeking fairness or consumer safety. But taxpayers are not simpletons; they are on to this game. They understand that much of these regulatory hurdles are about defending the industry’s market.
Unfortunately for consumers, too often the response by lawmakers is to agree to protect the established interests rather than letting the market choose the winners and losers. This was certainly the case this year.
Brett Kittredge is the director of Marketing & Communications for Mississippi Center for Public Policy, the state’s non-partisan, free-market think tank.
Sealed and electronic bids will be received at the Bureau of Building, Grounds and Real Property Management, 501 North West Street, Suite 1401 B, Jackson, Mississippi, 39201, until 2:00:00 p.m. on Tuesday, 04/16/2019, for:
RE: GS# 106-288 Bond Hall Roof Replacement (Re-Bid)
University of Southern Mississippi
RfX #: 3190002795
at which time they will be publicly opened and read. Contract documents may be obtained from:
Professional: Alfred Stolarski Architects, PA
Address: 711 Church Avenue
Ocean Springs, Mississippi 39564
Phone: 228-762-1975
Email: firstname.lastname@example.org
A deposit of $50.00 is required. Bid preparation will be in accordance with instructions to bidders bound in the project manual. The Bureau of Building, Grounds and Real Property Management reserves the right to waive irregularities and to reject any or all bids. NOTE: Telephones and desks will not be available for bidders use at the bid site.
Calvin R. Sibley, Bureau Director
Bureau of Building, Grounds and Real Property Management
3/14/2019, 3/21/2019
Sealed and electronic bids will be received at the Bureau of Building, Grounds and Real Property Management, 501 North West Street, Suite 1401 B, Jackson, Mississippi, 39201, until 2:00:00 p.m. on Tuesday, 04/16/2019, for:
RE: GS# 374-004 Tenant Improvements (Parking Upgrades)
Office of Capital Facilities (Department of Finance & Administration)
RfX #: 3160002800
at which time they will be publicly opened and read. Contract documents may be obtained from:
Professional: Alfred Stolarski Architects, PA
Address: 711 Church Avenue
Ocean Springs, Mississippi 39564
Phone: 228-762-1975
Email: email@example.com
A deposit of $75.00 is required. Bid preparation will be in accordance with Instructions to Bidders bound in the project manual. The Bureau of Building, Grounds and Real Property Management reserves the right to waive irregularities and to reject any or all bids. NOTE: Telephones and desks will not be available for bidders use at the bid site.
Calvin R. Sibley, Bureau Director
Bureau of Building, Grounds and Real Property Management
3/14/2019, 3/21/2019
**Crossword Puzzle**
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**ACROSS**
1. Winged
5. Rocket builders
9. Hose
10. Dance
11. Mined metals
12. Metal tip on the end of a lance
13. Strong point
15. Bullfight cheer
16. Southern Mexican Indian
18. Greek version of Ceres
21. Wing
22. Nontoxic
26. Relating to the moon
28. France and Belgium, anciently
29. Instruct
30. Evils
31. Place to rest
32. Egyptian river
**DOWN**
1. Particle
2. Tempt
3. A wager (2 wds.)
4. Change the clothing
5. Hen-peck
6. Distribute
7. Inscribed pillar
8. Ancient Indian
10. Crooked
14. Diner
17. Family tree
18. Glens
19. Avoid
20. Passion
23. Indonesian island
24. Quieted
25. Otherwise
27. American Federation of Teachers (abbr.)
**Cryptogram Solution**
A B C D E F G H I J K L M N O P Q R S T U V W X Y Z
V M J E S L T A U G H M U S T A N F A Z E G V I N G E S T E F E
A S I D E F R O M W H A T ’ V E B E E N
V P F J D B W H Z C U V G F T D M D E
A B L E T O D O W E U M F R O M O T H E R S
V M D G H N F W D E N W R Z H E U W
P L A Y E R S
N L V Y D W P
**Sudoku Solution**
1 5 4 7 6 3 2 8 9
8 3 2 5 1 9 7 6 4
7 6 9 2 4 8 1 5 3
3 9 7 8 6 5 4 2 1
4 1 8 5 2 9 7 6 3
5 4 6 3 2 1 9 7 8
4 1 5 6 8 2 3 9 7
6 2 3 4 9 7 8 1 5
9 8 7 1 3 5 4 2 6
**Pick Up The Mississippi Link At The Following Locations:**
**Jackson**
- **Bully’s Restaurant**
3118 Livingston Road
- **Cash & Carry**
Capitol Street and Monument Street
- **City Hall**
219 S President St
- **Garrett Office Complex**
2659 Livingston Road
- **Dollar General**
3957 Northview Dr (North Jackson)
- **Dollar General**
2030 N Siwell Rd
- **Dollar General**
4331 Highway 80W
- **Dollar General**
5990 Medgar Evers Blvd
- **Dollar General**
1214 Capitol St (Downtown Jackson)
- **Dollar General**
304 Briarwood Dr
- **Dollar General**
2855 McDowell Rd
- **Dollar General**
104 Terry Rd
- **J & F Fuel Stores**
3249 Medgar Evers Blvd.
- **Liberty Bank and Trust**
2325 Livingston Rd.
- **McDade’s Market**
Northside Drive
- **McDade’s Market #2**
653 Duling Avenue
- **Piccadilly Cafeteria**
Jackson Medical Mall
- **Shell Food Mart**
5492 Watkins Drive
- **Sports Medicine**
Fortification and I-55
- **Murphy USA**
6394 Ridgewood Rd (North Jackson)
- **Revell Ace Hardware**
Terry Rd (South Jackson)
- **Walgreens**
380 W. Woodrow Wilson Ave
**Canton**
- **A & I**
716 Roby Street - Canton, MS
- **B & B**
702 West North Street - Canton, MS
- **Boutique Store**
3355 North Liberty - Canton, MS
- **Bully’s Store**
Church Street - Canton, MS
- **Community Mart**
743 Ruby Street - Canton, MS
- **Fryer Lane Grocery**
Martin Luther King Drive – Canton, MS
- **Hamlin Floral Design**
285 Peace Street - Canton, MS
- **Joe’s Sandwich & Grocery**
507 Church Street - Canton, MS
- **K & K One Stop**
110 West Fulton Street - Canton, MS
- **Lacy’s Insurance**
421 Peace Street - Canton, MS
- **Soul Set Barber Shop**
257 Peace Street - Canton, MS
- **Trailer Park Grocery**
22 Westside Drive - Canton, MS
**Byram**
- **Dollar General**
125 Swinging Bridge Dr.
- **Havior’s Auto Care**
5495 I-55 South Frontage Road
**Vowell’s Market Place**
5777 Terry Road
CITY HALL
Terry Road
**Clinton**
- **Dollar General**
807 Berkshire St - Clinton, MS
**Terry**
- **Service Station**
at Exit 78
- **City Hall**
West Cunningham Avenue
**Raymond**
- **Hinds Community College Welcome Center**
505 E. Main Street
- **Sunflower Grocery**
122 Old Port Gibson Street,
Raymond, MS
- **Love Food Mart**
120 E. Main Street,
Raymond, MS
- **Raymond Public Library**
126 W. Court Street, Raymond, MS
- **Raymond City Hall**
110 Courtyard Square, Raymond
- **Raymond Courthouse**
**Utica**
- **Hubbard’s Truck Stop**
Mississippi Hwy 18
- **Pitt Stop**
101 Hwy 18 & 27
**Bolton**
- **Bolton Library**
Bolton City Hall
---
**MCAN**
Mississippi Classified Advertising Network
To place your statewide classified ad order, call MS Press Services at 601-981-3060
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**Miscellaneous**
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Journalism students get hands-on training by helping CNN with live town hall forum
By L.A. Warren
Jackson State University
Presidential contender Sen. Elizabeth Warren told JSUTV Monday that HBCUs are “powerfully important,” and her message became evident as 12 journalism students assisted CNN with its production of a town hall forum on Jackson State University’s campus.
Warren credited the HBCU for “shaping not just educational opportunities but the future leaders of America.”
Elayne H. Anthony, chair of the Department of Journalism and Media Studies, worked with University Communications and CNN to involve students. About 12 student volunteers labored for several days assisting with lighting, sound, setup and other aspects of the live production that aired nationally as well as abroad.
Students gain experience
“We worked with every department of the broadcast,” Anthony said. “Students also served as runners by gathering information for CNN. As well, they got a chance to work hand-in-hand with the technical crew.”
One of the student volunteers was Miss JSU Gabrielle Baker, a senior mass communications major from Memphis.
“It was nothing short of amazing. I got to see how a world-renowned network put together a town hall. This was awe-inspiring. The way CNN transformed the Rose E. McCoy Auditorium was awesome. It didn’t seem like the same place.”
Baker said her responsibilities included assisting the production director and working with the audio and sound crew by doing voicers.
Also, she said she was thrilled to meet Warren and her team, which took an interest in Baker’s skills and urged her to connect with them in the near future.
“I’m grateful and blessed to be part of an institution like JSU guiding my development work tirelessly to see students like me blossom and develop. If it had not been for my department, I would not have been afforded this opportunity.”
Another JSU mass communications student was equally enthralled at the experience of working with CNN.
‘Steppingstone for my future’
Clement Gibson, a senior from Minneapolis, is an aspiring filmmaker, and described his experience as a “perfect opportunity.”
“Going through pre-production and seeing how things work – good and bad – and the amount of people it takes to put something like this together, was simply extraordinary,” Gibson said. “I will remember this forever. This is a stepping-stone for my future.”
Gibson said watching the political forum was a first for him, but he was inspired by Warren’s enthusiasm. “I set up her dressing room. She was lively and a joy to be around. The event itself was good because the demographics included a good mix of people – white, black, young and old. I’m grateful to Dr. Anthony and the mass communications department for letting me be part of this.”
Meanwhile, Anthony is hoping for more opportunities for future graduates and her staff to gain practical experiences.
“This was a great learning exercise for students. It was wonderful to see faculty at work with them. Anything that puts us in a real-world situation is good for everyone,” Anthony said.
Alpha Phi Alpha Fraternity, Inc. is the first intercollegiate Greek-letter fraternity established for African Americans. It was founded at Cornell University in Ithaca, New York December 4, 1906.
During the week of March 21-24, more than 1500 delegates, their spouses, and guests, representing the fraternity’s Southern Region, will be meeting in Mississippi’s Capital City for their 88th Annual Southern Regional Convention. This week’s events have an estimated economic impact of $3.7 million.
The purpose of the conference is to share ideas, build on the fraternal bond, and engage in the personal and professional development of fraternity members. This year’s theme is “Omega Brothers … Changing Lives … One Community At A Time.”
This meeting of the Southern Region is specifically special because it provides an opportunity for the Southern Regional Vice President, Kelsey Rushing, Esq., to convene the meeting in his hometown. Rushing, a Metro Jackson resident states: “I am honored to have the opportunity to host my fraternity brothers in my hometown. One of our goals during this year’s conference is to galvanize the synergy of our efforts to continue the Alpha Phi Alpha legacy of community uplift.”
During the conference there will be several opportunities for community and open programming including:
- Thursday, March 21 - A F.O.C.U.S. HBCU College Fair and Public Program, 4 p.m. & 7 p.m.
- Friday, March 22 - Southern Region Gala: The Gold Affair, Honoring Mississippi forerunners & trailblazers, 7 p.m.
- Southern Region Stroll-Off & College Brothers Party, 9 p.m.
- Brotherhood Smoke @ the Downtown Smoke Shop, 10 p.m.
- Saturday, March 23 - Southern Region Miss Black & Gold Scholarship Competition, 8 p.m.
All conference events will be held at the Jackson Convention Complex in downtown Jackson. For information regarding tickets to the public events you may contact the region’s executive director, firstname.lastname@example.org or by calling 601 818-1926.
The Southern Region of Alpha is represented by college and alumni chapters seated in Alabama, Florida, Georgia, Mississippi, North Carolina, South Carolina and Tennessee. Everett B. Thomas, Ph.D. serves as the 35th general president of Alpha Phi Alpha Fraternity, Inc. Kelsey L. Rushing, Esq. serves as the 27th Southern Regional vice president.
For more information regarding this convention, please contact Rickey Thigpen, MSLife Membership Committee chairman, 10th District of Mississippi director, at 601 906-1643 or by email, email@example.com.
Stella Grant (Haley Lu Richardson) is a typical 17-year-old in most regards. However, she is also suffering from Cystic Fibrosis (CF), a genetic disease which makes her highly susceptible to a variety of breathing disorders.
Consequently, she spends much of her time in the hospital receiving a “tune up” for this or that malady. She’s currently receiving treatment for bronchitis on a ward with several fellow CF patients, including her gay BFF, Poe (Moises Arias), although there is a strictly-enforced rule that they stay at least six feet apart at all times, meaning they could easily infect each other.
That regulation is put to the test upon the arrival of newcomer Will Newman (Cole Sprouse), a CF victim with a bacteria which would prove fatal should Stella catch it from him. For, the two kids fall in love at first sight, so they find it hard to resist their raging hormones’ urge to merge. Luckily, Nurse Barb (Kimberly Hebert Gregory) is there to monitor the movements of the young patients. She has been particularly vigilant to prevent any rendezvous on her watch, ever since an incident that led to a tragic ending.
Thus unfolds Five Feet Apart, a bittersweet romance drama marking the noteworthy, feature film directorial debut of actor Justin Baldoni (Jane the Virgin). Baldoni deserves considerable credit for coaxing impressive performances out of Haley Lu Richardson and Cole Sprouse who manage to generate convincing chemistry in challenging roles where they can’t touch each other.
The movie’s sole flaw rests in its unnecessarily adding a melodramatic twist more appropriate for a soap opera. During the film’s climactic moments, we suddenly learn that Stella’s prayers for a lung transplant might have miraculously just been answered. A distracting rabbit-out-of-the-hat development that almost ruins an otherwise poignant love story.
Very Good (3 stars)
Rated PG-13 for profanity, mature themes and suggestive material
Running time: 116 minutes
Production Companies: CBS Films / Wayfarer Entertainment Distributors: CBS Films / Lionsgate
You are a really great kid. You can run fast and jump high. You can smile and sing and catch a ball. You might even know how to make a sandwich or help clean around the house. You’re pretty awesome all around, but in “Power Up” by Seth Fishman, illustrated by Isabel Greenberg, your insides are especially incredible.
Here’s something you might not know: You’re a fireball from the skies.
No, really. If you could look inside your body, you’d find the same ingredients that make stars. And get this: if you could harness it properly, your littlest finger on your right hand has energy enough to run millions of refrigerators and TVs, light hundreds of cars, and run an entire city’s worth of stoplights. All on the same day.
It takes energy to do everything; even just sitting and listening to music or reading a piece of paper takes energy. The bones and muscles inside you take energy to keep you singing and jumping and smiling, from the smallest bone inside your head to the largest bone in your thigh, from the smallest muscle in your ear to your largest muscle, the one you’re sitting on.
Human beings have energy to run longer than the fastest animal on Earth. They can create musical instruments and make songs. Humans learned to cook food, to invent cars and trains, to build cities and sidewalks and to look for stars in the skies. Maybe we’re even looking for another fireball…
The thing to remember about the energy inside your body is that sometimes, it needs to replenish. That can be done by eating food that’s good for you, getting a full nights’ sleep, and being active every day. If you get all these things and you take care of the energy machine that is your body when your brain is cared-for, too.
And that brain? It lets you imagine and invent, do math, work on a computer and understand science, remember important things and unimportant things. It keeps you interesting, funny and smart. It makes you powered up.
Time and again, in a dozen ways, you’ve told your child that he or she is important and special. He knows it’s true. Let “Power Up” show her in even more ways.
Through quickly-read pages brimming with facts, and artwork that’s as action-packed as the words it accompanies, author Seth Fishman and illustrator Isabel Greenberg teach their audience with a “gee-whiz” tone that takes information to kid-level but without dumbing it down. Young readers may be skeptical at what they’ll learn (you might, too!) but Fishman takes care of that by including two pages in the back of his book to further explain the science and biology involved. That underscores what’s mentioned in earlier pages and it will encourage a deeper curiosity and interest in further exploration.
For the 4-to-8-year-old who goes nonstop, this is a great introduction to STEM learning, and it’s fun to read, too. “Power Up” could be the right book for the greatest kid you know.
HCSD Employees Recognized for Service to the District
The Hinds County School District recently hosted its third annual awards and appreciation breakfast and luncheon for its employees. The recognition event is designed to recognize and award those employees with five, ten, fifteen, twenty and twenty-five years of services to the HCSD.
Highlights from the Annual Awards and Appreciation Luncheon
Highlights from the Annual Awards and Appreciation Breakfast
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Remembering Paul Johnsgard
Linda R, Brown
Josef Kren
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Remembering
Paul Johnsgard
Linda R. Brown and Josef Kren, editors
Paul A. Johnsgard (1931–2021) was a friend of many, an artist, prolific author, teacher, and humble admirer of all living creatures. It was impossible to find someone at Nebraska Audubon Society or Nebraska Ornithologists’ Union meetings who did not know Paul Johnsgard. His more than 100 published books made him known not just in a community of ornithologists, birdwatchers, and bird lovers in the United States but also abroad. He was a world-renowned ornithologist and naturalist who remained deeply embedded in his local culture and its prairie environment.
We invited about 75 people to write a short memory of Paul. We received about 40 responses, which are published in this book, along with Paul Johnsgard’s own writing on his life. Contributors to this volume include George Archibald, Cherrie Beam-Callaway, Jo D Blessing, Charles Brown, Linda Brown, Jackie Canterbury, John Carlini, Ron Cisar, David Duey, Richard Edwards, Michael Forsberg, Karine Gil, Sue Guild, Twyla Hansen, Chris Helzer, John Janovy, Allison Johnson, Michelle Johnson, Joel Jorgensen, Fujiyo Koizumi, Josef Kren, Thomas Labedz, Kam-Ching Leung, Thomas Mangelsen, Martin Massengale, Julie Masters, Marilyn McNabb, W. Don Nelson, Neal Ratzlaff, Arlys Reitan, James Rosowski, Paul Royster, William Scharf, Rachel Simpson, Tiffany Talbot, Rick Wright, and Christy Yuncker Happ.
Cover: Paul Johnsgard at Cedar Point Biological Station, July 2006. Photo by Linda Brown
With 60 color photographs
ISBN 978-1-60962-289-3 ebook
doi: 10.32873/unl.dc.zea.1500
Zea Books
Lincoln, Nebraska
Remembering
Paul Johnsgard
Linda R. Brown and Josef Kren, editors
Zea Books
Lincoln, Nebraska
2023
All selections copyright © 2023 by the contributors.
ISBN: 978-1-60962-288-6 paperback
ISBN: 978-1-60962-289-3 ebook
doi: 10.32873/unl.dc.zea.1500
Composed in Palatino types.
Zea Books are published by the University of Nebraska–Lincoln Libraries.
Electronic (pdf) edition available online at https://digitalcommons.unl.edu/zeabook/
Print edition available from Lulu.com at http://www.lulu.com/spotlight/unllib
The University of Nebraska–Lincoln does not discriminate based upon any protected status. Please go to http://www.unl.edu/equity/notice-nondiscrimination
## Contents
Preface ................................................. 7
**Remembering Paul Johnsgard by**
Archibald, George .................................. 9
Beam-Callaway, Cherrie ............................. 12
Blessing, Jo D ........................................... 14
Brown, Charles ....................................... 15
Brown, Linda .......................................... 18
Canterbury, Jackie .................................... 27
Carlini, John .......................................... 31
Cisar, Ron .............................................. 33
Duey, David ............................................ 37
Edwards, Richard ..................................... 39
Forsberg, Michael .................................... 41
Gil, Karine ............................................. 44
Guild, Sue .............................................. 47
Hansen, Twyla ......................................... 48
Helzer, Chris .......................................... 50
Janovy, John .......................................... 52
Johnson, Allison ...................................... 55
Johnson, Michelle .................................... 59
Jorgensen, Joel ....................................... 61
Koizumi, Fujiyo ....................................... 63
Kren, Josef ............................................. 65
Labedz, Thomas ....................................... 69
Leung, Kam-Ching .................................... 71
Mangelsen, Thomas .................................. 73
Massengale, Martin .................................. 78
Masters, Julie ......................................... 80
| Name | Page |
|-----------------------------|------|
| McNabb, Marilyn | 82 |
| Nelson, W. Don | 85 |
| Ratzlaff, Neal | 89 |
| Reitan, Arlys | 91 |
| Rosowski, James | 93 |
| Royster, Paul | 95 |
| Scharf, William | 98 |
| Simpson, Rachel | 102 |
| Talbot, Tiffany | 105 |
| Wright, Rick | 107 |
| Yuncker Happ, Christy | 110 |
| **Paul Johnsgard in His Own Words** | 113 |
| **Books, Achievements, Recognitions, and Awards by Paul A. Johnsgard, 2021** | 141 |
| **Paul A. Johnsgard, 1931–2021** | 155 |
| **Name Index** | 158 |
*Paul Johnsgard at Fort Niobrara, May 2004. Photo by Linda Brown*
A man in a yellow sweater and brown pants stands in a field, holding a camera with a Canon strap. The background features green trees and hills under a partly cloudy sky.
Paul Johnsgard, 2008. Photo by Linda Brown
A friend of many, an artist, prolific author, teacher, and humble admirer of all living creatures. It was impossible to find someone at Nebraska Audubon Society or Nebraska Ornithologists’ Union meetings who did not know Paul Johnsgard. His more than 100 published books made him known not just in a community of ornithologists, birdwatchers, and bird lovers in the United States but also abroad.
Paul Johnsgard created his own legacy. His books help us understand the natural world. He wrote his personal story, including a bit about his family. However, we, as two friends, who spent a significant amount of time with Paul during the past few decades of his life, think his story is larger. Paul Johnsgard had deep friendships that nurtured and informed him. We want to introduce you to some of these people. Unfortunately, we did not know all of them. We do know that he always hoped to walk downtown for lunch with librarian Dick Voeltz. When Kuhl’s Restaurant closed, Paul started going to the Senior Center for lunch. He looked forward to visiting with “his table” of friends every day. He often made time to stop in at Bluestem Books to visit with Pat and Scott Wendt and their pooch. He loved meeting Priscilla Henkelmann at auctions. We know he valued Cliff Hollestelle and his other friends in the Carvers Club. Betsy Finch would call him when she got in a rare bird for him to photograph at Raptor Recovery. We would hear of his interactions with Audubon people: Ron Klataske, Paul Tebble, Dave Sands, Marian Langan, Bill Taddiken, Tim Knott, and Arlys Reitan. But there were others we also knew who were in Paul’s circle of friends. We invited about 75 people to write a short memory of Paul. We received about 40 responses, which are published in this book, along with Paul Johnsgard’s own writing on his life.
Linda R. Brown and Josef Kren
There is a magical time that occurs each year in the heart of North America when the river and the season and the birds all come into brief conjunction.
Paul Johnsgard
Every March for more than four decades, I have made my way to Nebraska in early spring to experience what is perhaps the planet’s largest gathering of cranes. In late March of 2020, as the COVID-19 pandemic swept over the continent, this trip was my last journey until safely returning to the same area at the same time in 2021 to meet a portion of more than a million Sandhill Cranes, and at the same time have my final visit with one of the planet’s great ornithologists and lover of cranes, Paul Johnsgard. Two months later in late May, at the age of 89, and following the creation of more than 100 book titles and a litany of scientific and fictional publications, Paul passed away.
Paul’s long and productive career was based at the University of Nebraska, where he taught ornithology and inspired thousands of students. He had the amazing ability to craft his own observations of birds and those of others into comprehensive and easily read literature. For anyone wanting an update on the world waterfowl groups, shorebirds, hummingbirds, cranes, pheasants, raptors, bustards, cormorants, pelicans, trogons, and the natural history and human history of the Great Plains, a Johnsgard publication is a must.
The outstanding nature photographer Tom Mangelsen was one of Paul’s students. But Tom was more interested in capturing the great outdoors on film than on paper. Once when Paul, Tom, and I were reminiscing about life, Paul commented that Tom was his most successful but
George Archibald and Paul Johnsgard at the Rivers and Wildlife Celebration, Kearney, Nebraska, 2008. Photo by Linda Brown
academically worst student. Paul’s warmth and intellect both in person and on paper endeared him widely. And one of my personal highlights of the year was meeting Tom and Paul in the company of cranes in Nebraska in March. Jane Goodall is a close friend of Tom’s and spends a week with him at his retreat beside the Platte River in the heart of Crane Country.
In 2014 Tom celebrated Jane’s 80th birthday in the company of cranes. By chance, I discovered ten Whooping Cranes resting on a small wetland just south of the Platte and was anxious to share the find with Jane, Tom, and Paul. The next day Jane was committed to meeting with her publisher. I served as driver for the entire day and got two photographers
in the best place for pictures. Paul’s close friend, Linda Brown, joined us and brought along sandwiches and drinks. I cherish the memory of that special day shared with such special friends. On Jane’s birthday, I had to leave. But Tom brought her to see the Whooping Cranes as a part of the celebration of that special day.
When Paul and I shared time together in late March 2021, his frailty indicated that every day was a bonus. With a smile and a nod, he stated that soon he would be in the sky with his beloved Sandhill Cranes.
*George Archibald is a cofounder of the International Crane Foundation and a longtime friend of Paul Johnsgard.*
Remembering Paul Johnsgard
by Cherrie Beam-Callaway
Grateful is my word for Paul Johnsgard. I am grateful for the friendship and knowledge Paul shared with me.
I met Paul when I was caretaking and educating at Pahuku, a Pawnee Indian historic ancestral site. His name was often heard in the circles of biologists, writers, birders, historians, and photographers who frequented the site.
Finally I got to meet Paul when he came for a birdbanding day at Pahuku. We shared an instant connection because of our love of the earth. He enjoyed learning the history of Pahuku and about my Pawnee Indian friends. Paul shared his vast knowledge of birds, plants, and art. He enjoyed my historical performances and always validated my work. I was grateful for Paul.
Through the years we met for coffee and shared our constant projects. He became a board member of Pahuku. I didn’t understand why Paul gave me so much of his time. Initially I shared that I’d been unable to go to college and wished I had. The teacher in Paul took me on. I, in return, needed the right kind of person to share my knowledge with. We became good friends.
Paul enjoyed that I was raised in the Sandhills, a place he loved. I received extra points with Paul because my dearest Sandhills friend, Jo D Blessing, was also his. Several times Paul told me of a favorite bird-viewing pond in western Nebraska that he took his students to many times. I never thought much about it until years later when I asked Paul to write a statement to help me obtain a conservation easement for the land that my family had been protecting since homestead days. We were discussing the land, and he asked where it was located. He looked shocked and said he knew the land well. My land was where he had been taking his
students to learn. We were both shocked and laughed many times over, never having made the connection.
When I think of Paul, I picture listening to his calm voice while he describes a bird’s behavior or the details in a feather. Our conversations usually started with my grinning and asking, “How many books have you written now?” He usually had one signed to give or send to me.
Paul’s work goes on. He is a legend in life and death. I am forever grateful to have been Paul’s student and good friend.
Cherrie is a fifth-generation Nebraskan who has been a storyteller with Humanities Nebraska for 38 years. She portrays the trials of early-day pioneers and the homestead era through factual performances.
Paul Johnsgard and Cherrie Beam-Callaway at Pahuku, April 2010. Photo by Linda Brown
Remembering Paul Johnsgard
by Jo D Blessing
Braided river mysticism, parachuting cranes that whispered to the soul.
The word wizards who held hands with the women of the wild
While the soul sentinels walked the bird magic spell,
Blessing the woman from the Fragile Land and the children.
All of them, tributaries entwined in her heart—sacred singing,
birdsongs . . .
Created by the wand of the Merlin.
Word Wizards: Paul Johnsgard, Don Welch, Ted Kooser, Art Pierce.
Women of the Wild: Kay Young, Linda Brown, Cherrie Callaway, Cyndi King, Betsy Finch.
Soul Sentinels: Carl Wolfe, John Dinan, Michael Forsberg, Don Brockmeier, John Flicker.
The Merlin: Paul Johnsgard.
Jo D Blessing is an educator and Paul Johnsgard’s friend.
Thank you for the opportunity to share some of my own remembrances of Paul. In the days since his passing, I have been thinking especially of the first 20 or so years I knew him, particularly at Cedar Point Biological Station. Within about 15 minutes of my arrival in July 1981 to check out Cedar Point as a potential site for a graduate study on cliff swallows, John Janovy took me into the dining hall and introduced me to Paul. As an undergraduate, I had had one of Paul’s waterfowl books, and even then I thought, “Wow, Paul Johnsgard is here!” Starstruck, I sat down with Paul as he finished his lunch, and he immediately expressed interest and enthusiasm for what I wanted to do. He very quickly offered to drive me around to show me cliff swallows. I later realized how out of character that was for Paul in those days because he was very stingy with his time then. But he seemed to like me for some reason, and it didn’t matter to him that I wasn’t affiliated with the University of Nebraska–Lincoln. Formal academic affiliations never much mattered to him.
Anyway, off we went in the blue Cedar Point pickup with an extension ladder in the back. Paul took me to two river bridges, where we got out the ladder and with him holding it, I climbed up to my first cliff swallow nests. Paul Johnsgard was holding the ladder! He was still relatively new to the area and had heard of Ole’s Big Game bar but had not visited it, so he also took me to Ole’s on that trip, after parking far down the street because he was concerned that a state vehicle shouldn’t be in front of a bar. We didn’t stay too long, as he was clearly revolted by the killing of all those magnificent animals. I’m not sure he ever went back.
After that visit, it still wasn’t clear to me that western Nebraska was as ideal for studies of cliff swallows as it later proved to be. But I told
myself, “Paul Johnsgard is there,” which helped decide it for me. Even my doctoral advisor, who worked on mammals, had heard of Paul. I later wrote to Paul asking his advice on when I should show up in the spring, based on what we knew about cliff swallow arrival dates in the state. He, of course, recommended what proved to be the correct time. It’s fair to say that Paul’s encouragement and interest in what I was doing was a very important factor in my coming to Nebraska in the first place, and without him my life might have been very different.
Throughout the next 20 years, while Paul was teaching at Cedar Point, we interacted daily. He imparted a huge knowledge of Nebraska birds and natural history during the many meals we shared. He was a trusted advisor on other topics, such as where to go in the Grand Tetons, what to expect on a trip to Kenya, or the best camera equipment to buy. I was incredibly fortunate to get so much of him on a daily basis during the
time he was at Cedar Point each summer. I always looked forward to the session when Paul taught, especially the five-week classes that allowed plenty of time for him to prowl the haunts around Cedar Point and report back on the birds he was finding. It was disappointing to me when he started teaching the shorter three-week session, and after his departure each summer, I always had an intense feeling of loss for the rest of that season. I’m sure we can all relate to that now.
Paul liked to play tricks on his ornithology classes at Cedar Point, especially those that weren’t performing to his standards. My favorite, of course, was the time he was giving a field quiz to the class, and they happened upon a fledgling cliff swallow sitting on a wire. Paul told the class to identify it, even though they had not seen cliff swallows of that age before. Juveniles have mottled foreheads and throats and thus look a little different from adults. As the class was puzzling over the strange bird, Paul became crestfallen when an adult cliff swallow arrived and fed the juvenile, certain the game was up. But Paul still got the last laugh, as he gleefully reported later that most of the class missed it anyway!
Although we had other contact outside Cedar Point—he showed Mary and me our first sandhill cranes from Tom Mangelsen’s blind near Grand Island—it is his Cedar Point years that were obviously most special to me. I have often thought of him in the years since he was a regular there: when I see a Cedar Point T-shirt with one of his drawings, when I see ornithology classes massed along the Cedar Point road starting off at waterbirds, when I wonder about the local status of some bird species, or when I venture into the Sandhills and remember his lyrical passages in *This Fragile Land*. But mostly I think about his profound influence on my research career and his helping to kindle my love for Nebraska. Thank you, Paul.
*Charles Brown is a professor of biological science at the University of Tulsa in Oklahoma and a longtime friend of Paul Johnsgard.*
Paul Johnsgard: My Teacher and Friend
Paul was my twinkling-eyed teacher and friend for nearly 50 years. I met Paul at the Unitarian Church in about 1977. I was interested in him because people told me he was the ornithology teacher at the university. I came from a “birding family,” but I learned later that I did not know much about birds. When Paul offered a bird walk as his contribution to the church services auction, I bought it for my mom for Mother’s Day. Paul took me and my “birder” parents to Pioneers Park on a sunny day during spring migration. We were all delighted to find 55 species, including a scarlet tanager!
In 1989 Paul mentioned that he still did not have the required ten students signed up for the spring semester ornithology lab. He was afraid the lab would be canceled. I got excited and called my pharmacy manager at the hospital to see if I could switch from day shift to evenings so I could take Paul’s class. The class was rigorous. Anyone who thought ornithology was going to be an easy course was probably sorely disappointed. Saturday morning labs were held indoors during January and February. We got to study bird bones and feathers. As the weather warmed, we went on field trips. Paul would speed off in front of us, pointing out the birds to whomever could keep up with him. He held us accountable for learning to recognize every species we found in the field. He would test us by projecting slides of those species. Sometimes the slides of the birds were annoyingly confusing.
Paul took it upon himself to educate me about the birds that I might see in my upcoming travels. While taking his ornithology class, I was planning a safari trip to Africa. The other students in our class probably
wondered why he often threw in information about African species. The next year he prepared me for the birds of Australia and New Zealand. Paul alerted me to the fact that the South Australian Ornithological Association would be meeting while I was in Adelaide, South Australia. I attended the meeting, and that led to accompanying the group on a field trip to a eucalypt forest where we found a huge (10–12 feet) mounded leaf nest of a malleefowl. Because of Paul’s preparation, I knew that the male malleefowl tends the nest, moving the leaves on the mound to keep the eggs at a constant temperature.
We were both busy people, but we would often spend Saturday morning going out birding. Fairly often, we would drink coffee at the kitchen table and bird the backyard birds. He sometimes opened the kitchen window and patiently waited to take pictures of the birds coming to the feeders. My neighbor once told me that she knew when Paul was visiting because she always heard lots of laughing.
At some point, Paul started bringing me his writing. I tried to read carefully. I read many of his rough drafts. I learned a lot. I felt like I was most helpful to him in the first chapter. I would probably ask 20 questions, such as: Where are you going with this? Who is your audience? We had great fun engaging in “what if?” questions.
Paul would not start writing until he finished the drawings. I think that process helped him organize his thinking. I continue to be in awe of how he could make sense of what I considered to be enormous quantities of information. Not only that, he could think on his feet. When people asked him questions, he could draw on his knowledge and come up with cogent answers.
Sometimes, when my interests were related to nature, Paul would get interested in what I was doing. I started monitoring a bluebird trail at Twin Lakes in Seward County west of Lincoln. For ten years, Paul often joined me on those walks. We were both surprised and saddened to see how many things defeated the bluebirds in their nesting. Secondarily, we were always eager to get back to the trail because each week different plants bloomed in the tallgrass. We loved discovering the first April
blooms of the white wild onion and the purple-blue prairie violets. Later we spotted regal fritillaries, a butterfly dependent on the prairie violets.
About the time of starting with the bluebird trail, I began to trudge through tallgrass with Wachiska Audubon Society people who were documenting plant species on a prairie south of Lincoln. I made a deal with them. I would keep the records in an Excel spreadsheet if they would teach me the plants. Paul immediately jumped in. He brought over lots of resources, so I could add family and scientific names to the spreadsheet. This work started his “prairie phase.” Paul ended up writing several books related to prairies.
At some point Paul nurtured my interest in photography. I went digital before he did, but he was so intrigued with my camera and its pictures that he soon was buying two cameras for each one of mine. We kept leapfrogging along with new generations of Canon cameras. We exchanged lenses when we birded from the car. As my interest in digital photography grew, I took classes in Adobe Photoshop and Microsoft PowerPoint. I ended up putting together many of Paul’s PowerPoint slide presentations for the talks he was invited to give. We had fun working together.
Our best collaboration was probably the Nebraska Partnership for All-Bird Conservation Birding Trails website. As soon as the web developer gave us the go-ahead, Paul and I started entering the information he had written about Nebraska birding sites. I took time off from the hospital. Paul sat by my side with his birding site paperwork, and I entered the data. The man had an amazing capacity to sit there and keep going. We crashed the website after three days of entering data. The Nebraska Birding Trails now resides on the Nebraska Game and Parks Commission website.
Paul was a bit of a tightwad. More than once, I heard him complain about a man who borrowed five dollars from him in college and never paid him back. I could not believe that he was still thinking about that so many years later. I vowed to myself that I would never owe the man a dime.
Paul introduced me to Josef Kren in November 1992 when he invited me and Josef and another student to go see the snow goose migration at Loess Bluffs National Wildlife Refuge near Mound City, Missouri.
When I think back to that trip, I am in awe of the number of geese that were packed into the ponds close to the road. When we drove out of the marsh at dusk, we counted more than 50 deer emerging along the dirt road. On the way home, Josef told us that he was emailing students at his university in the Czech Republic. That was the first time Paul or I heard about email. Josef became Paul’s graduate student. Josef had banded more than 30,000 birds in Europe. He got me interested in bird-banding. Later he rented space in my house.
Bill Scharf came to the University of Nebraska in 1991 to take the position of associate director for Cedar Point Biological Station near Ogallala. He shared an office with Paul. He was also a birdbander. During Bill’s first field season, Josef went to Cedar Point as Paul’s field assistant. While he was there, he and Bill set up birdbanding nets to see which birds were using the habitat of the field station near Lake McConaughy. The following spring, Bill agreed to take me on as an undeclared graduate student for a course in birdbanding at Cedar Point. Bill and I worked together to set up the 40-foot nets around the field station. Bill taught me how to record the birds, and we both enjoyed discovering and photographing the many species using the area during migration. I paid the university for a second class the next year and went to the field station in early May. Josef was also there. We would canoe across Lake Ogallala early in the morning and do “point counts” on singing male yellow-breasted chats. The chats were establishing territories in the bushy area of the ditch on the north side of Lake Ogallala. We banded many little yellow birds in that shrubby ditch: goldfinches, yellow warblers, and Bell’s vireos. As I remember, neither Josef or I recognized that first Bell’s vireo. We put it in a mosquito head net and paddled back across the water to show it to Bill. Bill identified it for us. Bill and Josef banded about 15,000 birds at Cedar Point over six years. I did some of the data entry for Bill’s banding records, and ultimately Paul, Bill, Josef, and I published *Body Weights and Species Distributions of Birds in Nebraska’s Central and Western Platte Valley* in the University of Nebraska–Lincoln Digital Commons. The four of us did many things together. Paul was often the hub.
Paul loved working with Paul Royster at the UNL Digital Commons. Paul Johnsgard did not seem to care whether he was paid for his writing.
The hassles involved in finding publishers burdened him. He mostly wanted to write and to have his writing available for a large audience. The Digital Commons provided that space for him. He would gleefully share reports on the amazing number of downloads of his books from all over the world.
Paul got me involved in the Nebraska Ornithologists’ Union (NOU) in about 1998. While we were in Scottsbluff at the spring meeting, I was asked if I would chair the 100th Anniversary Celebration of the NOU in Lincoln the following year. I agreed to do it. In the car on the way home, Paul started telling me about Lawrence Bruner, one of the founders of the NOU. I suggested that he might want to pull something together about Bruner for the celebration. Paul declined. I let it drop. A couple hundred miles later, I said, “You know so much about the history of Nebraska ornithology, I bet you could write a book.” I let it drop. By the following week, he had roughed out what became a 77-page
spiral-bound book about the NOU that was handed out to each of the people who attended.
I loved traveling with Paul. I think he liked handing over the driving so he could take pictures. He was always a fine navigator. He was usually on a mission, so he was the one who researched what might be discovered on the trip. When he and Josef and Allison Johnson and I went to the Galapagos Islands, we knew we were planning an exhibit at the Center for Great Plains Studies that would compare evolution on the Great Plains with evolution in the Galapagos. We wanted to see what Darwin saw, find the plants that Darwin sent back to England for Joseph Hooker to identify, and see if we could find and photograph the beaks of all the Darwin finches.
In 2018 W. Don Nelson stood up at an Audubon meeting and asked if people would like to go with him to Aransas National Wildlife Refuge in South Texas to witness the effect of Hurricane Harvey on the wintering grounds of the endangered whooping cranes. Paul raised his hand and got me interested as well. We arrived in Fulton, Texas, in late February, six months after the hurricane. It looked as if cleanup had barely begun. Refuse was piled in the grassy area separating the traffic lanes on the interstate highways. Houses gaped, their walls torn off by the wind. It looked as if the only people who had stayed were those with insurance. Still, we learned that the whooping crane habitat had been improved by the extra fresh water. Their favored blue crabs liked the reduced salinity of the water. The wolfberries flourished. We saw 40 of the 400 whooping cranes in the wintering population while we were there. Paul’s son, Scott, and another friend, JoEllen Polzien, accompanied us.
Scott Johnsgard, Tom Mangelson, and Tiffany Talbot made Paul’s last big trip possible in December 2019. Tom rented a big van. Tiffany drove, and Scott helped Paul at every turn. We photographed sandhill cranes on their wintering ground in New Mexico at Bosque del Apache National Wildlife Refuge. There was much laughing and recording of many stories. Paul was in his element.
COVID-19 created a hard time for Paul. He was so much in his own world that it was hard to get him to respond to what we were facing. The day in March 2020 when the university shut down, he was in the Biological Sciences office doing some photocopying. The director spotted
him and said, “You should not be here.” Paul was taken aback. He wondered why he had been singled out. Later he felt better when he learned that everyone was being asked to leave campus because of COVID. Paul worked at his home kitchen table for months. He said his wife, Lois, was not happy to have all the space taken. She went into memory care in August. Josef and I realized Paul was in a difficult situation when he asked us to help him move books from his office to his home in October. He was losing weight and falling. In January 2021, after moving some of those books, he was hospitalized for a mild heart attack. The day he was to be released from the hospital, the city of Lincoln was shoveling out of 15 inches of snow. He asked me to come get him because his daughter’s street had not been plowed. I suggested that he stay at my house during his recovery and while we waited for the COVID vaccine. That worked well. He gained weight and got to go out to see the cranes four
times in March 2021. In April he started having problems swallowing. His kids made arrangements to come. They were his pride and joy. He was pleased. They were just getting their COVID shots. I am grateful we had that safer interval from COVID so they could be with him.
Paul told me he worried that he would be alone when he went to Tabitha’s Journey House for hospice care. Everyone stepped up. Tom Mangelsen and Tiffany Talbot along with Paul’s children, Scott, Karin Johnsgard and her husband Ami Silberman, and Ann Johnsgard Bouma, all stayed with Paul during his four days in hospice. I witnessed his phone call with Jane Goodall two days before he died. They talked about books. He told her that he was waiting for the proofs for his 105th book. The next day, I listened to Paul hand responsibility for proofing his final book back to Paul Royster and Linnea Fredrickson at the Digital Commons. He told Paul Royster that he trusted them. Paul Johnsgard died May 28, 2021.
Linda R. Brown is a retired hospital pharmacist and one of the closest long-term friends of Paul Johnsgard.
Remembering Paul Johnsgard
by Jackie Canterbury
How can one human have an impact on the life of another in such a profound way? The magic of Dr. Paul Johnsgard was in his laughter, bright eyes, his prolific writing, and his keen and curious mind. One rarely meets a person who similarly shares your values—a fondness for laughter and fun, a love of nature and birds, a connoisseurship of oriental art, and a passion for conservation. Paul was a Renaissance man who was drenched in wonder.
I first met Dr. Johnsgard in his ornithology class at the University of Nebraska–Lincoln. We soon realized we had an enormous amount in common, and through time a strong friendship developed. He was on my master’s committee and directed my thesis on the development of a strategy for nongame birds in Nebraska. The thesis used the Greater Prairie-Chicken as a model for conservation. At the same time, the Nebraska Game and Parks Commission was issuing permits to hunt prairie-chickens in southeast Nebraska, a place close to Paul’s heart because it was a good viewing site. Game and Parks proposed a lottery for 300 permits and Paul said to me, “This is a chance for some civil disobedience.” He wrote to many newspapers urging people who were opposed to the hunting permits to apply. They did in strong numbers. We both decided to oppose the lottery by dressing up like a prairie dog and a burrowing owl, species that need the same habitat. Paul went to our favorite shopping venue, Lincoln’s Goodwill store, and purchased the rudiments for our costumes. A gigantic teddy bear was shaped into a prairie dog, and a mask was made into a burrowing owl head with a T-shirt for the body. Paul also made a poster that said “Jesus Loves Prairie Dogs.” We stood to the side of the Nebraska Game and Parks building with our costumes and sign until two buses of western Nebraska
cowboys pulled into the parking lot. Paul looked at me and said, “Let’s get out of here. It looks dangerous.”
I taught at Nebraska Wesleyan University as an adjunct faculty member in biology and physiology while working on a PhD. When I needed help, I called Paul, who came to the rescue. We met at the local coffee shop and talked biology and physiology for hours. No matter what question I had, he would either know or find the answer.
In 2004 Jane Goodall, the well-known primatologist and conservationist, gave a talk on her life’s work at Wesleyan. Tom Mangelsen, a friend of both Paul and Jane, encouraged her to schedule this event in Lincoln in part to allow her to travel to the Platte River to observe the Sandhill Crane migration. Jane calls the crane migration the “eighth wonder of the world.” Paul asked me to introduce her at the event, which was an incredible honor. Subsequently, we made the annual trek to the Platte River to see the cranes.
Clad with camera, binoculars, and a wool cap from the Goodwill, we traveled from Lincoln to view the magic of these birds. Often crouched behind a tree or on the ground, we watched as the cranes floated across the Platte. I will always remember that Paul never tired of this spectacle. Every year was like the first time he saw the cranes. He would giggle and laugh, his eyes sparkling with delight. Through time, I began to see Paul in so many different ways—as professor, friend, mentor, and favorite companion.
As time passed, our friendship grew. Paul often stopped by my house on Park Avenue in the morning. As he entered my kitchen, he removed his shoes. My golden retriever, Huxley, chewed on his socks, which extended beyond his toes and provided a perfect target for play. We laughed, I made him his favorite coffee, and we talked politics and birds.
Oriental art was another bond we shared. My auntie Pearl Weeks had a small home in Washington State filled with art, mainly period pieces from Japan. Rosewood tables stacked with Japanese vases, oriental rugs, and cloisonné (an ancient technique for decorating metalwork) all decorated her home. Paul and I shared a strong appreciation for beauty—both in birds and art. That shared passion led us on the road in search of art and antiques. But Paul, a child of the Depression, was frugal, so getting “the deal” was paramount in his search. The Lincoln Goodwill
was the first place we might tackle. Paul walked up and down the aisles in search of the deal. He often walked out with a new set of clothes, an oriental vase, a book, or a gift for someone. My sentimental favorite was his purchase of a pair of robin’s-egg blue polyester pants and matching
jacket, white socks, and coordinated white shoes for a nominal fee.
After our field trip to the Goodwill, we often stopped at Linda Brown’s home for lunch. Linda remains my favorite cook. I can close my eyes and vividly see her lunch of homemade soup, a salad, and a dessert topped with whipped cream. We sat at her kitchen table, gazed out the window at her feeders, and counted birds. Questions would be answered by Paul or by the many books that lined the kitchen shelves. Josef Kren might stop by, and we would continue our quest for the latest new arrival. Paul sat with legs crossed, camera in hand, photographing birds. Linda, Josef, Paul, and I formed a small birding group that centered around our love of birds, nature, and the gift of Paul.
It was my birthday, and I was in the midst of research for my PhD dissertation. Paul asked me what I wanted for my birthday, and I said “I want to go to the library and answer some questions about the relationship between the Yellow-breasted Chat in North America and chats in other regions.” We sat on the floor in Love Library surrounded by books and answered some of the mysteries of this eclectic species. It was one of the best birthdays, and it was because of Paul.
In 2000 I was to begin teaching at Sheridan College in Wyoming. This meant I would leave Nebraska. I had been toying with the idea of writing a bird book, with Paul as my mentor. I wanted to learn the art of writing from the master. Paul agreed to write a book with me, which I know was difficult because he was a solo writer. We coauthored three books on Wyoming birds over a decade. Paul had worked with Paul Royster, the indefatigable University of Nebraska–Lincoln Digital Commons coordinator, and Linnea Fredrickson, his assistant. He introduced me to this talented pair, and using their expertise we published all three books online.
Jackie Canterbury is a longtime friend of Paul Johnsgard.
Remembering Paul Johnsgard
by John Carlini
My real introduction to Paul Johnsgard came shortly after my interest in birds was ignited. I was jogging through Cooper Park and saw a bird on the ground that I didn’t recognize, and I realized it couldn’t be that uncommon, so I was somewhat dismayed I didn’t know what it was. So when I got home, I decided right then and there to go get a Peterson Field Guide and look up this “spark” bird. After thumbing through the book, I learned it was a yellow-shafted Northern Flicker.
John Carlini and Paul Johnsgard, Rockport, Missouri, September 2017. Photo by Linda Brown
With this newfound interest/passion, I wanted to learn as much about birds as I could. I had, of course, heard of P.J. and figured I would sign up for his beginning ornithology class at UNL in the spring of 2000, but I didn’t have much money and he generously let me audit the class.
His ornithology class had his usual friendly, unassuming but focused style. Unlike most of the other students who were taking a required course, I was taking the class not because I needed to but because I had an actual interest in the topic, and I think he appreciated that. Many times after a class I would linger and ask him many bird questions, and he was always very accommodating, and it never felt like he was in a rush to leave.
After one particular class and answering my myriad of questions for 15 minutes or so, I looked at him and asked “Have you ever met anybody that knows more about birds than you?”
He thought about it momentarily and then stated matter-of-factly, “No.”
It made me laugh because I knew it was true, and he wasn’t bragging. He had a naturally modest demeanor that would not have allowed him to boast in this way. And by this time he had written more than 36 books on birds . . . so, it WAS true!!!! . . . of course, he had all his academic scientific credentials, but he was also a writer of beautiful prose portraying many meaningful poetic images.
He encouraged so many of us who weren’t necessarily looking at birds as an ornithologist to explore and appreciate this amazing natural world we live in.
What a wonderful ambassador to the world of birds!!!
Thank you, Paul!
John Carlini is a local birder, music teacher, and Paul Johnsgard’s friend.
Remembering Paul Johnsgard
by Ron Cisar
My shared life experiences with Paul Johnsgard go back to the early 1980s when I was an active member of the Omaha chapter of the Audubon Society. Before becoming president of the chapter, I served as program chairman. I knew immediately who I wanted to invite as a presenter, and that person was Dr. Paul Johnsgard. This was my first meeting with a man who had already enriched my life through his books on birds and was to become an integral part of my high school and college curriculums in the years to come. I was teaching freshman honors biology students at that time and felt that my students would benefit greatly by reading his book *Song of the North Wind* as we studied the topic of bird migration. Paul’s story of a migrating family of snow geese traveling from their nesting grounds to the Gulf Coast was the perfect supplement to our honors biology coursework. I decorated my bulletin boards with images from the book, carried out class discussions after each chapter, and culminated the assignment with an exam. The student with the top score was given a book by Paul. However, the best was yet to come.
I contacted Paul, and he graciously agreed to come to our school and give a lecture on snow geese. He also agreed to autograph any of the students’ books at the end of his presentation. I don’t think he was expecting to sign over 60 *Song of the North Wind* books, but he willingly signed them all. After the program was over, Paul and I drove to Desoto National Wildlife Refuge, where we both photographed thousands of snow geese that were using the refuge lake as a stopover. A week or so later, I brought my students back to the refuge to witness this incredible sight of migrating waterfowl. Paul’s written words had then come to life!
Over the years I would coincidently meet Paul out in the field. He would be guiding his UNL ornithology students while I was leading a field trip of my Nebraska Naturalists Club. One such rendezvous occurred at Forneys Lake in western Iowa when we had spotted a large group of cedar waxwings while we were birding. We often chuckled that these chance meetings were occurring throughout our lives. Paul and I would meet like this often at bluebird conferences and during the annual sandhill crane migration. On one occasion, my college environmental science students made a stop at the Crane Trust Nature Center near Alda, Nebraska. Paul was already giving a lecture to the public about cranes. Not wanting to walk in with my students and disrupt his
presentation, we waited for Paul to finish. When he came out of his lecture, he joined my class and talked with them at length, answering any questions they had about the crane migration. This, to me, epitomized Paul Johnsgard. He was such a kind and knowledgeable man who truly enjoyed sharing his passion for birds with others.
Throughout my life, I have collected many of Paul’s books and have about 35 in my den library. Most of these books are adorned with Paul’s autograph, with many including a bird sketch. I cherish these sketches of snow geese, sandhill cranes, ruddy ducks, and others, but my favorite is a full-page Canada goose that looks as if it was a natural part of the book design. I often consult his books for reference in my teaching and never pass up the opportunity to share the love, dedication, and wisdom of my colleague and friend. Most recently, I have given four lectures titled “The Magical Time on Nebraska’s Crane River” to the public at an area library and retirement home communities. My first PowerPoint slide has a picture of Paul and a dedication to him for his lifelong work in the field of ornithology.
My last communication with Paul was in early February of 2021. I had sent him a card and written him a letter. Having not heard back from him, I decided to give him a call on the phone. There was no answer, so I left a message, and Paul eventually called me back. It was so great to speak with him again. A few days later I received the following text from Paul:
Ron;
Thank you for the long letter; it reminded me of our meetings. I hope I will be well enough to get out to the cranes this spring—had another heart attack 2 weeks ago.
Best wishes,
Paul
When I heard of Paul’s death, it stopped me cold in my tracks. My entire world had changed in a flash of a second. Although I had never had Paul as a professor, he was an extreme influence on my personal education and a mentor to me in my teaching. Just knowing he was there
spreading his love and knowledge of the avian world gave me a tremendous sense of gratitude and pride. I could not attend Paul’s funeral but was pleased to be able to watch the entire ceremony on Zoom. I had to be a part of this celebration and tribute to a very, very special man. He was not only an award-winning professor, or a prolific author, or a talented artist, he was my friend. And for that, I am forever grateful.
Ron Cisar is an assistant professor emeritus of biological sciences at Iowa Western Community College.
In March of 2017, while Ann and I were doing our week of volunteering at Rowe Sanctuary, Paul came into the visitors’ center and we had a nice visit. I told Paul about being in his lecture as a freshman, unprepared for the world of science that he opened for me.
“Paul, when Ann and I were freshmen, we were both in one of your first lecture classes. The fall semester of 1962, Zoology 101, and we were likely in the big lecture room in Bessey Hall. Well, when you gave the
Ann Duey and Paul Johnsgard, 2017. Photo by David Duey
lecture on the life cycle of mayflies, I wondered if I had enrolled in a science fiction course. You opened my eyes to an unseen world of science.”
Paul responded “Oh Dave, you are right. I have to apologize to you right now. I was ‘rough’ on you kids. How did you do in my class after finals?”
“Well, I had a wake-up call after the first exam.” (We called them hour exams or blue book exams.) “I managed to get a B+ as a final grade, which was good enough to squeak my way into dental college.”
We had a nice visit, and I am lucky to have had him as an influence in my education. Of course, I didn’t know it then, but looking back I believe it was his lectures that stimulated my love for natural science.
David H. Duey, D.D.S., and proud of my B+
David Duey is a dentist and former student of Paul Johnsgard.
Remembering Paul Johnsgard
by Richard Edwards
I knew Paul in two lives. First, when I was UNL’s senior vice chancellor, I knew him as a somewhat elusive biology professor. At that time, biology as a discipline saw microbiology, and more particularly molecular biology, and genomics as its future, and Paul was certainly not its future. I once visited him in his cramped little office in Manter Hall, an interior office with no window, if I remember correctly. It seemed to me his assigned office loudly proclaimed his standing in the school. In Canfield Administration Building, where the chancellor and vice chancellors had their offices, Paul was mostly ignored, though his reputation lingered as a vaguely “troublesome” faculty member from earlier times.
Second, I knew Paul when I was director of the Center for Great Plains Studies. We started a program to promote ecotourism in the Great Plains. When I visited places like Rowe Sanctuary or Spring Creek Prairie Audubon Center, I saw Paul’s words printed on the walls as inspiration and heard Paul spoken of with hushed tones as though he were a god. Putting Paul in the same sentence with Aldo Leopold seemed natural.
It is perhaps a fate of people like Paul that they are more appreciated away from home than they are on their own campus. E. O. Wilson at Harvard, among others, shared Paul’s peculiar fate. Fortunately, in my second life I got to see how Paul was viewed from afar, as a giant in the history of ornithology and conservation. Perhaps if my lives had been reversed, I could have provided more campus support for him.
Paul and I shared one important feature: we both grew up in North Dakota and lived our lives as part of the Dakota Diaspora. (There are more people in the Diaspora than in Dakota.) We chatted about this on numerous occasions. Paul reminisced about how his life in rural North
Dakota caused him to become the relentless defender of wildlife and habitat that he was. Alongside that, my ascension to university bureaucrat seemed like a waste of such good origins.
One of Paul’s vanities, perhaps his only one, was that he had published more books than his age. Some obituaries say he authored “more than a hundred books.” Paul wouldn’t have liked that. He kept an exact count.
Paul was a gentle man of fierce ambitions and beliefs. He was multitalented, as scientist, author, photographer, artist, lecturer, and activist. He was incredibly brave. I never came away from talking with him without feeling that the natural world was very lucky to have him as its student and defender. And we were lucky to have him as our mentor and friend. He was a great man.
Richard Edwards is a former senior vice chancellor at the University of Nebraska–Lincoln.
Paul Johnsgard in front of one of his drawings at the Great Plains Art Museum, March 2017. Photo by Linda Brown
My first experience seeing cranes was back in high school while visiting my grandparents, who lived in Kearney. It was an Easter Sunday, and we drove out to the countryside, parked on a county road, and watched scores of long silhouettes arrow back to the river under a fiery Nebraska sunset. I was in awe. However, I knew little about cranes, their lives, or their story.
That first experience came by reading Paul Johnsgard’s book *Those of the Gray Wind*, a fictional narrative of sandhill cranes, their natural history, and their journey through the heart of North America. I was just
Michael Forsberg and Paul Johnsgard at the Rivers and Wildlife Celebration, Kearney, Nebraska, March 2008. Photo by Linda Brown
out of college, and this small intimate book took me on an immense journey across space and time, and years later served as a motivation for my own personal journey with sandhill cranes in my first book *On Ancient Wings*.
Johnsgard, preeminent ornithologist, naturalist, author, and artist, passed away last spring in Lincoln, Nebraska, just shy of 90 years of age. He had recently published his 105th book, an almost unbelievable feat, and as I write these thoughts I look up at my bookshelf and see eight of those books—each mostly dust-jacket-torn, coffee-stained, and dog-eared, signs of a good read with important content inside.
I did not know Paul as well personally as I knew some of his books, but I knew him well enough to say what struck me most about him: that with his deep wealth of knowledge, depth of talent, and stretch of years, he did not just know the plants, animals, and places that he studied and wrote about, he loved them. And that love oozed out of him with a brightness and passion from the very core of his being. To be sure, Paul’s absence leaves a hole in the fabric of our conservation community, but it also leaves a tremendous legacy and issues a clarion call for us to remain a strong voice for our living Earth and all its inhabitants.
This picture is one of my earliest photographs of sandhill cranes, captured almost three decades ago and my first fine art print—a small group leaving the river roost and heading to the fields after sunrise. It was from those early years when I was not only beginning to understand these birds and the Platte River but to love them dearly. Thank you, Paul. May your spirit soar with the cranes forever and free.
*Michael Forsberg is a professional photographer and friend of Paul Johnsgard.*
Sandhill cranes photograph by Michael Forsberg.
Actions say more than words, and I will share three stories that show the importance of Dr. Paul Johnsgard’s work and the national and international impact he has had in the lives of many people.
It is 1980 and I’m in Venezuela, where I’m originally from, and for my first thesis about blackbirds and a comparison of migratory birds of the plains, I used for the first time Johnsgard’s books as my references. In 1992, when writing my master’s thesis on cormorants, I read Johnsgard’s books about cormorants and aquatic birds. Then during the 2000s, to become an avian ecologist, I was getting my PhD in wildlife and fisheries sciences at Texas A&M University, and while I was writing my Whooping Crane dissertation and getting ready for my prelims, I spent months at the library reading many of his publications. This all represents more than 30 years of reading and knowing about one of the best ornithologists in the United States and the world!
Then how did I become his international Number 1 Fan? In 2006 I’m at the Crane Trust working as a crane ecologist. One Friday in March at 5:30 p.m., two birdwatchers come into the building. Linda Brown introduced herself and then introduced Dr. Paul Johnsgard. You can imagine my reaction . . . “Paul Johnsgard? PAUL JOHNSGARD! PAUL JOHNSGARD! IS ALIVE!!! AND IS HERE! WOW!” I remember his face during my reaction as if he were a rock star! And since that time we became great friends in permanent contact . . . until his migration like that of the cranes a few days ago.
My next story tells about his enthusiasm and contagious passion for life, for birds, for cranes, and for the next generations. Every time he arrived at the Crane Trust to join me during my research with the Whooper Watch program, he was full of energy, rejuvenated, and
jumping into my jeep or my convertible like a NASCAR driver! And we had unforgettable experiences and shared anecdotes watching the Whooping Cranes and Sandhill Cranes. This shared experience allowed us to publish together “The Whooping Cranes: Survivors Against All Odds,” based on my family tree of banded Whoopers, research that fascinated him, and later, using my Sandhill Crane surveys and data analysis, “Sandhill Cranes: Nebraska’s Avian Ambassadors at Large.” These two articles were published in 2010 and 2011 in the Prairie Fire newspaper and presented at national conferences. Paul was very proud of his amazing book production, and I was so grateful! I suggested to him the translation of his bestseller Crane Music into Spanish. I did that translation with Dr. Weir. I don’t know how many of his books have been translated, but one of the most important, Música de las Grullas, is available for all your Spanish-speaking friends.
My last story is about enjoying his multiple talents, as a scientist and photographer and artist. He was my model, my inspiration, and my
hero! One day I shared with him the inspiration for my Sandhill Crane’s March Tango piano composition (describing the cranes’ behaviors with my melodies), and he said he would get pictures to match my music! He then went to the Rowe Sanctuary observation tower and took all the pictures that made up our video “Passion for Cranes,” which is on YouTube. He took the best pictures that you could imagine, and he told me, “I got the pictures, but coming down I lost my sweater on the ladder!” Can you imagine this? Paul in the darkness with his photographic equipment? He loved adventures!
Thanks Paul, Dr. Johnsgard, you are the mentor of generations of biologists in the world studying birds and wildlife; I know you’re part of the Platte River with its cranes. We will meet you at the Platte always, flying high like the cranes and helping us protect the biodiversity of our beautiful planet created by our Lord.
Karine Gil is a member of the teaching faculty at Baylor University in Texas and Paul Johnsgard’s friend.
Remembering Paul Johnsgard
by Sue Guild
When Wachiska Audubon would do Lincoln Bird EnCOUNTer at a public library, Paul would often talk with kids and draw a picture for them. He always looked so happy then.
Sue Guild is a Wachiska Audubon Society member.
Paul Johnsgard teaching children how to draw a duck at the library, February 2018. Photo by Linda Brown
I became aware of Paul Johnsgard when I joined the Audubon Society in the 1970s and attended Wachiska Audubon meetings. He was a popular speaker—professor of biology at the University of Nebraska–Lincoln—and involved with Great Plains environmental issues affecting birds and other wildlife, opening our eyes to the importance of habitat for all creatures, including those in our own backyards. At that time, I had no idea he was a world authority on crane species, or that he would become a prolific nonfiction author with more than one hundred books. I also heard him speak at UNL, Pioneers Park, Spring Creek Prairie Audubon Center, and in Kearney during the sandhill crane migration.
In 1982 I became grounds manager/arboretum curator at Nebraska Wesleyan University. My goal was to transform the campus into a diverse landscape with native grasses and forbs, flowering shrubs, and a variety of coniferous and deciduous tree species. It was there I also became a writer after taking a beginning poetry class. Over the decades, my own acre in northeast Lincoln was transformed from an overgrazed, weedy pasture to a wooded/wildflowered wildlife/pollinator habitat.
In 2004 I decided to return to UNL and complete an agroecology master’s degree. I also started writing poems to celebrate tallgrass prairie at Spring Creek Prairie. Somehow, I mustered the courage to ask Paul if he had any drawings to accompany my short poems for a book. He modestly said, “Oh, I have a hundred drawings.” I gave him copies of the poems I’d written and titles of those I intended to write so he could pair his drawings with them. When I ran out of subjects to write about, he told me of other drawings he had of prairie birds, mammals, and insects. I kept writing.
Paul made several new drawings for our book, including a striped chorus frog for “Frog Pond” and native grasses for “Walk on the Prairie.” By then it was winter, and the prairie was weighed down by snow, so he visited the UNL herbarium to find mounted specimens in order to draw them. For “Lightning Bugs,” he already had a drawing, but he said, “They’re seen at night, so I made it dark—lots of ink!” For “Dragonfly” he said, “I had to draw the wing veins accurately because the entomologists will know.” Our small book, *Prairie Suite: A Celebration*, was published in 2006 and is still in print. That was soon after his 49th book came out, so I asked him if *Prairie Suite* would be his fiftieth. He smiled, chuckled, and said, “No, forty-nine and a half.”
*Twyla M. Hansen was Nebraska State Poet 2013–2018 and is most recently author of Feeding the Fire (2022, WSC Press).*
Remembering Paul Johnsgard
by Chris Helzer
My first experience with Dr. Johnsgard came when I signed up for ornithology class at Cedar Point Biological Station in the early 1990s. Upon arriving, I quickly learned what countless other ornithology class students through the years learned: you’d better be able to walk quickly if you’re going to learn anything in the field.
On our first walking field trip around the station, Dr. Johnsgard took off like a shot down the driveway, leaving most of the students behind. As we caught up, he was already pointing out birds bouncing around in the shrubbery and talking about both how to identify them and their natural history. As we moved (quickly) on to new sites and new birds, it was immediately clear that learning was the responsibility of the student, and that meant keeping up with the instructor! I don’t think he ever looked back to see if people were lagging behind. Instead, he just talked to whomever was with him, both while walking and during brief stops.
I think it’s fair to say that, at least during that time, he wasn’t an electric lecturer. He used visual aids that he’d clearly been using for many years, and (I’m guessing) the same words to go along with them. The combination of his relatively low-energy speaking and the hot, dark interior of the Cedar Point dining hall made it difficult to stay alert. That was unfortunate because the material was strong. Through force of will, I did learn a lot from that instruction, but the lectures were what we suffered through to earn the field trips.
The dry, monotonous lecturer transformed into a long-legged dynamo as soon as we stepped outside. His energy, posture, and demeanor were similar to that of many of the birds we observed: quick movements, lots of rapid vocalizations, and only brief pauses between bursts of activity. Those of us who kept up with him on walks (runs?) soaked in a tremendous amount of information. Anyone who lagged behind learned nothing. Dr. Johnsgard didn’t exactly play favorites; he just left it up to the students whether or not they wanted to expend the energy to learn.
Taking field trips on the road was also an adventure. As a driver, Dr. Johnsgard was notorious for slamming on the brakes when he spotted a bird. Often, that meant either stopping in the middle of the road or careening (we felt) wildly into the ditch. You didn’t sleep in the van during a Johnsgard Birding Trip.
The summer after taking ornithology from Dr. Johnsgard at Cedar Point, I returned as his teaching assistant and had the pleasure of watching a new crop of students experience his energy and expertise. As the driver of the second van on field trips, I also learned to keep a safe distance behind his van and to focus on his brake lights to avoid a collision! Most of all, though, I reveled in the opportunity to have a second season of learning from one of the best field instructors I’ve ever had.
Chris Helzer is the Nature Conservancy’s director of science in Nebraska and a former student of Paul Johnsgard.
Remembering Paul Johnsgard
by John Janovy
Because of my coursework at the University of Oklahoma, especially three courses with George M. Sutton, and my doctoral dissertation on avian malaria, I was naturally both interested in, and appreciative of, Paul’s role as a faculty member at the University of Nebraska–Lincoln. It seemed to me back in the 1960s that any biology department worthy of the name required an ornithologist, and Paul filled that role with dignity, passion, a remarkable physical drive, and an equally remarkable breadth of knowledge. As the decades passed, it became more and more obvious that he was perhaps the most unusual, if not outright unique, faculty member at my university. His writing and art were clearly a product not only of his intelligence but also of his apparent determination to teach the world about birds. Thus, he became a model for how an academic career should develop: from early original scientific observations and publications in peer-reviewed journals—of which he had plenty—to an increasing engagement with larger audiences and an obligation to ensure that we are not living in a scientifically illiterate society.
During my years as director of the Cedar Point Biological Station, he was always my “go to” faculty member, guaranteed to fill his ornithology courses and generate a waiting list as well. It was a special experience to accompany him on field trips and watch his interaction with both the natural environment and his students. I consider it a real privilege to have known him well enough to be comfortable on those trips, learning not only about birds but also about how to conduct a field course. For me, the big take-home lesson was how to look at my subjects, what to look for, what to remember, what to appreciate most, and what to photograph, if possible. Paul’s approach to ornithology seemed transferrable to any other scientific discipline. But he and Sutton shared one
distinctive trait: they were ornithologists making observations that were important to them, even while driving at highway speeds. Somewhere in my own writing is the statement that if you fear for your safety, never get into a car with an ornithologist; but if you fear growing up ignorant about the natural world, always get into a car with an ornithologist.
Left to right, John Janovy, Paul Johnsgard, and Josef Kren at the Center for Great Plains Studies, University of Nebraska–Lincoln, January 2017. Courtesy photo
Paul was absolutely the most independent faculty member I ever encountered in a 50-year career at UNL. He was never seriously diverted from the work he believed was important and was always focused on his writing and art regardless of what his colleagues might have thought about it. Consequently, unlike the vast majority of us who seem to place highest value on those five-page papers in peer-reviewed journals, he made lasting contributions to our understanding of the natural world through his hundred-plus books and his art.
I probably shouldn’t say this, but I believe it is an important lesson we all need to learn from watching Paul’s career at UNL. He never seemed to get the recognition he so well deserved in his home department, regardless of the honors and respect he garnered outside Biological Sciences and outside the university. Every day as I went to my own office in Manter Hall and either spoke to him or noted the evidence of his productivity hanging on the walls around his office door, I wondered why the others who worked in that building were not seeking out his expertise and experience. But then I knew that if someone interrupted him while writing, that someone had better be a friend who understood what Paul Johnsgard and his work actually meant to the department, the university, and the global society in which we were all embedded.
John Janovy Jr. is professor emeritus of biological sciences at the University of Nebraska–Lincoln and a longtime colleague and friend of Paul Johnsgard.
I’m honored to be up here sharing some of my memories of Paul with his family and friends.
He taught all of us at one point or another, whether or not we were his students. As for many others, Paul’s teaching and Paul’s naturalist’s love of the world around him is in no small way responsible for who I am today. I probably would have worked with animals, maybe have even gotten a PhD. But I’m a bird-loving behavioral ecologist because of Paul. And I’m also a very accurate bird illustrator because of Paul.
Allison Johnson and Paul Johnsgard at Spring Creek Prairie Audubon Center, May 2004. Photo by Linda Brown
For those of you who know me, or have heard my name through Paul, you’ve probably heard this story. But for those of you who haven’t, Paul and I met by accident. It was 2003, the year that the Iain Nicolson Audubon Center was dedicated at Rowe Sanctuary, and Paul gave a presentation about cranes. I couldn’t tell you what the presentation was actually about because, as Paul and my parents so enjoyed recounting, I wasn’t paying any attention. I was in the back of the room, drawing in a sketchbook. I was drawing a leopard, in a tree, a sketch that my mom still has in her study. Anyway, Paul came to the back of the room, like any good professor seriously annoyed that I wasn’t paying attention. He was surprised to see my drawing, and as Paul has done for many of us, he saw an opportunity to encourage a passion. He gave me a book, *Song of the North Wind*, and he drew in the front a snow goose.
After that first meeting, Paul became an absolute constant in my life. If I had a question, he’d send me an email novel about the answer, or suggest a book, or send me a book! He encouraged my art. I’d show him my sketches every time I got to see him in person. He’d count the number of primaries. For those of you who are curious about an esoteric ornithological fact, primary number was used to help inform bird systematics—the way we classify and organize species. Among passerines (most of the birds you see on a daily basis), species were classified into “10-primaried” or “9-primaried.” This was what Paul was usually checking . . . did my bird have 9 or 10 visible primaries?
Through Paul, I had my first opportunity to go to the Galapagos Islands. I remember when I was first invited to join Paul, Linda Brown, and Josef Kren on their trip. I was in high school, so teenage me was certain that my parents would never let me go. And I remember when they handed me a wetsuit, fins, and a snorkel. That made it a done deal. I got to walk around the Galapagos with Paul. I was going to be an evolutionary biologist. My favorite memory from that trip is an image of Paul checking the photos he was taking. He’s sitting on a rock, looking at the camera screen, very focused. Next to him is a pair of displaying blue-footed boobies. Now something about Paul is that he enjoyed shopping at Goodwill. And before we went to the Galapagos he’d found the most fabulous pair of Air Jordans. They were blue fabric with a bright blue shiny toe. I would say they were more impressive than the feet of the
Left to right, Paul Johnsgard, Linda Brown, Allison Johnson, and Josef Kren, participants in *Celebrating Darwin’s Legacy: Evolution in the Galápagos Islands and the Great Plains* at the Great Plains Art Museum, February 2009. *Courtesy photo*
Left to right, Josef Kren, Allison Johnson, Linda Brown, and Paul Johnsgard, Galapagos, 2005. *Courtesy photo*
blue-footed boobies, and I hold to this day that the male was displaying to his mate because Paul’s shoes had made him insecure.
Paul also introduced me to Charles Brown and Mary Bomberger Brown, who gave me my first experience as a field tech. You’ll hear from Charles how Paul had an impact on him as well, but through this introduction, Paul had made what was already a leaning toward studying birds a certainty, and also ensured that, like Charles working on social cliff swallows, I would work on a social bird species for my own graduate work.
During college and graduate school, Paul remained a huge part of my life. I’d visit Lincoln whenever I’d drive home to Scottsbluff on breaks. Each time I’d visit my family, I’d visit this adopted family of friends.
In the last few years I got to move to Lincoln as a researcher. It was surreal. My office is a few doors down from Paul’s. I got to pop into his office and ask how the next book was going, how were the edits, what number are you on? And if I wasn’t around when he’d come look in my office, I’d know he’d come by because there would be a book on my desk.
This last year I didn’t come into the office nearly at all. I kept my distance. But the couple times I needed to come in to get some equipment, each time there was a book on my desk because Paul had stopped by.
When Paul passed away, I was at Cedar Point Biological Station teaching ornithology. It felt both poetic, because Paul had also taught ornithology at Cedar Point, and because I’d gotten to be his teaching assistant the last year he taught the class, but also heartbreaking, because I wasn’t in Lincoln to say goodbye. I had asked Charles to give a guest lecture to my students. And at the end of the talk, Charles put up a picture of Paul and me and told the class they were Paul’s legacy. He taught me, and I was teaching them. I have to admit that got me, and I had several embarrassing moments of sniffling in front of my class, but, despite that, I really hope Charles is right. Paul shaped who I am today. I have no doubt of this. I will do my best to do what you did, Paul. I will pass on your love of birds to everyone I have the opportunity to teach, whether or not they are my student. And I will make sure all my drawings of birds have the right number of primaries.
Allison Johnson is a research assistant professor at the University of Nebraska–Lincoln.
Remembering Paul Johnsgard
by Michelle Johnson
A Limerick Poem as My Memorial to Paul
I am grateful to have known Paul the relatively short time I did. I wrote as a memorial to Paul a limerick of the memories I hold dear. I appreciate the bird lessons I received from Paul during our birding outings or while sitting at Linda’s kitchen table observing the diverse flurry of activity around the various bird feeders. I enjoyed our discussions, and I always learned something new!
Left to right, Linda Brown, Michelle Johnson, and Paul Johnsgard at Spring Creek Prairie Audubon Center, 2009. Photo by Josef Kren
A whimsical man was he.
First out of the car and deep into the fields he would be.
Bushy white hair, oversized glasses, and a tall lanky body was his look.
Binoculars around his neck, Canon camera on his hip, the field guide was his book.
Lecture after lecture he would give to students and those eager to hear, book after book he would write to educate and entertain many, a legacy no other he will leave.
My life is more colorful for having known Paul!
Fondly, Michelle Johnson, birding friend
Michelle Johnson is an assistant dean at the College of Nursing at the University of Nebraska Medical Center, Lincoln Division.
I had the privilege of interacting with Paul on a number of occasions, but a couple that are most memorable include a shorebird trip and crane-watching trip. The shorebird trip was an endeavor that I got to do with Paul that ended up being an auction item for a charity event. The trip
Joel Jorgensen at the Nebraska Ornithologists’ Union Meeting in York, Nebraska, May 2009. Photo by Linda Brown
was a great experience for me because I got to be out in the field with Paul and learn from all his experiences across the state. Despite having some vehicular issues that caused havoc with the itinerary, our small group rambled across the Rainwater Basin and through the Sandhills in high spirits. The crane-watching trip was similar in that Paul and I were asked by Nebraska Public Television to go along on a Sandhill Crane viewing trip to central Nebraska for their donors. This was a great opportunity for me to see how Paul shared his expertise about cranes and the Platte River with the general public. As usual, our evening with the cranes did not disappoint.
I am unable to remember the first time I met Paul, but I can state every time I did interact with him, he was always gracious and very willing to share his insights. I remember being a young kid with a budding interest in birds and using Paul’s books to cut my teeth on ornithology. Especially useful and interesting to me were Paul’s *Birds of the Great Plains* and the associated *A Revised List of the Birds of Nebraska and Adjacent Plains States*. It is difficult to remember a time before the internet when information was much more difficult to attain than by just clicking a mouse. That is why, at such a young age, these works were influential—because they opened doors to so much new information. I learned a lot about Nebraska birds from these contributions, and it was a thrill later on in life to be able to meet the man who produced them.
Rest in peace, Paul.
*Joel Jorgensen is a Nongame Bird Program manager with the Nebraska Game and Parks Commission.*
I first met Dr. Johnsgard when I moved to Lincoln, Nebraska, from Japan for my graduate study in 2006. Fortunately, good friends of mine, Josef and Linda, introduced me to him, and I was able to get to know him in a close circle of friendship.
I was aware he was a prominent professor of ornithology. However, to me, he was a kind friend. He always asked me about my study and how I was doing. I remember he kindly took me to some places and events so I could assimilate into the new life in Lincoln. When I finished with school, he attended my graduation ceremony in 2009.
Left to right, Josef Kren, Paul Johnsgard, Fujiyo Koizumi, Mario Pesendorfer, and Gertrude Wood, November 2008. Photo by Linda Brown
Dr. Johnsgard happened to be the same age as my father, who passed away some years ago. At that time, my father had become ill, and Dr. Johnsgard cared to ask me how my father was doing every time we spent time together.
It was a privilege that I had many opportunities to visit places and watch birds in Nebraska with him and his friends Josef and Linda. I believe he enjoyed introducing me to the culture, history, and lifestyle in the Midwest as well. He cared to explain about the places anywhere we would go.
Countless times we went out birding in town and the countryside. We visited nature stations and joined activities in the state. Watching and hearing Sandhill cranes on the Platte River with him are the highlighted images I still picture in my mind. We took road trips to the Sandhills several times. I remember vividly the images of wide spreading sky, vast cornfields, reddening sunset, hot and dry sand roads, lasting flat landscapes, and everything. I was always amazed by his passion for his work. He was very happy to explain about the birds we were watching together, and I was very lucky to learn from him directly.
That time with him became one of the best eye-opening experiences for me, not to mention the best memories in my life. Unexpectedly, the beauty of nature he showed me had changed the priority of my life and what I wish for later on. Having spent my whole life in cities until then, I didn’t even imagine those times would change my values until I experienced them. He became my window to appreciation for Mother Nature and wish for living a life enjoying it.
Fujiyo Koizumi is a former graduate student at Doane University.
Remembering Paul Johnsgard
by Josef Kren
At the end of May in 1992, Dr. Paul Johnsgard, his ornithology class, and I traveled to Crescent Lake National Wildlife Refuge. I was Dr. Johnsgard’s teaching assistant at Cedar Point Biological Station in Keith County, Nebraska. He told me so many times about what a wonderful place Crescent Lake was that I could hardly wait for the day we decided to go. On our way from Oshkosh to Crescent Lake, dozens of Western Meadowlarks were singing on fence posts along the way. I was amazed. Sandy roads, the wide blue sky, and Vivaldi’s spring concerto sung by a chorus of bird species that I fell in love with immediately.
Josef Kren and Paul Johnsgard at the Cedar Point Biological Station gate, May 2016. Photo by Linda Brown
It was the beginning of our regular pilgrimage to one of the most beautiful places in Nebraska. Since then, we made numerous trips to the Nebraska Sandhills. Sometimes we went with friends, but most often it was just the two of us. Dr. Johnsgard had fallen in love with the Sandhills some thirty years before I did, as he mentioned in our book *The Birds of the Nebraska Sandhills*. We both loved the green sea of grass covering the hills, blending with blue skies at the horizons, and the melodies of meadowlarks fluttering all over. We always eagerly anticipated the enchanted scenery of the Sandhills while traveling westward on Scenic Highway 2.
We would stop the car at our favorite sites in Garden and Sheridan Counties, open the windows, and photograph singing meadowlarks. Immersed in our own thoughts about the beauty of grass, sky,
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**Paul Johnsgard in the Nebraska Sandhills, May 2018. Photo by Josef Kren**
*Opposite: Josef Kren and Paul Johnsgard at Spring Creek Prairie Audubon Center, March 2018. Photo by Linda Brown*
The author with his father, Bob, on a prairie birding trip in 2018.
and melodies, we sat silently, occasionally whispering, “What beauty is around us.” From time to time, our silent moments were interrupted by another sound we were hoping to hear: calls of Long-billed Curlews flying above us. We did not perceive time until it was late afternoon and necessary to return to lodging for the night.
I was planning our annual Sandhills trip for May 2021 when Dr. Johnsgard told me he could not go because of his declining physical health. I left Lincoln on May 26 alone, and my thoughts were with Dr. Johnsgard who was in hospice. In the early morning of May 28, 2021, I was photographing singing Western Meadowlarks on my way to Crescent Lake. The mesmerizing song of one male was so rich and loud it pierced my soul. I took many pictures of the male.
After my return to Lincoln, in the late afternoon hours, I received a call from Tom Mangelsen. “Paul will never again take a journey to the Sandhills. Earlier in the day he was wondering how your trip was.” The trip was joyful as always, Dr. Johnsgard. I knew you were with me, with the sea of grass, skies, and the meadowlark’s song in your heart. Our thoughts met in the paradise we both enjoyed so much.
The almost thirty years’ journey between the first and the forever song of a meadowlark with you, Dr. Johnsgard, was unforgettable. I am very grateful for the time we spent together. Forever.
Josef Kren was Paul Johnsgard’s last doctoral student and is professor of biomedical sciences at Bryan College of Health Sciences, Lincoln, Nebraska.
Remembering Paul Johnsgard
by Thomas Labedz
As an undergraduate in the 1970s at what is now the University of Nebraska at Kearney, I vaguely recall the retired ornithology teacher, John Bliese, remarking that I should see a book by Johnsgard. Later, in the early 1980s while I was working for the U.S. Fish and Wildlife Service in Grand Island, it was announced that Paul Johnsgard would lecture about cranes at the city library. Ironically, I couldn’t attend because I was guiding a crane tour for the Platte River Trust. Cynthia, my spouse, was able to attend and recorded his lecture. I forget exactly when I first met Paul, but it was about then, and likely at Audubon’s River Conference in Kearney. I also remember meeting Roger Tory Peterson and several other notable bird enthusiasts those springs along the Big Bend of the Platte.
In 1985 I was hired to inventory and database bird collections at the University of Nebraska State Museum in Lincoln. I realized early on that many specimens were missing and suspected to be in Johnsgard’s office/lab where he taught ornithology. Paul was none too pleased with me over the years as I worked my way through various taxonomic groups of birds and rummaged through his Manter Hall areas to repatriate museum specimens he had “borrowed.” But I was able to assist him and his students through the museum’s labs with some work on owls. When his 1988 book on North American owls came out my name was misspelled in the acknowledgments. I pointed this out and Paul quipped something to the effect that “my name wasn’t important.” Payback for repatriating specimens? I thought Cynthia was going to hit him.
Fences were mended and over the years at UNL we became friends. We’d still disagree, like when I collected prairie grouse for the museum. But I’d pop in to Manter Hall to hear of his latest project, a routine until 2020 and the pandemic. Paul would happily bring students and visitors
to the museum collections. The museum is also home to the Nebraska Ornithologists’ Union Library. Between specimens and the library, Paul could always find something of interest. He was generous, too. Paul assisted the museum in getting difficult-to-obtain specimens (e.g., Kori Bustard from a zoo) and donated at least 81 books to the NOU Library.
I last saw Paul on the Platte just a couple of years before his passing. We bumped into each other along Shoemaker Island Road and stood on the shoulder watching and listening to cranes that warm spring day. My last visit was at his home on November 10, 2020. He had additional health issues but wanted to donate more books to the NOU Library. His health, pandemic restrictions, and road conditions necessitated that I come to him. We visited at his door for a time while an icy rain/snow mix was falling. I went to retrieve his mail; he passed me bags of books. The last entry of his donation to the NOU was his book *Wildlife of Nebraska: A Natural History*.
*Thomas Labedz is a collection manager at the University of Nebraska State Museum.*
Thinking back, I got to know Paul in the late ’80s. I have been collecting Chinese ceramics and paintings as well as oriental carpets for decades. Paul had similar interests in oriental carpets and paintings. Apparently, for he told me he went to most, if not all, the estate sales in the surrounding area for his collection. Even though I don’t know much about birds, I do enjoy photography. Like many Nebraskans, I like to watch the cranes in the spring. I learned quite a bit from Paul concerning
Paul Johnsgard in his office at the University of Nebraska–Lincoln, October 2020. Photo by Josef Kren
cranes and some general knowledge about birds. Often, I would send him photos of birds from my travels for identification. Occasionally, he would show me some Chinese and Japanese paintings and Japanese woodblock prints for authentication. It was much easier for us to get together after we moved from the Mount Emerald home to our downtown apartment since Paul had an apartment (for his collection) just above us in the same building.
Paul usually took his lunch at the downtown Senior Center before noon. About three times a week I would go to the UNL City Campus gym before noon also. Frequently, we would run into each other from opposite directions around 11th and Q Streets and chat for a while before he continued to his lunch meeting downtown (usually with his daughter), and I would continue to walk to the gym for my workout. At times, he would ask where I was traveling to next, if we hadn’t run into each other at 11th and Q. We had a great time keeping up with each other through the years at the street corner.
About a week or two before Paul passed away, he informed me that he wanted to bring some books to me. It happened that I still had some books I should return to him. As usual, we had the Chinese tea we would always have whenever he came for a visit. He told me there was no need to return any books to him, as he planned to disburse his library. Paul was very kind to sign some of them for us to keep.
Paul was a gentleman and a scholar. I had the good fortune of having a great friendship for several decades. He will be missed, but his work and commitments live on.
*Kam-Ching Leung is professor emeritus in the Department of Physics and Astronomy at the University of Nebraska–Lincoln.*
Remembering Paul Johnsgard
by Thomas Mangelsen
On Friday, May 28, 2021, the earth lost one of its greatest heroes. For plants, amphibians, mammals, and especially birds, Paul Johnsgard was one of their biggest champions. He was likely the world’s most prolific writer on ornithology and natural history. During his last months, he completed his 105th book, *The Sandhill Crane State: A Naturalist’s Guide to Nebraska*. He would have turned 90 on June 28.
Thomas Mangelsen and Paul Johnsgard, 2016. Photo by Linda Brown
His first love was cranes; he wrote nearly a dozen books about them. There wasn’t a group of birds in the world he hadn’t written about: from *The Grouse of the World* to *The Hummingbirds of North America* to waterfowl, cranes, and the pheasants of the world.
He not only did major books on birds, mostly illustrated with his own photography and beautiful pen-and-ink drawings, but he also wrote a dozen popular books, such as *Song of the North Wind* (about snow geese), *Wind Through the Buffalo Grass* (about the Lakota Sioux), *Those of the Gray Wind*, *Prairie Dog Empire*, *Lewis and Clark on the Great Plains*, and one very special book, *Dragons and Unicorns*, coauthored with his daughter Karin. A handful of his books I helped illustrate with my photographs.
Paul was a conservationist and activist who wasn’t afraid of standing up to government agencies, or whomever, when they failed in protecting wildlife and habitat—from grizzly bears that were taken off the Endangered Species list and about to be hunted in Wyoming, to wolves being slaughtered in Idaho by any means, to the “sport” killing of cougars in Nebraska for “fun” and for a rug on the floor.
Paul was genius in every sense. He not only loved nature and wildlife but also loved to teach others, no matter what age, no matter who they were. If they were interested in nature, it was good enough, and within minutes they would be captivated by his stories. He often changed the attitudes of his audience and, on occasion, even careers were reconsidered!
I was so very fortunate to know Paul as a best friend and mentor for over 50 years. He taught at the University of Nebraska and, in the fall of 1969, he took me on as one of a handful of his zoology graduate students. The following year I became his field assistant, and we traveled across western North America in search of waterfowl to photograph for his new book, *Waterfowl of North America*.
*Opposite, top:* Left to right, Josef Kren, Paul Johnsgard, and Thomas Mangelsen at a photographic blind on the Platte River, March 2020. *Courtesy photo*
*Opposite, bottom:* Thomas Mangelsen and Paul Johnsgard at Tom’s cabin on the Platte River, March 2021. *Photo by Josef Kren*
THOMAS MANGELSON
His knowledge of nature was vast, his driving skills, terrible. He was always the absent-minded professor looking for birds. By the end of the third day of travel and after a 360-degree spin on an icy highway in Washington State, I took his keys away. He was a good sport, and I became his long-time “Uber” driver. I should have known when I first saw his car and it looked as if it had been in a demolition derby!
During May 1975, I joined Paul in the Tetons to help him work on the book *Teton Wildlife*. While searching for elusive and rare pine martens, he introduced me to Mardy Murie, considered the grandmother of conservation. Mardy had had a family of pine martens living between her log cabin ceiling and roof for many years. She kept them supplied with treats and sometimes cutthroat trout caught in the Snake River below her cabin. Sitting in Mardy’s backyard, the three of us drank tea, shared freshly baked cookies, and listened to the drumbeat of ruffed grouse, nesting trumpeter swans on Sawmill Pond, and unison-calling greater sandhill cranes in the river bottom. Mardy told stories of growing up in Alaska and Paul told his of the North Dakota prairies. I realized, *This is where I want to be*. The next month I went home to Nederland, Colorado, and by the following fall I had quit my job as a wildlife filmmaker in Boulder and moved across the Snake River from Mardy Murie.
For 50 years, Paul and I have made our own migration to the Platte River in south-central Nebraska near Grand Island, where I grew up. We would stay at my family cabin, which is located at the very heart of the migration of 650,000-strong sandhill cranes and several million waterfowl that takes place every March and April. During most of the last 20 years, Jane Goodall would also come to regenerate her heart and soul, like Paul’s and my own, always restored by the ancient cranes.
Paul’s health had been compromised in recent years from heart attacks, a stroke, and cancer, but it didn’t stop him from coming out to the cabin three more times in the spring. He photographed everything that had feathers or fur in light or near darkness. We knew it would likely be his last visit with the birds and river he loved so much.
On the way to hospice, he asked me to bring along his camera with the big lens so he could photograph the birds at the feeder outside his window. He never ever gave up on one more photo of a bird, even if it was an English sparrow.
Thomas Mangelsen and Paul Johnsgard at Tom’s gallery in Omaha, December 2016. Photo by Josef Kren
Paul gave me so much in so many ways. I will miss all of it, his sharp wit, his poking fun, his self-deprecating humor and laughter, and those bright blue eyes, looking, always searching.
More than any other person, Paul A. Johnsgard showed me the way and put me on the journey I’ve taken. I am forever grateful and will hold all the fond memories close to my heart. I think of him every time I hear a crane call or a flock of geese overhead.
When I returned home from saying goodbye to Paul, I found a familiar pair of cranes had nested on my pond. They had nested there last year, but I’d nearly given up hope that they were coming back. They had also come home and I can see them now. One sitting and one standing guard. Thanks, Paul.
Thomas Mangelsen is an outstanding professional wildlife photographer, one of the first students of Paul Johnsgard, and a lifelong friend.
I first met Dr. Johnsgard when I was chancellor of the University of Nebraska–Lincoln. I had previously heard about this person who was a Biological Sciences professor, an outstanding ornithologist, and a prolific writer of books. After my first meeting with Dr. Johnsgard, I came away with the impression that he was an unusually gifted and knowledgeable person in biology, especially in ornithology, but quite reserved in his demeanor. He was an impressive individual with all of his knowledge about birds and other forms of wildlife. After reviewing
Martin Massengale and Paul Johnsgard at the Center for Great Plains Studies, University of Nebraska–Lincoln, January 2017. Photo by Josef Kren
the long list of book titles and reading some of those that he had authored, it was apparent that he thoroughly enjoyed writing and was also a skilled illustrator.
Later, after becoming better acquainted with Paul, it was customary for me, when I saw him, to ask “What book have you written since we last visited?” Lo and behold, he usually had just released one or had one in progress soon to be released! I normally would compliment him on his excellent work and high level of productivity.
Paul was one of our university’s distinguished professors and one of the most modest persons you will meet. I believe he enjoyed receiving the accolades; however, I never saw him express any significant emotion when he received those compliments.
The University of Nebraska lost an icon, a most highly respected professor, an exceptionally talented writer and illustrator, and one of its all-time great faculty members in Paul’s passing.
*Martin Massengale is president emeritus of the University of Nebraska.*
Remembering Paul Johnsgard
by Julie Masters
In 2018, family members from North Carolina and Omaha, along with a grief researcher from Canada, Thomas Attig (all pictured), had the good fortune to learn from THE leading expert on Sandhill Cranes in the world. This expert, Dr. Paul Johnsgard, was willing to share his knowledge and insights with people who would soon share his passion for the sights and sounds of the cranes as they made their way to the river. The round-trip drive to Kearney and back to Lincoln gave these neophytes an appreciation of Paul’s wisdom and insight into the beauty of Nebraska and the birds he so loved. He was always the teacher.
During the years I knew Paul, I cherished our time together. Whether it was at Love Library having a coffee, meeting in his office when the trip to the library became too taxing, or indulging me with trips to see the cranes—whether or not there were others in tow, I was with a rock star and held a profound respect for his knowledge, wisdom, and gentleness. Meaning was always to be found from his insights.
Each trip to the cranes produced countless stories of his books, travels, and interests. Paul was quick to mention the people in his life with whom he sought support and admired. His children (and caregivers) and grandchildren meant much to him, as did his friends. So many stories about Linda Brown (whose name was always mentioned first and last), Tom Mangelsen (his mentee), students Josef Kren and Allison Johnson, Paul Royster and Linnea Fredrickson (his publishing team), and other dear souls he cared for. I felt as if I knew each of these people—yet got the chance to meet some only toward the end.
In the last year of his life, I would send photos to Paul of “our walks” around the farm and Prairie Queen Lake in Sarpy County, a feeble attempt to bring the outdoors to him if only through a photograph. He
encouraged me with his comments—although I suspect he knew better. Yet, he was always a teacher, nudging others to do better.
As a gerontologist, I enjoyed seeing him break the typical aging barriers. His countless manuscripts and ability to produce references by memory demonstrated his brilliance. I miss Paul and his presence in my life. The start of the spring 2022 semester was and still is a sad time. His absence made real by an awareness of the cranes returning soon. I have a final picture of Paul (not a good one) standing with his mentee, Tom, with their backs to the camera, looking at the Platte River. Paul’s presence in this photo reminds me he is encouraging all of us to drink in the sunset, to appreciate the moment. Each sunset, each crane, each bird serves as a reminder of Paul’s presence and instruction. We remain his students, and he will forever be our teacher.
Julie Masters is a professor of gerontology at the University of Nebraska.
Paul Johnsgard wrote the way he birded: with sharp focus on what many would overlook as detail and attention to specifics.
I expect many Audubon Society members, including me, were touched by Paul’s single-page flyer titled “Mountain Lion (Cougar) Deaths in Nebraska.” It described the ten reported deaths within ten months, including these:
“Two were killed on January 1 and 2, at the start of Nebraska’s first hunting season. Both were killed by treeing the animals with dogs, then shooting them execution-style.”
“A lactating female was illegally shot by a hunter in early September, in Sioux County. Her kittens were not found and no doubt starved.”
He attached a list of the Game and Parks commissioners and noted that at their next meeting they would consider the next year’s season on the remaining 10 to 12 cougars in the state.
There may be somewhere a more powerful one-page call to action on behalf of wildlife, but I doubt it.
**Mountain Lion (Cougar) Deaths in Nebraska**
Another mountain lion was killed recently in Knox County. This is at least the tenth reported cougar death this year, not counting the unknown number of kittens that starved when a lactating female was killed earlier.
1 & 2: Two were killed on January 1 and 2, at the start of Nebraska’s first hunting season. Both were killed by treeing the animals with dogs, then shooting them execution-style. One was killed by a man who bought the permit ($13,500) at auction; the other was killed by a teenager who won a Game & Park’s fundraising lottery.
3: An adult male was accidentally killed by a vehicle on February 1, in Sioux County.
4: An adult was accidentally killed by a cable entanglement in Custer County, February 16.
5: An adult female was killed for sport on February 26 in Sioux County, ending the second phase of legal hunting but leaving most of the state open for the rest of the year.
6: A young male was shot on March 21 when seen “threatening” a chicken coop in Sheridan County.
7: An adult was caught in a trap set in Sioux County sometime in late June. The trap was left unattended by federal government trappers, and the decaying carcass was not found until early July.
8: A 30-pound female was shot near Chadron, Sioux County, July 19.
9: A lactating female was illegally shot by a hunter in early September, in Sioux County. Her kittens were not found and no doubt starved.
10: An adult male was killed legally by a hunter in Knox County, October 5. It was killed in the prairie hunting unit, which covers about 85 percent of the state, and which remains open to legal hunting for the rest of the year.
Unless sufficient outrage is made evident over the fact that in less than a year over half of the state’s estimated mountain lion population (20–22) has been eliminated, thanks in large part to Game & Parks’ concerted efforts to make killing mountain lions, the state’s rarest native mammal, a sport in Nebraska, it is likely that there will be another season next year, since it is a real money-maker for the Commission, probably bringing in $15,000 in lottery proceeds and license fees. I urge the public to make their feelings on this subject known to the Game & Parks Commission and to local media. I believe it was the Game & Parks commissioners who are largely responsible for this debacle, rather than the commission’s biologists, so if you let the commissioners know your feelings, that is probably
most effective. Their next meeting, on Oct. 23, will probably consider next year’s season.
For those who may wish to respond, a good source of information on cougars is the website of the Cougar Fund (founded by Tom Mangelsen): https://cougarfund.org/ Also, my piece in the February 2014 issue of Prairie Fire is useful and is available both at the fund’s website and at Prairie Fire’s site: www.prairiefirenewspaper.com/2014/02/to-kill-a-mountain-lion.
Paul Johnsgard 402-472-2728
Marilyn McNabb is a Wachiska Audubon Society member.
Remembering Paul Johnsgard
by W. Don Nelson
Linda Brown is interviewing W. Don Nelson on February 11, 2022.
Linda: Don, how did you know Paul?
Don: We knew each other quite some while but from a distance. I was not one of his groupies. He had a tribe of people, as you well know, surrounding him, including students and adults, as well. We would cross paths at conferences and field trips and we would exchange pleasantries. We weren’t buddies. I would not call him up and ask him to go for a beer. But when I started my newspaper, Prairie Fire, he was one of the first people I went to. He was delighted, flattered. That started a 15-year friendship where we would talk about things. It was rare that I would have to suggest a subject or an item for him to put up in the paper because he was always behind on getting his own ideas written up. He was eager to have Prairie Fire as a platform, and I did not put on any restrictions, so he was free to write whatever he thought was important. The broad audience intrigued him. He was excited about the possibility that we were styling the paper to target people who had broader interest in the environment but also focused interest.
During crane season he was eager to use the newspaper to reach out to people. Remember, lots of the papers were available in the Central Platte. We almost doubled circulation during crane season.
Linda: Paul loved the opportunity. He embraced Prairie Fire like he did the Digital Commons. He did not have to work to find a publisher. That was a real gift to him.
Don: I had three partners, two of whom are now husband and wife. We all began to establish a relationship with Paul. It was a great
partnership. When we finally threw in the towel because we couldn’t find anyone to take Nancy Hamer’s place, Paul was disconsolate. He wrote this beautiful essay and tribute about what *Prairie Fire* had done, particularly during his association. He counted the articles in the paper and noted that not one was about Cornhusker football.
*Linda:* He was always ready to stick it to Nebraska football. He was always sort of repelled that the university gave so much energy and attention to football. He had a bad relationship with the football department going back to the Devaney days. He sold his football tickets. More than that, out at Cedar Point Biological Station, the football players would take ornithology because they thought it was an easy class, and it wasn’t. One summer, he was quite certain that a football player loosened the lug nuts on his wheels just before he headed to Lincoln.
*Don:* He told me that.
*Linda:* He is lucky he did not die. He always felt uncomfortable about Nebraska’s obsession with the football team. He would write this snarky stuff about the football program, and I would read it and say, “Paul, you absolutely cannot do that.” Some of it would slip through and some of it he would pull back. I thought it was a waste. I knew why he felt the way he did, but I thought it diverted attention from what he wanted to draw attention to.
*Don:* That’s what I always told him. “Paul, your obsession about the athletic emphasis at the university is a wasted opportunity to do more about what you like.”
*Linda:* Thank you. If you completely dismiss all the things the athletic department touches, think of the hours you would have to devote to the good stuff, the important stuff. I think he thought it was cute. It wasn’t.
*Don:* I think he found there were lots of people who shared his disdain but were petrified about speaking out.
*Linda:* That is probably true. He got more courageous after he retired. He had tenure after seven years. But he was still pretty careful till he retired. After that he let it all hang out.
Don: There are a lot of things “the powers that be” at any university can do to rein in an errant professor without regard to what is right.
Linda: You mean just little things.
Don: He suffered because of that. It must have galled some at the university to read about all the awards he got, the accolades; so many people worshipped him, not only here but internationally. He had a lifetime of accolades, whereas the athletic department has had plenty of ups and downs. They have been miserable the last 25 years. Paul would be dumbfounded to think of all the money that we spend on Frost and his crew despite the fact of all these losing seasons. It galls me Nebraskans brag about being stingy with legislative and human needs and they turn around and lay out ten million dollars in the middle of Memorial Stadium. And they think it is a good thing. What are we getting out of that? Nothing!
Linda: That’s why he could get away with criticizing them because enough other people are also offended by that sense of value.
... After hearing your story this morning, I realized that you and Paul knew each other better than I was aware when we went down to Aransas National Wildlife Refuge to see the whooping cranes. When Paul told me about the proposed trip, he said, “Don wants to know the effect of Hurricane Harvey (August 2017), and he is willing to drive.”
Don: We arrived in Rockport-Fulton, Texas, in March 2018, six months after the hurricane. My takeaway was this: fortunately, the whooping cranes were still on their nesting grounds in Canada during the hurricane. When they returned to their Texas wintering grounds, the whooping cranes benefited from the added fresh water left by the hurricane, but the people, the economy, and the businesses were devastated.
W. Don Nelson was publisher of Prairie Fire.
Remembering Paul Johnsgard
by Neal Ratzlaff
Like many others, I suspect, my first introduction to Paul Johnsgard was an encounter with one of his books. At the time I started birding seriously in the late 1970s, I found *Birds of the Great Plains: Breeding Species and Their Distribution* the only readily available reference to birds I might find on nesting in Nebraska. It was not until his retirement as a full-time university professor and appearance at meetings of the Nebraska Ornithologists’ Union that I became personally acquainted with the author and artist whose fluid writing and skilled illustrations in books about birds and natural history of my favorite Nebraska places graced the shelves of my library. So how was it to pick up your bins and go birding with a world-recognized author? Amazing! He was a most charming, genial, and, of course, informed birding companion with a remarkable passion for birds and the natural world.
Neal Ratzlaff and Paul Johnsgard at a Nebraska Ornithologists’ Union meeting, September 2016. Photo by Josef Kren
There was another pursuit Paul was equally passionate about—writing. Reverence, perhaps, is a better word to describe his approach to writers and writing, even rank amateurs like me. He was a self-designated cheerleader for authors—even showing up for a book-signing event for *Field Guide to Wildflowers: Fontenelle Forest and Neale Woods Nature Centers* that rookies Roland Barth and I coauthored. Anytime we would meet after the event, the conversation was usually prefaced by the question, “Are you working on a new book?” When followed by my invariable negative answer, I sensed an unexpressed but palpable air of disappointment before the conversation turned to the natural world he loved so much.
Gentle man, author, naturalist, artist, cheerleader for fledgling birds and authors alike, with a profound respect for our earth mother and all her creatures great and small. That was Paul Johnsgard. Thank you! We shall miss you.
*Neal Ratzlaff is an avid birdwatcher and former radiologist in Omaha, Nebraska.*
Remembering Paul Johnsgard
by Arlys Reitan
One of my most vivid memories of Paul occurred on a Saturday in the 1980s. A mutual friend invited Ken and me to accompany her and Paul to Kansas City to tour the Nelson-Atkins Museum of Art. They arrived very early to pick us up, and we drove most of the way in the dark. When we got there, the discussion was to decide which exhibits we most wanted to tour. I chose a Japanese exhibit and was walking slowly through it when Paul came up and began pointing out various things that should have been apparent but which I would have missed had I not had a personal guide. We spent two hours on that floor before meeting up with the others and having lunch in the cafeteria, where Paul encouraged me to taste the cold pumpkin soup. I thought it was awful; he ordered a large bowl!
In the afternoon we drove to Crown Center to check out an art gallery and store because Paul knew they sold Japanese art. I guess he hadn’t had enough earlier in the
Japanese print: White Cranes (1822) by Tanomura Chikuden, Oita City Art Museum, Oita, Oita, Japan
day. The early evening was topped off with dinner at a Japanese restaurant before driving back to Lincoln in the wee hours. I’ve often thought that I hope Ken and our friend got as much out of the day as I did since they had chosen a different exhibit to explore. Paul was always so generous with sharing his knowledge, expertise, and experiences.
Arlys Reitan is a Wachiska Audubon Society member.
Remembering Paul Johnsgard
by James Rosowski
I was pleased to learn that you [Linda Brown] were among those that Paul had brought to my shop in Seward. He had a great eye for antiques, buying my best piece of jade and my best Shoushan stone carving as well.
We were among the first faculty to teach at the Cedar Point Biological Station in Ogallala in the summer of 1975. Paul loved it there, for the teaching and for the fact that he had enough free time in those early years to write articles for *National Geographic* magazine at $1 a word. And those words did flow, hardly ever needing much revision. He could do 2,000 words in a day!
There were many good and a few stressful times at Cedar Point. For instance, I was standing next to him one morning when he discovered Caspian terns across Keystone Lake with his binoculars. A pair of those birds is now one of my favorite prints done by the Goulds.
The only time I ever saw Paul angry was when he tracked into the field station main hall one morning soaking wet, carrying one of his cameras with a super long lens over his shoulder. I said, “Paul, what happened?” He said, “Oh, I was out in a canoe with a student taking pictures when suddenly she stood up in the canoe and lost her footing. Remind me never to go birding in a canoe with a sorority girl!”
Entertainment at the station was limited. One day the field station cook, Connie Angie, sent me to Lincoln to get chocolate chips for cookies, telling the suppliers that she was “sending a rookie for a chip pickup.” Cookies at the field station were absolutely essential. The following night, Paul and I ate chocolate chip cookies in Connie’s cabin and watched a movie video she thought we would enjoy.
Paul was at odds at times with the University of Nebraska Press (editor Virginia Faulkner didn’t like his style, so he refused to take her any
manuscripts). Another editor of the press left him astonished when he asked, “Paul, what exactly is a bird?” Leaving out the profanity here, Paul replied, incredulously, “IT’S AN ANIMAL WITH FEATHERS!!!”
Then, there was his stamina. One night, just four days after his heart surgery, I saw light emanating from his office. Wondering who it could be, I wandered down the hallway and was astounded to find Paul typing on his Apple computer, looking great and acting as if nothing had happened.
There wasn’t any group of organisms that Paul didn’t know about and could write about with credibility. Few biologists today have the breadth of knowledge that he had. Of course, none may ever exceed his output of books.
A former biology student of Paul, in the 1960s, was in my antique store today. She said, “He inspired an English major to take an upper-class ecology course as an elective. He was a marvelous teacher!”
And, what an incredible human being he was: so generous with his time and so inspirational. Many times he volunteered to give a special lecture to my biology classes. And, he was always my source for an opinion on the quality of bird artwork. He was the major speaker at UNL for the 150th anniversary celebration of John J. Audubon’s one and only trip up the Missouri River in 1845. And, he bought a major Audubon folio quadruped at a fundraising auction for Love Library at that event. The auction was conducted by Audubon’s great-great-great-granddaughter, Lucy Audubon.
Enough said. There will never be another one like him.
James Rosowski is a former professor at the University of Nebraska–Lincoln, longtime friend of Paul Johnsgard, and owner of Blue Heron Antiques in Seward, Nebraska.
Remembering Paul Johnsgard
by Paul Royster
Paul was the first author to call on me when I was the new-in-town director of the University of Nebraska Press. I remember I asked him if he was a hunter, and he said yes, in his youth but not for a very long time now. The press was then publishing one of his many books, and if I recall correctly, Linnea was his copy editor.
A few short years later I would run into Paul while loitering in Love Library’s “dogtrot” (me, not Paul, who never loitered). As the start-up manager for the new Digital Commons, I needed content from campus.
Paul Royster and Paul Johnsgard at a Center for Great Plains Studies event in Paul Johnsgard’s honor. Photo courtesy Center for Great Plains Studies
faculty, and Paul was someone I knew and someone who had lots of content. It was a match from Heaven for me. He said sure, do his articles, and then his out-of-print books, and then his unpublished books, and then his next books, and then, sadly, his last books. Paul was fond of dropping by the office occasionally, to chat, to visit, to remark that the cranes were seen on the Platte or that whoopers were sighted. He was always excited to go out, and he radiated that fact.
As an author he was superb. He was sure about what he wanted; he was open to ideas and realities; and he turned around proof faster than . . . I don’t know what. He supplied art on time, in order, labeled, and captioned. He was always expressive of his gratitude for our efforts. To call him a prince among authors would be a compliment to princes.
I would also remark that in addition to Paul’s accomplishments as an ornithologist, he was an equally intrepid and accomplished bibliographer. He never stinted on the references or their organization. He was also an avid and resourceful indexer on occasion. Obviously he knew and loved books; as the author of more than 100, that stands to reason.
It is hard to collect my thoughts of Paul, these few months since his passing, and also Lois’s shortly after. She was herself a greatly accomplished and active individual. Their funerals filled in parts of Paul’s life story I had not known but seemed totally in keeping with the kindness and nervous energy I observed during all our interactions.
I will think of Paul every spring; I will think of him every time I see birds. And it will be a happy thought.
*Paul Royster is the coordinator for Scholarly Communications and the Digital Commons repository at the University of Nebraska–Lincoln Libraries.*
*Opposite: Paul Johnsgard inscribing his newest book, January 2021. Photo by Josef Kren*
The Birds of Nebraska Sandhills
Paul J. Johnsgard & Josef Kren
The move had been arranged. Cedar Point Biological Station’s office would move from a corner of a congested, pop-music-infused secretarial office to sharing space in the lab of eminent ornithologist Paul Johnsgard. Paul had consented to this. Perhaps it was with the thought that his ample space could best be shared with another ornithologist, who was also charged with running the field station in Ogallala. So, on a Saturday morning, with Paul’s lab key in my pocket, my visiting son, Erik, and I moved the CPBS furniture, files, and computer in my truck from Lyman Hall to a corner of Paul’s lab in Manter Hall. The Cedar Point domain soon expanded to include a desk for a work-study helper and Josef Kren, who became Paul’s doctoral student.
Prior to my moving in, I had known Paul only through a few oblique conversations at the Unitarian Church and a program he had given at Wachiska Audubon. Now I was in his exceptional presence daily, and I soon found out that Paul had cited my work in at least three of his books. I had formerly considered my publications as having only modest interest. A few days later Paul graciously consented to read a proposed paper on harrier nestlings that I had planned to send to an important journal. There was much trepidation on my part after asking. He took the manuscript with him to read during his lunch hour. I kicked myself for exposing my shortcomings to him that way. However, when he returned from lunch he approved of the paper and had a few good suggestions for improvement. Thus began our friendship.
My side of the friendship was more mundane. I had a heavy-duty three-hole paper punch that I kept on top of the Cedar Point filing cabinets. Paul used it frequently but was always careful to ask first. I often went down to retrieve the mail in the early afternoon, and on days
when the Unitarian Church newsletter came to both of us, we would open it and start reading at once. I would draw his attention to something at the end of the newsletter. Paul would remark on my speed-reading ability. I would confess that I had started at the end, something that hadn’t occurred to him.
Paul spent large chunks of time in the library. He once remarked to me that the secret to his success was: “I know how to look things up.” When he wasn’t immersed in the library, he would be writing on two computers nearly simultaneously. One was for indexed items. The other was for the text. I got to see him do his illustrative work only a few times, and that was an unexpected flurry of pen or marker strokes that eventually took on the form of a bird. Carefully placed lines were not in Paul’s drawing vocabulary, only many strokes that ended masterfully in a work of art.
The approach of lunchtime was Paul’s cue to suggest we go to Kuhl’s Restaurant on O Street. In the early ’90s it was all I could do to keep up
with Paul’s brisk pace toward downtown. Our usual route was to walk all the way to Bluestem Books to survey what used copies of ornithology books might have come in and get the gossip from the world of books with owners Scott and Pat Wendt. It was through his friends at the bookstore that Paul got included in Jim Harrison’s “Dalva series” of Nebraska novels. I knew both Jim and Paul, but upon query to each, they didn’t know each other. Harrison was capitalizing on Paul’s reputation gleaned in conversation at Bluestem. All they had in common was Bluestem Books. Heading back toward the office and the restaurant, we would meet Dick Voeltz, UNL librarian, at Kuhl’s for a spartan lunch. We would then trek the rest of the way back to the office.
Paul, knowing that I was new to the Nebraska landscape and its bird life, always included me on ornithology class field trips, both in Lincoln and at Cedar Point. A few such memorable times included the Alda Bridge as the cranes were coming in at dusk and Crescent Lake National Wildlife Refuge, with its goose nesting tubs and snake-kill-ing operation (student: “Dr. Johnsgard, how many goose tubs do they need?” Paul: “Probably one for every hunter.”) In the winter, Josef Kren and I held class banding sessions supervised by Paul at Linda Brown’s house, using her feeders to attract birds to our nets. One overnight trip to watch Prairie-Chicken mating dances near Beatrice nearly froze every part of my body.
An interest in ornithology was the unifying theme of the “bird table” in the dining hall at Cedar Point. Diners there included (but were not limited to) Paul, Charles and Mary Brown, Josef Kren (Paul’s graduate assistant), Vince Berigan (Howard Hughes undergraduate researcher assigned to my bird-netting program), and me. Conversations were varied and deep. One could learn a lot about Nebraska birds as well as the whole science of ornithology at that table. Bird studies at Cedar Point during my tenure there were all in debt to Paul Johnsgard. Paul helped secure parts of the Nebraska Behavioral Biology grant money to support Kren and Berigan.
From the early ’90s to the mid 2000s, I spent 13 summers in Nebraska. The last six summers I was contracted for central Platte River bird studies with two Nebraska hydropower companies looking to relicense their
dams. In those years, I always managed to stop in Lincoln to renew acquaintances with Paul and Linda Brown. Linda helped with my netting in the central Platte one season and surveyed Cliff Swallows there for two seasons. I am still publishing findings from that time and from my time at Cedar Point. Josef Kren and I are now together revising in *Birds of the World* the Orchard Oriole account that we first coauthored in 1996 and revised in 2010. Without encouragement and support from Paul, none of it would have happened.
*William Scharf is an avid ornithologist and former associate director of UNL’s Cedar Point Biological Station.*
Remembering Paul Johnsgard
by Rachel Simpson
As a newcomer to Nebraska excited to learn about my new home and armed with a going-away gift certificate, I quickly purchased Paul Johnsgard’s *Nature of Nebraska* book. Soon after, I went to a meeting of the Nebraska Birding Trails workgroup headed up by Dave Titterington, where Linda Brown graciously introduced me to Paul. Paul and everyone in that group were very welcoming. Working with them eased my transition to a new home. Often when I mentioned an interest in something, such as where were there prairies to visit or where could I see birds nearby, Paul had something helpful to give me to read, usually something he had written.
A few months after moving here, I was the winning bidder at the Rivers and Wildlife Celebration for a “two-day guided shorebird-watching trip for two” sponsored by the Nebraska Game and Parks Commission. I thought this would be a great way to explore and to learn more about the birds here. My husband’s schedule conflicted, so I invited Paul. Between him and NGPC trip leaders Joel Jorgensen and Kelly Rezac (née Wells), no bird went unidentified, and it was a fabulous trip for me. And due to an automotive mishap in Curtis, the trip was extended for a day!
I always enjoyed talking with Paul at the crane festival and at Wachiska Audubon events over the years and going on the occasional outing together. One time my mom came out for the crane festival and lost a bid on a print of a Stilt Sandpiper and chick that Paul had donated. Mom wanted to get it for me as a gift but didn’t have the heart to keep outbidding her competitor. When Mom and I stopped by the Crane Trust visitor center on the way home, there was Paul, doing a book signing. I introduced my family and recounted the story. He said, “Oh, I have more
Left to right, Rachel Simpson, Paul Johnsgard, and Michelle Johnson. Photo by Linda Brown
of those prints, I’ll give you one,” and he did. I think of him whenever I look at it and imagine him there on the tundra, sketching.
One of the things I most appreciated about Paul was his willingness to use his voice to speak out about issues he cared about. He spoke out about contentious wildlife issues that many others felt unable to. I remember Mary Bomberger Brown’s invitation to join her and Paul and others at the Women’s March in 2017. Paul carried a hand-illustrated sign with a Shakespeare quote, one of the more erudite signs that day. He talked that day about protesting the Vietnam War and how so many were fearful of expressing their views. I will remember Paul for being an unapologetic advocate for wild things and wild places, for his knowledge and love of nature, and for his generosity and kindness.
Rachel Simpson is with the Nebraska Natural Heritage Program at the Nebraska Game and Parks Commission.
Remembering Paul Johnsgard
by Tiffany Talbot
Despite our difference in age and my pitiful lack of knowledge about birds, when I met Paul Johnsgard, we immediately hit it off. He had this wonderful laugh and sense of humor. Although his body had become frail, his mind was tack sharp. I loved to listen to his stories and
patient explanations of bird behavior. But most of all, I loved his attitude about life. I most vividly remember the many times I heard him say, after a morning of watching cranes or even birds in the backyard, “That was the best morning of my life!” The day of his death, Tom Mangelsen had spent the night with him in hospice, and I arrived that morning and found Paul with the biggest smile on his face. Paul said, “Tom and I have had the most grand conversation!” The conversation had been about Paul’s collection of bird carvings.
When Tom and I traveled to Botswana recently, I thought often of Paul and imagined him with us in the car, marveling at the wattled crane and the carmine bee-eaters. He was, as always, there with us in spirit, smiling and laughing.
Tiffany Talbot is a friend of Paul Johnsgard.
Remembering Paul Johnsgard
by Rick Wright
As a callow freshman at the University of Nebraska the fall of 1979, one of my first explorations was of the biology library in Manter Hall, where I was delighted to find the shelves chock-a-block with books and journals I’d only heard of, never seen. One late night, after a particularly long session with a volume of *British Birds*, I made a wrong turn upon leaving the library and found myself in a long hallway I hadn’t seen before—and face to face with Paul Johnsgard’s office door. A light was shining in the room, but I didn’t dare knock; I spent the next days scheming how I could meet the man at a more civilized, daylight hour.
It didn’t take long: one early October morning, my walk from Harper Hall to campus was interrupted by a slender, long-tailed bird fluttering up from the ground to land on a wire: a scissor-tailed flycatcher, only the second I’d seen in Nebraska at that point. I knew this bird had been reported over the summer, but October was a latish date, and what better, I thought, than the chance sighting of a locally rare bird to break the conversational ice.
I knocked, the door opened, and there stood Paul, his face familiar from photographs on what was already then a more than respectable number of dust jackets. He was friendly enough, and we chatted briefly in his book- and photo-filled workspace. He signed a book for me (and sketched the head of a Ross’s goose on the flyleaf) and then issued what must have been an immediately regretted invitation: “Come see me,” he said, “next time you see a good bird.”
It was that very month that I “rediscovered” Oak Lake Park, the tidied-up remnant of the ornithological stomping grounds of so many nineteenth- and early twentieth-century Lincoln birders. “Good” birds showed up there with startling frequency that October, and I dashed
off to report each one to Paul. On one of those brief visits, I asked him to waive the usual prerequisites for his spring ornithology course; he did, with the entirely appropriate warning that it was probably going to prove too challenging for an undergraduate with no college biology under his belt at all.
Ornithology wasn’t an easy course by any means, but the challenge was an enjoyable one, for me and everyone else in the class, which happened to feature a Saturday lab session led by another famed Nebraska ornithologist, Mary Bomberger. I did well enough on the exams and in the field, and was beside myself when I learned that one of our field trips would be a visit to the central Platte in March to witness the crane spectacle that Paul himself had done so much to bring to international renown. On the long van ride back to Lincoln, Paul suggested that I drop by the University of Nebraska State Museum and ask whether there was anything I could do in the bird collections; he also invited me to take his mammalogy course in the fall.
Paul was a constant presence through the rest of my undergraduate years, a respected teacher, treasured mentor, and soon enough friend. Even after my path took me far from Nebraska, we kept in regular touch, and he enjoyed hearing about my birding experiences and other experiences, and always let me know when a new book was finished that he thought I might find interesting. The few Nebraska Ornithologists’ Union meetings we were both able to attend were eagerly welcomed opportunities to catch up more and to take to the field together. The last time I saw him was at dinner before a lecture I delivered to Wachiska Audubon, and the conversation was as wide-ranging and spontaneous as ever, touching on birds and music and art and birds again. Paul listened to my talk that evening with his usual critical engagement, posing his usual penetrating questions, and when it was all over, offering a compliment: he was never stingy with his praise, but when a compliment came, you knew it was deserved.
Neither of us suspected it that day when I burst in on him with my flycatcher news, but Paul Johnsgard became and remained an inspiring and encouraging presence to me for the rest of his life. I suspect it will be so for the rest of my life, too.
Rick Wright is a leader for Birds, Nature, and Culture tours with Victor Emanuel Nature Tours.
Mary Bomberger Brown and Paul Johnsgard, February 2009. Photo by Linda Brown
The written word is a bold move, a permanently recorded commitment. Paul had a proclivity to express, in print, without fear. For him, writing seemed more of a calling than an act of bravery (which was saved for the football program). That ability, along with artistic, social, and intellectual skills, graced his purposeful life.
Paul’s generation was educated to believe that “rigid instincts dictate animal behaviors.” Fortunately, education also trains us to think critically, and through his popular, insightful writings, Paul helped all of us recognize that many of these behaviors arise from an emotional base.
Paul Johnsgard at Crescent Lake National Wildlife Refuge, May 2004. Photo by Linda Brown
The essence of Paul was generosity of spirit. As he sat with his legs dangling, camera ready, watching a long-mated crane pair raising a colt in their Alaska territory, it was obvious what touched him deeply. He was ever the teacher through example, shared books, and frequent emails. While nourishing and sustaining the vibrant environmental community in Nebraska, he helped link people near and far.
Early in our friendship, Paul said that we see only a very small percentage of what goes on in nature. From then until now, I watch more carefully and record more accurately to learn, hopefully without prejudice, what is really happening as animals use their wits and emotions to survive in the wild. Thank you, Paul.
Christy Yuncker Happ is a crane photographer in Alaska.
A person wearing a patterned sweater and sunglasses is holding a camera up to their face, seemingly taking a picture. The background includes a green wall and a wooden door.
Early Years, 1931–1949
I was born in 1931 in the very small town of Christine, North Dakota, on the Red River about 20 miles south of Fargo. My granddad owned a general store there, and my father worked in that store for as long as we lived in Christine, which was until 1939. These were the Depression years, and my major memories of that time are of hot dusty streets in the summer and bitterly cold winters, when I had to walk across town to school. I recently determined that it was slightly over half a mile from our house near the Lutheran church at the western edge of town to school, which was beyond the eastern edge of town.
We lived a few blocks from the railroad tracks. Christine was one of those little whistle-stop towns, and my earliest memories of nature are of walking out along the railroad tracks, gathering wildflowers for my mother. She encouraged my bringing back wildflowers and watching local birds like Red-winged Blackbirds. In fact, when I started school, my first-grade teacher, Hazel Bilstead, had a mounted male Red-winged Blackbird in a glass Victorian bell jar, which allowed me to examine that beautiful bird up close. I can remember that as if it were yesterday, and I think that my need to see live birds in detail began at that time. I later dedicated one of my books to Miss Bilstead’s memory.
The land around Christine is in the bed of glacial Lake Agassiz and is as flat as a tabletop. There was little natural habitat except along the
wooded river itself. The railroad right-of-way had prairie grasses and other prairie plants, and also native prairie birds such as Dickcissels and Western Meadowlarks. I had no field identification guides and there was no library in town, so even though I now know that Roger Tory Peterson’s first field guide was published in 1934, I had no knowledge of it then. Mother did have some pocket-sized, illustrated bird books, with covers of different colors and titles like Birds of Towns, Birds of the Country, Birds of the Woods, etc.
In 1940 we moved to Wahpeton, on the Red River about 20 miles south of Christine, where Dad took a job in the county courthouse. He initially worked as an assistant registrar of deeds and later as a state sanitarian. The move to Wahpeton was a very important event for me. Wahpeton is the county seat of Richland County, and it had a population of about 3,000 and an excellent public school.
Wahpeton’s public library was critically important to me. I can visualize to this day exactly where the bird books were and what was there. In fact, a couple years ago I went back and saw with pleasure that they still had the copy of T. S. Roberts’s two-volume *The Birds of Minnesota* that I used to delight in. The first time I stopped to check on it, I was heartsick when I couldn’t find it and assumed it had been disposed of, but then I found it in the reference section. By then the library had some of my own titles, too.
I was very shy as a child. My idea of having fun was going off into the woods and looking for wildflowers or watching birds. I drew almost constantly, mostly birds. I’ve had people who knew me back in grade school tell me that the one thing they remember about me was that I was always drawing. My older brother was probably better than I; he reminded me recently that he won quite a number of drawing awards at state fairs.
Another important thing happened shortly after we moved to Wahpeton. In 1943 my mother, who had taken a job in a department store, spent $750 of her hard-earned money to buy a cottage on Lake Lida near Pelican Rapids. It is about 40 miles from Wahpeton, or almost as far as it was possible to go, given wartime gas rationing. The cottage gave us a wonderful place to go during summer.
Behind the cottage was a square mile of basically undisturbed maple-basswood forest, filled with everything imaginable, including showy lady’s slipper, yellow lady’s slipper, showy orchid, and all of the other woodland wildflowers one can imagine. The wildflower garden that I moved down out of the woods into a shady site behind our cottage was still thriving when I sold the cottage in about 2005. I was quite content just being by myself and wandering through the woods with my dog.
I was very poor at athletics. I hated baseball and was always the last person to be chosen. I didn’t grow tall until late in high school, so I wasn’t any good at basketball either. I was a good student, but I wasn’t compulsive about grades. I had only an adequate grade-point average, but it was good enough to get me into the National Honor Society. I saw one of my old teachers from Science School when I was home for my mother’s funeral in 2000. He said, “You know, you were my favorite student of all time.” I was surprised to hear that, as he must have had thousands of students in his classes.
I read a lot of natural history, especially books about animals, as well as all kinds of popular stories. I was also interested in building model airplanes and collecting rocks and wild plants. Mother encouraged all of my reading and collecting. I also had the good fortune to have what I suppose one would call a rich aunt, my mother’s sister Beatrice who lived in Detroit. After she realized I was so interested in birds, she would send me wonderful bird books for Christmas. My copy of Audubon’s *Birds of America* came from her in 1939. I still treasure it. In 1940 we took a family trip to Detroit to visit her. It was my first long road trip. She and her husband had a very large old house and a big backyard and garden. While exploring there I got excited because I saw a tulip tree for the first time. I went running in to tell Mother I’d seen a tulip tree, which of course doesn’t grow in North Dakota. She said, “How in the world did you know that?” I told her it was pictured in Audubon’s *Birds of America*, where one of the plates showed some Baltimore Orioles in a tulip tree (*Liriodendron*).
Waterfowl became increasingly important to me because of my mother’s cousin “Bud” Morgan, who at that time was a game warden. By the time I was 11 he had started taking me out on his spring duck counts,
where he taught me how to identify waterfowl. That, I think, was especially important in directing me toward studying waterfowl. By the time I was 13, I was given a copy of F. H. Kortright’s *Ducks, Geese, and Swans of North America*, which I practically memorized.
Both of my parents knew the value of education. Following high school, Dad enrolled at the State School of Science (now the North Dakota State College of Science) in Wahpeton but soon had to go to work with his father for economic reasons. Mother received a teaching diploma from a normal school at Fargo. She taught for a few years in a one-room schoolhouse in the country before she was married. In the end, my brothers, Keith and Larry, and I each earned a Ph.D. or an M.D. Dad told each of us that if we would go to college, he would pay our basic enrollment expenses until we graduated. I thought I would go to college to get a degree in wildlife management. I thought that was a way I could be out in the field and enjoy nature.
**Undergraduate Years and Frank Cassel, 1949–1953**
I attended the North Dakota State School of Science in Wahpeton from 1949 to 1951. It is a two-year college with a trade school and a liberal arts program, so I got a junior college diploma in liberal arts. There were only two choices for me at that point: one was North Dakota Agricultural College (now North Dakota State University) in Fargo and the other was the University of North Dakota at Grand Forks. Fargo had a program in zoology, so I could get a bachelor’s degree in biology, with a major in zoology.
When I transferred to Fargo I was still thinking of a career in wildlife. My advisor was Frank Cassel, and during registration I told him that I already had a detailed plan for graduation, with every course listed that I wanted to take in the next two years. He said, “Well, I’ve never seen a student show up prepared like that before, knowing exactly what he wanted and needed to take over the next six quarters.” I think that impressed him, and he soon started pointing me toward pure ornithology, which I hadn’t known to be a possible profession. That’s how I fell
under Cassel’s tutelage. I also completed majors in zoology and in botany and became quite interested in plant ecology, mostly because of a great teacher named Loren Potter.
At about that time I became more concerned about doing well academically, at least in science, and maintained a straight A average in both zoology and botany. In fact, I think the faculty was afraid to give me anything other than an A because they knew it would destroy my four-point average.
While a junior at North Dakota State, I was encouraged by Dr. Cassel to apply for a small scholarship that was given every year to a student who wanted to do a special research project over the summer between his or her junior and senior year. Dr. Cassel encouraged me to do a bibliographic survey of the published and unpublished sources of information on the distribution of North Dakota waterfowl.
I received the scholarship and soon decided that as long as I was assembling the waterfowl data, I might as well include all the other North Dakota birds, too. North Dakota didn’t then (and still doesn’t) have a state bird book, or even a complete modern list of its avifauna. I drove to most of the state’s national wildlife refuges, went through their files, and extracted massive amounts of information about North Dakota birds.
I received $25 (and a bonus copy of A. C. Bent’s *Life Histories of North American Gallinaceous Birds*) for that work. More importantly, Dr. Cassel suggested that I use the data to do a booklet on the waterfowl of North Dakota, which he said he could probably arrange to have published. After I wrote the text, he wanted me also to do drawings for it. I made four sheets of pen-and-ink drawings, showing all of North Dakota’s waterfowl plus some other similar water birds such as grebes. I made the drawings in a manner similar to those in the early Peterson field guides and wrote to Roger Tory Peterson to ask if I could use his idea of arrows to point out important field marks. Recently I learned from the curator at the Peterson Institute that they still have correspondence from me dating back to the 1950s, filed under “Correspondence with famous people”! That 16-page booklet was published through a consortium of three local colleges called the Institute of Regional Studies.
That project gave me some confidence that I could write and draw well enough for publication. I’d never had any training in writing or art and never had any English courses beyond freshman English. The experience probably gave me more confidence about writing than was warranted.
**Washington State College and Charles Yocom, 1953–1956**
When asked for advice on graduate schools, Dr. Cassel suggested that I become an ornithologist rather than work for a game commission, so that I could teach ornithology or work for an environmental group. I applied to Washington State, Oregon State, and Utah State, all of which had strong programs in waterfowl biology. I was admitted to all of them, so I was able to have my choice. I chose Washington State College (now Washington State University) in Pullman for two reasons. My older brother was there as a graduate student, and more importantly, Professor Charles Yocom was there. He had recently written a book called *Waterfowl and Their Food Plants in Washington*, and he strongly encouraged me to come and study waterfowl ecology. Regrettably, Dr. Yocom took a job at Humboldt State about a week after I arrived at Pullman, so I was left without an advisor for waterfowl research. Furthermore, Dr. Yocom had agreed that I could do a master’s in waterfowl ecology but get my degree in zoology, not wildlife management. That was an oral commitment on his part, which the university later reneged on. The department chair, Herbert Eastlick, insisted that my degree had to be in wildlife management because of its research funding, so that is how my M.S. in Wildlife Management came about.
Professor Donald Farner was at Washington State then, and I worked as an assistant for him one summer, caring for sparrows and recording Zugunruhe activity data. James West was still a student of Farner’s at that time. Jared Verner, Alan Wilson, and Frank Golley were also student friends. Professor Rexford Daubenmire had a small cadre of grad students and was the most inspiring of all the teachers I encountered there. I took all of his courses, and he served with
George Hudson and I. O. Buss on my graduate committee, with Professor Buss as chairman.
For my master’s research I did an ecological study on an area in central Washington called the Potholes, which is an area much like Nebraska’s Sandhills, with a high water table and many marshes and wet meadows at the bases of sand dunes. A large dam (O’Sullivan’s) was inundating many of those sandy wetlands, and I was to determine how the changes in water levels were affecting biological populations, especially waterfowl. I did a general study of the ecology of plants and birds relative to the water fluctuations.
While doing fieldwork, I also worked on many minor projects. For example, I obtained data on duck sex ratios, which I later published in the *Journal of Wildlife Management*. I was also interested in waterfowl courtship activity, and this was the first time in my life I spent hours watching ducks court and making field sketches. As far as I could tell, some of my observations were new, so I submitted them for publication in the *Condor*. I thought the *Condor* paper was pretty good, but I later had a letter from Professor Charles Sibley of Cornell University. He basically said, “Well, it was an interesting paper, but you obviously are not aware of the work of Konrad Lorenz, who has published a very extensive paper on courtship behavior in the dabbling ducks. You didn’t cite that, and it’s a major oversight, because it would allow you to rethink what you saw in a different way.” That paper was in an obscure German journal, so I had to get a copy and translate it.
This news was embarrassing, but Dr. Sibley softened it by asking if I was interested in coming to Cornell. I had thought about Cornell ever since Dr. Cassel had recommended that I go there. In fact, I had almost applied to Cornell for graduate school, but I didn’t think I would be accepted, and it cost $25 just to apply.
I finished my master’s degree at Washington State in 1955 and stayed a second year, partly so I could marry Lois Lampe, who finished her master’s in plant ecology under Rexford Daubenmire in 1956. At that time I decided to go to Cornell and become an ornithologist. With Dr. Sibley now wanting me, I not only was accepted but was awarded the best graduate fellowship that Cornell had. I had also been accepted to
work under Alden Miller at the University of California on a graduate assistantship, so I had to choose between the two.
At some point while I was at Washington State I also became aware of the Wildfowl Trust in England. Peter Scott (later Sir Peter Scott), a famous artist, had developed the Trust after World War II as a place for breeding and conserving as many species of the world’s waterfowl as possible. I wrote to Scott, expressing an interest in visiting the Wildfowl Trust to study waterfowl. That was a dream that I would keep in mind for the better part of six years.
**Cornell University and Charles Sibley, 1956–1969**
Choosing Cornell was a decision that affected the rest of my life. I was thinking by that time that I would become a teacher or researcher, rather than a wildlife biologist, and Dr. Sibley encouraged me to work on waterfowl behavior. He was then interested in waterfowl as examples of the results of selection against hybridization, and in their associated behavioral isolating mechanisms. I spent three years at Cornell (1956–1959) working on the North American mallard-like ducks, including Mallards, American Black Ducks, Mexican Ducks, Mottled Ducks, and Florida Ducks (a south Florida subspecies of Mottled Duck). I studied their comparative pair-forming behavior and morphology as well as some protein electrophoresis of blood serum, trying to estimate their relationships and evolutionary history.
Dr. Sibley proved to be the most intellectually stimulating teacher I’ve ever known, and also one of the most demanding and, at times, tyrannical. His famous temper made all of his students quake in his presence and regard him as a godlike figure to be disobeyed only at one’s utter peril. Yet he could also be charmingly funny and also endlessly interesting. He attracted overflow crowds to his introductory ornithology classes, captivating them with his great lecturing ability and complete command of his subject.
My three years at Cornell were spent on full fellowship, so I never had to act as one of Dr. Sibley’s often-suffering graduate assistants;
however, I did work for him as a lab technician during the summer of 1958. That summer was a critical one in Dr. Sibley’s transformation from species-level taxonomy using whole specimen data to a much more molecular taxonomic approach. He had obtained a one-year National Science Foundation (NSF) grant for a pilot study on the feasibility of evaluating avian blood proteins as a taxonomic tool, using paper electrophoresis. He assigned me the job of running the electrophoretic separations as well as obtaining a variety of domestic birds from the poultry department and various game birds from the state-operated game farm near Ithaca. I shuttled these birds back and forth, obtaining blood samples and running their serum analyses. These efforts, however, produced extremely disheartening results, owing to great individual variability in the serum profiles. Nevertheless, Dr. Sibley and I coauthored two papers on our blood studies.
While reviewing the waterfowl literature, I encountered a paper written by Robert McCabe and H. F. Deutsch and published in the *Wilson Bulletin* about a decade previously. The study indicated that significant interspecies differences exist in the electrophoretic profiles of egg white proteins from various game birds, and I decided to confirm and extend their findings, using eggs that the birds happened to lay while in our aviary, or that I otherwise could obtain. I had to do this experiment surreptitiously because I would be dealt with harshly should Dr. Sibley discover my departure from his strict protocol. Near summer’s end, Dr. Sibley proclaimed our efforts on blood protein to be a failure and announced that he would not ask for more NSF money to continue the study. Gathering my courage, I then showed him the results of the egg white samples I had done. Within minutes he grasped their potential and immediately laid plans for a new grant to undertake a massive survey of North American birds.
Soon after that I began to feel like the sorcerer’s apprentice, for the event marked the start of his wholesale egg collecting activities, first in the U.S. and eventually worldwide. He was quite relentless in this and eventually had serious legal trouble for using egg whites from some endangered species, such as the Peregrine Falcon. However, his work was the first to exploit molecular biology for higher level taxonomy of
the world’s birds. This led directly to his later studies on DNA-DNA hybridization, which shook the avian taxonomic tree to its very roots.
By going to Cornell, I was fully exposed to Dr. Sibley’s interests in evolution, taxonomy, comparative behavior, and pure ornithology. Lamont Cole, a famous animal population ecologist, Ari van Tienhoven, a poultry science professor, and Bill Dilger, an ethologist working on thrushes and parrots, rounded out my committee and were all important to me. I also met Ernst Mayr while I was there. He was already a biological icon, but I evidently impressed him enough so that when the first volume of the second edition of Peters’s *Check-list of Birds of the World* was being prepared, he asked me to revise the families Anatidae and Anhimidae (Anseriformes, in *Check-list of Birds of the World*, 1979).
During my last year at Cornell, I approached Dr. Sibley and said, “What I want to do now, rather than find a job, is to try to get a postdoctoral grant and spend a year in England at the Wildfowl Trust.” Dr. Sibley said, “Well, why don’t you let me apply for it as principal investigator, and you can go over as my assistant.” I replied, “No, if I can’t do it myself, I don’t want to do it.” So I applied for two postdoctoral fellowships, one from the National Science Foundation and one from the U.S. Public Health Department, thinking that with great luck I might get one. To my surprise, I got both of them and was thus able to spend two years at the Trust, one after the other, which was absolutely the single most important event of my professional life.
**The Wildfowl Trust and Peter Scott, 1959–1961**
The Wildfowl Trust (now the Wildfowl and Wetlands Trust) is in part a zoo, getting much of its income from visitors, but it is also a major research organization. At the time I was there, it was at the peak of its development, having the largest collection, both in species and numbers, of waterfowl that had ever been assembled. Peter Scott was internationally famous and was actively bringing back rare birds from everywhere in the world. They then had about 120 of the 145 living species of ducks, geese, and swans, or more than 80 percent of the entire family Anatidae. So, I was lucky to get there just when the Trust was at its very best.
The Trust had a resident staff that was mostly concerned with avicultural problems, such as nutrition and disease. Most of the staff were doing applied research, relative to either the waterfowl collection or to the conservation of waterfowl in Great Britain. However, G. V. T. Mathews was there as science director, Hugh Boyd was their waterfowl expert, and Janet Kear arrived during my second year as assistant director of research.
Only a few weeks after I arrived at the Trust in 1959, there was an Ethological Congress held at Oxford University. I went over on the first day by bus, arriving late in the afternoon. After registering, I was directed to the hall where everybody was already gathered for dinner. The hall was quite crowded, but at its far end I could see Dr. Sibley, sitting at a large table slightly elevated from the rest. With him were Konrad Lorenz, Niko Tinbergen, and a few other people I didn’t recognize. There was an empty seat right beside Dr. Sibley, so I walked up and sat down beside him. He stared at me incredulously and said, “Don’t you know this is High Table, and you have to be invited to sit here?” I was greatly embarrassed and quickly got up to leave, but the others laughed and motioned for me to sit. As a result of my ignorance, I was able to become acquainted with Lorenz, the author of the duck behavior paper I had overlooked, and Tinbergen, already famous for his work on gull and fish behavior. Both later shared the Nobel Prize, and Lorenz wrote a letter endorsing me for a Guggenheim Fellowship.
I was able to study pure comparative behavioral research and its taxonomic implications full-time while at the Trust. Within a year I had about six papers in press, was well into the writing of one book, and had started a second. The first book was an attempt to summarize all the observations I made on the behavior of the birds there, aimed toward developing a world survey of comparative waterfowl behavior. That effort became the *Handbook of Waterfowl Behavior* and was the first comparative behavioral survey of any family of birds. I also began to write a book that was directed to the general public, trying to describe what I thought was most interesting about waterfowl.
By then Lois and I had one child, Jay, and another, Scott, was born during our first year there. Scott was named after Peter Scott, who was not only a great painter but also a national hero for his exploits in World
War II. He also is a great hero to me because of the way he facilitated my life’s work. If it had not been for him and the Wildfowl Trust, I’d probably have ended up teaching biology in some obscure school.
Nebraska and the University of Nebraska, 1961–present
From the autumn of 1959 until the summer of 1961, I was busily engaged in postdoctoral fellowship research at the Wildfowl Trust. The Trust was a grand place for doing research but a very poor one from which to look for jobs in America. One day in the spring of 1961 I received a letter from Dr. Sibley saying, “I just learned through my Nebraska contacts that there is a job opening at the University of Nebraska for an ornithologist.” He had spent several summers in the Platte Valley during the 1950s collecting hundreds of birds, mainly hybridizing species-pairs such as flickers, buntings, orioles, and grosbeaks. Dr. Sibley also noted, “Nebraska is not a bad place to look for another job from.”
I didn’t know anything about the University of Nebraska or very much about the state. However, I remembered that Al Hochbaum, who was the director of Delta Research Station at Delta Marsh, Manitoba, had told me that in his opinion Nebraska was second only to North Dakota as a duck production area and as prime waterfowl habitat. I decided that Nebraska might be a good place to study waterfowl ecology.
I was offered the job sight unseen. They didn’t bring me over to interview, so I came without ever having seen the campus, Lincoln, or the state. I was to teach general zoology as my major responsibility and to develop a course in ornithology, plus any other courses I might want to develop. So in 1961, I came to UNL as an instructor. Dr. Harold Manter, the Zoology Department chair, once told me, “Well, we figured we could probably get you on the cheap, so we thought we might just as well offer you an instructorship rather than an assistant professorship.” However, I not only was promoted to assistant professor at the end of my first year but more importantly received tenure at that time. To my knowledge, I am the only person at the University of Nebraska ever to advance from instructor to assistant professor with tenure by the second year.
Our department was called the Zoology Department at that time. It was small but growing, and Dr. Manter was a national figure for his parasitology work. Besides Dr. Manter, the department then consisted of about seven people. The physiology department was separate, with two people. We soon merged with physiology. The Botany Department shared Bessey Hall and had a long tradition of excellence with John Weaver, Charles Bessey, and others, but it was by then beyond its prime and also quite small. Eventually we also merged with botany to form a Department of Life Sciences and later became a separate School of Biological Sciences.
During the first fall I was at UNL, a student by the name of Roger Sharpe arrived who wanted to work on a master’s degree. He was an avid birder and knew many good birding places in Nebraska. It was he who first told me about the Sandhill Cranes of the Platte Valley, so I went out with my ornithology class the following March. At that time, there weren’t many cranes near Grand Island, so we drove to Elm Creek before turning off the highway and crossing the bridge over the Platte River. I was astounded by the sight of so many cranes in the adjacent meadows. After that trip I became intensely interested in Sandhill Cranes and the Platte Valley. My first book on cranes was published in 1981 (Those of the Gray Wind), and in 1983 Cranes of the World appeared. Crane Music was published in 1991. My book on the Platte Valley (The Platte: Channels in Time) appeared in 1984.
Roger Sharpe also knew about a Greater Prairie-Chicken lek at Burchard Lake Wildlife Management Area in southeastern Nebraska about 80 miles from Lincoln, and I took my classes there, too. Galliform species soon became very important to me: my first book on grouse appeared in 1973 (Grouse and Quails of North America). The second, The Grouse of the World, followed in 1981, and Grassland Grouse and Their Conservation appeared in 2001.
I fell in love with Nebraska from the very beginning. I very soon decided I wanted to stay at the University of Nebraska as long as they would have me. With the help of NSF grants, I went to Alaska in 1963 and studied Spectacled Eider behavior. I went to Australia in 1964 to observe some aberrant Australian ducks, such as the Musk Duck and Freckled Duck. Some of those observations were included in my Handbook of
Waterfowl Behavior. I went to South America in 1965, studying as many populations of the Andean Torrent Duck as possible to try to establish just how many species exist. When I started working on grouse and quails in the 1970s, I went to Mexico on another NSF grant to study some of the rare New World quails relative to my Grouse and Quails of North America. I also later observed Rock Ptarmigan in Newfoundland and both Black Grouse and Capercaillies in Scotland, while preparing my Grouse of the World.
A long series of world or continental monographs on bird groups followed, such as on shorebirds, pheasants, quails, raptors, hummingbirds, trogons, pelecaniform birds, and others. There were also books on subjects such as diving birds (Diving Birds of North America), desert-adapted birds (Bustards, Hemipodes, and Sandgrouse: Birds of Dry Places), the avian social parasites (The Avian Brood Parasites: Deception at the Nest), and lek-forming birds and associated aspects of sexual selection (Arena Birds).
Over the years, I began studies that led to books on the biodiversity of the state (The Nature of Nebraska), the Sandhills (This Fragile Land), the Platte River (Channels in Time), and the Niobrara River (A River Running through Time). The Great Plains also served as a subject for several books (Birds of the Great Plains, Great Wildlife of the Great Plains, Faces of the Great Plains), as did Plains history (Lewis and Clark on the Great Plains, Wind Through the Buffalo Grass). Interests in the grassland ecosystems of the Great Plains lead me to write both Prairie Birds and Prairie Dog Empire.
Popular Writing
During the 1960s, we had a small faculty club in an old converted sorority house. I often ate there, and one of the many people with whom I enjoyed sitting was Bruce Nicoll, who was then director of University of Nebraska Press. He would regale us with all kinds of stories about the university, and I would just sit there and listen, never contributing much to the conversation.
One day in late 1965, after the *Handbook of Waterfowl Behavior* had been published, I was eating there quietly. Then Bruce Nicoll stormed in, waving a copy of the Sunday edition of the *New York Times*, which contained a very favorable review of my book, and said, “Damn it, Johnsgard! What’s the big idea? What’s the idea of publishing a book with Cornell Press when we’ve got a perfectly good university press here?” He then added, “What book are you writing now?” I replied that I had a book manuscript in my office files but doubted that it was publishable. Nevertheless, he followed me back to my office, and I dug out the manuscript. He took it with him and only a day later called back and said, “This is great! We’ve got to publish this!” He let me include two 16-page signatures of color plates, and it was published in 1968 (*Waterfowl: Their Biology and Natural History*). Almost immediately it won an award from the Chicago Book Clinic. It was chosen by the English-Speaking Union
to be placed in libraries around the world. It was also named one of the hundred best science books of the year. After that book appeared, I began to think it would be fun to see if I could write a bird book that was popular but that included a good deal of information on natural history.
Another of the unexpected circumstances that affected my life soon occurred. One day, while signing some copies of *Waterfowl: Their Biology and Natural History* at a local bookstore, I learned that John Neihardt had recently signed some copies of *Black Elk Speaks*. I bought a copy and read it that afternoon. I think of all the books that I have read, I was never as mesmerized by any other as I was by it. I stayed awake for hours that night, wondering how I could respond in some real way to that book, in which Snow Geese appeared in several of Black Elk’s visions.
I had already been thinking about doing a book on the Snow Goose and wondered if I could somehow counterpoint what I knew about the biology of Snow Geese with the Native American view of Snow Geese. Finally, when it was about 2:30 a.m., I decided that I couldn’t sleep, so I might just as well get up and start writing. I wrote more or less secretively for about five weeks, at which time the writing was nearly finished, except for a section dealing with the Arctic breeding grounds, which I hadn’t previously visited.
With the manuscript essentially finished, I thought I ought to have someone read it critically. I gave it to Vicki Peterson, one of our departmental secretaries, who had done some technical retyping for me, and asked her if she would read it. She brought it back the next day and said, “This is by far the best writing you’ve ever done; you’ve got to publish it.” I then decided I would send it to three publishers. Two of them rejected it fairly rapidly, but Doubleday indicated an interest. I replied that I would need a few more months to write the remaining part and would have it done by fall.
In early June of 1973, I went to Churchill, Manitoba, with the aid of a small American Philosophical Society grant. From Churchill I was able to fly to a large Snow Goose nesting colony, which I visited for a few days. While at Churchill, Robert Montgomerie, a biologist whom I met there, showed me some of his friend Paul Geraghty’s drawings. I thought that they were the kind of images that I wanted to use to
somehow capture the mysticism of the geese in Neihardt’s book. So I wrote to Geraghty, sent him a copy of the manuscript, and asked if he would be interested in illustrating it. He replied that it was exactly the sort of thing he would love to illustrate. It was amazing to see Paul Geraghty sketch; he drew the pen-and-ink illustrations for *Song of the North Wind*. He could look through binoculars for three or four hours, and then go back to camp and draw for two or three hours, just like he had a videotape playing back images. I could never do anything like that. I think his illustrations were a critically important part of that book.
My early papers probably helped me get my first NSF research grants during the 1960s. A Guggenheim Fellowship in 1972 gave me most of a year off for writing. After my Snow Goose book appeared in 1974, I decided that I could write popular, but accurate, books and that not only increased my annual income but also increased my confidence and personal pleasure in writing.
With the appearance of *Song of the North Wind*, my writing life shifted to a somewhat new direction. I decided to write technical books intended for a fairly restricted ornithological audience but also to write for a much broader audience on general, environmental, and conservation topics. The ultimate in my popular writing was the dragon and unicorn book (*Dragons and Unicorns: A Natural History*), which I wrote with our daughter Karin when she was in high school. I thought that if I was ever going to be fired for writing something frivolous, it probably would be for that, which was mostly a whimsical metaphor on conservation ethics, with some political and religious satire thrown in.
**Writing Influences**
I have often been asked why I am such a prolific writer. Annie Dillard wrote in *The Writing Life* that there are maybe 20 people on the planet who can average writing a book each year. During the 44 years between my first book in 1965 and 2009, I published 51 books. I have at least put myself in rare company.
I would confess that my writing is a total compulsion, but there is another rationalization for my writing, and I’ve thought about it often. There are few people who can write, draw, and photograph well enough to put together a book on some major subject by themselves. When growing up, I thought it would be a wonderful thing to have a book about loons, for example, or a book about pheasants. By and large, they weren’t available, but now I’m in a position to write those books. It may be that the world as a whole isn’t waiting for them, but there might be somebody out there who is.
I write three kinds of books: the first is about birds, which represents most of the titles, and the second is about places, such as the Platte, the Tetons, the Sandhills, or the Niobrara. The third type is about ideas, like *Dragons and Unicorns: A Natural History*. Most of my books are in the first category, which is very straightforward writing, just putting the facts together as clearly and as accurately as I can. Almost always I kept at least three book projects going simultaneously because when working on two or three, they are almost always at different stages.
When writing a reference book on birds, or any of my geographically oriented books, I feel I can write in short blocks of time with a fair number of disturbances without affecting the flow of writing. When I’m trying to write a chapter in something like *Song of the North Wind*, then I’m bothered greatly by interference.
On a Saturday or Sunday, there is usually no disturbance on campus, and I can count on having many hours without even having the phone ring. I used to come to campus every Saturday to write, and one year I got over $120 in fines for parking on campus on football Saturdays. I finally decided that was too expensive, especially after my car was towed away one day. I sometimes came to campus on Sundays, too, and that didn’t leave much time for anything else. I didn’t make a lot of time to play when our kids were growing up; however, I spent enough time with each of them to encourage their interest in nature.
I always thought that one secret of good speaking was to be able to compose in your mind about as rapidly as you can talk, and I think the secret of good writing is to be able to compose in your mind about as rapidly as you can type. My writing is probably better than it was in my early years simply because it is much easier to modify text on a computer, and I work it over more now, but I’m not embarrassed about my early writing.
**Reading and Literary Models**
When I was 18, my parents gave me a copy of Aldo Leopold’s *A Sand County Almanac* for Christmas, and it became a kind of bible to me, exemplifying clean, poetic writing about nature. I identified with Leopold because of his background as a wildlife biologist, and I wanted to emulate his writing style. I admire his use of wild creatures and wild events as parables and his ability to see greater lessons in small events, the total being greater than the sum of its parts. He was able to tell a simple story, like cutting down an oak tree, for example, and using that to describe the history of Wisconsin as represented by the rings of the oak.
Generating large stories from simple events is the same thing that appeals to me so much about Annie Dillard’s writing. She will see a frog
in a pond, or a shed snakeskin, and somehow make that into a cosmic event, something far greater than just simple observations. I’m just still in awe over her capacity for description. I corresponded with her for a time after two of our books (*Song of the North Wind* and *Pilgrim at Tinker Creek*) were reviewed in the same column of a New York newspaper. She even let me critique a story she was writing for *Harper’s* on a trip to the Galapagos Islands.
There were times when I purposefully was anthropomorphic in my writing, even though in my animal behavior class I would rail against anthropomorphism. I don’t use it in writing reference books, but I do use it fairly often in popular writing. Aldo Leopold was rather anthropomorphic in some of his writing, and I felt that if he could do it, so could I. I must confess that the longer I live and the more I watch birds, the more I believe that maybe a little bit of anthropomorphism is warranted. I’m absolutely convinced that there is a lot more to what they know and perceive than what humans observe. I honestly think we are underestimating birds, and certainly other mammals, when we avoid anthropomorphism too rigorously.
**Drawing and Wood Sculpture**
Essentially all my artwork for publication has been done by pen-and-ink. By the time I got to graduate school, we were told we had to do everything for publication with Rapidograph technical pens using India ink. I used that technique for quite a number of years, simply because I was under the assumption that that was what was needed for reproduction.
Then, maybe by chance, I realized I could start using non-India ink and nylon-tipped pens with very fine points, as they became available. I could get fairly dark, if not black, colors that were acceptable to publishers, it was less messy, and I could get graded widths and intensities of line. I also learned how to use scratchboard. The drawings in *Waterfowl: Their Biology and Natural History* were nearly all scratchboard drawings. Most of the hundreds of drawings in the *Handbook of Waterfowl Behavior* came from 16 mm movie film, by taking individual frames and
enlarging them. I then made ink drawings based on those frame enlargements, so they weren’t based on field sketching.
My woodcarving goes back to Boy Scout days, when I decided to make a neckerchief slide and carved a flying duck. I was probably about 13 years old. I continued to do carvings right up through high school but then abandoned it in college. My carving didn’t start again until the later 1960s and early 1970s, when I encountered other carvers and joined with them to form the Central Flyway Decoy Collectors and Carvers Club. From then until the early 1980s I continued to do decoy and decorative carving, until I had done about 60 and basically filled all the available spaces at home and at my office. My carving was a wintertime activity, almost entirely done when I couldn’t get down to the campus to write and felt I needed something physical to do. I also rationalized that I was learning a little about bird anatomy as a result of carving them.
In 1975 the club put on a major exhibit of classic antique decoys at the Sheldon Art Gallery of UNL, and I produced the catalog of the exhibit that was published in 1976 by the University of Nebraska Press (The Bird Decoy: An American Art Form). As a result of a later folk-art exhibit, a large preening trumpeter swan carving of mine was purchased for the gallery’s permanent collection.
Some of the other art exhibits that I have curated include three at the Great Plains Art Museum in Lincoln. The first was an exhibit that I did in 2002 with Mike Forsberg, using his photos and my drawings and carvings. It was called “Migrations of the Imagination.” In 2004 I did a major show of drawings and photos (and wrote an associated book, Lewis and Clark on the Great Plains: A Natural History) celebrating the bicentennial of the Lewis and Clark expedition. In 2009 I assembled (with three other photographers) an exhibit celebrating Charles Darwin’s 200th birthday and the 150th anniversary of his Origin of Species (Celebrating Darwin’s Legacy: Evolution in the Galápagos Islands and the Great Plains).
Teaching
For the first 10 or 15 years, I enjoyed teaching enormously, even though I taught large class sessions of general zoology, year after year, and two sessions per semester. That was time consuming, but it was still rewarding; I thought I was influencing at least some students, and it was important to me to be a good teacher.
I think eventually that attitude did wear down, as I began to get more enjoyment out of my writing. Over the years, I began to realize that I wasn’t influencing that many students out of the vast numbers who went through my classes. I was more involved in writing, so the responsibility of teaching became intrusive.
I’ve had 12 people finish Ph.D.s and 13 finish master’s degrees. Roger Sharpe, my first graduate student, taught biology at the University of Nebraska Omaha. Mary Bomberger Brown went on from a master’s degree with me in 1982 to marry and work with Charles R. Brown on Cliff Swallows. In 2009 she shared the American Ornithological Society’s Coues Award with him for that work. My last graduate student, Josef Kren, was probably the best of all my teaching assistants. He is now the chairman of the Biology Department in Bryan Hospital’s teaching program. James Tate wrote for *American Birds* for many years, and later was science advisor to the secretary of the Interior during the George W. Bush administration.
Although he never finished a master’s degree, the appearance of Tom Mangelsen in 1969 was eventful. He had just graduated from Doane College, and in spite of his having only an average undergraduate record, I accepted him as a graduate student, mostly because he said his dad had a hunting cabin on the Platte River near Wood River. When he enrolled in my ornithology course in 1970, we began spending time in duck blinds on the Platte, photographing any waterfowl or cranes that strayed within range of our cameras. Tom later went with me on trips to the Pacific Northwest and New Mexico, and eventually became one of the foremost wildlife photographers in the world.
*Opposite: Paul Johnsgard and Josef Kren, Midland University, September 2004. Photo by Linda Brown*
IN HIS OWN WORDS
135
Cedar Point Biological Station, 1978–1993; 2008
Cedar Point Biological Station in Keith County, Nebraska, has been one of the best educational opportunities that ever happened to the School of Biological Sciences, and also to me personally. At the time we established the station in 1976, I was deeply involved in several books and didn’t want to devote even part of a summer to teaching classes at Lake McConaughy, which I had never seen. Brent Nickol, our first director there, kept after me about it, and by 1978 he convinced me that I should go out and teach ornithology there.
Thus, quite reluctantly, I packed my car and drove out. While driving through Ogallala, I was depressed about what a miserable summer this was going to be. Then I drove down the long hill leading to Kingsley Dam, and at the bottom of the hill I was suddenly in a deep canyon.
Charles Brown (standing) and Paul Johnsgard at Cedar Point Biological Station, May 2016. Photo by Josef Kren
of junipers and cottonwoods and could hear singing Rock Wrens and screaming Black-billed Magpies. A Great Horned Owl took off from a rocky promontory. It was much like Dorothy landing in Oz. I thought I had suddenly been transported to a magical place. I fell in love with the area that instant and went back every summer for 16 of the 17 next summers. I returned to teach there in the summer of 2008, to see how the bird life and general environment had changed.
Cedar Point became, from the late 1970s to the early 1990s, an integral part of my summer activities. I did as much writing as I could in that environment, and I spent more time looking at birds during those few weeks than I did at any other time of the year.
**Hunting and Photography**
I started hunting when I was about 12 years old and was a duck hunter until I was about 16. I eventually decided I would much rather try to photograph birds than shoot them, and it increasingly bothered me to kill things that I spent hours watching. So, I sold my shotgun to obtain a camera. At first I had an Argus C-3, but my mother borrowed it and it was stolen from her. She offered to replace it, and that allowed me to buy my first camera with interchangeable lenses.
My “new” camera was a used Exakta I single-lens reflex from the late 1930s for which I had to look down from above to focus (the image was reversed and upside down). I was lucky just to find something in the frame when trying to photograph birds in flight. As soon as I found the subject I snapped the shutter. My average success rate was about one or two frames out of a 36-exposure roll of black-and-white film that were not simply sky.
If it weren’t for hunting, I wouldn’t have spent nearly so much time in marshes and wouldn’t have become nearly so close to either my older brother or my father. But it’s a continuing problem for me to rationalize the social values of hunting against the pain that hunting causes, for no real reason other than entertainment. For some species, hunting clearly doesn’t affect the populations, but I have real problems with hunting
cranes and hunting swans, which are long-lived species that have long pair bonds and limited capacities for reproduction.
**Conservation**
I don’t want to depress my readers by writing about environmental crises, so much of what I have to say about the environment is done on a positive note. Biodiversity is important, and species of any kind are valuable and worth saving. That’s a fairly easy message to give.
The passage of the Endangered Species Act in the early 1970s was a decisive stage in the development of the conservation movement. It meant the government was finally moving, and that was encouraging. But it’s been pretty much downhill since 1980, and I don’t know if there’s going to be any turnaround in the near term.
**Religious Beliefs**
I still get chills up and down my spine in situations such as watching flocks of geese or cranes at sunset. It still affects me just as much as it ever did. I think watching birds is the most spiritually rewarding thing I do. I’m attracted to the mystical, the unknown. I don’t like to give the unknown a name, but I like the sense of mystery. Embracing mystery is counter to science; in fact, it’s absolutely counter to science, and I guess that’s an anomaly in my thinking. Perhaps it goes back to the Native American concept of an overall natural spirit, even though one may not give that spirit a name.
I think science can be an adequate substitute for religion, in that it can satisfy a pervasive human need for some sort of belief system. Science is fallible—we know that—and so I’m sure that science will never provide us with all the answers. Yet, I would strongly recommend it over religion.
Although now officially retired for a decade, I am still writing. My newest book, *Sandhill and Whooping Cranes: Ancient Voices over America’s*
Wetlands, should appear by March 2011, and two other book manuscripts are under consideration by a publisher. One is a natural history of the Greater Yellowstone ecosystem (to be photographically illustrated by Tom Mangelsen), and the other reviews the birds of and birding opportunities in the northern Rocky Mountains. I am also in early phases of writing a book on the wetlands of Nebraska, and I intend to collaborate with Dr. Jackie Canterbury on a review of the birds of Wyoming’s Big-horn Mountains. And there are always more things to learn and write about cranes . . .
Paul Johnsgard: Comprehensive Vita and Bibliography may be found at DigitalCommons@University of Nebraska–Lincoln, https://digitalcommons.unl.edu/biosciornithology/25/
Left to right, Josef Kren, Linda Brown, and Paul Johnsgard at Loess Bluffs National Wildlife Refuge, November 2016. Courtesy photo
Paul Johnsgard in his office, leaning on the stacks of books he has authored, 2016. Photo by Linda Brown
Books, Achievements, Recognitions, and Awards by Paul A. Johnsgard, 2021
Electronic Books Published by UNL Digital Commons (4)
1. *A Guide to the Natural History of the Central Platte Valley of Nebraska*. 2007. 156 pp. [https://digitalcommons.unl.edu/biosciornithology/40/](https://digitalcommons.unl.edu/biosciornithology/40/)
2. *A Guide to the Tallgrass Prairies of Eastern Nebraska and Adjacent States*. 2007. 50 pp., maps. [https://digitalcommons.unl.edu/biosciornithology/39/](https://digitalcommons.unl.edu/biosciornithology/39/)
3. *Louis A. Fuertes and the Zoological Art of the 1926–1927 Abyssinian Expedition of the Field Museum of Natural History*. 2009. 121 pp. [https://digitalcommons.unl.edu/biosciornithology/44/](https://digitalcommons.unl.edu/biosciornithology/44/)
4. *Four Decades of Christmas Bird Counts in the Great Plains: Ornithological Evidence of a Changing Climate*. 2009. 380 pp. [https://digitalcommons.unl.edu/biosciornithology/46/](https://digitalcommons.unl.edu/biosciornithology/46/)
Revisions of Hardcopy Books Published by UNL Digital Commons (5)
5. *Birds of the Rocky Mountains with Particular Reference to National Parks in the Northern Rocky Mountain Region*. 2009. 504 pp. [https://digitalcommons.unl.edu/bioscibirdsrockymtns/1/](https://digitalcommons.unl.edu/bioscibirdsrockymtns/1/)
6. *Birds of the Great Plains: Breeding Species and Their Distribution*. 2009. 530 pp. [https://digitalcommons.unl.edu/bioscibirdsgreatplains/1/](https://digitalcommons.unl.edu/bioscibirdsgreatplains/1/)
7. *Song of the North Wind: A Story of the Snow Goose*. 2009. 150 pp. [https://digitalcommons.unl.edu/biosciornithology/50/](https://digitalcommons.unl.edu/biosciornithology/50/)
8. *Ducks, Geese, and Swans of the World*. 2010. 401 pp. [https://digitalcommons.unl.edu/bosciducksgeeseswans/3/](https://digitalcommons.unl.edu/bosciducksgeeseswans/3/)
9. *Waterfowl of North America*. 2010. Revised edition. 575 pp. [https://digitalcommons.unl.edu/bosciwaterfowlna/1/](https://digitalcommons.unl.edu/bosciwaterfowlna/1/)
Edited and/or Illustrated Hardcopy Books (3)
10. *Proceedings of the Centennial Meeting, Nebraska Ornithologists’ Union*. 1999. (Editor and author.) 76 pp. [Reprinted as “A Century of Ornithology in Nebraska: A Personal View,” available at https://digitalcommons.unl.edu/biosciornithology/26/.]
11. *Prairie Suite: A Celebration*. 2007. (Poems by Twyla Hansen; 28 drawings by PAJ.) Spring Creek Prairie Audubon Center, Denton, NE. 64 pp.
12. *Natural Treasures of the Great Plains: An Ecological Perspective*. 2015. (Coeditor, author, and illustrator.) Prairie Chronicles Press, Lincoln, NE. 216 pp.
Original Hardcopy Books (88)
13. *Handbook of Waterfowl Behavior*. 1965. Cornell University Press, Ithaca, NY. 378 pp.
14. *Animal Behavior*. 1967. W. C. Brown Company, Dubuque, IA. 158 pp.
15. *Waterfowl: Their Biology and Natural History*. 1968. University of Nebraska Press, Lincoln. 138 pp.
16. *Animal Behavior*. 1972. 2nd ed. W. C. Brown Company, Dubuque, IA. 168 pp.
17. *Grouse and Quails of North America*. 1973. University of Nebraska Press, Lincoln. 553 pp.
18. *Song of the North Wind: A Story of the Snow Goose*. 1974. Doubleday, New York. 150 pp.
19. *North American Game Birds of Upland and Shoreline*. 1975. University of Nebraska Press, Lincoln. 183 pp.
20. *Waterfowl of North America*. 1975. Indiana University Press, Bloomington. 575 pp.
21. *The Bird Decoy: An American Art Form*. 1976. University of Nebraska Press, Lincoln. 188 pp.
22. *Ducks, Geese, and Swans of the World*. 1978. University of Nebraska Press, Lincoln. 400 pp.
23. *Birds of the Great Plains: Breeding Species and Their Distribution*. 1979. University of Nebraska Press, Lincoln. 538 pp.
24. *A Guide to North American Waterfowl*. 1979. Indiana University Press, Bloomington. 270 pp.
25. *The Plovers, Sandpipers, and Snipes of the World*. 1981. University of Nebraska Press, Lincoln. 492 pp.
26. *Those of the Gray Wind: The Sandhill Cranes*. 1981. St. Martin’s Press, New York. 150 pp.
27. *Teton Wildlife: Observations by a Naturalist*. 1982. Colorado Associated University Press, Boulder. 128 pp.
28. *Dragons and Unicorns: A Natural History*. 1982. (Fiction, with Karin Johnsgard.) St. Martin’s Press, New York. 164 pp.
29. *The Grouse of the World*. 1983. University of Nebraska Press, Lincoln. 413 pp.
30. *The Hummingbirds of North America*. 1983. Smithsonian Institution Press, Washington, DC. 302 pp.
31. *The Cranes of the World*. 1983. Indiana University Press, Bloomington. 256 pp.
32. *The Platte: Channels in Time*. 1984. University of Nebraska Press, Lincoln. 176 pp.
33. *Prairie Children, Mountain Dreams*. 1985. Media Publishing, Lincoln, NE. 87 pp. (Children’s fiction.)
34. *The Pheasants of the World*. 1986. Oxford University Press, Oxford, UK. 204 pp.
35. *Birds of the Rocky Mountains: With Particular Reference to National Parks in the Northern Rocky Mountain Region*. 1986. University Press of Colorado, Boulder. 504 pp.
36. *Diving Birds of North America*. 1987. University of Nebraska Press, Lincoln. 286 pp.
37. *The Waterfowl of North America: The Complete Ducks, Geese, and Swans*. 1987. (Author of species accounts; with Robin Hill, S. Dillon Ripley, and the Duke of Edinburgh.) University Press of Mississippi, Jackson. 135 pp.
38. *The Quails, Partridges, and Francolins of the World*. 1988. Oxford University Press, Oxford, UK. 264 pp.
39. *North American Owls: Biology and Natural History*. 1988. Smithsonian Institution Press, Washington, DC. 295 pp.
40. *Hawks, Eagles, and Falcons of North America: Biology and Natural History*. 1990. Smithsonian Institution Press, Washington, DC. 403 pp.
41. *Crane Music: A Natural History of American Cranes*. 1991. Smithsonian Institution Press, Washington, DC. 136 pp.
42. *Bustards, Hemipodes, and Sandgrouse: Birds of Dry Places*. 1991. Oxford University Press, Oxford, UK. 276 pp.
43. *Ducks in the Wild: Conserving Waterfowl and Their Habitats*. 1992. Key Porter Books, Toronto. 158 pp.
44. *Cormorants, Darters, and Pelicans of the World*. 1993. Oxford University Press, Oxford, UK. 445 pp.
45. *Arena Birds: Sexual Selection and Behavior*. 1994. Smithsonian Institution Press, Washington, DC. 330 pp.
46. *This Fragile Land: A Natural History of the Nebraska Sandhills*. 1995. University of Nebraska Press, Lincoln. 256 pp.
47. *Ruddy Ducks and Other Stifftails: Their Behavior and Biology*. (With Montserrat Carbonell.) 1996. University of Oklahoma Press, Norman. 284 pp.
48. *The Avian Brood Parasites: Deception at the Nest*. 1997. Oxford University Press, Oxford, UK. 409 pp.
49. *The Hummingbirds of North America*. 2016. 2nd ed. Smithsonian Institution Press, Washington, DC. 277 pp.
50. *Baby Bird Portraits by George Miksch Sutton: Watercolors in the Field Museum*. 1998. University of Oklahoma Press, Norman. 80 pp.
51. *Earth, Water, and Sky: A Naturalist’s Stories and Sketches*. 1999. University of Texas Press, Austin. 157 pp.
52. *The Pheasants of the World: Biology and Natural History*. 1999. Smithsonian Institution Press, Washington, DC. 396 pp.
53. *Trogons and Quetzals of the World*. 2000. Smithsonian Institution Press, Washington, DC. 224 pp.
54. *Prairie Birds: Fragile Splendor in the Great Plains*. 2001. University of Kansas Press, Lawrence. 331 pp.
55. *The Nature of Nebraska: Ecology and Biodiversity*. 2001. University of Nebraska Press, Lincoln. 402 pp.
56. *Grassland Grouse and Their Conservation*. 2002. Smithsonian Institution Press, Washington, DC. 157 pp.
57. *North American Owls: Biology and Natural History*. 2002. 2nd ed. Smithsonian Institution Press, Washington, DC. 298 pp.
58. *Great Wildlife of the Great Plains*. 2003. University of Kansas Press, Lawrence. 309 pp.
59. *Lewis and Clark on the Great Plains: A Natural History*. 2003. University of Nebraska Press, Lincoln. 143 pp.
60. *Faces of the Great Plains: Prairie Wildlife*. 2003. University Press of Kansas, Lawrence. 190 pp.
61. *Prairie Dog Empire: A Saga of the Shortgrass Prairie*. 2005. University of Nebraska Press, Lincoln. 142 pp.
62. *A Nebraska Bird-Finding Guide*. 2011. Zea Books, UNL Digital Commons. 152 pp. [https://digitalcommons.unl.edu/zeabook/5/](https://digitalcommons.unl.edu/zeabook/5/)
63. *The Niobrara: A River Running through Time*. 2007. University of Nebraska Press, Lincoln. 373 pp.
64. *Wind Through the Buffalo Grass: A Lakota Story Cycle*. 2008. Plains Chronicles Press, Lincoln. 214 pp. (Historical fiction.)
65. *The Platte: Channels in Time*. 2008. 2nd ed. University of Nebraska Press, Lincoln. 176 pp.
66. *Sandhill and Whooping Cranes: Ancient Voices over America’s Wetlands*. 2011. University of Nebraska Press, Lincoln. 155 pp.
67. *Rocky Mountain Birds: Birds and Birding in the Central and Northern Rocky Mountains*. 2011. Zea Books, UNL Digital Commons. 274 pp. [https://digitalcommons.unl.edu/zeabook/7/](https://digitalcommons.unl.edu/zeabook/7/)
68. *Nebraska’s Wetlands: Their Wildlife and Ecology*. 2012. Conservation and Survey Division, Institute of Agriculture and Natural Resources, University of Nebraska–Lincoln. 202 pp.
69. *Wings over the Great Plains: Bird Migrations in the Central Flyway*. 2012. Zea Books, UNL Digital Commons. 249 pp. [https://digitalcommons.unl.edu/zeabook/13/](https://digitalcommons.unl.edu/zeabook/13/)
70. *Wetland Birds of the Central Plains: South Dakota, Nebraska, and Kansas*. 2012. Zea Books, UNL Digital Commons. 275 pp. [https://digitalcommons.unl.edu/zeabook/8/](https://digitalcommons.unl.edu/zeabook/8/)
71. *Birds of the Central Platte Valley and Adjacent Counties*. 2013. Zea Books, UNL Digital Commons. (With Mary Bomberger Brown.) 182 pp. [https://digitalcommons.unl.edu/zeabook/15/](https://digitalcommons.unl.edu/zeabook/15/)
72. *The Birds of Nebraska*. 2013. 2nd ed. Zea Books, UNL Digital Commons. 146 pp. [https://digitalcommons.unl.edu/zeabook/17/](https://digitalcommons.unl.edu/zeabook/17/)
73. *Yellowstone Wildlife: Ecology and Natural History of the Greater Yellowstone Ecosystem*. 2013. University Press of Colorado, Boulder. 239 pp.
74. *Birds and Birding in the Bighorn Mountains Region of Wyoming*. 2013. (With Jacqueline L. Canterbury and Helen F. Downing.) Zea Books, UNL Digital Commons. 260 pp. [https://digitalcommons.unl.edu/zeabook/18/](https://digitalcommons.unl.edu/zeabook/18/)
75. *Música de las Grullas: Una Historia Natural de las Grullas de América*. 2014. (Spanish version of *Crane Music*, updated; translation by Enrique H. Weir and Karine Gil-Weir.) Zea Books, UNL Digital Commons. 182 pp. [https://digitalcommons.unl.edu/zeabook/25/](https://digitalcommons.unl.edu/zeabook/25/)
76. *Game Birds of the World: A Catalog of the Madson Collection*. 2014. University of Nebraska State Museum, Lincoln. 96 pp.
77. *Seasons of the Tallgrass Prairie: A Nebraska Year*. 2014. University of Nebraska Press, Lincoln. 171 pp.
78. *Global Warming and Population Responses among Great Plains Birds*. 2015. Zea Books, UNL Digital Commons. 384 pp. [https://digitalcommons.unl.edu/zeabook/26/](https://digitalcommons.unl.edu/zeabook/26/)
79. *At Home and at Large on the Great Plains: Essays and Memories*. 2015. Zea Books, UNL Digital Commons. 169 pp. [https://digitalcommons.unl.edu/zeabook/30/](https://digitalcommons.unl.edu/zeabook/30/)
80. *A Chorus of Cranes: The Cranes of North America and the World*. 2015. University Press of Colorado, Boulder. 242 pp.
81. *Birding Nebraska’s Central Platte Valley and Rainwater Basin*. 2015. Zea Books, UNL Digital Commons. 54 pp. [https://digitalcommons.unl.edu/zeabook/36/](https://digitalcommons.unl.edu/zeabook/36/)
82. *Swans: Their Biology and Natural History*. 2016. Zea Books, UNL Digital Commons. 114 pp. [https://digitalcommons.unl.edu/zeabook/38/](https://digitalcommons.unl.edu/zeabook/38/)
83. *The North American Grouse: Their Biology and Behavior*. 2016. Zea Books, UNL Digital Commons. 183 pp. [https://digitalcommons.unl.edu/zeabook/41/](https://digitalcommons.unl.edu/zeabook/41/)
84. *The North American Geese: Their Biology and Behavior*. 2016. Zea Books, UNL Digital Commons. 159 pp. [https://digitalcommons.unl.edu/zeabook/44/](https://digitalcommons.unl.edu/zeabook/44/)
85. *The North American Sea Ducks: Their Biology and Behavior*. 2016. Zea Books, UNL Digital Commons. 256 pp. [https://digitalcommons.unl.edu/zeabook/50/](https://digitalcommons.unl.edu/zeabook/50/)
86. *The North American Perching and Dabbling Ducks*. 2017. Zea Books, UNL Digital Commons. 228 pp. [https://digitalcommons.unl.edu/zeabook/53/](https://digitalcommons.unl.edu/zeabook/53/)
87. *The North American Whistling-Ducks, Pochards, and Stifftails*. 2017. Zea Books, UNL Digital Commons. 188 pp. [https://digitalcommons.unl.edu/zeabook/54/](https://digitalcommons.unl.edu/zeabook/54/)
88. *The North American Quails, Partridges, and Pheasants*. 2017. Zea Books, UNL Digital Commons. 131 pp. [https://digitalcommons.unl.edu/zeabook/58/](https://digitalcommons.unl.edu/zeabook/58/)
89. *Those of the Gray Wind: The Sandhill Cranes*. 2017. 2nd ed. University of Nebraska Press, Lincoln. 156 pp.
90. *Common Birds of The Brinton Museum and Bighorn Mountains Foothills*. 2017. (With Jacqueline L. Canterbury.) Zea Books, UNL Digital Commons. 68 pp. [https://digitalcommons.unl.edu/zeabook/57/](https://digitalcommons.unl.edu/zeabook/57/)
91. *A Naturalist’s Guide to the Great Plains*. 2018. Zea Books, UNL Digital Commons. 161 pp. [https://digitalcommons.unl.edu/zeabook/63/](https://digitalcommons.unl.edu/zeabook/63/)
92. *The Birds of Nebraska*. 2018. 2nd digital ed. Zea Books, UNL Digital Commons. 307 pp. [https://digitalcommons.unl.edu/zeabook/65/](https://digitalcommons.unl.edu/zeabook/65/)
93. *The Ecology of a Tallgrass Treasure: Audubon’s Spring Creek Prairie*. 2018. Zea Books, UNL Digital Commons. 183 pp. [https://digitalcommons.unl.edu/zeabook/66/](https://digitalcommons.unl.edu/zeabook/66/)
94. *The Ucross Ranch: Its Birds, History, and Natural Environment*. 2019. (With Jacqueline Lee Canterbury.) Zea Books, UNL Digital Commons. 85 pp. [https://digitalcommons.unl.edu/zeabook/70/](https://digitalcommons.unl.edu/zeabook/70/)
95. *Wyoming Wildlife: A Natural History*. 2019. Zea Books, UNL Digital Commons. 234 pp. [https://digitalcommons.unl.edu/zeabook/73/](https://digitalcommons.unl.edu/zeabook/73/)
96. *The Abyssinian Art of Louis Agassiz Fuertes in the Field Museum.* 2020. Zea Books, UNL Digital Commons. 135 pp. [https://digitalcommons.unl.edu/zeabook/83/](https://digitalcommons.unl.edu/zeabook/83/)
97. *Nebraska Wildlife: A Natural History.* 2020. University of Nebraska Press, Lincoln. 495 pp.
98. *Audubon’s Lillian Annette Rowe Sanctuary: A Refuge, a River, and a Migration.* 2020. Prairie Chronicles Press, Lincoln, NE. 203 pp.
99. *The Lives, Lore, and Literature of Cranes: A Catechism for Crane Lovers.* 2020. Zea Books, UNL Digital Commons. 145 pp. [https://digitalcommons.unl.edu/zeabook/93/](https://digitalcommons.unl.edu/zeabook/93/)
100. *The Birds of the Nebraska Sandhills.* 2021. (With Josef Kren.) Zea Books, UNL Digital Commons. 201 pp. [https://digitalcommons.unl.edu/zeabook/96/](https://digitalcommons.unl.edu/zeabook/96/)
101. *The Sandhill Crane State: A Naturalist’s Guide to Nebraska.* 2021. Zea Books, UNL Digital Commons. 169 pp. [https://digitalcommons.unl.edu/zeabook/108/](https://digitalcommons.unl.edu/zeabook/108/)
**UNL Great Plains Art Museum Exhibition Catalogs (2)**
102. *Migrations of the Imagination: Photographs by Michael Forsberg, Drawings, Sculptures and Quotations by Paul A. Johnsgard, and Additional Works of Art.* 2002. UNL Digital Commons. 32 pp. [https://digitalcommons.unl.edu/biosciornithology/48/](https://digitalcommons.unl.edu/biosciornithology/48/)
103. *Celebrating Darwin’s Legacy: Evolution in the Galápagos Islands and the Great Plains.* 2009. UNL Digital Commons. 32 pp. [https://digitalcommons.unl.edu/biosciornithology/47/](https://digitalcommons.unl.edu/biosciornithology/47/)
**Children’s Books (2)**
104. *A Prairie’s Not Scary.* 2012. UNL Digital Commons. 48 pp. (Children’s ecological poetry.) [https://digitalcommons.unl.edu/zeabook/10/](https://digitalcommons.unl.edu/zeabook/10/)
105. *S Is for Sandhill: A Crane Alphabet.* 2021. Zea Books, UNL Digital Commons. 30 pp. (Children’s bird poetry.) [https://digitalcommons.unl.edu/zeabook/101/](https://digitalcommons.unl.edu/zeabook/101/)
Biographies
“Paul Johnsgard.” 2012. *Wikipedia*. (Paul A. Johnsgard biography and selected citations.) [https://en.wikipedia.org/wiki/Paul_Johnsgard](https://en.wikipedia.org/wiki/Paul_Johnsgard)
“My Life in Biology: Paul A. Johnsgard.” September 2010. *Nebraska Bird Review* 78(3): 103–120. [https://digitalcommons.unl.edu/biosciornithology/82/](https://digitalcommons.unl.edu/biosciornithology/82/)
Appendices: “My Life in Biology” and “Curriculum vitae.” 2015. Pages 103–170 in *At Home and at Large in the Great Plains: Essays and Memories*. Zea Books, UNL Digital Commons. (Autobiography, reprinted, with publication list.) [https://digitalcommons.unl.edu/zeabook/30/](https://digitalcommons.unl.edu/zeabook/30/)
Profiles, Interviews, Websites
Miles, L. 1993. “Paul Johnsgard and the harmony of nature.” Pp. 91–93 in A. Jenkins (ed.), *The Platte River: An Atlas of the Big Bend Region*. University of Nebraska at Kearney. 194 pp.
Farrar, J. 1993. “Paul Johnsgard, Nebraska’s birdman.” *Nebraskaland* 71(2): 38–47.
Hayward, J. 1994. “Beguiled by Birds: A Profile of Paul Johnsgard.” *Living Bird* 13(4): 6–7. [https://digitalcommons.unl.edu/biosciornithology/27/](https://digitalcommons.unl.edu/biosciornithology/27/)
Klucas, G. 2002. “A beautiful mind.” *Nebraska Magazine*. Summer 2002. pp. 24–27.
Klucas, G. 2003. “Paul Johnsgard . . . For the birds.” *Nebraska Life*. September/October 2003. pp. 34–37.
Ducey, J. 2005. “Bird man.” *L Magazine, Lincoln Journal Star*, Lincoln, NE. June 2005. pp. 38–39.
Winner, C. 2006. “Rare bird.” *Washington State Magazine* 5(4): 38–45. [https://magazine.wsu.edu/2009/10/06/rare-bird/](https://magazine.wsu.edu/2009/10/06/rare-bird/)
Berlowitz, D. 2008. “For the birds: Education meets photography.” *Living Well* 4(4): 16–19.
Paul Johnsgard drawing by Bob Hall.
Curran, Jack. 2009. “A profile of Dr. Paul A. Johnsgard.” *Prairie Fire* 3(6):1: 18–21. [http://www.prairiefirenewspaper.com/2009/06/a-profile-of-dr-paul-a-johnsgard](http://www.prairiefirenewspaper.com/2009/06/a-profile-of-dr-paul-a-johnsgard)
Biga, L. A. July 2016. “Birdman.” *New Horizons* (Eastern Nebraska Office on Aging, Omaha) 41(7): 11–14. [https://issuu.com/newhorizonsomaha/docs/july2016_nh_pages](https://issuu.com/newhorizonsomaha/docs/july2016_nh_pages)
Biga, L. A. 2016. “Paul Johnsgard: A birder’s road less traveled.” Leo Adam Biga’s My Inside Stories. June 24, 2016. [https://leoadambiga.com/2016/06/24/paul-johnsgard-a-birders-road-less-traveled/](https://leoadambiga.com/2016/06/24/paul-johnsgard-a-birders-road-less-traveled/)
“Paul A. Johnsgard.” Nebraska Authors. [https://nebraskaauthors.org/authors/paul-a-johnsgard](https://nebraskaauthors.org/authors/paul-a-johnsgard) (Book list to 2018.)
**Notable Achievements**
Paul A. Johnsgard is Foundation Professor of Biological Sciences Emeritus at the University of Nebraska. In addition to postgraduate fellowships from the National Science Foundation and the U.S. Public Health Service, he has also received a Guggenheim Fellowship, the University of Nebraska’s Distinguished Teaching Award, Outstanding Research and Creative Activity Award, and an Honorary Doctor of Science degree. He has written 100 scholarly books, including nine world bird monographs, more than 100 peer-reviewed articles, and over 150 nature-related popular articles, making him the world’s most prolific author of biological literature. His books collectively include more than 20,000 pages, contain an estimated 2.75 million words, and occupy more than six feet of shelf space. His writings have been downloaded more than 450,000 times worldwide. In 1999 he was chosen by the *Omaha World-Herald* as one of 100 “Extraordinary Nebraskans” of the past century, and was named one of the 100 outstanding Nebraskans of the 20th century by the *Lincoln Journal Star*. In 2017 he was included by the *Lincoln Journal Star* among 150 “Notable Nebraskans” in celebration of the state’s 150th anniversary.
Writing and Conservation Awards
Paul Johnsgard received the Loren Eiseley Award from Omaha’s Clarkson Hospital in 1988, given for writings that attempt to blend science with humanism, and the Mari Sandoz Award, given by the Nebraska Library Association in 1984 for contributions to the literature of Nebraska. In 2001 he was honored by the Nebraska section of the National Audubon Society with its Fred Thomas Nebraska Steward Award, and in the same year the Nebraska Wildlife Federation presented him with a Lifetime Achievement Award.
In 2004 he received the National Wildlife Federation’s National Conservation Achievement Award (Science), given annually to a scientist who has performed conservation work of national significance. In 2008 the National Audubon Society awarded him their Charles H. Callison Award, the highest honor that they bestow for volunteer conservation work. In 2012 he received the American Ornithological Society’s Ralph W. Schreiber Conservation Award for “extraordinary scientific contributions to the conservation, restoration, or preservation of birds and their habitats” (*Auk* 130: 205–206, 2013). In 2016 Audubon’s Rowe Sanctuary awarded him its first Prairie River Keeper Award for his conservation work for the Platte River and its wildlife.
In 2014 his *Yellowstone Wildlife: Ecology and Natural History of the Greater Yellowstone Ecosystem* won the 2014 Non-Fiction (Natural History) Award from the Nebraska Center for the Book, and in 2016 this same award was given for *A Chorus of Cranes: The Cranes of North America and the World*. In 2016 the University of Nebraska Press selected *Those of the Gray Wind: The Sandhill Cranes* as one of 75 “significant” books (out of more than 4,000) that it had published during its 75 years of existence, and Humanities Nebraska selected *Seasons of the Tallgrass Prairie: A Nebraska Year* as one of 42 books to be on its suggested reading booklist for celebrating Nebraska’s sesquicentennial on March 1, 2017. In 2018 he received the Nebraska Literary Heritage Association’s annual Literary Heritage Award, and in 2019 he received the (Lincoln) Mayor’s Artistic Achievement Award for Literary Arts.
Professional Recognitions and Awards
Paul Johnsgard is listed in *American Men and Women of Science*, *Who’s Who in the Midwest*, *Contemporary Authors*, *The Writers Directory*, *Who’s Who in Frontier Science and Technology*, and other compendiums. Literary awards include the Wildlife Society’s annual Wildlife Publication Award (1974) for the outstanding book or monograph in the field of terrestrial wildlife biology for *Grouse and Quails of North America*, the *Library Journal*’s selection of *Waterfowl: Their Biology and Natural History* as one of the most outstanding books of the year in science and technology, and the selection of the same book by the English-Speaking Union for inclusion in worldwide libraries. He was named Outstanding Alumnus of North Dakota State University in 1996, and in 2016 he received an Alumni Achievement Award from Washington State University. He has been an honorary life member of the Nebraska Ornithologists’ Union since 1984 and was elected as a fellow of the American Ornithologists’ Union since 1961. He has been a Guggenheim Foundation fellow and has held overseas postdoctoral fellowships from the National Science Foundation (1959–60) and the U.S. Public Health Service (1960–61). He was the first University of Nebraska faculty member to win all three major faculty awards: the Distinguished Teaching Award, the Outstanding Research and Creative Activity Award, and being named a Regents (University Foundation) Professor.
In 1999 he was chosen by the *Lincoln Journal Star* (July 15, 1999) as one of “100 people who have helped build Nebraska . . . the past 100 years.” He was also chosen by the *Omaha World-Herald* (November 29, 1999) as one of 100 “Extraordinary Nebraskans” of the past century. Only 30 persons (only six of whom were then still alive) were included in both of these lists. In 2017 he was listed by the *Lincoln Journal Star* among 150 “Notable Nebraskans” (both historic and still alive) in celebration of the state’s 150th anniversary.
In 2003 he was inducted into the Aksarben Foundation Court of Honor in Omaha, an award given by this Nebraska philanthropic organization to only four Nebraskans each year. In December 2009 he received an Honorary Doctor of Science degree from UNL and delivered the undergraduate commencement address. In 2014 a collection of 160
game bird taxidermy specimens was presented to the Nebraska State Museum by a former undergraduate student (Dr. Everett Madson) in his honor. In 2015 he was chosen by *Esquire* magazine to be among 50 Americans “with style.” He was 12 years older than any of the others named.
Paul Johnsgard in his office at Manter Hall, University of Nebraska–Lincoln, October 2020. *Photo by Josef Kren*
Paul A. Johnsgard
1931–2021
The following was written by Paul Johnsgard and updated by his daughter Karin Johnsgard.
Paul Austin Johnsgard died May 28, 2021, in Lincoln, NE. He was born June 28, 1931, in Fargo, ND, the son of Alfred Bernard and Yvonne Marguerite Johnsgard (née Morgan). He grew up learning the prairie plants of his grandparents’ farm in North Dakota near Christine, and roaming the woods of the Red River valley. After graduating from Wahpeton High School, and completing two years of junior college in Wahpeton, he transferred to the N.D. Agricultural College (now N.D.S.U.) in Fargo to complete majors in zoology and botany (B.S., 1953). In 1955 he completed an M.S. degree from Washington State College (now W.S.U.) based on his research on wetland ecology in central Washington, and that same year married Lois Miriam Lampe of Dubuque, Iowa. He completed a Ph.D. at Cornell University (1959), researching waterfowl evolution, and pioneering the application of egg-white protein data to avian taxonomy with his doctoral advisor, Charles G. Sibley. He then spent two years in England doing research on waterfowl behavioral evolution on National Science Foundation and N.I.H. postdoctoral fellowships. In 1961 he accepted a faculty position at the University of Nebraska–Lincoln. He was promoted to full professorship by 1969, and in 1980 was named a UN-L Foundation Professor of Biological Sciences. Over a career of 40 years at UN-L he directed twelve students to Ph.D. degrees and twelve to M.S. degrees, and taught zoology, ecology, ornithology, and animal behavior to more than 7,000 students. After retiring in 2001, he was named UN-L Foundation Professor Emeritus.
Paul and Lois had four children, Jay Erik, Scott Kenneth, Ann Yvonne, and Karin Luisa. He was preceded in death by his parents, his son Jay Erik, and grandson Scott Kenneth, Jr. He was survived by his
wife Lois (who passed away on October 30, 2021) and by their other three children (who collectively have earned four M.S. and two Ph.D. degrees) as well as by six grandchildren and four great-grandchildren.
During his UN-L career and after retirement he published 90 scholarly non-fiction books and monographs, including nine world monographs on major avian groups. He also published four books exclusively in digital format, wrote six popular books of fiction and/or poetry, and edited or illustrated four additional books. He also published more than 100 peer-reviewed papers, and wrote about 150 nature-related articles for magazines or similar publications. Nearly all his published works were illustrated with his own drawings and photos. His 100-plus books collectively total more than 20,000 pages, contain an estimated 2.75 million words, and occupy more than seven feet of shelf space. His writings have been downloaded over 450,000 times worldwide through the University of Nebraska–Lincoln’s Digital Commons repository.
While at UN-L, Paul became the first faculty member to receive all of the university’s most prestigious awards: its Distinguished Teaching Award, its Outstanding Research and Creative Activity Award, and an Honorary Doctor of Science degree. Major national recognitions included a Guggenheim Foundation Fellowship, the National Wildlife Federation’s National Conservation Achievement Award, the National Audubon Society’s Charles H. Callahan Award, and the American Ornithologists’ Society’s Ralph Schreiber Conservation Award, all in recognition of his ornithological research, writing, and conservation work. Much of Paul’s later writings concerned the biology and conservation of cranes. He also wrote sixteen books about Nebraska and its natural history, and some additional books on the biology and history of the Great Plains.
In 1999 he was chosen by the *Omaha World-Herald* as one of 100 “Extraordinary Nebraskans” of the past century, and was similarly named one of the 100 outstanding Nebraskans of the 20th century by the *Lincoln Journal Star*. In 2015 he was chosen by *Esquire* magazine to be among 50 Americans “with style”—he was 12 years older than any of the other individuals named. In 2017 he was included by the *Lincoln Journal Star* among 150 “Notable Nebraskans” in celebration of the state’s 150th anniversary.
Paul Johnsgard at Loess Bluffs National Wildlife Refuge, December 2018. Photo by Linda Brown
John R. Kunkel, 89, of Portage, died Monday, March 13, 2023, at his home. He was born in Portage on Feb. 14, 1934, to John and Mary (Kunkel) Kunkel.
Angie, Connie, 93
Archibald, George, 9–11
Attig, Thomas, 80
Audubon, John James, 94, 115
Audubon, Lucy, 94
Beam-Callaway, Cherrie, 12–13
Berigan, Vince, 100
Bessey, Charles, 125
Bilstead, Hazel, 113
Blessing, Jo D, 12, 14
Bliese, John, 69
Bomberger, Mary. See Brown, Mary Bomberger
Bouma, Ann Yvonne Johnsgard, 26, 155
Boyd, Hugh, 123
Brockmeier, Don, 14
Brown, Charles, 15–17, 58, 136
Brown, Linda, 4, 6, 10, 11, 13, 14, 16, 18–26, 29, 30, 31, 40, 41, 44, 45, 47, 51, 55, 56, 57, 59, 61, 63, 65, 66, 73, 80, 85, 87, 93, 99, 100, 101, 102, 103, 105, 109, 110, 113, 134, 139, 140, 156
Brown, Mary Bomberger, 58, 104, 108, 109, 134, 145, 161
Bruner, Lawrence, 23
Buss, I. O., 119
Callaway, Cherrie. See Beam-Callaway, Cherrie
Canterbury, Jackie (Jacqueline), 27–30, 139, 146, 147, 161
Carlini, John, 31–32
Cassel, Frank, 116–119
Cisar, Ron, 33–36
Cole, Lamont, 122
Daubenmire, Rexford, 118, 119
Deutsch, H. F., 121
Dilger, Bill, 122
Dillard, Annie, 130, 131
Dinan, John, 14
Duey, Ann, 37
Duey, David, 37–38
Eastlick, Herbert, 118
Edwards, Richard (Rick), 39–40
Farner, Donald, 118
Faulkner, Virginia, 93
Finch, Betsy, 7, 14
Flicker, John, 14
Folkers, Theresa, 129
Forsberg, Michael, 11, 14, 41–43, 133, 148
Fredrickson, Linnea, 26, 30, 80
Geraghty, Paul, 128–129
Gil, Karine, 44–46, 146, 161
Golley, Frank, 118
Goodall, Jane, 10, 26, 28, 76
Guild, Sue, 47
Hall, Bob, 150
Hamer, Nancy, 86
Hansen, Twyla, 48–49, 142
Harrison, Jim, 100
Helzer, Chris, 50–51
Hochbaum, Al, 124
Hollestelle, Cliff, 7
Hudson, George, 119
Janovy, John, Jr., 15, 52–54
Johnsgard, Alfred Bernard, 116, 155
Johnsgard, Ann Yvonne. See Bouma, Ann Yvonne Johnsgard
Johnsgard, Jay Erik, 123, 155
Johnsgard, Karin Luisa, 26, 74, 130, 143, 155
Johnsgard, Keith, 116
Johnsgard, Larry, 116
Johnsgard, Lois Miriam (Lampe), 25, 96, 119, 123, 155, 156
Johnsgard, Scott Kenneth, 24, 26, 87, 105, 123, 155
Johnsgard, Scott Kenneth, Jr., 155
Johnsgard, Yvonne Marguerite (Morgan), 155
Johnson, Allison, 24, 55–58, 80
Johnson, Michelle, 59–60, 103
Jorgensen, Joel, 61–62, 102
Kear, Janet, 123
King, Cyndi, 14
Klataiske, Ron, 7
Knott, Tim, 7
Koizumi, Fujiyo, 63–64
Kooser, Ted, 14
Kren, Josef, 7, 16, 21, 23, 25, 30, 53, 56, 57, 59, 63, 65–68, 71, 74, 77, 78, 80, 89, 96, 98, 99, 100, 101, 129, 134, 136, 139, 148, 154, 161
Labeledz, Thomas, 69–70
Lampe, Lois. See Johnsgard, Lois Miriam (Lampe)
Langan, Marian, 7
Leopold, Aldo, 39, 131–132
Leung, Kam-Ching, 71–72
Lorenz, Konrad, 119, 123
Madson, Everett, 146, 154
Mangelsen, Thomas (Tom), 9, 17, 24, 26, 28, 68, 73–77, 80, 84, 105–106, 134, 139
Manter, Harold, 124–125
Massengale, Martin, 78–79
Masters, Julie, 80–81
Mathews, G. V. T., 123
Mayr, Ernst, 122
McCabe, Robert, 121
McNabb, Marilyn, 82–84
Miller, Alden, 120
Montgomerie, Robert, 128
Morgan, “Bud,” 115
Murie, Mardy, 76
Neilhardt, John, 128–129
Nelson, W. Don, 24, 85–88
Nickol, Brent, 136
Nicoll, Bruce, 126–127
Pesendorfer, Mario, 63
Peterson, Roger Tory, 69, 114, 117
Peterson, Vicki, 128
Pierce, Art, 14
Polzien, JoEllen, 24, 87
Potter, Loren, 117
Ratzlaff, Neal, 89–90
Reitan, Arlys, 7, 91–92
Reitan, Ken, 91
Rezac, Kelly (Wells), 102
Rosowski, James (Jim), 93–94
Royster, Paul, 22, 26, 30, 80, 95–96
Scharf, William (Bill), 22, 98–101
Scott, Peter, 120, 122–123
Sharpe, Roger, 125, 134
Sibley, Charles, 119–124, 155
Silberman, Ami, 26
Simpson, Rachel, 102–104
Sutton, George M., 52, 144
Taddiken, Bill, 7
Talbot, Tiffany, 24, 26, 105–106
Tate, James, 134
Tebble, Paul, 7
Tinbergen, Niko, 123
Titterington, Dave, 102
van Tienhoven, Ari, 122
Verner, Jared, 118
Voeltz, Richard (Dick), 7, 100
Weaver, John, 125
Welch, Don, 14
Wendt, Pat, 7, 100
Wendt, Scott, 7, 100
West, James, 118
Wilson, Alan, 118
Wilson, E. O., 39
Wolfe, Carl, 14
Wood, Gertrude, 63
Wright, Rick, 107–109
Yocom, Charles, 118
Young, Kay, 14
Yuncker Happ, Christy, 110–111
Acknowledgment
Paul Johnsgard formed a special kind of working relationship and friendship with Paul Royster and Linnea Fredrickson that extended over many years. Paul Johnsgard worked endlessly on new manuscripts. Much to his delight, Paul Royster and Linnea accepted these manuscripts and quickly turned each into a book-ready form, to be posted on Digital Commons and available in print through Zea Books.
Paul Johnsgard expressed his gratitude to both editors in acknowledgments in his books. He dedicated his last book, *The Sandhill Crane State: A Naturalist’s Guide to Nebraska* (2021) to Paul Royster and Linnea Frederickson.
We are deeply indebted and owe a huge thanks to Paul and Linnea for their amazing editing skills, enthusiasm and willingness to work with us to complete this publication.
Linda Brown and Josef Kren
31 Zea Books by Paul A. Johnsgard
The Sandhill Crane State: A Naturalist’s Guide to Nebraska (2021)
S Is for Sandhill: A Crane Alphabet (2021)
The North American Swans: Their Biology and Conservation (2020)
The Abyssinian Art of Louis Agassiz Fuertes in the Field Museum (2020)
The Birds of the Nebraska Sandhills (2020) with Josef Kren
The Lives, Lore, and Literature of Cranes: A Catechism for Crane Lovers (2020)
Wyoming’s Ucross Ranch: Its Birds, History, and Natural Environment (2019) with Jacqueline Lee Canterbury
Wyoming Wildlife: A Natural History (2019)
The Birds of Nebraska (2018)
A Naturalist’s Guide to the Great Plains (2018)
The Ecology of a Tallgrass Treasure: Audubon’s Spring Creek Prairie (2018)
Common Birds of The Brinton Museum and Bighorn Mountains Foothills (2017) with Jackie Canterbury
The North American Perching and Dabbling Ducks: Their Biology and Behavior (2017)
The North American Quails, Partridges, and Pheasants (2017)
The North American Whistling-Ducks, Pochards, and Stifftails (2017)
Swans: Their Biology and Natural History (2016)
The North American Geese: Their Biology and Behavior (2016)
The North American Grouse: Their Biology and Behavior (2016)
The North American Sea Ducks: Their Biology and Behavior (2016)
At Home and at Large in the Great Plains: Essays and Memories (2015)
Global Warming and Population Responses among Great Plains Birds (2015)
Birding Nebraska’s Central Platte Valley and Rainwater Basin (2015)
Música de las Grullas: Una historia natural de las grullas de América (2014) trans. Enrique H. Weir and Karine Gil-Weir
Birds and Birding in Wyoming’s Bighorn Mountains Region (2013) with Jacqueline L. Canterbury and Helen F. Downing
Birds of the Central Platte River Valley and Adjacent Counties (2013) with Mary Bomberger Brown
The Birds of Nebraska: Revised Edition, 2013 (2013)
A Prairie’s Not Scary (2012)
Wings over the Great Plains: Bird Migrations in the Central Flyway (2012)
Wetland Birds of the Central Plains: South Dakota, Nebraska and Kansas (2012)
Rocky Mountain Birds: Birds and Birding in the Central and Northern Rockies (2011)
A Nebraska Bird-Finding Guide (2011)
|
A novel vertical greenery module system for building envelopes: The results and outcomes of a multidisciplinary research project
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Original
A novel vertical greenery module system for building envelopes: The results and outcomes of a multidisciplinary research project / Serra, V.; Bianco, L.; Candelari, E.; Giordano, R.; Montacchini, E.; Tedesco, S.; Larcher, F.; Schiavi, Alessandro. - In: ENERGY AND BUILDINGS. - ISSN 0378-7788. - 146:(2017), pp. 333-352. [10.1016/j.enbuild.2017.04.046]
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DOI:10.1016/j.enbuild.2017.04.046
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A novel vertical greenery module system for building envelopes: The results and outcomes of a multidisciplinary research project
V. Serra\textsuperscript{a}, L. Bianco\textsuperscript{a}, E. Candelari\textsuperscript{a}, R. Giordano\textsuperscript{b}, E. Montacchini\textsuperscript{b}, S. Tedesco\textsuperscript{c}, F. Larcher\textsuperscript{c}, A. Schiavi\textsuperscript{d}
\textsuperscript{a} TEBE Research Group, Energy Department, Politecnico di Torino, C.so Duca degli Abruzzi 24, Torino, Italy
\textsuperscript{b} Department of Architecture and Design, Politecnico di Torino, Viale Pier Andrea Mattioli 39, Torino, Italy
\textsuperscript{c} Department of Agricultural, Forest and Food Sciences, Università degli Studi di Torino, Largo P. Braccini 2, Grugliasco, Torino, Italy
\textsuperscript{d} INRIM – National Institute of Metrological Research, Strada delle Cacce 91, Torino, Italy
Abstract
Vegetation in architecture can be considered a proper design strategy that is aimed at improving not only the performances of buildings, but also the outdoor climate. Different technological solutions have been proposed over the years to cover buildings with vegetation, i.e. green roofs, green walls and green balconies. A particular typology of green wall, which has recently been gaining high consensus among designers, is the vertical greenery modular system (VGMS). The positive impact of this type of technology on the performance of buildings is related to several factors, such as the façade orientation, the use of the building, climatic conditions, the type of plants, the substrates and wall assemblies, as well as mechanical and technological issues. A multidisciplinary approach is therefore needed, and different skills have to be joined together right from the early design phase in order to optimize and balance all the aspects that are involved. In this framework, a research project has been carried out in Turin (North West Italy), with the aim of developing a novel VGMS, constituted by a modular box covered with vegetation, made up of recycled/natural and highly performing materials from the energy/environmental point of view. After the design phase, the actual performance of the VGMS was assessed, through laboratory and long-term in field monitoring, and at the same time, the technological issues, biometric parameters, and the acoustic, thermal and mechanical aspects were investigated.
Nomenclature
| Symbol | Description |
|--------|--------------------------------------------------|
| $A_m$ | area of one module [mm$^2$] |
| $A_T$ | equivalent sound absorption area [m$^2$] |
| $C$ | equivalent thermal conductance [W/(m$^2$K)] |
| $D_{2m,n,T}$ | sound insulation level of the façade [dB] |
| $E$ | elastic module [N m$^{-2}$] |
| $E_{24}$ | daily energy for heating [(Wh)/m$^2$] |
| GI | growing index [cm$^3$] |
| GWP | global warming potential [kg CO$_2$eq] |
| $H$ | plant height [m] |
| $K$ | hydraulic conductivity [m s$^{-1}$] |
| $k$ | intrinsic permeability [m$^2$] |
| $LA_m$ | leaf area per module [mm$^2$] |
| LAI$_m$ | leaf area index per module [–] |
| $(Q^\prime/A)$ | specific heat flux [W/m$^2$] |
| Symbol | Description |
|--------|--------------------------------------------------|
| $r$ | reflected sound energy |
| $R_{si}$ | indoor surface resistance |
| $R_{se}$ | outdoor surface resistance |
| $S$ | surface area |
| $t_s$ | surface temperature |
| $t_{air}$ | air temperature |
| $U$ | equivalent thermal transmittance |
| $W$ | plant diameter |
**Greek symbols**
| Symbol | Description |
|--------|--------------------------------------------------|
| $\alpha$ | sound absorption coefficient for random incidence |
| $\alpha_0$ | sound absorption coefficient for normal incidence |
| $\Delta$ | difference between the indoor–outdoor temperatures |
| $\Delta \sigma$ | incremental stress |
| $\Delta \varepsilon$ | incremental strain |
| $\mu$ | dynamic viscosity |
| $\rho$ | density |
| $\sigma_y$ | yield strength |
| $\sigma^+$ | tensile strength |
| $\sigma_B$ | breaking strength |
| $\tau_{60}$ | reverberation time |
**Introduction**
Urban greening provides ecosystem services, and the role of green areas for the well-being of citizens is acknowledged throughout the world [1]. The positive effects of urban vegetation are also important at the built environment microclimatic performance level, due to climate change and pedestrian thermal comfort reasons [2]. The urban environment is characterized by particular conditions, in terms of light, water and nutrient supply, as well as particular temperature and pollution regimes. These aspects can represent a drawback for the development of plants and trees, especially if the purpose is to create urban greening with high aesthetic performances. Nevertheless, green roofs and green walls are the best examples of the extreme relationship between nature and technology in urban greening [3].
Outdoor vegetation applied to the building envelope has proved to be able to positively improve the performances of buildings and urban environmental quality [4]. The subject of green infrastructures is related to various topics – such as buildings, plants, substrates and technology – and its impact on buildings and the city should be considered multidisciplinary, since it covers various aspects, such as energy performance, acoustics, air quality and environmental aspects [5]. Furthermore, different solutions can be adopted, and different effects can be pointed out for each of them, nevertheless, a lack of a common terminology has been found in literature [6]. Among the various types of green façades, living wall systems (LWS) are known to be expensive technological systems in which the choice of the right plant and its management are crucial for client satisfaction. However, only a few xerophytic and well adapted species are able to survive spontaneously on vertical surfaces [7], [8].
A recently published research has summarized the last 23 works on the subject, between 1988 and 2015, and has introduced the term vertical greenery system (VGS) [9]. A sub-category of VGS is the vertical greenery modular system (VGMS), where a modular technological box is designed in order to provide a good site for rooting, as well as a suitable amount of water and nutrients for the plants to grow.
This kind of technological solution is able to provide different beneficial effects: during the cooling season, thanks to the shading effect of the leaves and the evapotranspiration of the plants, the entering loads are lowered [10], while, during the heating season, it can contribute to reducing heat losses and improving surface thermal resistance, because of the wind reduction in the vicinity of the wall [11], [12], to increasing the sound insulation of the wall [13], [14] and reducing the environmental impact of the buildings [15], [16], [17]. At an urban level, VGSs are able to filter pollution [18], to sequester CO2 [19], to reduce urban sound propagation [20], [21], [22], to give a pleasant aesthetical aspect to a building, to improve the bio-diversity [23] and to mitigate the urban heat island effect (UHI) [24], [25].
The species used in outdoor living walls vary to a great extent, depending on the location, on the exposure to the sun and wind and on the height of the building [26]. Studies on the use of edible species, evergreen perennials and Mediterranean shrubs have been performed in Sweden and in Italy [27], [28]. Apart from these studies, very little research has been focused on the analysis of the substrate [26], [29] or on the role of the growing media on root and aboveground plant growth [30]. A synthesis table of the different parameters that influence the energy performance of greenery on energy consumption has been reported in a review paper (table 4 in [31]). For these reasons, the interest in this kind of technology, applied to vertical walls, has been growing in the last few years, and the biomimetic principles of plants have been studied in order to inspire new façades based on adaptive performances [32].
In this framework, a research project on a novel vertical greenery modular system (VGMS) has been carried out in Turin (North West Italy, Lat. 45°N). The developed system has been investigated experimentally by evaluating different kinds of vegetation species, substrates and technological systems. A multidisciplinary approach has been used, by a mixed work group composed of partners with different skills, to optimize the performance of the VGMS prototypes. The first experimental results, which were only related to thermal aspects, were published in Bianco et al. [12]. The entire project is presented in this paper. First, details are given on the design phases, which were followed in a cascade process. The methodologies that were adopted and the results that were obtained, through lab and long-term in-field monitoring, related to the biometric, thermal, acoustic and mechanical performances, are then discussed, and the technological issues that have arisen are mentioned.
2. The GRE_EN_S project methodology: a multidisciplinary approach from the technology to the performance
GRE_EN_S (GREen ENvelope System) is the acronym of an EU research project that was aimed at designing, prototyping and monitoring an innovative VGMS, constituted by modular boxes, covered with vegetation, made of recycled/natural materials and characterized by a high energy/environmental performance.
The adopted process was aimed at optimizing the performance and the technical/economic viability of the system, considering the manufacturing, on-site assembling and maintenance stages.
The challenge of this project was to design an advanced LWS that would be highly performing from the energy, acoustic and agronomic points of view, and which would be easy to install and maintain and, at the same time, be cost effective. Given the modularity of the façade, this LWS is a vertical greenery modular system (VGMS). As far as the high energy efficiency is concerned, both the operational energy (heating and cooling demand reduction) and the embodied energy were taken into account. A key factor was the low environmental impact of the chosen materials and of the developed system. The project was carried out by a multidisciplinary group of researchers (from the Department of Architecture and Design and the Department of Energy – at the Politecnico di Torino, from the Department of Scienze Agrarie, Forestali e Alimentari, DISAFA, – at the University of Turin and from INRIM, Torino) in co-operation with small local companies with expertise in modular prefabricated construction, waste material recycling and natural textiles for plant growth (CEIT, 13 Ricerca, Safi-tech, respectively).
A complete picture of the project is given in this paper, as presented in Fig. 1.
*Fig. 1. Sketch of the GRE_EN_S project methodology: a multidisciplinary approach from the technology to the performance.*
The design phase, its implementation in a VGMS prototype and the main results obtained during the experimental campaign are presented. A multiscale approach was adopted. The new technology was investigated from a complete perspective, and at two different scales: at the material/component level and at the system level. The experimental activity was thus carried out in a laboratory, in an outdoor test cell facility and in a full scale demonstration mock-up.
The main results, which were presented and discussed in the different sections of the work, were aimed at:
- driving the decision during the VGMS design phase with a Life Cycle Assessment (LCA) of the considered materials (Section 3.1);
- characterizing mechanical performance of the technological support in the laboratory (Section 3.2) to identify the limits and potentials of the textile that was to be adopted (durability and mechanical resistance aspects vs. hydraulic conductivity, which had to be guaranteed in order to ensure the biological functions of the plants);
- evaluating the biometric parameters of the plants, the influence of different plant species and substrates in both the plant nursery and in outdoor applications (test cell and demonstration mock-up) (Section 3.3) to test their adaptability to the real application conditions;
- assessing the acoustic performance (Sections 3.4.1 and 3.4.2) and the thermal behaviour (Section 3.5) of the VGMS at the system/building level, for different plant species and substrates;
- highlighting the technological issues that arose during the prototyping and installation (Section 3.6).
### 2.1. Selection of the VGMS features and materials
In order to produce a suitable design and make the manufacturing of the VGMS possible, two types of preliminary analyses were performed, and two related databases were developed. The former was carried out in order to conduct a comparative analysis of the different kinds of VGMS. Several parameters were considered and collected in detailed “Product_datasheets”. The latter was developed in order to select suitable materials, and the data was then inserted into “Material cards”.
Each “Product_datasheet” was divided into two-parts:
- Part 1 – “Technical data and performance data” section, which provided information on the technical features, materials and product performances (sizing, weighing, water consumption, plant species, plant number per square metre, type of substrate, etc.).
- Part 2 – “General information” section, which provided information on the architectural design solutions, as well as detailed drawings and pictures taken of the selected buildings. Such information was useful to obtain a better understanding of the morphological aspects (such as the technological integration of the various features with the building envelope). Records on the location were also included, in which information about the manufacturing site was provided (Italy, Europe, non-European Countries).
The “material cards” were characterized according to a Life Cycle Approach [33]. Each “material card” included environmental information about: the country of origin and the availability of the materials on the local market (in order to assess the transportation impact); the embodied energy and carbon dioxide equivalent emissions (to evaluate the depletion of the energy sources and the related climatic changes); the end of life scenarios (to assess the recycling potential); environmental labelling (when available). On the whole, 35 material cards were developed from the large amount of information that was available in databases and software [34].
The “Product datasheet” and “Material cards” provided detailed knowledge about both the technological connections and the most suitable materials to be used in VGMS.
The above-mentioned databases proved to be useful tools for the subsequent phase, related to the design and manufacturing of the prototypes.
2.2. Details on the design, prototyping and materials of the VGMS
The design of the VGMS is presented in this section, and the manufacturing phases, the material selection and the fixation system are described.
2.2.1. VGMS design and implementation in prototypes
A first selection of suitable environmentally friendly materials and building system connections was made on the basis of the product database and the material cards. The materials that were originally selected were evaluated by the companies themselves, on the one hand in terms of availability on the local market, and on the other in terms of manufacturability in accordance with their production technologies. The need to meet the workability and environmental requirements led to a limited final number of materials, which were eventually picked and tested on the prototypes.
After two prototypes had been proposed, both of which showing some problems from the technological point of view, a third prototype was developed, and was then fully characterized through extensive experimental activities. This third prototype (Fig. 2) was made up as follows: (1) aluminium alloy was used as the frame; (2) a polypropylene monofilament double geomat-grid was used as anchorage for the roots; (3) a growing medium, based on standard substrate felt-pad wastes and coconut peat, was inserted; (4) a recycled polypropylene material and a nonwoven viscose fabric were used as UV resistant and water absorption layers, respectively.
(a) Outer layer of the VGMS (recycled polypropylene). (b) Placement of the inner layer (growing medium) of the VGMS. (c) Modular box of the VGMS with pockets where the plants were to be inserted.
The selection of the materials was carried out on the basis of the LCA results (see Section 3.1). In order to assess the environmental burdens of the materials, and to choose those with the lowest energy and environmental impact, the Embodied Energy (EE) and the Embodied Carbon (EC) indicators were considered as being the most effective in the design stage.
Six pockets were cut out of each modular box to house the substrates and one plant each. The VGMS was studied and set up in order to be hung on a metal frame connected to the wall with inserts and anchorages placed on rubber thermal breaks (Fig. 3). These reverse assembling connections make it possible for the modular box to be substituted, in the case of plant disease.
  
*Fig. 3. The reverse assembling connections made up of metal brackets for the anchorage of the modular box to the metal frame (a); the metal frame with the integrated irrigation system (b); the modular box with plants (c).*
Once the modular box features had been determined, a further research was conducted, focusing on reducing the environmental effects of some of the originally selected materials, such as: aluminium alloy; plastic materials; Super Absorbent Polymers (SAP). Two scenarios were characterized. The former – standard/reference scenario – referred to the primary raw materials used to manufacture the modular box; the latter – recycling scenario – referred to the secondary raw materials that were used (see Section 3.1).
Some important assumptions (e.g. plant species; composition of the growing medium, etc.) were made for the comparative analysis, according to the results that were reached related to the choice of plants and to the experimental test that had been carried out in the nursery, and which are discussed hereafter.
### 2.2.2. Vegetal species
Three evergreen and perennial shrub species were selected for the prototypes, on the basis of research that had been carried out previously by the partners DISAFA (Fig. 4):
- *Lonicera nitida* L.: a common species for living walls with small leaves (1–1.5 cm) and small white flowers. This species is able to provide a good cover effect, and should preferably be adopted in sunny exposition conditions; it needs to be pruned once a year and requires only limited maintenance.
- *Bergenia cordifolia* L.: a species that had not been tested previously on living walls and is characterized by large, thick greenish-purple coloured leaves and pink flowers. This is also a low maintenance hardy species.
- *Heuchera hybr. ‘Red purple’*: a species with medium sized leaves and a bronze – dark purple colour, which requires higher maintenance and can be affected by pests.
  
*Fig. 4. Plant species: Lonicera nitida (a), Bergenia cordifolia (b), Heuchera hybr. ‘Red purple’ (c).*
### 2.2.3. Substrates
Starting from a standard substrate, named SS (registered by Reviwall®), composed of coconut fibre + hydro-retainers + mycorrhizae, different solutions were investigated and a material that was able to reduce the weight of the system, and act like hydro-retainer, was added to the growing material. Chair felt pads and viscose, derived from a local industrial residue, were added to the standard substrate for this purpose. Six alternative substrates were evaluated, and their compositions are reported in Table 1.
**Table 1**
Description of the tested substrates.
| Substrate name | Composition | Empty Cell |
|----------------|------------------------------------------------------------------------------|------------|
| SS | Coconut fibre + hydro-retainers + mycorrhizae | |
| SF50 | 50% coconut fibre + 50% shredded felt | |
| SF50B | 50% coconut fibre + 50% shredded felt, with layers of whole felt as the structural tissue | |
| SF100 | 100% shredded felt | |
### 2.2.4. Irrigation system
An automatic irrigation system was integrated and used during the experimental activity, as described in Sections 2.3.1–2.3.3.
A micro-drip was provided for each level of the green modules. During the summer season, the modules were irrigated every 2 h for 2 min, while no irrigation was provided to the plants during the winter season.
### 2.3. Nursery, test box and demonstration building as tools for the performance assessment
As far as the performance assessment of the VGMS realized within the GRE_EN_S project is concerned, extensive monitoring campaigns were carried out in Turin (North West Italy, Cfa, sub continental temperate climate, according to the Köppen climate classification). Different measurements were performed: in a nursery, to assess the biometric parameters; in a laboratory, to test the mechanical and acoustical properties of the materials used as supports or as growing media; in an outdoor test cell, to identify the best configuration of species and substrates, as far as the technological, agronomical and thermal performance issues were concerned; in a demonstration mock-up, in order to confirm the previous results and to test the behaviour of the VGMS in a full-scale application.
#### 2.3.1. The plant nursery activities
One important phase of the project was the testing of different combinations of species and substrates to decide which should be adopted in the VGMS. The use of alternative and eco-compatible inert materials to replace coconut fibre in living wall media was evaluated. The previously described evergreen and perennial shrub species were compared in order to choose the most suitable combination plant-substrate. As explained in the next paragraph a randomized trial was assessed (Fig. 5). The species were chosen on the basis of their low maintenance costs (low water and pruning requirements) and pest resistance in a Northern Italian urban context [28].
2.3.2. The outdoor test cell activities
In order to easily evaluate and compare the different VGMS prototypes and species/substrate combinations, an ad-hoc outdoor test cell (2 m × 1.8 m × 1.8 m) was built on the rooftop of the Energy Dept. (Politecnico di Torino). This cell allowed the agronomical and thermal performance of the vegetated module to be assessed after being exposed to real boundary conditions, as well as data to be collected through a continuous long-term monitoring. The test cell had a South facing wall (2 m × 1.8 m), divided into two parts: one part of the wall was covered with VGMS, constituted by nine vegetated modules, and the other conventionally plastered part was considered as the reference wall. The green wall was equipped with 9 VGMS, arranged in 3 lines with 3 modules each (Fig. 6). The measured data were only recorded for the central modules, in order to avoid boundary effects. The test cell was made with a conventional 20 cm thick envelope (described in table 1 of [12]), with a thermal transmittance of 0.3 W/(m² K), in accordance with the current national and regional standard related to energy efficiency in buildings. As shown in Fig. 6, different plants species, that is, B. cordifolia, L. nitida and Heuchera hybr. ‘Red Purple’, and different substrates were tested. The letters A, B and C were used to name the columns of the different substrates of the VGMS. During the winter period, the indoor temperature in the test cell was kept constant by means of an oil radiator, while no temperature control system was present during the summer season. The test cell was equipped with a monitoring system that continuously recorded data on the temperatures, heat fluxes and solar radiation (for more details see Bianco et al. [12]). An automatic irrigation system was installed to water the plants.
2.3.3. Real-scale demonstration mock-up
After 1 year of measurements in the test cell, a real-scale demonstration mock-up (2.5 m × 4 m × 2.9 m) was set up in Turin. This demonstration structure consisted of two separate building modules, as shown in Fig. 7:
- VGMS building module, with the three façades covered completely with the specifically developed novel VGMS (the entrance, with a glass door, was on the west façade);
- reference building module, which was finished with wood cladding, and represented the benchmark.
The demonstration mock-up structure was prefabricated and supplied by one of the project partners. The demonstration building module envelope with the VGMS was constituted by: a plasterboard (1.2 cm), an XPS (Extruded Polystyrene Foam) panel (5 cm), an XPS panel (3 cm), an air cavity (5 cm) and a VGMS module (4 cm). The reference building walls were constituted by: a plasterboard (1.2 cm), an XPS panel (8 cm), an XPS panel (3 cm), an air cavity (5 cm) and a wooden cladding (1.8 cm). The two assemblies had different insulation thicknesses which, on the basis of the previous results obtained on the test cell, would have made the thermal transmittance of the two vegetated and non-vegetated walls equivalent, thus fulfilling the U-value limit imposed by national regulations for the climate in Turin. The location of the demonstration mock-up structure was based on previous studies that took into account various environmental aspects, such as the orientation and prevailing wind. The demonstration building was thus located in an area with an east-west axis orientation, in order to study both the foliage development and the thermal performance under extreme conditions (North vs. South Façade; summer time vs. winter time in temperate climates). The indoor environment temperature was only controlled during the heating season, by means of radiators, while the indoor temperature was free running during the cooling season.
3. VGMS performance characterization
In order to characterize the VGMS performance, both laboratory measurements and in-field measurements were carried out, in order to analyze the properties of the system at both the material level and at the component scale. The different measurements and variables, which are presented in detail in the paper, are synthetically presented in Table 2. The methodology developed for each topic, the performance metrics used to analyze the behaviour and the main obtained results are described in the following section. A cascade process was applied, in which the solutions presenting the poorest performances, from the technological and agronomic points of view, were discarded. The prototype resulting from the best compromise among the different investigated aspects was adopted in the demonstration mock-up.
Table 2
Synthesis of the VGMS characterization.
| Parameter | Test | Specimen | Aims |
|---------------------------|-------------------------------------------|--------------------------------------------------------------------------|------------------------------------------------------------------------------------------------|
| LCA | | *Lonicera nitida* + functional unit – 1 m² of modular box | Comparison between reference scenario/standard and recycling scenario |
| Mechanical properties | Laboratory | Polymer-based fibrous materials | Elastic response of the felt support/air permeability |
| Biometric parameters | Nursery + test cell + demonstration mock-up | Plants (*Lonicera nitida*, *Bergenia cordifolia* and *Heuchera hybr. ‘Red Purple’*) + substrates (SS + SF50, SF50B, SF100, SSV, SF50V) | Monitoring of the plant growth and quality of the green cover for different kinds of substrates |
| Acoustic properties | Laboratory | Plant leaves (*Lonicera nitida*, *Bergenia cordifolia*, *Heuchera hybr. ‘Red Purple’*) + SS + SF50 + GMS module | Acoustic sound absorption |
| Acoustic performance | Demonstration mock-up | *Lonicera nitida*, SS | Sound insulation |
| Thermal performance | Test cell + demonstration mock-up | *Lonicera nitida*, *Bergenia cordifolia* and *Heuchera hybr.* SS + SF50 | Equivalent thermal conductance transmittance/surface temperature and air cavity temperature – daily energy for heating – indoor air temperature |
### 3.1. Life Cycle Assessment (LCA) of the adopted materials
As mentioned in Section 2.1, an LCA was adopted as a decision-making tool for the VGMS development and as a strategic tool for both the energy and raw material optimization and for the greenhouse emission reduction, with particular reference to CO₂ equivalent (CO₂eq) emissions [33], [34], [35], [36].
A 100-year global warming potential (kg CO₂eq) time-horizon was assumed as the environmental effect in order to assess the interaction between the modular box in its off-site construction and climate change.
The environmental characterization was conducted considering the LCA standard (ISO 14040:2006) [35]. The analysis was basically performed, according to the design stage, using secondary data (generic data from the literature or from the databases mentioned in Section 2.1). Although these simplifications affected the accuracy and applicability of the LCA results, they were adopted in order to quickly identify the potential environmental effects. LCA was employed in the research project with the aim of finding an ecological way of improving the building-system design and minimizing the environmental burdens in the production stages (upstream and manufacturing processes; from cradle-to-gate).
The functional unit (F.U.), the boundary and the cut-off rules are listed and described in Table 3.
Life cycle assessment assumptions.
**F.U.**
1 m$^2$ (=4 modular boxes)
**Boundary**
**Boundary in time**
Carbon dioxide emissions were considered for a 100-year target (global warming potential 100).
**Boundary towards geography**
Carbon dioxide emissions were accounted for assuming the Italian electric energy mix as the reference. If this was not possible, the Western European Country energy mix was considered.
**Boundaries in the life cycle**
Carbon dioxide emissions were accounted for by including the raw material extraction, the raw material refining, the manufacturing of the components and the building-system assembly.
**Boundary towards nature**
Carbon dioxide credits were accounted for by including the CO$_{2}$eq content in the shrub biomass and in the cellulose-based fibres.
**Cut-off rules**
**Water consumption and nutrient needs**
Not included. The analysis was carried out on upstream and manufacturing processes.
**Transportation**
Not included. The material selection was carried out at a regional scale and the environmental impact was considered negligible.
**Materials used to hold the system in place**
Not included.
Potting soil (placed in the pockets), planted vegetation (L. nitida) and the material flows required to produce the system were taken into account in the data inventory (Life Cycle Inventory, LCI).
As far as carbon dioxide credits are concerned, the calculation was implemented by estimating the shrub biomass from the basal stem diameters. The biomass below ground (roots) was not included in the estimation. Table 4 shows the materials that were necessary to build up a square metre of VGMS.
**Table 4**
Data inventory (reference scenario)
| Material | Weight (kg/m$^2$) |
|-----------------------------------------------|-------------------|
| *Lonicera* stems biomass | 1.66 |
| Polypropylene fibre | 0.53 |
| Non-woven viscose fabrics | 1.15 |
| Growing medium (50% of raw soil; 30% of SAP; 15% of coco-coir; 5% of peat moss) | 4.2 |
| Polypropylene monofilament geomat-grid | 2 |
| Aluminium alloy | 3.9 |
As far as the allometric equation used to predict the *L. nitida* biomass is concerned, the carbon content and the dioxide credit contained within the wood were calculated. The biomass was estimated as 2.66 kg/m² (and was assumed as a negative value in the CO₂eq balance). Two scenarios were analyzed. In the first, 100% of raw materials (reference scenario) was taken into account in the data inventory, while a recycling rate (30%) for the aluminium alloy and polypropylene, that is, both the fibre and geomat, was assumed in the second data inventory (recycling scenario). Moreover – according to the research goals – the potting soil mixture was engineered in the recycling scenario by replacing SAP with recycled nylon-based felts. The thus developed potting soil reduced the total SAP amount by half. The considered recycled blend was: 50% of raw soil; 15% of SAP; 15% of recycled felt; 15% of coco-coir; 5% of peat moss. The difference in weight (kg/m²) of the raw materials and recycled materials was negligible, with reference to F.U. (<0.05 kg per F.U.).
### 3.1.1. Results
The total GWP100 for the reference scenario was calculated as 55.98 kg CO₂eq/m². The total GWP100 for the recycling scenario was 20.45 kg CO₂eq/m², which is about one third of the value determined in the reference scenario. In both scenarios, the credits due to the *Lonicera* biomass and viscose fabric were remarkable, and they amounted to 13.13 kg CO₂eq/m² (Fig. 8).
*Fig. 8. (a) GRE_EN_S global warming potential (target of 100 years) for the reference scenario. (b) VGMS global warming potential (target of 100 years) for the recycling scenario.*
Aluminium alloy showed the most impact on climate change: 60.00 kg CO₂eq/m² (standard reference scenario) and 27.00 kg CO₂eq/m² (recycling scenario), respectively.
As a general rule, even the recycled fibre and geomat-grid polypropylene-based material were characterized by a reduction in GWP 100 (the difference accounted for about 1.3 kg CO₂eq/m²). However, such a reduction was less remarkable than the GWP100 decrease for aluminium.
The small amount of potting soil analyzed for both scenarios did not significantly affect the CO₂eq emissions. Nevertheless, the comparison between the two blends highlighted the importance of replacing SAP with recycled felts. The growing medium manufactured with SAP had a five times higher GWP100 (0.10 kg CO₂eq/m²) than the recycled one (0.02 kg CO₂eq/m²).
### 3.2. Mechanical properties
After a first selection of the materials considered suitable for containing the plants in the VGMS, specific analyses were undertaken to test other important matters related to the application. In particular, the felts (see Fig. 2) that were to be chosen had to respond to both durability aspects, connected to the mechanical properties, and to permeability issues. This layer, which works as a support for the plants, had to ensure, at
the same time, both mechanical strength, to counteract the weight of the whole structure (in vertical development conditions), and an adequate hydraulic conductivity, to ensure the maintenance of the biological functions of the plants. Since the goal of the research was to enhance the biometric parameters of the plants using recycled materials, the mechanical properties of the support were evaluated in order to optimize the health of the plants and the mechanical structure of the VGMS. The mechanical properties were thus evaluated on the basis of the elastic response and fluid transport behaviour. A description of the tested materials and the macroscopic physical properties is given in Table 5.
**Table 5**
Technological supports and macroscopic physical properties of the materials.
| Empty Cell | Typology | Thickness, $L$ (mm) | Density (kg m$^{-3}$) | Porosity ($-$) |
|------------|--------------------------------------------------------------------------|---------------------|-----------------------|-----------------|
| E-1 | Polypropylene fibres | 4.32 | 77.9 | 0.92 |
| I-2 | Polypropylene and polyester fibres | 1.86 | 131.4 | 0.86 |
| E-3 | Polyester fibres (calendering of the fibres on the inner side) | 5.16 | 54.6 | 0.96 |
| I-4 | Viscose and polypropylene fibres | 3.65 | 54.4 | 0.97 |
| E-5 | Polyester fibres (needle punching of the fibres on the inner side) | 5.05 | 94.5 | 0.93 |
The experimental techniques involved engineering stress-strain and intrinsic permeability measurements. Some specimens of the tested materials and the measuring devices used in the characterization are shown in Fig. 9.
*Fig. 9. Specimens of the technological support materials and devices for the stress–strain and permeability measurements.*
The mechanical strength of the tested materials was evaluated by conducting uniaxial tension measurements, until failure was reached at displacement control, as shown in Fig. 10. The background theory and experimental method are described in [37].
The hydraulic conductivity, $K$, a parameter that describes the behaviour of a given fluid as it passes through the interstitial spaces of a porous material, was determined on the same materials on the basis of the measurement of intrinsic permeability $k$, using an appropriate measuring procedure [38], in both loaded and unloaded conditions [39].
### 3.2.1. Results
The elastic response of several polymer-based fibrous materials which were used as technological supports, were investigated on the basis of “stress-strain” measurements and analyses. The mechanical properties of interest were deducted from the complete experimental stress–strain diagram (Table 6). A comparison of the stress–strain diagrams of several technological support materials is shown in Fig. 10, as an example.
Table 6
Experimental mechanical properties of the technological support materials under investigation.
| Empty Cell | Young's modulus, $E$ (Pa) | $\sigma_y$ (Pa) | $\sigma_T$ (Pa) | $\sigma_B$ (Pa) | Permeability, $k$ (m$^2$) | Hydraulic conductivity, $K$ (m s$^{-1}$) |
|------------|--------------------------|-----------------|-----------------|-----------------|---------------------------|----------------------------------------|
| E-1 | $7.0 \times 10^6$ | $1.0 \times 10^6$ | $1.1 \times 10^6$ | $1.1 \times 10^6$ | $1.24 \times 10^{-9}$ | $1.53 \times 10^{-2}$ |
| I-2 | $1.4 \times 10^6$ | $5.3 \times 10^5$ | $5.6 \times 10^5$ | $5.6 \times 10^5$ | $2.46 \times 10^{-10}$ | $3.02 \times 10^{-3}$ |
| E-3 | $2.6 \times 10^6$ | $3.0 \times 10^6$ | $5.0 \times 10^6$ | $4.7 \times 10^6$ | $4.27 \times 10^{-10}$ | $5.25 \times 10^{-3}$ |
| I-4 | $2.5 \times 10^6$ | $1.6 \times 10^6$ | $1.9 \times 10^6$ | $1.4 \times 10^6$ | $7.19 \times 10^{-10}$ | $8.84 \times 10^{-3}$ |
| E-5 | $5.8 \times 10^6$ | $1.0 \times 10^6$ | $1.1 \times 10^6$ | $1.1 \times 10^6$ | $6.87 \times 10^{-10}$ | $8.44 \times 10^{-3}$ |
The typical ductile behaviour of the materials was observed, until breaking, during the test. The elastic modulus $E$ of the tested materials ranged from between 0.3 MPa and 7 MPa, the yield strength values $\sigma_y$ ranged from between 0.5 MPa and 3 MPa and the tensile and breaking strength values, $\sigma_T$ and $\sigma_B$, ranged from between 0.6 MPa and 3 MPa, respectively. On the basis of these measurements, it was possible to define the maximum load that could be sustained by the materials that were used as technological supports of the substrates and plants, after they had been installed vertically.
The fluid transport characteristics of the technological supports, evaluated on the basis of the hydraulic conductivity $K$, showed data ranging on average between $10^{-2}$ m s$^{-1}$ and $10^{-3}$ m s$^{-1}$ (Table 6). These values, which correspond to the hydraulic conductivity of a soil composed of sand and gravel [40], were adequate to ensure the quantity of water necessary, the feeding and transpiration as well as an adequate humidity storage for the plants.
3.3. Biometric parameters
One of the most important aspects that had to be investigated was related to the behaviour of the plants, since, as highlighted in a recent published work by Pérez et al. [4], the energy savings of a green façade are dependent to a great extent on the biometric parameters, that is, on the LAI. The biometric parameters were thus experimentally assessed in order to:
- test the suitability of the different species for VGMS applications;
- evaluate the effect of different substrates on the growth of the plants;
- find a relationship between the biometric parameters and the thermal performances.
As is usual in VGMS arrangements, the initial growing phase was performed in a nursery with small plants in pots of about 8 cm in diameter. Two experimental trials were performed in a nursery in Moncalieri near Turin (Italy) (45°00'58"N, 7°74'15"E), in which the Reviwall® supporting technology (as patented by Reviplant Nurseries, Moncalieri, Italy) was modified. The single module was 40 cm width x 50 cm high, it was hung on metal supports and it was composed as follows: a frame of galvanized aluminium, two layers of rootable nonwoven synthetic mats, and two geogrids, one under and one above the 100% coconut fibre substrate. Six pockets were cut out of each panel to house 6 plants.
The L. nitida, B. cordifolia and Heuchera hybr. ‘Red Purple’ ornamental species were grown vertically in different technical solutions in order to evaluate their suitability for this kind of application. Each module contained 2.5 l of substrate, and the weight (before irrigation) varied between 1.3 kg and 1.8 kg, depending on the substrate features.
Two different trials were performed in the nursery, as described in Table 7. Two species and four different substrates were compared in each trial (Fig. 11).
Table 7
Details of the trials performed in the nursery.
| Empty Cell | Plant species | Substrates (ID code) | Period (duration) |
|------------|--------------------------------|-------------------------------------------------------------------------------------|-------------------|
| Trial 1 | 1. *Lonicera nitida* | 1. Standard Reviwall® Substrate composed of coconut fibre + hydro-retainers + mycorrhizae (SS)
2. 50% coconut fibre + 50% shredded felt (SF50)
3. 50% coconut fibre + 50% shredded felt, with layers of whole felt used as structural tissue (SF50B)
4. 100% shredded felt (SF100) | June–November (6 months) |
| | 2. *Bergenia cordifolia* | | |
| Trial 2 | 1. *Lonicera nitida* | 1. Standard Reviwall® Substrate composed of coconut fibre + hydro-retainers + mycorrhizae (SS)
2. 50% coconut fibre + 50% shredded felt (SF50)
3. SS + viscose layer* (SSV)
4. SF50 + viscose layer* (SF50V) | June–November (6 months) |
| | 2. *Heuchera hybr. ‘Red Purple’* | | |
Fig. 11. Comparison of photographs taken from the initial stage (June) to the end of trial 1 (November) of plants grown on the four substrates (Standard, SS; 50% Standard + 50% felt pads, SF50; 50% Standard + 50% felt pads + felt layer, SF50B; 100% felt pads, SF100). *Lonicera nitida* at the top and *Bergenia cordifolia* at the bottom.
Starting from a standard substrate composition (SS made of: 100% coconut fibre with hydro-retainers, and mycorrhizal inoculum composed of 30/g of *Glomus* spp. fungal spores), different compositions and combinations were investigated. It was assumed that the addition of felt and viscose to the substrates would improve the water retention of the system, and as a result, the growing potentiality of the plant. During trial 1 (Table 7), the SS was compared with alternative substrates with different percentages of coconut fibre and shredded felt: SF50; SF50B; SF100 (see Section 2.2 for details of the composition). In trial 2 (Table 7), SF50B and SF100 were substituted by two other substrates with a viscose layer (named SSV and SF50V).
Eighteen plants (three modules) were organized randomly within a block for each of the 8 plant-substrate combinations in each trial. Six blocks, over a total area of 28.8 m², and 144 modules were tested. A westwards exposure was chosen as it was found to be the worst situation for the plants in the summertime. The plants
were fertirrigated (mineral soluble fertilizer: N, P$_2$O$_5$ and K$_2$O), adopting the standard procedure, using Algapark® (Canale d’Alba, Italy) and Criscap® 16-12-23 NPK (Canale d’Alba, Italy).
Five monthly surveys were performed to monitor the plant growth and the quality of the green cover, and the following were considered:
- plant height ($h$) and diameter dimensions ($w_1$ and $w_2$);
- plant health, using a SPAD-502 Konica Minolta Chlorophyll Meter (Nieuwegein, The Netherlands) to perform the *in vivo* measurements of the total chlorophyll content in the plant tissue, and to indirectly measure the nutritional status of the plant through the SPAD index (Soil Plant Analysis Development). Any pathological symptoms, such as chlorosis, leaf loss or diseases, were observed and filed [41];
- ornamental value and covering percentage, established by means of photographic surveys.
The dimensions were used to calculate the growth index (GI) [42] as in Eq. (1):
$$\text{GI} \ (\text{cm}^3) = \pi \cdot \left\{ \frac{[(w_1 + w_2)/2]}{2} \right\}^2 \cdot h$$
Measurements were performed on 9 plants chosen randomly during each thesis. At the end of each trial period, the aerial parts of 9 plants were dried in an oven at 90 °C for 4 days, and their dry weight was determined.
Moreover, in order to analyze the interaction between the species and the substrates, the data were subjected to a one-way analysis of variance in which the data were tested with the Ryan-Einot-Gabriel-Welsh process [43], using the SPSS statistical package (Version 17.0, SPSS Inc., Chicago, IL).
In order to analyze the thermal performances, 3 modules were cultivated in the test cell for each substrate (SS, SF50 and SF50B) of *L. nitida* and *B. cordifolia*, taken from trial 1 [12].
The leaf area index (LAI) [44] of six plants was calculated for each combination of species and substrate. This parameter was of particular interest as far as the cooling potential of the plants was concerned, since it can be considered as an equivalent shadow index of the plants. The relationship between LAI and the energy performance of the plants was investigated, and the results are given in Section 3.5.
In order to measure the LAI, leaves were cut and scanned with an A3 standard scanner, and the free Xnview scanner software (version 1.98.2/1.70 by Gougelet P., Reims, France) was used. The images were modified appropriately, and the leaf data (area, perimeter, number) were automatically calculated using the free ImageJ software (version 1.45m by Rasband W., Bethesda, MD, USA).
The leaf area index was calculated for one module (LAIm) using Eq. (2):
$$\text{LAIm} = \frac{\text{LA}_m}{A_m}$$
where $\text{LA}_m$ was the total leaf area (mm$^2$) of the six plants grown in one module, and $A_m$ was the area (mm$^2$) of one module.
3.3.1. Results
184.108.40.206. Trial 1 – Biometric evaluation of different substrates for *L. nitida* and *B. cordifolia*
A synthetic comparison of the main results obtained at the end of the trial 1 is shown in Table 8. The growth index (GI), the dry weight of the aerial parts of the plants, and the SPAD index values for *L. nitida* and *B. cordifolia* are reported.
**Table 8**
Growth index (GI), dry weight and SPAD index of *Lonicera nitida* and *Bergenia cordifolia* grown on the different substrates (Standard, SS; 50% Standard + 50% felt pads, SF50; 50% Standard + 50% felt pads + felt layer, SF50B; 100% felt pads, SF100) at the end of trial 1.
| Substrate | *Lonicera nitida* | *Bergenia cordifolia* |
|-----------|-------------------|-----------------------|
| | GI (cm$^3$) | Dry weight (g) | SPAD index | GI (cm$^3$) | Dry weight (g) | SPAD index |
| Empty Cell| | | | | | |
| SS | $27.6 \times 10^3$a | 229.2b | 42.6a | $13.0 \times 10^3$a | 415.7b | 47.6 |
| SF50 | $27.0 \times 10^3$a | 282.8a | 36.7b | $13.5 \times 10^3$a | 34.7c | 40.2 |
| SF50B | $23.5 \times 10^3$b | 240.1ab | 38.7ab | $11.7 \times 10^3$b | 428.9ab | 40.4 |
| SF100 | $13.5 \times 10^3$c | 150.6c | 27.9c | $11.3 \times 10^3$b | 456.6a | 38.2 |
| $P$ | <0.05 | <0.001 | <0.001 | <0.05 | <0.001 | n.s. |
*In each column, means followed by the same letter do not differ significantly according to the Ryan-Einot-Gabriel-Welsh test.*
The substrates with 50% of shredded felt pads (SF50 and SF50B) induced more lignification in *L. nitida*, and caused the yellowing of leaves (lower SPAD values than SS). SF100 produced significantly different plants from those grown in the other substrates. The *Bergenia* plants grown in SS and SF50 had larger volumes, more leaves (data not shown) and greener leaves than the ones grown in SF50B and SF100 (Fig. 11). In trial 1, the best overall plant health biometric parameters were found for the SF 50B and SS substrates, and for this reason the SF50 and SF100 substrates were not used in trial 2.
As far as the LAI results are concerned, *L. nitida* showed a lower value than *B. cordifolia*.
A higher number of leaves was detected in the *L. nitida* plants grown on the SF50 and SF50B substrates in the test cell. The LAI of one module was higher in plants grown on SF50 and SF50B than on SS [12].
220.127.116.11. Trial 2 – Biometric evaluation of different substrates for *L. nitida* and *Heuchera hybrida ‘Red purple’*
*L. nitida* and *Heuchera hybr. ‘Red purple’* were monitored during the second year growing season. The GI trend of the *Lonicera* and *Heuchera* plants in the different substrates is shown in Fig. 12. The substitution of coconut fibre with up to 50% of shredded felt pads (SF50) resulted in increased performances in the *Lonicera* modules. The SS substrate was the best one for the development of the *Heuchera* plants. The GI results, for both species, suggested that the use of viscose is not so useful (SSV, SF50V). The reason for this is that the fertirrigation supplied the right amount of water to the plants when needed, without the necessity of retaining more water in the module. Nevertheless, further research on water run-off should be carried out in order to reduce the loss of water and nutrients.
The SPAD values and dry weight (data not shown) confirmed that the Lonicera plants in SS and SF50 had higher biomasses and were healthy. The Heuchera plants, in spite of their high ornamental value (small pink flowers and red leaves), were found to be too sensitive, and they were also found to be affected by pest disease; their initial nursery quality was found to be of fundamental importance.
3.4. Acoustic performance
Once the properties and suitability of the different tested felts/substrates and plant species had been defined, specific measurements were performed to collect data in order to fully characterize the performance of the system and to identify the best compromise between the different aspects that were involved. In this framework, the acoustic performance was evaluated in both a laboratory, at the material/component level (Section 3.4.1), and in the demonstration mock-up, at the system level (Section 3.4.2).
3.4.1. Laboratory characterization of the acoustical properties
The acoustical performance of the VGMS was evaluated on the basis of the sound absorption, as a function of frequency, in the INRIM laboratory. The experimental techniques involved measuring the standing wave sound fields for small-scale samples, and the diffuse sound fields for large-scale samples.
Small-scale samples (cylinder cores, diameter 50 mm) of different plant leaves were considered, and substrate assemblies were conducted in both dry and wet conditions. The sound absorption coefficient was measured in a Kundt tube, according to the ISO 10534-2 standard [45] and to literature [46]. The sound absorption coefficient, in the 100 Hz to 3800 Hz frequency range, was determined at normal incidence $\alpha_0$. The measurement provides accurate results [47], even for extremely heterogeneous and anisotropic materials, such as the examined stratigraphy. The technique is based on the measurement of a transfer function between the sound pressure measured by two microphones within the tube, when the tube is excited by a loudspeaker placed at one end, while the specimen is placed at the other end of the tube. The sound absorption coefficient was calculated by quantifying the dissipation of the reflected sound energy $r$, according to Eq. (3):
$$\alpha_0 = 1 - |r|^2 \quad (3)$$
Three prototypes of large-scale VGMS systems (surface areas of 12 m$^2$) were also characterized, in terms of acoustic absorption coefficient, at random incidence $\alpha$, according to the ISO 354 standard [48]. The method consisted of measuring the sound pressure time decay in a reverberation room, as a function of frequency,
with and without the test specimen. The equivalent absorption area of the specimen AT was calculated from the reverberation time values, according to Sabine's formula, and the sound absorption coefficient of the test specimen was then determined, according to Eq. (4):
\[
\alpha = \frac{A_T}{S}
\]
(4)
A large-scale VGMS system, which was installed in the INRIM reverberation room (Turin), and a small-scale sample of plants leaves, substrate stratigraphy and the technological supports are shown, in the Kundt tube, in Fig. 13.
 
*Fig. 13. Measurements of the sound absorption coefficient in the diffuse sound field (reverberation room) and in the standing wave sound field (Kundt tube).*
Three prototypes were tested: VGMS-1 and VGMS-2, which differ according to the type of substrate and fabrics, and the reference VGMS-1, with no plants or substrate. The modules were composed of:
- VGMS-1, an exterior felt covering in polypropylene, soil, a double layer of rootable mat in polypropylene and in polyester, a three-dimensional geogrid in polypropylene, the standard substrate (SS), a three-dimensional geogrid in polypropylene, a double layer of rootable mat in polypropylene and in polyester, and an exterior felt covering in polypropylene.
- VGMS-2, an exterior UV resistant felt covering in polyester, soil, a single layer of woven material in viscose and polypropylene, a three-dimensional geogrid in polypropylene, substrate SF50, a single layer of woven material in viscose and polypropylene, and an exterior UV resistant felt covering in polyester.
### 18.104.22.168. Results – Sound absorption coefficient for substrates SS and SF50 and different plant species (Lonicera, Heuchera and Bergenia)
The experimental results (Fig. 14) showed that the high values of the sound absorption coefficient $\alpha_0$, between 250 Hz and 3800 Hz, were mainly due to the presence of the substrate. The measurements carried out in dry conditions showed that the presence of different typologies of leaves did not influence the acoustic performances of the VGMS. On the other hand, in wet conditions, the acoustical performances of the VGMS decreased, since the water inside increased the density of the substrate and filled the open pore voids. Fig. 14 shows two graphs of the sound absorption coefficient measurements at normal incidence, for the three plant species that were considered, with substrates in dry and wet conditions.
In order to provide an assessment of the sound absorption coefficient of the VGMS under operating conditions, measurements were carried out on different configurations of substrates, technological supports and plant species (L. nitida, B. cordifolia, Heuchera hybr. ‘Red purple’), in both wet and dry substrate conditions. The values of the sound absorption coefficient were determined at normal incidence $\alpha_0$ in the Kundt tube.
The three different systems VGMS-1, VGMS-1 without plants and substrate, and VGMS-2, were characterized in terms of sound absorption, as a function of the frequency, that is, between 100 Hz and 5 kHz, in diffuse sound fields in a reverberation room. As shown in Fig. 15, VGMS-1 and VGMS-2 show similar sound absorption trends. The influence of the plants can be ascertained by comparing the blue and green curves relative to VGMS-1. The system without plants did not perform as well as the case with plants, but the observed differences were small. The obtained results showed that the most important effect, in terms of sound absorption, was due more to the substrate than to the vegetation.
Fig. 15. Experimental sound absorption coefficient results in the reverberation room. The three different prototypes measured in the reverberation room were: VGMS-1, VGMS-1 without plants and soil, and VGMS-2.
3.4.2. Mock-up characterization
In the mock-up, the sound insulation level ($D_{2m,nT}$) for the VGMS façade and for the reference façade of the demonstration building was experimentally evaluated through the intensimetric method [49]. The sound insulation level was measured for *L. nitida* with the SF50B substrate. This method allowed the sound insulation level of the façade to be measured punctually, and the transmitted intensity was measured using a sound intensity probe (Brüel & Kjær, according to the methodology described in standards [49] and [50]). In this way, it was possible to evaluate the sound insulation level of façade ($D_{2m,nT}$).
22.214.171.124. Results – Sound insulation level of the façade with *L. nitida* grown in the SF50B substrate
The measured sound insulation level is plotted in frequency in Fig. 16. It is possible to note that the VGMS presents higher values than the reference structure for low and high frequencies. However, the values are similar for the central frequency. An indoor environment reverberation time of 0.5 s ($\tau_{60}$) was measured for both of the mock-up modules. As far as the aggregated results are concerned, sound insulation levels ($D_{2m,nT}$) of 40 dB and 43 dB were calculated for the reference and the VGMS with *L. nitida*, respectively. In-situ measurements on the demonstration mock-up showed that the use of VGMS leads to a 3 dB improvement in the sound insulation level of the façade. It is important to point out that this type of performance can be affected to a great extent by the water content in the substrate, the type of substrate and the biometric parameters of the vegetation.
*Fig. 16. Sound insulation level of VGMS Lonicera nitida + SF50B and the reference technology.*
3.5. Thermal performance
The characterization of the thermal performance of the VGMS had two main goals:
- to provide data on the thermal behaviour of this unconventional envelope technology, under real boundary conditions, during the heating and cooling seasons;
- to investigate the influence of different species and different substrates on the thermal behaviour of the wall.
The measurements were conducted to characterize the VGMS at the component scale, and to perform comparative analyses of different solutions. The thermal transmittance/conductance and the increase, due to the leaves, in the external surface resistances were assessed for the winter performance. Given the absence
of an HVAC system, which would have been able to maintain the indoor temperature during the summer season, it was not possible to measure any dynamic parameters, such as the periodic thermal transmittance or thermal lag. Nevertheless, it is important to stress that, in this kind of system, which is characterized by a thin and light substrate and, as a consequence, by reduced evapotranspiration effects, the dynamic thermal behaviour that characterizes other types of vegetated envelope (i.e. green roofs) is not so significant. Aspects related to the reduction in the external surface temperature and in the indoor air temperature, due to the presence of the VGMS, were instead investigated in the cooling season.
Two different experimental campaigns were thus set up: one on the outdoor test cell (Section 2.3.2) and the other on the demonstration mock-up (Section 2.3.3). An extensive and continuous measurement campaign was carried out for both of the experimental activities. The measurement equipment consisted of thermocouples, heat fluxes and a weather station connected to a data-logger, which recorded data every 15 min. All the instruments were previously calibrated or verified in the laboratory in order to guarantee the following uncertainties, using the 95% confidence limit: ±0.3 °C for the temperature measurements and ±5% for the heat fluxes, as declared by the manufacturers (with a nominal sensitivity of 50 μV/W/m²). For the sake of brevity, only some details are reported concerning the measurement methodology, which is described in detail in [12].
During the heating season, the experimental data that were collected were used to calculate the equivalent thermal conductance ($C^*$, Eq. (5)) and transmittance ($U^*$ in Eq. (6)) of the VGMS and of the reference wall, according to standard [51]. The average value of the heat flux was divided, according to Eqs. (5) and (6), on the basis of the difference in the surface and air temperatures (indoor and outdoor) to calculate the thermal equivalent conductance and the transmittance, respectively. The difference between the inverse ratio of $U^*$ and $C^*$ allowed the sum of the indoor and outdoor surface resistances to be calculated (Eq. (7)).
$$C^* \quad [\text{W/(m}^2\text{ K)}] = \frac{\dot{Q}/A}{\Delta t_s} \quad (5)$$
$$U^* \quad [\text{W/(m}^2\text{ K)}] = \frac{\dot{Q}/A}{\Delta t_{air}} \quad (6)$$
$$R_{si} + R_{se} \quad [(m^2 K)/W] = \frac{1}{U^*} - \frac{1}{C^*} \quad (7)$$
The influence of the plant species and of the substrates was investigated during the heating season; the trend of the surface and air cavity temperatures was observed. The aggregate daily energy values (Eq. (8)) for heating (only negative heat fluxes were considered) were calculated as follows:
$$E_{24} \quad [(Wh)/m^2] = \int_{24:00}^{00:00} (\dot{Q}/A)(\tau) \ d\tau \quad (8)$$
During the cooling season, the presence of vegetation consistently affected the surface temperatures, as was observed when the VGMS and the reference technology were compared. The influence of the ventilated cavity was also analyzed. The indoor air temperatures were compared in the different rooms (one vegetated and the other with wooden cladding) at the building level (demonstration mock-up), in free floating conditions.
### 3.5.1. Results: VGMS – winter performance
The equivalent thermal conductance and transmittance were assessed for the two experimental campaigns, and the results are reported in Table 9.
Table 9
Equivalent thermal conductance and transmittance for the outdoor test cell and demonstration mock-up. Results of the *Lonicera nitida* and *Bergenia cordifolia* species.
| Empty Cell | VGMS | Reference |
|------------|------|-----------|
| **Outdoor test cell** | | |
| Equivalent thermal conductance, $C'$ [W/(m$^2$K)] | | |
| *Lonicera nitida* | 0.22 | 0.63 |
| *Bergenia cordifolia* | 0.21 | 0.57 |
| Equivalent thermal transmittance, $U$ [W/(m$^2$ K)] | | |
| *Lonicera nitida* | 0.17 | 0.40 |
| *Bergenia cordifolia* | 0.17 | 0.39 |
| **Demonstration mock-up** | | |
| Equivalent thermal conductance, $C'$ [W/(m$^2$K)] | | |
| *Lonicera nitida* | 0.33 | 0.26 |
| Equivalent thermal transmittance, $U$ [W/(m$^2$ K)] | | |
| *Lonicera nitida* | 0.29 | 0.25 |
The test cell results showed lower thermal transmittance and conductance for the VGMS than the reference wall, which indicates a reduction in heat losses due to the presence of the vegetated module.
The comparison between the *L. nitida* and *B. cordifolia* results revealed no significant differences. Even though these species are characterized by different LAI, it does not seem to have affected the results to any great extent.
The results obtained in this set of measurements were used to define the insulation thickness that was to be adopted in the mock-up in order to obtain the same thermal transmittance (0.30 W/(m$^2$ K), as required by the national regulations). The presence of the vegetated module was estimated to be equivalent to 3 cm of XPS (see the description in Section 2.3.3). The measurements carried out in the mock-up instead demonstrated an overestimation of the contribution of the vegetation (0.29 W/(m$^2$ K) vs. 0.25 W/(m$^2$ K)$U^*$-value, VGMS and reference respectively). Nevertheless, it is important to highlight that the air cavity between the wall and the vegetated module was thicker in the mock-up than in the first prototype adopted in the test cell. It was actually decided to enlarge the cavity to increase the ventilation of the green façade in order to avoid an overheating effect during the night, due to the presence of a still warm cavity, as observed during the test cell measurement campaign. However, this ameliorative strategy made the winter behaviour worse since the thermal buffer provided by the gap behind the vegetated substrate was reduced, as described hereafter.
Moreover, when the measured conductance and transmittance were compared, it was possible to determine the surface resistance values for both envelopes. Higher values were registered for the VGMS than for the reference wall, for both the test cell and the demonstration mock-up. The difference between the VGMS and the reference wall was 0.42 vs. 0.31 (m$^2$ K)/W for the test cell (plastered wall) and the difference was 0.42 (m$^2$ K)/W vs. 0.15 (m$^2$ K)/W for the demonstration mock-up (wood cladding). It is in fact possible to state that the presence of vegetation on a façade noticeably increases the thermal resistance of the surface, compared to a standard wall. Since the resistance of the internal surface is the same (identical room, same temperature and control system), the difference can be attributed to the presence of vegetation, which is able to reduce the wind speed and significantly decrease the convective heat exchange between the wall itself and the external environment.
These findings suggest that even if plants and leaves can act as a shading device for the designed VGMS during winter and reduce the absorbed solar gain transferred to the wall they do contribute positively to the reduction in heat losses through the wall. This is due to both the surface thermal resistance increase and the creation of a thermal buffer between the wall and the vegetated module, as discussed hereafter. It is also possible to state that the use of evergreen species, which can reduce the maintenance cost of the façade, does not negatively affect the VGMS performance during the winter season.
Two different days with similar boundary conditions were selected during the winter season to perform a comparison between two species: *B. cordifolia* and *Heuchera* hybr. (the measurements were carried out for one species at a time). The daily heating energy, calculated with Eq. (8), and the boundary conditions of the two selected days are plotted in Fig. 17. It was possible to make a direct comparison of the two, since the boundary conditions were very similar, as confirmed by the very similar energy transmitted values through the reference wall, that is, of $-153.9$ Wh/m$^2$ and $-151$ Wh/m$^2$, respectively. The energies calculated for the VGMS were significantly smaller and very similar: $-53.3$ Wh/m$^2$ for the VGMS with *Heuchera* hybr. and $-55.7$ Wh/m$^2$ for the VGMS with *B. cordifolia*. The two analyzed species had different LAI values, as mentioned in the section dealing with the biometric parameters (Section 3.3 – the results of trial 1), but, as observed previously when considering the very similar thermal transmittance values of *L. nitida* and *B. cordifolia*, it did not seem to affect the overall thermal behaviour to any great extent.
**Fig. 17. Winter season, comparison between the Heuchera hybr. (left) and Bergenia cordifolia (right).**
The presence of an air gap behind the vegetated module, as previously mentioned, can significantly affect the VGMS behaviour. Therefore, the air cavity temperature between the wall and the green module was analyzed for the three VGMS modules for cloudy and sunny winter days, as shown in Fig. 18. During the day and the night, the air cavity temperatures were higher than the external temperature ranging from between about 2 °C and 6 °C, which shows that the VGMS improved the thermal performance of the entire structure and that the vegetated substrate layer created a thermal buffer which increases the insulation features of the module.
In order to evaluate the influence of different substrates on the global thermal behaviour of the VGMS, the air temperatures were measured in the cavity behind the three A, B and C modules, which were characterized by the SS, SF50B and SF50 substrates, respectively (see the substrate description reported in Table 1 and the position of the substrates in the test cell reported in Fig. 6). As it can be seen in Fig. 18, it was possible to observe a very similar profile, which indicates that the presence of the recycled material in the substrates did not improve the insulation level, as expected. These findings were in line with the results of the thermal conductivity measurements of the different substrates, carried out by means of a hot plate in the Energy Dept. [12].
3.5.2. Results: VGMS – summer performance
Unfortunately, the measurements in the summer season were carried out in free floating conditions, and it was therefore not possible to obtain consistent data related to the heat fluxes crossing the façades. Given the high thermal resistance of the envelope, which was necessary to comply with the U-value limits stated in the current regulations, the measured heat fluxes were too low to provide significant data. Nevertheless, it was possible to assess the effect of the VGMS on the reduction of the external surface temperature and on the indoor air.
The outdoor surface temperature was measured on both a south exposed façade (VGMS vs. plastered wall) and on a north exposed façade (VGMS vs. wood cladding).
The peak temperature difference between the VGMS with *L. nitida* and the reference plastered wall was found to be 23 °C on a sunny summer day, due to the evapotranspiration process. The experimental results were, as expected, the same for SS and SF50, even though they were characterized by different LAI values.
As far as the demonstration mock-up is concerned, a reduction in temperature was also observed between the VGMS (*L. nitida*) and the wood cladding, both of which only received diffuse solar radiation. As can be seen in Fig. 19, the reference external surface temperature (T_se_R) was close to the external air temperature, while the external surface temperature measured for the VGMS (T_se_VGMS) with *L. nitida* was about 6.5 °C lower.
A reduction in the external surface temperature is very important at the urban level, as it can help to mitigate urban heat island effects. Nevertheless, it is important to stress that the actual contribution that could be observed is closely connected to the urban morphology, and ad-hoc studies need to be performed to better quantify this aspect.
During the summer season, in free floating conditions, the indoor air temperature in the two mock-up modules was measured. It is possible to note, in Fig. 20, that the indoor air temperature of the mock-up module with three façades covered with VGMS, was always lower than the reference module (with the wood cladding finishing). The peak indoor air temperature was reached, in both modules, in the evening, but the indoor air temperature of the module covered with the VGMS was always lower than the reference module. The maximum difference in the indoor air temperature between the two modules was about 4 °C, and was measured during the peak hours. This finding was confirmed for the entire cooling season, and a repetitive trend was observed. This result shows the potentiality of VGMS to reduce the cooling load, and to avoid the necessity of installing HVAC systems to maintain the indoor temperature within the comfort range.
Fig. 19. Demonstration mock-up with *Lonicera nitida*. Comparison of the external surface temperature between the reference wall (*T_se_R*) and the VGMS wall (*T_se_VGMS*) both of which are north oriented.
Fig. 20. Demonstration mock-up, with *Lonicera nitida*. Comparison of the indoor air temperature between the room with the reference technology (wooden cladding *T_air_int_R*) and the room with the VGMS (*T_air_int_VGMS*). Measurements conducted in free floating conditions.
3.6. Technological issues
The following technological issues emerged from the monitoring activities that were carried out over a period of 3 years. Particular attention was paid to the development of the prototypes, in particular as far as the manufacturing, on-site assembling and maintenance stages were concerned.
Manufacturing stage: this was mainly focused on the system workability requirements and the availability of material on the Piedmont market in order to minimize the environmental impacts and reduce the material intensity. The materials and semi-finished products were obtained from suppliers located within a maximum distance of 70 km from the site chosen for the assembly (CEIT-Asti). Furthermore, the assembly of the components that were tested during the prototyping activities led to the identification of the manufacturing phases, currently done by hand, which could be implemented in an industrialized process, for example, the cutting of the felts and the mixing of the growing medium. Some activities, such as the insertion of the plants into the pockets can only be done by hand. Six hours/man was required during the prototyping activities to produce 1 m$^2$ of VGMS. It was assumed that the industrialization of some processes could reduce the preparation times by 50%, with a consequent reduction in the production costs.
On-site assembling stage: this was mainly focused on easy and quick-assembling procedures. A VGMS is made up of light modular boxes with reverse assembling connections and the possibility of fast installation. The modular boxes are also pre-vegetated in nurseries, and therefore already provide an aesthetic effect. On the whole, these features allow 16 man hours per 25 m$^2$ of installed wall to be achieved, which is equivalent to the work of 2 installers per day.
Maintenance stage: this was mainly focused on minimizing the water needs and the number of prunings per year. The irrigation system was equipped with a control unit which regulates the solenoid valves; the selected plants required a reduced number of prunings and had limited water needs. As it is possible to see in Fig. 21, 1 year after its installation the VGMS presented a flourishing aspect.
Moreover, the costs were analyzed in relation to the stages described above (Table 10) and similar LWS available on the market were compared (Table 11).
Table 10
GRE_EN_S VGMS costs.
| Stages | Costs |
|-------------------------|----------------------------------------------------------------------------------------------------------------------------------------|
| Manufacturing | Reused and recycled materials; reduced acquisition costs of the raw materials. |
| On site installing | Reduced installation costs, due to the developed building system (modular boxes that are easy to carry, install, and disassemble). |
| Maintenance | Reduced maintenance costs, due to the limited water requirements \((2\ l/(h\ m^2))\) and to the limited number of yearly prunings \((2\ prunings/year)\) necessary for the monitored species \((Lonicera nitida, Bergenia cordifolia, Heuchera hybr.)\). |
Table 11
GRE_EN_S VGMS and LWS. Comparison of the systems on the market.
| Empty Cell | GRE_EN_SVGMS | Similar LWS available on the market |
|------------|--------------|------------------------------------|
| Price (\(€/m^2\)) | 400 | 750 |
| Thickness (cm) | 3.5–10 | 10–20 |
| Weight (kg/m\(^2\)) | 18 | >50 |
4. Discussion and conclusions
VGMS, vertical greenery modular systems, are able to provide several benefits to buildings. The complete and multidisciplinary results of a research project (GRE_EN_S) on VGMS are presented in the paper. From the design phase of the VGMS to the complete characterization of the technology, the decisions were supported by analyses and experimental results. The VGMS and the plant species were subjected to extensive monitoring campaigns in a nursery, in a test cell and in a demonstration mockup in Turin (North West Italy, Cfa, temperate sub continental climate, according to the Köppen climate classification). The aim of the research was to design a new VGMS and to evaluate different kinds of vegetation species, different substrates and technological systems characterized by a low embodied energy. The process started with an LCA, which allowed the raw materials to be selected and the importance of addressing the choice towards a recycled aluminium frame for the technological support of the module was highlighted. The mechanical test allowed the suitability of the felts to be tested in order to guarantee sufficient mechanical strength to support the weight of the roots and also an adequate permeability to ensure a sufficient water level for the plants. A biometric analyses allowed the response of different plants (L. nitida, B. cordifolia and Heuchera hybr. ‘Red purple’) to be evaluated under vertical conditions, and the interaction between different vegetal species and substrates to be tested. The results have shown that the right combination of plant species and substrates can significantly improve the VGMS performances and improve the quality of the green covering. As far as VGMS maintenance is concerned, the use of evergreen shrubs permits the number of interventions a year to be limited, but an appropriate design and integrated automatic irrigation system must be programmed carefully. As much as 50% in volume of alternative recycled materials, such felt pads and viscose, can be used in the VGMS substrate; this helps to improve the water retention, and to facilitate root development and plant anchorage in the module. An acoustic analysis demonstrated that the system acts well as a sound insulation system, and its high sound absorption could be exploited to reduce the urban canyoning effect. Thermal performance analyses showed interesting effects that were found during both the heating and cooling seasons. The tested walls with VGMS showed good thermal transmittance values, and the external surface temperature of the VGMS during the cooling season, which was much lower than that of the reference technology, highlighted the importance of this solution at an urban level, as it was able to efficiently counteract the urban heat island effect. No particular
differences were noticed, in terms of heating performance, when different substrates and vegetal species with different LAI (Lonicera, Bergenia and Heuchera) were compared. The results of a real-scale application of VGMS in the demonstration mock-up highlighted the potentiality of VGMS to reduce the indoor air temperature during the summer period by as much as 4 °C, in comparison to the reference technology in a free floating condition.
LCA analyses, a mechanical test, and biometric, acoustic and thermal results have made it possible to fully and reliably characterize the GRE_EN_S VGMS performance, with the result that a data set that covers different aspects was obtained. Even though VGMS are expensive solutions, they can provide multiple services in the urban context. The use of VGMS could facilitate the spread of this kind of greening over the next few years. A relevant output of the project is its interdisciplinary and multiscale approach, which does not allow a unique and best solution to be identified, but rather a set of data that designers could efficiently combine by adopting different materials/species/technical solutions, according to the goals and expected results (aesthetic value, energy saving, noise reduction, money sparing, etc.).
Acknowledgments
The research project (GRE_EN_S) was funded by the Regione Piemonte, in the framework of the POLIGHT Call. The project was developed in cooperation with the following local companies: CEIT, Reviplant, 13 Ricrea and Safi-tech. The authors would like to thank P. Tarizzo and F. Bronuzzi for their help with the acoustic measurements and Mr. Secondino Lamparelli for providing the nursery plants.
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**Abbreviations**
GMS
Green Module System
GRE_EN_S
GREen ENvelope System
LCI
life cycle inventory
LWS
living wall systems
R
referring to the reference technology
SAP
super absorbent polymer
SF
substrate with felt
SPAD
Soil Plant Analysis Development
SS
standard substrate
SSV
standard substrate and viscose layer
VGMS
vertical greenery modular system
**Keywords**
Vertical greenery modular system
Green wall
Green façade
Living wall system
Energy performance
Environmental performance
LCA
Acoustic performance
LAI
Vegetation species
Building envelope
|
Single molecule fluorescence in situ hybridisation for quantitating post-transcriptional regulation in *Drosophila* brains
Lu Yang\textsuperscript{a}, Josh Titlow\textsuperscript{a,b,*}, Darragh Ennis\textsuperscript{a}, Carlos Smith\textsuperscript{b}, Jessica Mitchell\textsuperscript{b}, Florence L. Young\textsuperscript{a}, Scott Waddell\textsuperscript{b}, David Ish-Horowicz\textsuperscript{a,c}, Ilan Davis\textsuperscript{a,*}
\textsuperscript{a}Department of Biochemistry, University of Oxford, United Kingdom
\textsuperscript{b}Centre for Neural Circuits and Behaviour, University of Oxford, United Kingdom
\textsuperscript{c}LMCB, University College London, United Kingdom
**Article history:**
Received 21 April 2017
Received in revised form 22 May 2017
Accepted 21 June 2017
Available online xxxx
**Keywords:**
Single molecule
Fluorescence \textit{in situ} hybridization
Primary transcription
Post-transcriptional regulation
mRNA
Brain
Central nervous system (CNS)
Thick tissues
**Abstract**
RNA \textit{in situ} hybridization is a powerful method to investigate post-transcriptional regulation, but analysis of intracellular mRNA distributions in thick, complex tissues like the brain poses significant challenges. Here, we describe the application of single-molecule fluorescent \textit{in situ} hybridization (smFISH) to quantitate primary nascent transcription and post-transcriptional regulation in whole-mount *Drosophila* larval and adult brains. Combining immunofluorescence and smFISH probes for different regions of a single gene, i.e., exons, 3'UTR, and introns, we show examples of a gene that is regulated post-transcriptionally and one that is regulated at the level of transcription. Our simple and rapid protocol can be used to co-visualise a variety of different transcripts and proteins in neuronal stem cells as well as deep brain structures such as mushroom body neuropils, using conventional confocal microscopy. Finally, we introduce the use of smFISH as a sensitive alternative to immunofluorescence for labelling specific neural stem cell populations in the brain.
© 2017 The Authors. Published by Elsevier Inc. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
1. Introduction
The central nervous system (CNS) consists of an extraordinary number and diversity of cells, most of which are derived from a relatively small number of neural stem cells. Biochemical methods have been instrumental in elucidating post-transcriptional regulatory mechanisms, but these methods typically involve dissociation and homogenization of tissues [1] and therefore offer only limited spatial information. In this paper, we describe an RNA \textit{in situ} hybridization (ISH) method that can provide effective measurements of gene expression within the spatial context of a whole *Drosophila* brain.
Single molecule fluorescence \textit{in situ} hybridization (smFISH) has revolutionized the potential of RNA FISH by enhancing sensitivity and probe penetration [2,3]. The state-of-the-art smFISH technique uses 25–48 individual fluorescently labeled DNA oligonucleotide (oligo) probes approximately 20 bases long, tiling a region of a target transcript. The use of short oligos improves probe penetration while the relatively large number of probes allows single molecules to be detected as bright foci, which are easily distinguishable from background fluorescence generated by nonspecific labelling [4,5]. The use of directly-coupled fluorochromes to the oligos eliminates the signal amplification step that is required for other modern RNA FISH approaches. So far, the smFISH method has enabled the study of gene regulation in single-cell organisms, \textit{in vitro} cell culture systems [6,7], and in *Drosophila* oocytes, embryos, and the larval neuromuscular junction [8–11]. However, smFISH is still dependent on the development of specific conditions for individual tissue types, and the use of smFISH on thick tissue such as the larval or adult brain has remained particularly challenging. Traditional ISH methods such as Tyramide signal amplification (TSA) [12,13], although cost effective for high throughput screens [14] are sub-optimal in such tissues, require harsh protocols that can compromise tissue integrity, have insufficient probe penetration and involve amplification steps that make the results difficult to quantify. Current smFISH protocols are commonly optimised in single-cell systems and are therefore not particularly well suited for the more complex organs such as the *Drosophila* brain. At the time of submission we are aware of only one other study that demonstrates single transcript detection in the *Drosophila* brain [15], requiring additional steps and clearing agents to enable Bessel Beam-structured illumination microscopy. These additional steps include permeabilisation with acetic acid, blocking with yeast...
tRNA and salmon sperm DNA, and clearing with xylene. In contrast, the protocol we describe below takes less time and produces high quality samples for standard confocal microscopy. Moreover, it is possible to determine the location of single mRNA foci with a precision of a few nanometers, using centroid analysis, as is achieved in Fluorescence Imaging with One-nanometer Accuracy (FIONA) [16,17].
Here, we describe the use of an smFISH method to whole-mount *Drosophila* brain tissues to quantitate post-transcriptional regulation by measuring the intensity of nascent transcripts compared with the density of single mRNA molecules in a region of interest in the cytoplasm (Fig. 1). We demonstrate how simultaneously labelling the intron and exon of a gene with separate smFISH probes label with orthogonal fluorochromes can be used to quantitate primary transcription levels in comparison to post-transcriptional cytoplasmic levels of mRNA (Section 4.2). Combining smFISH with antibody labelling of the protein encoded by the same gene provides a direct measure of post-transcriptional regulation (Section 4.4). Finally, we also show that smFISH can be used as a marker to identify specific cell types (Section 4.5).
2. Materials and reagents
2.1. Probe design and preparation
The minimum number of probes that generated an acceptable signal-to-noise ratio in the larval and adult brain tissue is 30 for the genes presented. However, this number greatly depends on the native expression level of the specific transcript, binding affinity of the probes, and the type of dye. Several dyes are available for labelling smFISH probes; however, Alexa-535, Quasar-670, and Atto-647 N provide an effective signal to noise ratio in the *Drosophila* brain whereas fluorescein does not. Here Stellaris smFISH probes were purchased from LGC BioSearch Technologies (California, USA). A set of oligonucleotide probes specific to the gene of interest was created using the web-based probe designer https://www.biosearchtech.com/stellaris-designer/ (DNA oligonucleotide sequences for each probe used below are provided in Supplementary Table 1). It should be noted that while the cost of these probe sets is high, $675 at the time of writing, this provides the researcher with enough probes for 200–400 hybridization experiments. Multiple strategies exist for synthesizing probes from PCR-grade oligonucleotides [18–20], providing flexibility in dye selection at a fraction of the cost of commercial probes.
If no single region of the gene is sufficient in length, probes can be generated from multiple combined regions of the same gene. This can be particularly useful when designing a probe set against intronic regions of the gene of interest. We recommend downloading the probe sequence and assessing the probe sequence specificity (e.g., using the free web-based BLAST program (https://blast.ncbi.nlm.nih.gov/)). A negative control is also essential for distinguishing smFISH signals from background and non-specific binding. We find that the best negative controls are those of a biological nature. Here, we demonstrate the use of smFISH probes targeting YFP in a wild-type background as a negative control (Fig. 3H–H′). For endogenous genes, the smFISH probes could be tested in a transcript-null mutant or an RNAi knockdown for the gene of interest.
2.2. Reagents and buffers for smFISH
- 0.3% PBSTX (1x phosphate buffered saline (PBS) with 0.3% Triton-X)
- 0.3% PBST (1x PBS with 0.3% Tween-20)
- Fixation buffer (4% formaldehyde in 0.3% PBSTX)
- WASH buffer (10% v/v deionised formamide\(^1\) in 2x saline sodium citrate (SSC) solution\(^2\))
- Hybridization buffer\(^3\) (10% v/v deionized formamide, 10% v/v of 50% dextran sulphate solution (Millipore) [final dextran concentration = 5%] in 2x saline sodium citrate (SSC) solution), smFISH probes
2.3. Reagents and buffers for immunofluorescence with smFISH
- Blocking buffer (0.1% goat serum, 1% glycine in 0.3% PBSTX)\(^4\)
- Primary antibodies, mouse anti-Dlg1 (Developmental Studies Hybridoma Bank #4F3–1:500), rat anti-mir (J. Knoblich lab, 1:100), guinea pig anti-Ase (J. Knoblich lab, 1:50), goat anti-HRP conjugated to Dylight405 (Jackson ImmunoResearch, 1:100)
- Secondary antibody solution (1:250 Alexa Fluor\(^®\) dye in blocking buffer)
2.4. *Drosophila* strains
Fly stocks were maintained at 25 °C on 12 h light:dark cycle. The following genotypes were used: Wild type-Canton S, Dlg1::GFP [21], UAS-mcd8::GFP (Bloomington *Drosophila* Stock Center No. 5137), Pros-Ga4, Imp::GFP (Bloomington *Drosophila* Stock Center No. 41500) [22].
3. Protocols
3.1. smFISH protocol
1. An overview of the smFISH workflow is illustrated in Fig. 2A. Brains were dissected from 3rd instar larvae or adult flies in Schneider’s medium. To minimize tissue damage in larva dissections, we recommend a scissors dissection method as opposed to only using forceps (Fig. 2B). Adult brains can be dissected using standard techniques [23]. After dissection, all steps in the smFISH procedure are identical for larval and adult brains.
2. Fix brains in fixation buffer for 20 min.
3. Quickly rinse brains 3 times with 0.3% PBST.
4. Wash brains 3 times for 15 min each at 25 °C with 0.3% PBST.\(^5\)
5. Incubate brains in wash buffer for 5 min at 37 °C.
6. Incubate brains in hybridization buffer with the appropriate probe concentration\(^6\) at 37 °C for 8–15 h with gentle rocking\(^7\). Samples should be protected from light for all subsequent steps (see Fig. 2A for a setup of light-proof sample chamber).
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\(^1\) Care should be taken to ensure that formamide is not allowed to oxidise. Unopened bottles should be stored at 4 °C. Once opened, the liquid should be immediately dispensed into 1 ml aliquots in a fume hood, flash frozen in liquid nitrogen, and stored at −70 °C.
\(^2\) Fresh SSC solution is essential for achieving a good signal-to-noise ratio of the smFISH experiments. 20x SSC solution can be stored at room temperature for several weeks.
\(^3\) In comparison to other published FISH protocols, we find no additional benefit in using RNase inhibitors or non-specific blockers, e.g., salmon sperm DNA or tRNA.
\(^4\) Aliquots of blocking buffer should be stored at −20 °C. Care should be taken to ensure blocking buffer is prepared in a sterile environment (i.e. under laminar flow hood).
\(^5\) Washes should be carried out in 0.3% PBST instead of PBSTX, as Triton-X can affect tissue morphology.
\(^6\) We typically dilute the probe concentration to 1 μM (1:50 dilution from stock solution) for initial testing. For most genes, the probe may need to be used at a concentration of 2–5 μM. We recommend testing a range of probe concentrations (between 0.1–5 μM) for genes being detected for the first time.
\(^7\) Hybridisation step should not be longer than 15 h as long incubations greatly reduce the signal-to-noise ratio.
For experiments with co-labeling of RNA FISH and protein immunofluorescence, primary antibodies can be included in this step at concentrations typically used for immunofluorescence (See Section 2.3 for specific concentrations). Note a blocking step immediately following sample fixation should be included for all immunofluorescent experiments (Blocking buffer for 1 h at room temperature).
7. Rinse sample 3 times in wash buffer.\(^8\)
8. Wash brains 3 times for 15 min each time with wash buffer at 25 °C. The nuclear stain DAPI (2 μg/ml) can be included during the peroxide wash. Secondary antibodies should also be included for use for experiments involving immunofluorescence, and the wash should be extended to 45 mins. The final wash is sufficient for the removal of any remaining secondary antibody or DAPI.
9. Wash sample for 10 min at 25 °C with 0.3% PBST. This step prevents the brains from adhering to the inside wall of the pipet tips during mounting.
10. Proceed to sample mounting (Section 3.2).
### 3.2. Sample mounting
After the last wash, brains are transferred to a dissection dish by pipetting, and any unwanted tissues can be removed at this stage (it may be easier to remove some of the more closely attached connective tissues and imaginal discs from the brain at this stage rather than during the initial dissection because fixation in formaldehyde hardens the tissues and makes it easier to remove without damaging the samples). Prepare a microscope slide for mounting by placing two strips of double sided tape (approximately 5 mm width) approximately 10 mm apart in the center of the slide.
1. Transfer brains to a coverslip using a 200 μl pipet. Remove excess liquid from coverslip.
2. Pipet 20 μl Vectashield\(^{®}\) (Vector Laboratories Ltd.) anti-fade mounting medium onto the coverslip to sufficiently cover the brains.
3. Align brains in a straight line while taking care to orient the tissue to be imaged as close to the coverslip as possible.\(^9\)
4. Gently lower the pre-prepared microscope slide\(^{10}\) to the coverslip, making sure the samples are positioned near the midline between the double-sided tape on each side.
5. Seal the coverslip with nail varnish. Care should be taken to avoid the slides in the dark at −20 °C, as signal to background decreases at low temperatures.
6. Image slide using scanning confocal (higher quality) or spinning disk confocal (higher throughput) microscope. Images used in the current manuscript were acquired using an Olympus Fluoview FV1000 microscope with 40 × 1.3 NA Oil UPlanFLN and 60 × 1.25 NA Oil UPlanSApo objectives (Fig. 3B–B” and Figs. 4–7), Zeiss LSM-880 with 60 × 1.4 NA Oil (Fig. 5D–D”), or Perkin Elmer UltraView Spinning Disk with 60 × 1.35 NA Oil UPlanSApo objectives (Fig. 5F–G”).
### 3.3. Statistical analysis
Datasets for average signal intensity or number of foci were tested for normality using the Shapiro-Wilk normality test. Data that deviated significantly from normal (\(p < 0.05\); Fig. 4C and E) were compared using the Wilcoxon rank sum test. Data with normal
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\(^8\) Care should be taken to avoid pipetting brains into pipette tip as the brains have a high tendency to adhere to the inside wall of the tip after the hybridisation step.
\(^9\) For Type I neuroblasts, mount brains with ventral side facing down towards the coverslip. For Type II and MB neuroblasts, and for MB neuropil in the larva or adult brain, mount brains dorsal side down to ensure the cell type of interest is closest to the coverslip (Fig. 2C).
\(^{10}\) Place two pieces of double-sided tape on a microscope slide approximately 20 mm apart. This will secure the coverslip in position.
Fig. 2. Overview of smFISH, larval brain dissection, and orientation. A. Overview of the smFISH protocol for brain tissue. After brains are dissected from third instar larvae or adult flies, samples are fixed in 4% formaldehyde. After series of washes, brains are incubated in hybridization buffer containing the probe mixture targeting the gene of interest. Hybridization step takes place at 37 °C for between 8–15 h in a light protected environment. Following hybridization, samples undergo a further three washes and can then be mounted for imaging with the anti-fade mounting medium. B. Scissor dissection method for larval brains. Immobilize larva by gently holding the tip of the larval head using a pair of dull tweezers. Then cut the larva in half at approximately the position of the second bend of the trachea tubes. The brain should be exposed from the remaining tissue and can be isolated using scissors. This dissection method reduces tissue damage in comparison to isolating the brain by pulling the larvae apart using two pairs of tweezers. C. Distribution of different types of neuroblasts in the larval brain. Brain should be mounted in the orientation that is suitable for the purpose of the experiment.
Fig. 3. Simultaneous detection of multiple RNA species using smFISH. A, Schematic of the 3rd instar *Drosophila* larva brain illustrating the position of a neuroblast lineage. B–B″, Exemplar image of smFISH in the third instar larval brain generated using two sets of probes; one targets the exon region of the transcripts encoding RNA binding protein brat (brat e) and the other targets the UTR of the same gene (brat UTR). Neuroblasts and progeny are labeled by driving the expression of a cell-line-tethered GFP using the gal4. C, Schematic of the 3rd instar *Drosophila* brain illustrating the position of mushroom body lobes, calyx, and Kenyon cell nuclei. D–D″, Detection of *msp-300* mRNA in the calyx of larval mushroom bodies. The mushroom body is identified by the expression of Dlg1 protein coupled to GFP, the axon bundle, and cell nuclei are labeled with HRP and DAPI, respectively. Scale bars represent 50 μm. E, Schematic of the adult *Drosophila* brain illustrating the position of mushroom body lobes, calyx, and Kenyon cell nuclei. F–F″, Detection of *CamKII::YFP* mRNA with a smFISH probe targeting the YFP mRNA sequence, and *CamKII::YFP* protein in the adult mushroom body calyx (dotted line). G, Representative line profile comparing intensity values of single foci in YFP mRNA positive samples (blue line, F′) versus wild type control (yellow line, H′). H–H″, Negative control showing the YFP smFISH probe in a wild-type adult brain. Abbreviations: NB—neuroblast, ML—medial lobe, VL—ventral lobe, wt—wild type.
distributions (Fig. 5C and E) were compared using one-way ANOVA with Tukey post hoc test. All statistical analyses were performed with R (version 3.3.2 in Jupyter Notebook).
4. Results
Exemplary images of data produced using the protocol above are shown in Fig. 3 (RNA dual color detection) and Fig. 4 (smFISH combined with antibody staining). To demonstrate single transcript detection in deep brain structures we show smFISH labelling of *msp-300* mRNA in the larval mushroom body calyx [24,25]. The adult *Drosophila* brain is also a heavily researched system with relatively untapped potential for investigating post-transcriptional gene regulation. Therefore, we include an example of our smFISH protocol in the adult brain targeting *CamKII*, an mRNA known to be compartmentally localized in neurons [26] and whose protein product has an established role in neural plasticity [27]. smFISH experiments were performed using an smFISH probe targeting the YFP open reading frame (ORF) in a fly line that expresses YFP-tagged CamKII as well as with wild-type flies (negative controls). In the CamKII::YFP line, smFISH probe detected distinct bright foci (Fig. 4F), whereas the same probe generates a uniform background signal in the wild type line (Fig. 3H′). Intensity profiles are shown to illustrate the signal of a detected mRNA molecule relative to background signal (Fig. 3G).
4.1. Application of smFISH to the study of post-transcriptional regulation in the developing *Drosophila* central nervous system
The proliferative potential of neuroblasts, as well as the specification of the neuroblast progeny fate, requires genes to be expressed at the correct level in the appropriate cell at a specific time during development. Currently, the general focus has been on temporal- and spatial-specific gene regulation at the level of transcription [28–31]. Using the smFISH method described above, we can now rigorously test this hypothesis. With smFISH probes designed against the exon and intron of the gene in question, it is possible to detect mature cytoplasmic mRNA and distinguish it from nuclear nascent transcripts that are detected by intron probes as very bright foci. Such nascent transcript foci consist of primary transcripts decorating the gene locus, and quantitating their fluorescence intensity provides a measure of the level of primary transcription. Similarly, quantitating the levels of cytoplasmic signal from exon probes provides a direct measure of the mature transcripts after they are transcribed and exported into the nucleus. Comparing both the level of cytoplasmic mRNA and the levels of transcription between cells in different conditions provides insight into how the gene is regulated, providing a quantitative tool to measure mRNA stability and other mechanisms of post-transcriptional regulation.
Here, we use two extensively studied genes, brain tumor (*brat*) and IGF-II mRNA-binding protein (*imp*), as examples. Both *Brat* and *Imp* are RNA binding proteins and key regulators of neurogenesis in *Drosophila*. *brat* mutant larvae form supernumerary neuroblasts and *brat* mutant clones were found to show unregulated cell proliferation [32–34]. Antibody staining, as well as quantitative PCR following cell sorting, have shown that *Brat* protein and *brat* RNA are both up-regulated in neuroblast progeny relative to neuroblasts, but how this is achieved is not known [20,35]. Expressing *Imp* at the correct time during neuroblast development is essential for the specification of neuroblast progeny fate [36], and overexpressing *Imp* results in dedifferentiation of progenitor cells [37]. However, the mechanism of upstream regulation for achieving correct *Imp* expression in different types of cells and developmental stages remain to be elucidated. We demonstrate here the use of smFISH to investigate the upstream regulation of both *brat* and *imp*.
4.2. Analysis of transcription level in neuroblast and neuroblast progeny
To distinguish whether the up-regulation of Brat in neuroblast progeny is regulated either at the transcriptional or post-transcriptional level, probes targeting the intron and exon region of the *brat* transcript were used for smFISH experiments (Fig. 5A). In order to analyze the level of transcription, nascent transcription foci were detected using the intron probe set (Fig. 5A, B-B'). Images were imported into imaris image analysis software and transcription foci were automatically identified using the “Spots” tool (Fig. 5B"). Users are required to input an estimated diameter of the foci to be identified; for which we use the width of the point spread function defined by the diffraction limit of the dye’s emission wavelength (\(\lambda/2NA\), \(\lambda\) = wavelength, NA = numerical aperture) [38]. The intensity of the identified nascent transcription foci was then exported for further analysis. In the current example, the intensity of the *brat* transcription foci in neuroblasts is compared with that of the neuroblast progeny. Statistical analyses show that there is no significant difference between the levels of *brat* transcription in neuroblasts compared to their progeny (Fig. 5C).
4.3. Analysis of total transcript level using average intensity
To test whether the total *brat* mRNA level is up-regulated in neuroblast progeny, we analyzed the average signal intensity from the *brat* exon smFISH probe set both in the neuroblasts and in the neuroblast progeny (Fig. 5A, D-D'). The images were analyzed using the free image analysis software ImageJ. A maximum intensity projection of the acquired image was generated using the “Z Project” tool. Independent projections were then created for neuroblasts and neuroblast progeny clusters in order to accurately...
capture the 3D space that the cell/cell cluster occupies. From the projection image of the cell (neuroblast) or cell cluster (neuroblast progeny), a user-defined binary mask was drawn for regions of interest (ROIs) and the average intensity of each ROI was measured (Fig. 5D'). In the case of *brat*, the level of total *brat* mRNA is significantly increased in neuroblast progeny, consistent with previously published qPCR results (Fig. 5E; [4]). Taken together with the analysis of the transcription level analysis presented in Section 4.2, it is clear that up-regulation of the *brat* gene in neuroblast progeny is controlled at the post-transcriptional level, not by transcription.
### 4.4. Analysis of total transcript level by foci counting
An alternative to using average intensity as a measure of total transcript level is to count the number of individual foci, particularly for transcripts with sparse expression. Here we investigate the upstream regulation of Imp expression as an example.
We aimed to address whether the cell type specific Imp protein expression is regulated by its mRNA level. If Imp protein and mRNA level correlate with each other, this would suggest Imp expression is regulated at the pre-translational level. Alternatively, if Imp protein and mRNA level do not correspond, this would suggest translation or post-translational regulation. We first quantified the level of Imp protein in neuroblasts and their progeny with either high or low Imp expression (Fig. 6A–C). Statistical analyses show Imp protein expression is low in neuroblasts and is expressed only in a subpopulation of neuroblast progeny (Fig. 6C). Next, we analyzed the level of *imp* mRNA in these three cell groups using smFISH probes targeting the GFP open reading frame. As the expression level of the *imp* transcript is sparse, the “Spots” tool in Imaris could be used to detect each of the individual foci. Subsequently, the number of foci in each ROI was counted and the total level of transcript expression was quantified by calculating foci density for each selected cell population (foci density = number of foci/area of ROI) (Fig. 6D and E). We found the pattern of *imp* expression level closely mirrored that of Imp protein. From these data, we conclude that unlike *brat*, the cell-type-specific Imp expression level is regulated at the level of transcription.
### 4.5. Using smFISH to identify neuroblast, ganglion mother cells, and immature neurons
In order to study neural development, reliable labelling of the different cell types in the brain is essential. This is most commonly accomplished with antibody staining. However, immunohistochemistry (IHC) requires high-quality antibodies that provide adequate signal-to-noise on fixed tissues. For *Drosophila*, high-quality antibodies are rarely available commercially and are not easy to produce. Choice of antibody combinations is also limited by...
cross-species reactivity. In this section, we present the use of smFISH as a simple and time-efficient alternative.
The most frequently used neuroblast label in the larval CNS is Deadpan (Dpn) and the label for young neuroblast progeny, also known as ganglion mother cells (GMCs), is Asense (Ase) (Fig. 7A-A''). Since Ase protein is also expressed in the neuroblasts, it is best that Ase is used in conjunction with Dpn for GMC labelling (GMC: Ase'' Dpn'') (Fig. 7A-A''). To overcome the problem of sourcing suitable antibodies, we have developed an alternative labelling regime using smFISH probes designed against the exons of cyclin B, which labels neuroblasts (Fig. 7C-C'), and castor, which labels GMCs (Fig. 7D-D'). By choosing suitable fluorescent labels, these...
Labelling NB, GMC and immature neurons using antibody staining:
| DAPI / Dpn / Ase | Dpn / Ase | Dpn | Ase |
|------------------|-----------|-----|-----|
|  |  |  |  |
Labelling NB, GMC and immature neurons using smFISH:
| DAPI / cyclin B | cyclin B | DAPI / castor | castor |
|-----------------|----------|---------------|--------|
|  |  |  |  |
| DAPI / prospero | prospero |
|-----------------|----------|
|  |  |
Fig. 7. Using smFISH to identify neuroblasts, GMCs and immature neurons. A-A": Conventional antibody labelling for neuroblast (Deadpan antibody; green) and ganglion mother cells (GMCs) (Deadpan "Aense" magenta). B-B": Immature neurons are distinguished from the newly born neuroblast progeny by the up-regulation of Prospero protein (bright yellow cells; B-B"; yellow outlined region; B"-B"). C-E: Labelling neuroblasts, GMCs and immature neurons using smFISH. Neuroblasts, GMCs and immature neurons are labelled with cyclin B, castor and prospero, respectively. F. Schematics showing labelling of neuroblast and neuroblast progeny using the conventional antibody staining method or the new smFISH method; neuroblast: green outlined region; GMCs: magenta outlined region; immature neuron: yellow outlined region. Scale bar represents 10 μm.
Probes can be used together or independently (and are compatible with antibody labelling for additional markers).
Immunofluorescence labelling of immature neurons in the third instar larval brain has also been challenging. Antibodies against the commonly used immature neuron label, Elav, tend to have poor signal-to-noise, and Prospero (Pros) protein is expressed in both GMCs (low levels) as well as immature neurons (high levels; Fig. 7B-B"). We have found that a smFISH probe set that targets the 3' UTR region of the pros transcript is an effective method to label immature neurons, as it labels a specific isoform of pros (Fig. 7E-E'). This label generates a minimum signal in neuroblasts and GMCs with high signal in immature neurons. As with other...
smFISH labels described in this manuscript, the pros probe set is compatible with conventional IF labelling. Collectively, we propose the use of smFISH with probes targeting *cyclin B*, *cas* and *pros* as a new and more effective method for neuroblast, GMC and immature neuron labelling compared to the traditional Dpn, Ase and Pros antibody staining method (Fig. 7F).
5. Concluding remarks
In summary, our modified smFISH protocol offers a range of tools for studying post-transcriptional gene regulation in complex intact tissues. The resulting images have a high signal to background ratio even when imaging at a depth of 40 μm and have the sensitivity to detect single transcripts, or fewer, than 100 transcripts per cell. We demonstrate the use of our technique to quantitate the brightness of nascent transcription foci and cytoplasmic mRNA levels at sub-cellular resolution. Such data provides a way to investigate post-transcriptional mechanisms at the single cell level within intact complex tissues. Our smFISH protocol is rapid and straightforward, with a small number of reagents and steps, while remaining adaptable for use with antibody staining and the simultaneous detection of multiple RNAs. Our optimized protocol on whole *Drosophila* brains demonstrates the application of smFISH as a tool for post-transcriptional regulation and RNA biology in thick tissue (Fig. 1). We also show that smFISH can be effectively used to mark specific cell types in addition to, or as a replacement for, cell specific antibody labelling (Fig. 7F).
Conflicts of interest
The authors declare no conflicts of interest.
Acknowledgements
We are grateful to Alan Wainman and Richard Parton for advice on advanced microscopy. We would also like to thank the Bloomington *Drosophila* Stock Centre and Jurgen Knoblich for fly stocks and antibodies. L.Y. was funded by the Clarendon Trust and Goodger Fund, D.I.H. was funded by University College London, S.W. is funded by a Wellcome Trust Research Fellowship, the Basic Biomedical Sciences and the Sir Henry Wellcome Bitterlich Schueler, I.M. received funding from the BBSCR, J.T., D.E. and I.D. were funded by a Wellcome Senior Research Fellowship to I.D. (081858), MICRON Oxford (http://micronoxford.com), and Wellcome Strategic Awards to ID (091911/B/10/Z and 107457/Z/15/Z).
Appendix A. Supplementary data
Supplementary data associated with this article can be found, in the online version, at http://dx.doi.org/10.1016/j.jymeth.2017.06.025.
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Dancing on a Ceiling (With Tom Cruise)
October 9, 2005
By JORI FINKEL
ELI SUDBRACK, the Brazilian-born installation artist who works under the name Assume Vivid Astro Focus (Avaf for short), likes to send long, enthusiastic e-mail messages. He also loves to make dense, elaborate lists. So he really loves sending long, enthusiastic e-mail messages filled with dense, elaborate lists, which he typically signs "love Eli."
Art galleries often display these lists, which begin as personal reminders of things to do - as source notes or footnotes for his color-drenched, pop-culture-saturated and visually frenzied installations. One early list made mention of Matisse's collages, Peter Gabriel's videos, Claymation, the Incredible Hulk, Blondie and the unicorn tapestries in the National Museum of the Middle Ages in Paris. A more recent list included references to Wiener Werkstätte designs, Los Angeles graffiti, a Buddha fountain in Chinatown, a book by Aldous Huxley and an action figure of Ginger Lynn, the pornography star. The lists contain multitudes that would make Walt Whitman proud. And so, for that matter, does Avaf itself, a name he assigns to his collaborations with other artists and musicians. "We are like a band with members that change all the time," Mr. Sudbrack said.
A skinny 37-year-old with a mop of brown hair and a Julia Roberts smile, he often loops from the first-person singular to plural in talking about his art: "I work organically. If I like someone, I want to find a way to work with them. I want to contaminate them and be contaminated by them." Contamination and insemination are his favorite terms for creative exchange.
Not surprisingly, his newest work - an installation in "Ecstasy: In and About Altered States," which opens this weekend at the Museum of Contemporary Art in Los Angeles - began with a list he sent a couple of months ago to the museum's chief curator, Paul Schimmel. The letter contained more than a dozen ideas for an installation, prefaced by a list of celebrated New York nightclubs to which he planned to pay his respects, like Paradise Garage, Studio 54 and Danceteria.
The nightclub theme grew, he wrote, from discovering how "rare it is for people to go out dancing nowadays in the States." He was particularly frustrated to learn that New York bars cannot allow dancing unless they qualify for cabaret licenses, which have become harder and harder to obtain. Mr. Sudbrack, who moved to New York from São Paulo in 1998, takes this restriction personally and politically. "These nightclubs were the birthplace of gay politics in the 1970's and 80's; not letting us dance today is a way of repressing our sexuality," he said.
Since he outlined his project in early August, many details of the installation have changed. Museum administrators were not keen on having him bring Vaginal Davis, a Los Angeles drag queen, to perform during opening-night festivities. And the idea of a laser light show in his installation area was turned down for legal reasons.
But the guiding spirit of a hedonistic nightclub has remained intact. With help from a friend, the French multimedia artist Christophe Hamaide-Pierson, Mr. Sudbrack has spent the last two months in Los Angeles transforming almost every square inch of a rather homely room in the Geffen Contemporary at the museum into a celebration of the glory days of disco and gay activism. He also enlisted the Berlin disc jockey ND Baumecker to play what Mr. Sudbrack calls a blend of "acid electro house, cosmic disco and neo-Italo-disco" on opening night, a mix that will then serve as the recorded soundtrack for the rest of the exhibition.
The installation makes a few clear references to classic nightclubs. One is a flashy, colored disco floor that recalls "Saturday Night Fever" territory but happens to be mounted on the ceiling instead. "Everything we do is site-specific," Mr. Sudbrack explained. "We came up with the idea of doing a disco ceiling as soon as we saw this space. The ceiling here has these bays where we could fit colored gels beneath plexi-sheets and light them up from
Naturally, in this scheme of things, the mirrored ceiling wound up on the floor.
Then the club impresarios went wild. As their centerpiece, Mr. Sudbrack and Mr. Hamaide-Pierson created a 30-foot plastic sculpture of a naked woman, modeled on Brazilian pornography stars, that stretches across the room into a backbend, arching over a phallic column. The woman has two heads: one male, one female. Both are scary, as are the faces of Tom Cruise and President Bush buried in the densely detailed wallpaper and the image of Pope Benedict XVI formed by a metal chain curtain at the room's entrance. At crucial moments, confetti spills from the giant woman's lips, and smoke pours out of a hole in Tom Cruise's mouth in the wallpaper.
"The whole thing will feel somewhere between a fun house and a haunted house," Mr. Sudbrack said. "And it's also our way of talking about repression, about Bush trying to pass the amendment to the Constitution outlawing gay marriage, and the new pope planning to ban gay priests." Mr. Schimmel said the Museum of Contemporary Art was planning to post a sign alerting viewers to the adult content. "This installation is more politically and sexually explicit than anything Eli's done before," he said. "He's pushing himself into areas that may seem inappropriate here.
"I know I'm going to get into trouble for saying this," Mr. Schimmel said, "but I think these are representations of women that a straight man might not feel he could get away with."
Despite these graphic or pornographic flourishes, the common denominator in the sprawling "Ecstasy" exhibition is not sexual but pharmaceutical. Most work fits into one of two camps: either it refers to drugs or drug culture, or it offers a trippy experience of its own. A few pieces manage both, as with Carsten Höller's "Upside Down Mushroom Room," in which massive sculptures of psychotropic fungi sprout from the ceiling, giving a disorienting down-the-rabbit-hole effect. Mr. Sudbrack's work, with its own upside-down aesthetic, also walks that line, both nodding to and simulating a Dionysian drugfueled escapade. Born in Rio de Janeiro, where he studied film and publicity in college, Eli Sudbrack moved to New York in 1998 to spend a year studying at the International Center for Photography. "Well, really I moved to New York to follow my boyfriend," he said. "I.C.P. gave me a way of getting a work permit there."
In 2000, he got his first break with a New York gallery, placing a music video in a group exhibition at Bellwether in Brooklyn. In the video, Mr. Sudbrack demurely lip-synces to the love song "Just Like a Movie Star" by the group the 6ths, accompanied by a halo and other incandescent visuals inspired by the Olivia Newton-John movie "Xanadu."
At that point, he went by the name Superastrolab, which he adopted after a stranger approached him in a thrift store and asked whether his name was Astro. "It was very weird," Mr. Sudbrack recalled. "It's not like he asked me if my name was John. So I started using Superastrolab, but I thought it was too close to Stereolab, a group I love, and too hip. I wanted something more complicated."
So the following year he switched to Assume Vivid Astro Focus (which he renders in lowercase letters), a merger of the name of the 80's band Ultra Vivid Scene with "Assume Power Focus," the title of a Throbbing Gristle album. "Eli's name is not part of Avaf for a reason," said Mr. Hamaide-Pierson, who had a hand in every part of the new installation, down to drawing several of the figures on the wallpaper. "Eli may be the mastermind behind Avaf, but now you could say Avaf has a mind of its own."
Mr. Sudbrack likens his role, in some respects, to directing, recalling some production work he did on a surfing movie in Brazil after college. "That movie was horrible," he said. "But sometimes I feel like I'm doing the same kind of thing now. I'm running around trying to find the right manufacturers - who should produce the giant lady, who should make the wallpaper - and then managing their work. You're always trying to keep track of a million little details."
That is especially true now that his productions have grown so ambitious, incorporating everything from wallpaper, stickers, drawings, sculptures and posters to video screenings, musical performances, tattoo parlor services and other events in his spaces. So far, he has had an easier time realizing these visions in galleries than in museums or public spaces, where fear of litigation - and the fire marshal - is pressing. But that has not stopped him from trying.
Last winter, for example, he successfully lobbied the City of New York for permission to create a dance floor for the ad-hoc roller-disco rink near Sheep Meadow in Central Park. He designed a massive floor sticker swirling with butterflies, body parts and orgiastic bursts of color that the city kept in place for a couple of weeks in April. Before that, to accompany his piece at the 2004 Whitney Biennial, he tried to persuade the museum to play host to a performance by Los Super Elegantes, a regular collaborator. When the museum hesitated, he decided instead to stage an unannounced guerrilla performance in the space where he had plastered his psychedelic imagery floor to ceiling. Still, the biennial felt like a personal breakthrough for him, he said, and he could not grasp why
friends who were also included were so blasé about it. "It's far from perfect," he said of the show. "But just think of all the teenagers who come to a museum but have never been to an art gallery. If I can give them five minutes of a fantastic memory, which may one day open their eyes to the world, I have done my job."
He said his goal was similar in the "Ecstasy" extravaganza: political awakening through sensual overload. Forget his polemics about the pope for a minute, he said; he wants "to reach people in ways they don't even know they are being reached." That's one reason he makes so much of music.
A sketch from *Ecstasy: In and About Altered States*
"I remember the first time I listened to Siouxsie and the Banshees," he said. "I think of
how many times music has changed my life. I envy the power of music; it can be so much more direct than most museum pieces."
For him, even the politically engaged art that he admires from the late 80's and early 90's falls flat by comparison. "So many artists back then used the tools of the media to critique politics," he said, "but that has since proved to be ineffective."
"Our strategy is pleasure - we want to give people visiting the museum a taste of their own pleasure."
And, he would be the first to add, a place to dance.
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Genome-wide association studies of global *Mycobacterium tuberculosis* resistance to 13 antimicrobials in 10,228 genomes identify new resistance mechanisms
Derrick W. Crook, Camilla Rodrigues, Nazir Ahmed Ismail, Nerges Mistry, Zamin Iqbal, Matthias Merker, David Moore, A. Sarah Walker, Guy Thwaites, Stefan Niemann, Daniel J. Wilson, Daniela Maria Cirillo, Alexander S. Lachapelle, David A. Clifton, Timothy E. A. Peto, Martin Hunt, Jeff Knaggs, Philip W. Fowler, Sarah G. Earle, Clara Grazian, The CRyPTIC Consortium*, coinvestigators†
University of Oxford, Oxford, United Kingdom
* Membership of The CRyPTIC Consortium is provided in Supporting information file S1 Acknowledgments.
† email@example.com
**Abstract**
The emergence of drug-resistant tuberculosis is a major global public health concern that threatens the ability to control the disease. Whole-genome sequencing as a tool to rapidly diagnose resistant infections can transform patient treatment and clinical practice. While resistance mechanisms are well understood for some drugs, there are likely many mechanisms yet to be uncovered, particularly for new and repurposed drugs. We sequenced 10,228 *Mycobacterium tuberculosis* (MTB) isolates worldwide and determined the minimum inhibitory concentration (MIC) on a grid of 2-fold concentration dilutions for 13 antimicrobials using quantitative microtiter plate assays. We performed oligopeptide- and oligonucleotide-based genome-wide association studies using linear mixed models to discover resistance-conferring mechanisms not currently catalogued. Use of MIC over binary resistance phenotypes increased sample heritability for the new and repurposed drugs by 26% to 37%, increasing our ability to detect novel associations. For all drugs, we discovered uncatalogued variants associated with MIC, including in the *Rv1218c* promoter binding site of the transcriptional repressor *Rv1219c* (isoniazid), upstream of the *vapBC20* operon that cleaves 23S rRNA (linezolid) and in the region encoding an α-helix lining the active site of CypT42 (clofazimine, all $p < 10^{-7.7}$). We observed that artefactual signals of cross-resistance could be unravelled based on the relative effect size on MIC. Our study demonstrates the ability of very large-scale studies to substantially improve our knowledge of genetic variants associated with antimicrobial resistance in *M. tuberculosis*.
**Introduction**
Tuberculosis (TB) continues to represent a major threat to global public health, with the World Health Organization (WHO) estimating 10 million cases and 1.4 million deaths in 2019 alone [1]. Multidrug resistance (MDR) poses a major challenge to tackling TB; it is estimated that there were 465,000 cases of rifampicin-resistant TB in 2019, of which 78% were resistant...
Funding: This work was supported by Wellcome Trust/Newton Fund-MRC Collaborative Award (200205/Z/15/Z), Bill & Melinda Gates Foundation Trust (OPP1133541). Oxford CRyPTIC consortium members are funded/supported by the National Institute for Health Research (NIHR) Oxford Biomedical Research Centre (BRC), the views expressed are those of the authors and not necessarily those of the NHS, the NIHR or the Department of Health, and the National Institute for Health Research (NIHR) Health Protection Research Unit in Healthcare Associated Infections and Antimicrobial Resistance, a partnership between Public Health England and the University of Oxford, the views expressed are those of the authors and not necessarily those of the NIHR, Public Health England or the Department of Health and Social Care. J.M. is supported by the Wellcome Trust (203919/Z/16/Z). Z.Y. is supported by the National Science and Technology Major Project, China Grant No. 2018ZX10103001. K.M.M. is supported by EMBL’s EIPOD3 programme funded by the European Union’s Horizon 2020 research and innovation programme under Marie Skłodowska Curie Actions. T.C.R. is funded in part by funding from Unifaird Grant No. 2019-32-FIND MDR. R.S.O. is supported by FAPESP Grant No. 17/16082-7. L.F. received financial support from FAPESP Grant No. 2012/51756-5. B.Z. is supported by the National Natural Science Foundation of China (81991534) and the Beijing Municipal Science & Technology Commission (Z20110000520041). N.T.T.T. is supported by the Wellcome Trust International Intermediate Fellowship (206724/Z/17/Z). G.T. is funded by the Wellcome Trust. R.W. is supported by the South African Medical Research Council. J.C. is supported by the Rhodes Trust and Stanford Medical Scientist Training Program (T32 GM007385). A.L. is supported by the National Institute for Health Research (NIHR) Health Protection Research Unit in Respiratory Infections at Imperial College London. S.G.L. is supported by the Fonds de Recherche en Santé du Québec. C.N. is funded by Wellcome Trust Grant No. 203583/Z/16/Z. A.V.R. is supported by Research Foundation Flanders (FWO) under Grant No. G0F8316N (FWO Odysseus). G.M. was supported by the Wellcome Trust (098316, 214321/Z/18/Z, and 203135/Z/16/Z), and the South African Research Chair Initiative of the Department of Science and Technology and National Research Foundation (NRF) of South Africa (Grant No. 64787). The funders had no role in the study design, data collection, data analysis, data interpretation, or writing of this report. The opinions, findings and conclusions expressed in this manuscript reflect those of the authors alone.
Genome-wide association studies of *M. tuberculosis* resistance to thirteen antimicrobials
to the first-line drugs rifampicin and isoniazid—called MDR-TB [1]. While treatment is 85% successful overall, that drops to 57% for rifampicin-resistant and MDR-TB [1]; underdiagnosis and treatment failures then amplify the problem by encouraging onward transmission of MDR-TB [2]. New treatment regimens for MDR-TB are therefore an important focus, introducing new and repurposed drugs such as bedaquiline, clofazimine, delamanid, and linezolid [3,4]; however, resistance is already emerging [5–7].
Understanding mechanisms of resistance in TB is important for developing rapid susceptibility tests that improve individual patient treatment, recommending drug regimens that reduce the development of MDR and developing new and improved drugs that expand treatment options [8,9]. Genomics can accelerate drug susceptibility testing, replacing slower culture-based methods by predicting resistance from the sequenced genome rather than directly phenotyping the bacteria [10]. Genome sequencing-based susceptibility testing for first-line drugs has achieved sensitivities of 91.3% to 97.5% and specificities of 93.6% to 99.0% [11], surpassing the thresholds for clinical accreditation, motivating its adoption by multiple public health authorities [12]. In low-resource settings, molecular tests such as Cepheid GeneXpert and other line probe assays offer rapid and more economical susceptibility testing by genotyping a panel of known resistance-conferring genetic variants [13], with performance close to that achieved by whole-genome sequencing [14,15]. However, the limited number of resistance-conferring mutations that can be included in such tests can lead to missed MDR diagnoses and incorrect treatment [11,16]. Both approaches rely on the development and maintenance of resistance catalogues of genetic variants [11,17].
In the discovery of resistance-conferring variants, traditional molecular approaches have been replaced by high-throughput, large-scale whole-genome sequencing studies of hundreds to thousands of resistant and susceptible clinical isolates [18–23]. Despite the strong performance of genome-based resistance prediction for first-line drugs, knowledge gaps remain, especially for second-line drugs [17,24,25]. There are numerous challenges in the pursuit of previously uncatalogued resistance mechanisms. Very large sample sizes are needed to identify rarer resistance mechanisms with confidence. The lack of recombination in *Mycobacterium tuberculosis* makes it difficult to pinpoint resistance variants unless they arise on multiple genetic backgrounds, reiterating the need for large sample sizes. Sophisticated analyses are required that attempt to disentangle genetic causation from correlation [26]. A reliance on a binary resistance/sensitivity classification paradigm has hindered reproducibility for some drugs by failing to mirror the continuous nature of resistance [27–29].
The aim of Comprehensive Resistance Prediction for Tuberculosis: An International Consortium (CRyPTIC) was to address these challenges by assembling a global collection of over 10,000 *M. tuberculosis* isolates from 27 countries followed by whole-genome sequencing and semiquantitative determination of minimum inhibitory concentration (MIC) to 13 first- and second-line drugs using a bespoke 96-well broth micodilution plate assay. The development of novel, inexpensive, high-throughput drug susceptibility testing assays allowed us to conduct the project at scale, while investigating MIC on a grid of 2-fold concentration dilutions [30,31]. Here, we report the identification of previously uncatalogued resistance-conferring variants through 13 genome-wide association studies (GWAS) investigating MIC values in 10,228 *M. tuberculosis* isolates. We identify these discoveries relative to specific catalogues for the sake of concreteness and tractability, while acknowledging the catalogues do not include all credible resistance mechanisms known from the literature; we expand on this limitation in the Discussion. Our analyses employed a linear mixed model (LMM) to identify putative causal variants while controlling for confounding and genome-wide linkage disequilibrium (LD) [20,32]. We developed a novel approach to testing associations at both 10,510,261 oligopeptides (11-mers) and 5,530,210 oligonucleotides (31-mers) to detect relevant genetic
L.G. was supported by the Wellcome Trust (201470/Z/16/Z), the National Institute of Allergy and Infectious Diseases of the National Institutes of Health under award number 1R01AI146338, the GOSH Charity (V00921) and the GOSH/CH Biomedical Research Centre (www.nhr.ac.uk). A.B. is funded by the NOM Prize Studentship from the Oxford Medical Research Council Doctoral Training Partnership and the Nuffield Department of Clinical Medicine. D.J.W. is supported by a Sir Henry Dale Fellowship jointly funded by the Wellcome Trust and the Royal Society (Grant No. 101237/Z/13/B) and by the Robertson Foundation. A.S.W. is an NIHR Senior Investigator. T.M.W. is a Wellcome Trust Clinical Career Development Fellow (214560/Z/18/Z). A.S.L. is supported by the Rhodes Trust. R.J.W. receives funding from the Francis Crick Institute which is supported by Wellcome Trust, (FC0010218), UKRI (FC0010218), and CRUK (FC0010218). T.C. has received grant funding and salary support from US NIH, CDC, USAID and Bill and Melinda Gates Foundation. The computational aspects of this research were supported by the Wellcome Trust Core Award Grant Number 203141/Z/16/Z and the NIHR Oxford BRC. Parts of the work were funded by the German Center of Infection Research (DZIF). The Scottish Mycobacteria Reference Laboratory is funded through National Services Scotland. The Wadsworth Center contributions were supported in part by Cooperative Agreement No. U60OE000103 funded by the Centers for Disease Control and Prevention through the Association of Public Health Laboratories and NIH/NIAID grant AI-117312. Additional support for sequencing and analysis was contributed by the Wadsworth Center Applied Genomic Technologies Core Facility and the Wadsworth Center Bioinformatics Core. SYNLAB Holding Germany GmbH for its direct and indirect support of research activities in the Institute of Microbiology and Laboratory Medicine Gauting. N.R. thanks the Programme National de Lutte contre la Tuberculose de Madagascar. The funders had no role in study design (except through the normal peer review feedback process), data collection and analysis, decision to publish (except that it is understood that results of the study would be published in the normal way), or preparation of the manuscript.
Competing interests: I have read the journal’s policy and the authors of this manuscript have the following competing interests: E.R. is employed by Public Health England and holds an honorary contract with Imperial College London. I.F.L. is Director of the Scottish Mycobacteria Reference Laboratory. S.N. receives funding from German Center for Infection Research, Excellence Cluster variation in both coding and non-coding sequences and to avoid a reference-based mapping approach that can inadvertently miss significant variation. We report previously uncatalogued variants associated with MIC for all 13 drugs, focusing on variants in the 20 most significant genes per drug. We highlight notable discoveries for each drug and demonstrate the ability of large-scale studies to improve our knowledge of genetic variants associated with antimicrobial resistance in *M. tuberculosis*.
Results
CRyPTIC collected isolates from 27 countries worldwide, oversampling for drug resistance [31]. A total of 10,228 genomes were included in total across the GWAS analyses: 533 were lineage 1; 3,581 were lineage 2; 805 were lineage 3; and 5,309 were lineage 4. Due to rigorous quality control, we dropped samples for each drug as detailed in the methods, resulting in a range of 6,388 to 9,418 genomes used in each GWAS, for which we constructed a phylogeny (Fig 1A). MICs were determined on a grid of 2-fold concentration dilutions for 13 antimicrobials using quantitative microtiter plate assays: first-line drugs: ethambutol, isoniazid, and rifampicin; second-line drugs: amikacin, ethionamide, kanamycin, levofloxacin, moxifloxacin, and rifabutin; and the new and repurposed drugs: bedaquiline, clofazimine, delamanid, and linezolid. The phenotype distributions differed between the drugs, with low numbers of sampled resistant isolates for the new and repurposed drugs that have not yet been widely used in TB treatment (Figs 1B and S1). Applying epidemiological cutoffs (ECOFFS) to the MIC [31], the GWAS featured 66 isolates resistant to bedaquiline, 97 resistant to clofazimine, 77 resistant to delamanid, and 67 resistant to linezolid. We performed oligopeptide- and oligonucleotide-based GWAS analyses, controlling for population structure using LMMs. We focused initially on oligopeptides, interpreting oligonucleotides only where necessary for clarifying results.
Estimates of sample heritability (variance in the phenotype explained by additive genetic effects) were higher for MIC compared to binary resistant versus sensitive phenotypes for the new and repurposed drugs bedaquiline, clofazimine, delamanid, and linezolid by at least 26%. Across drugs, binary heritability ranged from 0% to 94.7% and MIC heritability from 36.0% to 95.6%, focusing on oligopeptides (Figs 2 and S2 and S1 Table). For delamanid, binary heritability was not significantly different from zero (2.99 × 10⁻⁶; 95% confidence interval (CI) 0.0% to 0.5%), while MIC heritability was 36.0% (95% CI 28.9% to 43.1%). Estimates of sample heritability were more similar between binary and MIC phenotypes for the remaining drugs, differing by ~3.6% to +5.2%.
GWAS identified oligopeptide variants associated with changes in MIC for all 13 drugs after controlling for population structure (Table 1 and Figs 3, S3 and S4). In total, across the drugs, we tested for associations at 10,510,261 variably present oligopeptides and 5,530,210 oligonucleotides; these captured substitutions, insertions, and deletions. The drugs differed in the number of genes or intergenic regions that were significant, the drugs with fewest significant genes being isoniazid (12), levofloxacin (13), and moxifloxacin (6). We defined the significance of a gene or intergenic region by the most significant oligopeptide within it and assessed all significant variants above a 0.1% minor allele frequency (MAF) threshold for the top 20 significant genes. The top 20 genes for each drug are detailed in Table 1. Some variants were identified in novel genes, some were novel variants in known genes, and some were known variants. We highlight examples of these (in reverse order) in the following sections. Highlighted examples have been chosen to exclude genes or variants in LD with other regions where possible; some are in LD with other less significant variants.
We assessed whether the top genes for each drug were in either of 2 previously described resistance catalogues [11,17]; we describe variants in genes not in these catalogues as
Precision Medicine in Chronic Inflammation, Leibniz Science Campus Evolutionary Medicine of the LUNGS (EvoLUNG) EXC 2167. P.S. is a consultant at Genoscreen. T.R. is funded by NIH and DoD and receives salary support from the non-profit organization FIND. T.R. is a co-founder, board member and shareholder of Verus Diagnostics Inc., a company that was founded with the intent of developing diagnostic assays. Verus Diagnostics was not involved in any way with data collection, analysis or publication of the results. T. R. has not received any financial support from Verus Diagnostics. UCSD Conflict of interest office has reviewed and approved T.R.’s role in Verus Diagnostics Inc. T.R. is a co-inventor of a provisional patent for a TB diagnostic assay (provisional patent #: 63/048,989). T.R. is a co-inventor on a patent associated with the processing of TB sequencing data (European Patent Application No. 14840432.0 & USMN 14/912,918). T.R. has agreed to “donate all present and future interest in and rights to royalties from this patent” to UCSD to ensure that he does not receive any financial benefits from this patent. S.S. is working and holding ESOPs at HaystackAnalytics Pvt. Ltd. (Product: Using whole genome sequencing for drug susceptibility testing for Mycobacterium tuberculosis). G.F.G. is listed as an inventor on patent applications for RBD-dimer-based CoV vaccines. The patents for RBD-dimers as protein subunit vaccines for SARS-CoV-2 have been licensed to Anhui Zhifei Longcom Biopharmaceutical Co. Ltd., China.
Abbreviations: CI, confidence interval; ECOFF, epidemiological cutoff; FWER, family-wide error rate; GWAS, genome-wide association studies; LD, linkage disequilibrium; LMM, linear mixed model; MAF, minor allele frequency; MDR, multidrug resistance; MIC, minimum inhibitory concentration; MPTR, major polymorphic tandem repeat; NO, nitric oxide; TB, tuberculosis; WHO, World Health Organization.
uncatalogued (Table 1). The interpretation of oligopeptides and oligonucleotides required manual curation to determine the underlying variants they tagged; the most significant oligopeptide or oligonucleotide for each allele captured by the significant signals are described in S1 Data. For 8/13 drugs with previously catalogued resistance determinants, the most significant GWAS signal in CRyPTIC was a previously catalogued variant, consistent with previous GWAS in *M. tuberculosis* [18–23]. The most significant catalogued variants for each drug were (lowercase for nucleotides, uppercase for amino acids): *rrs* a1401g (amikacin, kanamycin), *embB* M306V (ethambutol), *fabG1* c−15t (ethionamide), *katG* S315T (isoniazid), *gyrA* D94G (levofloxacin, moxifloxacin), and *pboB* S450L (rifampicin) [11,17]. For the remaining drugs, which had no resistance determinants in the catalogues to which we referred [11,17], the genes identified by the top signals were: *Rv0678* (bedaquiline, clofazimine), *ddn* (delamanid), *rplC* (linezolid), and *pboB* (rifabutin). However, for all these associations, there does exist credible evidence elsewhere in the literature (e.g., [85,86]). The top variants identified for each drug were all significant at $p < 1.04 \times 10^{-15}$.
For many drugs, the most significant oligopeptide was high frequency, and the direction of effect was to decrease MIC relative to alternative alleles (S5 Fig). This implies that oligopeptides and oligonucleotides associated with lower MIC are more likely to be genetically identical across strains than those associated with higher MIC. This would be consistent with the independent evolution of increased MIC from a shared, low-MIC TB ancestor. Often there were multiple low-frequency oligopeptides mapping to the same positions, supporting this idea.
Uncatalogued variants significantly associated with MIC are important because they could improve resistance prediction and shed light on underlying resistance mechanisms; they may be novel or previously implicated in resistance but not to a standard of evidence sufficient to be catalogued. We discuss the choice of catalogues in the Discussion [11,17].
We next looked at uncatalogued variants in known resistance-conferring genes. We identified uncatalogued variants in *gyrB* associated with levofloxacin and moxifloxacin MIC (minimum p-value levofloxacin: $p < 10^{-15.6}$, moxifloxacin: $p < 10^{-11.6}$). The primary mechanisms of resistance to the fluoroquinolones levofloxacin and moxifloxacin are mutations in *gyrA* or *gyrB*, the subunits of DNA gyrase. The *gyrB* Manhattan plots for levofloxacin and moxifloxacin both contained 2 adjacent peaks within the gene, but for each drug just 1 of the 2 peaks was significant, and these differed between the drugs (Fig 4). Interpretation of oligopeptides and oligonucleotides requires an understanding of the variants that they capture, which we visualised by aligning them to H37Rv and interpreting the variable sites (e.g., Fig 4C and 4D). For levofloxacin, the peak centred around amino acid 461. Significant oligopeptides captured amino acids 461 and 457, which are both uncatalogued [11,17] with 457 falling just outside of the *gyrB* quinolone resistance-determining region (QRDR-B) [33]. Oligopeptides capturing 461N were associated with increased MIC (e.g., NSAGGSAKSGR, $-\log_{10} \beta = 15.65$, effect size $\beta = 2.46$, present in 15/7,300 genomes). Oligopeptides capturing the reference alleles at codons 461 and 457 were significantly associated with lower MIC (e.g., 461D: DSAGGSAKSGR, $-\log_{10} \beta = 13.47$, $\beta = -2.14$, present in 7,278/7,300 genomes; 457V/461D: SELYYVVEGDSA, $-\log_{10} \beta = 12.51$, $\beta = -1.96$, present in 7,272/7,300 genomes). For moxifloxacin, the peak centred around amino acid 501. Significant oligopeptides captured amino acids 499 and 501. Oligopeptides capturing 501D were associated with increased MIC (e.g., NTDVQAIITAL, $-\log_{10} \beta = 10.64$, $\beta = 1.86$, present in 2/3,688 genomes). Oligopeptides capturing the reference allele at codons 499 and 501 were associated with lower MIC (e.g., NTEVQAIITAL, $-\log_{10} \beta = 11.63$, $\beta = -1.33$, present in 6,332/6,388 genomes). Amino acids 461 and 501 are at the interface between *gyrB* and the bound fluoroquinolone [34]. *gyrB* is included in the reference catalogues for predicting levofloxacin (including D461N) but not moxifloxacin resistance;
therefore, our results support inclusion of *gyrB* (in particular E501D) in future moxifloxacin catalogues [11,17].
Next, we looked at specific examples of significant associations identified by GWAS in genes not catalogued by [11,17] for each of the drugs. A well-recognized challenge in GWAS for antimicrobial resistance is the presence of artefactual cross-resistance. To mitigate this risk, we preferentially highlight variants significantly associated with a single drug. However, many catalogued resistance variants demonstrated artefactual cross-resistance. For example, variants in the rifampicin resistance-determining region were in the top 20 significant associations for all drugs except for delamanid (Table 1). Interestingly, we observed that the magnitude of effect sizes was often larger on MIC of the drug to which catalogued variants truly confer resistance (S6 Fig). For example, the effect sizes for significant oligopeptides in *rpoB* were greater for rifampicin and rifabutin than for all other drugs. This suggests that the β estimates could help to prioritise drugs for follow up when genes are significantly associated with multiple drugs.
**First-line drugs**
**Ethambutol and rifampicin.** Oligonucleotides downstream of *spoU* (*Rv3366*) were significantly associated with ethambutol and rifampicin MIC (minimum p-value $p < 10^{-10.0}$, S7 Fig). SpoU is a tRNA/rRNA methylase, shown to have DNA methylation activity [35]. As the association was outside of the coding region, we interpreted oligonucleotides for this
association. Oligonucleotides associated with increased MIC captured the relatively common adenine 20 nucleotides downstream of the stop codon (e.g., CAAACCAGCCGGTATGCGCACAACG AAGCTC, RIF: $-\log_{10}p = 12.82$, $\beta = 3.19$, present in 159/8,394 genomes; EMB: $-\log_{10}p = 10.86$, $\beta = 1.36$, present in 163/7,081 genomes). This mutation has been identified in previous association studies as associated with rifampicin and ethambutol resistance [36,37] but has not been catalogued. The new evidence provided by CRYPTIC supports reevaluation of this putative resistance-conferring variant. The simultaneous association of spoU with rifampicin and ethambutol may be an example of artefactual cross-resistance. The effect sizes on MIC for rifampicin ($\beta = 3.19$) were larger than for ethambutol ($\beta = 1.36$), suggesting prioritisation of the rifampicin association over the ethambutol association reported here.
**Isoniazid.** Oligopeptides associated with *Rv1219c* were significantly associated with isoniazid MIC (minimum p-value $p < 10^{-8.5}$, S8 Fig). *Rv1219c* represses transcription of the *Rv1217c*-Rv1218c multidrug efflux transport system [38]. It binds 2 motifs, a high-affinity intergenic sequence in the operon’s promoter and a low-affinity intergenic sequence immediately upstream of *Rv1218c* [38]. The peak signal of association coincides with the C-terminal amino acids 188 to 189 in the low-affinity binding domain of *Rv1219c*. Multiple extremely low-frequency oligopeptides were associated with increased MIC, present in just 1 or 2 genomes. In
Table 1. The top genes or intergenic regions ranked by their most significant oligopeptides per drug, up to a maximum of 20 (more only when the 20th was tied). Genes are highlighted in bold if they were catalogued for that drug by [11,17]. Gene names separated by colons indicate intergenic regions. Genes or intergenic regions capturing repeat regions are highlighted with the superscript “R”. Alphabetic characters following gene names are used to cross-reference with the corresponding Manhattan plots in Fig 3.
| Drug | Top significant genes and intergenic regions |
|---------------|-------------------------------------------------------------------------------------------------------------|
| **First-line**| |
| Ethambutol | *embB*, *rpoB* (A), *katG* (B), *emhA*, *pncA* (C), *gyrA* (D), *rplD* (E), *Rv1565c* (F), *Rv2478c*Rv2481c (G), *Rv1752* (H), *Rv3183c*Rv3188* (I), *dss2c*Rv3382c* (J), *rpsA*;*coad* (K), *ctp* (L), *guaA* (M), *moaC*3 (N), *rps32* (O), *lprvRv1371* (P), *fadG1* (Q), *gpk* (R) |
| Isoniazid | *katG*, *proA*;*ahpC*, *fadG1*, *rpoB* (A), *inhA*, *emhB* (B), *Rv1139c*Rv1140 (C), *Rv1158c* (D), *rpsL* (E), *Rv1219c* (F), *ftc*K*Rv2749* (G), *gid* (H) |
| Rifampicin | *rpoB*, *katG* (A), *embB* (B), *Rv1565c* (C), *guaA* (D), *ctp* (E), *gpoU* (F), *dss2c*Rv3382c* (G), *Rv3183c*Rv3188* (H), *relA* (I), *proA*;*ahpC* (J), *fadG1* (K), *moaC*3;*Rv3322* (L), *Rv0810c* (M), *fadD* (N), *Rv3579* (O), *rpsL* (P), *rpoC* (Q), *Rv2196c*Rv2191* (R) |
| **Second-line**| |
| Amikacin | *rrs*, *gyrA* (A), *rpoB* (B), *ehaA* (C), *Rv2986c* (D), *Rv0784a* (E), *Rv1830* (F), *Rv792c*Rv0793* (G), *PPE44* (H), *Rv2041* (I), *PPE42* (J), *cyp141*Rv1122* (K), *Rv1765c* (L), *lprvRv1371* (M), *espA*;*phk* (N), *mraU* (O), *me* (P), *Rv1393c* (Q), *Rv1362c* (R), *Rv6759* (S), *ghbE* (T), *ethA* (U), *Rv0208c*;*Rv0209* (V) |
| Ethionamide | *fadG1* (A), *ethA* (A), *rpoB* (B), *gyrA* (C), *inhA* (D), *whiB*? (E), *PPE31* (F), *mpgS*3 (G), *emhB* (H), *accA*1 (I), *emhA*1 (J), *Rv0655c* (K), *fadB4* (L), *pnc*2 (M), *Rv0920c* (N), *Rv3698* (O), *rr* (P), *pca*2 (Q), *PPE56* (R), *Rv2019* (S), *lprvRv1371* (T) |
| Kanamycin | *rrs*, *eis*, *gyrA* (A), *rpoB* (B), *elhA* (C), *fahG1* (D), *Rv1830* (E), *ptbB* (F), *PPE42* (G), *cyaA*8 (H), *lprF*;*Rv1371* (I), *Rv2348c*p;*lc* (J), *narL* (K), *pgi* (L), *mmaA*4 (M), *pncA* (N), *viub* (O), *lprC* (P), *mraU* (Q), *Rv1393c* (R), *Rv0579* (S), *ghbE* (T), *rne* (U), *Rv1362c* (V), *Rv0208c*Rv0209* (W) |
| Levofloxacin | *gyrA*1, *rrs* (A), *gyrB*, *emhB* (B), *rpoB* (C), *vapC36* (D), *mce2F* (E), *fadG1* (F), *katG* (G), *foC* (H), *thyA* (I), *ethA* (J), *Rv0228* (K) |
| Moxifloxacin | *gyrA*1, *rrs* (A), *rpoB* (B), *gyrB* (C), *emhB* (D), *katG* (E) |
| Rifabutin | *rpoB*, *emhB* (A), *katG* (B), *rpoC* (C), *Rv0810c* (D), *Rv2478c*Rv2481c* (E), *Rv2647*Rv2650c* (F), *rplP* (G), *Rv2797c* (H), *cyp1*1 (I), *lysA* (J), *mpri*1 (K), *mpri*2 (L), *Rv3228* (M), *Rv1290c* (N), *pncA* (O), *Rv2272c*p;*fb* (P), *Rv0272c* (Q), *cyaA3*cyaA2* (R), *Rv0944c* (S) |
| **New and repurposed**| |
| Bedaquiline | *Rv0678*, *rpoB* (A), *rrs* (B), *atpE* (C), *pgi* (D), *mmaA*4 (E), *rplC* (F), *Rv0078a* (G), *arlamia1*2 (H), *viuB* (I), *pncA* (J), *mraU* (K), *Rv0792c*Rv0793* (L), *dnuB* (M), *Rv2665c*p;*lc*2 (N), *PPE54* (O), *Rv3032* (P), *Rv2019* (Q), *vapC22* (R), *Rv2896c* (S) |
| Clofazimine | *Rv0678*, *fadB1* (A), *gyrA*142 (B), *Rv3183c*Rv3188* (C), *moaC*3;*Rv3322* (D), *dss2c*Rv3382c* (E), *mmaA* (F), *Rv2723*Rv3725* (G), *gid* (H), *rpoB* (I), *pks1* (J), *mmaA2*;*mmaA1* (K), *Rv273* (L), *mcc3R*;*ybb3A*3 (M), *Rv3796* (N), *mez* (O), *Rv2390c* (P), *ybpB*38 (Q), *Rv0207c* (R), *argS* (S) |
| Delamanid | *ddn*, *fadE22* (A), *fha* (B), *Rv1280c* (C), *gap* (D), *lprF*;*Rv1371* (E), *Rv0914c* (F), *Rv1200* (G), *fadE10* (H), *dinP* (I), *mmpL3* (J), *catI*1 (K), *PPE39* (L), *Rv3430a*;*agdAB* (M), *Rv1429* (N), *Rv3847* (O), *pksA* (P), *pdc*2 (Q), *argS* (R), *Rv3263* (S) |
| Linezolid | *rplC*, *rpoB* (A), *emhB* (B), *Rv3552* (C), *add* (D), *vapC33* (E), *mpgK* (F), *pncB1*Rv1331* (G), *lprA* (H), *pafA*1 (I), *Pe_PGRS6* (J), *vapB20* (K), *Rv0086c*1 (L), *Pe_PGRS4* (M), *Rv1049* (N), *lprvRv1371* (O), *Rv3183c*Rv3188* (P), *dss2c*Rv3382c* (Q), *Rv0556* (R), *Rv0314* (S) |
https://doi.org/10.1371/journal.pbio.3001755.t001
In contrast, oligopeptides containing the reference alleles at codons 188 to 189 were present in 8,919/8,929 genomes and strongly associated with decreased MIC (e.g., EVYTEGILLADR, $-\log_{10} p = 8.46$, $\beta = -3.63$, present in 8,919/8,929 genomes). Substitutions at these positions may therefore derepress the multidrug efflux transport system. Indeed, overexpression of Rv1218c has been observed to correlate with higher isoniazid MIC in vitro [39].
**Second-line drugs**
**Amikacin and kanamycin.** Oligopeptides in *PPE42* (*Rv2608*) were significantly associated with aminoglycoside MIC, for both amikacin and kanamycin (minimum $p$-value $p < 10^{-12.8}$,
Fig 3. Manhattan plots of regions containing oligopeptide variants associated with MIC across 13 drugs. Significant oligopeptides are coloured by the direction (orange = increase; blue = decrease) and magnitude of their effect size on MIC, estimated by LMM [32]. Bonferroni-corrected significance thresholds are shown by the black dashed lines. The top 30 genes ranked by their most significant oligopeptides are annotated alphabetically. Gene names separated by colons indicate intergenic regions. Gene names for those annotated with letters can be found in Table 1. Oligopeptides were aligned to the H37Rv reference;
unaligned oligopeptides are plotted to the right in light grey. LMM, linear mixed model; MIC, minimum inhibitory concentration.
https://doi.org/10.1371/journal.pbio.3001755.g003
S9 Fig. PPE42 is an outer membrane-associated PPE-motif family protein and potential B cell antigen. It elicits a high humoral and low T-cell response [40] and is 1 of 4 antigens in the vaccine candidate ID93 [41]. The C-terminal major polymorphic tandem repeats (MPTRs) contain a region of high antigenicity [40]. The peak association with MIC occurred halfway along the coding sequence. The oligopeptides most associated with higher MIC captured a premature stop codon at position 290 (e.g., PLLE* AARFIT, amikacin $-\log_{10}\beta = 11.25$, $\beta = 3.12$,
Fig 4. Interpreting significant oligopeptide variants for levofloxacin and moxifloxacin MIC in gyrB. Oligopeptide Manhattan plots are shown for (A) levofloxacin and (B) moxifloxacin. Oligopeptides are coloured by the reading frame that they align to, black for in frame and grey for out of frame in gyrB. Oligopeptides aligned to the region by nucmer but not realigned by BLAST are shown in grey on the right-hand side of the plots. The black dashed lines indicate the Bonferroni-corrected significance thresholds—all oligopeptides above the line are genome-wide significant. Alignment is shown of oligopeptides significantly associated with (C) levofloxacin and (D) moxifloxacin. The H37Rv reference codons are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The background colour of the oligopeptides represents the direction of the $\beta$ estimate, light grey when $\beta < 0$ (associated with lower MIC), dark grey when $\beta > 0$ (associated with higher MIC). Oligopeptides are coloured by their amino acid residue at variant positions only. MIC, minimum inhibitory concentration.
https://doi.org/10.1371/journal.pbio.3001755.g004
present in 38/8,430 genomes; kanamycin $-\log_{10}p = 10.25$, $\beta = 2.33$, present in 40/8,748 genomes). A nearby premature stop codon at amino acid 484 was previously identified in a multidrug-resistant strain [42], supporting the proposition that truncation of PPE42 enhances aminoglycoside resistance.
**Ethionamide.** Oligopeptides and oligonucleotides upstream and within the transcriptional regulator *whiB7* (*Rv3197A*) were significantly associated with ethionamide MIC (minimum $p$-value $p < 10^{-18.2}$, S10 Fig). Oligonucleotides associated with higher MIC captured a single-base guanine deletion 177 bases upstream of *whiB7*, within the 5' untranslated region [43] (e.g., AACCGTGTCGCCGGCCGGGACTGACGAGTCTC, $-\log_{10}p = 18.18$, $\beta = 2.16$, present in 46/8,287 genomes), while oligopeptides associated with higher MIC captured multiple substitutions within the AT-hook motif known to bind AT-rich sequences [44,45] (e.g., DQGSIVSQHQP, $-\log_{10}p = 10.85$, $\beta = 1.96$, present in 22/8,287 genomes). Substitutions in the AT-hook motif may disrupt the binding with the *whiB7* promoter sequence, while deletions upstream of *whiB7* have been shown to result in overexpression of WhiB7 [46]. WhiB7 is induced by antibiotic treatment and other stress conditions and activates its own expression along with other drug resistance genes, for example, *tap* and *erm* [45]. Variants in and upstream of another *whiB*-like transcriptional regulator, *whiB6*, were previously found to be associated with resistance to ethionamide [19,47], capreomycin, amikacin, kanamycin, and ethambutol [22,23]. WhiB7 has been implicated in cross-resistance to multiple drugs, including macrolides, tetracyclines, and aminoglycosides [45,46]; however, activation of WhiB7 is not induced by all antibiotics, for example, isoniazid [43]. Interestingly, oligopeptides and oligonucleotides in or upstream of *whiB7* were not found to be significantly associated with any of the other 12 antimicrobials. This could indicate yet another mechanism by which *whiB7* is involved in resistance to anti-TB drugs.
**Levofloxacin.** Oligopeptides in *tlyA* (*Rv1694*) were significantly associated with MIC of the fluoroquinolone levofloxacin (minimum $p$-value $p < 10^{-7.8}$, S11 Fig). *tlyA* encodes a methyltransferase that methylates ribosomal RNA. Variants in *tlyA*, including loss-of-function mutations, confer resistance to the aminoglycosides viomycin and capreomycin [48] by knocking out its methyltransferase activity [49].
An extremely low-frequency oligopeptide was associated with increased MIC and captured a 1-nucleotide adenosine insertion between positions 590 and 591 in codon 198 in a conserved region [50]. In contrast, oligopeptides containing the reference alleles in this region were associated with decreased MIC (e.g., GKGQVGPGGVV, $-\log_{10}p = 7.83$, $\beta = -1.86$, present in 7,281/7,300 genomes). The resulting frameshift likely mimics the knockout effect of deleting the 27 C-terminal residues of TlyA, which ablates methyltransferase activity [51]. While loss-of-function mutations conferring antimicrobial resistance were previously reported to specifically increase aminoglycoside MIC, fluoroquinolones were not investigated [52]. The signal in *tlyA* may therefore reveal genuine, previously unidentified cross-resistance.
**Rifabutin.** Oligonucleotides in *cysA2* (*Rv0815c*) and *cysA3* (*Rv3117*) were significantly associated with rifabutin MIC (minimum $p$-value $p < 10^{-7.3}$, S12 Fig). They encode identical proteins, which are putative uncharacterised thiosulfate: cyanide sulfurtransferases, known as rhodanases, belonging to the essential sulfur assimilation pathway, secreted during infection [53]. No genome-wide significant signals associated specific oligopeptides or oligonucleotides with higher MIC. Significant oligonucleotides that aligned to *cysA2* and *cysA3* were associated with lower MIC. They captured 2 variants: a synonymous nucleotide substitution, a thymine at position 117 in codon 39, and a non-synonymous nucleotide substitution, a guanine at position 103 inducing amino acid substitution 35D (e.g., CATATGACCGTGACCA-TATTGCCGGCGGAT, $-\log_{10}p = 7.74$, $\beta = -2.65$, present in 9,396/9,418 genomes). These positions coincide with the rhodanase characteristic signature in the N-terminal region,
important for rhodanese stability [54]. However, the mechanism of resistance against rifabutin remains to be elucidated.
**New and repurposed drugs**
**Bedaquiline.** Oligonucleotides situated in the region of overlap at the 3′ ends of *amiA2* (*Rv2363*) and *era* (*Rv2364c*) were significantly associated with bedaquiline MIC (minimum $p$-value $p < 10^{-10.8}$, S13 Fig). These genes encode an amidase and a GTPase, respectively, on opposite strands. Of the 2 top oligonucleotides associated with higher MIC, the first captures 2 substitutions that are synonymous in *era*, 7 to 19 nucleotides upstream of the stop codon, and 3′ noncoding in *amiA2*, 4 to 16 nucleotides downstream of the stop codon (e.g., CCCCAAA-CAGCITGGCCGACTGGGGTTTTAG, $-\log_{10} p = 10.47$, $\beta = 1.26$, present in 7,919/8,009 genomes). The second additionally captures a variant that induces a non-synonymous guanine substitution at position 1,451 in *amiA2*, and is 3′ intergenic in *era*, 1 nucleotide downstream of the stop codon (e.g., CAAACAGCITGGCCGACTGGGGTTTTAGCTC, $-\log_{10} p = 7.87$, $\beta = 0.88$, present in 7,989/8,009 genomes). Interestingly, AmiA2 has previously been identified at lower abundance in MDR compared to sensitive isolates [55], and Era (but not AmiA2) has been shown to be required for optimal growth of H37Rv [56]. These variants may therefore enhance tolerance to bedaquiline.
**Clofazimine.** Oligopeptides in *cyp142* (*Rv3518c*), which encodes a cytochrome P450 enzyme with substrates of cholesterol/cholest-4-en-3-one, were significantly associated with clofazimine MIC (minimum $p$-value $p < 10^{-12.2}$, S14 Fig). Oligopeptides associated with higher MIC captured the amino acid residue 176I (e.g., EDQFITD1DAFA, $-\log_{10} p = 7.99$, $\beta = 1.14$, present in 100/7,297 genomes). The association signal falls within the F α-helix of CYP142, which lines the entrance to the active site with largely hydrophobic residues, forming part of the substrate binding pocket [57,58]. Homology with CYP125 suggests that residue 176 captured by the GWAS is within 5 Å of the binding substrate [58]. The potential for cytochrome P450 enzymes as targets for anti-TB drugs has been highlighted [59]; CYP142 is inhibited by azole drugs [59] and has been found to form a tight complex with nitric oxide (NO) [60]. The anti-mycobacterial activity of clofazimine has been shown to produce reactive oxygen species [61]; therefore, the substitution identified by the GWAS may disrupt the binding of NO to CYP142. Methionine and isoleucine are both hydrophobic residues, so the mechanism for how this would disrupt binding is unknown.
**Delamanid.** Oligonucleotides in *pknH* (*Rv1266c*), which encodes a serine/threonine-protein kinase, were significantly associated with delamanid MIC (minimum $p$-value $p < 10^{-30.2}$, S15 Fig). Delamanid is a prodrug activated by deazaflavin-dependent nitroreductase that inhibits cell wall synthesis. PknH phosphorylates the adjacent gene product EmbR [62], enhancing its binding of the promoter regions of the *embCAB* operon [63]. Mutations in *embCAB* are responsible for ethambutol resistance [29]. The peak GWAS signal localized to the C-terminal periplasmic domain of PknH [62]. Oligonucleotides below our MAF threshold captured extremely low-frequency triplet deletions of either ACG at nucleotides 1645–7 or GAC at nucleotides 1644–6. In contrast, oligonucleotides containing the reference alleles in this region were associated with decreased MIC (e.g., CAAGACGGTCACCGTCAACGAA-TAAGGCCAAG, $-\log_{10} p = 30.21$, $\beta = -3.29$, present in 7,555/7,564 genomes). These variants likely disrupt intramolecular disulphide binding linking the 2 highly conserved alpha helices that form the V-shaped cleft of the C-terminal sensor domain [64]. Since NO is released upon activation of DLM, and deletion of PknH alters sensitivity to nitrosative and oxidative stresses [65], these rare variants may alter tolerance to delamanid mediated by NO.
**Linezolid.** Oligonucleotides in *vapB20* (*Rv2550c*) were significantly associated with linezolid MIC (minimum $p$-value $< 10^{-8.6}$, S16 Fig). VapB20 is an antitoxin cotranscribed with its complementary toxin VapC20 [66]. The latter modifies 23S rRNA [67], the target of linezolid that inhibits protein synthesis by competitively binding 23S rRNA. The peak signal in *vapB20* occurred just upstream of the promotor and VapB20 binding sites, 21 nucleotides upstream of the −35 region [67]. Oligonucleotides below our MAF threshold associated with increased MIC shared a cytosine 33 nucleotides upstream of *vapB20*, replacing the reference nucleotide thymine that was associated with decreased MIC (e.g., GAATCG-GATGCTTGCCGCTGGCTGCCGAGTT, $-\log_{10} p = 8.60$, $\beta = -2.02$, present in 6,724/6,732 genomes). This substitution may derepress the toxin, which could interrupt linezolid binding by cleaving the sarcin–ricin loop of 23S rRNA.
**Discussion**
In this study, we tested oligopeptides and oligonucleotides for association with semiquantitative MIC measurements for 13 antimicrobials to identify novel resistance determinants. Analysing MIC rather than binary resistance phenotypes enabled identification of variants that cause subtle changes in MIC. This is important, on the one hand, because higher rifampicin and isoniazid MIC in sensitive isolates are associated with increased risk of relapse after treatment [68]. Conversely, low-level resistance among isolates resistant to rifampicin and isoniazid mediated by particular mutations may sometimes be overcome by increasing the drug dose, or replacing rifampicin with rifabutin, rather than changing to less desirable drugs with worse side effects [69–73]. The investigation of MIC was particularly effective at increasing sample heritability for the new and repurposed drugs.
The MICs were positively correlated between many drugs, particularly among first-line drugs (see Figure 4A of [78]). Consequently, many of the 10,228 isolates we studied were MDR and XDR. In GWAS, this generates artefactual cross-resistance, in which variants that cause resistance to one drug appear associated with other drugs to which they do not confer resistance. In practice, it is difficult to distinguish between associations that are causal versus artefactual without experimental evidence. Nevertheless, we found frequent evidence of artefactual cross-resistance: several genes and intergenic regions featured among the top 20 strongest signals of association to multiple drugs, including *rpoB* (12 drugs), *embB* (7), *fabG1* (7), *rrs* (6), *gyrA* (6), *katG* (6), *lprF:Rv1371* (6), *pncA* (5), *ethA* (4), *Rv3183:Rv3188* (4) *dxx2:Rv3382c* (4), *rpsL* (3), and *moaC3:Rv3327* (3). Among previously catalogued variants, we observed that the estimated effect sizes were usually larger in magnitude for significant true associations than significant artefactual associations (S4 Fig). In future GWAS, this relationship could help tease apart true versus artefactual associations when an uncatalogued variant is associated with multiple drugs.
We focused on variants in the top 20 most significant genes identified by GWAS for each of the 13 drugs, classifying significant oligopeptides and oligonucleotides according to whether the variants they tagged were previously catalogued among known resistance determinants or not. While the interpretation of oligopeptides and oligonucleotides required manual curation to determine the underlying variants they tagged, the approach had the advantage of avoiding reference-based variant calling that can miss important signals, particularly at difficult-to-map regions. Exhaustively and concisely calling variants relative to a reference genome in a large dataset of over 10,000 genomes is not trivial [80]. An additional benefit of analysing oligopeptides (versus oligonucleotides) is to pool signals of association across nucleotides that encode the same amino acid. Since we expected most resistance-conferring mutations to affect coding sequences, we anticipated that this should improve power and interpretability for most
associations. A combination of strong linkage disequilibrium and lower diversity at the protein versus nucleotide level meant that, despite testing all 6 reading frames, the Bonferroni thresholds for the oligopeptide analyses were 2-fold less stringent than for the oligonucleotide analyses.
For 8/13 drugs with previously catalogued resistance determinants, the most significant GWAS signal in CRyPTIC was a previously catalogued variant. Among the uncatalogued variants there are promising signals of association, including in the *Rv1218c* promoter binding site of the transcriptional repressor *Rv1219c* (associated with MIC for isoniazid) upstream of the *vapBC20* operon that cleaves 23S rRNA (linezolid) and in the region encoding a helix lining the active site of *cyp142* (clofazimine). These variants would benefit from further investigation via replication studies in independent populations, experimental exploration of proposed resistance mechanisms, or both.
We elected to classify significant variants as catalogued versus uncatalogued, rather than known versus novel, for several reasons. The catalogues represent a concrete, preexisting knowledgebase collated by expert groups for use in a clinical context [11,17]. We chose [11,17] as they were the most recent and up-to-date catalogues available for the drugs we investigated. The inclusion criteria for variants to be considered catalogued are therefore stringent; it follows that a class of variants exist that have been reported in the literature but not assimilated into the catalogues [11,17]. The literature is vast and heterogeneous, with evidence originating from molecular, clinical, and GWAS. Inevitably, some uncatalogued variants in the literature will be false positives, while others will be real but did not meet the standard of evidence or clinical relevance for cataloguing. Evidence from CRyPTIC that supports uncatalogued variants in the latter group is of equal or greater value than the discovery of completely novel variants, because it contributes to a body of independent data supporting their involvement. This seems to apply to the most significant signals of association for BDQ, CLO, DLM, LZD, and RFB (Table 1), none of which appeared in our reference catalogues, but all of which appear in credible reports in the literature (e.g., [85,86]). To take another example, *gyrB* did not appear in the catalogues we used for moxifloxacin [11,17]. Yet our rediscovery of *gyrB* 501D complements published reports associating the substitution with moxifloxacin resistance [74–76], strongly enhancing the evidence in favour of inclusion in future catalogues. Indeed, the recent WHO prediction catalogue, published after the completion of this study and which draws on the CRyPTIC data analysed here includes the E501D resistance-associated variant [77]. Moreover, of the 5 new genes added to the forthcoming WHO catalogue [77] but not featuring in the catalogues [11,17] used here—*eis* (amikacin), *ethA* (etohomamide), *inhA* (ethionamide), *rplC* (linezolid), *gyrB* (moxifloxacin)—we identify all as containing significant variants by GWAS except one, *eis* (amikacin).
The combination of a very large dataset exceeding 10,000 isolates and quantification of resistance via MIC enabled the CRyPTIC study to attribute a large proportion of fine-grained variability in antimicrobial resistance in *M. tuberculosis* to genetic variation. Compared to a parallel analysis of binary resistance phenotypes in the same samples, we observed an increase in sample heritability of 26.1% to 37.1% for the new and repurposed drugs bedaquiline, clofazimine, delamanid, and linezolid. The improvement was most striking for delamanid, whose heritability was not significantly different to zero for the binary resistance phenotype. In the case of delamanid, the MIC analysis detected a surprisingly large number of signals. Since few isolates were strongly delaminid resistant, this indicates we were picking apart fine-grained differences in MIC, a phenotype which may be more polygenic than binary resistance/sensitivity. In contrast, the scope for improvement was marginal for the better-studied drugs isoniazid and rifampicin, where MIC heritabilities of 94.6% to 94.9% were achieved. This demonstrates the ability of additive genetic variation to explain almost all the phenotypic variability in MIC.
for these drugs. Nevertheless, we were still able to find uncatalogued hits for these drugs. The very large sample size also contributed to increased sample heritability compared to previous pioneering studies. Compared to Farhat and colleagues [22] who estimated the heritability of MIC phenotypes in 1,452 isolates, we observed increases in heritability of 2.0% (kanamycin), 3.3% (amikacin), 14.0% (isoniazid), 10.8% (rifampicin), 11.2% (ethambutol), and 19.4% (moxi-foxacin), although these sample heritabilities depend on the idiosyncrasies of sampling. Furthermore, many of the uncatalogued signals we report here as significant detected rare variants at below 1% MAF, underlining the ability of very large-scale studies to improve our understanding of antimicrobial resistance not only quantitatively, but to tap otherwise unseen rare variants that reveal new candidate resistance mechanisms.
Materials and methods
Ethics statement
Approval for CRyPTIC study was obtained by Taiwan Centers for Disease Control IRB No. 106209, University of KwaZulu Natal Biomedical Research Ethics Committee (UKZN BREC) (reference BE022/13) and University of Liverpool Central University Research Ethics Committees (reference 2286), Institutional Research Ethics Committee (IREC) of The Foundation for Medical Research, Mumbai (Ref nos. FMR/IEC/TB/01a/2015 and FMR/IEC/TB/01b/2015), Institutional Review Board of P.D. Hinduja Hospital and Medical Research Centre, Mumbai (Ref no. 915–15-CR [MRC]), scientific committee of the Adolfo Lutz Institute (CITC-IAL 47-/I/2017), and in the Ethics Committee (CAAE: 81452517.1.0000.0059) and Ethics Committee review by Universidad Peruana Cayetano Heredia (Lima, Peru) and LSHTM (London, UK).
Sampling frames
CRyPTIC collected isolates from 27 countries worldwide, oversampling for drug resistance, as described in detail in [31]. Clinical isolates were subcultured for 14 days before inoculation onto 1 of 2 CRyPTIC designed 96-well microtiter plates manufactured by Thermo Fisher. The first plate used (termed UKMYC5) contained doubling-dilution ranges for 14 different antibiotics, the second (UKMYC6) removed para-aminosalicylic acid due to poor results on the plate [30] and changed the concentration of some drugs. Para-aminosalicylic acid was therefore not included in the GWAS analyses. Phenotype measurements were determined to be high quality, and included in the GWAS analyses, if 3 independent methods (Vizion, AMyGDA, and BashTheBug) agreed on the value [31]. Sequencing pipelines differed slightly between the CRyPTIC sites, but all sequencing was performed using Illumina, providing an input of matched pair FASTQ files containing the short reads.
A total of 15,211 isolates were included in the initial CRyPTIC dataset with both genomes and phenotype measurements after passing genome quality control filters [31,78]; however, some plates were later removed due to problems identified at some laboratories with inoculating the plates [31]. Genomes were also excluded if they met any of the following criteria, determined by removing samples at the outliers of the distributions: (i) no high-quality phenotypes for any drugs; (ii) total number of contigs > 3,000; (iii) total bases in contigs < 3.5 × 10^6 or > 5 × 10^6; (iv) number of unique oligonucleotides < 3.5 × 10^6 or > 5 × 10^6; and (v) sequencing read length not 150/151 bases long. This gave a GWAS dataset of 10,422 genomes used to create the variant presence/absence matrices. We used Mykrobe [78–80] to identify *Mycobacterium* genomes not belonging to lineages 1 to 4 or representing mixtures of lineages. This led to the exclusion of 193 genomes, which were removed from GWAS by setting the phenotypes to NA. The number of genomes with a high-quality phenotype for at least 1 of the 13 drugs was therefore 10,228. Of these, 533 were lineage 1; 3,581 were lineage 2; 805 were lineage
3; and 5,309 were lineage 4. Due to rigorous quality control described above, only samples with high-quality phenotypes were tested for each drug, resulting in a range of 6,388 to 9,418 genomes used in each GWAS. The log$_2$ MIC phenotypes used in the study are available in S2 Data, and the data is publicly available for download via an FTP site at the European Bioinformatics Institute (https://ftp.ebi.ac.uk/pub/databases/cryptic/release_june2022/pubs/gwas2022).
**Phylogenetic inference**
A pairwise distance matrix was constructed for the full CRYPTIC dataset based on variant calls [78]. For visualisation of the dataset, a neighbour-joining tree was built from the distance matrix using the ape package in R and subset to the GWAS dataset. Negative branch lengths were set to zero, and the length was added to the adjacent branch. The branch lengths were square rooted and the tree annotated by lineages assigned by Mykrobe [79].
**Oligonucleotide/oligopeptide counting**
To capture SNP-based variation, indels, and combinations of SNPs and indels, we pursued oligonucleotide and oligopeptide-based approaches, focusing primarily on oligopeptides. Where helpful for clarifying results, we interpreted significant associations using oligonucleotides. Sequence reads were assembled de novo using Velvet Optimiser [81] with a starting lower hash value of half the read length, and a higher hash value of the read length minus one; if these were even numbers, they were lowered by one. If the total sequence length of the reads in the FASTQ file was greater than $1 \times 10^9$, then the reads were randomly subsampled prior to assembly down to a sequence length of $1 \times 10^8$, which is around 227× mean coverage. For the oligopeptide analysis, each assembly contig was translated into the 6 possible reading frames in order to be agnostic to the correct reading frame. A total of 11 amino acid long oligopeptides were counted in a 1 amino acid sliding window from these translated contigs. The 31-bp nucleotide oligonucleotides were also counted from the assembled contigs using dsk [82]. For both oligonucleotide and oligopeptide analyses, a unique set of variants across the dataset was created, with the presence or absence of each unique variant determined per genome. An oligonucleotide/oligopeptide was counted as present within a genome if it was present at least once. This resulted in 60,103,864 oligopeptides and 34,669,796 oligonucleotides. Of these, 10,510,261 oligopeptides and 5,530,210 oligonucleotides were variably present in the GWAS dataset of 10,228 genomes.
**Oligonucleotide/oligopeptide alignment**
We used the surrounding context of the contigs that the oligopeptides/oligonucleotides were identified in to assist with their alignment. First, we aligned the contigs of each genome to the H37Rv reference genome [83] using nucmer [84], keeping alignments above 90% identity, assigning an H37Rv position to each base in the contig. Version 3 of the H37Rv strain (NC_000962.3) was used as the reference genome throughout the analysis. All numbering refers to the start positions in the H37Rv version 3 GenBank file. This gave a position for each oligonucleotide identified in the contigs, and after translating the 6 possible reading frames of the contig, each oligopeptide too. Each oligonucleotide/oligopeptide was assigned a gene or intergenic region (IR) or both in each genome. These variant/gene combinations were then merged across all genomes into unique variant/gene combinations, where a variant could be assigned to multiple genes or intergenic regions. Variant/gene combinations were then kept if seen in 5 or more genomes. In some specific regions where significant oligonucleotides or oligopeptides appeared to be capturing an invariant region, a threshold of just 1 genome was
used to visualise low-frequency variants in the region. This was used only for interpretation of the signal in the region and not for the main analyses. To improve alignment for the most significant genes and intergenic regions, all oligonucleotides/oligopeptides in the gene/IR plus those that aligned to a gene/IR within 1 kb were realigned to the region using BLAST. Alignments were kept if above 70% identity, recalculated along the whole length of the oligonucleotide/oligopeptide assuming the whole oligonucleotide/oligopeptide aligned. Oligopeptides were aligned to all 6 possible reading frames and only the correct reading frame was interpreted. An oligonucleotide/oligopeptide was interpreted as unaligned if it did not align to any of the 6 possible reading frames. A region was determined to be significant if it contained significant oligopeptides above an MAF of 0.1% that were assigned to the region that also aligned using BLAST. If no significant oligopeptides aligned to the correct reading frame of a protein, or if the significant region was intergenic, then oligonucleotides were assessed.
**Covariates**
Isolates were sampled from 9 sites and MICs were measured on 2 versions of the quantitative microtiter plate assays, UKMYC5 and UKMYC6 [31]. UKMYC6 contained adjusted concentrations for some drugs. Therefore, in order to account for possible batch effects, we controlled for site plus plate type in the LMM by coding them as binary variables. These plus an intercept were included as covariates in the GWAS analyses.
**Testing for locus effects**
We performed association testing using LMM analyses implemented in the software GEMMA to control for population structure [32]. Significance was calculated using likelihood ratio tests. We computed the relatedness matrix from the presence/absence matrix using Java code that calculates the centred relatedness matrix. GEMMA was run using no MAF cutoff to include all variants. When assessing the most significant regions for each drug, we excluded oligopeptides below 0.1% MAF. To understand the full signal at these regions, oligopeptides and nucleotides were visualised in alignment figures to interpret the variants captured. When assessing the gene highlighted for each drug, we assessed the LD ($r^2$) of the most significant oligopeptide or nucleotide in the gene with all other top oligopeptides or nucleotides for the top 20 genes for the drug. The top variants in the genes noted were not in high LD with known causal variants, in some cases they were in LD with other top 20 gene hits that were less significant.
**Correcting for multiple testing**
Multiple testing was accounted for by applying a Bonferroni correction calculated for each drug. The unit of correction for all studies was the number of unique “phylopatterns,” i.e., the number of unique partitions of individuals according to variant presence/absence for the phenotype tested. An oligopeptide/oligonucleotide was considered to be significant if its $p$-value was smaller than $\alpha/n_p$, where we took $\alpha = 0.05$ to be the genome-wide false positive rate (i.e., family-wide error rate (FWER)) and $n_p$ to be the number of unique phylopatterns above 0.1% MAF in the genomes tested for the particular drug. The $-\log_{10} p$ significance thresholds for the oligopeptide analyses were: 7.69 (amikacin, kanamycin), 7.65 (bedaquiline), 7.64 (clofazimine, levofloxacin), 7.67 (delamanid, ethionamide), 7.62 (ethambutol, linezolid), 7.70 (isoniazid), 7.60 (moxifloxacin), 7.71 (rifabutin), and 7.68 (rifampicin). The $-\log_{10} p$ significance thresholds for the oligonucleotide analyses were: 7.38 (amikacin, kanamycin), 7.34 (bedaquiline, clofazimine, levofloxacin), 7.36 (delamanid, ethionamide), 7.32 (ethambutol), 7.39 (isoniazid, rifabutin), 7.33 (linezolid), 7.31 (moxifloxacin), and 7.37 (rifampicin).
Estimating sample heritability
Sample heritability is the proportion of the phenotypic variation that can be explained by the bacterial genotype assuming additive effects. This was estimated using the LMM null model in GEMMA [32] from the presence versus absence matrices for both oligopeptides and oligonucleotides separately. Sample heritability was estimated for the MIC phenotype as well as for the binary sensitive versus resistant phenotype. The binary phenotypes were determined using the ECOFF, defined as the MIC that encompasses 99% of wild-type isolates [31], all those below the ECOFF were considered susceptible, and those above the ECOFF were considered to be resistant.
Supporting information
S1 Data. The interpretation of oligopeptides and oligonucleotides required manual curation to determine the underlying variants they tagged; the most significant oligopeptide or oligonucleotide for each allele captured by the significant signals are described here. (XLSX)
S2 Data. The sample identifiers, log2 MIC phenotypes, and European Nucleotide Archive accession numbers of the genomes analysed in this study. (XLSX)
S1 Acknowledgements. CRyPTIC Consortium memberlist. (DOCX)
S1 Fig. Distributions of the log2 MIC measurements for all 13 drugs in the GWAS analyses. AMI, BDQ, CFZ, DLM, EMB, ETH, INH, KAN, LEV, LZD, MXF, RFB, and RIF. The red dashed line indicates the ECOFF, measurements to the left of the ECOFF are considered sensitive, and those to the right are considered resistant. AMI, amikacin; BDQ, bedaquiline; CFZ, clofazimine; DLM, delamanid; ECOFF, epidemiological cutoff; EMB, ethambutol; ETH, ethionamide; GWAS, genome-wide association studies; INH, isoniazid; KAN, kanamycin; LEV, levofloxacin; LZD, linezolid; MIC, minimum inhibitory concentration; MXF, moxifloxacin; RFB, rifabutin; RIF, rifampicin. (PDF)
S2 Fig. Oligopeptide and oligonucleotide sample heritability estimates for binary resistant vs. sensitive phenotypes compared to semiquantitative MIC phenotypes. Sample heritability estimates and 95% CIs are shown for the 13 drugs, DLM, CFZ, LZD), BDQ, MXF, LEV, KAN, EMB, ETH, AMI, RIF, INH, and RFB. When estimating heritability of the same phenotype, the oligopeptide and oligonucleotide estimates are very similar. AMI, amikacin; BDQ, bedaquiline; CI, confidence interval; CFZ, clofazimine; DLM, delamanid; EMB, ethambutol; ETH, ethionamide; INH, isoniazid; KAN, kanamycin; LEV, levofloxacin; LZD, linezolid; MIC, minimum inhibitory concentration; MXF, moxifloxacin; RFB, rifabutin; RIF, rifampicin. (PDF)
S3 Fig. QQ plots for the oligopeptide analyses, part A. Comparing the empirical distribution of p-values to the expected distribution under the null hypothesis for the drugs AMI, BDQ, CFZ, DLM, EMB, ETH, INH, and KAN. Oligopeptides in the orange (MAF < 0.1%) were not initially analysed, only used for signal interpretation. AMI, amikacin; BDQ, bedaquiline; CFZ, clofazimine; DLM, delamanid; EMB, ethambutol; ETH, ethionamide; INH, isoniazid; KAN, kanamycin; MAF, minor allele frequency. (PDF)
S4 Fig. QQ plots for the oligopeptide analyses, part B. Comparing the empirical distribution of $p$-values to the expected distribution under the null hypothesis for the KAN, LEV, LZD, MXF, RFB, and RIF. Oligopeptides in the orange (MAF < 0.1%) were not initially analysed, only used for signal interpretation. KAN, kanamycin; LEV, levofloxacin; LZD, linezolid; MAF, minor allele frequency; MXF, moxifloxacin; RFB, rifabutin; RIF, rifampicin.
(PDF)
S5 Fig. Effect size (beta) estimates and –log10 $p$-values for all significant oligopeptide variants for each drug, AMI, BDQ, CFZ, DLM, EMB, ETH, INH, KAN, LEV, LZD, MXF, RFB, and RIF. For many of the drugs, the most significant oligopeptides were associated with lower MIC. AMI, amikacin; BDQ, bedaquiline; CFZ, clofazimine; DLM, delamanid; EMB, ethambutol; ETH, ethionamide; INH, isoniazid; KAN, kanamycin; LEV, levofloxacin; LZD, linezolid; MIC, minimum inhibitory concentration; MXF, moxifloxacin; RFB, rifabutin; RIF, rifampicin.
(PDF)
S6 Fig. Significant oligopeptide (rpoB, katG, gyrA, embB) and oligonucleotide (rrs) effect size (beta) estimates for known resistance genes plus the flanking 33 amino acids (oligopeptides) or 100 bases (oligonucleotides). On the left, the beta estimates are shown for all significant oligopeptides for the drugs the gene is causal for, on the right, the beta estimates are shown for the same gene, but for the drugs they are artefactually associated to. For many drugs, the beta estimate is lower when the gene is significant due to artefactual cross-resistance. Drug name abbreviations are as follows: AMI, BDQ, CFZ, DLM, EMB, ETH, INH, KAN, LEV, LZD, MXF, RFB, and RIF. AMI, amikacin; BDQ, bedaquiline; CFZ, clofazimine; DLM, delamanid; EMB, ethambutol; ETH, ethionamide; INH, isoniazid; KAN, kanamycin; LEV, levofloxacin; LZD, linezolid; MXF, moxifloxacin; RFB, rifabutin; RIF, rifampicin.
(PDF)
S7 Fig. Variants in spoU associated with EMB and RIF MIC. Manhattan plots showing the oligopeptide association results for the spoU coding region A ethambutol and B rifampicin, and oligonucleotide alignment plots showing close-ups of the significant region just downstream of spoU for C ethambutol and D rifampicin. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for spoU. Oligopeptides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the oligonucleotide alignment plots, the H37Rv reference codons are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligonucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligonucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligonucleotides are coloured by their amino acid residue at all variant positions. Oligonucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by *. The spoU stop codon is highlighted in red in the alignment plots. EMB, ethambutol; MAF, minor allele frequency; MIC, minimum inhibitory concentration; RIF, rifampicin.
(PDF)
S8 Fig. Variants in Rv1219c associated with isoniazid MIC. Manhattan plots showing the association results for the Rv1219c coding region for the A oligopeptides and B oligonucleotides, and oligopeptide alignment plots showing close-ups of the significant region in Rv1219c for C oligopeptides present in 5 or more genomes in the full GWAS dataset and D
oligopeptides present in at least 1 genome in the full GWAS dataset. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *Rv1219c*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the oligopeptide alignment plots, the H37Rv reference codons are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides are coloured by their amino acid residue at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. GWAS, genome-wide association studies; MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S9 Fig. Variants in PPE42 associated with AMI and KAN MIC.** Manhattan plots showing the oligopeptide association results for the *PPE42* coding region A amikacin and B kanamycin, and oligopeptide alignment plots showing close-ups of the significant region in *PPE42* for C amikacin and D kanamycin. Black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *PPE42*. Oligopeptides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the oligopeptide alignment plots, the H37Rv reference codons are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides are coloured by their amino acid residue at all variant positions. Oligopeptides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. AMI, amikacin; KAN, kanamycin; MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S10 Fig. Variants in and upstream of whiB7 associated with ethionamide MIC.** Manhattan plots showing the association results for *whiB7* for the A oligopeptides and B oligonucleotides, and alignment plots showing close-ups of significant regions in *whiB7* for C oligopeptides in the C-terminal end of the coding region and D oligonucleotides in the upstream intergenic region. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *whiB7*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the alignment plots, the H37Rv reference codons are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides and nucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides and nucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides and nucleotides are coloured by their allele at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. MAF, minor allele
frequency; MIC, minimum inhibitory concentration.
(PDF)
S11 Fig. Variants in *tlyA* associated with levofloxacin MIC. Manhattan plots showing the association results for the *tlyA* coding region for the **A** oligopeptides and **B** oligonucleotides, and alignment plots showing close-ups of the significant region in *tlyA* for the **C** oligopeptides and **D** oligonucleotides. The black dashed lines indicate the Bonferroni-corrected significance thresholds; no oligonucleotides were significant in this region. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *tlyA*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the alignment plots, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides and nucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides and nucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides and nucleotides are coloured by their allele at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. MAF, minor allele frequency; MIC, minimum inhibitory concentration.
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S12 Fig. Variants in *cysA2* and *cysA3* associated with rifabutin MIC. Manhattan plots showing the association results for the coding region for **A** *cysA2* and **B** *cysA3*, and oligonucleotide alignment plots showing close-ups of the significant region for **C** *cysA2* and **D** *cysA3*. The black dashed lines indicate the Bonferroni-corrected significance thresholds. The significant oligonucleotides that align to *cysA2* and *cysA3* are the same. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *cysA2* or *cysA3*. Oligopeptides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plot. In the oligonucleotide alignment plots, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligonucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligonucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligonucleotides are coloured by their allele at all variant positions. Oligonucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. The region that encodes the rhodanese characteristic signature in the N-terminal region is highlighted in red in the alignment plots. MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
S13 Fig. Variants in *amiA2* and *era* associated with bedaquiline MIC. Manhattan plots showing the association results for the *amiA2/era* coding region for the **A** oligopeptides and **B** oligonucleotides, and oligonucleotide alignment plots showing close-ups of the significant region in *amiA2/era* in the correct reading frame for **C** *amiA2* and **D** *era*. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *amiA2*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the oligonucleotide alignment
plots, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligonucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligonucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligonucleotides are coloured by their allele at all variant positions. Oligonucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s.
MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S14 Fig. Variants in cyp142 associated with clofazimine MIC.** Manhattan plots showing the association results for the *cyp142* coding region for the **A** oligopeptides and **B** oligonucleotides, and alignment plots showing close-ups of the significant region in *cyp142* for the **C** oligopeptides and **D** oligonucleotides. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, red for the correct reading frame for *cyp142*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the alignment plots, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides and nucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides and nucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides and nucleotides are coloured by their allele at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s.
MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S15 Fig. Variants in pknH associated with delamanid MIC.** Manhattan plots showing the association results for the *pknH* coding region for the **A** oligopeptides and **B** oligonucleotides, and alignment plots showing close-ups of the significant region in *pknH* for the **C** oligopeptides and **D** oligonucleotides. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *pknH*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the alignment plots, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligopeptides and nucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligopeptides and nucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligopeptides and nucleotides are coloured by their allele at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s.
MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S16 Fig. Variants in vapB20 associated with linezolid MIC.** Manhattan plots showing the association results for *vapB20* for the **A** oligopeptides and **B** oligonucleotides, and **C** oligonucleotide alignment plot showing a close-up of the significant region just upstream of *vapB20*. The black dashed lines indicate the Bonferroni-corrected significance thresholds. In the
Manhattan plots, oligopeptides are coloured by the reading frame that they align to, black for the correct reading frame for *amiA2*. Oligopeptides and nucleotides assigned to the region but did not align using BLAST are shown in grey on the right-hand side of the plots. In the oligonucleotide alignment plot, the H37Rv reference alleles are shown at the bottom of the figure, grey for an invariant site, coloured at variant site positions. The oligonucleotides that aligned to the region are plotted from least significant at the bottom to most significant at the top. The background colour of the oligonucleotides represents the direction of the b estimate, light grey when $b < 0$ (associated with lower MIC), dark grey when $b > 0$ (associated with higher MIC). Oligonucleotides are coloured by their allele at all variant positions. Oligopeptides and nucleotides below the MAF threshold and not included in the analysis, but visualised here for signal interpretation, are marked by ‘s. MAF, minor allele frequency; MIC, minimum inhibitory concentration.
(PDF)
**S1 Table. Oligopeptide and oligonucleotide sample heritability estimates for binary resistant vs. sensitive phenotypes compared to semiquantitative MIC phenotypes.** Sample heritability estimates and 95% CIs are shown for the 13 drugs. CI, confidence interval; MIC, minimum inhibitory concentration.
(PDF)
**Acknowledgments**
We thank Faisal Masood Khanzada and Alamdar Hussain Rizvi (NTRL, Islamabad, Pakistan), Angela Starks and James Posey (Centers for Disease Control and Prevention, Atlanta, USA), Juan Carlos Toro and Solomon Ghebremichael (Public Health Agency of Sweden, Solna, Sweden), and Ihaki Comas and Álvaro Chiner-Oms (Instituto de Biología Integrativa de Sistemas, Valencia, Spain; CIBER en Epidemiología y Salud Pública, Valencia, Spain; Instituto de Biomedicina de Valencia, IBV-CSIC, Valencia, Spain). Computation used the Oxford Biomedical Research Computing (BMRC) facility, a joint development between the Wellcome Centre for Human Genetics and the Big Data Institute supported by Health Data Research UK and the NIHR Oxford Biomedical Research Centre.
**Author Contributions**
**Conceptualization:** Derrick W. Crook, Camilla Rodrigues, Nazir Ahmed Ismail, Nerges Mistry, Zamin Iqbal, Matthias Merker, David Moore, A. Sarah Walker, Guy Thwaites, Stefan Niemann, Daniel J. Wilson, Daniela Maria Cirillo, Alexander S. Lachapelle, David A. Clifton, Timothy E. A. Peto.
**Data curation:** Zamin Iqbal, Martin Hunt, Jeff Knaggs, Philip W. Fowler.
**Formal analysis:** A. Sarah Walker, Daniel J. Wilson, Sarah G. Earle, Clara Grazian.
**Funding acquisition:** Derrick W. Crook, Camilla Rodrigues, Nazir Ahmed Ismail, Nerges Mistry, Zamin Iqbal, David Moore, Guy Thwaites, Stefan Niemann, Daniela Maria Cirillo, Timothy E. A. Peto.
**Investigation:** The CRyPTIC Consortium.
**Methodology:** A. Sarah Walker, Daniel J. Wilson, Sarah G. Earle, Clara Grazian.
**Project administration:** The CRyPTIC Consortium.
**Resources:** The CRyPTIC Consortium.
Software: Daniel J. Wilson, Sarah G. Earle.
Supervision: coinvestigators.
Visualization: Sarah G. Earle.
Writing – original draft: A. Sarah Walker, Daniel J. Wilson, Philip W. Fowler, Sarah G. Earle.
Writing – review & editing: The CRyPTIC Consortium.
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|
FCCi RISK CONTROL
BLUEPRINT for SAFETY®
Fleet Safety Program Guide
FCCI INSURANCE GROUP
More than a policy. A promise.
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Introduction | 1 |
| Safety Mission Statement | 2 |
| New Employee Hiring and Screening | 3 |
| Motor Vehicle Records (MVRs) | 4 |
| Evaluating MVRs | 5 |
| The Commercial Driver’s License (CDL) | 6 |
| Driver Discipline | 8 |
| Personal Use of Vehicles | 8 |
| Distracted Driving | 9 |
| Youthful Drivers | 10 |
| Accident Investigation, Reporting and Review | 11 |
| Inspections and Maintenance | 12 |
| Checklist for Automobile Fleet Safety | 13 |
| Appendices | 14 |
Whether your company uses a single vehicle or an entire fleet, you need a fleet safety program.
Fleet safety programs save lives!
This guide is intended to assist you and your company with the development of an effective fleet safety program. The first half of this guide provides information on the elements of a fleet safety program. The Appendices contain a sample policy and support materials. FCCI policyholders also have access to fleet-related bulletins and training materials in ExpressServeSM. If you have any questions that are not addressed in this guide, please contact your local FCCI Risk Control Consultant.
The importance of hiring and training safe drivers and maintaining vehicles to save lives and avoid accidents cannot be overemphasized. If you or one of your employees use an automobile to conduct company business and that vehicle is involved in an accident, your company could be liable for enormous costs. Two of the factors that may contribute to your exposure to direct costs are coverage limits and the legal principle of negligent entrustment. Coverage limits refer to the maximum amount the insurer will pay on a claim, regardless of the actual value of the damage. Negligent entrustment refers to the negligence of an employer supplying an automobile to an incompetent driver and not to actual driver negligence. Negligent entrustment can occur if the company, another employee or third party owns the automobile, lends it to the incompetent-driver employee and then he is involved in an accident while driving the lent automobile.
Insurance is essential for protecting your business from direct financial loss. Yet, accidental losses have indirect consequences too.
Indirect financial costs can include:
- Disruption of business operations
- Loss of customer goodwill
- Missed business opportunities
- Higher insurance premiums
Implementation of a formal fleet safety program benefits everyone – employee, business owner and insurance carrier.
Benefits of a fleet safety program can include:
- Lower insurance premiums
- Compliance with DOT, OSHA and state motor carrier regulations
- Reduction of costs associated with damaged cargo
- Increased customer satisfaction
- Higher employee morale
A safety mission statement sets the stage for all future loss prevention activities.
Every safety-conscious company should have a safety mission statement to inform employees of the company’s intent to provide a safe work environment, including its intent to support and enforce a formal fleet safety program.
Goals of an effective safety mission statement:
- To affirm its own long-range purpose
- To commit management at all levels to reinforce this purpose
- To encourage employees to take an active role in ensuring a safe work environment
Every employee in the company should have the information necessary to make sound accident prevention decisions. Because compliance with a safety mission statement requires understanding of and adherence to specific guidelines, the statement itself should be in writing and should be distributed to all employees.
The safety mission statement should include:
- **Purpose.** What are management’s main safety goals, and why?
- **Scope.** Does the policy pertain to on-the-job safety? Off-the-job safety? Public safety? Property damage?
- **Responsibility.** Who is responsible for what?
- **Authority.** Who has it and how much?
- **Standards.** What guidelines does your company use?
- **Accountability.** How are individuals held accountable?
For a sample Mission Statement, please refer to Appendix 8 in this guide under Fleet Safety Policy.
Once your safety mission statement is in place, the next step in creating an effective fleet safety program is to establish a formal process for hiring and screening safety-conscious drivers.
The establishment of a meaningful and realistic pre-employment screening program is vitally important to the successful operation of any motor vehicle fleet, whether it be a coast-to-coast interstate operation or an incidental fleet in which the primary operation is not the transportation of freight. By selecting the best available driver, a company helps to avoid future financial loss resulting from accidents and equipment abuse.
Selecting the right driver depends largely on job standards that outline the prerequisites and skills necessary for satisfactory job performance. Drivers who meet well-established guidelines will usually work and drive safely. A properly designed and implemented fleet safety program will help reduce vehicle accidents and control vehicle related loss exposures, reduce vehicle accidents and avoid costly and unnecessary claims against your business. Successful companies have long recognized that the money they spend on vehicle safety programs typically provides a superior return on their investment.
An essential first step toward protecting your business is establishing a process for review and evaluation of each driver's motor vehicle record (MVR). The drivers you hire should be licensed and qualified to drive the size and type of vehicle they will operate. You should make every effort to be sure that they will drive safely. This is a must for anyone who operates a company vehicle, their own vehicle, or a third-party owned vehicle while on company business. You should properly evaluate anyone that you will allow the personal use of company vehicles, which may include the employee’s spouse or other family members.
This guide provides sample forms for evaluating and qualifying potential drivers. The forms are provided as samples only and should be used to develop your own forms in consultation with your legal adviser to meet specific needs of your organization.
**Hiring and Screening Best Practices**
1. Use a suitable Employment Application and **Driver Supplement** (see Appendix 1 for FCCI’s suggested form) to obtain driver’s license numbers and relevant driving experience, including type of equipment, training, accident record and traffic convictions (at least three years or longer, if required by law; not only job-related). If a background check is part of your screening process, make sure you comply with all federal and state consent and disclosure requirements.
2. Establish written job descriptions, requirements and performance standards for new hires and current employees.
3. Verify employment and check references and training. Look for at least two to three years’ experience driving the type of vehicles they will drive for you.
4. Make a legible photocopy of the driver's license for your file, preferably in color. Note any special restrictions. Check the expiration date to confirm validity.
5. Furnish and explain written copies of the company fleet policies. These policies should include rules for safe equipment operation and your company’s accident review policy, personal use policy, and drug and alcohol policy.
6. Be sure to take special licensing requirements into consideration, such as the requirements for a **Commercial Driver’s License (CDL)**.
7. Administer a **Road Test** (Appendix 2) in the vehicles that your drivers are expected to drive. Be sure to document test.
8. Administer substance abuse and alcohol testing, if required by law. Even if not required, drug-free workplace programs are a good business practice and may help to lower your insurance premiums. Contact your FCCI Risk Control Consultant to obtain a copy of FCCI’s Drug-Free Workplace Program.
9. The Federal Motor Carrier Safety Act (FMCSA) requires that persons driving a Commercial Motor Vehicle (CMV) be physically qualified to do so. The driver must carry a medical examiner’s certificate demonstrating their qualifications. A copy of this certificate should be kept for your records. If the driver does not have an up-to-date certificate, one should be obtained prior to employment and operation of a CMV.
10. Use a **Driver Information and Selection Checklist** (Appendix 3).
Motor Vehicle Records (MVRs)
There are more than 214 million licensed drivers and more than 252 million registered vehicles in the U.S.
According to the National Highway Traffic Safety Administration, 37,461 people were killed in crashes in the U.S. in 2016. The number of passenger vehicle (cars and light trucks) occupant fatalities is at its highest since 2008.
Interestingly, a review of FCCI policyholder driver database information indicates that drivers with one violation are 336% more likely to have an accident than drivers with no violations.
Not everyone is qualified to drive your company vehicle. In fact, there are some individuals you should not allow to drive any vehicle, even their own, while conducting business for your company. Your assets and reputation are at risk.
Motor vehicle crashes can be prevented using multiple risk control methods, including:
- Proper hiring and evaluation
- Driver training
- Driver and vehicle safety policies and rules
- Regular vehicle inspections
- Regular vehicle maintenance
- Formal accident investigation procedures
One of the most important and critical methods for preventing accidents is proper driver hiring and evaluation. Checking MVRs is an extremely important step in the driver screening process. Don’t risk having a person with a poor driving record operate an expensive piece of company equipment, such as a $40,000 company vehicle.
All businesses should check MVRs at least annually for employees that regularly drive an automobile for work. Your company should establish its own process for review and evaluation of drivers. This is your responsibility, not the responsibility of your agent.
FCCI Employers Edge offers many resources for the hiring process, including a primer on hiring new employees, interview techniques and evaluation forms, and state-specific information on background checks and sample authorization forms. Visit FCCI Employers Edge on ExpressServe.
Evaluating MVRs
When reviewing MVRs, it is valuable to establish some minimum requirements. Federal, state and local laws should be considered when developing criteria to identify qualified operators. Anyone who operates a vehicle for you should be properly licensed and qualified. You should do everything reasonably possible to be sure your drivers drive safely. Keep a copy of all MVRs in your files.
Since drivers with a good driving record are less likely to be involved in future accidents, underwriters expect a substantial percentage of acceptable drivers to have clean driving records. It is important to consider the driver’s most recent driving history, which includes the last three years of driving. Federal or state law may require consideration of a longer period of driving history.
Driving records should include a review of MVRs and an accident history for both *at fault* and *not-at-fault* accidents. Not-at-fault accidents may indicate the driver’s lack of defensive driving skills and ability. Pay close attention to the frequency of not-at-fault accidents for each driver.
**Criteria**
You should establish acceptable MVR criteria in accordance with legal requirements, union agreements and in consultation with your legal counsel. The following information is representative of what you and your legal counsel may consider unacceptable and marginal MVR criteria:
| “Unacceptable” Driving Record | “Marginal” Driving Record |
|-------------------------------|---------------------------|
| A driver with major violations within the last three years, including: | A driver who has one or more serious violations in the past three years, such as: |
| • Violating the open container law (driver or passenger) | • Excessive speeding (15 mph or more over the speed limit in any speed zone) |
| • Reckless driving | • Careless driving, creating an accident |
| • Failure to yield to emergency vehicles | • Driving with two moving violations within the past 36 months |
| • Three or more moving violations within the last three years (including at-fault accidents whether cited with a violation or not) | A driver whose driving record reflects possible poor driving habits, such as: |
| • An out-of-state license more than 60 days past the request to acquire an in-state license | • Several not-at-fault accidents |
| • Vehicular homicide or other felony | • Several minor traffic infractions |
| • Passing a school bus | • License at one time suspended for minor infractions |
| • Leaving the scene of an accident | |
| • Driving under suspension | |
| • Driving under the influence of alcohol or drugs | |
| • Less than three years’ driving experience | |
The Commercial Driver’s License (CDL)
Federal law requires all commercial truck and bus drivers to be licensed under national standards. The licensing requirements apply to drivers who operate vehicles weighing more than 26,000 pounds (11,800 kg.), vehicles carrying more than 16 passengers and vehicles used to transport hazardous materials.
This legislation was prompted by statistics indicating that trucks and buses were involved in a disproportionately high number of fatal road accidents. The re-licensing that resulted from this legislation was also intended to prevent commercial drivers from concealing vehicle code violations by registering themselves under different licenses in different states.
All 50 states and the District of Columbia require commercial drivers to pass a standardized written examination and a road test. The FMCSA has additional requirements for entry-level drivers that go beyond the requirements to obtain a CDL. No one who operates a Commercial Motor Vehicle shall have more than one license. The licensing information and traffic records of all licensed drivers are now maintained in a national computer network. Previously, each state had its own traffic records, and officials in one state could not easily obtain information about violations in another state.
**CDL Requirements**
This is an overview of the federal regulations concerning the CDL standards for drivers of a Commercial Motor Vehicle (CMV). For more information, refer to Title 49 CFR Part 383 of the Federal Motor Carrier Safety Act (FMCSA). You should also refer to state regulations.
A – **Class A License** is required to operate a combination vehicle with a gross combined vehicle weight of more than 26,000 pounds or any vehicle towing a trailer in excess of 10,000 pounds.
B – **Class B License** is required to operate a single heavy straight vehicle with a gross vehicle weight of more than 26,000 pounds. This license also permits towing a trailer of 10,000 pounds or less.
C – **Class C License** is required to operate a small vehicle designed to transport 16 or more passengers (including the driver), or a vehicle used for transporting hazardous material.
Additional endorsements to the CDL required for operation of:
- Double and triple trailers
- Passenger vehicles
- Tanker vehicles
- Vehicles used to transport hazardous materials
- School buses
Drivers who are not required to maintain a CDL:
- Certain military drivers
- Farmers
- Firefighters
- Emergency response vehicle drivers
- Drivers removing snow and ice
Motor carriers subject to the Federal Motor Carrier Safety Act (FMCSA) must maintain a driver qualification file for each driver (See §49 CFR § 391.51). The file must include, but is not limited to, the following items:
- The driver’s application for employment completed in accordance with §49 CFR § 391.21;
- A written record with respect to each past employer who was contacted and a copy of the response by each state agency, pursuant to §49 CFR § 391.23 involving investigation and inquiries;
- The certificate of driver’s road test issued to the driver pursuant to §49 CFR § 391.31(e), or a copy of the license or certificate which the motor carrier accepted as equivalent to the driver’s road test pursuant to §49 CFR § 391.33;
- The response of each state agency to the annual driver record inquiry required by §49 CFR § 391.25(a);
- A note relating to the annual review of the driver’s driving record as required by §49 CFR § 391.25(c)(2);
- A list or certificate relating to violations of motor vehicle laws and ordinances required by §49 CFR § 391.27;
- The medical examiner’s certificate of his/her physical qualification to drive a commercial motor vehicle as required by §49 CFR § 391.43(f) or a legible photographic copy of the certificate; and
- A letter from the Field Administrator, Division Administrator, or State Director granting a waiver of a physical disqualification, if a waiver was issued under §49 CFR § 391.49.
The FMCSA is subject to change, so these requirements should be checked periodically by you and your legal adviser to ensure compliance with current law.
Driver Discipline
Traffic safety authorities have stated that the majority of motor vehicle accidents can be attributed to supervisory failure to convincingly teach, demonstrate and foster proper attitudes.
The quality of supervision is especially important in the operation of a motor vehicle fleet because:
- The driver is on his/her own during practically all of his/her working hours, operating without direct or constant supervision.
- Driver performance is a product not only of the skill and knowledge of the driver, but of his/her attitude. Using good principles of supervision is the most effective way to positively develop a driver’s attitude.
- There are penalties for certain violations, including but not limited to:
- Driving under the influence of alcohol or controlled substance(s)
- Leaving the scene of an accident
- Refusing to submit to an alcohol test as required by a state or jurisdiction
- Commission of a felony involving the use of a CMV
- Operating a CMV with a revoked, suspended or cancelled license
- Penalties for traffic violations are progressive up to and including a lifetime suspension of the license. Refer to the Federal Motor Carrier Safety Regulations, Part 383, and Subpart D for more specific information. Drivers and employers who violate the rules may be subject to civil or criminal penalties. (49 U.S.C. 521(b))
Personal Use of Vehicles
In a number of commercial fleet operations, employees will have the opportunity to use a company vehicle for personal use. Personal use may entail keeping vehicles at the employee’s residence, driving vehicles to and from work, or using the vehicle for transporting personal property. A salesperson working from home is a typical example of a person who may be assigned a vehicle. Another example would be maintenance staff permitted to use company vehicles so they can be available for emergency calls at night.
Policy Statement
If your fleet operation has these or similar exposures, it is imperative that management develop and implement a vehicle use policy statement or company vehicle agreement. The statement should outline specifically when and under what conditions personal use of the company vehicle is permitted, who is authorized to drive the vehicle and who is authorized to be a passenger in the vehicle.
Use of vehicles by unauthorized drivers should be prohibited.
It should also be noted that some automobile insurance policies limit coverage to only authorized use of the vehicle.
An example policy statement is included in this fleet safety program guide (see Appendix 8).
Distracted driving is a growing problem worldwide. Consider the following statistics:
- Distracted driver related crashes kill more than nine people and injure more than 1,000 every day in the U.S. (3,450 killed and 431,000 injured in 2016).\(^1\)
- Nearly one in five crashes (18%) in which someone was injured involved distracted driving.
- There is a 37% reduction in brain activity associated with driving while using a cell phone.
- Drivers looking out of the windshield can miss seeing up to 50% of what is around them when talking on any kind of cell phone.
- Studies\(^2\) show that voice-to-text is more distracting than typing texts by hand.
*Distracted driving* is engaging in any activity that detracts from the primary task of driving. All distractions endanger driver, passenger and bystander safety.
There are three main types of distraction:
- **Visual** – taking your eyes off the road
- **Manual** – taking your hands off the wheel
- **Cognitive** – taking your mind off of driving
Distracted driving activities may include texting, talking, eating or drinking and grooming. While any of these distractions can endanger the driver and others, texting while driving is especially dangerous because it combines all three types of distraction.
On the average, your eyes are off the road for 4.5 seconds to read or send a text. At 55 mph, that’s the equivalent of driving the length of a football field blindfolded!
---
\(^1\)https://www.cdc.gov/motorvehiclesafety/distracted_driving/index.html
\(^2\)http://www.nsc.org/DistractedDrivingDocuments/Dashboard-Infographic-Printable.pdf
Youthful Drivers
Youthful drivers carry an elevated risk to your business. According to the CDC, the risk of motor vehicle crashes is higher among 16-19-year-olds than among any other age group. In fact, per mile driven, teen drivers, ages 16 to 19, are nearly three times more likely to be in a fatal crash than drivers age 20 and older.
Teens are more likely than older drivers to underestimate dangerous situations, fail to recognize hazardous situations, make critical decision errors that lead to serious crashes, speed and fail to maintain safe following distances. Careful deliberation should be taken before choosing to allow a youthful driver to operate a company vehicle for company business. Use of insured vehicles by youthful, non-employee drivers is discouraged due to the increased liability exposure to your business.
FCCI underwriting guidelines offer these tips regarding youthful drivers:
- Youthful operators (age 22 and under) increase the degree of personal use exposure substantially.
- Drivers with less than three years of driving experience are unacceptable.
- Avoid youthful operators driving sport or high performance vehicles.
- Avoid youthful operators driving vehicles requiring a CDL.
- Avoid youthful operators with prior accidents or violations.
https://www.cdc.gov/motorvehiclesafety/teen_drivers/teendrivers_factsheet.html
Even those companies with superior fleet safety programs may have a motor vehicle accident. Because of this possibility, it is extremely important to be prepared. All vehicle operators must know exactly what to do in the event of an accident. When involved in an accident, emotions often run high and it is not a good time to be uncertain about what needs to be done. To ensure prompt and accurate accident reporting, all drivers must be prepared and trained.
The Driver’s Accident Reporting Kit (Appendix 4 – English / Appendix 4a – Spanish) is a useful tool for gathering information you will need to report an accident and begin the accident investigation and review process. A copy should be kept in the glove compartment of every company-owned or operated vehicle. Everyone who drives for you should be trained in its use.
When you evaluate a driver’s actions, you should compare them against those of a driver who practices good defensive driving techniques. If the facts do not show that the driver did everything reasonably possible to avoid the accident, the accident should be considered preventable for purposes of training and safety evaluation.
Our Management Guide for Determining Accident Preventability (Appendix 5) will provide you with useful information for making these determinations and coming to conclusions that are fair and consistent.
Your primary goal when reviewing accidents should always be to learn everything you can to help prevent a similar accident from occurring again.
Properly conducted accident investigations will provide you with information identifying:
- Defective equipment
- Inadequate maintenance
- Adverse road conditions
- Poor driving habits
- Driver training needs
- Necessary disciplinary action
- Improperly secured cargo
- Accident prevention techniques
Addressing each situation in a timely manner is important to the success of a company’s fleet safety program.
Inspections and Maintenance
Vehicle Inspections
You should do everything reasonable to ensure that your company’s vehicles are safe to drive. The Federal Motor Carrier Safety Act (FMCSA) may require your company to make sure that the parts, accessories and safety equipment are in good working condition prior to vehicle use, or your company may be subject to state or local laws requiring certain inspections.
Driver inspections are the most effective way to identify obvious vehicle hazards. A driver should review the last driver vehicle inspection report and sign off on it if there were defects or deficiencies noted and there is certification that they have been corrected. Federal, state or local laws may require these and other inspections be documented. Use the Vehicle Safety Inspection Form (Appendix 6) to identify needed repairs as well as to confirm any repairs that have been recently completed. For more information, check the FMCSA’s administration website at www.fmcsa.dot.gov.
If there are no applicable federal, state or local requirements, it is still good business practice to conduct such inspections to minimize accidents.
Implement formal procedures to ensure needed repairs are completed promptly. The Vehicle Safety Inspection Form will help you accomplish this goal.
Vehicle Maintenance
Ideally, problems, defects or deficiencies will have been prevented as a result of an effective and conscientious maintenance effort.
Poor vehicle maintenance can prove costly. In addition to potentially causing accidents, it can lead to lost income from failure to meet schedules due to breakdowns. It might even void your vehicle warranty. A well-managed vehicle maintenance and inspection program can add thousands of miles to a vehicle’s life.
You should maintain records on each vehicle (i.e., set up a file on each vehicle). At a minimum, the file should document the following:
- Date of service
- Vehicle identification
- Current odometer mileage
- Services performed
- Who did what work
- What parts, if any, were replaced
- Who manufactured the parts
- All other information required by law
The Vehicle Maintenance Inspection Form (Appendix 7) contains a sample checklist. For more information on commercial automobile fleet risk management techniques, check with your FCCI Risk Control Consultant.
Checklist for Automobile Fleet Safety
New Employee Hiring and Screening
- Review application for employment
- Develop criteria for MVRs
- Enforce CDL requirements
- Conduct a road test
- Develop criteria for acceptable driving
- Implement a disciplinary program
Driver Supervision
- Monitor the performance of drivers
- Require drivers to sign a Vehicle Use Policy Statement
Accident Investigation
- Make a driver reporting kit available
- Address and investigate all accidents in a timely manner
- Ensure that all drivers are familiar with post-accident procedures
Maintenance and Inspection
- Develop a preventive maintenance schedule for servicing
- Implement vehicle safety requirements
Any fleet safety program should be evaluated annually to ensure accuracy and effectiveness.
Appendices
Appendix 1: Driving Position Supplement
Appendix 1a: Motor Vehicle Report Consent and Information Form
Appendix 2: Road Test
Appendix 3: Driver Information and Selection Checklist
Appendix 4: Driver’s Accident Reporting Kit - English
Appendix 4a: Driver’s Accident Reporting Kit - Spanish
Appendix 5: Management Guide for Determining Accident Preventability
Appendix 6: Vehicle Safety Inspection Form
Appendix 7: Vehicle Maintenance Inspection Form
Appendix 8: Fleet Safety Policy Template
Vehicle Use Policy
Driver Distraction Policy
Driving Position Supplement
Name: ___________________________ DOB: ____________ SSN: ________________
Current Address: _______________________________________________________
City, State, Zip: _______________________________________________________
Driver’s Licenses:
| Number | State | Expiration |
|--------|-------|------------|
Traffic Violations in the Past Three Years:
| Date | Location | Infraction |
|------|----------|------------|
Crash History in the Past Three Years:
| Date | Location | Details |
|------|----------|---------|
Has the driver’s license, permit or privilege to operate a motor vehicle ever been denied?
No____ Yes____ Why? _______________________________________________________
________________________________________________________________________
Has the driver’s license, permit or privilege ever been suspended or revoked?
No____ Yes____ Why? _______________________________________________________
________________________________________________________________________
I certify that all information on this application is true and complete to the best of my knowledge and that any misrepresentation could be reason for dismissal or denying employment. I recognize that I will not be permitted to operate a company vehicle or drive on company business if a review of my driving record indicates an Unacceptable Record.
Signature of driver/prospective driver: ______________________________________ Date: ____________
Motor Vehicle Report Consent and Information Form
I hereby provide written consent to ________________________________ (“Company”) to obtain motor vehicle record (MVR) information in connection with my application for employment and/or my continued employment with Company to confirm my eligibility or continued eligibility to drive Company vehicles (whether owned, leased, or rented), and/or to drive my personal vehicle while performing in the course and scope of my employment. This written consent shall also be valid for Company’s insurance agent to obtain MVR information in connection for use in rating and/or underwriting insurance for the Company.
I understand and agree that Company may use an outside agency to research my motor vehicle and driving records and that the outside agency will provide an MVR report to Company. Under the provisions of all applicable federal, state and local laws, I hereby authorize and permit Company, without reservation, to obtain an MVR from any and all states in which I have held a driver’s license. I agree that a copy or facsimile of this authorization shall be valid as the original. This authorization shall serve as an ongoing authorization for Company to obtain my MVR for lawful purposes at any time during my affiliation with Company unless revoked in writing.
Print Full Name _______________________________________________________
Exactly as it appears on driver’s license
Date of Birth (mm/dd/yyyy) _______/______/__________
List all states in which you have been licensed in the last 5 years: List corresponding license number(s)
_________________________________________________________ ________________________________
_________________________________________________________ ________________________________
_________________________________________________________ ________________________________
Expiration Date of Current License (mm/dd/yyyy) _______/______/__________
Have you received any moving violation(s) or been involved in any accident (including no-fault) within the past 7 years? [ ] Yes [ ] No
If “Yes”, list and explain in full detail, giving applicable dates, exact nature of offense, etc. (for speeding tickets, provide details on MPH over posted limit). An offense may not disqualify you as a driver, but a false statement will.
___________________________________________________________________________________________
___________________________________________________________________________________________
Signature_________________________________________________________ Date___________________________
## Road Test
**Driver’s Name** ____________________________ **Date** _______________ **Code** ___________
**Location** ______________________________________ **License No.** _______________
| Behavior | Always | Occasionally | Never |
|--------------------------------------------------------------------------|--------|-------------|-------|
| Drives in center of lane | | | |
| Adjusts speed to conditions | | | |
| Reduces speed, if necessary | | | |
| Steers smoothly | | | |
| Looks right and left at intersection | | | |
| Looks behind before pulling from curb | | | |
| Checks sides and rear | | | |
| Anticipates others’ actions | | | |
| Checks mirror regularly | | | |
| Yields to pedestrians | | | |
| Avoids being boxed in | | | |
| Avoids hard stops or turns | | | |
| Signals and takes proper lane for turning | | | |
| Taps horn to alert others | | | |
| Makes eye contact | | | |
| Signals before pulling from curb | | | |
| Maintains safe following distance | | | |
| Avoids blind spots | | | |
| Is alert to parked cars | | | |
| Allows adequate room to pass | | | |
| Performs visual inspection | | | |
| Fastens seat belts | | | |
| Avoids using phone and other distractions in traffic | | | |
| Adjusts mirrors | | | |
| Checks instruments | | | |
**Comments and action taken:**
---
**NOTE:** This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
*The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
Driver Information and Selection Checklist
Driver’s Name_________________________________________ Date_____________________
License #_________________________________________ State______________ Exp. Date___________
☐ Employment application completed and on file
☐ Interview completed
☐ Driving experience and qualifications listed, including dates
☐ Driving experience on file and attached
☐ Driving experience reviewed
☐ Background and prior employment check completed
☐ Physical examination complete – Acceptable / Not Acceptable / N/A
☐ Valid license? Yes___ No___
☐ MVR ordered (date) ________________
☐ MVR reviewed (date) ________________
Has the driver’s license, permit or privilege to operate a motor vehicle ever been denied?
No___ Yes___ Why?__________________________________________________________
Has the driver’s license, permit or privilege ever been suspended or revoked?
No___ Yes___ Why?__________________________________________________________
Prior three-year accident and traffic conviction review (include dates, causes and results):
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
List any additional driver information below or attach to a separate sheet:
__________________________________________________________________________
__________________________________________________________________________
__________________________________________________________________________
Applicant recommended for hire?
Yes___ No___ If No, Why?____________________________________________________
Applicant hire date__________________________
Reviewer’s signature_________________________________________ Date____________________
NOTE: This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
*The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
# DRIVER’S ACCIDENT REPORTING KIT
## DRIVER INFORMATION
| Name (First, Middle, Last) | Address |
|---------------------------|---------|
| Telephone No. | Vehicle Year | Vehicle Make | Vehicle Model | VIN No. (Identification) |
Description of Damage
Any Passengers? □ Yes □ No If “Yes,” list below:
| Name | Address | Telephone No. |
|------|---------|---------------|
## OTHER PARTY INFORMATION
| Name (First, Middle, Last) | Address |
|---------------------------|---------|
| Telephone No. | Driver’s License Number & State | Expiration | Date of Birth |
Name of Insured
Insurance Company or Agency
| Policy Number | Policy Expiration Date |
|---------------|------------------------|
Vehicle Year | Vehicle Make | Vehicle Model | VIN No. (Identification)
Description of Damage
Any Passengers? □ Yes □ No If “Yes,” list below:
| Name | Address | Telephone No. |
|------|---------|---------------|
## LOCATION OF ACCIDENT
Street Address and Intersection
City
State
Zip
## POLICE INFORMATION
Police Agency: □ Hwy Patrol □ City PD □ Sheriff’s Office □ Other (List):
Case Number:
Anyone injured?
□ Yes □ No
Ticket issued?
□ Yes □ No
To whom?
## LOCATION
- □ Intersection
- □ Residential Road
- □ Parking Lot
- □ Highway
- □ Rural Road
- □ Other:
## ROAD
- □ Dry
- □ Under Repair
- □ Wet
- □ Unpaved
- □ Snow/Ice
- □ Other:
## WEATHER
- □ Clear
- □ Snowing
- □ Raining
- □ Fog
- □ Other:
## LIGHT
- □ Day
- □ Street Light
- □ Sunset
- □ Dawn
- □ Dark
- □ Other:
## ACCIDENT SEVERITY: INSURED DRIVER
- □ No Injuries
- □ Bruises, No Broken Bones
- □ Broken Bones, Nonlife Threatening
- □ Life Threatening
- □ Death
## CITATIONS: INSURED DRIVER
- □ None □ Unknown
- □ Ran Red Light
- □ Illegal Turn
- □ Reckless Driving
- □ Fail To Yield
- □ Speeding
- □ Other:
## ACCIDENT SEVERITY: OTHER DRIVER
- □ No Injuries
- □ Bruises, No Broken Bones
- □ Broken Bones, Nonlife Threatening
- □ Life Threatening
- □ Death
## CITATIONS: OTHER DRIVER
- □ None □ Unknown
- □ Ran Red Light
- □ Illegal Turn
- □ Reckless Driving
- □ Fail To Yield
- □ Speeding
- □ Other:
Headlights on? Your Vehicle: □ Yes □ No
Other Vehicle: □ Yes □ No
## ACCIDENT DESCRIPTION
Passenger/Witness Name
Telephone No.
Address
Passenger/Witness Name
Telephone No.
Address
Passenger/Witness Name
Telephone No.
Address
## ACCIDENT DIAGRAM
Indicate north by an arrow
Show position of vehicles and indicate traffic controls such as signals, signs, etc.
Were the signals working?
□ Yes □ No
Key
1 = Insured; 2 = Other Vehicle
DRIVER’S ACCIDENT REPORTING KIT
KEEP THIS IN YOUR VEHICLE FOR USE WHEN IN AN ACCIDENT
FIRST
• Stop immediately and determine if there is damage to your vehicle or to another vehicle(s). If possible, avoid obstructing traffic.
• Place emergency flags or flares along the roadside preceding the accident site.
• Contact the appropriate medical personnel as soon as possible.
• Direct someone to contact the local law enforcement agency; or, if possible, call them yourself.
• Notify your employer of the accident as soon as possible.
SECOND
• Obtain: 1. Names, addresses, and phone numbers of drivers and occupants of the other car(s); 2. Names, addresses, and phone numbers of anyone injured; and, 3. Names, addresses, and phone numbers of any witnesses.
• Complete the enclosed Auto Accident Report Form promptly and submit it to your employer.
• If a camera is available, take photographs of: 1. The accident scene from your direction of travel; 2. The vehicle positions from a close up range; 3. The damaged area; 4. Skid marks, and 5. The other vehicle (include license plate).
• Employer should forward the Driver Report of Accident Form to their insurance agent.
• Promptly contact the FCCI Insurance Group* Claims Center at 1-800-226-3224 and report the accident.
THIRD
Consider the use of an FCCI Insurance Group Freedom Select Repair Shop which can be located in Express Serve or through the handling claim adjuster.
IMPORTANT
• Do not make or give a statement to anyone except:
1. A law enforcement officer; 2. A representative from your employer; and 3. A claims representative from FCCI Insurance Group
• Do not make any settlements with anyone, and do not argue about the accident or who is at fault for the accident.
• Do not offer to make any payments.
• If the accident involves an unattended vehicle or fixed object, take reasonable steps to locate and notify the owner. If the owner cannot be found, leave a notice in a conspicuous place on the vehicle or object, listing your name and address, the name of your employer, and the phone number for your employer.
It is important that all claims are reported to us AT ONCE!
FCCI INSURANCE GROUP
6300 UNIVERSITY PARKWAY
SARASOTA, FL 34240-8424
PHONE: 1-800-226-3224
FAX: 1-800-226-2003
www.fcci-group.com
Every incident involving an automobile, regardless of the driver’s or insured’s assessment of fault, should be reported to FCCI Insurance Group with as complete information as possible including names, addresses, and phone numbers of all involved parties and witnesses.
SOME IMPORTANT THINGS TO REMEMBER WHEN REPORTING A CLAIM
1. Complete the enclosed Auto Accident Report on all automobile claims.
2. Notify FCCI Insurance Group immediately if you are served with a legal summons or suit papers.
3. DO NOT ADMIT FAULT OR SIGN ANYTHING EXCEPT A TRAFFIC CITATION until you have consulted with FCCI Insurance Group.
NOTE: This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
* The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
INFORMACIÓN PARA REPORTAR ACCIDENTE DE CONDUCTOR
INFORMACIÓN DE CONDUCTOR
| Nombre (Primero, Segundo, Apellido) | Dirección |
|------------------------------------|-----------|
| Teléfono | Año de vehículo | Marca de vehículo | Modelo de vehículo | # VIN (Identificación) |
Descripción de daño
¿Hubo pasajeros? □ Sí □ No Si responde “Sí,” indicalos abajo:
| Nombre | Dirección | Teléfono |
|--------|-----------|----------|
INFORMACIÓN DE LA OTRA PARTE
| Nombre (Primero, Segundo, Apellido) | Dirección |
|------------------------------------|-----------|
| Teléfono | Número y Estado de la Licencia | Vencimiento | Fecha de nacimiento |
| Nombre de asegurado |
| Empresa aseguradora | Empresa aseguradora | Empresa aseguradora |
| Año de vehículo | Marca de vehículo | Modelo de vehículo | # VIN (Identificación) |
Descripción de daño
¿Hubo pasajeros? □ Sí □ No Si responde “Sí,” indicalos abajo:
| Nombre | Dirección | Teléfono |
|--------|-----------|----------|
UBICACIÓN DE ACCIDENTE (Dirección de calle e intersección)
Ciudad | Estado | Código Postal
INFORMACIÓN POLICIAL
Agencia Policial: □ Patrulla vial □ Policía municipal □ Alguacil □ Otro (Indique):
Número de caso
¿Lesionados? □ Sí □ No ¿Hubo multas? □ Sí □ No ¿A quién?
UBICACIÓN
□ Intersección □ Vía residencial □ Estacionamiento □ Carretera □ Carretera rural □ Otro:
CAMINO
□ Seco □ Bajo reparaciones □ Mojado □ Sin pavimentar □ Nieve/Hielo □ Otro:
CLIMA
□ Despejado □ Nevando □ Lluvioso □ Niebla □ Otro:
LUZ
□ Día □ Iluminación □ Anochecer de calle □ Oscuro □ Amanecer □ Otro:
GRAVEDAD DE ACCIDENTE:
CONDUCTOR ASEGURADO
□ No hubo lesiones □ Moretones, sin huesos partidos □ Huesos partidos, sin emergencia □ Peligro para la vida □ Muerte
CITACIONES: CONDUCTOR ASEGURADO
□ Ninguna □ Desconocido □ Cruzó semáforo en rojo □ Conducción temeraria □ Giro prohibido □ No cedió el paso □ Exceso de velocidad □ Otro:
GRAVEDAD DE ACCIDENTE: OTRO CONDUCTOR
□ No hubo lesiones □ Moretones, sin huesos partidos □ Huesos partidos, sin emergencia □ Peligro para la vida □ Muerte
CITACIONES: OTRO CONDUCTOR
□ Ninguna □ Desconocido □ Cruzó semáforo en rojo □ Conducción temeraria □ Giro prohibido □ No cedió el paso □ Exceso de velocidad □ Otro:
¿Luces prendidas en… su vehículo? □ Sí □ No … el otro vehículo? □ Sí □ No
DESCRIPCIÓN DE ACCIDENTE
Nombre de pasajero/Testigo | Teléfono ( )
---------------------------|-----------------
Dirección | |
Nombre de pasajero/Testigo | Teléfono ( )
---------------------------|-----------------
Dirección | |
Nombre de pasajero/Testigo | Teléfono ( )
---------------------------|-----------------
Dirección | |
DIAGRAMA DE ACCIDENTE
Indique en diagrama lo que pasó.
Use flechitas para indicar Norte y posición de vehículos marque controles de tránsito (semáforos, señales, etc.).
¿Estaban funcionando los semáforos? __ Sí __ No
Clave
A = Asegurado; 1 = Otro vehículo; 2 = Otro vehículo
INFORMACIÓN PARA REPORTAR ACCIDENTE DE CONDUCTOR
MANTENGA EN SU VEHÍCULO PARA CUANDO OCURRA ACCIDENTE
PRIMERO
• Pare inmediatamente y determine si su vehículo u otros tienen daños. Si es posible, evite obstruir el tráfico.
• Ponga las banderas o bengalas de emergencia a lo largo de la vía, precedente al lugar del accidente.
• Contacte al personal médico adecuado lo más pronto posible.
• Indiquele a alguien que contacte a la autoridad competente local, o, si es posible, llámelos usted mismo(a).
• Avísele a su empleador sobre el accidente lo más rápido posible.
SEGUNDO
• Obtenga: 1. Nombres, direcciones y teléfonos de los conductores y ocupantes de los demás vehículos; 2. Nombres, direcciones y teléfonos de toda persona lesionada; y 3. Nombres, direcciones y teléfonos de todo testigo.
• Rellene el Formulario adjunto para Declaración de Accidente Automovilístico de inmediato y entrégueselo a su empleador.
• Si hay cámara disponible, tome fotos de: 1. la escena del accidente desde su trayectoria; 2. las posiciones de los vehículos tomadas de cerca; 3. el área del daño; 4. las marcas hechas por los neumáticos; y 5. el otro vehículo (incluya la placa de matrícula).
• El empleador debe enviarle al agente de seguros el Formulario para Declaración de Accidente Automovilístico.
• Contacte rápidamente al Centro de Reclamaciones de FCCI Insurance Group* al 1-800-226-3224 e informe sobre el accidente.
TERCERO
Considere el uso de un taller de reparación tipo Freedom Select recomendado por FCCI Insurance Group, el cual se encuentra en ExpressServeSM o mediante el ajustador encargado de su reclamación.
IMPORTANTE
• No le dé declaraciones ni le diga nada a nadie excepto a:
1. un oficial policial, 2. un representante de su empleador, o 3. un representante de reclamaciones de FCCI Insurance Group.
• No haga arreglos con nadie, no discuta acerca del accidente ni la culpabilidad del mismo.
• No ofrezca hacer ningún pago.
• Si el accidente implica a un vehículo desocupado o un objeto fijo, tome medidas razonables para localizar e informarle al dueño. Si éste no se encuentre, deje una nota en un lugar visible del vehículo u objeto que incluye su nombre y dirección, y el nombre y teléfono de su empleador.
¡Es importante informarnos de todas reclamaciones INMEDIATAMENTE!
FCCI INSURANCE GROUP
6300 UNIVERSITY PARKWAY
SARASOTA, FL 34240-8424
PHONE: 1-800-226-3224
FAX: 1-800-226-2003
www.fcci-group.com
Todo incidente que involucre un automóvil se le debe informar a FCCI Insurance Group con la mayor información posible, lo cual incluye nombres, direcciones y teléfonos de todas partes implicadas y testigos, sin que importe la culpabilidad de conductor o asegurado.
ALGUNAS COSAS IMPORTANTES A RECORDAR CUANDO PRESENTE UNA RECLAMACIÓN
1. Rellene la Declaración de Accidente Automovilístico para todas las reclamaciones de auto.
2. Ínfórmele a FCCI Insurance Group inmediatamente si recibe una citación judicial o notificación de demandas.
3. NO ADMITA CULPABILIDAD NI FIRME NADA EXCEPTO LA CITACIÓN DE TRAFICO, hasta que Ud. ha consultado con FCCI Insurance Group.
NOTA: Esta publicación no es parte de su póliza. La información en esta publicación solamente se suministra para fines informativos y no pretende identificar todos los peligros potenciales ni las acciones remediales. La información suministrada solamente es para ayudarle con el cumplimiento y el control de pérdidas. FCCI Insurance Group® no será responsable de ninguna pérdida, muerte, daños, ni gastos que surjan a raíz del uso de las medidas sugeridas para el control de pérdidas. FCCI Insurance Group® no estipula ni suministra asesoría jurídica relacionada con los requisitos federales o estatales. Puede que haya requisitos federales y estatales que usted deba cumplir, los cuales no se mencionan en este material. Usted es íntegramente responsable del cumplimiento de las leyes federales y estatales, incluso el cumplimiento de todo cambio en ellas, para la seguridad de sus operaciones. Si tiene preguntas o inquietudes relacionadas con el acatamiento jurídico, por favor consultelo con su asesor jurídico.
* FCCI Insurance Group incluye a las siguientes empresas aseguradoras: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company and National Trust Insurance Company.
1. **Preventability and Defensive Driving**
The concept of *preventability* is based on the belief that minimizing accidents and optimizing safe driving performance requires consistent adherence to defensive driving principles and techniques such as those taught by the National Safety Council.
Factors used in determining *preventability* do not include concepts such as fault or negligence, which typically have legal connotations. Instead, with legal considerations aside, determinations focus on using defensive driving ability to avoid accidents, in spite of the wrong actions of the other driver and in spite of adverse driving conditions.
2. **Standard of Performance**
Accidents involve so many different factors that it is impossible to set hard, fast rules to classify them as *preventable* or *non-preventable*. Management must make this determination. In making these decisions, management must take the time and effort to ensure consistency and impartiality. The following paragraphs are offered as a guide to assist with this process.
3. **Intersections**
Drivers must approach, enter and cross intersections prepared to avoid accidents that might occur through the action of other drivers. Complex traffic movement, blind intersections or failure of the other driver to conform to law or traffic control devices will not automatically discharge an accident as *non-preventable*. Intersection accidents are typically *preventable* even though a driver has not violated traffic regulations.
4. **Backing**
Practically all backing accidents are *preventable*. A driver is not relieved of responsibility to back safely even when someone guides the maneuver. Only the driver can control the movement of the vehicle; therefore, the driver must check all clearances through proper use of rear view mirrors and looking back.
5. **Front-End Collisions**
Regardless of the abrupt or unexpected stop of the vehicle ahead, a driver can avoid accidents by maintaining a safe following distance at all times. Even under ideal driving conditions, a driver should maintain a two-second following distance between his vehicle and the one ahead. A driver must also be prepared for possible obstructions on the highway, either in plain view or hidden by the crest of a hill or the curve of a roadway. Overdriving headlights at night is a common cause of front-end collisions. Night speed should not be greater than that which will permit the vehicle to come to a stop within the forward distance illuminated by the vehicle’s headlights.
6. **Rear-End Collisions**
Investigation will often disclose that a driver risked being struck from behind by failing to maintain a margin of safety in his own following distance. Rear-end collisions preceded by a roll back, an abrupt stop at a grade crossing, when a traffic signal changes, or when a driver fails to signal a turn at an intersection are *preventable*. Failure to signal intentions or to slow down gradually should result in a determination of *preventable*.
7. **Passing**
Failure to pass safely suggests faulty judgment and the possible failure to consider one or more of the important factors a driver must observe before attempting the maneuver. Unusual actions of the driver being passed or of oncoming traffic might appear to exonerate a driver involved in a passing accident; however, the entire passing maneuver is voluntary and the driver’s responsibility.
8. **Being Passed**
Sideswipes and cutoffs while being passed are *preventable*, if a driver fails to yield to the passing vehicle by slowing down or moving to the right where possible.
9. **Lane Encroachment**
A defensive driver is rarely a victim of entrapment by another driver when changing lanes. Similarly, entrapment in merging traffic is an indication of unwillingness to yield to other vehicles or to wait for a break in traffic.
Blind spots are not valid excuses for lane encroachment accidents. Drivers must make extra allowances to protect themselves in areas of limited sight distances.
Squeeze plays causing involvement with parked cars, pillars and other road structures can be avoided by dropping back when it is apparent that the other driver is forcing the issue or contesting a common portion of the road.
10. **Grade Crossings**
Collisions with fixed rail vehicles, such as trains, street cars, etc., occurring at grade crossings, in traffic, in a rail yard, switch area or on private property, are the responsibility of the defensive driver to avoid.
11. **Opposing Vehicles**
It is extremely important to closely examine the action of your driver when involved in a head-on or sideswipe accident with a vehicle approaching from the opposite direction. Exact location of vehicles, prior to and at the point of impact, must be carefully verified. Even though an opposing vehicle enters your driver’s traffic lane, it may be possible for your driver to avoid the collision. For example, if the opposing vehicle was in a passing maneuver and your driver failed to slow down, stop or move to the right to allow the other vehicle to re-enter its own lane, your driver has failed to take appropriate action to avoid the occurrence. Failing to signal the opposing driver by flicking the headlights or sounding the horn should also be taken into account.
12. **Turning**
Turning movements, like passing maneuvers, require the most exacting care. Squeeze plays at left or right turns involving other vehicles, scooters, bicycles or pedestrians are the responsibility of the driver making the turn. Failure to signal, to properly position the vehicle for the turn, to check the rear view mirrors, to check pedestrian lanes or to take any other defensive action should be considered. U-turns by your driver that result in a collision are *preventable*.
13. **Pedestrians**
Traffic regulations and accident review findings generally favor the pedestrian hit by a moving vehicle. An unusual route of a pedestrian at mid-block or from between parked vehicles does not necessarily relieve a driver from taking precautions to avoid such accidents. Whether speed limits are posted or the area is placarded with warning signs, speed ‘too fast for conditions’ may be involved. School zones, residential streets and other areas with special pedestrian traffic must be traveled at reduced speeds appropriate to the particular situation. Bicycles, motor scooters and similar equipment are generally operated by young and inexperienced operators. The driver who fails to reduce speed when this type of equipment is operated within his sight distance has failed to take the necessary precautions to avoid an accident. Merely keeping within posted speed limits is not sufficient when unusual conditions call for further voluntary reduction of speed.
14. **Weather**
Adverse weather conditions are not a valid excuse for being involved in an accident. Rain, snow, fog, sleet or icy pavement have never caused an accident. These conditions merely increase the hazards of driving. Failure to adjust driving to the prevailing weather conditions, or to ‘call it a day’ when necessary, should be cause for deciding an accident *preventable*.
15. **Alleys, Driveways and Plant Entrances**
Accidents involving traffic originating from alleys, driveways, plant entrances and other special intersecting locations should be carefully analyzed to determine what measures a driver might have taken to avoid the occurrence. Failure to slow down, sound a warning or to yield to the other driver can be considered cause to judge such an accident *preventable*.
16. **Fixed Objects**
Collisions with fixed objects are *preventable*. They usually involve failure to check or properly judge clearances. New routes, strange delivery points, resurfaced pavements, inclined entrances and similar situations are not, in themselves, valid reasons for excusing a driver being involved.
17. **Parking**
Unconventional parking locations, including double parking, failure to put out warning devices, etc., generally constitute evidence for judging an accident *preventable*. Roll-away accidents from a parked position normally should be classified *preventable*. This includes those arising from unauthorized entry by others into an unlocked and unattended vehicle as well as failure to properly block wheels or to turn wheels toward the curb to prevent vehicle movement.
18. **Mechanical Failure**
Any accident caused by mechanical failure that reasonably could have been detected by the driver, but went unheeded, should be judged *preventable*. It is the driver’s responsibility to correct unsafe vehicle conditions and to obtain immediate repairs where continued operation might result in an accident. When mechanical difficulties occur unexpectedly during a trip and a driver, upon discovery, fails to check with his company for emergency instructions prior to an accident, the accident is *preventable*.
An accident caused by mechanical failure that results from abusive driving should be considered *preventable*.
19. **Non-Collision**
Accidents such as overturning or running off the road may result from emergency action by the driver to prevent being involved in a collision. Examination of driving practice prior to the accident may reveal speed too fast for conditions or other errors indicating a lack of defensive driving.
20. **Miscellaneous**
If a driver is involved in an accident and is found to be in violation of any motor vehicle laws or regulations, the accident would be judged *preventable*.
It is impossible to describe in detail every way a driver might avoid an accident. This guide merely highlights common occurrences and provides perspectives for evaluating them. To further assist, the following standard of defensive driving should be applied to evaluate all accidents involving your drivers:
A defensive driver commits no driving errors and makes allowances for the lack of skill or improper driving practice of others. A defensive driver adjusts his or her own driving to compensate for unusual weather, road and traffic conditions and is not involved in an accident because of the unsafe actions of pedestrians or other drivers. By being alert to accident producing situations, a defensive driver recognizes the need for preventive action in advance and takes necessary precautions to avoid the accident. He or she knows when it is necessary to slow down, stop or yield to the right of way to avoid involvement.
**NOTE:** This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
*The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
Vehicle Safety Inspection Form
Make and Model____________________________________ Year__________________________
Vehicle number___________________________________ Trailer number_________________
Driver__________________________________________ Date__________________________
Odometer reading_________________________________
Checklist:
☐ Engine oil
☐ Power steering fluid
☐ Battery water
☐ Auto transmission fluid
☐ Hoses
☐ Tire pressure
☐ Tire tread
☐ Windshield washer fluid
☐ Spare tire
☐ License plate
☐ First aid kit
☐ Back up alarms
☐ Mud flaps
☐ Other________________________________________
______________________________________________
______________________________________________
Items requiring repair:
______________________________________________
______________________________________________
______________________________________________
Driver’s signature_______________________________________________________________
NOTE: This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
*The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
Vehicle Maintenance Inspection Form
Driver’s name_________________________________________ Date_____________________
VIN number___________________________________________ Odometer reading______________
Check all items that are in good working order. CIRCLE the items that need attention, then explain in the Remarks section below, and notify the appropriate employee to correct the item.
Mechanical:
☐ Engine oil
☐ Windshield washer fluid
☐ Power steering fluid
☐ Back up alarms
☐ Battery
☐ Clutch
☐ Belts
☐ Steering
☐ Other _____________________________________________
☐ Defroster
☐ Foot brake
☐ Air/Heat
☐ Park brake
☐ Radiator
☐ Transmission fluid
☐ Hydraulic equipment
☐ Hoses
Interior:
☐ Driver’s Accident Reporting Kit
☐ First aid kit
☐ Emergency equipment
☐ Rear view mirror
☐ Fire extinguisher
☐ Other _____________________________________________
☐ Seat belts
☐ Interior lights/gauges
☐ Spare tire/jack
☐ Horn
Exterior:
☐ Headlights
☐ Mud flaps
☐ Taillights
☐ Tire tread
☐ Tire pressure
☐ Turn signals
☐ Other _____________________________________________
☐ Hitches
☐ Windshield wipers
☐ Tarpaulin
☐ Glass
☐ License plate/registration
☐ Mirrors
Remarks:
Driver’s signature_____________________________________
Date corrected:_____________________
Mechanic’s remarks:
Mechanic’s signature_____________________________________
NOTE: This publication is not a part of your policy. The information contained in this publication is provided for informational purposes only and does not attempt to identify all potential hazards or remedial actions. The information provided is only to assist you in your compliance and loss control efforts. FCCI Insurance Group* shall not be liable for any loss, death, damage or expense arising out of the use of the suggested loss control measures. FCCI Insurance Group* makes no representations and provides no legal advice regarding federal or state requirements. There may be additional federal and state requirements with which you are required to comply that are not contained in this material. You are solely responsible for complying with federal and state laws, including compliance with any changes in the law, and for the safety of your operations. If you have question or concerns regarding legal compliance please consult your legal adviser.
*The FCCI Insurance Group includes the following insurance carriers: Brierfield Insurance Company, FCCI Advantage Insurance Company, FCCI Commercial Insurance Company, FCCI Insurance Company, Monroe Guaranty Insurance Company, and National Trust Insurance Company.
I. Mission Statement
The management of _______________________________ believes that:
- The safety and well-being of all company employees is important.
- Safety takes precedence over expediency.
- Accident prevention is the responsibility of both management and employees. Together, we can reduce the injuries, suffering and expense due to accidents.
For these reasons, the company has developed a fleet safety program that requires the full cooperation of both employees and managers.
Employees:
- Are required and expected to carry out their individual responsibilities as outlined in this program.
- Will comply with all applicable federal, state and local laws and ordinances.
Managers:
- Are responsible for implementing and following the policies and procedures as outlined in this program.
- Will comply with all applicable federal, state and local laws and ordinances.
**Warning!** Failure to comply with these safety policies and procedures could subject employees and/or managers to disciplinary action which may include termination.
__________________________
Chairman & Chief Executive Officer
__________________________
Fleet Manager
**DISCLAIMER:** This sample form is intended to be used for reference only. It is advised that any sample form be reviewed by your legal counsel prior to use.
II. Driver Hiring and Screening
Statistics demonstrate that the vast majority of motor vehicle accidents are preventable therefore ____________________________ (Name of Company) _______________________________ is committed to screening and evaluating prospective employees and current employees before assignment to a driving position with this company. ____________________________ (Name of Person) is responsible for oversight of our driver screening procedures. Our methods will include:
- Review of employment application, driver supplement and completion of Driver Information and Selection Checklist
- Verification of valid driver’s license
- Documented Road Test
- Documented Motor Vehicle Record (MVR) review at hire and annually for anyone who may drive a vehicle for company business. MVR check will include at least three years of driving history.
Drivers who possess an unacceptable driving record will not be permitted to operate a motor vehicle for company business purposes. The following criteria will be utilized when reviewing MVRs:
“Unacceptable” Driving Record
A driver with major violations within the last three years, including:
- Violating the open container law (driver or passenger)
- Reckless driving
- Failure to yield to emergency vehicles
- Three or more moving violations within the last three years (including at-fault accidents whether cited with a violation or not)
- An out-of-state license more than 60 days past the request to acquire an in-state license
- Vehicular homicide or other felony
- Passing a school bus
- Leaving the scene of an accident
- Driving under suspension
- Driving under the influence of alcohol or drugs
- Less than three years’ driving experience
“Marginal” Driving Record
A driver who has one or more serious violations in the past three years, such as:
- Excessive speeding (15 mph or more over the speed limit in any speed zone)
- Careless driving, creating an accident
- Driving with two moving violations within the past 36 months
A driver whose driving record reflects possible poor driving habits, such as:
- Several not-at-fault accidents
- Several minor traffic infractions
- License at one time suspended for minor infractions
III. Driver Supervision and Training
_______________________________ (Name of Company) is committed to safe operation of motor vehicles for our business activities on a continuing basis. Therefore we will utilize the following:
- Employee review and acknowledgement of our Vehicle Use Policy (see attached)
- Employee review and acknowledgement of our Distracted Driving Policy (see attached)
- Periodic documented driver safety training meetings (at least 2x/year)
- Revocation of driving responsibility and privilege for anyone with an unacceptable MVR
- Mandatory defensive driver training in the event of an at-fault or preventable crash
- GPS telematics on company vehicles to provide management with real time information on vehicle operation
_______________________________ (Name of Person) is responsible for overall supervision of company drivers.
DISCLAIMER: This sample form is intended to be used for reference only. It is advised that any sample form be reviewed by your legal counsel prior to use.
IV. Non-Owned Vehicles
An employee driving a personal vehicle for company business also poses certain risks for the company and others. Therefore, _______________________________ requires the following from those employees:
(Name of Company)
- Provide a copy of your valid driver license
- Be included on our insurance driver list
- Authorize the company to perform regular MVR check on your driving record
- Participate in company driver training initiatives
- Maintain personal automobile liability insurance limits acceptable to the company and provide a copy of your declaration page at each renewal
V. Accident Procedures and Investigation
If you are involved in an accident, follow the steps outlined in the Driver’s Accident Reporting Kit:
- Stop immediately and determine if there is damage to any vehicle; avoid obstructing traffic, if possible
- Place emergency flags or flares along the road preceding the accident site
- Contact emergency responders immediately if there are any injuries
- Call the police
- Call your employer
- Document details of the accident utilizing the reporting kit as soon as possible
- Supervisor will respond to the scene, if possible
__________________________ and/or the Safety Committee will review the details of the (Name of Person) accident utilizing the following to determine preventability and root cause:
- Accident Reporting Kit
- Police Report
- Employee Interviews
- Management Guide for Determining Accident Preventability
VI. Vehicle Maintenance and Inspection
__________________________ recognizes that there are many benefits to a well-maintained fleet of vehicles. Some of these benefits are:
(Name of Company)
- Enhanced business reputation by keeping vehicles clean and presentable
- Cost savings and longevity of fleet by performing preventive maintenance at manufacturer recommended intervals
- Improved employee morale from driving clean and reliable vehicles
- Reduced potential for accidents due to a maintenance issue
We require the following procedures to keep a well maintained fleet:
- Daily walk around and visual inspection by each driver prior to start of work
- Daily documented post trip inspection for heavy vehicles
- Monthly documented vehicle inspection of standard vehicles
- Immediate notification to supervisor or fleet manager of any safety issue or repair need
- Maintain a documented service and repair history for each fleet vehicle
DISCLAIMER: This sample form is intended to be used for reference only. It is advised that any sample form be reviewed by your legal counsel prior to use.
Vehicle Use Policy Agreement
I, the undersigned individual agree that, upon assuming the position of ____________________________ with ______________________________ (hereinafter referred to as the “Company”), as appropriate, effective as of the date below, I will be allowed to use a Company vehicle to perform my job duties. As such, the vehicle is a tool related to the performance of specific jobs and is never to be considered a part of compensation. Therefore, should I be transferred or promoted in the future to a position within the Company for which a vehicle is not deemed an appropriate or necessary tool, I will cease to have the use of any such Company vehicle.
I agree to abide by the following when a Company vehicle is in my care, custody or control:
1. I will use the Company vehicle only for Company business and never for personal use unless specifically authorized, in writing, by my supervisor or other Company personnel having authority to authorize such use.
2. If personal use of the Company vehicle is specifically authorized, only I will drive the vehicle.
3. I will practice sound defensive driving techniques and otherwise exercise reasonable care in the operation of the Company vehicle.
4. When used for company business, only company employees or other persons being transported for business purposes will be allowed to ride in or enter the Company vehicle, and only other authorized company personnel will be permitted to drive it.
5. I will not drive the Company vehicle while consuming alcoholic beverages or other drugs or while under the influence of alcohol or other drugs, nor will I allow anyone else to do so.
6. I understand that violation of this Vehicle Use Policy Agreement may result in disciplinary action up to and including termination of my employment.
7. I will obey all traffic laws, ordinances, and regulations pertaining to the operation of motor vehicles. I will pay any fines, parking tickets, or other assessments for violations of traffic laws, ordinances, or regulations imposed on me. I acknowledge fines paid by me for any violations of such motor vehicle laws, ordinances, or regulations are totally my responsibility and will not be reimbursed by the Company.
8. I will wear a seat belt at all times and will require all passengers to do so as well.
9. Prior to driving the Company vehicle, I will check tires, lights, wipers, horn, turn signals, rear view mirrors, and brakes to be sure they appear to be in safe operating condition. If defects are noted, I will promptly report and/or have them repaired as appropriate.
10. In the event of an accident, I will promptly comply with the Company automobile accident reporting procedures.
11. I understand that if I am involved in an accident with a Company vehicle and the Company’s insurance carrier assumes responsibility for payment of resulting claims, I may be required to attend a defensive driving training course.
12. I am aware that the Company’s automobile insurance DOES NOT cover me when I am driving a non-company car for personal use, it only insures the Company vehicles. I understand that if I do not have my own personal auto policy, it is very important that I contact my insurance agent to purchase Named Non-owner automobile insurance to cover me when driving other automobiles (e.g., rental cars).
These policies have been fully explained to me and I understand the contents of the Company Vehicle Use Policy Agreement. I am aware that the failure to abide by these policies will result in disciplinary action, up to and including termination of my employment with the Company.
By____________________________________ Date________________
Employee Signature
____________________________________
Print Employee Name
For Office Use Only:
Date Approved____/____/_____ Reviewed By_____________
DISCLAIMER: This sample form is intended to be used for reference only. It is advised that any sample form be reviewed by your legal counsel prior to use.
Driver Distraction Policy
______________________________ recognizes that distracted driving is a growing problem and we are committed to minimizing this hazard. Distracted driving includes any non-driving activity a person engages in while driving that has the potential to distract him/her from the primary task of driving. Such activities include, but are not limited to, talking on a cell phone; texting; eating and drinking; using a smartphone, tablet or GPS device; reading email; watching a video; changing a radio station, CD or MP3 player; etc.
Distractions may cause any one or a combination of the following sensory deficits:
- **Visual** – taking your eyes off the road
- **Manual** – taking your hands off the steering wheel
- **Cognitive** – taking your mind off what you are doing
Distracted driving can result in injury, death or significant property damages.
Distracted driving can also lead to litigation if it is determined that an accident/incident was a result of cell phone use, texting, etc. Plaintiff attorneys may subpoena cell phone records to implicate both the employee and employer and seek major damage awards.
Statistics clearly show that distracted driving is dangerous and unacceptable. Distracted driving incidents are preventable.
Employees of ___________________________ will adhere to the following policies:
- Cell phones are not to be used while driving for company business.
- Company issued cell phones are not to be used while driving any vehicle.
- Pull over in a safe place if you need to make a call.
- Absolutely no texting, emailing or browsing on a device is allowed while driving.
Signature: ___________________________ Date: ___________
Name: _______________________________
|
Orderly Subspace Clustering
Jing Wang\textsuperscript{1}, Atsushi Suzuki\textsuperscript{1}, Linchuan Xu\textsuperscript{1,*}, Feng Tian\textsuperscript{2}, Liang Yang\textsuperscript{3} and Kenji Yamanishi\textsuperscript{1}
\textsuperscript{1}Graduate School of Information Science and Technology, The University of Tokyo, Japan
\textsuperscript{2}Faculty of Science and Technology, Bournemouth University, UK
\textsuperscript{3}School of Artificial Intelligence, Hebei University of Technology, China
{jing\_wang, atsushi\_suzuki, linchuan\_xu, firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
Abstract
Semi-supervised representation-based subspace clustering is to partition data into their underlying subspaces by finding effective data representations with partial supervisions. Essentially, an effective and accurate representation should be able to uncover and preserve the true data structure. Meanwhile, a reliable and easy-to-obtain supervision is desirable for practical learning. To meet these two objectives, in this paper we make the first attempt towards utilizing the orderly relationship, such as the data $a$ is closer to $b$ than to $c$, as a novel supervision, and propose an orderly subspace clustering approach with a novel representation. OSC enforces the learned representations to simultaneously capture the intrinsic subspace structure and reveal orderly structure that is faithful to true data relationship. Experimental results with several benchmarks have demonstrated that aside from more accurate clustering against state-of-the-arts, OSC interprets orderly data structure which is beyond what current approaches can offer.
Introduction
Subspace clustering, which aims at partitioning high dimensional data into multiple low-dimensional subspaces with each subspace corresponding to one class or subject, has been widely used in machine learning, computer vision and pattern recognition area (Rao et al. 2010; Liu et al. 2013; Zhou et al. 2014; Zhang et al. 2018).
Recently, several subspace clustering methods have been proposed to explore the relationships among data with self-representation (Wu et al. 2015; Zhang et al. 2017). These representation-based methods can be roughly divided into two categories: the unsupervised and the semi-supervised. The former (Liu, Lin, and Yu 2010; Lu et al. 2012; Hu et al. 2014) mainly focuses on the intrinsic structure of data, while the later (Zhou et al. 2014; Fang et al. 2015; Wang et al. 2017a) utilizes a small amount of supervision information on top of data structure as a valuable guidance. The pairwise information, including must-link constraints and cannot-link constraints which specify whether the data must be or cannot be in the same cluster, has been demonstrated that it helps to improve performance (Wagstaff et al. 2001). However, the pairwise relationships only characterize the relationships between data and cluster, yet the relationships among data are far beyond what they can describe. Also, it is often difficult to identify whether two objects must or cannot belong to the same cluster if there is no cluster categories known in advance. To remedy this, we are inspired to seek for and utilize novel supervision information, so as to exploit data information more deeply and further achieve more accurate clustering.
In reality, one may easily observe that orderly relationships are ubiquitous among data. An orderly relationship represents that the data $a$ is closer to $b$ than to $c$. For example, an image of “apple” is often more related to that of “banana” than to that of “ball”; a frame of a video sequence is often more related to its neighbouring frames than to those far way. Such relative order naturally exists among data and it is reliable (Kendall 1948; Amid and Ukkonen 2015; Wang et al. 2018b). Preserving such relative relationships enables us to find a good representation that uncovers the true data relationship. With these advantages, the orderly relationship has been widely used in various applications, such as ordinal classification (Amid and Müller 2016), technical embedding (Terada and Luxburg 2014), hashing (Liu et al. 2016) and social networks (Song, Meyer, and Tao 2015; Wang et al. 2017b). Unfortunately, existing subspace clustering approaches have largely ignored the orderly relationship.
In this paper, we propose an orderly subspace clustering (OSC) approach by using the orderly relationship as a novel constraint to learn orderly representations. Compared with pairwise subspace clustering approaches, OSC works quite differently and is more advanced in three aspects. Firstly, the must-link/cannot-link is limited to paired data which belong to the same class or two different ones, but the orderly relationship is a triplet information among three data within one class or across multiple ones. Secondly, with must-link/cannot-link, the pairwise subspace clustering enforces representations to be close/far away, while OSC takes a step further by preserving relative order among data, even when they are from the same cluster. Thirdly, two pairwise relations may derive an orderly relationship, such as if the data $a$ is must-link to $b$ but cannot-link to $c$, we can derive that $a$ is more related to $b$ than to $c$. However, the reverse derivation may not hold. That is to say, the pairwise relaFigure 1: The comparison of existing pairwise subspace clustering methods and the proposed OSC for finding representations in low-dimensional spaces. The original dataset contains images of two classes, where the dog images (e.g., $a$, $b$ and $c$) are in red and the wolves (e.g., $d$) are in blue. In particular, both $a$ and $b$ are Husky dogs and $c$ is a Teddy dog. Existing pairwise approaches are infeasible to utilize orderly relationship as supervisions for semi-supervised learning, but OSC incorporates the orderly relationship effectively and enforces the learned representations to have the orderly structure which is faithful to the relationship.
tions could be utilized by OSC, but the pairwise approaches cannot incorporate the orderly relations effectively. We outline these differences and OSC’s advantages in Figure 1. As shown in 1(i), given a set of orderly relationships such as $a$ is closer to $b$ than to $c$, i.e., $S(a, b) > S(a, c)$, an intuitive way to incorporate the relationship into existing pairwise approaches is to split the orderly relationship into two pairwise relations: (1) $a$ and $b$ are must-link and (2) $a$ and $c$ are cannot-link. However, this implies that $a$ and $c$ belong to different classes, which is incorrect. And from the relationship $S(a, c) > S(a, d)$, it can be derived that $a$ is must-link to $c$ and cannot-link to $d$, which is correct. However, while enforcing the representation of data $a$, i.e., $\mathbf{H}_a$ to be close to $\mathbf{H}_c$ and far away from $\mathbf{H}_d$, the pairwise approaches are not able to quantify the distance among their corresponding representations. As a result, it may end up with the relation $D(\mathbf{H}_a, \mathbf{H}_c) > D(\mathbf{H}_a, \mathbf{H}_d)$, which is apparently inconsistent with the true data relationships. This error may likely lead to a wrong clustering, e.g. it is not $b$ but $d$ which is clustered into the “Dog”. In contrast, as shown in Figure 1(ii), OSC enforces representations to be faithful to the true data relationship, such as it learns $D(\mathbf{H}_a, \mathbf{H}_b) < D(\mathbf{H}_a, \mathbf{H}_c)$ with $S(a, b) > S(a, c)$. Moreover, from Figure 1(ii), we can easily deduce $S(a, b) > S(a, c) > S(a, d)$. Accordingly, $\mathbf{H}_a$ is enforced to be the closest to $\mathbf{H}_b$ and the furthest from $\mathbf{H}_d$, i.e., $D(\mathbf{H}_a, \mathbf{H}_b) < D(\mathbf{H}_a, \mathbf{H}_c) < D(\mathbf{H}_a, \mathbf{H}_d)$. As a result, a more discriminative representation matrix $\mathbf{H}$ is achieved with orderly structure preserved.
The main contribution of our work is that, to our best knowledge, OSC is the first approach to incorporate the orderly relationship as a novel supervision into subspace clustering for semi-supervised learning. Due to the natural availability of the orderly relationship, OSC is practical for real applications. With the orderly relationship, OSC ranks the learned representations effectively according to the true structure of data so that more discriminative representations are obtained. In fact, this strategy is not limited to one specific approach only but can also be easily adopted by several existing representation-based subspace clustering approaches such as SSC and LRR. Extensive experiments on several benchmark datasets have demonstrated the effectiveness of OSC against state-of-the-arts, not only in terms of accuracy, but also the interpretation of orderly data structure.
Related Work
Several representation-based subspace clustering methods have been proposed. To a large extent, unsupervised approaches all tend to exploit intrinsic data structure by adding regularization terms on the representations under different assumptions. For example, the sparse subspace clustering (SSC) (Elhamifar and Vidal 2009) seeks the sparse solution of data representation, which tends to be block diagonal. The low-rank representation (LRR) has two versions: LRR$_1$ and LRR$_{2,1}$ (Liu, Lin, and Yu 2010) aims to take the correlation structure of data into account for finding a low-rank representation instead of a sparse representation. The least squares regression (LSR) (Lu et al. 2012) is more effective than SSC and LRR for subspace clustering. It is
also efficient due to its closed form solution. The correlation adaptive subspace segmentation (CASS) (Lu et al. 2013) simultaneously performs automatic data selection and groups correlated data, which can adaptively balance SSC and LSR. Based on LSR, the smooth representation (SMR) (Hu et al. 2014) incorporates a weight matrix that measures the spatial closeness of data. Given a dataset with multiple types of features, (Cao et al. 2015) proposed a diverse multi-view subspace clustering (DMSVC) which learns a complementary representation shared by multiple views. (Zhang et al. 2017) then proposed latent multi-view subspace clustering (LMSC) method, which clusters data points with latent representation and simultaneously explores underlying complementary information from multiple views.
To seek for more effective representations, several semi-supervised approaches have been proposed by incorporating pairwise information or labels as supervisions with graph-based regularization. In particular, a graph consists of “nodes” (data) and “edges” that indicate the relationships of data. If two data points are of must-link, a large positive weight is assigned to the edge. Otherwise, a non-positive weight is assigned. The graph is then incorporated into the objective function as a regularizer. CS-VFC (Zhou et al. 2014) incorporates such a graph into SSC to explore the unknown relationships among data, followed by adding the constraints directly to the affinity matrix. Since the block-diagonal structure is heavily desired for accurate sample clustering, (Feng et al. 2014) proposed a graph Laplacian constraint based SSC (BD-SSC) to construct exactly block-diagonal affinity matrices. NLLRR (Fang et al. 2015) employs the graph to encode label information to seek low-rank and sparse representation simultaneously with nonnegativity constraints on the matrices. Later, LRRADP (Wang et al. 2018a) was then proposed by using adaptive distance penalty to construct an affinity graph, which enforces the representations of every two consecutive neighboring data to be similar. However, none of existing approaches can capture the true data relationships, though the reflection of the true data structure is in essence for an effective representation.
**Orderly Subspace Clustering (OSC)**
**Preliminary**
Given a set of data points $X = [X_1, X_2, \ldots, X_n] \in \mathbb{R}^{m \times n}$, where each data vector $X_i (1 \leq i \leq n)$ is a $m$-dimensional vector and $n$ is the number of data. In order to cluster the data into their respective subspaces, we need to find effective representations for constructing an affinity matrix. To achieve so, representation-based approaches assume that every data point in a union of subspaces can be represented as a linear combination of other data points, i.e., $X = XH + E$, where $H = [H_1, H_2, \ldots, H_n] \in \mathbb{R}^{n \times n}$ is the data representation matrix and $E \in \mathbb{R}^{m \times n}$ denotes errors. It can be formulated as the following optimization problem to compute the optimal data representation matrix $H^*$:
$$\min_H \Theta(E) + \alpha \Omega(X, H),$$
$$s.t. \quad X = XH + E, H \in T,$$
where $\alpha$ is the tradeoff parameter, $\Theta(E)$ is the noise term. $\Omega(X, H)$ and $T$ are the regularizer and constraint set on $H$, respectively. Under different assumptions, existing methods differ mainly in the choice of norms\(^1\) for the noise term and regularization on $H$.
As one of the most representative subspace clustering method, LSR (Lu et al. 2012) solves the following objective function:
$$\min_H \|E\|_F^2 + \alpha \|H\|_F^2, \quad s.t. \quad X = XH + E.$$
Obviously, the representation learning process of LSR depends on the intrinsic data structure only. Since the orderly relationship reflects the true data relationships, which if incorporated, is of much help for more accurate learning. In the following we present our OSC which embeds orderly relationships to achieve more discriminative representations.
**OSC-model**
We use $S(a, b) > S(a, c)$ to denote an orderly relationship, i.e., the data $a$ is closer/more similar to $b$ than to $c$. The objective of OSC is to enforce the distances among representations of the data are in correspondence to the orderly relationship, i.e.,
$$S(a, b) > S(a, c) \Rightarrow D(H_a, H_b) < D(H_a, H_c),$$
where $D$ denotes the distance measure. To achieve so, we minimize the following term:
$$I(S_+(a, b)) I(D(H_a, H_b) \geq D(H_a, H_c)) I(S_-(a, c)).$$
Here, $S_+(\cdot)/S_-(\cdot)$ indicates a closer/less close relationship between two data. $I(\cdot)$ is an indicator which equals to “1” if the condition in the parenthesis is satisfied and “0” otherwise. It is clear to see that given $S(a, b) > S(a, c)$, i.e., $I(S_+(a, b)) = I(S_-(a, c)) = 1$, minimizing (4) enforces $D(H_a, H_b) < D(H_a, H_c)$.
Use $L$ to represent a set of orderly relationships, then (4) could be extended for $\forall (a, b, c) \in L$ as follows,
$$\sum_{(a, b, c) \in L} I(S_+(a, b)) I(D(H_a, H_b) \geq D(H_a, H_c)) I(S_-(a, c)).$$
Using Euclidean distance (Liu et al. 2018) for $D$, we can rewrite (5) as
$$\sum_{(a, b, c) \in L} I(S_+(a, b)) I(\|H_a - H_b\|_2^2 \geq \|H_a - H_c\|_2^2) I(S_-(a, c)).$$
To ensure a distance between $\|H_a - H_b\|_2^2$ and $\|H_a - H_c\|_2^2$, a tunable threshold $\delta > 0$ is incorporated to regulate the distances in-between as
$$\sum_{(a, b, c) \in L} I(S_+(a, b)) I(\|H_a - H_b\|_2^2 > (\|H_a - H_c\|_2^2 - \delta)) I(S_-(a, c)).$$
\(^1\)In this paper, Frobenius norm, $L_2$ norm, $L_{2,1}$ norm and nuclear norm are represented by $\|\cdot\|_F$, $\|\cdot\|_2$, $\|\cdot\|_{2,1}$ and $\|\cdot\|_*$, respectively.
Because (7) is non-continuous, we use a ReLU loss function \( f(t) = \max(0, t) \) and obtain our orderly structured term
\[
\sum_{(a,b,c) \in L} I(S_+(a, b)) \max(0, t) I(S_-(a, c)),
\]
where \( t = \|H_a - H_b\|_2^2 - (\|H_a - H_c\|_2^2 - \delta) \).
By incorporating (8) into (2), we propose a simple yet effective objective function as follows:
\[
F = \min_H \underbrace{\|X - XH\|_F^2}_{\text{error}} + \underbrace{\alpha \|H\|_F^2}_{\text{smoothness}} \\
+ \beta \sum_{(a,b,c) \in L} I(S_+(a, b)) \max(0, t) I(S_-(a, c)),
\]
where \( \beta \) is the trade-off parameter of the orderly structured term. Note that, without orderly relationship, the objective function (9) becomes the same as that in LSR (Liu, Lin, and Yu 2010), with relationships, for each \( S(a, b) > S(a, c) \), (9) penalizes \( t \) to encourage \( \|H_a - H_b\|_2^2 - \|H_a - H_c\|_2^2 \rightarrow -\delta \) for \( t > 0 \) or maintains the structure for \( t < 0 \).
**Remarks.** It is worth pointing that the orderly structured term is not limited to LSR only. In this paper we base OSC on LSR simply because LSR not only achieves effective performance, but also has been proved efficient due to its closed form solution, which makes our approach more practical. In fact, any other representation-based subspace clustering approach which satisfies (1) can also be extended to the semi-supervised setting with the orderly structure term. For example, LRR\(_{2,1}\) can be directly extended by incorporating the term as
\[
\min_H \|X - XH\|_{2,1} + \alpha \|H\|_* \\
+ \beta \sum_{(a,b,c) \in L} I(S_+(a, b)) \max(0, t) I(S_-(a, c)).
\]
Such extension unifies the process of low rank representation learning with the orderly structure preserving so that more accurate performances are expected, which would be our future work.
**Optimizations**
We rewrite the optimization problem (9) as
\[
F = \min_{H_u, H_a, H_b} \sum_{u \notin L} \|X_u - XH_u\|_2^2 + \sum_{a \in L} \|X_a - XH_a\|_2^2 \\
+ \sum_{b \in L} \|X_b - XH_b\|_2^2 + \sum_{c \in L} \|X_c - XH_c\|_2^2 + \alpha \sum_{u \notin L} \|H_u\|_2^2 \\
+ \alpha \sum_{a \in L} \|H_a\|_2^2 + \alpha \sum_{b \in L} \|H_b\|_2^2 + \alpha \sum_{c \in L} \|H_c\|_2^2 \\
+ \beta \sum_{(a,b,c) \in L} I(S_+(a, b)) \max(0, t) I(S_-(a, c)),
\]
where \( X_u \) indicates a data vector without prior information and \( H_u \) is the corresponding representation. Since (10) is non-convex, it is non-trivial to find the global minimum. Here we divide (10) into several subproblems for alternately updating each subproblem with the others fixed.
The optimization of **\( H_u \)-subproblem** leads to the standard LSR formulation (Lu et al. 2012), so we obtain
\[
H_u = (X^T X + \alpha I)^{-1} X^T X_u,
\]
where \( I \) is an identity matrix.
**\( H_a \)-subproblem:** Updating \( H_a \) with other subproblems fixed leads to
\[
\min_{H_a} F(H_a) = \|X_a - XH_a\|_2^2 \\
+ \alpha \|H_a\|_2^2 + \beta \sum_{(b,c) \in L} I(S_+(a, b)) \max(0, t) I(S_-(a, c)).
\]
Since \( \max(0, t) \) is non-continuously differentiable with respect to \( H_a \), we relax the optimization by replacing \( \max(0, t) \) by \( I(t > 0) \) and solve the modified problem instead of directly optimizing (13). This modification leads to the minimization of the following function:
\[
\min_{H_a} F(H_a) = \|X_a - XH_a\|_2^2 \\
+ \alpha \|H_a\|_2^2 + \beta \sum_{(b,c) \in L} I(t > 0) I(S_+(a, b)) t I(S_-(a, c)).
\]
Differentiating \( F(H_a) \) with respect to \( H_a \) and setting it to zero, we get
\[
X^T X_a - X^T XH_a + \alpha H_a \\
+ \beta \sum_{(b,c) \in L} I(t > 0) I(S_+(a, b))(H_c - H_b) I(S_-(a, c)) = 0.
\]
This is the fixed point equation, and we can get the closed form solution as
\[
H_a = (X^T X + \alpha I)^{-1}(X^T X_a \\
+ \beta \sum_{(b,c) \in L} I(t > 0) I(S_+(a, b))(H_c - H_b) I(S_-(a, c))).
\]
Similarly, we obtain the closed solutions for **\( H_b \)-subproblem** and **\( H_c \)-subproblem** as
\[
H_b = (X^T X + \alpha I + \beta \sum_{(a,c) \in L} I(t > 0) I(S_+(a, b)) I I(S_-(a, c)))^{-1} \\
\cdot (X^T X_b + \beta \sum_{(a,c) \in L} I(t > 0) I(S_+(a, b) H_a I(S_-(a, c))),
\]
and
\[
H_c = (X^T X + \alpha I - \beta \sum_{(a,b) \in L} I(t > 0) I(S_+(a, b)) I I(S_-(a, c)))^{-1} \\
\cdot (X^T X_c + \beta \sum_{(a,b) \in L} I(t > 0) I(S_+(a, b) H_a I(S_-(a, c))).
\]
Since the alternating minimization relies on the comparison between the initial values of \( t \) and 0, it is important to have a sensible initialization. Here we initialize the whole
representations matrix $\mathbf{H}$ using LSR, which is a special case of our method (when $\beta = 0$ in (9)).
After obtaining representations of each vector, the representation matrix $\mathbf{H}^*$ is formed. The affinity matrix is then constructed and NCuts (Shi and Malik 2000) is applied onto the affinity matrix to produce the final clustering results. The whole procedure of OSC is summarized in Algorithm 1.
**Algorithm 1 Solving OSC**
**Input:** data matrix $\mathbf{X}$, orderly relationship set $L$, number of subspaces $p$, parameters $\lambda$, $\beta$ and $\delta$.
**Output:** Clustering result.
Initialize $\mathbf{H}$ by solving (2).
**repeat**
for $i : 1 : n$ do
Obtain representations for each $\mathbf{X}_i$ by solving (11), (15), (16) and (17), accordingly.
**end for**
until max iteration times or convergence
Construct the affinity matrix by $(|\mathbf{H}^*| + |\mathbf{H}^{*T}|)/2$.
Segment the data into $p$ groups by NCuts.
---
**Experiments**
To demonstrate the effectiveness of OSC, we conducted experiments on a variety of datasets, including image datasets (Extended Yale B, USPS), a document dataset (20news-groups) and a motion sequence (Hopkins 155).
**Extended Yale B** is a face clustering dataset which contains 2414 frontal face images of 38 subjects, with approximately 64 images per subject taken under different illumination conditions. We chose different numbers of subjects in the experiment, ranging from the first 5, 10, 30, to 38 (i.e., all of the subjects in the dataset).
**USPS** contains 9298 handwritten digit images ($16 \times 16$ each). It consists of 10 classes corresponding to the 10 digits, ($0 \sim 9$). We used the first 100 examples of each digit for this experiment.
**20 newsgroups** is a collection of approximately 20,000 newsgroup documents, partitioned evenly across 20 different newsgroups. Following (Breitenbach and Grudic 2005), we used 3970 document vectors which belong to four topics in an 8014-dimensional space.
**Hopkins 155** contains 155 motion sequences, each of which contains two or three motions (one motion corresponds to one subspace). As in (Hu et al. 2014), we used PCA to project the data into a 12-dimensional subspace.
**Experimental settings**
We compared OSC with several unsupervised baselines: $k$-NN using heat kernel distance, SSC (Elhamifar and Vidal 2009), LRR (LRR$_1$ and LRR$_{2,1}$) (Liu et al. 2013), LSR (Lu et al. 2012), CASS (Lu et al. 2013), SMR (Hu et al. 2014) and TSC (Heckel and Bölcskei 2015). Since existing semi-supervised approaches and OSC utilize different supervision information, it is practically infeasible to compare them. Nevertheless, to experimentally demonstrate that the orderly relationship is infeasible to be implemented by pairwise approaches (as in Figure 1), we split each orderly relation into a pair of must-link and cannot-link and applied the pair onto an existed approach CS-VFC and a constructed approach SemiLSR\(^2\). The parameters for each compared method were tuned to achieve the best performance for comparison. For OSC, we varied the regularization parameters $\alpha$ and $\beta$ within [0.1, 0.2, 0.3, 0.4, 0.5] and [0.01, 0.02, 0.03, 0.04, 0.05], respectively, and set $\delta$ equal to 0.0001 for all the experiments. To construct orderly relations for OSC, we first randomly selected 10% data for each dataset, and then constructed 30 orderly relations for each selected data as in (Chang et al. 2014). Without losing generality, the orderly relations were constructed in two days. For image and document datasets, we used the labels because they can be directly used for constructing orderly relationships, although the relationships can also be formed by observing similarities among images/documents. In particular, one half of the orderly relationships were constructed with labels for data with the same label are more related than those with different ones. The other half were constructed from the $q$-nearest neighbouring graph since data are usually more related to their nearest neighbours than those far away and $q$ was set as 5 according to (Gong et al. 2017). For the motion dataset, we chose the first 15 relations with each containing two frames from the same scene and one from another. Each of the second 15 relations is formed by choosing from a scene two neighbouring frames and one farther away. To ensure a fair comparison, the affinity matrices of all approaches were conducted on the typical affinity measures (Georghiades, Belhumeur, and Kriegman 2001) and NCuts (Shi and Malik 2000) was employed to produce the final clustering results. The clustering performance is evaluated by accuracy/error (Hu et al. 2014) and the best results are highlighted in boldface. Since CASS requires a significant amount of time to process these large datasets, the corresponding results are not available but represented with N/A. All the experiments are done using Matlab 2017 in an Intel Core 2.50GHZ desktop.
**Experimental results and analysis**
**Clustering results** Tables 1 and 2 summarize the image clustering results on Extended Yale B and USPS, respectively. On both datasets, OSC not only outperforms LSR which proves the effectiveness of the proposed orderly structured term, but also achieves higher accuracies than all compared methods consistently. Specifically, Table 1 shows the OSC achieves the highest clustering accuracy on all four clustering tasks. For example, OSC outperforms the next best results (SemiLSR) by 1.75% and 4.50% for the 5 and 38 subject tasks, respectively. Besides, note that CS-VFC performs even worse than SSC in 5 subject tasks, which proves that orderly relationships cannot be effectively used by pairwise approaches. In Table 2, we can see that the clustering
\(^2\)SemiLSR is modified by incorporating pairwise information onto LSR. Following (Liu et al. 2012), we have modified $\|\mathbf{H}\|^2_F$ to $tr(\mathbf{H}\mathbf{H}^{T})$ by setting $\mathbf{I}_{ij} = 1$ if data are of must-link, or $\mathbf{I}_{ij} = 0$ for cannot-link.
Table 1: Clustering accuracies (%) on Extended Yale B
| Methods | $k$-NN | SSC | LRR$_1$ | LRR$_{2,1}$ | LSR | CASS | SMR | TSC | CS-VFC | SemiLSR | OSC |
|-----------|--------|-----|---------|-------------|-----|------|-----|-----|--------|---------|-----|
| 5 subjects| 71.56 | 92.19 | 81.88 | 86.56 | 92.19 | 94.03 | 85.31 | 89.69 | 88.81 | 92.31 | 94.06 |
| 10 subjects| 49.59 | 63.97 | 60.56 | 65.00 | 73.59 | 81.88 | 72.50 | 62.19 | 74.34 | 75.24 | 87.19 |
| 30 subjects| 52.59 | 50.19 | 58.23 | 61.24 | 58.38 | N/A | 56.94 | 56.20 | 63.57 | 62.65 | 66.67 |
| 38 subjects| 47.53 | 45.89 | 55.11 | 57.39 | 57.73 | N/A | 56.88 | 54.18 | 54.35 | 58.21 | 62.80 |
Table 2: Clustering accuracies (%) on USPS
| Methods | $k$-NN | SSC | LRR$_1$ | LRR$_{2,1}$ | LSR | CASS | SMR | TSC | CS-VFC | SemiLSR | OSC |
|-----------|--------|-----|---------|-------------|-----|------|-----|-----|--------|---------|-----|
| 10 subjects| 77.70 | 73.72 | 74.40 | 74.40 | 72.40 | 72.20 | 82.40 | 84.20 | 73.10 | 84.57 | 85.52 | 88.00 |
Figure 2: OSC achieves a clearer affinity matrix with more salient block diagonal than LSR and CS-VFC.
accuracies of the first four methods ($k$-NN, SSC, LRR$_1$ and LSR) and TSC are very close, fluctuating between 72.20% and 77.70%. The rest (CASS, SMR, CSVFC and SemiLSR) achieve also similar but better accuracies which vary slightly from 82.40% to 85.52%. Although these methods perform well, OSC still gets the highest accuracy of 88.00%.
Table 3 shows the clustering accuracy on 20 Newsgroups dataset. On this dataset, most approaches achieve promising performance, while OSC still outperforms the rest significantly. Table 4 tabulates the motion segmentation errors of two methods on the Hopkins 155 database. It shows that OSC makes only 1.31% segmentation error, while the second best is 2.25% by CS-VFC. Arguably, the improvement of OSC on this dataset is moderate. This is mainly because most sequences are actually easy to segment. As a result, even with big improvements on some challenging sequences, the overall improvement is limited, as the reported error is the mean of all 156 segmentation errors.
Affinity matrix analysis. To intuitively demonstrate the clustering results, we closely visualized the corresponding derived affinity matrix, as a clearer block diagonal structure of the affinity matrix leads to higher clustering performance. Figure 2 shows the comparison of OSC with LSR and CS-VFC on a challenging sequence of Hopkins 155 datasets, as well as USPS. Clearly, the results on both figures show that the affinity matrix obtained by OSC has much more salient block diagonal structure compared with those by other methods, which undoubtedly will lead to more accurate results.
Orderly relationship analysis. To further validate the effectiveness of the orderly relationships for the interpretation of data structure, we examined $\mathbf{H}$ for LSR and OSC in Figure 3. Since the performance on each dataset has similar tendency, due to page restriction, we only show the experimental results on the first 5 clusters of Extended Yale B for the following analyses. For clearer visualization, we only demonstrate 3 groups of images and sample 10 (out of 64) images from each selected group as example. In Figure 3, the different groups are represented by different colors. Two different orderly relationships among them, i.e., $S(a,b) > S(a,c)$ and $S(a,c) > S(a,d)$, were given by observing these images in terms of different subjects and expressions, respectively. All representations displayed after the dimensionalities of their features are reduced to 2-D by PCA. It can be seen that the original image $\mathbf{X}_a$ is closer to $\mathbf{X}_d$ than to $\mathbf{X}_c$, although the ground truth should be $S(a,c) > S(a,d)$. LSR however gives $D(\mathbf{H}_a,\mathbf{H}_c) > D(\mathbf{H}_a,\mathbf{H}_d)$, which experimentally proves that LSR cannot maintain the orderly structure. Consequently, it leads $\mathbf{H}_c$ to be close to $\mathbf{H}_d$ which belongs to a different group. In contrast, OSC effectively enforces $D(\mathbf{H}_a,\mathbf{H}_c) < D(\mathbf{H}_a,\mathbf{H}_c) < D(\mathbf{H}_a,\mathbf{H}_d)$ with $S(a,b) > S(a,c) > S(a,d)$. Apparently, both $\mathbf{H}_c$ and $\mathbf{H}_d$ represent the faces of the same subject with the same expression, which are definitely of the highest relativity. Since $\mathbf{H}_d$ represents a face of a different subject, it is the least related to $\mathbf{H}_a$. Therefore, the $\mathbf{H}$ learned through OSC demonstrates a clearer structure of data.
Since the number of orderly relationships may influTable 3: Clustering Accuracies (%) on 20 Newsgroups
| Methods | $k$-NN | SSC | LRR$_1$ | LRR$_{2,1}$ | LSR | CASS | SMR | TSC | CS-VFC | SemiLSR | OSC |
|---------|--------|-----|---------|-------------|-----|------|-----|-----|--------|---------|-----|
| 4 subjects | 91.41 | 83.63 | 91.59 | 92.19 | 84.81 | N/A | 86.32 | 89.09 | 89.43 | 89.36 | 93.32 |
Table 4: Clustering Errors (%) on Hopkins 155
| Methods | $k$-NN | SSC | LRR$_1$ | LRR$_{2,1}$ | LSR | CASS | SMR | TSC | CS-VFC | SemiLSR | OSC |
|---------|--------|-----|---------|-------------|-----|------|-----|-----|--------|---------|-----|
| MAX | 45.59 | 39.53 | 36.36 | 32.50 | 36.36 | 32.85 | 35.83 | 45.21 | 37.25 | 36.15 | 36.39 |
| MEAN | 13.44 | 4.02 | 3.23 | 3.13 | 2.84 | 2.42 | 2.27 | 12.04 | 3.24 | 2.25 | 1.31 |
| STD | 12.90 | 7.21 | 6.60 | 5.90 | 6.16 | 5.84 | 5.41 | 11.24 | 4.64 | 5.36 | 4.01 |
Figure 5: Parameters analysis.
Figure 6: Convergence curves.
ence the construction of the affinity matrix (and thus the clustering performance), we also analyzed this in Figure 4 from two aspects. We first selected 10% data from Extended Yale B and varied the relations associated with each selected data from 0 to 50 with 10 interval as in Figure 4(a). We then varied percentages of data within \{0\%, 1\%, 5\%, 10\%, 20\%, 50\%\} and fixed 30 orderly relations for each selected data in Figure 4(b). Both figures show that the clustering accuracy generally increases with more supervisions. This further proves the effectiveness of OSC on incorporating the orderly relationships.
**Parameters and convergence analysis.** We tested the effect of parameters $\alpha$ and $\beta$ of OSC with $\delta$ being fixed as 0.002. First, we fixed $\beta = 0.05$ to test $\alpha$ with varying from 0.1 to 0.5 with 0.1 interval, and then fixed $\alpha = 0.2$ to test $\beta$ varying from 0.001 to 0.005. Figure 5 shows that the clustering accuracy is relatively stable when $\alpha$ and $\beta$ vary. This well demonstrates the robustness of OSC.
We also experimentally demonstrated the convergence of OSC in Figure 6, where the horizontal axis is the number of iterations and the vertical axis is the value of objective function. It can be seen that the objective function values are non-increasing and drop sharply within 5 iterations, which empirically validates its convergence.
**Conclusion**
In this paper we propose orderly subspace clustering (OSC), which for the first time explores the orderly relations among data points to learn subspace representations. OSC incorporates a novel ranking-based regularizer on the representations into the learning objective to make the subspace representations truly reflect the data structure. As a regularizer, the proposed mechanism of orderly relation preserving can also be utilized in other subspace clustering methods. We have done experiments on several benchmark datasets and demonstrated that OSC can not only preserve the true data structure which beyond what existing methods can offer, but also achieve more accurate clustering against the state-of-the-arts. In the future, we will explore a more solid analysis in theory on the preservation of the orderly relationship.
**Acknowledgements**
This work was supported by JST CREST (No. JPMJCR1304), JSPS KAKENHI (No. 18JJ2201) and National Natural Science Foundation of China (No. 61503281).
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PNT1 Is a C11 Cysteine Peptidase Essential for Replication of the Trypanosome Kinetoplast*
Received for publication, February 5, 2016, and in revised form, February 26, 2016. Published, JBC Papers in Press, March 3, 2016, DOI 10.1074/jbc.M116.714972
Jaspreet S. Grewal\textsuperscript{a,b}, Karen McLuskey\textsuperscript{c}, Debanu Das\textsuperscript{d,e}, Elmarie Myburgh\textsuperscript{f,g}, Jonathan Wilkes\textsuperscript{h}, Elaine Brown\textsuperscript{a,i}, Leandro Lemgruber\textsuperscript{i}, Matthew K. Gould\textsuperscript{a,*}, Richard J. Burchmore\textsuperscript{j}, Graham H. Coombs\textsuperscript{k,l}, Achim Schnaufer\textsuperscript{m,*}, and Jeremy C. Mottram\textsuperscript{n,*}
From the \textsuperscript{a}Wellcome Trust Centre for Molecular Parasitology, Institute of Infection, Immunity and Inflammation, College of Medical, Veterinary and Life Sciences, University of Glasgow, Glasgow G12 8TA, United Kingdom, the \textsuperscript{b}Department of Biology, Centre for Immunology and Infection, University of York, Wentworth Way, Heslington, York YO10 5DD, United Kingdom, the \textsuperscript{c}Joint Center for Structural Genomics, \textsuperscript{d}Stanford Synchrotron Radiation Lightsource, SLAC National Accelerator Laboratory, Menlo Park, California 94025, the \textsuperscript{e}Institute of Immunology and Infection Research and Centre for Immunity, Infection, and Evolution, University of Edinburgh, Edinburgh EH9 3FL, United Kingdom, the \textsuperscript{f}Strathclyde Institute of Pharmacy and Biomedical Sciences, University of Strathclyde, Glasgow G4 0RE, United Kingdom
The structure of a C11 peptidase PmC11 from the gut bacterium, \textit{Parabacteroides merdae}, has recently been determined, enabling the identification and characterization of a C11 orthologue, PNT1, in the parasitic protozoan \textit{Trypanosoma brucei}. A phylogenetic analysis identified PmC11 orthologues in bacteria, archaea, Choromider, Coccidia, and Kinetoplastida, the latter being the most divergent. A primary sequence alignment of PNT1 with clostripain and PmC11 revealed the position of the characteristic His-Cys catalytic dyad (His\textsuperscript{39} and Cys\textsuperscript{134}), and an Asp (Asp\textsuperscript{135}) in the potential S\textsubscript{1} binding site. Immunofluorescence and cryoelectron microscopy revealed that PNT1 localizes to the kinetoplast, an organelle containing the mitochondrial genome of the parasite (kDNA), with an accumulation of the protein at or near the antipodal sites. Depletion of PNT1 by RNAi in the \textit{T. brucei} bloodstream form was lethal both in \textit{in vitro} culture and \textit{in vivo} in mice and the induced population accumulated cells lacking a kinetoplast. In contrast, overexpression of PNT1 led to cells having mislocated kinetoplasts. RNAi depletion of PNT1 in a kDNA independent cell line resulted in kinetoplast loss but was viable, indicating that PNT1 is required exclusively for kinetoplast maintenance. Expression of a recoded wild-type \textit{PNT1} allele, but not of an active site mutant restored parasite viability after induction \textit{in vitro} and \textit{in vivo} confirming that the peptidase activity of PNT1 is essential for parasite survival. These data provide evidence that PNT1 is a cysteine peptidase that is required exclusively for maintenance of the trypanosome kinetoplast.
\textit{Trypanosoma brucei} is a kinetoplastid protozoan parasite and the causative agent of human African trypanosomiasis (sleeping sickness) and nagana in cattle. Sleeping sickness causes widespread human morbidity and death in sub-Saharan Africa. Nagana leads to cattle mortality, lower meat and milk production, and lower calving rate. The parasite has a complex life cycle spanning both the tsetse fly and the mammalian host. The metacyclic trypomastigote is transmitted to the mammalian host by the bite of the tsetse fly. Once inside the human host, these parasites transform into bloodstream form (BSF)\textsuperscript{2} trypomastigotes that divide and multiply in blood and lymph, and which is followed by invasion of the parasites to other organs and the central nervous system. The sleep-wake cycle gets disrupted and if the disease is left untreated, the infected individual enters coma and eventually dies (1). Approximately 60 million people are at risk of being infected worldwide with this disease (WHO fact sheet May 2015). Currently no vaccines are available and the drugs in use are becoming ineffective and are toxic (2, 3). It is therefore imperative that new drug targets are identified against the protozoan parasite.
Cysteine peptidases of parasitic protozoa are associated with important biological processes such as, invasion of the host cells (in case of intracellular parasites) and subsequent pathogenesis (4, 5). Clan CD is comprised of peptidase families that have a protein-fold similar to the caspase family (C14). Clan CD is exemplified by several important cysteine peptidases such as GP18 (family C13), a component of the GPI-protein transamidase complex (6), metacaspase (family C14B) (7, 8), separase (family C50) (9), and a relatively less characterized family C11 (clostripain) (10). In \textit{T. brucei} the GPI-protein transamidase is required for anchoring proteins to the plasma membrane. Among these proteins the most prominent is variant surface glycoprotein, which forms a monolayer on the parasites surface and functions in the evasion of the immune system of the host (6). \textit{T. brucei} has five metacaspases, including MCA4, which is a pseudopeptidase and virulence factor (11), and MCA2, which is a calcium-dependent enzyme associated with RAB11 positive endosomes and does not require processing for activation (12, 13). Another \textit{T. brucei} cysteine peptidase, separase, functions in
\* This work was supported by Medical Research Council Grant MR/K019384, and Wellcome Trust grants 091790 and 104111, and National Institutes of Health Grant U54 GM084589. The authors declare that they have no conflicts of interest with the content of this article. The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health.
\textsuperscript{a} Author’s Choice—Final version free via Creative Commons CC-BY license.
\textsuperscript{b} To whom correspondence should be addressed. E-mail: email@example.com.
\textsuperscript{2} The abbreviations used are: BSF, bloodstream form; kDNA, kinetoplast DNA; HMM, hidden Markov model; BisTris, 2-[bis(2-hydroxyethyl)amino]-2-(hydroxymethyl)propane-1,3-diol.
segregation of mini-chromosomes and proper mitotic assembly (14).
Recently, the first crystal structure of a family C11 peptidase, PmC11, was determined from the gut bacterium *Parabacteroides merdae* (15). This structure facilitated the identification of an important *T. brucei* protein, PNT1 (Puf Nine Target 1) as a C11 orthologue and a potential cysteine peptidase. The *PNT1* transcript was previously described, in the insect procyclic form of the parasite, as the target of the RNA-binding protein PUF9 (16), with PNT1 localizing to the kinetoplast, a unique organelle containing the mitochondrial DNA of the organism. The kinetoplast DNA (kDNA) of *T. brucei* is composed of a few dozen maxicircles (23 kb) and several thousand minicircles (~1 kb) (17). The maxicircles encode essential mitochondrial proteins including the respiratory chain complex subunits. The minicircles encode guide-RNAs that function in editing the RNA encoded by the maxicircles. The division of the mitochondrial DNA is coordinated with cytokinesis (18) and the presence of essential genes on the kinetoplast makes it imperative for each of the *T. brucei* progeny cells to inherit a kinetoplast (19). Related species, *Trypanosoma equiperdum* and *Trypanosoma evansi*, do not have a fully functional kinetoplast and are, therefore, known as dyskinetoplastic (20). RNAi studies on kinetoplast regulatory genes have shown that loss of the kinetoplast in *T. brucei* is lethal; hence, the organelle is considered an important drug target (19, 21). Our functional analysis suggests that PNT1 is a peptidase that plays an essential role in the maintenance of the kinetoplast, and that a catalytically active PNT1 is required for the survival of *T. brucei*. This work also demonstrates that depletion of PNT1 leads to the generation of an akinetoplastic cell line, whereas overexpression leads to formation of mislocated kinetoplasts thus, inhibitors of PNT1 could be of interest for drug discovery programs.
**Experimental Procedures**
**Phylogenetic Analysis**—The peptide C11 hidden Markov model (HMM) profile (ACC PF03415.9) was obtained from Pfam. The C11 peptidases are members of clan CD, a group characterized by a doublet (H(G/A)) and triplet (D(A/S)C) motif accounting for the catalytic histidine/cysteine dyad (22). The UniProtKB FASTA set (04/29/2015) was downloaded from the UniProt site. This sequence set was searched for peptides containing domains consistent with the model (conformant proteins) by use of the HMM search program of HMMER3 using default parameters. The hits (full sequence *E* value <0.0001) were filtered as follows. Sequences from prokaryotic and archaean species were excluded; eukaryotic alignments were examined and only those with at least a minimum alignment to the cysteine containing motif (D(A/S)C) retained. Full peptide sequences for the identified eukaryotic sequences were subsequently retrieved from UniProtKB; and a representative sample of bacterial and archaean C11 peptidase sequences were obtained from the MEROPS database and added to the sequence set.
The meta-method for assembling multiple sequence alignments was performed on the sequence set using the M-Coffee (23) mode of T-Coffee (24). The output alignment (color coded for alignment quality) was examined visually to determine the domain containing the doublet (H(G/A)) and triplet (D(A/S)C). The alignment was trimmed to this domain, and an HMM profile generated (C11_euk), using the HMMER3 program hmmbuild. This HMM profile was used to search proteome sets of a variety of eukaryotic genomes for C11_euk conformant sequences. The domain sequences were extracted, the sequence for metacaspase TmCA2 (*T. brucei*) Tp927.6.940, MEROPS family C14, also in clan CD) was added as an outgroup and a multiple sequence alignment was generated as above. Low quality (<4) and low occupancy (<30%) sites were removed from the alignment and a neighbor-joining tree generated from the refined alignment (SplitsTree4 (25)).
**Trypanosoma Cell Culture**—*T. brucei* 2T1 BSF cells were maintained in HMI-9 medium supplemented with 10% FBS (low TET, GIBCO), 100 unit ml⁻¹ of penicillin, 100 μg ml⁻¹ of streptomycin. The parasites were transfected as described (26) and clones were obtained by limiting dilution. Appropriate concentrations of antibiotics were used for the selection and maintenance of the parasites: 2 μg ml⁻¹ of pyrourmicin, 2.5 μg ml⁻¹ of phleomycin, 5 μg ml⁻¹ of hygromycin B, and 10 μg ml⁻¹ of blasticidin (all from InvivoGen). RNAi was induced using 1 μg ml⁻¹ of tetracycline. Cells were grown in 24-well plates in triplicate for growth curve experiments.
**Generation of the RNAi, Recoded and Myc-tagged PNT1 Constructs**—A *PNT1* RNAi construct (pTL232) was generated using pGL2084, a gateway compatible version of pRPa⁴¹¹ (27, 28). The oligonucleotides used for the generation of sense and antisense *PNT1* inserts for pTL232 were: OL4052, GGGGAC-AAGTTTGTCACAAAAAGCAGGCTCGTCAGGACATGCT-TGAAGA, and OL4053, GGGGACACTTCTTGTAACAAG-AACTGTGGTTTTGCAATTCTTCTGTGGC). pTL232 was digested with Ascl and the stem loop cassette was transfected in the bloodstream form of *T. brucei* 2T1. A recoded gene (encoding mRNA that is refractory to RNAi) of *PNT1* was designed in CLC genomics workbench (CLCbio) using the codon usage table of *T. brucei* and subsequently synthesized by GeneArt (Thermo Fisher Scientific). The recoded *PNT1* gene was cloned in-frame with a C-terminal HA tag in pGL2243 (29), which integrates the gene of interest at the tubulin locus for constitutive expression. Site-directed mutagenesis was carried out on the recoded *PNT1* to generate an active site recoded mutant *PNT1HA*⁴¹³⁶A. The mutations were carried out using the QuickChange Site-directed Mutagenesis kit (Stratagene) as per the manufacturer’s protocol. The identifiers of the *PNT1HA* recoded and the mutated constructs were pGL2278 and pGL2320, respectively. The oligonucleotides used to generate the mutated recoded *PNT1* were OL4280, CGATGGTTT-TTGTAGATGTATTCTAGCCGAGCCTTGG, and OL4281, CCACGGTTCGCCTGAAACTACTATCCTAAAAACATCG. *PNT1* was cloned in-frame in a tetracycline inducible C-myc₆ tag vector (pGL2220) (27) for generating a *PNT1Myc* cell line.
**Transfection of the Parasites**—$1 \times 10^7$ log phase BSF cells were suspended in 100 μl of ice-cold Amixa Human T-cell solution (Amaxa, Koeln, Germany) and transfection was carried out according to the manufacturer’s protocol. Briefly, 10 μg of linearized DNA plasmid was added to the cells and transfected with the Amaxa Human Nucleofector II, using program X-001. The cells were transferred to pre-warmed HMI 11
medium and plated out in 24-well plates at 1:20 and 1:40 dilutions. The selection antibiotic was added after 6 h of transfection and cells were incubated at 37 °C. Transfectants were selected after 1 week. F₁F₀-ATPase subunit γL262P mutants (20) were generated in the PNT1 RNAi cell line using gene replacement constructs. Briefly, two rounds of transfections were carried out to replace both the endogenous subunit γ alleles with γL262P mutant alleles. The cell lines were tested for kDNA independence by treating with 10 mM ethidium bromide for four passages, which resulted in generation of viable akinetoplastic cells.
**Analysis of Trypanosome Growth after Induction of RNAi—**
The PNT1 RNAi cell lines were seeded in triplicate at $1 \times 10^5$ cells per well in 24-well plates (HMI 19 hygromycin-phleomycin media) in the presence and absence of tetracycline (1 μg ml⁻¹). The cell numbers were counted using a hemocytometer every 24 h and cell seeded at $1 \times 10^5$ cells for the subsequent time point. Infections in mice were carried out by initially inoculating a donor mouse with $1 \times 10^5$ parasites and monitoring blood parasitemia over 72 h. Four experimental mice were infected with $4 \times 10^4$ parasites harvested from the donor mouse. Doxycycline was added to the drinking water of two of the mice on the day of inoculation. Parasitemia in the blood of the mice was calculated daily using a hemocytometer after drawing the blood by tail venipuncture and diluting the blood in 0.83% ammonium chloride. Cumulative growth curves were plotted for the *in vivo* and *in vitro* cell counts using Prism6 (GraphPad software). The experiments were done in triplicate for *in vitro* and in duplicate for *in vivo* experiments.
**Real Time-PCR—**
$2 \times 10^5$ BSF cells were grown for 24 h in the presence and absence of tetracycline, harvested, and RNA was prepared using the RNeasy kit (Qiagen). First strand cDNA was prepared using 4 μg of RNA for each sample (Invitrogen Superscript: first strand synthesis kit). The cDNA was treated with RNase H (Invitrogen) to degrade the template RNA. PCR was performed using SYBR Green PCR master mix (Applied Biosystems) and GP18 was used as an endogenous control. Oligonucleotides OL4119, CACTTGGGTGGGCTCTTCTTC, and OL4120, CAGCGCCCTTGACAAATGG, were used for amplifying PNT1, and OL2272, CGAAGCGCATTTGGGATAGC, and OL2273, AGCGCGTGATGACAGTGGAA, to amplify GP18. The quantitative PCR was run and analyzed on a 7300 Real-time PCR system (Applied Biosystems).
**SDS-PAGE and Western Blotting of *T. brucei* Cell Lysates—**
$1 \times 10^7$ BSF parasites were lysed in sample buffer (NuPAGE sample buffer) and analyzed on a 4–12% NuPAGE Novex Bis-Tris gel using MES buffer. Subsequently, the samples were electroblotted on nitrocellulose membrane (GE Healthcare) and probed with the respective antibodies. The PNT1HA cell line was probed with anti-HA antibody (1:4000, Roche Applied Science). The PNT1Myc cell line was probed with anti-Myc antibody (1:2000, Millipore). Anti-EF1α antibody (1:5000, Millipore) was used for the loading controls.
**Immunofluorescence—**
DAPI staining was carried out using $10^6$ cells from exponential phase cultures. The cells were washed with vPBS (22, 28), added to a 12-well glass slide (Thermo Fisher) pre-coated in poly-l-lysine (0.1% (w/v) in H₂O, Sigma), and allowed to adhere for 4 min. Cells were fixed with of 4% paraformaldehyde for 5 min. The wells were washed twice with PBS (pH 7.4) and excess paraformaldehyde was quenched with 100 mM glycine for 10 min. The cells were permeabilized with 0.1% Triton X-100 for 10 min. The wells were washed three times with PBS and overlaid with a drop of Slow-Fade Gold Antifade Reagent with DAPI (Invitrogen). Coverslips were added and the slides were kept at 4 °C until required. Staining of PNT1HA was performed using $1 \times 10^5$ cells from an exponential phase culture. The cells were resuspended in 200 μl of PBS followed by addition of 300 μl of 4% paraformaldehyde to fix overnight at 4 °C. The cells were washed with PBS and resuspended in 100 mM glycine for 15 min. The cells were then centrifuged at 600 × g for 10 min and resuspended in 0.1% Triton X-100 (Sigma) for 5 min. Cells were washed twice with PBS and incubated on ice for 1 h in 1% BSA (in PBS). The cells were centrifuged for 600 × g for 10 min and incubated with anti-HA antibody (1:200, rat monoclonal, Roche) for 1 h on ice. After washing with 0.1% BSA (PBS) cells were resuspended in anti-rat Alexa 488 (1:2000, Molecular Probes) and incubated in the dark on ice for 1 h. The cells were washed with 0.1% BSA (PBS) before 0.5 μl of DAPI (100 μg/ml stock) was added to the cells and incubated for 5 min. The cells were washed once with 0.1% BSA (PBS) and once with PBS. The final cell pellet was resuspended in final volume of PBS (30–50 μl) and stored at 4 °C until ready to image. The staining of the PNT1Myc cell line was also carried out as described above using an anti-Myc antibody conjugated to Alexa Fluor 488 (Millipore) at 1:500 dilution. Stained cells were spread on a slide and overlaid with a square coverslip. The images were acquired on a DeltaVision Core microscope using excitation wavelength of 405–489 nm and images were analyzed and processed in Adobe Photoshop and FIJI.
**Transmission Electron Microscopy—**
Cells were washed in PBS, fixed with 2.5% glutaraldehyde and 4% paraformaldehyde in 0.1 M sodium cacodylate buffer (pH 7.2), and post-fixed with 1% osmium tetroxide and 2.5% potassium ferrocyanide in 0.1 M sodium cacodylate buffer (pH 7.3) for 45 min in the dark. Samples were *en bloc* stained with 2% aqueous uranyl acetate, dehydrated in a series of acetone solutions (30, 50, 70, 90, and 100%), and finally embedded in Epon resin. Collected ultrathin sections were stained with lead citrate prior to observation in a Tecnai T20 transmission electron microscope (FEI, Netherlands). All images were analyzed and processed in Adobe Photoshop and FIJI (30). Acquired images were processed and the intensity plot profile was acquired for kinetoplast density analysis. Statistical analyses were performed using Prism6, with one-way analysis of variance analysis. Immunogold labeling of cells was done by fixing cells overnight in 4% paraformaldehyde in phosphate buffer, and dehydrating in ascending ethanol solutions. The material was progressively infiltrated with LR White resin, and polymerization was carried out in gelatin capsules under ultraviolet light. Formvar-coated nickel grids with ultrathin sections were incubated with blocking solution (3% BSA, 0.02% Tween 20, in phosphate buffer, pH 8) for 1 h. The grids were then incubated with the primary antibody anti-HA
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3 M. Gould and A. Schnaufer, unpublished data.
FIGURE 1. Phylogenetic analysis of the clan CD C11 peptidase family. A, unrooted neighbor joining tree of the C11 family from bacteria and archaean species (Bact/Arch), Coccidia (Cocc), Chromerida (Chro), Chlorophyta (Chl), and Kinetoplastids (Kin). *Trypanosoma* (Tirp), *Leishmania/Endotrypanum* (Critidia; C. Badonni), Clostripain (+) UniProt ID P08970; Pmc11(*) UniProt ID, A7A9N3; and PNT1 (#) UniProt ID, Q38584 are marked. Key: 1, K2PE90 *Trypanosoma cruzi*, 2, A0A061WYS *Trypanosoma rangeli*, 3, F9W8XS *Trypanosoma congolense*, 4, T92G7.11.650*T. brucei*, 5, G0UB1 *Trypanosoma vivax*, 6, Q4QH06 *Leishmania major*, 7, A0F501001278.1, 2, 2, 2134 *Entodiplostomum monteguei*, 8, Glc13 13 *Oxobis Crithidia fasciculata*, 9, B5394S *B. saltans*, 10, EQ73215 *Bacteroides fragilis*, 11, Q38584 *Trypanosoma brucei*, 12, 12, 12 *Trypanosoma evansi*, 13, 13, 13 *Trypanosoma congolense*, 14, 14, 14 *Trypanosoma brucei*, 15, 15, 15 *Trypanosoma brucei*, AE010299 *Methanosarcina acetivorans*, 16, SNAP00000001341 *Eimeria tenella*, 17, B6AB15 *Cryptosporidium muris*, 18, MEB037012 *Cryptosporidium parvum*, 19, Cvel 15101 *Chromera velia*, 20, A0A086LCTS *Taxoplasma gondii*, 21, V4ZRY7 *T. gondii*, 22, FOVJH3 *Neospora caninum*, 23, U6G6U0 *Eimeria praecox*, 24, MER494436 *Vitrula brasiliensis*, 25, D87W66 *Volvox carteri*, 26, A89IP1 *Chlamydomyces reinhardtii*, 27, AQ0D2MW12 *Monorhaphis neglectum*, 28, NC 018015 *Thecococcus* sp., 29, ABP010000024 *Arthrosphaera marina*, 30, DSQ9529 *Acidiphilus* sp., 31, T7A9P8 *P. merdae*, 32, J437303 *T. brucei* MCAN segregate. B, primary and secondary structure alignment of Pmc11 (1–15), clostripain (1–15), and PNT1 (from T. brucei) and clostripain (from *P. merdae*) with identical residues highlighted in gray shading. The assigned secondary structure from the crystal structure of Pmc11 (1–15) is mapped onto its sequence with the position of the Pmc11 catalytic dyad and auto-catalytic cleavage site (Lys 15) highlighted by a red star and a red triangle, respectively. Connecting loops are colored gray/black, the main β-sheet is in orange, with other strands in olive, α-helices in blue, and the nonapeptide linker of clostripain underlined in red. Sequences around the catalytic site of clostripain, Pmc11, and PNT1 are aligned where identical residues are highlighted in gray.
Results
Phylogeny of the C11 Cysteine Peptidase Family—To determine the phylogenetic distribution of C11 proteins, the UniProt database was queried with a bespoke C11 HMM domain profile. This analysis identified clostripain-like proteins in a wide range of bacterial and archaean species and in a limited range of eukaryotic species, which could be divided into distinct clades (branches) (Fig. 1A). One clade, containing a subset of species from *Chromerida*, *Coccidia*, and *Chlorophyta*, is monophyletic with the archaean and bacterial species, as exemplified by *P. merdae* Pmc11 (15) and *Clostridium histolyticum* clostri-
(1:200 rat monoclonal, Roche) diluted in blocking buffer for 1 h followed by several washes in blocking buffer. The grids were then incubated with protein A conjugated to immunogold (Aurion, Netherlands) for 1 h. After several washes with blocking buffer and phosphate buffer, the grids were stained with uranyl acetate and lead citrate prior to observation in a Tecnai T20 transmission electron microscope (FEI, Netherlands).
Active PNT1 Is Essential for *T. brucei* Viability—PNT1 is the ortholog of Pmc11 in *T. brucei* (Fig. 1A). A primary sequence alignment of Pmc11, clostripain, and PNT1 (Fig. 1B) led to the identification of the conserved His-Cys catalytic dyad (His39 and Cys36, respectively). Pmc11 is somewhat shorter than the other two proteins but large sections of all three overlay well,
covering most of the PmC11 residues with particularly good alignment around the active site. This suggests that the secondary structural elements identified in PmC11 will form the core structural elements of clostripain and PNT1.
Attempts to obtain soluble recombinant PNT1, for testing protease activity *in vitro*, were unsuccessful. However, it was possible to investigate peptidase activity and its importance in parasite survival indirectly. Initially, a *PNT1* RNAi line was generated in the BSF of *T. brucei*, where induction by tetracycline resulted in loss of cell viability in the *in vitro* culture (Fig. 2A). PNT1 was also observed to be essential *in vivo* with doxycycline induction leading to loss of detectable parasitemia in mice after 96 h (Fig. 2B).
To test whether catalytically active PNT1 is required for the survival of the parasites, a recoded version of *PNT1*, containing a C-terminal HA tag (*PNT1HA*, which is refractory to RNAi) was constitutively expressed in the *PNT1* RNAi line. Expression of the *PNT1HA* recoded protein compensated for the loss of endogenous PNT1 and restored viability of tetracycline induced parasites both *in vitro* culture (Fig. 2C) and *in vivo* (Fig. 2D). A cell line in which the recoded *PNT1HA* had the predicted active site cysteine mutated to serine *PNT1HA*<sub>C136S</sub> was not viable after induction *in vitro* (Fig. 2E) and *in vivo* (Fig. 2F). Quantitative RT–PCR confirmed the depletion of *PNT1* mRNA in each of the cell lines (*insets* in Fig. 2, A, C, and E) and Western blotting confirmed that *PNT1HA*<sub>C136S</sub> was expressed at a similar level to PNT1HA (Fig. 3A). Another interesting observation from the Western blots was the absence of processed fragments of recoded PNT1HA suggesting that PNT1 might not require processing for activity. This is in contrast to PmC11, which requires intramolecular processing for full activation (15). This observation is further supported by the primary sequence alignment of PNT1 with PmC11 and clostripain, where the cleavage site Lys (Lys<sup>147</sup>) in PmC11 aligns with a reported cleavage site Arg (Arg<sup>130</sup>) in clostripain (32), whereas in PNT1 there is an Ala at the equivalent position (Fig. 1B). Additionally, phylogenetic analysis (Fig. 1A) shows that trypanosomatid C11 orthologues are quite divergent from bacterial and archaea C11 family members. These results suggest that PNT1 is different from PmC11 in terms of activation and that the peptidase activity of PNT1 is essential for viability of *T. brucei*.
**PNT1 Localizes on the Kinetoplast**—PNT1 localizes to the kinetoplast in BSF parasites and was enriched either within or near the antipodal sites, which are protein assemblies located on opposite sides of the kDNA disc involved in minicircle replication (33, 34). This localization was more prominent in dividing kinetoplasts (Fig. 3B). Immunogold labeling of the *PNT1HA* cell line confirmed that PNT1HA is located on the kinetoplast (Fig. 3C, *i* and *ii*). The status of the kinetoplast in PNT1-depleted cells was investigated using TEM, which showed a lower electron density of the kinetoplast in RNAi-induced cells compared with uninduced cells (Fig. 3, *iii* and *iv*). This indicates that PNT1 depletion results in a reduction of material within the kinetoplast. It has been demonstrated that RNAi-mediated depletion of proteins closely associated with the kinetoplast can cause the loss of kDNA (35, 36). To observe the effects of down-regulating *PNT1* on the number of nuclei and kinetoplasts, the *PNT1* RNAi line was stained with DAPI at different time points after induction. Depletion of *PNT1* by RNAi resulted in an increased number of cells lacking a kinetoplast (akinetoplastic,
1N0K) after 2 days (Fig. 3D). The number of 1N0K cells increased from 16% on day 2 to 46% on day 4, after RNAi induction. This increase in akinetoplastic cells suggests that PNT1 is involved in the maintenance of the kinetoplast in *T. brucei*. Interestingly, inducible overexpression of a Myc-tagged PNT1 (PNT1Myc) leads to formation of an additional kinetoplast anterior to the nucleus, a phenotype similar to that observed in the procyclic form of *T. brucei* (16). In addition, 36% of the induced PNT1Myc cell line had a mislocated kinetoplast after 48 h of induction (Fig. 4, *A* and *B*). PNT1 was also localized on these incorrectly positioned kinetoplasts (Fig. 4B, *lower panel*).
Overexpression of PNT1 led to an increase of 1N2K cells from 12 to 39% after 24 h of induction, compared with 12% observed in uninduced cells (Fig. 4C). However, the number of 1N2K cells in the induced culture decreased to 14 and 8% at 48- and 72-h time points, respectively. The *T. brucei* cell cycle is a well coordinated event in which the kinetoplast is placed posterior to the nucleus during cytokinesis. In cells overexpressing PNT1, mislocated kinetoplasts found anterior to the nucleus were observed in cells at all stages of the cell cycle. The decrease in the number of kinetoplasts might be due to continuous cytokinesis of cells having mislocated kinetoplasts. PNT1 overexpression by tetracycline induction also leads to loss of cell viability in BSF *T. brucei* (Fig. 4D). Importantly, cell death is observed when PNT1 is either down-regulated or overexpressed, indicating that an optimal amount of PNT1 peptidase activity is essential for viability of the parasite.
**PNT1 Is Required Exclusively for Maintenance of the Kinetoplast**—A kinetoplast-independent PNT1 RNAi cell line was generated to investigate whether PNT1 is required exclusively for kinetoplast maintenance or whether it has other essential mitochondrial functions. It has recently been demonstrated that an L262P mutation in the F1γ subunit of the F₁F₀-ATPase complex allows BSF *T. brucei* to survive loss of the kinetoplast (20). The PNT1 RNAi line was modified to replace both of the wild-type γ alleles with L262P mutant alleles. The PNT1 RNAi was then induced with tetracycline. No growth defect was observed after induction (Fig. 5A, *left panel*) despite greater than 90% depletion of the PNT1 transcript (Fig. 5A, *right panel*). Additionally, depletion of PNT1 resulted in a 100% akinetoplastic cell population after 4 days of induction. Thus, PNT1 is redundant in the absence of a requirement for the kinetoplast for cell viability (Fig. 5B). Taken together, these data indicate that PNT1 is exclusively required for kinetoplast maintenance and becomes redundant in the absence of a cellular requirement for the organelle.
**Discussion**
The structure of a bacterial C11 protein (PmC11) (15) allowed the catalytic dyad of the PNT1 orthologue to be identified and probed. Despite being larger than PmC11, a basic primary sequence alignment suggests that the secondary structural elements identified in PmC11 will form the core structural elements of PNT1 (Fig. 1B). Our data and others (16) indicate...
that PNT1 is present at the ends of the kinetoplast, which could be the antipodal sites where newly replicated minicircles reattach to the network for repairing discontinuities during replication (such as gap filling and ligation) (37, 38). Several proteins have been identified at the antipodal sites of the kinetoplast including helicases (33, 39), a minicircle origin binding protein p38 (40), DNA polymerase β (41), and a DNA primase PR11 (42), among others. Depletion of p38 (40), PIIF8 (33), and PR11 (42) also result in loss of kDNA, a similar phenotype to PNT1 depletion; however, there is no evidence to suggest that these proteins require proteolytic processing, whereas it is the peptidase activity of PNT1 that is essential. To date, only one other
**FIGURE 4.** **Overexpression of PNT1.** *A*, upper panel, Western blot showing expression of PNT1Myc using anti-Myc antibody at different time points after tetracycline induction (*lanes 2–4*) and uninduced samples after 24, 48, and 72 h, respectively). A 24-h uninduced PNT1Myc sample in *lane 1* served as negative control. EF1α was used as the loading control. Lower panel, percentage of cells having anterior kinetoplasts after tetracycline induction at different time points (quantitation from 200 cells, histogram represents mean ± S.D. (*n* = 3)). *B*, representative images showing the DAPI-stained, PNT1Myc-tagged cell line before (*top panel*) and after (*middle panel*) induction with tetracycline for 24 h. *Bottom panel*, staining of the PNT1Myc cell line with anti-Myc antibody conjugated to Alexa Fluor 488 (green). Scale bar, 5 μm. *C*, counts of DAPI-stained kinetoplast (K) and nuclei (N) of the PNT1Myc cell line showing a higher percentage of 1N2K cells at 24 h after induction. The number of 1N2K cells fall after 48 and 72 h (*n* = 3, mean ± S.D.). *D*, cumulative growth curve of PNT1Myc cell line showing reduced cell viability after PNT1 overexpression.
**FIGURE 5.** **PNT1 is exclusively required for kinetoplast function.** *A*, left panel, cumulative growth curve of PNT1-yl262P RNAi line over time ± tetracycline (*n* = 3). Right panel, the mRNA levels of *PNT1* transcript were evaluated in the induced and uninduced PNT1-yl262P RNAi cell line using quantitative RT-PCR. Each histogram represents the mean ± S.D. (*n* = 3). *B*, loss of kinetoplast in the PNT1-yl262P RNAi cell line after addition of tetracycline to down-regulate PNT1. The cells were grown for 120 h ± tetracycline and stained with DAPI. Scale bar, 5 μm.
protease, HsIVU (43), has been found to regulate kDNA maintenance in *T. brucei*. Unlike PNT1, down-regulation of HsIVU leads to over-replication of minicircles and formation of large kDNA networks. Moreover, HsIVU localizes throughout the mitochondrion, suggesting that HsIVU could have other roles in the organelle, whereas PNT1 is required exclusively for kDNA maintenance. The appearance of an additional kinetoplast in an abnormal position observed after PNT1 overexpression is reminiscent of the “ancillary” kinetoplasts reported after ablation of, DNA polymerase IC (44) or the acyl carrier protein (45), and of those observed in candidate gametes of *T. brucei* (46). Phylogenetic analysis of PNT1 orthologues suggests that kinetoplastid *PNT1* genes are very divergent from orthologues of other organisms. The sequence alignment of PNT1 with PmC11 revealed the presence of conserved structural elements, but also showed novel elements indicating that they have evolved to perform some kinetoplastid-specific function. Not all kinetoplastids have PNT1; *Phytononas* and *Leptomonas* appear to lack a PmC11 orthologue, which might indicate that there are alternative regulatory mechanisms for kDNA replication in these organisms. It is also interesting to note that *T. evansi* and *T. equiperdum* have a *PNT1* gene, even though these organisms are dyskinetoplastic (47). It is possible that PNT1 is required for maintenance of minicircles in these organisms, although there are no data currently to support this hypothesis. Further work on the identification of PNT1 substrates would provide exciting new insights into the mechanism of kinetoplast replication and segregation in *T. brucei* as well as guiding inhibitor and possibly drug discovery.
**Author Contributions**—J. S. G., K. M., D. D., and J. C. M. designed the research; J. S. G., K. M., E. M., J. W., E. B., and L. L. performed the research; J. S. G., K. M., E. M., J. W., L. L., R. B., G. H. C., A. S., and J. C. M. analyzed the data; and J. S. G., K. M., G. H. C., and J. C. M. wrote the paper.
**Acknowledgment**—We thank Torsten Ochsenreiter for helpful discussions.
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PNT1 Is a C11 Cysteine Peptidase Essential for Replication of the Trypanosome Kinetoplast
Jaspreet S. Grewal, Karen McLuskey, Debanu Das, Elmarie Myburgh, Jonathan Wilkes, Elaine Brown, Leandro Lemgruber, Matthew K. Gould, Richard J. Burchmore, Graham H. Coombs, Achim Schnaufer and Jeremy C. Mottram
*J. Biol. Chem.* 2016, *291*:9492-9500.
doi: 10.1074/jbc.M116.714972 originally published online March 3, 2016
Access the most updated version of this article at doi: [10.1074/jbc.M116.714972](http://dx.doi.org/10.1074/jbc.M116.714972)
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This article cites 47 references, 19 of which can be accessed free at [http://www.jbc.org/content/291/18/9492.full.html#ref-list-1](http://www.jbc.org/content/291/18/9492.full.html#ref-list-1)
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Welcome & Introductions
- Executive Board Introductions and Attendee Round Robin:
- President’s Update – Ann Shiveley
1. We received our first funding request -- $300 for a banner for the Shakespeare Festival. This request was approved by the Executive Board. Funding request is attached to the minutes.
2. We have $14,500 in discretionary funds for this year that parents and teachers can request through our funding request form. The form is at the bottom of this page: http://www.steelepta.org/fundraising.html
3. We have created written guidelines for the teacher stipends that we provide to each classroom. Please find a copy attached to these minutes.
4. We are in the process of developing a succession plan for PTA leadership roles. Update at our next meeting.
5. Committee business plan template has been developed and distributed to each committee. One page document to ensure that we are aware of what they are working on and how to support them.
Reading of Minutes & Approval – Meeting minutes approved.
District One DPS School Board Candidates -- November 3rd Election Day.
- Anne Rowe -- current school board representative -- and Kristi Butkovich -- challenger -- both shared their views on what drives them to run for school board, where they would focus their efforts if elected, and how they feel about testing.
- They took questions from the audience about:
- Student transportation modes (buses vs. car services), challenges related to educating a wide range of students with varying learning and skill levels, and federal and state assessment testing.
- NOTE: Following the PTA meeting, Anne Rowe provided a response to this inquiry. See attached.
Reports of Officers and Standing Committees
- Finance – Kim Kobernusz
- Budget will show as decreased from prior month as we have closed the books on commitments from the previous budget cycle.
- Shout out to Melissa – from the front office – who is now the person watching our kids during meetings. Price for childcare is $3.
- Fundraising and Events – Kiki Lyons
- We raised $2,473 at the Bike-a-Thon for Specials and another $3,082 at the Carnival.
- Stallion Fund – Jessica Kottcamp – Next event is Havana Nights. To date we are 1% of goal for the fund. Goal is to be at $100K within the first 100 days of school; $50K by Havana Nights. Another big push for funding is Colorado Gives Day.
- Home Tour – Danielle Vitale. We are kicking off our sponsorship fundraising early this year. We have filled all open positions and started succession planning for those that are leaving the school – final year on committee. We have a need for a florist who will donate an arrangement for each of the homes.
- Year round sponsorships – Rebekah Marcus. We are focusing on these and you will begin seeing banners outside of Steele for those sponsors.
- Grocery card sales – Eliza Katel. Please buy cards for the grocery program – 5% goes back to Steele. Program is going well, but we need to increase the amount of people that load the cards. This is how we get the dollars back for Steele.
VP of Volunteers – Crissy Lucado
- Succession planning is big this year. If you have a younger student, please begin thinking about volunteering and for the PTA executive board.
Garden Committee – Shari Leidner
- Youth farmers market and garden cafeteria went well and are now done.
- We are running cooking classes.
- Dig it Day is October 24th – Please come and volunteer. It’s one of our most important days. Breakfast and lunch will be served. Event is 9-1pm.
Communications Committee – Sarah Chapman
- Photos posted to social media from the Carnival -- very successful and fun. #SteeleStallions Sarah will put together some instructions for how to post.
- Survey for parent community on how effective our communications work has been will be coming soon.
- Cynthia is working on putting together the directory – 3-4 weeks out. Digital version is available now.
Family Programs and School Activities Committee – Carrie Gibson
- First family movie night at Steele kicks off 10/16.
- Winter Dance – February 20th.
Membership – 56 members
Steele Update and Q/A (Principal Kevin Greeley)
- Teacher updates – all units are one track
- Specials – Mr. Miller: Week of December 7th Aladdin will be presented by the 4th and 5th graders. Dance will be focused on for the second graders. Kindergarten the focus is storytelling and “becoming characters.” Mr. Miller will consider a showcase as an option for younger students to get an opportunity for “stage” time.
- Gifted and Talented Update – Mr. Miller. Kindergartners will all be given the test beginning this year as well as all second graders.
- Principal – Kevin Greeley. This year our staff has ‘upped’ the game so much. Our teachers are collaborating across mediums to enhance our kid’s educational experience. Our parents are amazing and there is so much work being done. As an example the Carnival was fantastic! The amount of community that we have here is really special. Thank you for all that you do.
Special Orders – no update
Unfinished Business and General Orders -- no update
New Business – no update
Volunteer Recognition (Ann Shiveley)
Jenny Cargile – an amazing job running the Carnival.
Liz Marvan – your amazing work running the grill at the Carnival.
Patty Welch has taken over as the new Home Tour treasurer.
Eliza Kitei was thanked for kicking off the grocery card program.
Andrea Homans was thanked for all of her help on the youth Farmer’s Market.
Erika Ecklund and Crissy Lucado were thanked for adding the scroll “volunteer recognition” to the website.
Thank you to all the parents with younger kids who are engaging and volunteering.
Next Meeting: Tuesday, November 10, 2015
Middle School Q&A: Parent & Student representatives from DSA, GALS, DSST, Merrill
Stipend Guidelines
- Stipends should be spent on items that directly impact/benefit all classroom students’ learning, such as teaching materials, supplies and educational field trips.
- Stipends may not be saved up for consecutive years to buy one large item for the classroom.
- Stipends may not be used for things that the “scholarship” fund provides (see Scholarship Guidelines below).
- Teachers must submit their original receipts to be reimbursed with stipend funds to the school secretary by April 30 of each school year. The secretary should provide a summary of total stipend spending for the academic year to the executive board by its May meeting (currently set for the first Wed. of May).
- The executive board will review the final stipend spending for the school year in its May meeting.
- Any unused stipend funds will remain in Steele’s stipend account and used for stipends in the following academic year. The balance of the stipend account should not exceed the amount that the PTA agrees to provide for stipend funding in any given year.
- The principal is responsible for educating staff on and overseeing proper use of the stipend funds.
- The PTA may request information from the Principal on how stipend funds are being used; the PTA may change the stipend fund amount in any year.
Scholarship Guidelines
- Scholarship funds may only be spent on items or expenses that directly impact/benefit individual students whose parents or guardians cannot afford to pay for those items or expenses, such as teaching materials, supplies and educational field trips.
- The school secretary should provide a summary of total scholarship spending for the academic year to the executive board by its May meeting (currently set for the first Wed. of May).
- The executive board will review the final scholarship spending for the school year in its May meeting.
- Any unused scholarship funds will remain in Steele’s scholarship account and used for scholarships in the following academic year. The balance of the scholarship account should not exceed the amount that the PTA agrees to provide for scholarship funding in any given year.
- The principal is responsible for educating staff on and overseeing proper use of the scholarship funds.
- The PTA may request information from the Principal on how scholarship funds are being used; the PTA may change the scholarship fund amount in any year.
PTA FUNDING REQUEST APPLICATION 2014/15
This process will be used for all funding requests that fall outside of this school year’s budgeted expenditures.
Name, phone number and email address of group or individuals making request:
Lane Miller Miriam Unser
Dana Hensinger 303-589-1054 email@example.com
Date of request (recommend submit request at least six weeks before funds are needed):
October 8, 2015
Date of event or by when funds are needed:
April - Shakespeare Festival
Date to be determined
Amount of the funding request:
$300.00
1. Detailed description of what this funding will purchase/be used for, including the name of any vendors who would be involved:
Art Supplies for banners for Shakespeare Festival
Office Depot & Home Depot
2. List all estimates gathered so far, including vendor name:
Ms. Unser has some school sites canvas banner, outdoor paint
to order supplies brushes
3. Please list all resources that would be needed (for example: How many volunteers? Do you need paid staff?
Do you need use of Steele facilities? Etc.)
4th/5th kids will design as a project in Art Class with Ms. Unser Grade
4. What issues or opportunities specific to Steele will be addressed through the purchase of these goods/services?
Steele Elementary will be well represented
5. How many/which Steele students will benefit from the purchases from this funding?
All upcoming kids who participate in Shakespeare Festival
6. How will the goods/services purchased with this funding help the PTA achieve its mission (mission statement: http://www.steelepta.org/about.html)?
encourages involvement with kids & specials in Art & Drama
7. What are the expected key outcomes? Please include how outcomes will be measured and by what date(s):
provides a classroom resource for teachers & students
8. If PTA does not fund this request, from what other sources can funding be sought?
Dana Hensinger will help to provide deficit in funds.
Please submit this form in PDF format to firstname.lastname@example.org (we recommend submitting at least 6 weeks before the event is to take place or the purchase is to be made).
Hi Anne,
Here’s the overview of how some students are receiving transportation through a contractor using private vehicles.
Best,
John Albright
Deputy Chief of Staff, DPS
Transportation Services Provided through American Logistics
- To-date this year, 292 students have received transportation through a car service provided through American Logistics.
- The students are students with special needs and are receiving transportation to and from school through this door-to-door service.
- DPS has contracted with American Logistics for several years, and many districts across the nation provide this type of service to students. In Colorado, some of our neighboring districts – including Jeffco, APS and others – are also providing this type of service to students.
- We ensure that all drivers who provide services have insurance, are well trained, vehicles are regularly inspected, and drivers must also successfully complete background checks and drug testing. DPS and American Logistics partner to monitor compliance with high safety standards.
- We offer these services in situations in which students with special needs require door-to-door transportation. Due to our constrained transportation resources, our ability to change/add routes or add a bus to serve individual students is very limited. Also, we have a shortage of bus drivers these days.
- Before a student begins receiving services through American Logistics, we send a letter to the household informing the family of the service opportunity. Then, American Logistics meets with families
before starting the service.
• American Logistics drivers keep a placard in their car identifying their vehicles. That way, both families and school personnel can easily identify the vehicle as one that is transporting a student.
• The door-to-door service is secure, because students are picked up right at their homes, and they are received at school by school staff (typically a paraprofessional).
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1. Introduction
As a typical kind of multimedia data, the digital images are widely used to deliver information every moment. Because a digital image can contain many potential information, it may cause a serious information security incident when some secret images, e.g. military images, are acquired by unauthorized accesses. Therefore, it is very important to protect the contents of secret images.
Among all the technologies of protecting images, the encryption is the most straightforward and effective one [1–4]. Many image encryption algorithms have been developed and these algorithms can be divided into three kinds [5–8]. The first kind only encrypts a plain image to an unrecognizable image with the same size using different techniques including chaos theory [9–12], DNA coding [13,14], quantum transformation [15,16], cellular automata [17,18], domain transformation [19,20] and etc. However, this kind of algorithm has some obvious weakness: the encryption structures of some algorithms have security defects and thus the encrypted results have a high risk to be successfully broken [21]. Besides, the cipher images in these encryption algorithms usually have the same sizes with the plain images, and this leads to low encryption efficiency. Finally, the generated random-like cipher images are more likely to attract the attentions of attackers.
The second kind of encryption algorithms encrypts a plain image to be a unrecognizable image with reduced size. To concurrently perform image compression and encryption, many researchers have introduced the compressive sensing (CS) technology into the image encryption [22,23]. For example, the authors in [24] first compressed a plain image using the CS, and then encrypted the compressed image by scrambling and diffusing image pixels. To improve the security level, the authors in [25] further proposed a parallel CS (PCS) technique to resist chosen plain attack. These encryption algorithms can concurrently compress and encrypt a plain image and thus has wide applications in many scenes. However, they also transform plain images to unrecognizable cipher images and this still cannot reduce the attentions of attackers.
To overcome the weaknesses of the previous two kinds of encryption algorithms, the third kind of encryption algorithm aims to encrypt a plain image to a cipher image with visual security [26]. These encryption algorithms usually include two stages: encryption stage and embedding stage. The encryption stage encrypts a plain image to a secret image while the embedding stage embeds the secret image into a carrier image to generate the final visually meaningful cipher image. For example, the scheme in [27] first encrypts a plain image to an unrecognizable secret image, and then embeds the secret image into a carrier image by replacing the partial of the carrier image. To reduce the embedding size, Chai et al. proposed an encryption scheme using CS and discrete wavelet transform (DWT) [28]. In this encryption scheme, a plain image is first compressed using CS, and then encrypted to be a secret image, and finally embedded into a carrier image that has the same size with the plain image. To improve the security level and quality of the reconstructed image, the authors in [29] modified the encryption structure in [28] by introducing a new CS counter mode and integer wavelet transformation. Although these existing visually secure image encryption schemes can achieve a relatively high performance, they still have many performance limitations in the quality of the reconstructed and cipher images, and the processing efficiency.
To overcome the performance limitations of existing image encryption algorithms, this paper proposes a new visually secure image encryption scheme using adaptive-thresholding sparsification and PCS. First, a plain image is decomposed by separable wavelet transform (SWT) [30] and scrambled by the 2D cat map [31]. Secondly, the scrambled image is sampled using PCS with adaptive threshold for each column, and the measurement matrices for each column are generated by a chaotic system. Finally, after quantifying and diffusing, the secret image is embedded into a carrier image using matrix encoding technique. The contributions and novelty of this paper are summarized as follows:
- To improve the sparsification performance, we propose the adaptive-thresholding sparsification strategy, which utilizes SWT and column-based adaptive thresholding (CBAT).
- To improve the efficiency, we generate a random-order Bernoulli random matrix for each column in the data sampling and develop a new PCS technique.
- To reduce the data loss of carrier image, we introduce the matrix encoding technique to embed the secret image to the carrier image.
- Simulation and comparison results demonstrate that our proposed scheme is more efficient, and can achieve higher quality of the reconstructed and cipher images than some newly developed schemes.
The rest of this paper is organized as follows. Section 2 introduces some related works and preliminaries. Section 3 presents the proposed visually secure encryption scheme. Section 4 simulates the proposed scheme and analyzes its performance. Section 5 evaluates the security of the proposed scheme and compares it with some recently developed schemes. Section 6 gives a conclusion of this paper.
2. Related works and contributions
This section first introduces the CS theory, and then analyzes some representative visually secure encryption schemes using CS, and finally presents some techniques that are used to design new encryption scheme in Section 3.
2.1. CS theory
The CS theory specifies that when sampling a sparse signal below the Nyquist rate, the original signal can be well recovered from the sampled data [32,33]. It tells that a sparse signal can be represented by some projections that are far smaller than the original signal. Suppose a sparse signal \( \mathbf{x} \) is of size \( N \times 1 \) and a measurement matrix \( \Phi \) is of size \( M \times N \) (\( M \ll N \)), the sample process can be defined as
\[
\mathbf{y} = \Phi \cdot \mathbf{x},
\]
where \( \mathbf{y} \) is the measurement vector with size \( M \times 1 \). The compression ratio (CR) is defined as \( CR = M/N \). Usually, a natural signal is not sparse. To deal with a natural signal using CS theory, we first transform the signal into a frequency domain to get its sparse representation and then perform the CS to the obtained sparse signal. Thus, for a natural signal \( s \), the sample process can be defined as
\[
\mathbf{y} = \Psi \cdot \Psi \cdot \mathbf{s} = \Phi \cdot \mathbf{x},
\]
where \( \Psi \) is a sparse transformation matrix and \( \mathbf{x} \) is the sparse representation of signal \( \mathbf{s} \).
The sparse signal \( \mathbf{x} \) is called \( K \)-sparse when it has \( K \) non-zero entries. To completely recover the original signal, the variables \( K, M \) and \( N \) should meet \( M = O(K \log_2(N/K)) \) [32,33] and the measurement matrix \( \Phi \) should satisfy the restricted isometry property (RIP) [34]. When recovering the original signal, the estimation of \( \mathbf{x} \), denoted as \( \hat{\mathbf{x}} \), can be calculated by solving the following optimization problem
\[
\min \| \hat{\mathbf{x}} \|_0 \quad \text{s. t.} \quad \mathbf{y} = \Phi \cdot \hat{\mathbf{x}},
\]
where \( \| \cdot \|_0 \) denotes the \( l_0 \)-norm. However, \( l_0 \) optimization problem is NP-hard and thus \( l_0 \)-norm is usually replaced by \( l_1 \)-norm. Recently, researchers have proposed many effective reconstruction methods, including the orthogonal matching pursuit (OMP) [35] and smoothed \( l_0 \) norm (SLO) [36].
2.2. Visually secure image encryption using CS
Many visually secure image encryption schemes have been developed using CS [28,29,37]. These algorithms first encrypt a plain image to be a secret image with reduced size, and then embed the secret image into a carrier image to generate a cipher image. Fig. 1 presents a general framework of these algorithms, and the whole encryption scheme is divided into three stages: sparsification, compress, sampling and embedding.
The sparsification is to transform a natural image to be a sparse signal before sampled. One of the most effective method is to transform the image from spatial domain to frequency domain using some techniques such as the wavelet transform and Fourier transform. Since a digital image has much data redundancy, its frequency spectrum has many elements that are close to 0. After setting these elements to 0 via quantifying with a threshold, a sparse signal can be generated. The compressive sampling compressively samples the sparse image to reduce the image size. According to the CS theory in Eq. (1), a measurement matrix is required when compressively sampling a sparse image. To solve the low security level of the secret image caused by a fixed measurement matrix for the whole sparse image [25], researchers usually use changeable measurement matrices generated by a chaotic system. After compressive sampling, a secret image is generated and then embedded into a carrier image to obtain visually meaningful cipher image. Usually, a pre-processing is performed to the carrier image to further improve the embedding space or reduce the data loss.
2.3. Our contributions for new scheme
We devise some new techniques to improve the quality of the reconstructed and cipher images and efficiency.
2.3.1. Adaptive-thresholding sparsification
To improve the sparsification performance, an adaptive-thresholding sparsification strategy is introduced and it includes three operations: SWT, matrix confusion, and CBAT. The SWT is used to decompose the plain image to get its sparse representation in wavelet domain. First, the orthogonal wavelet transform matrix is calculated as
\[
\Psi = L_0L_{l-1}\ldots L_2L_1,
\]
where the $L_i$ ($i = 1, 2, \ldots, n$) of size $N \times N$ is calculated as
$$L_i = \begin{bmatrix} H_{\lfloor N/2^i \rfloor \times \lfloor N/2^{i-1} \rfloor} & 0 \\ G_{\lfloor N/2^i \rfloor \times \lfloor N/2^{i-1} \rfloor} & I \end{bmatrix},$$
(5)
where $H$ and $G$ are the low and high pass filters of the wavelet base, respectively. The maximum value of $i$ is $\lfloor \log_2(N) \rfloor$ ($\lfloor . \rfloor$ is to obtain the biggest integer that is not bigger than -) and $I$ is an identity matrix. Besides, the DWT and wavelet packet transform (WPT) are also widely used to decompose an image. However, the DWT has high processing efficiency but low sparsification performance, while the WPT has high sparsification performance but low processing efficiency. The SWT can well balance the trade-off between the performance and efficiency. Fig. 2 shows the 2-layer decomposition of the DWT, SWT and WPT. It is obvious that the SWT can better separate the high-frequency part and low-frequency part of an image than the DWT. Thus, it can achieve better sparsification performance.
After image decomposition by SWT, the elements in the coefficient matrix are divided into the principal and secondary components. The matrix confusion randomly shuffles the elements in the coefficient matrix such that the principal components can be uniformly distributed in each column. Different matrix confusion methods with certain confusion performance can be used to confuse the coefficient matrix, and the selection of confusion methods cannot affect the reconstruction quality. In our algorithm, we use the 2D cat map to shuffle the coefficient matrix since it is easy to be implemented and can obtain good confusion performance.
Finally, the CBAT is proposed to adaptively set thresholds for different images. Previous works usually set a global threshold and the pixel values smaller than the threshold are set to zero. However, since different images have different features, setting a fixed global threshold to all the images may lead to unstable performance. To solve these problems, we propose an adaptive method to directly set the sparsity for every column of image rather than set a threshold. In this case, the sparsity is fixed for every column, which can lead to a stable result. Given a compression rate CR and column length $N$, we empirically set the sparsity of a column as
$$K = \lfloor \theta \cdot \omega \cdot CR^\omega \cdot e^{-\omega \cdot CR^\omega} \cdot N \rfloor,$$
(6)
where $\theta$ and $\omega$ are determined by the reconstruction method. Then the threshold for a column is the $K$th largest absolute value in the column. The elements whose absolute values are smaller than the threshold will be set to zero. Note that the sparsity calculated by Eq. (6) may not ensure a best reconstruction quality for every image. However, this method can offer a simple way to dynamically set the thresholds for different images and avoid the unstable performance caused by a global threshold.
### 2.3.2 Chaos-based measurement matrices
According to the discussions in [34], the measurement matrix in the CS should satisfy the restricted isometry property. A Bernoulli random matrix has the high probability to satisfy the restricted isometry property [38] and the chaotic matrix generated by the Logistic map is the Bernoulli random matrix [39]. In this work, we use the Logistic map to generate Bernoulli random matrix. The Logistic map is defined as
$$x_{n+1} = F(x_n) = \mu \cdot x_n \ast (1 - x_n), \quad x_n \in [0, 1],$$
(7)
where the control parameter $\mu \in [3.57, 4]$.
To generate $C$ measurement matrices with size $M \times N$, a chaotic matrix $W$ with size $M \times 2N$ is firstly generated by iterating the Logistic map with the given initial state $(x_0)$ and quantifying the elements of generated chaotic sequence into 1 or -1 by the equation
$$t_i = \Omega(x_i) = \begin{cases} -1, & x_i \leq 0.5 \\ 1, & x_i > 0.5. \end{cases}$$
(8)
Then, each of the $C$ measurement matrices can be generated by randomly selecting $N$ columns from $\mathbf{W}$ according to the chaotic sequences. Algorithm 1 shows the generation of the $C$ measurement matrices $\Phi_1, \Phi_2, \cdots, \Phi_C$.
**Algorithm 1: Generation of the C measurement matrices.**
**Input:** Initial state $(x_0)$, the number of measurement matrix $C$ and matrix size $M \times N$.
**Output:** Measurement matrices $\Phi_1, \Phi_2, \cdots, \Phi_C$.
1 Generate chaotic sequences $S = \{x_1, x_2, \cdots, x_{2MN+2CN}\}$ using the Logistic map with $(x_0)$;
2 Convert elements of $S(1 : 2MN)$ into 1 or -1 by Eq. (8);
3 Initialize $\mathbf{W} = S(1 : 2MN)$ and rearrange $\mathbf{W}$ as size $M \times 2N$ in row order;
4 Initialize $\mathbf{P} = S(2MN + 1 : 2MN + 2CN)$ and rearrange $\mathbf{P}$ as size $C \times 2N$;
5 Initialize $\Phi_1, \Phi_2, \cdots, \Phi_C \in \mathbb{R}^{M \times N}$;
6 for $i = 1 : C$ do
7 $[\mathbf{P}(:, i)] = \text{Sort}(\mathbf{P}(i, :))$ [Sort the $i$th row and $\mathbf{I}$ is the index vector];
8 for $j = 1 : N$ do
9 $\Phi(:, j) = \mathbf{W}(:, \mathbf{I}(j))$;
10 end
11 end
### 2.3.3. Matrix encoding embedding
To achieve a better embedding performance, the matrix encoding [40] is introduced to embed the secret image into carrier image. Using more bits, the matrix encoding can represent a number of information bits with acceptable data loss. It can be described using a triple $(n, k, t)$, where $n$ is the representing bit number, $k$ ($k \leq n$) is the bit number to be represented and $t$ is the maximum changed bit number. Suppose that a codeword $b = [b_1 b_2 \ldots b_n]$ is the bits that can be changed in a block, $x = [x_1 x_2 \ldots x_n]$ contains the secret bits and $b' = [b'_1 b'_2 \ldots b'_n]$ is the modified codeword having embedded secret bits. Then the encoding process can be described as
**Step 1:** A function $f$ is defined as
$$f(b) = (b_1 \times 1) \oplus (b_2 \times 2) \oplus \cdots \oplus (b_n \times n) = \hat{x},$$
where $\oplus$ means bitwise xor operation.
**Step 2:** Find the position where the bit needs to be changed by
$$s = f(b) \oplus x$$
**Step 3:** The rule to change the codeword $b$ is illustrated as
$$b' = \begin{cases}
b & s = 0 \\
\{b_1, b_2, \ldots, 1 - b_i, \ldots, b_n\} & s = 1
\end{cases}$$
Replace $b$ by $b'$.
**Step 4:** Repeat Step 1 to Step 3 until $f(b) = x$.
In this paper, the matrix encoding with $(n = 3, k = 2, t = 1)$ is used to embed a secret image into a carrier image. This means that we embed two bits of the secret image into the least three significant bits of a pixel in the carrier image, since the least significant bits contain less information. For example, suppose the two bits to be embedded is $x = [10]$ and a pixel in the carrier image is $[10010110]$. Then the least three significant bits are $b = [110]$. Following Eq. (9), we first calculate that $f(b) = (1 \times 1) \oplus (1 \times 2) \oplus (0 \times 3) = [11]$. Since $f(b) \neq x$, we calculate the position needed to be changed is $s = f(b) \oplus x = [11] \oplus [10] = 1$. Thus, we change the first bit of $b$ to obtain $b' = [010]$. Then $f(b') = (0 \times 1) \oplus (1 \times 2) \oplus (0 \times 3) = [10]$. Because $f(b') = x$, the embedding process is finished and the modified pixel of value $[10010010]$ is obtained by replacing $b$ with $b'$. In the data extraction stage, the embedded two bits can be extracted by calculating $f(b') = [10]$. Besides, the 2D Logistic-adjusted-Sine map (2D-LASM) introduced in [41] is used to generate chaotic sequences, which will be used to control the embedding order to further improve the security. The 2D-LASM is defined as
$$\begin{cases}
x_{i+1} = \sin(\pi \mu(y_i + 3)x_i(1 - x_i)), \\
y_{i+1} = \sin(\pi \mu(x_{i+1} + 3)y_i(1 - y_i)),
\end{cases}$$
where the parameter $\mu \in [0, 1]$ and $(x_0, y_0)$ are initial values.
### 3. Visually secure image encryption scheme
In this section, we present a new visually secure image encryption scheme. In the encryption process, the plain image is first encrypted to be a secret image, which is then embedded into a carrier image to get the visually meaningful cipher image. Fig. 3 shows the structure of the proposed encryption scheme. It includes two stages: encryption and embedding. In the encryption stage, the SWT is used to decompose the plain image, the 2D cat map is used to randomly shuffle the pixels, and the CBAT is to generate sparse image, ensuring that each column has the same number of zero. The secret key generates the initial states, which are employed by the chaotic maps to generate the measurements matrices, and the parameters in diffusion and matrix encoding. The PCS sampling is performed to the sparse image in the column-wise manner. After performing the quantification and diffusion to the sampling result, a secret image can be obtained. In the embedding stage, the matrix encoding technique embeds the secret image into...
a carrier image under the control parameters generated by the 2D-LASM. In the decryption process, the secret image is first extracted from the cipher image, and then decrypted to obtain the plain image. The decryption scheme is the combination of the inverse operation of the encryption scheme and its structure is shown in Fig. 4.
3.1. Secret key
The secret key $K$ is composed of 256 bits and it is used to generate the initial states of the Logistic map and 2D-LASM. The secret key should be transmitted over a secure channel or some public key encryption algorithms such as the well-known RSA. Firstly, a hash function SHA-256 is performed to the secret key to enhance the security level, and the hashed result contains six parts, namely $K' = \{x_0, y_0, \mu, \gamma_1, \gamma_2, \gamma_3\}$, where $(x_0, y_0, \mu)$ are the original initial states, $(\gamma_1, \gamma_2, \gamma_3)$ are interference parameters. Algorithm 2 details the generation procedures of the initial states for the chaotic maps. Three groups of initial states $(x_0^{(1)}, x_0^{(2)}, y_0^{(2)}, \mu^{(2)})$ and $(x_0^{(3)}, y_0^{(3)}, \mu^{(3)})$ can be obtained, and they are used in generating the measurement matrices, and the parameters in diffusion and matrix encoding, respectively.
**Algorithm 2:** The generation of the initial states for chaotic maps.
**Input:** Secret key $K$ with length of 256 bits.
**Output:** Initial states $(x_0^{(1)}, x_0^{(2)}, y_0^{(2)}, \mu^{(2)})$ and $(x_0^{(3)}, y_0^{(3)}, \mu^{(3)})$.
1 $K' = \text{SHA256}[K]$;
2 $x_0 = (\sum_{i=64}^{127} K'[i] \times 2^{i-1})/2^{64}$;
3 $y_0 = (\sum_{i=128}^{191} K'[i] \times 2^{i-65})/2^{64}$;
4 $\mu = (\sum_{i=192}^{255} K'[i] \times 2^{i-129})/2^{64}$;
5 $\gamma_1 = (\sum_{i=193}^{255} K'[i] \times 2^{i-193})/2^{21}$;
6 $\gamma_2 = (\sum_{i=214}^{255} K'[i] \times 2^{i-214})/2^{21}$;
7 $\gamma_3 = (\sum_{i=225}^{255} K'[i] \times 2^{i-235})/2^{22}$;
8 $x_0^{(1)} = ((x_0 + x_0 \times 2^{\gamma_1}) \mod 1) + 10^{-5}$;
9 **for** $i = 2 : 3$ **do**
10 $x_0^{(i)} = ((x_0 + x_0 \times 2^{i \times 5} \times \gamma_i) \mod 1) + 10^{-5}$;
11 $y_0^{(i)} = ((y_0 + y_0 \times 2^{i \times 5} \times \gamma_i) \mod 1) + 10^{-5}$;
12 $\mu^{(i)} = ((\mu + \mu \times 2^{i \times 5} \times \gamma_i) \mod 0.4) + 0.5$;
13 **end**
3.2. Encryption and reconstruction
Here, we describe the encryption process in the forward operation, and the related reconstruction process in the backward operation. Suppose the plain image $P$ to be encrypted is of size $N \times N$. The detailed steps are described as follows:
**Step 1:** Apply the SWT introduced in Section 2.3.1 on $P$ and the generated coefficient matrix $P1$ with size $N \times N$ is calculated as
$$P1 = \Psi^T \cdot P \cdot \Psi^L,$$
where $\Psi$ is the orthogonal wavelet matrix computed by Eq. (4) with layer $\lfloor \log(N) \rfloor$. The inverse operation to recover the plain image $P$ is
$$P = \Psi^T \cdot P1 \cdot \Psi.$$
**Step 2:** The 2D cat map randomly shuffles the pixel positions of the image $P1$, and it is defined as
$$\begin{bmatrix} x' \\ y' \end{bmatrix} = \begin{bmatrix} 1 & a \\ b & ab + 1 \end{bmatrix} \begin{bmatrix} x \\ y \end{bmatrix} \mod N,$$
where $(x, y)$ is a pixel position in the original image and $(x', y')$ is a pixel position in the shuffled image. $a$ and $b$ are two parameters. Iterate the image $P1$ $c$ times using the 2D cat map to obtain a totally shuffled image $P2$. Note that the $a$, $b$ and $c$ are three parameters that can affect the reconstruction quality. The image $P1$ can be recovered from $P2$ by iterating the inverse 2D cat map $c$ times using the same parameters, and the inverse 2D cat map is defined as
$$\begin{bmatrix} x \\ y \end{bmatrix} = \begin{bmatrix} ab + 1 & -a \\ -b & 1 \end{bmatrix} \begin{bmatrix} x' \\ y' \end{bmatrix} \mod N.$$
**Step 3:** Predefine the compression ratio of the plain image as CR. Apply the CBAT presented in Section 2.3.1 to $P2$ to obtain the sparse image. Generate $N$ measurement matrices, $\Phi_1, \Phi_2, \ldots, \Phi_N$, using the Algorithm 1, where $M = N \times CR$ and the initial state for the Logistic map is $x_0^{(1)}$.
**Step 4:** The $i$th measurement matrix $\Phi_i$ is used to sample the $i$th column of $P2$ using the PCS. Then the compressed image $P3$ with size $M \times N$ is generated. The image $P2$ can be reconstructed from $P3$ via different CS reconstruction methods.
**Step 5:** Quantify the pixel values of $P3$ to integer of range [0, 255] to generate the quantified matrix $P4$. The quantification process is calculated as
$$P4 = \left\lfloor \frac{P3 - P_{\min}}{P_{\max} - P_{\min}} \times 255 \right\rfloor,$$
where $P_{\min}$ and $P_{\max}$ are the minimum and maximum values of $P3$, respectively, and $\lfloor \cdot \rfloor$ is to get the nearest integer. After the quantification, an image $P4$ with integer pixel value is obtained. The inverse operation of quantification is defined as
$$P3 = \frac{P4 \times (P_{\max} - P_{\min})}{255} + P_{\min}.$$
**Step 6:** A diffusion operation is developed to randomly change the pixel value and spread the little change to the whole image.
Specifically, a chaotic sequence $X = \{x_i\}_{i=1}^{MN}$ is generated by the 2D-LASM with initial state $(x_0^{(2)}, y_0^{(2)}, \mu^{(2)})$. Then convert the sequence $X$ into integers $V = \{v_1, v_2, \cdots, v_{MN}\}$ using the following operation
$$v_i = (x_i \times 2^{30}) \mod 256.$$
Let $P4_i$ and $s_i$ denote the $i$th element of $P4$ and the $i$th element of the secret image $S$. Then $s_i$ can be calculated by
$$s_i = \begin{cases}
P4_i \oplus v_i & i = 1 \\
P4_i \oplus v_i \oplus s_{i-1} & i > 1
\end{cases}.$$
Reshape the $S$ with size $M \times N$ to obtain the secret image. The inverse operation is
$$P4_i = \begin{cases}
s_i \oplus v_i & i = 1 \\
s_i \oplus v_i \oplus s_{i-1} & i > 1
\end{cases}.$$
### 3.3. Embedding and extracting
After the plain image is encrypted to a secret image, the secret image is then embedded into a carrier image to further enhance the security level. Then a visually secure cipher image can be obtained by embedding the secret image $S$ into the carrier image $Q$. Suppose the size of the carrier image is $M_2 \times N_2$. To completely recover the secret image, the sizes of the carrier image and the secret image should satisfy that
$$M_2 \times N_2 \geq M \times N \times 4.$$
In the embedding, two chaotic sequences: $X = [x_1, x_2, \cdots, x_{M_2N_2}]$ and $Y = [y_1, y_2, \cdots, y_{M_2N_2}]$ are generated using the 2D-LASM with the initial state $(x_0^{(3)}, y_0^{(3)}, \mu^{(3)})$. Select the last $4MN$ elements of $Y$ to form another sequence $Y' = [y'_1, y'_2, \cdots, y'_{4MN}]$. Sort the sequence $X$ and $Y'$ in increasing order to generate two index vectors $I_x$ and $I_y$. Then rearrange the secret image $S$ as a vector $\{s_1, s_2, \cdots, s_{4MN}\}$. By decomposing each pixel into 8 bits, a binary matrix with size $MN \times 8$ can be generated, and it is rearranged as $S'$ with size $4MN \times 2$. Finally, the binary matrix $S'$ can be embedded into the carrier image $Q$ using matrix encoding under the control of $I_x$ and $I_y$. **Algorithm 3** shows the pseudo-code of embedding the secret image $S$ into the carrier image $Q$ using the matrix encoding technique.
**Algorithm 3:** The procedure of embedding a secret image into a carrier image.
**Input:** The secret image $S$ with size $M \times N$, the carrier image $Q$ with size $M_2 \times N_2$, the index vectors $I_x$ and $I_y$.
**Output:** The visually secure cipher image $C$.
1. Decompose each pixel of $S$ into 8 bits, and rearrange its size to obtain a binary matrix $S'$ with size $4MN \times 2$;
2. Decompose each pixel of $Q$ into 8 bits, and rearrange its size to obtain a binary matrix $Q'$ with size $M_2N_2 \times 8$;
3. for $i = 1 : 4MN$ do
4. $x = I_x(i)$ and $y = I_y(i)$;
5. $a = [Q'(x, 6) \oplus [Q'(x, 7) \cdot 2] \oplus Q'(x, 8) \cdot 3]$;
6. $b = a \oplus [S'(y, 1) \cdot 2 + S'(y, 2)]$ \hspace{1cm} (b \in \{0, 3\});
7. if $b != 0$ then change $Q'(x, b+5)$
4. end
5. Convert each row of $Q'$ to be a decimal integer;
6. Rearrange $Q'$ to obtain the cipher image $C$ with size $M_2 \times N_2$.
Using the inverse operation of matrix encoding, the secret image $S$ can be completely extracted from the cipher image $C$ using the same index matrices $I_x$ and $I_y$.
### 3.4. Discussion
Because many effective techniques are introduced in our proposed scheme, the scheme is able to protect a plain image with a high security level and achieves many advantages.
First, the compression ratio and reconstruction quality of the original image can be greatly enhanced, due to the adaptive-thresholding sparsification. The SWT can decompose the plain image with high sparsification performance and processing efficiency, the generated measurement matrices can well satisfy the RIP, and the CBAT can ensure that the compressed of an image with the same sparsity level can be reconstructed with acceptable data loss. Thus, one can exactly set the compression ratio to the original image and obtain a high-quality reconstructed result.
Second, the cipher image can achieve high quality and has a similar data loss for different carrier images using the matrix encoding. Suppose the carrier image $I$ and cipher image $C$ are with size $M_2 \times N_2$, and the size of the secret image to be embedded is $M_2 \times N_2/4$, which is maximum value of satisfying the requirements of matrix encoding in Eq. (22). According to the embedding process described in **Algorithm 3**, the matrix coding is directly applied on bit level and cannot change the number of bits. Thus, this operation cannot cause data overflow. Meanwhile, each pixel in $I$ has the same 25% probabilities to change one of its last three bits, or keep no change. This indicates $|I(i, j) - C(i, j)|$ can be 0, 1, 2, and 4 with the same 25% probabilities. Then the difference between the carrier image and the cipher image, denoted by the Peak Signal Noise Ratio (PSNR) [42], can be obtained as
$$PSNR = 10 \times \log_{10} \left( \frac{255^2 + M_2 \times N_2}{\sum_{i=1}^{M_2} \sum_{j=1}^{N_2} (R(i, j) - G(i, j))^2} \right)$$
$$= 10 \times \log_{10} \left( \frac{255^2 + M_2 \times N_2}{\sum_{i=1}^{M_2} \sum_{j=1}^{N_2} 0.25 \times (0^2 + 1^2 + 2^2 + 4^2)} \right)$$
$$\approx 40.9292.$$
This theoretically demonstrates that the embedding process has greatly high performance and the cipher image has few data loss compared with the carrier image.
Third, the scheme can well balance the trade-off between the size of the carrier image and the compression ratio $CR$. From Eq. (22), one can obtain that when the size of the carrier image is fixed, the compression ratio has a maximum value. Thus, one is flexible to set the compression ratio and the size of the carrier image. Besides, because the embedding process is a completely reversible operation, the secret image can be completely extracted from the cipher image without data loss.
Finally, the proposed scheme can protect the plain image with a high security level. This is because the PCS sampling, diffusion and matrix encoding are all under the control of the chaotic sequences generated by chaotic maps. Thus, the cipher image has a high security level and can resist the commonly used security attacks.
### 4. Simulation results and analysis
This section simulates the proposed visually secure image encryption scheme and analyzes its performance. To show a relatively fair simulation result, ten classical and widely used images are tested in our experiments and these images include “Brain”, “Finger”, “Girl”, “Bridge”, “Barbara”, “Peppers”, “Lena”, “Jet”, “Airplane”, and “Baboon”. The former two images have the size of $256 \times 256$, while the latter eight images have the size of $512 \times 512$. The proposed scheme is implemented using Matlab R2020a in a macOS Catalina 10.15.6 Operation system.
4.1. Simulation results
This subsection simulates the proposed scheme using different images as the plain images and carrier images. The secret key is randomly generated as $K = 9768A057A8159D63E6996CC6B2C8BC6D056BA0152D3F884F9B4B5F6147B32DB$, the filter used in SWT is the sym8, parameters in 2D cat map are set as $(a, b, c) = (2, 3, 13)$, the compression ratio CR is set as 0.25 and the reconstruction method in PCS is the SLO with parameters $\theta = 0.3445$ and $\omega = 1.404$ for the CBAT.
Fig. 5 shows the simulation results and each column is an individual experiment. Because the compression ratio $CR = 0.25$, the secret images are the 25% large as the plain image and they are noise-like. After embedding the secret images into the carrier images, the generated cipher images have the same visual effects with the carrier images. This can well protect the secret images because the meaningful images can greatly reduce the contentious of the carriers. Besides the embeddability is completely invertible and the reconstruction of PCS has high performance, the reconstructed images have high quality and visually same effects with the plain images.
To qualitatively assess the performance of our proposed scheme, we use the PSNR presented in Eq. (23) and mean structural similarity (MSSIM) [43] to measure the quality of cipher images and reconstructed images. The MSSIM is to qualitatively describe the structural similarity of two images. The MSSIM of two images $X$ and $Y$ can be calculated by
$$\text{MSSIM}(X, Y) = \frac{1}{M} \sum_{k=1}^{M} \text{SSIM}(x, y).$$
(24)
The structural similarity (SSIM) is calculated by
$$\text{SSIM}(x, y) = \frac{(2\mu_x\mu_y + (k_1 \times L)^2)(2\sigma_{xy} + (k_2 \times L)^2)}{(\mu_x^2 + \mu_y^2 + (k_1 \times L)^2)(\sigma_x^2 + \sigma_y^2 + (k_2 \times L)^2)},$$
(25)
where $M$ is the number of image block, $k_1$ and $k_2$ are two parameters, $L$ is the grayscale level and $L = 255$ for 8-bit grayscale image, $x$ and $y$ are blocks of images $X$ and $Y$, respectively, $\mu_i$ and $\sigma_i$ ($i = x, y$) are the average and variance values of block $i$, respectively, $\sigma_{xy}$ is the covariance of blocks $x$ and $y$. According to the recommendation in [43], we set $k_1 = 0.01$, $k_2 = 0.03$ and $M = 64$.
Table 1 shows the PSNR and MSSIM test results. As can be seen, all the PSNR values between the cipher and carrier images are above 40.9 dB and all the MSSIM values are above 0.99. This demonstrates that the cipher images have high similarity with the carrier images. Besides, all the reconstructed images also achieve
Table 1
The PSNR and MSSIM values between the cipher and carrier images, and between the reconstructed and plain images.
| Plain images | Carrier images | Cipher images | Reconstructed images |
|--------------|----------------|---------------|----------------------|
| | | PSNR(db) | MSSIM | PSNR(db) | MSSIM |
| Brain | Finger | 40.9328 | 0.9967 | 37.9061 | 0.9481 |
| Girl | Bridge | 40.9295 | 0.9974 | 37.4035 | 0.9683 |
| Barbara | Peppers | 40.9310 | 0.9917 | 30.3344 | 0.9381 |
| Lena | Jet | 40.9186 | 0.9845 | 35.2992 | 0.9658 |
| Airplane | Baboon | 40.9187 | 0.9868 | 34.6182 | 0.9579 |
high PSNR and MSSIM values from the plain images, and this indicates that the reconstructed images have good quality. Thus, our proposed scheme not only can concurrently compress and encrypt a plain image, but also generate cipher image with high quality to ensure visual security. With these significant properties, our proposed scheme has the potential to satisfy the requirements of visual security, compression ratio and reconstruction quality in practical applications.
4.2. Reconstruction quality against compression ratio
The quality of the reconstructed image is highly related to the compression ratio. To investigate the relationship between the reconstruction quality and compression ratio CR, we simulate our scheme using two different compressed schemes in the inverse operation of the PCS, namely the OMP and SLO. The experiment results show that the best reconstruction quality can be achieved when the parameters of CBAT are set as $\theta = 0.2576$, $\alpha = 0.265$ in OMP, and are set as $\theta = 0.3445$, $\alpha = 1.404$ in SLO. The plain image are selected as the “Barbara”, “Airplane”, “Girl” and “Lena”, and the compression ratio is set as $CR = \{0.1, 0.2, \cdots, 0.8\}$.
Fig. 6 shows the PSNR values between the reconstructed and plain images with different CR and different reconstruction methods. From these figures, we can draw that when the $CR$ is smaller than 0.5, the SLO method can reconstruct the images with higher quality than the OMP method. In the contract, when the $CR$ is bigger than 0.5, the OMP is more effective. Thus, the OMP reconstruction is more suitable for the light compression applications while the SLO is more suitable for the heavy compression applications.
4.3. Carrier image against reconstructed image
Here, we test the performance of the proposed scheme for encrypting a plain image with different carrier images. Fig. 7 shows the visual quality of the ciphered images and the reconstructed images using the images “Bridge”, “Peppers”, “Jet” and “Baboon” as the carrier images, respectively. The plain image is the image “Lena”. One can see that with different carrier images, the cipher images always have higher PSNR and MSSIM values than the corresponding carrier images. Besides, the reconstructed images can achieve a similar visual quality for different carrier images.
To qualitatively test the effects of the carrier images, we calculate the PSNR and MSSIM values of the cipher images and the reconstructed images and Table 2 shows calculation results. As can be observed, all the PSNR and MSSIM values between the reconstructed and plain images are the same for different carrier images. This is because the embedding process is a completely reversible operation, the selections of the carrier images cannot affect the quality of the reconstructed image. These indicate that the proposed scheme is robust to the carrier image. Many similar schemes don’t have this property and their performance highly depends on the selections of the carrier images. Our proposed scheme can overcome this weakness and one is flexible to select any digital image as the carrier image to achieve a high performance.
5. Security analysis and performance comparison
This section analyzes the security level of the proposed encryption scheme and compares its performance with some newly developed schemes.
5.1. Key security analysis
An effective image encryption algorithm should have large enough key space to resist brute-force attack, and the ideal key space should be bigger than $2^{100}$ [44]. The secret key in our proposed scheme consists of 256 bits and its key space is $2^{256}$, which is sufficient to satisfy the requirement of key space. Meanwhile, the secret key should be highly sensitive in both the encryption and decryption processes.
To test the sensitivity of the secret key, a secret key $K_1$ is randomly generated to encrypt the plain image “Lena” and subsequently embed the secret image into a carrier image. By randomly changing one bit of the $K_1$ in different positions, three new secret keys $K_2$, $K_3$, $K_4$ are obtained as follows.
$$K_1 = 7A09E5F4B5241E49B12CD5521E085A87F414A078E51C08D14535B487CB83347A0,$$
$$K_2 = 7A09E5F4B5241E49B12CD5521E085A87F414A078E51C08D14535B487CB83347A1,$$
$$K_3 = 7A09E5F4B5241E49B12CD5521E085A87F414A078E53C08D14535B487CB83347A0,$$
$$K_4 = 7A09E5F4B5241E4B12CD5521E085A87F414A078E51C08D14535B487CB83347A0.$$
The four secret keys are separately used to decrypt a same cipher image, and Fig. 8 shows the decryption results. As can be seen, the decryption results using these incorrect secret keys are totally different with that using the correct secret key. Without secret key, one can’t get any useful information about the plain image. Besides, the number of pixel change rate (NPCR) [45] is used to calculate the difference between the reconstructed images decrypted by the correct and incorrect keys. For two images $\mathbf{O}_1$ and $\mathbf{O}_2$ with the same size $M \times N$, their NPCR is defined as
$$NPCR = \frac{\sum_{i=1}^{M} \sum_{j=1}^{N} \delta_{\mathbf{O}_1(i,j),\mathbf{O}_2(i,j)}}{MN} \times 100\%,$$
(26)
where $\delta_{\mathbf{O}_1(i,j),\mathbf{O}_2(i,j)}$ is 0 if $\mathbf{O}_1(i,j) = \mathbf{O}_2(i,j)$; otherwise it is 1. The NPCRs between the correct reconstructed image in Fig. (a) and incorrect reconstructed images in Figs. (b)-(d) are 0.9986, 0.9985 and 0.9987, respectively. This demonstrates that the proposed scheme has a high sensitivity on the secret key.
In our proposed algorithm, the secret key is used to generate the measurement matrices and parameters for matrix coding, and different secret keys can result in totally different measurement matrices. However, since all the generated measurement matrices can satisfy the restricted isometry property, the reconstruction quality is almost the same for different measurement matrices. Thus, the reconstruction quality is stable for different secret keys. To test this property, we encrypt the image “Lean” using four different secret keys and the PSNRs between these generated four reconstructed image and the original image are 35.4398, 35.4617, 35.4602 and 35.3976, respectively. This experimentally indicates that the reconstruction quality is stable for different secret keys.
5.2. Histogram analysis
The histogram of an image can directly reflect its statistical properties. For a natural image, its histogram usually has many patterns and thus one can obtain much useful information from it. From the information theory, one can get the least information when all the pixels distribute uniformly. Thus, an effective encryption algorithm should have the ability to generate secret images with uniform-distribution. Here, we use information entropy
to measure the pixel distributions of the secret images, and the entropy $H$ of a signal $s$ is calculated as
$$H(s) = - \sum_{i=0}^{n} P(s_i) \log_2 P(s_i)$$ \hspace{1cm} (27)
Where $P(s_i)$ is the probability of the $i$th possible value $s_i$. For an 8-bit grayscale image, $n$ is 255 and the maximum entropy is 8 when the pixels are absolutely uniform-distributed.
We successively subject images “Peppers” and “Lena”, “Baboon” and “Girl”, “Jet” and “Airplane” to the proposed scheme. Fig. 9
shows the histograms of plain images and their secret images, and it is clear that the histograms of the plain images have some patterns while the histograms of the secret images are uniformly distributed. One cannot get any useful information from the histograms of secret image. As for the information entropy, all secret images have the entropy that is very close to 8.
To achieve a higher security level, the cipher images are expected to have similar visual effects with the carrier images. Fig. 10 shows the histograms of the carrier images and their corresponding cipher images. It can be seen that the visual effects and histograms between the carrier image and its cipher image are quite similar. To qualitatively test the difference between the carrier and cipher images, the histogram intersection [46] is used to describe their similarity. For two histograms $X$ and $Y$ with $N$ bins, their distance of histogram intersection is defined as
$$HI(X, Y) = \frac{\sum_{k=1}^{N} \min(X_k, Y_k)}{\sum_{k=1}^{N} Y_k}. \quad (28)$$
A larger value means bigger similarity of the two histograms. Table 3 shows the distances of histogram intersection between the carrier images and cipher images. One can see that all the distances of histogram intersection are close to 1. This demonstrates the high similarity between the carrier images and its cipher images.
5.3. Adjacent pixel correlation
A natural image has strong correlation among the adjacent pixels. This correlation can benefit to the reconstruction of original image without secret key. Thus, a secret image is expected to have weak correlation among the adjacent pixels. Here, we evaluate the correlation of adjacent pixels using correlation coefficient. To calculate the correlation coefficient of an image, 3000 pixels are randomly selected in the image, and then the correlation coefficients between these pixels with their adjacent pixels in horizontal, vertical and diagonal direction are calculated.
Assume $X = [x_i]_{3000}$ and $Y = [y_j]_{3000}$ are two sequences of pixels and every pair $(x_i, y_j)$ are adjacent pixels, the correlation coefficient of $X, Y$ can be calculated as
$$CC_{XY} = \frac{Cov(X, Y)}{\sigma_X \sigma_Y}, \quad (29)$$
where $\sigma_X$ donates the standard deviation of $X$ and $Cov(X, Y)$ is the covariance of $X$ and $Y$. Fig. 11 plots the adjacent pixel pairs of the plain, secret, carrier and cipher images, and Table 4 shows the numerical results. The used plain image is the image “Lena” and carrier image is the image “Jet”. As can be seen, the adjacent pixel pairs of the secret image are uniformly distributed in the whole phase plane, which is shown in Fig. 11(b), and their correlation coefficients are close to 0. This indicates that the adjacent pixels in the secret images have weak correlation. Besides, the cipher image has similar correlation coefficients with the carrier image, which implies the good similarity between the cipher and carrier image.
Table 3
The distances of histogram intersection between the carrier and cipher images.
| Plain images | Peppers | Baboon | Jet |
|--------------|---------|--------|-----|
| Carrier images | Lena | Girl | Airplane |
| Distance | 0.9713 | 0.9613 | 0.9580 |
5.4. Ability of resisting noise and data loss
Since almost all the transmission channels are noise channels, the cipher images should have the strong ability to resisting noise and data loss. This indicates that even a cipher image is blurred by the noise or has data loss, the decryption process can still recover the most information of the original image. Here, we test this ability of our proposed scheme.
Fig. 12 shows the experimental results with different percentages of data loss and salt and pepper noise. The image “Girl” is used as the plain image while the image “Jet” is used as the carrier image. Firstly, encrypt the plain image using the carrier image. Then, cause a cropping to the cipher image or blur the images. Finally, decrypt the cipher images with the correct key. One can see that the reconstructed images are still meaningful and readable. This indicates that even the data of the cipher image is changed in a certain level, the proposed scheme can still recover most information in the original image. Thus, the proposed scheme has a good robustness against noise pollution and cropping attack.
5.5. Efficiency analysis
The fast increment of digital images requires high efficiency to the encryption process. Here, we theoretically analyze the time complexity of our proposed scheme and experimentally test its speed. Suppose the plain image is of size $N \times N$, the secret image is of size $M \times N$, and the label $c_i$ in subsequently description represents a constant number. In the encryption stage, the total time complexity for the SWT, 2D cat map confusion and CBAT is $O(c_1N^2)$. For PCS sampling, time mainly costs in the generation of measurement matrices, and the total time complexity is $O(c_2N^2\log(N))$. Since the quantification and diffusion are the linear operations, their time complexity is $O(c_3MN)$. In the embedding stage, because the generating and sorting of chaotic sequences...
Table 5
The encryption and decryption times (second) of our proposed scheme for images with different sizes.
| Image size | Lena | Girl | Peppers | Baboon | Barbara | Airplane | Average |
|------------|--------|--------|---------|--------|---------|----------|---------|
| Encryption time | | | | | | | |
| 256 × 256 | 0.0747 | 0.0755 | 0.0776 | 0.0758 | 0.0760 | 0.0781 | 0.0763 |
| 512 × 512 | 0.3472 | 0.3374 | 0.3283 | 0.3294 | 0.3283 | 0.3264 | 0.3328 |
| 1024 × 1024| 2.0319 | 1.9229 | 1.9723 | 1.9535 | 1.9510 | 1.9403 | 1.9620 |
| Decryption time | | | | | | | |
| 256 × 256 | 0.2805 | 0.3675 | 0.3881 | 0.2937 | 0.2798 | 0.2766 | 0.3144 |
| 512 × 512 | 2.0931 | 2.0913 | 2.0423 | 2.0465 | 2.0243 | 2.0566 | 2.0590 |
| 1024 × 1024| 53.6228| 52.0911| 49.9373 | 50.5455| 49.9368 | 60.0746 | 52.7013 |
Table 6
Comparisons of the PSNR values between the plain and reconstructed images in different encryption schemes.
| Images | CR | [28] | [47] | [48] | [49] | [50] | [24] | [29] | [26] | Proposed |
|------------|-------|-------|-------|-------|-------|-------|-------|-------|-------|----------|
| Lena512 | 0.25 | 29.0562| N/A | N/A | 28.5 | 31.4240| N/A | 33.4204| 28.5 | 35.3992 |
| | 0.5 | 35 | N/A | N/A | 33.5276| 32.9660| 34.5560| N/A | 33 | 38.4171 |
| Lena256 | 0.25 | N/A | 26.5600| 26.0600| N/A | N/A | N/A | N/A | N/A | 29.3408 |
| | 0.5 | N/A | 29.8300| 29.8200| N/A | N/A | N/A | N/A | N/A | 35.4647 |
| Peppers | 0.25 | 30.2 | N/A | N/A | 28 | 30.6800| N/A | N/A | N/A | 34.7013 |
| | 0.5 | 34 | N/A | N/A | 33 | 31.9825| 31.5132| N/A | N/A | 37.3215 |
Table 7
Comparisons of the PSNR and MSSIM values between the cipher and carrier images in different encryption schemes.
| Plain images | Carrier images | [28] | [37] | [29] | Proposed |
|--------------|----------------|------------|------------|------------|----------------|
| | | PSNR(dB) | MSSIM | PSNR(dB) | MSSIM |
| Lena | Peppers | 18.5136 | 0.6726 | 35.1347 | N/A |
| Jet | Baboon | 23.3967 | 0.6991 | 36.4906 | N/A |
| Brain | Cannonman | 24.0467 | 0.6943 | 35.3534 | N/A |
| Girl | Airplane | 28.2318 | 0.7021 | 36.2636 | N/A |
| Barbara | Bridge | 25.2321 | 0.7337 | 36.1070 | N/A |
| Average | | 24.0488 | 0.6913 | 35.8692 | N/A |
require a proceeding time, the time complexity for the matrix encoding in the embedding stage is $O(c_0N^2\log(N^2))$. Among above complexities, $O(N^2\log(N^2))$ has the maximum magnitude, which will determine the actual running time of our proposed encryption scheme. Thus, the total computational complexity of encryption process is $O(c_0N^2\log(N^2))$. Meanwhile, the time complexity in the decryption process is highly determined by the reconstruction method.
To test the actual running time, the experiment is performed on a computer with Intel(R) Core(TM) i7-8700 @ 3.2GHz. Table 5 lists the encryption and decryption times for images with different sizes. It can be observed that the average encryption times is 0.0763s, 0.3328s and 1.9620s; for images with different size 256 × 256, 512 × 512 and 1024 × 1024 respectively. This is roughly consistent with the theoretical results. On the other hand, the average decryption times are 0.3144s, 2.0590s and 52.7013s for images with different size 256 × 256, 512 × 512 and 1024 × 1024. With the increment of image size, the running time of decryption process grows fast. Thus, our proposed encryption scheme can achieve high encryption efficiency when the size of plain image is not large.
5.6. Comparison with latest schemes
To show the superiority of our proposed encryption scheme, we compare it with some other latest CS-based encryption schemes introduced in [24,26,28,29,47–50]. The comparisons are performed from the aspects of the quality of the reconstructed image, the quality of the cipher image, and the efficiency. To provide a relatively fair comparison, the results of the competing schemes are all directly referenced from the original literatures.
The quality of the reconstructed image is the most important performance in an image encryption algorithm. Table 6 shows the comparisons of the PSNR values between the plain image and the reconstructed images by different encryption schemes. Since the results in [26,28,49] are shown in graphs, we estimate their PSNR values from the graphs. The N/A indicates that the value was not provided in the related literatures. As can been seen, under the same compression ratio $CR$, the proposed scheme can achieve the largest PSNR values for different images. This indicates that the reconstructed images by the proposed scheme have the highest quality. Note that our algorithm has a different reconstruction quality for a same image with different sizes. This is because our algorithm uses an adaptive way to calculate the sparsity (shown in Eq. (6)) and the sparsity is related to the image column. The sparsity is different when two images have different sizes.
The quality of the cipher image of our encryption scheme is expected to have high quality. We also compare the quality of the cipher images between our proposed scheme with the visually secure schemes introduced in [28,29,37]. Table 7 shows the comparisons of the PSNR and MSSIM values between the cipher and carrier images in different encryption schemes. One can see that the PSNR values of our proposed scheme for different images all approximate to 40.90 dB, which are much larger than the PSNR values of other encryption schemes. Besides, the MSSIM values of our proposed scheme are also larger than that of the other schemes. These demonstrate that our proposed scheme can generate a cipher image that is quite similar with the carrier image.
Finally, we compare the encryption and decryption efficiencies between our proposed scheme and schemes introduced in [24,28,29,47,48]. The images “Finger” and “Baboon” with size 256 × 256 are used as the plain images. Table 8 shows the encryption and decryption times of different encryption schemes, respectively. The results show that the encryption and decryption speeds of our proposed scheme are much faster than the other five schemes, indicating the high efficiency of the proposed scheme.
Table 8
Comparisons results of encryption and decryption times (second) in different encryption schemes.
| Schemes | Finger256 | Baboon256 | Average |
|---------|-----------|-----------|---------|
| | Encryption | Decryption | Encryption | Decryption | Encryption | Decryption |
| [28] | 0.1159 | 2.2295 | 0.1181 | 2.3325 | 0.1170 | 2.2760 |
| [47] | 0.3356 | 1.5216 | 0.3319 | 1.5342 | 0.3333 | 1.5279 |
| [48] | 0.4536 | 1.1374 | 0.4607 | 1.1413 | 0.4572 | 1.1393 |
| [24] | N/A | N/A | 0.4296 | 0.9544 | 0.4296 | 0.9544 |
| [29] | 0.1544 | 2.2489 | 0.1523 | 2.2870 | 0.1533 | 2.2679 |
| Proposed | **0.0731** | **0.2860** | **0.0683** | **0.3041** | **0.0707** | **0.2950** |
6. Conclusion
This paper proposed a visually secure image encryption scheme using adaptive-thresholding sparsification and PCS techniques. The scheme includes the encryption and embedding stages. The encryption stage first decomposes a plain image using SWT and scrambles the image using the 2D cat map, and then samples the scrambled image using PCS with a threshold for each column, and finally quantifies and diffuses the image to obtain a secret image. The embedding stage embeds the secret image into a carrier image using the matrix encoding. The adaptive-thresholding sparsification can greatly improve the quality of the reconstructed image by utilizing the SWT and CBAT. The PCS with random-order Bernoulli random matrices is adopted to enhance the processing efficiency. Besides, the matrix encoding technique can result in superior visual effect of the cipher image and doesn’t affect the quality of the reconstructed image. Experiment results demonstrate the high security and strong robustness of our proposed scheme. Comparison results show that our proposed scheme can achieve better performance than some other latest schemes in the quality of the reconstructed and ciphered images, and the processing efficiency.
In future work, we will aim to further improve the efficiency and reconstruction performance by performing the sampling and reconstruction using deep learning model.
Declaration of Competing Interest
The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.
CRediT authorship contribution statement
Zhongyun Hua: Conceptualization, Methodology, Supervision, Project administration, Writing - original draft, Funding acquisition. Kuiyuan Zhang: Methodology, Software, Data curation, Validation, Investigation, Writing – original draft, Visualization. Yuannman Li: Writing - review & editing, Funding acquisition, Data curation, Methodology. Yicong Zhou: Formal analysis, Resources, Writing - review & editing.
Acknowledgements
This work was supported in part by the National Key R&D Program of China under Grant 2018YFB1003805, Natural Scientific Research Innovation Foundation in Harbin Institute of Technology under Grant HITSRF2020077, National Natural Science Foundation of China under Grants 62071142, 62001304, and 61701137, and Guangdong Basic and Applied Basic Research Foundation under 2019A1515101401.
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[29] H. Wang, D. Xiao, M. Li, Y. Xiang, X. Li, A visually secure image encryption scheme based on parallel compressive sensing, Signal Process. 155 (2019) 218–232.
[30] H. Wang, J. Vieira, 2-D wavelet transforms in the form of matrices and application in compressed sensing, in: 2010 8th World Congress on Intelligent Control and Automation, 2010, pp. 35–39.
[31] C. Guo, Y. Mao, C.K. Chui, Symmetric image encryption scheme based on 3D chaotic cat maps, Chaos Solitons Fractals 21 (3) (2004) 749–761.
[32] E.J. Candès, J. Romberg, T. Tao, Robust uncertainty principles: exact signal reconstruction from highly incomplete frequency information, IEEE Trans. Inf. Theory 52 (2) (2006) 489–509.
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[37] P. Peng, J. Fan, Z. Feng, F. Xu, L. Gao, Meaningful encryption: generating visually meaningful encrypted images by compressive sensing and reversible color transformation, IEEE Access 7 (2019) 170168–170184.
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No complaints but... Book prices jump by 20%
by Teri Zabrodzki
Book prices have increase anywhere from 5% to 20%, and "there's really nothing we can do about it," said Ray Newman, Supervisor at Administration Services for Books.
The book store operates on a break-even basis, "the list price is what we give you (the student)."
"There aren't any 'dips' in the prices of books, said Peggy Farrow, Manageress of the book store, but "I haven't had one complaint." The store is open until ten o'clock at night, she said, and is always prepared.
"I think the people in the book store are working above and beyond the call of duty," Newman said. This is the first year of the year and the store has been having trouble handling the load short-handed.
For the first few weeks the people behind the counter have had to skip lunches and breaks to serve the students. "You just can't turn your back to them," Farrow said.
The bookstore is trying to help in the cost to the student by printing up a package of training materials and other services like business skills. The prices are high because of the cost of printing.
A used book store would be welcomed, said Newman. "[It'll be a real help to the student." The prices of books here are "a little higher," but they are comparable to other book stores and colleges, he said.
"The line-ups at the book store can't be helped although the students have been very good" about the situation, said Farrow. During the first week, three satellite book stores were set up to help relieve the congestion near the main store.
"Around the fifteenth of August it really gets busy," Farrow said and some students have been complaining that they don't get their textbooks.
"About the fifteenth of August it really gets busy," Farrow said and some students have been complaining that they don't get their textbooks.
Newman added.
There have also some shortages in books due to the demand across Canada for updated books and newer versions, Farrow said.
According to figures given to Farrow there will be a 10% to 15% higher year in sales through the book store. There's also the huge numbers of people that come through to apply for a parking space and night school.
Food services committee: what's cooking now
by Kahe Switzer
The Food Services Committee, set up last year to monitor Red River Community College's dining facilities, has not appeared since hibernation since last April. But Student Association President Tony Militano said he is urging college director Les Talbot to return before re-organizing the committee.
"There are still a few things that I would like to see the committee do," Militano added, including adding more choices with a "help-yourself" salad bar, like in restaurants. He would also like to see "some students from the other side of the college" joining the committee.
In the past, the committee has been dominated by Business Administration students, but Militano would like to see more equally represented, particularly from the Industrial Arts section.
One of the committee's functions is looking into student complaints about the food services, and there is no lack of material this year for the committee to work on.
The food service outlets, and especially the Buffalo Juice and Yogurt Bar, have been plagued by long lineups. There is also a demand for fresh coffee between 9:15 and 10:00 a.m., although the Buffalo is closed at that time.
There was a movement last year suggesting that in '78-'79 the food service would be staggered, to avoid the long 12:00 lineups. However, nothing has been done on this yet, but perhaps the Food's Committee will be able to improve the situation in upcoming terms.
Last year, the committee succeeded in getting burgers with margarine, and in having more "hot" and salad plates available for dieting students.
While Les Talbot was unavailable for comment, Diane Tyler, a committee organizer, said that the committee was quite successful. Although not actually on the committee, she said that most of the time suggested was done, or there was a good reason why not.
The committee last year consisted of 11 members, chaired by committee member Joe Talbot, despite specific re-organization, delayed until Talbot's return in early October. It is still open to speculation. Diane Tyler hinted late last year that she may leave the committee with so little to do, that it might meet only once or twice during the school year.
Inside:
Housing ........ page 6
Entertainment .. page 8
Sports ........ page 10
Volume VIII Number II
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College Update
used bookstore in planning
by Teri Zabrodski
A used bookstore is being planned for Red River Community College this year according to Student Association president Tony Militano.
The second-hand bookstore, a promise made during Militano's previous term on campus last spring, will actually be a significant improvement over Crazy Ox rather than a store in itself.
The used bookstore area was to have been set up for the fall of September but was postponed until construction plans were set.
"We didn't want it any later than Christmas," Militano said, "so we're going to do it now."
Exact details have not been worked out although it is definite books will be the main assignment. Three forms will be made, one for the student, the Crazy Ox, and the book to be sold, in an attempt to keep records straight.
"A student can bring us almost anything," Militano said, "and we'll be able to set their price." Militano said, "but there will be no profit. We'll just sell the books just to cover costs," he added.
"It's also possible a time limit will be set on keeping the books at the store, with a pile up of unwanted books."
"The used bookstore will provide good quality books at a low price to students who are able to find them."
When the details have been worked out, notices will be posted around campus about the procedure of handling the books.
"Twenty dollars in students' fees go into the student's school. If that money goes for a crummy student card, well then I want my money back."
Students can get it if they are a new student at RRCCC working with a tutor.
This statement can easily be disproved by a quick look at the S.A. budget. There is an opportunity to view this budget and the other budgets of the insurance, securities, notes, assets, and liabilities of the S.A. Brenda often has to play the part of Scrooge in order to maintain a balance between the student's money.
The Publications Director, Greg, is in charge of all S.A. print and broadcast media. He is also responsible for the yearbook, the student handbook, and the telephone directory.
The Sports Director works in conjunction with the Adjunct Director and the Assistant Sports Director. Cathy is responsible for water polo, volleyball, basketball, sport activities and their long-range planning.
The Public Relations Director is responsible for the promotion of college services and services. I also evaluate and implement external public relations efforts.
The executive also attended a conference in June to establish the Students Association of Manitoba (S.A.M.). Delegates included executives from the U of M, U of W, U of Winnipeg, Assiniboine Community College, and other post-secondary institutions. The goal was that cooperation among students in the province would be established. It may benefit to perusing current issues.
Now that you're up-to-date on S.A. executive responsibilities, I hope you'll continue to read them regularly if you have questions or suggestions about your student association and your money goes. Watch for this column in each issue for more information on the S.A. Executive. Or come in and see me sometime.
S.A. REPORTS
by Kathy Eaton, P.R. Director
The Vice-President is a member of various committees and is responsible for the introduction and maintenance of student services. Clubs, the annual auction, and elections are also his responsibility.
The Secretary-Treasurer handles all of the financial matters of the S.A. She must keep track of the insurance, securities, notes, assets, and liabilities of the S.A. Brenda often has to play the part of Scrooge in order to maintain a balance between the student's money.
The Publications Director, Greg, is in charge of all S.A. print and broadcast media. He is also responsible for the yearbook, the student handbook, and the telephone directory.
The Sports Director works in conjunction with the Adjunct Director and the Assistant Sports Director. Cathy is responsible for water polo, volleyball, basketball, sport activities and their long-range planning.
The Public Relations Director is responsible for the promotion of college services and services. I also evaluate and implement external public relations efforts.
The executive also attended a conference in June to establish the Students Association of Manitoba (S.A.M.). Delegates included executives from the U of M, U of W, U of Winnipeg, Assiniboine Community College, and other post-secondary institutions. The goal was that cooperation among students in the province would be established. It may benefit to perusing current issues.
Now that you're up-to-date on S.A. executive responsibilities, I hope you'll continue to read them regularly if you have questions or suggestions about your student association and your money goes. Watch for this column in each issue for more information on the S.A. Executive. Or come in and see me sometime.
Boogie fever hits M.L.C.C.
by Brian Kozak
The Manitoba Liquor Control Commission has announced a major change in Manitoba's drinking law. MLCC Chairman Lou Tullett said people will soon be able to dance to recorded music in licensed premises.
Under the old law, patrons of rural hotel and pubs were allowed to dance to recorded music, but patrons of Winnipeg and Brandon pubs were not.
Tullett called the "arbitrary rule" adding that rural premises were "not equipped to play recorded music because of the expense of bringing bands to the country." He said the demand and interest by the Manitoba Hotel Association brought about the amendment.
He warned, however, that that does not mean that recorded discos will be allowed to pop up all over the city, because liquor regulations state that for a premises to obtain a liquor license, it must have a number of restaurant facilities. Tullett said that, instead, many hotel owners are considering the idea of converting their lounges into discos.
When asked whether the new changes would affect the Musicians' Association, Tullett predicted "it will only some changes in the way they sit down and perform. There may be some demands of people in the city who go to the pub to see live music."
However, the Musicians' Association's Louie 190 A.F. of M. has seen eye-to-eye with the Commission ruling. Association officials said they were pleased the way the ruling was handled. They say there was no chance for any musicians to lose their jobs when the decision was made.
Tullett said he labelled the ruling a "backward move" and said that they have yet to receive official information from the
LSM: What it's all about
The Lutheran Student Movement in Canada has been an active organization since World War II. Chaplains, student centers, and lively discussions of young people have been the usual components of an active campus ministry.
The regular diet of LSM groups has been the building of relationships, provocative discussions, times of worship together, and various social events. Issues such as social concern, student life, and legitimate artistic expression have from time to time to be accepted by the church council of attention.
The Southern Student Movement in Winnipeg is headed this year by a third year University of Manitoba student Wendy Reimer of St. Vital. Pastor Leon Leong of the Lutheran Church in Fort Garry is the secretary for the chaplain for the year.
The highlight of LSM life was the national study conference held in March in Saskatoon, Saskatchewan, over the Labour Day weekend. Meeting under the theme "The Church and the Group," enjoyed hearing a missionary professor brothers from a mission community, a Roman Catholic priest running for the Canadian Senate, and a personal sharing of their thoughts on the week's chosen theme.
Another event beyond Winnipeg was the fall regional retreat.
This year, the retreat will take place over the long weekend in November, at the Lutheran Church in Winnipeg, Sakakawea, Brandon, and Winnipeg.
The group enjoyed hearing a missionary professor brothers from a mission community, a Roman Catholic priest running for the Canadian Senate, and a personal sharing of their thoughts on the week's chosen theme.
Hey! Get hold of yourself! for the biggest event to hit R.R.C.C.
Here's What You Get:
— A great chance to meet people
— A welcome relief from the grind of schoolwork
— Plenty of dancing enjoyment
What is it, you ask?
Why, it's the social dance club! Of course, some people laugh when they hear this, after all, dancing is only for "slobs," isn't it, nay. Well, take it from Henry and you, it's a lot more than that. It's a whole lot more, full of fun.
Oh, sure, there are the rewards. Everyone needs to dance, and everyone dances. Look around you. Disco concerts, rock n roll concerts, socials, etc. People love it. It's a great way to meet people.
Along with the regular weekly sessions, there are special socials, parties and events. And, if that's not enough, if that's not enough, if that's not enough, a good time without any inhibitions, the dancing ends up to be something that happens, that you don't even think about it anymore. It's enjoyable for the hundreds of people that have taken it before.
We include disco music, jazz, blues, folk, Scottish, Highland, waltz, tango, cha-cha, rumba and others. Something for everyone.
So, don't be left out in the cold. Sign your name with absolutely no obligations at the front desk of the Student Association office in room A123. The club will run 1:00 pm, Monday to Thursday this coming week (we need ideas as to how to make it better). The next meeting is on Wednesday, September 27th at 8:00 pm. See you there!
(Sponsored by your S.A. and your S.D.C. rep.)
Birds Gotta Swim
Fish Got to...
by Glen Dawkins
"Birds gotta swim and fish got to (fly) swim (or whatever)" and Martin Mull got to keep us laughing out his own special brand of humour. This humour can presently be sampled in his latest album, appropriately his seventh record, Sex and Violence.
The songs, all either written or co-written by Mull, are a paradoxical mixture of styles of modern and contemporary music. In fact, the first song on the record, "I'm the Vegas Idea", is a direct satire on rock and roll, with a few Frank Sinatra, cocktail lounge songs which we all know so well.
If I had 100 songs about "My Way"
In a well tailored tux on a steel
I could say my goodbyes to this town on the highway
And take all my calls by the pool.
Martin Mull moves through almost every imagined musical form, excepting maybe country music, with a sharp, cutting wit. His performance is always entertaining. Personally, I have listened to closely to be fully enjoyed. He even parodies himself in a tune called "A Song co-written by fellow-comic Steve Martin. Forget about you, he says, "the folkways abide along being soapy and romantically rustic."
I think that's one of the reasons that it is so funny.
I'm sorry to admit this but if you are going to buy this record, thinkin' it is a continuation of Martin Mull's Barth Gimble role from "America's Night", you might be in for a disappointment. The record contains very little of that.
What it does contain are choice samplings - Martin Mull's kind of wit which has made him famous with such comic songs as his hit, "I'm the Vegas Idea", "A Girl Named Mary Jane" and "Don't Say Au Revoir, Just Say Goodbye". Personally, I don't think this is his best material to date. Even his parodies are not as funny as they used to be. I mean, the ABBA parody he rounded before recorded than "I'm the Vegas Idea" is a bit over-reaching. His record, of course, "Martin Mull and His Amorous Friends" was much better than "2001, A Space Polka" and "Dueling Tubas". But that's only my opinion.
Wine Cellar
by Brian Kozak
At one time or another, all of you must have heard of Port wine. It's that dark, rich, full-bodied wine normally drunk after a meal with mild cheeses, walnuts or fruit slices.
Imported port starts at roughly $4.00 a bottle and the Liquor Commission sells it for about $3.50 a bottle cheaper from. The best port comes from Portugal.
There are several grades of port, each grade being determined by its aging. The finest is Vintage Port, which is aged from ten to fifty years. The next you'll see is L. As you can probably guess, Vintage Port can be extremely expensive.
The second grade is Late-vintage port, which is a good buy at around half the price of vintage. Port is made by a process between the two in that Late-vintage is aged in wooden barrels much longer than its expensive cousin. This makes the Late-vintage port more affordable.
The third grade of port is Tawny Port, so called because of its tawny color. It's lighter and richer than ports and can be chilled before drinking. It's also less expensive.
The lowest grade of port is Ruby Port, also called because of its color. Ruby Port is the least expensive of all ports, but its quality is somewhat lacking. Ruby port is somewhat sweeter than the others, but makes an excellent late-evening drink.
For those who like a stronger taste, try adding a little glasses to let the wine breathe. Always keep bottles stoppered, especially lower grades, and if you find self-finished bottles into smaller containers to prevent the spirit.
One last word of caution: if you're buying port, spend the extra money and buy the Portuguese or Australian port. Don't buy the Canadian port; they classify it as port.
Awakening
by S. Mihaychuk - 1978
Don't feel lonely when the cold winds come when the wildflowers turn to dust
Feel free.
One day a spirit will lift you up to the heavens like you're blowing those seeds dormant dandelion seeds right now and carry you by winds to bring new life in a different springtime
Picasso Exhibit at Gallery
by Anne Pisker
Being unfamiliar with modern art and Picasso's style, I was not prepared for the Art Gallery a couple of weeks ago when I attempted to view the distorted faces that Picasso drew and painted.
A collection of twenty-six paintings (ranging from a change to the human body) by the legendary Pablo Picasso are on display at the Art Gallery this month until October 1st.
If it were not for a film entitled "Picasso" (produced by Amadei) that I watched prior to visiting the Picasso conservation gallery, I would have been completely unaware of fine art and its interpretation in various ways being interpreted.
If you're going to see the Picasso exhibit, a knowledge of Picasso's theories, make sure to watch the film. The film is not long, but it is informative.
At first, I was under the impression that Picasso, through a chain of lucky situations, became so well-versed that anything he touched would be considered priceless and as the definition of great art.
But such was not the case. In reality, Picasso began the study of art at the age of 14 (then called Pablo Ruiz) and died with devoted command and control of his work at 63.
At 26, Picasso began the search for a new expression, and was inspired by the works of the negro sculpture. He began a series of sculptures and paintings revealed a dissatisfaction of humanism details and the use of the creative mind, and at the same time features disappearing from human forms. The result of found objects and paintings is through unorthodox ways being interpreted.
The film narrator explains the reason why Picasso was a "monstrous" movement and why he did not settle with cubism. Unfortunately, an example of a "monstrous" painting is not available at the gallery, I say unfortunate, because this painting is to ever be seen. A good thing, though, each era of his life should be shown in each painting. I felt somewhat of some embarrassment of his lack of chronological cubistic views.
Yet different styles are apparent in the collection. Everything is a clear, uncluttered, and proportionate drawing entitled "And For You" is a beautiful, yet very cluttered painting entitled "Bust of a Man" are displayed for viewing.
If you feel any confusion to relate this to the Art Gallery and to experience what may not be available to us for a long time, I suggest you view the paintings from this point of view. Picasso's unorthodox expressions were a first in art history and far reaching in its effects.
The film narrator explains the reason why Picasso was a "monstrous" movement and why he did not settle with cubism. Unfortunately, an example of a "monstrous" painting is not available at the gallery, I say unfortunate, because this painting is to ever be seen. A good thing, though, each era of his life should be shown in each painting. I felt somewhat of some embarrassment of his lack of chronological cubistic views.
Once Upon a Train
by Bob Liss
Between Churchill and Thompson
In the old days, the train came from Saskatoon,
as it still snailied up north to rest senatorly,
and attempt to bump off some unfortunate worker.
One was a spokesman, obnoxious and brash,
voicing interpretations. An embarrasment nowhere.
An old chief down the aisle was short for his beer
And the conductor demanded him as was common practice.
He was a man of many words, many counts.
The old man turned at the table and said what he needed.
His face showed no age from the lines from the weather
And his eyes were filled with tears.
I guessed him at seventy.
As he held out his hand to the accosting non-believers,
His hard mere studs for his boots were worn,
were shortened two knuckles from eons of wear.
The spokesman just laughed and demeaned him
And then as I reached in my pocket
and paid the conductor,
Merci, said the old Indian.
On you spare French" mocked the spokesman.
His parliament cheered him
And with that the old trapper
curled him and damned him
In German, English and French and Italian.
Then with cordial English
He explained how he was a point man
a hero in Europe
who fought for his land
and how he thought
As he stared down the spokesman and shook
his glared fist to have fought for such cowards.
The train pulled to a halt in the middle of nowhere
the conductor out in with a bottle of beer
With a surge of the old social
he poured the bottle and drained it
then hobbled to the exit.
As the train lurched away I was pressed to the window
and watched the old warrior
wade off through a snowdrift and head into nowhere.
Wallflower
by Susan Mihaychuk 1978
he is
a strange
dark
little man.
clutching
his
black metal
lunchbox
with
huge
red paper
letters
pasted on
spelling
ROBERT LOVE
&
then
shares his
lunch
with the
pigeons
casually
hearing the
state crumble
&
walks by
covering
&
people-shy
& un-noticed.
everyday
waiting for
a
I wanted the words
by Donna Helgaisen
I was hungry
I wanted words
to break like glass
I wanted the words
to enter
I wanted to chew them to pieces
I wanted them to cut me
I wanted them to bleed
I was hungry?
needed
food
I had closed my eyes so long
I wanted to lose myself
and find myself
and enter myself
for a moment
and so I bit into the words
and chewed and chewed
but couldn't I wasn't
could I force myself to swallow
only chew ... tasting hating the taste
I spit the words out
because
they lay around me
now meaningless
nothing
nothing...
And I was sick
I had a fit
and it was hopeless
just ...
everything empty
And I was so sick ...
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HE HAS BECOME SUSPICIOUS OF HIS NEW COMMAND, AIDE PAUL SARGAN AND COMMANDER ARIEL SARGAN.
HE HAS MET HIS TWO COMPANIONS, SUSAN COOKE AND WILLIAM ROSSMAN.
AND HE HAS SEEN SOME UNAUTHORIZED FIGHTER SHIPS AND MYSTERIOUS SUBMARINES.
ALL THIS HAS MADE HIM VERY SUSPICIOUS. LITTLE DOES HE SUSPECT THAT IT HAS ONLY BEGUN!
Rebel's hockey faces rebuilding
Coach John Schillinger thinks he might have a problem. The trouble is, he doesn't know what it is. There is a notice which says tryouts for his men's hockey team will be held on Sept. 17-28. It is true but he's afraid players will be coming to tryouts without these tryouts. That's exactly what he doesn't want. He says there is a list by the R.R.C.C. office in the North Gym where hockey players can write down their names, course, phone number and who they played for last year. John will then call them up and will tell them when he wants them to appear at the tryouts.
He adds that players have to supply all their own equipment for the tryouts. If you look at the team, however, the equipment will be provided such as sweaters, pants and sticks.
All the positions are wide open, he says, because only his number one goalie, Kerry Fisher, and forward, Joe Wood, returned from last year with a strong 4-West player will be back from last year's team. So John is still looking for leadership from both of these players this season.
In the meantime, he's going to try to set up more 1-on-1, 2-on-2 etc. in practice. He'll also take film images to see what the forwards and defencemen do.
John is looking forward to the season but at the end of last year he didn't know if he had a chance to make the 4-West. To an phys.-ed. teacher like him, it was the pride of his team. If it didn't mean the end of it, it would still be a great achievement if the Rebels could be a team that could afford to go to the 4-West Playoffs against the other provinces. All that is straightened out now though.
He says he's not sticking my head out with too much anything in regard to predictions. If the team has to finish third or complete a rebuild, he'll have a good team to be competitive in the league and 4-West. He says and I'll quote: "If we get a bunch of hockey players we could be the number one team in the league." This is after icing the puck with the bronze medal at the 4-West.
However, he says he is optimistic about the team. Last year's team was semi-serious in the past only one player came back from the previous year's team but it was still a good club. "I know there's a lot of good hockey players around the college. It's only a matter of them wanting to play for us," he says.
Sports reps needed now
Hopefully all of the college's classes will have returned to June Graham, Intramural Director. She'll need intramural athletic representatives from each class by Oct. 5. This is important since it is a link between June and all classes. The class will receive all information, instructions and entry forms through the mail. All you have to do is choose a rep for each sex, in your particular class (if there's one sex in the class), and one rep from each rep should return this form to June with your name, address and phone number.
By the way, there are no boring meetings. You don't have to attend, they're just there to make intramural knowledge flow a little easier around the college.
Women's Basketball
Joe McQuarrie will again be back to coach the women's basketball team. From Red River has never won a game, mostly in the 3rd tier competition although they have attained a silver. Perhaps with this new coach, things will change.
Practices are 5 p.m. to 7 p.m. every Monday, Tuesday and Thursday in the North Gym.
Sports notes
Well good luck, John and let's hope he brings home another medal to old R.R.C.C. again this year.
By the way, the hockey team is still looking for a goalie - who is mostly help John in practices and such. The pay will probably be about $200 per year. Come and see John at the North Gym any way at the end of hallway C.
The hockey team will play their home games in the Old Ex arena. The season will probably start the last week in October with 32 games slated.
Campus Calendar
"DETOUR MONTH"
Due to construction in the college, many September events have been re-routed from the tower lounge to other locations throughout the campus. Watch for detour signs to tell you what's happening where!
September 18-22 — "KICK-OFF" WEEK
Tuesday, September 19-21
White Lecture Theatre
Artist in Residence
featuring
MICHAEL LEWIS
PLACE: 11-1 ADMISSION: Free
Wednesday, September 20
White Lecture Theatre
Freebie Film Festival Premier
OH, GOD
TIME: 4:00-6:00, 7:00-9:00
ADMISSION: Free
Deadline for Intramural Volleyball entries is Sept. 25. The games will begin in April and will be co-ed. There will be men and women's teams. Entry forms are at the equipment desk in the North Gym. There were 18 volleyball teams last year so come out and join the fun.
Fourth Annual Scavenger Hunt
Registration 12:00 noon
in front of S.A. Office
Registration Fee: $5.00 per team (10 persons)
1st prize — $100.00, 2nd prize — $50.00
3rd prize — $25.00
Prizes awarded at the Social Friday, Sept. 22, 1978
A WEEK OF FUN, SURPRISES, ENTERTAINMENT AND PEOPLE — DON'T MISS IT!
Friday, September 29
South Gym
Friday Feature Attraction
PUB
with R.R.C.C.'s Semi-Annual Boat Races
TIME: 8:00-10:00 p.m.
ADMISSION: $1.00
Registration for Boat Races will take place at the Pub
Prizes to be announced at the Pub
October 2-5
Tower Lounge
Video '78 featuring
THE HISTORY OF THE BEATLES
TIME: 11:00-1:00
IT'S TIME TO GET ON BOARD —
The Lutheran Student Movement is sponsoring a weekly dialogue session here at RRCC!
WE'RE READY TO ROLL! So, drop by every Tuesday, 11 a.m. -1 p.m., and TAKE TIME OUT for lunch and some interesting discussions on today's topics.
We'll take a look at Why Am I Afraid to Love? — a short book by an unknown author, John Porter. It's a simple and open insight about discovering love, discovering others, and some of the barriers to human relationships in a fast-paced world.
"We are, each of us, the product of those who have loved us...or refused to love us."
THERE'S MORE...LSM's great fall line-up of events —
Video '78 Premier
THE BEACH BOYS & FLEETWOOD MAC IN CONCERT
Mon., Sept. 25 — Green & Gold Luncheon — 11:00-1:00
Tues., Sept. 26 — White Lecture Theatre 11:00-1:00
Wed., Sept. 27 — Bldg. "J" Luncheon 11:00-1:00
Thurs. Sept. 28 — White Lecture Theatre 11:00-1:00
WITH LSM!
Friday, September 22 — a lecturer will be speaking on the art of Pablo Picasso. We head down to the Winnipeg Art Gallery in the afternoon for a hand-to-hand look!
September 29 & 30 — Friday and Saturday LSM cutting to Luther Village at Kenora.
November 10-12 — the LSM regional retreat over the Remembrance Day weekend.
We want to let you know — so if you want more info on LSM or plan to join us, please see Susan Mihaylochuk at RRCC's Projector office (any noon hour or phone her at 453-2385 any day after 5 p.m.)
OR
Contact Leon Linquist at the LSM office, U of M campus, phone: 474-8386.
BLACK BRAD'S BLUE JEANS
1111 MUNROE AVE.
OPEN 7 DAYS VEEK
NOON TO NINE
|
Introduction
Jennifer Torreano
Grand Valley State University, firstname.lastname@example.org
Follow this and additional works at: https://scholarworks.gvsu.edu/library_books
Part of the Higher Education Commons, and the Library and Information Science Commons
ScholarWorks Citation
Torreano, Jennifer, "Introduction" (2021). Books and Contributions to Books. 28.
https://scholarworks.gvsu.edu/library_books/28
This Contribution to Book is brought to you for free and open access by the University Libraries at ScholarWorks@GVSU. It has been accepted for inclusion in Books and Contributions to Books by an authorized administrator of ScholarWorks@GVSU. For more information, please contact email@example.com.
INTRODUCTION
Jennifer Torreano
Hello, readers! I am so glad you picked up this book filled with case studies, theories, and reflections from colleagues across the country. The insights shared by contributing authors have sparked new ideas and enriched my own thinking, and I am sure the book will do the same for you. Each chapter contains valuable perspectives from program managers, campus partners, or research consultants themselves. This book represents a community of colleagues who are immersed in the world of research consultants.
For me, this community has been transformative. I have worked with research consultants at Grand Valley State University for the last nine years, and my work never fit squarely in any scholarly communities. Finding wisdom and inspiration from library services, writing centers, communication centers, and student affairs has been gratifying and expanded my understanding of my work tremendously. However, I have always longed for a conversation that is directly applicable to what I think about every day: research consultants. As research consultant programs become more common in academic libraries, I am delighted to find myself in the company of the authors of this book, a community of practitioners and scholars who believe in the value of peer learning in research conversations.
HOW I SEE RESEARCH CONSULTANTS AND THEIR TRAINING
Research consultants build exploratory environments for students, encouraging creativity and the testing of new ideas. Consultants do this by demonstrating empathy for the challenge of developing a new skill, framing exploration as a part of learning, and encouraging bravery. These courageous conversations remind students that they are capable of success, no matter how challenging the tasks.
I believe that training for research consultants should use the same framework. For research consultants to be effective, they need to believe that they are capable of being effective. Working with students is a challenging task, and the quality of each consultation is affected by the consultants’ self-efficacy. We want our research consultants to be calm and nimble during consultations, trying new methods when faced with obstacles and sometimes rethinking their whole strategy, all without getting flustered. Consultants need to be able to show students that researching is rarely a linear process and challenges are to be expected. By focusing training on building the consultants’ self-efficacy—their belief in their own abilities—we give them the resilience they need to support students and model successful approaches to learning. Building research consultants’ self-efficacy is a central goal of training at Grand Valley State University.
MY CONTEXT AND APPROACH TO TRAINING
The training program that Mary O’Kelly and I designed together at GVSU takes a multi-pronged approach to research consultant training, using orientation, training sessions, mentor groups, peer observations, and supervisor evaluations to encourage consultants’ growth and learning. Each component of training is designed to address the four sources of self-efficacy described by Albert Bandura:
1. Mastery experiences—training must be challenging, yet ultimately successful for each consultant.
2. Vicarious experiences—watching their peers succeed increases consultants’ belief in their own capabilities.
3. Social persuasion—build in positive feedback after moments of success.
4. Interpretation of stress—frame adrenaline as increased energy that improves consultant performance.
We designed the research consultant training program to be a rigorous growth experience with support built in to every component. We build consultant confidence by including experienced consultants to model success, create a supportive community, and provide feedback during the critical phases of training. This method fosters self-efficacy before new consultants begin their work with students and as they experience inevitable challenges and victories along the way.
TRAINING COMPONENTS AT GVSU
Orientation
An intensive two-day orientation before the semester starts provides an opportunity to teach the basics of both research and consulting work, and to address self-efficacy before it
begins to influence the work of research consultants. Beginning the semester with training in a cooperative learning environment creates a social support network among the consultants so they can build positive efficacy beliefs together. We group consultants together to work on tasks such as brainstorming research topics and finding sources to promote collaborative learning. Orientation is carefully designed to ensure individual successes for all research consultants.
Bandura offers suggestions to reduce anxiety\(^3\) that we use during orientation. Though his suggestions are for therapists working with people harboring more extreme fears, the methods are applicable to new consultants who are nervous about working with students. We start with short pieces of consultations, building to a full consultation over time. People avoid extended stress but will endure it for short episodes, so allowing consultants to gain mastery over one part before moving onto the next keeps them from becoming overwhelmed or overly anxious.\(^4\) We use this method:
1. Model a research consultation with experienced consultants.
2. Break down the structure of a consultation into a series of manageable steps.
3. Ask new consultants to practice with more experienced consultants.
Beginning by modeling a consultation allows consultants to vicariously experience a research consultation for the first time. It is a low-pressure introduction to the structure of a consultation, and research consultants have the opportunity to see what success looks like. Highlighting that experienced consultants were recently new consultants at their own orientations emphasizes the similarities between the models and the observers, encouraging consultants to imagine their own future successes.
Breaking down the individual steps of a consultation gives new consultants time to become comfortable with each piece before practicing with more experienced consultants. Preparing new consultants for how they might feel during the consultation, along with strategies to push through the anxiety, frames their interpretation of the physiological stress response and reassures them that such a response is normal. This helps consultants to see adrenaline as an energizing response that sharpens focus instead of a sign of incompetence or inadequacy.
All new and experienced consultants are paired to practice what they’ve learned. With each successful mock consultation, new consultants build self-efficacy. Honest but supportive conversations continue throughout the academic year in a variety of formats, including mentor groups.
**Mentor Groups**
Mentor group meetings provide an ongoing opportunity for research consultants to build workplace social support in an environment free from evaluation. In mentor groups,
a number of consultants meet to discuss their work—successes, failures, questions—with no supervisor present. Facilitated by an experienced consultant, mentor meetings are dedicated times for consultants to learn from each other and build supportive relationships.
Mirroring the peer learning that happens in a research consultation, mentor meetings function as a safe space for consultants to share stories, building self-efficacy through vicarious experiences and social persuasion. Consultants discuss missteps and strategies to prevent them in future consultations, recognizing that others experience similar struggles. These conversations also build confidence by giving consultants the opportunity to provide feedback to their colleagues. Mentor group meetings work well with an agenda that dedicates a portion of the time for conversations about recent consultations and the rest dedicated to professional development that supports different needs throughout the semester. For example, a mentor meeting close to final exams focuses on working with stressed-out students, while the first mentor meeting of the fall semester is a reflection on their first real consultations with strangers. Mentor group meeting topics are often timed to coincide with specific training sessions, as well.
**Training Sessions**
Training sessions throughout the academic year provide ongoing support and professional development for research consultants. Training is an opportunity to model strategies for researching difficult topics and, when taught by liaison librarians, sessions can reassure consultants that even experienced professionals stumble or don’t know where to start sometimes. These stories help consultants understand that their apprehension is a common experience and not a reflection of their own capabilities. Consultants will inevitably feel some anxiety when presented with new material, and training sessions provide a structured forum for overcoming heightened stress and ultimately succeeding.
**Peer Observations**
After new consultants have been working with students for a few weeks, peer observations provide an opportunity to receive feedback and learn new strategies from each other. This training method is most effective when each consultant observes and is observed by another consultant during real research consultations. Being on both sides of the observation may expose consultants to strategies they have never used before while also ensuring they receive feedback on their own work. Watching other consultants successfully use new strategies promotes self-efficacy through vicarious experience.
While being observed by peers can be scary for new consultants, confronting their anxiety head-on and receiving encouragement supports self-efficacy. New consultants are inevitably much better at their jobs than they believe, and the dread they feel has proved to be unfounded every time we have done peer observations at Grand Valley. Every observation
has included significant positive feedback in addition to suggestions for improvement. When being observed, new consultants are persuaded that they have potential to be or are already good consultants. This feeling of success fosters self-efficacy.\textsuperscript{5}
\section*{Consultant Evaluations}
During consultant evaluations, I emphasize that consulting is a skill that can be improved, not an innate ability. Focusing on what consultants are doing well and strategies they could use to improve performance is more helpful for consultants when they are reminded that suggestions are not a reflection of their capabilities.
Evaluation meetings are also a good time for consultants to create goals for themselves. There is significant evidence that motivation can be increased by setting clear, challenging goals.\textsuperscript{6} I focus on helping consultants imagine realistic goals that promote growth while also providing support to achieve the goals through additional training. Parts of the training program—mentor groups and training sessions—are adjusted as the semester goes on to be responsive to consultant needs. Social persuasion is a source of self-efficacy, and supervisor encouragement during goal setting can help consultants believe they are capable of achieving the goals they set.
\section*{TRAINING DESIGN DEPENDS ON CONTEXT}
The research consultant program at GVSU emphasizes building consultant confidence, and that is a reflection of my professional philosophy and our institutional culture. Other consultant programs lean on different theories and institutional needs, and their programs look very different. Every case study described in this book represents a program designed to best serve the needs of students at that particular institution. The variety of approaches is a testament to the creativity and student focus of each contributor.
\section*{HOW TO USE THIS BOOK}
This book is designed as a collection of perspectives and training materials that you can adapt for your own context. The book is organized in four parts:
1. Introduction to theory and practice
2. Library case studies
3. Perspectives from campus partners
4. Consultant perspectives
The theory section is made up of two chapters, the first focusing on using learning theories and the second describing the role of research consultants in encouraging student intellectual development. The next two sections—library case studies and perspectives from campus partners—make up most of the book. Each of these chapters includes information about program administration, hiring practices, training, and assessment. Perhaps most importantly, nearly all of these chapters include training materials as appendices. Creative Commons licenses are noted for each chapter so you can easily see how to use and modify materials for your own institutions. Finally, the book ends with two reflections from research consultants, reminding us of the impact of these programs on the consultants themselves.
Your library’s culture, structure, and student body will impact what works for you and your institutions. I encourage you to use this book as a source of inspiration, adapting ideas and training materials to best serve your own students. Peruse, gather ideas, and join this wonderful community.
Jennifer Torreano
Knowledge Market Manager, Grand Valley State University Libraries
NOTES
1. Albert Bandura, *Self-Efficacy: The Exercise of Control* (New York: W. H. Freeman and Co., 1997).
2. Albert Bandura, “Self-Efficacy,” in *Encyclopedia of Human Behavior Vol. 4*, ed. V. S. Ramachaudran (New York: Academic Press, 1994).
3. Bandura, “Self-Efficacy,” in *Encyclopedia of Human Behavior*.
4. Ibid.
5. Ibid.
6. Ibid.
BIBLIOGRAPHY
Bandura, Albert. “Self-Efficacy.” In *Encyclopedia of Human Behavior Vol. 4*, edited by V. S. Ramachaudran, 71–81. New York: Academic Press, 1994.
———. *Self-Efficacy: The Exercise of Control*. New York: W. H. Freeman and Co., 1997.
|
The Feasibility and Utility of Harnessing Digital Health to Understand Clinical Trajectories in Medication Treatment for Opioid Use Disorder: D-TECT Study Design and Methodological Considerations
Lisa A. Marsch
*Dartmouth College*, email@example.com
Ching-Hua Chen
*IBM*
Sara R. Adams
*Kaiser Permanente*
Asma Asyyed
Follow this and additional works at: [https://digitalcommons.dartmouth.edu/facoa](https://digitalcommons.dartmouth.edu/facoa)
Part of the Behavioral Medicine Commons, Behavior and Behavior Mechanisms Commons, Computer Sciences Commons, Health Information Technology Commons, Psychiatric and Mental Health Commons, and the Substance Abuse and Addiction Commons
See next page for additional authors
**Dartmouth Digital Commons Citation**
Marsch, Lisa A.; Chen, Ching-Hua; Adams, Sara R.; Asyyed, Asma; Does, Monique B.; Hassanpour, Saeed; Hichborn, Emily; Jackson-Morris, Melanie; Jacobson, Nicholas C.; Jones, Heather K.; Kotz, David; Lambert-Harris, Chantal A.; Li, Zhiguo; McLeman, Bethany; Mishra, Varun; Stanger, Catherine; Subramaniam, Geetha; Wu, Weiji; and Campbell, Cynthia I., "The Feasibility and Utility of Harnessing Digital Health to Understand Clinical Trajectories in Medication Treatment for Opioid Use Disorder: D-TECT Study Design and Methodological Considerations" (2022). *Dartmouth Scholarship*. 4296.
[https://digitalcommons.dartmouth.edu/facoa/4296](https://digitalcommons.dartmouth.edu/facoa/4296)
Authors
Lisa A. Marsch, Ching-Hua Chen, Sara R. Adams, Asma Asyyed, Monique B. Does, Saeed Hassanpour, Emily Hichborn, Melanie Jackson-Morris, Nicholas C. Jacobson, Heather K. Jones, David Kotz, Chantal A. Lambert-Harris, Zhiguo Li, Bethany McLeman, Varun Mishra, Catherine Stanger, Geetha Subramaniam, Weiyi Wu, and Cynthia I. Campbell
The Feasibility and Utility of Harnessing Digital Health to Understand Clinical Trajectories in Medication Treatment for Opioid Use Disorder: D-TECT Study Design and Methodological Considerations
Lisa A. Marsch*, Ching-Hua Chen, Sara R. Adams, Asma Asyyed, Monique B. Does, Saeed Hassanpour, Emily Hichborn, Melanie Jackson-Morris, Nicholas C. Jacobson, Heather K. Jones, David Kotz, Chantal A. Lambert-Harris, Zhiguo Li, Bethany McLeman, Varun Mishra, Catherine Stanger, Geetha Subramaniam, Weiyi Wu and Cynthia I. Campbell
1 Center for Technology and Behavioral Health, Geisel School of Medicine, Dartmouth College, Lebanon, NH, United States, 2 Center for Computational Health, International Business Machines (IBM) Research, Yorktown Heights, NY, United States, 3 Division of Research Kaiser Permanente Northern California, Oakland, CA, United States, 4 The Permanente Medical Group, Northern California, Addiction Medicine and Recovery Services, Oakland, CA, United States, 5 Department of Biomedical Data Science, Geisel School of Medicine, Dartmouth College, Lebanon, NH, United States, 6 Department of Computer Science, Dartmouth College, Hanover, NH, United States, 7 Khoury College of Computer Sciences, Northeastern University, Boston, MA, United States, 8 Department of Health Sciences, Bouvé College of Health Sciences, Northeastern University, Boston, MA, United States, 9 Center for Clinical Trials Network, National Institute on Drug Abuse, Bethesda, MD, United States, 10 Department of Psychiatry and Behavioral Sciences, University of California, San Francisco, San Francisco, CA, United States
Introduction: Across the U.S., the prevalence of opioid use disorder (OUD) and the rates of opioid overdoses have risen precipitously in recent years. Several effective medications for OUD (MOUD) exist and have been shown to be life-saving. A large volume of research has identified a confluence of factors that predict attrition and continued substance use during substance use disorder treatment. However, much of this literature has examined a small set of potential moderators or mediators of outcomes in MOUD treatment and may lead to over-simplified accounts of treatment non-adherence. Digital health methodologies offer great promise for capturing intensive, longitudinal ecologically-valid data from individuals in MOUD treatment to extend our understanding of factors that impact treatment engagement and outcomes.
Methods: This paper describes the protocol (including the study design and methodological considerations) from a novel study supported by the National Drug Abuse Treatment Clinical Trials Network at the National Institute on Drug Abuse (NIDA). This study (D-TECT) primarily seeks to evaluate the feasibility of collecting ecological momentary assessment (EMA), smartphone and smartwatch sensor data, and social media data among patients in outpatient MOUD treatment. It secondarily seeks to examine the utility of EMA, digital sensing, and social media data (separately and
compared to one another) in predicting MOUD treatment retention, opioid use events, and medication adherence [as captured in electronic health records (EHR) and EMA data]. To our knowledge, this is the first project to include all three sources of digitally derived data (EMA, digital sensing, and social media) in understanding the clinical trajectories of patients in MOUD treatment. These multiple data streams will allow us to understand the relative and combined utility of collecting digital data from these diverse data sources. The inclusion of EHR data allows us to focus on the utility of digital health data in predicting objectively measured clinical outcomes.
**Discussion:** Results may be useful in elucidating novel relations between digital data sources and OUD treatment outcomes. It may also inform approaches to enhancing outcomes measurement in clinical trials by allowing for the assessment of dynamic interactions between individuals’ daily lives and their MOUD treatment response.
**Clinical Trial Registration:** Identifier: NCT04535583.
**Keywords:** opioid use disorder (OUD), digital phenotyping, medication for opioid use disorder (MOUD), ecological momentary assessment (EMA), passive sensing, social media
**INTRODUCTION**
Across the U.S., the prevalence of opioid use disorder (OUD) and the rates of opioid overdoses have risen precipitously in recent years. Drug overdose has been called a “modern plague” (1) and is the leading cause of death of Americans under age 50, having surpassed peak death rates from gun violence, HIV, and car crashes (1, 2). Over 100,000 Americans died from a drug overdose from May 2020 to April 2021 (3). This dramatic spike in OUD has also been accompanied by marked increases in injection-related infections (including infective endocarditis and Hepatitis C) (4–7), babies born with Neonatal Opioid Withdrawal Syndrome (8) and healthcare and criminal justice costs (9).
Several effective medications for OUD (MOUD) have been shown to be life-saving including buprenorphine, methadone, and naltrexone products (10, 11), and to greatly increase opioid abstinence, reduce HIV/infectious disease risk behavior, and reduce criminality. Greater MOUD retention is associated with the most positive treatment outcomes (12–16). However, over 50% of patients receiving MOUD dropout of treatment within 3–6 months after treatment initiation (17–21), falling short of the longer threshold of treatment shown to offer sustained benefit (22, 23). Additionally, given the chronic relapsing nature of the disease of addiction, and inconsistent compliance with MOUD, many individuals continue to engage in opioid use during treatment, increasing the risk of overdose (24, 25).
Many factors predict attrition and continued substance use during substance use disorder (SUD) treatment (26, 27), including, stress, mental health comorbidities, continued exposure to high-risk social networks or contexts, and the neurobiology underpinning addiction. However, this literature has examined a limited set of predictors of outcomes in MOUD treatment and may not reflect a comprehensive understanding of treatment non-adherence (28). Further, treatment engagement is typically evaluated via structured clinical assessments conducted on an episodic basis and may not reflect factors in individuals’ daily lives that impact their OUD treatment trajectories. Thus, there is tremendous opportunity to more frequently and extensively examine factors that impact individuals’ clinical trajectories in MOUD in real time.
Digital methodologies offer great promise for capturing intensive, longitudinal ecologically-valid data from individuals receiving MOUD to extend our understanding of factors that impact treatment engagement and outcomes (29, 30). In particular, the use of digital devices such as smartphones or wearables that measure individuals’ health-related behavior (sometimes referred to as “digital phenotyping”) (31) has the potential to provide personalized health care resources. The ubiquity of digital devices and the explosion of “big data” analytics enable the collection and interpretation of enormous amounts of rich data about everyday behavior. This includes the use of digital devices to implement “ecological momentary assessment” (EMA) (32) in which individuals are asked to respond to brief queries on their mobile devices (assessing, for example, craving, mood, withdrawal symptoms, and pain). It also includes passive sensing data collected via sensors embedded in smartphones and/or wearable sensing devices such as smartwatches that provide information about the wearer’s health (e.g., heart rate and heart-rate variability measured via wearable photoplethysmography), behavior (e.g., social contact via calls, texts and app use), and environment (e.g., location type via GPS) (33). And, it includes social media data that individuals produce (e.g., the images and the texts they post).
A rapidly growing literature is underscoring the utility of such digital health data-driven approaches to understanding human behavior (34–37). Digitally-derived data may similarly reveal new insights into the temporal dynamics between moderators and mediators of MOUD treatment outcomes. Such data may complement and extend data captured via structured clinical assessments and provide a more comprehensive understanding of each individual’s course of treatment. And these data, in turn,
may increase our ability to develop more potent and personalized treatment models for OUD.
The developing literature on the application of digital health to understanding individuals’ trajectories in SUD treatment has shown promise. One study that used EMA to identify predictors of substance use among adults after an initial episode of SUD treatment showed high EMA completion rates (81%) and identified specific substance use patterns, negative affect and craving as predictors of substance use (38). EMA research has also demonstrated differing relationships between drug triggers (e.g., exposure to drug cues or mood changes) and different types of drug use. Specifically, drug triggers increased for hours before cocaine use events but not before heroin use events (39). And, among smokers trying to quit, smoking lapses were associated with increases in negative mood for many days (and not just hours) (40).
Additionally, EMA research with adults in MOUD treatment demonstrated a stronger relationship between craving and drug use events than between stress and drug use events (41). EMA-assessed momentary pain has been shown to be indirectly associated with illicit opioid use via momentary opioid craving (42). Further, MOUD treatment dropout has been shown to be more likely among individuals who report more “hassles”, higher levels of cocaine craving, lower levels of positive mood, a recent history of emotional abuse, and a recent history of being bothered frequently by psychological problems. It is noteworthy that none of those factors predicted individuals’ non-compliance with completing EMA (43). Other EMA research revealed that patients in MOUD treatment who share similar patterns of drug use (frequent opioid use, frequent cocaine use, frequent dual use of opioids and cocaine, sporadic drug use, or infrequent drug use) tended to have similar psychological processes preceding drug use events (44).
Less research has focused on the utility of passively collected sensing data or social media data in predicting substance use. One study used GPS data from phones to assess exposure to visible signs of environmental disorder and poverty among adults in outpatient MOUD treatment. That study provided a proof of concept that digitally-captured environmental data could predict drug craving and stress 90 min into the future (45). Another study with adults in outpatient MOUD, focused on passive assessment of stress, showed that the duration of a prior stress episode predicts the duration of the next stress episode and that stress in the mornings and evenings is lower than during the day (46). And another study demonstrated that deep-learning analytic approaches applied to social media data may be useful in identifying potential substance use risk behavior, such as alcohol use (47).
Overall, these findings have provided some new insights into how data collected in naturalistic settings may enhance an understanding of risk profiles among individuals in SUD treatment. Nonetheless, the breadth of factors evaluated to date has been limited, and most digital health studies conducted with populations in SUD treatment have relied exclusively on self-reported clinical outcomes (with limited focus on objective metrics such as urine screens, medication fills, and clinical visits). Additionally, most studies have solely sought to predict substance use events.
This paper describes the protocol (including the study design and methodological considerations) from a novel study supported by the National Drug Abuse Treatment Clinical Trials Network (CTN) at the National Institute on Drug Abuse (NIDA). This study, referred to as “Harnessing Digital Health to Understand Clinical Trajectories of Opioid Use Disorder” (D-TECT; CTN-0084-A2) primarily seeks to evaluate the feasibility of collecting EMA, digital sensing and social media data among patients in outpatient MOUD treatment. It secondarily seeks to examine the utility of EMA, digital sensing, and social media data (separately and compared to one another) in predicting MOUD treatment retention, opioid use events, and medication adherence [as captured in Electronic Health Records (EHR), medical claims, and EMA data]. This is the first project to include all three sources of digitally derived data (EMA, sensing and social media) in understanding the clinical trajectories of patients in MOUD treatment. Multiple data streams will allow us to understand the relative and combined utility of collecting digital data from these diverse data sources. The inclusion of EHR data allows us to focus on the utility of digital health data in predicting objectively measured clinical outcomes.
**METHODS AND ANALYSIS**
**Overview of Study Design**
Individuals with OUD will be recruited for the study from among patients who are active in outpatient MOUD treatment with buprenorphine medication for at least 2 weeks at one of four Addiction Medicine Recovery Services (AMRS) programs at Kaiser Permanente Northern California (KPNC). Once it is confirmed that eligibility criteria are met, each participant will provide electronic informed consent and complete the baseline assessment by phone. The baseline appointments will take ~2.0 h to complete, which will be done in two to three visits. Participants will be asked to wear a smartwatch and carry a smartphone (a study-supplied one or their own) that will passively collect sensor data. They will be asked to actively respond to EMA prompts through a smartphone 3 times daily and to self-initiate EMA responses daily if substance use occurred over the 12-week study. For those who consent to the optional social media component, social media data will be downloaded by the participant directly from the social media platform to a secure server using a remote desktop at the beginning of the study and again at the end of the study. EHR data extraction will occur at ~16 weeks after the full study is completed and will collect data 12 months prior to EMA start (the date the participant began receiving EMA prompts) through 12-weeks after EMA start (84 days after the EMA start date). A follow-up assessment (~45 min in length) will occur by phone ~12 weeks after EMA start. A graphic overview of the study phases is presented in Figure 1.
**Study Sites and Rationale for Site Selection**
KPNC is a large, integrated health care delivery system with 4.3 million members, providing care through commercial
plans, Medicare, Medicaid, and health insurance exchanges. It is comprised of a racially and socioeconomically diverse membership and is generally representative of the region’s population with access to care. KPNC was selected based on its ability to (1) provide access to individuals who are prescribed buprenorphine for OUD and (2) provide access to EHR data on treatment retention, medication adherence, and service utilization. KPNC maintains a data repository, the Virtual Data Warehouse, which has combined EHR data (e.g., demographics, membership, diagnoses, service utilization, pharmacy, lab data) with several other data sources, including medical claims data (e.g., non-Kaiser pharmacy data).
The AMRS programs at KPNC offer a broad range of services, including prescribing buprenorphine for OUD, medical services, group and individual therapy, and family therapy. Staffing includes physicians, therapists, medical assistants, nurses, and social workers.
**Participants**
Participants will include individuals aged 18 years or older across all racial and ethnic categories. Eligibility criteria include: active in KPNC outpatient treatment and prescribed buprenorphine for OUD for the past 2 weeks (and attended at least one visit at AMRS in past 35 days); $\geq 18$ years old; capable of understanding and speaking English; able to participate in the full duration of the study (12 weeks); have an active email account and willing to provide its address to researchers; permit access to EHR data; willing to carry and use a personal or study-provided smartphone for 12 weeks; and willing to wear a smartwatch continuously (except during pre-defined activities such as showering) for 12 weeks. Individuals will be excluded if they are: unwilling or unable to provide informed consent; currently in jail, prison or other overnight facility as required by court of law or have pending legal action that could prevent participation in study activities. We expect to recruit 50–75 participants.
**Study Procedures**
**Recruitment and Screening**
Potentially eligible patients will be initially identified from EHR data as meeting study criteria; eligibility is further confirmed through chart review. Eligible patients will be sent an invitational recruitment letter through a secure email message. Within approximately a week of mailing recruitment letters (or sending a secure email message), research staff will contact participants by phone to determine if they are interested and eligible, using the IRB-approved recruitment script, verbal consent form and final screening questions. If the individual is interested and eligible, research staff will schedule them for an initial baseline phone appointment and email them consent documents for their review before their appointment.
**Informed Consent**
Informed consent will be obtained by phone and documented online using an electronic signature. Each participant will be asked to pass a brief consent quiz to document comprehension of the study activities. The research staff will obtain authorization
from participants for use of protected health information, such as their EHR and medical claims data.
**Baseline**
The baseline process will be conducted in two or three phone appointments: the first appointment will consist of informed consent and the baseline assessment (Baseline 1), and the second (and third, if necessary) appointment (Baseline 2/3) will consist of a urine drug screen, setting up study devices, installing study applications (“apps”), and learning to use devices and apps (Figure 1).
The baseline assessment consists of interviewer-administered measures (described below) examining participant characteristics, current substance use (e.g., tobacco, alcohol, opioids, and other drugs), substance use and mental health disorders, and the impact of the COVID-19 pandemic. Once the first baseline appointment is completed, participants will be mailed a urine drug screen kit, a smartwatch and study smartphone (if applicable) and technology training documentation.
Once the equipment is received, research staff will schedule a second phone appointment with each participant to review the urine collection and technology training documentation. Research staff will walk through the set-up, use and care of the smartphone and smartwatch, installation of the study app and the Garmin Connect app (described below) if they are not already installed on a study-provided phone, as well as instructions for initiating and completing the daily EMA surveys. Research staff will also instruct participants to collect a urine sample and upload results.
Participants who consented to the social media part of the study will also receive instruction on how to request and download their social media data.
**Active Study Phase (12-Weeks)**
During the active 12-week study phase, the research staff will monitor participant compliance using a custom dashboard (e.g., their EMA completion rate and whether they carry the study phone and wear the study watch). In the first 2 weeks, participants will be followed closely. If after a 48-h period there are no EMA data, and/or no phone carry time data, and/or no watch wear data, research staff will follow-up directly with the participant via phone, text, and/or email to encourage the participant to continue their participation and/or troubleshoot any problems that may arise with the smartphone, smartwatch, and/or study app. All participants will have a 1-week check-in appointment via phone with research staff to review the participant’s experience, review data collection over the past week, and answer any questions or resolve any technical issues with the study devices (regardless of device carry/wear time compliance or EMA completion rate). Thereafter, research staff will send weekly check-in texts or phone calls unless there is a 48-h period of no EMA data, and/or no phone carry time data, and/or no watch data. In those instances, the research staff will attempt to reach the participant by phone, text, and/or email. The research staff will make up to three contact attempts prior to engaging alternate contact(s).
**Engagement in Research**
To be considered engaged in the study, an individual must respond to a minimum number of EMA prompts (complete at least 2/3 of the EMA surveys per day on 7 out of the first 14 days) and record at least 8 h of smartphone/smartwatch sensor data per day on 7 out of the first 14 days of study participation. If an individual does not meet the engagement criterion and is non-responsive to research staff outreach in the first 14 days of study participation, then the individual will be considered a “non-engager” and the study team will continue to recruit until the targeted sample size is met. Non-engagers will not be withdrawn from the study, as we will attempt to collect all possible data from all participants.
**Follow-Up**
A follow-up assessment will be completed by phone ~12 weeks post-EMA start. Research staff will administer an interviewer-based assessment to measure current substance use, participant experience with the study devices, treatment utilization, reasons for drop out (if appropriate), employment, insurance coverage, medication use/dose (if applicable), and overdose (if applicable). Participants will be mailed a urine drug test kit and asked to collect another urine sample and upload test results. Participants who consented to the social media part of the study will be asked to request and download their social media data a second time.
**Description of Measures**
A summary of the clinical assessments and digital health assessments to be conducted in this study are reflected in Figures 2, 3, respectively. Brief descriptions of each of these measures is provided below.
**Prisoner Status Assessment:** An individual’s prisoner status must be assessed for each participant at each separate encounter, as this study will not apply for Office of Human Research Protection (OHRP) Prisoner Certification. An **Inclusion/Exclusion form** will be used to obtain information on inclusion and exclusion criteria to document eligibility. **Locator Form.** A locator form is used to obtain information at baseline and each contact to assist in finding participants throughout the study. This form collects the participant’s current address, email address, and phone numbers. **PhenX Substance Abuse and Addiction Core Tier 1 (PhenX Core Tier 1).** The PhenX Core Tier 1 is a part of the Substance Abuse and Addiction Collections (48) that are being adopted across multiple studies funded by NIDA. This study will use the following subset of measures from the Core Tier 1: demographics (age, ethnicity, gender, race, current educational attainment, current employment status, and current marital status) and current substance use (tobacco, alcohol, and drugs) (49). The demographics (except for employment status) will only be collected at baseline, while current substance use and current employment status will be collected at baseline and follow-up. **The PhenX Substance Abuse and Addiction Core Tier 2 (PhenX Core Tier 2).** The PhenX Core Tier 2 is a complementary set of 8 measures to the PhenX Core Tier 1 (i.e., annual family income, child-reported parental education attainment, family history of substance use problems,
household roster-relationships, internalizing, externalizing, and substance use disorders screener, occupation/occupational history, peer/partner substance use and tolerance of substance use, and social networks) (50). This study will only use a subset of questions from the Annual Family Income measure to get an estimate of total income of all family members (49). If the participant is unsure of the total family income, then we will use a subset of questions from the Substance Abuse and Mental Health Services Administration’s National Survey on Drug Use and Health (NSDUH) survey to determine which income category best characterizes total combined family income (51). These measures will be securely, electronically stored in a REDCap database.
**NetSCID-5:** The Structured Clinical Interview for DSM-5 (SCID-5) is a semi-structured interview designed to assess substance use and mental health diagnoses (52). This study will use an electronic version of the SCID-5, the NetSCID-5, developed by TeleSage. The TeleSage NetSCID-5 is fully licensed by the American Psychiatric Association and has been validated (53). TeleSage has the capability of customizing
the NetSCID-5 measure, and modules relevant for this study include: bipolar I disorder, major depressive disorder, panic disorder, social anxiety disorder, generalized anxiety disorder, posttraumatic stress disorder, adult attention deficit hyperactivity disorder, alcohol use disorder, and other use disorders [cannabis, stimulants/cocaine, opioids, phenylcyclohexyl piperidine (PCP), other hallucinogens, inhalants, sedative-hypnotic-anxiolytic, and other/unknown]. The TeleSage NetSCID-5 will be administered by research staff who are trained and credentialed to conduct this diagnostic assessment.
**Urine Drug Screen:** Urine drug screen kits will be mailed to participants, and participants will be asked to collect a urine sample and then record and upload its results using a secure system (e.g., REDCap) at first baseline appointment and at follow-up. All urine specimens are collected using CLIA-Waived and FDA-approved one-step multi-drug screen test cups following the manufacturer’s recommended procedures. The study will use the DrugConfirm Advance Urine Drug Test Kit that screens for: alcohol, amphetamine, barbiturate, buprenorphine, benzodiazepine, cocaine, fentanyl, MDMA (ecstasy/molly), methamphetamine, methadone, morphine 300 ng/mL, oxycodone, phencyclidine (PCP), tramadol and delta-9-tetrahydrocannabinol (THC).
In order to reduce risks of substituted or adulterated urine samples, the research staff will conduct the study urine drug screens in real-time (i.e., reviewing collection instructions and walking the participant through the entire process via phone) during the Baseline 2 phone appointment. Participants will send a photo of the temperature strip to research staff immediately after they produce the sample to ensure the temperature is within the specified valid temperature range of $90^\circ$–$100^\circ$F. Additionally, we will ask participants take photos of the test result strips and send the photos of the results securely to research staff in real-time (while the participant is still on the phone). Research staff will review the photos that are sent to ensure that the results captured within the photos are legible and not blurry or otherwise indecipherable.
### Digital Health Technology
#### Ambulatory Physiological Assessment Using Mobile Sensors
We will develop a smartphone application (“study app”) for both Android and iOS devices. The study app can sense and store contextual information about a participant, e.g., location, physical activity (step count), conversation duration and count (non-identified audio information such as segments of silence, and speech features such as pitch control and voice quality), app usage, call/text, screen on/off, phone lock/unlock, and phone notifications (54). Features will be derived from the raw sensor streams to create multiple relevant contextual variables. This custom application will be installed directly on the study-provided smartphone (Moto G7 Power and/or Moto G Power) or on a participant’s smartphone if they have a compatible phone (iPhones, running iOS 12 or higher or Android devices running Android 8.0 or higher with at least 2.5 GB RAM and 4 GB of available storage).
In addition to the smartphone, participants will be provided with a smartwatch (Garmin Vivosmart 4). The participants will be asked to wear the smartwatch continuously (except during pre-determined exception periods, such as when the participants are showering or charging the device). The Garmin Vivosmart 4 smartwatch is comfortable, lightweight, and has a long battery life of up to 7 days (55) and an easy-to-use interface. The device can continuously collect and track a variety of sensor data in the background, as long as the user is wearing the device. The data from the wearable is synced directly with Garmin cloud servers,
using the “Garmin Connect” application installed on the phone, and we will not have direct access to the raw sensor data. We will use the Garmin Health Connect API to get various health metrics that are computed by Garmin’s proprietary algorithm, such as heart rate, sleep stage information (i.e., periods and events of light/deep sleep), stress levels, and physical activity levels (including energy expenditure) and step counts). Through the Garmin Health Connect API, Garmin’s servers will push the various metrics computed from the raw data to the storage servers at Dartmouth College.
**Ecological Momentary Assessment**
Participants will be prompted 3 times per day over 12 weeks by the smartphone app to self-report sleep, stress, pain severity, pain interference, pain catastrophizing, craving, withdrawal, substance use risk context, mood, context, substance use, self-regulation, and MOUD adherence \((41, 56–59)\). The EMA prompt delivery times will be randomized within each of the prompt timeframes (e.g., morning, mid-day, end of day). In addition to prompted EMAs, participants will be asked to self-initiate EMA responses if substance use occurred (e.g., opioids, cocaine, or other stimulants). When determining the rate of completion of self-initiated reports of substance use, we will be able to cross-reference responses to the following question asked in the “End of the Day” EMA prompt (“Did you use any drugs at all today without reporting it?”) with participant’s self-initiated substance use EMA data.
Additionally, participants will be asked to complete a **Momentary Self-Regulation Scale**\(^1\) via EMA. This brief 12-item questionnaire assesses self-regulation on a momentary basis as individuals move through their daily lives. This information will be collected 3 times daily over the 12-week study period by smartphone.
**Social Media**
Participants will be asked to request and then download their social media data (Facebook, Instagram, or Twitter) to a secure server using a remote desktop application. These three social media platforms provide the functionality for each user through their account setting to download their social media data as an aggregated structured file. After requesting a data download from a social media website, the participant will receive an email notification when the downloadable copy of the data has been created—typically in \(<48\) h from the request. Once the social media data are ready to download, the participant will log into a remote computer located at Dartmouth College by using Microsoft Remote Desktop and will download their social media data to the secure research study computer. After completing the download, the participant will sign out of the remote computer and alert the research team. Images and text postings as well as date/time for each post will be extracted from the downloaded social media data. As noted elsewhere, participation in this part of the study is optional; participants can still participate in the study and decline to provide their social media data.
We will parse the JSON/JS files of the downloaded social media data to extract the information of interest, including posting date, text, and corresponding image paths on a local storage. We will aggregate the extracted data into a pickle file composed of different data dictionaries for text, posting dates, and local image paths. It is noteworthy that all the social media data from three variant platforms will be in the same format after processing. We plan to collapse and aggregate the data collected across the three social media platforms to reduce data sparsity and thereby increase the number of study days that are represented in the training and evaluation data sets.
**EHR Data**
EHR data extraction will include all outpatient and inpatient encounters, medications, procedures, and diagnoses for the 12 months prior to EMA start and the 12-week study period. In addition, we will extract lab results from urine drug screens, patient demographic information, KPNC health plan membership status, and insurance deductible level. We will extract appointment data to determine if visits were canceled or missed. KPNC is also an insurance plan and has claims data on non-KPNC services that were submitted as medical claims for reimbursement.
**Clinical and Safety Assessments**
Clinical and safety events may be elicited at baseline or spontaneously reported to study staff at any encounter following consent. Safety events suggesting medical or psychiatric deterioration will be brought to the attention of the study clinician for further evaluation and management.
**Compensation**
Participants will be compensated up to $21 per week for completing EMA surveys, up to an additional $10 per week bonus for completing a minimum of 80% of received EMAs, and up to $14 per week for carrying their smartphone at least 8 h per day and wearing the smartwatch at least 18 h per day. At the end of the 12-week active phase of the study, participants will receive a $50 bonus for either using their personal smartphone or returning a study-provided smartphone, and a $50 bonus for returning the study-provided smartwatch. Finally, participants who consent to the social media portion of the project will receive up to an additional $180. Total possible compensation will be up to $820 over the course of the 12-week active study phase for the digital data collected (i.e., each EMA completed plus EMA bonus, smartphone carry time met and smartwatch wear time met, and social media data download, if applicable). In addition to the earnings and bonuses (described above), an individual who completes a minimum of 80% of received EMA surveys within a given week will qualify for a drawing at the end of that week where the individual could win a $50 prize. Each individual will have an opportunity to participate in up to 12 drawings over the 12 weeks. During the 12-week active study phase, any incentives, bonuses, and/or drawings earned will be uploaded weekly to a reloadable debit card. Study participants will be compensated
---
\(^1\)Scherer EA, Kim SJ, Metcalf SA, Sweeney MA, Wu J, Xie H, et al. The development and validation of a momentary self-regulation scale. *JMIR Mental Health* (under review).
$75 for completing the baseline appointments and baseline urine drug screen (via Target gift card), and $100 for completing the 12-week follow-up appointment and follow up urine drug screen (via Target gift card). Total compensation will be up to $995 for participating in all study activities [digital compensation ($820) plus baseline and follow-up appointment compensation ($175)].
**Statistical Analyses**
**Primary and Secondary Outcomes (Endpoints) and Hypotheses**
The primary outcomes will include (1) the percentage of days during the 12-week active phase enrolled participants met criteria for wearing the smartwatch and carrying the smartphone; (2) the response rate to EMA prompts during the 12-week active phase; and (3) the percentage of participants who consent to social media data download and sparsity of social media data per participant. We hypothesize that the majority of participants who enroll in the study will wear the smartwatch, carry the smartphone, respond to EMA prompts, and be willing to share their social media data with the research team. We expect the number of participants deemed “non-engagers” will be low.
The secondary outcome measures will be (1) OUD treatment retention (days retained in OUD treatment program) based on EHR data; (2) days covered on MOUD based on EHR and EMA data; and (3) non-prescribed opioid use based on EHR and EMA data. We hypothesize that intensive longitudinal digital data capturing patient context and psychological state will be useful for predicting treatment retention, opioid use events and buprenorphine medication adherence.
**Statistical Methods**
For our primary feasibility assessment for primary and secondary outcomes, we will generate descriptive statistical summaries of the level of adherence of study participants to the desired protocol (e.g., EMA response rate, smartwatch wear rate and smartphone carry rate).
For our predictive analyses for primary and secondary outcomes, we are interested in measuring and predicting outcomes that may occur repeatedly over a 12-week observational period (e.g., patterns of daily drug use) using digital health technology. In digital health the spatio-temporal granularity of information about an individual is of higher resolution than that obtained through cross-sectional or traditional longitudinal studies (60). We will therefore assess the utility of using data from smartphones, smartwatches, social media, and ecological momentary assessment to predict, explain and detect these outcomes.
Our approach to prediction will include regression methods (e.g., logistic regression), but we will also use various machine-learning approaches for binary classification (e.g., random forest, support vector machines, K-means, gradient boosted trees, neural networks). For each of these classification techniques, we will assess the utility of the various digital data for improving prediction quality.
The study will generate the nested longitudinal data with binary response sequences collected over time. The regression model (logistic regression) will be built to account for the nested data structures by incorporating both fixed effects and random effects, which would allow us to examine both inter and intra-individual differences. Machine learning models can also be integrated with the random-effects structure as in the mixed-effect models (61). In the cross-validation, the training data will be split into k-folds by patient id. Previous work has shown that whether training data is split by record or by patient can significantly affect model performance (62), with better performance typically being achieved when splitting data by record rather than by participant.
For social media data, we will use deep neural networks for feature extraction and predictive analysis. Specifically, pretrained residual neural network (ResNet) (63) will be used to extract features from images and bidirectional encoder representations from transformers (BERT) (64) models will be used to extract features from text. Using these neural networks, social media images and text can be represented as dense vectors that can be aggregated with the rest of the collected data for predictive analysis. We will also explore classic machine-learning methods (such as random forest, support vector machines, and gradient boosted trees) for social media-based prediction, and compare their results to the performance of deep neural networks. Typical evaluation methods used to assess the prediction quality include area under the receiver operating characteristic curve (AUROC), accuracy, precision, F-score, sensitivity (recall), and specificity. The relative utility of the various data for predicting outcomes will be assessed at two levels - individual features and aggregated features (e.g., Facebook, Twitter, GPS, step, sleep, mood). The contribution of each feature in predicting the outcome variable will be assessed using a model-agnostic machine-learning approach to reverse-engineering algorithms by perturbing model inputs based on game theory, SHapley Additive exPlanations (SHAP) (65, 66).
When missing data are encountered, we will apply domain knowledge to reflect on the probable reasons that the data are missing. Based on our knowledge-based assessment of the nature of the missing data, missing samples will be imputed using appropriate imputation methods (67, 68).
There are at least two approaches to integrating data from the three data sources for use by a single prediction model, depending on whether the prediction models operate in a lower-dimensional “latent/embedding space” or a higher-dimensional “feature space”. Deep learning models typically operate in the latent/embedding space, while other machine learning models (e.g., Random Forest, Gradient Boosted Regression Tree) operate in the feature space.
When combining data in the feature space, features must be engineered from both structured and unstructured data. The unstructured social media data, in particular, may require manual or automated annotation in order to generate features. When combining data in the latent space, models that convert both structured and unstructured data into the latent space will be required. These models could be pre-trained on other similar data sources (e.g., BERT for natural language text, pretrained ResNet model on ImageNet for image data, Activity2Vec for sensor data). We are not aware of pre-trained models for generating embeddings from EMA/survey data.
Yet another approach for “integrating” all 3 data sources is to train separate models using each dataset and an ensemble predictor that combines the predictions from each model to generate a final prediction, e.g., bagging or accuracy-weighted ensemble (69).
We will perform k-fold cross validation (CV) when evaluating the performance of the prediction models. We will do a group k-fold CV where instead of randomly splitting all data into k-folds, we will divide our dataset into k groups such that each participant is assigned to only one group with no overlap between the groups. This is to prevent any data leakage that might happen due to a participant’s data being present in the train and test sets.
This is an exploratory pilot study. Therefore, a detailed analysis of statistical power to detect effects was not performed. As we are predicting daily outcomes (e.g., daily medication adherence, daily drug use), the sample size that is potentially available to us is equal to the number of participants multiplied by the number of study days. For example, assuming 60 participants in the study, and a study period of 12 weeks (i.e., 84 days), the analytic sample size would be $60 \times 84 = 5,040$ participant-days. If the observed incidence of non-adherence or drug use is 10%, then we would observe $\sim 504$ non-adherence or drug use events. Results of this study may generate a data set that could be helpful for future researchers to estimate the likely power of predictive models for this patient population, using similar sources of data.
**DISCUSSION**
In a world that is rapidly embracing digital health approaches to understand and provide resources to support health behavior, this study is distinct in that it will be the first to systematically assess the feasibility and utility of digitally-derived data from EMA, passive sensing and social media, all collected from the same sample of individuals in MOUD treatment. Results from this study may be useful in elucidating novel relations between digital data sources and treatment outcome. It may also inform approaches to enhancing outcomes measurement in clinical trials by allowing for the assessment of dynamic interactions between individuals’ daily lives and their MOUD treatment response. It may additionally inform specific digital data collection protocols in the next phase of this line of research, including the need to abbreviate EMA questions to capture those most clinically useful and/or strategies for addressing any privacy or data sharing concerns that may arise among participants. As the opioid epidemic and opioid overdoses surge in the U.S., this novel study and its clinically-relevant implications are timely.
**ETHICS STATEMENT**
The studies involving human participants were reviewed and approved by the Institutional Review Board (IRB) at Kaiser Permanente Northern California (the single IRB overseeing this study). The patients/participants provided their written informed consent to participate in this study. We plan to disseminate findings from this research at scientific meetings and in multiple peer-reviewed publications, including results of analyses assessing the feasibility of using EMA, digital sensing and social media data among adults in outpatient MOUD and analyses assessing the predictive utility of these data sources in predicting MOUD treatment retention, opioid use events, and medication adherence.
**AUTHOR CONTRIBUTIONS**
LM, CC, C-HC, SH, DK, CL-H, and CS were responsible for developing the study design for this project. LM wrote the initial draft of the protocol paper. AA, CC, MD, MJ-M, HJ, CL-H, and BM were involved in study coordination and operations. GS was the study’s Scientific Officer. SA, CL-H, VM, and WW prepared the data sets for analyses. NJ consulted on the statistical analysis plan. C-HC, ZL, VM, and WW conducted the statistical analyses. EH prepared the references. All authors participated in the review and revision process and approved the submission of this version of the protocol paper.
**FUNDING**
This work was supported by the National Institute on Drug Abuse (NIDA) Clinical Trials Network grant UG1DA040309 (Northeast Node), UG1DA040314 (Health Systems Node) and NIDA Center grant P30DA029926. NIDA had no role in the study design; in the collection, analysis, and interpretation of the data; in the writing of the report; or in the decision to submit the paper for publication.
**ACKNOWLEDGMENTS**
GS was substantially involved in the above referenced UG grants, consistent with her role as a Scientific Officer. We also gratefully acknowledge our clinical partners at The Permanente Medical Group, Northern California, Christopher Zegers, MD, Charles Whitehill, MD, Ninad Athale, MD, Chris Evans, PsyD, Curtis Arthur, MFT, Arlene Springer, MFT, and Tosca Wilson, LCSW, as well as our patient participants who made this research possible.
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**Author Disclaimer:** This manuscript reflects the views of the authors and may not reflect the opinions, views, and official policy or position of the U.S. Department of Health and Human Services or any of its affiliated institutions or agencies.
**Conflict of Interest:** C-HC and ZL are employed by IBM Research. CC has received support managed through her institution from the Industry PMR Consortium, a consortium of companies working together to conduct post-marketing studies required by the Food and Drug Administration that assess risks related to opioid analgesic use.
The remaining authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
**Publisher’s Note:** All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.
*Copyright © 2022 Marsch, Chen, Adams, Asyyed, Does, Hassanpour, Hichborn, Jackson-Morris, Jacobson, Jones, Kotz, Lambert-Harris, Li, McLeman, Mishra, Stanger, Subramaniam, Wu and Campbell. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.*
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21st Century manufacturing
UNIDO
UNITED NATIONS INDUSTRIAL DEVELOPMENT ORGANIZATION
BRIE
21st century manufacturing
UNITED NATIONS INDUSTRIAL DEVELOPMENT ORGANIZATION
Vienna, 2013
This publication has been produced by the United Nations Industrial Development Organization (UNIDO) under the general guidance of Ludovico Alcorta, Director, Development Policy, Statistics and Research Branch. The author(s) of each individual chapter are indicated.
This document has been produced without formal United Nations editing. The designations employed and the presentation of the material in this document do not imply the expression of any opinion whatsoever on the part of the Secretariat of the United Nations Industrial Development Organization (UNIDO) concerning the legal status of any country, territory, city or area or of its authorities, or concerning the delimitation of its frontiers or boundaries, or its economic system or degree of development. Designations such as “developed”, “industrialized” and “developing” are intended for statistical convenience and do not necessarily express a judgment about the stage reached by a particular country or area in the development process. Mention of firm names or commercial products does not constitute an endorsement by UNIDO.
Acknowledgements
This report was prepared under the general guidance of Ludovico Alcorta, Director of the Development Policy, Statistics and Research Branch of UNIDO. The contributors to the report are John Zysman, Dan Breznitz, Martin Kenney, Stuart Feldman, Jonathan Murray, Niels Christian Nielsen, Kenji Kushida and Paul Wright. The affiliation of each author is indicated in the respective chapter(s).
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Foreword
The manufacturing sector, being the cradle of innovation and technical change, has always occupied an extraordinary position in the minds of economic policymakers. The majority of innovations are introduced first and commercialized in this sector, making it the main engine of technical change and economic growth.
Technological change, in turn, is a crucial driver of competitiveness in the manufacturing industry, and is thus of particular interest for both business leaders and policymakers. In order to be able to design and implement policies that can support the growth and enhanced performance of the manufacturing sector of their respective countries, it is important for the policymakers concerned to have the necessary knowledge of how such technological change can be supported and promoted.
This publication is part of a series published by UNIDO to provide insights into current and future global trends that will influence manufacturing production in developing and developed countries in the years to come. It aims to assist policymakers in designing and implementing policies that can help their industries and countries gain a competitive edge in international markets.
I sincerely hope that the insights contained in this publication will be of value for policymakers, scholars and business leaders as they anticipate and adapt to the main forces shaping the manufacturing sector. At the same time, I invite the readers to actively participate in the discussion on the future of the manufacturing industry, which this publication series seeks to promote, and to contribute their experiences and opinions to the debate.
Kandeh K. Yumkella
Director General, UNIDO
The future of manufacturing is here, and it’s all about data. With the rise of Industry 4.0, manufacturers are embracing the power of data analytics to drive innovation, improve efficiency, and gain a competitive edge. From predictive maintenance to smart factories, data is transforming every aspect of the manufacturing process.
At [Company Name], we understand that data is the lifeblood of your operations. That’s why we offer a range of data analytics solutions tailored to meet the unique needs of your business. Whether you’re looking to optimize production processes, enhance product quality, or improve customer satisfaction, our team of experts can help you unlock the full potential of your data.
Don’t let your data go to waste. Contact us today to learn more about how we can help you harness the power of data to drive growth and success in your manufacturing operations.
# Contents
Acknowledgements .................................................. iii
Foreword ............................................................. v
I. Introduction: manufacturing transformed ....................... 1
A. Manufacturing transformed ........................................ 1
B. Brief background ................................................... 3
C. The basic implications of the decomposition and recombination of production ........................................ 8
D. When is production a strategic asset and when is it a commodity? ......................................................... 9
E. Finding value in production: firm strategy and public policy ................................................................. 10
II. Where is the value in the value networks? ...................... 13
A. Introduction ......................................................... 13
B. Electronics ......................................................... 15
C. Automobiles ....................................................... 27
D. Apparel ............................................................ 28
E. Shoes .............................................................. 31
F. Machine tools .................................................... 33
G. Concluding remarks .............................................. 35
III. ICT-enabled services: the implications for manufacturing .... 37
A. Introduction ....................................................... 37
B. The algorithmic transformation of services .................. 38
C. Making sense of the ICT-enabled services transformation ................................................................. 44
D. ICT-based services: implications and policy debates ........ 48
E. Conclusion: governing the transition .......................... 51
IV. The problem of decomposition: industrial policy and growth in a world of phased production .......................... 53
A. Implications of decomposed production: what does decomposition mean for locations and the State? .............. 53
B. The different phases of production ............................. 55
C. Moving towards the sweet spot: different challenges for different paths ................................................. 59
D. Conclusion: different paths to success ......................... 63
V. Manufacturing metropolises: design, fabrication and service .... 67
A. Introduction ....................................................... 67
B. Ideation .......................................................... 68
C. Engineering design and its impact on prototyping and full production .......................... 69
D. Prototyping, additive manufacturing and mass customization: optimism and caution ........... 71
E. Fabrication by conventional processes and agile manufacturing ................................. 74
F. Connectivity and supply chains .................................................................................... 77
G. Lean manufacturing, sustainability and life cycles ....................................................... 79
H. Service ......................................................................................................................... 80
I. Conclusion ..................................................................................................................... 81
Concluding remarks: 21st century manufacturing ......................................................... 87
Bibliography ...................................................................................................................... 88
I. Introduction: manufacturing transformed
John Zysman\textsuperscript{1} and Dan Breznitz\textsuperscript{2}
A. Manufacturing transformed
Manufacturing in the twenty-first century remains a key element of economic growth, trade, productivity and development. However, the questions and issues that arise in the twenty-first century are quite different from those at the end of the twentieth. The “who, what, where and how” of manufacturing throughout the world have been transformed over these past decades.\textsuperscript{3} Manufacturing has been fundamentally changed by the decomposition and modularization of production, the emergence of ICT (information and communications technology)-enabled services embedded in physical products, the entrance of new competitors, and the continuing development of production technology. The genesis of today’s goods—from aircraft to apparel—is now an international affair. This report depicts and considers aspects of those changes to highlight some of the choices facing firms and government.
Four issues emerge from this analysis of particular importance for Latin American countries and firms as they try to find their place of advantage in global markets: \textit{(a)} Asia has become a production hub for firms serving the American and European markets as well as the expanding Asian markets. China’s growth as an exporter is reorganizing the global flow of production, putting ever greater competitive pressure on Latin American firms; \textit{(b)} the decomposition of production and a corresponding geographic redistribution of activity have meant increasing commoditization—that is, increasing competition based principally on price. It will be difficult to build market advantage, let alone economic development, based principally on price advantage rooted in wage differentials; \textit{(c)} the advanced industrialized countries, and advanced industrialized country producers, are creating advantage and escaping commoditization through advanced manufacturing and ICT-enabled services. Drawing on, applying, and, where possible, contributing to those developments in ICT-enabled services and advanced manufacturing will be ever more crucial for Latin American countries; and \textit{(d)} competition will increasingly be organized around phases of production, such as design or scale
\textsuperscript{1} John Zysman is a professor of political science at the University of California at Berkeley and co-director of the Berkeley Roundtable on the International Economy (BRIE).
\textsuperscript{2} Danny Breznitz is an associate professor at the Georgia Institute of Technology and program director of Globalization, Innovation, and Development at the Sam Nunn School of International Affairs, Georgia Tech.
\textsuperscript{3} Zysman explores these concepts in earlier works: S.S. Cohen and J. Zysman, \textit{Manufacturing Matters: The Myth of the Post-Industrial Economy} (New York: Basic Books, 1987); J. Zysman, “Strategic Asset or Valuable Commodity? Manufacturing in a Digital Era,” paper presented at “New Directions in Manufacturing,” Forum of the National Academies of Science, March 2003, published in New Directions in Manufacturing (Washington, D.C.: National Academies Press, November 2003).
manufacture, rather than just around sectors, such as electronics or automobiles. Countries and regions will have to develop pools of competencies to succeed in phases, not just defend or develop sectors. That will require all countries to rethink industrial strategies.
This report proceeds in the following five steps:4
- Who produces what and where? For firms, whether buyers or sellers, the crucial question is whether a product, a constituent element of the product, or a simple component is a strategic asset or a simple commodity. That is, whether it is a strategic asset that must be developed or produced in-house, owned but developed or produced by another firm, or a simple commodity that can be obtained on the market. The answer is constantly changing as a reflection of the characteristics of the products and components, of the tools available, and the business problems facing firms. For producers, the question is how to find a distinctive spot in the market. For places, the question is where they fit in the value network and what must be done to allow local producers to succeed in global market competition. If the data concerning the trade of intermediate goods is overly aggregated, how can we begin to properly identify where the value of products is or how it is being dispersed? We address that problem in the next section.
- Where is the value in the value networks? Trade statistics do not capture fully the transformation. For example, while some or even large portions of the jobs may be moving outside the advanced industrialized countries, much of the value has stayed there. Trade statistics do not allow us to consider who (which firms) produces what (products or components) for whom or where. Consequently, it is difficult to untangle the implications of globalization, decomposition of production, the unbundling of services, and indeed the character of the changing competitive environment. To overcome this deficiency, chapter II explores, across a set of sectors, the question of where the value lies and explores the question of who produces what for whom.
- Services, ICT-enabled services, now come with everything. One reason that value stays in the advanced industrialized countries rests, increasingly, with the role of ICT-enabled services embedded in products, as John Zysman and his colleagues discuss in chapter II. The algorithmic revolution has changed not only the services sector but the character of competition, product development and production in manufactured goods as well.
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4 Prepared by Martin Kenney, professor at University of California, Davis and senior project director, at BRIE; John Zysman, professor at University of California, Berkeley and co-director of BRIE; Dan Breznitz, associate professor at Georgia Tech, and program director, Globalization, Innovation, and Development; Paul Wright, professor of mechanical engineering at University of California, Berkeley, director of the Center for Information Technology Research in the Interest of Society (CITRIS). Discussion based on M. Kenney and B. Pon, “Structuring the Smartphone Industry: Is the Mobile Internet OS Platform the Key?” *Journal of Industry, Competition and Trade* 11, no. 3 (2011): 239-261; D. Breznitz & M. Murphree, *Run of the Red Queen: Government, Innovation, Globalization, and Economic Growth in China* (New Haven: Yale University Press, 2011); D. Breznitz, *Innovation and the State: Political Choice and Strategies for Growth in Israel, Taiwan, and Ireland* (New Haven: Yale University Press, 2007). Zysman draws on work done with Stuart Feldman, Kenji Kushida, Jonathan Murray and Niels Christian Nielsen.
Phrased differently, the value of an object lies increasingly with the digitally enabled services that it can provide.
- Increasingly, analytic focus must be on phases of production, rather than sectors of production. Our understanding of the organization and dynamics of manufacturing, as Breznitz shows in chapter IV, has changed. A generation ago, we talked about Toyota’s competition with General Motors and the emergence of the Toyota just-in-time production system. Now the focus is on how Foxconn in Shenzhen, China, represents a phase in a production process that begins with new conceptions and designs by Apple, for example, in Cupertino, California. We know that the clustering of design activities in Silicon Valley makes it easier to innovate, and, likewise, we know that the clustering of metal cutting, circuit board assembly, component manufacturing, plastic injection molding tooling, and the ability to mobilize tens of thousands of people very quickly make it easier to scaleup production in Shenzhen.
- Where and how goods are produced has been transformed by an array of technological developments. The face of manufacturing promises to change with the emergence of additive manufacturing, popularly labeled 3D printing, and robotic factories. While labour-intensive production persists, labour costs are not always the crucial element in the advanced countries, and often not in emerging markets. For instance, new advanced manufacturing technologies can be used in contradictory ways. One option, famously idealized as the German model, is by making skilled labour more productive. An opposite strategy aims to put all the “brain” in the machine in order to allow the employment of cheap and easily replaceable unskilled labour. Many of these changes depend on the specific environment in which the technologies are applied. How do we begin to conceptualize these changes?
B. Brief background
The basic trends in the global economy are well understood. As we begin, we simply need to remind ourselves of them. For our purposes in this story, the key point is that the “production” of goods and services is no longer organized in vertically integrated companies focused on home locations.\(^5\) This process of decomposition has been underway and understood for some time.\(^6\) The ICT industries have been at the forefront of this transformation of work organization, while also producing the tools that facilitated the decomposition of production. As is widely discussed in the case of manufacturing, companies have broken
\(^5\) This material draws on J. Zysman and D. Breznitz, “Double Bind: Governing the Economy in an ICT Era,” *Governance* 25, no. 1 (2012): 129-150.
\(^6\) S.W. Arndt and H. Kierzkowski (eds.), *Fragmentation: New Production Patterns in the World Economy* (Oxford: Oxford University Press, 2001); P. Hirst and J. Zeitlin, “Flexible Specialization Versus Post-Fordism: Theory, Evidence and Policy Implications,” *Economy and Society* 20 (1991):1-56; C. Sabel. “Flexible Specialization and the Reemergence of Regional Economies,” in *Post-Fordism: A Reader*, ed. Ash Amin (Malden, MA: Blackwell, 2004): 101-156.
apart the production of their input components, from research down to final assembly, and source them both internally and externally throughout the world.\footnote{J.T. Sturgeon, “Turnkey Production Networks: The Organizational Delinking of Production from Innovation,” in \textit{New Product Development and Production Networks} (New York: Springer, 2000), 67-84; J.T. Sturgeon, “Modular Production Networks: A New American Model of Industrial Organization,” \textit{Industrial and Corporate Change} 11, No. 3 (2002): 451-496.}
For our purposes, decomposition refers to the geographic and organizational recasting of operations from actual manufacturing through R&D and strategy. It refers to outsourcing, purchasing goods or services outside the boundaries of the particular firm, and offshoring, the moving of activities to a different country, whether internally within the company or using outside suppliers. The contemporaneous geographic recasting of production tasks across borders and its recomposition in a final product, have come to be known as supply networks. We use the notion of value networks or webs of components, modules, subsystems, and service bundles, as opposed to a simple value chain, to suggest the constant reorchestration and relocation of the components of value creation, and, importantly, the imaginative reintegration of the constituent elements. There is a constant reorchestration and relocation of the components of value creation, and, importantly, the imaginative reintegration of the constituent elements. As we consider later, just as manufacturing has been decomposed, so have many ICT-enabled services been unbundled and redistributed geographically and organizationally. The basic fact of the decomposition of production, and its constant recomposition, rather than the particulars, is crucial for our purposes here.
Certainly, the decomposition of production has long been underway. The dominant tendency in contemporary production may be decomposition, but in some cases, a powerful recomposition can also be discerned. For example, many of the largest logistics firms, such as Fedex and UPS, have integrated more and more logistics services internally. Previously, shipment and customs clearing were handled by separate firms. Today, FedEx and UPS have integrated these two services. Similarly, whereas previously IBM or Oracle sold software, now they not only offer customers software but manage their entire IT system to the point of providing dedicated call centres.
Foxconn, while allowing firms such as Apple, Dell, HP and Motorola to shed some manufacturing activities and therefore decompose their value networks, also is recomposing the value network. To illustrate, under its parent company, Hon Hai Precision Industry, it makes components such as camera lenses, connectors, cables, enclosures, plastic injection molded parts, power supplies, printed circuit boards and sensors, for use in industries ranging from electronics to automobiles. Not only does it provide manufacturing services, but it also offers design services. It is, in fact, a value network integrator. In effect, much of this may be about who integrates what and for what reasons. Different business models and insertions into the network may allow different value capture strategies.
From the aggregate data, it is simply not possible to follow this story; much of what we know comes from more finely grained studies of places and sectors.\(^8\) Many of those studies are referenced in the chapters that follow. First, however, let us remind ourselves for a moment what the aggregate data does tell us. The indicators in the aggregated data successfully reflect the basic changes in the structure of global production over the past several decades: the proliferation of foreign direct investment (FDI), the increase in trade as a percentage of the gross domestic product (GDP), and the increase in manufacturing exports, among others. It speaks of a shift in global export prominence away from the United States and Europe and towards the rise of new players such as China and India.
FDI has increased dramatically as multinational corporations (MNCs) have spread production around the globe and international trade has increased dramatically. Consider total volumes of FDI. In the past several decades, United Nations data has tracked the exceptional growth of worldwide FDI; the sum of these capital flows were US$ 27 billion in 1977, US$ 133 billion in 1987, US$ 485 billion in 1997, US$ 1.97 trillion in 2007 before the most recent global recession, and US$ 1.42 trillion in 2011, a modest rise after the large declines of 2008 and 2009. Certainly, and in parallel, trade as a proportion of national GDP has increased significantly. According to data from the United Nations,\(^9\) this proportion increased from 30.57 per cent in 1988 to 37.07 per cent in 1998 to 55.9 per cent in 2011—a 25 percentage point increase in 23 years. The value of world merchandise exports increased exponentially in the past several decades, doubling from US$ 1.83 trillion in 1983 to US$ 3.68 trillion in 1993. This doubling trend continued as the value of world exports reached US$ 7.38 trillion in 2003 and then accelerated to US$ 15.2 trillion only eight years later in 2011.\(^{10,11}\)
Our focus in this report, of course, is manufacturing. The global export of manufactured goods has steadily risen in the past several decades. According to the World Trade Organization (WTO), total world exports of manufactured goods doubled from US$ 1.09 trillion in 1980 to US$ 2.39 trillion in 1990. In 2000, it reached US$ 4.69 trillion. And in 2010, total world exports of manufactured goods was valued at US$ 9.96 trillion. In a mere three decades, exports of manufactured goods grew by nearly an order of magnitude.
The geographic relocation of manufacturing in the past several decades is evident in the aggregated regional export data.\(^{12}\) North America’s portion of total world
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\(^8\) A clear exception to this is R. Hausmann and C. Hidalgo, “The Network Structure of Economic Output,” *Journal of Economic Growth* 16 (2011): 309-342.
\(^9\) United Nations Conference on Trade and Development, Foreign Direct Investment Online database, www.unctad.org/en/Pages/DIAE/FDI%20Statistics/FDI-Statistics.aspx, accessed May 2012.
\(^{10}\) World Trade Organization, International Trade and Tariff Data: International Trade Statistics, 2011 Table 1.6, www.wto.org/english/res_e/statis_e/its2011_e/its11_world_trade_dev_e.htm
\(^{11}\) This tremendous increase of exports can also be broken down into three broad categories: manufactured goods, raw materials, and services. In this essay we explore only the manufacturing issues.
\(^{12}\) World Trade Organization (2011), Table 1.6, www.wto.org/english/res_e/statis_e/its2011_e/its11_world_trade_dev_e.htm
exports decreased from 18 per cent in 1993 to 13.2 per cent in 2010. Meanwhile, the proportion of European exports declined from 45.4 per cent in 1993 to 37.9 per cent in 2010. Asian exports, meanwhile, increased from 26.1 per cent in 1993 to 31.6 per cent of the world total in 2010. Chinese exports alone grew from 2.5 per cent in 1993 to 10.6 per cent of the world total in 2010. By contrast, Latin America had a modest increase, from 3 per cent to 3.9 per cent of total global exports, over the same period. Brazilian exports increased from 1 per cent in 1993 to 1.4 per cent in 2010, while Argentina’s exports increased from 0.4 per cent in 1993 to 0.9 per cent in 2012.\(^{13}\) Note that although Latin American exports increase in absolute terms, they do not significantly alter the patterns of global manufacturing.\(^{14}\) The shifts in export prominence clearly indicate the rise of new players in the world’s various supply and value chains. New production titans, such as China, have become an essential element of today’s competitive supply chains.
Global commercial service exports increased in the past three decades as well. As we see in chapter III, this is part of a trend in ICT-enabled services that changes the face of manufacturing. Assessing the pattern of exports of ICT-enabled services is extremely difficult for two reasons. The first reason is that the sale of equipment embedding sensor systems that provide services is listed as a manufactured “good,” even when the sale is predicated on the larger provision of an information-based service. The second reason is that ICT-enabled services do not fall, in many cases, into the traditional categories of service exports. What we do know is that global commercial service exports were valued at US$ 367 billion in 1980. In 2000 the total value of exported commercial services grew to US$ 1.48 trillion and then US$ 3.69 trillion in 2010.\(^{15}\) Despite these large reported increases in the export of services, it is not clear exactly what this tells us.
The proliferation of cross-national production networks in the past twenty years holds a variety of implications for advanced economies. First, although the manufacturing exports in advanced countries declined as a share of global manufacturing, total production still increased. According to the United States Bureau of Labor Statistics International Labor Comparisons,\(^{16}\) between 1990 and 2010 total manufacturing output\(^{17}\) increased in the United States from 67.6 to 113.8, in Germany from 94.5 to 103.6, in Japan from 98.9 to 117.6, and in Singapore from 51.2 to 181.\(^{18}\) More important perhaps, manufacturing output per worker hour increased.\(^{19}\) Between 1990 and 2010, manufacturing output per hour in developed countries increased dramatically. The United States increased from 58.1 to 147.1. Germany grew from 69.8 to 115.6, Japan rose from 70.9 to 136.2.
---
\(^{13}\) Ibid.
\(^{14}\) Ibid.
\(^{15}\) Ibid.
\(^{16}\) U.S. Department of Labor, Bureau of Labor Statistics, International Labor Comparisons: Productivity and Unit Labor Costs in Manufacturing: Data Tables, 1950-2010. ftp://ftp.bls.gov/pub/suppl/prod4-prodsupp03.txt
\(^{17}\) Manufacturing real output is estimated using moving price weights, as recommended by SNA 93. U.S. Department of Labor, Bureau of Labor Statistics, International Labor Comparisons: Productivity and Unit Labor Costs in Manufacturing: Data Tables http://www.bls.gov/fls/intl_prod_tn.pdf
\(^{18}\) Ibid.
\(^{19}\) Ibid.
The United Kingdom, which had experienced a slight decrease in overall production between 1990 and 2010, from 94.8 to 93.3, experienced a rise in output per worker hour from 70.3 to 125.6 during that same period.\footnote{ibid.} Chapter V of this report discusses how increased implementation of robotics and other forms of advanced manufacturing technology have improved productivity, in terms of worker output per hour, while also improving the quality of production in advanced goods. As a key point, these higher-quality goods are also specifically more often high-value goods. However, this automation comes at the cost of lower-skilled manufacturing jobs in developed countries.
Conversely, and not surprisingly, there has been a steady decline in manufacturing employment in developed countries over the past twenty years. According to the United States Bureau of Labor Statistics International Labor Comparisons, between 1990 and 2000 a general decline of manufacturing employment began in developed countries, with a decrease in employment from 21.3 million to 19.6 million in the United States, 15.0 million to 13.1 million in Japan, 8.8 million to 8.6 million in Germany, and 6.0 million to 4.4 million in the United Kingdom. By 2010 manufacturing employment declined substantially in all the developed countries. The number of manufacturing jobs fell to 14.0 million in the United States, 10.4 million in Japan, 8.1 million in Germany, and 2.9 million in the United Kingdom. As a consequence, and as an example of the political reaction, initiatives such as the White House’s Advanced Manufacturing Partnership (AMP)\footnote{White House, Office of the Press Secretary, “President Obama Launches Advanced Manufacturing Partnership (AMP)” [Press Release], June 24, 2011, www.whitehouse.gov/the-press-office/2011/06/24/president-obama-launches-advanced-manufacturing-partnership/.} have sought to address this trend and restore domestic employment through the creation of new local, specifically advanced, manufacturing jobs. However, although the AMP is focused on advanced manufacturing, many politicians and citizens continue to overlook the importance of creating specifically sustainable employment in manufacturing, which requires that such jobs cannot be more competitively relocated elsewhere within a global production network (GPN).
The aggregate data succeed in reflecting the basic changes in the structure of global production, yet fail to illuminate the decomposition of production. When we turn to the results of complex global production networks, the aggregate data do not tell us what we need to know. What we want to know, of course, is how supply networks actually operate to produce final goods for the consumer or the industrial user. Certainly, we want to know the extent of the decomposition of production; trade across both national borders and corporate boundaries. However, the existing data on the trade of intermediate goods does not provide a clear picture of the decomposition of production. The data remain too aggregated to assess easily the patterns of trade in intermediate goods or even whether the proportion of exports in intermediary goods has increased relative to the volume of total global exports. The sectors discussion in chapter II addresses this deficiency. This makes it difficult to evaluate the shift to the geographic organization of manufacturing around phases of production. Consequently, it remains open
to debate whether trade in intermediate goods as a proportion of final goods has increased with the volume of global exports.
The challenge of data aggregation lies with the categorization of intermediate and final goods. Sturgeon et al.\textsuperscript{22} seek to address this question through a simple recategorization of the traditional broad economic categories.\textsuperscript{23} They combine two of the traditional broad economic categories, consumption and capital goods, into a single “final” goods category. Sturgeon et al. argue that the resulting intermediate and final goods categories and consequent analysis better reflect the de facto dichotomy between suppliers and lead firms of GPNs in which different classes of GPN actors, suppliers and lead firms, tend to trade in intermediate and final goods, respectively.\textsuperscript{24} Moreover, this challenge is further complicated through the increasing difficulty in differentiating between production and services. The instability of the location of value in production networks is the crucial feature. This is addressed in the next two chapters.
C. The basic implications of the decomposition and recombination of production
This decomposition of manufacturing and services, the pervasive reorganization and experimentation, however described, has three implications that we wish to emphasize. First, each production element (a component, a subsystem, a module or service bundle) suddenly becomes a potential product, a point of competition with possible new competitors in interfirm and international trade.\textsuperscript{25} For some firms, regions and countries, that may mean a loss of competitive advantage or diminished price premiums; for others, it represents an array of new opportunities: opportunities to enter new businesses, or to tweak or reformulate older offerings.
Second, if Charlie Wilson, then CEO of General Motors, was ever right in proposing that what was good for GM was good for the United States, that the interests of giant integrated companies and their home communities were closely aligned, he would certainly find it hard to make the argument now.\textsuperscript{26} The core location of innovation, not just employment, is at issue. Often governments invest in the stimulation of R&D projects by “their” national companies in the hope that they will translate to new jobs and industries created within national borders. However, those same supposedly national firms then often locate the downstream activities, where job creation and economic growth benefits might be maximized,
\textsuperscript{22} T. Sturgeon and O. Memedovic. “Mapping Global Value Chains: Intermediate Goods Trade and Structural Change in the World Economy,” working paper, UNIDO: Development Policy and Strategic Research Branch. (May 2010).
\textsuperscript{23} Ibid.
\textsuperscript{24} Ibid.
\textsuperscript{25} Breznitz (2007).
\textsuperscript{26} Nonetheless, in a perfect example of the double bind in which states find themselves, when Detroit came calling, the Obama administration answered. It is an ironic that the once-proud GM, whose managers truly believed that the interests of the United States are best served by advancing the interests of their company, is now part-owned by the American tax payers and desperately needs not only to succeed but to explain to itself and the world what it means to be a United States conglomerate in a decomposed world.
in other places, locations that offer unique advantages that have very little to do with novel product innovation.\textsuperscript{27} To compete, places and firms must both develop competencies and assets that allow them to retain high-value-added activities and good jobs.\textsuperscript{28} Of course, that objective means different things for firms and places, and different things for different places.
Third, manufacturing in this era of global competition, for companies, can be either a strategic asset or a vulnerable commodity. For companies, the question is: “When can production serve to generate and maintain advantage? When is production under direct corporate control essential to creating value? Under what circumstances is the lack of in-house world-class manufacturing skills a strategic vulnerability? Conversely, when is it simpler and easier to just buy production as a commodity service?” For the country, or the region perhaps, the question becomes: “What can be done to make this country/region an attractive location for world-class manufacturing, an attractive place for companies to use production to create strategic advantage?”
D. When is production a strategic asset and when is it a commodity?
At one end are full commodities, components or products that are largely interchangeable and competing essentially on price and delivery times. In between, production knowledge can be of tremendous value because the know-how is difficult to replicate. In some cases, this manufacturing knowledge is so valuable that a firm will make critical machinery in-house or retain especially valuable segments of the production process in the home country. At the other end might be products developed with radically new materials, technologies and processes. Sectors that depend on nanotechnology-based materials are all about how you make things. Products that depend on biotechnology are also likewise about how you make things. So, in this big category of new materials-based production, the ability to know how to make things, to be a strategic leader, can be crucial in the ability to capture value or design next-generation products. Indeed, when Toyota developed the hybrid, it considered the electronics of the hybrid so crucial that it brought them back in-house from its original joint venture with Matsushita Electric.
The strategic place of production is evident if we ask who will dominate the new sectors. Will those who generate or even own, in the form of intellectual property rights, the original science-based engineering on which the nanotechnology or biotechnology rests be able to create new and innovative firms that become significant players in the market? Or will established players in pharmaceuticals and materials absorb the science and science-based engineering
\textsuperscript{27} Breznitz(2007); D. Breznitz & A. Zehavi, ‘The Limits of Capital: Transcending the Public Financer-Private Producer Split in Industrial R&D Research Policy”, \textit{Research Policy} 39 (2010): 301-312.
\textsuperscript{28} J. Zysman, N.C. Nielsen, D. Breznitz, with D. Wong, “Building on the Past, Imagining the Future: Competency-Based Growth Strategies in a Global Digital Age,” working paper, BRIE, http://brie.berkeley.edu/publications/WP181.pdf.
knowledge and techniques, by purchasing firms that have spun out from a university or, alternately, by parallel internal development by employees hired from those same universities?
There is an ongoing, critical interaction among: (a) the emerging science-based engineering principles; (b) the reconceived production tasks; and (c) the interplay with lead users that permits product definition and debugging of early production. Arguably, that learning is more critical in the early phases of the technology cycle. Can a firm capture the learning from that interplay if it outsources significant production?
There will not be a single answer but, rather, a set of answers that are specific to particular industries. As important, the answer shifts with emerging technology and shifting sets of competitors. Importantly, these are not stable categories, and the conclusions depend on the circumstances. Consider the semiconductor industry, in which the underlying production process and materials evolve radically as transistor size shrinks. In this sector, the question of production, product innovation, value creation and market control remains entangled.\(^{29}\) A generation ago, the industry was threatened when its ability to develop and source leading-edge production equipment was weakening. The capacity to retain an innovative edge in product seemed endangered. Now, the cycle has come full circle, after a generation in which design has often become separated from production, with foundries producing for pure design houses. Once again, the question is whether product position can be retained if the underlying technologies and their implementation in production systems cannot be maintained.\(^{30}\)
E. Finding value in production: firm strategy and public policy
We have noted that intense global competition has generated both commoditization of production and an urgent search for new sources of value. Intense global competition has led to commoditization of product competition based principally on such basics as price and delivery time. Full commodities, components or products that are largely interchangeable, compete essentially on price and delivery time. In turn, commoditization drives a constant search by firms and locales for the “sweet spot” in competition (a momentary defensible point to capture distinctive advantage and profits). By contrast, some products embed value in new ways, for example, cranes that facilitate port management or autos that facilitate an emergency response, and products developed with radically new materials, technologies and processes.
*Firm strategy:* For the firm, the question is whether that interaction is more effective, in terms of the learning captured, within the firm or possible at all in
\(^{29}\) M. Borrus, J. Millstein, and J. Zysman, “U.S.-Japanese Competition in the Semi-Conductor Industry,” University of California at Berkeley, Institute of International Studies; M. Borrus, D. Ernst, and S. Haggard (Eds.), *International Production Networks in Asia: Rivalry or Riches?* (London: Routledge, 2000).
\(^{30}\) National Research Council, *Securing the Future: Regional and National Programs to Support the Semiconductor Industry*, ed. C.W. Wessner (Washington, D.C.: National Academies Press, 2003).
arm’s-length marketplaces? As new processes or materials emerge, it is harder to find the requisite manufacturing skills as a commodity in the market, and consequently the new production skills become essential. Very often, this is achieved through learning-by-doing and can be a powerful competitive weapon. As important, firms must ask whether outsourcing will risk transferring core product/process knowledge, helping competitors develop strategically critical assets. Firms must have the capacity to judge which modules or components will be decisive in creating advantage, which must be developed in-house, and which can be safely sourced from outside. That judgment must include an estimation of which elements will evolve radically and which are likely to be commoditized and must then determine which in-house skills are needed in order to compete. In short, what is required is neither just the critical skills to produce particular artifacts or subroutines nor just the ability to create a system and reintegrate the decomposed outsourced components and constituent elements, but a combination of both.
*Policy for places: production, innovation and clusters:* For the country or region, the question is whether ongoing production activity is needed to sustain the knowledge required to implement the new science and science-based engineering. In other words, a regional or national government might not care whether the learning goes on in a specific firm, as long as the learning is captured in technology development within its domain. Those intimate interplays have traditionally required face-to-face, and hence local and regional, groupings.
For the country, or the region perhaps, the question becomes: “What can be done to make this country/region an attractive location for world-class manufacturing, an attractive place for companies to use production to create strategic advantage?” Core governance choices for locales, as for firms, comprise where to specialize and whether to emphasize the constituent elements of the product or focus on the system integration activity of putting the whole back together again. Just as there were multiple choices by firms and varied models of success, national successes (or failures) demonstrate that a plethora of viable regulatory regimes and strategic growth options exist.\(^{31}\)
The decomposition of production and its reorganization around phases rather than sectors forces places to make decisions about where they want to specialize. As we argue in chapter IV, the basis of this discussion must be on phases of production, not sectors. Regional strategy must focus on the core competencies that underpin diverse activities, firms, and sectors that are central to the competitive advantage of companies and consequently of places as well. Developing competencies, and the regional capacity to see those competencies combined in productive and profitable activities, must be the focus of growth strategies. Strategies must ensure that investments of all sorts continuously add to the region’s competencies and the capacity to combine them productively. Consider the discussion about the creative class as an example of a “competency” and an
\(^{31}\) D. Rodrik, *One Economics, Many Recipes: Globalization, Institutions, and Economic Growth* (Princeton, NJ: Princeton University Press, 2007); Breznitz (2007).
investment to develop it.\textsuperscript{32} The notion of the creative class is that, because creative and talented people are required for firms and regions to adjust and adapt in the global economy, policy should focus on attracting and promoting this talent or competency. This is the right track, but a singular focus on one competency is far too narrow. The notions of attracting a creative class, distinctive investment in digital networks and training strategies are all aimed at this problem of developing regional competencies. The problem is fundamentally “developing the inherent creative skills broadly across the education system so that we raise the creative capabilities of all, not just a few elites. The higher paying value creating jobs in the economy will be filled by folks with a significant creative component to their skill sets. The issue is the broadly based creative capacity (we use the term “competency”).”\textsuperscript{33} The regional capacity to combine and deploy these competencies in productive activity and profitable firms, supporting employment and growing real incomes, also depends on the infrastructure of communications and transportation.
Let us consider for a moment the notion of “competency” as the core requirement to compete in an intensely competitive global economy. In a world of commodities, the challenge is to find the sweet spot in the value network. The question for places is which investments to make, and how, so that firms at their particular locations can develop distinct strategies for generating specific advantages. The core idea to consider is what a place is competent at doing and how to deepen those competencies, expand the list, and ensure the local capacity to combine competencies into productive activity.
Which competencies permit a firm or a locale to occupy high-value-added segments of the value network? In chapter IV, we specify five competency domains, each essential for corporate capacities to compete globally and consequently something a “place” might want to provide. The list is not meant to be definitive, but indicative. Indeed, within each of these competency domains a wide array of “competencies” is at play, some of which are not necessarily compatible. But even if we cannot draw the boundaries clearly at this point, and might debate what falls in which category, we need to start the conversation and the mapping somewhere. These competencies are sometimes bundled inside companies and sometimes outsourced, but a region or locale wants to be the location where they take place.
\textsuperscript{32} R. Florida, \textit{The Rise of the Creative Class: And How It’s Transforming Work, Leisure, Community and Everyday Life New York}: Basic Books, 2003.
\textsuperscript{33} The framing of this concept was aided by the insights of Jonathan Murray.
II. Where is the value in the value networks?
Martin Kenney\textsuperscript{34}
A. Introduction
International trade statistics are part of the nearly constant politicized debates in countries around the world. Remarkably, even as the collection of trade statistics has improved and been standardized, their value for understanding the beneficiaries of burgeoning global trade has been increasingly dubious. It is not just a matter of who ships what to whom but of where the value is captured. This chapter reviews the literature on the capture of value in specific products. It draws upon the most detailed micro-level case studies that take a “bottom-up” approach to examining in which country particular value chain nodes and their concomitant employment are located (note that if we accept that stockholders are the ultimate residual beneficiaries of the profits earned, the profits would have to be allocated to the countries where the stockholders reside). The data and studies reviewed conclusively indicate that different corporate functions, and the wages attached to them, are also geographically segmented. For the products that we reviewed, it is possible to generalize and conclude that the highest value-added activities are located in the developed countries, which are also, for the most part, the most important locations for end-user consumption. If end-user consumption relocates because of a growth of wealth in what are now the lower-wage manufacturing countries or there is a progressive impoverishment of the developed country markets, then the location of the higher- and even highest-value functions, such as design, may eventually relocate to these other countries. One interesting case is that, today, Tokyo is one of the world’s fashion hubs, perhaps, not New York, Milan, or Paris, but an important second-tier location. Similarly, Japan is now a hub for sourcing the most advanced fabrics in the world. Another example is the Korean K-Pop music phenomenon that is now a global cultural good. None of these cases could have been predicted fifty years ago.
One of the most difficult issues in understanding the costs and benefits of the globalization of work is to understand where and by whom the value is created in what have evolved into long riverine chains that organize the provision of products and services. These knotty issues vex policymaking globally. To illustrate, United States politicians criticize China for “stealing” United States jobs, while Chinese government officials worry about the low wages of their workers, the transfer of wealth abroad through Western (read United States) control of
\textsuperscript{34} Martin Kenney is a professor of human and community development, University of California at Davis and senior project director, Berkeley Roundtable on the International Economy; e-mail: firstname.lastname@example.org.
intellectual property (patents, copyrights and trademarks), and the possibility that significant upward revaluation of the renminbi could make the country’s exporters uncompetitive. To China and other developing countries, it might appear that an enormous amount of work is done on their soil, and much of the pollution is in their countries, while they are capturing very little value for the products manufactured.
Apple, in many respects, is an iconic, though exaggerated, example of the value-capture equation. In late January 2012, it announced that its sales in the fourth quarter of 2011 were US$ 17.3 billion, or 37.4 per cent of total revenue with a net income of US$ 46.3 billion.\(^{35}\) Yet, even as its revenues, profits and margins exploded, the United States news media reported on the difficult labour conditions and low wages Chinese workers experience in the Taiwanese-owned Foxconn factories.\(^{36}\) Although Apple, because of its fabulous profits, has been the focus of criticism over labour conditions, nearly all the electronic goods producers either used the same contractors or had factories with similar labour practices in operation in China. What these stories and myriad others confirm is that assembly workers in these value chains capture almost none of the value created, seemingly regardless of the profits of key firms in the chain.
One important and glaring exception to this argument is that manufacturing has become more globally dispersed, a testament to China’s role in attracting manufacturing of all sorts. As a broad generalization, “continental” reorganizations are taking place in the location of manufacturing—such as the role of Mexico in supplying the United States, Eastern Europe, Turkey, and, to a lesser degree, North Africa in supplying Western Europe. However, these reorganizations are superseded by the role of China in supplying the world. Even as it competes with the lower-wage countries for export partners, China is also gaining market share in these lower-wage countries by competing with the local firms supplying domestic markets. So, for example, Mexicans who worship at the shrine of Our Lady of Guadalupe in Mexico can buy trinkets depicting the Virgin Mary that are made in China.
Karl Marx believed that capitalism would spread and eventually become a global system tying together countries and workers. Today, more than ever, this appears to be the case, and, more important, the production process and related division of labour are far more widely distributed across national boundaries. Although many have focused on the increasing ease with which data crosses geographic and national boundaries, objects with weight and mass have also become more mobile. Despite great interest in where the value of a commodity (the thing sold in the market) is added and captured, far less detailed analysis has been conducted than one might expect. This section reviews the existing state of knowledge in an effort to better understand what we already know.
\(^{35}\) Apple Quarterly Report (2012).
\(^{36}\) See, for example, C. Duhigg and D. Barboza, “In China, Human Costs Are Built into an iPad,” *New York Times*, January 25, 2012, www.nytimes.com/2012/01/26/business/economy-apples-ipad-and-the-human-costs-for-workers-in-china.html?_r=2/ (accessed January 25, 2012).
Apocryphal Barbie example
In 1996, the *Los Angeles Times* published an article that discussed a made-in-China Barbie doll sold at a local store in an attempt to understand where the components of the total price of the doll were captured.\(^{37}\) Initially, assembly had been done in other parts of Asia and her production was first offshored to Japan. But by 1996 Barbie was assembled in China. Value capture for Barbie as a commodity was even more complicated. The retail price of the Barbie doll was US$ 10, of which the reporter calculated that US$ 7 was added in the United States from the costs of transportation, marketing, and wholesale and retail markups, and Mattel’s profit of approximately US$ 1. The remaining US$ 2 were the costs of production, which were spread throughout Asia. But even this did not capture the entire story, as the feedstock for Barbie’s plastic came from the Middle East and then the plastic body was injection molded in China. At the time this article was published, the nylon hair was imported by China from Japan, rather than less expensive Italy, because the quality of Japanese nylon hair was superior. No data is available to confirm whether this pattern continues.
One of the difficulties in this analysis is that we are not sure of the origin or of which firm bears the cost of the capital equipment used in the Chinese factories. In some sectors equipment and facility costs, that is, capital investment, are an important component of overall costs. For example, if the plastic injection molding machines (or the molds) for Barbie were provided by Mattel, then part of its overall “profits” may in fact be factory and equipment depreciation. In doll production, this is probably a minimal cost, but for other products, such as semiconductors or automobiles, capital investment can be enormous. At the time this news article was written, the capital equipment was imported from developed countries, most likely Japan. It is also possible that, at that time, the molds for the body were made in either the United States or an Asian developed country such as Japan. It is possible that, given the relative lack of sophistication of the Barbie doll, today nearly everything, including the capital equipment, molds, hair, and paints, is produced in China. However, the nozzles for extruding the nylon might still be produced in Japan. Only the role of Mattel’s headquarters in the Los Angeles area remains the same and is able to capture relatively similar shares of the entire value created, though its margins might be squeezed by the giant retailers, such as Toys-R-Us and Wal-Mart.
B. Electronics
Electronics is where much of the most detailed research on value capture has been undertaken. It is also interesting because scholars such as Breznitz\(^{38}\) and Rodrik\(^{39}\) have pointed out that there is the enormous potential for national and
\(^{37}\) R. Tempest, “Barbie and the World Economy,” *Los Angeles Times* (September 22, 1996), http://articles.latimes.com/1996-09-22/news/mn-46610_1_hong-kong/4 (accessed January 27, 2012).
\(^{38}\) D. Breznitz, *Innovation and the State: Political Choice and Strategies for Growth in Israel, Taiwan, and Ireland* (New Haven: Yale University Press, 2007).
\(^{39}\) D. Rodrik, “What’s So Special About China’s Exports?” *China & World Economy* 5 (2006): 1-19.
firm upgrading, as the cases of firms such as Samsung, HTC, Acer, Lenovo and Huawei have shown. The ability of countries and firms to use electronics for upgrading their industrial activities and presumably capturing more value is what makes electronics so interesting and the following case studies so relevant.
B.1 Notebook computers
The personal computer industry (with the notable exception of Apple) is dominated by two firms, Microsoft and Intel, or what Zysman and Borrus broadly referred to as Wintel.\(^{40}\) Since IBM’s control over the BIOS was broken by Cirrus Logic and Compaq, PC assemblers have been involved in a commodity business and have, for all intents and purposes, been unable to differentiate themselves on any basis except price.\(^{41}\) The only significant exception to this has been intermittently in notebook computers, in which size, weight and quality have, for short periods, provided some succour against the constant downward pressure on price. Even firms such as Dell that, at times, appeared to have market power and assembled PCs in the United States and other locations closer to the end-user market, have responded to price competition by moving assembly to China.\(^{42}\)
The geography of value chains evolves over time, and the shortcoming of many studies’ analyses is that they do not depict the dynamics of value-chain geography. For notebook computers, Dedrick and Kraemer show that location of various nodes in the value chain has been changing (see figure I).\(^{43}\) However, they contrast the change only from 2003 to 2006, when, in the early days of the notebook computer, most segments of the value chain were located in Japan and Japanese firms, and, although IBM’s ThinkPad was designed in the United States, IBM Japan had a significant manufacturing role. Gradually, firms based in Taiwan Province of China that had built significant expertise in assembling desktop computers entered the business at the low-end of the notebook market as subcontractors for United States brands and gradually eroded the Japanese manufacturing advantages. Even as the Taiwanese firms captured an increasing number of the segments of the value chain, they had to respond to increased competition by offshoring manufacturing (assembly) to China. For commodity desktop and notebook computers, Dedrick and Kraemer found that “Dell and HP both operat[ing] design centres in Taipei with hundreds of engineers suggests that even more jobs can potentially move offshore.”\(^{44}\) The tendency to transfer different segments of the notebook PC value chain to Asia is likely to continue.
\(^{40}\) M. Borrus and J. Zysman, “Globalization with Borders: The Rise of Wintelism as the Future of Industrial Competition,” *Industry and Innovation* 4, No. 2 (1997).
\(^{41}\) See, for example, R.N. Langlois and P.L. Robertson, *Firms, Markets, and Economic Change: A Dynamic Theory of Business Institutions* (London: Routledge, 1995).
\(^{42}\) For an analysis in the 1990s, see J. Curry and M. Kenney, “Beating the Clock: Corporate Responses to Rapid Change in the PC Industry,” *California Management Review* (Fall 1999): 8-36.
\(^{43}\) J. Dedrick and K.L. Kraemer, “Is Production Pulling Knowledge Work to China? A Study of the Notebook PC,” *IEEE Computer* 39, No. 7 (2006): 36-42.
\(^{44}\) Ibid.
The tendency for PC assembly to be relocated to Asia is well known. This is facilitated by the fact that most notebook PCs are comparatively simple assembled products. Much of the value is in the components, so their composition must be examined to understand how the value in the entire product is distributed globally. For example, Jason Dedrick et al. compared the value of the inputs in a Chinese-assembled iPod and a Hewlett Packard notebook computer (see table 1).\(^{45}\) The top-of-the-line notebook at that time had a factory cost of US$ 2,196. The breakdown of its input value is interesting and revealing. The highest value was in the Intel processor, nearly all of which are fabricated in the United States. The display, storage (hard disk) and software are produced by firms in developed countries, with the exception that many displays are produced by Samsung in the Republic of Korea. The battery and memory are also produced by either Korean or Japanese firms. The assembly, enclosure, input devices (keyboard and mouse), printed circuit boards, and hundreds of other components (some of which might also be produced in developed countries or by firms domiciled in developed countries) account for only 23 per cent of the total value of the components in the notebook computer.
\(^{45}\) J. Dedrick, K.L. Kraemer and G. Linden, “Who Profits from Innovation in Global Value Chains? A Study of the iPod and Notebook PCs,” *Industrial and Corporate Change* 19, No. 1 (2009): 81-116.
Table 1. Comparison of inputs as a percentage of factory cost: 30 GB Video iPod and HP nc6230 notebook
| Component | Video iPod (in percentage) | nc6230 Notebook (in percentage) |
|----------------------------|----------------------------|---------------------------------|
| Software | NA | 12 |
| Storage | 51 | 13 |
| Display | 16 | 16 |
| Processors | 9 | 27 |
| Assembly | 3 | 3 |
| Battery | 2 | 5 |
| Memory | 4 | 4 |
| PCBs | 2 | 3 |
| Enclosure | 2 | 1 |
| Input device | 1 | 2 |
| Subtotal for key components| 90 | 86 |
| Hundreds of other components| 10 | 14 |
| TOTAL | 100 | 100 |
| TOTAL PARTS | 451 | 2,196 |
Source: J. Dedrick, K.L. Kraemer and G. Linden, “Who Profits from Innovation in Global Value Chains? A Study of the iPod and Notebook PCs,” *Industrial and Corporate Change* 19, No. 1 (2009): 7.
The profitability of the components included in the HP notebook computer differs dramatically (see table 2). The highest profits are captured by Microsoft and Intel, though a number of United States, Japanese and Korean firms capture significant profits and profit margins. The unknown assembler has the worst returns and very low profit margins. Within the value chains of most of the suppliers, there is an assembly component, for example, chip assembly and testing, which is relatively low value-added. The PC value chain is particularly interesting because the brand name assembler does not have particularly high profit margins as 38 per cent of costs in the PC inputs are due to Microsoft’s and Intel’s inputs. Most important, the operating system and processor chip set face little competition. They are close to being monopolies and can capture outsize returns.
Table 2. Profit margins of firms in the HP nc6230 supply chain, 2005
| Function | Supplier | Gross margins (percentage) | Operating margins (percentage) | Return on assets (percentage) |
|-----------------------------------------------|-------------------|----------------------------|--------------------------------|-------------------------------|
| Operating system | Microsoft | 84.8 | 36.6 | 17.2 |
| Processor plus logic, wireless chips | Intel | 59.4 | 31.1 | 17.9 |
| Videomemory | HynixSemiconductor| 37.3 | 24.9 | 17.7 |
| Function | Supplier | Gross margins (percentage) | Operating margins (percentage) | Return on assets (percentage) |
|--------------------------------|-------------------|----------------------------|--------------------------------|-------------------------------|
| Card bus and battery charge controllers | Texas Instruments | 48.8 | 20.8 | 15.4 |
| Ethernet controller | Broadcom | 52.5 | 10.9 | 9.8 |
| Memory board | Samsung | 31.5 | 9.4 | 10.3 |
| Retailer | Best Buy | 25.0 | 5.3 | 9.6 |
| I/O controller | Standard Microsystems | 46.0 | 4.2 | 2.7 |
| DVD-ROM | Matsushita | 30.8 | 4.2 | 1.9 |
| Battery pack | Unknown | 24.0 | 4.0 | 2.4 |
| Lead firm | HP | 23.4 | 4.0 | 3.1 |
| Display assembly | Toshiba Matsushita | 28.2 | 3.9 | 1.8 |
| Hard drive | Fujitsu | 26.5 | 3.8 | 1.8 |
| Assembly | Unknown | 6.1 | 2.4 | 4.6 |
| Distributor | Unknown | 7.7 | 1.5 | 1.9 |
| Graphics processor | ATI Technologies | 27.6 | 1.1 | 1.0 |
Source: J. Dedrick, K.L. Kraemer and G. Linden, “Who Profits from Innovation in Global Value Chains? A Study of the iPod and Notebook PCs,” *Industrial and Corporate Change* 19, No. 1 (2009): 12.
### B.2. Nokia mobile phones
The Nokia N95 Smartphone was introduced in September 2006 and at that time was a top-of-the-line phone. The Finnish research organization ETLA performed a value chain analysis on the N95 to understand where the value embodied in the phone was created and captured. Only such detailed studies, and there are not many, can really answer the question of the location of value creation. The complicated nature of understanding who captures the value is illustrated by the fact that the “N95’s main processor was provided by Texas Instruments (United States). The hardware design was made in Dallas (United States) and in Nice (France). Much of the software design and its integration to hardware were of Indian origin. Besides Dallas (United States), the processor was also manufactured in Japan.”
In the N95 case, as with many information technology devices, intellectual property can be an important portion of the overall value. Ali-Yrrok et al. explicitly note that Nokia has significant intellectual property, which it cross-licenses with competitor firms. If a new entrant without an IP had to acquire licences, they estimate that instead of the approximately 20 euros (which is more than 10 per cent of the entire cost of materials) Nokia must pay for licences, the cost would be approximately 40 euros or nearly 20 per cent of the cost of materials (excluding final assembly)—a substantial competitive handicap. This “tax” for
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46 This section summarizes the work of J. Ali-Yrkkö, P. Rouvinen, T. Seppälä and P. Ylä-Anttila, “Who Captures Value in Global Supply Chains? The Case of Nokia’s N95 Smartphone,” ETLA Discussion Paper 1240, February 28, 2011, http://www.etla.fi/files/2592_no_1240.pdf (accessed January 28, 2012).
47 Ibid., 4ff.
intellectual property should be a substantial barrier to new entrants—which presumably would be from developing countries.
The final assembly/manufacturing cost of the N95 was estimated at 11.5 euros, that is, 2 per cent of the pre-tax final sales price.\(^{48}\) This is less than the cost of licensing, thus the assembly location is not a significant indicator of where and by whom the value is captured. The N95 was assembled in only two locations, Finland and Beijing, China, and in both locations was assembled only in Nokia factories. According to Ali-Yrkkö et al.’s calculations, Nokia added approximately 50 per cent of the total value-added. In terms of the geography of where the value-added is captured, their analysis is particularly interesting because it uses different assumptions about how to attribute the value added. Obviously, if there had been no production in Finland and it had all been in China, then their column B (see table 3) would have been somewhat different, with Asia having a higher percentage.
**Table 3.** The value-added breakdown of Nokia N95 by major region (in percentage)
| Location | Head-quarters | Location of production factors | 10% to HQ country and 90% to production country | Location of production corrected for productivity | Columns 4 and 5 combined |
|---------------------------------|---------------|--------------------------------|--------------------------------------------------|--------------------------------------------------|--------------------------|
| Finland | 47.2 | 34.0 | 35.3 | 37.9 | 38.8 |
| Other EU-27 | 1.9 | 9.9 | 8.6 | 7.7 | 7.1 |
| North America | 6.6 | 9.1 | 8.9 | 9.1 | 8.9 |
| Asia | 4.7 | 8.3 | 8.0 | 6.6 | 6.4 |
| Other countries | 1.3 | 0.8 | 0.9 | 0.3 | 0.4 |
| Unaccounted inputs | 3.1 | 3.1 | 3.1 | 3.1 | 3.1 |
| Vendor of vendors | 18.7 | 18.7 | 18.7 | 18.7 | 18.7 |
| Nation of final sales | 14.5 | 14.5 | 14.5 | 14.5 | 14.5 |
| Nation of final assembly (Finland or China) | 2.1 | 2.1 | 2.1 | 2.1 | 2.1 |
| **Total** | **100** | **100** | **100** | **100** | **100** |
*Source:* J. Ali-Yrkkö, P. Rouvinen, T. Seppälä and P Ylä-Anttila, “Who Captures Value in Global Supply Chains? The Case of Nokia’s N95 Smartphone,” ETLA Discussion Paper 1240, February 28, 2011, www.etla.fi/files/2592_no_1240.pdf (accessed January 28, 2012), p. 11.
The N95 study went further than most articles and considered the differences in how these results would be reported in international trade statistics (see
\(^{48}\) Ibid., 9.
tables 4 and 5), which show that an N95 exported from Finland to Germany would have different impacts on Finland depending on from which country the N95 was exported and to which country it was sent. However, the most interesting case is one in which Nokia exports a phone from China to the United States. In this case, it appears as a Chinese export, when in fact it is Nokia that is undertaking the export. Despite the changing destination, the true value-added in Asia increases only slightly from 13 per cent to 16 per cent of the total (and some of that value-added comprises sophisticated parts, such as Samsung DRAM produced in the Republic of Korea and a camera probably produced in Japan).
Table 4. N95’s geography of gross value in two cases as recorded in international goods trade statistics (in euros)
| Exports from Finland to Germany | Exports from China to the United States |
|---------------------------------|----------------------------------------|
| Assembly in Finland with final sale in Germany | 467 |
| Assembly in China with final sale in United States | 467 |
Source: Ali-Yrkkö et al. (2011: 12).
Table 5. The N95’s gross value in terms of the geography of value added (in percentage)
| Locations | Finland | Other EU-27 | Asia | North America | Rest of world |
|------------------------------------------------|---------|-------------|------|---------------|---------------|
| Assembly in Finland, final sale in Germany | 41 | 27 | 13 | 14 | 5 |
| Assembly in China, final sale in the United States | 39 | 12 | 16 | 28 | 5 |
| Average of all combinations | 38 | 16 | 18 | 17 | 11 |
Source: Ali-Yrkkö et al. (2011: 12).
What is most interesting is Ali-Yrkkö et al.’s conclusion, namely, that they expected that at a minimum Nokia’s Beijing plant should have received “roughly 0.8 billion of service exports from Finland to China in 2007.”\(^{49}\) However, when examining the data Statistics Finland reported, they found that “the total services [exports] across all industries from Finland to China were 0.6 billion in 2007. Thus, the recorded figure did not even account for one phone model, which in 2007 accounted for less than 1.5 per cent of all sold Nokia phones and less than 7.5 per cent of all Nokia phone sales (not to mention service exports of all other actors and industries).”\(^{50}\)
\(^{49}\) Ibid., 13.
\(^{50}\) Ibid.
In another study of four cell phone suppliers (not the brand firm), Dedrick et al.\(^{51}\) found that the gross profit shares differed by manufacturer, but, at the time of their study, for many of the firms the capture of profits by suppliers was geographically dispersed in the developed countries (see table 6). Most remarkable was the relatively low percentage of gross profit captured by Asia other than Japan. It is likely that this is changing, not because China is capturing greater profits but because Korean firms, in particular Samsung, are becoming more important in the supply chain. In mobile phones, Dedrick et al. suggest that “job creation in terms of headcount may be skewed towards the location where the labour-intensive assembly is located, while the home nation may receive the higher value-added jobs in R&D, marketing, and management.”\(^{52}\) In the case of Nokia, which has assembly in Finland, the case is likely to be similar.
**Table 6. Estimated gross profit shares for four phones, 2010 (in percentage)**
| Supplier/product | United States | Japan | Other Asia | Europe | Unidentified | Total |
|------------------|---------------|-------|------------|--------|--------------|-------|
| Motorola Razr | 36 | 28 | 6 | 0 | 30 | 100 |
| Palm Treo 650 | 39 | 19 | 8 | 3 | 31 | 100 |
| RIM Blackberry Curve 8300 | 41 | 2 | 8 | 12 | 37 | 100 |
| Nokia 7710 | 17 | 35 | 2 | 11 | 36 | 100 |
*Source: Dedrick et al. (2011: 510).*
**B.3. Apple—iPad, iPhone, and iPod**
To continue the Apple example, the iconic electronics products of the past six years are Apple’s mobility product family (the “i”s). This series of products has made Apple one of the most profitable electronic consumer product makers in history. Apple has no production facilities and relies entirely on subcontractors, Taiwanese firms that have production facilities in China. All the research examining value-added suggests that the Taiwanese assembler had profit margins lower than any except those of the distributor. Interestingly, the gross margins for the controller, video and primary memory chips were larger than those of Apple, though, with the exception of Portal Player, the return on assets was extremely high (see table 7).
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\(^{51}\) J. Dedrick, K.L. Kraemer, & G. Linden, “The Distribution of Value in the Mobile Phone Supply Chain,” *Telecommunications Policy* 35, No. 6 (2011): 505-52.
\(^{52}\) Ibid., 506.
Table 7. Profit margins of primary firms in the Video iPod supply chain, 2005 (in percentage)
| Function | Supplier | Gross Margin | Operating margin | Return on assets |
|----------------|--------------|--------------|------------------|-----------------|
| Controller chip| PortalPlayer | 44.8 | 20.4 | 19.1 |
| Lead firm | Apple | 29.0 | 11.8 | 16.6 |
| Video chip | Broadcom | 52.5 | 10.9 | 9.8 |
| Primary memory | Samsung | 31.5 | 9.4 | 10.3 |
| Battery | TDK | 26.3 | 7.6 | 4.8 |
| Retailer | Best Buy | 25 | 5.3 | 9.6 |
| Display | Toshiba/Matsushita | 28.2 | 3.9 | 1.8 |
| Hard drive | Toshiba | 26.5 | 3.8 | 1.7 |
| Assembly | Inventec | 8.5 | 3.1 | 8.1 |
| Distribution | Ingram Micro | 5.5 | 1.3 | 3.1 |
| Minormemory | Elpida | 17.6 | 0.1 | −1.0 |
| Minormemory | Spansion | 9.6 | −14.2 | −9.2 |
Source: Dedrick et al. (2009: 92).
When Kraemer et al.\(^{53}\) extended their iPod study, they found that for every iPhone (see table 8) and iPad imported to the United States (see table 9), the trade deficit increased about US$ 229 and US$ 275, respectively. This earlier result is confirmed by their prior finding that “for every US$ 299 iPod sold in the United States, the United States trade deficit with China increased by about US$ 150.”\(^{54}\) As was the case with iPod, “the value captured from these products through assembly in China is around US$ 10.”\(^{55}\) What is remarkable, in particular for the iPhone, is the enormous profit margins for Apple. The iPad had a higher cost of materials and concomitantly lower profit margins. However, in each of these cases, the Chinese labour costs are only about 2 per cent of the entire value.
Table 8. Distribution of value for the iPhone, 2010 (in percentage)
| Costs and profits | Percentage of total value |
|------------------------------------|---------------------------|
| Apple profits | 58.5 |
| Korean profits | 4.7 |
| Unidentified profits | 5.3 |
| Japan profits | 0.5 |
| Taiwan Province profits | 0.5 |
| EU profits | 1.1 |
| Non-Apple U.S. profits | 2.4 |
\(^{53}\) K.L. Kraemer, G. Linden and J. Dedrick, “Capturing Value in Global Networks: Apple’s iPad and iPhone,” CRITO Working Paper, July 2011, http://pcic.merage.uci.edu/papers/2011/Value_iPad_iPhone.pdf (accessed February 1, 2012).
\(^{54}\) Ibid., 7.
\(^{55}\) Ibid.
| Costs and profits | Percentage of total value |
|-----------------------------------|---------------------------|
| Cost of inputs: China labour | 1.8 |
| Cost of inputs: materials | 21.9 |
| Cost of inputs: non-China labour | 3.5 |
Source: K.L. Kraemer, G. Linden and J. Dedrick, “Capturing Value in Global Networks: Apple’s iPad and iPhone,” CRITO Working Paper, July 2011, http://pcic.merage.uci.edu/papers/2011/Value_iPad_iPhone.pdf (accessed February 1, 2012), p. 5.
Table 9. Distribution of value for the iPad, 2010 (in percentage)
| Costs and profits | Per cent of total value |
|------------------------------------|-------------------------|
| Apple profits | 30 |
| Korean profits | 7 |
| Unidentified profits | 5 |
| Japan profits | 1 |
| Taiwan Province profits | 2 |
| Non-Apple U.S. profits | 2 |
| Cost of inputs: China labour | 2 |
| Cost of inputs: materials | 31 |
| Cost of inputs: non-China labour | 5 |
| Distribution and retail | 15 |
Source: Kraemer et al. (2011: 5).
Apple does not produce components or assemble products, but rather sources components and contracts assembly. As we have already seen, the value-added from assembly is insignificant. Despite this obstacle, the information and communication industries offer many opportunities for upgrading, as countries such as China can begin designing and fabricating semiconductors (in the case of semiconductor fabrication, Shanghai Manufacturing Industrial Corporation is the most salient example). Below we examine the disk drive industry in greater detail, but for the Apple products and notebook computers, flat panel displays (FPDs) and semiconductors are a significant portion of the cost of goods. In the case of FPDs, the only significant producers are the Republic of Korea and Taiwan Province, as recently Japan has been retreating from large displays. According to a recent news report, the Republic of Korea and Taiwan Province together have a global market share of about 90 per cent, and Japanese firms such as Sharp are adjusting to this by licensing technology and selling older equipment to Chinese producers.\(^{56}\)
\(^{56}\)D. Wakabayashi, “First GDP, Now Panels: China Outstrips Japan Again,” *Japan Real Time* (June 14, 2011), http://blogs.wsj.com/digits/2011/06/14/first-gdp-now-panels-china-outstrips-japan-again/ (accessed January 31, 2012).
B.4. Semiconductors
In semiconductors, China became the largest global consumer by far in 2009 (see table 10), consuming 41 per cent of all semiconductors, up from 23 per cent in 2003.\(^{57}\) In effect, this enormous market provides ample space for China’s semiconductor production to increase, and this offers opportunities to increase domestic production. In some cases, the increase will come through foreign firms establishing production facilities in China. For example, the value of Intel’s Chinese production increased to US$ 2.3 billion in 2009 after it built a fabrication facility, which is the most capital- and engineering-intensive manufacturing activity in the semiconductor value chain.\(^{58}\) China is rapidly upgrading its semiconductor fabrication skills, which almost certainly will give it a significant presence in this, one of the highest value-added production activities.
Table 10. Worldwide semiconductor market by region, 2003-2009
| Year | Total (in US$ billions) | China (%) | Americas (%) | Japan (%) | Europe (%) | Rest of world (%) |
|------|-------------------------|-----------|--------------|-----------|------------|-------------------|
| 2009 | 226.3 | 41 | 17 | 16.9 | 13.2 | 11.9 |
| 2008 | 248.6 | 38.3 | 15.2 | 19.5 | 15.4 | 11.6 |
| 2007 | 256.3 | 34.8 | 16.6 | 19.1 | 16 | 13.5 |
| 2006 | 247.7 | 28.9 | 18.1 | 18.4 | 16.1 | 18.5 |
| 2005 | 227.5 | 24.8 | 17.9 | 19.4 | 17.3 | 20.6 |
| 2004 | 213 | 21.5 | 18.3 | 21.5 | 18.5 | 21.3 |
| 2003 | 166.4 | 23.4 | 19.4 | 23.4 | 19.4 | 19.3 |
Source: PWC, Global Reach: China’s Impact on the Semiconductor Industry 2010 Update (November 2010), www.pwc.com/gx/en/technology/assets/china-semicon-2010.pdf (accessed January 30, 2012), 9.
Even though China might be rapidly increasing its semiconductor production capabilities and some low-end semiconductor design is being relocated, having tremendous manufacturing prowess will not guarantee the relocation of high-end design. For example, as Brown and Linden\(^{59}\) conclude, even Taiwan Province, which probably has the largest semiconductor design industry outside the United States, largely designs semiconductors for the products in which it specializes but through its world-leading semiconductor foundries it produces chips and sophisticated products that are designed abroad. Thus semiconductor design might be more closely linked with the headquarters and overall R&D strategy, and because these semiconductors are so crucial to a firm’s competitive advantage, they might be reluctant to share them.
\(^{57}\) PWC Global Reach: China’s Impact on the Semiconductor Industry 2010 Update (November 2010), www.pwc.com/gx/en/technology/assets/china-semicon-2010.pdf (accessed January 30, 2012), 9.
\(^{58}\) Ibid., 31.
\(^{59}\) C. Brown and G. Linden, Chips and Change: How Crisis Reshapes the Semiconductor Industry (Cambridge: MIT Press, 2009).
B.5. Hard disk drives
Hard disk drives (HDDs) are important storage devices for digital information. The most recent published materials concerning HDDs are for 2000. In one of these studies, Gourevitch et al.\(^{60}\) show that while the United States, Japan and Europe have 28.5 per cent 0.9 per cent and 2.9 per cent of total employment in the industry respectively, they received 70.5 per cent in terms of wages. At the same time, South-East Asia provided 55.3 per cent of the employment for 19 per cent of the wages. Remarkably, though essentially all HDDs in 2000 were manufactured in Asia, the United States still captured 62.4 per cent of the wages paid in the industry. Since this paper was written, the HDD industry has undergone remarkable changes. A number of Japanese (Hitachi) and Korean (Samsung) competitors have sold their HDD divisions to United States manufacturers, and their European assembly facilities have largely been closed. Although South-East Asia, in particular Thailand, remains an important production centre, Singapore, Malaysia and the Philippines are declining as producers. China’s importance is growing, though it has a trade deficit in HDDs due to a large volume of imports related to their centrality in computer assembly.\(^{61}\) Despite the geographic relocation of the manufacturing centres of the HDD industry, the ownership, not only of the assemblers but also the preponderance of the parts suppliers, remains firmly in the hands of United States and Japanese firms. Given the relatively high value, low weight and extreme price competition in HDDs, there is no reason to believe that production will be relocated back to developed countries. It is difficult to determine whether large portions of the higher value-added work is being relocated to developing countries.
B.6. Electronics redux
The electronics sector is fascinating because of its complexity, which means that many variables are constantly shifting. The first observation is that innovation (technical and organizational) and branding continue to be vitally important. As noted in section B.3, Apple has created a series of hit products, the production of which is outsourced to China. However, key component makers in Japan and, more recently, the Republic of Korea, capture value because of the quality of their products and their ability to produce technically cutting-edge components. Despite the ability of Chinese and Korean firms to secure production nodes in the value network, it is Apple that captures the most for its value chain. In semiconductors and hard disk drives, there is evidence that, although China consumes these both for the domestic and global market, the highest value added continues to be captured abroad. For many electronic products, key components continue to be either made or designed in developed countries using well-compensated staff. Will this continue to be the case in the future, or will these
\(^{60}\) P. Gourevitch, R. Bohn and D. McKendrick, “Globalization of Production: Insights from the Hard Disk Drive Industry,” *World Development* 28, No. 2 (2000): 301-317.
\(^{61}\) T. Pruangchana and W. Waressara, “Thailand’s Hard Disk Drive Industry Competitiveness Analysis,” in Proceedings of International Conference on Business and Economics Research, 2010, www.internationalconference.com.my/proceeding/icber2010_proceeding/PAPER_130_ThailandHardDisk.pdf Accessed May 21, 2012.
components be drawn into a vortex of cost minimization and commodification? Especially for firms that manufacture inputs, this is a constant threat. For countries, the fear is that Chinese upgrading will overtake them or drive them into ever smaller high-end niches, as occurred with the Japanese notebook computer, FPD, and semiconductor makers that retreated before Taiwanese and Korean competition. However, at this time, United States firms such as Apple for the “i” products and Microsoft, Intel, and, to a lesser degree, the PC giants Dell and HP have been able to capture the highest value in their chains. This is also true for numerous key, technically advanced, component makers. Here again, the trade statistics appear to obscure the location of value capture.
C. Automobiles
Although much has been written about automobile global value chains,\(^{62}\) there has been far less research, in terms of analysis, of the value-added for various components. This is due in part to the complicated nature of an automobile, which has between 30,000 and 40,000 discrete components. Because automobiles are a heavy, bulky item and because trade in automobiles is politically sensitive because of its employment implications, the politics can be extremely complicated as well. Having said this, a shift has taken place in the percentage of total global automobile production in developing countries, though in large measure this has been driven by two phenomena: First, the rapid expansion of markets in countries such as China, Brazil and India; second, the formation of regional free trade agreements allowing free trade in automobiles and auto parts.\(^{63}\)
The key exception to this generalization is the rapid expansion of automobile and motorcycle intermediate parts exportation by China, which rose from twenty-first in 1993 to fourth highest automotive parts exporter in 2008, which also made it the largest non-developed country automotive parts exporter.\(^{64}\) The rise of China as an exporter of automobile parts can also be seen in United States trade statistics. For example, Klier and Rubenstein\(^{65}\) found that China had captured 10 per cent of total United States parts imports in 2008, and its expansion appears to be continuing. According to the United States International Trade Administration,\(^{66}\) auto part imports from China increased 35 per cent from 2009 to 2010, to US$ 10 billion.
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\(^{62}\) J. Humphrey and O. Memedovic, “The Global Automotive Industry Value Chain: What Prospects for Upgrading by Developing Countries,” Report to Strategic Research and Economics Branch, UNIDO, 2003.
\(^{63}\) T.J. Sturgeon and J.V. Biesebroeck, “Global Value Chains in the Automotive Industry: An Enhanced Role for Developing Countries?” *International Journal of Technological Learning, Innovation and Development* 4, Nos. 1/2/3 (2011): 181-205.
\(^{64}\) Ibid., 190.
\(^{65}\) T.H. Klier and J.M. Rubenstein, “Imports of Intermediate Parts in the Auto Industry—A Case Study,” paper presented at the “Measurement Issues Arising from the Growth of Globalization” conference, Washington, D.C., November 6-7, 2009, 221, http://www.napawash.org/wp-content/uploads/2010/09/CONFERENCE-PAPERS-August-2010.pdf?page=229 (accessed January 30, 2012).
\(^{66}\) U.S. International Trade Administration, Office of Transportation and Machinery, “On the Road: U.S. Automotive Parts Industry Annual Assessment,” 2011, http://trade.gov/static/2011Parts.pdf (accessed January 31, 2012).
In their case study of aluminum wheel production for automobiles, they found that China was rapidly overtaking Mexico as the largest global source. According to Klier and Rubenstein, “about half of the 12 million aluminum wheels imported by the United States from China in 2008 represent OEM wheels. In the same year, Mexico exported just under 4 million aluminum wheels to the United States.” Other bulkier items such as seats might not be as amenable to sourcing from China, but it is rapidly becoming a source for these parts. The momentum of Chinese automotive parts export growth affects not only the United States. For example, the Deccan Herald, a south Indian newspaper, reported that a recent study conducted by the Federation of Indian Commerce and Industry concluded that “imports of auto parts from China have been increasing at an alarming rate of 88 per cent per annum and with this growth rate share of China in our domestic auto component market would increase from current 2.7 to 15.6 per cent by 2012-13.” The article continued, stating that the research firm A. T. Kearney found that the 12,000-odd auto parts companies in China are far more competitive than the 5,000-plus firms in India for several reasons, including the lower cost of wages, steel, power, tariffs and taxes. Although many developing countries, including India and Brazil, are increasing their exports of car parts, the total value pales in comparison to exports from China. For example, the United States International Trade Administration calculated that Chinese auto parts exports increased from US$ 16.7 billion in 2005 to US$ 31 billion in 2009, and they expected them to continue to increase.
Chinese auto firms have not yet exported significant numbers of assembled automobiles to the United States or Europe, but at present, for many of the parts suppliers, though not all of them, the value capture for the Chinese firms is likely to be in inexpensive labour and possibly other aspects, such as very low costs of capital, lax enforcement of environmental regulations, and lower costs for at least some inputs. The success of the Korean automakers—specifically Hyundai—shows that this could and will probably change over time.
In the successful parts of the auto industry, that is, the German and Japanese makers, the design, technical development, and management are largely retained in the home country, though branch activities mostly related to localization now occur in all the major markets, and China, in particular, is the beneficiary of upgrading. The Germans and particularly the Japanese have been careful about limiting technology and know-how transfer to developing countries.
D. Apparel
The garment business was one of the earliest industries to be offshored and probably has the widest global dispersal of production. Value capture in this
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67 Klier and Rubenstein (2009): 225.
68 South India is the centre of the Indian auto parts industry, especially those firms aiming to export.
69 A.J. Das, “Imported Trouble for Auto Parts Makers,” Deccan Herald (January 31, 2012).
70 U.S. International Trade Administration (2011).
chain is not easy to discern for a number of reasons, one of which relates to branding. Interestingly, the two largest global apparel exporters, China and the European Union (EU-15)\textsuperscript{71} have rather different roles in the global economy. Although it is difficult in a short section to fully analyse the global division of labour in apparel, table 11 shows that the two top apparel exporters are China and the EU-15. The Chinese story is one of moving from strength to strength, and in 2009 China supplied 42 per cent of total global exports; the European story is, in many respects, more interesting because it has continued to increase exports in the face of competition from developing countries (particularly China). As table 12 shows, however, the European market is also experiencing a dramatic increase in imports from China.\textsuperscript{72} In the meantime, other countries, such as Bangladesh, have a variety of trajectories with dramatic increases, China and Europe are the most dynamic and significant exporters, and the Republic of Korea and Mexico have experienced the greatest decreases in exports.
\begin{table}[h]
\centering
\caption{Top five global apparel exporters by year, by volume and share}
\begin{tabular}{lrrrrr}
\hline
& 1995 & 2000 & 2005 & 2009 & \multicolumn{1}{c}{1995} & \multicolumn{1}{c}{2000} & \multicolumn{1}{c}{2005} & \multicolumn{1}{c}{2009} \\
& & & & & (\% of total) & (\% of total) & (\% of total) & (\% of total) \\
\hline
World & 152,532 & 193,728 & 268,416 & 296,901 & & & & \\
China & 32,868 & 48,017 & 89,829 & 122,389 & 21.5 & 24.8 & 33.5 & 41.2 \\
EU-15 & 37,857 & 33,984 & 47,757 & 51,614 & 24.8 & 17.5 & 17.8 & 17.4 \\
Extra EU-15 & 12,006 & 11,486 & 14,405 & 15,436 & 7.9 & 5.9 & 5.4 & 5.2 \\
Bangladesh & 2,544 & 4,862 & 8,026 & 14,185 & 1.7 & 2.5 & 3.0 & 4.8 \\
Turkey & 5,261 & 6,710 & 12,922 & 13,079 & 3.4 & 3.5 & 4.8 & 4.4 \\
\hline
\end{tabular}
\footnotesize Source: K. Fernandez-Stark, S. Frederick and G. Gereffi, “The Apparel Global Value Chain: Economic Upgrading and Workforce Development,” Center on Globalization, Governance & Competitiveness. (2011): p.10.
\end{table}
The role of China in the global apparel chain is also remarkable, not only because of the breadth of the sectors in which it is involved but also how it is rapidly diversifying the markets to which it exports. As table 12 indicates, even as the total volume of exports from China has increased rapidly and exports to each region have increased, its export share in the Japanese and United States markets has decreased (even though volume has increased rapidly). The importance of the EU in China’s total market share is also remarkable.
\textsuperscript{71} Austria, Belgium, Denmark, Finland, France, Germany, Greece, Ireland, Italy, Luxembourg, the Netherlands, Portugal, Spain, Sweden and the United Kingdom
\textsuperscript{72} G. Gereffi & S. Frederick, “The Global Apparel Value Chain, Trade and the Crisis,” World Bank Policy Research Working Paper 5281 (April 2010), 15, www.ds.worldbank.org/servlet/WDSContentServer/WDSP/IB/2010/04/27/000158349_20100427111841/Rendered/PDF/WPS5281.pdf (accessed February 2, 2012).
Table 12. China’s top five export markets for apparel, by value and share
| | 1992 | 1995 | 2000 | 2009 | 1992 (%) | 1995 (%) | 2000 (%) | 2009 (%) |
|----------------|--------|--------|--------|--------|----------|----------|----------|----------|
| China (total) | 32,868 | 48,017 | 89,829 | 122,389| | | | |
| EU-15 | 2,954 | 4,462 | 7,444 | 39,728 | 20.8 | 13.6 | 15.5 | 32.5 |
| United States | 4,744 | 4,913 | 6,514 | 25,367 | 33.5 | 14.9 | 13.6 | 20.7 |
| Japan | 4,685 | t | 14,195 | 20,262 | 33.0 | 31.4 | 29.6 | 16.6 |
| Hong Kong | N/A | 10,301 | 13,875 | 13,102 | N/A | 31.3 | 28.9 | 10.7 |
| Canada | 389 | 366 | 703 | 3,595 | 2.7 | 1.1 | 1.5 | 2.9 |
Source: Frederick and Gereffi (2011: 78)
In view of the wide variety of apparel products with different market characteristics, making any generalizations about value capture by firms and countries is extremely difficult. One area that has been mentioned and that probably has the highest percentage of value capture is branded, higher fashion products. At the extremely high-end, it is likely that, as is the case with fashion shoes, described below, such apparel will continue to be produced in developing countries. However, branded fashion products are being produced internationally. For example, table 13 parses the value addition of a pair of jeans produced in China for export by a French fashion house. The jeans will be sold in France for 50 euros. The costs accumulated in China are approximately 3.2 euros. The margin captured by the French fashion house is approximately 6 euros. However, 31 euros of the final costs are in distribution, marketing, and advertising—all of which in this case would be captured in France. Interestingly if the jeans were sold outside France, if the margin remained the same, the distribution of costs would be quite different, with France capturing less in the overall gains.
Table 13. Distribution of value-added for jeans produced by French apparel producers in China and sold in Western Europe (in euros)
| Company | Function | Cost | Cumulative cost |
|--------------------------|----------------|------|-----------------|
| Chinese textile mill | Raw material | 1 | 1 |
| Chinese sewing factory | Manufacturing | 2 | 3 |
| Chinese factory boss | Margin boss | 0.2 | 3.2 |
| French brand | Design | 0.1 | 3.3 |
| | Transportation | t | 3.5 |
| | Customs | 0.5 | 4 |
| Chinese state factory | Quotas | 0-0.5| |
| French brand | Distribution | 20 | 24 |
| French brand | Market studies | 5 | 29 |
| French brand | Advertising | 15 | 44 |
| French brand | Profit | 6 | 50 |
Source: J. Ruffier, “China Textile in Global Value Chain,” Centre d’Etudes Françaissur la Chine Contemporaine, Hong Kong (CEFC), (2011:12) p 9.
At the moment, judging from the example of the French brand name jeans, the pattern in apparel appears to be roughly similar to that in electronics, except that slightly more of the total value (6-8 per cent) is added in China. As Gereffi and Frederick show, the key nodes in the R&D chain, especially in fabric and machinery,\(^{73}\) design (brand), marketing (brand), services and retailing, continue to be located in the developing countries.\(^{74}\) It is possible that Chinese firms will develop (are possibly developing) some brands for the internal market, but even Japan has had difficulty in developing globally recognized apparel brands. Judging from Italian data, European apparel exports are based on branded high-fashion clothing destined for high-income consumers globally.\(^{75}\) There is also evidence that this high-end activity will be retained in Italy and, probably other high-end production locations, even as commodity apparel production is likely to continue to expand offshore. In the low-end, unbranded clothing segments that supply firms such as Wal-Mart, profit margins for suppliers are extremely low and, as Gereffi observes, the power, control and value capture are with the large retailers. These large retailers pay very low wages to their sales personnel, however, the top management, marketing, information technology and other staff, all located in developed countries, are well compensated.\(^{76}\)
E. Shoes
Along with garments, shoe production was a very early candidate for offshoring. For example, early in its history, Nike offshored athletic shoe production to Japanese firms. However, as with other fashion goods, there is a global division of labour, and much of the design activity remains in developed countries.
For example, the Danish firm Ecco which sells high-end comfortable shoes, until recently was confined almost entirely to developed countries.\(^{77}\) As of 2008, only 553 of its total 9,657 employees were located in Denmark, and it continues to produce 90 per cent of its shoes in factories around the world. In addition, its value chain is, in certain respects, surprising. For example, Ecco is among the five largest producers of leather worldwide, but the majority of the rawhides originated from Germany, France, Denmark and Finland.\(^{78}\) Ecco’s tanneries in the Netherlands (it also had tanneries in Thailand and Indonesia)
\(^{73}\) To illustrate, in the first half of 2011, China, the largest market in the world for textile machinery, exported US$ 1.056 billion worth or an increase of 36.15 per cent, while importing US$ 2.8 billion, an increase of 48.48 per cent [“In the First Half Slowdown in China’s Textile Machinery Import and Export,” Free Press Release.com, September 6, 2011, www.free-press-release.com/news-in-the-first-half-slowdown-in-china-s-textile-machinery-import-and-export-1315291439.html (accessed February 2, 2012)].
\(^{74}\) G. Gereffi and S. Frederick (April 2010), 15, www.ds.worldbank.org/servlet/WDSContentServer/WDSP/IB/2010/04/27/000158349_20100427111841/Rendered/PDF/WPS5281.pdf (accessed February 2, 2012).
\(^{75}\) See, for example, A. Brun, F. Caniato, M. Caridi, C. Castelli, G. Miragliotta, S. Ronchi, A. Sianesi and G. Spina, “Logistics and Supply Chain Management in Luxury Fashion Retail: Empirical Investigation of Italian Firms,” International Journal of Production Economics 114 (2008): 554-570; P.V. Capello & D. Ravasi, “The Variety and the Evolution of Business Models and Organizational Forms in the Italian Fashion Industry,” Business and Economic History 7 (2009): 1-18. http://www.thebbhc.org/publications/BEHonline/2009/capelloandravasi.pdf (accessed February 2, 2012).
\(^{76}\) G. Gereffi, “Global Value Chains and International Competition,” Antitrust Bulletin 56, No. 1 (2011): 37-56.
\(^{77}\) B.B. Nielsen, T. Pedersen and J. Pyndt, “ECCO A/S—Global Value Chain Management” (Version: 2008-03-10).
\(^{78}\) Ibid., 4.
supply leather to its shoe factories in Portugal, Indonesia, Thailand, Slovakia and China. According to Neilsen et al., most of the product development and design remained in Denmark.\textsuperscript{79} In contrast, Ecco’s most important competitors, Timberland (United States.) and Clark’s (United Kingdom) had outsourced most of their leather production. Another Italian competitor, Geox, retains R&D and design in Italy but has its largest, company-owned production facilities in Romania and a significant subcontracting relationship with a large Chinese producer.\textsuperscript{80}
In a study of two Italian shoe-producing districts, one of which produced high-price, fashion-driven shoes and the other produced low-price shoes, Alicia Amighini and Roberta Rabellotti found two interesting tendencies.\textsuperscript{81} The district producing low-priced shoes was offshoring an increasing number of links in the value chain to low-wage countries. In contrast, the district producing high-price shoes was experiencing functional downgrading as the fashion and design functions were being moved to the large luxury design houses in Milan. In other words, the design function remained in Italy, but moved from the district. However, the district did not experience production offshoring, and, in fact, some of the luxury design houses are integrating the local shoe firms as subcontractors so as to better control quality. Also, these firms were offshoring certain low-value production activities. The lower-price district was rapidly offshoring its production abroad, in particular, in this case to Albania.
Although very high-end shoes can be produced in developed countries such as Italy, the now-ubiquitous athletic shoe is produced in a number of countries, with China the predominant production location. However, as is the case with clothing, while R&D, design and marketing are located in developed countries (for United States brands in the United States and for Adidas and Puma in Germany), production is located abroad. It seems likely that the direct labour costs are similar to those in garment production. For example, in 2004 a global rights organization, which claims to have had access to internal Puma documents, found that the Chinese worker was paid US$ .35 per hour and that the direct and indirect labour contribution for a pair of shoes was US$ 1.16. Using customs documents, these campaigners suggested that the total manufacturing input cost, including labour, was between US$ 3.41 and US$ 7.16 on a shoe that retailed for US$ 70.\textsuperscript{82} Although there is no way to verify these calculations, they are roughly similar to those in other industries, particularly apparel, and certainly suggest that the preponderance of the value capture is not at the production stage.
Some scholars, such as Gereffi et al., have found opportunities for industrial
\textsuperscript{79} Ibid.
\textsuperscript{80} A. Camuffo, A. Furlan, P. Romano and A. Vinelli, “Breathing Shoes and Complementarities: Strategic Innovation in a Mature Industry,” \textit{International Journal of Innovation Management} 12, no. 2 (2008): 139-160.
\textsuperscript{81} A. Amighini and R. Rabellotti, “The Effects of Globalization on Italian Industrial Districts: Evidence from the Footwear Sector,” paper presented at the Conference on Clusters, Industrial Districts and Firms: The Challenge of Globalization, Modena, Italy, September 12-13, 2003.
\textsuperscript{82} C. Kernaghan, “Puma Workers in China: A Joint Report of the National Labor Committee and China Labor Watch” (November 4, 2004), www.globallabourrights.org/reports?id=0095#LaborCost (accessed January 30, 2012).
upgrading in apparel, and, presumably, by extension, shoes, yet they seem limited by the powerful control exerted by the brands and large retailers on the entire value chain.\textsuperscript{83} Nonetheless, in the production locations, in particular, China, there are and continue to be opportunities for backward integration, especially in textile production. At the low end, this might be actualized by foreign firms that establish the far more capital-intensive and skill-intensive textile production facilities. Also, there should be opportunities in the machinery fields, such as industrial sewing machines. Upgrading into R&D, design and marketing (except for the domestic market and developing country export markets) will be difficult.
As is the case with apparel, the value capture in these chains is concentrated in the headquarters, which is often the location of the design, marketing, logistics and management staff. However, the trade statistics might not reflect this concentration of value capture in the developed country.
\section*{F. Machine tools}
Machine tools present an interesting case. Because they are a capital good, they are not, generally speaking, mass produced in quantity, as are consumer goods. As defined in the trade statistics, machine tools are confined to machines such as plastic injection molders and those that cut and shape metal. As a category, they can be used to comprise the dramatic variety of machines that are capital goods, including rock drills, paper machines, printing presses, semiconductor steppers and printed circuit board insertion machines. These machine tools embody deep technical and product-specific knowledge that comes from both engineers and, frequently, skilled crafts people. The general tendency has been for developing countries, particularly China, to increase its production and consumption of machine tools (see tables 14 and 15). Because machine tools are used to manufacture other goods, increasing consumption of machine tools is an excellent indicator of where global manufacturing production is increasing. By any standard, the increased Chinese production of machine tools is noteworthy, and in 2010 China surpassed Germany by value in the production of machine tools. Further, Japan also increased its global production share, as did the Republic of Korea and Taiwan Province—likely because of exports to China, in particular. According to Gildemeister,\textsuperscript{84} Japan and Germany were the two leading exporters.
\begin{footnotesize}
\textsuperscript{83} Gereffi et al. (2011).
\textsuperscript{84} Gildemeister, “Development of the Machine Tool Industry”, 2010, http://reports.gildemeister.com/en/2010/business-report/business-environment/development-of-the-machine-tool-industry?p=1/ (accessed February 2, 2012).
\end{footnotesize}
Table 14. Worldwide production of machine tools by total value and national share, 2009 and 2010
| | Global production 2009 (%) | Global production 2010 estimate (%) |
|------------------------|----------------------------|-------------------------------------|
| Total value in euros | 36.1 billion | 45 billion |
| China | 20 | 22 |
| Japan | 14 | 19 |
| Germany | 22 | 16 |
| Italy | 10 | 9 |
| Republic of Korea | 6 | 8 |
| Taiwan Province | 5 | 6 |
| Switzerland | 4 | 4 |
| United States | 4 | 3 |
| Other countries | 15 | 13 |
Source: Gildemeister, “Development of the Machine Tool Industry,” 2010, http://reports.gildemeister.com/en/2010/business-report/business-environment/development-of-the-machine-tool-industry?p=1/(accessed February 2, 2012).
Table 15. Worldwide consumption of machine tools by total value and national share, 2009 and 2010
| | Global production 2009 (%) | Global production 2010 estimate (%) |
|------------------------|----------------------------|-------------------------------------|
| Total value in euros | 36.1 billion | 45 billion |
| China | 30 | 35 |
| Germany | 12 | 8 |
| Republic of Korea | 5 | 7 |
| Japan | 6 | 6 |
| United States | 6 | 5 |
| Italy | 6 | 5 |
| Brazil | 3 | 3 |
| India | 3 | 3 |
| Other countries | 29 | 28 |
Source: Gildemeister (2010).
In terms of consumption, China was by far the global leader. It consumed 30 per cent of global production in 2009 and 35 per cent in 2010. Interestingly, Germany’s share of consumption fell by 50 per cent, while the Republic of Korea’s consumption also increased significantly. Here again, as was the case with production, East Asia continued its growth, with China leading the way. Deeper concerns in Germany and Japan should be the long-term tendency toward Chinese improvement.
In machine tools, different countries have different roles into the global economy. According to one report, Japan’s industry competes across a broad spectrum of markets (see figure 2). For these reasons, Japan is experiencing competition from other Asian countries more directly than are Germany and the United States. As Masao\textsuperscript{85} indicates, many of the largest Japanese machine tool makers are already producing in China, though many of the Chinese factories are producing the low-end, mass production machines that are price competitive market segments, while the higher value-added, newer machines continue to be designed and produced in Japan. It is likely that the same is true for European manufacturers. This suggests that the highest value-added activities are retained in developed countries. However, if developing country factories can, over time, develop similar workforce skill levels and continue to offer low wages, even knowledge-intensive sectors such as machine tools might move offshore.
In many respects, the machine tool industry resembles the other ones studied here, but with its emphasis on innovation, high quality, and, at the higher end, service provision, and the high-end of the industry remains concentrated in high-cost countries such as Japan, Germany, the Nordic countries, and high-cost regions such as northern Italy. Although low-end commodity production is moving offshore, particularly to China, the high-end production and presumably higher value-added portion of the value chain continue to be located in developed countries and further research is likely to show specific industrial clusters that specialize in particular types of machine tools.
G. Concluding remarks
Remarkably, despite the fact that these sectorial reviews covered a wide variety of industries, there was a remarkable degree of overlap.
1. There has been a dramatic shift in production for re-export to developing countries, yet the value captured in there has been quite limited. For branded, high-design, or technology-laden products, the preponderance of value appears to be captured by those controlling the brand and creating the designs/technologies. In the cases in which the product is almost entirely commoditized, Gereffi\textsuperscript{86} has theorized that the buyers (actually the retail or distributor intermediaries), such as Wal-Mart, probably appropriate most of the value.
2. In some cases, key component makers can capture significant value, and these components are often imported to the country where final assembly is performed. For example, Samsung, in particular, but also Korean, Taiwanese, and even Japanese producers can capture sufficient value to support manufacturing in their high-cost, or increasingly high-cost, environment. Although this
\textsuperscript{85} H. Masao, “The Uncertain Future of Japan’s Machine Tools Industry,” Nippon.com. (December 7, 2011), http://nippon.com/en/currents/d000007/ (accessed February 1, 2012).
\textsuperscript{86} G. Gereffi, “The Organization of Buyer-Driven Global Commodity Chains: How U.S. Retailers Shape Overseas Production Networks,” in \textit{Commodity Chains and Global Capitalism}, ed. G. Gereffi and M. Korzeniewicz (Westport: Greenwood Press, 1994), 95-122.
study does not confirm this speculation, it is likely that European machinery producers have a similar advantage.
3. Technologically sophisticated or complex products for which quality is very important, such as automobiles and machine tools, are still being produced in developed countries. Although, in some cases, low-end mass-market machine tools might be produced in low-wage countries, the high-end activities will likely continue to be located in the home market.
4. There is a regionalization dynamic at work, in which Eastern Europe, Turkey, and, to a lesser degree, North Africa serve the Western European market. Western Europe is also a major exporter of high value-added products to the world. The North American market is served by Mexico and, to a lesser degree, the rest of Latin America. China and South-East Asia serve Japan, but Asia is different in the respect that it also serves the world.
5. The one overwhelming fact is the increasing role of China in nearly all global manufacturing value chains. More important, Asia, in a wide variety of industries, is developing a sophisticated internal division of labour and trade, whose ultimate reason for being is exporting to the rest of the world.
III. ICT-enabled services: the implications for manufacturing\(^{87}\)
John Zysman, Stuart Feldman, Jonathan Murray, Niels Christian Nielsen, and Kenji Kushida\(^{88}\)
A. Introduction
The character of competition in manufacturing has been profoundly changed by the information and communications technology (ICT) transformation of services. The “manufactured product” is increasingly a commodity that can be purchased in the global market, while ICT-enabled services embedded in the products increasingly define the value proposition. Services are increasingly the way that firms pursue value-added activities to avoid ever-faster commoditization of products—that is, to avoid competition based solely on price when market offerings are relatively similar. The differentiator is no longer the product but, rather, the function that it can provide. The following examples illustrate this evolution. A mechanical crane with intelligence embedded in an ICT system can become an instrument of port management. Apart from the electronic controls for the core auto functions and the remarkable entertainment system, vehicles with global positioning systems (GPS) and communications, such as General Motors’ OnStar system, become networks as part of a safety and traffic management system. Indeed, in the current era, manufacturing is offered as a service, with examples ranging from Taiwanese “fabless” semiconductor manufacturing firms to a company such as Foxconn, which manufactures electronic products under contract to brand-name suppliers (original equipment manufacturing (OEM)), including Apple. All those offerings hinge on ICT, whether to manage the supply change or to translate design into production. The consequence is that the blurred distinction between products and services blurs further, as manufactured products are increasingly embedded in and recast as services offerings. Thus, we note as we begin that the classic distinction between goods and services has always been murky and the statistical categories
\(^{87}\) This chapter is an adaptation of “Services with Everything: How ICT Transformed Services from Sinkhole to Productivity Driver,” in *Innovation in Public Governance*, ed. A.-V. Anttiroiko, S. Bailey and P. Valkama (Amsterdam: IOS Press, 2010), which in turn was drawn from “It Draws on Storm,” BRIE Working Paper 187, April 6, 2010. In addition to the discussions among and experience of the authors, the article has also drawn heavily on the research efforts of Bartholomew Watson and Derek Wong at BRIE.
\(^{88}\) John Zysman is a professor of political science at the University of California at Berkeley and co-director of the Berkeley Roundtable on the International Economy (BRIE). Dr. Stuart Feldman is Vice President, Engineering, Google, president of ACM 2007-2009. Jonathan Murray has been a close collaborator with BRIE over a number of years on issues related to technology, services, and economic development strategy. Until recently, he led Microsoft’s Public Sector Office of Technology Policy and is now providing independent research and advisory services in these fields. Niels Christian Nielsen headed the Danish Technology Institute and is a board member of various professional service firms. Kenji E. Kushida received his PhD in political science at the University of California at Berkeley. He is a postdoctoral fellow at the Walter H. Shorenstein Asia-Pacific Research Center and a BRIE research partner.
unsatisfactory. Now, as services rest increasingly on ICT systems that are designed and built, and products embedded with ICT become part of service networks, the distinction increasingly evaporates. We will be better served by considering issues about manufacturing and ICT-enabled services as elements of a larger category: “production.”
This chapter considers the implications of the current fundamental ICT-based transformation of services for traditional discussions of manufacturing. The transformation—driven by developments in ICT tools, the uses to which those tools are being put, and the networks on which they run—is influencing the place of manufacturing in global competition and the ways in which firms compete, collaborate, organize and govern themselves.
B. The algorithmic transformation of services
Services were once considered a sinkhole of the economy, immune to significant technological or organizational productivity increases.\(^{89}\) Now, they are widely recognized as a source of productivity growth and dynamism in the economy that is changing the structure of employment, the division of labour, and the character of work and its location.\(^{90}\) Yet the actual character of this transformation is often obscured by the increase in jobs labeled as services and by a focus on the digital technologies that, certainly, are facilitating this transformation.\(^{91}\)
B.1. The algorithmic revolution
The application of rule-based ICT tools to service activities transforms the services component of the economy, altering how activities are conducted and value is created. We call this the algorithmic revolution.\(^{92}\) In the algorithmic revolution, tasks underlying services can be transformed into formalizable, codifiable, computable processes with clearly defined rules for their execution. Processes with clearly defined rules for their execution can be unbundled, recombined and automated. When activities are formalized and codified, they become computable.\(^{93}\) The inexorable rise in computational power and the development of sensor technology means that an ever greater range of activities is amenable to expression as computable algorithms, and a growing array of service activities are reorganized and automated.\(^{94}\) To repeat the essential point, the codification of
\(^{89}\) For example, William Baumol wrote in the 1960s that it still takes the same amount of labour to play a Beethoven quintet (Baumol and Bowen, 1966; Baumol, 1967). However, in the past years he has come to recognize the power of the ICT transformation of services (Baumol 2007).
\(^{90}\) Triplett and Bosworth (2004).
\(^{91}\) The conventional view, summarized effectively by the National Academy of Sciences, is that growth since the mid-1990s was largely driven by the rapidly falling cost of processing power (following “Moore’s law,” which predicted that the number of transistors in integrated circuits—roughly, processing power—would double every two years) and heavy corporate investments into ICT (Jorgenson and Wessner 2007; Jorgenson, Ho and Stiroh 2005).
\(^{92}\) Zysman (2006).
\(^{93}\) To illustrate, bank ATMs have automated simple bank transactions, and consumers increasingly book airline tickets and car rentals online. In major enterprises, payroll processes have been reorganized and largely automated.
\(^{94}\) Nordhaus (2202).
service activities allows the rapid replication, analysis, reconfiguration, customization and creation of new services. It allows business models, extended with ICT tools, to become more productive and entirely new business models to be created, offering services previously impossible at any price. The algorithmic revolution in services is profoundly changing how firms add value.
Firms find that existing activities, when converted into computable processes, often take on new purposes and create new forms of value. For example, the act of making a purchase at a supermarket or retailer has been transformed from a simple monetary transaction to a data-generating activity. At the beginning of the application of ICT to retail, inventory was monitored.\textsuperscript{95} Then, increasingly fine-grained information of not only inventory but customers began to be collected for analysis. Retailers could capture consumer preferences and consumption patterns as well as to manage inventories and supply chains and sometimes to sell generated data to third parties. Accenture, for example, transformed its data management service into a new, value-added service of data monitoring. Its initial service, offered to pharmaceutical companies, was to manage their clinical trial data. Accenture then leveraged its ability to analyse this data by offering pharmaceutical firms a service to monitor the reactions of test subjects to drugs.\textsuperscript{96}
This unbundling of service activities is the counterpart to the decomposition of manufacturing, in which modularity in product design enabled manufacturing supply chains to be broken apart and spread across multiple corporate boundaries (outsourcing) and national borders (offshoring).\textsuperscript{97} In both cases—the unbundling of services and decomposition of manufacturing—the recomposition critical to sustaining market position and driving productivity. The recomposition of the products, the final offerings, highlights the need for constant innovation. If products and their constituent elements stay the same, they are rapidly and constantly commodified.
\textbf{B.2. ICT-enabled services as a response to commoditization of traditional manufactures}
The effort by firms to address intense global competition and commodization of their offerings is the most powerful pressure driving the reorchestration of services with ICT tools. Because of the newcomers from diverse countries and the rapid diffusion of technology, many products face intense price competition. That is, the products become commodities, largely interchangeable from their rivals and hence competing principally on price, even if they become more sophisticated. As firms seek to avoid ever-faster commoditization, many are repositioning the role of services in their core business model. Increasingly, firms see services as the solution to creating defensible positions in markets.\textsuperscript{98}
\textsuperscript{95} Borrus and Borrus (1985).
\textsuperscript{96} “Outsourcing: External Affairs,” 2007.
\textsuperscript{97} Borrus, Ernst, and Haggard (2000); Baldwin and Clark (2000).
\textsuperscript{98} For example, see Frei (2008); Shankar, Berry and Dotzel (2009).
These same ICT tools facilitated the communication that encouraged an extension of competition. New competitors from countries seeking to industrialize were able to enter the marketplace as a result. The new competitor usually began with basic products, either borrowing technology and producing for their home markets or sending basic exports to wealthier, more advanced countries. Meanwhile, companies from the advanced countries moved production offshore. Sometimes, those advanced country firms produced offshore themselves; sometimes they contracted with other firms to produce offshore for them, outsourcing abroad. As ICT tools became ever more sophisticated, producing both goods and services abroad, developing products abroad and managing the complex operations involved, all became easier and less expensive. The consequence was straightforward. Competition for standard products—products that were, in essence, commodities differentiated by price or by branding—became ever more intense. The competitive pressures that have accelerated commoditization in a global, digital era are pushing firms to seeking value in ICT-enabled services.
Firms’ hardware offerings are increasingly enhanced in value by ICT-enabled services offerings. Apple’s iPod is more than an attractively designed mp3 player. Its integration with the iTunes software was critical to its commercial success and Apple’s online music store revolutionized the way in which music is sold. Komatsu, a Japanese construction machinery firm, sells products with embedded sensors; these sensors send detailed information to the company’s headquarters not only about the deterioration of parts but about fuel usage and other information. As a result, Komatsu can notify its customers in developing countries if fuel is being siphoned and it can even remotely halt the operation of machines if lease payments are overdue. Finally, Komatsu can use data from the levels of usage of its machines to generate supply-demand predictions for countries or regions in which statistics about economic trends are unreliable. Similarly, John Deere offers agricultural equipment that embeds an array of services. Location-referenced soil samples can be collected, analysed and sent wirelessly to a remote database, which both helps “map” the fertilizer applied and adjust the fertilizer mixtures in real time.
Some firms go further, shifting their core businesses from selling products to offering services, often delivered via ICT networks. IBM, for example, transformed itself from a product company in which support services provided a competitive advantage to a services company that embodies products in its offerings. Emblematic of this transformation was IBM’s sale of its Thinkpad notebook computer division to the Chinese company Lenovo and its acquisition of PricewaterhouseCoopers’ consulting arm. While it still derives significant profits from its hardware offerings, IBM’s central focus has been on its service offerings, which include management consulting, running firms’ ICT operations and providing a wide range of functionality for firms with its software. IBM’s most recent “Solutions for a smarter planet” campaign, with a wide variety of target customers, ranging from banking, buildings, education and energy, to food, health care, government, oil, retail, traffic and water, demonstrates just how far the firm has gone in focusing on services.
A few examples offer engaging stories, beginning with wireless fasteners. Helical screws—screws that have a thread cut into them, so familiar today—were a revolutionary technology when introduced widely in the 1400s. They were handmade by craftsmen until the invention of a screw-cutting lathe in the late 1700s. Later, the mechanical production of screws and bolts played a major role in the Industrial Revolution. As mass production along the lines of Henry Ford’s factories took hold in the early 1900s, an integrated nut-and-bolt system was invented, creating the tooling and nut-and-bolt mechanism that could be integrated into mass production environments. TZ Group, an Australian company, took the next step in fastening technology. It designs wireless-enabled fastening systems, meaning that potentially labour-intensive tasks such as reconfiguring aircraft seats can be made more efficient. These wirelessly controlled “nuts and bolts” enable a technician to remotely unlock any number of seats to be reconfigured, and, once repositioned or replaced, they can be relocked on command. Similar systems are now being developed for use in many other industries, from automotive and marine applications to medicine and defence.
Consider the Chilean mining company CODELCO, the world’s largest copper producer. To increase worker safety and improve productivity, it has embarked on a programme to retrofit heavy excavation equipment for robotic control through high speed, low latency telemetry. This capability eliminated the need for workers to be collocated with the equipment, enabling miners to move outside the mine into safe, clean working environments. This remote control capability also dramatically reduced the number of miners required to deliver the same output capacity. These initial steps open up the possibility to view mining as a service business, with remote-controlled operations offered to other companies and in other countries.
Products can be transformed into services when delivered via ICT networks. All these stories show that the traditional distinctions between products and services, never evident in the first place, are becoming ever less clear. For example, software, which used to be a product distributed on physical media, is now increasingly repositioned as a service. Quicken, a software product if purchased as a CD in a box, becomes a service if the same software engine runs on the Internet, via paid access. Enterprise software for large companies increasingly takes the form of “Software-as-a-Service” (SaaS), with software delivered via the Internet and the customer is billed by usage. Even products as basic as data servers and computer processors are transformed into services delivered over ICT networks. Many firms are offering remote storage and processing power, applications and software development platforms, with pay-as-you-go payment systems, known collectively as “cloud computing.”
Products can become portals to services or are embedded in services. Apple’s iPod is at once a product and a portal to its online music store. Likewise, Apple’s iPhone is both a product and a portal to Apple’s services platform; as cellular handsets are increasingly commoditized, the iPhone’s capability to act as a
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99 Kushida, Breznitz and Zysman (forthcoming). See also Armbrust et al. (2009).
conventional phone is no longer its primary competitive attribute. Similarly, Amazon’s electronic reader, the Kindle, is a product, but its primary value is in its integration with Amazon’s online bookstore and magazine offerings.
Conventional sectoral distinctions are collapsing into “value domains.” The digitization of information brings previously physically distinct products and sectors into competition with one another in less clearly defined customer bases.\(^{100}\) The block of plastic that we call a phone morphed into a smartphone that provides a variety of different digitally-based functions and services.
Consider the evolving competition surrounding cellular handsets, digital cameras, portable music players, music distribution and software. Until the early 2000s, Nokia competed in cellular handsets against firms such as Motorola, Ericsson and Japanese and Korean manufacturers. However, as digital cameras became embedded in cell phones, manufacturers began to offer a function in the smartphone that implicitly competes with basic camera sold by companies such as Canon, Nikon and Casio.
As digital music players became increasingly popular, led by Apple’s iPod and its iTunes online store—which proved that consumers were willing to pay for legally downloaded music—Nokia, other manufacturers and cell service carriers entered this value domain. Cellular handset manufacturers began to incorporate digital music player capability into their products, offering digital music services, such as Sony Ericsson’s Walkman brand handset and Nokia’s one-price, unlimited-use music licensing included in its “Comes with Music” service. Cellular carriers around the world began to offer their own music downloading services. Microsoft, which began as a software company, also entered this domain, offering its own mp3 music player and music downloading service.
As the computing performance of cellular handsets improved, bringing them closer to that of computers, they became an entry point for a different set of firms interested in the devices’ performance as a portal for online services. Apple’s entry into the cellular handset business, the iPhone, was not simply a handset but a portal for an online mobile applications store. Microsoft already had mobile handset operating system offerings—it was on its sixth version when Apple introduced the iPhone—but Apple was first to recognize the potential of linking the handset to a services platform. Carriers in countries such as Japan and Korea were already offering mobile Internet service platforms, which were tightly linked to handset offerings, but these services were confined to their domestic markets.\(^{101}\) More recently, Google moved from web-based services to the handset operating system and handset markets as well, starting with its Android platform, followed by a handset offering.
Thus, competition within distinct sectors has extended into competition over “value domains.” More players are involved and there is less clarity over the boundaries of previously distinct product and user categories.
\(^{100}\) Many thanks to Erkki Ormala of Nokia who first made this argument at a lunch in Helsinki.
\(^{101}\) Kushida (2008).
B.3. The story has just begun: technology drivers: evolving computing platforms and captured advantage\textsuperscript{102}
The technology drivers of the services transformation include the exponential growth in computing power, the increasing speed of networks, evolution of software and the progression of computing platforms. Computing platforms evolved along two dimensions—from stand-alone to network and from mainframe computers to PCs. The result was an ever-increasing power to digitize information and then process, store and transmit information in digital form.\textsuperscript{103} Each technology step opened new possibilities for the application of ICT to services. The increasing processing power, expanded storage and connectivity created a variety of opportunities. All that brought greater functionality to the desktop, but it also meant small phones, increasing connectivity and distributed sensors embedded in everything. The advent of the Internet as a platform for the delivery of services and business activities ushered the transformation of services into the contemporary era.
An evolution to the next computing platform is currently under way. Cloud computing will spark another major round of innovations and new entrants. Cloud computing, in essence, offers: \textit{(a)} computing resources (such as applications, services and data) on demand via networks; \textit{(b)} which can be scaled up or down rapidly, according to the users’ needs (providing users with the illusion of infinite scalability); and \textit{(c)} are often offered as pay-as-you-go programs, requiring no up-front commitment.\textsuperscript{104} For users, cloud computing allows computing to become an “enhanced utility.”\textsuperscript{105} Firms can avoid the capital expenditure of building their own data centres, instead paying for computing resources as are needed. Barriers to entry into computing-intensive areas are lowered, the ability to experiment is increased and it becomes easier than ever for startups and new entrants to scale up rapidly and become major players.
The technologies, of course, do not create their own use or generate their own value. The services transformation is not simply a technology story; rather, the advantage of ICT tools must be captured by organizations. The argument put forth by Stephen Cohen, Bradford DeLong and John Zysman to understand the first phase of the ICT revolution still stands: “At each point in the past forty years the critical step in the transformation of technical potential into economic productivity has been the discovery by users of information technology of how
\textsuperscript{102} Parenthetically, we consider the financial debacle of 2008 to be the first major crisis of the information era. Whatever its other implications, it will stand as a stark demonstration of the new logic of value creation, the transformed character of the service economy, and—paradoxically—the heightened importance of human judgment in a world where electronic tools for gathering, analysing, and managing information are more ubiquitous and powerful than ever.
\textsuperscript{103} The combination of today’s computer hardware, vast interconnected networks, and enormous databases has enabled the development of entirely novel sets of algorithms that mine data and draw inferences using statistical techniques from large data sets. They have started to replicate many of the analytical tasks previously done by skilled knowledge workers; the resulting change, which is as much qualitative as quantitative, is radical.
\textsuperscript{104} Since cloud computing is still new, there is still disagreement and confusion over definitions. The characteristics here are from Armbrust (2009).
\textsuperscript{105} See Kushida, Breznitz and Zysman (2010).
to employ their ever-greater and ever-cheaper computing power to do the previously-impossible.”\textsuperscript{106}
Innovative lead users, in the form of large and small firms discovering new uses for information technology, were critical. Information technology was adopted either to solve a particular problem or to cut costs. Innovative users then discovered new uses. For example, Citibank took advantage of flat-rate telephony, moving its back offices not only into the entire New York metropolitan area but all the way to South Dakota. The organizational shift enabling this move—modularizing the back-office operations—facilitated moving select back-office operations much farther, for example, to India. Continual organizational experimentation and innovation, adopting new technologies and finding new business models and services possibilities, will continue to drive the services transformation.
In sum, the pressure to escape commoditization is driven by the interplay of technology, organizations and competition in a global, digital world, and evolving computer platforms are driving the services transformation.
C. Making sense of the ICT-enabled services transformation
The services transformation is pervasive. To identify the implications for manufacturing, we need some tools to sort through the developments. First, we distinguish the underlying services activities, placing them on a spectrum ranging from irreducible to automated. We then consider the implications for productivity gains for each type of activity and lay out the limits of the transformation—a case for the enduring role of human judgment. Then we turn to a range of transformations in the business models built on top of these services.
There is a range of services activities to consider, from irreducible to hybrid to automated (see figure II). The spectrum proposed here applies to government activities as well as firms.
\textbf{Figure II. The services spectrum}
| \textit{Irreducible services} | \textit{Hybrid services} | \textit{Automated services} |
|--------------------------------|--------------------------|----------------------------|
| Rely on humans to deliver services, which are typically created at the same time and in the same place they are delivered. | Rely on a combination of humans and electronic tools to deliver services, using ICT and other systems to leverage or enhance human capabilities. This combination is often constituted as a system. | Rely on ICT or other technologies to deliver services that have been codified, digitized and made available, often using electronic communication or distribution tools. |
\textsuperscript{106} Cohen, DeLong and Zysman (2000), 15.
Irreducible services rely on humans to deliver them. They are provided strictly by human beings, either because they require personal skills or attributes that only humans can offer or for simple reasons of practicality and cost. Examples include the services provided by hairdressers, judges, psychologists and priests. In most cases, irreducible services are created at the same time and in the same place where they are delivered and used; such services cannot truly be said to “exist” apart from their delivery by humans in a particular moment and location. Irreducible services originally constituted the full range of services available in the economy and they still make up the majority of services sold. The constant evolution and growing power of ICT tools, however, constantly increases the range of services that can be “transformed” into automated or hybrid services.
By contrast, ICT automated services rely on digital ICT to manage information and deploy it in ways that are useful and valuable to customers. The services provided by a bank automated teller machine (ATM), an Internet travel agency, or electronic systems for collecting road and bridge tolls are familiar examples.\(^{107}\) Some automated services compete with and threaten existing manual services or extend their reach. In one sense, eBay’s online auctions compete with traditional suppliers of human-based auctions services, such as Sotheby’s, Christie’s and hundreds of local auction houses. However, their real business success rests on extending the auction model to products and communities that the model could never reach without ICT tools.
Other automated services offer entirely new services that could not be provided manually—for example, Google’s online search capability can perform functions analogous to those of a traditional human librarian or research assistant, but with a degree of speed, efficiency, accuracy and thoroughness that no human service provider could ever hope to duplicate. On-demand delivery of video content by companies such as Netflix allows consumers to stream content previously available only on DVD or through illegal downloads.
Finally, hybrid services combine human and machine-based capabilities, either harnessing technology to improve and leverage the abilities of people or depending on human talents to augment, deliver, customize, personalize, or otherwise add value to automated services. They are not simply services in which some of the information involved in the process or transaction is captured electronically—such as a massage therapy business that uses digital software to manage reservations and accounting. Rather, a central element in the creation of value is digitally processed.
A growing proportion of the most valuable and popular services are now hybrids. For example, accountants often rely heavily on software containing significant information about tax rules, bookkeeping systems and financial principles and are able to store, analyse, update and manipulate large amounts of data with ease, speed and accuracy. However, they supplement the power of the software
\(^{107}\) But not all automated services use digital ICT: for example, a self-service Laundromat is an automated provider of services that typically does not employ ICT, except to the extent that modern washing machines use microchips to control some functions.
with personal judgment that helps them provide advice and insights suited to particular situations. Similarly, travel agencies handle most transactions digitally, but use human agents to handle complex cases and particularly high-value customers.
This system is highly dynamic, with particular services, service companies and even entire industries moving, rapidly or slowly, from one position on the spectrum to another. As new technology and business systems are devised, the nature of possibilities continues to evolve. Services once practically unobtainable—access to vast stores of information now provided by a routine web search engine, for example—can now be obtained at virtually no cost in terms of time, money or effort. The local limitations that constrain the availability of traditional human-delivered services are also reduced or eliminated by digitization.
C.1. The services spectrum and potential for productivity gains and transformations
Fully automated systems, the evidence suggests, offer the greatest potential productivity gains. Because they rely on digital systems, the power, efficiency and affordability of algorithmic services can be expected to improve in accordance with exponential increases in computing capabilities. As chips improve and multiply, and the networks that they form become exponentially more powerful, the possibilities for fully automated digitized services expand dramatically.
The deepest economic transformations are occurring in the hybrid sector, which interweaves ICT-networked, sensor-enabled products, such as nursing tools or cranes or cars, with human delivery and judgment. The value of hybrid services depends on having human capabilities augmented by increasingly sophisticated ICT systems.
Existing data on productivity, organized by traditional industrial sectors, is not optimal for measuring productivity increases across our division of activities: automated, hybrid and irreducible. A rough estimate, taking select industries in which the bulk of activities fit into one category rather than another, is shown in table 16.
Table 16. Productivity increases, United States (1995-2003), elected industries
| Activity type | Industry | Productivity increase |
|---------------|---------------------------------|-----------------------|
| Automated | Telecommunications | 70.5% |
| Hybrid | Retail trade | 53.0% |
| | Financial intermediation | 66.2% |
| Irreducible | Business activities (consulting) | 16.9% |
Source: Groningen 60-Industry database.
C.2. The limits of transformation: the need for human judgment
The outcome of the transformation rests not on the inherent unfolding of the technologies but on the policy choices and the talent and skills that we develop. It is crucial for policy and business strategy that these technologies can empower human creativity, and only by capturing that possibility can distinctive advantage be generated. The ultimate limits of the domain of the computable have been a significant source of debate among many observers, including the authors of this chapter. One extreme view is that the domain of the computable will eventually push out human judgment altogether. The opposite view is that human knowledge will continue to dominate—that core facets of knowledge can never be reduced to algorithms. Our view is that, while the domain of human activity that can be codified and automated increases, human judgment will continue to be critical.
Now that we have covered the spectrum of how services activities are transformed by the algorithmic revolution, let us now turn to how they affect business models built on top of service activities.
C.3. Manufacturing: a range of services business model transformations
The algorithmic revolution makes possible a range of business model transformations. Many business models entail delivery of services. Others are extended or transformed by the underlying tools available to them (see figure III). These possibilities suggest the range of business governance questions that governments will need to address.
Figure III. The range of business model transformations
At one end, firms can use ICT services to enhance traditional business models, often by increasing their efficiency. For example, life insurance was among the first industries to transform its business models with the massive application of computing resources and algorithms. Wal-Mart’s early and extensive use of ICT to link suppliers and distribution radically increased its operational efficiency.
Firms can also extend traditional business models with ICT-enabled activities. An outsourcing firm, such as Flextronics, becomes a company providing manufacturing services. The Chilean mining company mentioned earlier took its traditional business of operating mining machines and shifted it to ICT-enabled remote operations. Now that its machines are remotely operated, it can offer
remote mining operations as a service worldwide. In this way, existing firms often progress from one step to the next; they first enhance their traditional business model to improve efficiency and then move to extending the business model in new ways.
At the far end of the spectrum, entirely new business models are invented. The Apple iPhone and iPad applications structure created a truly new business model for media, designing physical objects as a portal to access network services. Google, outside our focus here, is the prime example, linking advertising revenue to search functionality. An interesting example of an entirely new business model can be found in virtual currency; users using real money to purchase virtual gifts, avatars, or other virtual goods in an online game or social networking site. Some estimate that the virtual currency market in the United States exceeded US$ 1 billion in 2009.\footnote{Walsh (2009).} There are relatively few examples, but many hope to discover and develop the next completely new business model.
C.4. The services dilemma and the necessity of continuous innovation
We have seen that the ICT-enabled services transformation involves both including a services component in the business model and transforming service activities, particularly routine activities, into computable processes. This is just the beginning of the competitive story. Two matters must be noted. First, the application of ICT to existing service activities, the automation of existing activities, is always the beginning of the story. What one firm automates another firm can copy; the initial “automation” provides short-lived limited advantage. Continuous learning and innovation are therefore required. The final offerings need to be rethought, reconceived and implemented anew. Second, even in radical new services, such as online search or Twitter, which open entirely new domains, the competitive problem is how to maintain advantage. Google’s constant introduction of new functionalities and new possibilities is part of its effort to hold its users and, hence, bolster its advertising rates. The algorithmic revolution and the ensuing services dilemma thus continuously pit potential productivity gains against the constant threat of commoditization.
D. ICT-based services: implications and policy debates
D.1. The firm strategy
Firms throughout supply chains must increasingly realize that the value of their products, modules, subsystems and components will increasingly be realized through ICT-enabled services. Even classic manufacturers must learn to design for services. They must consider how the final product, often with embedded services, will be designed, developed and marketed. Final product designers
already have this in mind with defining specifications for the physical products through which the service value will be realized. Consequently, those issues will flow through the supply networks. This will, inevitably, affect specifications and requirements of components and subsystems but must influence the relationship with suppliers and product engineering more generally.
D.2. The policy debate
Even if focused on traditional manufacturing, policy must facilitate the engagement of the broader economy, firms and the workforce in the ICT-enabled transformation. Policy must help firms design and produce for a world of ICT-enabled services embedded in, well, everything; hence, developing an understanding of the impact of ICT on product development and value realization, not just in production itself. Of the many dimensions, we mention two policy areas: (a) connectivity—the availability of ICT tools and infrastructure and (b) people—the skills and the capacity to implement technology.
*Connectivity:* By connectivity, we refer broadly to the availability of ICT networks and tools. The notion of connectivity has evolved over time, causing a parallel shift in the potential role of the government in ensuring connectivity. The original notion of connectivity consisted of ensuring universal telephone access, including to remote geographic regions and across all income levels. With the advent of the Internet, connectivity expanded to cover Internet access, with concerns over the “digital divide” between those with and without access. More recently, connectivity was expanded to include broadband speeds, with different countries defining different throughput thresholds. The diffusion of mobile technologies further widens the notion of connectivity, as the Internet may be best accessed through mobile networks, especially in developing countries. Although the notion of connectivity continues to evolve, it is clear that, without connectivity, very little is possible in the way of taking advantage of the production and consumption of digitally transformed services, or producing products and components for these systems.
*People skills and capacities:* Even if technology and connectivity are available, they are useless without people capable of using and implementing them. Human skills affect what can be done. Although purely routine tasks will become increasingly automated, human tasks remain. There will always be new problems to be solved, new processes to be codified and new services to be automated through the creation of algorithms. For example, in the automation of health care, as medical knowledge advances, new systems must be constructed, new monitoring and intervention patterns will be needed, and human interventions will still ultimately be necessary. An almost endless number of services will also remain that rely on the application of both tacit knowledge and pattern recognition. Competitive companies will continue to depend on human abilities to identify and integrate sources of new knowledge and insight, to communicate this information with others through rich verbal and written interactions, to apply expert judgment based on tacit knowledge and pattern recognition, and to understand the significance of an entirely new problem and devise creative ways of addressing it.
A second implication of the new workforce dynamic notes a shift in the balance between specific skills and general skills. Until recently, the specific skills developed over years on a particular production line or in a particular business function (marketing, finance, design) were vitally important to organizations. Today, the value of such specific skills is rapidly eroding. With the accelerating introduction of new products and new services based on new technologies and new production methods, and with the growing use of IT-driven tools to automate processes that are purely routine, knowledge of “how things have been done” is increasingly perishable. By contrast, such general skills as the ability to understand and cope with the unusual and the unexpected and the ability to learn quickly in ever-shifting environments are becoming increasingly critical. People who can pull together information from various expert systems and knowledge bases, crossing domains and identifying patterns and connections, will create the most economic value in societies. This kind of abstract thinking—the ability to combine sensory data with an intuitive sense of what is right and wrong in terms of the meaning and quality of data—is extremely difficult to reduce to a digital algorithm and will probably remain so for many years to come. Therefore, this uniquely human capability should be emphasized and developed as much as possible in both educational systems and knowledge-management programmes at the company level.
The implications for worker training and recruitment programmes have yet to be worked through. How does a country or a company maintain the capacity to sustain vital skill domains (e.g., cutting metal) when the technologies and techniques dramatically change, as when lasers replace diamond-tipped tools in metallurgy? It is not just a matter of hiring smart, well-educated people but about hiring people whose greatest skill is the ability to develop, absorb and communicate ever-changing knowledge. As futurist Alvin Toffler puts it, “The illiterate of the 21st century will not be those who cannot read and write, but those who cannot learn, unlearn, and relearn.”
A more general policy conclusion emerges: The development and deployment of ICT-enabled services should be considered a form of production intimately tied to the local success of what is conventionally called manufacturing. In fact, the ICT-enabled systems must be built, and the products that are part of the networks must be imagined, designed and built. This raises several issues. First, ICT-based services have to be built and produced, or, at least the ICT systems have to be designed, developed, built and implemented. The tools, including software, have to be “built,” and the online services have to be “constructed.” Consequently, they are very open to innovation and productivity increases. From a policy standpoint, the question is how to conceive, design, develop, build and deploy the new system. The “good” jobs, ones with high-value added functions, are in the innovative development and deployment of these systems. Policymakers should employ strategies that will help communities and firms to develop the competencies required for this new form of production. The continuing debate in political, economic and public policy circles about the relative value
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109 Gibson, Rowan and A. Toffler (1998).
of manufacturing jobs and service-sector jobs is increasingly irrelevant to policy debates in the real economy. Just as it is inaccurate to assume that manufacturing jobs are secure and well paid, it is also inaccurate to consider service jobs dead-end, low-wage, unskilled positions. This model ignores not only the lawyer and physician but also the computer programmer, the financial analyst and the web designer—each a high-paid, highly skilled service worker. Rather than focusing on the increasingly irrelevant distinction between manufacturing and services, we should recast the conversation. If the word “production” includes not only traditional manufacturing but also the development of IT-based services—with the know-how, skills and tool mastery that they require—then we see that, in this broader sense, production remains of vital importance in the digital age, not just in the traditional manufacturing industries but in the services sector as well. And production workers—including not only assembly-line employees but also many kinds of knowledge workers in service industries ranging from finance, health care and IT to education, media and entertainment—are now more important than ever.
E. Conclusion: governing the transition
By way of summary and conclusion, we argue that the ICT-enabled transformation of services will alter manufacturing and manufacturing competition as it transforms the larger economy. We have shown that the fundamental transformation of services under way is being driven by developments in ICT tools and the uses to which they are being put. The application of rule-based IT tools is transforming services activities, changing how activities are conducted and how value is created. Service sectors have been transformed from a productivity sinkhole to a source of dynamism and productivity growth. The algorithmic revolution enables tasks underlying services to be formalized, codified and transformed, and firms are increasingly turning to services to add value. In-house business functions are available as services, firms are increasingly made up of bundles of services purchased on markets, and manufactured products are increasingly embedded and recast as service offerings. Traditional sectoral boundaries are breaking down as information and service offerings drive previously unrelated firms into direct competition.
We have offered some analytical vantage points from which to understand how the services transformation is unfolding. We introduced a spectrum of services activities, ranging from irreducible to hybrid to automated. While the last of these offers the highest potential productivity gains, we contend that human judgment will continue to be critical. We also introduced a range of business model transformations made possible by the algorithmic revolution, ranging from enhancing the efficiency of traditional business models to extending traditional business models with ICT to creating completely new business models. We showed why the transformation is unfolding now and, so rapidly, by contextualizing it in the competitive pressures from a global, digital era and the evolution of computing technologies and platforms.
For firms and governments, the challenge is to capture the benefits of the transformation. For manufacturing firms, capturing the gains from the implementation of new technologies requires new business models, new organizational strategies and cultivating new skills. It will increasingly require understanding not just how production of manufactured goods is embedded in supply networks but, rather, how the products gain value as part of ICT-enabled service systems. Manufacturing will increasingly turn to embedding products with ICT-enabled services; the conception of manufactured goods often as part of networks and the production processes as part of services. For governments, this scenario requires providing connectivity, ensuring an environment in which the ability to continually learn new skills is fostered, and creating rules to facilitate experimentation and implementation.
IV. The problem of decomposition: industrial policy and growth in a world of phased production
Dan Breznitz\textsuperscript{110}
Economists have been evaluating the success of national economies based on the growth of specific national industrial “sectors,” whether electronics, information technology (IT), aerospace or textiles. Consequently, we have been equating particular countries with specific sectors; the United States with aerospace, Germany with automobiles and Taiwan Province with electronics. Indeed, even economists who studied clusters, such as Michael Porter, have been looking at specific sectors, arguing that clusters provide linked industries and institutions mutual benefits, or competitive advantage due to their proximity.\textsuperscript{111}
However, production is no longer organized in vertically integrated companies focused solely on home locations. The manufacturing of products has increasingly been fragmented, or decomposed, into discrete phases in complex global production networks (GPN). Today, many products are being built and assembled from more pieces in more places than ever before. Increasingly, each component becomes a point of competition between firms dispersed throughout the world.
Nonetheless, geography still matters and we have found that specialization is still occurring. However, rather than focusing on entire sectors, we need to refine our thinking and start to analyse specific phases of production in particular industries as the main loci of clustering.\textsuperscript{112} There is, consequently, an increased need to analyse manufacturing issues from the perspective of phases of production rather than by sector. However, as mentioned in chapter I, the existing aggregate data is not organized in a way that is appropriate for this analysis.
A. Implications of decomposed production: what does decomposition mean for locations and the State?
As phases of production are located in specific places rather than being generally diffused throughout national economies, we are left with two questions. First, how do these phases take on locations? Second, what are the relative advantages and limitations of excelling in specific phases of production?
\textsuperscript{110} Dan Breznitz is an associate professor at the College of Management and the Sam Nunn School of International Affairs at Georgia Institute of Technology.
\textsuperscript{111} M.E. Porter, “Location, Competition and Economic Development: Local Clusters in a Global Economy,” \textit{Economic Development Quarterly} 14, No. 1 (February 2000): 15-34.
\textsuperscript{112} D. Breznitz and M. Murphree, \textit{Run of the Red Queen: Government, Innovation, Globalization, and Economic Growth in China} (New Haven: Yale University Press, 2011); D. Breznitz, \textit{Innovation and the State: Political Choice and Strategies for Growth in Israel, Taiwan and Ireland} (New Haven: Yale University Press, 2007).
With respect to the first of these questions, the decomposition of production is not random in its locational impacts. In a very real sense, the location choice results from a cross between a specific window of opportunity and the interaction of particular government actions. These windows of opportunity arise amid the numerous uncontrollable externalities of an increasingly international economy. As a result, these opportunities provide specific advantages for a state to develop.
The State plays a key role in the initial specialization of its IT industry by making essential decisions.\textsuperscript{113} First, the State must actively engage with industry to solve the fundamental market failure in industrial R&D. Otherwise, the inherent characteristics of industrial R&D—its indivisibility and high uncertainties, all of which are accentuated in the case of emerging economies with their lack of technological capabilities and finance—would lead private investors to allocate suboptimal amounts of resources to research. Second, State action is also of crucial importance because the innovation process is an inherently collective endeavor. Thus, innovation is iterative and cooperative in nature; therefore, there is a significant role for public actors in facilitating, enhancing and maintaining innovative activities. Third, the State must actively link the local industry with global markets, both financial and product. Lastly, in each specific industrial sector, the State and industry must be able to manage constant change. State actions and policies that prove successful in the early phases of development might prove harmful in later phases. Specifically, the development agencies should be able to manage the political reality of their own diminishing importance as the industry grows.\textsuperscript{114}
Consequently, different countries can achieve rapid and sustainable growth by focusing their innovational activities on particular phases of production and thereby supply unique outputs and services to global markets. Thus, there are different paths to success as a product of unique phase specialization and varied nation policy. Historically we have seen several distinctive examples of such success:
- Israel—a supplier of new technologies
- Finland—success based upon niche concentration
- Ireland—success in low to mid-level activities and products
- Denmark—niche value-added suppliers
- Taiwan Province—original equipment manufacturer/original design manufacturer (OEM/ODM) capital
- China—the innovative mass-flexible production site of the world
It is important to remember that there is no one “best way” of structuring the State to succeed in these tasks. There is no singular structural form, or modes of State-industry embeddedness, to which all successful countries must adhere.
\textsuperscript{113} Breznitz (2007).
\textsuperscript{114} Ibid.
A State and industry can develop institutionalized mechanisms in many different ways to mediate the relationship between State and national industries: guiding the flow of personnel and information, dictating State approaches to technological and sectoral control and targeting, and determining the linkages of local firms and markets with their global counterparts. States and industry can successfully co-evolve in different ways, and hence, this process of co-evolution is at least as important as the final structural result. Each such mode and process leads to a different industrial system with diverse strengths, weaknesses and relationships with the global markets.\textsuperscript{115}
The choices available to the State can be conceptualized along two orthogonal axes. At one end of the first axis, measuring control, are attempts by the State to gain maximum control over development and direct industrial R&D efforts, from basic research to specific products. At the other end of this axis, the State limits itself to incentivizing companies to maximize certain activities, such as product R&D, without targeting any specific sectors or technologies. State decisions on the degree to which it should target sectors and technologies can be conceptualized on a second axis. At one end are States that formulate policies down to the level of defining specific generic products and technologies. At the other are States that see their role mainly as assisting in the realization of decisions made by private firms. In between are States that target specific sectors—for example, software—but do not attempt to target specific technologies or define future products.
For two very different successful examples, we can look at Taiwan Province and Israel. On the one hand, there is Taiwan Province, where the State has been targeting specific technologies and products, authorizing and financing its public research institutions to develop them to the state of working product prototypes, and then either deliver the result to the industry or spin off the research teams as companies to commercialize the results. On the other hand, there is Israel, with a development agency that defined its role as fixing the market failures associated with industrial R&D and maximizing product R&D activities, employing an array of neutral horizontal technology policies.\textsuperscript{116} Israel implemented a policy of giving R&D grants for product ideas developed by private companies and entrepreneurs in every industrial branch, helping companies at all phases of development.
\textbf{B. The different phases of production}
Looking at GPNs, we can define four broad roles or phases, in which we can empirically locate different places. For convenience, we present these phases in reverse order, because production, the final phase, is the most concrete.\textsuperscript{117}
\textsuperscript{115} Ibid.
\textsuperscript{116} M. Teubal, M. “A Catalytic and Evolutionary Approach to Horizontal Technology Policies (HTPs),” \textit{Research Policy} 25 (1997): 1161-1188.
\textsuperscript{117} J. Zysman and D. Breznitz, “Double Bind: Governing the Economy in an ICT Era ,” \textit{Governance} 25, No. 1 (2011): 129-150.
First, the most basic role in terms of capacities and competencies is production and assembly. In these phases, whether in services or manufacturing, the focus of the activities is producing a product that was fully defined elsewhere, often assembling high-value components that were manufactured/produced elsewhere. Some might view this phase as utterly commoditized, relying solely on cheap labour. To a certain degree, they are correct. However, some highly defensible strategies employed at this phase go beyond the use of cheap unskilled labour. For example, many view South China, particularly the Pearl River Delta area adjunct to Hong Kong, as the optimal location for this faceless and brandless manufacturing service and argue that this is exactly its Achilles’ heel; The region’s success rests on particular capacities, which are distinctive advantages to succeed in this particular and rather difficult phase. The region occupies a distinctive place in the global production system.\textsuperscript{118}
Consider that, in order to truly excel at the production and assembly phase, companies must be able to produce, within a few short weeks, a broad range of extremely sophisticated products, such as iPhones and electronic book readers, or, in the case of software, to supply a working corporate-scale software system to spec. Furthermore, these companies must be able to ramp production up to millions of units within a couple of weeks or fully abort it, at a moment’s notice, and still somehow remain profitable on extremely low margins. Accordingly, as we have shown elsewhere, China’s competitive advantage does not rely on sweatshops employing a few thousand workers in inhumane conditions, but on the full mastery of flexible mass-production: the ability to orchestrate production of dozens of different products, at the same location, using millions of workers and engineers that needs to be able to move from one product line to the next without missing a beat. This is a feat that most, if not all, American and European companies are incapable of performing. The same goes for either software development or back-office service delivery. The ability to offer semi-skilled workers, mid-level programmers and a few English-speaking back-office services personnel comprises one set of capacities and competencies. But the ability to manage project teams that can grow to a few hundred if not thousands within several weeks and still deliver the same consistency of product, on time, within budget comprises a completely different set of capabilities. The number of countries with companies that can deliver world-class production and assembly-phase competencies is lower than a dozen; China and India lead the way, the first in manufacturing and second in services.
Second, before production is the phase of design, prototype development and production engineering. Design and production engineering companies take product concepts, which were only partly defined by its customers, and realize them, using a variety of production and assembly supplies and subsuppliers. Apart from design competencies, the design and delivery (production engineering) companies also bring to the table the capacity to create a working product or a system from of the large number of components and subsystems produced by many different and constantly changing companies. Many modern electronic
\textsuperscript{118} Breznitz and Murphree (2011).
or software products contain multiple, often thousands of, different components and subsystems, and the ability to make them work together and fit within the ever-shrinking confines of the latest gadget gives the design and delivery companies significant competitive advantages. Taiwan Province is widely viewed as the locale that has mastered this phase of production. However, looking at different industries, such as the life sciences, we should quickly realize that even countries such as Denmark and Singapore have become specialized locations for design, prototype development and production engineering.
Third, and not exactly in sequence, is the phase of second-generation product and component innovation. This phase, wrongly seen by some as being merely one of “fast following” or “incremental” innovation, is often the unsung (and sometime despised) hero of economic growth.\(^{119}\) A fascination with novelty, often generated in Silicon Valley, obscures the importance of this function. Firms working at this phase specialize in how to make existing products and technologies more reliable, more appealing to wider crowds of users, and, last but not least, better.
Accordingly, one of two modes of operation is usually followed in this phase of second-generation product and component innovations. First, working within the confines of established products and markets, companies improve, expand and often redefine these products.\(^{120}\) The consumer version of the videocassette recorder (VCR), for example, was based on a professional video recorder and player used industrially. Moore’s law, the steady increase in computing power, which has been the basis for much of the ICT revolution, is a perfect abstraction of second-generation innovation that has been transforming the way we work, play, think and communicate for the past fifty-five years.\(^{121}\) Moore’s law points to the steady doubling of the number of transistors placed on integrated circuits. Consequently, every two years or so, the possibilities and capabilities of electronic devices dramatically increase.
The second-generation innovation in final products often rests on innovation in the underlying components and constituent elements of products—that is, integrating advances in science and technology. This might be innovation in screen technology or microprocessor design or production technology in semiconductors. Each module, each unbundled process, is a target for innovation. Science-based engineering schools, such as Berkeley, Stanford, MIT and the Georgia Institute of Technology, partner with companies that often “buy” their innovations in this manner. One mechanism for such investment is in advanced engineering communities and the appropriate institutions to link them with the private market.
\(^{119}\) N. Rosenberg and L.E. Birdzell Jr., *How the West Grew Rich: The Economic Transformation of the Industrial World* (New York: Basic Books, 1986).
\(^{120}\) An example of such strategy aimed at the top end of the market is Toyota’s redefinition of a 140 year old product—the commercially produced car—and creating the hybrid powered cars with the Prius project. However, such strategy can also be aimed at the low-end of the market, for example the US$ 100 laptop project aims to create a simplified, much more reliable version of an extremely well defined product—notebook computers—so some of the poorer people in the world living under severe conditions can afford to use it.
\(^{121}\) G.E. Moore, “Cramming More Components onto Integrated Circuits,” *Electronics* 38, No. 8 (1965): 114-117.
The fourth, and most dramatic, phase, associated in the popular mind with innovation and Silicon Valley, is fundamentally novel product creation, which often results in the creation of entire markets and new industries. This phase has several variations. One of the Silicon Valley variations is the entrepreneurial company driving change. Cisco with the Internet router, Intel with the integrated circuit and the microprocessor, and Apple with the Apple 1 and the iPod represent firms that created components and products that have redefined entire industries. A second variation involves fundamental systems innovation, here called system-driven. Innovations in the delivery of electricity were often made by individual entrepreneurs, such as Thomas Edison, who were able to imagine and develop an entire system. Now, such radical system shifts are more complicated. Huberty and Zysman have argued that the energy systems must shift from a high-carbon, low-efficiency energy system to a low-carbon, high-efficiency alternative. Success requires the development, commercialization and diffusion of many “suites” of complementary energy technologies throughout society.\textsuperscript{122} The agent of innovation in these cases is often a government. The French creation of a nuclear-based system of providing electricity or the Danish leadership in wind generation represent systemic shifts that involved both government conception of a “new system” and various forms of technological innovation.
Both variations require a distinct set of competencies, beginning with conception, definition and design. The ability to come up with a new product, or a new system, is very different from the ability to define it and design it. Such a competency to conceive fundamentally new products and systems should be distinguished from production engineering.
As these examples make clear, this phase is the most collective and where the famed “communities of innovation” are the most crucial.\textsuperscript{123} Nonetheless, as the numerous failed attempts to create new “Silicon Valleys” attest, policies that aim to achieve the capacities and competencies needed to excel in the novel product creation phase are the hardest to pull off.\textsuperscript{124}
\textsuperscript{122} M. Huberty and I. Zysman, “An Energy System Transformation: Framing Research Choices for the Climate Challenge,” \textit{Research Policy} 39, No. 8 (October 2010): 1027-1029.
\textsuperscript{123} W.W. Powell, K.W. Koput and L. Smith-Doerr, “Interorganizational Collaboration and the Locus of Innovation: Networks of Learning in Biotechnology,” \textit{Administrative Science Quarterly} 41, No. 1 (1996): 61-89; C. Antonelli, “Collective Knowledge Communication and Innovation: The Evidence of Technological Districts,” \textit{Regional Studies} 34, No. 6 (2000): p. 535-547; D. Breznitz, “Collaborative Public Space in a National Innovation System: A Case Study of the Israeli Military’s Impact on the Software Industry,” \textit{Industry and Innovation} 12, No. 1 (2005): p. 31-64; S.M. Breznitz, R. O’Shea and T. Alan, “The Role of Research Universities in the Development of Regional Bioclusters: A Study of MIT and Yale Commercialization Strategies,” \textit{Journal of Product Innovation Management} 25, Issue 2 (2008): p. 129-142; P. Cooke and K. Morgan, \textit{The Associational Economy} (New York: Oxford University Press, 1998); D. Keeble et al., “Collective Learning Processes, Networking and Institutional Thickness in the Cambridge Region,” \textit{Regional Studies} 33, No. 4 (1999): p. 319-332; R.K. Lester and M.J. Piore, \textit{Innovation—The Missing Dimension} (Cambridge: Harvard University Press, 2004); K. Morgan, “The Learning Region: Institutions, Innovation and Regional Renewal,” \textit{Regional Studies} 31, No. 5 (1997): p. 491-503.
\textsuperscript{124} N.C. Nielsen and M.C. Nielsen, “Spoken-About Knowledge: Why It Takes Much More Than Knowledge Management to Manage Knowledge,” in \textit{How Revolutionary Was the Digital Revolution? National Responses, Market Transitions, and Global Technology in a Digital Era}, ed. J. Zysman and A. Newman (Stanford: Stanford Business Press, 2006); T. Schulzle-Clevien, “The Learning Organization: A Research 79 Note on Organizational Change in Europe: National Models or the Diffusion of a New ‘One Best Way’?” by E. Lorenz and A. Valeyre, in \textit{How Revolutionary Was the Digital Revolution? National Responses, Market Transitions, and Global Technology in a Digital Era}, ed. J. Zysman and A. Newman (Stanford: Stanford Business Press, 2006).
C. Moving towards the sweet spot: different challenges for different paths
In a world of commodities, the challenge is to find the sweet spot in the value network. It is not a matter of which sector you are in, but where you are located in the value network.\(^{125}\) As a result, places, not just products, increasingly risk commoditization as well.\(^{126}\) This raises two questions: How do States ensure that they are able to offer something distinctive and valuable? And what can a State do to become a major manufacturing centre? As we have established previously, a State can only build on its own unique political and industrial legacy.
The window of opportunity necessary for rapid innovation-based development is a unique experience that arises in part as a result of international economics and in part as a result of a state’s specific legacy. States must capitalize on this window with strategic involvement, and they must comprehend how industrial R&D and dynamic economic capabilities are created, improved and maintained. Moreover, it is essential that States understand how relationships between local industry and the global industrial and financial markets develop and operate. Consequently, States must develop some key competencies, detailed below:
- Product creation—conception, definition and design.
- Production engineering—manufacturing, integration of production activities and logistics.
- Component innovation—integration of scientific and technological advances
- Branding—differentiation and value creation through branding and marketing
- Building bodies of knowledge embedded in infrastructures and business systems and developing the competence to use them.
**Product creation**
Product creation comprises a set of competencies that begin with conception, definition and design. As mentioned earlier, the ability to come up with a new product is different from the ability to define and design it. This competency should be distinguished from production engineering. Bang and Olufsen, the Danish high-end consumer electronics firm, has, in our view, defined many products, often doing the careful design and engineering in-house. It has often taken an existing product, for example, a CD player, and turned it into an *objet d’art*. IDEO, by contrast, is a company that sells aspects of this capacity as a service to other firms, helping them to define products and designs. For example, it designed the first mouse for the Apple Macintosh and Lisa. Or consider Motorola. The advent of digital technology has allowed many people to forget
\(^{125}\) Zysman and Breznitz (2011).
\(^{126}\) J. Zysman, N.C. Nielsen, D. Breznitz and D. Wong, “Building on the Past, Imagining the Future: Competency-Based Growth Strategies in a Global Digital Age,” Working Paper 181, BRIE, October 2007.
that, not so long ago, this American company was world famous, thanks to its ability to come up with many new analog mobile communication devices, from the first commercially successful pagers to the early, analogue cell phones.
This activity—imagining concepts and translating that imagination into an operational process or product—often requires knowledge and skills that cannot be codified and moved around easily. Hence those skills are a magnet for activities. At the same time, if such skills are lost, then a significant part of a region’s more general attraction goes with them. Accordingly, developing a distinctive advantage and training in industrial design in general and in particular segments can generate a “skill community” that attracts development and production activities to a locale. After a region has successfully invested in, or attracted, skilled workers in this area of production design, it can take its place in a GPN value network where high value is generated.
The production of mobile phones provides some insight into this dynamic. Mobile phones are boxes made of plastic and metal boxes that have electronic components enabling access to services and features. The bundling of these services and features is often conceived of at the product definition and design level. Now mobile phones have global positioning system (GPS) navigation, the ability to play digital music, e-cash and banking functions, pedometers, and Internet browsers that permit, among other things, access to television programmes. It is no longer clear what exactly a mobile phone is anymore. Rather, it is a box with abilities that have been conceived of and bundled by a concept team, and this is where the value is created. Take the smartphone. Engineers at Apple, Microsoft and Google create new operating systems for smartphones. Then HTC, a Taiwanese firm, based on that work, creates unique and differentiated functions, and create a market demand for HTC phones in particular, not merely a nonspecific smartphone.\(^{127}\) If regions are able to draw in or create those businesses, they defend the value created.
**Production engineering**
This domain includes manufacturing, the integration of production activities, distribution and logistics. There is clearly not a single expertise in this domain and companies and places do differentiate within it. The lean production model of Japan and the volume models of Korea differ from the high-quality, low-volume model used in Denmark. Much of the way high value is created in the modularization age is through coordination. As business activities break into modularized elements, their multiple subcomponents risk floating away. Those disparate bits might (or might not) create high value, but they hold little market value unless they are recombined for final delivery. Obviously, the traditional vertically integrated company engaged in such coordination under one corporate roof and sometimes in one locale. It was relatively easy, as everything was internal to one corporation and often collocated in one region. However, as businesses
\(^{127}\) Breznitz (2007).
devolve and modularize, a part of the business has to coordinate those modules in order to ensure competitive success. Dell and Compaq (now part of HP PC and laptop division) have created value and advantage by coordinating sales and production for what amounts to commodity boxes, though in different ways. The product designs, let alone the constituent elements of the notebook computers, have been largely outsourced and modularized and many business processes are unbundled offshore. Most of the two companies’ business activities have been modularized and have often been turned into commodities, and now they produce almost no part of the product sold to the customer under their name, so in many respects they are little more than a brand label on a shipping container. In a sense, the firms are master coordinators of modules that circulate in the global economy, with expert competency in creating high value from the management of disparate low-value modules. Recently they made a new strategic move by taking coordination a step further by acquiring high-end system OEMs—Voodoo in the case of HP and Alienware in the case of Dell—which enables them to differentiate the products through performance and design.
Other companies opt not to deal with the final users but to sell coordination as their fundamental business, whether as producers of specific products such as notebook computers, of which the most noted example is Quanta, or as general contract manufacturers of diverse products, such as Solelectron or Flextronics.
**Component innovation**
The third competency domain consists of integrating scientific and technological advances, which might mean innovation in screen technology or microprocessor design or the production technology for semiconductors. Each module, each unbundled process, is a target for innovation.\(^{128}\) R&D labs call on much of the high-end technical engineering skills that make our previous example of mobile phones possible. Science-based engineering schools such as Berkeley, Stanford, MIT and Georgia Institute of Technology link to companies that often “buy” their innovation in this manner. One mechanism for such investment is in advanced engineering communities and the appropriate institutions to link them to the private market.
Enormous private and public attention is focused on this domain. Indeed, the recent interest in venture capital, industry university relations and many aspects of the open innovation discussion are all elements of this domain. Silicon Valley is evidently a “place” with this focus and competency. Its success stories include Intel, National Semiconductor, Maxtor and Sun—but it is not alone. Israel has made a basic technology bet in its national development strategy focusing on this competency; similarly San Diego is engaging in a conscious effort to create such a competency.
\(^{128}\) Ibid.
Branding
Branding and marketing are a fourth competency domain. But branding is no longer an afterthought. It is not separable from strategy, positioning and investments in skills and technology. A company must be able to deliver the brand as promised and hence must be organized around realizing that promise. Through creative branding, businesses can define their offerings in ways that position them in large markets with few competitors—called blue oceans of value—rather than being stuck in the waters of more established market segments with highly contested and possibly frenzied competition. They try to escape the commoditization trap.\(^{129}\) Southwest Airlines entered the market with an innovative product, offering low-cost basic service, and built a national network focused on making good on that offer. Now, the Virgin America airline is trying to differentiate itself in the low-cost segment of air travel by offering substantially different services in the cabin, for example, including Internet access on specific routes.
The screwtop wine industry is in a different market to that of the sophisticated wines of France that carry the *Appellation d’Origine Contrôlée* (AOC). In addition, just as value is often created in the mind of the final consumer, value is often defined by branding. For instance, Apple Computers introduced the iMac in 1998 not just as a computer with affordable and advanced computing capacities but also as a part of a new lifestyle that takes a creative, humanistic approach to computing. Since then, Apple has associated its brand with outsiderism and a youthful, artistic edge. The key for Apple has not been to associate its brand with products, as it has been traditionally done, but with emotions and a social identity. This strategic marketing and branding saved Apple from near-death ten years ago and allowed it to return to creating high-value products for both the company and the region where it is headquartered, Cupertino in Silicon Valley. BMW is trying to become more than a car by branding itself as “the private independent car company” that produces the “Ultimate Driving Machine.”
The full list of competency domains would be quite long, and the ones described here are simply examples. The debate must be about which competencies are central to the ability of firms and regions to adjust and adapt to the fluidly shifting global economy. These particular competencies must, of course, be combined in innovative ways within existing firms or new firms—an entrepreneurial competency.
Building bodies of knowledge
So our fifth competency domain, to truncate a very complex discussion for now, is a set of bodies of knowledge embedded in infrastructures and business systems and the social competence to use them.\(^{130}\) For example, there is the competency to financing and launching innovative activity. The American venture capital
\(^{129}\) K.W. Chan and R. Mauborgne, *Blue Ocean Strategy: How to Create Uncontested Market Space and Make Competition Irrelevant* (Boston: Harvard Business School Press, 2005).
\(^{130}\) Again our thanks to Jonathan Murray who helped us phrase this particular competency.
system concentrated in a few locations in the United States is a classic instance of a body of competencies that grew up initially and principally through the expansion of IT industries. Likewise, there is the competency to exploit the new possibilities of data and communications technology effectively. That is not just a matter of collections of individual skills but of the IT infrastructure. In the nineteenth century, the critical transport systems in the economy were roads, railroads and the telegraph. In the twenty-first century, the data network system, in all its various forms, will be critical for the business experimentation central to generating competitive advantage. Having the IT infrastructure without the competency to use it, and to find new uses for it, is like having a new computer collecting dust in a store room. IT requires broadly based competencies in computer skills, not only to build the new tools as products and services for sale but to effectively use them and imagine their implications for all the sectors that use them.
A critical issue is whether the development of one set of capacities required for one role in the value network interferes with or supports the development of capacities for a different role. Can two different sets of competencies coexist in a particular place? Or will they interfere with each other? Rephrased, the proposition is that each set of competencies and capacities requires a distinct set of institutional foundations, so the question becomes whether those institutions can coexist in the same place and within the same national rules. Some argue that size is the definitive factor and that only large countries can have regions that specialize in different phases. This is only a partial answer, if it is an answer at all. We do not view the production roles or phases as exclusive. Furthermore, there is always a need to have certain competencies from other phases in order to excel in innovating in a specific one. Therefore, locales not only can but must retain competencies from several phases in order to fully master one. The competencies principally required for a particular role, say, product design, do not stand alone. They require at least access to complementary capacities—and access to those complementary capacities demands adequate local resources to absorb knowledge and coordinate with others. Hence, if Israel now appears to be an embodiment of focus on novel product creation, a deeper analysis reveals that it also excels at many of the activities suited to second-generation and component innovations. Indeed, a more prudent long-term strategy for any region is to specialize in one phase but retain competencies in another to allow it to coordinate and collaborate with other places and, when needed, transform its core activities as the markets, industries and technologies in which it specializes change over time.
D. Conclusion: different paths to success
We have seen a variety of examples of diversified and highly successful development of countries that not long ago were either very poor or faced existential economic crises. These are the lessons that policymakers in the less developed countries of Latin America need to ponder, especially in comparison to the
difficulties faced by economically promising countries in the region. For example, what institutional and political constraints have prevented Chile from following in the footsteps of Denmark or Finland and building on its great strengths in high-end agriculture and resource extraction to become a global leader and a truly rich society? Or, following a different model, why have Taiwan Province and, later, China have become rich while Mexico, which enjoys significant geographical advantages, failed to use utilize the same strategy?
The answer is that Denmark, Finland, Ireland, Israel, Taiwan Province and China have each, benefiting from unique windows of opportunity, successfully developed in different ways. Furthermore, unique State interactions have laid the groundwork for their successful development. In each example, varying degrees and structures of embeddedness have determined the relationship between industry and the State and the degree of control of the latter over the former. The unique solutions have capitalized upon the individual industrial, social and political legacies of each State. Yet each unique successful trajectory comes with its own new challenges as well.
In Denmark, opportunity presented itself with the economic crisis of the 1970-1980s. Escalating costs and the breakdown of the old state welfare system coupled with a near-systemic collapse of small and medium enterprises (SMEs) had resulted in unemployment of nearly 10 per cent. In 1982 Denmark was considering a bailout by the International Monetary Fund. However, today Denmark is one of the richest and most successful Nordic countries. Denmark is home to a multitude of high-innovation SMEs in agriculture, traditional and high-tech industries. Through intensive supply-side investment in vocational education and R&D, Denmark developed an increasingly flexible welfare state with extensive training in flexible labour. Denmark developed success as both a supplier of niche-market ICT and traditional high-value-added niches. However, Danish firms are often subsidiaries within the global market. In addition, while Danish SMEs have been successful they have had difficulty in scaling up industries. Denmark must also address its lagging research capabilities and lack of innovative capacity.
Finland is another excellent example of a small, Nordic country that followed a unique and highly successful path to development. After the collapse of the Soviet Union in 1991, the Finnish economy suffered greatly. During the 1990s, Finland faced a severe economic crisis in which manufacturing output had fallen by 15 per cent and unemployment peaked at 17 per cent. However, Finland is now considered one of the most successful and innovative countries in the world in both IT and traditional industries. Nokia in particular is recognized as a world leader in mobile telephony and remains a significant driver of this growing industry. Arguably, Finland’s ICT successes have centred on this one company. However, Finnish success has extended to the revitalization and revamping of traditional industries as well. The country’s unique path has resulted in unique challenges as well. Despite the success of Nokia as a “national flag company” in a traditional sense, Finnish SMEs have struggled in their attempts to globalize
both internally and externally. Beyond Nokia, there are few “household” names, even if the Angry Birds game from Rovio has become the favorite pastime of many smartphone owners.
Aside from the Nordic examples, Israel has faced many challenges and seized upon a unique window of opportunity for development. As late as 1968, the entire industrial sector had a total of 886 R&D workers with an academic education, and between 1978 and 1986, Israel suffered from inflation that topped 486.23 per cent. The situation has been completely reversed. Israel has the largest number of IT firms listed on the NASDAQ, after the United States and Canada. In 2010, Israeli IT exports were valued at US$ 13 billion and was responsible for 71 per cent of industrial exports and 70 per cent of the country’s GDP growth. The rise of science-based industry in Israel is largely the product of pioneering use of horizontal technology policies by the State, which is taking an active role in linking Israeli high-technology firms and global (early one mainly American) financial and product markets. Israel has succeeded as a supplier of new technologies and products, including both hardware and software. With Israel’s success come additional challenges. The close links between Israeli firms and the United States financial and consumer markets led whole industries to migrate to the United States. Sustaining this rapid success will prove an ongoing challenge for Israel. As economic inequality continues to develop in Israel, Israel must continue to follow its current ICT focus.
Ireland has historically been nearly synonymous with economic hardship. Prolonged economic challenges as far back as the 1840s have resulted in repeated waves of massive emigration. In 2007, Ireland was the world’s second-largest exporter of software. Ireland’s success has been a result of targeted R&D in tradable services, with software as the focus. Ireland’s business environment was crafted to encourage the entrance of multinational corporations (MNCs), which allowed Ireland to achieve economic growth, particularly in IT. Ireland’s success was based on low to mid-level activities and products, particularly software. The country continues to face its share of challenges. Despite its success in software, Ireland failed to achieve the same results in its attempt to focus on hardware. Moderate R&D and innovation capabilities coupled with stagnation in technological entrepreneurship have prevented stability in Ireland’s development.
Taiwan Province had previously suffered from an excessively rigid economy, in which private industry refused to invest in new industrial domains such as semiconductors, thus many traditional industries stagnated. State policies of funding public research institutions created large production competencies within the targeted sectors, namely electronics and semiconductors. The Taiwanese government’s targeted control and function as the “R&D agent” rapidly developed its semiconductor industry. As early as 2005, the Taiwanese semiconductor industry realized revenue of US$ 21.4 billion and was recognized as the world’s second-largest such producer. Likewise, the State encouraged the entrance of MNCs and then maintained a “hands on” approach of carefully protecting and advancing Taiwanese industrial interests. Taiwan Province has now become the world’s
leading OEM/ODM industry supplier of components and second-generation innovation. As a result, Taiwanese ICT hardware has been a tremendous success. However, the tight controls of the Taiwanese institutional system inhibit novel product innovation, which will become an increasing challenge with the maturation of the ICT industry.
Finally, China is the first case of a manufacturing-based economic miracle to occur in the new world of decomposed production. China has taken advantage of the opportunities offered by fragmented production. After entering the IT industry’s GPNs at the simplest point—assembly—China developed a massive collection of capabilities in production, logistics, incremental improvement and second-generation innovation. Because of the deep crisis facing China in 1978, it is an open question whether China’s piecemeal approach to reform—groping for stones to cross the river—would have been successful, or even sufficient, without the global decomposition of production. Without the advent of spatially fragmented production, China would have had to develop missing capabilities and invest on a much larger scale than either its economic and financial resources would have permitted. The success of China is a clear example that Western obsessions with novel product innovations are not the only path to economic growth.
Emerging economies will do well to carefully analyse the entry points open to them and devise their policies to fit the phases of production (and, accordingly, innovation) at which they excel. Policy deliberation and experimentation by local officials is critical, because economic development is, above all, a contextual process.\(^{131}\) Their choices will have long-term consequences so they need to be especially attentive in their deliberation and decision making.
\(^{131}\) D. Rodrik, *One Economics, Many Recipes: Globalization, Institutions, and Economic Growth* (Princeton: Princeton University Press, 2007).
V. Manufacturing metropolises: design, fabrication and service
Paul Wright\textsuperscript{132}
A. Introduction
Where and how goods are produced has been transformed by a broad variety of technological developments. This chapter looks at the transformation from the perspective of information technology (IT) tools. It considers how IT tools support, promote and accelerate the connections across the production phases of twenty-first century manufacturing:\textsuperscript{133} ideation, design, prototyping, fabrication, supply chains, sustainability and engineering services. IT tools have changed manufacturing, with consequences for the location of production activities. Innovation, as Breznitz argues in this volume and elsewhere, comes in many forms and at each stage of manufacturing.\textsuperscript{134} The decomposition of production, as noted in earlier chapters, makes possible and is generated by strategies by competitors from diverse places at each point along the manufacturing and services production networks continuum. A century ago, the production strategies of automobile producers in the United Kingdom and the United States had sharp differences. As a result, the United States focused on production efficiency, typified by Henry Ford, whereas the United Kingdom focused on customization and hand finishing, typified by Rolls-Royce.\textsuperscript{135} Now, as noted by Breznitz, places have increasingly focused on phases of production, on particular stages of manufacturing. The particular location in the supply networks is a function of a set of policy choices, as outlined by Breznitz. The UNIDO perspective and its analytical approach should be to align the resources of a particular country with a particular niche in twenty-first-century manufacturing. Places do not need to mimic Silicon Valley but, rather, must create their own foundations for their own innovation strategies in the new integrated production systems.\textsuperscript{136} They must, to quote Zysman et al., build on their past while imagining their future.\textsuperscript{137}
\textsuperscript{132} Paul Wright is a professor of engineering and the A. Martin Berlin Chair in Mechanical Engineering at the University of California at Berkeley.
\textsuperscript{133} Beginning from very different points of analysis, Paul Wright and Dan Breznitz identify nearly identical phases in the Manufacturing Continuum and address them with parallel concepts. However, for this report we do not attempt to reconcile their vocabulary and conceptions.
\textsuperscript{134} D. Breznitz, \textit{Innovation and the State: Political Choice and Strategies for Growth in Israel, Taiwan and Ireland} (New Haven: Yale University Press, 2007).
\textsuperscript{135} N. Rosenberg, \textit{Perspectives on Technology} (Cambridge: Cambridge University Press, 1976).
\textsuperscript{136} An informal personal comment: Writing as the director of the Center for Information Technology Research in the Interest of Society (CITRIS), we entertain many international trade groups searching for the “magic” of the greater Silicon Valley area. This is a worthy endeavour of course. But not necessarily to be directly copied—rather the best outcome is to see how another geographical region can partner (formally or opportunistically) with the Valley and other international metropolises.
\textsuperscript{137} J. Zysman, N.C. Nielsen, D. Breznitz and D. Wong, “Building on the Past, Imagining the Future: Competency-Based Growth Strategies in a Global Digital Age,” BRIE Working Paper 181, 2007.
IT is the key enabler common across the twenty-first-century manufacturing continuum, or stages of production, and across all places and firms participating in global supply networks and markets. Consider the continuum of twenty-first-century manufacturing: computer aided design (CAD), virtual prototyping, planning, robotics, automation, quality control, scheduling, supply chain management and after-sales service networks. All the elements along this continuum are powered by IT or the digital revolution. Even topics such as automated visual inspection of components, micro/nano measurement sensors, or layered manufacturing (which on the surface might seem like a much better camera, chemical sensor, or fascinating physical process) are still heavily dependent on faster computer chips, software, wireless technologies and high-speed networking. Newer developments such as cloud computing and large-scale data analytics further support an evolution in manufacturing.\textsuperscript{138}
\section*{B. Ideation}
“Designed by Apple in California; Assembled in China”
\textit{back face of an iPhone}
The first stage in the twenty-first century manufacturing continuum is ideation. Today it is possible for a lone designer sitting in seclusion to “design something new” and, with good Internet access, go to a rapid-prototyping bureau to obtain a physical prototype to hold and examine. Moreover, the original design and a photograph of its prototype can be posted online, on websites such as Thingiverse\textsuperscript{139}—a fabrication community aimed at sharing and collaborating on digital designs. Thingiverse also provides a searchable library of digital designs free for users to download and fabricate themselves. The result is that an online community, or social network, of designers and prototyping services is expanding quickly. Furthermore, with good Internet connections, any English speaker from any country can participate, given the now-inexpensive design tools and rapid prototyping services described in the next two sections.
This is an exciting vision: global communities of inventors who can make their dreams come to life in prototype form. However, scaling an original design or prototype to large consumer markets and profits involves many steps and many decisions that affect the manufacturing process. Start with the basics, the sort of question that confronted Henry Ford and Rolls-Royce in the auto industry a century ago. Is this a product destined for large consumer markets or small boutique consumption? The role of trial marketing, focus-group testing, pricing
\textsuperscript{138} For a treatment of cloud computing more generally, see: M. Armbrust, A. Fox, R. Griffith, A.D. Joseph, R.H. Katz, A. Konwinski, G. Lee, D.A. Patterson, A. Rabkin, I. Stoica and M. Zaharia, “Above the Clouds: A Berkeley View of Cloud Computing,” Electrical Engineering and Computer Sciences Department, University of California, Berkeley, Technical Report UCB/EECS-2009-28, 2009; K. Kushida, J. Murray and J. Zysman, “The Gathering Storm: Analyzing the Cloud Computing Ecosystem and Implications for Public Policy,” \textit{Communications and Strategies} 85 (2012).
\textsuperscript{139} Thingiverse, “Digital Designs for Real, Physical Objects. A Universe of Things!” Makerbot Industries, 2012, www.thingiverse.com.
and patent protection all come into play even before a serious working prototype should be shown to investors. And who are the investors in the project? Government funding through business development grants; angel investors; formal venture capital firms; banks; friends and family; or the actual designer who is maintaining his or her day job elsewhere? Of course, the more complex the product in terms of its physical hardware, electronics, chemistry, biology, or long-term software development, the more costly the process and the lead time to a completed product. As a consequence, despite the power of the emerging design tools, the lone designer or the new international entrant will still face significant challenges.
Silicon Valley, with its distinct culture, bred Apple, Google, Facebook and Twitter, and Intel and HP before them, and is the epitome of innovation in the ideation stage of manufacturing, as Breznitz argues. The innovative designer and the ambitious entrepreneur were embedded in a community with legal, financial and technical tools to develop and deploy their ideas. Indeed, the Palo Alto-based product-design firm IDEO\textsuperscript{140} is synonymous with ideation. IDEO is focused on conceiving and designing products. Silicon Valley grew up with a “Wild West” mentality. New planar transistor companies such as Intel, National Semiconductor and AMD were established in the spirit of the 1960s radical spirit, far from the more conservative corporate culture typical of more established firms of the East Coast of the United States. This spirit of the 1960s spilled over into the computer culture that developed Apple, the surrounding culture of Berkeley and Stanford, and the attraction to California of alternative lifestyles in fashion and mores.
But, as we know, much more than an attitude or culture was involved. Silicon Valley is rooted in the university research community of Berkeley, Stanford and the University of California at San Francisco. It developed financial and legal institutions of venture capital and remains the global centre for venture finance. A significant chunk of all United States venture capital funding goes to support work in the coastal strip between Silicon Valley and Los Angeles/San Diego.
C. Engineering design and its impact on prototyping and full production
“The silence is unsettling, as is the sight of half-assembled cars gliding about on robotic transporters that move as if they had minds of their own. The scene of this industrial serenity is Porsche’s assembly line in Leipzig, Germany.”
\textit{The Economist}, February 3, 2011, pp. 81-83
We now move one step along the continuum to the painstaking and detailed engineering design work of large and small, simple and complex, societal artifacts. Beginning with the largest scale or most complex, the United States, Japan,
\textsuperscript{140} IDEO, “We Are a Global Design Company. We Make Impact Through Design,” IDEO, 2012, www.ideo.com.
the Republic of Korea and the European Union are still home to the leading engineering design and fabrication companies in aerospace, chemicals, machinery, medical equipment and, of course, semiconductors. Kaushal, Mayor and Riedl\textsuperscript{141} of Booz & Company, identify these categories in an important review.\textsuperscript{142} They write that the sheer scale, complexity and knowledge intensity of semiconductors and aerospace design (for example) warrant complex engineering design tools and visualization systems that allow virtual assembly before costly physical assembly. By using such tools, large aircraft such as the Boeing 777 were assembled in electronic virtual form long before the more costly production and assembly lines were laid out. So was the Porsche production line referred to in the above quotation. Today, these computer-based visualization tools are almost mandatory.\textsuperscript{143} Not only do they save time and money in designing the future factory, but they also allow real-time simulations and “what-if” scenario planning of different production schedules. In addition to these complexities of design, it is pointed out that aerospace manufacturing, in particular, requires uniquely qualified labour, substantial support from corporate R&D, and proprietary technology investments that are often tied to national security and regulatory requirements.
However, “sectors on the edge” (a phrase coined by Kaushal and colleagues)\textsuperscript{144} consist of a slightly less sophisticated second group of design and manufacturing environments and they are increasingly accessible to low-cost design and manufacturing in many countries and companies around the world. This category of products includes electrical equipment and components, fabricated metal products, automotive vehicle subparts, other transportation equipment, final assembly of automobiles, and printing services. IT networks from designers to fabricators and, in reverse, physical supply chains from lower-cost manufacturing countries to global markets are, therefore, in common usage.
A developing country that wishes to enter or expand its economic role in the global community should focus on such linkages from the engineering design companies in the United States, Japan, the Republic of Korea and the European Union to skilled fabricators in the local region. Such a focus has already supported the rapid expansion of global trade in these categories of engineering “sectors on the edge.” For example, it has created a global collaboration supporting a truly massive market of consumer items. Toys, hardware and so forth are designed in the United States, Japan, the Republic of Korea and the European Union and made into products in East Asia by plastic injection molding shops (in Taiwan Province especially) and printed circuit board manufacturers and final-product assembly houses in China, such as Elec & Eltek and Foxconn, respectively.
\textsuperscript{141} A. Kaushal, T. Mayor and P. Riedl, “Manufacturing’s Wake-Up Call,” \textit{Booz and Company} 64 (2011), Reprint 11306.
\textsuperscript{142} Ibid.
\textsuperscript{143} Fiat, Fiat Group Automobiles, P.IVA 07973780013, 2012, www.fiat.com/cgi-bin/pbrand.dll/FIAT_COM/home/
\textsuperscript{144} Kaushal, Mayor and Riedl (2011).
A variety of engineering design tools (CAD tools) will support this global enterprise. At the desktop PC level, constraint-based design and parametric modeling tools are now commonplace.\textsuperscript{145} Design engineers can create a new object, scale, rotate, view, assemble to other parts and link to downstream manufacturing processes. Training and practice are needed to arrive at a complete and manufacturable object, but even for new designers simple “art-to-part” design and fabrication tools are available.\textsuperscript{146} This design software is available globally and relatively inexpensively, and the CAD system can be downloaded—in some cases, at no cost. In a similar vein, the universities and trade schools of most developed countries offer “student editions” of most of today’s commercial CAD/CAM [computer-aided manufacturing] systems so that relatively inexpensive design training can be performed widely. These CAD tools should be purchased in developing countries that wish to gain entry to the above-mentioned “sectors on the edge.” For more complex designs, say, in aerospace, the fully integrated packages of design tools allow cross-platform and cross-company consistency, and they are consequently more expensive to buy, run and train for. Developed countries and firms with large budgets for purchase, training and integration are the environments most likely to obtain and make use of these systems. Design sharing of partially created objects, developed by the author and colleagues,\textsuperscript{147} and newer visualization tools allow full integration of product data management and support services (imaginestics.com). Proof by prototyping is often a part of this validation of capability procedure and leads into the sharing of design repositories\textsuperscript{148} in cloud computing environments and the ability for any country or firm in the world to bid on subcontracts provided that they have been validated and authenticated by the first-tier fabricator.
D. Prototyping, additive manufacturing and mass customization: optimism and caution
Originally developed in 1987 as a specialty prototyping capability, additive manufacturing is now a billion-dollar industry with an increasing trend toward mainstream production and manufacturing implementation. The price of additive manufacturing systems continues to fall while the production capabilities advance. Build accuracies continue to improve in tandem with an increasingly functional variety of material selections. These improvements drive the implementation of additive manufacturing from prototyping to the final manufacture of goods and—arguably—drive portions of production to additive manufacturing.
\textsuperscript{145} J.S. Shah and M. Mäntylä, \textit{Parametric and Feature-Based CAD/CAM: Concepts, Techniques, and Applications} (New York: Wiley, 1995).
\textsuperscript{146} eMachineShop, “Custom Parts Online,” www.emachineshop.com.
\textsuperscript{147} S.H. Ahn, B. Bharadwaj, H. Khalid, S.Y. Liou and P.K. Wright, “Web-Based Design and Manufacturing Systems for Automobile Components: Architectures and Usability Studies,” \textit{International Journal of Computer Integrated Manufacturing} 15, No. 6 (2002): 555-563.
\textsuperscript{148} W. Regli, T. Kim, J. Han, C. Cera and C. Choo, “Multi-Level Modeling and Access Control for Secure Collaborative Design,” \textit{Advanced Engineering Informatics} 20, No. 1 (2006): 47-57.
Additive manufacturing provides producers with the ability to offer individually customized goods that are uniquely differentiated from the offerings of their competitors. In a world of commodities, competitive differentiation equates to value. For this reason, additive processes have begun to prove especially successful for mass-customization markets, such as the biomedical industry. The additive manufacture of high-value biomedical goods, such as personalized hearing aids and titanium acetabula cups with individualized orthopedic interfaces for hip replacement, has been very successful.
Beyond the biomedical industry, the future of additive manufacturing looks increasingly bright. These direct digital manufacturing processes have an obvious benefit and attraction in that they permit customers or clients to customize and interact with their purchases. As many of today’s goods are initially designed in a digital format, undoubtedly, the success of additive manufacturing is driven by its inherent digital flexibility and seamlessness or ability to transition directly from design to fabrication.
Additive manufacturing’s wide spectrum of processes offers something for everyone. The accessibility of additive manufacturing has greatly increased in the past several years. The majority of system producers now offer a full line of production systems, providing manufacturers with systems that are more appropriately suited to user-specific capability and cost requirements. In addition to the selection of professional additive manufacturing systems, several “open source,” low-cost alternatives are being developed for and by various do-it-yourself (DIY) communities and universities around the world.\(^{149}\)
All products produced with additive manufacturing originate as a digital 3D model (typically a CAD or .STL [standard tessellation language] file). This 3D model is then digitally divided into various horizontal layers, as in a stack of pancakes. The additive manufacturing system then deposits and bonds the base layer of media (the exact media and bonding process are determined by the specific additive process selected). Starting from the bottom, products are “added” together, layer by layer, until completion. In contrast to the 1987 version of stereolithography (SLA), current additive manufacturing produces goods in a wide variety of highly functional materials. Although the general process remains similar, materials including stainless steel, titanium alloys, polymers, resins, ceramics and engineering plastics can be used in additive processes today. Understanding the specific capabilities and potential uses of additive manufacturing is facilitated by considering which is the most appropriate among the various specific additive manufacturing processes, detailed below.
Stereolithography (SLA) has continued to evolve to produce highly detailed, highly accurate prototypes from ultraviolet-curable photopolymers and resins. SLA cures media with the use of a high-intensity ultraviolet (UV) light. Today, SLA still provides prototyping capabilities with some of the highest accuracy.
\(^{149}\)The most notable of these are the RepRap (www.RepRap.org) and MakerBot (www.makerbot.com) systems.
However, because of challenges with biocompatibility and the limited mechanical properties of the photopolymers used by SLA, the “end-use” implementation of the process is limited.
Fused deposition modeling (FDM) was developed in 1988 by Stratasys.\textsuperscript{150} FDM provides increasingly robust productions in a variety of thermoplastics, polycarbonates and other engineering plastics, including acrylonitrile butadiene styrene (ABS). The FDM process feeds coiled media through a heated nozzle, which distributes each layer one at a time. FDM has been successfully implemented in numerous industries for prototyping and, because of its mechanical characteristics, has started to find limited use in the production of end-use parts.
Selective laser sintering (SLS) was the first additive process that standardized the use of metal media such as stainless steel and reinforced nylon. The functional characteristics of SLS materials allowed for the increased end-use of fabricated goods. SLS process binds media together with the use of a high-powered laser. Despite apparent advantages of SLS, the porosity of fabricated parts can still present a challenge. Metal SLS parts often struggle to surpass 70 per cent density, which in some cases limits use. Excessive porosity in SLS parts was addressed in 1994 with the joint development of direct metal laser sintering (DMLS) systems by Rapid Product Innovations (RPI) and EOS\textsuperscript{151} from Germany. In contrast to SLS, DMLS can produce parts with 95 per cent density, which offers further end-use product potential. However, the remaining porosity continues to limit the application of DMLS in the biomedical and aerospace industries.
In addition to SLS/DMLS, since 1997 Arcam\textsuperscript{152} from Sweden has been developing an electron beam melting (EBM) process for use with a variety of metals, including titanium alloys (6-4, 6-4 ELI). Apart from the different binding mechanism, the EBM process is differentiated from SLS/DMLS by its production of 100 per cent dense parts that are entirely compatible with post-fabrication machining. In addition, EBM parts are produced within a vacuum at high temperatures, thereby reducing the risks associated with reactive materials and residual stress in parts. The cost of EBM systems can be prohibitively expensive.
“3D Printing” (3DP), supplied by ZCorp,\textsuperscript{153} binds various powdered media, including ceramics, composites, ferrous and nonferrous metals, through the use of a liquid adhesive. 3DP has found great success because of its comparatively low cost and ability to print various ceramics in 24-bit colour. As a result, 3DP is widely used for presentation models and artistic products, less so for functional engineering implementation.
\textsuperscript{150} Stratasys, “Stratasys: Make It Real, 2012, www.stratasys.com.
\textsuperscript{151} EOS, “EOS: e-Manufacturing Solutions,” 2012, www.eos.info/en/home.html.
\textsuperscript{152} Arcam, “Arcam AB. Cad to Metal,” 2009, www.arcam.com.
\textsuperscript{153} Solid Concepts Inc. (2012), “Z-Corp 3D Color Prints.” 2012, http://www.solidconcepts.com/z-corp-3d-color-prints.html?gclid=CKuo3tagiK8CFWc ZQgodsHb-8Q/.
While we remain very optimistic about the long-term application of additive manufacturing, we close this section with some cautionary observations. In the past two decades, the authors and their graduate students have used rapid prototyping by fused deposition modeling on a daily basis to create first prototypes and semistructural parts for research purposes. FDM machines are easy to connect to CAD systems and are easy to set up. A careful student can learn to use the machines in half an hour. However, these machines do not produce structural parts, and the accuracy could not match subtractive processes such as machining until recently. Finally, the obtained prototype is expensive: if there is a need for high-volume manufacturing, it will be necessary to switch to plastic injection molding. During the twenty years in which we have used rapid prototyping in our labs, we have been offered, completely free, other, often more sophisticated, machines. We have found that all these other machines have significant limitations from a design research laboratory perspective. SLA machines require expensive health-related photocurable liquids, laser adjustments and mirror refinishing. SLS machines require inert atmospheres, supplementary gases and expensive raw materials. All the latter are justified by large companies such as Rolls-Royce or GE, so the potential use of SLS-like processes for producing undercarriage parts or ultrasound scanners has given the not-inaccurate-but-exaggerated impression that all these machines can print a wide variety of parts cheaply.
Despite the often idealized portrayal of additive manufacturing as a mature and easily deployed process, the industry is still developing. The overly enthusiastic literature might lead readers to believe that additive manufacturing is a do-all, seemingly magical production solution, but this is simply not so. Additive manufacturing can provide creative, adaptable solutions in certain industries and, importantly, certain locales. However, this is not to say that intensive investment in additive manufacturing would allow a developing country to enter a global supply chain overnight. Currently and in the near future, additive manufacturing will be best suited to highly customized or low-volume, high value-added production. Additive manufacturing is simply another point—albeit, one with great potential—along the continuum of twenty-first-century manufacturing.
E. Fabrication by conventional processes and agile manufacturing
“U.S. manufacturers who invested in technology, from robots to CAD software, have continued to thrive. They continue to make quality products profitably. In many cases, they have let go of factory workers. Yet in their place, they have hired other, more skilled technicians and engineers to keep their businesses running.”
*Mechanical Engineering Magazine*, January 2012
Computer numerically controlled (CNC) machines, robotic loading-unloading-and-part-transfer, unattended material handling systems, and plant-level control systems are at the heart of the fully automated factory (colloquially referred to
as the “lights-out” factory). Overlaid on this technology are the economics of substantial capital investments tailored to the expected batch (lot) size and product variation. The earliest plants to become fully automated in this way were more economical if they produced very large batch sizes of similar objects. To enable a modest amount of product mix, an analysis technique called group technology was very important in the early days of the automated factory. It allowed different consumer, or industrial, items to be geometrically categorized so that one particular CNC machine could produce slightly different parts with only minor tool and fixture changes, with only short delays in switching from one batch type to another. Flexible manufacturing systems (FMS) thus became increasingly established in the United States, the European Union, the Republic of Korea and Japan during the mid-1970s. The underlying IT of faster computer chips (driven by Moore’s Law), sensor-based CNC machines, software engineering, object-oriented databases, visualization tools, and computer-controlled coordinate measurement machines (CMM) for inspection enabled each generation of FMS to improve. With the increasing power of the underlying IT, “agile manufacturing” became the fashionable phrase of the 1980s/1990s as FMS became more reliable, able to handle parts with tighter precision, easier to reconfigure to smaller batch sizes, and, inevitably, less reliant on human oversight. From a developed country’s viewpoint, this reduction in the need for human participation on the factory floor has become an irreversible trend powered by automation, IT and robotics. As a result, a visitor to the recently renovated River Rouge Complex—Henry Ford’s original site—would see a variety of auto bodies in a variety of colours being welded together and painted with hardly any human oversight. Human assist teams are seen only in the final stretch, when some hand touches to the dashboards and interior fittings are needed. As early as the 1970s, the author and his colleagues could be heard to say, “The United States will lose factory jobs either to low-wage countries or to robotics and automation.” In the 2010s, this trend will continue. Even when batch sizes are relatively small, because robots are now more sensor-based and programmed in more flexible languages, they can cope with reasonable product changes (along the lines of the group technology idea). When combined with a human who fully understands the quality control constraints, robots offer a powerful way to increase productivity. That said, high-wage countries will use even more automation to stay competitive with low-wage countries. Medium-wage countries will have to be more automated to stay competitive as well. The location of the low-wage country can vary—Asia, Africa or Eastern Europe. But in any country, a fabricator in agile manufacturing that wants to be competitive will depend more and more on automation. The trend is inevitable, with some minor variations thrown in on first-mover products, delivery speed and carbon regulations or taxes.
The choices for governments and firms in regions such as Latin America will be shaped continuously by the development of processes and strategies in the most advanced countries and by the most sophisticated firms. Developed countries (for our purposes here, members of the European Union, Japan, the Republic of Korea and the United States) already have no choice but to rely heavily on automation at the execution level. However, a huge need remains for skilled
engineers to design the automation systems, to run the visualizations described earlier, to program and debug the operating FMS, to design and build machine tool fixtures and special tools, and to set up and maintain the machines and overall operations. Usually, there is also a great need for metrology technicians and quality control experts, who constantly need to measure output and adjust the machines to suit the specified quality of the product and desired specifications of design engineers.
As firms in the European Union, Japan, the Republic of Korea and the United States move out of the routine production (“sectors on the edge”) of products and leave them to low(er)-wage countries, the need for tool makers and component/subsystem producers to offer design services to clients, as well as fabrication services, increases. One example of this is Timken, a company well known to design engineers as a world leader in bearing manufacture. As described in a recent issue of *Mechanical Engineering*,\(^{154}\) Timken is an example of a firm in a developed country that has faced considerable international competition in routine ball-bearing manufacturing. However, by refocusing on higher-level design issues and even marketing itself as designing “friction solutions based on customer needs” rather than as a ball-bearing manufacturer, Timken has redefined itself by offering design services as a front end to the actual physical production of bearings and lubrication applications. This type of rebranding through focusing on services is made possible by the information and communications technology (ICT)-enabled services transformation discussed by Zysman et al. in chapter III. For routine bearings, the company invested in many forms of automation to reduce factory costs. But the greatest changes came from shifting into the bearings markets for off-road trucks, high-end performance vehicles and commercial trucks and high-volume industrial products, in which clients would pay for performance. These changes indicate the way forward for United States manufacturers but also the impact on jobs: the Bucyrus plant in Ohio, employs 400 people, which is far fewer than before, but many of them have technical or associate degrees. As noted in *Mechanical Engineering*, these newer types of manufacturing engineers “set up manufacturing lines to switch between products, monitor equipment, and make the judgment calls on when to take machines down for maintenance.”\(^{155}\)
A second example of how European Union, Japanese, the Republic of Korean and United States firms can prosper can be seen in the continued growth in the global market share of German automobile companies. Before any data is analysed, it is clear from daily observation that purchasing a Mercedes-Benz, a BMW or a Porsche is popular among educated consumers with a certain level of wealth; this is especially true in developing countries. The data show that exports to China from Germany increased much more than from any other country.\(^{156}\) In high-value engineering, German companies have found a
\(^{154}\) J. Mortensen, “Domestic or Offshore: Teardowns Help Reveal the Right Manufacturing Decision,” *Mechanical Engineering* 2012: 24-29
\(^{155}\) Ibid.
\(^{156}\) “German Business: A Machine Running Smoothly,” *The Economist*, February 3, 2011: 81-83.
combination of engineering quality and after-market service that has increased their share of global markets—and not just in automobiles. The *Mittelstand* (small to medium-size) companies are devoted to the manufacture of special machines for woodworking, printing and so forth. Manz Automation, one of the biggest producers of equipment for manufacturing thin-film solar cells, is an interesting example. Although Asian competition has reduced German production of the cells, the equipment upon which cells are made is still German.
Developing countries, whose advantage is based in part on deployable labour and low wage costs, will face the challenge of blending automation with hands-on labour in a safe working environment, enabling the production of high-quality goods that have a reputation for repeatability. To begin with, the earliest and most successful applications of robotics were in dangerous, heavy and mind-numbingly repetitive tasks that fatigued humans to the point of making mistakes. A low-wage country should therefore consider some robotic installations, if only to improve worker health. For example, paint spraying, investing casting and spot welding are tasks that should be automated for the sake of worker health and quality control. The next group is of assembly processes that are somewhat heavy and repetitive. After being debugged and programmed correctly, robotic systems outperform humans over a twelve-hour period and lead to a better-quality result. To maintain quality and Six Sigma\(^{157}\) output, all countries, even low-wage ones, should install simple robots or automation systems to perform these highly repetitive tasks.
Two final comments are important here. First, education is essential for the new levels of European Union, Japanese, Korean and United States precision and highly automated manufacturing. Maintaining advantage for advanced countries in an era of advanced automation will hinge on the quality of their workforce. The success of German models is also tightly linked to specialized training in trade schools that supply the precision-conscious German auto and machinery workers. This is, in turn, bolstered at institutions of higher education, where the extensive Fraunhofer research groups are located next to the university campus or even on campus, so extensive, relevant research can be quickly transferred to industrial sponsors. Second, as discussed more fully below, agile manufacturing is a fundamental success factor in future manufacturing operations. Having achieved agile manufacturing, enterprises would be able to apply advanced computing operations to process large volumes of real-time manufacturing data and perform analyses and forecasting on productivity. In fact, the success of many firms proved that the majority of the revenue is made from the services that go with the tools.
**F. Connectivity and supply chains**
The underlying connectivity created by advanced IT networking is a key element in advanced manufacturing communities. Fast and reliable online communication between designers, fabricators and service agents is the first requirement
\(^{157}\) Six Sigma is a business management strategy that uses a variety of quality management/control processes for the reduction of nearly all manufacturing defects (99.9996%).
for any country and any would-be metropolis in that country. An ability to speak English, Chinese or Spanish is also a major advantage because of the need to conduct conference calls or send email to clarify communications. Not surprisingly, Hong Kong and Singapore maintain their position in global commerce because they have both. India’s education system and English-language heritage make it an obvious source for software supply and the Republic of Korea’s investment in countrywide high-speed connectivity has prepared it for continued global commerce. A basic capacity for global communication, data exchange and commerce are needed by any developing country that wishes to be a part of global supply chains, made faster by reliable shipping and airfreight.
Beyond this foundation is the supply of services and products needed for supply chains, which are also at the core of lean manufacturing, described below. Supply chain strategy is needed to guarantee that all parts, modules and materials are available nearby and spontaneously resupplied to large-scale assembly houses. Anderson\textsuperscript{158} writes that the grouping of products into families, the group technology described by Breznitz, is critical to efficient supply chains where parts are grouped by design, manufacturing and supply chain criteria. It is also critical to involve a firm’s marketing department in evaluating the relative prospects of various product families. If the marketing department does not believe that sales prospects are positive for the product families that can already be made with the plant’s existing machines and facilities, a decision must be made either to expand production and processes to accommodate the market needs or to restructure and remarket the existing product family groupings so as to take fullest advantage of sales potential. Ideally aggressive standardization is needed to drive as many similar and compatible subparts into a wide variety of platforms. Evidence indicates that the most efficient automakers do this within a family of cars. The use of the same subcomponents for several models—even though a cheaper alternative could be used—creates net savings for the company because the higher quantities will benefit from economies of scale.
Anderson writes that standard parts and materials can be made available in a spontaneous way through careful supply chain design. Obviously, steady flows of similar parts are best, and Dell is always held up as the best example of global efficiency in product similarity—to the point of obtaining sales revenue even before the remote subsuppliers are paid. Min/max storage ranges for raw material levels can be monitored by sensors and bar coding. Bar stock of extrusions, tubes and wire should be supplied in coil forms and cut to length at the point of use. In the highly efficient two-bin kanban system, one active bin of subparts drawn down while the second awaits behind to be moved into place at the last minute. These and other standardization tactics allow firms to capitalize on smooth supply chain design, thereby streamlining the production process so as to achieve efficiency.
\textsuperscript{158} D. Anderson, “Mass Customization’s Missing Link,” \textit{Mechanical Engineering} (April 2011), accessed February 21, 2012, http://memagazine.asme.org/Articles/2011/April/Mass_Customizations_Missing.cfm.
Communication is key to success in IT-enabled manufacturing communities. External communication, made possible by stable, high-speed Internet, and familiarity with multiple languages (English, Chinese and Spanish in particular) is critical to capturing a particular node in the global supply network. Internal communication, however, is just as important for a firm’s success. Building carefully crafted supply chains requires conscientious coordination between marketing, design and data management teams. Tight coordination and collaboration at this level is contingent on skillful internal communication systems, standardization techniques, and data management organization. Developing these skills will allow firms to maximize their supply chains, either by expanding current production or reconstructing existing product groupings to accommodate market expectations. Entrant firms looking to establish themselves in both middle- and low-wage countries will increase their ability to compete in global supply networks by honing the communication, coordination and collaborative power of their supply networks.
G. Lean manufacturing, sustainability and life cycles
Along the continuum of manufacturing, consideration should also be given to the ideal of sustainability. It is essential to recognize that sustainability is more than simply a strategy for environmental protection. Regardless of one’s views on climate change, sustainability analysis provides a valuable tool set for producers around the world. As a contemporary buzzword, “sustainability” is often overlooked amid conversations concerning “value,” “exports,” or other concrete economic terms. However, sustainability should be recognized as part of the continuum of manufacturing because of its specifically competitive nature. The definition of “sustainable” states in part: “able to be maintained or kept going, as an action or process.”\(^{159}\) Thus, when we speak of sustainability, specifically sustainable manufacturing, we mean “stable or continuous production.” Although there is clearly far more to the ideal of sustainable production, it is a start.
For a better understanding of sustainable manufacturing, it is worth reviewing the tremendous success of Toyota in the 1970s and 1980s. Japanese autos were flooding the global markets while American automakers struggled to produce vehicles competitively amid oil shocks and recessions. Toyota’s success was widely linked to the development and implementation of Taiichi Ohno’s Toyota Production System, also known as lean manufacturing. Ohno’s lean manufacturing operated on the simple principle that one should reduce waste (\textit{muga})—processes that add no value to the product. If waste during production is reduced, goods can be produced at a lower cost.\(^{160}\)
Lean manufacturing is recognized as a tremendous competitive success, and even today companies strive to become “leaner.” This concerted, competitive
\(^{159}\) “Sustainable,” in Dictionary.com, 2012, http://dictionary.reference.com/browse/sustainable?s=t/.
\(^{160}\) This process is described in far more detail in Taiichi Ohno, \textit{Toyota Production System: Beyond Large-Scale Production} (New York: Productivity Press, 1988).
effort to reduce waste is both “sustainable” and “green.” Dornfeld\textsuperscript{161} states in his blog: “the practice of lean manufacturing or lean production, if properly applied at a sufficiently detailed level with necessary additional information and data available is to me, inherently, green manufacturing.” However, this “necessary additional information” determines the competitive success of sustainable practices.
“Sustainability” is a broad term, with even broader implications. Although the implementation of lean manufacturing provides a competitive advantage, it also subjects producers to increased vulnerability. For instance, lean manufacturing’s success operates on the assumption of a stable supply chain. The question is not “if” but, rather, “how” firms should implement sustainable practices to competitively enhance their production systems. Even though “the environment” is a collective good, manufacturers are in the business of making profits, not protecting the environment. The varying degree to which producers can adopt sustainable practices is determined by the stability of their market and industry.
Many of the benefits of sustainability, such as environmental protection, stable supply chains, and the development of a “sustainable preference” among consumers, rely on the long-term success of a producer. Although the advantages of these long-term developments are apparent, albeit difficult to quantify, producers should focus first on the “low-hanging fruit” of sustainability. For instance, workflow optimization and water reclamation/recycling processes can rapidly translate into the reduction of waste (and of lost profits). These processes are more likely to pay for themselves in the short term—a necessity for the many manufacturers surviving on an order-to-order basis or trying to penetrate existing supply chains.
Until environmental regulations are standardized throughout the world, or at least normalized through international trade tariffs that can penalize “dirty” producers, sustainability will be best pursued from a “lean” perspective. Reducing waste is a boon to both environmentalists and shareholders. Competition is a given in manufacturing. Therefore, sustainability should be pursued as a specifically competitive venture.
H. Service
“Rolls-Royce’s adaptability of its products, its expansion into services and global reach, could offer lessons for Britain’s other industries. Rolls-Royce now gleans 51% of its revenue from servicing its engine fleet.”
\textit{The Economist}, July 30, 2011
\textsuperscript{161} D. Dornfeld, “Sustainable Manufacturing: Is Green Lean?”, November 12, 2009, http://green-manufacturing.blogspot.com/2009/11/is-lean-green-part-i-of-ii-part-series.html.
Based in Derby, United Kingdom since 1907, Rolls-Royce is internationally recognized not only as a manufacturer of luxury cars but a leader in marine vehicles and aerospace and commercial jet engines. Rolls-Royce is also a magnet for engineering research at the nearby universities, which include Nottingham, Loughborough and Oxford. The company now gleans much of its income from the sensors that monitor engine performance, the real-time analysis of the vibrations of the engine, (originally analysed by the Oxford researchers) and the ongoing monitoring services that can be offered in an after-sales manner.
The OnStar\textsuperscript{162} automobile service plans developed by General Motors in the United States are in the same category of post-fabrication value-added. Other large companies such as GE and Siemens see this category of after-sales service contracts as their biggest growth area.
Changing customer requirements are the key driver of the manufacture-plus-service package that is emerging in high-end engineering products: vehicles, aerospace, servers and machinery. The purchase price of specialized machines may be less important than its reliability and the support and services that are sold with it, as noted in the section on German machinery suppliers. In view of the manufacturing, sales and ongoing support involved in a Rolls-Royce jet engine, the owner of an airline is highly motivated to schedule preventive maintenance in a large hub such as Heathrow, San Francisco or Bangkok where it has the necessary facilities. The unpleasant alternative may be to cope with an unexpected landing on a Pacific island with stranded, furious passengers; repair parts flown out to a remote location; and the loss of flight miles. Over the course of a decade or more, the service offered by Rolls-Royce has become increasingly sophisticated. The traditional level of twentieth century after-sales-service was in spare parts, repair and overhaul. These have been enhanced through the ability to supply performance data and forecasting services, technical and logistics support and customer training.
I. Conclusion
We conclude with some economic realities that underpin this technical review. The issues of cost, quality, delivery (time-to-market) and flexibility of the production system will always guide the development of products in the market. Inevitably, any firm must add the rising costs of adding higher quality, faster delivery, or having a more flexible manufacturing and supply lines. These factors influence all stages of manufacturing.
First, considering the ideation and design phases of a new product, it would be tempting to imagine that the “lone designer” referred to in section A could spring up in any country and launch a new product on the global market merely by having access to the rapid prototyping bureaus in section C. While this is not impossible, it is first important to think about connections to markets, investments and the cost of downstream manufacturing in volume. In an area such as Silicon Valley, many
\textsuperscript{162}OnStar, “OnStar: Live on Services,” 2012, www.onstar.com/web/portal/home/.
of these “lone designers” make a respectable living by developing a “looks like” and “works like” prototype and shopping it around to investors and would-be manufacturers. As we describe in section A, ideation usually requires a substantial network of experienced people who want to see the device in person, bounce the idea to marketing consultants, and even work as a hands-on team to scale the product. Scalability is the key issue. For the foreseeable future, it is highly unlikely that the rapid prototyping services (additive manufacturing, 3D printing, etc.) can offer volume production. We challenge readers to merely look around their house or office at the everyday products made in the millions and sold at the large “big-box” electronics or other consumer stores. Today, nearly all these items are made in plastic using injection molding—and this is the challenge. Even when a part has been made using rapid prototyping, it must be slightly redesigned for injection molding to show the draft angles to remove the part from the mold; to allow for the shrinkage of the plastic as it cools; and to avoid “hot-shorts” that occur because plastic will not run down a long channel to the very end. Meanwhile, the internal printed circuit board of the toy or consumer device must be redesigned to suit wave-flow soldering techniques and board layouts. Our research indicates that the benefits of cloud computing and social networks allow us to begin a project connecting newcomer designers in high schools or art communities to experienced mold designers who are “out there on the Internet.” This type of project might indeed connect design repositories of new parts with experienced manufacturers. However, this effort is a work in progress and might take a decade to take root as a way of jump-starting a full industry, as opposed to a service for hobbyists and artists.
Second, a truly new product or service must break into an existing market and show how it provides substantial advantage over the incumbents and generates long-term value. As one example, the authors tried to launch the CyberCut web-based design and manufacturing system during the 1990s. Over a decade later, this system has been largely realized by eMachineShop.com, which allows customers to download and use a CAD system to create a custom part, obtain a quote, and order a part that will be delivered in reasonable time depending on complexity and relevant process. The bugs in this system have been worked out over time, as usually happens with new ideas in manufacturing. Combined with this mechanical design, the inner electronics can also be turned into printed circuit assemblies at fabrication houses such as pcbfabexpress.com. In the event that the original designer wants to scale to a larger run, the ability to do so is a matter of capital investment. Depending on the complexity of the product, months might be required to scale up and adjust a production process so that it will operate efficiently (whether in-house and outsourced).
Despite the unique challenges of manufacturing/fabrication, large economies of scale are possible when core manufacturing is offered as a base platform to designers and developers for ideation. Manufacturing still matters: Having a first-rate manufacturing capability is, in our opinion, mandatory for a country’s economic growth.\(^{163}\)
\(^{163}\) S. Cohen and J. Zysman, *Manufacturing Matters: The Myth of the Post Industrial Economy* (New York: Basic Books, 1988).
Awareness that factories are located in a nearby physical environment offers a large psychological incentive as “the end point of invention or innovation.” Zysman and Cohen\textsuperscript{164} write that to be an expert in the next generation of a product (especially in semiconductors), a firm must be an expert in the present generation. Otherwise, the tiny design-for-manufacturing (DFM) nuances will be lost. If the United States and the European Union continue to outsource the base platforms for manufacturing (to capture short-term gain), it is highly likely that the locus of engineering design will eventually relocate to other countries. Certainly this is already taking place in India for software and in China for certain kinds of research. Not that this is a bad thing overall. It means that all countries can benefit from higher-value front-end design, but it will have unwelcome consequences for job creation in the United States and the European Union.
A metropolis focused on fabrication and agile manufacturing is connected to the rest of a country’s economy. Again, quoting Kaushal, Mayer and Riedel,\textsuperscript{165} the basic United States manufacturing sector is interconnected with equipment maintenance, transportation, scientific and technical services, and construction for manufacturing enterprises. Adding these factors raises the importance of manufacturing to around 15 per cent of the United States workforce rather than the current 9 per cent. Furthermore, as noted in many recent popular articles, a manufacturing plant is a “magnet” for many other related services. When a new auto assembly plant opens, it attracts more shops and services of all kinds and creates jobs at the local power, gas and water utilities. Sadly, the reverse is true after a steel plant closes down: the town loses jobs in all sectors.
In conclusion, the production-line assembly of new products, such as the iPad and iPod, is merely a thin slice of the very rich continuum of twenty-first-century manufacturing. The rise of information technology has ushered in the ascension of complex global value chains (GVCs) and cross-national production networks (CPNs). Increasing fragmentation in the phases of production opens up new points of competition among manufacturers along the value chain and raises new questions of where and how to capture value. To understand the evolving organization and dynamics of global manufacturing, we must shift our focus from sectors of production to stages of production. ICT-enabled tools have allowed the geographical distribution and decomposition not only of production but also of the very means of designing and producing goods.
IT has transformed where and how goods are produced at each point along the manufacturing continuum, including ideation, design, prototyping, fabrication, supply chains, sustainability and engineering services. The underlying connectivity created by IT networking brings forth new opportunities and challenges for advanced manufacturing. From the lone designer able to realize a vision in prototype form to the complex manufacturing facilitated by virtual assembly to the rise of engineering services, ICT-enabled tools are the key facilitator. As this chapter shows, technological developments including additive
\textsuperscript{164} Ibid.
\textsuperscript{165} Kaushal, Mayer and Riedl (2011).
manufacturing (popularly labeled 3D printing) and robotic factories have changed the face of manufacturing. Fast and reliable communication networks between designers, fabricators and service agents are a key element to this evolving manufacturing continuum and offer opportunities for developing countries to build links with developed countries. Developing countries that want to capitalize on these opportunities must prioritize building ICT networks and communication platforms.
Paradoxically, as ICT tools drive the shift toward greater automation, they will also require the development of a more skilled workforce to remain competitive. In developed countries, manufacturing is responsible for many millions of jobs focused on front-end, innovative design and analysing and servicing these sophisticated, high-value products. Just as developed countries must continue to invest in the education of their workforce to maintain their existing design and manufacturing competency, it is essential that developing countries with an interest in fostering such manufacturing competencies observe these lessons and focus their development appropriately. Developing and low-wage countries will eventually be obligated to introduce automation for worker health, efficiency and productivity. Although automation alone is far from a guarantee of success in today’s global value chains, it is an essential part of developing the manufacturing capacity upon which industries can compete and progress in today’s international economy. Adopting this synergistic combination of education and advanced manufacturing is particularly important for developing countries that seek to compete with China’s overwhelming dominance in creating economies of scale. The development of a flexible, creative, and educated workforce will thus play an important role in retaining a competitive edge and capturing value in GVCs. Then, product differentiation, customization and design, which have been changed in terms of accessibility and process by evolving technological breakthroughs, will play a crucial role.
The major challenges in creating a vibrant manufacturing sector in both developed and developing countries are the growing complexity of processes and supply networks, cost pressures and growing customer expectations for quality, speed, and custom products. Achievement in these areas, if facilitated by IT tools that facilitate the main transformation from unskilled labour to advanced automation, an encouraging business environment conducive to creating global value chain and service networks, and government policies that invest in higher education to ensure the development of human resources, will no doubt lead to more possibilities, more nuanced competition and faster economic growth. Moving forward, it will be imperative for countries to realize such emerging trends in advanced manufacturing, so that they can determine where and how their national firms can participate in that innovative process and thereby capture the greatest value from the globally integrated production process.
In short, we end our study where we began. Twenty-first-century manufacturing is at once a strategic asset and a valuable commodity. For firms and places, playing the game successfully requires the ability to identify in which stage of
production they can compete. In the current dynamic market system, firms and places must continually re-evaluate and redirect their efforts if they are to capture the “sweet spot”\textsuperscript{166} in the market.
\textsuperscript{166} J. Zysman, “Production in a Digital Era: Commodity or Strategic Weapon?” BRIE Working Paper 147, 2002.
Concluding remarks: 21st century manufacturing
John Zysman\textsuperscript{167}
Five issues were developed in this analysis.
Who produces what and where?
Manufacturing companies, it is well understood, have broken apart the production of their input components, from research down to final assembly, and source them both internally and externally throughout the world. While the aggregate trade data succeeds in reflecting the basic changes in the structure of global production, such as the emergence of China and Asia as a hub of global production, it fails to illuminate the decomposition of production. The aggregate data does not tell us how supply networks actually operate to produce final goods that go to the final user, whether consumer or industrial, or where the value lies in the supply network.
Where is the value in the value networks?
Detailed case studies show that while many of the jobs are moving away from the richest countries, much of the value in the products remains in the wealthy nations.
Services, ICT-enabled services, now come with everything.
One reason that value stays in the advanced countries rests, increasingly, with the role of information and communication technology (ICT) enabled services embedded in products. Phrased differently, the value of an object is increasingly the digitally enabled services it can provide.
Increasingly, analytic focus must be on phases of production, rather than sectors of production. Where and how goods are produced has been transformed by an array of technological developments.
The face of manufacturing will change with the emergence of additive manufacturing, popularly labeled 3D printing and robotic factories. The ICT revolution is at the core of all these changes.
\textsuperscript{167} John Zysman is a professor of political science at the University of California at Berkeley and co-director of the Berkeley Roundtable on the International Economy (BRIE).
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Copiapoa in the Atacama Desert by Cliff Fielding.
Join Steven June 26 at 2 p.m. at Papago Buttes Church of the Brethren, located at 2450 N 64th St., Scottsdale, AZ for our monthly program.
Southern Africa has a huge amount of exposed rock slabs. In these areas are billions of depressions that fill in with grit, sand, dust, and other soil types. Many other things also grow in these pans, like mosses, succulents and other plants. A whole ecosystem develops in these pans. Each pan becomes its own little world. Often these pans are small, from a few centimeters to a few meters.
The surrounding high rocks are very barren compared to the depressed pans, so the high rocks are too hot to support the complexity of life found in the cooler pans. In the western regions of South Africa and Namibia, there is a winter rainfall climate with some rain, drizzle, fog, snow, and frost at night. Many winter nights in this region have some of the mentioned sources of water, and all forms of it trickle down into the pans, keeping them cool and moist compared to the heat and dryness of the rocks higher up.
Some pans fill in with grit that erodes off the higher rocks. Then you have a great spot for slow growing succulents to take hold and grow from seed. The grit provides stability for the tiny seedlings to survive. In the summer, the small succulents, and other bulbs, etc., pull down to hide from the sun. You will see in this program many kinds of small succulents growing in these pans and get an idea of how they survive in nature.
Othonna cacalioides in a shallow grit pan.
I was interested in horticulture from a very young age. Growing up on a small family dairy farm in Wisconsin, I started working in the garden as a lad. This interest in plants caused me to go to the local college library after seeing some cacti at a friend’s house.
For quite some time, my interest was in finding more books on cacti and succulents through library loan. In one of the books, I found that it was possible to join societies and send away for seeds. Early on, I got the “raising from seed” bug, and eventually decided to move to the desert state of New Mexico to start a nursery to produce seeds. Once the ball got rolling, it just kept on going. My wife and I started Mesa Garden in 1976, and pretty much the rest is history. One of the best parts of the work was taking trips to see plants in nature, and we continue to do this now. In late 2016, we sold Mesa Garden to retire and now are as busy as ever with plants, growing from seed and family.
Conophytum minusculum and Crassula fragarioides in a pan.
Gifberg summit shrouded in fog.
In an effort to stay alive in the very harsh environment of the Atacama Desert, copiapoa employ stem sacrifice. This means that the plant keeps only smaller and smaller amounts of chlorophyll at the top, because there are not enough resources to sustain more.
The copiapoa with the black sides and 10 heads below is near terminal stage. Most of the heads have shed their spines, and there are no new spines growing in the center of the wool. The chlorophyll containing parts of the skin are now greatly reduced to minimize moisture loss. This cactus is as healthy as any you might see on the coast.
Where the chlorophyll cells have disappeared, there is the incredibly beautiful skin that looks like polished mahogany. There have been reports of attempts to revive plants like this in greenhouse conditions, with little success. It would be great to return in ten years.
to see if it has turned around. I was amazed at how tough the plants were when I visited them in habitat.
Visit YouTube.com and search for *Copiapoa Habitat Chile 2019* for a drone flight over the Atacama Desert along the Pacific coast of Chile. You’ll feel like you’re there. It’s amazing!
In November, I went on a road trip in Mexico with my husband. We flew to Mexico City, rented a car, then we left for Tehuacan, Puebla, about four hours away.
A little introduction about this place. Tehuacan, Puebla is the second biggest town in Puebla and is located in the southeastern part of Mexico. Tehuacan Valley presents a high diversity of plants and animals, especially the Tehuacan–Cuicatlán Biosphere Reserve, located 30 minutes southwest of Tehuacan. The Reserve protects 200 cactus species, most of them endangered types. The climate of the region is warm, semi-dry. This reserve covers 20 cities in Puebla and 31 in Oaxaca. One of the most exceptional ecological features of this biosphere is the columnar cacti forest, with one of the highest concentrations of columnar cacti in the world. Forty five of the 70 species reported in Mexico are in this place.
To get from Tehuacan Valley to the Biosphere, you have to take Highway 125 from Tehuacan–Zapotitlan Salinas. As soon as you pass San Antonio Texcala going towards Oaxaca, you will see the columnar cacti forest, and here is where our adventure began.
We tried to pull over as much as we were able since the road was very narrow. Before the little town of Zapotitlan de Salinas, we took some good pictures next to huge *Echinocactus platyacanthus*. We saw some mammillarias, yuccas, columnar cactus, and big *Beaucarnea gracilis*.
We finally arrived to Zapotitlan. We couldn’t leave without trying food made with cactus and insects. As an appetizer, we had *cuchuma al ajillo* (below), which are worms that live in palo verde trees that are protected by the government of Zapotitlan, just for village consumption. They were crunchy and delicious and even my husband, as a picky American, agrees. For the main course, we had *camarones con tetechas*, which is shrimp with *tetechas* (flower bottoms from columnar cactus that grow on the crown) and chicken filled with cheese, ham and *tetechas with pipian sauce* (made with pumpkin seeds, oregano, tomato, garlic, achiote, and pepper). For drinks, we had *pulque curado of garambullo* (*Myrtillocactus geometrizans* fruit) and *pulque of pitaya* (organ pipe cactus fruit).
What’s pulque you ask? Pulque is an alcoholic beverage made from the fermented sap of maguey. It has a white color, viscous consistency and a sour yeast-like taste. Its nutritional value includes vitamins, amino
acids, minerals, and it is known as a fertility drink (aphrodisiac drink) or drink of the gods. But *curado* means that this beverage is mixed with fruit, flavors or some other ingredients to make it even more delicious. Anyone who is passionate about cactus and succulents must try this beverage, at least once in their life.
After a very delicious and cheap meal, we headed to Oaxaca with our last stop at San Juan Raya. In Oaxaca, before we drove through San Sebastian Frontera, we saw golden peeling trees, desert trees, some columnar cactus, and agaves. On our way to the next destination, we made countless stops. One of them was in the Pata de Elefante forest (*Beaucarnea gracilis* left below) where we saw more *Echinocactus platyacanthus* (below on right), mammillarias and desert plants.
Instead of taking the safe and easy way, we took our Vento VW rental car on a road for 4x4s by accident. We got lost, with no phone signal in the middle of nowhere. We followed my gut, and although the distance to our next destination was apparently no more than an hour away, it took us about three hours to get there. But I’m so glad we took that way because we never would have seen the largest and most gorgeous cacti in the wild. I was astonished with the size of the *Echinocactus platyacanthus*, the height of the columnar cactus, and also impressed by the beauty of all the cacti in their natural ecosystem.
After almost blowing out our tires, we finally arrived to San Juan Raya where, for a small fee, a local guide took us to see the biggest and oldest *Echinocactus platyacanthus* in the Biosphere. With an approximate age of 1,000 years, and an estimated height of 9-10 feet, surrounded by columnar cactus and yuccas, it is the biggest tourist attraction
the locals have. Fun fact: the locals call it the “mother-in-law cushion.” When the Spanish were trying to take Mexico, they would steal young girls while their mothers tried to hide them. As punishment, they had to sit on this cactus until they talked.
We came back after our guided walking tour and had some local popsicles flavored with cactus fruit (garambullo and pitaya). We bought some souvenirs made by locals and took the faster, less treacherous way back to the city of Puebla.
The Tehuacan Biosphere is a protected and secure area for tourists to go on their own. San Juan Raya has an Ecotourist Center which is managed by the government offering tours, cabins, food, and many activities. But this place needs a lot of tourist support, so please, if you are interested in visiting this biosphere, you can check its website: www.sanjuanraya.com If you have troubles with the language, I’ll be happy to help you.
FUTURE SPEAKERS FOR OUR MONTHLY MEETINGS
By Program Chair Elaine Hu
June 26 - Steven Brack, Papago Buttes Church of Brethren
July 31 - Tristin Davis, *Shining a Light on a Hidden Agave* Dorrance Hall
August 28 - Rob Romero, DBG Dorrance Hall
September 25 - Jeremy Spath, DBG Dorrance Hall
October 9 - Silent Auction, DBG Dorrance Hall
November 13 - William L. Bird, *In the Arms of Saguaros: Iconography of the Giant Cactus* (the CACSS has this book in the library), Papago Buttes Church of Brethren
December 4 - Holiday Party, Papago Park, Ramadas 9 and 10
CACTUS AND SUCCULENT SOCIETY OF AMERICA’S TO THE POINT NEWSLETTER IS FREE
The CSSA invites members of affiliate clubs like the CACSS to register to automatically get the quarterly newsletter *To The Point*. All you have to do is sign up, and it’ll be sent to your email address.
Visit the CSSA website for TTP download instructions. ([http://cactusandsucculentsociety.org/](http://cactusandsucculentsociety.org/)). Scroll down to the bottom and fill out the registration form. Once you have, you’ll be added to the TTP distribution database and will continue to receive TTP.
There are lots of interesting articles and tips you won’t want to miss.
CACTUS AND SUCCULENT REVIEW
If you haven’t already, you’ll want to subscribe to this free quarterly online journal at www.cactusandsucculentreview.org.uk. Just keep in mind that articles refer to growing conditions in England, not here in the Sonoran Desert. The current issue has 65 pages packed with pictures and articles about:
- Two new ways to germinate lithops
- *Weberocereus frohningiorum*
- *Echeveria cuspidata*
- Euphorbias from South Africa
- Sowing seeds
- Growing tillandsia
- *Ripsalis ewaldiana*
- A succulent garden in Kenya
- *Dracaena cinnabar* and other notable succulent plants of Socotra
Dean Patrick, a longtime member of CACSS, participant in the Propagation Education Group (PEG) and CACSS specialist, invited members to his home this May to help thin his enormous collection. Most of the plants were free, some with a very small charge. I was lucky to find some beautiful plants and handmade concrete pots. Hope you were as lucky. Thanks Dean!
CACSS member Robin Brower entered the Cactus and Succulent Society of America’s photo contest: *The Artistry of Cactus and Succulents*. Out of 136 entrees, two of her photos, shown here, were in the top five.
Robin says: “I have taken photos for a number of years. I used a Canon F1 (which I still have) and worked in camera stores for several years. I moved to the Phoenix area about 10 years ago and enjoy the desert environment. I currently use a Pixel 3 smartphone and predominantly take close macro photos. Flowers and cacti are frequent subjects.” Congratulations Robin!
*Opuntia erinacea* received an honorary mention. *Echinocereus rigidissimus* took third place.
This beautiful specimen is in my neighborhood and is about 8’ tall and 6’ wide.
*Estepoa guentheri* (synonym of *Vatricania guentheri*) is a shrubby columnar cactus with attractive golden spined stems that exhibit varying densities of fox-red lateral cephalia. Cephalia are beds of wooly hairs grown on the branches where the flowers and fruits are produced.
The cephalium are often oriented in only one direction, but now and then, different branches will have cephalia facing in different directions. Since this species lives near the equator, there is no evident advantage to orientation in any particular direction.
*E. guentheri* was placed in its own genus, *Vatricania*, because it occurs in eastern Bolivia, and all other *Estepoa* occur in Peru. It is probably polyphyletic because it is more closely related to *Cleistocactus* and *Echinopsis huotii* than to other *Estepoa* species. Fruits are roundish and scaly and are edible, but not particularly tasty or sweet. They have an odd texture and a flavor that ranges from indifferent to strange.
PRESIDENT’S MESSAGE
Just wanted to say I love it when we get such great people to step up and help our club. We had 16 people volunteer to come to the first meeting to help organize the 2023 Show & Sale. Nick Diomede is the event organizer and is doing a wonderful job. We will still need a lot more volunteers to help in the coming months, but we are off to a great start.
I also would like to give a big thanks to Elaine Hu, program chair for this year. She is doing a fantastic job getting speakers to present at our regular meetings. The May meeting had 100 attendees. We had a great silent auction organized by Chris Ginkel.
Thank you to all the volunteers and organizers of CACSS. You make our club a success because of your generous time and dedication.
LIBRARY NOTES
We will again have a reduced number of library books available at the next meeting, to be held June 26, at the Papago Buttes Church of the Brethren location. I know that many are looking forward to the July, August and September meetings to be held in Dorrance Hall, where most of our extensive collection will be on display.
A reminder to all that the CACSS Library Collection is available only to current paid members. Circulating books and journals may be checked out for two months. Each member is limited to two items. Due to the circumstances of the past two years, our generous and lenient grace period has officially ended. Overdue books are expected to be returned when due at meetings. Please put your returned books IN the RED RETURN BIN on the library tables. Overdue notices will be emailed this month.
Below are recent additions to the collection:
Cool Plants for Hot Gardens: 150 Water-Smart Choices for the Southwest Revised Edition (2021) Greg Starr
The Forgotten Botanist: Sara Plummer Lemmon’s Life of Science and Art (2021) Wynne Brown
More than Petticoats: Remarkable Arizona Women (2003) Wynne Brown
The Facebook page is on vacation this month.
We moved into our house in early 1990. The backyard was mostly bare, except for one Chilean mesquite tree and a scattering of creosote. The front only had some oleanders and three large Aleppo pines. The property was pancake flat, with caliche just a few feet below the surface. Rocks in the soil were numerous because I’m very close to the base of Camelback Mountain.
Mr. Baker, of Baker’s Nursery, approached me about some free fill and I jumped on it. I had 26 truck loads dumped in my backyard and with that made some mounds and elevations. That was the start. Now I could dig and plant with better drainage. I managed to find Sherman Williams and Richard Lahti, local backyard growers here in Phoenix, and started to plant in earnest in the late 1990s. After a large number of trips to Baker’s Nursery and innumerable trips to Southern California, the garden and collection started to take shape. We hosted the CSSA tour each time they were here in the Valley and had a DBG tour a few years later. *Phoenix Home and Garden* came out to take photos back in 2007, just before our 100-year freeze. I believe I’ve had a couple of open houses for CACSS over the years, but not recently.
The greenhouse was constructed just a couple of months after 9/11. I had a couple of Bosnian metal workers build it after the site was excavated and exterior block walls were laid. It’s sunk about 6 feet into the ground and it’s 30’ x 32’ x 20’ high. I laid the stone tile floors and constructed the raised beds myself. It has held up well over the years. The ground beds were a good idea. The spiny trees of Madagascar do much better in the beds than in pots. I have a large swamp cooler helping to cool it during the summer, and I have both propane and electric heaters for the winter. I try to keep it over 50 degrees in the winter.
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To take a tour of the garden, visit YouTube.com. Search for *Meet a 30-Year Succulent and Cactus Collector to See His Stunning Rarities*. The video is conducted and narrated by Debra Lee Baldwin with Rich.
In 2010, Paul Hoxey discovered populations of a small cactus in southwestern Peru in the dry lomas of Arequipa. These were subsequently determined to be a distinct new species, and it was described in 2013 as *Borzicactus hoxeyi*. Later research into the relationships of *Cleistocactus*, *Haageocereus*, *Loxanthocereus*, and *Borzicactus* has demonstrated that the correct name is *Loxanthocereus hoxeyi* (Loxanthocereus being more closely related to *Haageocereus* than it is to *Borzicactus*).
Even though determined to belong to *Loxanthocereus*, the species was quite distinct from any known species in being quite small of stature with actinomorphic flowers (that is, radially symmetrical from above) as opposed to zygomorphic (only symmetrical in one plane) as are other species of the genus. Also, the flower is distinctly multi-colored, ranging from yellow to orange and red in the same flower.
All of these characteristics—newly described, small, colorful flowers, and a *Cleistocactus* relative—made it reach my “Must Grow List” quite rapidly! Like many new species, availability in the U.S. was nil, so I went afar to locate a source. I finally found a source for seeds and purchased a few (I have all the proper import permits from the USDA). I first sowed seeds in 2017 with limited success, but managed a couple of
seedlings that have since flowered for me. More recent sowings have had more success.
Luckily, *L. hoxeyi* is very easy to grow from seed and fairly rapid. Some plants have reached flowering size at only 2 years of age (mine have taken 4 years). Once they reach a decent size, they do wonderfully and reward me with flowers each spring and summer. Flowers last for 3-4 days depending on heat/sun conditions, but alas, are typically not self-fertile. I grow mine both in pots and in the ground, and they all seem to thrive here in the valley as long as they are provided some protection from the afternoon sun in the summertime.
In 2020, a new population was discovered in southwestern Peru not far from the original populations, but was distinct, especially in size. This new population was described as a new subspecies: *Loxanthocereus hoxeyi* ssp. *grandis*. The name refers to the stems, which are quite a bit larger than the nominate populations. Another important difference between the two subspecies is that *L. hoxeyi* ssp. *grandis* appears to be self-fertile. I have not been able to locate a source for the new subspecies, yet. I hope to track it down soon and add that one as well to my collection.
As more growers propagate the species, it should become more available in the near future. If you grow from seed, you can obtain seeds easily from various international sources. So, if you run into one, be sure to nab it for your collection. You won’t regret it.
I’ve had these *E. engelmannii* in the ground for a few decades. I’ve pretty much left them alone with a monthly deep watering in the warm months, if we don’t get any rain. They never seem to grow or flower much. This year, I tried a different approach and added some club fertilizer to deep waterings in February and March (as I had no rain) when we had the unusually warm weeks. It paid off. They grew and flowered the most ever. I’ve put a note in my calendar to do it again next year, if the conditions are the same.
Be sure to visit CACSS on the web at: centralarizonacactus.org, Facebook, Instagram and YouTube at: CentralArizonaCactus and members only at: CentralArizonaCactus Swap and Shop.
This plant is believed to be 1,000 years old. Below are the flowers.
The CACSS has been approached by a representative of a major national land developer inquiring if our society has a cactus rescue program similar to the one that the Tucson Society has conducted for many years. This was announced at the last CACSS monthly meeting to determine if there is any interest from the membership to start up the long dormant rescue program our group had twenty years ago. It was stressed that this is an opportunity in its very earliest stage of possibility. At least half of the members at the meeting indicated they would be interested.
Many people think that native plants, especially saguaros, are protected by law. With some exceptions, they are not. Arizona state laws only protect crested saguaros and plants that are already protected by the Federal government (endangered plants). Some municipalities in Arizona, mostly around Tucson and Phoenix, have adopted protective regulations. Aside from those exceptions, if a native plant is on a property that is not state or federal land, the owner can destroy that plant. This means a lot of native cacti can be destroyed, especially if it is a large property owned by a land developer for whom the plants are merely a bother. Rescuing the plants is labor intensive and time consuming, both things that are not attractive to a for-profit company.
This is where a CACSS rescue operation can arise. If the process is initiated early in the development process, many plants can be “saved from the blade.” Depending on the location, certain rules need to be followed, but once the proper steps are completed, the plants are moved off of the site, and they become the property of the CACSS.
Participation at a cactus rescue is a wonderful experience for several reasons. It conserves the plants we all love. It is an opportunity to enjoy being out in the desert. It is a great way to meet other members of the society. It can be an additional source of money for the society. And, last but not least, participants can purchase the plants that are rescued at ridiculously low prices, from $1 to $8, depending upon the species.
Look for further announcements in this newsletter. If an immediate opportunity for a rescue develops, an email will be sent to the entire membership.
CACSS OFFICERS AND BOARD OF DIRECTORS 2022
Officers: President Cricket Peterson | Vice President Chris Ginkel | Secretary Joanne Johnson | Treasurer Nick Diomede
Members-at Large: Pat Adler | Kim Andrews | Don Begley | Steve Gilbert | Emily Glenn | Celeste Gornick | Barbara Macnider | Joan McDonnell | Mary Miller | Lois Schneberger
CACSS PROGRAM AND COMMITTEE CHAIRS 2022
Annual Show/Sale Chair 2022: open
Archivist/Historian: Lois Schneberger
Audit Committee: Mike Gallagher
Central Arizona Cactus Swap and Shop Page: Chris Ginkel
CSSA Representative: Mike Gallagher
Facebook Coordinators: Tom Briggs, Chris Ginkel, Celeste Gornick, Ken Luiten, Thom Young
Holiday Party 2022: Sue Glenn
Librarian: Diana Rogers
Keeping in Touch with Members: Jo Davis
Membership: Beth Kirkpatrick
Newsletter: Sue Hakala
2022 Auction Chairs: Nick Diomede, Chris Ginkel
Private Plant Sales at meetings: Sue Tyrrel
Programs and Room Setup: Elaine Hu
Propagation Education Group (PEG): Tristan Davis
Pumice Sales: Tom Briggs
Website: Anna Rosa Lampis
Send comments, suggestions and submissions to Editor Sue Hakala at firstname.lastname@example.org
SPECIALISTS TO CONTACT WITH QUESTIONS
Diana Rogers
Librarian for CACSS collection.
Tom Briggs
Manages the pumice pile.
Tristan Davis
Specializations include plant propagation, and heading PEG (Propagation Education Group), and manages the Seed Depot.
Doug Dawson
Specializations include growing from seed, flora of Namibia, *Lithops*, other *Mesembs*, *Melocactus*, and miniature cacti and succulents of Arizona.
Chris Ginkel
Co-manages the Facebook page along with Tom Briggs, Celeste Gornick, Ken Luiten and Thom Young, and manages CACSS Swap and Shop page.
Beth Kirkpatrick
Membership chair
Anna Rosa Lampis manages the website
Ken Luiten
Manages the Instagram page.
Dean Patrick
Specializations in softwood stem-cuttings, plant division and seed starting, rooting cacti, *Agave* and *Aloe*.
Bob Torrest
Specializations include desert landscaping, unusual (including rare fruit) trees and shrubs, *Aloes*, *Agaves*, and columnar cacti.
Sue Tyrrel
Manages selling at meetings.
PURPOSE OF THE CACSS IS TO:
- study, propagate and cultivate cactus and succulents
- educate members and the public
- aid conservation programs
- support the Desert Botanical Garden and other institutions
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Nordic Pharma Corporate Social Responsibility Report
Making a sustainable impact on people’s health
Two women sitting on a window sill, laughing and talking.
Welcome ........................................................................................................... 4
Our business .................................................................................................... 5
What we do ....................................................................................................... 6
Setting our direction ......................................................................................... 8
How we work ..................................................................................................... 11
Our people ....................................................................................................... 13
Our planet ........................................................................................................ 21
Prosperity .......................................................................................................... 25
Welcome to Nordic Pharma’s first Corporate Social Responsibility Report. Since the business began, we have always maintained a strong sense of responsibility, reflected in the people we serve and the products we provide. More now than ever, we are embedding sustainability in our day-to-day operations and as we set out our long-term goals.
Titled ‘Making a sustainable impact on people’s health’, this report will share our journey to date, highlighting achievements and outlining future plans. Change is a constant, and we recognise the need to adapt and evolve as we implement our five-year sustainability roadmap. Yet, our commitment to sustainability remains at the heart of what we do.
Each of us at Nordic Pharma has a vital role in ensuring a positive future for our people, products and planet, and I am proud to be leading the way for our business.
Charlotte Phelps, CEO, Nordic Pharma
About Nordic Pharma
Nordic Pharma is a privately owned, medium-sized marketing and sales Pharma company with a history of internal product development and acquisitions.
We have established our core business throughout Europe and, more recently, expanded with increased partnerships worldwide.
The company’s registered office (HQ) is located in The Netherlands, and Nordic Pharma has operations across various locations.
We are part of the SEVER Life Sciences Group; however, this report relates solely to Nordic Pharma’s activities, covering 2022 and 2023.
Our locations
- Austria
- Belgium
- Canada
- Denmark
- Finland
- France
- Germany
- Ireland
- Italy
- Japan
- Netherlands
- Norway
- Romania
- Spain
- Sweden
- Switzerland
- United Kingdom
- USA
At Nordic Pharma, we focus on developing and commercialising speciality products which include, but are not limited to, niche hospital and orphan products, to address unmet medical needs.
Today, Nordic Pharma has a range of highly specialised proprietary and in-licensed products. Our products are designed to help in the therapeutic areas of: rheumatology, women’s health, ophthalmology and critical care (anaesthesia, haematology, oncology).
We also support consumer and self-care medicines, as well as oncology, respiratory and pain relief.
**Product safety**
Patient health and safety is a core element of our business, delivered through the optimal performance and quality of our products. It is underpinned by the provision of a continuous supply of medicines and medical devices.
A commitment to providing innovative and efficient products to fight diseases means we work towards finding new solutions by blending science with advanced technology.
Once approved, products are continuously monitored through the global collection and review of information regarding adverse events.
Every three months, the European Medicines Agency, by law, reports side effects and quality issues for all products. Any individual incidents or patient reports are assessed on a case-by-case basis. Regular inspections by regulators confirm Nordic Pharma’s ongoing compliance.
As part of our standard operating procedures around product safety, we have emergency batch recall processes in place that are tested each year.
Compliance and continuity
We market and sell our products in compliance with all applicable local laws and regulations and in line with ethical standards and industry practices.
Policies that relate to the development, quality, manufacture and licence of medicines are governed by legislation and implemented accordingly throughout the business.
Nordic Pharma always acts according to the rules of local governments and public health authorities. We observe all applicable export and import laws, including trade sanctions, embargoes, and other laws, regulations and government orders or policies, whether imposed by the local government or by foreign governments with jurisdiction over a transaction.
Raising awareness
We raise awareness of diseases, provide support and information for patients, and participate in international campaigns, including
- Cataract Awareness Month
- Colorectal Awareness Month
- Dry Eye Awareness Month
- European Colorectal Cancer Awareness Month
- IBS Awareness Day
- IBS Awareness Month
- International Safe Abortion Day
- Patient Safety Day
- World Arthritis Day
- World Digestive Health Day
- World Glaucoma Week
- World Psoriasis Day
Setting our direction
To formalise our sustainability journey, we undertook a materiality assessment that considered factors key to our sector as well as broader environmental and social elements. Then, through interviews with key stakeholders, we explored these topics to understand better the areas where we should focus.
Many areas highlighted are those with robust policies and processes already in place, such as ethics and compliance, data security and patient and product safety. This reinforces the importance of ongoing action required for these topics.
Embedded in our business strategy
Sustainability cannot exist in isolation – that’s why it’s one of Nordic Pharma’s strategic objectives in our business plan. Embedding our commitment to sustainability ensures that it is part of the decision-making process throughout our operations. We have adopted three pillars for our five-year roadmap: People, Planet and Prosperity, under which a series of goals and actions sit. Our Corporate Social Responsibility (CSR) Charter – shared company-wide on our intranet – states our commitment to these areas.
Our approach
Our CSR strategy is underpinned by our:
- Vision and mission: the sustainability strategy supports the overall aims of the business in its long-term strategic objectives
- Culture and values: how the company and its employees will own, support and deliver on our sustainability commitments
- Governance: the policies and processes that operate on a day-to-day basis in the business
- Communications: the articulation of the sustainability strategy to our internal and external audiences
- Reporting: reporting our progress to stakeholders, including our people, customers, and suppliers
Supporting global ambitions
We have mapped our strategy against the most relevant United Nations Sustainable Development Goals (UN SDGs) and recognise that we have a responsibility to advance action in these areas.
- Good health and wellbeing: At the core of Nordic Pharma’s business is the goal to improve people’s health around the world through our products
- Gender equality: Many of our products are designed for women and support equal access to healthcare and good health
- Responsible consumption and production: We strive to ensure that we are respectful in our use of natural resources
- Climate action: We must all take action to respond to a changing climate and work to reduce our environmental impacts
Reference: https://sdgs.un.org/goals
The nature of our business demands compliance, ethics and principles. Our overall aim, code of ethics, governing practices and values all set out what and how we work.
**Code of Conduct**
Nordic Pharma is committed to conducting business legally and ethically in all the countries in which we operate. Our employees are expected to uphold the highest ethical and business standards in all company matters and comply with all applicable laws and governmental regulations. All employees must undergo training on, and sign, our Code of Conduct.
Our Code of Conduct lists the Nordic Pharma values, outlines our accountability as Nordic Pharma employees, and provides key ethical principles as we conduct business around the world. The code is designed to supplement existing Nordic Pharma policies and standards.
We make our Code of Conduct available via our external website for suppliers and partners, and regularly review it, updating as necessary.
How we work
Policies and processes
Underpinning our Code of Conduct are the global policies and processes that define our daily working practices. Our policies are available on our intranet and we aim to publish them on our corporate website in the coming year.
The policies are also accessible through ‘Ready’ – our electronic document management system (EDMS). During the onboarding process, new employees are made aware of the need to review our policies using Ready, which records their acceptance to comply. These policies include, but are not limited to:
- Anti-bribery and corruption
- Anti-money laundering
- Anti-slavery and human trafficking
- Conflict of interest
- CSR Charter
- Fair Trade
- GDPR
- IT Security
- Whistleblowing
Operational policies and procedures are implemented globally, with local variations where applicable and in line with local legislation.
Raising concerns
Our whistleblowing process enables anyone to raise a concern. It comprises an independently managed portal and telephone hotline. We believe in open and accountable management, supported by our whistleblowing policy.
- We are committed to the protection of the whistleblower.
- Any kind of retaliation against any employee who, in good faith, reports a concern is not tolerated.
- Nordic Pharma is committed to fully maintaining the confidentiality and anonymity of the whistleblower.
- If an allegation is made in good faith but not confirmed by subsequent investigation, no action will be taken against the person concerned.
Our values
Nordic Pharma’s values shape our way of working each and every day. They are:
- Respect
- Integrity
- Reliability
- Commitment
- Ambition
- Agility
We have strong work ethics and believe that our behaviors and the beliefs that we share underpin our reputation. On our intranet we share information about our values and behaviors, and they form part of all job descriptions. Additionally, we consider our values in our performance reviews.
We aim to proactively build a working culture that embraces diversity, inclusion and equal opportunities for all. Our values form part of the annual performance review, and are used to evaluate how our goals are achieved. They also form a central part of our job descriptions.
Our people
Our people share our passion and pride in providing our healthcare solutions to customers worldwide. Our spread of locations reflects our presence and diverse workforce.
At the end of 2023, we had 306 employees split across four geographies in the 19 countries where we operate. 68 employees joined us during the year (65% were women), while our voluntary attrition rate was 6.8%. Our acquisition of Amring accounted for 18 of these positions.
**Celebrating diversity**
Diversity brings unique perspectives, ideas, and ways of living, which lead to increased innovation and creativity, and we’re proud to reflect 27 nationalities across the workforce. We take the opportunity to celebrate World Day for Cultural Diversity on 21 May for the whole month. Activities include hearing from external and internal speakers, coming together to celebrate different values, and learning, and understanding different perspectives with our colleagues.
In our most recent employee survey we scored 82% satisfaction on diversity and inclusion, up 5 points from 2021, and +13 versus benchmarked companies.
At Nordic Pharma, we celebrate the diversity inside our organisation and those who champion equality. We are proud that our business has a good balance, with 57.5% of our employees identifying as women. Women represent 45% of senior roles (Director level and above), while our Executive Committee comprises 43% women. Diversity and inclusion in the workplace will continue to be a priority for the organisation.
306 employees
57.5% Women
42.5% Men
19 countries
27 nationalities
Age profile across the business
- Under 30 years: 28
- 30-50 years old: 151
- Over 50 years old: 127
Length of service
- Under 1 year: 58
- 1-3 years: 110
- 4-9 years: 98
- 10-19 years: 30
- 20+ years: 10
Breakdown of roles
- Sales & Business Development
- Regulatory, Pharmacovigilance (PV) and Medical Affairs
- Marketing
- Finance
- Supply Chain
- Quality and Tech Transfer
- General Management
- Administration
- Human Resources & Communications
- IT
- Legal
An inclusive workplace
We are proud to support a diverse and inclusive workplace, starting from the recruitment process – with recruitment training mandatory for all hiring managers.
The organisation provides equal opportunities to employees, customers and business partners regardless of ethnicity, religion/politics/personal beliefs, disability, gender or sexual orientation. During the year, 30 people took on different or new roles in the organization, nearly two thirds of whom were women.
In our working environment, no form of disrespectful or abusive behaviour, threats, harassment, bullying, intimidation, or acts of violence is tolerated.
Human rights
Nordic Pharma is committed to valuing human rights as dictated by the United Nations and the economic and social rights defined in the standards and international labour conventions instituted by the International Labor Organization.
We aim to respect and protect employees’ and business partners’ rights and fundamental freedoms while conducting business. On a day-to-day basis, we promote human rights and condemn any infringement of these rights from any of our employees, suppliers or business partners.
Training and development
Mandated training includes our Code of Conduct, anti-bribery and corruption, health and safety and role-specific training. In addition, 2023 saw our biggest investment in employee training and development, with three training programs launched.
- The Nordic Pharma INSPIRE Marketing Excellence Academy – a comprehensive program designed to equip participants with top-notch expertise to reach ‘gold standard’ marketing status. 42 employees took part in the initiative.
- The Leadership Essentials Program – In partnership with The Oxford Group, the program was aimed at developing skills for key leaders to take the company forward, and motivate and engage our teams. 32 employees completed the program.
- A pilot Project Management Course developed by Improven with Nordic Pharma during 2023 is planned for rollout early in the new year, with around 70 employees expected to participate.
All our employees have the opportunity to learn beyond the requirements for their role, through access to online training. LinkedIn Learning provides thousands of courses covering a wide range of training topics that employees can use in their professional and personal lives.
Helping people from different educational paths learn and grow together creates an inclusive environment. With varied perspectives, we all bring something unique, and enrich our collective knowledge.
Health and safety
Our health and safety global guidelines form part of our employee handbook, issued to all employees. Nominated first aiders and fire marshals are identified in each location, and regular equipment checks and test evacuations are carried out on a regular basis. Additional requirements are in place in some locations linked to local legislation.
Engaging with stakeholders
Our stakeholders
We engage with various stakeholders, including our parent company – the SEVER Life Sciences Group, our Board, our employees and the communities where we operate.
Outside the organisation, we build relationships with our customers, suppliers, and other third-parties interested in our business, such as patients, industry groups, press, and potential employees.
Our workforce
Channels such as internal briefings and regular town hall sessions offer a good opportunity for sharing information and open discussion. Managers also hold regular review meetings with their direct reports, alongside continuous feedback sessions held twice a year.
Employee survey
Nordic Pharma’s independent employee engagement survey provides an anonymous platform for employees to feedback on a range of subjects, including the company’s vision, operating model, work environment, employee training and reward and recognition, and reputation.
In the 2023 survey, 86% of employees responded, a rise from 83% in 2021. Strengths included operational efficiency and cooperation, as well as a positive work environment with good working conditions and work/life balance with scores well above the benchmark for similar organisations.
The executive management team reviews the results and responses from the survey, and where required, plans are put in place to implement changes or improvements. The progress of these changes is communicated throughout the year.
We believe in giving back to the communities where we operate; that’s why we encourage our teams worldwide to participate in volunteering and community giving activities, using paid volunteer time from the business. We are formalising our approach to ‘time for yourself’ to make it easier for people to take part, and we encourage teams to work together on a project to deliver a greater impact or for global initiatives such as blood donation.
Teams from across the organization undertook initiatives, including:
- Supporting ANDAR (National Association Against Rheumatoid Arthritis) for the Polyar’trottons 2023 in our Paris office. The annual four-day event includes activities such as walking, running, cycling and brain games to raise funds for a research grant into the disease. Employees took part in a city walk and cycled on specially installed indoor bicycles in the office.
- Nordic Pharma colleagues in Toronto, Canada, also marked WCD, working hard to clean a local park – and gathering over 1,175 pieces of litter during the day. They supported the local organisation A Greener Future and collected single-use plastics, among other items, preventing them from further polluting the natural environment.
- In collaboration with OneTreePlanted, an environmental non-profit tree planting charity, our Spanish office launched a novel idea. For every new follower on the Spanish Twitter/X account, a tree in a forest in Spain will be planted, helping to mitigate our environmental impact. This initiative falls under the umbrella of #coNPrometidos, a local CSR project that recognizes that our responsibilities extend beyond the confines of our workspace.
The team in Hoofddorp, Netherlands, liaised with the municipality on a beach clean project to coincide with World Cleanup Day (WCD). Taking place annually on 16 September, WCD is a global movement aimed at tackling the issue of waste and promoting a sustainable future. During the day, the team collected plastic waste and debris, leaving the shoreline cleaner. The team also organizes an annual donation drive for a local food bank, helping those in need.
Nordic Pharma UK employees volunteered at Five-A-Day’s market garden community project in Berkshire. The project helps older people, and those with dementia or who struggle with anxiety or isolation. It also provides outdoor learning for urban schoolchildren. The team worked on vegetable beds, decorated a pergola in a children’s play area and did general maintenance.
For many years the Nordic Drugs team in Malmö, Sweden, has been actively involved in supporting the community. This includes the donation of clothes, shoes, toys and more, to those in need, particularly the homeless and refugees. In 2023, they supported Skåne Stadsmission, a local non-profit foundation dedicated to assisting individuals facing vulnerable situations.
Our colleagues at Amring – who joined Nordic Pharma in 2023 – have also been active in their community. Over the past three years, they have cycled to raise funds for the Multiple Sclerosis (MS) Society, and to date have generated USD 30,000 for the charity. As they join the Nordic Pharma family, we were proud to officially sponsor the Bike MS team.
As a company we also provide support to health organisations with ‘at cost’ medicines, and make contributions in response to international crises, through organisations such as Save the Children.
Supporting and celebrating our teams
A Great Place to Work
We’re proud to have been recognised as a ‘Great Place to Work’ in Canada, The Netherlands and Spain. The certification is based on employee input and independent analysis. Areas such as positive work life balance, office environment and role satisfaction all contribute to the certification.
Our employees are recognized for their contribution to the business through our long-service awards which provides a financial reward for every five years of employment with us. We also encourage all employees to take their birthday (or nearest day) off – on us – as a personal day.
Recognizing achievement
We celebrate achievement with our annual awards for individuals and teams. There are three categories:
- Innovation: a new project, process or deliverable that has a positive and meaningful impact
- Efficiency: a design or redesign project that results in improved efficiency with measurable outcomes and benefits
- Culture: the embodiment and demonstration of Nordic Pharma’s values that result in a notable positive impact on the workplace and people
Employee Assistance Program
From the first day of joining Nordic Pharma, all employees are enrolled in a confidential employee assistance program. Telus Health is available 24/7 to help employees:
- Access a wealth of online resources and information to support mental, physical, social and financial wellbeing
- Get expert guidance from professional advisers, any time, about any issue, either work-related or in their personal life
- Speak to a counsellor about any problems or connect with other specialists, including financial and legal professionals
- Family members can be invited to access certain features in LifeWorks so they can find confidential help and advice
Our company-wide employee assistance programme helps our people and their families with help and advice, when they need it most.
Our planet
We recognise that our climate is changing with rising temperatures and evolving weather patterns. As individuals and as an organisation, we must make changes in how we live and work.
**Our carbon emissions**
To understand the impact our business has on the environment, we commissioned our first carbon footprint in 2022. It covered the prior year and included scope 1 and scope 2 data from four key sites and scope 3 emissions from business travel, water, waste and purchased goods and services including computer and electrical equipment, furniture and paper.
In 2023 we improved our data gathering processes and extended scope 1 and 2 measurement to include all of our six largest locations: Canada, France, Spain, Sweden, The Netherlands, and the UK. We also expanded our scope 3 data collection to include significant transport emissions sources from business travel, employee commuting and freight.
As per our CSR strategy we will continue to develop our carbon measurement and reporting processes for future years and report our progress on measurements and target reductions.
Having a good baseline from which to set targets for emissions reductions will help us on our journey to net zero.
Note: An apparent rise in emissions between the two years is attributable to expanded and improved source data collection.
**Emissions (tCO₂e)**
| Scope | 2021 | % of total | 2022 | % of total |
|------------------------------|----------|------------|----------|------------|
| Scope 1 | 434.453 | 50.7% | 596.641 | 42.9% |
| Scope 2 (location-based) | 14.726 | 1.7% | 148.407 | 10.7% |
| Scope 3 | 407.672 | 47.6% | 645.681 | 46.4% |
| All Scopes | 856.852 | 100.0% | 1,390.728| 100.0% |
**Greenhouse gas (GHG) breakdown by main gas**
| GHG gas | 2021 | 2022 |
|--------------------------|----------|----------|
| tCO₂ (tonnes of carbon dioxide) | 505.499 | 895.643 |
| tCH₄ (tonnes of methane) | 0.010 | 0.324 |
| tN₂O (tonnes of nitrous oxide) | 0.355 | 2.960 |
Practical steps
In our business, we have already implemented several energy efficiencies in a number of locations, such as motion-sensitive lighting open plan spaces to make better use of lighting and heating, and we use low-energy-rated ICT equipment.
We are also identifying areas where we can make further changes to ensure our offices are as environmentally responsible as possible.
As part of our goal to minimise our impact on the environment, we are reducing the volume of materials used such as paper or single-use plastics in our offices, and recycling is in place for items including paper, card, plastic, metals and electronic equipment. We provide reusable cups and water filling stations. For Earth Day in 2023, the company supported the planting of 80 trees in The Netherlands and Mexico, through the NGO Trees for All.
Travel is an opportunity for reducing our environmental impact as we look at encouraging more use of public transport and taking a responsible approach to business travel.
We are setting annual targets in many areas and will track and report our progress. Our sustainability section on our intranet enables our employees to understand and participate in our goals.
In our most recent employee survey, our commitment to the environment was rated as a strength, rated at 65%, representing an increase from the previous reporting period, and noted as being a score rated +10 against benchmarked companies in our sector.
Knowing our carbon impact helps us take steps to reduce our emissions, and helps us on our path to setting a goal for net zero.
Our employees rated our environmental commitment highly with a score of 65% – that’s 10 points higher than other benchmarked companies in our sector.
We’re working on our five-year plan – helping us to be a more sustainable business, now and for the future.
Our ambitions
Setting targets
As we expand our carbon emissions collection and reporting, we will be better placed to set targets to reduce our impact by making changes to our business operations.
We have already set our strategic direction, gained executive support, defined our CSR Charter and engaged our employees on our aims. In addition, we have been making good progress on our responsible supply chain commitment.
Looking to the future, we have set ourselves the aim to formalize the following goals:
- In 2024, we will define our carbon emissions targets, including a target date for net zero for scopes 1 and 2 and an interim target for scope 3
- Set targets for a move widespread move to renewable energy across our locations
- Measure and set targets for waste reduction in our offices, including a future target for zero waste
- Increase our volume and range of recycling
- Dematerialize our business practices where possible through reduced materials use
- Define minimum environmental requirements for moves or refurbishments to office space
- Measure and set targets for water use in our offices
- Explore and set goals to increase the amount of eco-packaging for our products
- Review and implement changes to methods of transport and distribution to favour a low-carbon approach
Prosperity
Collaborating with our industry
Collaborating with membership organizations in the pharmaceutical sector is instrumental for fostering best practices and industry advancements. These organizations serve as hubs for networking, knowledge exchange, and collective problem-solving.
Being part of a broader community provides unique insights into regulatory changes, advances in research and treatment solutions and emerging trends. Our memberships include:
- ABPI (Association of the British Pharmaceutical Industry)
- EMIG (Ethical Medicines Industry Group)
- EULAR Rheumatology Association
- FARMANDUSTRIA (Association Spanish Based Pharmaceuticals)
- MRII (Medical Representatives’ Institute of Ireland)
- PMI (Pharmaceutical Managers Institute)
- PSCI (Pharmaceutical Supply Chain Initiative)
At Nordic Pharma, prosperity goes beyond our bottom line – it extends to our suppliers and customers. We’re working across our supply chain to ensure that we share the same vision for a sustainable future.
**Working with our suppliers**
Nordic Pharma is committed to our core values concerning human rights, labour and environmental practices within the organisation and through its business relationships. We have zero tolerance for all forms of corruption, modern slavery and child labour, whether public or private.
Our Supplier Code of Conduct is available on our website and is shared with suppliers to enhance a common understanding of our business requirements.
We expect them to integrate, communicate and apply the following principles:
- Accuracy and access to business records
- Clinical trials
- Compliance with laws
- Corporate social responsibility
- Disclosure of conflicts of interest
- Ethical business practices
- Health, safety and environment
- Human rights and labour practices
- Identification of concerns
- Product quality and supply chain integrity
- Publicity and advertising
**Contract review**
All new contracts have our CSR principles referenced, and we are revising existing contracts with our new Supplier Code of Conduct.
Business sustainability
Our procurement teams are represented in our overall sustainability working group. They are supporting projects as we look to implement more environmentally conscious decisions, for example, as we create a ‘greener’ office environment and move to a higher proportion of renewable energy for our offices.
Sustainability is also a factor in the purchasing decision-making criteria for the organisation, both in our normal operations and in longer-term strategic decisions, such as those that support our move towards net zero.
Responsible supply chain in our sector
In early 2023, we were pleased to join PSCI – the Pharmaceutical Supply Chain Initiative. In doing so, we further strengthen our commitment to a responsible supply chain.
We’re building on our responsible supply chain. As a member of the PSCI we are part of a community focussed on sustainable practices.
The PSCI is a group of pharmaceutical and healthcare companies working together to establish and promote responsible and ethical practices and environmental sustainability in the pharmaceutical industry’s supply chain.
At its core are principles that address five areas of responsible business practice:
- Ethics
- Environment
- Labour
- Health & safety
- Management systems
“We are thrilled to be joining PSCI as an associate member. Driving sustainable change in our supply chain is a key pillar of our Corporate Social Responsibility (CSR) strategy, championed by our CEO and executive leadership, and this marks an important step in this direction.”
Gijs Vissers, Head of Supply Chain & Procurement, and Helene Wilson, Head of HR, Communication, & Sustainability
“By joining PSCI, we will join industry experts in collectively working towards better business conditions, ultimately driving our shared goal of greener supply chains. We commit to uphold the responsible business principles and continue to grow ethically, always with a long-term vision.”
Transformation in the supply chain
In late 2022, Nordic Pharma made a significant strategic decision to embark on a vertical integration project for one of its key products. This move will represent a substantial transformation within the supply chain. The change will also allow us to optimize our inventory management.
Reducing the stocks of active pharmaceutical ingredients (API), bulk products, and finished goods to more optimal levels will enhance cost-effectiveness and responsiveness to patient demands.
By consolidating the production process under one Contract Manufacturing Organization (CMO) instead of multiple ones, we aim to reduce our carbon emissions, decrease our use of packaging materials, and minimize waste. For example, we will be decreasing the usage of one-way pallets and exploring the potential for replacing plastic packaging with eco-friendly cardboard alternatives. This streamlining of operations will effectively halve all logistic movements, resulting in enhanced efficiency and reduced environmental impact.
Additionally, automating the manufacturing process will optimize the entire supply chain process, leading to increased efficiency. This enhancement will significantly contribute to expanding product availability while reducing manual interventions and logistical movements. These optimization measures play a pivotal role in further decreasing the carbon footprint.
Business evolution
The world recognised the importance of healthcare and pharmaceuticals as it battled with the impacts resulting from the COVID-19 pandemic. The effects of this pandemic have been felt both in the short- and long-term as new medications become available, but also as governments and insurance companies must deal with the economic impact of the pandemic and the increased healthcare costs associated with these treatments.
The pharmaceutical industry will not only face changes in demand, regulations, and changes in the research and development process but also accelerated digitalisation, use of artificial intelligence and higher costs throughout the supply chain.
Despite challenging macroeconomic conditions and an unstable geopolitical environment, in 2022 the Group delivered solid top-line growth of over 12% and passed the EUR 300 million revenue milestone.
Acquisitions
In January 2023, we completed the acquisition of Draupnir Holdings – a company focusing on ophthalmology. The merger has brought exciting opportunities to strengthen the business: combined talents and competencies, territorial expansion and product portfolio development.
During the year we welcomed Amring into the business to support the Board’s goal of creating a global branded prescription pharma offering. Launching Nordic Pharma in the USA by on the solid business foundations built by Amring Inc allows the company to mitigate risk and maximize our returns in the world’s largest pharmaceutical market. All Amring 18 employees have been successfully transitioned into our business operations.
Tools and technology
As an international organisation, ensuring that we have robust and effective technology is critical to our business.
During the reporting period, we invested in and implemented a new pharmacovigilance database that enables monitoring of the safety of medicines and identifies if action is needed to reduce the risks and increase the benefits of medicines.
We also rolled out an updated regulatory information management system (RIMS). Our RIMS enables the facilitation of electronic approval and tracking of documents in a secure environment while reducing the need for unnecessary printing.
Ensuring that our people have the tools they need for the most efficient ways of working is measured in our employee survey and contributes to our technology strategy.
Evaluating our progress
We are tracking our environmental metrics annually, and provide quarterly updates to our board, as well as regular updates to the Senior Leadership Team.
As our sustainability targets are embedded into our business we will track, evaluate and report on our progress, with an annual external sustainability report. Internally we share our progress at regular business briefings and on our intranet.
EcoVadis assessment
At the end of 2022, we began our assessment process with EcoVadis and were delighted when, in early 2023, we were awarded Bronze status for our inaugural submission.
Gaining the award has recognised the work in our organisation to date around corporate social responsibility, and it forms a good baseline for us going forward as we deliver against our longer-term plan.
We are also using EcoVadis to formally assess our supply chain so that we can understand the risks and positive impacts of our suppliers.
Contact us
Siriusdreef 41
2132 WT Hoofddorp
The Netherlands
www.nordicpharma.com
Email email@example.com
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Blessed is the one who trusts in the Lord, whose hope is in the Lord. He is like a tree planted beside the waters that stretches out its roots to the stream.
Jeremiah 17:7-8
Sixth Sunday in Ordinary Time
February 17, 2019
Sixth Sunday in Ordinary Time
Notes on the Scripture
There are two kinds of people, as the saying usually begins. And scripture tends to bear this out with numerous points of comparisons between the just and the wicked, or the wise person and the fool. Today’s readings cluster around the contrasting of those who are blessed versus those who are cursed. Although such black-and-white distinctions seem harsh in our typically grey perception of reality, biblical language is quite clear that we must expect a time of foreclosure known as Judgment Day, when the tipping point has been reached and the chance to change our course is behind us.
Judgment Day can be variously interpreted as simply the end of our lives, or more emphatically the end of time and world itself. Jesus spoke of his “hour” as both a kind of revelation and also a proving ground for who he was. Maybe we can think of Judgment as our “hour,” when we find out who we truly are based on the summation of all our choices.
But many of us would certainly like to end the suspense and know as soon as possible what may be the last word on the subject of us. If you want to take your spiritual pulse right now, the prophet Jeremiah suggests, it’s fairly easy. If you place your trust in people and things, you’ll be sorry. If your trust is in God, you have nothing to fear.
Annual Catholic Appeal
Last week was our commitment for Annual Catholic Appeal. I am truly grateful for the generosity of so many who pledged. However, if you didn’t get a chance to do it I invite you to consider it this week.
Mary Iannucilli
Mary has been a principal of our CJB School for the last 11 years. She has provided much needed leadership, stability and guidance. Under her leadership the school grew and developed. I am very grateful for everything she has done for our community and thus it was very hard for me to accept her decision to retire at the end of this academic year. Please, read her letter on page 4.
Pilgrimage
Since Saturday, a group from our parish, along with me, have been visiting the sites of Holy Land. We are following the footsteps of Jesus, praying for all of you. Keep us in your prayers and see you in 10 days.
THIS WEEK AT ST. FRANCIS
Monday, February 18 - President’s Day
♦ Mass at 9:00 am
♦ Offices closed
♦ St. Peregrine Novena, 7:00 pm (CH)
Tuesday, February 19
♦ Acts of the Apostles, Session 1, 8:30 am (SFC)
♦ Book Club, 1:00 pm (NR)
♦ Eighth Grade Celebration of the Spirit, 7:00 pm (CH)
Wednesday, February 20
♦ Ministers of Care, 8:30 am (SFR)
♦ OA Meeting, 9:30 am (GR)
♦ Religious Ed (A), Grades 1-8, 4:30 pm (SFC)
♦ Acts of the Apostles, Session 1, 7:00 pm (SFC)
♦ Evening of Discipleship (Men), 7:00 pm (GR)
Thursday, February 21
♦ Friends of St. Francis, 12:00 pm (SFC)
♦ Religious Ed, Grades 1-8, 4:30 pm (SFC)
♦ St. Vincent de Paul, 7:00 pm (NR)
Friday, February 22
♦ A.A. Meeting, 7:30 pm (NR)
Saturday, February 23
♦ Religious Ed, Grades 1-8, 8:30 am (SFC)
♦ CJB Girl Scout Cookie Sale
Sunday, February 24
♦ CJB Girl Scout Cookie Sale
♦ Third Grade Mass Lesson, 9:45 am (UH)
♦ Third Grade Mass & Coffee And…, 10:30 am (CH, GR)
♦ Youth Ministry, 7:00 pm (SFR)
SAVE THE DATE
Mom & Tot Storytime at CJB
Join us for our Spring Sessions:
Friday, March 1st & Friday, April 12th
Sessions meet from 12:15 - 1:15 PM @ Cardinal Bernardin School
Storytime is open to all 2- and 3-year old children. A parent/guardian must remain with your child.
Listen to a story, make a craft, and participate in fun learning activities while you and your child meet new friends!
Mom & Tot Storytime is FREE, but you must reserve your spot. Please call 708-403-6525 ext. 151.
Reservations must be made by the Friday before your session date. 15 children max, per session.
CARDINAL JOSEPH BERNARDIN CATHOLIC SCHOOL
9250 W. 167th Street, Orland Hills, IL, 60487
“Welcoming Jesus into the Home of our Hearts”
You’re invited to take some time away at the midway point in Lent to reflect on the kind of dwelling place you are for our Lord. Enhance your faith journey through brief talks, reflective activities, prayer experiences and faith sharing in the relaxing, peaceful setting of the Woods at the Portiuncula Center for Prayer in Frankfort, IL.
The weekend, March 29 – 31, has been set aside for parishioners from St. Francis of Assisi.
Friday, March 29, 6:30 pm
Check-in Retreat Begins
Concludes, Sunday, March 31, 11:30am
Cost: $185 includes private room accommodations and meal.
Stop in the St. Francis Parish Office to register.
February 2019
Dear Pastors, Parish Staff, and Parishioners,
In May of 2008, Fr. Ed Upton, Executive Pastor of Cardinal Joseph Bernardin School, invited me to become the second principal of CJB. I accepted the invitation and since that time the years have truly flown!
After almost 11 years, I believe it is time for new vision and leadership at CJB. To that end, I have decided to not renew my contract for the 2019-2020 school year.
It has been a privilege to minister with you – parishioners of our four sponsoring parishes! Together with our CJB families, the exceptional CJB administrative team and staff, we have brought together a vibrant faith community and blue ribbon academic excellence to nurture our CJB students each and every day.
I would like to extend my deep gratitude to our sponsoring parish executive pastors with whom I have worked: Fr. Steve Lanza, Fr. Rich Homa, Fr. Jay Finno, Fr. William Corcoran and our current executive pastor, Fr. Artur Sowa. Your guidance and leadership, as well as your pastoral care, have been invaluable to me. Thank you to all of the pastors and their associates for your continued support of our regionally sponsored school! Thank you to each staff member of our sponsoring parishes. The idea of a “regional Catholic school” was new when CJB first opened her doors. Thank you to all associated with the parishes who help CJB minister to our children.
In the next few months, our Executive Pastor, Fr. Artur Sowa, will work with the CJB Advisory Board and the Archdiocesan Office of Catholic Schools to form a search committee in order to interview qualified candidates for the position of principal of this outstanding twice-recognized Blue Ribbon School of Excellence.
It has been an honor to partner with you in the ministry and mission of Catholic education, and most especially here at CJB. I thank each of you for the enriching and challenging journey of the past 11 years. Each day has been an adventure in learning! Be assured that I will keep our sponsoring parishes in my prayers and I hope you will remember me in yours.
Blessings to you as you continue to labor in God’s vineyard to keep CJB and Catholic education vibrant and vital in this community. Let me end with a call to you, our CJB Family, from our namesake, Cardinal Joseph Bernardin:
“For however many years I have been given, I give myself to you. I offer you my service and leadership, my energies, my gifts, my mind, my heart, my strength, and yes, my limitations. I offer you myself in faith, hope and love.”
Our children and their future here at CJB are in your hearts and hands.
Peace!
Mary Iannucilli
Principal
HUMAN CONCERNS COMMISSION
Give Up Blood for Lent
And help save a life!!
Saturday, March 9
7:30 am - 11:30 am
St. Francis Room (Lower Level)
Schedule your donation time one of 3 ways:
- Before or after Masses during the weekends of February 23/24 & March 2/3 in the Narthex
- Online at www.heartlandbc.org
- or contact Joyce Franklin at (708) 250-9022
REMEMBER: EAT A GOOD MEAL AND DRINK PLENTY OF FLUIDS AHEAD OF TIME!
For eligibility questions, call Heartland Blood Center at (708) 633-0101
PHOTO ID REQUIRED AT TIME OF DONATION
WALK-INS WELCOME!
KNOWLEDGE & PRAYER SERIES 2019
HUMANAE VITAE
SOUND TEACHING OR MISSED OPPORTUNITY?
REV. ANDREW WAWRZYN,
ASSOCIATE PASTOR, OUR LADY OF THE WOODS
THURSDAY,
FEBRUARY 28
7 P.M.
OUR LADY OF THE WOODS
10731 W. 131ST St., ORLAND PARK
SPONSORED BY THE MULTI-PARISH RESPECT LIFE MINISTRIES OF Our Lady of the Woods - St. Francis of Assisi - St. Michael - St. Bernard’s – Our Mother of Good Counsel - Annunciation Byzantine Catholic
Humanae Vitae emerged at a time of great anticipation. Would the Church change her teaching about contraception in light of the invention of the pill? Humanae Vitae answered this question, and so, we will attempt to address whether or not the encyclical, with its teachings, was the right move to make at this point in history.
Rev. Andrew Wawrzyn was ordained in 2010 for the Archdiocese of Chicago. Prior to ordination to the Archdiocese he was a member of the Jesuit order for 13 years. Rev. Andrew attended Marquette University for undergraduate studies and obtained one degree in philosophy (MA) and two degrees in theology (MDiv and ThM) while a Jesuit. He also earned an STL degree in theology from Mundelein Seminary in 2011. Throughout his years in ministry, Rev. Andrew has taught high school, directed retreats, done spiritual direction and served parishes.
Thank you!
The St. Francis Helping Hands Committee would like to extend a big “Thank You” to all those who contributed to this year’s COURAGE BABY SHOWER. We collected over $1,800 and contributed numerous new baby items to help mothers in need. A special thank you to all those who volunteered!
The COURAGE Program is a special and unique ministry based at St. Germaine Parish in Oak Lawn, Illinois. COURAGE is a volunteer organization built on compassion and Christian values, advocating for pregnant young women and their families.
Your generous donations will assist many “courageous young mothers who have chosen life for their babies.”
Just a reminder….Coupon donations are collected all year for “Courage” in the baby box located in the Narthex. The coupons need to be current.
Creation Care Corner
Taking action to protect God’s great gift to us, Mother Earth
...the world as God’s creation...is not something indifferent, raw material to be utilized simply as we see fit.
— Pope Benedict XVI
THIS WEEK’S STEWARDSHIP RECOMMENDATION:
Auto Maintenance
Burning fuel for our vehicles pollutes the air and contributes to global warming. Reduce waste and save money by properly maintaining your car. According to the EPA, keeping your tires properly inflated, your car properly tuned and using the proper grade of motor oil can improve your car’s fuel economy by 8 percent or more. Consolidating trips can further reduce fuel expense.
Saint Peregrine was healed of a cancerous ulcer on his leg which was considered beyond saving. The fame of this event in 1325 spread rapidly round the western Church. Christians, and especially the sick, began to invoke his name and seek his intercession for the relief of their suffering and even for a cure from sickness. The canonization of St. Peregrine in 1726 increased people's devotion to him which spread to the universal Church. St. Francis of Assisi began offering a novena to St. Peregrine on Monday, February 4. The novena will be held for 9 consecutive Mondays. All parishioners are welcome to participate.
**MINISTER OF CARE TRAINING**
Vicariate V Ministry Commission Sponsors a Two Part MINISTER OF CARE TRAINING at St. Germaine Parish Center 9711 S. Kolin in Oak Lawn, IL 60453 708-636-5060
Saturdays March 2 and 9, 2019 from 9 am to 2:30 pm both days (Bring a bagged lunch).
This workshop will be facilitated by Jeanne Lassandrello
Reach out to Missy Keegan to register: email@example.com (708) 598-5222.
**PARISH LIFE COMMISSION**
After school childcare needed for two children in Brook Hills.
Tuesday / Wednesday / Friday from 2:30 - 5:00 pm
Saturday hours available too: 6:15 am - 3:30 pm
Please call Deborah for more information: 630-452-5205
**LADY GOLFERS WANTED**
Thursday Morning Ladies Golf League Willow Run 9 hole course-Mokena tee times from 7:30 to 9:30 All skill levels welcome Contact Mary Greenan for more information 708-717-2378.
The Social Committee at St. Francis of Assisi is hosting its annual Fish Fry and is inviting everyone to attend!
When: Friday, March 8th, 2019
Time: 4:30pm – 7:00pm
Where: Downstairs in Upton Hall
You will have the following options to choose from:
- Cod dinner $10.00
- Shrimp dinner $12.00
- Children’s meal (12 & under) $5.00
Cod/Shrimp dinner includes one/half pound of seafood, coleslaw, potato wedges, macaroni & cheese, salad, roll, dessert and a beverage.
Children’s meal includes 1 piece of cod and 3 pieces of shrimp, macaroni & cheese, potato wedges, dessert and a beverage.
We hope everyone can come and enjoy this special evening!
Don’t forget to invite your family, friends and/or neighbors. Please feel free to bring your own beer or wine.
Tickets will be sold the weekends of February 23, 24 & March 2, 3 after all masses. No tickets will be sold at the door!
Any questions please phone: Laurie Arredondo 708.601.7113
Update on Sister Mary of Joseph
Sister Mary of Joseph has been in formation with the Servants of the Lord since December 8, 2014. Her last official visit to the parish was a year ago, when the Knights of Columbus held a pancake breakfast to support a new roof for the Convent in Washington DC. St. Francis and the Knights were so generous, and the Sister are truly grateful.
This is a picture of the Sisters visiting, Kay Flannigan, a parishioner who 27 years ago volunteered her time to help my family when Joe and I had a two-year-old daughter and newborn triplets, one of the triplets was Sister Mary of Joseph.
In March 2018, the Servants of the Lord celebrated their 30th Anniversary as a Religious Order. A big celebration occurred on the Feast of St. Joseph and our family was able to attend. The Sisters recorded a beautiful CD of songs praising St. Joseph in honor of the anniversary, I have several copies if you are interested. firstname.lastname@example.org.
In August, Sister Mary of Joseph had a home visit. It was perfect timing for our family as our oldest daughter and her husband had their first baby, Bernadette. What a blessing it was for Mary of Joseph to be here to experience her first niece, and our first grandchild!
In November, on All Saints Day, Sister Mary of Joseph renewed vows for another year, along with 41 other Sisters. Shortly after, she and her fellow classmates, visited Argentina for five weeks, learning about the origins of the order, celebrating Ordinations to the Priesthood in the Institute of the Incarnate Word, and working in their Houses of Mercy. Her favorite part of the trip was at one House of Mercy, where the Sisters who regularly attended to the special adults, went on retreat. Sister Mary of Joseph and her fellow Sisters took
control of the facility for a week, and they cared for the residents with the love of Christ!
Sister Mary of Joseph is finished with her formation in Washington DC and she has been assigned to assist the Mother of the House at the Novitiate in Upper Marlboro, MD. There, she will also continue her formation in the Scriptures and the Virtues.
Please continue to pray for Sister Mary of Joseph and for vocations to Religious Life. Thank you, St. Francis of Assisi Parish for your support and prayers.
~ Joe and Diane Budz
ST. FRANCIS BOOK CLUB
Our next meeting date is:
FEBRUARY 19
We will discuss “Educated” by, Tara Westover
1:00 pm in the Niehaus Room
ALL ARE WELCOME!
EDUCATION & FORMATION COMMISSION
To the wonderful individuals at Faith, Fellowship & Outreach
Thank you for your most generous gift of toys and $25 in gift cards!
With Love,
The Children and Teens the Treasure Chest Foundation serves.
RESPECT LIFE
“Called to serve the people and the common good, [civil leaders] have a duty to make courageous choices in support of life, especially through legislative measures.”
Pope Saint John Paul II,
Evangelium vitae, 90.
© 1995 Libreria Editrice Vaticana.
Used with permission.
Following up on my request of parishioners to name a topic for this reflection, this week, I am responding to a request to discuss eulogies: a sensitive topic. I decided to add to the conversation by beginning with a review of the Sacrament of the Sick.
Being with a family, mourning the loss of a loved one with them, is a significant aspect of pastoral ministry.
The prelude to this journey is the Sacrament of the Sick. This Sacrament has two names: Extreme Unction when administered to a person at a time when they are beyond recovery and very near death. - the last (extreme) anointing (unction).
More commonly today there is a wider understanding of the Sacrament. It is suggested that it be given to a person facing serious illness: surgery, chemotherapy etc.; dealing with long term or chronic illness; or advanced age (no definition given - define for yourself!). This is the same Sacrament, a different name depending on the time in a person’s life when administered.
Every Monday morning, after the 7:45 mass, this Sacrament is administered to all who request to be anointed. The Sacrament is also provided on request. A family calls the parish office to request that a priest go to the home or hospital.
When to call the priest? Today many people with serious illnesses are at home - some in hospice care, others with a visiting nurse or family member. Others are in a nursing home or rehab facility. This is the time to call a priest.
In these instances a time can be arranged when not only the priest can be present but members of the family can be present, and the sick person is able to participate.
This moment becomes a reverent and prayerful time. At times it is a realization that this is an ending moment, but in many instances it is powerful prayer for recovery.
The calling for a priest can be conflictual. At times there is a family member who says, “We don’t want to scare mom.” This type of thinking is usually not accurate. Mom knows she is sick and aware of her condition. It is the son or daughter who is scared and afraid to face reality.
Waiting for the last moment frequently prevents the family from praying together or together facing the challenge at hand.
The Sacrament of the sick is about strength and hope for healing. The Sacrament is a reminder and comfort for the life to come.
CHRIST RENEWS HIS PARISH (CRHP)
CRHP – Christ Renews His Parish, Women’s CRHP March 2/3
- A time to relax, pray and rethink priorities.
- A time to get to know others in the parish and grow as a community.
- A time to examine, rediscover and enrich a personal relationship with Christ.
- A 30-hour experience of reflection and sharing of spiritual and real-life issues.
TO REGISTER: Visit our parish web-site: www.sfaorland.org or call the parish office: 708-460-0042
Over-night Retreat for St. Francis of Assisi Parishioners at The Franciscan Center for Prayer 9201 W St Francis Road, Frankfort, IL 60423
Friday, March 29 - Sunday, March 31
Registration on Friday at 6:30 pm
Depart late morning Sunday
The retreat includes:
- Talks presented by staff of The Center
- Talking at meals and optional faith sharing in the evenings
- Cost: $185 includes private room accommodations and meals
Stop in the parish office to complete your reservation.
BE PREPARED, Copyright © J.S. Paluch co.
Be prepared. It's that simple. As this Advent season opens before us, the Lord Jesus summons us to stand ready for his coming. At this time of year much of our attention is focused on being prepared for the details that accompany the holiday season. We purchase gifts; we decorate our homes, inside and out; we prepare foods that we eat only during the holidays; we write and send Christmas cards; we attend holiday concerts; we prepare either to welcome family and friends into our homes or arrange for visits to their homes. We really can't escape the details that make up the season. Perhaps this Advent is a time to attend to all those details with a different spin. As we prepare to celebrate the feast of Christmas, why not be deliberate about acknowledging the presence of the Lord as we go about these tasks? The Lord often comes to us in wonderfully surprising ways. Let us be prepared.
Can’t visit The Chapel on March 1? Help with Meal Prep Feb. 27!
Last week I shared an open invitation for parish teens (and adults) to volunteer with our PADS group to prep, cook and serve dinner, and set up beds, for guests once a month at The Chapel in Hinsdale.
While there is a kitchen at The Chapel, we just don’t have enough time to fully prepare a healthy dinner for up to 50 guests when we arrive, after school.
In the past, I would shop for and prepare the main dish in my kitchen at home. On site teens were responsible for making side dishes to round out the meal.
In October, 2018, I introduced a way to include more volunteers, through the Advance Meal Preparation (AMP) team.
Since then, eight adults have helped to create wonderful entrees shared with our guests - homemade chili, pan seared chicken breasts, minced chicken in lettuce wraps, hearty minestrone soup. All homemade with fresh ingredients and love.
We will prep the meal for Friday, March 1 on Wednesday, February 27th, 11 am.
I am thinking Ree Drummond Sloppy Joes (pictured above), potato salad and coleslaw would bring some delicious compassion to the guests who stay at The Chapel on Friday, March 1!
Have I tempted you enough to help?
Please contact me directly at: email@example.com or cell phone: 312-519-8773
~ Debbie Burzinski
Have you heard of Spiritual Direction?
Spiritual direction is an ancient ministry of the church going back to the time of Jesus and the monastic lifestyle where the monks would act as spiritual directors for each other. It can be described as a sacred journey, holy listening and/or spiritual companionship.
It is never easy to talk about what is most personal or sacred to us – our deepest hopes, fears and dreams; our relationship with God, but the results of such conversations are immense and awe-inspiring. And, no one needs to walk the spiritual path alone.
The real spiritual director during a session is God. God touches the human heart directly. Jesus has so much more he wants us to see and do than we can imagine. By deciding to journey with a spiritual director, we are telling Jesus that we want to know, love and follow Him more each day.
Is God inviting you into a closer relationship with HIM? Do you want to create sacred space for God in your life? Are you longing to share reverence and savor your experiences of God with a trusted companion?
If you answered yes to any of the above questions, I invite you to consider spiritual direction. Two people (the director and the directee) come together to listen, share and pray as they journey into the Sacred.
For more information about meeting with a trained and certified Spiritual Director in Ignatian Spirituality contact Sr. Gael, firstname.lastname@example.org or 460-0042
ST. FRANCIS RELIGIOUS EDUCATION
VOLUNTEERS NEEDED
Catechists are needed for the following grades:
Thursdays, 7th Grade,
4:30-6:00 pm or
Wednesdays [B], 7th Grade,
4:30-6:00 pm
We provide all lesson plans and materials.
Please consider sharing your faith, your time, and your talents with the young people of St. Francis.
Call 708-460-0155 to learn more.
What is a deacon?
Deacons are ordained as a sacramental sign to the Church and to the world of Christ, who came "to serve and not to be served."
The entire Church is called by Christ to serve, and the deacon, in virtue of his sacramental ordination and through his various ministries, is to be a servant in a servant-Church.
Have you ever thought about the vocation of the deacon? Has anyone ever told you that you would make a wonderful deacon?
Why not explore that a bit more. The Archdiocese of Chicago through the Diaconate formation provides exploration sessions for you / your wife to ask those questions that may be resting in your heart.
Each year, IDS provides Exploring the Diaconate sessions throughout the Archdiocese of Chicago to raise vocation awareness and provide information about the formation program and application process.
Choose a session that is convenient for you. RSVP is not required. Wives of married inquirers are strongly encouraged to attend.
INSTITUTE FOR DIACONAL STUDIES' EXPLORING THE DIACONATE DATES
March 5, Tuesday. 7:30pm St. Barbara, Brookfield (Vicariate IV)
Parish Center, Music Room
March 24, Sunday. 12:45pm St. Damian, Oak Forest (Vicariate V)
Join us for Mass, 11:30am Pastoral Center, Franciscan Room (Basement)
April 2, Tuesday. 7:30pm Office of the Diaconate, Forest Park (Vicariate IV)
St. Bernardine (816 Marengo Ave.), Convent Dining Room
April 10, Wednesday. 7:30pm St. Barnabas, Chicago (Vicariate V), Church Hall (Basement)
The Augustinian Friars are currently looking to fill the position of house cook.
This position is a part-time position of 2-3 hours a day, Monday through Friday. Hours are negotiable. Because of the type of ministry, there may be as many as six and as few as two at dinner. There may be days you will not be required to work. Rate of pay may also vary with experience. The Augustinian Friars are a community of Roman Catholic Priests and Brothers who live in community. There are some special dietary needs.
Cook starting at $15.00 per hour
Qualifications:
~ General cooking skills
~ Ability to plan a menu in consultation with the head of the house
~ Ability to set table, clean cooking utensils, pots and pans (Community will wash other dishes)
~ Demonstrate organization, planning and time management
Requirements:
~ Able to adapt to various cooking situations and willingness to work
~ Must be at least 18 years of age
INTERESTED APPLICANTS contact:
Fr. Richard A. Young, OSA
Prior
St. John of Sahagún Friary
1800 W Lincoln Highway
New Lenox, IL 60451
773.551.7456
Mid-life Singles (mid-30s to 50s):
Are you looking for a renewed sense of purpose & belonging? Register today for a life-changing REFLECT weekend retreat at the Joseph & Mary Retreat House (formerly Cardinal Stritch Retreat House) in Mundelein, IL (northern suburbs) on Feb 22-24, 2019.
Take a chance and get involved... you won't regret it! Cost is $215 for meals and a single room. Visit www.ReflectRetreat.com, e-mail email@example.com, or call (630) 222-8303 for details.
KAIROS RETREAT
for Juniors and Seniors in High School
Friday, March 29th – Sunday, March 31st
Our Lady of the Angels Retreat Center
(Mount Assisi Campus- 13860 Main St. Lemont)
The Diocese of Joliet is offering this amazing experience to high school teens who are not attending a Catholic school. The youth who participate in and lead these retreats come from both public and Catholic high schools. They come from many different parishes throughout the entire diocese.
For more information, visit https://www.dioceseofjoliet.org/ym/content1.php?secid=52
Baptisms
We joyfully welcomed the following children into our Christian community
FEBRUARY 6, 2019
Evangeline Faye Comstock
Daughter of Andrew Comstock & Monica Franco
FEBRUARY 10, 2019
Everly Rose Chapple
Daughter of Andrew & Traci (Dominique) Chapple
Deno Richard Piunti
Son of Derek & Rebecca (Wolf) Piunti
Come and See the Sisters of Providence
Where is God calling you?
Are you a single, Catholic woman between the ages of 18 and 42? The Sisters of Providence of Saint Mary-of-the-Woods, Indiana, invite you to Saint Mary-of-the-Woods for a Come and See Retreat. The retreat begins at 7 p.m., April 12, and concludes at 2 p.m., April 14. Explore where God is calling you. Learn what life is like as a Sister of Providence. Meet the newest sisters in the Congregation. Get to know more about foundress Saint Mother Theodore Guerin, and spend time in prayer and reflection. Register online at ComeandSee.SistersofProvidence.org or contact Sister Editha Ben at 812-230-4771 or firstname.lastname@example.org.
About the Sisters of Providence
The Sisters of Providence, a Congregation of nearly 300 women religious, with more than 200 Providence Associates, collaborate with others to create a more just and hope-filled world through prayer, education, service and advocacy. The Sisters of Providence have their motherhouse at Saint Mary-of-the-Woods, located just northwest of downtown Terre Haute, Ind., which is now listed in the National Register of Historic Places. Saint Mother Theodore Guerin founded the Sisters of Providence at Saint Mary-of-the-Woods in 1840. Today, Sisters of Providence minister in 17 states, the District of Columbia and Asia, through works of love, mercy and justice. More information about the Sisters of Providence and their ministries may be found at SistersofProvidence.org.
SICK RELATIVES & FRIENDS
Barbara Bradlow
Mary Budz
Juanita Capriglione
Tom Cebula
Carol Colby
John Coyle
Lisa Enguita
Joanne Esposito
Denis Fellman
Louise Kearns
Cindy & John Knuth
Cami Letsos
Madelon Lorden
Richard & Linda Marks
Bernie McErlean
Denny Niswonger
Mary Oleszkiewicz
Barbara Petrick
Giovanna Picciolini
Beth Pratt
Rose Prohaska
Marguerite Rix
Thomas E. Small
Louis Tassone
Abraham Temsah
WEEKLY MASS INTENTIONS
Saturday, February 16
5:15 PM Thomas Killoren, rq. by Rita Killoren and Ernie Horvath, rq. by Barbara Horvath and Joe Sankey, rq. by Mike & Roxanne Zoladz and Michael & Maria Janis, rq. by Phyllis Napoles and Carol Battaglia Topolski, rq. by Family
Sunday, February 17
7:30 AM Henry Platios, rq. by Greg & Barb Kaczmarczyk & Family and Bill & Anrita Owens, rq. by Dave & Mary Burns
9:00 AM People of St. Francis of Assisi
10:30 AM Mary Dineen, rq. by Mary & Shawn McGinnis and Alfredo Ravelo, rq. by Family
12:00 PM Felicia Narbone, rq. by Family and Special intention for Peter Ciezczak & David Ciezczak, rq. by Mom & Dad and Nancy Gaynor, rq. by Sherry Family and John Schultz, rq. by Karen Franta
Monday, February 18 - President’s Day
9:00 AM Joyce March, rq. by Joseph March
Tuesday, February 19
7:45 AM Peter Cunningham, rq. by Family
Wednesday, February 20
7:45 AM Jillian Rose Searle, rq. by George & Carol Buckner and Joseph Sopata, rq. by John & Virginia Zbos
Thursday, February 21
7:45 AM Joseph Sopata, rq. by John & Virginia Zbos
Friday, February 22
7:45 AM Thomas Kelly, rq. by Anne Kelly
Saturday, February 23
5:15 PM Estelle Czub, rq. by Family and Thomas McKeon, rq. by Mike & Roxanne Zoladz and Frank Wierzbowski, rq. by John & Virginia Zbos and Sonny Giblin, rq. by Anne Lebert and Mack & Otto Janis, rq. by Phyllis Napoles
Sunday, February 24
7:30 AM Marie Jeanne Skorup, rq. by Emil Skorup
9:00 AM Norris & Schweiger Families, rq. by Family and Diane Smith, rq. by Greg & Pam Gervais and Jeffrey Spratt, rq. by Caroline Chirillo and Linda Sullivan and Patrick Brannigan, rq. by Kevin & Patricia McEldowney
10:30 AM People of St. Francis
12:00 PM Peter Vanwissen, rq. by P.J. Cusic and Robert Paluch, rq. by Mr. & Mrs. Gerald Paluch and Stanley Cichowicz, rq. by Ciezczak Family
Readings for the Week
Monday: Is 4:2-6; Ps 122:1-9; Mt 8:5-11
Tuesday: Is 11:1-10; Ps 72:1-2, 7-8, 12-13, 17; Lk 10:21-24
Wednesday: Rom 10:9-18; Ps 19:8-11; Mt 4:18-22
Thursday: Is 26:1-6; Ps 118:1, 8-9, 19-21, 25-27a; Mt 7:21, 24-27
Friday: Is 29:17-24; Ps 27:1, 4, 13-14; Mt 9:27-31
Saturday: Is 30:19-21, 23-26; Ps 147:1-6; Mt 9:35 -- 10:1, 5a, 6-8
Sunday: Is 11:1-10; Ps 72:1-2, 7-8, 12-13, 17; Rom 15:4-9; Mt 3:1-12
“A broken and contrite heart, O God, you will not despise.”
Psalm 51:17, NRSV
## Liturgical Ministers for Next Weekend
Please visit the St. Francis Liturgical Minister Web Terminal for the most up to date schedule or to volunteer.
| | Feb. 23 Saturday, 5:15 PM | Feb. 24 Sunday, 7:30 AM | Feb. 24 Sunday, 9:00 AM | Feb. 24 Sunday, 10:30 AM | Feb. 24 Sunday, 12:00 PM |
|----------------------|----------------------------|-------------------------|-------------------------|--------------------------|--------------------------|
| **Presider** | Rev. Mike Schaab | Rev. Mike Schaab | Rev. Mike Schaab | TBA Priest | Rev. Rich Young |
| **Deacon** | John Donahue | Mike Kiley | Michael Pindelski | Daniel Carroll | Michael Pindelski |
| **Sacristan** | Elaine Erdman | Dolores Grekowicz | Barbara Basila | Cindy Lucio | Laureen Pietranczyk |
| **Lector** | Martin Terpstra (1) | Richard Klein (1) | Casimir (Casey) Pytel | Michelle Whalen (1) | Elena Reklaitis (1) |
| | Warren Winker (2) | Gabby Bach (2) | Marilyn Nelson (2) | George Kaminski (2) | Gabby Bach (2) |
| **Eucharistic Minister** | Beth Bruozis | Kathleen Boland | Barbara Basila | Susan Campagna | Diane Budz |
| | Victoria Carlo | David Burns | Kathleen Biederman | Daniel Carroll | Rosalie Hodson |
| | John Donahue | Lisa Freisleben | Nancy Biggio | Gregory Fifer | Linda McCormick |
| | Elaine Erdman | Patricia Goldberg | Thomas Cech | Janet Fifer | Timothy McCormick |
| | Diania Kufta | Patricia Grasso | Diane Ostrowski | Wendy Freer | Joan Ondrus |
| | Cynthia Patrick | Dolores Grekowicz | Kathleen Ostrowski | Mary Greenan | Marcia Pavela |
| | Barbara Petrick | Mike Kiley | Michael Pindelski | Maureen Harton | Laureen Pietranczyk |
| | Rev. Mike Schaab | James Pedersen | Terry Reger | Karen Koehler | Michael Pindelski |
| | Anita Sweeney | Dominic Zambuto | Kim Reid | Cindy Lucio | Margaret Sabadosa |
| | Susan Vari | | Rev. Mike Schaab | Robert J. McGuire | Rev. Rich Young |
| | John Zubik | | Mary Vaas | Sharon Moe | |
| | Sandra Zubik | | Rosemary Zieliński | TBA Priest | |
| **Altar Server** | Giuliana Cisek | Mark Freisleben | Brett Laird | Anna Bianco | Taylor Healy |
| | Matthew Gaspardo | Nicole Freisleben | Amanda Mackowiak | Patrick Curran | Matthew Sevik |
| | Anna Walsh | Grace Hamilton | Ryan Reid | Julia Malysz | John Thompson |
| **Usher** | Richard Rzeszutko (HU) | Mary Ann Wyman (HU) | Keith Nelson (HU) | Kevin Whalen (HU) | Jay Modelski (HU) |
| | Alice Rzeszutko | Bud Wyman | Brian Barrett | Jeffrey Whalen | Mike Olk |
| | Joe Czarny | Jeffrey Belski | Peter Walsh | Richard Bonetti | (sub requested) |
| | Cathy Arzbaecher | Paula Belski | Oriano Pagnucci | George Kelley | Don (David) Hodson |
| | Jim Arzbaecher | | Diane Mackowiak | Lori Simard | Jerry Ondrus |
| | Timothy Harris | | Marianne Laff | James Winters | |
---
## Parish Stewardship
| | 02/10/19 | Year to Date |
|----------------------|----------|-------------|
| **Budgeted** | $23,480.00 | $774,840.00 |
| **Collected** | $24,128.00 | $774,924.00 |
| **Net** | $648.00 | ($84.00) |
Please consider signing up for electronic giving.
Go to our website, [www.sfaorland.org](http://www.sfaorland.org) and press the “Donate Now” button.
You can also use the yellow form in your envelope packet or call the office to sign up: 708-460-0042
St. Francis of Assisi Parish Community
15050 South Wolf Road, Orland Park, Illinois 60467-3028
Website: http://www.sfaorland.org Parish office e-mail: email@example.com Parish phone: 708-460-0042
MASS SCHEDULE: Saturday - 5:15 PM; Sunday - 7:30 AM, 9:00 AM, 10:30 AM, 12:00 PM and Monday-Friday at 7:45 AM
REV. ARTUR SOWA, Pastor (firstname.lastname@example.org)
REV. EDWARD F. UPTON, Pastor Emeritus (email@example.com)
DEACON DANIEL CARROLL, Permanent Deacon (firstname.lastname@example.org)
DEACON MICHAEL KILEY, Permanent Deacon (email@example.com)
SR. GAEL GENSLER, OSF, Pastoral Associate (firstname.lastname@example.org)
DEACON JOHN DONAHUE, Permanent Deacon (email@example.com)
DEACON MICHAEL PINDELSKI, Permanent Deacon (firstname.lastname@example.org)
The Parish offices are located in the lower level of the church. Entrance is via the walkway at the west side of the church building. Hours 8:30 AM - 4:30 PM, Monday thru Friday. Evenings and weekends are by appointment. The Chapel is located at the northeast corner of the Church.
ADMINISTRATION Phone: 460-0042, Fax: 460-0136
Office Manager: Paula Belski (email@example.com)
Director of Facilities & Operations: Jim Hahn (jhahn@…)
Parish Accountant: Kathleen Biederman (kbiederman@…)
Receptionists: Marge Curran (mcurran@…) & Ann Carroll (acarroll@…)
Comm. Coordinator: Allison Domenick (adomenick@…)
Facilities Maintenance: Monika Czajczyk, Greg Gervais
P.T./Weekend Maintenance: Eric Franklin, Michael Higgins, Kevin Mee, Ryan Reid
Bulletin Editor: Jill Hickey Topf (firstname.lastname@example.org)
MUSIC Phone: 708-460-9831
Director: Leanne Stotereu (email@example.com)
Accompanist: James Draudt
Children’s Choir Director: Anne Hayes
Religious Education Cantor: Angela Reynolds (remusic@…)
Cantor for Parish Funerals, Weddings: Gina Vitucci
YOUTH MINISTRY
Phone: 708-460-0042
Youth Minister: Matt Toohill (firstname.lastname@example.org)
The Religious Ed Offices are located in the St. Francis Center, up the hill, west of the church. Religious Ed office hours ar Monday thru Thursday, 8:30 AM - 4:30 PM. The Religious Ed offices are closed on Fridays.
RELIGIOUS EDUCATION
15010 Wolf Rd., Orland Park, IL 60467
Phone: 708-460-5086
Dir: Mary Kay Burberry, ext. 240 (email@example.com)
Coordinator: Jackie O’Malley, ext. 242 (jomalley@…)
Office Manager: Maureen Krzyminski, ext. 244 (mkrzyminski@…)
CARDINAL JOSEPH BERNARDIN (CJB) SCHOOL
9250 W.167th St., Orland Hills, IL 60487
Phone: 708-403-6525
Principal: Mary Iannucilli
Web page: www.cjbsschool.org
REGISTRATION Become a registered member of the parish by completing a registration form which is found in Church.
BECOME A CATHOLIC - R.C.I.A. The Rite of Christian Initiation for Adults. Anyone interested in becoming a Catholic, please contact the parish office at 708-460-0042
SACRAMENT OF BAPTISM Baptism usually takes place on the 1st, 2nd and 3rd Sundays of the month at 1:30 PM. Prior to the Baptism, parents need to call the office to make arrangements. A baptismal conference will be set up with the parents.
CARDINAL JOSEPH BERNARDIN CATHOLIC SCHOOL Our elementary Catholic regional school is located on the campus of St. Elizabeth Seton parish at 167th & 94th Ave. For registration information, contact the school at 708-403-6525.
RELIGIOUS EDUCATION Sessions are held on alternating Tuesdays, Wednesdays & Thursdays for Grades K-8, and on Saturdays for Grades 1-8, at the St. Francis Center (on the hill). Grades K-4 meet from 4:30 to 6:00 PM and grades 4-8 meet from 7:00 to 8:30 PM. Saturday sessions meet from 8:30 - 10:00 AM. Children's Liturgy of the Word meets on Sundays during the 9 & 10:30 AM Masses for children 4-year-olds to 4th grade, September-April. Call 708-460-0155 for more information.
SACRAMENT OF RECONCILIATION Communal celebration of the Sacrament will be held during Advent and Lent. Individual confessions are heard on Saturdays at 11:30 AM - 12:00 PM.
SACRAMENT OF MARRIAGE Weddings need to be scheduled at least 4-6 months in advance upon approval of a priest. Couples are reminded to secure the church date before the reception hall. Please check our website for more details.
SACRAMENT OF ANOINTING OF THE SICK Anointing is celebrated every Monday, immediately after the 7:45 AM Mass. Those of advanced age or suffering from a chronic or serious illness are invited to be anointed. A priest is available to offer the Sacrament whether the ill person is at home or in the hospital. Please call 708-460-0042.
|
Fr. Anthony Cirignani, O.F.M.
Pastor
Fr. Ponciano Macabalo, O.F.M.
Priest-in-Residence
Lou Anne Roskowski
Treasurer Trustee
Don Patz
Secretary Trustee
Office Hours
Mon - Thurs 8:30am - 4:00pm
Fridays—Closed All Day
Margo Thorsen
Parish Office Manager 920.435.7548
Maria Tinoco
Office Assistant—se habla español!
de Martes a Jueves – 12:00pm-2:30pm
920.435.7548
Michael Lee
Faith Formation & Communications
Notary Public—by appointment please
920.437.0651
Mass Times/Horario la Misa
1st Friday/1st Saturday: 8:30am Mass
Saturday Vigil of Sunday: 4:00pm
Sunday: 8:00am, 10:00am
Domingo: 12:30pm Misa en Español
Mon: No Mass or Service
Tues, Thurs, & Fri: 8am, Wed: 8:30am
Confession/ Penance
Fri: After 8am Mass, Sat: 3:30pm,
Sundays: 9:30am
1st Friday/1st Saturday: 8:00am
Also By Appointment: 920.435.7548
Adoration Chapel
Obtain Door Security Code in Person from Parish Office.
Chapel Coordinator: Tyler Reif
Phone: 920.247.5048
World Apostolate
of Fatima – Blue Army
Green Bay Division:
920.437.0651
email@example.com
Parish Office: 920.435.7548
FAX: 920.432.1321
Veritas Faith Formation: 920.437.0651
Email: firstname.lastname@example.org
Website: www.sspeterpaulgb.org
“If they will not listen to Moses and the prophets, neither will they be persuaded if someone should rise from the dead.”
“Si no quieren hacer caso a Moisés y a los profetas, tampoco creerán aunque algún muerto resucite.”
September 28th & 29th, 2019
26th Sunday in Ordinary Time
26° Domingo del Tiempo Ordinario
28° & 29° de Septiembre, 2019
REMINDER: Mass on Wednesdays is at 8:30am During School Year
**Sept 28th & 29th, 2019**
**Lectors**
- Sat. 4:00pm L. Roskowski
- Sun. 8:00am J. Ball
- Sun. 10:00am **Volunteer**
**Altar Servers**
- Sat 4:00pm: N. Reif
- Sun 8:00am: A. & S. Delaney
- Sun 10:00am: C. Peterson
**Greeters**
- Sat 4:00pm **Volunteers**
- 8:00am J. & L. Stone
- 10:00am D. & M. Neuses
**Communion Ministers**
- Sat 4:00pm D. De Bauche
- Sun 8:00am J. or L. Stone
- Sun 10:00am D. & M. Neuses
---
**Oct 5th & 6th, 2019**
**Lectors**
- Sat. 4:00pm L. Roskowski
- Sun. 8:00am J. Uhyrek
- Sun. 10:00am D. Lautenslager
**Altar Servers**
- Sat 4:00pm: G. Scheld
- Sun 8:00am: T. Reif
- Sun 10:00am: N. Reif, A. & S. Delaney
**Greeters**
- Sat 4:00pm J. Konkel, **Volunteer**
- 8:00am J. & L. Stone
- 10:00am **Volunteers**
**Communion Ministers**
- Sat 4:00pm **Volunteer**
- Sun 8:00am J. or L. Stone
- Sun 10:00am S. & C. Parent, 1 **Volunteer**
---
**Week Ending September 23rd, 2019**
**BUDGET:** $6,800 Needed Weekly
Last Week Collected:
- Stewardship $4,744
- Repair $321
- TOTAL $5,065
Year-to-Date Budget Needed (Week #12) $81,600
Stewardship Collected Year-to-Date $69,933*
SHORT -$11,667
*Includes online giving.
If you would like to enroll in secure online giving, please visit [https://sspeterpaulgb.weshareonline.org/](https://sspeterpaulgb.weshareonline.org/) or just click the link if you read the bulletin online.
---
**40 Days For Life**
From now, through November 3rd, you’re invited to peacefully pray during the 40-day vigil in the public right-of-way outside Planned Parenthood at 2605 South Oneida Street, in Ashwaubenon.
Our Parish is asked to walk on Mondays (**beginning on Monday, September 30th**), from 8am to 10am.
To volunteer to walk, to help, or simply for more information, please contact: Carol Gapinski (217-3198), or visit: [40daysforlife.com/green bay](http://40daysforlife.com/green bay).
---
**26th Week in Ordinary Time**
~The Most Holy Rosary is Recited Before Each Mass~ Sunday, Sept 29th—26th Sunday in Ordinary Time
**Sat 4pm** †Merrill Carpiaux
8:00 AM Members of Perpetual Adoration
10:00AM †Bernard Watzka, Sr.
12:30 PM Por los Vivos y Difuntos de Nuestra Parroquia
**Mon, Sep 30th—St. Jerome, Priest & Doctor** (7am Mass at St. Mary of the Angels—School building)
**Tues, October 1st—St. Therese of Lisieux, Virgin & Dctr**
8:00 AM—Ss. Peter & Paul Purgatorial Society
**Wed, Oct 2nd—The Holy Guardian Angels**
8:30 AM—Birthday Blessings for Angela Thorsen & Family (St. Thomas More School Mass)
6:30 PM—Rosario/Misa en Español
**Thur, Oct 3rd—Weekday in Ordinary Time**
8:00 AM—†Barbara DeNamur Lee
6:00pm Franciscan Transitus Service
**Fri, Oct 4th—St. Francis of Assisi, Friar & Deacon**
8:30AM—Living & Deceased Franciscan Friars of the 6 U.S. Franciscan Provinces
6:30 PM - Misa en Español—Fiesta de San Francisco
**Sat, Oct 5th—First Saturday**
8:30 AM—All Members of the World Apostolate of Fatima, U.S.A.
**4:00 PM Vigil Mass** — †Clara & †Lawrence Johnson
**Sunday, Oct 6th—27th Sunday in Ordinary Time**
8:00 AM †Deacon Michael & †Doris Vincent
10:00AM †James Lee Kellam
12:30 PM Por los Vivos y Difuntos de Nuestra Parroquia
---
**“UNPLANNED” Free Showing: 2 Dates**
The Pro-Life group at St. Norbert College, **Knights for Life**, is hosting Two FREE Showings of the movie, *Unplanned*, in Binder Hall on the St. Norbert College campus:
**Thursday, October 17th, 6:30pm-9:00pm**
&
**Saturday, October 19th, 6:30pm-9:00pm**
Admission is Free. Concessions will be available as a fundraiser for the “Knights For Life.”
RSVP With Number of Seats Needed, by visiting [http://kflunplanned.eventbrite.com/](http://kflunplanned.eventbrite.com/)
**More News & Updates**
**Wednesday Morning Mass—During School Year—at 8:30am**
**Picnic ‘Wrap Up’ Meeting, Tues., Oct. 1st, 2019, 6:30pm, Church Hall.**
See What’s In Store for Next Year. Everyone is Welcome!
---
**Sometimes, It’s Good to “Go Nuts”**
...Especially for a good cause!
The KCs will be selling these delicious, Honey-Roasted Mixed Nuts after Masses through the Fall. $4 for a 1 pound bag; a great deal!
The photo with this article was taken of one of these bags poured into a serving dish. If you don’t get any after Mass, you can always call Dan at 920.606.2218 to arrange to “Go Nuts” in support of this tasty effort!
---
**Pope Francis’ September Intention:**
*The Protection of the Oceans*
That politicians, scientists, and economists work together to protect the world’s seas and oceans.
---
On September 27th, the Church celebrated the feast of **St. Vincent de Paul**, who knew that “God had sent him to bring good news to the poor.” Because of your generosity, the members of the Society of St. Vincent de Paul continue to do his work and carry out his mission within our parish. In August, we were able to supply 14 families with beds, couches, dressers, dishes, silverware, pots and pans, and some bikes for the kids. We also brought these families welcome letters from Fr. Tony, asking them to join us in worship in our beautiful church. We have discovered bringing good news to the poor can be a very satisfying thing to do. Come join us. We could use your help!
*God Bless You!* ~Paul Novotny
---
**Youth Scholarship Opportunity**
A full scholarship is available to any student that would like to go to CYE (Catholic Youth Expeditions) on beautiful Kangaroo Lake, or anyone 16 years or older for a TEC (Teens Encounter Christ) Weekend.
The next TEC is October 25-27th. For more information on CYE, go to [http://cyexpeditions.org/](http://cyexpeditions.org/) for TEC go to [www.anchorofhopetec.org](http://www.anchorofhopetec.org). Apply to email@example.com or call 920-437-3183.
---
**Readings for the week of September 29, 2019**
| Sunday | Am: 6:1a, 4-7Ps 146:7, 8-9, 9-10 [1b] 1 Tm 6:11-16 Lk 16:19-31 |
|--------|------------------------------------------------------------------|
| Monday | Zec 8:1-8 Ps 102:16-18, 19-21, 29 and 22-23 [17] Lk 9:46-50 |
| Tuesday| Zec 8:20-23 Ps 87:1b-3, 4-5, 6 [9ab] Mt 18:1-5, 10 |
| Wednesday| Neh 2:1-8 Ps 137:1-2, 3, 4-5, 6 [9ab] Lk 9:51-56 |
| Thursday| Neh 8:1-4a, 5-6, 7b-12 Ps 19:8, 9, 10, 11 [9ab] Lk 10:1-12 |
| Friday | Bar 1:15-22 Ps 79:1b-2, 3, 5, 8, 9 [9] Lk 10:13-16 |
| Saturday| Bar 5:12, 27-29 Ps 69:33-35, 36-37 [34] Lk 10:17-24 |
| Next Sunday| Hb 12:5-7, 22-4 Ps 95:1-2, 6-7, 8-9 [8] 2 Tm 1:6-8, 13-14 Lk 17:5-10 |
---
**These Men they call Knights**
The Ss. Peter & Paul Council #10552 of the Knights of Columbus extends an invitation to all adult men of the parish to join the Knights of Columbus. We are a Catholic men’s fraternal and service organization.
We raise money to give it back to our parish, and to other Catholic ministries and charities. We need YOUR help. Put your faith into action: Join today! Call Dan at 920-606-2218.
---
**Senior Lunch!**
Here at Ss. Peter & Paul—Thursday, October 10th, 12 Noon in the parish hall. Hot Sandwiches, Potato, and Desert will be served. Please consider bringing a desert to share.
Michael Lee will share some information with us regarding the upcoming Fatima Rosary Rally.
Dear & Good People of God,
Happy St. Michael Day, and Happy Fall of 2019!
The days are growing shorter and the weather is getting cooler. Soon it will be time for the harvest.
As disciples of the Lord, we are called to assist in a special harvest. We hear Paul call Timothy today to "pursue righteousness, devotion, faith, love, patience, and gentleness." Wise words for us as well.
As we celebrate the Eucharist today, let us pursue these virtues so that what we harvest will be good and holy.
THE WORD TODAY
"Woe to the complacent," Amos preaches in the first reading. Israel faces certain defeat, yet the idle rich continue to indulge their every desire. They are the first to be sent into exile.
In the Gospel, the rich young man ignores poor lazarus outside his door, and so he suffers eternally in torment.
Let us take Abrahams's counsel and listen to Moses and the prophets, as well as to Jesus and the apostles, and hear the words that will lead us to the kingdom of God.
For Reflection This Week
Whom in our world, who is in need of assistance and compassion, do I fail to see? This week, will I take the time and make the effort to see God in their faces?
As Today is also the Feast of St. Michael & the Archangels, I ask you all to pray the St. Michael prayer with your families this week:
St. Michael, the Archangel, Defend us in Battle,
Be Our Safeguard Against the Wickedness
and Snares of the devil.
May God Rebuke him, We Humbly Pray,
And do Thou, O Prince of the Heavenly Host,
By the Power of God, Cast into hell,
Satan, and all other Evil Spirits,
Who Prowl About the World,
Seeking the Ruin of Souls.
Amen.
We start a New Month this week also!
Tuesday, October 1st. is the feast of St. Therese—The little Flower, Wednesday, October 2nd. is the feast of our Guardian Angels...
And, on Thursday, October 3rd, the Eve of St. Francis Day, at 6pm, join us for the Transitus or passing of St. Francis, here at Ss. Peter & Paul (in Church).
We are hosting the secular Franciscans and Franciscan Sisters and Friars for this bilingual service. Fellowship follows in the church hall.
First Friday, the 4th, is the Feast Day of St. Francis of Assisi: 8am confessions, followed by Benediction and devotions to the Two Hearts of Jesus and Mary.
And, on First Saturday, the 5th, we will have a special Blessing of Household Pets—in front of the rectory at 12:00 Noon, in honor of St. Francis and his love for nature and all creation, and his respect for all life on earth. Bring your pets! Pets need to be on leash, in cage or carrier, etc., as appropriate.
Liturgical Reminders:
Starting Sunday, October 6th, the 8:00am mass will be celebrated Ad Orientem during the Offertory and Consecration, and after Communion we will observe an extended time of sacred silence for our Communion thanksgiving.
I hope this small change will add more prayerfulness to the sacred action in our holy Masses everyday.
Our hope is that making small changes at all of our weekend and holy day Masses will reawaken our gratitude for the True and Real Presence of the Risen Christ in the Holy Eucharist.
In short, For Weekend Liturgies:
4pm Mass remains as is.
8am Mass (7:30am Confessions)
Celebrated Ad Orientem in English with Mass Parts (Sanctus, Agnus Dei, etc.) Sung in Latin as we have done often, Communion received on the tongue or in the hand, kneeling or standing, no cups offered.
10am Mass (9:30am Confessions) will remain the same as it has been lately, including the administration of Communion in both kinds; Host and Cups.
On Holy Days, Communion will be given under both kinds — So, Extraordinary Ministers of Holy Communion are asked to volunteer to administer Hosts and Cups.
The First Friday and First Saturday 8:30am Masses will be celebrated Ad Orientem, with Rosary and Confessions at 8am.
Peace & Blessings to You & Your Families!
~Fr. Tony
& Parish Staff
Los invitamos a participar en el Servicio DEL TRÁNSITO DE SAN FRANCISCO que honra con gozo la hora en que San Francisco dejó este mundo, el servicio se llevará a cabo en nuestra parroquia el jueves 3 de Octubre a las 6:00 pm. Seguido de un convivio.
El Viernes 4 de Octubre te invitamos a la Santa Misa Solemne con motivo de la Fiesta de San Francisco empezarémos a las 6:00 y después tendremos una convivencia ven y acompañanios.
Confirmación Adultos
Si eres mayor de 18 años y estas interesado en recibir el Sacramento de la Confirmación las clases darán comienzo en el mes de Noviembre favor de comunicarte con la Hermana Martha para una entrevista y registrarte.
Rosario por la Paz
El Apostolado Mundial de Fátima-Ejército Azul, de la diócesis de Green Bay, te invita este 13 de Octubre a las 3:00pm a rezar el rosario en procesión con velas, tendremos exposición y bendición con el Santísimo, Y terminaremos con un convivio.
Recordemos que la virgen prometió que aquellos que recen con enorme fe el Rosario recibirán gracias especiales.
40 días por la vida se llevara a cabo desde el 25 de Septiembre hasta el 3 de noviembre.
Usted está invitado a participar pacíficamente durante los 40 días de vigilia de oración y ayuno para terminar con el aborto.
A nuestra Parroquia nos toca caminar todos los lunes a las 9:00 am a 10:00am.
Para obtener más información llame a la oficina o hable con la señora María Timco.
Las lecturas de la semana del 29 de septiembre de 2019
Domingo: Am 6, 1-4;7-Sal 146, 7. 8-9. 9-10 [1] [1] Tm 6, 11-16 Lc 16, 19-31
Lunes: Zac 1, 1-8 Sal 102, 16-18 19-21 29y 22-23 [17] Lc 9, 46-50
Martes: Zac 8, 20-23 Sal 87, 1-3. 4-5. 6-7 [Zac 8, 23] Lc 9, 51-56
Miércoles: Neh 2, 1-8 Sal 177, 1-2 3. 4-5. 6 [6] Mc 18, 1-5. 10
Jueves: Nah 8, 1-4. 5-6 7-12 Sal 19, 8. 9. 10. 11 [9] Lc 10, 1-12
Viernes: Bar 1, 15-22 Sal 79, 1-2 3-5. 8 9 [9] Lc 10, 13-16
Sábado: Bar 4, 5-12 27-28 Sal 69, 33-35 36-37 [54] Lc 10, 17-24
Domingo siguiente: Hab 1, 2-3; 2, 2-4 Sal 95, 1-2. 6-7. 8-9 [8] 2 Tim 1, 6-8. 13-14 Lc 17, 5-10
¡Feliz día de San Miguel y feliz temporada de otoño de 2019!
Los días son cada vez más cortos y el clima se está enfriando. Pronto será hora de la cosecha.
Como discípulos del Señor, estamos llamados a ayudar en una cosecha especial. Oímos a Pablo llamar a Timoteo hoy para "buscar la justicia, la devoción, la fe, el amor, la paciencia y la gentileza". ¡Estas son palabras sabias para nosotros también!
Mientras celebramos la Eucaristía hoy, persigamos estas virtudes para que lo que cosechamos sea bueno y santo.
La palabra habla ~ ¿Estamos escuchando?
"Ay de los complacientes!" Amós predica en la primera lectura. Israel se enfrenta a una derrota segura, pero los ricos ociosos siguen cumpliendo todos sus deseos. Son los primeros en ser enviados al exilio.
En el Evangelio, el joven rico ignora al pobre Lázaro fuera de su puerta, y por eso sufre eternamente el tormento.
Tomemos el consejo de Abrahams y escuchemos a Moisés y a los profetas, así como a Jesús y los apóstoles, y escuchemos las palabras que nos llevarán al reino de Dios.
Preguntas Para la Semana:
¿A quién en nuestro mundo que necesita ayuda y compasión, no lo veo?
Esta semana, ¿me tomaré el tiempo y haré el esfuerzo de ver a Dios en sus caras?
El jueves 3 de octubre, la víspera del día de San Francisco, a las 6pm, únete a nosotros para el Tansitus o el paso de San Francisco. Este será un servicio bilingüe, con refrigerios para seguir en nuestro salón parroquial.
~ Paz, bendiciones,
Padre Tony
y el personal de tu parroquia
**Sunday Brunch**
**MacKenna's Restaurant**
Kevin & Pat Quinn
406-8000
143 / East Mason
**CLIFF YOUNG**
Electrical Contractors LLC
RESIDENTIAL, COMMERCIAL & INDUSTRIAL
Ken Young - Owner
469-0111 Parish Member
**Riverside Ballroom**
920-132-5518
1560 Main St., Green Bay, WI 54302
Ken Hilsli & Keny Tedford
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MEDICAL ALERT SYSTEM
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BILLED QUARTERLY
CALL NOW: 1.877.801.7772
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**DOROTHY'S CUSTOM SEWING AND ALTERATIONS**
Hersel & Dorothy Danbeck
Owner & Parish Member
520 Greene Ave. (Corner of Libal & Greene)
(920) 435-4111
**GREEN BAY LASS, INC**
3011 Crawford Ave., Green Bay, WI
920-461-8410 Toll 800-461-8410 Fax
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email@example.com • www.showwest.com
**DOROTHY'S CUSTOM SEWING AND ALTERATIONS**
Hersel & Dorothy Danbeck
Owner & Parish Member
520 Greene Ave. (Corner of Libal & Greene)
(920) 435-4111
**EYE CARE PROFESSIONALS**
Dr. Lynn Carli and Dr. John Knuth
538 South Monroe St.
Contact Exams, Glasses, Frames and Lenses. Repair and Adjustments.
Contact Lenses Cleared & Priced with you out.
**MALCORE FUNERAL HOME**
Dan Malcore
Parish Member
701 North Baird St.
Green Bay
432-5579
**FOREST CONSTRUCTION INC.**
920-845-2302
Specializing in mini/maxi storage building solutions.
www.forestbuildings.com
**MARICQUE'S**
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Sheet Metal – Roofing
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Save up to $1,000 and give your family peace of mind by prepaying.
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**Stairchairs Wheelchair Lifts Dumbwaiters Residential & Commercial Elevators Safety Tests – Repairs – Maintenance**
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|
India’s copper demand continues to be robust in the coming years
Rohit Pathak
CEO, Birla Copper (Hindalco Industries Limited)
President – IEEMA, President – IPCPA and Director – FAI
RAA Channelizing for Sustainable Recycling in Africa
Strengthening macroeconomic stability is a cornerstone of the Union Budget 2023-24
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Dear Readers,
I had said in my last piece that the Indian metals industry has learnt to survive and grow despite of Ukraine - Russia war and overall recessionary trend in many parts of the world. This is mainly because of the growing consumption in the country and less dependency of overseas trade. India’s GDP growth rate is the highest among the large economies and all the major international monetary agencies have predicted a decent GDP growth rate of more than 6% for the fiscal 2023-24. This means that Indian economy would grow faster than China, the US and also the other major countries having large sized economy.
Recently the union finance budget was announced by the Indian Finance Minister Nirmala Sitaraman. It has more than 30% more outlay for infrastructure development, a big provision for the development of Railways and also schemes for MSME sector. It was very well received by the industry. The metallurgical fraternity thought that the enhanced outlay for the infrastructure and development of railways is sure to translate into huge metals demand. This will not only ensure a sustained growth for metals producing companies but also create jobs, direct as well as indirect. Further, the development of railways, apart from creating metals demand, also includes its modernization program. We can expect a more efficient and modern railway service in coming years. MSME is supposed to be the backbone of any economy. The budget promises to strengthen this crucial sector and improve its bottomline and viability. We all know that MSME is the biggest job creator in any economy and if it is healthy and growing, it can give a big boost to the economy wheel. Also a lot of fund has been allotted to logistics development. This will also directly benefit metallurgical sector as the logistics plays a very important and major role in this industry process chain. To produce a tonne of metal, several tonnes of raw materials have to be moved. Thus the total transport requirement per tonne of metal is huge. Thus it is natural that all the major trade bodies and also the major steel business houses have wholeheartedly welcomed this union budget.
Overall, the fortune seems to be favouring Indian economy and also Indian metals sector. Here I would again like to mention that infrastructure development occupies majority of space in any economy’s growth and the metallurgical sector is at the centre of the infrastructure development. Thus ‘India’s Growth Story’ can not be completed or fully achieved without a strong support from metals industry. So friends, it is time to work hard and achieve a sustainable growth, for ourselves and also for the country!
Write your comments: https://metalworlddac.wordpress.com
Face to Face
India’s copper demand continues to be robust in the coming years
Rohit Pathak
CEO, Birla Copper (Hindalco Industries Limited)
President – IEEMA, President – IPCPA and Director – FAI
News Update
US to impose 200% tariff on aluminium from Russia
Mini Cooper SE Convertible wheels made entirely from recycled aluminum
On January 19, the board of HZL approved the acquisition of zinc assets of THL Zinc Ventures, a subsidiary of Vedanta Ltd.
How Vedanta’s weak semiconductor proposal has emerged as a promising one
Is Vedanta’s Sterlite Copper plant in Tamil Nadu set for reopening?
Adani’s Mundra Aluminium - preferred bidder for the Kutrumlali bauxite block
China's zinc and lead exports plug Western supply gaps
Feature
Strengthening macroeconomic stability is a cornerstone of the Union Budget 2023-24
Industry Update
11th Asian Metallurgy Emerging Trends in Indian Automobile Industry
Analysis
Global demand of Lead & Zinc
Statistics
Two-wheeler sales not matching pace of PVs, three-wheelers: SIAM
Disclaimer:
The views and opinions expressed in the articles are solely of the authors. The Editor may not subscribe to these.
Feedback:
Your feedback / suggestions regarding the content will be appreciated
firstname.lastname@example.org
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LEADING INNOVATION IN SPECTROSCOPY
India's copper demand continues to be robust in the coming years
Rohit Pathak
CEO, Birla Copper (Hindalco Industries Limited)
President – IEEMA, President – IPCPA and Director – FAI
“I believe India will be one of the key demand drivers for copper over the next few decades. As India becomes the driver of the global economic growth and accelerates its Net Zero journey, our requirement will grow 4-5x by 2050”
Rohit Pathak,
CEO, Birla Copper (Hindalco Industries Limited)
Pathak is the President of IEEMA, President – IPCPA and Director – FAI. From 2021 onwards, he has been appointed as the CEO of Birla Copper, the largest Copper player in India and globally for Copper Rods (outside China). This is the Copper business of Hindalco Industries Limited, a flagship company of the Aditya Birla Group. Am also on the Board of Birla Copper Asoj Pvt Limited.
● 2019 Onwards – On the National Executive Council of IEEMA (the industry association of the electrical equipment industry in India) as a director since 2019 and the President of the Association for the year 2022-23. Am also the President of the Indian Primary Copper Producers Association(IPCPA) since 2022 and a Director of the Fertilizer Association of India (FAI) since 2021
● 2019-2021 – Appointed first CEO of Aditya Birla Power Composites Limited, a JV of Grasim Industries Limited with Maschinen fabrik Reinhausen of Germany for Composite Hollow Core Insulators. This was in addition to the role of CEO of Aditya Birla Insulators. Was also on the Board of ABPCL
● 2016-2021 – President & CEO of Aditya Birla Insulators (largest Insulator player in India and 3rd largest porcelain player globally), where he is leading the transformation of ABI into an International business and diversification into Composites. ABI recently completed 50 years in the Insulator industry, and offers the complete range of insulators across voltages, applications and materials
● 2011-2016 – Principal EA to Aditya Birla Group Chairman, Mr. Kumar Mangalam Birla, helping manage all the Businesses of the $60+ billion Aditya Birla Group. Advised Mr Birla on key priorities(such as M&A, organic growth, special
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Dnanesh Chandekar, Editor & CEO, Metalworld had an exclusive interaction with Rohit Pathak, CEO, Birla Copper (Hindalco Industries Ltd.) to understand more on copper demand, expectation from the policy makers etc.
**Excerpts:**
*How is the status of Copper Business in the country?*
India has seen a strong revival in copper demand over the past year, and demand has reached back to the pre-covid levels in FY23. Almost all segments, from housing wires to winding wires to railways have seen good growth. The positive part is that domestic players, especially Hindalco, has been able to ensure this increase in demand is mostly met by us. While India remains a net importer, we have been able to increase our production to serve our customers. What I feel very proud of over the past year is that given the disrupted global supply chains, we were able to ensure our customers did not suffer any shortage of copper for their productions. We continue to serve most of our customers for their copper requirements within 24 hours across the length and breadth of the country. Overall, I believe, the copper demand in the country is robust and will see a sharp increase in the coming years. And we will bolster our capacity to serve the same, not just of copper rods but also of specialty alloys that will be needed as India develops.
*How do you see the future of Copper Business, globally & in India?*
Copper is the metal of the 21st Century. Electricity will become the main source of energy the world over, doubling its relative share to ~50% of global energy demand over the coming couple of decades. Renewables and mobility, which will see rapid growth as the world pushes for Net Zero, will increase the copper intensity 2-4x in electricity generation and mobility. Further, the “digital” component in our lives will continue to grow exponentially. Efforts on Energy Efficiency will gather momentum at the same time, which will ensure the growth is less resource intensive that what it has been over the past few decades. Overall, with these mega trends of Electrification of the economy, Urbanization, Digitalization and Green Energy, copper demand will more than double by 2050.
This will require three interventions from the supply side – i) investment in opening new copper mines (that has slowed down once again after a brief impetus of late), ii) new custom smelter capacities to come up (China, which had put up >90% of the new smelter capacity over the past 2 decades will not be able to sustain that momentum), and iii) formal recycling industry to gain momentum to cater to demand of high purity copper for electrical applications (instead of the “remelting” that is far more prevalent as of now).
*As Copper producing industry, what support you need from policy makers?*
I believe India will be one of the major drivers for Copper demand growth over the next few decades. As India becomes the driver of the global economic growth and accelerates its Net Zero journey, our requirement will grow 4-5x by 2050.
To cater to this demand, we need to ensure we create the smelting & refining capacity in India to remain self-sufficient for copper. There are two reasons for this – i) India does not have enough mineral resources of copper and hence we need to ensure the smelting capacity is at least developed in India, ii) no other country, other than China, will have sufficient smelting capacity to meet the 4-5 Mn Tons demand of India – so unless we build the smelters, we will be increasingly dependent on China.
To encourage this, the policy makers need to create a level playing field for the copper smelting industry and remove the inverted duty structure for
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the metal where the raw material for smelting, copper concentrate, comes in at 2.5% duty but copper cathodes and rods are coming in at 0% from FTA countries.
Apart from this, the other initiative which the policymakers are working on, but could be accelerated, is to push for the “formalization” of the copper recycling industry – as shared earlier, most of the copper scrap gets remelted today and this impure copper finds its way into electrical applications creating safety risks and quality concerns, apart from the GST loss for the nation. In a nutshell, I believe, there are two specific interventions that are needed to ensure India is self-sufficient for Copper – i) removal of the 2.5% import duty on Copper Concentrate to address the inverted duty and encourage smelting capacity creation, and ii) creating a formal copper scrap recycling sector with strong standards for copper processing and plugging the GST evasion by the informal sector.
What new initiatives are being taken at Hindalco in copper production & processing?
Well, in-line with the growing demand for copper, Hindalco is working on three broad areas – i) developing new products that will be needed to serve the domestic demand such as specialty alloys for railways, inner groove tubes for A/Cs and copper foils, ii) setting up a state-of-the-art recycling facility for copper scrap to fulfil the demand for high purity copper, and iii) evaluating smelting capacity addition if the policy support is provided for access to copper concentrate. As the leading Copper player of India, and in the world, we remain committed to ensuring that India remains self-sufficient for its growing copper demand.
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Introduction
The Recycling Association of African has seen significant growth since its inception in 2021, and maintaining a promising outlook for the future. The need for sustainable waste management practices has become increasingly important, and African countries are slowly recognizing the potential benefits of a thriving recycling industry.
Africa is the world’s second largest continent with an area of about 30,000,000 square kilometers and a growing population of more than 1.2 billion and with an estimated GDP of 5.5 trillion US-Dollar, the continent is an economic area with rising importance.
At RAA, we are working to correct the negative rhetoric that has tarnished Africa. From being a needy continent for human aid and a lack of resources to being one of the most potential natural and human resource centric continents.
The current state of the African recycling industry is one of growth and potential. According to the World Bank, the recycling industry in Africa has seen a yearly growth rate of between 6% and 8% in recent years. This growth is due in part to the increasing recognition of the environmental and economic benefits of recycling. The increasing urbanization of African countries has also led to a rise in the amount of waste generated, which has created a larger market for the recycling industry to serve.
However, Africa has to face development challenges, as the urban population is increasing at a rate of 3.5 percent per annum. One aspect is the waste management, which is driven not only by population growth but also by changing consumption habits, production patterns and global waste trade.
Africa currently recycles only 4 percent of its waste, and it needs harnessing waste as a resource – unlocking socio-economic opportunities by moving waste up the management hierarchy, away from disposal and towards prevention, reuse, recovery and recycling.
Across Africa, recycling is emerging as a viable enterprise, driven more by unemployment and socio-economic need than by public or private sector design.
The promising image and challenges of African recycling industry:
The future outlook of the African recycling industry is promising, as there is a growing demand for recycled materials, particularly in the construction and manufacturing sectors. In addition, the rising awareness of environmental issues and the need for sustainable waste management practices is expected to continue to drive growth in the industry. This trend is also expected to continue as African countries continue to urbanize and their populations continue to grow.
However, despite the positive
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outlook for the African recycling industry, there are several challenges that need to be addressed in order for it to reach its full potential. One of the biggest challenges is the lack of proper waste management infrastructure in many African countries. This makes it difficult for recyclers to properly collect, sort, and process waste materials. This in turn makes it more difficult for the industry to function efficiently and effectively, and also has a negative impact on the environment. Another challenge facing the African recycling industry is the lack of investment in the sector. Many African countries lack the funds needed to invest in the necessary infrastructure and equipment for a thriving recycling industry. This makes it difficult for the industry to grow and compete with other sectors. In addition, the lack of investment also makes it difficult for the industry to attract the necessary talent and expertise to run a successful business. The lack of proper regulations and policies is also a challenge for the African recycling industry. Many African countries lack the proper legal frameworks to support and encourage the growth of the recycling industry. This makes it difficult for the industry to operate efficiently and effectively, and also creates a disincentive for investment in the sector. Likewise, the low level of public awareness about recycling is also a challenge for the African recycling industry. Many African citizens are not aware of the importance of recycling and the benefits it provides. This makes it difficult for the industry to grow and compete with other sectors. In addition, the lack of public awareness also makes it difficult for the industry to attract investment, as many investors are hesitant to invest in sectors that are not well-understood by the public.
Vision of RAA for African Recycling Industry
Though recycling is a billion-dollar industry, many governments across Africa have not yet tapped into its potential. Across the continent, only South Africa has made significant strides to recycle, and this is where Recycling Association of Africa will be channelizing the recycling industry in Africa. The Recycling Association of Africa (RAA) is a non-profit organization dedicated to promoting sustainable waste management practices in Africa. RAA has been promoting recycling from its inception in 2021 having a strong membership from the African continent (of the 251 registered members – out of which 210 are African based companies) with the vision of transforming the recycling industry in Africa into a thriving and environmentally responsible sector that can provide economic and social benefits to the communities. One of the key contributions of the RAA is promoting awareness about the importance of recycling and waste management in Africa through conferences, networking and education.
On 15th March 2023 RAA – MRC Conference in Dubai, will explore the African recycling industry which will provide the gateway to connect business opportunities in Africa. The event will pave way to see the larger side of recycling industry of Africa where high-ranking diplomats and stakeholders from Africa will be part of the conference. (Why choose Dubai - Dubai provides a dynamic business event offering – made up of global connectivity; the city is strategically connected place both logistically and trading as most of the African and Middle East recycling industry are closely trading across the
region). RAA is working towards to build close synergy with waste management companies, NGOs, and other stakeholders to improve the recycling industry in Africa. RAA has a clear vision of building the connectivity with local governments, businesses, and communities to educate people about the benefits of recycling, as well as the importance of reducing waste in order to protect the environment and advocating for preservation of natural resources and utilizing urban mines before having to utilize underground mines.
The long-term vision of the Recycling Association of Africa is to create a sustainable and thriving recycling industry in Africa that provides economic and social benefits to communities while also protecting the environment. RAA takes pride in promoting sound recycling practices throughout Africa as well as supporting the African economy in building bridges throughout the Middle East, Europe and around the globe. To learn more about RAA, don’t miss participating at the inaugural conference in Dubai at the Ritz Carlton hotel by checking out our website www.raafrica.org and make your registration at your earliest.
Mumbai Chapter organised 1st HR Conclave on Saturday, the 21\textsuperscript{st} January 2023, at Hotel Holiday Inn, Anehri (E). The Theme was: “Innovating Future Human Resource Practices – A step towards achieving Global Leadership”.
The Conclave was inaugurated by Chief Guest, Mr. Martin Kitching, CEO – Learn N Work, UK. Key Note Speaker, BK Sister Shivani, Senior Rajyoga Teacher, Mr. Satish Kalokhe, President-Emeritus, QCFI, Mr. D.K. Srivastava, Executive Director, QCFI and CA Vijay Bapna, Immediate Past President Mahaveer International graced the function.
Mr. K.B. Bharati, Chairman, Mumbai Chapter & Vice President, QCFI welcomed the dignitaries on the dais, with bouquets and shawls and delivered welcome address.
The welcome speech was followed by release of a Souvenir at the hands of Chief Guest. Two QC Teams – Trishul& Swaraj from RCF Mumbai were felicitated at the hands of Chief Guest for their 25 and 33 years uninterrupted journey in the QC Movement. Three organisations 1. NVM Engg Private Ltd, 2. AsteeLife science Ltd, Mahad& 3. Exide Industries Ltd, were conferred with HR Excellence Awards.
All the Dignitaries delivered most knowledgeable and motivating speeches.
Mr. D.K. Srivastava talked about formation QCFI as a National Body in 1982 and explained its objectives. He also presented various activities, training programs, certification programs and its connection with JUSE (Union of Japanese Scientists & Engineers). Mr. Satish Kalokhe congratulated Mumbai Chapter for organising HR Conclave under leadership of Mr. K.B. Bharati. He said the HR function has become very important in the present business scenario.
Mr. Sapan Bardhan Convenor of the HR Conclave delivered his views about the Conclave and explained Day’s Program.
BK Sister Shivani’s address to the audience was based on the “Self Care for Empathetic Leadership”. She called for creating transformation and change in self. She also guided the audience how to lead life without stress.
Mr. Martin Kitching shared his organisational functioning, products and services, new Intelligent Resource Management System, across the Globe. He said QCFI has done an extremely excellent work in the area of Quality Improvement. At the end, he quoted Richard Branson in his speech to “Take care of your employees and they will take care of your business”.
Afternoon sessions consisted of presentations by the speakers and panel discussions. The audience responded well in the question & answer session with thunderous applause. Mr. Bardhan and Mr. Potdar managed the afternoon sessions with professional approach and human touch. Mr. Deepak Redgaonkar compered the day’s proceedings with professional order and quotes. Panel discussion was conducted by Mr. Sapankumar Bardhan. Panelists were Mr. Ajay Agrwal, Global Product Application Specialists – Auto, Tech, Shell India Markets Pvt. Ltd., Mr. DyaneshChandekar from Metal & Steel World and Mr. Siraz Henry – CEO – Goldplay OTT. They all shared their thoughts on “Roles in achieving Global Leadership”.
Mr. S. S. Patankar, Vice Chairman, QCFI Mumbai delivered vote of thanks to all the Speakers, Panellists, Governing Council Members for their support, and Mumbai Chapter’s Office Staff.
Strengthening macroeconomic stability has been a cornerstone of the Modi government’s economic policymaking. And, this has been a key factor in catapulting India’s economic fortunes. Budget 2023-24, too, passes the macroeconomic ‘pariksha’ with flying colors. The finance minister has once again done a stellar job of supporting growth whilst maintaining fiscal pragmatism. That too, at a time when most advanced economies are wrestling with recessionary conditions.
The government’s move to boost capital spending by more than a third, to Rs 10 trillion will ensure the growth juggernaut remains unstoppable. At 3.3 percent of the gross domestic product, the capex outlay is almost 3 times the 2019 levels. We are truly in the midst of a ‘capex mahoosive’. The sustained thrust on government capex lays the foundation for future growth and employment. In the near term, it should crowd in private investment.
The government has identified 100 critical infrastructure projects for last and first-mile connectivity at an investment of Rs 75,000 crore. In addition, there is a plan to add 50 airports, heliports, and aerodromes. The government has announced this increased expenditure program without compromising the credibility of the fiscal deficit. The target of 5.9 percent for the 2023-24 financial year (FY24) appears realistic. The finance minister’s commitment of pulling back deficit targets to the long-term desired path is also encouraging. The government has wisely renewed its focus on keeping a tight rein on its finances and sticking to the path of fiscal consolidation. This is probably the best course of action in the current troubled global environment. Let us not forget the situation in much of the developed and developing world today. Currencies in some countries have collapsed due to sky-high inflation, and jittery bond markets have reacted by sending interest rates higher. Debt has piled up so high, even in some developed countries, that higher rates are likely to make interest payments a massive burden. Much of this has been caused by high government spending, leading to inflation. Fortunately, in India, the
government was wise and prudent in spending during the Covid-19 years and did not give in to demands for large fiscal giveaways. India, too, had to wrestle with high inflation but those pressures have been contained to a large extent on the back of deft and tactful handling by the Reserve Bank of India. This prudent course has enabled the government in this Budget to wisely propose meaningful spending measures and tax sops — infrastructure, railways, and rural credit being prime examples. The government’s track record on infrastructure creation has so far been excellent with a number of roads, highways, expressways, and urban metro lines being built at record speed. It is possible to imagine that large parts of the country would have overcome the infrastructure deficit a few years later, with citizens enjoying a much better quality of life. Meaningful and measured tax sops have also been granted in the Budget. The government has kept in mind the middle class and the tax-paying citizenry whose vast economic contribution, especially during and after the pandemic, helped buoy economic growth. The sops announced — including a reduction in slabs and an increase in exemption limit — will help hard-pressed households weather the inflationary storm better. It will also boost consumption, a key pillar of our economic growth. Overall, Budget 2023-24 is bold and imaginative in its scope and yet realistic in its assumptions. It will protect growth in the near term and more importantly, lay the foundation for a glorious Amrit Kaal.
Pratik Agarwal,
Managing Director, Sterlite Power -
“The budget has laid down a promising path for the nation’s green growth, clearly identified as one of the seven pillars, with a sizable outlay of Rs 35,000 crore. India is among the few developing countries focusing on green growth in addition to meeting the basic needs of power for the masses. The finance minister has taken proactive steps to promote battery storage and pumped storage projects to ensure stable and round-the-clock supplies from renewable resources like solar and wind power. Focus on discoms is key to achieving any real progress in the power sector, commend the measure of tying 0.5% of the state deficit to power sector reforms. This is an added incentive for the states to reform the DISCOMs. However, along with this, a major incentive and disincentive package for the discom would prove beneficial. Overall, the budget has pushed all the right buttons and is well in line with the macroeconomic goals of the country.”
L.Pugazhenthy,
Past President, The Indian Institute of Metals -
The recently presented Union Budget 2023 (which some called it is a pre-election budget) is actually a well-balanced budget for giving a big infra push in India & to make India a Rs. 7 Trillion Economy by 2030. Let us all hope that the thrust and flow of funds will continue in the coming years to realize these cherished objectives. Capital expenditure, 33% up, amounting to Rs.10 Lakh Crores has been earmarked for boosting demand for steel, nonferrous metals, cement etc. Highways will receive Rs.2.7 Lakh Crores, 25% more. For modernization & upgradation, Railways has been allocated Rs.2.4 Lakh Crores. Transition to Green Energy gets Rs.5000 Crores. For telecom expansion, Rs.1.2 Lakh Crores have been allocated. Housing for poor, Awas Yojana, will receive Rs.79000 Crores, 66% up. Drinking water for all, Jal Jeevan Mission, has been allocated Rs.70000 Crores. Rs.16000 Crores for Urban
Rejuvenation Mission. Natural farming will benefit from Green Hydrogen. Surprisingly funds for Rural employment, MGNRES, slashed by 33% to Rs.6000 Crores. Disinvestment target Rs.51000 Crores. For better Regional Connectivity, 50 additional airports and heliports will be created. A fund for Credit Guarantee for MSMEs has been created. It is likely that cars and EVs will get a demand boost. For the FAME II scheme, there is a higher allocation of funds. Duty-free Lithium cells have been announced. For 5G services, 100 Labs will be established. To guide investors in infrastructure, an Infra Finance Secretariat will be established.
The Budget has also announced schemes for taxpayers, senior citizens, women, etc. On the whole it is a well-conceived budget and one only hopes that it will propel India to the next level of excellence.
Arun Misra,
CEO, Hindustan Zinc -
"The green-growth oriented Budget 2023 reflects the resilience and a high probability of emerging as a USD 5 trillion economy while keeping net zero and Sustainable Development Goals (SDG) commitment at the core. The importance of green technology, green farming, green equipment, and allied green services in the budget will propel India's journey to net zero by 2070. With the focus on the "Green Growth" strategy, the demand for zinc as a metal of sustainability will rise given its varied applications. Overall, this budget can actualize the vision of Lifestyle for Environment and take it to the masses, positioning India to inspire the world with a roadmap of how a large developing economy can be resource and carbon efficient. With the rise in demand of galvanized steel in infrastructure projects for first & last-mile connectivity the demand for zinc is likely to rise as a consequence. India is on the verge of a clean energy shift which will propel the demand of metal for achieving the sustainability vision."
Anil Agarwal,
Chairman, Vedanta -
"This Budget is one of the best budgets ever, truly inclusive, and addresses the aspirations of every section of society. It empowers India's 1.4 billion people as drivers of the India story. I compliment the PM and FM for the long-term vision that was laid out in the Budget speech as well as the many progressive announcements, like increased outlay for capital expenditure, incentives for the start-ups and MSMEs, green energy, a lower tax for the middle class and boost to tourism which will create massive jobs and reinforce India's position as the fastest growing major economy in the world."
Dr. Rahul Sharma – Director (India), International Zinc Association.
Indian Railways is the largest consumer of steel in India.
Now, the railway budget has been clouded with Union budget. We are looking forward to budget allocation for the modernization of railway tracks. So, theoretically speaking, rails should give a service life of 12 years, but because of corrosion, Indian railways have to change rails within 3-4 years, which is again us lost to the exchequer internationals incrustation has proposed to Indian railways to start using zinc thermal spray drills for railway tracks, which will not only give 12 years of service life but will also ensure the safety of passengers."
Auto industry is such a strategically positioned industry that it appeals to the consumers who purchase automobile or steel industry which supplies steel to automobiles & many other metal parts which are used in automobile are supplied by metallurgical industry & so we have chose this subject Emerging Trends in Automobile Industry.
Udayan Pathak (Chairman, ASM International Pune Chapter) – Ms Jambhale what are the requirements in terms of the regulations & policies in the next 10 years & how materials & metallurgy can be a kind of crucial role for the success or failure?
Ms Medha Jambhale (Dy. Director ARAI) – In last 100 years, automobile has evolved & become more faster & sophisticated. This era is more exciting as well as promising for all of us. In recent years we have seen changes as electrification, autonomous driving, even the flying cars which are completely different from the traditional cars & there is a shift in using the automobiles. Let us understand some transformation that we will be witnessing in the next decade the first transformation that I clearly see is Intelligent Automobile while we are driving, the cars are becoming more smarter when they are connected to the internet like any normal gadget now vehicles are getting connected to the internet & they are giving predictions to a driver so vehicles are really becoming smarter, they can even monitor our eyes. Second transformation that we are looking at is autonomous cars, we will definitely be self-driving automobiles. There are some challenges in terms of legislation, infrastructure, societal readiness & acceptance towards this to some extent. A survey says that we can definitely reduce accidents to more than 90% if we go and adopt different features as autonomous car or autonomous vehicle. Next thing that we can see is an integrated vehicle, so these vehicles are getting connected to smart cities this a value added advantage that we will be getting in the next decade. One side cities are becoming smarter, we are seeing huge changes in the public transport, the road & the infrastructure can be seen on one screen. The safety & the future is going to be improved so this is the third trend that we are looking at, as integrated vehicle with smart cities. Fourth trend we are looking at is mobility as a service trend, so the utility is definitely going to increase, it is going to bring different economy trends in the market. One more trend that is going to be there is the alternate power resources i.e. electrification. Last trend is manufacturing trend, it is considered that the manufacturing plants are going to change so presently there are huge manufacturing plants & mega factories which are being established they are having different automations for safety, quality, industry 4.0. The mobility case is little different for India, C stands not only for connected but also comfort, A stands not only for autonomous but also affordable, S stands not only for shared but also for sustainable & E stands for not only electrical but also for environment-friendly vehicles. I feel the targets are going to be changing so how to reduce the weight? Should we optimize design or should we use alternate material? What is the right material & developing right material in right time is
going to be a continuous challenge in future. These challenges need to be really answered very critically & carefully so material is going to play a crucial role, without material we cannot do anything. Light weight materials like highly advanced steels, high strain steel, aluminium, magnesium these are the metals which are taking place into these automobiles. Composition is another area which is going to be there in the market so both particle field composites, fiber reinforced composites are being used similarly Carbon-fiber-reinforced polymers (CFRP) also will be a crucial material that will be used even if it is having some higher cost it is definitely going to be used so these new material also will add some manufacturing processes. There are two trends that I am looking at, one is alternate material design by ICME approach that’s Integrated Computational Material Engineering so all the materials that we are developing today & will be developing tomorrow also that will be through ICME approach second trend that we are looking at is the material car development. In ARAI, we are working on both these technologies so Integrated Computational Material Engineering where we could simulate the material starting from micro level that is atomic level to macro level. Second is the material car development, here also ARAI has done considerable progress. So what we have to remember in short is that the change is the only thing that is going to be constant.
Udayan Pathak – Senthil tell us about the challenges, the crucial role of metallurgy whether it is ferrous or material engineering.
Senthilkumaran Varatharajan (Head, Materials Technology, Mahindra & Mahindra) - When you look at the current scenario, automotive manufacturers has become more like integrators but the challenge is how to be integrated but at the same time keep the DNA of the particular brand intact. For example Mahindra which is more like an authentic SUV even though the constituents & the vendors are the same how do we put together a product that will still be the DNA of the product or the brand so this is important. But the most important thing in the current scenario is the time we take to bring a new product so gone are those days when we use to have one model & it used to run for 10-15 years being the backbone of the revenue nowadays the lifecycle of product is shrinking. If we look at the three things that is defining today's automotive industry it is multi-material, multi-model & multi-market. If we look at the new trend of electrification also we have to meet the safety requirements so we have to use aluminium in the structure we have to use structural composites long fiber, short fiber composites, polymer composites in the automotive front-end so multi material is a important thing. Multi-model that means we need to be very fast in adoption that means it also has a linkage to industry 4.0. The last one is Multi-market many of the Indian OEM's particularly because of the difference in the emission & norms between us & other markets we were not able to do a kind of pan gold export but now because of electrification this particular thing is going to take a big change so that means we need to be ready for multi-market when I say Multi-market there are a lot of material regulation. Sustainability is one of the very prominent point even if we want to attract the investors in any space whether it is an electric vehicle or in a conventional thing the investors first look at what is the robust process. A lot of impetus is going into the coating, surface protection, painting processes, corrosion protection. Mahindra is really looking at a group level. We are very conscious about the materials & process selection the kind of equipments we put in our manufacturing facility. The entire industry is moving towards zero emission & zero carbon footprint.
Udayan Pathak- Thankyou
Senthil one of the point which you really pointed out is that product life cycle is shrinking day by day & the product development time is reducing so from 10 years probably it has come down to 36 months out of which 18 months are going to be the digital arena & 18 months are going to be the physical arena which includes the manufacturing component. So there the role of suppliers becomes very crucial role so lets go to Rahul Khajure from Volvo, so Volvo itself has set up a benchmark for passenger safety in the Indian markets & with that background Rahul is going to talk about the supplier quality.
Rahul Khajure (Lead Supplier, Volvo Group) - If we see on the bird’s eye view everything is connected to sustainability. India has signed the Paris agreement to be a carbon neutral by 2070 so that is a target it means a lot of work has to be done in that direction its not an easy task Mahindra, Volvo has a target to be carbon neutral by 2040 we need support from our supply partners. One of the important policy as a country level which Indian government has taken is voluntary vehicle scrap policy, starting from next year onwards so this is one of the key policy now we have challenges how to reduce the emission. Based on recent survey there are more than 1 crore end of life vehicle available in market having age more than 15 years so that means potential vehicles have to be scraped. Imagine 1 crore vehicle has to be scrapped in 5 years what is the market potential? In terms of year on year growth for the automobile sector, so as projection there will be 15% growth in the automobile industry which is enormous by considering the current situation of recession, supply chain constraint & the war situation globally. There will be increase in demand inspite of difficult situation. There are only 2 important aspects which all our supply partners need to be capable and that is to have a sustainable manufacturing process & second is to be equipped with industry 4.0 solution like digitalization, automation & so on. First sustainable manufacturing process I think hardly people have imagined that in future we will use green hydrogen instead of coke to make green steel. Steel contributes to around 40 to 45% of vehicle weight, even today for medium to heavy commercial vehicle so sustainable manufacturing process is equally important. Partnership is the new leadership so collaborative work is necessary. Sustainability, industry 4.0 & partnership will definitely be sustainable in business for a long run.
US to impose 200% tariff on aluminium from Russia
The United States marked the first anniversary of Russia’s invasion of Ukraine on Friday with new sanctions, export controls and tariffs against Russia and its allies aimed at undermining Moscow’s ability to wage war. Washington also said it would provide another $2 billion in weaponry for Kyiv as it prepares for a spring offensive. The aid did not include F-16 fighter jets that Ukraine has requested. President Joe Biden consulted leaders of the G7 bloc of wealth.
Mini Cooper SE Convertible wheels made entirely from recycled aluminum
Mini has revealed an interesting fact about its limited-run Mini Cooper SE Convertible: It’s the first production car with wheels made from 100% recycled aluminum. Despite sharing the same look as wheels available on the regular SE hatch, they’re actually much more environmentally friendly.
The wheels were developed with Swiss wheel manufacturer Ronal. The company sells aftermarket wheels under the Ronal and Speedline brands, and it supplies OEMs. And it’s no stranger to more environmentally-friendly wheel production. It supplies wheels for the Audi E-Tron GT that are made using a smelting process that produces oxygen rather than carbon dioxide, and it now has a line of claimed carbon-neutral aftermarket wheels. But back to the Mini’s wheels. Using all recycled aluminum has the obvious benefit of not requiring new aluminum to be manufactured. But the benefits are greater than just the raw material use. Mini points out that a major improvement in carbon emissions comes from being able to skip the electrolysis process for new aluminum manufacturing. Pure aluminum is extracted from aluminum oxide (which is in turn taken from the mineral bauxite). To do this large amounts of electricity are passed through molten solutions of aluminum oxide and cryolite (which takes energy to heat) across graphite cathodes and anodes. Not only does this use a lot of electricity that has its own carbon costs, the oxygen that separates from the aluminum bonds to the graphite anodes, yielding more carbon dioxide (which is why the production of those Audi wheels is also interesting).
In total, Mini says the recycled wheel production reduces carbon emissions by 75%. More specifically, it estimates about 0.16 kilograms (0.35 pounds) per kilogram (2.2 pounds) of aluminum used. Mini also stresses that this process still maintains all the strength of conventional wheels, just in a greener way. And of course, the wheels themselves are recyclable again. Mini, and BMW more broadly, are looking at ways to upscale the process and to source suitable recyclable products, likely other old wheels from cars no longer on the road. Though neither company said anything about when we’ll see fully recycled wheels more widely available.
On January 19, the board of HZL approved the acquisition of zinc assets of THL Zinc Ventures, a subsidiary of Vedanta Ltd.
Centre may ask Hindustan Zinc Ltd (HZL) to consider options, other than cash, like share swaps, rights issues or warrants for the $2.98 billion acquisition of Vedanta’s zinc assets, a report by Mint said. The Centre believes that the cash reserves must not be used for the party-related transaction.
“We understand that the company needs to acquire mines to grow its business, but that should not be done through a cash acquisition. There are these options which the company can exercise. The government is a stakeholder in the company and has the right to cash reserves, and we will not let them use it for a related-party transaction,” an official aware of the development told Mint.
On January 19, the board of HZL approved the acquisition of zinc assets of THL Zinc Ventures, a subsidiary of Vedanta Ltd. THL Zinc will become a wholly owned subsidiary of HZL after the transaction is completed. According to the rules of the mines ministry, the deal violated minority stakeholder rights.
Vedanta owns a 64.9 per cent stake in HZL, while the Centre owns 29.5 per cent.
The report added that the Centre has plans to sell its stake.
in HZL and it has written to the markets regulator opposing the deal.
In a recent interview, HZL Chief Executive Officer (CEO) Arun Misra said that the deal was necessary and HZL cannot limit its size and capacity to where it is today. India's annual zinc consumption is 650,000-680,000 tonnes and is expected to grow by 3-4 per cent. HZL produces 800,000 tonnes annually. The approvals of the deal are expected to come in the next 18 months.
**How Vedanta's weak semiconductor proposal has emerged as a promising one**
Vedanta has already shortlisted Prime Minister Narendra Modi’s home state, Gujarat, for setting up its semiconductor and display fab and is fast progressing with its plan. India’s semiconductor policy hasn’t been off to a flying start. While the government hoped to receive applications from leading fabs, such as Global Foundries, Intel, TSMC, and Samsung, among others, all it received were semiconductor fab applications from three consortiums. Surprisingly, the Indian mining conglomerate Vedanta, led by Anil Agarwal, was keen to enter the semiconductor space. It had teamed up with Taiwan’s Foxconn to apply for the Semiconductor Scheme.
And even though the India Semiconductor Mission (ISM) has yet to approve the application, Vedanta has already shortlisted Prime Minister Narendra Modi’s home state, Gujarat, for setting up its semiconductor and display fab and is fast progressing with its plan. Vedanta’s proposal, from being the weakest last year, has finally emerged as the most promising of the three applications.
Setting up a semiconductor fab is a multi-year project involving colossal capital and expertise. So the Indian government, or any government offering financial incentives, must carefully scrutinise the proposals received before approving them. This task was a little more challenging for India, given that none of the leading foundries had applied under the scheme. And while there is a wide range of parameters on which these applications are evaluated, the four primary ones are manufacturing grade technology (license), manufacturing (fab) expertise, funds and getting business for fabs. Vedanta-Foxconn joint venture scored on the last two but lacked in the first two.
Manufacturing Grade Technology License for Fabs
One of the prerequisites for the project approval and qualifying for the incentive was to have a license-grade semiconductor technology manufacturer with sufficient experience in chip manufacturing. And neither Vedanta nor Foxconn had one. Vedanta is a mining and metals company primarily producing zinc, lead, silver, copper, iron ore, aluminium, and oil and gas. On the other hand, Foxconn is the leading multinational electronics contract manufacturing company based in Taiwan, manufacturing for Apple, Amazon, and Dell, to name a few. In mid-2021, Foxconn did announce its plan to enter semiconductor production and expand into supplying chips for electric vehicles (EVs) and electronics equipment used for healthcare. It even acquired Macronix 6-inch Wafer Fab for US$90.8mn in August 2021. But this still does not qualify for a manufacturing-grade license for fabs.
Former RBI governor Raghuram Rajan, who recently questioned the proposal for the lack of semiconductor expertise, wasn’t completely wrong. Even the Ministry of Electronics and IT and India Semiconductor Mission (ISM) have been concerned about this. Since day one, the latter has asked the consortium to submit more details, including the production-grade technology license.
“Acquiring the right technology and making it work in a new fab is a complex process. Many discussions are going on (Vedanta-Foxconn JV) with various technology providers, and a solution may emerge soon,” explains Satya Gupta, President, of VSLI society and former head of IESA. But if rumours are to be believed, Vedanta-Foxconn JV is close to partnering with European chipmaker STMicroelectronics for the chip manufacturing unit. If the deal goes through, this will solve one of the biggest hurdles in Vedanta’s semiconductor proposal.
Expertise in setting fab
Setting up a fab is not easy and requires expertise. Vedanta, who holds the larger share in the JV, has solved this problem by hiring David Reed as the CEO of the semiconductor business. A veteran, with 35 years in the semiconductor industry, Reed has worked at NXP, Global Foundries and Texas Instruments and will be responsible for setting up a state-of-the-art semiconductor fab unit and semiconductor assembling and testing unit for Vedanta in India. Industry experts believe Reed can help close Vedanta’s discussions with leading fabs for production-grade licenses.
Funds
Setting up a semiconductor fab is a high capital investment. Significant capital investment goes into purchasing and maintaining state-of-art equipment, constructing cleanroom facilities, and hiring highly skilled engineers and technicians. Depending upon the technology, a single fabrication plant can cost anywhere between $2 billion to upwards of $20 billion with a 40,000-wafer capacity. But this doesn’t seem a problem as both Vedanta and Foxconn have deep pockets to invest in building a state-of-art fab in India.
Is Vedanta's Sterlite Copper plant in Tamil Nadu set for reopening?
After reports that Vedanta had shelved plans to sell the plant, newspaper advertisements have appeared in Tamil Nadu in favour of its reopening. Nearly five years after the Tamil Nadu government had sealed the Vedanta group’s Sterlite Copper smelting plant in Thoothukudi, prospects of its reopening have brightened. After reports suggested that Vedanta had shelved plans to sell the plant, full-page newspaper advertisements have appeared in the state since February 17 to advocate the reopening.
‘Give back our livelihoods,’ screams the advertisement and points out that the copper smelting plant had provided livelihood to scores of people in Thoothukudi for 22 years until the state government shut it in May 2018. It also listed various reasons favouring reopening of the plant, but stopped short of saying that was indeed being done.
Adani's Mundra Aluminium - preferred bidder for the Kutrumali bauxite block
Mundra Aluminium Ltd, a wholly-owned subsidiary of Adani Enterprises incorporated in December 2021, is selected as the preferred bidder for the Kutrumali bauxite block by the Odisha government. The news came after the company received a letter of intent dated February 27, 2023, from the Odisha government regarding the mineral block in Odisha.
Adani Enterprises said in an exchange filing, “We are pleased to inform that based on the outcome of the auction proceedings, Mundra Aluminium has been declared the ‘preferred bidder’ and subsequently, a Letter of Intent dated February 27 has been issued by the Government of Odisha in respect of the following mineral block in Odisha.”
Following the news, shares of Adani Enterprises, the flagship company of Adani Group, soared 12 per cent to INR 1,532.85 on the BSE in Wednesday’s intra-day trade.
The Kutrumali bauxite block, located in Odisha’s Kalahandi and Rayagada districts, has geological reserves of 128 million tonnes.
In August 2022, Adani Enterprises said the Adani Group would invest INR 57,575 crore in Odisha to set up two projects - a 4 MMTPA Integrated Alumina Refinery and a 30 MMTPA Iron Ore (Value Addition) Project. The former, to be set in the vicinity of potential bauxite reserves or operational mines, will produce smelter-grade alumina, which will help India reduce its reliance on imports.
India’s largest lead and zinc private sector, Hindustan Zinc Limited (HZL) is aiming to integrate Nature-based Solutions (NbS) into their Biodiversity Policy for sustainable developmental practices.
China's zinc and lead exports plug Western supply gaps
China was a net exporter of refined zinc last year for the first time since 2007, while exports of refined lead remained super strong for the second year running. China’s shift to net exporter of both metals is a rare inversion of historical trade patterns and attests to the squeeze on availability in the rest of the world.
Lead and zinc are often dubbed sister metals since they tend to occur in the same geological formations. If a mine produces zinc, there’s a very good chance it will produce lead as well.
The two sisters normally part company at the processing stage of the production chain but each has been hit with a run of smelter outages, causing mutual scarcity, high premiums and low exchange stocks.
China came to the rescue of beleaguered Western buyers of both metals last year. Will it have to do so again this year?
TRADE SWITCH
China exported 116,500 tonnes of refined lead last year, the highest-volume outflow since 2007. Imports were a negligible 1,500 tonnes. It was a second consecutive year of net exports, bringing the cumulative total to 210,000 tonnes since the start of 2021.
The country had been a modest net importer of lead in the prior four years, over which time cumulative exports amounted to just 43,000 tonnes.
High physical premiums in both Europe and the United States continue to draw refined lead out of China with another 16,400 tonnes departing in December, including 1,600 tonnes to Germany and 1,000 tonnes each to Belgium, Italy, the Netherlands and Turkey.
China’s net exports of 1,700 tonnes of refined zinc last year may not sound like a big deal but they reflect an equally dramatic warping of previous trade patterns.
Global demand of Lead & Zinc
Lead:
Global demand of refined Lead is expected to exceed supply by 93000 tonnes and 42000 tonnes in 2022, 2023 respectively. World refined Lead production is likely to fall by 0.3% in 2022 and rise by 1.8% in 2023. After rising by 4.6% in 2021, global demand for refined metal is forecast to rise by 0.8% in 2022 and by 1.4% in 2023.
Zinc:
Demand for refined Zinc is expected to exceed supply by about 297000 tonnes and 150000 tonnes in 2022 and 2023 respectively. Global refined Zinc metal production is forecast to fall by 2.7% in 2022 and to increase by 2.6% in 2023. World demand for Zinc metal is forecast to fall by 1.9% in 2022 and to rise by 1.5% in 2023.
IMF: India, China may drive half of ‘23 global growth.
The International Monetary Fund (IMF) has said India and China will account for half of the global economic growth in 2023, as the multilateral agency retained its growth forecast for Asia’s third-largest economy for 2023-24 (FY24).
IMF Retains FY23 Growth Outlook at 6.8
The International Monetary Fund (IMF) has retained India’s FY23 growth forecast at 6.8%, terming the country a bright spot and major engine of growth amid an expect fall in global growth to 2.9% in 2022 from an estimated 3.4% in 2022.
IMF retains India’s FY 24 growth projection at 6.1
International Monetary Fund (IMF) has said that India remains the bright spot and maintained the country’s growth projection at 6.1 per cent for 2023-24. (FY24). It further expects India’s growth to go up to 6.8 per cent in 2024-25. According to the latest update released, it revised the global outlook by 20 basis points for the year 2023 to 2.9 per cent.
Jan Manufacturing Moderates on Slow Rise in Total Sales
India’s manufacturing sector activity moderated in January 2023 amid slower increase in total sales and headcounts were broadly unchanged amid sufficient staff numbers to cope with current requirements, according to a monthly survey.
India to grow fastest in 7 top emerging ecos: WB
India is expected to be the fastest-growing economy of the seven largest emerging markets and developing economies (EMDEs), the World Bank has said in a latest report. The multilateral agency also cut global growth forecast sharply for 2023 to 1.7%, the third weakest pace of growth in three decades, from 3% expected just six months ago. The World Bank said growth in India is projected to slow from 8.7% in FY22 to 6.9% in FY23.
“The slowdown in the global economy and rising uncertainty will weigh on export and investment growth. Governments increased infrastructure spending and various business facilitation measures will crowd-in private investment and support the expansion of manufacturing capacity. Growth is projected to slow, to 6.6% in FY24 before falling back toward its potential rate of just above 6%,” the World Bank said in its Global Economic Prospects report.
HZL Lines Up $1 B for Electric Mining Vehicles
Vedanta group firm Hindustan Zinc Ltd said it has earmarked components of the infrastructure sectors rose, as per data released recently. A surge in the output of coal, steel, cement, fertiliser and electricity aided higher growth in December 2022.
The data has been released a day before Finance Minister Nirmala Sitharaman presented the Union Budget for 2023-24.
a USD 1 Billion investment for converting its diesel-run 900-odd mining vehicles into battery-operated ones over the next five years.
Hindustan Zinc is steadily switching to electric vehicles for its underground mine operations. HZL together with the Finnish technology company Normet Group Oy, has inducted battery-powered service equipment and utility vehicles into underground mining to help decarbonise and improve environmental sustainability in the mining industry, the company said in a statement.
**Rlys rolls out plan to meet net-zero target of 2030**
Railways ministry has rolled out a five-pronged energy efficiency plan to become carbon-neutral by 2030. The ministry is looking to reduce overall energy use with efficient operations and increase renewable energy (RE) usage. India, in its commitment to the United Nations Framework Convention on Climate Change, has set a target to become net zero by 2070. For the railways, the target year is 2030.
**Rlys plans elevated tracks to run faster inter-city trains**
Railways is readying a plan to build elevated tracks for running semi-high speed passenger trains on popular sectors such as Delhi-Jaipur, Mumbai-Pune, Bangalore-Chennai and Delhi-Amritsar via Chandigarh. This will require investment of Rs 150-160 Crore per kilometre through direct budget support.
Different zones of Indian Railways have been tasked with carrying out studies for laying such tracks which can be used for inter-city fast train services, sources told TOI. Most of the routes identified are in the range of 200 km to 300 km and there is high demand for premium train service in these sectors.
**18 road projects headed for the fast lane in FY24**
In line with the thrust upon the Prime Minister Gati Shakti-National Master Plan, the government will prioritise and fast-track as many as 18 critical road infrastructure projects in the fiscal year 2023-24. The Centre has sights on 67 critical road projects that would result not only in integrated infrastructure development but also improve of logistics efficiency across the country over the next two years, a senior government official said. Extended monsoon has dampened the pace of National Highway construction. "However, the pace of construction has increased, and we are sure that the given targets shall be met by March 2023," she told PTI in an interview. The ministry has constructed 4,766 km of National Highways up to November 2022-23 compared to 5,118 km constructed till November 2021-22.
**343 Infra Projects Show Rs.4.5 Lakh Cr Cost Overruns**
As many as 343 infrastructure projects, each entailing an investment of Rs 150 Crore or more, have been hit by cost overruns of more than Rs 4.5 Lakh Crore, as per an official report. According to the Ministry of Statistics and Programme Implementation, which monitors infrastructure projects of Rs 150 Crore and above, out of 1,438 projects, 343 reported cost overruns and as many as 835 projects were delayed. "Total original cost of implementation of the 1438 projects was Rs 20,35,794.75 Crore and their anticipated completion cost is likely to be Rs 24,86,069.52 Crore, which reflects overall cost overruns of Rs 4,50,274.77 Crore (22.12% of original cost)," the ministry's latest report said.
**NHAI raised Rs.10,200 Crore for building roads**
The National Highway Authority of India (NHAI) raised over ₹10,200 Crore up to December 2022 from foreign and Indian institutional investors to meet ever-growing budgetary support for establishing a country-wide road network, the Survey said.
**India Likely to Export Mobiles Worth $9 Billion in FY23**
The government estimates India is likely to export mobile phones worth about $9 Billion in FY23, up from $5.8 Billion in the year before, as manufacturers step up production and outward shipments.
---
### World Refined Lead Supply & Usage 2017-2022
| 000 tonnes | 2017 | 2018 | 2019 | 2020 | 2021 | Jan-Nov | 2022 | Aug | Sep | Oct | Nov |
|------------|------|------|------|------|------|---------|------|-----|-----|-----|-----|
| Mine Prodn.| 4601 | 4571 | 4678 | 4474 | 4563 | 4157 | 4084 | 382.8 | 383.7 | 389.9 | 407.7 |
| Metal Prodn.| 12017 | 12301 | 12342 | 11961 | 12382 | 11306 | 11252 | 1025.7 | 1036.3 | 1057.1 | 1063.9 |
| Metal Usage| 12159 | 12346 | 12299 | 11778 | 12326 | 11230 | 11243 | 1028.2 | 1034.5 | 1022.5 | 1053.2 |
### World Refined Zinc Supply & Usage 2017-2022
| 000 tonnes | 2017 | 2018 | 2019 | 2020 | 2021 | Jan-Nov | 2022 | Aug | Sep | Oct | Nov |
|------------|------|------|------|------|------|---------|------|-----|-----|-----|-----|
| Mine Prodn.| 12654 | 12723 | 12799 | 12253 | 12797 | 11661 | 11416 | 1084.7 | 1045.2 | 1064.0 | 1090.7 |
| Metal Prodn.| 13538 | 13142 | 13546 | 13780 | 13858 | 12663 | 12204 | 1078.2 | 1092.8 | 1110.5 | 1075.6 |
| Metal Usage| 13998 | 13722 | 13788 | 13286 | 14048 | 12826 | 12432 | 1155.8 | 1186.7 | 1149.9 | 1195.1 |
The growth in two-wheeler sales is not keeping pace with the sales growth logged by passenger vehicle and three-wheeler segments, said a top official of Society of Indian Automobile Manufacturers (SIAM).
Referring to the January 2023 sales data of automobile manufacturers, Vinod Aggarwal, President, SIAM said: "Better consumer sentiments is driving demand for passenger vehicles. Three-wheeler segment has gained traction compared to the past two years, though they are still to reach the pre-Covid levels. The rate of growth of two-wheelers in the recent year has not kept pace with the growth in the other segments."
According to SIAM, last month the passenger vehicles (cars, utility vehicles and vans) makers sold 2,98,093 units (2,54,287 units sold in January 2022) while sales of three-wheelers shot up to 48,903 units (24,178 units). The two-wheeler industry sold a total of 11,84,379 units last month (11,40,888 units).
Commenting on January 2023 sales data, Mr Vinod Aggarwal, President, SIAM said, "Better consumer sentiments are driving demand for Passenger Vehicles. Three-Wheeler segment has gained traction compared to the past two years, though they are still to reach the pre-Covid levels. The rate of growth of Two-wheelers in the recent year has not kept pace with the growth in the other segments. Positive announcements at the Union Budget should help in continuing with the overall growth momentum."
Commenting on January 2023 sales data, Mr Rajesh Menon, Director General, SIAM said, "Passenger Vehicles again saw highest ever sales in the month of January and for the first time, it has crossed 3 million sales mark in 10 months, from April to January period. Sales of L5 category Three-Wheeler more than doubled in January 2023, compared to January 2022, while Two-Wheelers posted a marginal growth of just around 4% in the month of January 2023, compared to January 2022."
### SIAM
#### Segment wise Comparative Production, Domestic Sales & Exports data for the month of January 2023
| Category | Production | Domestic Sales | Exports |
|----------|------------|----------------|---------|
| | January | | |
| | 2022 | 2023 | 2022 | 2023 | 2022 | 2023 |
| Passenger Vehicles (PVs)* | | | | | | |
| Passenger Cars | 1,58,891 | 1,87,543 | 1,26,693 | 1,36,931 | 25,226 | 31,002 |
| Utility Vehicles (UVs) | 1,40,636 | 1,75,357 | 1,16,962 | 1,49,328 | 15,505 | 24,527 |
| Vans | 10,807 | 13,040 | 10,632 | 11,834 | 50 | 22 |
| Total Passenger Vehicles (PVs) | 3,10,334 | 3,75,940 | 2,54,287 | 2,98,093 | 40,781 | 55,551 |
| Three Wheelers | | | | | | |
| Passenger Carrier | 58,941 | 60,016 | 16,592 | 37,061 | 37,910 | 22,995 |
| Goods Carrier | 7,571 | 8,807 | 5,868 | 8,346 | 1,241 | 85 |
| E-Rickshaw | 1,400 | 4,376 | 1,416 | 3,188 | - | - |
| E-Cart | 297 | 378 | 302 | 308 | - | - |
| Total Three Wheelers | 68,209 | 73,577 | 24,178 | 48,903 | 39,151 | 23,080 |
| Two Wheelers | | | | | | |
| Scooter/ Scootertee | 3,84,864 | 4,04,458 | 3,61,299 | 3,76,035 | 33,369 | 30,256 |
| Motorcycle/Step-Throughs | 10,68,887 | 10,12,291 | 7,43,804 | 7,71,621 | 3,41,453 | 1,89,439 |
| Mopeds | 42,313 | 37,727 | 35,785 | 36,723 | 144 | 408 |
| Total Two Wheelers | 14,96,064 | 14,54,476 | 11,40,888 | 11,84,379 | 3,74,966 | 2,20,103 |
| Quadricycle | 54 | 371 | 1 | 72 | 49 | 306 |
| Grand Total | 18,74,661 | 19,04,364 | 14,19,354 | 15,31,447 | 4,54,947 | 2,99,040 |
* BMW, Mercedes, Tata Motors and Volvo Auto data is not available
Society of Indian Automobile Manufacturers (13/02/2023)
### SIAM
#### Category & Company wise Summary Report for the month of January 2023 and Cumulative for April-January 2023
| Category | Production | Domestic Sales | Exports |
|----------|------------|----------------|---------|
| | January | April-January | January | April-January |
| | 2022 | 2023 | 2022 | 2023 | 2022 | 2023 |
| Passenger Vehicles (PVs) | | | | | | |
| FCA India Automobiles Pvt Ltd | 1,320 | 1,200 | 14,124 | 14,387 | 861 | 685 | 9,656 | 10,848 | 263 | 360 | 5,059 | 3,982 |
| Force Motors Ltd | 277 | 177 | 398 | 611 | 101 | 77 | 330 | 617 | 1 | 1 | 3 | 3 |
| Ford India Private Ltd | NA | NA | 39,337 | NA | NA | NA | 15,818 | NA | NA | 18,022 | NA |
| Honda Cars India Ltd | 11,863 | 8,496 | 87,351 | 97,052 | 18,427 | 7,821 | 71,833 | 78,640 | 1,716 | 1,434 | 14,747 | 18,552 |
| Hyundai Motor India Ltd | 48,900 | 57,200 | 4,98,000 | 5,92,077 | 44,022 | 50,106 | 3,92,850 | 4,68,945 | 9,405 | 12,171 | 1,09,464 | 1,31,269 |
| Isha Motors Private Ltd | 2,300 | 30 | 1,900 | 90 | 95 | 97 | 491 | 49 | 70 | 70 | 35 | 35 |
| Kia Motors India Pvt Ltd | 23,518 | 793 | 1,85,855 | 2,99,090 | 19,319 | 28,634 | 1,46,044 | 2,23,128 | 5,492 | 6,608 | 39,833 | 72,148 |
| Mahindra & Mahindra Ltd | 30,516 | 40,748 | 1,83,426 | 2,99,247 | 19,964 | 33,040 | 1,70,629 | 2,92,698 | 887 | 1,474 | 8,253 | 8,257 |
| Maruti Suzuki India Ltd | 1,57,741 | 1,78,424 | 12,141 | 15,713 | 1,28,414 | 1,47,410 | 10,63,748 | 13,74,040 | 17,708 | 17,083 | 1,85,700 | 2,09,144 |
| MG Motor India Pvt Ltd | 1,258 | 5,598 | 32,372 | 45,530 | 1,306 | 2,114 | 1,120 | 38,622 | - | - | 12 | 12 |
| Nissan Motor India Pvt Ltd | 6,534 | 6,676 | 63,570 | 80,122 | 4,250 | 2,803 | 32,215 | 28,167 | 1,224 | 5,412 | 29,821 | 49,496 |
| PCA Motors Pvt. Ltd | 52 | 793 | 728 | 6,756 | 10 | 804 | 764 | 6,719 | - | - | - | - |
| Renault India Pvt Ltd | 8,087 | 14,392 | 98,168 | 1,06,865 | 8,119 | 3,938 | 72,662 | 66,621 | 430 | 6,401 | 18,810 | 27,934 |
| Skoda Auto India Pvt Ltd | 3,180 | 5,453 | 25,590 | 47,336 | 3,009 | 3,818 | 23,851 | 44,419 | - | - | 288 | 288 |
| Tata Motors Ltd | NA | NA | 2,48,600 | 4,09,173 | NA | NA | 2,49,249 | 4,08,087 | NA | NA | 1,387 | 1,766 |
| Toyota Kirloskar Motor Pvt Ltd | 3,321 | 17,339 | 58,998 | 1,16,151 | 2,928 | 12,834 | 97,865 | 1,39,475 | - | - | 91 | 223 |
| Volkswagen India Pvt Ltd | 9,367 | 9,335 | 58,998 | 58,998 | 1,522 | 2,928 | 24,101 | 20,121 | 3,537 | 4,682 | 33,333 | 23,153 |
| Total Passenger Vehicles (PVs) | 3,10,334 | 3,75,940 | 28,85,124 | 37,39,071 | 2,54,287 | 2,98,093 | 24,03,125 | 31,69,788 | 40,781 | 55,551 | 4,64,778 | 5,46,588 |
* Only cumulative data is available for Apr-Dec
NA= Not Available
### SIAM
**Summary Report: Cumulative Production, Domestic Sales & Exports data for the period of April - January 2023**
| Category | Production | Domestic Sales | Exports |
|---------------------------------|------------|----------------|---------|
| | April-January | 2021-22 | 2022-23 | April-January | 2021-22 | 2022-23 | April-January | 2021-22 | 2022-23 |
| **Passenger Vehicles (PVs)*** | | | | | | | | | |
| Passenger Cars | 14,66,936 | 18,02,968| 11,56,458| 14,36,762 | 3,00,935 | 3,47,291 |
| Utility Vehicles (UVs) | 13,22,918 | 18,21,048| 11,52,968| 16,18,922 | 1,62,172 | 1,98,980 |
| Vans | 95,270 | 1,15,055 | 93,699 | 1,14,104 | 1,671 | 317 |
| **Total Passenger Vehicles (PVs)** | 28,85,124 | 37,39,071| 24,03,125| 31,69,788 | 4,64,778 | 5,46,588 |
| **Three Wheelers** | | | | | | | | | |
| Passenger Carrier | 5,45,440 | 6,04,061 | 1,33,443| 2,82,186 | 4,16,498 | 3,22,433 |
| Goods Carrier | 68,534 | 81,362 | 59,738 | 77,968 | 8,700 | 4,142 |
| E-Rickshaw | 7,650 | 22,125 | 8,049 | 21,321 | - | - |
| E-Cart | 951 | 2,648 | 946 | 2,551 | - | - |
| **Total Three Wheelers** | 6,22,575 | 7,10,736 | 2,02,176| 3,84,026 | 4,25,198 | 3,26,575 |
| **Two Wheelers** | | | | | | | | | |
| Scooter & Scooterette | 36,56,870 | 46,72,260| 33,81,753| 43,61,347 | 3,03,771 | 3,40,636 |
| Motorcycle/Step-Throughs | 1,07,56,558| 1,15,07,664| 75,39,698| 87,11,119 | 34,03,822| 28,27,909 |
| Mopeds | 4,00,167 | 3,64,240 | 3,99,653| 3,69,407 | 8,608 | 2,916 |
| **Total Two Wheelers** | 1,48,13,595| 1,65,44,164| 1,13,21,104| 1,34,41,873| 37,16,201| 31,71,461|
| Quadricycle | 3,898 | 1,904 | 65 | 513 | 4,188 | 1,506 |
| **Grand Total** | 1,83,25,192| 2,09,95,875| 1,39,26,470| 1,69,96,200| 46,10,365| 40,46,130|
* BMW, Mercedes, Volvo Auto data is not available and Tata Motors data is available for Apr-Dec only
Society of Indian Automobile Manufacturers (13/02/2023)
---
### SIAM
**Category & Company wise Summary Report for the month of January 2023 and Cumulative for April-January 2023**
| Category | Production | Domestic Sales | Exports |
|----------|------------|----------------|---------|
| | January | April-January | January | April-January | January | April-January |
| | 2022 | 2023 | 2021-22 | 2022-23 | 2022 | 2023 |
| | | | | | | |
| **Three Wheelers** | | | | | | |
| Alfa Auto Ltd | 1,717 | 2,218 | 13,469 | 20,582 | 1,426 | 2,034 |
| Bajaj Auto Ltd | 4,277 | 42,839 | 3,83,968 | 3,92,806 | 14,159 | 32,770 |
| Continental Engines Pvt Ltd | 1,377 | 215 | 1,765 | 1,811 | 475 | 519 |
| Force Motors Ltd | 204 | 414 | 3,007 | 2,452 | 3,271 | 5,446 |
| Mahindra & Mahindra Ltd | 3,235 | 8,004 | 21,574 | 48,297 | 2,868 | 6,562 |
| Piaggio Vehicles Pvt Ltd | 3,632 | 7,322 | 2,924 | 4,285 | 3,575 | 5,938 |
| TVS Motor Company Ltd | 14,479 | 11,568 | 1,44,840 | 1,49,911 | 1,135 | 1,620 |
| **Total Three Wheelers** | 68,209 | 73,577 | 6,22,875 | 7,10,736 | 24,178 | 48,903 |
| **Two Wheelers** | | | | | | |
| Ather Energy Pvt. Ltd | 3,032 | 15,332 | 17,864 | 69,264 | 2,991 | 14,802 |
| Bajaj Auto Ltd | 3,08,283 | 2,62,619 | 32,35,165| 29,51,602 | 1,35,496 | 1,40,428 |
| Chetak Technology Ltd | - | 812 | - | 4,835 | - | 1,943 |
| Hero MotoCorp Ltd | 1,65,744 | 3,97,030 | 40,70,055| 43,99,181 | 3,58,660 | 3,49,157 |
| Honda Motorcycle & Scooter India Pvt Ltd | 3,48,965 | 2,96,845 | 31,26,988| 38,61,964 | 3,15,216 | 2,78,155 |
| India Kawasaki Motors Pvt Ltd | 358 | 688 | 2,957 | 3,332 | 325 | 505 |
| Maruti Yamaha Motor Pvt Ltd | 60,437 | 56,632 | 5,96,574 | 7,23,227 | 36,146 | 39,688 |
| Marutindo Two Wheeler Pvt Ltd | - | - | 72 | - | - | 28 |
| Okinawa Autotech Pvt. Ltd | 10,549 | 4,730 | 59,976 | 86,484 | 9,604 | 5,980 |
| Piaggio Vehicles Pvt Ltd | 5,876 | 4,891 | 63,637 | 53,315 | 4,202 | 3,001 |
| Royal Enfield (Royal Enfield Motors) | 58,643 | 65,832 | 4,26,877 | 4,67,811 | 45,783 | 47,783 |
| Suzuki Motorcycle India Pvt Ltd | 78,322 | 93,894 | 6,12,988 | 7,70,124 | 60,623 | 66,205 |
| Triumph Motorcycles India Pvt Ltd | 61 | 41 | 590 | 546 | 104 | 62 |
| TVS Motor Company Ltd | 2,55,843 | 2,54,304 | 25,58,290| 29,25,503 | 1,87,795 | 2,16,471 |
| **Total Two Wheelers** | 14,96,064 | 14,54,478 | 1,48,13,595| 1,65,44,164 | 11,46,888| 11,84,379 |
| **Quadricycle** | | | | | | |
| Bajaj Auto Ltd | 54 | 371 | 3,688 | 1,904 | 1 | 72 |
| **Total** | 54 | 371 | 3,688 | 1,904 | 1 | 72 |
| **Grand Total** | 13,74,661 | 19,04,364 | 1,83,25,192| 2,09,95,875 | 14,10,354| 15,31,447 |
Society of Indian Automobile Manufacturers (13/02/2023)
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Happy INDEPENDENCE DAY
As a military veteran, I always thought about the importance of July 4th. This day holds tremendous significance for our nation and offers us an opportunity to reflect upon the sacrifices made by our founding fathers to secure our freedom. Independence Day is a time to unite and celebrate the ideals our forefathers fought so hard to establish. It is a day to honor the principles of liberty, equality, and justice that form the pillars of our great nation. This day reminds us of the countless men and women who have dedicated their lives to protect and preserve these values.
As Filipinos, we also celebrate Philippine Independence Day on June 12th. We acknowledge the strength and resilience of our motherland. Even though many of us are already living permanently in the United States, we will always remember where we came from.
To commemorate the importance of Independence Day, we asked our members to share their stories about freedom, liberty, equality, and justice. We received several articles highlighting their experiences about the importance of freedom and fundamental rights. Their stories are truly inspiring, and I hope other members will also share their stories through our newsletter.
Lastly, I would like to express my profound appreciation to you. Your continued support, engagement, and commitment to staying informed make our organization thrive. Together, we can strive for a brighter future that upholds the values our nation was built upon.
Mabuhay!
Bob Gahol
Editor-in-Chief
EDITORIAL STAFF
Editor-in-chief
COL (Retired) Bob Gahol, MBA, MPA, MMAS, MSS, BSN, RN
Associate Editors
Teresa Ignacio-Gonzalvo, BSN, RN, MPA
Alicia Tullo, MSN, RN, CPC
Velma Yep, DNP, MSN, GNP-BC
Advisers
Peter-Reuben Calixto, BSN, RN, CNN
Carol Robles, BSN, RN, DNS-CT, RACT-CT
Ariel Zabala, MN, RN, CEN
ABOUT INSIDE PNAA
inside PNAA is the official newsletter of the Philippine Nurses Association of America, Inc.
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INSIDE PNAA is published as the Official Newsletter of the Philippine Nurses Association of America, Inc.
All articles reflect the opinion of the authors and are not held by the Philippine Nurses Association of America, Inc.
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Submissions of articles and pictures in the inside PNAA newsletter grants the Philippine Nurses Association of America, Inc. (PNAA) the unrestricted permission, right, and license to use the materials and to reproduce, exhibit, broadcast, advertise and exploit all or any part of the materials chosen by the PNAA.
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My heartfelt appreciation for each and every one of you as we reflect upon the impactful contributions made by our esteemed members in celebrating the 4th of July. Your unwavering dedication, boundless enthusiasm, and steadfast commitment to promoting the values of freedom and independence are admirable on our organization and the communities we serve.
First and foremost, I want to commend our members for their tireless efforts in organizing and participating in events that commemorated this significant day. From parades and community gatherings to educational programs and healthcare initiatives, your passion and enthusiasm have played a pivotal role in fostering a sense of unity and pride among our members. Everyone’s unwavering commitment to upholding the ideals of freedom, democracy, and justice is truly inspiring. I am deeply grateful for the incredible compassion and care our members have demonstrated in providing healthcare services to those in need, especially during these challenging times. Your dedication to improving the lives of others is a testament to the noble profession of nursing. Whether through volunteer work, advocacy, or serving on the front lines, you have exhibited unwavering strength and resilience, embodying the true spirit of compassion and selflessness.
Lastly, I want to express my profound gratitude for the unwavering support and camaraderie that exists within our PNAA community. The 4th of July celebrations serve as a reminder of the unity and shared purpose that binds us together. Our collaboration, mentorship, and support for one another have created a vibrant and nurturing environment that empowers each member to thrive both personally and professionally. Our dedication to fostering a sense of belonging and camaraderie is commendable. My deep appreciation to the members of the PNAA for their invaluable contributions in celebrating the 4th of July. Your dedication, compassion, and unwavering commitment to the principles of freedom and independence inspire us all. Together, we will continue to shape a brighter future, empower one another, and make a lasting impact on the nursing profession and the communities we serve. Thank you for being the driving force behind the success of our organization. Your tireless efforts and commitment is the true essence of Our United Voices: WE CARE.
Gloria Lamela Beriones, PhD, RN, NEA-BC
President 2022-2024
Philippine Nurses Association of America, Inc.
FLU VACCINE: GET THE FACTS
YOUR BEST PROTECTION AGAINST FLU
Millions of people get flu every year, hundreds of thousands of people are hospitalized and thousands or tens of thousands of people die.
The Centers for Disease Control and Prevention (CDC), public health professionals, and our practice recommend that everyone 6 months of age and older should get a flu vaccine every year. Flu vaccination can reduce flu illnesses, doctors’ visits, and missed work and school due to flu, as well as prevent serious flu complications that can result in hospitalization and even death.\(^1\)\(^2\) **A flu vaccine is the best way to help prevent flu and its potentially serious complications.** Remember that flu vaccine not only protects you, but it also can help protect those around you.
FLU VACCINE REDUCES YOUR RISK OF FLU
![Flu Virus Illustration]
CDC estimates that flu has resulted in 9 million – 41 million illnesses, 140,000 – 710,000 hospitalizations and 12,000 – 52,000 deaths annually between 2010 and 2020.\(^3\)
Recent studies show that flu vaccination reduces the risk of flu illness by between 40% and 60% among the overall population during seasons when most circulating flu viruses are well-matched to the flu vaccine.
Since 2004, when pediatric flu deaths became nationally notifiable, the number of pediatric flu deaths reported to CDC each year prior to the COVID-19 pandemic ranged from 37 (2011-2012 season) to 199 deaths (2019-2020 season.)
While some people who get a flu vaccine still get sick, vaccination can make their illness less severe. Two recent studies among hospitalized flu patients showed that flu vaccination reduced intensive care unit admissions and duration of hospitalization.\(^5\)
Remember that a flu vaccine not only protects you, but it also can help protect those around you, including people who are at higher risk for serious flu illness, like babies, young children, older adults, pregnant people, and people with certain chronic health conditions.
FLU VACCINATION ESPECIALLY IMPORTANT FOR SOME
Flu vaccination is especially important for people who are at higher risk of developing serious complications from flu, including children younger than 5, pregnant people, adults 65 and older, and people with certain chronic health conditions, such as diabetes, heart disease, and asthma.
PROVEN SAFETY RECORD
For more than 50 years, hundreds of millions of Americans have safely received seasonal flu vaccines and there has been extensive research supporting its safety.\(^6\) Side effects from flu vaccination are generally mild, especially when compared to symptoms of flu.\(^7\)
Talk to someone in our office about getting a flu vaccine this fall. Our staff is ready to answer your questions.
Visit [WWW.CDC.GOV/FLU](http://www.cdc.gov/flu) for more information.
---
1. [https://www.cdc.gov/flu/spotlights/vaccine-reduces-severe-outcomes.htm](https://www.cdc.gov/flu/spotlights/vaccine-reduces-severe-outcomes.htm)
2. [https://www.cdc.gov/media/releases/2017/p0403-flu-vaccine.html](https://www.cdc.gov/media/releases/2017/p0403-flu-vaccine.html)
3. [https://www.cdc.gov/flu/about/burden-avoided/2018-2019.htm](https://www.cdc.gov/flu/about/burden-avoided/2018-2019.htm)
4. [https://www.cdc.gov/flu/vaccines-work/effectiveness-studies.htm](https://www.cdc.gov/flu/vaccines-work/effectiveness-studies.htm)
5. [https://www.cdc.gov/flu/vaccines-work/vaccineeffect.htm](https://www.cdc.gov/flu/vaccines-work/vaccineeffect.htm)
6. [https://www.cdc.gov/flu/prevent/vaccine-benefits.htm](https://www.cdc.gov/flu/prevent/vaccine-benefits.htm)
7. [https://www.cdc.gov/flu/prevent/general.htm](https://www.cdc.gov/flu/prevent/general.htm)
We’re calling on one million or more people to lead the way toward better health.
What is precision medicine?
Precision medicine is health care that is based on you as an individual. It takes into account factors like where you live, what you do, and your family health history. The goal is to be able to tell people the best ways to stay healthy.
What is the All of Us Research Program?
The All of Us Research Program is a large research program. The goal is to help researchers understand more about why people get sick or stay healthy. People who join will give us information about their health, habits, and what it’s like where they live. By looking for patterns, researchers may learn more about what affects people’s health.
How do I join the All of Us Research Program?
There are two ways to join:
- Visit the All of Us website JoinAllofUs.org.
- Download the All of Us app.
Because All of Us is research, you will be asked to complete an informed consent process. This process tells more about what is involved, and the risks and benefits of joining.
What will you ask me to do?
If you decide to join All of Us, we will ask you to share different kinds of information. We will ask you basic information like your name and where you live, questions about your health, family, home, and work. If you have an electronic health record, we may ask for access. We might also ask you to give samples, like blood or urine. We also want to know if you will want information about your DNA.
How long will the All of Us Research Program last?
All of Us may last for at least 10 years. We hope you will stay involved over time. If you join, you can withdraw at any time for any reason without penalty.
Why should I join the All of Us Research Program?
You will be contributing to research that may improve health for everyone. Here are some examples of what researchers might be able to discover:
- Better tests to see if people are sick or are at risk of getting sick.
- Better mobile apps to encourage healthy habits.
- Better medicine or information about how much of a medicine is right for each person.
What will you do to protect my privacy?
We will take great care to protect your information. Here are a few of the steps we will take:
- Information we have about you will be stored on protected computers. We will limit and keep track of who sees the information.
- We will remove your name and other direct identifiers (like your Social Security number) from your information and replace them with a code.
- Researchers must promise not to try to find out who you are.
- We will tell you if there is a risk to your privacy because of a data breach.
- The All of Us Research Program has Certificates of Confidentiality from the U.S. government. This will help us fight legal demands (such as a court order) to give out information that could identify you.
JoinAllofUs.org
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All of Us, the All of Us logo are service marks of the U.S. Department of Health and Human Services.
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Job Seekers:
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Land of the Free-Because of the Brave. God Bless America!
With some trepidation, I responded to the call for volunteers for the Philippines Cultural Center float. It was for the 4th of July parade at Carmel, Indiana. I have never been on a float, been on some parades and rallies. So, I responded and looked forward to helping, not exactly knowing what to expect or do. Glad I did! It sounded like a fun opportunity to showcase the Philippine culture and music and get to know other Filipinos in the area. Check, check, and check!
Philip Smith, the center director, asked if I had Filipiniana attire, and I said sure! I would be proud to wear one. The rest is history!
My husband, Jaime, leading our small barangay group.
There are so many things happening in this world, in America and in the Philippines. Twenty-one years of our life was that of a military and Air Force family, as we were assigned to different bases in the United States. They were unique assignments, some more challenging than others, definitely building character for our daughters, my husband, and myself. From the practice missile launches at Vandenberg Air Force Base in California to the roaring of the B52s at five in the morning at Grand Forks
Air Force Base in North Dakota, I reminded myself that these were the sounds of freedom. Thus, these perspectives on this glorious 4th of July morning!
The Philippines Cultural Center volunteers of Indianapolis, Indiana. Celebrating freedom at the Independence Day parade, Carmel, IN.
My random thoughts on this 4th of July parade, as our colorful float traveled around the city of Carmel for a couple of miles:
• We are proud to be Filipino-Americans! Proud of our heritage!
• It is really hot out here, fun but hot! Glad we had our fans.
• So excited to see the amazing turnout of families, friends, and neighbors.
• Lots of children were having fun as candies were handed out.
• Happy to celebrate our democracy. Some countries do not have this privilege.
• Feeling super proud to represent the land of my birth—the Philippines.
• Mabuhay at Salamat!
• My right arm got a lot of exercise, waving to the crowds.
• Need to stay hydrated! Drink more water.
• Love my throne! Sit up straight.
• Love to hear our Filipino kundimans continuously play.
• Keep waving the Filipino and American flags with my left hand.
• Cherish our peace and rights.
• Keep smiling! Respond to the crowds clapping their hands. Peace!
Sharing my favorite quote as we celebrate our freedom, may America continue to be a: “Government of the people, by the people, for the people, shall not perish from the earth.”—Abraham Lincoln
God bless America—Indeed! Grateful and blessed, a Filipino-American and a nurse!
Kalayaan
By Joel Clemente, MAN, RN
PNA North Texas: Dallas
Sa isang daan at dalawampung limang taon ng ating kasarinlan...
Gunitain natin ang kasaysayan at kayamanan
Na ipinagkalooob ng ating mga bayani...
Ang kalayaan na siyang nakamatan natin
Mula sa mga dayuhan na nais maghahari-harian ang ating luntian bansa
Na puno ng ingat-yaman.
Maging ang ating mga bayani...
Inialay ang kanilang buhay
Maipaglaban lamang ang kanilang karapatan...
Ang karapatang mamuhay sa sariling bayan na may
Kalayaan, kapayapaan, kasaganaan at hindi ina-alipin ng mga banyaga.
Sa paglipas ng panahon...
Patuloy pa rin natin tinatamasa ang kalayaang ito
Bagama't may ilan pa ring mga dayo na pilit na puksaín
Ngunit sila'y hindi nagtatagumpay
Kaya sana tuloy-tuloy pa rin natin...
Isa-isip, isapuso at isagawa
Ang diwa at malalim na kahulugan nito...
Upang maipakita natin sa buong sangkatauhan
Na Tayo'y tunay mga Pilipino saan man sa mundo.
Pilipinas: Bayan Ko
By Carmencita Santiago, BSN, RN
PNA Georgia
Tinaguriang at naging sikat ka na “Perlas ng Silangan”
Ang yaman ng ating kultura sa boong kapuluan,
Mga magagandang tanawin sa Luzon, Visayas at Mindanao,
Maipagmamalaki natin sa lahat magpakaylanman.
Magmula sa ating masasarap na pagkain,
Merienda sa umaga at hapon na mga kakainin,
Ibat- ibang luto ng isda, baka, baboy at manok,
Pagkaing kaysasaran, akoy naglalaway at napapalunok.
Napakasikat ang lechon sa mga pinoy handaan,
Hinahanap ng bisita at kanilang inaasam-asam,
Parang kulang ang handa pag mesa ay walang lechon,
Kaya laging center piece ito sa mga handaan at pagtitipon.
Ang Pilipinas ay puno ng maraming magagandang tanawin,
Bulkan, talon at makasaysayan lugar kaakit-akit bisitahin,
Wala ng ikukumpara ang ganda ng mga batis at dalampasigan,
Habang kaya nating maglakad, ating pasyalan at pagsayahan.
Boodle fight or Filipino feast tayo’y magsalo-salo,
Ipinagmamalaking tradisyon ito ng mga Pilipino’
Sari-saring putahe ng mga masasarap na pagkain,
Kubyertos free ang lahat kayo lalong ganado ang kain.
Sa lahat ng dayuhan na mahilig maglakbay,
Bisitahin ang bayan ko at huwag ng maghintay,
Ang mga Pinoy hospitable sa bisita and always smiling,
Patunay sa ating slogan, “It is more fun in the Philippines”
As we celebrate Independence Day on July 4th, I cannot help but think what a great country we live in. As I watched our small-town parade here in North Carolina, I became nostalgic remembering the first time I set in the good 'ol USA. I was in awe the minute I arrived at LA airport on how big that airport was compared to the Manila International Airport. By the time I left the Philippines, deceased former President Marcos had already declared martial law and the freedom I enjoyed growing up had been curtailed suddenly! When I saw the hustle and bustle at the airport without anyone being bothered by military men with guns, I felt liberated to be free again in my adopted country...
Freedom is something that we should cherish and not take for granted. Freedom means that we can choose our lifestyle, attain our dreams by getting our education, get the job that we love, raise our children in a place where they can be nurtured to grow as responsible adults, be free to choose our religion, and so much more. At the same time, being free comes with responsibilities. Our founding forefathers of the US Constitution made sure that our freedom would not be curtailed. However, we still have to follow the law set by our government leaders to prevent chaos and protect law-abiding citizens. We choose our government leaders through the election process and hope that the leaders of our country will protect the people under their constituency. Simply put, freedom in our country means the absence of coercion and Americans having equal rights as set by our constitution. Freedom is an absence of undue restrictions and an opportunity to exercise one's rights and powers.
On July 4th, my husband and I celebrated it differently by watching a small-town parade in sweltering heat and humidity for the first time! There were parades of fire trucks from nearby towns blowing their sirens loudly that my dog Zoey got so scared! There were no fancy floats; instead, there were parades of veteran organizations, police departments, and small businesses with their crew throwing candies toward us. It was fun picking my favorite candies! The Boy Scouts were also there, proudly marching with their banners. A few churches of different denominations were also there, giving us the blessings of freedom. There was also a parade of some old and new fancy cars. This parade might not appeal to everyone, but I truly enjoyed this small-town "Americana" celebration of our Independence Day. It showed the solidarity and simplicity of a small town USA, but everyone is proud of the freedom they enjoy living in my adopted country, the good 'ol USA!
A small town "Americana" Independence Day celebration parade at Indian Trail, NC
Friendship & Freedom: A Young Woman's View of the US-Philippine Relationship through Nutribuns and Sacks of Flour
By Liwliwa R. Villagomeza, PhD, RN, CCRN-K
PNA Tampa Founding President | PRO, 2022-2024
I was born in 1958, and in my recollection, the significance of July 4th only registered in my cognition once I became a high school student in 1971. I learned that July 4th was the day to celebrate “Filipino-American Friendship Day.” In my young mind, that friendship day meant the arrival of more Nutribuns and flour from the United States to the rural areas of the Philippines. In 5th and 6th grade, before entering high school, I witnessed in awe the delivery of such food supplies – supplies that seemingly were sufficient to feed an entire school of children. As a 5th grader taking Home Economics, I cooked pancakes using the sacks of flour supply our school received from the US through the United Nations Children’s Fund (UNICEF). I cooked enough pancakes to feed an entire school of elementary school children. In hindsight, I did what I did because I felt responsible for ensuring that the donations we received were not wasted. This feeling of responsibility, requiring me and my younger brother to leave home for school as early as 5:00 am every day, evolved into the invisible bondage I had to free myself from. Graduating from Grade 6 and transitioning to high school was my Independence Day! It was my self-driven desire to help perpetuate the “Filipino-American Friendship Day” symbolized by the nutribuns and sacks of flour that kept me in that bondage. I did not know then, but I could have battled early on with our school leaders for the right to be freed from that bondage of responsibility at such a young age.
Starting high school was freedom day for me. The fun ‘pancake cooking memories’ already etched in my mind helped me cope. I intentionally opened my eyes to the history of Filipino-American Friendship Day and the US Independence Day, both celebrated every year on the fourth day of July. I learned that the United States liberated our country, the Philippines, on July 4, 1946, forty-eight years after we became a US possession and twelve years before I was born. I also learned that years earlier, on July 4, 1776, the United States Continental Congress approved the final wording of the Declaration of Independence. It then occurred to me that July 4 is not only designated as the day we celebrate the “Filipino-American Friendship Day,” but also the day we celebrate the birth of the United States of America.
I invite you to check the website https://www.nationalww2museum.org/war/articles/july-4-1946-philippines-independence.
The Fourth of July marks the celebration of Independence Day in the United States. For us Filipino-Americans, we also remember that this was celebrated as Fil-Am Friendship Day back home in the Philippines. Living and working here in the US, we have learned to celebrate this holiday and give it our unique Filipino twist. We asked members of our PNANT-Dallas community to share how they celebrate the Fourth of July and what democracy means to them, and these are their thoughts:
“As a family, we try to go and watch the 4th of July celebration each year in McKinney or in the neighboring cities. We get to hang out with friends, watch the programs, picnic, and enjoy the fireworks at night. Growing up in the Philippines, I remember how my parents went and joined the EDSA revolution to fight for our country’s freedom and how their great-grandfathers were soldiers in WWII. I tell these stories to my kids as a reminder of how precious and hard-fought is the democracy and freedom we now enjoy.”—Geraldine Perez
“Our celebration of Independence Day is a simple get-together with family friends - starting with the recitation of thanksgiving and praise, praying the rosary and praying for other people, and it usually ends with a karaoke sing-along. As a nation of immigrants, our thoughts on democracy is that it is a form of government where the majority - the people per se rules in its decision for the betterment of the society for the people, by the people, and with the people, regardless of race, color and socio-economic status.”—Joel Clemente
“Independence Day is the day that our homeland is truly free from colonization of any nation. On this day, we think about all that has been sacrificed and celebrate it with prayers for peace. Celebrating this day in a foreign land that is so diverse is an experience. My family gets together with diverse friends and barbecue briskets, beans, potato salad, and the menu will not be complete without fish inihaw, lumpia, and pansit.”—Greta Pardue
“This is the anniversary day when 13 original states signed the documents of Independence from Great Britain and which also meant freedom from emancipation from other foreign countries. Since we are here in America, we also enjoy and celebrate this freedom during its anniversary date on July 4. We celebrated the day with prayers thanking our Lord & also the patriots who sacrificed their lives. Family and friends gather with sumptuous American & Filipino foods, barbecue, games, jokes, laughter, and of course, the fireworks. There is nothing worthwhile in this world than to be free.”—Tess Remo
PNA San Diego celebrates “May the 4th Be with You”
By Merlie Ramira, DNP, FNP-C, Victoria Berbano, MHA, RN & Lourdes Deperio, MSN, RN
PNA San Diego Past Presidents
As everyone plans to celebrate July 4th, our independence, the 247th anniversary of our birth as a nation, the Philippine Nurses Association of San Diego (PNASD) joins the celebration. This day is a Patriotic holiday commemorating the freedom we have in America while honoring those who continue to fight for it, our military heroes. Since PNASD members are busy and need help deciding the date and time to get together to celebrate as one, we decided to have two group celebrations for the Fourth of July for the South and North members. All wear festive colors of red, white, and blue.
The South group met at Marina Parkway in Chula Vista, a beautiful bayfront overlooking San Diego Bay. Perly Aguinaldo, PNASD President, led the celebration with Jay Larrosa, Merlie Ramira, Crissy Escarrilla, Fe Delosreyes, Cece Echon, Rolly Echon, Vivian Sanderlin, Lorna Herce, Christine Dozier, Brandee Hassell, Pacita Barangan, and Crisabel Ramos. We paraded with US flags along the bay, the bridge, and with beautiful trees in the background. People we met reacted to us with "Thank you for recognizing our heroes and our veterans" and even joined us walking and picture taking. We also stopped by the Veterans Home in Chula Vista and visited our Veterans, talked to them about their experiences, and thanked them for their service.
The North group celebrated by visiting the Miramar National Cemetery, a federally military cemetery in the city of San Diego, CA, located in the northwest corner of the Marine Corps Air Station Miramar on the grounds of old Camp
Kearney and Camp Elliot. The group has three themes on their minds: First, the flag symbolizes our freedom and for those who served; Second, Kapit-Bisig (Arm in Arm together), which represents our duty to unite in service to people of all walks of life and our country; Third, the Home of the Braves which independence Day symbolizes freedom to be what we want to be, the land of endless opportunities to pursue our dreams. It is a day to thank the Armed Forces Services for their sacrifices to keep us and our families free and safe! Freedom is priceless and worth living and fighting for. The North group comprised Vickie Berbano, Lourdes Deperio, Tessie Porciuncula, Marissa Porciuncula, Elvie Magsarili, Rosemarie Cruz, Lourdes Nisperos, and Chona Lutap.
One of our members, Dorothy Brown, took a picture with the flag that she treasured because that was given to her when she was sworn in during her Citizenship 20 years ago. We also celebrate with family and friends collectively, celebrating with fireworks, parades, and family gatherings with food and drinks. Let us continue to be kind, caring, and loving and show how we can serve others in our own way. Let us remember our heroes who advocated the freedom we all enjoy today. Proud to be an American! Happy 4th of July! Happy Birthday, America! We are grateful for the opportunities and blessings available to us to be successful and accomplished and achieve the American dream. Thank you, America the Beautiful, “Land of the Free and Home of the Braves.”
Happy Independence Day 2023
The Supreme Court Ruled Affirmative Action Policies in College Admissions at Harvard and UNC Unconstitutional
By Leticia Hermosa, JD, PhD, RN, Esq.
PNAA Legal Adviser
PNAA President 2014-2016
The following are highlights of the Supreme Court decision presented by Chief Justice John Roberts on June 29, 2023. In a majority vote of 6-3, the Court ruled that the affirmative action policies in two colleges, Harvard College, and University of North Carolina, are unconstitutional. The two cases discussed were:
“Students For Fair Admissions, Inc. v. President and Fellows of Harvard College” and “Students For Fair Admissions, Inc. v University of North Carolina”.
Argued October 31, 2022—Decided June 29, 2023
(The full text of the Opinion of the Supreme Court may be found at www.supremecourt.gov/opinions/decisions/: 20-1199_Students_for_Fair_Admissions,_Inc._v._President_and_Fellows_of_Harvard_College_(06/29/2023) (supremecourt.gov)
The cases considered by the Court was whether the admissions systems used by Harvard and University of North Carolina (UNC) are lawful under the Equal Protection Clause of the Fourteenth Amendment of the US Constitution.
Harvard College and the University of North Carolina (UNC) are two of the oldest institutions of higher learning in the United States. Every year, tens of thousands of students apply to each school; many fewer are admitted. Both Harvard and UNC employ a highly selective admissions process to make their decisions. Admission to each school can depend on a student’s grades, recommendation letters, or extracurricular involvement. It can also depend on their race.
Harvard's Admission Process:
At Harvard, each application for admission is initially screened by a “first reader,” who assigns a numerical score in each of six categories: academic, extracurricular, athletic, school support, personal, and overall. For the “overall” category—a composite of the five other ratings—a first reader can and does consider the applicant’s race. Harvard’s admissions subcommittees then review all applications from a particular geographic area. These regional subcommittees make recommendations to the full admissions committee, and they take an applicant’s race into account. When the 40-member full admissions committee begins its deliberations, it discusses the relative breakdown of applicants by race. The goal of the process, according to Harvard’s director of admissions, is ensuring there is no “dramatic drop-off” in minority admissions from the prior class. The full committee’s votes are tentatively accepted for admission. At the end of this process, the racial composition of the tentative applicant pool is disclosed to the committee. The last stage of Harvard’s admissions process, called the “lop,” winnows the list of tentatively admitted students to arrive at the final class. Applicants that Harvard considers cutting at this stage are placed on the “lop list,” which contains only four pieces of information: legacy status, recruited athlete status, financial aid eligibility, and race. In the Harvard admissions process, “race is a determinative tip for” a significant percentage “of all admitted African American and Hispanic applicants.”
UNC’s Admission Process
Like Harvard, UNC’s admissions process is highly selective. In a typical year, the school “receives approximately 43,500 applications for its freshman class of 4,200. Every application is reviewed first by an admissions office reader, who assigns a numerical rating to each of several categories. Readers are required to consider the applicant’s race as a factor in their review. Readers then make a written recommendation on each assigned application, and they may provide an applicant a substantial “plus” depending on the applicant’s race. At this stage, most recommendations are provisionally final. A committee of experienced staff members then conducts a “school group review” of every initial decision made by a reader and either approves or rejects the recommendation. In making those decisions, the committee may consider the applicant’s race.
Students for Fair Admissions, Inc.
Petitioner, Students for Fair Admissions (SFFA), is a nonprofit organization whose stated purpose is “to defend human and civil rights secured by law, including the right of individuals to equal protection under the law. SFFA filed separate lawsuits against Harvard and UNC, arguing that their race-based admissions programs violate, respectively, Title VI of the Civil Rights Act of 1964 and the Equal Protection Clause of the Fourteenth Amendment.
According SFFA, “over 80% of all Black applicants in the top academic decile were admitted to UNC, while under 70% of white and Asian applicants in that decile were admitted. In the second highest academic decile, the disparity is even starker: 83% of Black applicants were admitted, while 58% of white applicants and 47% of Asian applicants were admitted. And in the third highest decile, 77% of Black applicants were admitted, compared to 48% of white applicants and 34% of Asian applicants. The same is true at Harvard. An African American student in the fourth lowest academic decile has a higher chance of admission (12.8%) than an Asian American in the top decile (12.7%); Black applicants in the top four academic deciles are between four and ten times more likely to be admitted to Harvard than Asian applicants in those deciles.”
First Circuit also found that Harvard's consideration of race has led to an 11.1% decrease in the number of Asian-Americans admitted to Harvard. And the District Court observed that Harvard’s “policy of considering applicants’ race . . . overall results in fewer Asian American and white students being admitted.”
Equal Protection Clause
Proposed by Congress and ratified by the States in the wake of the Civil War, the Fourteenth Amendment provides:
“All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside. No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law; nor deny to any person within its jurisdiction the equal protection of the laws.” §1. “All persons born or naturalized in the United States, and subject to the jurisdiction thereof, are citizens of the United States and of the State wherein they reside. No State shall make or enforce any law which shall abridge the privileges or immunities of citizens of the United States; nor shall any State deprive any person of life, liberty, or property, without due process of law; nor deny to any person within its jurisdiction the equal protection of the laws.”
Proponents of the Equal Protection Clause described its “foundational principle” as “not permitting any distinctions of law based on race or color.” Any “law which operates upon one man,” they maintained, should “operate equally upon all.” Accordingly, as this Court’s early decisions interpreting the Equal Protection Clause explained, the Fourteenth Amendment guaranteed “that the law in the States shall be the same for the black as for the white; that all persons, whether colored or white, shall stand equal before the laws of the States.”
Strict Scrutiny Test
Any exception to the Constitution’s demand for equal protection must survive a daunting two-step examination known as “strict scrutiny.” Under that standard we ask, first, whether the racial classification is used to “further
compelling governmental interests. Second, if so, we ask whether the government's use of race is "narrowly tailored," meaning "necessary" to achieve that interest.
Harvard identifies the following compelling educational benefits that it is pursuing: (1) "training future leaders in the public and private sectors"; (2) preparing graduates to "adapt to an increasingly pluralistic society"; (3) "better educating its students through diversity"; and (4) "producing new knowledge stemming from diverse outlooks." UNC points to similar benefits, namely, "(1) promoting the robust exchange of ideas; (2) broadening and refining understanding; (3) fostering innovation and problem-solving; (4) preparing engaged and productive citizens and leaders; [and] (5) enhancing appreciation, respect, and empathy, cross-racial understanding, and breaking down stereotypes."
Although these are commendable goals, they are not sufficiently coherent for purposes of strict scrutiny. At the outset, it is unclear how courts are supposed to measure any of these goals. How is a court to know whether leaders have been adequately "trained;" whether the exchange of ideas is "robust;" or whether "new knowledge" is being developed? Even if these goals could somehow be measured, moreover, how is a court to know when they have been reached?
The Court finds that the race-based admissions systems that respondents employ fail to comply with the twin commands of the Equal Protection Clause that race may never be used as a "negative" and that it may not operate as a stereotype. First, our cases have stressed that an individual's race may never be used against him in the admissions process.
One of the principal reasons race is treated as a forbidden classification is that it demeans the dignity and worth of a person to be judged by ancestry instead of by his or her own merit and essential qualities." But when a university admits students "on the basis of race, it engages in the offensive and demeaning assumption that students of a particular race, because of their race, think alike,"
Nothing in this opinion however, should be construed as prohibiting universities from considering an applicant's discussion of how race affected his or her life, be it through discrimination, inspiration, or otherwise. A benefit to a student who overcame racial discrimination, for example, must be tied to that student's courage and determination. Or a benefit to a student whose heritage or culture motivated him or her to assume a leadership role or attain a particular goal must be tied to that student's unique ability to contribute to the university. In other words, the student must be treated based on his or her experiences as an individual—not on the basis of race.
"Because Harvard's and UNC's admissions programs lack sufficiently focused and measurable objectives warranting the use of race, unavoidably employ race in a negative manner, involve racial stereotyping, and lack meaningful end points, those admissions programs cannot be reconciled with the guarantees of the Equal Protection Clause. At the same time, nothing prohibits universities from considering an applicant's discussion of how race affected the applicant's life, so long as that discussion is concretely tied to a quality of character or unique ability that the particular applicant can contribute to the university. Many universities have for too long wrongly concluded that the touchstone of an individual's identity is not challenges bested, skills built, or lessons learned, but the color of their skin. This Nation's constitutional history does not tolerate that choice".
**The Supreme Court Held:** Harvard's and UNC's admissions programs violate the Equal Protection Clause of the Fourteenth Amendment.
ROBERTS, C. J., delivered the opinion of the Court, in which THOMAS, ALITO, GORSUCH, KAVANAUGH, and BARRETT, JJ., joined. THOMAS, J., filed a concurring opinion. GORSUCH, J., filed a concurring opinion, in which THOMAS, J., joined. KAVANAUGH, J., filed a concurring opinion. SOTOMAYOR, J., filed a dissenting opinion, in which KAGAN, J., joined, and in which JACKSON, J., joined as it applies to No. 21–707. JACKSON, J., filed a dissenting opinion in No. 21–707, in which SOTOMAYOR and KAGAN, JJ., joined. JACKSON, J., took no part in the consideration or decision of the case in No. 20–1199.
Travel Plans?
Here are Some Tips to Stay Healthy Before your trip:
- Talk with your travel companions about ways you can reduce risk together.
- Get a COVID-19 bivalent booster if you haven't already.
- Test as close to the time of departure as possible.
- Don't travel if you test positive.
Source: https://vaccinesourcehub.org/resources/immunity/434 - 434
This resource was made possible by cooperative agreement CDC-RFA-I271-2106 from the Centers for Disease Control and Prevention at the U.S. Department of Health and Human Services (HHS). Its contents are solely the responsibility of the authors and do not necessarily represent the official views of CDC/HHS.
Travel Plans?
Here are Some Tips to Stay Healthy During your trip:
- Pack high quality masks. Wear them in flight or while traveling in public transportation.
- Bring rapid At-Home tests with you and test if you feel sick.
- Wash your hands often, and try not to touch your eyes, nose, and mouth.
Source: https://vaccinesresourceshub.org/resources/responsibility/4341 - 434
This resource was made possible by cooperative agreement CDC-RFA-P21-2106 from the Centers for Disease Control and Prevention of the U.S. Department of Health and Human Services (HHS). Its contents are solely the responsibility of the authors and do not necessarily represent the official views of CDC/HHS.
Travel Plans?
Here are Some Tips to Stay Healthy
What to do after traveling:
- Monitor for COVID-19 symptoms.
- Take an At-home test
- Enjoy the memories.
Source: https://vaccinesresourcehub.org/resources?resolity=4341—4341
This resource was made possible by cooperative agreement CDC-RFA-P21-2106 from the Centers for Disease Control and Prevention of the U.S. Department of Health and Human Services (HHS). Its contents are solely the responsibility of the authors and do not necessarily represent the official views of CDC/HHS.
Diversity in Nursing Profession: PNASC Member's Personal Journey
By Marion Yates, DNP, MSN, RN, CCRN, NEA-BC
PNASC New Member
Many years ago, when I first came out as a Lesbian, my father warned me to be careful. He told me many were not open to “alternate lifestyles,” I may experience difficulties in the community and my career, especially if I was “out.” I was determined to prove him wrong. I identify as Lesbian and masculine or butch. Regardless of what I say or do, it is obvious to most that I am gay.
Growing up in the Southeastern United States was not always easy; I was often called names and even had things thrown at my car. When I entered nursing school, I was initially very careful about who knew I was gay, especially because I attended school in Georgia. However, as time passed, I became more comfortable sharing this part of my life. The world was changing. Upon graduation, I moved to Southern California to be with my long-term girlfriend of three years. When starting my career in the ICU, old habits from living in the Southeastern United States forced me to use discretion when speaking of my personal life. However, California was much different than anything I had ever experienced. It was a much more welcoming environment for a gay person. I quickly became much more comfortable and very openly “out.”
After spending several years in the ICU, I was promoted to Nursing Director. I worked for a Director of Nursing who did not understand why I wore suits and ties to work. She told me my manner of dress was inappropriate and offensive to patients and staff—a blatant violation of my right to gender expression, a protected class in the State of California. I was truly surprised at this incident, especially coming from a colleague and fellow Registered Nurse. After all, as nurses, we see everything and take care of everyone. I discussed this with the Chief Nursing Officer, who fully supported me. This incident would never happen again.
Dr. Marion Yates and his wife of 8 years
On April 19, 2023 the CDC updated its COVID-19 vaccine recommendations to simplify guidance and allow people at higher risk for severe COVID-19 to get an additional vaccine dose.
• **Everyone aged 6 years and older** should get one updated Pfizer-BioNTech or Moderna COVID-19 vaccine to be up to date regardless of whether they’ve received any original COVID-19 vaccines.
• **People aged 65 years and older** may get a 2nd dose of the updated Pfizer-BioNTech or Moderna COVID-19 vaccine at least four months after the initial bivalent dose.
• **People who are moderately or severely immunocompromised** may get additional doses of updated Pfizer-BioNTech or Moderna COVID-19 vaccine.
*Why did the CDC make this recommendation?* Older adults and people with compromised immune systems are at higher risk for severe COVID-19, and data show that the effectiveness of COVID-19 vaccines wanes over time. An additional dose of the updated vaccine offers this group extra protection from getting seriously ill with COVID-19.
• **Children aged 6 months–5 years** may need multiple doses of COVID-19 vaccine to be up to date, including at least one dose of updated Pfizer-BioNTech or Moderna COVID-19 vaccine, depending on the number of doses they’ve previously received and their age.
**To find COVID-19 vaccine locations near you:** Search [vaccines.gov](https://www.vaccines.gov), text your ZIP code to 438829, or call 1-800-232-0233.
Source: [https://www.cdc.gov/coronavirus/2019-ncov/vaccines/stay-up-to-date.html](https://www.cdc.gov/coronavirus/2019-ncov/vaccines/stay-up-to-date.html)
“This publication was made possible by cooperative agreement CDC-RFA-IP21-2106 from the Centers for Disease Control and Prevention of the U.S. Department of Health and Human Services (HHS). Its contents are solely the responsibility of the authors and do not necessarily represent the official views of CDC/HHS.”
UPDATED AND ORIGINAL COVID-19 VACCINES: WHAT IS THE DIFFERENCE
Updated vaccines
The updated vaccines are called “updated” because they protect against both the original virus that causes COVID-19 and the Omicron variant BA.4 and BA.5. Two COVID-19 vaccine manufacturers, Pfizer-BioNTech and Moderna, have developed updated COVID-19 vaccines.
Original vaccines
Previous COVID-19 vaccines are called “original” because they were designed to protect against the original virus that causes COVID-19. As of April 18, 2023, the original Pfizer-BioNTech and Moderna COVID-19 vaccines are no longer authorized for use by the FDA in the United States. Updated Pfizer-BioNTech and Moderna COVID-19 vaccines are being used for all age groups.
To find COVID-19 vaccine locations near you: Search vaccines.gov, text your ZIP code to 438829, or call 1-800-232-0233.
Source: https://www.cdc.gov/coronavirus/2019-ncov/vaccines/stay-up-to-date.html
2023 PNAA BSN Scholarship Awardees
Awardee: Micah Elissa Tiamzon
Chapter: PNA Gulf Coast Florida
School: Univ of South Florida
Program: BSN
“As I complete my third semester of nursing school, I have recognized the significance nurses play in providing optimal care for patients. They not only serve selflessly, but they also serve with dignity, honor, and leadership.”
Awardee: Angela Degracia
Chapter: PNA North Houston
School: Lone Star College
Program: BSN
“As a first-generation Filipino-American, I have received many opportunities in my education that my parents were unable to have. Getting this scholarship would be incredibly helpful in achieving my goals.”
Awardee: Donnalyn Larisma
Chapter: PNA Metro Houston
School: Texas Woman’s Univ
Program: BSN
“As a nurse who is passionate about working with children, my career pathway in the next five years will focus on pediatrics. I have always been drawn to working with children and their families, and I believe that I have the skills and dedication necessary to make a difference in their lives”.
Awardee: Trish Aryanna Bajao
Chapter: PNA Arizona
School: Arizona State Univ
Program: BSN
“I hope to work in a hospital or healthcare facility, where I can contribute to improving the health and well-being of patients and their families. Eventually, I would like to pursue further education to advance my career and expand my scope of practice.”
2023 PNAA Graduate Scholarship Awardees
Awardee: Ma. Arlene E. Azores
Role & Chapter: Board of Directors PNAA New Jersey
School: William Paterson Univ
Program: Doctor of Nsg Practice (DNP)
“This scholarship will help me pursue my dream to find strategies to prevent pregnancy-related deaths, to educate and to empower postpartum women to speak up and to seek for immediate help, and to advocate for them especially those who don’t have access to health care.”
Ma. Arlene E. Azores, MSN, RN
Awardee: Maricon B. Dans
Role & Chapter: Asst. Recording Sec PNAA Metropolitan DC
School: Liberty University
Program: Doctor of Philosophy in Nsg (Ph.D.)
“As a nursing leader gifted with an opportunity to advocate for positive practice environments for nurses globally, pursuing further education would allow me to broaden my impact on Americans of Filipino descent even more.”
Maricon B. Dans, MSN, RN, NE-BC
Awardee: Lozel S. Greenwood
Role & Chapter: Advisory Board PNA New England, Inc.
School: Regis College
Program: Master of Science in Nsg - Clinical Nurse Leader
“We can help the new generation of nurses to love the nursing practice, to feel safe and supported. I hope to bridge the gap to creating a compassionate organizational culture.”
Lozel S. Greenwood, BSN, BA, RN
Awardee: Abraham B. Asto
Role & Chapter: Greater St. Louis, MO
School: St. Louis University
Program: Doctor of Philosophy in Nsg (Ph.D.)
“Indeed, being a PNAA scholar can create leverage for the nursing profession which promotes quality of life and well-being”.
Abraham B. Asto, BSN, RN
PNAA Scholarship Committee
2022-2024
Adviser
Jennifer M. Dizon,
DNP, RN-BC
North Carolina - Eastern Region
Chairman
Ira L. Martin,
DNP, RN, CPHQ, LSSGB
North Houston-SCR
Co-Chair
Mary Dedeen Orola Womer,
MSN/ADM, RN, BON
Maryland-Eastern Region
Member
Sherwin Imperio,
DNP, APRN, PMHNP-BC, RN-BC, PHN
California Orange County - Western Region
Member
Joselito “Bong” Muncada, DDM,
AASITT, RN, CRRN
North Houston, Texas-SCR
Member
Aileen Carmela Laczi,
MSN, RN, CNOR
North Carolina-Eastern Region
Member
Maria Hipolito,
BSN, RN
Greater St. Louis-NCR
As PNAA moves towards addressing Diversity, Equity, and inclusivity (DEI) in our committees, one aspect of DEI we need to address is the social determinants of health (SDoH). As healthcare providers, we are trained to be culturally and socially sensitive to issues affecting our patients.
What are SDoH, and how do they factor into the health equity conversation? According to the Centers for Disease Control and Prevention (CDC), SDoH is the "conditions in the places where people live, learn, work, and play that affect a wide range of health risks and outcomes." There are categories of SDoH: quality and access to health care, access to quality education, social and community contexts, economic stability, and one's neighborhood (AANP, 2023).
Many of our underserved and marginalized patients may experience an inability to access quality healthcare. They may even experience challenges obtaining medications and food access related to poverty and lack of resources. Or may have to travel miles to obtain healthcare or lack information on living a healthy lifestyle. According to the AANP, e causes for this discrepancy can be attributed to social determinants of health (SDoH), ranging from access to health care, quality of education, economic stability, and environment. As advanced practice nurses (APN), we are vital in increasing health equity and reducing SDoH's impact on patients within your community.
According to the U.S. Department of Health and Human Services Office of Minority Health (OMH), "When patients are provided with culturally and linguistically appropriate information, they are empowered to create healthier outcomes for themselves and their communities."
Current data and statistics:
1. At least 88 percent of adults living in the U.S. have health literacy inadequate to navigate the healthcare system and promote their well-being.
2. Race/ethnicity: Adults identifying as Hispanic demonstrate the lowest health literacy of all groups examined. White and Asian/Pacific Islander adults have higher average health literacy levels than other racial/ethnic groups.
3. Culture: Adults who spoke only English at home before schooling have higher health literacy. In contrast, those who spoke only Spanish at home before schooling have the lowest average health literacy of any population. In the African American community, lower health literacy is more common among those with stronger religious beliefs.
4. Gender: Women are slightly more health literate than men overall (12 percent vs. 16 percent below basic competency).
5. **Socioeconomic status**: Health literacy increases with income and education level. The lack of a high school diploma is associated with lower health literacy scores, on average, than living below the poverty line.
6. **Health-insurance** coverage: Americans with employment-based, military, or private insurance have higher health literacy on average than adults covered by Medicare or Medicaid or without insurance.
7. **Source of health information**: Adults scoring lower in health literacy are likelier to obtain health information from non-print media (radio, television) and less likely to use printed/written sources (newspapers, internet). People with proficient or intermediate health literacy are more likely to seek healthcare information from various sources.
**What is health literacy?** According to Berkman et al. (2010), it is the degree to which individuals can obtain, process, understand, and communicate health-related information needed to make informed health decisions. "Health literacy is linked to literacy and entails people's knowledge, motivation, and competencies to access, understand, appraise, and apply health information to make judgments and take decisions in everyday life concerning healthcare, disease prevention, and health promotion to maintain or improve quality of life during the life course" (Sorensen et al. (2012))
How can we, as nurses, address SDoH?
Through patient education and improving health literacy we can empower our patients through improved education and health literacy.
Interventions that improve health literacy may empower individuals to act on social and economic determinants of health at both the individual and community levels. Improvements in health literacy are likely to result in improved utilization of preventive services, medical adherence, and involvement in health decision-making."
- Suggestions offered by Lopez et al. 2020: emphasize people's ability to *use* health information rather than understand it.
- Focus on the ability to make "well-informed" decisions rather than "appropriate" ones.
- Incorporate a public health perspective.
- Acknowledge that organizations have a responsibility to address health literacy, and be an advocate for your patient by being an active part of your organizations' decision-making example: Interdisciplinary meetings, speaking with your organization's stakeholders, and making proposals for creating a [health literacy plan](#) with support and resources from the CDC.
- Discover the critical role health literacy plays in the goals set by [Healthy People 2030](#) and browse their tools for improving health literacy by 2030.
- Learn more about providing [culturally and linguistically appropriate services](#) to patients in your community.
Check out: [Health Literacy in Healthy People 2030 - Healthy People 2030 | health.gov](#)
When patients interact with a healthcare provider they are comfortable talking to or can quickly identify with; they are more likely to have a positive outcome. Communication is the key to addressing diversity in the workforce, which includes understanding certain cultural traditions that cannot necessarily be read from a book. Institutions may also recruit and retain healthcare personnel from racial and ethnic minority populations to work in healthcare settings is critically important.
Communicative or interactive health literacy refers to "more advanced cognitive and literacy skills which, together with social skills, can be used to participate in everyday activities actively, to extract information and derive meaning from different forms of communication, and to apply new information to changing circumstances" (Nutbeam, 2000).
Critical health literacy requires "more advanced cognitive skills which, together with social skills, can be applied to analyze information critically and to use this information to exert greater control over life events and situations" (Nutbeam, 2000).
National Action Plan to Improve Health Literacy
1. Develop and disseminate health and safety information that is accurate, accessible, and actionable
2. Promote changes in the healthcare delivery system that improve health information, communication, informed decision-making, and access to health services.
3. Incorporate accurate, standards-based, and developmentally appropriate health and science information and curricula in childcare and education through the university level.
4. Support and expand local efforts to provide adult education, English-language instruction, and culturally and linguistically appropriate health information services in the community.
5. Build partnerships, develop guidance, and change policies.
6. Increase basic research and the development, implementation, and evaluation of practices and interventions to improve health literacy.
7. Increase the dissemination and use of evidence-based health literacy practices and interventions.
References:
https://www.aanp.org/news-feed/achieving-health-equity-through-better-understanding Achieving Health Equity through Better Understanding (aanp.org)
Berkman, Nancy D., Terry C. Davis, and Lauren McCormack. 2010. "Health Literacy: What Is It?" Journal of Health Communication 15 (sup2): 9–19. https://doi.org/10.1080/10810730.2010.499985.
Coughlin SS, Vernon M, Hatzigeorgiou C, George V. Health Literacy, Social Determinants of Health, and Disease Prevention and Control. J Environ Health Sci. 2020;6(1):3061. Epub 2020 Dec 16. PMID: 33604453; PMCID: PMC7889072.
Lopez, C, Kim, B., Sacks, K.: Enhancing Assessments and Reducing Disparities Health_Literacy_United_States_Final_Report.pdf (milkeninstitute.org)
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Home Page - Office of Minority Health (OMH) (hhs.gov)
Congratulations to Joel Clemente MAN, RN, for being one of the awardees for the 2023 Immigrant Professional Excellence Award, which is given by the Badmus & Associates Law Firm. The Immigrant Journey Awards is given in June to celebrate Immigrant Heritage Month. The awards program aims to shine a spotlight on immigrant achievements and contributions to North Texas and the country.
Joel is an active member of PNANT-Dallas, Knights of Columbus, and Couples for Christ and a hospitality minister in the church. He works full-time at the Accel Rehabilitation Hospital and PRN at Reunion Rehabilitation Hospital in Plano, TX. He has published a book entitled “The Story of a Prudent Nurse” and has recently published a second book entitled “OUR JOURNEY, A Sequel To The Story Of A Prudent Nurse,” with Krysha and May Cabuenas-Clemente.
It contains thought-provoking stories that the readers can resonate with, be positively influenced, and learn from the author and his family’s life experiences. Proceeds from the sales will go to three charitable institutions: Jesuit Volunteers Philippines Foundation Inc., Couples For Christ-Answering The Cry of the Poor Education program, and the PNANT-Dallas Scholarship Fund. It is available online on the soft cover and Kindle versions at amazon.com, iuniverse.com, and barnesandnoble.com.
PNANT-Dallas congratulates Joel and wishes him well in all his endeavors!
The Philippine Nurses Association of Arizona (PNAAZ) just concluded a busy and engaging month. Last May 20, 2023, PNAAZ held its first in-person conference after the COVID-19 Pandemic at the Sonntag Pavilion, St. Joseph's Hospital and Medical Center. The conference was spearheaded by Rizza Ditchella, President-Elect and PNAAZ Education Chair, and the Education Committee members composed of Eileen Brown, Minnerva Carroz, Marinor Condes, Jennifer Somera, and Darlene Ynzon.
As the world is emerging into the post-pandemic normal, careful thought and consideration went into planning the theme. The theme is Making a Difference by Creating a Positive Change to Yourself, Workplace, and Community. The conference aimed to provide knowledge and skills to build resiliency among nurses navigating the challenging healthcare environment. The conference fee was waived for all PNAAZ members and made possible by applying for grants, marketing for sponsors and vendors, and donations from community partners.
The day was started by Amabel Nugpo-De Leon, BSN, RN as the keynote speaker, a published author of “Bloom on the Battlefield.” Mrs. Nugpo De Leon inspired the attendees by telling her story of being unhoused when she first came to the United States and fast-forwarding to the present as an owner of 11 successful companies. The second speaker was Dr. Sonal Haerter, MD, an internal medicine provider at St. Joseph's Hospital and Medical Center and professor at Creighton University College of Medicine. Dr. Haerter had a very engaging and relevant talk on Burnout to Rejuvenation. The third speaker was Dr. Clement Singarajah, MD, Chief of Pulmonology and Critical Care at the Carl T. Hayden Veterans'
Administration Hospital. He discussed Pulmonary Complications of COVID-19, especially in the patient population who continue to experience the long-term effects of the COVID-19 virus. After a sumptuous lunch, the fourth and fifth speakers were St. Joseph’s Hospital and Medical Center chaplains Dana Fee and Nash Pwol. They discussed Resiliency and Active Listening skills. They gave the attendees tools to foster resilience and led them in role-playing activities to practice active listening. The sixth speaker was Dr. Madhavi Meka, MD, a vascular surgeon at the Carl T. Hayden Veterans’ Administration Hospital. Her topic, Varicose Veins: Not a Cosmetic Surgery, applied to the nurses who spend most of their working hours standing.
After the conference, PNAAZ proceeded to the general assembly. Nelly Peterson, MNE, RN, past president and chair of the Scholarships and Awards, announced the winners. Elias Fojas and Mariz Millalos received $500 each for the BSN category, and Marlo Beaudoin, BSN RN, received $500 for the advanced degree category. Nursing Excellence Award recipients for 2023 were Marilyn Geiser, BSN, RN-Clinical; Angelina Radau, BSN, RN-Community; and Sarah Arabit, MSN, FNP, RN-Entrepreneurship. Grace Miller, BSN, RN, and Jacquelyn Andres, DNP, RN, received Presidential Awards for Outstanding Executive Board Member and Outstanding Member, respectively.
Maila Santos, BSN, RN, a PNAAZ member, and a conference attendee, shared how grateful she was to be at the conference. The topics were all pertinent to her role as a Mental Health Nurse. She added that the topics benefited not only nurses but all healthcare workers. She was very appreciative that the conference was free to PNAAZ members. “I had a choice not to go or go. I am so glad I did. It was a
Saturday well spent.” Ann Semacon, BSN, RN, another PNAAZ member, and attendee, mentioned that every aspect of the conference was well organized, from the registration to the whole program. She stated that in the past, after she attended similar conferences, she left feeling inadequate. Thoughts that she had not done enough in her nursing career would plague her mind. After the PNAAZ conference, she felt empowered, knowing she could define her success.
PNAAZ expresses gratitude to the sponsors, vendors, and donors: Global Nursing Foundation, Instarem, Grand Canyon University, Valley of the Sun Home Health, The Health Solution: Living Benefits, Treat Rite Wellness, Kaden’s Minimart, Premier Medical Distribution, My True Joy, Atlas Arizona, Eternity Hospice and Palliative Care, Saladmaster, Mayo Clinic Arizona for the giveaways, and St. Joseph’s Hospital and Medical Center for the free venue and parking for all the attendees.
The next big event happened on June 10, 2023, during the celebration of the Philippine Independence Day Celebration in the Hyatt Regency Hotel in downtown Phoenix. PNAAZ was in charge of the parade of organizations. Marinor Condes, President, and Hans Taberna, Treasurer, were tasked to introduce and read the biographies of the organizations as they paraded across the ballroom. PNAAZ had the opportunity to partner with Asian Pacific Community in Action in educating the community on preventing Cardiovascular disease and Type II Diabetes. PNAAZ also distributed All of Us Research Flyers. PNAAZ took the opportunity to recruit new members and returning members.
The last event was on June 24, 2023, the Philippine Nurses Association of Arizona (PNAAZ) leaders and members taught a bystander Cardiopulmonary Resuscitation (CPR) class at the St. James Roman Catholic Parish. Angie Radau, a faithful church, and PNAAZ member, requested that PNAAZ conduct the class. The course aims to teach church staff and volunteers life-saving CPR skills they can utilize during health emergencies.
Rizza Ditchella, the PNAAZ president-elect, managed the CPR videos and led the discussions. Attendees were then allowed to assess the victim's consciousness, call for help, practice compressions, and deliver breaths to the mannequins. The care of a choking victim was demonstrated. Performance of the Heimlich maneuvers and abdominal thrusts were shown. The rest of the PNAAZ team: Dr. Shirley Soden, Maricel Bobadilla, Eileen Brown, Marinor Condes, Grace Miller, and Angie Radau gave the attendees feedback, answered questions, and presented different scenarios to enhance the discussion and learning. In addition, Eileen Brown showed the group how to use the automatic external defibrillator. Lastly, Maricel Bobadilla reviewed the signs and symptoms of a stroke and the importance of calling for help immediately.
Sixteen attendees completed the training and received certificates of attendance. The attendees were grateful for the opportunity to learn CPR and thanked PNAAZ members for spending their Saturday morning with them.
PNAAZ organized a whirlwind of activities in a matter of 34 days! A hectic month indeed, yet the most fulfilling! PNAAZ rose to many occasions through teamwork, leadership, and coaching. PNAAZ EXCELS continues to be integral in delivering Dr. Gloria Beriones' Our United Voices: WE CARE message. As Arizona bakes in the summer heat, PNAAZ sends you our warmest regards!
On June 4, 2023, I had the wonderful opportunity to assist in hosting a Blood Pressure and Summer Safety Clinic with the Philippine Nurses Association of America California Capital City Chapter (PNAC3), UC Davis Health (UCDH), and Sierra Donor Services (SDS) at the Filipino Fiesta of Sacramento 2023 at Jose Rizal Community Center in Elk Grove. The Filipino Fiesta started in 1977 and hosted thousands of people annually, with business and community organizations participating as vendors. Throughout the day, visitors can enjoy performances of local entertainers and visit vendors' tents to purchase food and drinks, merchandise, play games, meet and network with business professionals, and get educated through health organizations like UCDH and Kaiser Permanente.
For years, UCDH has provided health education to visitors, like reading vital signs using a Philips monitor or providing glucose readings for those curious about diabetes. This year, it was highly requested do blood pressure readings and summer safety, especially for the pediatric population. To provide our visitors with our UCDH freebies, we asked them to spin the wheel to win a prize, but the caveat to obtaining the prize, we requested they answer a question regarding safety for the summer. Some questions were: how many seconds should you take and count to while washing your hands? To prevent any trauma to the head, what should you wear while riding a bike? While driving in a vehicle, what is one way to prevent accidents? How many cups of water should you drink daily? And please demonstrate how you cover your cough or sneeze. It was great how well everyone answered these questions, but the pediatric population did amazingly well and really enjoyed our presence.
As a pediatric nurse at UCDH Children’s Hospital, I was reassured that children really do pay attention to what they learn and do their best in the community. As a Filipino nurse, the Fiesta reminded me of my culture and how family-oriented we are. We love gathering together, meeting new people, and networking. After the Fiesta, I met many people from various organizations that wanted to work with UCDH, PNAC3, and SDS. As a member of PNAC3, I cannot wait to continue providing services to the community, especially when it comes to educating thousands of visitors regarding their health, which we all clearly value.
The PNACC Nursing Excellence Awards was held on June 3rd, 2023, at the Fort Washington Country Club, Fresno, California.
Several outstanding nurses in the central valley were nominated in various categories of nursing excellence. Led by Eleanor Haight Pucay and Jennifer Martizano, chair, and co-chair, respectively, of the committee on Nursing Excellence Awards, the following were honored for their exceptional contributions in the categories listed below:
1. Clinical Nursing - Shelly Reyes, BSN, RN, CPN
2. Clinical Informatics - Cecilia Utleg, BSN, RN, MSN
3. Nursing Education - Bernard Payongayong, MSN-Ed, CNOR
4. Community Service - Maria Luisa Akia, BSN, RN
5. Advanced Practice - Roces Velasco, MSN, NN-BC
6. Nursing Entrepreneur - Jonalyn Luis-Calliao, BSN, RN
The Aloha-themed event was a blast, starting from the carefully curated decorations made by Sheila Guansing and her committee on decoration teammates, Athena Oliquiano and Susan Manimtim. The
guest of honor, PNAA Western Region Vice President Mr. Bob Gahol, who hails from Hawaii, said he felt very much at home. Mr. Bob Gahol highlighted that the PNACC is the largest chapter in the Western Region. He challenged PNACC to continue setting the bar high for others to follow.
PNAA President Dr. Gloria Lamela Briones was virtually present at the event via a recorded video greeting. Her message carried a personal touch as she expressed her profound gratitude for her strong connection towards PNACC. "PNACC, as a professional nursing organization, you are an exemplar!" she said.
Mrs. Nancy Hoff, PNAAF President, likewise graced the occasion. In her speech, she promoted "Siglo ng Kalinga," a film featuring the 100th year anniversary of the Philippine Nurses Association.
Kudos to the steadfast leadership of Merlina Martin, PNACC President, for a very successful and fun-filled PNACC Nursing Excellence Awards Day.
Nurse Excellence Awards Night
Kalayaan Atlanta, 2023 Family Fun Day
June 12, 2023, marks the 125th Year of Philippine Independence from Spanish rule. Philippine Honorary Consul General Raoul “Ray” Donato and Makabayan Georgia, Inc. (MGI) have led the Annual “Kalayaan Atlanta” celebrations with the different organizations of the Filipino-American community, community leaders, and volunteers. “Nandito Na Tayo” (We Are Here Now) is this year’s Kalayaan Atlanta 2023 theme. This year’s celebration included Family Fun Day, Thanksgiving Mass, and Gala Night.
On Saturday, June 3rd, 2023, the Philippine Festival Kalayaan Fun Day was held at Pinckneyville Park, Norcross, Georgia. Pia Valeriano and Randy Cabanog co-chaired this event. This event was free for everyone, from 9:00 AM until 4:00 PM. The venue was packed, guests had to go around finding a parking space, and some had to go to another parking lot. They had overflowing vendors, and some had to set up their own tents outside the pavilion. Vendors were mixed, selling Filipino dishes, pastries, cool drinks, souvenir T-shirts, jewelry, Filipiniana dresses and etc. The Philippine Nurses Association of Georgia (PNAGA) participated in selling Filipino-styled pork barbecue for fundraising and was sold out. The whole event and community participation were impressive.
PNAGA provided the First Aid station, Minette Reyes as a volunteer. For the first time, the PNAGA hosted CPR for Family and Friends course, “Hands-Only CPR.” Coincidentally, American Heart has established June 1-7 as CPR awareness week. The facilitators of the session were Tessie Saethang and Myrna Gacusan. Mr. Rudy Gacusan and Jonathan Saethang provided the equipment and technical support. There were 6 adults and 6 school-aged participants. They were able to practice proper chest compression. The facilitator also demonstrated the steps of using AED when available. It also emphasized to the attendees the importance of calling 911. The feedback was positive.
The event contest winners were: Traditional Folkdance “Tiboli Dance” of Mindanao performed by the Alabama Dance group; Poem “Laging May Pagasa” composed and performed by Edison Villanueva; Singing “Paano” by Dulce performed by Imelda Young. Berna Bray won the Hula Hoop contest. Venus Soriano was the emcee of the program. Other activities were adult and children games singing intermission by Ria Rowell. Something new was the Balagtasan performed by Venus Soriano, Elizabeth Villanueva, and Edison Villanueva: Maria Clara vs. Marie Claire, depicting Old Fashion and Modern Filipina. And, of course, always the last of the program was community dancing.
Another year of fun and successful Kalayaan Family Fun Day until next year!
PNA of Greater St. Louis Goes to The Ballgame
**Busch Stadium**
Busch Stadium is a baseball stadium located in St. Louis, Missouri. It serves as the ballpark of Major League Baseball's St. Louis Cardinals. It has a seating capacity of 44,494, with 3,706 club seats and 61 luxury suites.
Another fundraising for PNAGSL: JUNE 11, 2023, Sunday, is one of the days our nurses do volunteer work at the Busch Stadium in downtown St. Louis during the Cardinals baseball game.
St. Louis Cardinals vs Cincinnati Reds Game — Time 1:25 p.m.
Volunteers all geared up to serve at food concession during the baseball game. *From left:* JenJen Hazelbaker, Joy Deatherage, Evelyn Oller, Angela Soriano, Agnes Lewis, Lori Abuelo. *Behind:* Mike Lewis
Busch Stadium has a strict uniform policy for volunteers. Above, showing plain black cap (or visor) with group logo, is an official requirement. Clean solid white or black shirt under issued uniform shirt; black pants or shorts (no more than 6” above knee); shoes: closed-toe/heel, flat, slip-resistant, rubber-soled; hair: groomed, not covering eyes, pulled back.
Our president, Josie Veit, in collaboration with St. Louis Baseball Fundraising (STLBB) per Kate, spearheaded this fundraising, through volunteerism. Monies raised will be used for the medical mission in the Philippines (in January 2024) as stated in Josie’s letter to the Cardinals Non-Profit Organization coordinator.
Several mandatory prerequisites for volunteers:
1. Commit to five days; dates selected considered nurses’ work and family schedules
2. Submit copies of our driver’s license, front and back, to Josie
3. Each volunteer must complete:
A. 2023 Busch Stadium Fundraising Training — 3 links and a multiple choice test and we all passed! We only had to this once, good for all the other dates we signed-up for.
B. Assessment: personal information.
C. Waiver approvals: on volunteer release, waiver, indemnification, arbitration agreement, anti-harassment and non-discrimination policy.
Finally, our day to volunteer at the ballpark — June 11, Sunday. A slight shower of rain didn’t dampen our excitement! Our group — Agnes and husband, Mike, JenJen, Lori, Evelyn, Angela, Joy and sister, Cecile Nord — met at the parking lot designated for workers and volunteers at 8:30 a.m. ($5.00 parking fee for 24 hours).
We reported to the volunteer office by 9:30 a.m. We met John Lawrence (also a friend of mine), who is the camera operator shooting the game live. At the office, we registered, got our name tags and uniform shirts, and followed the uniform policy to the letter. As luck would have it, the only shirts available were XXL. Nurses’ creativity was challenged, and we made the shirts more appealing!
We were stationed at P254 Nacho Bar. Booth supervisor, Angie, showed us how to work the burners, money registers login, and where the main ingredients were. We got the ground beef and pulled pork in serving trays, as well as the nacho cheese. Each one was assigned specific duties: Cecile was to make sure condiments were well stocked; from each side of the booth, Joy, JenJen, and Angela were to take care of the nachos; Mike and Lori, the drinks; Evelyn and Agnes, the cash registers. All sales are to be done with credit cards only, no cash.
The gates opened at 11:15 a.m., two hours before the game, and we were ready! The customer flow was steady; we were all on our feet (no seats!) except for the 20-minute lunch break which we all took turns. Good shoes are truly a must! I’m a fair-weather fan of baseball, so it didn’t bother me that the Cardinals lost by one after leading the Reds for six innings.
In the middle of the 7th inning, we broke down our booth, we threw all the food not sold, and condiments left in trash cans. [I felt, “Such waste; these could have been given to the homeless!] We cleaned up our booth, washed trays, etc., and put all things back in order. Our booth supervisor gave her a thumbs-up, and after a 6 1/2-hour shift, we were happy and felt we did well! 100% of the tips go to our organization, as well as 9% to food sales and 8% to liquor sales. A good day’s “pay” to our coffer! We indeed are looking forward to our next fundraising with the St. Louis Cardinals!
All smiles, ready for the day’s work, are (from left) Joy, Evelyn, Lori, Angela and Cecile
Volunteers quickly learned how to make a “welcoming environment” to the customers
PNA of Greater St. Louis Education Seminar
JUNE 20, 2023, Tuesday, 6:00 p.m. — Educational Presentation with Dinner at Bristol Seafood Grill, 11801 Olive Blvd., Creve Coeur, MO 63141
“A Clinical Overview of Hyperkalemia” by Linda Freeman, PharmD, MS, CSL-Vifor Pharma
Marilou Dangalan, President of PNAI (Illinois) referred Dr. Linda Freeman to Josie Veit, President of PNAGSL. Josie then passed to me to communicate with Dr. Freeman and to coordinate with her an Educational Talk sometime in June or July 2023.
Dr. Freeman is a Senior Medical Director, a Pharmacist with 30 years of experience. She works in retail Hospital Nursing Homes and Pharmacy. She lives in Chicago, Illinois and has been in CSL-Vifor Pharmaceutical for eight years. [CSL-Vifor is a global specialty pharmaceuticals company in the treatment areas of iron deficiency, dialysis, nephrology and rare disease. It is headquartered in Switzerland.]
The education seminar was held with dinner at Bristol Seafood Grill and was well attended by 35 nurses and allied members. The presentation on “Hyperkalemia” was short and direct, with interactive discussion. Many thanks from all the attendees to Dr. Freeman for an insightful presentation, for helping us be more aware of the clinical presentation, mortality and risks of hyperkalemia. We are grateful for the time Dr. Freeman spent with us. We hope she will consent to give a presentation to PNAGSL again sometime in the near future. Dr. Freeman mingled with us and said she enjoyed our group — as we, likewise, enjoyed her!
Dr. Linda Freeman gave the second education seminar with PNAGSL this year. She flew in from Chicago and flew back the same evening after her talk on “Hyperkalemia.” PNAGSL is grateful for the discussion and socialization with our guest speaker.
Hyperkalemia is prevalent among older populations with advanced kidney disease. It contributes to more than 75,000 ED visits annually and represents a financial burden to the U.S.
(RAASi) Renin-Angiotensin-Aldosterone System inhibitor therapy (ARBs) Angiotensin receptor blockers
Hyperkalemia: Potentially life-threatening effects on resting membrane potential and threshold potential of excitable cells; life threatening effects on cardiac conduction; a serious chronic condition.
In general, highest tolerated doses of ACE inhibitors or ARB (RAASi) are recommended. If hyperkalemia develops, reduce dose of (or discontinue) ACE inhibitors or ARB.
Physicians have to balance the beneficial effects of RAASi versus the risk of hyperkalemia when treating patients with CKD, diabetes, and/or heart failure.
Low K+ diet is the first step in chronic management of hyperkalemia but compliance is difficult. In severe CKD: track fluid intake, avoid alcohol, limit caffeine, low protein.
PNA Greater St. Louis nurses join Camp Aruga Workshop
JUNE 16-18: NCR CAMP ARUGA — Potawatomi Inn and Cabins, 6 Lane 100 A Lake James, Angola, Indiana — Leadership workshop. Five represented PNAGSL: Josie Veit (President), Evelyn Oller (Business Manager), Agnes Lewis (Treasurer), Joy Deatherage (Secretary) and Cecilia Nalagan (PRO).
I had an opportunity to join the first Camp Aruga sponsored by PNAA in Indianapolis last June. The PNAA North Central Region leaders from PNANWIN, PNA Cin-NKy, PNAGKC, PNAIN, PNACOh, PNAM, PNAGSL, PNAI, PNAWI, and PNAO attended this activity. This leadership camp aims to collaborate and strengthen the unity among chapters through effective communication.
The drive to Indiana took about seven hours with stops. It was not bad, as I had the pleasure of driving a huge but smooth GMC Yukon rental which made all of us look very tiny! All the ladies kept me awake during the drive with all their wonderful stories. We also used our travel time to debrief on previous activities and to discuss upcoming ones. We arrived at the venue on time and safely.
I must admit that I hesitated to join at first as I wouldn't say I liked sitting and listening to presentations. To my surprise, this leadership camp is interactive and fun! One of the activities we did was the Six Thinking Hats, led by Manny Ramos. The yellow hat is about positivism, the green hat represents creativity, the red hat means emotions, the white hat lets you focus on the data, the black hat describes looking at the downside or potential negative outcomes, and the blue hat is for controlling the process. We were divided into groups and were given a situation where we could apply and discuss what we learned. This activity stood out since it is easy to incorporate into meetings and decision-making. It was an eye-opener to hear from other chapters that we are all experiencing the same organizational challenges, and we were able to brainstorm how we can solve this using the Six Thinking Hats. I was impressed with how our group breezed through this activity because everyone was enthusiastic, communicating well, and, most of all, respecting each other's opinions. We also talked about resiliency and self-awareness, to name a few.
Part of PNAGSL Executive Board drove to Angola, Indiana from St. Louis and made it to Camp Aruga safe and sound.
Left photo, L-R: Evelyn, Joy, Josie, Agnes, Ces.
One of the highlights of this camp is that our chapter, PNAGSL, was asked to lead the Zumba. It was scheduled at 6:00 a.m. but we started a little later as we were working on the projector aside from waiting for more people. Since it was quite early, we did not expect that people would get up and join. I am proud to say that it was very well attended! I love seeing how music and dancing can unite people of all ages. Everyone had smiles on their faces and was ready to face the day after this activity.
Lastly, I would like to quote what Dr. Beriones said, “Let us strive to create chapters that are not just functional, but thriving communities that support, uplift, and energize one another.” I believe that after Camp Aruga, leaders of each chapter will go back to their hometown and will be able to share the fire within themselves.
Seated, center: Dr. Gloria Beriones flanked by PNAA Executive Board with PNAGSL delegates and Camp Aruga organizers
“THINKING HATS” — Josie was assigned the red hat. Having only a black hat available, her “emotional reaction” made her paint the hat and decorated it with red flowers and ruby gemstones. “Voila!” red hat as portrayed, accentuated with her red top!
Delegates received certificates of attendance and pins. From left: Manny Ramos affixes pins on Joy and Ces; Bong Dayon (NCR VP 2022-2024) on Agnes and Evelyn; Dr. Gloria Beriones (PNAA President 2022-2024) on Josie.
July 1, 2023 NCR COP zoom meeting — Camp Aruga evaluation
Bong Dayon: “a successful event, received positive comments from everybody.” Bong was ubiquitous in all activities to the point of already losing her voice as the event concluded; she admits “anything goes!”
Elena de Jesus: “topics well chosen, effective, different stimulation; integral part of leadership; program served its purpose.”
Josie: “attendees spoke of their experience” after PNAGSL’s education seminar. Annabelle Cosas: “each one commented on their being inspired by the unity of the group.”
Babette Orlich: “PNAA EB talked to others; everyone’s energy kept me going.”
Connie Sumalde: “I was going and didn’t know what to expect. I loved it! Such a positive experience! I made new friends and Zumba was fun!”
Faith Jedlicka: “a great experience; wished more members had come.”
Reggie Laput: “good to connect faces of those present. Others already expressed they’re eager for the next Camp Aruga!”
Mattie Upano: “have tuition; will help budget.”
Debbie Maquidato: “sponsorship will help budget, solicitation letter (Ways & Means)”
St. Louis celebrates its “4th of July parade 2023” with dozens of floats and marching bands including some entertainers and celebrities. Part of the parade is Tishaura Jones (photo, extreme right), the first black female Mayor of St. Louis. She graduated in nursing from St. Louis University College for Public Health with a Master of Health Administration in 2001.
Photo, left, L-R: Minnie Lacadin, Josie Veit, Joy Deatherage, Alice Torregosa, Cynthia Montejo. [PNAGSL supporters: Cecile Nord, Shelby Nord, June David.]
The American flag is the symbol of our freedom, national pride and history.
— Mike Fitzpatrick
[Excerpts from Fr. K. Schroeder, Pastor, Incarnate Word Catholic Church, Sunday bulletin] “… our independence — a right that has been won and defended through great sacrifice and dedication by members of our armed forces…
“As we think about countries around the world, we can certainly agree that we are incredibly blessed with many freedoms that others do not enjoy. As Christians, freedom is not the ability to do what we want, rather, it is the ability to do what is right: loving God and neighbor. This Christian ideal of freedom is what has made our nation so great and unique over the past 247 years. On the anniversary of our independence, let us re-commit ourselves to the principles of our faith and use our freedom, not only for ourselves but for the glory of God and the good of our neighbor.”
PNA Gulf Coast Florida Asian American Pacific Islander Proclamation in St. Petersburg, Florida
On May 11, 2023, Mayor Kenneth Welch of Saint Petersburg, Florida issued a proclamation of different groups in an official document to commemorate a specific period of a day, week or month to raise awareness about an issue or celebrate milestones. It was an official announcement that publicly recognizes an initiative or observance signed by the Mayor and other government officials at the local level.
It was an honor for us (Janella Puyot and Betty Miranda) to be invited and recognized representing PNAGF during the proclamation of the Asian American Pacific Islander observance of inclusivity by our
Mayor Welch recognized the contribution of us Asian Islander and beyond in his speech. Asians played an important role in our community as the fabric of St. Petersburg. Therefore, he says that his government agencies celebrate the month of May for all that the Asians bring to the community. Our contributions impact the community in many ways. He Recognized PNAGF for our contribution in the Healthcare Arena. He said that he is proud of all Nurses in the community. PNAGF's impact on the community is rewarding and fulfilling. We were proud as our group was called to receive the certificate of APPI proclamation.
Other Asians were represented as well such as the Asian Pacific Chinese, Cambodians, Vietnamese, Thailanders and us the Philippines. It was a personal day for me as I was greeted and introduced to the mayor by my son in law Eric who also was part of the audience since he is closely working at the Mayor's office. There was also a little shout out for the Puyot's by council member Copely Gerdes, who introduced us as community members from when he was in grade school with my children at St Jude's Catholic. It was really a proud moment for us. We had a luncheon with the Mayor and all the invitees and took a group picture with him before attending the council meeting.
Other groups were also given a proclamation award. There was the Senior Awards Hall of Fame. He congratulated our elders for being the Pillars of our community. He inducted 30 of our seniors to the hall of fame. Their combined 300 years of sunshine made a difference in our community and city. With the aches and pains they continue to share their knowledge and wisdom. The senior citizens were the frontliners who are afflicted with illnesses and climate change. Our age issue of mind over matter is, if you don't mind it, it won't affect you. There was a loud clapping from the audience as the seniors took the center stage.
The Mayor also proclaimed the Emergency Medical Systems (EMS) week in May. The proclamation started in 1974! The EMS provide a vital public service 24 hours a day, 7 days a week. Our EMS provides emergency care and provides the gap for follow up care and saving lives. This group included the Rescue division, Clinical emergency coordinator, Chief administrators, Fire departments, Chief Fire rescue teams and Public Safety teams or the 911 service department. Even on a bad day, they are there to save lives. Next the Mayor honored and proclaimed the Public Works week from May 23 - 27 which had been around for 63 years. They are the professionals who focus on public service engineering, private sector water supply structures, public works etc. They make sure that our city is livable. They provide services so the citizens can enjoy a good quality of life in St Petersburg. They make sure that our water system is safe, we have good roads and safe infrastructures etc.
And lastly, the Mayor proclaimed Nurses Week as part of the celebration. Nurses in our community and PNAF were acknowledged by the council chamber and the Mayor's office as the first year of proclamation. Our Nurses were represented by HCA Florida, Northside Hospital and their employees. Our Mayor said that a nurse is beyond noble to take this job. A comment from one council member "We nurses use our knowledge in nursing care and innovation to save lives and reduce suffering." Another said "We work tirelessly at the bedside and public service emergencies throughout the year." One said that it was his privilege and honor for a special occasion to celebrate nurses who take care of patients every day to heal. Nurses' caring moments continue the mission of healing human life. We are the perfect combination of heart and head with limitless compassion. Nurses are the backbone of the best healthcare in the world especially during COVID-19. One council member said she witnessed first-hand how she saw the nurses during COVID-19 when family couldn't be there and the burden was placed on the nurses to step up, to make decisions for the family and hold her mother's hand. It was a positive for the light of seeing this and she feels awfully blessed. Her last words "Nurses you Rock!" "Without you Nurses the world will be screwed."
The Philippine Nurses Association of Illinois (PNAI) Team at Potawatomi, Indiana Camp Aruga, NCR Leadership Boot Camp
June 16-18, 2023
The workshop on Emotional Intelligence helped us strengthen our professional skills and emerge more knowledgeable, competent, and confident in executing our professional roles. The 2-day boot camp was certainly more stimulating than a seminar. It facilitated a lot of interaction between the presenters and participants, group learning activities, and brainstorming.
Thank you to PNAA for organizing this fun and invigorating boot camp.
In the picture from left to right: Bessie Baldovino, BSN, RN, CNN Treasurer, Olivia Garcia, BSN, RN member; Victor Agoo, DPN, RN, CMSRN, NEA-BC Assistant Secretary, Lorna Khattab, BSN, RN, member, Marilou Dangalan, BSN, RN President, Melinda Svastisalee, BSN, RN, CSN, Mila Cortes, BSN, RN, CPN Assistant Treasurer, Stacy Arriola, DNP, RN, CNE Board of Director, Bryan Ranchero, BSN, RN, PHN, CCNC
PNAI Victor Agoo leads the discussion on conducting a collaborative meeting using the Six Thinking Hats processes. The six thinking hats by Edward de Bono was written to provide the group tips on how to solve an issue/problem from a variety of opinions and viewpoints in a conflict-free way.
Participants received pins and certificates upon completion of the workshop. In the picture from left to right: Bessie Baldovino, Marilou Dangalan, Lorna Khattab, Stacy Arriola, Olivia Garcia, and Mila Cortes.
PNA Illinois' collaboration with the Chicago Nurses for Diabetes Lions Club (CNFDLC)
The Philippine Nurses Association of Illinois collaborated with the Chicago Nurses for Diabetes Lions Club (CNFDLC) to serve at the Philippine Independence Week Committee's (PIWC) Picnic 2023 event to do health, eye, and vision screening for the seniors, family, and friends of the organization. There was a parade of all the PIWC queens riding on motorcycles. PIWC offered free meals to all who joined the picnic with music and dancing, and a catholic mass was offered in the morning. It was a well-attended event. PIWC chose PNAI to be the beneficiary of their fund-raising PIWC Gala on 6/17/2023.
PHILIPPINE NURSES ASSOCIATION OF ILLINOIS
www.pnai.org
CHICAGO NURSES FOR DIABETES LIONS CLUB
“WE SERVE”
cnfdlc.org
Lions of Illinois Foundation Retinal and Hearing Screening Unit
PHILIPPINE INDEPENDENCE WEEK COMMITTEE 2023
MARITESS VERIN WYNKOOP
2023 Overall Chairperson
ANNUAL
Philippine Nurses Association of Illinois
Committee on Independence Day Celebration
PNA Illinois Community Outreach events
One of the missions of the Philippine Nurses Association of Illinois (PNAI) is community outreach. We have collaborated with the National Kidney Foundation, Chicago Nurses for Diabetes Lions Club, Amita Healthcare, FYLPRO, TAYO, and Pinoy Piesta. This year's calendar is full of projects that I know will keep us busy. We also volunteered at Feed My Starving Children by packing meals for the malnourished in nearly 70 countries, including the Philippines.
On June 3, 2023, PNAI was in Rizal Center, Chicago, Illinois, providing Filipino seniors with free blood pressure and glucose testing. In the picture: Marilou Dangalan, PNAI President; Imelda Cuevo Past-President, Melinda Svastisalee, Board of Director.
On June 10, 2023, we were asked to provide first aid during the Pinoy Piesta held in Bolingbrook, Illinois. The event was an all-day affair that started with a parade of Filipino organizations in the Chicagoland area. There were many Filipino artisans selling traditional Filipino foods and merchandise such as jewelry, clothing, leather goods, and many more. The day ended with a concert featuring young and old Filipino talents and a special guest from the Philippines.
In the picture from left to right, a PNAI member, Rowena Abasolo, Board of Director, Anna Teano member, Marilou Dangalan President, Florence Palmaira, Immediate Past-President
On the same day, we were requested by the Philippine Independence Week Committee (PIWC) to provide free blood pressure and glucose screening at the PIWC Annual picnic. The event was held in Labag Woods Chicago Park. In the picture were nurses from PNAI and Chicago Nurses for Diabetes Lions Club.
The PNAI aims to acknowledge Filipino nurses by celebrating Nurse's Week every year. This year's theme was Flores de Mayo to celebrate not only the nurses but all the mothers, especially Mother Mary. We also acknowledge nurses who excel in their field of nursing.
On May 2, PNAI traditionally celebrated Nurses Week in Flores De Mayo. The Reyna Elenas were our very own nurses escorted by their children or family members. We awarded four deserving members the Nurse Excellence Awards. It was a day full of surprises, singing, and dancing.
Congratulations to our Nurse Excellence awardees:
- Nurse Educator Nestor Dante Verano, MSN, RN, APRN-FPA, MEDSURG-BC, CNN, CCRN, AGNP-C, CNN-NP
- Nurse Researcher Katrina Cudal, DNP, FNP-BC
- Vivien Joy Lamadrid, BSN, RN, CCRN Clinical Nurse
- Community Service Nurse Lea Agaton, BSN, RN
- Nurse Entrepreneur Melinda Svatisalee, BSN, RN, CSN
It is with great honor and privilege to inform the Philippine Nurses Association of America (PNAA) that we have generous hearts in our chapters to answer the cry of the poor in our PNAA GK Village in Piel, Bulacan. Please continue to open your hearts to support our PNAA GK Village to alleviate the lives of the underprivileged Kababayans.
We now have a Philippine Nurses Association of America Livelihood Center funded by the $6,800.00 donation from the PNA Central California through the efforts of Luz Newell and Alice Andam. Engineer Precious Andam reviewed the blueprint of the building, which was presented to Guia Caliwagan and Alice Andam for approval.
The Sewing Club Cooperative, funded by Guia Caliwagan of PNA Virginia and Alice Andam of PNA Metropolitan D.C., was established for the Livelihood Center. They also donated five treadle sewing machines powered mechanically by a foot pedal; one electric sewing machine; five stands for the electric sewing machines, working tables; and seven balikbayan boxes of clothing materials. Nancy Hoff, President of the PNAA Foundation, donated one electric sewing machine and three balikbayan boxes of clothing materials with varieties of buttons.
The groundbreaking was held on September 4, 2022. The building was completed in December 2022, inaugurated, and endorsed to the community, with the blessing of the Center on January 14, 2023. The ribbon cutting ceremony was attended by the Congresswoman Agustina Pancho of Bulacan, Vice Mayor Madette Quimpo, and other officials of Baliwag City, delegations from Baliwag University, Bulacan GK Representatives and PNAMDC represented by Alice and Precious Andam, Lenny Icayan and Pettie Penn. The Center was blessed by the local parish priest of Piel, Bulacan. Mayor Ferdie Estrella was not able to attend. Instead, he provided the floral arrangement placed at the side of the door of the Livelihood Center. The ceremony culminated with a luncheon,
sponsored by Alice and Precious Andam, served to the guests and the village people after a short program and invocation. It was followed by an open house showing the sewing club cooperative products and the donors of the displayed electric sewing machines. With these donated materials, the Sewing Club Cooperative started producing finished products of dusters, curtains, drapes, and bed sheets.
We encourage other PNAA chapters or members to partner in sponsoring additional electric sewing machines, now costing about $325 each, and donate clothing materials. We are now in the process of installing a plaque to acknowledge our donors of the Livelihood Center. In addition, there are still eight available lots for house sponsorship which now cost $5,200 each. We encourage partnerships between chapters and individual members to offset the rising cost of building materials at the present time. The house donor’s name will be added to the existing plaque of donors already in place. The engraved names of the donors located at the Nonoy Mendoza Community Center building were initiated by Romy Devera, former PNAA Community Outreach Chair. To date, 25 PNAA Chapters and 11 private donors donated houses, benefiting 36 families.
The Sewing Club Cooperative will have its second anniversary on August 27, 2023. It is now in full-capacity production of dusters, curtains, bedsheets ensemble, bags, and more with a tag PNAA GK on each item. Precious and I have dusters from the Sewing Club Cooperative for sale at $15.00 to $20.00 each, with the proceeds to be donated to finance the building of the shelves for the display of the finished products. A partnership form is also available for sponsoring a house. For your convenience, please make your check payable to Gawad Kalinga USA, memo PNAA GK Village, if you plan to sponsor a house. If you are donating an electric sewing machine, make check payable to Alice Andam, memo PNAA for GK Sewing Cooperative, so that I can purchase the sewing machine during my planned visit on March 2, 2024. Please mail your check to: Alice Andam, 1605 Rollins Drive, Alexandria, VA 22307.
For more information: Email: email@example.com | (HP) 703-768-6762 | (CP) 703-216-0671
Blessing of the PNAA GK Livelihood Center.
Sewing Club Cooperative members and guests: Bulacan Congresswoman, Parish Priest of Piel, Baliwag, Bulacan Fr. Narciso Sampana, GK Bulacan, Baliwag University and PNAMDC representatives.
Ribbon cutting ceremony with Congresswoman Agustina Pancho; the representatives from GK Bulacan Ruben Ramos and Gil Estrella; Sewing Club Cooperative representative Elena Espedillon; and, a representative PNAMDC Alice Andam.
Relentless Service to a Community of Faithful Believers
Filipinos are grounded by deep Catholic roots. Despite the staggering number of islands, the Spanish colonizers were still able to propagate Catholicism throughout the majority of the 7,107 islands successfully. Up until now, the Philippines remains to be a cradle of Catholicism. That said, Filipinos remain grounded in those core Catholic values even outside of the country. When an opportunity to gather as faithful Catholics arises, Filipinos run to the frontlines in a heartbeat. Such is true even here in the US.
It is no wonder that Filipinos in the US seek to gather at special events for a chance to praise and worship as an avenue to refill the spirit; hence, the promulgation of Filipino masses and religious events in numerous corners of the US. As such, the Philippine Nurses Association of Metro DC Chapter (PNAMDC) is but one organization that willingly supports those homegrown gatherings. PNAMDC remains faithful to the calling of relentless service for the community. Whenever a need for First Aid services is called upon, especially in churches and religious gatherings, PNAMDC is first to respond. Because PNAMDC is known to respond in ways more than one, several agencies tap into their services, especially in cases where a vast number of people congregate, network, and collaborate.
Such is true with the recent gathering, last June 24th. Each year, Americans of Filipino descent transcend time and space to gather around the Basilica of the Immaculate Conception to pay homage to Our Lady of Peace and Good Voyage, fondly referred to as Birhen ng Antipolo. Pilgrims from all over the US make their way to the Basilica in Washington DC to collectively pray for intercession to the Blessed Mother. This year, thousands gathered in this monumental event, officiated by several priests, and supported by several nuns. The fully-packed program included the gathering of the choir; a novena prayer to Our Lady of Peace and Good Voyage; followed by the sacrament of reconciliation; opening remarks by Eddie Caparas, the Chairman of the Birhen ng Antipolo, here in the US; a warm welcome then ensued by the Director of Pilgrimages, Msgr. Vito Bounano; followed by the procession of images; then a solemn reflection on eucharistic revival by Reverend Zinjin Eglesia; a eucharistic celebration, officiated primarily by His Excellency, the Most Reverend Jose Serofia Palma, Archbishop of Cebu as the principal celebrant and homilist.
The day was a solemn spiritual experience that allowed the pilgrims to reconnect to our heritage as Filipinos and rekindling our Catholic values and ideals. One can feel the presence of the Holy Spirit throughout the church, embracing the hearts with sheer peace and comfort, forging to forget worries, and dissolving all the stresses away. One of the attendees fondly recalls, “It was my first time attending this pilgrimage. What a wonderful experience it was to come together as a community of Filipino Americans, all singing praises and worship to our God through the intercession of our Blessed Mother. The spiritual event filled my heart and spirit, allowing me to forget all my worries and concerns and reminding me that He alone is the answer to everything I am going through right now. I also thank the wonderful volunteers, including the first aid, for ensuring that we have peace of mind in case untoward events do occur.” Msgr. Vito Bounano, once again, thanked PNAMDC for their unwavering commitment to serving a community of Filipino believers. The ability to support this meaningful pilgrimage affords a sense of fulfillment for those involved, including a chance to refill one's cup. As Maslow's Hierarchy of Needs aptly describes it, when one reaches that level of fulfillment and peak potential, one then realizes the highest level of self-actualization. And that's exactly what PNAMDC provides its members and the community!
PNA Metro Houston 2023 Outstanding Filipino Nurse, Heart of Nursing and Scholarship Gala Night
The Philippine Nurses Association of Metro Houston (PNAMH) recently hosted a magnificent gala night, paying tribute to exceptional individuals who have made significant contributions to the nursing profession. The event, which took place at a grand venue, attracted a diverse audience, including prominent Filipino community leaders, the Philippine Consul General, devoted PNA members, proud families, and even non-healthcare supporters. The evening was filled with heartfelt speeches, joyful celebrations, and recognition of the dedicated Outstanding Filipino Nurses, Outstanding Associate Members, Heart of Nursing awardees, and Nursing Scholarship recipients.
We had the privilege of recognizing two outstanding Filipino nurses whose exceptional skills, tireless efforts, and unwavering compassion have set a new standard of excellence. The PNAMH Outstanding Nurse Award was given to Josephine Rejante and Darlene Acorda. This award was established to recognize Filipino nurses who have made outstanding contributions and achievements as professional nurses in their field of specialty and have made a difference in the community. The Outstanding Filipino Nurse award is a testament to their dedication to the nursing profession and their invaluable contributions to patient care.
One of the highlights of the PNAMH gala night was the "Heart of Nursing" award presentation. The recipient of this award highlights their distinct achievement and contribution to the nursing profession. This year, for the first time since the inception of PNAMH back in 1980, we honored 6 individuals who have demonstrated exceptional kindness, empathy, and a genuine passion for nursing. This award celebrates their ability to touch the lives of patients and their families and deliver holistic care that goes above and beyond. This award is given to nurses who directly care for patients at the bedside. The recipients are the following: Alice Subia, John Belaya, Arfel De Jesus,
George Caneda, Albert Potato, and Fea Marie Jarder. Furthermore, we also presented PNAMH Outstanding Associate Member Award to Patricia Leal-Mack. This award acknowledges an individual who, though not of Filipino descent, has significantly impacted the nursing profession and the nursing community. This award recognizes their dedication to supporting and uplifting nurses, advocating for their rights, and fostering a positive and empowering environment for all. The first Outstanding Associate Member was awarded in 2018, and this year 2023 honored the second PNAMH Outstanding Associate Member award.
In addition to recognizing the remarkable achievements of Filipino nurses, PNAMH also acknowledged the importance of fostering the next generation of nursing professionals. Nursing scholarship awards were presented to these two deserving nursing students, Lance Geronimo and Abigail Lugma, who exhibited exceptional academic performance and a genuine passion for nursing. This scholarship aimed to provide financial assistance and support to the recipient, empowering them to pursue their dreams and contribute to the future of healthcare.
The PNAMH gala night was graced by the presence of distinguished Filipino community leaders who have played instrumental roles in uplifting the Fil-Am community and advancing the nursing profession. Their attendance underscored the significance of the event and highlighted the unity and support within the Filipino community in the Houston area. Furthermore, the esteemed Philippine Consul General Jerril G. Santos honored the event with an inspirational speech, emphasizing the invaluable contributions of Filipino nurses both in the United States and across the globe. The Consul General's words of encouragement and appreciation served as a source of inspiration for all attendees.
The PNAMH Gala Night saw an exceptional turnout, reflecting the strong support and camaraderie among PNA members, their families, and even individuals who may not be directly involved in the healthcare sector. The event created a platform where people from various walks of life could come together to celebrate the accomplishments of Filipino nurses and express their gratitude for their tireless service. The diverse attendance showcased the wide-ranging impact and the widespread recognition of the nursing profession's significance in society. The PNAMH gala night was an evening filled with joy, appreciation, and recognition. By honoring outstanding Filipino nurses and awarding scholarships, the event highlighted Filipino nurses' profound impact on healthcare and their vital role in providing compassionate and quality patient care. The presence of prominent Filipino community leaders and the Philippine Consul General further elevated the event's significance, emphasizing the united support for the nursing profession and the recognition of its remarkable contributions. The success of the PNAMH gala serves as a testament to the deep respect and appreciation held for Filipino nurses, their unwavering dedication, and their invaluable service to the community.
Outstanding Associate Nurse
Abigail Annina
T Henry Cizik School of Nursing
Scholarship Recipients 2023
Inside PNAA | July 2023 | Page 65
Houston Celebrates 125th Philippine Independence Day Commemoration with vibrant festivities
Houston, the diverse and culturally rich city in Texas, embraced the spirit of celebration as it commemorated Philippine Independence Day on June 11, 2023, with great enthusiasm. The theme for Kalayaan 2023 was “Celebrate, Culture, Community.” This year's festivities marked a special occasion as Houstonians came together to honor the historic milestone of the Philippine Independence. The event was organized by Philippine Kalayaan Houston (PKH), dedicated volunteers comprised of Filipino community leaders. The event showcased local artists, performers, and vendors.
The success of any event relies heavily on volunteers' dedication and hard work, and the Philippine Independence Day celebration in Houston was no exception. Philippine Nurses Association in Metropolitan Houston (PNAMH) volunteered to provide first aid services during the event. Nine PNAMH members volunteered to manage the first aid booth.
The event created a platform for local Filipino artists to display their talent and craftsmanship. Attendees were enthralled by the diverse range of artistic expressions that highlighted the rich heritage and traditions of the Philippines. The event also featured local vendors offering an array of delectable Filipino cuisine and handicrafts. The vendors delighted attendees with their authentic products, from traditional delicacies such as adobo and halo-halo to Filipiniana attire and intricate jewelry. The fusion of colors, flavors, and scents transported everyone to the heart of the Philippines, creating a memorable cultural experience.
The day's highlight was an inspirational talk by the esteemed Philippine Consul General in Houston, the honorable Jerril Santos. He took to the stage to share his insights and experiences, captivating the audience with his words of wisdom and encouragement. Consul General Santos emphasized the importance of unity, resilience, and celebrating Filipino heritage in the diaspora. His motivational speech resonated deeply with the attendees, leaving them inspired and proud of their Filipino culture. The celebration of Philippine Independence Day in Houston exemplified the unity and pride permeating the city's Filipino community. The event brought together people of different backgrounds, fostering a sense of inclusivity and belonging. It served as a reminder that the Filipino spirit thrives beyond borders and continues to enrich the cultural tapestry of Houston.
The Philippine Independence Day celebration in Houston was a testament to the enduring spirit of the Filipino community. The dedicated volunteers, the talented local artists, and the vibrant vendors came together to create a truly memorable event. With the inspirational words of the Philippine Consul General echoing in their hearts, attendees left the celebration with a renewed sense of pride in their heritage. As Houston continues to embrace and celebrate the diverse cultures within its community, the Philippine Independence Day festivities stand as a shining example of unity and cultural appreciation.
PNA Nash Tn held its 2nd Community Service for Blood Pressure Monitoring
On April 30, 2023, headed by Dave Balbarada and the EB. We had 27 participants and 11 volunteers = 33 service hours. Children were encouraged to have their blood pressure taken with the adults. Health education were given to those asking for more information. Filipino snacks were offered.
PHILIPPINE NURSES ASSOCIATION OF NASHVILLE- TENNESSEE
PNAN-TN
2018
PNA Nash Tn held its 3rd Community Service for Blood Pressure Monitoring on May 28, 2023 at St Joseph Church after the 8:30 mass. There were 25 participants and they were offered health teachings and answered health questions. There were 9 volunteers, lead by Grace Vicente with the EB and members equivalent to 27 service hours.
Enhancing Cardiac Wellness: Monthly Blood Pressure Checks at the Hillsborough Senior Center in Somerset County, New Jersey
Blood pressure screening plays a crucial role in the overall well-being of our senior community members. It serves as a vital tool in detecting and monitoring hypertension, a condition that affects many individuals as they age. At PNANJ Somerset, we recognize the importance of proactive healthcare interventions, which is why our dedicated volunteers collaborate with the Somerset County Office of Disability and Aging to conduct monthly blood pressure screenings for seniors. Every last Friday of the month, seniors look forward to filling out their Somerstrong Blood Pressure Screening Passport.
During these screenings, we diligently check the blood pressure of our senior participants, seeking any signs of elevated readings. In instances where high blood pressure is detected, we take immediate action. Our volunteers promptly inform the individuals and emphasize the urgency of contacting their physicians for further evaluation and treatment. By intervening at an early stage, we strive to prevent potential complications and promote the overall health of our senior community.
Furthermore, our commitment extends beyond measuring blood pressure numbers. We understand that education is key in empowering individuals to take control of their health. Through our interactions during the screenings, we take the opportunity to educate seniors about the importance of a healthy diet in maintaining optimal blood pressure levels. We provide information and guidance on making dietary choices that can contribute to better blood pressure management, promoting a heart-healthy lifestyle.
By providing regular blood pressure screenings and educational support, we aim to make a positive impact on the lives of our senior community members. We believe that early detection, coupled with timely medical intervention and informed lifestyle choices, can significantly enhance their quality of life. Together, we strive to empower seniors with the knowledge and resources necessary to lead healthier, happier lives.
At PNANJ Somerset, we are honored to serve our senior community and remain committed to making a lasting difference in their lives. Through blood pressure screenings, we take a proactive approach to healthcare, ensuring the well-being and longevity of our seniors. Together, let us continue to advocate for the health and happiness of all individuals in our community.
We extend our heartfelt gratitude to Clara Bautista, the exceptional leader and Community Outreach Chair of PNANJ Somerset. With her unwavering dedication and passion, Clara has played a pivotal role in empowering our communities and spearheading our impactful initiatives. Her exceptional leadership and commitment to our mission have been instrumental in the success of our community outreach events. We would also like to give a special shout-out to the PNAA Community Outreach Chair for their continued support and invaluable guidance. Together, Clara and the PNAA Community Outreach Chair have been invaluable assets to our organization, inspiring us all to make a lasting difference in the lives of those we serve.
PNANJ Somerset: Honored for Strong Partnership and Wholehearted Support of the Health Camp of NJ
On June 11, a significant milestone was reached as PNANJ Somerset received recognition from the Indian Health Camp of New Jersey (IHCNJ) for their invaluable contribution. The collaboration between these two organizations has been instrumental in advancing healthcare access and promoting well-being in underserved communities. In an exciting development, IHCNJ has expanded its services to encompass all black and brown communities, leading to their rebranding as the Health Camp of NJ.
During the recognition ceremony among the dedicated volunteers, PNANJ Somerset proudly stood shoulder to shoulder with the esteemed individuals who tirelessly serve the Health Camp of NJ. Amongst the heartfelt speeches and expressions of gratitude, PNANJ Somerset's President, Dianne Francel Bautista, took the stage to highlight the strong partnership that has blossomed between the two organizations. With passion and conviction, she emphasized the unwavering support that PNANJ Somerset wholeheartedly offers to the Health Camp of NJ. Dianne underscored the shared commitment to fostering equitable healthcare and addressing the unique needs of underserved communities. Her words echoed the sentiment felt by all PNANJ Somerset members, reaffirming their dedication to standing by the Health Camp of NJ as steadfast allies and advocates.
The Health Camp of NJ has adopted a comprehensive model that addresses the Social Determinants of Health, recognizing that health outcomes are deeply influenced by various socioeconomic factors. Their dedication to holistic care is evident in the diverse range of services they provide. At the camp, individuals can undergo blood tests, receive comprehensive eye examinations, consult with specialists, undergo pap smears, EKGs, and even receive vaccinations—all at no cost.
This transformative model has captured the attention and support of PNANJ Somerset, who wholeheartedly endorse the Health Camp of NJ's commitment to addressing the underlying factors that affect health. By offering a wide array of services, the Health Camp of NJ not only attends to immediate healthcare needs but also takes a proactive approach to prevention and early detection. This approach aligns with PNANJ Somerset's core mission of empowering communities and promoting positive health outcomes.
The partnership between PNANJ Somerset and the Health Camp of NJ exemplifies the collective effort needed to effect meaningful change in healthcare delivery. Through their collaboration, they are not only providing essential medical services but also fostering a sense of community and support for individuals who may have limited access to healthcare resources. This unified approach serves as a beacon of hope, inspiring other organizations to join in the mission of promoting health equity and dismantling barriers that disproportionately affect marginalized communities.
As PNANJ Somerset continues to work hand in hand with the Health Camp of NJ, their shared vision of a more equitable healthcare landscape grows stronger. The recognition bestowed upon PNANJ Somerset by the Health Camp of NJ serves as a testament to the dedication and impact of their collective efforts. It reinforces the importance of collaboration, compassion, and a steadfast commitment to addressing the Social Determinants of Health.
Together, PNANJ Somerset and the Health Camp of NJ are not only providing medical care but also instilling hope and transforming lives. Their unwavering support for one another signifies a shared belief in the power of community and the potential for positive change. By championing this groundbreaking model of healthcare delivery, they are setting a remarkable example for organizations across the nation, demonstrating the profound impact that can be achieved by prioritizing the well-being of black and brown communities.
Celebrating Filipino Pride: A Journey from New Jersey to the 33rd Philippine Independence Day Parade in NYC
It was early morning for us Jersey girls as we embarked on a journey from Central New Jersey to 36th Avenue and Madison Avenue in the heart of New York City. Typically, accustomed to driving and parking, we found ourselves carpooling to Jersey City, ready to explore a different mode of transportation—the Path Train. Little did we know our MetroCard troubles were a humorous reminder of our reliance on cars.
The air was filled with excitement as we gathered, greeted by familiar faces, ready to immerse ourselves in the energy and celebration of Filipino culture. This year marked the 125th Anniversary of the Philippines, and we were eager to join the festivities. The parade showcased the diverse Filipino entities in New York and New Jersey, including businesses, nonprofit organizations, and captivating cultural performers.
Witnessing the vibrant tapestry of our Filipino heritage was truly inspiring. From the beautiful gowns to the intricate costumes, we reveled in the rich and colorful culture that spans across different islands. What struck us most was the camaraderie and unity among the Filipino community. As a team of nurses from PNAA, PNANJ, and PNANY, we stood proud and strong. It was evident that Filipino nurses made up the largest group, passionately supporting Dr. Dely Go, the esteemed Grand Marshal of the Philippine Independence Day Parade Inc. We beamed with pride, for she is a true source of inspiration for PNANJ.
The day was filled with laughter, joy, and a sense of belonging. As we celebrated our shared heritage, our PNANJ Somerset group couldn't help but brainstorm ideas to make next year's parade even more memorable.
In the midst of the festivities, amidst the sea of colorful floats and vibrant costumes, it was impossible to miss the proud display of our PNANJ Somerset banner. With "Somerstrong" emblazoned across it, we stood tall, united in our representation of Somerset County. The journey we undertook, despite the early wake-up call and the unfamiliarity with public transportation, was undoubtedly worth it. The sight of our banner soaring high, a symbol of our unity and resilience, filled us with a profound sense of accomplishment. We had made our mark, leaving an indelible impression of Somerset County's Filipino community on the grand stage of the Philippine Independence Day Parade. It was a moment of triumph and pride that will forever hold a special place in our hearts.
We left the event with hearts full of gratitude from God, and an unwavering sense of pride in our Filipino roots. The journey had not only connected us with our culture but also reminded us of the indomitable spirit of Filipino nurses.
In the end, it was more than just a trip to a parade; it was an affirmation of our identity and a celebration of the Filipino community's vibrant presence in the United States. We left with cherished memories, strengthened bonds, and a renewed commitment to honor our heritage. As Filipino nurses, we stand tall, representing a legacy of compassion and dedication that knows no bounds.
Celebrating Filipino Pride: Building Connections and Embracing Heritage
Thank you, Mrs. Nellie Sun, for inviting PNANJ Somerset. The Asian Business Resource Group (BRG) at Robert Wood Johnson University Hospital (RWJUH) Somerset made history by hosting the very first Philippine Independence Day event at Fuld Auditorium. This momentous occasion brought together Filipinos from all walks of life, including the esteemed members of PNANJ Somerset. As we proudly launched our Handmade Bahay Kubo and Ati-Atihan outfits, it became clear that this gathering was more than just a celebration of independence—it was a powerful platform for fostering connections within the Filipino community.
We express our sincerest gratitude to Mrs. Clara Bautista (wearing Maria Clara) for her exceptional craftsmanship in bringing the Bahay Kubo (Traditional Filipino House) to life in a remarkable timeframe of less than two weeks. Using recycled brown paper bags, she ingeniously constructed the various components of the Bahay Kubo, ensuring its ease of assembly and dismantling. Her meticulous attention to detail and dedication to the project resulted in a stunning masterpiece that left a lasting impression on this special occasion, making the day truly unforgettable.
Interacting with fellow Filipinos holds immense importance, as it provides us with a sense of belonging and reinforces our shared heritage. In a world that often feels vast and disconnected, connecting with individuals who understand and appreciate our culture can be incredibly fulfilling. It creates a space where we can freely express ourselves, share stories, and celebrate our collective achievements. The Philippine Independence Day event served as a catalyst for these interactions, bringing together over 300 individuals who proudly embraced their Filipino identity.
We also graciously met the executives and directors at RWJUH Somerset such as Chief Administrative Officer, Patrick Delaney, Director of Operations, CJ Cruz, Director of Diversity & Inclusion Perry Farhart, VP, Nursing & CNO, Michael Valendo, BRG Coordinator, Abigail Lauan, PNAA Delegates, Susan Repotente and Nini Jurado.
We are immensely grateful to RWJUH Somerset for their support and recognition of the Filipino community's value. By hosting this event, they demonstrated their commitment to inclusivity and appreciation for the cultural contributions of Filipinos. The collaboration between PNANJ Somerset and RWJUH Somerset allowed us to create a remarkable experience for attendees. As PNANJ Somerset, we took the opportunity to engage with the crowd by setting up four stations that provided different experiences. From spinning the wheel for free gifts to inviting individuals to join our membership drive and Nurses' Night, and even offering a vibrant Ati-Atihan-inspired photobooth, the event brimmed with excitement and fun.
The significance of being proud of our Filipino heritage cannot be overstated. Our culture is a tapestry woven with the threads of centuries-old traditions, resilient spirits, and rich diversity. By embracing and celebrating our roots, we not only honor our ancestors and their sacrifices but also inspire future generations to hold onto their cultural identity with pride. The event at RWJUH Somerset exemplified this pride, as PNANJ Somerset showcased the Handmade Bahay Kubo and Ati-Atihan outfits—a testament to the artistry, creativity, and craftsmanship deeply embedded in Filipino culture.
It was an extraordinary moment for PNANJ Somerset. The presence of our Handmade Bahay Kubo and the successful execution of the event’s activities marked significant milestones for us as a team. We realized that through collaboration, dedication, and hard work, we can accomplish remarkable feats that elevate our community. The joy and pride we felt were palpable as we witnessed the positive impact we made on those who attended the event.
In conclusion, the Philippine Independence Day event at RWJUH Somerset was more than just a gathering; it was a celebration of unity, culture, and shared experiences. It highlighted the importance of interacting with fellow Filipinos, fostering connections, and embracing our heritage. We extend our heartfelt gratitude to RWJUH Somerset for their unwavering support and for recognizing the value and contributions of the Filipino community. As PNANJ Somerset, we will continue to strive for excellence and find innovative ways to celebrate our cultural identity with pride, ensuring that the flame of Filipino heritage burns brightly for generations to come. Legacy of compassion and dedication that knows no bounds.
JUST 20¢/DAY
JOIN PNANJ/SOMERSET TODAY!
Embark on a transformative journey with 5,000 healthcare leaders, empowering nurses and driving positive change in communities together.
Community Impact
Over 3,500 volunteers, $16,000 donations, uplifted 40,000 patients locally and internationally.
Educational Empowerment
Providing ongoing education through scholarships, webinars, and educational links (EDU LINKS) to enhance professional competencies.
Building Friendships
Creating strong bonds among Filipino nurses through PNANJ.
AN ACTOR NAMED DINGDONG
Filipino Nurses in New Jersey
Inside PNAA | July 2023 | Page 81
PNANT-Dallas Keeping the “Bayanihan” Spirit Alive
June was the month for collaboration as the Philippine Nurses Association North Texas-Dallas Chapter partnered with two Filipino-American organizations in the DFW Metroplex to support their annual events.
Last June 3rd, 2023, the Philippine Community Center Inc. held their Annual Health Fair in Dallas, TX. PNANT-Dallas partnered with them and provided the nursing manpower for health screenings, vital signs checks, blood pressure and blood glucose monitoring, as well as providing health education and lay person CPR
training to the members of the community that had little access to health care. This is in line with the goals of PNANT-Dallas as a 501 (c)(3) nonprofit organization which aims to provide education and charitable giving via its community outreach activities. It was a very meaningful day for all the volunteers as they interacted with other PNANT-Dallas members, network with another Fil-Am organization and serve those less fortunate in our community.
It was also an excellent opportunity to meet other members of the DFW Filipino-American community, watch the program highlighting the many talented artists and groups and hear inspiring messages from the leaders in the Filipino-American community in North Texas. It also honored the Fil-Am veterans who fought during the war to help preserve the freedom we now enjoy with a wreath-laying ceremony led by Lt. Mel Sumrall, a WWII Veteran, and the sons and daughters of veterans. Having grandfathers who served both in the Philippine and American armies, this was very meaningful for both my husband and me.
This afternoon provided that and more for those wanting a taste of home. What a great way to support local vendors, sample Filipino food, and shop for Filipino products. It was truly a fun afternoon of food, games, and entertainment. It truly made us all feel like we were back home in the Philippines once again.
(Photo credits to Melissa Jarque-Cunanan, Gladys Paredes, Greta Pardue and Geraldine Perez)
Testimonial as an Immigrant Trailblazer
I believe that I am not any more special than other immigrants coming to this great nation. Like the rest, I've encountered almost every challenge an immigrant can find on his/her path. I think my resilience, patience, positive attitude, and deep faith when times were tough and things did not come out as expected made me who I am today.
As a nurse, I am passionate about my profession, which many Filipinos are famous for and justly proud of, to the point of sometimes forgetting their own welfare or family. The history of Filipino nurses in this great country goes back to the time when the Philippines was still a colony of the U.S., 1898 to be exact. Since then, the Philippines has been the world's leading exporter of professionally trained nurses. It is no secret that our work ethics kept the American healthcare system afloat, especially during the HIV/AIDS epidemic in the 1980s and the recent COVID-19 pandemic. Unfortunately, statistics would show that casualties in the medical field, especially during the COVID crisis, were mostly Filipino nurses. Perhaps this is because we seldom complain and treat our patients like family. I hope and pray that we will never have to sacrifice lives again or experience such a catastrophe. But for sure, I will never stop working and performing my sworn duty the best I can, and I think this sentiment is shared by other Filipino healthcare professionals as well, even without due compensation, acknowledgment, and accolade. Modesty aside, I will always try to bloom where I am planted and hopefully make a difference in my own small way to make our community and country a better place to live.
And having received the 2023 Immigrant Professional Excellence Award last month, together with the other awardees in their respective categories of immigrant roots coming from India, Mexico, Nigeria, and Zimbabwe – I sincerely thank Ann Massey-Badmus of Badmus and Associates Law firm and the panel of judges, for selecting me for such once-in-a-lifetime immigrant journey award. To say that I am so happy is an understatement. An award like that is so humbling that I wish I deserve to be an inspiration in our immigrant community.
As an immigrant trailblazer, once again, I am deeply honored to have accepted the said award, and I share such amazing recognition with my beloved wife May, our daughter Krysha May, and my parents, Daddy Enrique and Mommy Grace Clemente, who are my first teachers. Moreover, this would not have been possible without the inspiration of another colleague in the profession, for whom I have the most profound respect and from whom I derived the strength to stand up time and again whenever I fall – my very supportive Jackie, a Charge Nurse in one of the hospitals in New York for more than 30 years now, the unsung heroine in our family, who is battling cancer, and of course too to my employer Acute Rehabilitation Hospital of Plano, our PNANT-Dallas chapter, and PNAA community nationwide. Yes, some heroes don't wear capes, only PPEs (personal protective equipment), and they get sick too.
Ultimately, an award like that, like mine today, is an indication that the immigrant voice is beginning to be heard consistently. God bless us! And God bless America!
Join us at the 2023 Immigrant Journey Awards
Leticia Tudon, University of Texas at Arlington
Neha Kunte
Gauri Junnarkar
Jeronimo Lopez
Honour Sithole
Olufemi Afolami
Elvia Wallace-Martinez
Joel Clemente
Sonia Elhence
FRIDAY
June 16, 2023, 6:30 pm
Enjoy a fun & inspiring evening with the 2023 Immigrant Journey Award Honorees
Register at
On the weekend of June 10, 2023, thousands of volunteers from all ages came through to support the Roman Catholic Diocese of San Diego Million Meals project at Cathedral Catholic High School. The event aims to pack a million meals for needy families in countries like Mexico, the Philippines, Africa, and more. This year's goal was to exceed the one (1) million meals and monetary donations from last year, which was one million meals and $250,000.00. The project collaborated with Kids Around the World to deliver these meals to families. The Franciscans Missionaries, which runs the Casa De Los Pobres in Tijuana, talked and thanked the volunteers. One sister shared that they distribute the meals by foot and bus. A meal consists of one cup of rice, half a cup of lentils, dried assorted veggies, and organic seasoning, all carefully packed and sealed by the volunteers. One pack can feed four people.
The weather was cool and overcast. There were a few rain showers, but this did not stop the volunteers. Volunteers are from various parishes, schools, clubs, families, and organizations. PNA San Diego President Perly Aguinaldo, PNASD Auditor CDR (Ret) Reggie Cagampan, the President of Roaring Lions, led the group of sixteen volunteers. I collaborated with their team and other teenagers to continue motivating my children with volunteerism and community service. After being given a rundown of how to pack the meals, like in an assembly line, we went to work. As I looked around, my PNASD colleague, Pacita Barangan, the Cagampan family, Remy Babanto, this year’s Advance Practice Nurse Excellence awardee, Vickey Lagula, and the group were all happy packing meals, dancing to the beat of fun music. The energy and joy were so contagious that I started dancing myself.
The day was full of energy, with everyone doing their assigned task efficiently; by ten AM, there was an announcement that we had packed ~50,000 meals. These numbers motivated us to work harder. Ariane Cagampan and Christine Dosier, PNASD Newsletter, Editor-in-Chief Associate Editor, and Reggie were assigned to do the final boxing of the packed meals. Their system made it easy for us to have a good count of how many we had packed. We proudly say that PNASD/Roaring Lions group packed 1000 meals in two hours. It was a refresher for me; volunteering with my family was a rewarding experience. Indeed, A great Self-Care activity!
The tremendous collaborative effort made the Million Meals two days event a success. Organizations like PNASD, Roaring Lions, and our parish were just a tiny tangible proof that working together as a community accomplishes remarkable things. Our hard-working President, Perly Aguinaldo, plans to propose to our leadership that the Annual Million Meals Project be one of PNASD’s Community Outreach Activities for the year.
Please contact the Roman Catholic Diocese of San Diego for more information about this project. Online donations and volunteer sign-up are available at [https://sdcatholic.org/permanent-diaconate/million-meal-project/](https://sdcatholic.org/permanent-diaconate/million-meal-project/).
PNASD Joined the USS Telesforo Trinidad Commissioning Campaign: The First Ever US Destroyer Ship Named After a Filipino Sailor
On June 2, 2023, the Philippine Nurses Association of San Diego (PNASD) joined retired Major General Antonio Taguba and other community leaders in the USS Telesforo Trinidad Commissioning Campaign, held at Miramar Air Station. This event raised funds and increased awareness of this unique and historic warship, named after Fireman Second Class Telesforo Trinidad, a Medal of Honor recipient. MG(Ret) Taguba is one of the Board of Directors of the USS Telesforo Trinidad Commissioning Committee (USSTTCC), a non-profit corporation committed to facilitating the successful execution of the major milestones of the USS Telesforo Trinidad. The committee serves as the central point for all activities associated with the commissioning of the ship.
In his inspirational talk, MG(Ret) Taguba emphasized that the naming of the US Destroyer ship after Telesforo Trinidad was long overdue, and now that we are getting one, we should join and work together to make this commissioning unique and historical so that every Filipino must be proud of. During this meeting, PNASD was well represented. It was led by President Perly Aguinaldo, several PNASD officers, and the Board of Directors in attendance. PNASD donated $1,000 in addition to individual donations from the members. PNASD also pledged to help in educating the public about USS Telesforo Trinidad.
The generosity and participation shown by PNASD are a testament to its commitment to the USS Telesforo Trinidad Commissioning Campaign. Since the beginning of this crusade, PNASD has been actively engaged. On May 23, 2021, during the time of President Cris Ramos, PNASD members joined the community group and leaders in lobbying Congress and the U.S. Navy to name a ship after Telesforo Trinidad.
Left photo – PNASD Officers and members with the leaders of the community during the press conference and commemoration of USN Fireman Second Class Telesforo Trinidad. Center photo – the flyer for the press conference and the list of congressmen who authored the Bill. Left photo - PNASD members with Congresswoman Sarah Jacobs and Hon. Scott Peters in front of the USS San Diego monument in Harbor Drive.
Photos above - USS San Diego, Harbor Drive (May 23, 2021). PNASD members affixed their signatures on a poster board petition supporting naming a U.S. Navy ship after Telesforo Trinidad.
Again, on May 30, 2022, during the commemoration of Telesforo Trinidad’s life and heroism, PNASD members were actively involved. Community leaders from different organizations, including PNASD, gathered at the Liberty Station in Point Loma during the Memorial weekend to commemorate the life and service of Fireman Second Class Telesforo Trinidad. During this event, the community also celebrated the announcement made by the Secretary of the Navy that a future Arleigh Burke-Class Guided Missile Destroyer will be named USS Telesforo Trinidad (DDG 139). Telesforo Trinidad’s grandchildren joined the Liberty Station community and viewed this announcement as a win for all Filipinos.
Left photo – Officers and members of PNASD posed with Congresswoman Sarah Jacobs, one of the authors of the Bill that passed in the Congress for naming a Destroyer ship after a Filipino Medal of Honor recipient Telesforo Trinidad. Center photo – the original Medal of Honor received by Second Class Fireman Telesforo Trinidad. Right photo – Avid supporters from PNASD were wearing the Telesforo Trinidad Campaign T-shirt.
Telesforo Trinidad was born in Aklan, Tanay, Philippines, on November 25, 1890. He joined the US Navy in 1910. He served in the Navy for 35 years, including two world wars. According to the story, on January 21, 1915, Second Class Trinidad was aboard USS San Diego. While patrolling near La Paz, Mexico, in the Gulf of California, the Captain decided to conduct a four-hour endurance trial to determine if the ship could maintain its officially rated flank speed. At the end of the trial, one of the boiler tubes gave way, creating a chain reaction that forced him to get out of the fire room. When he realized that one of his shipmates was trapped inside, he went back inside and risked himself to carry his shipmate to safety when another broiler exploded and burned his face. Second Class Trinidad returned to save another injured shipmate despite his injury. The Navy awarded him the Congressional Medal of Honor for his heroic act, but his name had yet to be immortalized.
PNASD is honored to be part of this unique history and looking forward to seeing the major milestones of the first USS Destroyer named after a Filipino Sailor. According to MG Taguba, the fabrication of this ship will start in 2024, the keel laying in 2025, and the Christening in the Fall of 2026 at the Shipyard. The Commissioning ceremony will be scheduled in late 2028.
COVID Webinar: “End of Public Health Emergency and What Does it Mean?”
On Saturday, June 24, 023, from 9:00 am-10:00 am, PNASD COVID Task Force (CTF) Committee presented a COVID webinar titled, "End of Public Health Emergency (PHE) and What Does it Mean?"
PNASD CTF and volunteers continue vaccinating and providing COVID education to our members and the community. We also collaborate with community partners to provide updated information and resources on COVID. Because of too much talk about ending the PHE, as nurses and health care providers, we must serve as a liaison in disseminating updated information and resources.
Jennifer Tuteur, MD, FAAFP
Deputy Chief Medical Officer, Medical Care Services
County of San Diego Health & Human Services
END OF COVID-19 PUBLIC HEALTH EMERGENCY: WHAT DOES IT MEAN?
Via Zoom
Saturday, June 24, 2023
9:00am-10:00am PST
12:00pm-1:00pm EST
Registration link:
https://us06web.zoom.us/webinar/register/WN_5fD131Z
This webinar was made possible by cooperative agreement CDC-RFA (IP2)-2106 from the Centers for Disease Control and Prevention of the U.S. Department of Health and Human Services (HHS). Its contents are solely the responsibility of the author and do not necessarily represent the official views of CDC/HHS.
Through our collaboration with PNAA, PNAAF, Dr. Gloria Beriones, PNAA President, Ms. Carmina Bautista, Ms. Nancy Hoff from PNAAF, and County of San Diego Human and Health Services, Dr. Jennifer Tuteur and Dr. Robertson, we were able to present a COVID webinar on PHE.
Dr. Tuteur, Deputy Chief Medical Officer, Medical Care Services County of San Diego Health & Human Services Agency, presented important dates on the End of PHE announcement:
- February 28, 2023 - End of California's COVID-19 State of Emergency
- May 5, 2023 - End of World Health Organization global health emergency
- May 11, 2023 - End of federal COVID-19 PHE declaration
She also presented an interesting timeline for the end of PHE, including the date of May 31, 2023, DHCS COVID Uninsured Program ends; June 30, 2023, Fiscal Year Ends; May-Fall are the Range months for Commercialization; September 30, the Medicaid Requirements for No Cost-Sharing for COVID-19 Tests/Treatment Ends, October 1 PREP Act Coverage ends and November 11 as the date for the Requirements for OON Coverage with No Cost-sharing ends in CA.
Although cases for COVID are fewer, she emphasized the current COVID precautions for the County of San Diego and some changes related to the end of Federal, State, and Local emergencies.
### COVID-19 PRECAUTIONS
| | Still Mandatory | Strongly Recommended | No Longer Mandatory |
|--------------------------|-----------------|--------------------------------------------------------------------------------------|----------------------------------------------------------|
| **Face Coverings** | None | Encourage health care settings, particularly hospitals, psychiatric hospitals and long-term care facilities to develop their own policies and procedures for face coverings | Universally (Facilities may require masking) |
| **Vaccinations** | None | • COVID-19 primary series for HCW
• COVID-19 boosters
• Flu vaccines for HCW | COVID-19 boosters beyond the primary series |
| **COVID Testing** | Reporting positive and non-positive PCR tests | Testing all symptomatic persons and all asymptomatic persons with a known exposure | Testing everyone upon entrance to healthcare facilities |
### MULTIPLE DECLARATIONS IMPACT PANDEMIC RESPONSE
| Declaration | Authority | Declared By | End Date |
|------------------------------------|------------------------------------------------|-----------------|-------------------|
| CA Public Health Emergency | CA State Law | CA Governor | February 28, 2023 |
| National Emergency Declaration | Section 201 of National Emergencies Act | US President | May 11, 2023 |
| Federal Public Health Emergency | Section 319 of Public Health Service Act | HHS Secretary | May 11, 2023 |
| PREP Act Declaration | Section 319F-3 of Public Health Service Act | HHS Secretary | October 1, 2024* |
| EUA Declaration | Section 564 of Federal Food, Drug, and Cosmetic Act | HHS Secretary | None Yet |
Dr. Tuteur also discussed the Steps for a Long COVID Treatment Overview, which include several steps:
**Step 1:** In-depth interview with psychosocial support
**Step 2:** Evaluate for serious and/or common conditions
**Step 3:** Targeted Evaluation CARDS/PULM/PSYCH/NEURO
**Step 4:** Rehabilitation
Some Occupational Safety concerns include three important associated conditions such as Mental Health (Anxiety, Depression, PTSD, Therapy and Medications), the other one is Sleep Disturbance which includes Too much or Too little, and Obstructive Sleep Apnea and the third one is Neurological Impairment such as Disturbed taste and smell, Dysfunction in 36.6% and 5% still having symptoms at six months. We learned a lot from this webinar; so current, relevant, and timely. With COVID, we all learned to be flexible and resilient to the evolving changes related to it.
Thank you to Dr. Nio Noveno for introducing our guest speaker and Cece Echon for presenting the Certificate to Dr. Tuteur and Lourdes Deperio as our Chat master. We sincerely thank our PNASD leaders, members, community partners, and friends for supporting and attending the webinar. We can always count on your support for PNASD’s projects and initiatives. Special shout out to Dr. Robertson from the County of San Diego for responding to questions and Emily Nguyen from the County for creating the PowerPoint Presentation.
PNAA Membership Chair's Soul Refreshing Day with PNASD Members
PNASD President Perly Aguinaldo shared with PNASD Members that PNAA Membership Chair Emily Danuco is visiting San Diego the weekend of June 4th. The news sparked excitement, and several members committed to meeting and spending time with Emily.
Perly arranged a waterfront dining brunch for the group at Peohe's on the island of Coronado. Dorothy Brown, Arlene Cagampan, Reggie Cagampan, Jay Larrosa, Dr. Merlie Ramira, and Crisabel Ramos joined Perly and Emily. The group shared wonderful stories in addition to scrumptious meals. The group enjoyed different varieties of "hopias" after the meal, courtesy of Emily.
The group was supposed to dine at insideOut in Hillcrest, but the restaurant was fully booked. The said restaurant continues to raise the group's curiosity, especially on wanting to check their fabulous décor and display, "cherry blossoms" and such. Long story short, a suggestion came up to check it after brunch, and everyone agreed. Therefore, the group migrated to insideOut and had a champagne toast and Charcuterie board. Unfortunately, the décor and display, particularly on the cherry blossoms, are no longer available and have been removed. Nevertheless, the group still enjoyed each other's company.
After visiting and spending time with PNASD Members, Emily posted a video on one of her social media platforms with the caption, "A sweet friendship refreshes the soul – Proverb 27:9". The following message can be seen as well as the video plays along, "Thank you, PNA San Diego! Your Kindness, Your Generosity, Your Hospitality Means so Much! Thank you! I am forever grateful for an amazing day in San Diego with you." The pictures that she took with PNASD members made up the video. PNASD is also grateful to you, Emily, for spending time and sharing precious moments with us!
“Dreams Can Come True:” PNASD visits to USNS MERCY (T-AH-19)
How many of us have dreams and bucket lists? As a nurse, some of us have goals or bucket lists different from our career and educational aspirations. Mine is to set foot and see USNS MERCY. With the help of CDR Reggie Cagampan and HMC (FMF) Morada, Danilo, the dream became a reality on June 18, 2023.
USNS MERCY (T-AH-19) was the first of two MERCY-class hospital ships. A converted San Clemente-class supertanker, USNS MERCY, was delivered to the Navy’s Military Sealift Command on December 19, 1986. Her sister ship USNS Comfort (T-AH-20), is homeported in Virginia and commissioned on November 8, 1986. Her primary mission is to provide an afloat, mobile, acute surgical facility to the U.S. military that is flexible, capable, and uniquely adaptable to support expeditionary warfare. MERCY's secondary mission is to provide complete hospital services to support U.S. disaster relief and humanitarian operations worldwide.
They can easily activate capacity tiers, such as 250, 500, 750, and 1000 beds. They were involved in many humanitarian missions, including Los Angeles 2020. Their mission is to treat patients other than those with covid-19, freeing up land-based hospitals to deal with the virus.
USNS MERCY is homeported in San Diego, CA, and is currently in reduced operating status. Her crew remains part of the Naval Medical Center San Diego staff until there is an order to sea. There are two groups of personnel aboard the ship. Mariners from the U.S. Navy's Military Sealift Command are responsible for navigation, propulsion, and most deck duties on board. The "Medical Treatment Facility," or hospital on the ship, is commanded by a Navy Medical Corps or Navy Nurse Corps captain.
We are impressed by its organization, equipment, and self-reliance. They produce their oxygen on board from the plant to the different parts of the ship assigned with patient care, i.e., the ICU, OR, Pre-op, PACU, and nursing wards. They create steam to sterilize instruments used in the operating rooms and procedures. The lab has all the equipment necessary to run all kinds of tests as a land hospital can do. For any mass casualty events, they have a walking blood bank. The pathologist is always on board for every mission.
HMC Morada showed us their process and workflow from admission/transfer from the (1) flight deck to triage or (2) CASREC (Casualty Receiving) in their massive 50-bed emergency room deck. The next stop is (3) Radiology, (4) Pre-op, (5) Operating room, (6) Intensive care, lastly (7) Patient Wards.
Photos - Emergency room
The group on the flight deck
(Hill-Rom beds ready to deploy)
The group in pre-op listening to HMC Morada
Pre-Op
USNS Mercy provides the following medical services, dependent upon the mission scenario, including Surgery, Internal Medicine, Dermatology, Dialysis, Psychiatry, Respiratory Therapy, Angiography, Dental Prosthetics, Lens Fabrication, Laboratory, Radiology, Pharmacy, Blood bank, Dietary, Burn Treatment, Physical Therapy, Medical Equipment Repair, Medical Supply, and Laundry.
To support their missions and remain agile, the following are their capabilities: 1000 bed capacity, 4 X-ray rooms, 1 C.T. scan unit, Physical Therapy suite, Pharmacy, Dental suite, angiography suite, Optometry and Lens Laboratory, Blood Bank with up to 3,500 units of blood, Two Oxygen-producing plants. Crew size: civil Service Mariners – Full Operating Status (FOS): 65, Reduced Operating Status (ROS): 18. Navy Medical Personnel – FOS: 1,215, ROS: 58.
The ship is not all hard work; it also provides for the crew’s mental health. The ship has a gym for physical exercise and a galley dressed to impress.
Finally, we presented HMC Danilo Morada with a certificate of appreciation as handed to us by our BOD Vivian Sanderlin, assisted by CDR Reggie Cagampan and PRO Pacita Barangan.
It was a day to remember, indeed. The group completed the tour with a photo on the deck with the USNS Mercy Cross insignia. Much appreciation to CDR Cagampan and HMC Morada for making this dream come true!
The US Bureau of Labor Statistics projects that more than 275,000 additional nurses are needed from 2020 to 2030. Employment opportunities for nurses are projected to grow faster (9%) than all other occupations from 2016 through 2026. There are issues of concern, like the aging population, aging workforce, nurse burnout, violence in the health care setting, and career & family. We also need to consider diversity in the workplace to help improve health outcomes and identify social determinants of health.
But how can we increase the number of students entering the nursing profession? There is a need for recruitment, of course; however, when is the best time to find these students and steer them in the direction of the nursing profession? PNASD and the Education Committee had some discussions and brainstorming about this topic. President Perly Aguinaldo pursued this campaign by connecting with schools and seizing opportunities for PNASD nurses to share their experiences and success, hoping to inspire these students to enter nursing.
On June 7, 2023, “The Many Faces of a Nurse” came to fruition. Miss Kristin Flint, a career counselor from Morse High School, invited PNASD to present and meet with students deciding to enter healthcare as their future profession. Twelve students from grade levels 9-11 came to listen intently.
PNASD members spent the day having a one and one with students piquing their interests, advising them about the path to nursing and any specialty they might set their goals in, and answering their questions. We also met the Associate Dean of San Diego City College, College of Nursing, Dr. Dometrives Armstrong, who was also present to present the nursing program at City College. She shared her journey from an associate degree nursing program to her doctoral degree achievement. It was indeed a very inspiring day.
PNASD hopes to continue collaborating with more schools at various levels within our communities to educate our young minds on the service and pathway of becoming nurses. With this campaign, as a nursing organization, we are heeding the “Call to Action” for Nursing’s future.
Make a Difference: Sponsor Nurses' Night Today!
Saturday, July 29 @6pm
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SPONSORSHIP STARTS AT $50
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QUESTIONS? 908-392-5338 | firstname.lastname@example.org | WWW.PNANJSOMERSET.ORG
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Nurses' Night: A Spectacular Celebration of Healthcare Heroes
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WEBINAR SERIES
Webinar # 1 (Western Region)
March 16 at 9 - 10 pm EST
Col (Ret) Bob Gahol, MBA, MPA, MMAS, MSS, BSN, RN
Western Region Vice President
Understanding Alzheimer’s and Dementia
Webinar # 2 (South Central Region)
June 22 at 9 - 10:30 pm EST
Manny Ramos, MSN, RN - South Central Region Vice President
Approaching Alzheimer’s: First Responder Training
Dementia Conversations: Driving, Doctor Visits, Legal & Financial Planning
Webinar # 3 (North Central Region)
October 6 at 8:30 - 10 pm EST
Manelita Dayon, BSN, RN - North Central Region Vice President
Cognitive Screening and Testing in a Biomarker Era
Healthy living for your brain and body: Tips from the latest research
Webinar # 4 (Eastern Region)
November 30 at 9 – 10 pm EST
Warly Remegio, DNP, RN, NEA-BC, NPD-BC, FNYAM
Eastern Region Vice President
Understanding and Responding to Dementia-Related Behaviors
REGISTER
https://qrco.de/bdkUwH
Save the Dates!
CAMP ARUGA
LEADERSHIP BOOTCAMP
North Central Region
June 16-18, 2023
Angola, Indiana
Eastern Region
August 25-27, 2023
Luray, Virginia
Western Region
October 20-22, 2023
Sausalito, California
Project Director
Manny Ramos
Project Manager
Frocia Antaquelino
Members
Bob Gahol
Manalita Dayon
Dr. Warty Remegio
Dr. Mary Diolse Ramos
Arilta Pang
Advisers
Dr. Gloria Bariones
Dr. Marion Saria
Dr. Leo-Felix Jurado
Contact your RVPs for Registration
21st EASTERN REGIONAL CONFERENCE
OUR UNITED VOICES:
Bridging Gaps to Health Equity through Collaboration and Advocacy
November 3 - 5, 2023
Asheville, North Carolina
Crowne Plaza Hotels and Resorts
1 Resort Drive, Asheville, NC 28806
Registration
You may register online at https://www.mypnaaconference.org/
Cancellation Policy: Up to 30 days before the event is subject to a 25% charge, and cancellation 15 days before the days up until the event is subject to a 50% charge. All cancellations and inquiries must be emailed to:
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Hotel Accommodation
Crowne Plaza Hotels and Resorts
1 Resort Drive, Asheville, NC 28806
https://ashevillecp.com
Dates available to book: November 2 – November 5, 2023
Group rate: PNAA
Deadline to book using group rate: October 3, 2023
Check-in time: 3 PM. Check-out time: 11 AM
Any reservation requests made after the reservation due date will be accepted on a space-available basis at the prevailing rate.
At the reservation due date, all unused rooms and suites will be automatically released for general sale.
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CONFLICT OF INTEREST DISCLOSURES
THE PLANNERS AND SPEAKERS HAVE DECLARED NO RELEVANT FINANCIAL RELATIONSHIPS WITH INEQUIBLE COMPANIES
THE PHILIPPINE NURSES ASSOCIATION OF AMERICA (PNAA) UNDISCRS THE RIGHT TO MODIFY THIS CONFERENCE SCHEDULE WITHOUT ADVANCE NOTICE, ASSUMING RESPONSIBILITY FOR PERSONAL INJURY AND OR PROPERTY LOSS OF ALL ATTENDEES. THE FEE FOR REGISTRATION DOES NOT INCLUDE PERSONAL TRAVEL INSURANCE OR VACCINE WHICH IS THE SOLE RESPONSIBILITY OF EACH ATTENDEE.
21st PNAA Eastern Regional Conference Planning Committee
Chair: Gloria Beriones, PhD, RN, NEA-BC (PNAA President)
Overall Co-Chairs:
Marlon Saria, PhD, RN, AOCNS, FAAN (PNAA President-Elect)
Warly Remegio, DNP, RN, NEA-BC, NPD-BC, FNYAM (PNAA ER Vice President)
Luisito Pascual, BSN, RN, CCRN (PNA North Carolina President)
Leo-Felix Jurado, PhD, RN, APN, NE-BC, CNE, FAAN (PNAA Executive Director)
Aster Vargas, BSN, RN (PNAA Treasurer)
Mary Dioise Ramos, PhD, RN (PNAA Education Committee Chair)
Arlita Pang, BSN, RN (PNAA Ways & Means Committee Chair)
Carol Robles, BSN, RN, DNS-CT, RAC-CT (PNAA Communication & Marketing Committee Chair)
Susan Repotente, BSN, RN (PNAA Website Committee Chair)
Carmina Bautista, MSN, NP, FNP-BC, BC-ADM (Business Development Chair)
Catherine Paler, MSN, RN, PCCN (ER COPRR)
PNA North Carolina Chapter
Faith Lamprea, BSN, RN, CNOR (President-Elect)
Reynaldo Cuenca, BSN, RN (Vice President)
Rafael Lorenzo Nuyles, BSN, RN (Secretary)
Bianca Vergel de Dios, BSN, RN (Asst. Secretary)
Jay Libutan, BSN, RN, CNOR (Treasurer)
Aileen Laczi, MSN, BSN, RN, CNOR (Asst. Treasurer/Membership Committee Chair/NOMELEC Chair)
Maria Albano, BSN, RN, CNOR (Auditor)
Jennifer Dizon, DNP, RN-BC (Education Committee Chair)
Grace Fabito, BSN, RN, CNOR (Education Committee Co-Chair)
Ethel Cuenca, BSN, RN, CAPA (Recognition & Scholarship Committee Chair)
Doris Benzara, BSN, RN (Recognition & Scholarship Committee Co-Chair)
Fe Praiswater, BSN, RN (Membership Committee Co-Chair)
Merly Pascual, BSN, RN (Community Service and Events Chair)
Helen Rivera, BSN, RN (Community Service and Events Co-Chair)
Amy Tizon, BSN, RN (Archives & Publications Committee Chair)
Rose Anne Jison, BSN, RN (Archives & Publications Committee Co-Chair)
Florenda Asinas, BSN, RN (NOMELEC Chair)
## Registration Fees
| Event | Welcome Night | Leadership | Networking Night | Education Day | Gala Night | Mass |
|----------------|---------------|------------|------------------|---------------|------------|------|
| Date | 11/2/2023 | 11/3/2023 | 11/3/2023 | 11/4/2023 | 11/4/2023 | 11/5/2023 |
| Day | Thursday | Friday | Friday | Saturday | Saturday | Sunday |
| **Member: Early Registration** | Free | $75 | $90 | $100 | $110 | All are welcome |
| **Member: Late Registration** | Free | $100 | $115 | $125 | $135 | All are welcome |
| **Student: Early Registration** | Free | $65 | $80 | $95 | $100 | All are welcome |
| **Student: Late Registration** | Free | $90 | $105 | $120 | $125 | All are welcome |
| **Non-Member: Early Registration** | Free | $85 | $100 | $110 | $120 | All are welcome |
| **Non-Member: Late Registration** | Free | $110 | $125 | $135 | $145 | All are welcome |
### Family Members Food Package
| Package Description | Price per person |
|-----------------------------------------------------------|------------------|
| Lunch: Friday (11/3/2023) | $50 |
| Breakfast/Lunch/Coffee Break: Saturday (11/4/2023) | $70 |
| Friday and Saturday package: | |
| • Lunch: Friday (11/3/2023) | |
| • Breakfast/Lunch/Afternoon Coffee: Saturday (11/4/2023) | $120 |
Deadline for Early Registration: September 4, 2023
Late Registration: September 5 - October 21, 2023
Registration will close on October 22, 2023
[Register Now >]
CONFERENCE OVERVIEW
The PNAA Eastern Region, comprised of 11 chapters and several subchapters, is committed to providing an exceptional educational experience that promotes excellence in leadership and practice. Our upcoming conference, hosted by the PNA North Carolina Chapter, features distinguished speakers who are prominent leaders, subject matter experts, and industry executives.
We are proud to collaborate with the national PNAA organization to present the 21st Eastern Regional Conference. Our conference theme, "Our United Voices: Bridging Gaps to Health Equity through Collaboration and Advocacy," highlights the importance of working together to address health disparities and promote equity. Attendees can expect to engage with current evidence-based information and experiences that will enhance their skills in advocacy, collaboration, and achieving excellence.
Contact Hours
The 2-day event will award a total of 8.83 contact hours (3.25 contact hours for Leadership Institute Day and 5.58 for Education Day). Philippine Nurses Association of America Provider Unit is accredited as a provider of nursing continuing professional development by the American Nurses Credentialing Center's Commission on Accreditation; P0615. The Planners and speakers have declared no relevant financial relationships with ineligible companies.
Leadership Institute Objectives
At the end of the Leadership Institute Program, the participants will be able to:
- Discuss the impact of positive psychology and mindfulness practices on cultivating resilience and joy in the workplace.
- Examine the key elements of an innovative culture and identify strategies for implementing an innovation mindset in nursing practice.
- Develop skills to promote team empowerment and engagement through innovative leadership practices, such as mentorship, coaching, and collaborative problem-solving.
Education Day Objectives
At the end of the Education Day Program, the participants will be able to:
- Develop an understanding of the importance of diversity, equity, and inclusion in nursing practice, and explore strategies for creating inclusive environments that promote equitable care.
- Discuss the impact of substance abuse disorder on patients, families, and communities, and explore evidence-based interventions to prevent and treat substance abuse disorders.
- Describe the latest research and access to care among X-Linked Dystonia Parkinsonism.
- Analyze the factors contributing to nurse turnover and burnout, and identify evidence-based strategies for improving nurse retention and job satisfaction.
- Enumerate the role of nurses in advocacy and collaboration to promote health equity and address disparities in healthcare delivery.
- Describe the latest research on AIDS and other infectious diseases, including prevention strategies, treatment options, and nursing care considerations.
November 3, 2023
8:00 - 9:30 PNAA Executive Board Meeting
9:30 - 11:30 Eastern Region Meeting
11:00 - 17:00 REGISTRATION
CELEBRATION SCHEDULE
Welcome Night November 2, 2023 | 6:00 PM
Networking Night November 3, 2023, 6:00 PM
Gala Night November 4, 2023 | 6:00 PM
Eucharistic Celebration November 5, 2023 | 9:00 AM
| Time | Event | Speaker |
|------------|----------------------------------------------------------------------|-------------------------------------------------------------------------|
| 11:30 - 12:30 | REGISTRATION / LUNCH | |
| 12:30 - 12:35 | WELCOME REMARKS | WARLY REMEGIO, DNP, RN, NEA-BC, NPD-BC, FNYAM |
| | | VICE PRESIDENT, PHILIPPINE NURSES ASSOCIATION OF AMERICA EASTERN REGION |
| 12:35 - 13:05 | PNAA COLLABORATION ON THE GO | GLORIA BERIONES, PHD, RN, NEA-BC |
| | | PRESIDENT, PHILIPPINE NURSES ASSOCIATION OF AMERICA |
| 13:05 - 13:35 | PNAAF UPDATES | ROSARIO ESTRADA, DNP, RN |
| | | PRESIDENT, PHILIPPINE NURSES ASSOCIATION OF AMERICA FOUNDATION |
| 13:35 - 13:40 | INTRODUCTION & ANCC DISCLOSURES | MARY DIOISE RAMOS, PHD, RN |
| | | CHAIR, PHILIPPINE NURSES ASSOCIATION OF AMERICA EDUCATION COMMITTEE |
| 13:40 - 14:40 | LEADING AND CULTIVATING JOY AND RESILIENCE AT WORK | MONALIZA GAW, DNP, MPA, RN, NEA-BC, FACHE, CPHQ |
| | | VICE PRESIDENT & CHIEF NURSING OFFICER, ASCENSION SETON NORTHWEST AND SOUTHWEST HOSPITALS |
| 14:40 - 15:10 | BREAKING BARRIERS AND BUILDING BRIDGES: LEADERSHIP IN ADDRESSING RACISM AGAINST FILIPINO-AMERICAN NURSES | MARY JOY GARCIA-DIA, DNP, RN, FAAN |
| | | PROGRAM DIRECTOR, NURSING INFORMATICS, IT DEPARTMENT & INSTITUTE FOR NURSING EXCELLENCE AND INNOVATION NEW YORK-PRESBYTERIAN |
| 15:10 - 15:40 | BREAK / EXHIBITS | |
| 15:40 - 17:10 | LEADERS TOOLKIT: BUILDING A CULTURE OF INNOVATION TO STEER TEAM EMPOWERMENT AND ENGAGEMENT | TERESITA MEDINA, DNP, MAS, RN, PMH-BC |
| | | ASSISTANT VICE PRESIDENT, CLARA MAASS MEDICAL CENTER |
| | | CHRISTINE PABICO, PH.D., RN, NE-BC, FAAN |
| | | DIRECTOR, PATHWAY TO EXCELLENCE PROGRAMS, AMERICAN NURSES CREDENTIALING CENTER |
| | | WARLY REMEGIO, DNP, RN, NEA-BC, NPD-BC, FNYAM |
| | | SYSTEM VICE PRESIDENT, NURSING PROFESSIONAL DEVELOPMENT & PRACTICE EXCELLENCE, HARTFORD HEALTHCARE |
| 17:10 - 17:15 | EVALUATION | JENNIFER DIZON, DNP, RN-BC |
| | | CHAIR, PNAA NORTH CAROLINA EDUCATION COMMITTEE |
**CONFLICT OF INTEREST DISCLOSURES**
THE PLANNERS AND SPEAKERS HAVE DECLARED NO RELEVANT FINANCIAL RELATIONSHIPS WITH INELIGIBLE COMPANIES.
THE PHILIPPINE NURSES ASSOCIATION OF AMERICA (PNAA) RESERVES THE RIGHT TO MODIFY OR CANCEL SESSIONS WITHOUT ADVANCE NOTICE. IT ASSUMES NO RESPONSIBILITY FOR PERSONAL INJURY AND/OR INELIGIBLE NURSES ATTENDING OR PARTICIPATING IN ANY SESSION OR PROGRAM. TRAVEL INSURANCE OF ANY KIND, WHICH IS THE SOLE RESPONSIBILITY OF EACH ATTENDEE.
STRUT YOUR STUFF AS THE DJ SPINS ALL THE CLASSIC DISCO HITS AT THE
21ST PNAA EASTERN REGIONAL CONFERENCE NETWORKING NIGHT
"HAYOP SA GALING"
(A DISCO PARTY CELEBRATION FOR OUR EXTRAORDINARY BREED OF NURSES)
JOIN US FOR A NIGHT OF GAMES, FOOD, FUNKY BEATS, AND GROOVY MOVES.
NOVEMBER 3, 2023 (FRIDAY)
6 PM - 11 PM
CROWNE PLAZA HOTELS & RESORTS
1 RESORT DRIVE
ASHEVILLE, NC 28806
DRESS CODE:
ANIMAL PRINT DISCO ATTIRE
November 4, 2023
Education Day Program
7:00 – 8:00 REGISTRATION / EXHIBITS / BREAKFAST
8:00 – 8:05 OPENING REMARKS
WARLY REMEGIO, DNP, RN, NEA-BC, NPD-BC, FNYAM
VICE PRESIDENT, PHILIPPINE NURSES ASSOCIATION OF AMERICA EASTERN REGION
8:05 – 8:35 STATE OF PNAA ADDRESS
GLORIA BERIONES, PhD, RN, NEA-BC
PRESIDENT, PHILIPPINE NURSES ASSOCIATION OF AMERICA
8:35 – 8:40 INTRODUCTION & ANCC DISCLOSURES
JENNIFER DIZON, DNP, RN-BC
CHAIR, PNA NORTH CAROLINA EDUCATION COMMITTEE
8:40 – 9:20 NURSES AS CATALYSTS FOR HEALTH EQUITY:
LEADING CHANGE IN HEALTHCARE DELIVERY
ERNEST GRANT, PhD, DSC (H), RN, FAAN
IMMEDIATE PAST PRESIDENT, AMERICAN NURSES ASSOCIATION
CONSULTING PROFESSOR, DUKE UNIVERSITY SCHOOL OF NURSING
9:20 – 10:10 THE OPIOID CRISIS: BRIDGING HEALTH CARE NEEDS AMONG VULNERABLE POPULATION
RIZA MAURICIO, PH.D., APRN, FCCM, CCRN, CPNP-PC/AC
ASSISTANT PROFESSOR, UNIVERSITY OF TEXAS HEALTH, SCHOOL OF NURSING
DANILO BERNAL, DNP, APRN, PHN, CEN, CCRN, CCHP, NP-C, FNP-BC
ASSISTANT PROFESSOR, CALIFORNIA STATE UNIVERSITY CHANNEL ISLANDS
10:10 – 10:40 BREAK / EXHIBITS
10:40 – 11:30 EQUITABLE APPROACHES TO NURSE RETENTION:
MOVING BEYOND ONE-SIZE-FITS-ALL SOLUTIONS
SARAH LACKEY, DNP, RN, CMC
MAGNET PROGRAM DIRECTOR, CONE HEALTH, GREENSBORO, NORTH CAROLINA
11:30 – 12:20 ACCESS TO CLINICAL TRIALS AND PURSUIT OF TREATMENT FOR X-LINKED DYSTONIA PARKINSONISM
D. CHRIS BRAGG, PHD
DIRECTOR, MGH COLLABORATIVE CENTER FOR X-LINKED DYSTONIA-PARKINSONISM
12:20 – 13:20 LUNCH / EXHIBITS
CONFLICT OF INTEREST DISCLOSURES
THE PLANNERS AND SPEAKERS HAVE DECLARED NO RELEVANT FINANCIAL RELATIONSHIPS WITH INELIGIBLE COMPANIES
THE PHILIPPINE NURSES ASSOCIATION OF AMERICA (PNAA) RESERVES THE RIGHT TO MODIFY THE CONFERENCE SCHEDULE WITHOUT ADVANCE NOTICE; IT ASSUMES NO RESPONSIBILITY FOR PERSONAL INJURY; AND IT HEREBY NOTIFIES ALL ATTENDEES THAT THEIR REGISTRATION FEES DO NOT INCLUDE PERSONAL TRAVEL INSURANCE OF ANY KIND, WHICH IS THE SOLE RESPONSIBILITY OF EACH ATTENDEE.
13:20 – 14:10 FROM AWARENESS TO ACTION: ADVANCING HEALTH EQUITY THROUGH DIVERSITY, EQUITY, AND INCLUSION
LESHONDA WALLACE, PH.D., RN, FNP-BC, FAAN
INFECTIOUS DISEASE SPECIALISTS, NOVANT HEALTH
14:10 – 14:50 REACHING OUT: USING TEXT MESSAGING TO ADDRESS HEALTH INEQUITIES AND IMPROVE HIV KNOWLEDGE AMONG FILIPINO ADOLESCENTS AND YOUNG ADULTS
JHORDIN JAMES C. MONTEGRICO, PH.D., RN, CMSRN
ASSISTANT PROFESSOR, UNIVERSITY OF NORTH CAROLINA CHARLOTTE SCHOOL OF NURSING
14:50 – 15:20 BREAK / EXHIBITS
15:20 – 16:00 THE INTERSECTION OF COURAGE AND HEALTH EQUITY: LEADING FOR CHANGE
PAMELA B. EDWARDS, EDD, MSN, RN-BC, FABC, CNE, CENP
ASSISTANT VICE PRESIDENT, NURSING - DUKE UNIVERSITY HEALTH SYSTEM;
DUKE CLINICAL EDUCATION & PROFESSIONAL DEVELOPMENT
ASSOCIATE CONSULTING PROFESSOR - DUKE UNIVERSITY SCHOOL OF NURSING
16:00 – 16:05 EVALUATION AND WRAP UP
MARY DIOISE RAMOS, PHD, RN
CHAIR, PHILIPPINE NURSES ASSOCIATION OF AMERICA EDUCATION COMMITTEE.
16:05 – 16:10 CLOSING REMARKS
LUISITO PASCUAL, BSN, RN, CCRN
PRESIDENT, PNA NORTH CAROLINA
Memories will be made to last a lifetime at the
21ST PNAA
EASTERN REGIONAL CONFERENCE
Gala Night
JOIN US FOR A NIGHT OF EXQUISITE ELEGANCE
AS WE CELEBRATE THE BEAUTY OF NORTH CAROLINA
"A Blue Tie Affair"
TO PAY HOMAGE TO THE
BREATHTAKING LANDSCAPES OF OUR STATE.
WE'LL DINE AND DANCE THE NIGHT AWAY
IN A CELEBRATION OF ALL THAT MAKES
NORTH CAROLINA SPECIAL.
NOVEMBER 4, 2023 (SATURDAY)
6 PM - 11 PM
Crowne Plaza Hotels & Resorts
1 RESORT DRIVE
ASHEVILLE, NC 28806
ATTIRE:
COME IN ANY SHADE OF BLUE
BECAUSE BLUE IS NOT A SINGLE COLOR IN NORTH CAROLINA.
GENTLEMEN, DUST OFF YOUR SUITS.
ADD A BOW TIE OR NECKTIE, AND A POCKET SQUARE.
LADIES, ADORN YOURSELVES IN STUNNING EVENING ATTIRE, ACCENTS, AND ALL.
Eucharistic Celebration
Join us for a special Eucharistic celebration as we come together to worship and give thanks.
Date: November 5, 2023 (Sunday)
Time: 9 AM
Location: Basilica of Saint Lawrence
Address: 97 Haywood St, Asheville, NC 28801
The Basilica of Saint Lawrence is 2.0 miles from Crowne Plaza Hotels and Resort (4-7 minutes drive).
Image by vikayatskina on Freepik
Image by Freepik
COME JOIN US FOR THE
X-LINKED DYSTONIA-PARKINSONISM WEBINAR SERIES
AUGUST 29
8:00 PM ET
X-LINKED DYSTONIA-PARKINSONISM (XDP): UNDERSTANDING THE DISEASE AND GENETIC SCREENING
Nutan Sharma, MD, PhD
Christopher Bragg, PhD
Laurie Ozellius, PhD
SEPTEMBER 26
8:00 PM ET
XDP TREATMENT & MANAGEMENT: EMERGING THERAPIES AND BEST PRACTICES
Nutan Sharma, MD, PhD
Jan Kristoper P. de Guzman, MD
Melanie Leigh De Las Alas Supnet, MD
OCTOBER 24
8:00 PM ET
XDP CLINICAL RESEARCH: UPDATES ON TRIALS, ADVOCACY EFFORTS, & FUTURE DIRECTIONS
Nutan Sharma, MD, PhD
Trisha Multhaupt-Buell, MS, CGC
Caroline Nelson
Scan me
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Filipino Nurses’ Global Summit V and 14th International Nursing Conference
WE CARE: Filipino Nurses at the Forefront of Global Health
25-26 JANUARY 2024
Iloilo Convention Center
Accommodation: Marriott Courtyard Iloilo
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Dino Doliente III at firstname.lastname@example.org
or +1.213.944.9168 (US) | +63.956.301.5489 (PH)
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|
He, S, He, K and Seddighi, M
Laminarisation of flow at low Reynolds number due to streamwise body force
http://researchonline.ljmu.ac.uk/id/eprint/4868/
Article
Citation (please note it is advisable to refer to the publisher's version if you intend to cite from this work)
He, S, He, K and Seddighi, M (2016) Laminarisation of flow at low Reynolds number due to streamwise body force. Journal of Fluid Mechanics, 809. pp. 31-37. ISSN 0022-1120
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Laminarisation of flow at low Reynolds number due to streamwise body force
S. He\textsuperscript{1}†, K. He\textsuperscript{1, 2} and M. Seddighi\textsuperscript{1, 3}
\textsuperscript{1}Department of Mechanical Engineering, University of Sheffield, Sheffield S1 3JD, UK
\textsuperscript{2}Present address: School of Chemistry and Chemical Engineering, South China University of Technology, Guangzhou 510640, China
\textsuperscript{3}Department of Maritime & Mechanical Engineering, Liverpool John Moores University, Liverpool L3 3AF, UK
(Received xx; revised xx; accepted xx)
It is well established that when a turbulent flow is subjected to a non-uniform body force, the turbulence may be significantly suppressed in comparison with that of the flow of the same flow rate and hence the flow is said to be laminarised. This is the situation in buoyancy-aided mixed convection when severe heat transfer deterioration may occur. Here we report results of direct numerical simulations of flow with a linear or a step-change profile of body force. In contrast to the conventional view, we show that applying a body force to a turbulent flow while keeping the pressure force unchanged causes little changes to the key characteristics of the turbulence. In particular, the mixing characteristics of the turbulence represented by the turbulent viscosity remain largely unaffected. The so-called flow laminarisation due to a body force is in effect a reduction in the apparent Reynolds number of the flow, based on an apparent friction velocity associated with only the pressure force of the flow (i.e., excluding the contribution of the body force). The new understanding allows the level of the flow ‘laminarisation’ and when the full laminarisation occurs to be readily predicted. In terms of the near-wall turbulence structure, the numbers of ejections and sweeps are little influenced by the imposition of the body force, whereas the strength of each event may be enhanced if the coverage of the body force extends significantly away from the wall. The streamwise turbulent stress is usually increased in accordance with the observation of more and stronger elongated streaks, but the wall-normal and the circumferential turbulent stresses are largely unchanged.
Key words: Authors should not enter keywords on the manuscript, as these must be chosen by the author during the online submission process and will then be added during the typesetting process
1. Introduction
Convective heat transfer, or simply convection, is commonplace in thermal energy systems. When the flow required for the convection to take place is provided by a pressure gradient such as that generated by a pump or a fan, it is referred to as forced convection. Alternatively, if the convection is due to a flow circulation driven by the buoyancy resulting from a non-uniform distribution of temperature in the fluid, it is referred to as
† Email address for correspondence: firstname.lastname@example.org
natural convection. In many practical applications, the two forms of convection coexist; this combined forced and natural convection is also referred to as mixed convection.
Mixed convection in a vertical channel can be significantly stronger or weaker than the forced convection under the same flow rate. The latter is known as heat transfer deterioration and is a cause of concern in many applications, including for example the nuclear reactors under various normal and hypothetical fault conditions. The strengthening or reduction of heat transfer in mixed convection is largely due to the presence of the buoyancy, which influences heat transfer through the so-called structural (direct) or external (indirect) mechanisms (Petukhov et al. 1988). The former is due to the direct interactions between the fluctuating density (buoyancy) and the thermal field resulting in a production or destruction of turbulence. The latter is through an indirect means, that is, the buoyancy as a non-uniformly distributed body force causes the mean flow to be modified, leading to turbulence enhancement or suppression. In a vertical flow, the former is negligible; the latter is most influential (e.g. Jackson et al. 1989; Cotton & Jackson 1990; Kim et al. 2008). In a horizontal flow, both mechanisms might be significant.
Even though the detailed mixed convection behavior in a vertical passage is very complex and difficult to predict, the general picture has been well established. In a heated downward flow (i.e., a buoyancy-opposed flow), turbulence is always enhanced as a result of the presence of buoyancy, and hence heat transfer is improved in comparison with forced convection. By contrast, in a heated upward flow (i.e., a buoyancy-aided flow), the production of turbulence is suppressed when the buoyancy is relatively weak. As the buoyancy force is increased (e.g., by increasing the heat flux and hence the wall temperature), turbulence continues to reduce causing the flow to partially re-laminarise. When the buoyancy is sufficiently strong, the turbulence may be completely destroyed and the flow is fully laminarised. At this stage, the heat transfer process is minimised, being similar to that in a laminar flow. With a further increase in buoyancy force, turbulence starts to be produced again but mostly in the region away from the wall, which causes a recovery of heat transfer effectiveness. When the buoyancy is extremely strong and dominates the flow, the heat transfer process becomes a natural convection. At this stage, the Nusselt numbers for the upward and downward flows converge.
The present understanding of the mechanisms of the effect of buoyancy on heat transfer is explainable using the analysis due to Jackson & Hall (1979). In a heated upward flow, the buoyancy force, which is strongest adjacent to the wall due to the large temperature gradient there, causes the flow in the viscous layer to accelerate strongly, and, the flow in the core to be retarded in relative terms. This causes the total shear and then the turbulent shear stress to reduce in the buffer layer, which in turn leads to a reduction in turbulence production. The opposite is true for a buoyancy-opposed flow: the flow in the viscous sublayer is reduced resulting in a larger velocity gradient and a stronger turbulent shear stress, and hence an increase in turbulence production.
Extensive research has been carried out over many decades on mixed convection heat transfer with various fluids, generating a large body of experimental data. Most studies however are limited to heat transfer measurements, i.e., wall temperature and heat flux on the wall (e.g. Vilemas et al. 1992; Celata et al. 1998; Liao & Zhao 2002; Lee et al. 2008). An overview of earlier work can be found in Jackson et al. (1989) and more recently Jackson (2013). Alongside experimental investigations, various heat transfer correlations have been established based on dimensional arguments and/or mechanistic models (Petukhov et al. 1988; Jackson et al. 1989; Vilemas et al. 1992; Aicher & Martin 1997). More recently, heat transfer to fluids at supercritical pressure has received significant attention due to a number of emerging applications, such as, advanced design of nuclear reactors, supercritical CO$_2$ air-conditioning systems and carbon capture and
storage (Jiang et al. 2006; Licht et al. 2009; Jackson 2013). The effect of buoyancy can be particularly strong and complex since the thermal properties vary strongly with temperature under such conditions. A review of recent studies can be found in Yoo (2013).
Computational fluid dynamics (CFD) has been applied to reproduce mixed convection and one of the very first attempts was Abdelmeguid & Spalding (1979). The standard $k-\varepsilon$ model used was found to be able to reproduce the downward flow but not the upward flow. Efforts have been made to revise turbulence models to simulate buoyancy effect, using advanced wall functions (Craft et al. 2004), improved modelling of the buoyancy production using generalised gradient diffusion hypothesis (GGDH) or algebraic models (Cotton & Jackson 1990), various turbulent shear stress models, and turbulent heat transfer models (Kim et al. 2008). It has now been established that it is essential that the turbulence model has a so-called low Reynolds number feature, which emulates the effect of buoyancy on turbulence (Cotton & Jackson 1990; Kim et al. 2008). Comparative studies (Mikielewicz et al. 2002; Kim et al. 2008; Keshmiri et al. 2012) have shown that although some models perform better than others, there are no models that can be applied generically in all flow conditions.
In contrast to the vast body of heat transfer measurements, there are very limited measurements of the flow and turbulence. One of the first detailed measurements of the velocity profiles were carried out by Steiner (1971) who studied the ‘reverse transition’ of a turbulent flow under the action of buoyancy forces. He demonstrated that the velocity profiles are flattened in flows with influences of weak and medium buoyancy forces when the flow is partially laminarised, and become M-shape when the buoyancy is very strong and turbulence and heat transfer effectiveness regain their strength. These were further confirmed by Carr et al. (1973) and Polyakov & Shindin (1988), both using air, and Kurganov & Kaptilny (1992) using CO$_2$ at a supercritical pressure. These later studies also provided measurements of the turbulent shear stress, which reduces first with the increase of buoyancy, reaching a minimum (close to zero) while the flow is said fully laminarised. With further increase of the buoyancy, negative turbulent shear stress is generated in the core of the flow which corresponds to the inner flank of the M-shaped velocity. Some positive turbulent shear stress is also produced close to the wall in connection with the near wall layer (the outer legs of the M-shaped velocity profile). Simultaneous measurements of the axial and wall-normal turbulence were only made by Polyakov & Shindin (1988) who discussed the anisotropy of the turbulence due to the influence of the buoyancy. They concluded that the axial turbulence is more strongly reduced than wall-normal turbulence causing the anisotropy of the turbulence to reduce. It is noted however that their data was limited to a strongly laminarised flow and some recovery flows. It is shown later that typically turbulence anisotropy is enhanced in a partially laminarised flow.
Studies of the flow and turbulence in a buoyancy-opposed flow are even rarer. Nakajima et al. (1980) made measurements of the streamwise velocity and temperature in a vertical plane channel with one heated and one cooled wall but only with moderate heat flux. Much later, Wang et al. (2004) made measurements of two-components of turbulence flow in a vertical plane passage with a heated wall for a downward as well as an upward flow. In both studies, the results on the buoyancy-aided flow were consistent with those of previous studies in a tube, whereas the trends of the data for the buoyancy-opposed flow show contrasting features. The velocity in the viscous sublayer is retarded by the presence of buoyancy, leading to a stronger turbulence production which Wang et al. (2004) demonstrated with measurements of the turbulent normal and shear stresses.
More recently, direct numerical simulation (DNS) has been used to study combined forced and natural convection yielding detailed information on the flow and turbulence
which are difficult, if not impossible, to obtain experimentally. Satake et al. (2000), You et al. (2003) and Bae et al. (2006) performed DNS of air flows in a vertical tube, whereas Kasagi & Nishimura (1997) considered a vertical plane channel with a heated and a cooled wall on either side using air-like properties based on the Boussinesq assumption. Bae et al. (2005, 2008) performed DNS of CO$_2$ at a supercritical pressure in a vertical circular and annular tube, respectively. Overall the DNS results agree well with the experiments where available, validating the numerical results as well as confirming the trends established from experiments. In addition, DNS also provide more detailed data, including the budget terms on turbulent stresses and turbulent heat fluxes. It has been demonstrated that in a partially laminarised flow, the wall-normal and spanwise turbulence components are significantly more strongly suppressed than the axial component, making the flow strongly anisotropic (Bae et al. 2006; Kasagi & Nishimura 1997). This reflects the flow structures observed where elongated streaks are formed, which is typical of a laminarising flow due to flow acceleration, or, a favourable pressure gradient (Launder & Jones 1969; Sreenivasan 1982; Lee & Choi 2001; Piomelli & Yuan 2013). Under most conditions, the contribution of the direct buoyancy production is insignificant and the influence of buoyancy on turbulence is largely via modifying the mean flow (Cotton & Jackson 1990). In addition, DNS also shows that the flow and thermal fields can develop significant dissimilarity under some conditions invaliding the common turbulence modelling approach based on turbulent Prandtl number (Bae et al. 2005).
Even though the main motivation of the present study stems from mixed convection, it should be noted that there are many other types of body-force influenced flows which are of significant interest, especially, in relation to flow control and drag reduction. These different types of body forces share many similarities. Kasagi & Nishimura (1997) directly compared the combined forced and natural convection in a vertical channel with a channel flow subject to a uniform wall mass injection and suction on each of the walls by Sumitani & Kasagi (1995), and a liquid metal flow in a channel subject to a Lorenz force due to a transverse magnetic field. They demonstrated strong similarities between the various flows in not only the mean velocity profiles and turbulence statistics but also the near wall quasi-coherent structures characterised by elongated streaks. They attribute the similarities to having resulted from the near-wall force balance modified in a similar way by the additional body force or momentum transport. Crawford & Karniadakis (1997) studied numerically a turbulent flow of low electric conductivity subject to streamwise electro-magnetic forcing. They did not achieve drag reduction that they intended for, which was attributed to the increase of turbulent shear stress due to the increased vortex stretching term ($w' \omega'_x$) and the spanwise variation of the stress component $(\partial (\overline{u' w'}) / \partial x_3)$. Xu et al. (2007) performed DNS of a turbulent channel flow subject to a prescribed steady streamwise force in the form of a sine-wave in the near wall region. Sustained drag reduction was achieved when the force was limited to within 20 wall units, which was attributed to the effect of the forcing limiting the development of the Reynolds shear stress. When the amplitude of the forcing was high, the shear layer was found to break down generating its own turbulence, in turn increasing the wall friction. Lee & Choi (2001) studied the effects of Lorenz force on near-wall turbulence structures using DNS by subjecting a channel flow to a magnetic field in all three directions. It was found that whereas the near wall turbulence structures can be suppressed by the Lorenz force induced by magnetic field in all three directions, the Lorenz force induced by the wall-normal field which directly interact with the mean flow can do so most effectively. When the magnetic field is too strong, turbulence is increased leading to a drag increase. Turbulence structures are markedly elongated in the direction of the applied magnetic
field when it is sufficiently strong, which was shown to be associated with a rapid decrease of the Joule dissipation in time.
1.1. The scope of the paper
It is clear from the brief review provided above that buoyancy may significantly suppress turbulence resulting in a severe heat transfer deterioration. This is attributed to the modification of the near-wall shear stress balance, resulting in a modified velocity profile. Under such conditions, the flow shows typical characteristics of a laminarising flow with elongated streaks and strengthened anisotropic turbulence. The thermal and flow fields are strongly coupled in mixed convection and need to be resolved simultaneously for any practical problems. However, from the point of view of fluid mechanics, the fundamental question is how the flow and turbulence respond to a buoyancy force of a certain distribution, which is the key process in mixed convection ultimately determining the effectiveness of heat transfer. Despite the vast amount of efforts devoted to mixed convection, the understanding of such physics is still limited. For example, the prediction of flow laminarisation and heat transfer deterioration is still largely through semi-empirical correlations based on mechanistic modelling and dimensional analysis with the support of experimental data. The purpose of the study reported herein is to develop new insights into flow laminarisation due to a non-uniform body force such as the buoyancy in mixed convection. We perform DNS of a turbulent flow in a pipe subjected to a prescribed non-uniform, streamwise, body force. Two typical distributions, i.e., a linear variation and a step-change, are studied, the amplitude and coverage of which are independently and systematically varied. This systematic approach allows us to establish a holistic view of how a body force modifies the flow and turbulence, which could not have been developed through studying individual physical flows, which by definition are limited to certain conditions. We consider body-force aided flow, that is, the body force is in the same direction of the flow. We focus on partially and fully laminarised flows herein, while the recovery flow will be discussed in detail elsewhere. This study has led to the establishment of a new framework of analysis for the flow subjected to a body force, and has revealed some fundamental characteristics of laminarising flows for the first time. The new understanding provides explicit means to predicting how much the flow is modified or laminarised under the influence of a known body force.
The paper is structured as follows: The numerical methods and the design of the test cases are discussed in §2, which is followed by detailed discussion of the results in §3. The overall picture of the influence of systematically varying the body force on the velocity profile and turbulence is shown in §3.1 and the turbulence behaviour in a laminarising flow in the conventional view is described in §3.2. A new perspective and the underlining theory are detailed in §3.3 together with supporting evidence. The friction factor and an FIK identity analysis are shown in §3.4, followed by discussion on the fully laminarised flow process and its prediction in §3.5. The flow structures are visualised and quantified in §3.6 and finally the paper concludes with a summary in §4.
2. Methodology
The DNS code, CHAPSim, initially developed for a channel flow (Seddighi 2011; He & Seddighi 2013) has been revised to solve the Navier-Stokes equations for a turbulent flow in a pipe in cylindrical coordinates. The governing equations read:
\[
r \frac{\partial q_z}{\partial z} + \frac{\partial q_r}{\partial r} + \frac{1}{r} \frac{\partial q_\theta}{\partial \theta} = 0,
\] (2.1)
Figure 1. Examples of distributions of density in mixed convection of a flow of an air and CO$_2$ at supercritical pressure. ‘x/R’ is the distance from the start of the heated length of the pipe over radius. (Reproduced from He et al. (2008) with permission)
\[
\frac{\partial q_z}{\partial t} + \frac{\partial q_z q_r}{\partial r} + \frac{1}{r} \frac{\partial q_z q_r}{\partial r} + \frac{1}{r^2} \frac{\partial q_z q_\theta}{\partial \theta} = -\frac{\partial p}{\partial z} - \frac{\partial P}{\partial z} + \frac{1}{Re} \left( \frac{\partial^2 q_z}{\partial z^2} + \frac{1}{r} \frac{\partial}{\partial r} r \frac{\partial q_z}{\partial r} + \frac{1}{r^2} \frac{\partial^2 q_z}{\partial \theta^2} \right) + f, \tag{2.2}
\]
\[
\frac{\partial q_r}{\partial t} + \frac{\partial q_r q_z}{\partial z} + \frac{\partial q_z (q_r / r)}{\partial r} + \frac{\partial ((q_\theta q_r) / r^2}{\partial \theta} - \frac{q_\theta^2}{r^2} = -r \frac{\partial p}{\partial r} + \frac{1}{Re} \left( \frac{\partial^2 q_r}{\partial z^2} + \frac{\partial}{\partial r} r \frac{\partial (q_r / r)}{\partial r} + \frac{1}{r^2} \frac{\partial^2 q_r}{\partial \theta^2} - \frac{q_r}{r^2} - \frac{2}{r^2} \frac{\partial q_\theta}{\partial \theta} \right), \tag{2.3}
\]
\[
\frac{\partial q_\theta}{\partial t} + \frac{\partial q_\theta q_z}{\partial z} + \frac{\partial q_r (q_\theta / r)}{\partial r} + \frac{1}{r^2} \frac{\partial (q_\theta q_\theta)}{\partial \theta} + \frac{q_\theta q_r}{r^2} = -\frac{\partial p}{\partial \theta} + \frac{1}{Re} \left( \frac{\partial^2 q_\theta}{\partial z^2} + \frac{\partial}{\partial r} r \frac{\partial (q_\theta / r)}{\partial r} + \frac{1}{r^2} \frac{\partial^2 q_\theta}{\partial \theta^2} - \frac{q_\theta}{r^2} + \frac{2}{r^2} \frac{\partial q_r}{\partial \theta} \right). \tag{2.4}
\]
The $z$, $r$, $\theta$ are respectively the streamwise, radial and azimuthal coordinates, and $q_z = u_z$, $q_r = ru_r$, $q_\theta = ru_\theta$, are three fluxes introduced to circumvent the singularity on the axis of the pipe (Orlandi 2000). In addition, the wall-normal distance, $y (= 1 - r)$, is also used sometimes. The equations are non-dimensionalised using the pipe radius $R^*$, the density $\rho^*$ and the centre velocity of the laminar Poiseuille flow $U_P^*$ (which is 2 times the bulk velocity $U^*$), where the superscript ‘*’ indicates that the quantity is not non-dimensionalised. Unless otherwise stated, any quantities shown without a superscript are always normalised by these quantities. The Reynolds number $Re = \rho^* U_P^* R^*/\mu^*$. The prescribed body force is normalised in the following form: $f = f^*/(\rho^* U_P^{*2}/R^*)$. The pressure is split into a domain average ($P$) and fluctuations around it ($p$) and the former is a function of $z$ only. The spatial derivatives are discretized using a second-order central finite difference method. An explicit low-storage, third-order Runge-Kutta scheme is used for the temporal discretization of the nonlinear terms and a second order implicit Crank-Nicholson scheme is used for other terms. These are combined with the fractional-step method to enforce the continuity constraint (Orlandi 2000). Periodic boundary conditions
are applied in the axial and azimuthal directions, and a no-slip boundary condition is imposed at the wall. The message passing interface (MPI) is used to parallelize the code. More detailed descriptions can be found in Seddighi (2011) and the validation of the code for pipe flows is given in He et al. (2016).
In order to determine the body force to be used, we inspect the buoyancy force distribution in some typical mixed convection flows. Figure 1 shows the buoyancy force distributions in the first $60R^*$ of an upward flow of air and supercritical CO$_2$ in a heated tube (He et al. 2008). Since the buoyancy results from the variation of the temperature of the fluid, it is strongest at the wall, reducing away from the wall over a region that is largely corresponding to the thermal boundary layer. Figure 1 shows that the buoyancy varies approximately linearly in the air flow, whereas a near-step-change is observed in the flow of supercritical CO$_2$. The latter occurs at the location where the temperature of the fluid is around the pseudo-critical point across which a large change in density occurs. In both cases, the significant changes in buoyancy force are within a region where $y^+ < 50$. Keeping these in mind, we have chosen a linear and a step distribution defined
| Case | $\Delta z^+$ | $\Delta(r\theta)^+_{max}$ | $\Delta r^+_{max}$ | $\Delta r^+_{min}$ | $Re_\tau$ | $Re$ |
|--------|--------------|---------------------------|---------------------|---------------------|----------|------|
| Base | 6 | 4.7 | 3.6 | 0.14 | 180 | 5300 |
| A1~A4 | 6.2~6.4 | 4.9~5 | 3.7~3.9 | 0.14~0.15 | 187~193 | 5300 |
| B1~B8 | 5.3~9.2 | 4.1~7.2 | 3.2~5.5 | 0.12~0.21 | 159~276 | 5300 |
| C1~C4 | 6.3~6.7 | 5~5.2 | 3.8~4 | 0.15~0.16 | 191~200 | 5300 |
| D1~D6 | 4.8~8.4 | 3.8~6.5 | 2.9~5 | 0.11~0.2 | 144~231 | 5300 |
| B21 | 7.3 | 5.7 | 4.4 | 0.17 | 220 | 6819 |
Table 1. Mesh sizes of the test cases ($Re_\tau = u_\tau^* R^*/\nu^*$, $Re = U_P^* R^*/\nu^*$, where $U_P^*$ is the centre velocity of the laminar Poiseuille flow).
in the following forms to study:
Linear variation:
\begin{equation}
f = \begin{cases}
a(r - r_0)/(1 - r_0) & r \geq r_0 \\
0, & r < r_0,
\end{cases}
\tag{2.5}
\end{equation}
and step variation:
\begin{equation}
f = \begin{cases}
a & r \geq r_0 \\
0, & r < r_0.
\end{cases}
\tag{2.6}
\end{equation}
The body force is therefore steady in time, and uniform in the streamwise and circumferential directions. The cross sectional average is $F = \int_0^1 2r f dr$. Hence the body force is characterised by its coverage (represented by $r_0$), the amplitude $a$ and the ‘strength’ of the body force represented by $F$. Four groups of test flows have been carried out, the body force distributions of which are shown in figure 2. Groups A & B employ a linearly varying body force to study the coverage and amplitude effects respectively, whereas groups C & D employ a step-change body force again studying the coverage and amplitude effects respectively. Within each group, the strengths of the body forces are chosen so that typical flow patterns encountered in mixed convection flows, i.e., partially and fully laminarised and recovery flows, are all represented (see §3.1).
The simulations are conducted for a pipe of a length of $20R^*$ with a mesh of $600 \times 96 \times 240$ in streamwise ($z$) $\times$ radial ($r$) $\times$ circumferential ($\theta$) directions, respectively. The pipe length chosen here is slightly longer than those commonly used in the literature (e.g. Kim et al. 1987; Wu & Moin 2008) considering the low Reynolds number flows concerned. It is also interesting to note that Tsukahara et al. (2014) showed that a box of a length $25.68^*$ can sustain turbulence for a channel flow at $Re_\tau \approx 64$. The range of mesh resolution of each of the test groups is shown in table 1. The worst case is B8, the resolution of which is however still within the range of common recommendations. A direct validation of a mesh of similar resolution using CHAPSim against benchmark data from literature was reported in a previous study (He et al. 2016). For any test case, the body force ($f$) is implemented as fixed values according to figure 2, and the pressure gradient will adjust itself so as to maintain the Reynolds number $Re$ (and hence the mass flow rate) constant at a prescribed value. For all cases except B21, $Re = 5300$. Case B21 is conducted with a fixed pressure gradient that is the same as that of the Base flow ($Re_\tau = 180$) and a body force that is the same as that of case B2. The statistical results are obtained via ensemble averaging in the two periodic directions as well as over at least 30 independent flow fields after the flow is fully developed in time. Results for cases shown in table 2 are based on 100 flow fields.
3. Results and discussion
3.1. The general picture
Figures 3 and 4 show the velocity profiles of all the test cases in linear global coordinates and semi-logarithmic wall coordinates, respectively. With the increase of the body force ($F$), through either increasing the coverage or the amplitude, the general trends of the variations of the velocity profiles in each of the groups are similar to each other. We focus on group B to elucidate such trends but comment on the differences between the groups as appropriate. With a relatively low body force (cases B1 to B3), the velocity profile is distorted only slightly, becoming flattened in the core of the flow. The centreline velocity becomes lower than that of the reference case, and the velocity around say $y = 0.3$ becomes higher. The velocity gradient near the wall is always lower than that of the
| Case | $F^+$ | $U_{bf}$ | $Re_{\tau p}$ | EPG reference flow |
|------|-------|----------|----------------|-------------------|
| A1 | 0.35 | 0.057 | 160 | $Re_\tau = 157$ |
| A2 | 0.68 | 0.209 | 110 | $Re_\tau = 112$ |
| B1 | 0.35 | 0.142 | 136 | $Re_\tau = 135$ |
| B2 | 0.50 | 0.232 | 105 | $Re_\tau = 112$ |
| C1 | 0.68 | 0.166 | 125 | $Re_\tau = 129$ |
| D1 | 0.35 | 0.167 | 138 | $Re_\tau = 135$ |
| B21 | 0.50 | 0.169 | 178 | $Re_\tau = 180$ |
Table 2. Additional flow parameters for the laminarising flow cases, $F^+ = F^*/(2\tau_w^*R^*)$ is the normalised cross-section averaged body force and $\tau_w$ is the wall shear stress of the base flow, $Re_\tau = 180$; $U_{bf}$ is the bulk velocity of the body-force induced perturbation flow and $Re_{\tau p}$ is the apparent Reynolds number. The last column shows ‘standard’ flows simulated (i.e., those without any non-uniform body force) which have values of $Re_\tau$ closest to those of $Re_{\tau p}$ of the corresponding flow and hence serve as their EPG reference flows for the respective cases.
Figure 3. Mean velocity profiles of all test cases.
reference flow, and decreasing with the increase of the body force. This is however not always the case in other groups. For example, the velocity gradient adjacent to the wall in A1 and C1 is higher than in the reference flow, and hence under such conditions the friction factor is increased in comparison with the reference flow even though the flow is partially laminarised (see later). Further increasing the body force, the velocity profiles suddenly switch to an M-shape, which is typical of mixed convection with a strong influence of buoyancy (e.g., Steiner 1971; Carr et al. 1973; You et al. 2003). With the increase of the body force, the velocity in the centre of the pipe reduces and the velocity gradient adjacent to the wall increases, and as a result, the friction factor also increases. The variation of the velocity profiles with increase of the body force follows a similar trend in group D, but in groups A and C, the velocity gradient near the wall remains
largely the same in the various test cases. That is, the overall friction is insensitive to the increase of the imposed body force under such conditions.
Figure 4 shows how far the velocity profiles can still be described by the generic logarithmic distribution. For the weaker body-force influenced cases (B1 to B3), the velocity is upshifted with increase of the body force, showing increasingly stronger
laminarisation. There is always a region of logarithmic distribution (linear variation in the semi-log plot) in each case, but the gradient becomes steeper with increase of the body force. In consistent with the observation in figure 3, the profiles of cases A1 and C1 are actually shifted downwards as a result of the increase of the friction velocity. The plots of the M-shaped velocity profiles have little meaning in this style of presentation, except that it does show that for most cases, the profiles follow the ‘standard’ curve up to $y^+ = 15$, and then either curve up or down first before going downwards in the core of the flow.
To illustrate the effect of the body force on turbulence, the turbulent shear stress ($\overline{u'_x u'_y}$) and kinetic energy ($k$) are shown in figures 5 and 6, respectively. When the body force is relatively weak, say, B1 to B3, both turbulent shear stress and kinetic energy reduce progressively with increase of the body force. In fact, the flow is effectively completely laminarised in B3 (and A3 and C2), where both $\overline{u'_x u'_y}$ and $k$ are negligibly small. With a further increase of the body force, negative shear stresses are generated in the core of the flow, and the magnitude of which increases with the increase of the body force. At the same time, positive shear stress also starts to appear in the wall region. The peak value increases with increase of the body force, and its location moves closer to the wall. The production of negative turbulent shear stress stems from the velocity gradient of the M-shaped profile in the core region, which has been observed by various researchers previously (e.g. Polyakov & Shindin 1988; Bae et al. 2005). Along with the increase of $\overline{u'_x u'_y}$, turbulent kinetic energy also increases with increase of the body force. There are two peaks in the distribution of $k$, one is clearly associated with the wall layer (the outer legs of the M) and the other is associated with the inner flank of the M-profile (the core of the flow), linked to the negative turbulent shear stress.
According to the effect on turbulence, the body-force aided flows can be grouped into three categories (regimes), that is, partially laminarised (or, laminarising), fully laminarised or recovery flows. In a partially laminarised flow, turbulent kinetic energy
and shear stress are both reduced in magnitude, and the reduction becomes stronger with the increase of the body force. The velocity profile is flattened in the core of the flow, but is overall only slightly distorted from that of the reference flow. In the recovery regime, the velocity takes an M-shape, where the inner flank of the M profile provides the reason for the generation of turbulence in the core of the flow. The stronger the body force, the stronger the turbulence becomes. In between the above two scenarios, turbulence completely or largely disappears. In such a fully laminarised flow, the velocity profile can take either of the above shapes.
The above results show a comprehensive picture of how the flow and turbulence vary with a systematically varied body force imposed through varying the amplitude or the coverage. It is interesting to note that a step-change body force can achieve a similar result as a linearly-varying body force, and that increasing the amplitude and the coverage can also achieve similar results. The present results with systematically varied body force distributions of two distinct profiles provide an opportunity to gain new insights into how the body force modifies the flow and turbulence, which is discussed later in this paper. An inevitable limitation of previous studies on mixed convection is that the range of conditions covered is always limited. A complete picture such as that shown above has not previously been observed in a single study. The measurements of Shehata & McEligot (1998) and DNS of Satake et al. (2000) and Bae et al. (2006) were limited to flows in the laminarising regime. The measurements of Carr et al. (1973) and the DNS of You et al. (2003) observed both types of the velocity profiles, but their strongest buoyancy flows saw only very small recovery of turbulence. In Bae et al. (2005)'s DNS of mixed convection of CO$_2$ at supercritical pressure, the flow undergoes the process of first relaminarisation and then strong recovery along the length of the heated pipe, illustrating the various stages of buoyancy effect on the mean flow and turbulence as observed herein. Their study was however for only one flow condition (and a particular distribution of the body force). Polyakov & Shindin (1988) carried out measurements of velocity and turbulence for a wide range of buoyancy values. A limitation of that work is however that the partially laminarising flow that they chose to study was actually close to be fully laminarised, and as a result, they observed the turbulence becoming more isotropic as the flow is laminarised, which is in contrast to the observations of all other studies.
Hereafter, we focus on the partially laminarised flow, and to a lesser extent the fully laminarised flow. The recovery flow will be further studied elsewhere.
### 3.2. Turbulence in relaminarising flow - the conventional viewpoint
Figure 7 shows the three components of the turbulent normal stresses normalised using the centreline velocity of the laminar Poiseuille flow. The turbulent stresses reduce in all the cases though some of the reductions are stronger than others. More significantly, the reduction in the wall-normal and circumferential components is always much stronger than that in the streamwise component, which is consistent with the observation of laminarising flow in mixed convection (Kasagi & Nishimura 1997; Bae et al. 2006). The cases with the strongest reductions in $u'_r$ and $u'_\theta$ are cases A2 and B2, where they reduce to approximately a half of that of the reference case. By contrast, the reduction in $u'_z$ is only approximately 30% and 10% in cases A2 and B2 respectively. For case D1 the peak values of the $u'_r$ and $u'_\theta$ reduce by about 30%, but the peak value of the $u'_z$ remains more or less the same as that of the reference case near the wall, even though the values are clearly reduced in the core. As a result of such unequal reduction in the three components, the turbulence becomes strongly anisotropic which is known to be a characteristic of a laminarising flow (e.g., Piomelli et al. 2000; Lee & Choi 2001).
In the above, the discussion of turbulence reduction is based on absolute values since the normalisation uses the same constant \((U_P^*)\) in all the cases. In figure 8, the same results are presented in wall coordinates, which enable us to study how far the turbulence in a laminarising flow deviates from the ‘generic’ distribution of an equilibrium turbulent flow. Again the turbulence quantities show various levels of reductions in all the cases studied. The reduction is stronger in \(u_{r,rms}^+\) and \(u_{\theta,rms}^+\) and less so in \(u_{z,rms}^+\). However, the percentage of reduction has changed more significantly in some cases than in others, leading to a change of the order of the severity of laminarisation of the flows. For example, the peak value of \(u_{z,rms}^+\) is lower in B2 than in A1 but the opposite is true in \(u_{z,rms}^+\) presentation. Overall, the turbulence reduction can be stronger or less strong in the absolute terms or in wall units depending on the flow conditions, which makes the prediction more difficult. Additionally, the location of the peak \(u_{z,rms}^+\) has shifted away from the wall in the laminarising flows which has been observed in mixed convection under similar flow conditions (Carr et al. 1973; Bae et al. 2005).
### 3.3. A new perspective on the relaminarisation of flow
Ordinarily, comparisons of flows under various conditions are based on equal Reynolds numbers, which is the basis of the discussion presented above. For a given flow rate, the turbulence in a flow subjected to a non-uniform body force may be significantly lower than that in the ‘undisturbed’ flow of the same Reynolds number where the flow is driven by only a pressure force (which is uniform on any cross-section of the pipe). Under such a condition, the turbulence intensity, \(k^{1/2}/U^*\), where \(k^*\) is turbulent kinetic energy and \(U^*\) the bulk velocity, is lower in the body force influenced flow. We therefore refer to such a flow to be (partially) laminarised, examples of which include, mixed convection in a vertical tube (Steiner 1971; Polyakov & Shindin 1988), accelerating flows (Escudier et al. 1998; Piomelli et al. 2000; Greenblatt & Moss 2004) and flows subject to certain control mechanisms (Lee & Choi 2001; Xu et al. 2007), as discussed in the introduction.
Herein, we establish a new interpretation of the flow phenomena, which is in strong contrast to the above conventional view. We show that the body-force influenced flow behaves as a ‘standard’ undisturbed turbulent flow but at a lower apparent Reynolds number; and this apparent Reynolds number is directly associated with the pressure gradient of the body-force influenced flow. The understanding is supported by the following hypothesis which is established from the observations of the results reported herein: *The addition of a body-force to a flow that is initially driven by a pressure gradient only does not change the turbulent mixing characteristics of the initial flow and, in particular, the turbulent viscosity remains largely unchanged.*
In the remaining part of the paper, we provide evidence supporting the above statement, and apply the hypothesis to characterising the laminarising flow under the influence of a body force. Furthermore, we demonstrate the simplicity of flow analysis in the new framework, and reveal new fundamental characteristics of laminarising flows that are difficult to identify in the classical viewpoint.
Let us first illustrate the implications of the hypothesis based on the Reynolds averaged analysis. The governing equation for a statistically steady flow of an incompressible fluid in a pipe, sufficiently away from the entrance is written as:
\[
0 = -\frac{dP}{dx} + \frac{1}{r} \frac{\partial}{\partial r} \left[ r \left( \frac{1}{Re} \frac{\partial \bar{u}_z}{\partial r} - \bar{u}_z' \bar{u}_r' \right) \right] + f,
\]
where the pressure gradient $-dP/dx$ is the main driving force being constant in time and space; and $f$ is an additional body force varying along the radius, but uniform axially and circumferentially, and constant in time. This body-force influenced flow can be compared with two ‘standard’ undisturbed flows without any non-uniform body forces: a flow with the same flow rate or a flow with the same pressure gradient. Herein we refer to them as the *Equal Flow Rate (EFR) reference flow* and the *Equal Pressure Gradient (EPG) reference flow*, respectively. All cases but B21 are performed at the same flow
rate/Reynolds number, $Re = 5300$, and hence share the same EFR reference flow, which is simply referred to as the Base flow when there is no ambiguity, see table 1. In the literature, comparisons between flows are commonly made based on equal flow rate as noted earlier. Below we compare the body-force influenced flows with their EPG reference flow; the latter is denoted with a subscript ‘$p$’,
$$0 = -\left(\frac{dP}{dx}\right)_p + \frac{1}{r} \frac{\partial}{\partial r} \left[ r \left( \frac{1}{Re} \frac{\partial (\bar{u}_z)_p}{\partial r} - (\bar{u}'_z \bar{u}'_r)_p \right) \right], \quad (3.2)$$
where $-\left(\frac{dP}{dx}\right)_p = -\frac{dP}{dx}$, that is, the pressure gradient of this (EPG) reference flow is the same as that of the body-force influenced flow to be compared with. Subtracting equation 3.2 from equation 3.1,
$$0 = \frac{1}{r} \frac{\partial}{\partial r} \left[ r \left( \frac{1}{Re} \frac{\partial (\bar{u}_z)_b}{\partial r} - (\bar{u}'_z \bar{u}'_r)_b \right) \right] + f, \quad (3.3)$$
where
$$(\bar{u}_z)_b = \bar{u}_z - (\bar{u}_z)_p \text{ and } (\bar{u}'_z \bar{u}'_r)_b = \bar{u}'_z \bar{u}'_r - (\bar{u}'_z \bar{u}'_r)_p \quad (3.4)$$
which represents a perturbation flow caused by imposing a non-uniform body force to a flow while maintaining the pressure gradient constant. This flow is denoted with a subscript ‘$b$’. Introducing the eddy viscosity concept, i.e., $\bar{u}'_z \bar{u}'_r = -(\nu_t/Re)(\partial \bar{u}_z/\partial r)$, where $\nu_t = \nu_t^*/\nu^*$ and $\nu_t^*$ is the turbulent viscosity, the above equation can be written as:
$$0 = \frac{1}{r} \frac{\partial}{\partial r} \left[ r \left( \frac{1}{Re} \frac{\partial (\bar{u}_z)_b}{\partial r} + \nu_t \frac{\partial \bar{u}_z}{\partial r} - \nu_{t1} \frac{\partial (\bar{u}_z)_p}{\partial r} \right) \right] + f. \quad (3.5)$$
Now applying the hypothesis introduced above, i.e., the turbulent viscosity remains uninfluenced by the imposition of the body force ($\nu_t = \nu_{t1}$), equation 3.5 becomes:
$$0 = \frac{1}{r} \frac{\partial}{\partial r} \left[ r \left( \frac{1}{Re} \left( 1 + \nu_{t1} \right) \frac{\partial (\bar{u}_z)_b}{\partial r} \right) \right] + f, \quad (3.6)$$
where $\nu_{t1}$ is the eddy viscosity of the EPG reference flow (i.e., from the solution of
equation 3.2) and the superscript ‘e’ indicates that the values of \((\overline{u}_z)_b\) computed are estimates or predictions based on the above assumption about the turbulent viscosity. In addition, we can estimate the turbulent shear stress due to the perturbation flow from
\[
(\overline{u'_z u'_r})_b = -\frac{\nu_{t1}}{Re} \frac{\partial (\overline{u}_z)_b}{\partial r}.
\]
(3.7)
Consequently, with the availability of the solution of EPG reference flow (and hence \(\nu_{t1}\)), the perturbation flow due to the imposed body force can be estimated by simple integrations of equation 3.6. In essence, the hypothesis introduced earlier in this section implies: (i) \((\overline{u}_z)_b \approx (\overline{u}_z)_b^e\) or \(\overline{u}_z \approx (\overline{u}_z)_p + (\overline{u}_z)_b^e\), and, (ii) \((\overline{u'_z u'_r})_b \approx (\overline{u'_z u'_r})_b^e\) or \(\overline{u'_z u'_r} \approx (\overline{u'_z u'_r})_p + (\overline{u'_z u'_r})_b^e\). That is, the body-force influenced flow can be approximated by the sum of its corresponding EPG reference flow (i.e., an ‘undisturbed’ flow) and a perturbation flow due to the body force. The latter is readily computed from the body force distribution and the EPG reference flow parameter \(\nu_{t1}\).
Figure 10. Distribution of turbulent viscosity in wall distance based on (a) conventional friction velocity and (b) apparent friction velocity.
Integrating equation 3.1 results in an expression for the force balance of the flow:
\[- \frac{r}{2} \frac{dP}{dx} + \frac{1}{r} \int_0^r r f dr = \overline{u'_z u'_r} - \frac{1}{Re} \frac{\partial \overline{u_z}}{\partial r}. \tag{3.8}\]
The first and second terms on the left hand side are the contributions to the total shear stress from the pressure gradient and the body force, denoted as, \( \tau_p \) and \( \tau_b \), respectively. Letting \( r = 1 \), we obtain the total wall shear stress to be
\[- \frac{1}{Re} (\frac{\partial \overline{u_z}}{\partial r})_{r=1} = - \frac{1}{2} \frac{dP}{dx} + \int_0^1 r f dr,\]
that is, the total wall shear (\( \tau_w \)) is made of contributions from the pressure force (\( \tau_{wp} \)) and the additional non-uniform body force (\( \tau_{wb} \)). Taking case B2 as an example, the total shear stress (\( \tau \)) of the body-force influenced flow together with those of its corresponding EFR and EPG reference flows are shown in figure 9 to illustrate a number of concepts introduced herein. In this particular case, the total wall shear (\( \tau_w \)) is smaller than that of the EFR reference case (\( \tau_{wE} \)), but the opposite is true in some other cases. By definition, the wall shear stress of the EPG reference case and the contribution of the pressure gradient in the body-force influenced case are equal, being \( \tau_{wp} \). We define a friction velocity based on the pressure gradient component of the wall shear as \( u^*_{\tau p} = \sqrt{\tau^*_{wp}/\rho^*} \), which is referred to as the *apparent friction velocity*, and similarly, \( Re_{\tau p} = u^*_{\tau p} R^*/\nu^* \) as the *apparent Reynolds number* of the body-force influenced flow. These are important parameters in the new framework of analysis. The values of the apparent Reynolds number for the various cases are shown in table 2, together with the averaged body force (F) and the bulk velocity of the body-force induced perturbation flow, \( U_{bf} \).
We now inspect the turbulent viscosity obtained for the various test cases studied herein, which are shown in figures 10(a) and (b) in wall coordinates based on the conventional friction velocity (\( u^*_+ \)) and the apparent friction velocity (\( u^*_{\tau p} \)), i.e., \( y^+ = (\sqrt{\tau^*_w/\rho^* y^*})/\nu^* \) and \( y^{+1} = (\sqrt{\tau^*_{wp}/\rho^* y^*})/\nu^* \), respectively. It can be seen from figure 10(a) that the turbulent viscosity reduces in the body-force influenced flows in comparison with the EFR reference flow. Generally speaking, the larger the body force, the stronger the reduction, which is consistent with the observations on turbulence quantities presented earlier. This is also in good accordance with the conventional theory, which explains flow laminarising phenomena (Launder & Jones 1969; Sreenivasan 1982; Piomelli & Yuan 2013).
By contrast, when the turbulent viscosity is plotted against \( y^{+1} \) (figure 10b), the spread of the data of the various cases is much smaller in the wall region, say, \( y^{+1} < 40 \), and much of the spread can be accounted for by the effect of the Reynolds number on the distribution of turbulent viscosity. To verify this idea, undisturbed flows close to the apparent Reynolds numbers of the various flow cases (and hence serving as the EPG reference flows) have been performed and the distributions of the turbulent viscosity of these cases are shown in figure 10(b) for direct comparison. It can be seen that the values of the turbulence viscosity in the various cases are largely bounded by those of the flows of \( Re_\tau = 110 \& 180 \). A closer study of the data reveals that cases A1, A2, C1 and B21 agree closely with their corresponding EPG reference flows. The values of \( \nu_t \) of B1, B2 and D1 overshoot those of their corresponding reference flows at some locations near the wall. These deviations are still relatively small considering the large range of flow conditions covered and the severity of the flow laminarisation observed. In conclusion, these results provide a good support for the hypothesis presented early: the values of the turbulent viscosity of the body-force influenced flows is not significantly influenced by the body force and they agree well with those of their corresponding EPG reference
Figure 11. Distribution of turbulent shear stresses, (i) DNS results $\overline{u'_z u'_r}$ (lines only in main figure), (ii) Estimated turbulent shear stress due to body force calculated from equation 3.7, $(\overline{u'_z u'_r})_b^e$, (lines only in inset) and (iii) Estimated overall turbulent shear stress using EPG reference flow data, $(\overline{u'_z u'_r})_p + (\overline{u'_z u'_r})_b^e$, (lines with markers).
flows. Consequently, the body-force influenced flow in effect behaves as an ‘undisturbed’ flow at a lower, apparent, Reynolds number.
It is noted that in pursuing the development of semi-empirical correlations for buoyancy-influenced heat transfer, Jackson & Hall (1979) introduced an assumption that the effect of buoyancy on the flow is to reduce the near wall shear stress and hence turbulence production. They used the turbulent shear stress away from the buoyancy-influenced region to define a new equivalent flow, based on which heat transfer was calculated. This approach allowed them to develop a very successful, widely used, heat transfer correlation. The observation described herein, to some extent, explains the reasons behind the success.
To further elucidate the idea, next we study the turbulent shear stresses. Figure 11 shows three sets of data: (i) DNS results $\overline{u'_z u'_r}$, (ii) estimated turbulent shear stress resulting from body force calculated from equation 3.7, $(\overline{u'_z u'_r})_b^e$, and (iii) estimated overall turbulent shear stress using EPG reference flow data, $(\overline{u'_z u'_r})_p + (\overline{u'_z u'_r})_b^e$. It is noted that since the values of $Re_{rp}$ of some cases are noticeably different from the closest $Re_r$ of the available ‘standard’ cases, the EPG data used here are based on an interpolation of results with the closest $Re_r$. It can be seen that the body-force induced turbulent shear stress, $(\overline{u'_z u'_r})_b^e$, is only limited to the near wall region, and the values vary significantly from case to case. Interestingly, the magnitude of $(\overline{u'_z u'_r})_b^e$ is not directly corresponding to the averaged body force ($F$). For example, the body forces of A1 and B1 are both
0.35, but $\langle u'_z u'_r \rangle_b$ is significantly higher in B1 than in A1. Clearly this difference stems from the different coverages of the body force in the two flows. The larger the coverage, the larger the value of $\langle u'_z u'_r \rangle_b$. In fact, the contribution of $\langle u'_z u'_r \rangle_b$ to the total turbulent shear stress in A1 is so small that it can be neglected. This has an interesting implication, that is, the body-force induced perturbation flow can be seen to be a laminar flow, and that the turbulent shear stress of the body-force influenced flow is the same as that of the corresponding EPG reference flow. It is particularly interesting to note that the total body force does not have to be small; it only requires the coverage to be small. Flows that are in this category are A1, A2 and C1. Typically, the body-force induced turbulence shear stress $\langle u'_z u'_r \rangle_b$ will be negligible when the coverage of the body force is limited $y^+ < 20$, which is the case in many mixed convection flows. To facilitate discussion, we refer to them as low $\langle u'_z u'_r \rangle_b$ flow cases.
We now compare the turbulent shear stress directly calculated from the DNS results of the various cases $\langle u'_z u'_r \rangle$ and those estimated using the EPG reference flows, i.e., $\langle u'_z u'_r \rangle_p + \langle u'_z u'_r \rangle_b$. The agreement between the two sets of data is strikingly close in most cases. For the low $\langle u'_z u'_r \rangle_b$ cases, this implies that the turbulent shear stress is exactly the same as that of the EPG reference flow and the body force does not change it in any way.
For other cases, it can be inferred that the perturbation flow induced by the body force does result in an additional turbulent shear stress, but its value can be estimated with the turbulent viscosity of the EPG reference flow. Overall these results again provide evidence supporting the underlining assumption of the theory proposed herein, that is, the turbulence mixing characteristics are not modified by the body force.
Next we study the turbulent normal stresses in the new framework. The stresses normalised by the apparent frictional velocity $\sqrt{\tau_{wfp}^*/\rho^*}$ are plotted against $y^{+1}$ in figure 12. Before studying the detailed behaviour, we first note that the apparent Reynolds numbers of most flows studied herein are rather low, and some of the flows are in the transitional flow regime, refer to table 2. Tsukahara et al. (2014) studied low Reynolds number turbulent and transitional flows in a channel with $Re_\tau$ between 64 and 180. They have shown that the peak r.m.s. values of the $u'_x$ and $u'_y$ at low Reynolds numbers reduce significantly. The DNS of low Reynolds number flows performed herein ($Re_\tau = 112, 129, 135, 157 \& 180$) clearly show this trend. These data serve as the EPG reference flows for the various flow cases (again refer to table 2). In strong contrast with figure 8 where the data are normalised with the conventional friction velocity, the spreads of $u'^{+1}_{r,rms}$ and $u'^{+1}_{g,rms}$ between the different test cases are small, and most of these can be accounted for by the Reynolds number effect. Close to the wall ($y^{+1} < 30$), the profiles of $u'^{+1}_{r,rms}$ and $u'^{+1}_{g,rms}$ follow very much what expected at their respective apparent Reynolds number in all the cases except for case D1, where the values are clearly higher than that of $Re_\tau = 135$. The peak values also agree well with those of their corresponding EPG reference flows in most cases, except for cases B2 and D1, in which the peak values are higher than expected but are still within 10%. These results demonstrate that, in contrast to the conclusions drawn earlier from the conventional approach using wall units based on the total flow, which shows a strong reduction in turbulence, the radial and circumferential turbulence components are not significantly influenced by the imposed body force in the new framework.
In contrast to the trends exhibited in $u'^{+1}_{r,rms}$ and $u'^{+1}_{g,rms}$ (and that demonstrated in the conventional plots shown in figure 8), the peak values of the streamwise turbulent velocity are increased in all the test cases except for A1; in some cases, significantly. This is despite that the peak values of the corresponding EPG reference flows collapse on top of each other. We demonstrate later that the increase of $u'^{+1}_{z,rms}$ is associated with the enhancement of the streaks in the flow resulting from the imposition of the body force. Referring to the turbulence regeneration cycle (Kim 2011), it appears that the body force enhances the linear processes of streak generation and the transient growth processes (the first and second legs) through the boundary layer that it induces. It does not seem to significantly influence the nonlinear vortex formation (the third leg). This will be further discussed later with reference to the flow structures.
Figures 13 to 16 show the budget terms of the streamwise and wall-normal stresses normalised by $u'^4_x/\nu^*$ and $u'^4_y/\nu^*$, respectively. As expected, the terms for both $u'_x$ and $u'_y$ normalised based on $u'^*_x$ reduce in all the test cases, and in many cases, such as A2, B2 and C1, the reduction is very significant. This is consistent with the traditional view of flow laminarisation, demonstrating that turbulence is suppressed due to the presence of the body force. The picture is however very different when the terms are normalised based on $u'^*_rp$. For the streamwise component, the budget terms in A1 and C1 agree very well with their corresponding reference values. For the rest of the cases, both the production and the dissipation are increased by various amounts. This trend is consistent with the observations in figure 12 where $u'^{+1}_{z,rms}$ is presented. The increase of the production is largely related to the generation of elongated streaks. For the wall-normal
component, there is no direct production. The supply of energy comes from the pressure strain term, whereas the sink is the dissipation. In addition, the pressure diffusion term is also significant, especially close to the wall. It can be seen from figure 16 that, overall, the terms in the body-force influenced flows agree very well with those of the base case, especially considering the large deviations shown in the conventional presentation (figures 13 & 14). The agreements between the main terms (pressure strain and dissipation) are particularly good for A1 and B1. This statement is also largely true for A2 and C1, though the pressure strain and dispersion terms show an interesting strong reduction near the wall ($y^{+1} < 8$). Both terms agree reasonably well with their respective reference data in the core region. Another observation is that the source-term, pressure strain, increases somewhat in several cases, including B21 (not shown), B2 and D1, and to a lesser extent B1. These are the cases where the body-force induced turbulent shear stress is relatively
Figure 14. The budget terms of the wall-normal turbulent fluctuating velocity in conventional wall units. Solid lines with markers: pressure diffusion; Chain dotted lines: dissipation; Short dash lines: pressure strain; Long dash lines: turbulent transport; Dot lines: viscous diffusion. Thick lines: base case ($Re_\tau = 180$); Thin lines: body-force influenced cases.
large. Overall however the agreement between the body-force influenced cases and the reference cases is remarkable considering that in many cases the absolute values reduce by several folds.
Before leaving this section, we revisit some interesting features of the mean velocity field. Figure 17(a) shows the profiles of the mean velocity of the perturbation flow induced by the body force calculated from equation 3.6, $(\bar{u}_z)_b^c$; and figures 17(b&c) show the velocity difference, $(\bar{u}_z)^A = \bar{u}_z - (\bar{u}_z)_b^c$, in outer scaling and wall scaling respectively. According to the theory established herein, $(\bar{u}_z)^A$ of any flow case is expected to be in good agreement with the velocities of its corresponding EPG reference flows $(\bar{u}_z)_p$, which are also shown in the figure comparison. It can be seen from figure 17(b) that this is indeed the case for most flow cases. Similar to the turbulence quantities presented above, relatively larger discrepancies are observed in cases B2 and D1, which are around 10%. Next, it is interesting to note that the body-force perturbation flow is not necessarily directly proportional to the total body force ($F$). The coverage has a significant effect.
For example, A1 and B1 have the same total body force, but the perturbation flow of B1 is more than doubled that in A1. The next point to note is that the body-force induced perturbation flow is very significant in some cases in comparison with the EPG reference flows. The ratios between the two flows are 13% for A1, around 35% for B1 and B21, around 50% for C1 and D1 and then 70% and 85% for A2 and B2. Apparently, the addition of such a large perturbation flow does not seem to have a significant impact on the key turbulent characteristics of the flow as shown above. Finally it can be seen from the wall coordinates velocity plot that the profiles of $\langle \overline{u}_z \rangle^\wedge$ agree well with the EFR reference flow profile in most of the cases, clearly exhibiting a region of logarithmic behaviour. There are some cases where the velocity profile shows a relatively strong upshift, which is normally seen as a sign of laminarization. This occurs in A2 and B2, which correspond to the lowest $\langle \overline{u}_z \rangle^\wedge$ and therefore the corresponding EPG reference flows have the lowest $Re_\tau$.
3.4. Friction factor and the FIK identity analysis
Fukagata et al. (2002) introduced a simple but useful analysis of the contributions of different dynamic effects on the friction drag for turbulent flows. The local friction is decomposed into a laminar, turbulent, inhomogeneous and transient component. This method has been widely used in flow control and drag reduction investigations and is referred to as the FIK identity. For a flow in a pipe considered herein (which is described by equation 3.1), the FIK expression is (Fukagata et al. 2002),
\[
C_f = \frac{16}{Re} + 16 \int_0^1 2r u'_z u'_r rdr + 16 \int_0^1 (r^2 - 1)(f - F)rdr,
\]
(3.9)
where \( C_f = \tau_w^*/(\rho^* U_p^{*2}/2) = 8\tau_w^*/(\rho^* U_p^{*2}) \), and \( F = 2 \int_0^1 frdr \), being the averaged body force. From left to right, the terms represent the contributions due to laminar and turbulent flows, and the body force. To better understand the contribution of the body force, the turbulent contribution is further split into (i) a component corresponding to the EPG reference flow, \( \langle u'_z u'_r \rangle_p \), and (ii) one due to the perturbation flow induced by...
the body flow, which is calculated by subtracting the above component from the total turbulent shear stress, \((\overline{u'_z u'_r})_b = \overline{u'_z u'_r} - (\overline{u'_z u'_r})_p\).
\[
16 \int_0^1 2r \overline{u'_z u'_r}_p r dr = 16 \int_0^1 2r (\overline{u'_z u'_r})_p r dr + 16 \int_0^1 2r (\overline{u'_z u'_r})_b r dr.
\] (3.10)
The FIK analysis of the various laminarising cases is shown in figure 18. It can be seen that the total friction factor of the laminarising flows can be higher or lower than that of the EFR reference flow. The figure also illustrates that the contribution of the turbulence associated with the perturbation flow due to the body flow is negligible in A1, A2 and C1 and is substantial in the other test cases. This is consistent with earlier observations (refer to figure 11(a) where \((\overline{u'_z u'_r})_b\) is shown, for example). Comparing A1 with A2 (or B1 with B2), it is noted that the flow is more strongly laminarised as a result of a stronger body force, and hence a smaller contribution from \((\overline{u'_z u'_r})_p\) in the former, but the contribution from the body force itself increases. If a reduction of the friction factor is the objective, increasing the amplitude of the body force is more effective than increasing the coverage, comparing, B1 & B2 with A1 & A2.
Next, we apply the theory established in §3.3 to the prediction of the friction factors. We have established that the turbulent viscosity in the body force-influenced flows remains little changed from the values of their corresponding EPG reference flows and that the turbulent shear stress due to the body-force induced perturbation flow can be estimated using equation 3.7. Now, in equation 3.10, we replace \((\overline{u'_z u'_r})_b\) with \((\overline{u'_z u'_r})_b^T\). The results are shown in figure 18(b) labeled as ‘Predictions’. It can be seen that these predictions are very close to those calculated from the original FIK formulation (equation
Figure 18. Friction coefficient. (a) Contributions of the various components of FIK analysis, Laminar ($dp$ & $bf$) refer to the RHS terms 1 & 3 of equation 3.9, respectively; turbulent ($dp$ & $bf$) refer to the RHS terms 1 & 2 of equation 3.10, respectively; (b) Comparison of friction coefficients calculated from velocity gradient (DNS), FIK analysis and predictions based on EPG reference flows.
3.9). Both agree very well with the friction factor calculated directly using the velocity gradient (labeled as DNS in the figure). Consequently, the friction factor of a laminarising flow can be accurately predicted simply using an undisturbed turbulent flow data (the EPG reference flow) and the profile of the imposed body force.
3.5. Full laminarisation
Consider a turbulent flow at a prescribed Reynolds number subjected to a non-uniformly distributed body force. From the results presented in §3.1, we know that with the increase of the imposed body force while keeping the Reynolds number of the flow constant, the turbulence becomes progressively more strongly suppressed, that is, the flow is increasingly more severely laminarised. The terminology laminarisation refers to
a comparison with the reference flow at the same Reynolds number. When the body force is sufficiently strong, the flow becomes fully laminarised, which is the case in A3 and B3. The above scenario occurs in many applications including mixed convection, for example, where the flow becomes progressively more severely laminarised with the increase of the buoyancy. The above process can be described using the new theory presented in §3.3. The body-force influenced flow can be decomposed into a pressure-driven flow (i.e., the EPG reference flow) and a perturbation flow due to the body force. The former can be approximated by an undisturbed turbulent pipe flow, whereas the latter is a flow described by equation 3.6, which is dependent on the imposed body force and the EPG reference flow (through $\nu_t$). The bulk velocity of the EPG reference flow can be written as the difference between those of the total flow and the perturbation flow due to the body force, that is,
$$U_{dp}^* = U^* - U_{bf}^* \text{ or } U_{dp} = 1/2 - U_{bf}. \tag{3.11}$$
With the increase of the body force ($F$) while keeping the total flow constant, $U_{bf}$ increases and hence $U_{dp}$ reduces. There will be a point when the Reynolds number of the pressure driven flow is so low that it cannot sustain turbulence any longer, and hence the flow becomes laminar. This critical body force can be calculated using equation 3.11 given a critical Reynolds number of 2300, for example.
In the above discussion, the Reynolds number of the EPG reference flow plays an important role. Next we relate it to the imposed body force. Following the approach adopted by Fukagata et al. (2002), integrating equation 3.5 three times and making use of integration by parts, we can derive an expression for the mean velocity for the perturbation flow driven by the body force:
$$U_{bf} = Re \left[ \frac{1}{2} \int_0^1 (1 - r^2) f r dr + \frac{1}{2} \int_0^1 2r (\bar{u}_z' u_r')_r dr \right]. \tag{3.12}$$
Noting that $Re_{dp} = \frac{2(U^* - U_{bf}^*)R^*}{\nu^*} = Re(1 - 2U_{bf})$, we have
$$\frac{Re_{dp}}{Re} = 1 - 2U_{bf}, \tag{3.13}$$
where $U_{bf}$ is calculated from equation 3.12. The above ratio of Reynolds numbers of the apparent and total flows effectively defines how far turbulence is reduced, or, the degree of laminarisation of the flow due to the imposition of the body force. This parameter is hence referred to as the laminarisation ratio. It is noted however that this parameter does not directly show how far the friction factor is varied, since the body force itself causes an additional friction to balance it, see discussion in §3.4. The total friction is the sum of the friction from the apparent flow and the integral of the body force. In addition, the laminarisation ratio does not tell if a flow is fully laminarised either. The criterion for laminarisation is that the Reynolds number of the apparent flow reduces to a degree when it cannot sustain turbulence any more, that is, $Re_{dp} < 2300$. Combining this with equation 3.13, a criterion for full laminarisation is obtained,
$$Re(1 - 2U_{bf}) < 2300. \tag{3.14}$$
It is noted here that even though the parameter that is evaluated is the Reynolds number of the pressure-driven flow, the effect of the body force is directly reflected in the resultant equations 3.11 and 3.14. After all, the body force is the reason for the changes in the flow. In the literature, criteria for flow laminarisation, even based on advanced mechanistic models, require experimental data to tune coefficients. By contrast, the above criterion
Figure 19. Turbulent structures in cases Base, B21, B1 & B2. (a) Top four blocks: High (green) and low (blue) speed streaks illustrated with 3D iso-surfaces of $u'_z = \pm 0.15$ and (b) Bottom four blocks: vortical structures illustrated with 3D iso-surfaces of $\lambda_2 = -1.0$.
is simply based on that the apparent Reynolds number of the flow is below a laminar-turbulent transition Reynolds number, which is the only constant used.
For the low- $(\overline{u'_z u'_r})_b$ cases, the second term of equation 3.12 is negligible and this normally occurs when the body force is limited to $y^+ < 20$, which can happen in various real flows. For ease of reference, the laminar-flow-only expression is given by:
$$U_{bf} = Re \left[ \frac{1}{2} \int_0^1 (1 - r^2) fr dr \right]. \quad (3.15)$$
We now evaluate the body-force induced flow based on equation 3.15 for the linear and step-change forces to establish some trends. Substituting equations 2.5 and 2.6 into equation 3.15, and integrating, the following are resulted for linear and step-change forces, respectively:
$$U_{bf} = \frac{Re}{120} \frac{a}{1 - r_0} (-3r_0^5 + 10r_0^3 - 15r_0 + 8), \quad (3.16)$$
$$U_{bf} = \frac{Re}{8} a(r_0^4 - 2r_0^2 + 1). \quad (3.17)$$
Substituting the above into equation 3.14, we obtain the criteria for full flow laminarisation for linear and step distributions of body forces, respectively, under the condition
when the body force induced flow perturbation causes negligible turbulent shear stresses:
\[
aRe^2 \left[ \frac{1}{60(1 - r_0)} (-3r_0^5 + 10r_0^3 - 15r_0 + 8) \right] > (Re - 2300),
\]
\[
aRe^2 \left[ \frac{1}{4} (r_0^4 - 2r_0^2 + 1) \right] > (Re - 2300).
\]
Note that \(aRe^2 = \frac{a^*R^{*3}}{\rho^*U^{*2}}\). Consequently, the LHS of the above equations, which basically is the Reynolds number of the body-force induced flow (\(Re_{bf}\)), is independent of the bulk velocity of the flow, \(U^*\). The above equation also implies that for both the linear and step distributions, the \(Re_{bf}\) increases proportionally with the increase of the amplitude, whereas although increasing the coverage \(r_0\) also increases \(Re_{bf}\), the relationship is non-linear.
It is worth noting that full flow laminarisation (reverse transition) is not an absolute, definitive event, but to some extent is dependent on the particular circumstances. The critical Reynolds number, 2300, used above is only a nominal value. In experiments, the flow can be laminar at a rather high Reynolds number if the experimental facility is free from disturbances and noises. In computer simulations, both the initialisation of the flow and the size of the computational domain influence the critical Reynolds number. In the study of Tsukahara et al. (2014), they have achieved turbulent/transitional flow in a channel at \(Re_\tau = 64\). In the present study, we have not attempted systematically increasing the body force to determine the critical flow. However, in groups A and B, the cases with the highest body force that still remain turbulent are cases A2 and B2. Their Reynolds numbers (Re) are 3100 and 2862, (or for \(Re_\tau\), 112 and 111), respectively. Cases A3 and B3 are evidently laminarised, but the corresponding body force driven flow is significantly greater than the critical value required to cause a full laminarisation.
### 3.6. Flow structures
The high- and low-speed streaks and the vortical cores of selected cases are visualised in figure 19 using iso-surfaces of the fluctuating streamwise velocity \(u' = \pm 0.15\) and \(\lambda_2 = -1\), respectively. Comparing B1 and B2 with the EFR reference flow, it is clear that both the number of streaks and the number of the vortices reduce significantly due to the effect of the body force; and the stronger the body force, the more significant the reduction is. It is interesting to note however, that with the increase of the body force,
the streaks appear to become longer. This is not surprising since, as we note before, the cases with a stronger body force corresponds to a EPG reference flow of a lower Reynolds number. It is known that streaks are longer in low Reynolds number flows. Next we note that as far as B21 is concerned, the base case ($Re_\tau = 180$) is its EPG reference flow. It is apparent that the numbers of vortical structures are largely the same in the two flows, whereas there are clearly more streaks in B21 than in the base case. This interesting observation is in good accordance with the statistics discussed earlier. The former can be related to the observation that the pressure strain term in the body-force influenced flows remains largely unchanged from their corresponding EPG reference flows, and in turn $u'_x$ and $u'_y$ are largely unchanged. On the other hand, the increased number of streaks explains the increase in $u'_x$, even though the vortical structures remain largely unchanged.
The concept of turbulence regeneration cycle has been established over the last couple of decades which successfully explains wall turbulence flow physics and, in some cases, the mechanisms of flow control and drag reduction. Figure 20 shows a much simplified sketch illustrating the main processes of the regeneration cycle reproduced from Kim (2011). In the first leg, streamwise vortices (primarily consisting of the wall-normal and spanwise velocities) interact with the mean shear $(\partial \bar{u}_x / \partial y)$ generating streaks. This process is often referred to as lift-up. The streaks generated grow as long as the shear is maintained (second leg). Later, the streaks break down due to instability. At the third leg, new vortices are formed again due to three dimensional disturbances. It is clear that the streamwise vorticity and streaks are most important factors in the turbulence regeneration cycle of a wall shear flow depicted in figure 20. Below we analyse the streamwise vorticity and the streaks in the various flows studied.
Figures 21 (a) and (b) show the r.m.s. of the fluctuating streamwise vorticity in wall coordinates based on the total flow ($u^*_x$) and the apparent friction velocity ($u^*_{\tau_1}$), respectively. It can be seen from figure 21(a) that the vorticity normalised with $u^*_x$ reduces significantly in the various test cases. The reduction is most severe in A2, with the value reducing to less than a 1/4 at $y^+ = 1$, and the peak away from the wall reducing to about 30% of the reference value. Consequently, the turbulence activities are significantly reduced in the various cases in comparison with the EFR reference flow. This observation is consistent with the descriptions of laminarisation in various scenarios (Launder & Jones 1969; Sreenivasan 1982; Pionelli & Yuan 2013). Figure 21(b) however shows a contrasting picture. In most cases (except for D1 and B21), the distributions of the streamwise vorticity in the body-force influenced cases agree reasonably well with their respective EPG reference flows. This implies that the imposition of the body forces does not seem
Figure 22. Contours of the streamwise velocity correlations in a vertical plane in wall units based on the conventional friction velocity.
Figure 23. Contours of the streamwise velocity correlations in a vertical plane in wall units based on an apparent friction velocity.
to cause any significant changes in the generation of streamwise vorticity, an important stage in the turbulence regeneration cycle. The increase of the vorticity fluctuations in B21 and D1 can be related to fact that the body force generated turbulent shear stress is larger in those cases, which apparently causes some increase in streamwise vorticity activities.
Figure 19 shows that the streaks are strengthened by the imposition of the body force. To further characterise the streaks, figure 22 shows the contours of the spanwise correlations of the streamwise velocity on the $y - r\theta$ plane in wall coordinates based on the total flow. The data plotted are the amplitude of the negative correlations with the positive correlations set to zero. The locations of the peak values (i.e., minimum correlation) provide the following information: $2 \times (r\theta)_{min}$ is the averaged spacing of the streaks and $y_{min}$ is the averaged wall distance from the centre of the streaks. It can be seen from figure 22 that the averaged spacing of the streaks in the Base flow is around 110 ($(r\theta)^+_{min} = 55$) and the averaged wall distance of the streaks is $y^+_{min} = 14$. The streaks spacing in most of the test cases is increased and in some cases, significantly. The largest spacing, occurring in A2, is around $(r\theta)^+ = 170$. The streaks’ centre also moves away from the wall, and the largest distance is around $y^+ = 20$, occurring in A2 and B2. There
are some exceptions to the trends described above; for example, both the streaks spacing and the location do not change significantly in B21 and D1. The same data that shown in the above figure are shown again in figure 23 in the $y - r\theta$ plane in wall coordinates based on the apparent friction velocity. In most cases, both the averaged spacing of the steaks $(2 \times (r\theta)_{min})$ and the wall distance of the streaks centres are now similar to those of the Base flow. The exceptions are cases B2, D1 and B21, where the spacing is reduced to about 90, but the vertical locations of the streaks centres are still similar to that of the reference flow. As observed earlier, these are the cases where the turbulence deviates somewhat from their corresponding EPG reference flows.
The near wall turbulence structures can be studied through inspecting the ejection and sweep events which are associated with the vortices and streaks (Kline et al. 1967; Wallace et al. 1972; Kim et al. 1987; Robinson 1991). Using the definition of the hyperbolic hole introduced by Lu & Willmarth (1973), the contribution of each quadrant to $\overline{u'_z u'_r}$ is defined as
$$\langle \overline{u'_z u'_r} \rangle_Q = \lim_{T \to \infty} \frac{1}{T} \int_0^T (u'_z u'_r) I(t) dt$$
(3.20)
and the percentage number count is
$$N_Q = \lim_{T \to \infty} \frac{1}{T} \int_0^T I(t) dt,$$
(3.21)
where $Q = 1, ..., 4$ is the quadrant and
$$I(t) = \begin{cases}
1, & \text{if } |u'_z u'_r|_Q \geq h u'_{z,rms} u'_{r,rms} \\
0, & \text{otherwise.}
\end{cases}$$
(3.22)
The greater the value of $h$, the stronger the events are. Figures 24(a&b) show the percentages of the numbers of ejections and sweeps of the total turbulent events that result in turbulent shear stress, and figures 24(c&d) show the values of the shear stress associated with these two activities. A strength of $h = 1$ is used. It is most interesting to see that the number of the events in the body-force influenced cases remains more or less unchanged from the base-flow distribution. For ejections the agreement between them is very good, within a few percent, whereas for sweeps the deviations are slightly larger but are still within about 10% for most cases. The only exception is B2 where the number is significantly lower than in all other cases. The contributions to shear stress from the ejections and sweeps also remain largely unchanged in the low $\langle \overline{u'_z u'_r} \rangle_b$ flows, but they are significantly increased in the wall region in other cases as a result of the imposition of the body force. That is, the strength of each event in these cases is greater. This can be nicely linked to the observations discussed above on vorticity and streaks. It is apparent that the imposition of the body force, which induces an additional boundary layer near the wall, does not significantly influence the generation of vortices, but for each ejection or sweep event, a larger shear stress is resulted in due to the larger velocity gradient. Additionally it is interesting to note that the influence on the ejection events occurs in the region of $y^{-1} < 60$, where the effect on sweep is restricted to $y^{-1} < 30$.
Finally, we evaluate the turbulence anisotropy by analysing the anisotropy-invariant map (AIM) of the Reynolds stress anisotropy tensor ($b_{ij}$):
$$b_{ij} = \frac{\overline{u_i v_j}}{\overline{u_k u_k}} - \frac{\delta_{ij}}{3},$$
(3.23)
where $\delta_{ij}$ is the Kronecker delta tensor. The AIM proposed by Lumley (1978) is constructed using the second and third principal invariants ($II = -\frac{1}{2} (b_{zz}^2 + b_{rr}^2 + b_{\theta\theta}^2 + 2b_{zr}^2)$
Figure 24. Quadrant analysis. (a) Number of ejections (Q2) over the total number of events; (b) Number of sweeps (Q4) over the total number of events; (c) Contributions of ejection (Q2) events to $u'_x u'_t$; (d) Contributions of sweep (Q4) events to $u'_x u'_t$.
and $III = (b_{yy} b_{zz} b_{xx} + b_{yy} b_{zz}^2)$, which are independent of the coordinate choice. The Lumleys anisotropic map provides useful information on the streaky structures since they are inherently anisotropic. The AIMs for the various body-force influenced cases are plotted on top of that of the EFR reference flow in figure 25. It can be seen clearly that in all cases the profile moves towards the top right vertex, indicating that the flow becomes more one-dimensional and further demonstrating the streaky structures are elongated under the influence of the body force. The stronger the body force, the stronger the one-dimensional feature of the flow. In fact, the profile nearly reaches the top-right vertex in A2 and B2, showing the existence of strong streaks in these flows (also refer to figure 19 to see the streaks in B2). The profile in the undisturbed turbulent flow often reaches the topmost point at around $y^+ = 9$. It can be seen that this point is only shifted slightly away from the wall in the body-force influenced cases even though the strength are significantly increased. When measured using the wall units based on the apparent friction velocity, the location actually lowers down slightly.
3.7. Applications and limitations
The present study is based on two types of idealised body force distributions, i.e., linear and step changes with a systematic variation of the coverage and amplitude of the body forces. Strictly speaking, the conclusions drawn herein are only directly applicable to such situations. However, the principle conclusions stem from an observation that the non-uniform body forces, whether linear or step-change, do not alter the turbulence mixing characteristics in any significant way. By nature, such conclusions are not dependent on the detailed profile of the body force, and are likely to be applicable to more complex
distributions. Nevertheless care should be taken when extrapolating the conclusions to new situations, and in particular, when the body force extends further away from the wall than considered herein.
The understanding developed herein potentially provides new insight into the laminarisation of flow due to buoyant forces in mixed convection in vertical channels. However, it should be noted that in practice the flow and thermal fields are closely coupled in mixed convection, and both fields may continue developing streamwise due to the temperature dependence of fluid properties. Such effects are not addressed herein. It would naturally
be a useful and interesting development next to analyse mixed convection with coupled flow and thermal fields to understand the full picture of the physical problem.
4. Summary and conclusions
(1) The conventional viewpoint of flow laminarisation
When a turbulent flow is subjected to a non-uniform streamwise body force in the same direction of the flow (body-force aided flow), the turbulence may be significantly reduced in comparison with the flow of the same Reynolds number but without the body force. Under such a situation, the flow is said to be laminarised. In general, the stronger the body force, the stronger the reduction of the turbulence is. When the body force is sufficiently strong, the flow may be fully laminarised. This trend has been observed in the literature for various physical flows, including, for example, the buoyancy-aided mixed convection when severe heat transfer deterioration may occur. In the present study, direct numerical simulation (DNS) has been performed for a turbulent flow in a pipe subjected to two typified distributions of body force: a linear distribution and a stepwise variation. It has been found that both types of body force can effectively laminarise the flow, reproducing the phenomena that have been observed in previous studies. A comprehensive picture on the effects of the profile, amplitude and spatial coverage of the body force on the flow and turbulence has been established by systematically varying the distribution of the body force. In addition to achieving a better understanding of flow physics, the results also supplement the existing data of physical flows, enabling further validation and development of turbulence models.
(2) New insights into the influence of non-uniform body force on turbulence
The body force aided flow can be interpreted as resulting from imposing a non-uniform body-force to a turbulent flow initially driven by a pressure force only. We refer to the latter to be the equal pressure gradient (EPG) reference flow of the former; they share the same pressure gradient. The following are demonstrated to be true:
- The key characteristics of the turbulence of the flow remains largely unchanged following the imposition of the body force. Most significantly the turbulent viscosity of the flow remains largely uninfluenced by the imposition of the body force, even though the total flow rate can be significantly increased.
- The wall-normal and circumferential turbulent stresses remain largely unchanged, but the streamwise turbulent stress can be increased. The latter is a result of enhanced high- and low-speed streaks.
- In terms of the turbulence regeneration cycle, the numbers of ejections and sweeps are little influenced by the imposition of the body force, whereas the strength of each event may/may not be stronger dependent on the distribution of the body force. The former is true when the coverage of the body force extends significantly away from the wall, and under such a condition, the body-force induced flow perturbation results in a greater turbulent shear stress.
- The perturbation flow caused by the imposition of the body force is governed by the following momentum equation,
\[
0 = \frac{1}{r} \frac{\partial}{\partial r} \left[ \frac{r}{Re} \left( (1 + \nu_{t1}) \frac{\partial (\overline{u}_z)_b}{\partial r} \right) \right] + f,
\]
where $\nu_{t1}$ is the turbulent viscosity of the EPG reference flow and therefore can be seen as known. The velocity field can be obtained simply from the integration of the above equation.
• The wall shear of the body-force influenced flow can be closely approximated by the sum of the wall shear of the EPG reference flow and that of the body-force driven flow obtainable from the above momentum equation.
• When the coverage of the body force is small, say, less than $y^+ < 20$, the body-force induced perturbation flow is effectively a laminar flow. The above equation is further simplified with the dropping of $\nu_{t1}$.
(3) A new perspective on flow laminarisation
The new insights into the effect of body force on turbulence detailed above afford new interpretations for the flow laminarisation such as those observed in buoyancy-influenced mixed convection.
• Imposing a body force to a turbulent flow while keeping the total flow rate the same, in effect, causes a reduction in the apparent Reynolds number of the flow based on an apparent friction velocity associated with the pressure force of the flow (i.e., excluding the component due to the body force). The stronger the body force, the lower the apparent Reynolds number, and hence the lower the turbulence. In comparison with the flow of the same flow rate, the flow is more strongly laminarised.
• The strength of the effect of a body force on the flow in terms of ‘suppressing’ turbulence and ‘laminarising’ the flow is predominately associated with the flow rate of the perturbation flow it induces. The apparent flow (as far as the turbulence is concerned) is the total flow takes away the perturbation flow of the body force. Hence, the higher the latter, the smaller the apparent flow; the lower the apparent Reynolds number; and the stronger the laminarisation. The flow rate of the perturbation flow is linearly proportional to the amplitude of the body force distribution. It also increases with the increase of the coverage when the amplitude is fixed and the relation is described by equation 3.12.
• The profile of the body force distribution affects the laminarisation mostly through the flow rate that it causes. For example, with the same amplitude and coverage, the stepwise distribution causes a perturbation flow that is about 2.6 to 3 times higher than that of a linear distribution. Considering the ratio between the total forces of the stepwise and linear distributions of the same amplitude and coverage is approximately 2, the step distribution is therefore more effective in ‘laminarising’ the flow.
• When the applied body force is sufficiently large, causing the apparent Reynolds number of the flow to be sufficiently small and turbulence unsustainable, the flow is fully laminarised. For any given body force, the critical Reynolds number can be calculated with the knowledge of ‘undisturbed’ turbulent flow.
Acknowledgments
We gratefully acknowledge that the work reported herein is partially funded by UK Engineering and Physical Science Research Council (Grant No. EP/G068925/1). KH is jointly sponsored by Chinese Scholarship Council and The University of Sheffield.
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|
The Joint Chiefs of Staff (JCS) is the body of the most senior uniformed leaders within the United States Department of Defense, that advises the president of the United States, the secretary of defense, the Homeland Security Council and the National Security Council on military matters. The composition of the Joint Chiefs of Staff is defined by statute and consists of a chairman (CJCS), a vice chairman (VJCS), the service chiefs of the Army, Marine Corps, Navy, Air Force, Space Force, and the chief of the National Guard Bureau.\[1\]\[2\]\[3\] Each of the individual service chiefs, outside their JCS obligations, work directly under the secretaries of their respective military departments, e.g. the secretary of the Army, the secretary of the Navy, and the secretary of the Air Force.\[4\]\[5\]\[6\]
Following the Goldwater–Nichols Act in 1986, the Joint Chiefs of Staff do not have operational command authority, either individually or collectively, as the chain of command goes from the president to the secretary of defense, and from the secretary to the regional combatant commanders.\[7\] Goldwater–Nichols also created the office of vice chairman, and the chairman is now designated as the principal military adviser to the secretary of defense, the Homeland Security Council, the National Security Council and the president.\[8\]
The Joint Staff (JS) is a headquarters staff in the Pentagon, composed of personnel from each of the six service branches, that assists the chairman and the vice chairman in discharging their responsibilities and is managed by the director of the Joint Staff (DJS).\[9\]
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After the 1986 reorganization of the Armed Forces undertaken by the Goldwater–Nichols Act, the Joint Chiefs of Staff does not possess operational authority over troops or other units. Responsibility for conducting military operations goes from the president to the secretary of defense directly to the commanders of the unified combatant commands and thus bypasses the Joint Chiefs of Staff completely.
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While serving as the chairman or vice chairman of the Joint Chiefs of Staff, chief of staff of the Army, commandant of the Marine Corps, Chief of Naval Operations, chief of staff of the Air Force, or commandant of the Coast Guard, the salary is $15,583.20 a month,[10] regardless of cumulative years of service completed under section 205 of title 37, United States Code.
Current members of the Joint Chiefs of Staff
| Position | Photograph | Name | Service | Flag |
|-----------------------------------------------|------------|--------------------|--------------------------------|-----------------------|
| Chairman of the Joint Chiefs of Staff | | General Mark A. Milley | United States Army | |
| Vice Chairman of the Joint Chiefs of Staff | | General John E. Hyten | United States Air Force | |
| Chief of Staff of the Army | | General James C. McConville | United States Army | |
| Commandant of the Marine Corps | | General David H. Berger | United States Marine Corps | |
| Chief of Naval Operations | | Admiral Michael M. Gilday | United States Navy | |
| Chief of Staff of the Air Force | | General Charles Q. Brown Jr. | United States Air Force | |
| Chief of Space Operations | | General John W. Raymond | United States Space Force | |
| Chief of the National Guard Bureau | | General Daniel R. Hokanson | United States Army | |
**Commandant of the Coast Guard**
Although it is a branch of the Armed Forces pursuant to 14 U.S.C. § 101, the Coast Guard operates under the Department of Homeland Security rather than the Department of Defense, except when the president (e.g., in times of war or national emergency) transfers it to the Department of the Navy.[11] The commandant of the Coast Guard is not a de jure member of the Joint Chiefs of Staff but is sometimes regarded as a de facto member, being entitled to the same supplemental pay as the Joint Chiefs,[12] and occasionally attending meetings of the JCS by invitation.[13] Unlike the Joint Chiefs, who are not actually in the military's operational chain of command, the commandant is both the administrative and the operational commander of the service.
| Position | Photograph | Name | Service | Flag |
|---------------------------|------------|---------------|----------------------------------|-------------------------------------------|
| Commandant of the Coast Guard |  | Admiral Karl L. Schultz | United States Coast Guard |  |
**History**
**Joint Board**
As the U.S. military grew in size following the American Civil War, joint military action between the Army and Navy became increasingly difficult. The Army and Navy were unsupportive of each other at either the planning or operational level and were constrained by disagreements during the Spanish–American War in the Caribbean campaigns.[14][15] The Joint Army and Navy Board was established in 1903 by President Theodore Roosevelt, comprising representatives from the military heads and chief planners of both the Navy's General Board and the Army's General Staff. The Joint Board acting as an "advisory committee" was created to plan joint operations and resolve problems of common rivalry between the two services.[14][15]
Yet, the Joint Board accomplished little, as its charter gave it no authority to enforce its decisions. The Joint Board also lacked the ability to originate its own opinions and was thus limited to commenting only on the problems submitted to it by the secretaries of war and Navy. As a result, the Joint Board had little to no impact on the manner in which the United States conducted World War I.
After World War I, in 1919 the two secretaries agreed to reestablish and revitalize the Joint Board. The mission of the General Staff was to develop plans for mobilization for the next war; the U.S. was always designated "blue" and potential enemies were assigned various other colors.[16]
This time, the Joint Board's membership would include the chiefs of staff, their deputies, and the chief of war plans division for the Army and director of plans division for the Navy. Under the Joint Board would be a staff called the Joint Planning Committee to serve the board. Along with new membership, the Joint
Board could initiate recommendations on its own initiative. However, the Joint Board still did not possess the legal authority to enforce its decisions.
**World War II**
U.S. president Franklin D. Roosevelt and British prime minister Winston Churchill established the Combined Chiefs of Staff (CCS) during the 1942 Arcadia Conference.[17] The CCS would serve as the supreme military body for strategic direction of the joint U.S.–UK war effort.
The UK portion of the CCS would be composed of the British Chiefs of Staff Committee, but the United States had no equivalent body. The Joint Board's lack of authority made it of little use to the CCS, although its 1935 publication, *Joint Action of the Army and Navy*, did give some guidance for the joint operations during World War II. The Joint Board had little influence during the war and was ultimately disbanded in 1947.
As a counterpart to the UK's Chiefs of Staff Committee in the CCS, and to provide better coordinated effort and coordinated staff work for America's military effort, Admiral William D. Leahy proposed a "unified high command" in what would come to be called the Joint Chiefs of Staff. Modeled on the British Chiefs of Staff Committee, the JCS' first formal meeting was held on 9 February 1942, to coordinate operations between War and Navy Departments.[17][18] The official history of the Army Air Forces noted that although there was "no official charter establishing this committee...by the end of February it had assumed responsibilities toward the American war effort comparable to the CCS on the combined level."[19] On 20 July 1942, Admiral Leahy became the "Chief of Staff to the Commander in Chief", with all individual service chiefs operating under his authority.
The first members of the Joint Chiefs of Staff were:[20]
| Name | Service | Position |
|-----------------------|---------|--------------------------------------------------------------------------|
| Admiral William D. Leahy | USN | Chief of Staff to the Commander in Chief of the Army and Navy and Special Presidential Military Advisor |
| General George C. Marshall | USA | Chief of Staff of the United States Army (CSUSA) |
| Admiral Ernest J. King | USN | Commander in Chief of the United States Fleet and Chief of Naval Operations (COMINCH-CNO) |
| General Henry H. 'Hap' Arnold | USA | Chief of the Army Air Forces and Deputy Chief of Staff for Air |
Each of the members of the original Joint Chiefs was a four-star flag or general officer in his service branch. By the end of the war each had been promoted: Leahy and King to Fleet Admiral; Marshall and Arnold to General of the Army. Arnold was later appointed to the grade of General of the Air Force.
One of the Joint Chiefs of Staff's committees was the Joint Strategic Survey Committee (JSSC). The JSSC, "one of the most influential planning agencies in the wartime armed forces", was an extraordinary JCS committee that existed from 1942 until 1947.[21] Members included Lieutenant General Stanley D.
Embick, U.S. Army, chairman, 1942–1946, Vice Admiral Russell Willson, U.S. Navy, 1942–1945, Vice Admiral Theodore Stark Wilkinson, U.S. Navy, 1946, and Major General Muir S. Fairchild, U.S. Army Air Force, 1942–?
National Security Act of 1947
With the end of World War II, the Joint Chiefs of Staff was officially established under the National Security Act of 1947. Per the National Security Act, the JCS consisted of a chairman, the chief of staff of the Army, the chief of staff of the Air Force (which was established as a separate service by the same Act), and the chief of naval operations. The commandant of the Marine Corps was to be consulted on matters concerning the Corps, but was not a regular member; General Lemuel C. Shepherd, Jr., Commandant in 1952–55, was the first to sit as an occasional member. The law was amended during the term of General Louis H. Wilson, Jr. (1975–79), making the commandant a full-time JCS member in parity with the other three DoD services.
The position of vice chairman was created by the Goldwater–Nichols Act of 1986 to complement the CJCS, as well as to delegate some of the chairman's responsibilities, particularly resource allocation through the Joint Requirements Oversight Council (JROC).
General Colin L. Powell (1989–1993) was the first African American to serve on the Joint Chiefs of Staff. General Charles Q. Brown Jr. was the first African-American to be appointed as Chief of Staff of the United States Air Force and the first African-American to lead any branch of the services. General Richard B. Myers (Chairman, 2001–2005) was the first Vice Chairman of the Joint Chiefs of Staff to serve as Chairman of the Joint Chiefs of Staff. General Peter Pace (Vice Chairman 2001–2005; Chairman, 2005–2007) was the first Marine to serve in either position. No woman has ever served on the Joint Chiefs of Staff.
National Defense Authorization Act of 2012
A provision in the 2012 National Defense Authorization Act added the Chief of the National Guard Bureau to the Joint Chiefs of Staff. Guard historians called it the "most significant development" for the National Guard since the Militia Act of 1903.[1]
National Defense Authorization Act of 2020
The 2020 National Defense Authorization Act established the U.S. Space Force on 20 December 2019. The Space Force is headed by the chief of space operations, who reports directly to the secretary of the Air Force. Pursuant to 10 U.S.C. § 9082 (https://www.law.cornell.edu/uscode/text/10/9082), the chief
of space operations became a statutory member of the Joint Chiefs of Staff on 20 December 2020.\[22\]
**Organization and leadership positions**
**Chairman**
The chairman of the Joint Chiefs of Staff is, by law, the highest-ranking military officer of the United States Armed Forces,\[23\] and the principal military adviser to the president of the United States. He leads the meetings and coordinates the efforts of the Joint Chiefs of Staff, comprising the chairman, the vice chairman of the Joint Chiefs of Staff, the chief of staff of the United States Army, the commandant of the United States Marine Corps, the chief of naval operations, the chief of staff of the United States Air Force, the Chief of Space Operations (statutory member after December 2020), and the chief of the National Guard Bureau. The Joint Chiefs of Staff have offices in the Pentagon. The chairman outranks all service chiefs,\[24\] but does not maintain authority over them, their branches or the Unified Combatant Commands.\[24\] All combatant commanders receive their orders directly from the secretary of defense.\[25\]
On 20 July 1942, Fleet Admiral William D. Leahy became Chief of Staff to the Commander in Chief (20 July 1942 – 21 March 1949). He was not technically the chairman of the Joint Chiefs of Staff. Leahy's office was the precursor to the post of "Chairman of the Joint Chiefs of Staff". That post was established and first held by General of the Army Omar Bradley in 1949.
The current and 20th chairman is General Mark A. Milley, who began his tenure on 30 September 2019.
**Vice Chairman**
The position of Vice Chairman of the Joint Chiefs of Staff was created by the Goldwater-Nichols Act of 1986. The vice chairman is a four-star-general or admiral and, by law, is the second highest-ranking member of the U.S. Armed Forces (after the chairman). In the absence of the chairman, the vice chairman presides over the meetings of the Joint Chiefs of Staff. He may also perform such duties as the chairman may prescribe. It was not until the National Defense Authorization Act in 1992 that the position was made a full voting member of the JCS.\[26\]
The current vice chairman is General John E. Hyten, who began his tenure on 21 November 2019.
**Senior Enlisted Advisor to the Chairman**
The senior enlisted advisor to the chairman of the Joint Chiefs of Staff (SEAC) advises on all matters concerning joint and combined total force integration, utilization, development, and helps develop noncommissioned officers related joint professional education, enhance utilization of senior NCOs on joint battle staffs, and support the chairman's responsibilities as directed.
Command Sergeant Major William Gainey, was the first SEAC, serving from 1 October 2005. The current SEAC is Ramón Colón-López, who was sworn in by General Mark Milley, chairman of the Joint Chiefs of Staff, on 13 December 2019, replacing SEAC John W. Troxell.
**Joint Staff**
The Joint Staff (JS) is a military headquarters staff based at the Pentagon, with offices in Hampton Roads, Virginia, Fort Leavenworth, Kansas, Lackland Air Force Base, Texas, Fort Belvoir, Virginia, Fairchild Air Force Base, Washington and Fort McNair, District of Columbia) composed of personnel from all the five armed services, assisting the chairman and the vice chairman in discharging their responsibilities. They work closely with the Office of the Secretary of Defense (OSD), the military department staffs, and the Combatant Command staffs.
The chairman of the Joint Chiefs of Staff (CJCS) is assisted by the director of the Joint Staff (DJS), a three-star officer who assists the chairman with the management of the Joint Staff, an organization composed of approximately equal numbers of officers contributed by the Army, the Navy and Marine Corps, the Air Force, and the Coast Guard, who have been assigned to assist the chairman in providing to the secretary of defense unified strategic direction, operation, and integration of the combatant land, naval, space, and air forces.
The 27th secretary of defense has tasked the Joint Staff with developing a Joint Warfighting Concept for the services by December 2020. Developing Joint all-domain command and control (JADC²) as a concept is a key goal of the 20th CJCS. An OSD/Joint Staff Cross-Functional Team for JADC² is underway. The 27th secretary of defense ordered the four services and the Joint Staff to create a new joint warfighting concept for All-domain operations, operating simultaneously in the air, land, sea, space, cyber, and the electromagnetic spectrum (EMS). The Joint Chiefs and Combatant Commanders witnessed demonstrations of the concept in September 2020.
**Organization**
The Joint Staff includes the following departments where all the planning, policies, intelligence, manpower, communications and logistics functions are translated into action.
- Chairman, Joint Chiefs of Staff
- Vice Chairman, Joint Chiefs of Staff
- Director, Joint Staff - assists the Chairman in his role as advisor to the President and Secretary of Defense, coordinates and directs activities of the Joint Staff in support of the Chairman, and serves as the staff inspector general.
Vice Director, Joint Staff
- J1 - Director, Manpower and Personnel
- J2 - Director, Intelligence
- J3 - Director, Operations
- J4 - Director, Logistics
- J5 - Director, Strategy, Plans, and Policy
- J6 - Director, Command, Control, Communications, and Computers / Chief Information Officer
- J7 - Director, Joint Force Development
- J8 - Director, Force Structure, Resources, and Assessment
- Director of Management
- Joint History Office - record activities of the chairman and the Joint Staff
Assistant to the Chairman - oversees matters requiring close personal control by the chairman with particular focus on international relations and politico-military concerns
Senior Enlisted Advisor to the Chairman (SEAC) - advisor to the chairman on all matters involving joint and combined total force integration, utilization, health of the force, and joint development for enlisted personnel
**Directorates of the Joint Staff**
The Joint Staff includes the following departments where all the planning, policies, intelligence, manpower, communications and logistics functions are translated into action.[33]
- Joint Staff Information Management Division (United States)
- DOM – Directorate of Management
- J1 – Personnel and Manpower
- J2 – Intelligence
- The National Military Joint Intelligence Center (NMJIC) is part of the J2 directorate and is staffed by Defense Intelligence Agency personnel
- J3 – Operations
- The National Military Command Center (NMCC) is part of the J3 directorate
- J4 – Logistics
- J5 – Strategic Plans and Policy
- J6 – Command, Control, Communications and Computers/Cyber[34]
- The J-6 directorate is one of a group of agencies that administer the SIPRNet. Other administrators include: the National Security Agency, the Defense Intelligence Agency, and the Defense Information Systems Agency.[35] The J-6 chairs the DOD's Military Command, Control,
Communications, and Computers Executive Board (MC4EB) which works in conjunction with the multinational Combined Communications-Electronics Board.
- The J-6 Joint Deployable Analysis Team (JDAT) conducts assessments in conjunction with Combatant Command exercises, experiments, and test and evaluation events.
- J7 – Joint Force Development
- The J-7 is responsible for the six functions of joint force development: Doctrine, Education, Concept Development & Experimentation, Training, Exercises and Lessons Learned.
- J8 – Force Structure, Resources, and Assessment
**Joint Chiefs of Staff: Civilian awards**
The Joint Chiefs may recognize private citizens, organizations or career civilian government employees for significant achievements provided to the joint community with one of the following decorations/awards:
- CJCS Award for Distinguished Public Service (DPS)
- CJCS Award for Outstanding Public Service (OPS)
- CJCS Joint Distinguished Civilian Service Award
- CJCS Joint Meritorious Civilian Service Award
- Joint Civilian Service Commendation Award (JCSCA)
- Joint Civilian Service Achievement Award (JCSAA)
**Coast Guard**
Although, as discussed above, the commandant of the Coast Guard is not an *ex officio* member of the JCS like the other service chiefs, Coast Guard officers are legally eligible to be appointed as Chairman and Vice Chairman, pursuant to 10 U.S.C. § 152(a)(1) and 10 U.S.C. § 154(a)(1) respectively, which use the collective term "armed forces" rather than listing the eligible services, as well as to other positions on the Joint Staff. As of 2020, no Coast Guard officer has been appointed Chairman or Vice Chairman, but Coast Guard officers routinely serve on the JCS staff, including one vice admiral who was appointed to serve as J6 in 2016.
**Gallery**
The Joint Chiefs of Staff during its early days in 1949.
Members of the Joint Chiefs of Staff at The Pentagon in 1958.
The Joint Chiefs of Staff in 1961.
The Joint Chiefs of Staff in 1971.
The Joint Chiefs of Staff in 1977.
The Joint Chiefs of Staff in 1981.
Members of the Joint Chiefs of Staff during President Ronald Reagan Inaugural Parade in January 20, 1981.
The Joint Chiefs of Staff in 1986.
The Joint Chiefs of Staff in 1997.
The Joint Chiefs of Staff in 2002.
Members of the Joint Chiefs of Staff render a salute for the late President Ronald Reagan at Andrews Air Force Base in 2004.
The Joint Chiefs of Staff at the Senate Armed Services Committee testimony in The Capitol Hill 2010.
See also
https://en.wikipedia.org/wiki/Joint_Chiefs_of_Staff
Notes
1. Barbara Starr and Zachary Cohen, CNN (6 October 2020) Senior Pentagon leadership quarantining after exposure to coronavirus (https://www.cnn.com/2020/10/06/politics/pentagon-leadership-self-isolating-coronavirus/index.html)
- All of the Joint Chiefs, except for the Commandant of the Marine Corps, are working from home as of 6 October 2020 as a result of possible exposure to COVID-19 from Vice Commandant of the U.S. Coast Guard, Adm. Charles Ray during several recent meetings of the chiefs.
1. JADC2 as a concept—Like the Integrated Tactical Network, instances of a concept can exist before acquisition—see PEO C3T (2018) Integrated Tactical Network (https://peoc3t.army.mil/tr/itn.php)
References
1. "Top Guard officer joins Joint Chiefs of Staff" (http://www.armytimes.com/news/2012/01/army-air-force-top-guard-officer-joins-joint-chiefs-010412w/). Army Times. 4 January 2012.
2. 10 USC 151 (https://www.law.cornell.edu/uscode/text/10/151-). Joint Chiefs of Staff: composition; functions
3. 10 U.S.C. §3033 (http://uscode.house.gov/download/pls/10C305.txt) Archived (https://web.archive.org/web/20130312222246/http://uscode.house.gov/download/pls/10C305.txt) 12 March 2013 at the Wayback Machine
4. 10 U.S.C. §5033 (http://uscode.house.gov/download/pls/10C505.txt) Archived (https://web.archive.org/web/20130312222228/http://uscode.house.gov/download/pls/10C505.txt) 12 March 2013 at the Wayback Machine
5. 10 U.S.C. §5043 (http://uscode.house.gov/download/pls/10C506.txt) Archived (https://web.archive.org/web/20130312221844/http://uscode.house.gov/download/pls/10C506.txt) 12 March 2013 at the Wayback Machine
6. 10 U.S.C. §8033 (http://uscode.house.gov/download/pls/10C805.txt) Archived (https://web.archive.org/web/20130312222221/http://uscode.house.gov/download/pls/10C805.txt) 12 March 2013 at the Wayback Machine
7. 10 U.S.C. §162(b) (http://uscode.house.gov/download/pls/10C6.txt) Archived (https://web.archive.org/web/20130529014041/http://uscode.house.gov/download/pls/10C6.txt) 29 May 2013 at the Wayback Machine
8. 10 U.S.C §151(b) (http://uscode.house.gov/download/pls/10C5.txt) Archived (https://web.archive.org/web/20130312222255/http://uscode.house.gov/download/pls/10C5.txt) 12 March 2013 at the Wayback Machine
9. 10 U.S.C §155 (http://uscode.house.gov/download/pls/10C5.txt) Archived (https://web.archive.org/web/20130312222255/http://uscode.house.gov/download/pls/10C5.txt) 12 March 2013 at the Wayback Machine
10. "2017 Military Pay Scale" (http://www.militaryfactory.com/military_pay_scale.asp). Military Factory. May 2017.
11. https://www.gocoastguard.com/about-the-coast-guard/learn-the-history
12. 37 U.S.C. § 414(a)(5) (https://www.law.cornell.edu/uscode/text/37/414#a_5) – Personal money allowance ($4,000 per annum in 2009)
13. The Changing of the Guard (http://nation.time.com/2012/01/04/the-changing-of-the-guard/)
14. Millett, Allan R. (1980). *Semper Fidelis: The History of the United States Marine Corps*. New York: Macmillan. p. 269 [para. 2]. ISBN 0-02-921590-0.
15. "Origin of Joint Concepts" (http://www.jcs.mil/About/Origin-of-Joint-Concepts/). Joint Chiefs of Staff. Retrieved 5 August 2018.
16. Bradley, John H.; Griess, Thomas E.; Dice, Jack W. (2002). *The Second World War: Asia and the Pacific*. United States Military Academy, Dept. of History. Square One. p. 26. ISBN 0-7570-0162-9.
17. Cline, Ray S. (1990). *United States Army in World War II – The War Department – Washington Command Post: The Operations Division; Chapter VI. Organizing The High Command For World War II "Development of the Joint and Combined Chiefs of Staff System"* (http://www.history.army.mil/books/wwii/WCP/ChapterVI.htm#p98). Center of Military History, United States Army, Washington, D. C. pp. 98–104. Retrieved 5 January 2012.
18. Leighton, Richard M.; Robert W Coakley (1995). *United States Army in World War II – The War Department – Global Logistics and Strategy 1940–1943* (http://www.history.army.mil/html/books/001/1-5/index.html). Center of Military History, United States Army, Washington, D. C. p. 144. Retrieved 5 January 2012.
19. Craven, James (1948). *United States Army Air Forces in World War II – Volume I Plans and Early Operations Jan 1939 – Aug 1941; Chapter 7. Establishment of the Fundamental Bases of Strategy* (http://www.afhso.af.mil/shared/media/document/AFD-101105-005.pdf) (PDF). AFHRA, Maxwell AFB, Alabama. p. 254. Retrieved 15 October 2016.
20. "Washington Eats" (https://books.google.com/books?id=UUAEEAAAAMBAJ&pg=PA95). *Life*. 5 October 1942. p. 95. Retrieved 20 November 2011.
21. Stoler, Mark A. (1982). "From Continentalism to Globalism: General Stanley D. Embick, the Joint Strategic Survey Committee, and the Military View of American National Policy during the Second World War". *Diplomatic History*. 6 (3): 303–320 [quote at p. 307]. doi:10.1111/j.1467-7709.1982.tb00378.x (https://doi.org/10.1111%2Fj.1467-7709.1982.tb00378.x).
22. "National Defense Authorization Act for Fiscal Year 2020" (https://www.congress.gov/116/bills/s1790/BILLS-116s1790enr.pdf) (PDF). Retrieved 20 December 2019.
23. [1] (https://www.law.cornell.edu/uscode/text/10/152-) 10 USC 152. Chairman: appointment; grade and rank
24. [2] (https://www.law.cornell.edu/uscode/text/10/152#c) 10 USC 152(c). Chairman: appointment; grade and rank – Grade and Rank.
25. [3] (https://www.law.cornell.edu/uscode/text/10/162-) 10 USC 162. Combatant commands: assigned forces; chain of command
26. About the Joint Chiefs (http://www.jcs.mil/about_cjs.html) Archived (https://web.archive.org/web/20060705063957/http://www.jcs.mil/about_cjs.html) 5 July 2006 at the Wayback Machine
27. "Joint Doctrine constitutes official advice, however, the judgment of the commander is paramount in all situations." —Director Joint Force Development (1JAN19) Joint Electronic Library (https://www.jcs.mil/Doctrine/)
28. Joint Staff, J-7 (Jan 2020) DOD Dictionary of Military and Associated Terms (https://www.jcs.mil/Portals/36/Documents/Doctrine/pubs/dictionary.pdf)
29. Theresa Hitchens (29 January 2020) New Joint Warfighting Plan Will Help Define ‘Top Priority’ JADC2: Hyten (https://breakingdefense.com/2020/01/new-joint-warfighting-plan-will-help-define-top-priority-jadc2-hyten/)
30. Theresa Hitchens (14 November 2019) OSD & Joint Staff Grapple With Joint All-Domain Command (https://breakingdefense.com/2019/11/osd-joint-staff-grapple-with-joint-all-domain-command/)
31. Colin Clark (18 Feb 2020) Gen. Hyten On The New American Way of War: All-Domain Operations (https://breakingdefense.com/2020/02/gen-hyten-on-the-new-american-way-of-war-all-domain-operations/)
- "A computer-coordinated fight": in the air, land, sea, space, cyber, and the electromagnetic spectrum (EMS)
- "forces from satellites to foot soldiers to submarines sharing battle data at machine-to-machine speed"
- "it's the ability to integrate and effectively command and control all domains in a conflict or in a crisis seamlessly"—Gen. Hyten, Vice Chairman of the Joint Chiefs
- All-Domain Operations use global capabilities: "space, cyber, deterrent [the nuclear triad (for mutually assured destruction in the Cold War, an evolving concept in itself)], transportation, electromagnetic spectrum operations, missile defense"
32. Theresa Hitchens (3 Sep 2020) ABMS Demo Proves AI Chops For C2 (https://breakingdefense.com/2020/09/abms-demo-proves-ai-chops-for-c2/) The acquisition method for several of the capabilities being demonstrated would be indefinite delivery/indefinite quantity (IDIQ), but the decisions to buy would be made by the Combatant Commands. —Air Force acquisition executive Will Roper
33. jcs.mil (http://www.jcs.mil/j3/index.html) Archived (https://web.archive.org/web/20090303034102/http://www.jcs.mil/j3/index.html) 3 March 2009 at the Wayback Machine
34. "J6 Page at jcs.mil" (https://web.archive.org/web/20110514114515/http://www.jcs.mil/page.aspx?id=21). Archived from the original (http://www.jcs.mil/page.aspx?id=21) on 14 May 2011.
35. Gibson, Tim (2003). "SIPRNET connectivity: do's and don'ts" (https://web.archive.org/web/20151017050255/http://findarticles.com/p/articles/mi_m0PAA/is_1_28/ai_103992818/). Army Communicator. Archived from the original (http://findarticles.com/p/articles/mi_m0PAA/is_1_28/ai_103992818/) on 17 October 2015.
36. "Military Command, Control, Communications, and Computers Executive Board, 23 Apr 2014" (https://archive.org/details/Military-Command-Control-Communications-and-Computers-Executive-Board-23-Apr-2014).
37. DoD Budget p.33 (http://comptroller.defense.gov/Portals/45/Documents/defbudget/fy2015/budget_justification/pdfs/03_RDT_and_E/RDTE_MasterJustificationBook_Joint_Staff_PB_2015.pdf)
38. [4] (http://www.dtic.mil/cjcs_directives/cdata/unlimit/1101_01.pdf+%22Joint+Civilian+Service+Commendation%22&hl=en&gl=us&ct=clnk&cd=1) Archived (https://web.archive.org/web/20110629042117/http://www.dtic.mil/cjcs_directives/cdata/unlimit/1101_01.pdf%2B%2BJoint%2BCivilian%2BService%2BCommendation%22%26hl%3Den%26gl%3Dus%26ct%3Dclnk%26cd%3D1) 29 June 2011 at the Wayback Machine
Further reading
- Gillespie, Robert M. *The Joint Chiefs of Staff and the Escalation of the Vietnam Conflict, 1964–1965*. Masters Thesis, Clemson University, 1994. OCLC 32515894 (https://www.worldcat.org/oclc/32515894).
- Joint Chiefs of Staff. *Organizational Development of the Joint Chiefs of Staff, 1942–1987*. Joint Secretariat, Joint Chiefs of Staff, 1988.
- Jordan, Jonathan W., *American Warlords: How Roosevelt's High Command Led America to Victory in World War II* (NAL/Caliber 2015).
- McMaster, H. R. *Dereliction of Duty: Lyndon Johnson, Robert McNamara, the Joint Chiefs of Staff, and the Lies That Led to Vietnam*. New York: Harper Collins, 1997.
Perry, Mark. *Four Stars: The Inside Story of the Forty-Year Battle Between the Joint Chiefs of Staff and America's Civilian Leaders*. New York: Houghton Mifflin, 1989, ISBN 0-395-42923-4.
Rearden, Steven L. *History of the Office of the Secretary of Defense*. 2 vols. Washington, D.C.: Historical Office, Office of the Secretary of Defense, 1984.
Schnabel, James F. *History of the Joint Chiefs of Staff: The Joint Chiefs of Staff and National Policy 1945–1947. Volume I* (http://stinet.dtic.mil/oai/oai?verb=getRecord&metadataPrefix=html&identifier=ADA323795). Washington, D.C.: Joint History Office, The Joint Staff, 1996.
Taylor, Maxwell D. *The Uncertain Trumpet*. New York: Harper & Row, 1959.
**External links**
- Official website (http://www.jcs.mil)
- *Joint Action of the Army and the Navy* (http://www.ibiblio.org/hyperwar/USN/ref/Joint/index.html) (1935 Joint Board publication)
- Joint Chiefs of Staff (https://archive.org/details/joint-chiefs) on the Internet Archive
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Marriott International is an equal opportunity employer committed to hiring a diverse workforce and sustaining an inclusive culture. Marriott International does not discriminate on the basis of disability, veteran status or any other basis protected under federal, state or local laws.
A MESSAGE FROM THE INTERIM DEAN ................................................................. 2
FEATURES
The History and Future of Being a Carson Coug ........................................... 4
Business Education Beyond Borders .................................................................. 8
COLLEGE NEWS
Faculty and Student News .................................................................................... 22
New Staff and Administrative Hires ..................................................................... 24
Ph.D. Graduates .................................................................................................. 26
FOUR PRIORITIES OF THE CARSON COLLEGE
Global Outlook ....................................................................................................... 27
A Summer in Seoul:
Finance Major’s International Experience Pays Dividends ...................... 28
Innovation ............................................................................................................. 29
Business Plan Competition Winners ............................................................... 30
Fly Safe: Revolutionizing Aircraft Technology .............................................. 33
Mobile Foam’s Innovative Product Finds Success Beyond WSU ............... 34
Boeing Scholars Program .................................................................................. 34
Harold Frank Scholars Program ........................................................................ 35
Professional Perspective ....................................................................................... 37
Hospitality and Sonoma Valley Wine ............................................................ 38
Hospitality Curriculum Expands to Serve Seattle-area Professionals .......... 40
Research .............................................................................................................. 41
Consumers Should “Sweat the Small Stuff” to Obtain Healthier Lives ....... 42
COLLEGE AFFAIRS
A Message from Mark Hansen, Chair of the National Board of Advisors ....... 44
National Board of Advisors Roster ...................................................................... 45
Alumni Notes ....................................................................................................... 48
Year in Review ..................................................................................................... 50
Carson College of Business Awards .................................................................... 52
GIVING BACK
A Message from Justin Marquart ...................................................................... 54
Castles Excellence Fund in Entrepreneurship ..................................................... 55
Supporting the Carson Impact ............................................................................. 56
Calendar of Events ............................................................................................... 57
Dear Friends,
It has certainly been an eventful year. Please join me in expressing appreciation to outgoing Dean Eric Spangenberg for his leadership of the college over the last nine years. He will be greatly missed professionally and, for a great number of us, personally. Fortunately, he leaves the college in good health and with great momentum.
I am humbled and honored to be asked to serve as interim dean. I am also excited about the college’s future and look forward to working with our faculty, staff, students, alumni, and friends to advance our existing programs and initiatives while exploring new opportunities to maintain the college’s leadership position in on-campus and online business education.
Though I have had the pleasure of getting to know many of you over my 17 years at WSU, there may be some of you whom I haven’t met. Here’s a bit of my background to introduce myself.
I received my doctorate in finance from the University of Georgia, and before coming to WSU, I was a financial analyst in the chief economist’s office at the Federal Home Loan Bank Board and, subsequently, the Office of Thrift Supervision. As a WSU faculty member, I have taught commercial banking, financial markets, financial institutions, and corporate finance. My research interests are in the areas of financial institutions and corporate governance. When I became associate dean in 2005, I assumed primary responsibility for AACSB accreditation reporting, assurance of learning, undergraduate business programs and associated student services, hiring faculty, and promotion and tenure review. My wife Shelley and I have been married 27 years and consider ourselves fortunate to have been able to raise our daughter Paige in Pullman. Attending WSU sporting events, exercising at the rec center, playing golf at Palouse Ridge, and riding bikes on the Chipman Trail are among our favorite activities.
Now that I have told you a bit about me, please let us know about you. We love to receive updates on your successes, promotions, career changes, or anything you
would like us to include in our points of pride section of the next electronic *Dividend*. You can upload your news online at business.wsu.edu/alum.
You may have noticed this issue of *Dividend* arrived in your mailbox later than usual. We delayed the magazine in order to feature a special article announcing the renaming of the college to the Carson College of Business, in recognition of the lifetime contributions of Scott and Linda Carson. You will find their inspiring story in the features section, along with some great personal photos that really show who Scott and Linda are as a couple, as a family, and as committed WSU supporters. We are excited and proud to be the Carson College of Business, and I think you will understand why after reading about the Carsons.
Another top feature is “Business Education Beyond Borders,” highlighting the successful extension of our accreditation from the Association to Advance Collegiate Schools of Business (AACSB) International. The story illustrates several examples of the college’s strengths the AACSB team recognized during the review, including our unique campus speaker series, our career preparation programming, our nationally ranked online graduate business programs, and the exemplary engagement of our National Board of Advisors—all of which affirm that we are successfully providing impactful, quality business education beyond the classroom in Pullman. In particular, I hope you enjoy the stories showcasing students who were able to land their “dream jobs” either before graduation or shortly after, largely due to the diversity of the learning and networking opportunities facilitated by the college.
Our regular sections within the magazine will update you on the progress we’ve made on expanding the college’s footprint. The launch of our hospitality program at WSU North Puget Sound at Everett illustrates the college’s commitment to serving students and communities regionally. Many of you will likely reach for your copy of Chef Jamie Callison’s *Crimson Spoon* cookbook (if you haven’t yet purchased one from WSU Press, visit go.wsu.edu/crimsonspoon) as you read the professional perspectives section and wish to recreate the incredible gourmet dishes prepared by a team of hospitality students at the invitation of an exclusive winery in Sonoma Valley, California. Chef Callison has a talent not only for cooking but for developing opportunities across the country that provide critical hands-on experience for students.
On the global front, we are proud to celebrate the exciting entrepreneurial ventures of the top winners of the business plan competition. In the innovation section of the magazine, you will learn about two teams of students whose products could transform the safety of the world’s airline industry and provide sustainable, affordable housing materials to underdeveloped nations across the globe.
While I am always amazed at the individual excellence and accomplishments of our faculty, staff, and students, it is our collective efforts that fuel our current trajectory. I didn’t graduate from WSU, but I love being a part of the special WSU community. I’ve enjoyed teaching and interacting with hundreds of Cougs—hearing from you brightens any day. Please contact me if you have any thoughts, questions, or concerns about any college-related issue. I am interested in your input and am grateful for this opportunity. I look forward to continuing our ascent, together.
Best,
David A. Whidbee, Interim Dean
Omer L. Carey Chair
When pulling into Scott and Linda Carson’s driveway, one might assume that entry into the residence of one of Boeing’s most successful leaders could require special security clearance, perhaps a secret handshake, or at the very least the removal of one’s shoes before going inside its posh interior. But a glance inside their home reveals the truly modest character of the couple who have spent much of their lives supporting youth of all ages. From the Peter Rabbit-themed kids’ table in the dining room to the den where WSU memorabilia and photos of grandkids comprise the art collection, it is clear what Scott and Linda value most—family, children, and their alma mater.
For many years, Scott (‘72 Business Administration) and Linda have demonstrated an unwavering commitment to WSU and helped prepare students for a challenging and dynamic future. In May, the WSU Board of Regents and President Elson S. Floyd renamed the College of Business to the Carson College of Business in recognition of the Carson’s lifetime contributions to WSU and the College of Business.
“Scott and Linda Carson are living examples of the College of Business’ mission to advance knowledge, be globally competitive, and create value through engagement,” says David Whidbee, interim dean of the college. “The Carson name will help us strengthen brand recognition and increase the allure of WSU’s top-ranked business programs and world-class faculty.”
“It is clearly flattering to have our name attached to WSU’s College of Business, and we would like to express our gratitude to the University for this recognition and honor,” says Scott. “Our hope for the college is that it continues to prepare young people for the very challenging and dynamic world of the future. An important part of that will remain, we believe, in having a global perspective and appreciation for the world and cultures around us.”
Scott and Linda recently shared their thoughts on strategies for enabling youth education and the motivations behind their history of investing in WSU.
Becoming a Coug
If it weren’t for Linda, WSU would not have the relationship with them that it has today. Before they met, Scott was an unmotivated high school student and didn’t have the grades to get into college. Instead, he joined the U.S. Air Force and did a tour in Vietnam as an armament crew chief in a special operations unit. After separating from the service, Scott joined Boeing as a flight test technician. Not long after joining Boeing, Scott met Linda, a WSU student, and they were married in August 1970. During this time, he was taking classes, piecemeal, at Highline Community College. It was also during this period that the Boeing Company went through a major downturn in business and greatly reduced its workforce. With his lifelong love of aviation, Scott told Linda that he thought he would just become a flight instructor. When Linda let Scott know that wouldn’t “work for her,” he explained that his options were limited as he felt he lacked the grades to get into college. She told him “You won’t know if you don’t apply.” Scott applied to WSU and was accepted within a few weeks.
The couple loaded everything they owned into the back of their car and moved to Pullman where Scott completed his entire bachelor’s degree in business in just four semesters and one summer session. “We were dirt poor back then,” says Scott. “We had nothing but the GI Bill, and Linda got a job at the vet school so we would have enough money to live on.”
Graduating with distinction was the highlight of attending WSU, Scott says. “The experience salvaged my life. Without any question, I was previously on a confused path. I had low self-confidence and aspirations, but the success at WSU changed that and gave me the tools and foundation to be successful. You look at that and realize you have to invest in something that has that kind of impact on you.”
Scott took an underwriting job with Safeco, and while he enjoyed success there, it wasn’t what he wanted to do for the rest of his life. Again, Linda had a big impact on the future by pointing out that if this wasn’t what he wanted to do, he should do something about it. He made a number of inquiries that ultimately led him back to Boeing in mid-1973. All told, his career at Boeing totaled nearly 39 years before he retired in 2009. Some of his career highlights include:
• Entered management (1976)
• Deputy Program Manager, International Space Station (1993)
• Executive Vice President of Business Resources, Boeing Information, Space, and Defense (1997)
• Executive Vice President/Chief Financial Officer, Boeing Commercial Airplanes (1998)
• President, Connexion by Boeing (2000)
• Vice President Sales, Boeing Commercial Airplanes (2004)
• President/Chief Executive Officer, Boeing Commercial Airplanes and Executive Vice President, The Boeing Company (2006)
Investing Versus Giving
As soon as the Carsons were in a position to give back to WSU, they began doing so in small amounts. As he advanced through Boeing, Scott and Linda became more serious and set a goal of investing $100,000 in the College of Business and Economics, then led by Dean Len Jessup. It took them several years to reach that goal, but when they did, it really began changing the way they thought about the future of WSU.
“During that time, we began to ask ourselves ‘is this investing or is this giving?’” says Scott. “There is a big difference in how you think about the institution if it is an investment.”
Their first investment included a scholarship targeting students who have lost a parent—a situation close to home for Scott. Two of his sisters passed away, both of whom still had children in high school. Reflecting on when she met one of the scholarship recipients, a young lady whose father—a police officer—died in the line of duty, Linda says, “When you know you have made a difference, it just makes you want to do more.”
They made a second investment after their youngest daughter Shelley came
home from summer school and told them about a marketing professor who could really capture the imagination of young people. Though Scott did not know him at the time, that professor was Eric Spangenberg, who later became the dean of the college and a close friend of the Carsons. To ensure that kind of impact and teaching excellence continued, the Carsons established the Boeing/Scott and Linda Carson Endowed Chair in Marketing, awarded to Professor David Sprott.
Later, the Carsons worked with Jessup to establish the Carson Center for Professional Development. Scott had been involved in recruiting WSU students on Boeing’s behalf and found that students could be very good academically but unsophisticated when interviewing and selling themselves to a prospective employer. The Carson Center was successful in helping students gain the necessary polish for career success, but it was still incomplete, says Scott. Reflecting on his own college experience in which he risked graduating because of missing physical education requirements, Scott realized that students have to get to graduation before the center would benefit them. That thought led to second and third tier investments, and eventually, the space was expanded into an all-inclusive student services center in 2012, integrating academic advising, student involvement, professional development, scholarships, and study abroad into a single complex.
During this same period, Scott and Linda established the Carson International Business Scholars’ Fund to support students participating in study abroad programs and in developing global perspectives. Having traveled abroad extensively, they feel it is imperative that business students graduate prepared to be citizens of the world, able to understand and interact with other cultures for everyone’s success, not just an individual’s success.
“Our daughter studied in Switzerland, and we saw how it changed her,” says Scott. “The world is not managed just by U.S. values, and you can’t experience different cultures just by reading a book. I don’t know how you can be successful today without appreciating those cultural differences and accepting them.”
WSU students are not the only ones who have benefited from the Carson’s generosity. The Carsons base their philanthropy across an educational continuum, supporting youth of all ages. They are involved with Childhaven, an organization focused on providing therapeutic care to children who have suffered abuse and neglect. Teaching kids and their parents that the cycle of abuse can be ended, and giving children a chance for success, is critical to improving our society, says Scott. “What they will do with their lives, the impact they will have, can only be realized when we give them a chance at the beginning.”
Like many, Scott and Linda had been involved with their own kids throughout school but felt that supporting K-12 education was missing from their vision. A few years ago, they found a way to be part of something really big, says Scott. Through a friend, they became aware of the Highline School District’s Aviation High School, one of three high schools in Washington specifically focusing on science, technology, engineering, and mathematics (STEM). When visiting the school to meet teachers and students, he observed a group of kids who were focused, mature, articulate, and excited about learning. Subsequently, Scott became a strong advocate for the school within Boeing. By investing in the future of this program, he and Linda believe their investment strategies are complete and focused.
“Business Graduates
“Our focus on helping young people realize their goals allows us to know what we need to do as well as to see outcomes that help us gauge the impact of our investments,” he says.
The couple guide their lives and philanthropy on four foundational principles built around the concept of giving back. The first of these is giving back to community and, for Scott and Linda, WSU is a big part of their community. “You can choose to live in a community or be part of a community,” says Scott. “Making a difference with time, talent, and treasure is one of the most rewarding things we can do for ourselves and others.”
Their second principle is giving back to the organization you work for. It has provided opportunity for you, Scott says. When you take the time to develop those that will replace you, you are giving back to that organization in a big way, he says. Their third principle is giving back to family, making sure to spend time with them and show them appreciation. Finally, he says, giving back to yourself is important to having a balanced life—making sure you give yourself the time and space to be you.
Scott and Linda have worked hard to instill these values in their own five children and believe they have been successful. Linda required their kids Kristina (’96 Home Economics), Kelly (’99 Hotel and Restaurant Administration), Sandi (’02 Accounting, University of Washington), Shelley (’04 Marketing and HR), and Steven (’06 Business Administration) to complete two hours of school work each day during summer vacation from elementary school. Following graduation from college, each was expected to form an investment plan with their alma mater.
Continuing the Relationship
Scott urges others to “just get started” on a path of meaningful investment. He says investing in others is very gratifying and fun, and that once you begin, the things that are important to you and to the institution will come into focus, enabling subsequent investments.
To that end, the couple is supporting another 1,000-square-foot expansion of the Carson College Center for Student Success to better serve students by adding three additional advisor offices, more seating and meeting areas, and a computer bar directly outside the center. Scott and Linda envision the center providing every student with internship opportunities and the college raising the bar on producing students who bring value to business enterprises.
While Scott serves the university in many other ways (he has been the Boeing Executive Liaison, served on the Voiland College of Engineering and Architecture and the Carson College of Business advisory boards, serves as a Regent, and chairs the $1 billion Campaign for Washington State University: Because the World Needs Big Ideas), he and Linda say the neatest thing about their relationship with WSU is interacting with people within the college.
“I don’t want the great relationships we have with WSU to change as a result of the college renaming,” Scott says. “We will always be pro-education and want to continue the great work being done. It’s always been about the end game and how we can make young people productive members of society.”
Scott and his granddaughter “flying” Cougar pride. Scott built the miniature version.
Scott’s Cobra also sports Cougar colors.
While supporting Washington State University’s land-grant mission by providing global access to education, the Carson College of Business (CCB) brings pride and distinction to WSU by being accredited by the Association to Advance Collegiate Schools of Business (AACSB) International. Recently, the CCB’s business and accounting program accreditation was extended for another five years for all degree levels. This extension is the outcome of AACSB’s positive and constructive review of the CCB earlier this year.
Behind the privilege of displaying the AACSB logo lies a legacy of effort. The college first achieved business accreditation in 1960. Accounting accreditation followed in 1984. For more than 55 years, the CCB has provided quality graduate business education and for more than 20 years has developed online degree programs to better serve students on a global scale.
“We are honored to be recognized with the AACSB accreditation for our continued efforts in advancing Washington State University’s business and accounting programs,” says David A. Whidbee, interim college dean. “Accreditation adds another level of distinction and accountability to the programs we offer, all of which support WSU’s land grant mission and help our graduates stay competitive globally.”
While AACSB accreditation brands the college as among the best business schools in the world, business students are not the only ones to benefit from its quality programs. AACSB commends the college on several of its efforts including its on-campus speaker series, career support for students, National Board of Advisors engagement, and nationally ranked programs. The following examples illustrate why and how the CCB earned these recognitions in its efforts to deliver a wealth of business education in Todd Hall and beyond.
**On Campus Speaker Series**
The Business Technology Symposium, formerly the CIO Summit, is the brainchild of Steve Tarr ('76 Science, '84 Engineering and Architecture), former executive vice president of information technology for Emeritus Senior Living. When Tarr served as chair of the Information Systems (IS) Advisory Board for the WSU Carson College of Business, he worked with IS leadership to develop the CIO Summit as an opportunity for Pullman students to network with top business leaders. The Department of Management, Information Systems, and Entrepreneurship hosts the annual event and renamed it as the Business Technology
Students didn’t have to be sports fans to relate to the business advice presented at this year’s symposium by top executives of ESPN; Seahawks, Sounders, and First & Goal (FGI); and F5 Networks, Inc. The event drew more than 300 participants from across campus to learn about what it takes to be a senior technology executive with a high level of corporate responsibility.
Jason Waram, vice president of personalized platforms for ESPN, Chip Suttles, vice president of technology for Seahawks, Sounders, and First & Goal, and Andy Reinland, executive vice president and chief financial officer for F5 Networks, Inc., agreed on a key principle for success: finding passion and excitement every day on the job.
Waram said his love of learning and honesty about his skills helped him successfully transition from a military career into the information technology industry. He said he persevered through layoffs, an out-of-state transfer, and ownership changes within ESPN because of his passion for his job.
“I started out as the last hire of 10 engineers appointed to work in the sports automation group in 2000. I had to move to Bristol, Connecticut, for four years, and I worked 18 hour days,” he says. “Eventually, I ran the Fantasy Games Department. Today, I oversee all interactions between fans, including registration and commerce, alerts and notifications, Fantasy Games as well as the personalization data store.”
He said it is vitally important to engage strongly with a fan base to ensure that the next generation is loyal to a brand. One way Seahawks, Sounders, and First & Goal are doing that is by exploring new edge technology tied to future customer incentives, such as mobile apps that would allow fans to purchase unique experiences. For example, fans would have access to exclusive stats, kicking a field goal after the game, or attending a postgame press conference. For arena spectators, customized stadium experiences are being developed, such as special video replays only available through Wi-Fi within the stadium and loyalty programs that include pre-entry into the game and elite hospitality.
Continued on next page
Attitude as important as aptitude
Reinland graduated from the WSU Carson College of Business with an emphasis in marketing. Having experienced career shifts to accounting and then to the technology industry, Reinland shared what he determines as best practices across all business platforms: quality, excellent customer service, and, above all, positive attitude. “Skills can be taught. I look for people with great attitudes, who are hungry to learn and can demonstrate critical thinking,” he said. “One of the first things I ask during interviews is ‘what did your manager struggle with the most?’ You should always be thinking about what you are doing to help improve your company.”
Though F5 is not a consumer-facing brand, he said everyone is touched in some way by F5’s ability to successfully deliver data applications. For example, if you are managing your stocks, social networking, booking flights, or banking online, you are likely using F5 products. He said cyber security is a top concern for a chief executive officer, but it also represents an opportunity for business differentiation: giving customers peace of mind that they can securely access their applications and data. Reinland advised students to strongly consider the field of management information systems due to the need for security specialists and the diversity of careers.
The symposium was sponsored by Avista, Steve and Cyndie Tarr, and Mike (’86 MBA) and Amy (’86 Business) Dreyer. Mike Dreyer, formerly the global chief information officer for Visa Inc., served as the symposium’s master of ceremonies. For information about contributing to the Business Technology Symposium Endowment, contact Jeff Pilcher, associate director of development, at email@example.com or 509-335-8906.
Annual Burtenshaw Lecture Series Links Students with Hospitality Industry
The annual Burtenshaw Lecture Series, sponsored by DeVere Jerry and Angelina Burtenshaw in memory of their son, Calvin Brett, is hosted by the School of Hospitality Business Management. The series brings accomplished entrepreneurs to Pullman to share their stories of business successes and struggles and to network with business students. Rick Ellingson (’75 Business Administration), vice president and owner of Bargreen Ellingson, was this year’s featured speaker. Based in Tacoma, Bargreen Ellingson is one of the largest multi-service restaurant supply, design, and fabrication companies in the country.
Ellingson spoke to students about what it takes to grow a family-owned business with 11 employees into a foodservice giant with $200 million in annual sales, 400 employees, and 23 firms across nine states and Canada.
Ellingson joined the family business in 1976 after a short stint with Proctor and Gamble. He said his greatest challenge was in 1987 during Ellingson’s buyout of the Bargreen family partnership. He said the company was losing $5,000 a day and rapidly going under. As he reminisced about the stressful period during which he spent many nights sleeping in his office, he warned the audience of future hospitality leaders: “Don’t ever get into a 50/50 business deal.”
Nine tenets for an effective business culture
When Ellingson and his brother Paul took ownership of the company, they continued the culture of family values their father Byron Ellingson established when he and Howard Bargreen launched the business in 1960 in Tacoma. He said his father, now in his 90s, spoke at the last annual sales meeting about the nine tenets that have helped the company remain prosperous: smart hiring, respect, teamwork, good judgment, communication, learning, pursuing change, ownership,
General James Mattis Shares Executive Leadership Tips
In addition to its annual speaker series, the CCB often brings executive speakers to campus to facilitate information transfer and professional perspective. Speakers include successful WSU alumni as well as national and international executives.
David Knuff, former director of the Pullman MBA program, experienced firsthand the connectivity of the Cougar alumni network when he learned that WSU alumnus Ben Jacobs, whose son is a current Pullman MBA student, is a friend of retired four star Marine Corps General James Mattis. The two attended high school together in Richland. Jacobs asked Mattis if he would give a lecture at WSU. Because of his busy schedule as the Annenberg Distinguished Visiting Fellow at Stanford University, it took a year before he had an opening, but Mattis honored his friend’s request and came to Pullman (where he was born) to share leadership and career insights with students.
As a one of the nation’s top military leaders, Mattis could have given an elevator speech on the triumphs of the United States military. Instead, he told students that a simple phrase inscribed on baseball legend Jackie Robinson’s headstone should be a lifelong principle for anyone seeking the “top floor” of executive leadership: “A life is not important except in the impact it has on other lives.”
Legacy of sustainability
Bargreen Ellingson offers a broad spectrum of elements necessary to completely design, fabricate, equip, and supply any foodservice entity. Showrooms house a large selection of glassware, china, silverware, ranges, kitchen supplies, bar supplies, and janitorial supplies that can be shipped anywhere in the world. Besides a tradition of good customer and employee relationships, Ellingson said the company’s long-term vision is one of sustainability. He said it will stay abreast of foodservice trends, such as advances in food processing, and will expand into areas with large industry centers. A recent acquisition of Knapp Supply puts the firm in Wyoming, and an additional warehouse in Fort Worth, Texas, will augment distributions to a widening customer base.
Key leadership traits
When asked to define the key traits of a leader, Mattis emphasized that strength of character and ethics are critical to get to the next level in the workplace. He said one of the biggest challenges for tomorrow’s leaders is to learn how to listen and learn from subordinates without being threatened. There is no such thing as the foreseeable future, he said, but the ability to anticipate is of utmost importance. “There is never a reason to be surprised when you are the leader,” he said. “But accept that some things are mysteries.” He also told students they will make mistakes during their careers and to learn to deal with them in a non-adversarial way. “The more your subordinates know you care about them, the more they will follow you,” he said.
He echoed the MBA program philosophy when he encouraged students to prepare themselves for more in life than making a lot of money. “The success you’ll enjoy will be significant, but don’t forget the people in the margins,” he said. “You will get the behavior you reward.”
One of the college’s top priorities is developing professional perspective in future business leaders. This is carried out extensively through the Carson College Center for Student Success suite of professional development activities but also through research opportunities. WSU conducts an annual Showcase for Undergraduate Research and Creative Activities (SURCA) that gives students an opportunity to demonstrate critical thinking skills and innovation before they graduate. For SURCA 2014, students detailed their work in 11 oral and 145 poster presentations open to faculty, staff, students, and guests. More than 100 judges evaluated the presentations. Judges included WSU emeriti faculty and retirees, faculty, staff, and postdoctoral students as well as experts from companies outside of WSU. SURCA awards were made in eight categories; the number of awards in each was partially determined by the number of students competing. The highest award is crimson, then gray. CCB students won two of the 14 crimson and two of the 14 gray awards presented.
Lindsey Elhart, finance major, David Finkel, a chemical engineering major, and Patrick Gavin, an electrical engineering major, earned a Crimson Award in the engineering and physical sciences category for their design of Fly Safe, a more reliable airspeed sensor to help improve the safety of air travel. The sensor could replace pitot tubes, which are currently used to provide airspeed measurement to pilots. Pitot tubes have a tendency to fail under a variety of circumstances such as being clogged with ice, water, or debris. “With over 93,000 commercial flights scheduled per day, carrying an average of four million passengers, it is critical to have reliable in-flight instruments,” says Elhart. The sensor has a 33% lower price point than competing technology, in addition to cost reductions in insurance risk premiums and routine maintenance. “From these three cost reduction features, our airfoil technology is estimated to result in a savings of $232,500 over each aircraft’s lifetime,” says Elhart. The team, known as Fly Safe L.L.C., plans to enter the navigational instrument manufacturing industry via Boeing to garner initial acceptance before marketing to other aircraft manufacturers. Howard Davis, assistant professor of chemical engineering and bioengineering, and Marie Mayes, director of the Center for Entrepreneurial Studies, mentored the team. Look for a full feature on Fly Safe in the Innovation section of this issue.
Shanee Wimberly, a psychology major and business minor, won a Crimson Award in the social sciences category for her study examining how adversities experienced by underrepresented students may help them become more resilient and develop leadership skills. The study focused on underrepresented student groups including those who were first generation, of an ethnic minority, and from low-income backgrounds. “Examining these relationships allows us to gain unique insight regarding any merits and demerits of having a disadvantageous background,” says Wimberly. Educators and the general public will benefit from this research because there has yet to be an empirical study. Wimberly’s findings will not only bolster the minimal literature on resiliency and leadership, but also help support marginalized students. Assistant Professor John Kalu Osiri, Department of Marketing and International Business, was Wimberly’s mentor.
Jasmyn Bolar, an entrepreneurship and marketing major, earned a Gray Award in the social sciences category for her study that will help e-commerce start-ups and emerging online markets determine the optimal number of products to offer for long-term profitability. Bolar developed several hypotheses and tested them by allowing participants to make one to six purchase selections in online stores that offered different styles of a specific brand of a running shoe. She investigated how product familiarity, previous brand preference, and need for the product influenced sales and consumer behavior. The study revealed that offering fewer product options tended to result in more sales, thus reinforcing the notion that less is better. “To the best of our knowledge, no study has further scrutinized these lower numbers to uncover the optimal number of product options that should be offered to customers,” she said. “Our research contributes to existing literature by filling this gap.” Assistant Professor John Kalu Osiri, Department of Marketing and International Business, was Bolar’s mentor.
Amy Holbrook, an international business major, won a Gray Award in the social sciences category for her study that will help the wine industry make informed decisions about educating consumers on wine bottle closure types. In the study, over 300 participants evaluated wine appearance, bouquet, taste, and overall quality based solely on closure type, such as natural cork, synthetic cork, screw top, or glass seal. “As predicted, participants ranked the wine paired with the natural cork as significantly better on all aspects,” says Holbrook. “Wines with the screw top received the lowest evaluations. Interestingly, participants ranked the wines with the glass seal as low in terms bouquet and taste, but high in terms of appearance.” Holbrook’s findings suggested that consumers perceive natural cork as superior despite evidence that other closures may provide a more effective seal. The study will help the wine industry better understand consumer behavior and enhance efforts toward educating consumers on alternative closure types. Dennis Reynolds, Ivar Haglund Distinguished Professor in the School of Hospitality Business Management, mentored Holbrook.
Members of the college’s National Board of Advisors frequently donate their time via public lectures to help WSU students develop career and life skills. This spring, business sophomore Brian Bickel, president elect and professional chair of the national business fraternity Alpha Kappa Psi, coordinated with CCB’s development officer Linda Infranco to offer an investment seminar on campus. The event was designed to educate diverse business and non-business majors about the importance of financial planning and action in the realm of investing. Finance Advisory Board member Tom Nihoul (’69 Communication) and his wife, Linda (’71 Home Economics), both private wealth advisors, were the keynote speakers. The Nihouls are partners in AGP Wealth Advisors, a private wealth advisory practice of Ameriprise Financial Services Inc. with an office in Spokane.
**Investment Seminar Offers Tips and Resources**
Tom and Linda offered students a diversity of resources including several books, websites, and media that offer timeless best practices for financial investments, such as George Clason’s *The Richest Man in Babylon*, written in 1926, as well as *The Millionaire Next Door: The Surprising Secrets of America’s Wealthy*, written by Stanley Thomas in 1996. The team warned students to beware of “financial pornography,” a slang term used to describe sensationalist reports of financial news and products causing irrational buying that can be detrimental to investors’ financial health.
Though the Nihouls are in the business of helping clients make money, they said one of the best things students can do is invest thought into their own values. Students received a worksheet listing 50 values on which to base all life decisions, not just financial ones. “Narrow it down to your top five and say them in the shower so you can recall them during a job or graduate school interview,” said Linda. Both Tom and Linda reinforced the importance of integrity and compassionate giving.
“Always remember your core values. Money can’t make you happy, except for the amount you give away.”
—Linda Nihoul
“More than just instructing us on the practical steps it would take to conceivably maximize our bank accounts, the Nihouls challenged us all to identify what values we hold in the highest esteem as the basis of our financial strategy,” said Bickel. “They really inspired me personally to save and be conscientious of where my dollars go.”
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**Annual Power Breakfast informs, inspires, and engages WSU alumni and regional business leaders**
The AACSB review board commended the college on its Power Breakfast speaker series. The college leadership developed the series in 2003 to inform and engage WSU alumni and regional business leaders on topics of entrepreneurship, innovation, and leadership. The event is held annually in Seattle and features high-caliber business executives and prominent leaders from across the nation who generously donate their time to serve as keynote speakers.
**John McAdam**, president, chief executive officer, and director of F5 Networks, Inc., was the keynote speaker at this year’s Power Breakfast. Shortly after joining F5, McAdam successfully navigated the company through the turbulent post-dot-com era, bringing F5 to profitability and positioning it for further growth. During his tenure at F5, McAdam has grown the company’s annual revenue from $108.6 million to more than $1.2 billion. He has overseen numerous successful acquisitions, guiding F5 into new and adjacent markets that enhance the company’s core application delivery solution offerings. Under McAdam’s leadership, F5 was added to the S&P 500—one of the world’s most widely followed stock market indices.
McAdam has received numerous leadership awards, among them *Puget Sound Business Journal*'s 2013 Executive of the Year, *Seattle Business Magazine*'s 2012 Lifetime Achievement Award, and the Best in Business Awards 2012 Executive of the Year, silver category. He was also named to *Business Insider*'s 2013 list of 50 Most Powerful People in Enterprise Tech and CRN’s list of Top 25 Innovators for 2012.
Financial strategies for recent graduates
The Nihouls also presented several financial strategies for recent graduates faced with repaying student loans. They suggested considering the lowest balance and highest interest rate debts: paying off one debt and applying that payment to the next one and keep attacking. They advised students to start putting money away after securing their first job and investing in a 401(k) at work, taking advantage of the matching program. They also recommended building up a cash reserve. “If you save 10 or 20 percent of your paycheck, give away 10 percent, and live on 70 percent, you will be way ahead,” said Tom.
“Always remember your core values, said Linda. “Money can’t make you happy, except for the amount you give away.”
Bryan Weeks (’85 Finance), president and chief executive officer of Silver Creek Capital Management, serves on the CCB’s International Advisory Board and is a member of the NBoA executive committee. He is closely involved with helping advance college programs and has demonstrated a deep commitment to supporting students across majors.
“WSU has had a significant impact on my life, providing many of my closest friends, business partnerships, and personal mentors,” he says. “My wife and I are excited to help support a rewarding and thriving university experience for all students.”
In April, Weeks visited campus to present “Evolution of Hedge Fund Investing and Institutional Investor’s Asset Allocation,” a free lecture open to all WSU students interested in pursuing careers in the finance industry.
Weeks is responsible for leading the business strategy of Silver Creek’s assets of over $5.5 billion, but his message was about much more than the value of a dollar. He urged listeners to develop a habit of contemplating how to add value to the world based on setting goals and attaining them through hard work and smart investments.
“It never ceases to amaze me how easy it is for a new hire to have an impact on an organization,” said Weeks. “It goes beyond just doing your job well. Strive to be excellent—add more value to a firm’s culture, energy, and success—and you will never have to think about your career.” Outside of work, Weeks earned his Chartered Financial Analyst (CFA) certification. He highly recommended that today’s students complete the CFA designation to become more marketable.
The evolution of the hedge fund industry
Weeks introduced the evolutionary phases of hedge fund investing by quizzing students on the equity markets and business practices of industry legends Julian Robertson, Jim Simons, and George Soros during the industry’s high net worth years (1990–99). He pointed out that in the early years of the hedge fund industry, the investment performance was quite strong, partially due to lower competition and capacity constraints. He said during this phase, “rich guys marketed to other rich guys. It was almost strictly a high net worth industry.” Next, he pointed out that the institutional phase (2000–2008) changed the entire industry. He said investment performance led institutions and their consultants to invest significantly in hedge funds and that banks seeking growth would seemingly lend for nearly any investment.
Institutional growth led to an explosion of hedge funds firms leading up to the commercialization phase (2008–present). “The hedge fund industry was under significant pressure during the global financial crisis,” he said. “However, this crisis created many compelling investment opportunities, and the hedge fund industry remains on a growth trajectory.”
Becoming a smart investor
As he walked the audience through trends in asset allocation, Weeks said that, historically, institutions held an investment policy that was approximately 60 percent equities and 40 percent fixed income. Today, institutional investors allocate more capital to alternative strategies including private equity, private credit, real estate, agriculture, infrastructure, and hedge funds that provide diversification benefits to the traditional equity and fixed income portfolio. Finance students should graduate with an awareness of these alternative investment strategies.
Weeks concluded his talk by recommending several online resources to research the best practices used by the top sovereign funds and global pensions. He also urged students to consider working outside of the United States. “Other countries love students trained in the United States,” he said. “It’s easy to make an impact at a new job. Just make a commitment to add more value than expected.”
Weeks’ address was sponsored through the endowments of the Gary P. Brinson Chair of Investment Management and the Omer L. Carey Endowed Chair in Financial Education.
Nationally Ranked Programs
As online education continues to evolve, the college remains committed to engaging in bold, innovative strategies that make its online graduate programs among the best in the nation. National rankings reflect the college’s ongoing investment in developing relevant, rigorous content for students around the globe.
Currently, the CCB is ranked 7th for best online graduate business programs overall and 3rd for veterans.
The ranking is emblematic of the CCB’s distinguished faculty, rigorous curriculum, and high-quality students. However, the figure that gives us the greatest satisfaction and confirms our efficacy is the number of highly skilled, conscientious Cougar business leaders amongst our graduates who are poised to positively impact the business world.
Online MBA Certificates Offer Freedom and Flexibility
Professionals seeking an online MBA degree now have three new graduate certificates in marketing, finance, or international business from which to choose. Certificate programs can be taken by current MBA students, recent alumni, and students who have qualified for admission but are not able to commit to starting a full MBA program.
“WSU’s new online MBA certificates offer more in-depth focus and flexibility than ever before,” says Cheryl Oliver, assistant dean for online and graduate programs in the Carson College of Business. “We know our students balance academic ambition with professional careers and personal commitments, and WSU is committed to creating programs that will meet their needs and their schedules.”
Each certificate consists of three elective courses that deliver nine total credit hours of focused instruction. The certificates complement core coursework and, when completed, will appear on the transcript, a designation important to business professionals needing to demonstrate mastery of a specific topic or preparing for a career change.
“By nature, online MBA students are competitive and want to move ahead of their peers and on with their careers,” says Oliver. “These elite students will be able to choose the concentration most appropriate for their career track. It’s a tool that will take them to the next level of business success.”
Full descriptions of the certificates are available at omba.wsu.edu.
Executive MBAs Gain Global Perspective
To deliver business degrees for today’s world, Carson College of Business online graduate programs address a broad range of contemporary business issues from an international viewpoint, preparing graduates to lead successful endeavors in global markets. Each summer, Executive MBA Online students may take an optional international field study course that includes a 10-day trip abroad. The trip is designed to help students develop global perspective and includes several visits to businesses that are similar to the companies in which Executive MBA students work.
In June, Executive MBA Director Velle Kolde and Professor Fred Peterson, along with six students, traveled to Beijing, China. The group visited Boeing, Han Kun Law Firm, Careers International, Nike, Porsche, and Bao Steel. Cultural sightseeing is also a big part of the trip. A bike ride on the Great Wall and visits to Tiananmen Square, the Forbidden City, Yu Garden, the Terra Cotta Soldiers Museum, and the Everlasting Sorrow Show provided students an opportunity to see locations referred to in literature from the leadership course. Students are immersed in ancient Eastern and Grecian thought before exploring modern leadership literature and establishing their own leadership philosophy.
To learn more about the impacts of the China study abroad experience, watch for an upcoming feature in a future edition of Dividend.
Though the “dress blues” of an Air Force commissioned officer and the business suit of a WSU Executive MBA Online graduate may look very different, the individuals wearing them share uniform values. That’s why David Cohen, a career Air Force colonel who recently retired, found the WSU Executive MBA Online program a perfect fit when researching online graduate programs. As a pilot and commissioned officer, and the director of staff of the Maxwell Air Force Base’s Air University in Montgomery, Alabama, Cohen was accustomed to thinking critically, making strategic decisions, and building relationships while being accountable to a high code of ethics—all tenets of the WSU Executive MBA program.
But as he prepared to transition into a civilian career after 26 years in the Air Force, Cohen knew he lacked some of the skills that would help him embark on a new mission to become a business executive in the hospitality industry, specifically in the cruise line or theme park sectors. As he researched executive positions within the industry, he discovered that most required either law or MBA degrees.
“I knew I needed to get more of a handle on how businesses were run, from the technology to the financial pieces to the marketing,” says Cohen.
“I wanted to be able to walk into a company and understand decision making processes.”
During his Executive MBA coursework, it became clear to Cohen that his dream job would be within the Disney organization. To meet this goal, Cohen began making contacts with Disney and was granted several informational interviews at the Walt Disney World Resort in Orlando. To learn more about Disney consumer operations, he developed “Disney’s Magical Compass” for his Executive MBA capstone project. The Magical Compass is a concept for a free app for Android or iOS mobile devices that works similarly to Google Maps. Guests could use the app to identify in advance a sequence of events and routing to get to preferred attractions while minimizing wait times and transit times. It also provides guests with discount coupons for food or merchandise. The improved experience translates into more guest time in the parks, resulting in increased guest spending on food, beverages, and merchandise, says Cohen.
“Though I couldn’t actually vet my concept with Disney because of the limitations they have on unsolicited proposals, the academic exercise helped me better understand Disney’s concept of creating an experience as a destination rather than just a day trip to an amusement park,” he says.
Cohen graduated in December 2013. In May, he achieved his dream when he became the manager of creative costuming and operational development at Walt Disney Parks & Resorts in Orlando.
Brady Blankevoort didn’t expect to get wet when he enrolled in the Pullman MBA program. But that’s exactly what happened when he found himself white water river rafting with 20 of his MBA cohorts and former MBA Program Director David Knuff. During the weekend excursion in Riggins, Idaho, Blankevoort got to know his fellow students better and learned career tips from David Dolezilek, technology director of Schweitzer Engineering Laboratories.
The river trip was just one of several networking opportunities Knuff provided students throughout the one-year MBA curriculum. Blankevoort said company visits to Xtreme Consulting and IBM in Seattle granted him access to career advice from top-level management and gave him deeper insight into what employers seek. In their “Predictive Analytics in Health Care” capstone project, his team was paired with mentor Jaimie Jacobsen (‘03 MIS), a consultant manager at Slalom Consulting in Seattle.
**Capstone project provides valuable career preparation**
“The capstone project is a valuable tool; you and your team have to learn how to operate as an autonomous business unit, control the direction of your project, and develop its applicability to industry,” he says. “Jaimie was so very helpful and enthusiastic during this process. It was not an easy task, but with hard work and Jaimie’s guidance, we felt really confident in the direction of our project.”
Blankevoort said the diversity of networking and extracurricular opportunities are unique to the WSU Pullman MBA program and one of the reasons he enrolled. Other program attractions include the outstanding teaching of Knuff and CCB faculty members Mauricio Featherman and Charles Munson, who had impressed Blankevoort as an undergraduate, and the appeal of being able to enter the work force with a master’s degree in just 12 months.
**MBA skillsets have immediate application**
In Blankevoort’s case, it took less than 12 months to secure a job. In April he was hired as product specialist by Huron Consulting Group. He graduated in July and recently moved to Lake Oswego, Oregon, to begin his new career.
“I will be able to immediately apply the data analysis skills I learned from Dr. Featherman’s and Dr. Munson’s business intelligence courses using programs such as Microsoft SQL and Excel,” says Blankevoort. “Without having completed the Pullman MBA program, I would not have possessed the skills required for the position.”
The Carson College of Business’ world-class faculty of experienced management professionals and business leaders engage students in high level discussions and encourage them to develop solutions to business challenges with real-world industry partners. In this environment, future business professionals gain the practical knowledge needed to think critically, develop effective business strategies, and make confident career and life decisions beyond the classroom.
**Pullman MBA program—corporate training outside the classroom**
The capstone class, taught by former Program Director David Knuff, is an excellent example of how the Pullman MBA program’s rigorous coursework helps students develop a skill set that can be successfully applied to external businesses.
“The Pullman MBA program is unique in that it meets a growing need for managers who can analyze data and make strategic decisions,” says Knuff. “Our program meets this need by producing good corporate citizens who can focus on making data-driven decisions with a global perspective, a skill set corporate entities increasingly seek.”
Pullman MBA capstone students successfully engaged with Slalom Consulting to create efficiencies and innovation within the company. Slalom Consulting is a Seattle-based technology consulting firm that helps clients solve strategic challenges, build smart software, engage customers, and organize operations. All teams coordinated with Roger Kastner, Slalom consultant manager, and were mentored by individual leaders within the firm.
“As a company, we thrive off of the strong connections we develop with our clients and within the communities we serve, and WSU is definitely one of those communities,” says Kastner. “Our consultants jumped at the opportunity to mentor the MBA students in developing a fresh new perspective on solving some of the most challenging business problems facing our clients.”
One capstone team, comprised of Brady Blankevoort, Eric Brandon, Alex Purcell, and Anthony Sherman, developed a set of deliverables based on the concept of predictive analytics. Predictive analytics uses data to predict the future behavior of an individual or some other element in order to drive better decision making.
The team proposed predictive analytics will help the health care industry better coordinate decisions, respond to customer needs in real time, maximize resource utilization, and ultimately provide higher quality care to patients. Their proposed predictive analyses business model is both timely and relevant, as the health care industry is one of the fastest growing economic areas of most developed countries and is characterized by long waiting times, inefficiency, low productivity, stressed medical staff, and dissatisfied patients.
The team believes the model could be used to reduce possible risks and diagnose inefficiencies within health care organizations. The model included a customer value proposition, a profit formula, and identification of key resources and processes. It also identified the factors and relationships that drive performance among various segments of the health care industry.
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Executive Chef Jamie Callison was featured in a live online broadcast from WSU’s Marriott Foundation Hospitality Teaching Center. Callison talked about his cookbook, *The Crimson Spoon: Plating Regional Cuisine on the Palouse*, and demonstrated how to plan, prepare, and serve Cougar Gold mac n’ cheese, WSU Wagyu beef pot roast, and Crimson Fire jalapeno poppers. The book recently earned a bronze medal in the cookbook category of the 2014 international Independent Publisher Book Awards. The awards are designed to bring increased recognition to the deserving but often unsung titles published by independent authors and publishers. *The Crimson Spoon* is available at the Bookie, online at WSU Press (go.wsu.edu/crimsonspoon), and at Amazon, Costco, and other retailers.
The Chinese Student and Scholar Association, advised by Christina Chi, associate professor in the School of Hospitality Business Management, received the President’s Award for Leadership. The award recognizes the organization’s leadership, engagement, and commitment to the community. She also received the Registered Student Organization (RSO) Outstanding Advisor Award, recognizing exceptional dedication and contribution to the group.
The scholarly works of CCB faculty Kimberly Houser and Dennis Reynolds were featured in the “Crimson Reads 2014” faculty books celebration event hosted by the WSU Libraries. The event celebrates faculty accomplishments and aims to create a greater awareness of the diverse publishing activity and achievements of WSU authors. Houser’s book is *Legal Guide to Social Media: Rights and Risks for Businesses and Entrepreneurs*, Allworth Press, 2013. Reynolds’ books are *Foodservice Management Fundamentals*, Wiley, 2013; *Introduction to Management in the Hospitality Industry*, 10th ed., Wiley, 2012; and *Introduction to the Hospitality Industry*, 8th ed., Wiley, 2012.
Houser also was invited to speak for the WSU Common Reading Program’s guest lecture series that provides information and insight from thought leaders and researchers from WSU as well as the external community. Houser presented “Social Media and the Law: Do Judges Ever Get It Wrong?” and shared information and tips from her book.
Isaiah Mueller, a freshman majoring in hospitality business management, won the National Society of Minorities in Hospitality (NSMH) western regional chair position for 2014-15. He is the first WSU NSMH chapter member to serve on the national board. In this role, he will develop current chapters in the region, which includes schools in Alaska, Arizona, California, Colorado, Hawaii, Idaho, Montana, Nevada, New Mexico, Oregon, Utah, Washington, and Wyoming. He will organize and provide ideas for chapter and regional events and conferences, and facilitate chapter communication with national resources.
Charles Munson, professor of finance and management science, shared his expertise and scholarly work as a speaker for WSU’s Common Reading Program. He presented “Being Wrong in Business: Implications, Lessons, and Prevention,” focusing on the value of appropriate service recovery efforts, the potential advantage of applying a “second-mover” strategy, and the value of prevention, that is, “making it right the first time.”
Nathan Neale, a doctoral candidate in the Department of Management, Information Systems, and Entrepreneurship, was elected as the Graduate and Professional Student Association president for 2014-15. The GPSA is the representative body for graduate and professional students at Washington State University and provides academic and professional support services and programs. Neale earned an MBA from Cornell’s Johnson School of Management. He has 16 years of management and 12 years of entrepreneurial experience in numerous industries and has conducted business in India and China. He has also served in numerous community service roles including being elected to the Zillah, Washington, city council.
John Kalu Osiri, clinical associate professor in the Department of Management, Information Systems, and Entrepreneurship, received a 2014 WSU President’s Award for Leadership. The award recognizes leadership and service to the university and the community and/or supporting leadership development and engagement of WSU students. Osiri was also a featured speaker in the WSU TEDx, “Seeds for Tomorrow: Sharing Ideas and Experiences and Sparking Innovation.” TEDx is designed to help communities, organizations, and individuals spark conversation and connection through local TED-like experiences. Osiri spoke on the importance for individuals, organizations, and nations to proactively harness their intellect, experience, and energy to realize their potential.
Washington State University Vancouver was included in the 2014 listing of the Top Universities for Professional Sales Education by the Sales Education Foundation. This identifies WSU Vancouver’s professional sales program as one of the top programs preparing students for professional selling careers. Ron Pimentel, WSU Vancouver assistant professor of marketing, is associate director of the Professional Sales Certificate Program. The program is co-directed by Alberto Sa Vinhas, WSU Vancouver assistant professor of marketing. For more information about the program, visit business.vancouver.wsu.edu/professional-sales.
Thomas Tripp, WSU Vancouver professor of management, received the 2014 Chancellor’s Award for Research Excellence. The award is given annually to a WSU Vancouver faculty member whose research quality and quantity are exemplary and whose work has had a positive influence on the broader community. Tripp’s pioneering research on revenge and retaliation in the workplace helped to bring conflict management into management curricula. Tripp is also managing a new partnership between the Port of Vancouver and WSU Vancouver to provide executive training to port leaders. Training sessions will be broken into six modules and include 10 to 15 members of the port’s management team. Each session will focus on various executive and business skills tailored to the port’s specific environment and needs.
TJ Weber, a doctoral student in the Department of Marketing and International Business, published “Negative Political Advertisements: Some Lessons from the Literature with an Ethical Commentary,” a chapter in a graduate-level textbook titled *Persuasion Ethics Today: Contemporary Issues in Advertising, Marketing, and Public Relations*. The book is edited by Margaret Duffy and Esther Thorson, professors at the University of Missouri Graduate School of Journalism. Additionally, his paper “How to Choose a Political Marketing Orientation: Voter Orientation or Political Brand Identity Orientation?” was chosen for publication in the public policy and nonprofit marketing research tract at the Academy of Marketing Science Conference held in Indiana in May.
Jordan Schlatter and Teresa Lohr, undergraduates majoring in hospitality business management, represented WSU at the Young Hoteliers Summit Challenge held at the Ecole Hôtelière de Lausanne in Switzerland. The three-day summit is an international flagship event within the hospitality industry and features opportunities for talented young hospitality students to engage in discussion, problem-solving, and networking. Lohr was on the winning team that participated in the summit challenge. “The challenge this year was to come up with seven to ten innovative ideas to showcase FRHI Hotels & Resorts’ core values of Connect, Grow, and Live to the employees of all three brands they represent: Fairmont, Raffles, and Swiss Hotels. One idea we came up with was titled *Live Forever*, which encompassed an alumni association for employees after they retire,” said Lohr. During the visit to Switzerland, Schlatter, a member of Eta Sigma Delta, worked with student colleagues to establish a sister chapter at César Ritz Colleges Switzerland.
New Staff and Administrative Hires
Thomas Allison is a new assistant professor in the Department of Management, Information Systems, and Entrepreneurship. His research focuses on crowdfunding, microlending, and entrepreneurial resource acquisition. Allison received his doctorate in strategic management and entrepreneurship from the University of Oklahoma.
Mark Beattie ('81 Hotel Rest. Admin.) is the new associate clinical hospitality business management professor at WSU North Puget Sound at Everett. The School of Hospitality Business Management recently launched a bachelor of arts in hospitality in Everett, providing higher education opportunities to hospitality professionals who want to advance to the next stage of their careers. Beattie will teach upper division hospitality courses and electives. He formerly was an adjunct instructor at Gonzaga University and for Jesuit Commons: Higher Education at the Margins.
Michael Curry is a new assistant clinical professor in the Department of Management, Information Systems, and Entrepreneurship at the Vancouver campus. His research explores the mechanisms that normative attitudes play in IT effectiveness efforts and how this can be used to adapt IT best practice frameworks to smaller organizations. Previously, he taught information systems and entrepreneurship at Oregon State University’s College of Business. He received his doctorate in management information systems from Manchester Business School, Manchester, United Kingdom.
Kevin P. Dowler is the new admissions specialist for graduate programs. He serves as the frontline point of contact with students and applicants. He performs many tasks, some of which include data entry, student file creation, answering student questions, and answering emails from those interested in the graduate programs offered by the college. He recently received his associate of applied science degree in business management/small business management from Spokane Falls Community College.
Douglas J. Fairhurst is a new assistant professor in the Department of Finance and Management Science. His research interests include capital structure, liquidity management, and mergers and acquisitions. He received his doctorate in finance from the University of Arizona.
Raegan Harvey has joined the development team as a development coordinator. She handles gift entry, prospect research, donor assessment, and accounting for the office and provides additional support for travel, stewardship activities, and events. Harvey previously worked for Cone Health in Greensboro, North Carolina, and at the University of Georgia in prospect research and donor database management. She earned her MBA from the University of North Georgia and her bachelor’s degree in economics from the University of Georgia.
Melanie Lange has joined the development team as a development coordinator, where she oversees board relations, conducts assessment visits, and assists with fundraising activities. Prior to joining the college, she worked as a licensed real estate broker in Pullman. Lange has formerly held positions in the WSU Office of Student Affairs and Enrollment and the WSU Foundation.
Jessica Montes is the new fiscal technician in the Office of Graduate Programs. She supports budget maintenance, purchasing, travel, maintains financial databases, and prepares and maintains online program personnel and payroll documentation and records. She previously worked at Zak Designs in Airway Heights, Washington, in the accounting department, reconciling budgets, analyzing imports and exports, and analyzing data.
Andrew Perkins ('98 MBA, '95 Environmental Science) is a new associate professor in the Department of Marketing and International Business. His research explores the effects of non-conscious behavior on consumer behavior and is published in the six top tier journals and in numerous book chapters and conference proceedings. He has served as an ad hoc reviewer for numerous academic journals, including the *Journal of Consumer Research*, *Journal of Consumer Psychology*, *Journal of Marketing Research*, and *Social Cognition*. He earned his doctorate from the University of Washington Foster School of Business.
Bill Pettit is the new senior living executive-in-residence at WSU North Puget Sound at Everett (NPSE). A well-known senior housing industry executive, Pettit teaches classes and will develop this popular elective into a full major within the School of Hospitality Business Management. Pettit was recently named president of the R.D. Merrill Company, parent company of Merrill Gardens Retirement Communities, where he was president from 1993 to 2013. He will continue overseeing Merrill Gardens and Pillar Properties in conjunction with his new role at WSU NPSE.
Terence Saldanha is a new assistant professor in the Department of Management, Information Systems, and Entrepreneurship. His research interests include the role of information technology in business innovation and the business value of IT. He received his doctorate in business administration from the University of Michigan.
Leah Sheppard is a new assistant professor in the Department of Management, Information Systems, and Entrepreneurship. She is researching issues related to gender stereotyping in organizations and female leadership, and is particularly interested in interpersonal workplace dynamics among women. She received her doctorate in organizational behavior and human resources from the Sauder School of Business at the University of British Columbia.
Michelle Xiao Wu is a new assistant professor in the Department of Finance and Management Science. Her research interests include strategic consumer behavior, dynamic pricing, and allocation to customers. She was previously at the University of Chicago.
David Whidbee, interim dean of the Carson College of Business, has appointed new leadership roles within the college:
David Sprott will serve as senior associate dean and be responsible for overseeing faculty hiring and review processes, AACSB reporting, and leading the college’s international initiatives. He will work with Interim Dean David Whidbee to supervise the departments, chairs, and directors. Sprott is the Boeing/Scott and Linda Carson Chair in Marketing and formerly served as the associate dean for graduate, international, and professional programs.
John Cullen will serve as associate dean for graduate programs. He will be responsible for administrative oversight of all graduate business programs and will continue as director of doctoral programs and Huber Chair of Entrepreneurial Studies.
Nancy Swanger will serve as interim associate dean for undergraduate programs while continuing as director of the School of Hospitality Business Management. She will be responsible for facilitating career development and the overall undergraduate student experience.
Cheryl Oliver will continue as assistant dean for online and graduate programs with primary responsibility for day-to-day operations of these programs.
Wei Huang
Finance
B.A., Tongji University
M.B.A., Gonzaga University
Dissertation: Institutional Holdings and Dividend Policy.
Major Advisor: Donna L. Paul
Diane Nelson
Management
B.A., Seattle University
M.S., Taxation, University of Denver
Dissertation: Family Friendly Work Perceptions in Management.
Major Advisors: Arvin Sahaym and John Cullen
Allen (Cheng Chieh) Lu
Hospitality Business Management
B.S., Feng Chia University, Taiwan
M.B.A., Texas A&M University, Commerce
Dissertation: A Conceptual Model of Online Tourists’ Confusion
Major Advisor: Dogan Gursoy
Jeongdoo Park
Hospitality Business Management
B.B.A., Kyonggi University, South Korea
M.S., Virginia Polytechnic & State University
Dissertation: Customer Mistreatment and Employee Organizational Citizenship Behavior: An Attributional Approach
Major Advisor: Jenny Kim
Yuxing Luo
Management Science
B.S., Tsinghua University, China
M.S., Washington State University
Dissertation: Subordinated Gaussian Process, Fluctuation Identities, and Their Applications to Log-returns and to Change-point Analysis.
Major Advisor: Stergios B. Fotopoulos
Imran Rahman
Hospitality Business Management
B.S., Louisiana State University
M.S., University of Massachusetts Amherst
Dissertation: The Influence of Values and Attitudes on Green Consumer Behavioral Intentions: An Empirical Examination of Three Green Products.
Major Advisor: Dennis Reynolds
Hakil Moon
Marketing
B.B.A., Changwon National University, South Korea
M.B.A., Changwon National University, South Korea
Dissertation: Knowledge Transfer, Absorptive Capacity, and Interfirm Relationships: Implications for New Products and Innovation.
Major Advisor: Jean L. Johnson
Gaunette Sinclair-Maragh
Hospitality Business Management
B.S., University of Technology, Jamaica
M.S., University of the West Indies
Dissertation: Residents’ Support for Tourism Development: A Case of Developing Countries.
Major Advisor: Dogan Gursoy
J.D. Morscheck
Finance
B.S., University of Nevada
M.S., University of Nevada
Dissertation: Share Repurchases and Wealth Transfer Among Shareholders.
Major Advisor: John Nofsinger
Four Priorities of the Carson College I
GLOBAL OUTLOOK
A love of Asian culture and a thirst for independence drove Spokane native Tanner Peterson to study nearly 7,000 miles from home during summer 2013. After noticing an advertisement posted in the Carson College of Business, Peterson investigated Korea University’s International Summer Campus (ISC) in Seoul. Korea University is ranked number one among private universities for financial endowments and is one of the most popular institutions in terms of employer reputation. He decided to enroll directly into ISC, where Carson College of Business statistics professor Sung Ahn holds a joint faculty appointment.
Scholarship rewards academic excellence and positive attitude
As a WSU business student majoring in finance and management operations, Peterson was drawn to the opportunity to learn more about Korea’s emerging economy and technology industry but couldn’t afford the ISC program’s $3,000 tuition. He contacted Ahn about applying for the Korea University International Summer Campus Faculty Scholarship, open to upper level undergraduate students with no Korean heritage. Because of Ahn’s professional relationship with ISC, he was able to nominate Peterson for the scholarship. The scholarship is awarded only to institutions whose faculty members also teach at the ISC.
“I recommended Tanner based on his academic excellence, strong interest in learning other cultures, especially Korean culture, his positive and serious attitude toward studying abroad during summer, and his ability to represent WSU in a positive way,” said Ahn.
Peterson received the scholarship and embarked on a seven-week journey that both excited and challenged him.
Navigating challenging academics and foreign culture boosts independence
He took two courses but studied harder than he ever had before. “I had to work extremely hard to get a B,” said Peterson, who is normally an A student. “The papers were the longest I’ve ever written, and there were no shortcuts just because the program is shorter.” He studied investment analysis and international finance alongside diverse students, which expanded his perspective on global economies and how other countries view the United States. He also learned about the eastern Asian recession in the 1990s and the rise of large, successful corporations such as Samsung, which is headquartered in Seoul—knowledge that gave him a competitive advantage during later job interviews.
“Living and studying in Korea opened my mind and made me excited about traveling more to learn about other cultures,” he said. He said being in a different time zone than his family, while difficult, increased his sense of independence and problem solving skills. He traveled the city, learning to navigate the subways and order food from non-English-speaking vendors. He also visited several iconic cultural sites including the North Seoul Tower and the Gyeongbokgung Palace, originally constructed in 1395 by the Joseon Dynasty.
Developing skills for life
He said the best thing about the experience, aside from the delicious food, was building a repertoire of personal and professional skills that helped him achieve his career goal. Prior to graduating in May, he accepted a research associate position at PitchBook Data Inc. in Seattle. The company provides data to help private equity and venture capitalists make more informed decisions.
Peterson said he made lifelong friends and recommends that any student interested in studying abroad consider all that Asian culture has to offer. The college has recently made this opportunity more accessible by reinstating its summer faculty-led program at Korea University. To learn more, visit ibus.wsu.edu/experience.
Four Priorities of the Carson College II
INNOVATION
Overall winners for the Business Plan Competition
**College League**
**First place: Ze-HunterS**
Ze-HunterS designed the FunMi e-board, an electronic blackboard to aid classroom efficiency and learning. It allows users to operate a touch screen anywhere, including ordinary white walls.
—Southwestern University of Finance and Economics, Chengdu, China
**Second place: Mobile Foam**
Mobile Foam aids organizations providing international relief construction by supplying simplistic building kits containing necessary materials, such as floor plans, certification, consulting, safety, and portable molds, to construct a home using Insulated Concrete Forms (ICF). Mobile Foam has also seen success placing first in the Inland Northwest Business Plan Competition in April, and won Best Sustainable Business Idea at the University of Washington Foster School of Business competition in May.
**Third place: Fly Safe L.L.C.**
Fly Safe L.L.C. designed a more reliable airspeed sensor to help improve the safety of air travel and reduce costs by replacing pitot tubes, which are currently used to provide airspeed measurement to pilots. The Fly Safe team is also part of the Boeing Scholars Program.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Eric R. Spangenberg, former dean; Ze-HunterS team Pengfei Zhu, Junmei Zhang, and Zhihu Liang; Deputy Secretary Su Wang; and Marie Mayes, director of the Center for Entrepreneurial Studies.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Eric R. Spangenberg, former dean; Mobile Foam team Dane Baird, Austin Carter, Kelsi Lakey, Chris Routen, and Bettina Ernst; and Marie Mayes, director of the Center for Entrepreneurial Studies.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Eric R. Spangenberg, former dean; Fly Safe L.L.C. team Lindsey Elhart, David Finkel, and Patrick Gavin; and Marie Mayes, director of the Center for Entrepreneurial Studies.
The 12th annual WSU CCB Business Plan Competition was held April 25-26. Teams of students from the university and regional high schools, as well as international teams from Tanzania, Switzerland, and China, showcased their entrepreneurial ideas and business planning acumen before panels of academics and real-world industry professionals. The participating teams’ business plans spanned industries including health care, aerospace, agriculture, and construction, with some innovation patents pending.
During the competition, teams were judged on criteria including team presentation and style, the customer problem, solution, value proposition, competitive advantages, market and sales strategy, management, financials, and offering and investment analysis. Each of the 24 teams presented their business plans on the first day of the competition, with six teams advancing to the finals on the second day.
“The competition showcased the value and international scope of the entrepreneurship program at WSU,” said Pat Murphy, CEO of Vega Performance Marketing and competition judge. “Ze-HunterS stood out in that they are already marketing an exciting technology which they conceived and built. Their virtually flawless presentation was a testament to their preparation and has established a new benchmark for future teams.”
Fourth place: Salud!
Developed an automatic cocktail machine that enables users to enjoy a variety of single-serve cocktails without the need to purchase mixer, alcohol, and ingredients.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Eric R. Spangenberg, former dean; Salud! team Jonathan Marsh, Noel Wang, Steve McCutcheon, Mary Blevins, and Thomas Weis; and Marie Mayes, director of the Center for Entrepreneurial Studies.
Fifth place: Northwest Engineering Curricula (NWEC)
Designed STEM (science, technology, engineering, and math) curricula directed toward high school students to provide innovative products that develops users’ creativity and critical thinking skills.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Eric R. Spangenberg, former dean; NWEC team Max Nelson, Rob Phibb, Ben Bohnson, and Jing Li; and Marie Mayes, director of the Center for Entrepreneurial Studies.
High School League
First place: Art by Chelsea (Riverpoint Academy). Created a customizable artwork business selling acrylic paintings.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Chelsea Evans; and Dave Hunt, partner, Intuitive Integration LLC, serving as a Business Plan Competition judge.
Second place: Rocky Mountain Hostel (Sammamish High School, Bellevue). Created concept for a youth hostel in Salt Lake City, Utah.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Rocky Mountain Hostel team Griffin Paulson, Lucas Bacon, and Anna Main; and Dave Hunt, partner, Intuitive Integration LLC, serving as a Business Plan Competition judge.
Third place: Paintball (Pullman High School). Developed a proposal for an indoor paintball facility in Pullman.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Jessica Brar, and Dave Hunt, partner, Intuitive Integration LLC, serving as a Business Plan Competition judge.
Fourth place: Green Scapes (Bothell High School). Created a concept for a landscaping company designed to provide off-season home maintenance and summer vacation home monitoring services.
From left: Ken Butterfield, management, information systems, and entrepreneurship department chair; Green Scapes team Michael Gray and Mackenzie Murray; and Dave Hunt, partner, Intuitive Integration LLC, serving as a Business Plan Competition judge.
Thank you to the Pullman Competition judges:
Andy Barrett, Chris Burdett, Dan Carpenter, Benjamin Caudill, Terry Cornelison, Doug Cox, Dave Divine, Mauricio Featherman, Mike Flood, Robert Gardipee, John Gibson, Dave Grant, Mark Hansen, Joe Harris, Dave Hunt, Jaimie Jacobsen, Velle Kolde, Ann Liberato, Don Lionetti, Ryan Lockwood, Jeffrey Lytle, Jeff Macias, Stacy McCannon, Erik Morgan, Pat Murphy, Teri Orr, Jane Payumo, Carol Anne Sears, Tom Simpson, Gary Spanner, Denny Thostrud, Mike Tompkins, and Paul Wiggum.
Many more judges assisted with screening.
Thank you to the Business Plan Competition sponsors:
Crimson Sponsors: Dun & Bradstreet Credibility Corporation, Herbert B. Jones Foundation, Maughmer Chair, and Raymond and Loraine McGowan Endowed Scholarship
Silver Sponsors: Lee & Hayes, Rom J. Markin Entrepreneurship Endowed Scholarship, Fred and Joan Burnstead, Bill and Mary Lynn Graber, and Fred and Janice Tompkins
Angel Sponsors: Freedom Philosophy Scholarship and Rueben and Marie Mayes
Investor Sponsors: American Floors & Blinds, Batelle Ventures, Berg Companies, Catalyst Storage Partners, Freestone Capital Management, James D. Huber Memorial Entrepreneurship Endowed Scholarship, Dan and Joanne Castles, Christopher and Susan Marker, Patrick and Kris Murphy, Carol Anne Sears, Mike Tompkins, and William and Patricia Ward
For more information on the WSU Business Plan Competition, please visit business.wsu.edu/businessplancompetition or contact Marie Mayes, director of the Center for Entrepreneurial Studies, at email@example.com.
With over 93,000 commercial flights scheduled per day, carrying an average of four million passengers, it is critical to have reliable in-flight instruments. Aircraft use a myriad of sensors in order to safely and efficiently bring people and cargo to their destinations. And while air travel is one of the safest modes of transportation in the world, one of the leading causes of inflight complications is an incorrect airspeed indication by faulty equipment.
As part of an interdisciplinary senior design project within the Boeing Scholars program, recent graduates Lindsey Elhart (business), David Finkel (chemical engineering), and Patrick Gavin (electrical engineering) collaboratively developed a business plan and prototype for a more dependable airspeed detection system. They formed their own business named Fly Safe L.L.C. and placed third in the 2014 WSU Carson College of Business annual Business Plan Competition.
Boeing Scholars (see next page) are presented with several potential projects in the spring of their junior year. After picking their top two choices, students meet with professors and are assigned to teams. The teams then meet with business and engineering mentors over the summer to prepare for the Business Plan Competition.
The Fly Safe team’s research showed that pitot tubes, the current technology used to provide airspeed measurements to pilots, are inherently vulnerable to non-ideal weather and debris due to their current design, resulting in significant costs to airlines. Their new design of an airfoil airspeed sensor aims to reduce those costs while improving the safety of air travel on a global scale.
“We chose this project as it has the potential to save lives and money, and we wanted our end-product to have a real impact on the world,” said Elhart. “The opportunity to be a Boeing Scholar was tremendous. For the first time, I was able to take part in a project from the ground-up, much like what I expect to face post-graduation.”
According to their business plan, Fly Safe L.L.C. will require substantial capital investment of Boeing’s technical resources and rapid innovation for the airfoil sensor’s FAA certification process in order to successfully enter into the market.
With the experience of cross-collaboration between business and engineering students, the team was able to see how the different fields make decisions during the design and review process, much like a real-world work setting. As a next step, Fly Safe L.L.C. presented their innovation to a Boeing management team in Everett. At that point, Boeing decided they wanted to assist the student team in further developing the product.
“This was the first time a class had involved such an open-ended assignment without guidance from professors,” said Gavin. “Our mentors were helpful in making sure our design considerations were appropriate, but the solution was entirely up to us. It gave me a new perspective on thinking about the interaction between businesses and customers, and most importantly, insight on what customers are looking for and how much value it brings them.”
Before finalizing the project, the team completed their financial assumption, and validated the project by talking to industry leaders and WSU alumni including Garry Ray, a senior design engineer at Boeing; Paul Allen, vice president of business development at Insitu; Jeffrey Lytle, finance director at Boeing; Paul Wiggum, vice president of sales and marketing at AVCORP Industries; Joel Lohrmeyer, a patent attorney at Lee & Hayes; and Larry Gross, president and owner of Relay Applications Incorporated.
If successful, Fly Safe L.L.C. plans to enter the navigational instrument manufacturing industry via Boeing, which will receive exclusive rights to the innovation for three years before releasing this product to other aircraft manufacturers.
If you are interested in learning more about Fly Safe L.L.C. or investing in their company, please contact Lindsey Elhart at firstname.lastname@example.org.
Mobile Foam’s Innovative Product Finds Success Beyond WSU
By Andrea Baseler-Verner
Boeing Scholars Program
The Boeing Scholars Program is a two-year program that provides outstanding junior and senior students a multidisciplinary educational experience that prepares them for a globally competitive workplace. In their senior year, 12 scholars work in teams on Boeing-assigned projects in a unique multidisciplinary class and compete in the WSU Business Plan Competition. Past projects have yielded patentable solutions or solutions that have been implemented by Boeing.
Students from the Voiland College of Engineering and Architecture, the Carson College of Business, the College of Arts and Sciences, and the Edward R. Murrow College of Communication collaboratively execute projects identified and sponsored by Boeing.
Award Amounts
$2,000 scholarship, junior year
$3,300 scholarship, senior year
Eligibility/Requirements for Business Students:
• Apply to certify in the Carson College of Business
• Have a minimum 3.0 GPA
Scholarship Recipients Must:
• Apply for a Boeing paid summer internship.
• Accept and participate in internship if offered.
• Register for Entrepreneurship 496 (senior year-long multidisciplinary course).
• Submit project in formal presentation to Boeing management at Boeing facility.
More than 1.6 billion people live in substandard housing worldwide. Over 100 million of these people are homeless, with the majority living in developing countries. While thousands of organizations worldwide make it their mission to provide housing for this population, only Mobile Foam, a startup company comprised of WSU entrepreneurial students, delivers a means of providing cost effective, insulated housing through a turn-key building kit.
Mobile Foam’s product enables houses to be built using the Insulated Concrete Form (ICF) construction technique. The goal of the project is to provide all of the necessary materials and consulting to produce a more energy efficient, cost effective home for the end user.
“Our idea sprang from seeing the staggering statistics of homelessness in developing countries, and having a deep-seated passion for helping the needy,” said Chris Routen, Mobile Foam’s chief executive officer and a mechanical engineering student. “Our product will help thousands of organizations worldwide reduce the cost of shipping necessary resources and building materials for construction of homes, especially in impoverished areas.”
Routen and team members Bettina Ernst (civil engineering), Austin Carter (business marketing/entrepreneurship), Kelsi Lakey (computer engineering), and Dane Baird (mechanical engineering) placed second in this year’s Business Plan Competition. Mobile Foam also won the Inland Northwest Business Plan Competition in April and the Best Sustainable Business Idea at the University of Washington Foster School of Business Competition in May.
The team formed in 2013 after they became acquainted through the Harold
Frank Scholars Program and discovered a shared passion for entrepreneurship. They decided to take Entrepreneurship 496 to compete in the 2014 WSU Business Plan Competition and use their combined strengths to develop a project that would serve people internationally.
While on a service project the previous summer, Carter, Mobile Foam’s chief marketing officer, met with a man who built and developed a school in Uganda. He informed Carter about the ICF building product that can be inexpensively shipped and produced on-site. When Carter shared the information with his teammates, they determined to develop an innovative building kit that would allow any organization, including schools, churches, and community centers, to build in their location of choice with no construction experience necessary.
Through Mobile Foam’s research, two members of the team were presented with the opportunity to travel to Tijuana, Mexico, to test the building method with partners Lazarian World Homes and Extreme Nazarene Ministries, who both verbally expressed interest in the product. Here, the students had first-hand experience using the product to build a church.
“It was amazing to see how the ICF product actually worked and to see how our efforts positively affected citizens in the community,” said Carter. “It’s rewarding to make a difference and see this come to fruition with partners that are interested in the product.”
The weeks following graduation were pivotal for the team as they met with potential investors, worked to gather board members, and were provided with international travel opportunities to help implement the product. Currently, the Mobile Foam team is in the investment phase of their business plan and is seeking outside funding. The team is also one of 10 student-led startups accepted into the 2014 Jones and Foster Accelerator, a program that helps student startups transition from idea to reality and earn up to $25,000 in follow-up funding.
To learn more about Mobile Foam or to invest in the business, contact Mobile Foam’s CFO, Dane Baird, at email@example.com.
Harold Frank Scholars Program
The Harold Frank Engineering Entrepreneurship Institute is comprised of junior-level engineering, communication, and business students interested in technological entrepreneurship. The program gives students the tools and experiences they need to pursue their ideas. The three-semester program includes a three-week summer program in San Francisco and a trip to Silicon Valley, a 12-week internship, entrepreneurial courses and activities, and a technology ventures course. Harold Frank (’48 B.S. Electrical Engineering) established the Harold Frank Scholars Program in the Voiland College of Engineering and Architecture in 2004 with a $3 million gift.
Summer program
On the Pullman campus, students spend a week learning a variety of skills that provide them with a firm foundation in entrepreneurship. Focus areas include:
- Team building exercises
- Business etiquette
- Technology transfer and intellectual property issues
- Government support for new companies
- Meeting founders, CEOs, and patent attorneys
- Oral communication boot camp
Following the initial week in Pullman, students visited Silicon Valley, one of the world’s largest innovation and product development centers, to experience:
- Informal interactions with entrepreneurs
- Networking opportunities
- Bank, angel, and venture capital funding
- Founder, CEO, and corporate attorney interviews
- Company operations from the inside
- Marketing seminars
- Visits to companies such as Google, HP, Plasticlogic, and Bloomreach
Learn more at business.wsu.edu.
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Four Priorities of the Carson College III
PROFESSIONAL PERSPECTIVE
While some students were sunbathing in Mexico or shopping in New York, eight WSU hospitality business management students spent spring break 2014 working over a hot stove—and loving it. Thanks to an alumnus with a passion for great food, fine wine, and WSU, the eight ventured south to California to earn hands-on experience in the wine and hospitality industry.
It all started with a chance meeting in Pullman two years ago.
In the fall of 2012, Brion Wise, alumnus of the WSU Voiland College of Engineering and Architecture and a member of VCEA’s Executive Leadership Board, traveled to Pullman to attend an executive leadership board dinner. The dinner was prepared and served by the WSU Hospitality Catering Services team, a team composed of students from the WSU School of Hospitality Business Management and led by Chef Jamie Callison.
More than a year after the dinner, Wise organized a dinner at B Wise Vineyard and Winery, which he and his wife Ronda own in the hills of Sonoma Valley.
And he knew precisely who he wanted to cater the event for his wine club members. Wise contacted the WSU Hospitality Catering team and arranged for them to make the trip down to Sonoma.
“It was humbling that Brion wanted to showcase our abilities and the talent at WSU,” Callison said. The Napa-Sonoma wine country is one of the world’s culinary hotspots, so there were plenty of local catering firms Wise could have hired, Callison said. Instead, Wise decided to promote the talents of WSU.
Callison selected Erika Herman, Jessica Murray, Samantha Schwartz, Kate Stewart, Sarah Montgomery, Mike Tram, Amber Holloway, and Kalin Stocker to accompany him on the trip, all students who worked the VCEA Executive Leadership Board dinner.
“When I agreed to take on this event with the rest of the catering team, I had no idea that this trip was going to be as enriching as it was,” said Samantha Schwartz.
When spring break arrived, Wise flew his private plane to Pullman to pick up Callison and his students. During that week, Wise took his guests on a tour of the Sonoma and Napa valleys, teaching them about California wine and cuisine. The students met restaurant owners, winemakers, and more.
“My favorite part of the trip was getting to build relationships with the people we met in Sonoma,” said Jessica Murray. “Relationships that I hope will last a long time.”
When the night of the dinner arrived, the students put aside any nerves they had about serving high-end members of the hospitality industry and took the event head on. Despite the many challenges the students faced, such as an unfamiliar kitchen located almost 400 yards from the dining area, the students took each obstacle in stride and produced a perfect six-course meal. Their carefully selected menu items, including smoked quail and chocolate espresso bread pudding, paired perfectly with B Wise wines.
“It would be hard to put into words how smoothly the dinner went,” Callison said. “Everything was perfect; it was as if we had been working in our kitchen at home.”
The students were there to impress and impress they did. After the event, Wise reached out to Callison about making this trip an annual event. Every spring break, a team of WSU hospitality students will travel to Sonoma to work and experience the hospitality industry first-hand.
“I think the whole experience was one big life lesson,” said Kate Stewart, when asked what she would take away from her trip. “The lesson being that no matter what you do in life, if you do it with passion, while caring for the people around you, you will succeed.”
Hospitality Curriculum Expands to Serve Seattle-area Professionals
Washington State University now has a bigger presence on the western side of the state after launching a bachelor of arts in hospitality business management at WSU North Puget Sound at Everett. The expansion provides higher education opportunities to hospitality professionals who want to advance to the next stage of their careers. In addition to on-campus delivery, courses are offered through other state-of-the-art methods including video stream, online, and hybrid.
In fall 2015, students will have the option to complete the hospitality business management degree entirely online. Students may apply at go.wsu.edu/EverettHBM.
The WSU School of Hospitality Business Management recently hired two faculty, Bill Pettit and Mark Beattie, who are housed in Gray Wolf Hall at WSU North Puget Sound at Everett.
“We are very pleased to help meet the Pacific Northwest’s need for quality hospitality training and welcome Bill and Mark to our team of world-class faculty,” says Nancy Swanger, director of the school.
Pettit is the senior-living executive-in-residence. As president of the R.D. Merrill Company, parent company of senior-living provider Merrill Gardens, he brings a wealth of industry experience to the classroom.
He will develop the popular senior-living elective into a full major, create professional development modules for industry professionals, and establish an online caregiver certification program endorsed by trade associations such as the American Seniors Housing Association. Certification will assure teams around the country achieve the same quality of training, he says.
He also plans to expand the senior-living program into international territories through online delivery, especially to China, noting that its aging population is almost 10 times larger than that of the United States.
“The WSU senior-living class is unique, and I am thrilled to be able to take it to the next level,” says Pettit. “Exposing students to the opportunities in senior living is critical to the long term success of our industry.”
Beattie is an assistant clinical professor and teaches hospitality business management electives and required upper division hospitality courses.
Prior to coming to WSU, he worked in the hospitality industry for 30 years, spanning both commercial and non-commercial segments. He was an adjunct instructor and director of distributive learning for the School of Professional Studies and director of student services for the virtual campus at Gonzaga University.
“The hospitality program at WSU North Puget Sound at Everett supports the university’s land-grant mission to provide educational access to a student population we have not yet tapped,” says Beattie. “Expanding WSU’s footprint will help build new communities of transfer students, employers, and working professionals in the hospitality industry. I am excited to be part of a continuum of learning designed to set students up for success across degree levels.”
Four Priorities of the Carson College IV
RESEARCH
To many people, failure to sort the trash into recycling bins or conserve household water is no big deal. But if they considered that in less than 50 years the United States will be producing nearly a billion tons of trash annually and two-thirds of the world’s population could be living under water-stressed conditions, the notion that it’s OK to not sweat the small stuff might not be so comfortable.
A group of international researchers say even one small act, such as failing to recycle a water bottle, can decrease commitment to an overall goal of well-being, such as protecting the environment.
Marketing researchers from the University of Idaho, Washington State University, and the University of Lausanne, Switzerland say these everyday failures compromise goals for achieving a healthy lifestyle and a healthy society. Writing in the *Journal of Marketing*, Berna Devezer, David E. Sprott, Eric R. Spangenberg, and Sandor Czellár offer insights into what can be done to help consumers stick to their goals.
**Small failures, big consequences**
“Most people aren’t aware that even a single behavioral slip can matter when making decisions regarding their own well-being or that of others,” says Devezer, University of Idaho assistant professor of marketing. “Consumers don’t think that just skipping the recycling bin one time would make them less environmentally responsible, but in reality, such failures may reduce consumer’s willingness to perform other acts associated with the long-term goal, such as conserving energy. This spillover effect may jeopardize their attempts to live better lives.”
The researchers conducted four studies showing how consumers’ failure to perform small actions could influence the pursuit of longer-term well-being goals. They focused on three contexts: consumer overspending, environmentally friendly behaviors, and charitable donations. In one of the studies, student participants were asked to imagine meeting or falling short of a monthly savings target. Results showed that participants who did not meet the short-term target were less likely to pursue a long-term savings goal.
“Our basic finding that small behavioral slips have negative immediate and long-term consequences on an overall goal of well-being was replicated across all three contexts,” says Spangenberg, former WSU marketing professor and former dean of the Carson College of Business.
**Relevance, clarity, and consequence matter**
The researchers demonstrated that the adverse effects of these small failures are less when the goals are important to the consumer and a clear mental picture is painted, such as “Your act will help reduce the amount of trash in the Atlantic Ocean.”
The research also points out the importance of increasing consumers’ awareness of negative consequences of failure. For example, the United Way’s slogan “Give. Advocate. Volunteer. Live United.” could be enhanced by simply adding the phrase, “If you don’t, children may go hungry.”
“Our findings suggest that marketers who want to promote well-being would do well to remind consumers of the importance of goals related to well-being, use easily visualized promotional messaging, and show the downsides of even small behavioral lapses,” Spangenberg says.
The researchers’ efforts coincide with a current movement supporting consumer research that benefits the quality of life for all who are engaged in or affected by consumption trends and practices.
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A Message from Mark Hansen
Principal, Bayview Arc, Inc.
Chair, National Board of Advisors
Center of the World
When I attended WSU back in the 1980s, the only border I really paid attention to was the one shared by Washington and Idaho. Pullman, Todd Hall, Martin Stadium, and The Coug were the center of the world. Thankfully, my perspective changed over the years as I matured and my survival instincts kicked in. I’ve developed much more of a global mindset through my career experiences.
This edition of *Dividend* demonstrates the multiple venues the Carson College of Business at Washington State University provides our students to learn beyond the borders of the classroom, of countries, and of traditional thinking.
Business has a common language of financials, contracts, marketing plans, and economics. I’ve learned that while the language of business is important in accomplishing mutual objectives, the nuances of culture, style, contexts, and social interaction force us to relate in new and sometimes uncomfortable ways to get things done. Breaking down the borders of our comfort zone is critical to success, in business and life in general.
We must be purposeful today in gaining a global business perspective. The world is spinning so much faster now, and the difference between success and failure is almost imperceptible. The global marketplace has no time to allow people to linger in how things were done 10 years ago. At the same time, the pace of change in higher education is faster than ever before. This all presents an exciting opportunity.
Our college seized the opportunity and has taken a leadership role in defining the evolution of higher education in business. Our students now have opportunities to experience cultures and economies that were not previously available to them. The learning environment is far broader, deeper, richer, and (believe it or not) more fun than when many of us attended this fine university.
My colleagues on the National Board of Advisors (NBoA) are proud to play a small role in assisting the college in achieving its ambitious goals. The NBoA focuses a lot of energy helping to shape the strategic direction of the college. We are committed to the success of our students and are encouraged by the results we all see from the execution of a consistent, bold, and global strategy.
On behalf of the NBoA, I want to thank our globally minded professors and administration for stretching beyond the borders of the past. But let’s be honest—Pullman is still the center of the world.
Mark
The National Board of Advisors fosters close ties between the Washington State University Carson College of Business, its alumni, and the community. The board plays an integral role in helping to shape the vision of the college and provides guidance and support toward the achievement of its mission and goals:
- Increasing and strengthening the reputation of the Carson College of Business within the business community in the state of Washington and beyond.
- Providing advice and counsel to the dean of the Carson College of Business about trends and the changing needs of the business community.
- Reviewing and shaping the strategic direction of the Carson College of Business and evaluating its mission, its plans, and the operational tactics needed to meet those goals.
- Fostering research and learning for the faculty and students of the Carson College of Business within the business community (e.g., facilitating the development of internships, externships, and industry-related and basic research opportunities).
- Assisting the Carson College of Business with its fundraising efforts and enhancing external funding support for college initiatives and activities.
- Actively participating in the college’s events.
**Executive Committee**
**Mark Hansen**
Principal, Bayview Arc, Inc.
NBoA Chair
**Chris Burdett**
Senior Vice President, CBRE Hotels
NBoA Vice Chair
**Robert Wolfe**
Owner, Windy Point LLC
NBoA Immediate Past Chair
**Michael Gaberman**
Vice President, Washington Trust Bank
Chair, Finance Advisory Board
**Tammy Hossfeld**
Client Service Manager, RGP
Chair, Accounting Advisory Board
**Jaimie Jacobsen**
Consultant Manager, Slalom Consulting
Chair, Information Systems Advisory Board
**Matt Larson**
Partner, Duffy Kekel LLP
Chair, WSU Vancouver Advisory Board
**Don Lionetti**
Federal Account Manager, Microsoft Corporation
Chair, Marketing Advisory Board
**Nathan Mallory**
Account Executive, Parker, Smith and Feek
Chair, Risk Management and Insurance Advisory Board
**Brian McGinnis**
President, North Forty Lodging LLC
Chair, School of Hospitality Business Management Advisory Board
**Carol Anne Sears**
Vice President Financial Development (Retired), Washington Mutual
Chair, Entrepreneurship Advisory Board
**Bryan Weeks**
President and CEO, Silver Creek Capital Management
Chair, International Advisory Board
**Koichiro Iwasaki**
President, MRL Co. Ltd., Iwasaki Group of Companies
**Brad Jackson**
CEO, Slalom LLC
**David Knowles**
Owner/Operator, Business Consulting Service
**Lynn Manley**
Consultant, The Leora Group
**John R. Miller**
Managing Director, CBRE
**Michael Morgan**
Senior Vice President and CFO, T-Mobile USA
**Larry Ogg**
President and CEO (Retired), Commerce Bank of Oregon
**Gregory Porter**
President of Wealth Management and Consulting, Berntson Porter & Company PLLC
**Scott Carson**
President and CEO, Commercial Airplane Group (Retired), The Boeing Company
**Philip Harris**
Executive Director (Retired), The Boeing Company
**George Hubman**
Vice President, Sales and Marketing (Retired), WRQ Inc.
**Bob Bowman, Vice Chair**
Principal, Peterson Sullivan LLP
**Kevin Bouchillon**
Partner, Business Assurance, PwC
**Paul Bridge**
Partner, BDO
**Bob Cole**
Controller, KXLY Broadcast Properties
**Steve Conforti**
Director, Corporate Accounting and Consolidations, The Boeing Company
**Ray DiGiovanni**
Partner, KPMG
**Randy Fenrich**
Office Managing Partner, Moss Adams LLP
**Shelley Gerrits**
Director, Davita
**Casey Giovanelli**
Tax Manager, Deloitte, LLP
**Jennifer Korten**
Principal, Clark Nuber P.S.
**Craig Looper**
Partner, Sweeney Conrad P.S.
**Carl Mackleit**
Partner, Tax Services, Ernst & Young LLP
**Mark Malbon**
Executive VP, COO, and CFO (Retired), Roland Corporation U.S.
**Clair Neevel**
Senior Manager for Technical Accounting, The Boeing Company
**Jared Theis**
Audit Manager, KPMG
**Michael Thronson**
Partner, Moss Adams LLP
**Christopher Wang**
Manager, Business Assurance, PwC
**Entrepreneurship**
**Carol Anne Sears**, Chair
Vice President Financial Development (Retired), Washington Mutual
**Denny Thostrud**, Vice Chair
President, American Floors and Blinds
**Duane Brelsford**
President, Corporate Pointe, LLC
**Dan Castles**
President and CEO, Telestream Inc.
**Cheryl Cejka**
Director, Technology Development and Outreach, Battelle
**John Gibson**
Executive Vice President, InTheWorks Inc.
**John Glass**
Partner, Gatti Group
**Dave Hunt**
Partner, Assured Independence
**Accounting**
**Tammy Hossfeld**, Chair
Client Service Manager, RGP
Tamsin Jolley
President, Decagon Devices
Lewis Lee
Partner, Lee & Hayes PLLC
Bill Maynard
CEO (Retired), The Effectiveness Institute
Patrick Murphy
CEO, Vega Performance Marketing Inc.
Paul Pennington
Managing Director, VIQ Development
Chbe Taing
CEO and Founder, VentureLeap
Mike Tompkins
Senior Manager, Business Development, VMC
John Trobough
President, Narus
Bill Ward
President, Micro-Rent Corporation
Kim Zentz
CEO, Innovate Washington
Finance
Michael Gaberman, Chair
Vice President, Washington Trust Bank
Harrell Beck
Partner, Catalyst Storage Partners LLC
William (Bill) Brady
Managing Director, Brady & Company
Robert George
Chief Financial Officer, Esterline Technologies
Rob Harris
Director of Finance, Microsoft Corporation
John Jakotich
Key Account Manager, Keynote SIGOS
John A. Kilpatrick
CEO, Greenfield Advisors LLC
Niki Koubourlis
Kristi Lord
Associate Investment Manager, Badgley Phelps Investment Managers
Laurie Nichols
CEO, C2C Coaching and Training
Thomas Nihoul CFP
Private Wealth Advisor, AGP Wealth Advisors, Ameriprise Financial Services Inc.
James Oster
Senior Vice President, Key Bank
Brent Palmer
Executive Vice President and Chief Valuation Officer, NewTower Trust Company
Ken Roberts
Ken Roberts Investment Management
Brandon Rosenbaum
Phillip Vitale
Chief Investment Officer, Filament LLC
Isaac Wells
Trilogy Partnership
Information Systems
Jaime Jacobsen, Chair
Consultant Manager, Slalom Consulting
Colin White, Vice Chair
Consultant, Matisia Consultants
Dan Carpenter
Account Executive, Amazon Web Services
David Delafield
CFO, Swedish Medical Group
Jim Kensok
Chief Information and Chief Security Officer, Avista Corporation
Mike Mallahan
Vice President, iSoftStone
Steve Marlar
Program Manager, Microsoft Corporation
Steve Tarr
Executive Vice President, Emeritus Senior Living
Mark Wiehrle
Pacific NW Client Executive, IBM
International
Bryan Weeks, Chair
President and CEO, Silver Creek Capital Management
Judy Kolde, Vice Chair
Founder, Sanctuary Yoga, Barre and Dance
Paul Bayer
Senior Director and Controller, UPS Europe SA/NV
David Dolezilek
Technology Director, Schweitzer Engineering Laboratories
David Grant
Managing Partner, Catalyst Storage Partners
Mark Hansen
Principal, Bayview Arc Inc.
Chip Lang
Director, WW Integration and Development, Microsoft Financing
Richard McKinney
Deputy Under Secretary for Space Programs (Retired), U.S. Air Force
---
WHEN YOU DO GOOD WITH YOUR MONEY, WHY SHOULDN’T IT BENEFIT YOU A LITTLE, TOO?
IF YOU’D LIKE YOUR GIFT TO WSU TO COME WITH:
- The potential for increased personal income
- A partial charitable income tax deduction
- Up-front capital gains tax avoidance
- Professional management of your trust’s assets…
THEN YOU SHOULD CONSIDER A CHARITABLE REMAINDER UNITRUST.
With a charitable remainder unitrust, you can receive income each year for the rest of your life. That’s right, your gift pays you back. After your lifetime, the remaining balance in the trust benefits the WSU Carson College of Business program of your choice.
To learn more about how you can support the Washington State University Carson College of Business through a trust, visit campaign.wsu.edu/trusts or call 509-335-5865.
Brooke Randall
Senior Associate,
Equilibrium Capital
Group LLC
Orlin Reinbold
Owner, Landmark Native
Seed Company
Kelsey Schreck
Senior Research Analyst,
Silver Creek Capital
Management
Robert Wolfe
Owner, Windy Point LLC
Stacy McCannon
Partner, JeffreyM
Consulting
Teri Orr
Executive Publishing
Representative, Pearson
Jennifer Yust
Senior Marketing
Manager, Microsoft
Corporation
Erin Zefkeles
Global SMB Planner,
Microsoft Corporation
Dave Haldi
Bonneville International
Kristen Horlacher
Territory Sales Manager,
GMAC Insurance
Chris Jahrmann
Director of Sales, PEMCO
Mutual Insurance
Erik Johansson
Senior Vice President
Surety Practice Leader,
Willis Group
Julie Matthews
AVP Field Operations,
Safeco Insurance
Shawn McWashington
Vice President, Marsh USA
Lori Reed
Broker, Mitchell, Reed &
Schmitzen Insurance Inc.
Rick Sherman
Insurance Consultant
Jeff Macias
Supply Chain Recruiting
and Integration Manager,
Intel Corporation
James Mooney
Corporate Manager,
Product Communications,
Toyota Marketing
Amy Swailes
Global Claims and
Insurance Risk
Management Analyst,
Colliers International
Don Lionetti, Chair
Federal Account Manager,
Microsoft Corporation
Ryan Lockwood, Vice Chair
Director, Knowledge
Management & Sales
Excellence, AT&T
Gregg Anderson
Branch Manager,
Cobalt Mortgage
Jeff Baker
Partner, Hornall Anderson
Design Works
Jenifer Carter
Marketing Manager,
Kibble & Prentice
Randall Coe
VP of Bosch North
America, Robert Bosch
Tool Corporation
Mike Flood
Vice President Community
Relations, Seattle
Seahawks and Sounders
FC
Dave Gregory
General Sales Manager,
KSTW-TV Seattle
John Hale
Sales Manager, Ricoh USA
Melanie Hess
Global Product Marketing,
Microsoft Corporation
Lyndee Kemp
Senior Account Executive,
Hall & Partners
Ann Liberato
Area Manager & Founding
Partner,
Cobalt Mortgage
JT Marquart
Program Manager,
Dell/Intel Joint Innovation
Center
MBA
Brandon Haakenson
Program Manager,
Enterprise Architecture,
Nordstrom
Darby Laffoon
GRC HIPFS IT Senior
Manager, Hewlett-Packard Company
Shawn McWashington
Vice President, Marsh USA
Lori Reed
Broker, Mitchell, Reed &
Schmitzen Insurance Inc.
Rick Sherman
Insurance Consultant
Jeff Macias
Supply Chain Recruiting
and Integration Manager,
Intel Corporation
James Mooney
Corporate Manager,
Product Communications,
Toyota Marketing
Amy Swailes
Global Claims and
Insurance Risk
Management Analyst,
Colliers International
Risk Management
and Insurance
Nathan Mallory, Chair
Account Executive, Parker,
Smith and Feek
Ben Miller, Vice Chair
Regional Director, Pacific
Crest Insurance
Rich Biggs
Vice President,
Biggs Insurance Services
Alex Bogaard
Executive Vice President,
Brown & Brown of
Washington Inc.
Carrie Cheshier
Regional President,
Travelers Insurance
Dave Christy
President, Dave Christy
Insurance, State Farm
Tim Ekberg
Director of Underwriting,
Country Financial
Jeannie Fleming
Vice President Claims,
Mutual of Enumclaw
Dave Haldi
Bonneville International
Kristen Horlacher
Territory Sales Manager,
GMAC Insurance
Chris Jahrmann
Director of Sales, PEMCO
Mutual Insurance
Erik Johansson
Senior Vice President
Surety Practice Leader,
Willis Group
Julie Matthews
AVP Field Operations,
Safeco Insurance
Shawn McWashington
Vice President, Marsh USA
Lori Reed
Broker, Mitchell, Reed &
Schmitzen Insurance Inc.
Rick Sherman
Insurance Consultant
Jeff Macias
Supply Chain Recruiting
and Integration Manager,
Intel Corporation
James Mooney
Corporate Manager,
Product Communications,
Toyota Marketing
Amy Swailes
Global Claims and
Insurance Risk
Management Analyst,
Colliers International
School of
Hospitality
Business
Management
Brian McGinnis, Chair
President, North Forty
Lodging LLC
John Sommer, Vice Chair
Regional Director, Hilton
Worldwide
Bill Baldwin
Partner, The Partners
Group
Lisa Bliss
Supplier Management,
Hotel Programs, The
Boeing Company
Chris Burdett
Senior Vice President,
CBRE Hotels
Kent Caputo
Chief Operating Officer,
Kalispel Tribal Economic
Authority
Tom Drumheller
CEO, Escape Lodging
David Evans
Managing Director, David
R. Evans & Associates
George Forbes
Director, Portland Map
Adrienne Gemperle
Vice President Human
Resources, Starbucks
Coffee Company
Steve Kirsch
Director of Culinary
Operations,
Holland America Line
Kate Kurkjian
Director, Special Events,
Visit Seattle
Jesse Lyon
Attorney, Davis Wright
Tremaine LLP
Jerry Meyer
President and COO,
Aegis Living
Andrew Olsen
Vice President,
Columbia Hospitality Inc.
Jenni Sandstrom
Ph.D. Student,
Washington State
University
George Schweitzer
Hotel Executive
Rick Tupper
General Manager,
Bellevue Downtown
Courtyard by Marriott
Deb Barnard
Co-Owner,
Barnard-Griffin Winery
Toby Bouchey
Former Chair, Board
of Directors, Tri-City
Regional Chamber of
Commerce
Deb Bowen
Executive Director,
Washington State STEM
Education Foundation
Chuck Forrester
Emergency Planner,
Energy Northwest
Stacie Hamilton
Owner, Hamilton Cellars
Eric Johnson
Chair, Education
Committee, Hispanic
Chamber of Commerce
Jack Salemme
President, Northwest
Growers Marketing Inc.
WSU Vancouver
Matt Larson, Chair
Partner, Duffy Kekel LLP
Stephen Boe
Global Risk Finance &
Claims Manager,
Nike Inc.
Jason Bowne
Growth Equity Finance
Specialist, Cambria Direct
Health Solutions
Bobby Castaneda
Director of Business
Development,
ACS Pro Staffing
Todd Coleman
Deputy Executive Director,
Port of Vancouver
Jonathan DeHart
CEO, Lux Bio Group Inc.
DBA Northshore Bio
Julie Desimone
CPA, Moss Adams LLP
Jim Frohlich
President and CEO, Safetec
Compliance Systems Inc.
Jack Graves
Chief Cultural Officer,
Burgerville
Alan Hamilton
Executive Director,
Clark County Food Bank
Siva Narendra
CEO, Tyfone
Paris Powell
Business Valuation
Manager,
Perkins & Company P.C.
George Schweitzer
Hotel Executive
Karen Thiessen Moyer
Associate, Davis Wright
Tremaine LLP
Thomas Thurston
Chief Technology and
Fund Manager,
Ironstone Group
Terry Wren
President, Workplace
Resource of Oregon
K. Praveen Parboteeah ('99 Management) is currently a professor of management at the University of Wisconsin-Whitewater. He was instrumental in developing a doctorate of business administration (DBA) program at the university. The DBA will be the first doctorate offered at the University of Wisconsin-Whitewater. The program is geared toward individuals with significant work experience and welcomed its first cohort of students in fall 2014. Parboteeah is married to Kyong Pyun ('97, '99 BA) and lives in Whitewater with his two children, Davin and Alisha.
Sam Yul Cho ('14 Management) joined the Oregon State University College of Business in September as an assistant professor of strategy and entrepreneurship.
Jaimie Jacobsen ('03 MIS) was appointed to the WSU Board of Trustees in fall 2013. The board serves as the WSU Foundation’s voting membership. Board members support the WSU Foundation and the University by voluntarily serving on committees and building relationships with prospective donors. Jacobsen is a consultant manager at Slalom Consulting in Seattle and has been an active member of the college’s Information Systems Advisory Board for more than five years.
Kelly D. Martin ('07 Marketing) was named a Monfort Professor, one of Colorado State University’s top honors. Martin is the Daniel Ethics Initiative Faculty Fellow and an associate professor of marketing in the CSU College of Business. She joined the CSU College of Business faculty in 2007. She plans to use Monfort Professorship funding to design and acquire high-quality data that relates to her research questions of how living in poverty influences individuals’ behaviors and the structures and processes of consumption.
David Noack ('14 Management) was hired by Weber State University as an assistant professor, Hall Endowed Chair in Entrepreneurship, and director of the Hall Global Entrepreneurship Program.
“I know how fortunate I am to have an ‘edible backyard’ right on campus, elevating sustainability practices to a whole new level.”
—Executive Chef Jamie Callison, author of *The Crimson Spoon: Plating Regional Cuisine on the Palouse*
Chef Callison’s recipes include many ingredients grown and produced by CAHNRS departments, such as Cougar Cheese and Ferdinand’s Ice Cream made at the WSU Creamery, Wagyu beef, fruit and vegetables from the Tukey Horticulture Orchard and Eggert Family Organic Farm, honey from the Department of Entomology, soft durum flour from the Wheat Research Center, and peas, lentils, and garbanzo beans from the USDA Grain Legume Genetics Physiology Laboratory.
Available now | [wsupress.wsu.edu](http://wsupress.wsu.edu)
1-800-354-7360
Dean’s Leadership Celebration
Bryan Weeks, president and chief executive officer of Silver Creek Capital Management, kicks off the Dean’s Leadership Celebration.
Scott Carson, WSU Regent, engages the audience in supporting the college.
Carson College of Business Power Breakfast 2013
Dick Borgman gives the Power Breakfast keynote address.
Eric R. Spangenberg (right) gives Dick Borgman, Les Schwab Tire Centers CEO, a Cougar-style welcome.
The Power Breakfast provides networking opportunities for students and Seattle business leaders.
Jill and Brad Jackson (center) received the 2013 Dean’s Leadership Award from Eric R. Spangenberg, former dean of the WSU Carson College of Business, at the 5th Annual Dean’s Leadership Celebration, November 25 at Seattle’s Fairmont Olympic Hotel. The award is one of the highest bestowed by the college and recognizes the couple’s dedication, leadership, and service to WSU. The event raised more than $550,000. Proceeds will be designated for a $1 million endowment to support operations in the Carson College Center for Student Success.
Doug Vanderleest and Jennifer Korten participating in the DLC live auction.
Rick Tupper at the DLC live auction, holding a platter made by Jane Cote, academic director of the Carson College of Business at WSU Vancouver.
Student Life
Coug on Wall Street participants with Professor George Jiang (far left, second row) and Interim Dean David Whidbee (far right).
2014 Hospitality Business Management graduates at commencement.
Christine Nordlie, a finance/marketing major, holds the Cougar flag while studying abroad in Greece.
Eric R. Spangenberg, former dean, honored outstanding faculty, staff, and students at the Carson College of Business annual awards event held April 24.
**Outstanding Graduate Student Teaching Award**
Richie Liu, Department of Marketing and International Business
**Outstanding Graduate Student Research Award**
Brett Josephson, Department of Marketing and International Business and Jeongdoo Park, School of Hospitality Business Management
**Outstanding Faculty Teaching Award**
Arvin Sahaym, Department of Management, Information Systems, and Entrepreneurship
**Outstanding Faculty Research Award**
David Spratt, Department of Marketing and International Business
**Outstanding Faculty Service Award**
David Whidbee, Interim Dean, Department of Finance and Management Science
**Outstanding Staff Service Award**
Jamie Callison, School of Hospitality Business Management
**Outstanding Clinical or Non-Tenure Track Faculty Award**
David Knuff, Department of Marketing and International Business
**Dean’s Excellence Fellows**
- **Department of Accounting**
Robert Greenberg and Bernard Wong-On-Wing
- **Department of Finance and Management Science**
George Jiang, Gene Lai, and Charles Munson
- **Department of Management, Information Systems, and Entrepreneurship**
John Cullen, Kristine Kuhn, Arvin Sahaym, and Tom Tripp (Vancouver)
- **Department of Marketing and International Business**
Jean Johnson, Jeff Joireman, Babu John Mariadoss, and Darrel Muehling
**School of Hospitality Business Management Academic Awards**
Kayten Porter, Outstanding Academic Senior
Teresa Lohr, Outstanding Senior
Summer Research Grant Awards
Department of Accounting
Linda Chen
Bernard Wong-On-Wing
Li Xu (Tri-Cities)
Department of Management, Information Systems, and Entrepreneurship
Jesus Bravo (Tri-Cities)
Ken Butterfield
John Cullen
Mauricio Featherman
Jerry Goodstein (Vancouver)
KD Joshi
Kristine Kuhn
Arvin Sahaym
Paul Skilton (Tri-Cities)
Department of Marketing and International Business
Jesse Catlin (Tri-Cities)
Jean Johnson
Babu John Mariadoss
Darrel Muehling
Jeff Joireman
Ioannis Kareklas
David Knuff
Alberto Sa Vinhas (Vancouver)
Uchila Umesh (Vancouver)
Department of Finance and Management Science
Sung Ahn
Stergios Fotopoulos
Gene Lai
Sheen Liu (Tri-Cities)
Michael McNamara
Chuck Munson
School of Hospitality Business Management
Christina Chi
Dogan Gursoy
Jenny Kim
Dennis Reynolds
Nancy Swanger
A Message from Justin Marquart
Analogous to your favorite sports team with impressive stats, competitive players, strong management, and a dedicated fan base, the Carson College of Business at Washington State University is playing hard on the field and is on track to win its championship series. As a former Cougar Baseball athlete under the leadership of respected head coach Bobo Brayton, I understand how business, like sports, relies on persistence, sacrifice, and teamwork. Thanks to our loyal fans, the alumni and friends who have traveled along with us on this seven-year journey, we are nearing the end of *The Campaign for Washington State University: Because the World Needs Big Ideas*. I am proud to report that, as of this publication, the college remains on track to meet or exceed its fundraising goal of $75 million.
The stats speak for themselves. In fiscal year 2014, the Carson College of Business raised $6,351,773 and held memorable events including last fall’s Power Breakfast featuring Dick Borgman, chairman and chief executive officer of Les Schwab Tire Centers, and the Dean’s Leadership Celebration, which raised over $550,000. Through endowments, legacy gifts, corporate and foundation partnerships, advisory board engagement, and building a network of involvement, it is no wonder the college continues to be a top-ranked institution, delivering relevant programs to students both online and in the classroom.
Last spring, we added to our development team for increased administrative and fundraising support. Raegan Harvey and Melanie Lange joined our staff as development coordinators to bring their professional acumen to our office and provide better customer service to the external community. You can read more about Raegan and Melanie in the new hires section on page 24. We also welcomed back Paula Carson, who continues to run our scholarship award and management process for the college. This was a strategic move to better align our development activities around this very important aspect of the Carson College Center for Student Success and overall donor stewardship.
The leadership team within the college has been instrumental to our fundraising success as well. Thanks to former Dean Eric Spangenberg, the college added to its pipeline of donors and friends, and built relationships with advisory board members and global partners that make the fundraising activities seem almost effortless. Now, with Interim Dean David Whidbee at the helm, I am confident the college will continue its commitment to excellence and a team-oriented approach. In sports parlance, the development team aspires to be champions in providing service to donors and utilizing resources to further advance the goals of the college. Together, we will lead this college to victory!
Thank you for your continued support, and Go Cougs!
UNIVERSITY CAMPAIGN UPDATE
Campaign goal: $1 billion by 2015
Did you know it’s not too late to get involved in *The Campaign for Washington State University: Because the World Needs Big Ideas*?
We are so grateful for all of your support. These donations are making an impact not only today, but are positioning the college for future success. Why don’t you join us in our quest to raise over $75 million by 2015? This is an ambitious goal but one that can be achieved with your participation.
Come take part in this historic journey today. Your support really does make a difference.
Go Cougs!
business.wsu.edu/give
Dan Castles ('78 Business), president and CEO of Telestream, knows a thing or two about fundraising. In late 1997, he raised $19.2 million to launch Telestream Inc., a digital media company specializing in software products that allow millions of consumers and business professionals to maximize video content regardless of how or where it is created, distributed, or viewed.
In the last 17 years, Castles has led Telestream through four acquisitions and paid back its investors over seven times more than what they originally financed.
He visited the Pullman campus in April to share his career experiences with an audience of young entrepreneurs competing in the 2014 WSU Business Plan Competition. He presented “The Entrepreneurship Experience: Is it for You?” focusing on the value of persistence and accountability. He also shared examples of how he has dealt with disappointment in his career, and tips on how to build a good team.
“A company’s culture is so important,” he said. “How you do something over the long haul is just as important as your idea. Your actions must always support your words.”
He asked the group if they were truly ready to be entrepreneurs and then proceeded to list the names of 28 companies who turned down his original idea for a start-up. “Fortunately, number 29 said ‘yes,’” he said. Castles sold Telestream to private equity investors in 2012 but remains as chief executive officer.
Castles is as passionate about supporting business students as he is about the company he worked so hard to grow. Recently, he and his wife Joanne ('78 Business) established the Castles Excellence Fund in Entrepreneurship to support the students who are following in his footsteps. His gift will support the college’s Center for Entrepreneurial Studies, directed by Marie Mayes. Funds will directly benefit scholarships, outreach, curriculum development, event management, and industry site visits, and aid in developing new entrepreneurship initiatives. On the horizon are a new student lab, eConnect (an entrepreneurship program for freshmen and sophomores), and an accelerator.
Castles volunteers to speak to Carson College of Business entrepreneurship classes, mentors teams, often judges in the WSU Business Plan Competition, and serves on the college’s Entrepreneurship Advisory Board.
For more information about supporting the Castles Excellence Fund in Entrepreneurship, please contact Jeff Pilcher of the Carson College of Business development team at firstname.lastname@example.org.
Supporting the Carson Impact: Scholarship and Estate Planning Lead to Full Circle Gifts
Chances are, when Fred and Ruth Schroeder made the decision to include Washington State University in their estate plans, they had no idea of the impact they would have on the lives of many business students. Fred Schroeder passed away in 1981; his wife Ruth in 1992. Both were 1921 graduates of the college and, through the fund established by their estate, the Schroeders’ legacy will live on in perpetuity. The Ruth and Fred Schroeder Class of 1921 Student Loan Fund—a scholarship fund for students enrolled in degree programs in the WSU Carson College of Business—has provided close to $50,000 to high achieving students in the form of scholarships since it was created in 1993.
The Schroeders are a fine example of individuals who include WSU in their estate plans and, by doing so, give opportunities to future generations of students, faculty, and programs. Through a bequest to WSU, individuals can make a lasting impact and receive the personal satisfaction of creating a legacy. Bequests through Wills and Revocable Living Trusts allow people to significantly contribute to their favorite charity in ways that would otherwise not be possible in their lifetime.
Alumni and supporters of the college have demonstrated their commitment to educational excellence by becoming Legacy Associates. Demographic profiles of Legacy Associates do not fit just one description; they are CEOs, homemakers, accountants, financial investors, restaurateurs, male, female, young, and old. They have included the college in their estate plans, which will someday position the college to reap the rewards of their generosity.
In 2013, Robert Williams (’79 Business Administration) and his wife Laurie were recognized at the annual Dean’s Leadership Celebration for recently becoming Legacy Associates at WSU. Both have served on numerous boards for the college and WSU and have exhibited commitment and loyalty to their alma mater through volunteering and financial investments. So why the decision to include the WSU Carson College of Business in their estate plans?
“We feel really blessed to be a part of the WSU family, so it felt natural for us to include WSU in our legacy,” said Nichols. “It’s a ‘full circle’ gift; we feel like we’ve received so much from the university over the years, and we know that our gift, along with others, will allow WSU to continue the circle into the future,” said Nichols.
“Testamentary gifts have had an incredible impact on colleges and departments across WSU, and the Carson College of Business is an excellent example,” said Mike Connell ’85, vice president of gift planning for the WSU Foundation. “Some of the college’s largest endowed funds—whether for scholarships or program excellence—were established or supplemented with estate gifts. The planning and generosity of individuals such as Ivar Haglund, Jim and Diana Huber, Howard and Billie Hoops, Glenn and Florence Maughmer, and others have set a wonderful example for the current generation on the perpetual impact they can have by including the Carson College of Business in their plans.”
For more information about becoming a Legacy Associate at WSU, please contact Justin Marquart, chief development officer, at email@example.com or 206-219-2433. To create a Legacy Associate member profile, visit go.wsu.edu/LegacyAssociates.
## October 2014
- **24** Carson College Official Naming Celebration, 11:30 a.m. to 1:30 p.m., Todd Hall, across from Terrell Library. Register at go.wsu.edu/CarsonNaming
- **24** Feast of the Arts, WSU Campus, Pullman
- **24** 9th Annual Brewfest, hosted by Eta Sigma Delta, student organization of the School of Hospitality Business Management, 5:00–7:00 p.m. and 8:00–10:00 p.m., Schweitzer Events Center, Pullman
- **31** Feast of the Arts, WSU Campus, Pullman
## November 2014
- **19** Small Town-High Tech Forum Discussion, including Shane Needham from Alturas Analytics, 5:30–7:30 p.m., Todd 268, WSU Campus, Pullman. Sponsored by the Department of Management, Information Systems, and Entrepreneurship
- **24** Fall Meeting of the National Board of Advisors, 8:00 a.m., Seattle Marriott Waterfront Hotel, Seattle
- **24** Sixth Annual Carson College of Business Dean’s Leadership Celebration, 5:00 p.m., Seattle Marriott Waterfront Hotel, Seattle
## December 2014
- **13** Fall Commencement, WSU Campus, Pullman
## February 2015
- **2** Career Networking Night, hosted by the Carson College Center for Student Success, 6:00–8:00 p.m., CUB Senior Ballroom, Pullman
## March 2015
- **3** Burtenshaw Hospitality Career Night, 4:30–6:30 p.m., CUB Senior Ballroom, WSU Campus, Pullman
- **TBD** 3rd Annual MIS Alumni Networking Event, WSU Campus, Pullman
## April 2015
- **3** Business Technology Symposium, hosted by the Department of Management, Information Systems, and Entrepreneurship, WSU Campus, Pullman
- **10** 31st Annual Winefest, hosted by Eta Sigma Delta, student organization of the School of Hospitality Business Management, 5:00–7:00 p.m. and 8:00–10:00 p.m., Schweitzer Events Center, Pullman
- **24** Spring Meeting of the National Board of Advisors, Todd Hall, WSU Campus, Pullman
- **24** Beta Alpha Psi Banquet, hosted by the Department of Accounting, WSU Campus, Pullman
- **24–25** Annual Business Plan Competition, hosted by the Center for Entrepreneurial Studies, Todd Hall, WSU Campus, Pullman
## May 2015
- **9** Spring Commencement, WSU Campus, Pullman
*For more information about Carson College of Business events, please contact Jennifer Naughton at firstname.lastname@example.org or 509-335-8285.*
6th Annual Dean's Leadership Celebration
Benefiting Excellence in the Carson College of Business at Washington State University
Monday, November 24, 2014
Seattle Marriott Waterfront • Seattle, Washington
5:00 p.m. Reception and silent auction
7:00 p.m. Dinner, program, and live auction
Presented by:
For donations or sponsorships, contact Jennifer Naughton at 509-335-8285 or email@example.com.
Register at go.wsu.edu/DLC.
|
The World’s Longest Detection Distance
New PROX sensors generation E2E Next
New PROX Generation Concept
- New PROX family E2E/E2EQ is a new generation of innovative smart sensors.
- Providing the longest detection range in the world. The new family will help to design applications faster, easier and safer.
- New PROX family are equipped with IO-Link V1.1 providing intelligence into the field level. That helps to improve production efficiency, thanks to predictive maintenance & data acquisition, in addition to reduce stock and handling cost.
New PROX generation is an additional tool for our "Vertical Integration Concept" that allows to transfer monitored processing data from the lowest level of the automation pyramid and transfer settings parameters from the top down to each sensor.
Vertical Integration Benefits
Omron Provides the Full Solution for Smart factories
Direct benefits:
- **Improve productivity**
- Flexible and customized production
- Data collection from the lowest level
- Communication and escalation of the data for its analysis
- OEE calculation
- **Reduce machine downtime**
- Automatic alert when maintenance is needed
- Automatic location and identification of the issue
- **Simple engineering**
- Error free installation
- Remote troubleshooting
- Simplified cabling
E2E Next – In detail
Main Features: Longest Sensing Range
- Global No.1 extended sensing range will deliver the value of “Stable detection” and “Design standardization”.
Equipped with exceptional sensing range* to enable collision-free sensor installation
Enables designs with more distance between the sensor and the sensing object, thereby reducing unexpected facility stoppages due to collision and false detection, which occurred with previous proximity sensors.
Previous models
The equipment vibration widens the distance between a stationary and a sensor to cause false detection and facility stoppages.
E2E NEXT
Long-distance detection enhances the degree of the detection margin. Stable detection even when a stationary gets away.
Solution Details
Main Features: Standardized Design
- One size smaller than previous models.
- Unifying the model types to reduce the number of parts kept in inventory.
Exceptional sensing range* allows you to standardize your design with a single one-size model.
Case where either M12 or M18 is used depending on sensing distance.
Previous models Two models (M12 and M18) stocked
E2E NEXT The extended range of the new sensors allows you to reduce the sensor size from M18 down to M12.
Four types of M12 size sensors are available to meet the need for variable sensing distances for different installation sites.
Solution Details
Main Features: IO-Link for all models
• IO-Link standardized in all Omron new sensors, thanks to an unique ASIC we are able to provide IO-Link from M8 up to M30-sized.
Can be mounted in M8 body
Analog-Digital hybrid ASIC named "PROX3" includes IO-link capability.
IO-Link V1.1
Value
Real time information > Excessive Proximity / Remoteness
Sensing data (not linear)
Temperature inside
Trend monitoring
Planned maintenance
Accumulated Operation Time
Less stock
Selectable to NO or NC
Solution Details
Reduce Machine Down Time
• Thanks to IO-Link communication we can access to diagnosis status, and autonomously send notification when signs of a connection error or a malfunction appears.
Enables real-time identification of the site and substance of sensor failure
Enables predictive maintenance through condition monitoring
Solution Details
Reduce Machine Down Time
- New PROX generation allows to upgrade the machine to be recovered in short time thanks to e-jig accessory.
Enables facility designs that allow for quick recovery in case of failure
Less time required from failure to recovery (MTTR: Mean Time To Recovery).
Main Features: Unique behaviour with CFRP material
- **CFRP** (Carbon Fiber-Reinforced Polymer) is one of the booming solution for lighter body.
- As an example BMW “i3” series body is completely built with CFRP.
**Sensing capability M12-sized**
(unit; mm)
| Material | Sensing Capability |
|----------|--------------------|
| Fe | 9.1 |
| RTM | 9.8 |
| SMC | 7.1 |
**E2E Next X4 sensing type**
**Remarks:**
There are variety kinds of CFRP, such as RTM, SMC, etc...
A test in advance should be recommended.
Solution Details
Robust & Versatile Housing
• Robust housing style for hard environment: IP67, IP67g oil resistance and IP69K
| IP67G | OMRON’s Oil-resistant Component Evaluation Standards |
|----------------|-----------------------------------------------------|
| Oil type | N3 (water-insoluble cutting oil) |
| Evaluation time| 48 hours |
| Evaluation temperature | Room temperature |
| Dilution concentration | —— |
| Criteria | Appearance and performance |
| Oil type | A1 (water-soluble cutting oil) |
| Evaluation time| 1,000 hours of machining |
| Evaluation temperature | 55 °C |
| Dilution concentration | Undiluted |
| Criteria | Appearance, performance, and no label text loss |
• 360° visible high-brightness LED indicator
E2E Next – Product Line
New E2E 3-wire Overview
- Wide variety of lineup covers many applications, which gives the freedom of choice
| Size/Sn, mm | E2E Series - Plastic face | E2EQ Series – Flourish-coated |
|-------------|---------------------------|-------------------------------|
| | X1 | X2 | X3 | X4* | X1 | X2 | X3 |
| M8 | 1.5 | 2 | 3 | 4 | 1.5 | 2 | 3 |
| M12 | 2 | 4 | 6 | 9 | 2 | 4 | 6 |
| M18 | 5 | 8 | 12 | 14 | 5 | 8 | 12 |
| M30 | 10 | 15 | 22 | 23 | 10 | 15 | 22 |
- *Red-colored means “Global No.1” in Sensing distance
- IO-Link standardized for all PNP items
New E2E 3-wire Overview
- Sensing distance comparison (Quadruple distance models)
Shielded
M8
- 2 mm
- 4 mm
M12
- 4 mm
- 9 mm
M18
- 8 mm
- 14 mm
M30
- 15 mm
- 23 mm
Unshielded
M30
- 30 mm
- 50 mm
Exceptional sensing range*
* Based on December 2018 OMRON investigation.
Longest in the series
Product Line
2 Brands: Premium & Basic
• Basically, we promote x3/x4 type as Premium colored “Black” and x1/x2 as Basic colored “Gray”.
Enables easier and standardized designs previously not possible
New E2E Series - Plastic face
| Size/Sn, mm | X1 | X2 | X3 | X4* |
|-------------|-----|-----|-----|-----|
| M8 | 1.5 | 2 | 3 | 4 |
| M12 | 2 | 4 | 6 | 9 |
| M18 | 5 | 8 | 12 | 14 |
| M30 | 10 | 15 | 22 | 23 |
| Size/Sn, mm | X1 | X2 | X3 | X4* |
|-------------|-----|-----|-----|-----|
| M8 | 2 | 4 | 6 | 8 |
| M12 | 5 | 8 | 10 | 16 |
| M18 | 10 | 16 | 20 | 30 |
| M30 | 18 | 30 | 40 | 50 |
The PREMIUM Model, which has a longer detection range compared to previous models, allows for more spacious designs with less risk of contact. It also enables you to standardize your designs by letting you adopt a single one-size model instead of multiple models of different sizes.
Exceptional sensing range 9 mm²
In addition to our HIGH SPEC Models, we also offer mid/short distance BASIC Models to meet various facility design requirement specifications.
Product Line
New E2E 3-wire Metal Face
Shielded Only
IO-Link
Target is welding process.
| Size/Sn, mm | X1 | X2 | X3* | X4* |
|-------------|----|----|-----|-----|
| M8 | 1.5| 2 | 3 | 3.5 |
| M12 | 2 | 4 | 6 | 7 |
| M18 | 5 | 7 | 10 | 12 |
| M30 | 10 | 12 | 20 | 22 |
- x3 & x4 have the same sensing range for Steel and Aluminum.
- X3 & x4 are Weld-field immune
- *Red-colored means “Global No.1” in Sensing distance
- IO-Link standardized for all PNP items
Markets & Applications
Customer Demands (Ideal vs. Real)
- OEMs look for “Planned machine delivery” & EU1/EU2 wants to “keep machines running”
| The ideal | OEM | Design |
|-----------|-----|--------|
| Planned Machine delivery | Ease of design / Design standardization |
| The real | OEM | Design |
|----------|-----|--------|
| Less mechanical margin. Many customized requests. (one-by-one designing) |
| The ideal | EU1/EU2 | Running |
|-----------|---------|---------|
| Less unpredictable production stop |
| The real | EU1/EU2 | Running |
|----------|---------|---------|
| There are easily-damageable components. (Proximity sensor is one of the worsts.) |
| The ideal | EU1/EU2 | Maintenance |
|-----------|---------|-------------|
| Quick recovery with the skilled workers & Predictive maintenance |
| The real | EU1/EU2 | Maintenance |
|----------|---------|-------------|
| Shortage of the skilled maintenance workers. |
Markets & Applications
Customer Demands (Ideal vs. Real)
- Extended sensing distance will create the value to fill the gap.
| OEM | Design | Running | Maintenance |
|-----|--------|---------|-------------|
| The ideal | Reduced machine size, ease of the design, standardization | Less unavoidable production stop | Quick response with the maintenance workers & Predictive maintenance |
| The real | If the mechanical margin is not enough, (one-by-one) replacement is required | Less risk against damage/crash (Preventive service is required for E1/E2) | Lots of time added to maintenance workers |
Design
- Easy design with huge mechanical margin
- Standardization of design with downsizing
Running
- Keep machines running with stable detection
- Less break against coolant and watering
Maintenance
- Much ease of fixing in short time with e-jig
- Upgrade the machine with data transparency
Markets & Applications
• New PROXs cover wide range of applications, plastic face models are a generic type.
Auto
Machining
Welding
Assembly
Conveying / Processing
Conveying / Packing
Stable detection even though small or complex parts.
Advantages
The World’s Longest Detection Distance
Advantages
• “Up-Time ratio” is considered a critical criteria for successful competition and for continuous improvement of productivity and quality, with considering “Growing Global Manufacturing”, “Tough Global Competitions” and new opportunities with Industry 4.0.
External environments
- Growing Market and Locally manufactured and consumed
- Tougher Global Competition
Company Issues
- Very few skilled maintenance worker to cover global manufacturing
- Efficient run using limited production equipment
Value Proposition
Keep Machine Running
Advantages
• Issues for “Up-Time ratio”
Coolant/Mechanical hits/Spatter
Difficult to find causes for failures
Need expertise for maintenance
Less Crush: Extended sensing range
Against Crush/Spatter: Metal Head
Shortest Recovery: due early recognition trouble & ID with IO-Link
No skillful workers needed: Easy and fast to mount in 10 sec. vs of 10 min.
Advantages
• IO-Link value provided
Reduce customers costs
• Configurability reduces products
• Less complexity when purchasing
• Saves warehouse space
Realize innovative machine concepts
• Continuous communication
• Developing innovative machinery and systems
Shorten commissioning times
• Unshielded cables
• Industry-standard plugs
• Saves time
Increase the productivity of your machinery
• Automatic identification and configuration
• Simplifies replacement
• Reduces downtime
Revolutionize customer maintenance and repairs
• Self-diagnostics
• Predictive repair and maintenance
|
BIBLIOGRAPHY OF CANADIAN METEORITES
On behalf of
Meteorite Research
By
Graham C. Wilson, PhD, P.Geo.,
P.O. Box 1000,
Campbellford, Ontario, Canada K0L 1L0
utilizing the information resources of
Turnstone Geological Services Ltd.,
http://www.turnstone.ca/
Tel/fax (705)-653-5449
General enquiries to:
email@example.com
version 1, with 580 records
Friday, 22nd June 2012
Available for download at:
http://www.turnstone.ca/canmetbib.pdf
TGSL Project 2012-07
(ii+52 pages, with 3 figures)
## Conversion Table
| Unit | Times | Equals |
|-----------------------------|---------|---------|
| **Length** | | |
| 1 inch | 25.4 | mm |
| 1 foot | 0.3048 | m |
| 1 mile (statute) | 1.6093 | km |
| **Area** | | |
| 1 square mile | 2.59 | km² |
| 1 acre | 0.4047 | ha |
| **Mass** | | |
| 1 ounce (advp) | 28.3495 | g |
| 1 ounce (troy) | 31.1035 | g |
| 1 ton (short) | 907.18 | kg |
| 1 ton (long) | 1016.05 | kg |
| **Concentration** | | |
| 1 troy oz/short ton | 34.2857 | g/t (ppm) |
| **Volume** | | |
| 1 Imperial gallon | 4.54596 | l |
| 1 U.S. gallon | 3.78541 | l |
---
Turnstone Geological Services Ltd.
http://www.turnstone.ca
e-mail: firstname.lastname@example.org
In appropriate circumstances, the recommended citation format for this open-file report is as follows:
WILSON, GC (2012) Bibliography of Canadian meteorites. Turnstone Geological Services Limited Report 2012-07, ii+52pp.
Introduction
At the time of writing, there are just 60 officially ratified meteorite falls and finds in Canada, as reported by the Meteoritical Bulletin database (nos. 1-100, issues no.99 onwards available only on-line). At least 13 more are known, but to date have not been submitted or not met with Met.Bull. approval. See Wilson (2012) for additional details of the meteorites “in process” at this time.
As promised in a forthcoming short review of the 60 “official” meteorites (Wilson and McCausland, 2012), this document provides a listing of relevant references taken from the compiler’s MINLIB bibliographic database. Each of the 580 records refer to one or more of these 60 Canadian meteorites. The time of publication (or creation, as many are “grey literature”, not peer-reviewed journals) is distributed as follows:
| From | To | Items |
|--------|--------|-------|
| 1854 | 1970 | 62 |
| 1971 | 1980 | 58 |
| 1981 | 1990 | 63 |
| 1991 | 2000 | 132 |
| 2001 | 2010 | 247 |
| 2011 | 2012 | 18 |
| | Total | 580 |
The parent MINLIB and WORLD annotated databases total over 100,000 records, with 1 to 30 lines of keywords per record. To keep a reasonably compact format, pending release of the databases, the following list provides a citation for each reference, without keywords. Where the title does not make it clear, the relevant Canadian meteorite(s) are mentioned after the title, in square brackets, e.g., “[Abee, Blithfield]”. In a few cases “numerous” means just that, anything from six to forty or more meteorites in a single title. In most cases these are review articles, the content per meteorite typically ranging from a compact description to a single parameter, such as olivine composition.
Caveats and limitations
This reference list is shared in the hopes of furthering research on Canadian meteorites. Note, however, that this is NOT a catalogue, and there is no commitment to supply any or all of the references upon demand. Abstracts in particular are often available on-line. A very few may yet be considered confidential, though hardly “top-secret”. There is also no guarantee that each and every Canadian meteorite is flagged in every pertinent record, though some effort has been put into the task.
The presentation is chronological, commencing in 1855, with a note on the recognition of the Madoc iron, the first Canadian meteorite to receive scientific attention (it is understood that prairie native peoples had known of and venerated the Iron Creek mass long before that).
Over the years I have tried to find the earliest references to as many of the Canadian meteorites as possible. I have also included a lot of “grey literature”, from memos and unpublished reports to newspaper articles. There is an impressive literature, averaging almost 10 items per meteorite, but this is no guarantee of completeness. The coverage is also predictably skewed, as shown in the number of MINLIB entries (see the two references for a tabulation), toward a number of unusual and/or widely available finds and falls, such as the four most-cited examples, namely Abee, Tagish Lake, Bruderheim and Springwater (each with 60 to 130 or more records in this list).
Note that the selection is inevitably biased by what is available to the compiler – I have numerous subscriptions, but have not been able to spend much time in academic libraries since mid-2004. I have been forced to, overall, pay less attention to abstracts over the years, though the Meteoritical Society abstracts are well-represented where available in hard copy. Needless to say, there are also publications just “around the corner” that are omitted from this edition – watch for the meteorites and planetary sciences issue of *Canadian Journal of Earth Sciences*, due late 2012.
**References**
Wilson, GC (2012) A compact catalogue of Canadian Meteorites, 4th edition, 7pp, available for download at: [http://www.turnstone.ca/canamet4.pdf](http://www.turnstone.ca/canamet4.pdf)
Wilson, GC and McCausland, PJA (2012) Canadian meteorites: a brief review. Can.J.Earth Sci. 49, *in press*.
Abbreviations
Most may be obvious, but since readers from diverse backgrounds may scan this list, a few of the MINLIB short forms are expanded below:
| Abbreviation | Full form |
|--------------|-----------|
| BGSA | Bulletin of the Geological Society of America |
| CJES | Canadian Journal of Earth Science |
| EPSL | Earth and Planetary Science Letters |
| GCA | Geochimica et Cosmochimica Acta |
| GSC | Geological Survey of Canada |
| MIAC | Meteorites and Impacts Advisory Committee to the Canadian Space Agency (CSA). Its precursor was ACOM (the Associate Committee on Meteorites). Later replaced by ADWG (Astromaterials Discipline Working Group) for CSA. |
| ODM | Ontario Department of Mines, now the Ontario Geological Survey (OGS). |
| TGSL | Turnstone Geological Services Limited |
Figure 1. Stony and stony-iron meteorites.
Above: The Kitchener L6 chondrite, southern Ontario. This single (as far as is known) fully-crustled 202-gram individual fell on the Doon Valley golf course on a Sunday morning, 12 June 1998. The specimen reveals the outline of a 3-mm chondrule under the thin fusion crust. Below: A small (~50-gram) sawn individual of the famed Springwater pallasite, Saskatchewan. The polished face reveals the classic texture and major (olivine-kamacite) mineralogy, not so easily discerned on the uneven, pale and rusty exterior. The original find in 1931 marked the first and by far the largest of the three pallasite discoveries in Canada. This meteorite has been the subject of at least seven studies on contained phosphate minerals and eight on its olivine grains.
Figure 2. Iron and stony meteorites.
Above: The Skookum iron meteorite, originally known as Klondike (Skookum Gulch), one of two irons recovered from placer gold operations in the early 20th century. This 15.88-kg flattened mass of type IVB ataxite was found in 1905. Photo from the fine monograph by Johnson (1915). Below: photomicrograph in plane-polarized reflected light of the Dresden (Ontario) H6 chondrite, a well-documented fall on 11 July 1939. A bright nickel-iron metal vein (kamacite plus taenite) cuts the rim of a barred olivine chondrule. There are abundant kamacite and darker iron sulphide (troilite) grains in the groundmass. Field of view ~2 mm (Wilson, 2004).
Figure 3. The crux of the matter of meteorite recognition, in the field! **Above:** 67 small (pea to walnut-sized), moderately rusted stones from the Gao-Guenie meteorite shower of H5 chondrite material over Burkina Faso on 5th March 1960. Several thousand individuals were recovered, the largest 10 kg in weight, after a noisy rain of stones. **Below:** 31 dark and (at a distance) plausible candidates for the suspected fall that may have accompanied the Selwyn fireball of 12th December 2011, over the eastern Kawartha region, southeast Ontario. On closer inspection, all are “roadstone”, mostly local metabasic igneous rocks, plus a few unusually dark grey limestones. None show the residual fusion crust and sub-mm metal specks to be seen in Gao-Guenie (inset).
Part 1, 1854 to 1970 (62 items)
Hunt, TS (1855) On a newly discovered meteoric iron. [Madoc]. Amer.J.Sci. ser.2, vol.19, 417.
Hunt, TS (1863) Iron and its ores. [Madoc]. GSC Report of Progress from its Commencement to 1863, 508.
Coleman, AP (1886) A meteorite from the Northwest. [Iron Creek]. Trans.Roy.Soc.Can. 4 no.3, 97.
Tyrrell, JB (1887) Report on a part of northern Alberta, and portions of adjacent districts of Assiniboia and Saskatchewan. [Iron Creek]. GSC Ann.Rep. 11 part E, New Series, 176pp.
Anon (1890) Meteoric iron. [Madoc]. GSC Annual Report, New Series 4, 1888-1889, 45.
Hoffmann, GC (1890) Annotated list of the minerals occurring in Canada. [Madoc]. GSC Ann.Rep. 4, New Series, 67pp.
Davison, JM (1891) Analyses of kamacite, taenite and plessite from the Welland meteoric iron. Amer.J.Sci. 142, 64-66.
Anon (1900) Minerals of Ontario. [Madoc, Thurlow, Welland, De Cewsville]. ODM Ann.Rep. 9, for 1899, p.203.
Johnston, RAA (1904) On the meteorite which fell near the village of Shelburne, township of Melancthon, Ontario, in August 1904. GSC Ann.Rep. 16, New Series, 332-336.
Borgstroem, LH (1905) The Shelburne meteorite. Trans.Roy.Astron.Soc.Canada, 69-94.
Anon (1906) Meteorites. [Iron Creek]. Can.Min.J. 27, 38,40.
Johnston, RAA (1915) Gay Gulch and Skookum meteorites. GSC Museum Bulletin 15 (Geol.Ser. no.26), 31pp.
Johnston, RAA and Ellsworth, HV (1921) The Anaheim meteorite. Trans. Royal Society of Canada ser.3, vol.15, sect.4, 69-92.
Johnston, RAA and Connor, MF (1922) The Blithfield meteorite. Trans. Royal Society of Canada ser.4, vol.16, sect.4, 187-193.
Nininger, HH (1932) The Springwater meteorite. Amer.Mineral. 17, 396-400.
Nininger, HH (1936) The Bruno meteorite. Amer.J.Sci. 231, 209-222.
Marble, JP (1938) The Osseo, Canada, meteorite. Amer.Mineral. 23, 282-285.
Colgrove, WG (1939) The Dresden meteorite. J.Roy.Astron.Soc.Canada 33, 301-303.
Hawley, FG (1939) The occurrence of platinum in meteorites. [Springwater]. Contributions of the Society for Research on Meteorites 2 no.2, 132-137.
Pleva, EG and Colgrove, WG (1939) Committee's report on Dresden meteorite. J.Roy.Astron.Soc.Canada 33, 303-305.
Millman, PM (1940) The Dresden meteorite. Amer.Astron.Soc. Publications 10 no.1, 23-24.
Nininger, HH (1942) A Comet Strikes the Earth. [Springwater]. Desert Press Inc., Palm Desert, CA, 4th revision of 1953, 77pp.
Anon (1943) The Dresden meteorite. Amer.Astron.Soc. Publications 10 no.7, 387.
Perry, SH (1944) The metallography of meteoric iron. [Skookum]. U.S.Natl.Mus. Bull. 184, Smithsonian Institution, Washington, D.C., 206pp.
Nininger, HH (1952) Out of the Sky: an Introduction to Meteoritics. [Bruno]. Dover Publications Inc., New York, 336pp.
Lapaz, L (1953) Preliminary note on the Belly River, Alberta, Canada, aerolite (CN=+1130,495). Meteoritics 1 no.1, 106-108.
Dawson, KR, Maxwell, JA and Parsons, DE (1960) A description of the meteorite which fell near Abee, Alberta, Canada. GCA 21, 127-144.
Goles, GG and Anders, E (1961) On the geochemical character of iodine in meteorites. [Bruderheim]. J.Geophys.Res. 66, 3075-3077.
Nininger, HH (1961) Ask a Question about Meteorites. [Bruno]. American Meteorite Laboratory, Denver, CO, 87pp., reprinted 1989.
Goles, GG and Anders, E (1962) Abundances of iodine, tellurium and uranium in meteorites. [Bruderheim, Abee]. GCA 26, 723-737.
Mason, B (1962) Meteorites. [Bruderheim]. John Wiley and Sons, Inc., New York, 274pp.
Suess, HE and Wanke, H (1962) Radiocarbon content and terrestrial age of twelve stony meteorites and one iron meteorite. [Bruderheim]. GCA 26, 475-480.
Dawson, KR (1963) Catalogue of the Canadian National Meteorite Collection listing Acquisitions to March 31, 1963. [numerous]. GSC Pap. 63-37, 69pp.
Duhamel, R (1963) How to identify meteorites. [Bruderheim, Annaheim, Abee]. GSC brochure, 8pp.
Mason, B (1963) Olivine composition in chondrites. [numerous]. GCA 27, 1011-1023.
Heide, F (1964) Meteorites. [Shelburne]. University of Chicago Press, updated Engl. translation of the 2nd edition of 1957, 144pp.
Knox, R (1964) The metallography of Manitouwabing, Parry Sound, Ontario: a new Canadian siderite. Meteoritics 2 no.3, 279-284.
Mason, B and Wiik, HB (1964) The amphoterites and meteorites of similar composition. [Holman Island]. GCA 28, 533-538.
Metz, R (1965) Gems and Minerals in Color. [Springwater]. Hippocrene Books, New York, Eng.Trans. 1974, 255pp.
Dews, JR (1966) The isotopic composition of lithium in chondrules. [Bruderheim]. JGR 71 no.16, 4011-4020.
Moore, CB and Lewis, CF (1966) The distribution of total carbon content in enstatite chondrites. [Blithfield, Abee]. EPSL 1, 376-378.
Muller, O and Zahringer, J (1966) Chemische unterschiede bei uredelgashaltigen steinmeteoriten. [Holman Island]. EPSL 1, 25-29 (in Ger.).
Shima, M and Honda, M (1966) Distribution of spallation produced chromium between alloys in iron meteorites. [Bruderheim]. EPSL 1, 65-74.
Turner, G, Miller, JA and Grasty, RL (1966) The thermal history of the Bruderheim meteorite. EPSL 1, 155-157.
Zahringer, J (1966) Primordial argon and the metamorphism of chondrites. [Abee, Blithfield, Shelburne, Benton]. EPSL 1, 379-382.
Folinsbee, RE, Douglas, JAV and Maxwell, JA (1967) Revelstoke, a new Type I carbonaceous chondrite. GCA 31, 1625-1635.
Goldstein, JI and Short, JM (1967) Cooling rates of 27 iron and stony-iron meteorites. [Springwater, Giroux]. GCA 31, 1001-1023.
Goldstein, JI and Short, JM (1967) The iron meteorites, their thermal history and parent bodies. [Annaheim, Skookum, Madoc]. GCA 31, 1733-1770.
Goles, GG, Greenland, LP and Jerome, DY (1967) Abundances of chlorine, bromine and iodine in meteorites. [Abee, Bruderheim, Peace River]. GCA 31, 1771-1787.
Jaeger, RR and Lipschutz, ME (1967) Implications of shock effects in iron meteorites. [Osseo]. GCA 31, 1811-1832.
Mason, B (1967) Olivine composition in chondrites - a supplement. [Peace River, Vulcan]. GCA 31, 1100-1103.
Morgan, JW and Lovering, JF (1967) Rhenium and osmium abundances in chondritic meteorites. [Abee]. GCA 31, 1893-1909.
Shima, M and Honda, M (1967) Distributions of alkali, alkaline earth and rare earth elements in component minerals of chondrites. [Bruderheim, Abee, Peace River]. GCA 31, 1995-2006.
Tanner, JT and Ehmann, WD (1967) The abundance of antimony in meteorites, tektites and rocks by neutron activation analysis. [Bruderheim, Abee, Springwater]. GCA 31, 2007-2026.
Wood, JA (1967) Chondrites: their metallic minerals, thermal histories, and parent planets. [Bruderheim]. Icarus 6, 1-49.
Larimer, JW (1968) An experimental investigation of oldhamite, CaS; and the petrologic significance of oldhamite in meteorites. [Abee, Blithfield]. GCA 32, 965-982.
Wood, JA (1968) Meteorites and the Origin of Planets. [Abee]. McGraw-Hill, 117pp.
Buseck, PR and Goldstein, JI (1969) Olivine compositions and cooling rates of pallasitic meteorites. [Giroux, Springwater]. BGSA 80, 2141-2158.
Goldstein, JI (1969) The classification of iron meteorites. [Annaheim]. In `Meteorite Research' (Millman, PM editor), Springer Verlag, New York, 940pp., 723-737.
Hamaguchi, H, Onuma, N, Hirao, Y, Yokoyama, H, Bando, S and Furukawa, M (1969) The abundances of arsenic, tin and antimony in chondritic meteorites. [Abee]. GCA 33, 507-518.
Moore, CB, Lewis, CF and Nava, D (1969) Superior analyses of iron meteorites. [Osseo]. In ‘Meteorite Research’ (Millman, PM editor), Springer Verlag, New York, 940pp., 738-748.
Wasson, JT (1969) The chemical classification of iron meteorites - III. Hexahedrites and other irons with germanium concentrations between 80 and 200 ppm. [Edmonton (Canada), Bruno]. GCA 33, 859-876.
**Part 2, 1971 to 1980 (58 items)**
Clarke, RS (editor) (1971) Meteoritical Bulletin No.50. [Fillmore, Midland - note: Richard Herd discovered that the quoted location of Fillmore is that of Kinley]. Meteoritics 6, 111-124.
Douglas, JAV (1971) Revised Catalogue of the National Meteorite Collection of Canada listing Acquisitions to August 31, 1970. [numerous]. GSC Pap. 70-66, 41pp.
Black, DC (1972) On the origins of trapped helium, neon and argon isotopic variations in meteorites - I. Gas-rich meteorites, lunar soil and breccia. [Holman Island]. GCA 36, 347-375.
Loveless, AJ, Yanagita, S, Mabuchi, H, Ozima, M and Russell, RD (1972) Isotopic ratios of Gd, Sm and Eu in “Abee” enstatite chondrite. GCA 36, 685-698.
Mason, B (1972) The mineralogy of meteorites. [Abee]. Meteoritics 7, 309-326.
Nininger, HH (1972) Find a Falling Star. [Springwater, Bruno, Bruderheim]. Paul S. Eriksson, Inc., New York, 254pp.
Onuma, N, Clayton, RN and Mayeda, TK (1972) Oxygen isotope temperatures of ‘equilibrated’ ordinary chondrites. [Bruderheim]. GCA 36, 157-168.
Chou, C-L and Cohen, AJ (1973) Gallium and germanium in the metal and silicates of L- and LL-chondrites. [Bruderheim, Peace River, Shelburne]. GCA 37, 315-327.
Coleman, LC and Fillo, WJ (1973) Ringwoodite and majorite in the Catherwood chondrite, Saskatchewan, Canada. GSA Abs.w.Progs. 5, 580-581.
Lancaster Brown, P (1973) Comets, Meteorites and Men. [Revelstoke]. Scientific Book Club, London, 255pp.
Nakamura, N and Masuda, A (1973) Chondrites with peculiar rare-earth patterns. [Abee]. EPSL 19, 429-437.
Olsen,E, Huebner,JS, Douglas,JAV and Plant,AG (1973) Meteoritic amphiboles. [Abee]. Amer.Mineral. 58, 869-872.
Ramdohr,P (1973) The Opaque Minerals in Stony Meteorites. [Abee]. Elsevier Publishing Company, 245pp.
Scott,ERD, Wasson,JT and Buchwald,VF (1973) The chemical classification of iron meteorites - VII. A reinvestigation of irons with Ge concentrations between 25 and 80 ppm. [Welland]. GCA 37, 1957-1983.
Smith,DGW, Folinsbee,RE and Hall-Beyer,M (1973) A note on the mineralogy and classification of the Vilna meteorite. Meteoritics 8, 197-199.
Binz,CM, Kurimoto,RK and Lipschutz,ME (1974) Trace elements in primitive meteorites - V. Abundance patterns of thirteen trace elements and interelement relationships in enstatite chondrites. [Abee]. GCA 38, 1579-1606.
Bunch,TE and Olsen,E (1974) Restudy of pyroxene-pyroxene equilibration temperatures for ordinary chondrite meteorites. [Bruderheim]. Contrib.Mineral.Petrol. 43, 83-90.
Clarke,RS (1974) The Meteoritical Bulletin No.52. [Catherwood, Kinley]. Meteoritics 9, 101-121.
de Laeter, JR, McCulloch, MT and Rosman, KJR (1974) Mass spectrometric isotope dilution analyses of tin in stony meteorites and standard rocks. [Abee, Bruderheim]. EPSL 22, 226-232.
Van Schmus,WR and Hayes, JM (1974) Chemical and petrographic correlations among carbonaceous chondrites. [Revelstoke]. GCA 38, 47-64.
Wasson, JT (1974) Meteorites. [Edmonton (Canada)]. Springer-Verlag, 316pp.
Wasson, JT, Scott, ERD and Robinson, KL (1974) Catalog of the collection of meteorites at the University of California, Los Angeles (the Leonard Collection). [Bruderheim, Bruno, Springwater]. Meteoritics 9, 85-98.
Buchwald, VF (1975) Handbook of Iron Meteorites. [numerous, including Madoc]. University of California Press, Berkeley, 3 volumes, 1418+8pp.
Deines, P and Wickman, FE (1975) A contribution to the stable carbon isotope geochemistry of iron meteorites. [Welland]. GCA 39, 547-557.
Rhodes, GR (1975) The Dresden meteorite: a look at its possible origin and pre-terrestrial history. BSc Thesis, Department of Geology, University of Western Ontario, 34pp.
Clarke, RS (1976) Meteoritical Bulletin 54. [Homewood, Riverton]. Meteoritics 11, 69-93.
ReVelle, DO (1976) On meteor-generated infrasound. [Revelstoke]. J.Geophys.Res. 81 no.7, 1217-1230.
Buseck, PR (1977) Pallasite meteorites - mineralogy, petrology, and geochemistry. [Giroux, Springwater]. GCA 41, 711-740.
Smith, CL, de Laeter, JR and Rosman, KJR (1977) Mass spectrometric isotope dilution analyses of tellurium in meteorites and standard rocks. [Abee, Bruderheim]. GCA 41, 676-681.
Graham, AL (1978) Meteoritical Bulletin 55. [Blaine Lake, Innisfree, Kinsella, Red Deer Hill]. Meteoritics 13, 327-352.
Halliday, I, Blackwell, AT and Griffin, AA (1978) The Innisfree meteorite and the Canadian camera network. J.Roy.Astron.Soc.Canada 72, 15-39.
Leake, M, Gradie, J and Morrison, D (1978) Infrared (JHK) photometry of meteorites and asteroids. [Bruderheim]. Meteoritics 13, 101-120.
Smith, CL, Rosman, KJR and De Laeter, JR (1978) The isotopic composition of tellurium. [Abee, Bruderheim]. Int.J.Mass Spectrom.Ion Phys. 28, 7-17.
Srinivasan, B, Lewis, RS and Anders, E (1978) Noble gases in the Allende and Abee meteorites and a gas-rich mineral fraction: investigation by stepwise heating. GCA 42, 183-198.
Alaerts, L and Anders, E (1979) On the kinetics of volatile loss from chondrites. [Abee]. GCA 43, 547-553.
Evans, JC, Rancitelli, LA and Reeves, JH (1979) $^{26}$Al content of Antarctic meteorites: implications for terrestrial ages and bombardment history. [Innisfree]. Proc. 10th Lunar and Planetary Science Conf., volume 1, 1061-1072.
Fireman, EL (1979) $^{14}$C and $^{39}$Ar abundances in Allan Hills meteorites. [Bruderheim]. Proc. 10th Lunar and Planetary Science Conf., volume 1, 1053-1060.
Graham, AL (1979) The Meteoritical Bulletin No.56. [Millarville]. Meteoritics 14, 161-174.
Ikramuddin, M, Lipschutz, ME and Gibson, EK (1979) On mobile element transport in heated Abee. Meteoritics 14, 69-80.
Mysyk, WK, Ferguson, RB, Hawthorne, FC and Ramial, K (1979) The chemistry and mineralogy of the Homewood, Manitoba, meteorite. Meteoritics 14, 207-214.
Nishiizumi, K, Arnold, JR, Elmore, D, Ferraro, RD, Gove, HE, Finkel, RC, Beukens, RP, Chang, KH and Kilius, LR (1979) Measurements of $^{36}$Cl in Antarctic meteorites and Antarctic ice using a Van de Graaff accelerator. [Bruderheim]. EPSL 45, 285-292.
Reed, SJB, Scott, ERD and Long, JVP (1979) Ion microprobe analysis of olivine in pallasite meteorites for nickel. [Springwater]. EPSL 43, 5-12.
Wood, JA (1979) Review of the metallographic cooling rates of meteorites and a new model for the planetesimals in which they formed. [Madoc, Giroux, Springwater, Bruderheim]. In `Asteroids' (Gehrels, T editor), University of Arizona Press, Tucson, 1181pp., 849-891.
Biswas, S, Walsh, T, Bart, G and Lipschutz, ME (1980) Thermal metamorphism of primitive meteorites - XI. The enstatite meteorites: origin and evolution of a parent body. [Abee]. GCA 44, 2097-2110.
Bogard, DD (1980) $^{40}$Ar-$^{39}$Ar ages of Abee clasts. Meteoritics 15, 267-268.
Bogard, DD (1980) Ar diffusion properties and $^{40}$Ar-$^{39}$Ar dating of meteorites. [Abee]. Meteoritics 15, 268.
Elmore, D, Gove, HE, Ferraro, RD, Kilius, LR, Lee, HW, Chang, KH, Beukens, RP, Litherland, AE, Russo, CJ, Purser, KH, Murrell, MT and Finkel, RC (1980) Determination of $^{129}$I using tandem accelerator mass spectrometry. [Bruderheim]. Nature 286, 138-140.
Ganapathy, R and Larimer, JW (1980) A meteoritic component rich in volatile elements: its characterization and implications. [Abee]. Science 207, 57-59.
Goswami, JN, Lal, D and Sinha, N (1980) Nuclear track records in the Abee chondrite. Meteoritics 15, 295-296.
Graham, AL (editor) (1980) The Meteoritical Bulletin No.58. [Skiff]. Meteoritics 15, 235-240.
Kallemeyn, GW, Sears, DW and Wasson, JT (1980) A chemical study of the Abee consortium slice. Meteoritics 15, 312.
Rambaldi, ER and Cendales, M (1980) Siderophile element fractionation in enstatite chondrites. [Abee]. EPSL 48, 325-334.
Rubin, AE and Keil, K (1980) Mineralogy and petrology of the Abee enstatite chondrite. Meteoritics 15, 358.
Sears, DW, Grossman, JN, Melcher, CL, Ross, LM and Mills, AA (1980) Measuring metamorphic history of unequilibrated ordinary chondrites. [Beaver Creek]. Nature 287, 791-795.
Tarter, JG, Evans, KL and Moore, CB (1980) Chlorine in chondrites. [Abee]. Meteoritics 15, 373-374.
Traill, RJ (1980) Catalogue of the National Meteorite Collection of Canada Revised to December 31, 1979. [numerous]. GSC Pap. 80-17, 19pp..
Unruh, DM and Tatsumoto, M (1980) U-Pb study of Abee consortium samples. Meteoritics 15, 381.
Wacker, JF and Marti, K (1980) Noble gases in Abee. Meteoritics 15, 383.
Part 3, 1981 to 1990 (63 items)
Dodd, RT (1981) Meteorites: a Petrologic-Chemical Synthesis. [Edmonton (Canada)]. Cambridge University Press, 368pp.
Frazier, RM and Boynton, WV (1981) Trace element concentration in Abee density separates and minerals. Meteoritics 16, 315.
Graham, AL (editor) (1981) The Meteoritical Bulletin No.59. [Skiff]. Meteoritics 16, 193-199.
Halliday, I, Griffin, AA and Blackwell, AT (1981) The Innisfree meteorite fall: a photographic analysis of fragmentation, dynamics and luminosity. Meteoritics 16, 153-170.
Marti, K (1981) The Abee consortium: probing the parent body of enstatite meteorites. Meteoritics 16, 354.
Minster, JF and Ricard, LP (1981) The isotopic composition of zirconium. [Beaver Creek]. Int.J.Mass Spectrom.Ion Phys. 37, 259-272.
Oliver, LL, Ballad, RV, Richardson, JF and Manuel, OK (1981) Isotopically anomalous tellurium in Allende: another relic of local element synthesis. [Abee]. J.Inorg.Nucl.Chem. 43, 2207-2216.
Rudee, ML and Herndon, JM (1981) Thermal history of the Abee enstatite chondrite II: thermal measurements and heat flow calculations. Meteoritics 16, 139-140.
Sugiura,N and Strangway,DW (1981) Magnetic properties of the Abee meteorite. Meteoritics 16, 390.
Voshage,H (1981) The isotopic composition of cosmic-ray produced lithium in iron meteorites. [Mayerthorpe]. Meteoritics 16, 395.
Wacker,JF (1981) Rare gas components in Abee clast separates. Meteoritics 16, 396.
Anon (1982) Meteoritical Bulletin Index 1957-1982, issues 1-60. [numerous]. Meteoritics 17, 99-115.
MacKenzie,WS, Donaldson,CH and Guilford,C (1982) Atlas of Igneous Rocks and their Textures. [Bruderheim]. Longman, 148pp..
Price,GD, Putnis,A and Smith,DGW (1982) A spinel to β-phase transformation mechanism in (Mg,Fe)$_2$SiO$_4$. [Peace River]. Nature 296, 729-731.
Wacker,JF and Wilkening,LL (1982) Structure of the Abee E-chondrite breccia and implications for its origin. Meteoritics 17, 291-292.
Woolum,DS, Burnett,DS, Murrell,MT, Benjamin,T, Maggiore,C and Rogers,P (1982) Trace elements in Pena Blanca Spring oldhamite. [Abee]. Meteoritics 17, 299.
Bogard,DD, Unruh,DM and Tatsumoto,M (1983) $^{40}$Ar/$^{39}$Ar and U-Th-Pb dating of separated clasts from the Abee E4 chondrite. EPSL 62, 132-146.
Goswami,JN (1983) Nuclear track records in the Abee enstatite chondrite. EPSL 62, 159-164.
Jull,AJT, Zabel,TH, Donahue,DJ and Fireman,EL (1983) Application of accelerator mass spectrometry to the measurement of $^{14}$C in meteorites. [Bruderheim]. Lunar and Planetary Science 14, 359-360.
Kracher,A (1983) Notes on the evolution of the IIIAB/pallasite parent body. [Springwater]. Lunar and Planetary Science 14, 405-406.
Marti,K (1983) Preface: the Abee consortium. EPSL 62, 116-117.
Nishiizumi,K, Elmore,D, Honda,M, Arnold, JR and Gove,HE (1983) Measurements of $^{129}$I in meteorites and lunar rock by tandem accelerator mass spectrometry. [Abee]. Nature 305, 611-612.
Price,GD, Putnis,A, Agrell,SO and Smith,DGW (1983) Wadsleyite, natural β-(Mg,Fe)$_2$SiO$_4$ from the Peace River meteorite. Can.Mineral. 21, 29-35.
Rubin, AE (1983) The Adhi-Kot enstatite chondrite breccia and implications for the origin of silica-rich clasts and chondrules. [Abee]. Lunar and Planetary Science 14, 656-657.
Rubin, AE and Keil, K (1983) Mineralogy and petrology of the Abee enstatite chondrite breccia and its dark inclusions. EPSL 62, 118-131.
Sears, DW, Kallemeyn, GW and Wasson, JT (1983) Composition and origin of clasts and inclusions in the Abee enstatite chondrite breccia. EPSL 62, 180-192.
Sugiura, N and Strangway, DW (1983) A paleomagnetic conglomerate test using the Abee E4 meteorite. EPSL 62, 169-179.
Sugiura, N, Brar, NS, Strangway, DW and Matsui, T (1983) Gas permeability of three chondrites. [Abee]. Lunar and Planetary Science 14, 757-758.
Thiemens, MH and Clayton, RN (1983) Nitrogen contents and isotopic ratios of clasts from the enstatite chondrite Abee. EPSL 62, 165-168.
Wacker, JF and Marti, K (1983) Noble gas components in clasts and separates of the Abee meteorite. EPSL 62, 147-158.
Bischoff, A and Keil, K (1984) Al-rich objects in ordinary chondrites: related origin of carbonaceous and ordinary chondrites and their constituents. [Bruderheim]. GCA 48, 693-709.
Buchwald, VF (1984) Phosphate minerals in meteorites and lunar rocks. [Springwater]. In 'Phosphate Minerals' (Nriagu, JO and Moore, PB editors), 441pp., 199-214.
Graham, AL (editor) (1984) The Meteoritical Bulletin No.62. [Wynyard]. Meteoritics 19, 49-57.
Malvin, DJ, Wang, D and Wasson, JT (1984) Chemical classification of iron meteorites-X. Multielement studies of 43 irons, resolution of group IIIE from IIIAB, and evaluation of Cu as a taxonomic parameter. [Abee, Gay Gulch, Garden Head]. GCA 48, 785-804.
Rasmussen, KL, Malvin, DJ, Buchwald, VF and Wasson, JT (1984) Compositional trends and cooling rates of group IVB iron meteorites. [Skookum]. GCA 48, 805-813.
Voshage, H (1984) Investigations of cosmic-ray-produced nuclides in iron meteorites, 6. The Signer-Nier model and the history of the cosmic radiation. [Osseo]. EPSL 71, 181-194.
White, R (1984) Canadian Meteorites. [numerous]. Provincial Museum of Alberta, 43pp.
Curtis,DB and Gladney,ES (1985) Boron cosmochemistry. [Bruderheim]. EPSL 75, 311-320.
Deines,P and Wickman,FE (1985) The stable carbon isotopes in enstatite chondrites and Cumberland Falls. [Abee]. GCA 49, 89-95.
Frazier,RM and Boynton,WV (1985) Rare earth and other elements in components of the Abee enstatite chondrite. Meteoritics 20, 197-219.
McConville,P, Kelley,S and Turner,G (1985) Laser probe $^{40}$Ar-$^{39}$Ar studies of the Peace River L6 chondrite. Meteoritics 20, 707.
Wilson,GC (editor) (1985) Catalogue of Meteorites, Royal Ontario Museum. [numerous] Royal Ontario Museum, Toronto, 106pp., also available as a condensed version, 15pp.
Burke,JG (1986) Cosmic Debris: Meteorites in History. [Edmonton (Canada), Innisfree, Madoc, Iron Creek, Welland]. University of California Press, Berkeley / Los Angeles / London, 445pp.
Sibbick,SJN (1986) Chemical analysis of the Dresden meteorite. BSc Thesis, Department of Geology, University of Western Ontario, 92pp.
Valley,JW, Taylor,HP and O'Neil,JR (editors) (1986) Stable Isotopes in High Temperature Geological Processes. [Bruderheim]. Min.Soc.Amer. Reviews in Mineralogy 16, 570pp.
Widom,E, Rubin,AE and Wasson,JT (1986) Composition and formation of metal nodules and veins in ordinary chondrites. [Abee]. GCA 50, 1989-1995.
Agrell,SO and Charnley,NF (1987) Phosphoran olivines and phosphates of pallasitic affinities in skarns from Pine Canyon, Piute County, Utah, U.S.A. [Springwater]. Meteoritics 22 no.4, 314-315.
Halliday,I (1987) Detection of a meteorite "stream": observations of a second meteorite fall from the orbit of the Innisfree chondrite. Icarus 69, 550-556.
Beukens,RP, Rucklidge,JC and Miura,Y (1988) $^{14}$C ages of 10 Yamato and Allan Hills meteorites. [Bruderheim]. Proc. NIPR Symp.Ant.Mets. 1 (papers of the 12th Natl.Inst.Polar Res.Symposium, 1987), 323pp., 224-230.
MacRae,DA (1988) Catalogue of Meteorites. [Shelburne, Welland, Bruderheim, Manitouwabing, Peace River, Iron Creek, Dresden (Ontario)]. Department of Astronomy, University of Toronto, 6pp.
Davis, AM and Olsen, EJ (1989) Incompatible elements at the core-mantle boundaries of asteroids?: rare earth elements in phosphates in pallasites. [Springwater]. GSA Abs.w.Progs. 21 no.6, Annual Meeting (St. Louis), 362.
Davis, AM and Olsen, EJ (1989) The origin of phosphate minerals in the Eagle Station and Springwater pallasites. Lunar and Planetary Science 20, 220-221.
Halliday, I, Blackwell, AT and Griffin, AA (1989) Detailed records of many unrecovered meteorites in western Canada for which further searches are recommended. [Innisfree, Bruderheim, Wynyard, Blithfield, Blaine Lake]. J.Roy.Astron.Soc.Canada 83, 49-80.
Jull, AJT, Donahue, DJ and Linick, TW (1989) Carbon-14 activities in recently fallen meteorites and Antarctic meteorites. [Bruderheim]. GCA 53, 2095-2100.
Schultz, L and Kruse, H (1989) Helium, neon, and argon in meteorites - a data compilation. [Bruderheim, Blithfield, Edmonton (Canada), Gay Gulch, Skookum, Osseo, Springwater]. Meteoritics 24, 155-172.
Energy, Mines and Resources Canada (1990) Meteorites. [Bruderheim, Annaheim, Springwater, Blithfield - note: Richard Herd discovered that the second "Annaheim" sample in the upper right, English version, is actually Thurlow]. EMR Canada, poster (in Engl. and in Fr.).
Graham, AL (1990) The Meteoritical Bulletin No.68. [Gay Gulch, Skookum]. Meteoritics 25, 59-70.
Haskin, LA (1990) PREEconceptions pREEvent pREEcise pREEdictions. [Bruderheim]. GCA 54, 2353-2361.
MMI Corporation (1990) Meteorites and Meteorite Craters. [Bruderheim]. MMI Corp., P.O.Box 19907, Baltimore, MD, 35mm slide set produced by Science Graphics of Bend, OR. 45-item slide set with 5pp. notes.
Morgan, JW, Walker, RJ and Grossman, JN (1990) Rhenium-osmium isotope systematics in enstatite chondrites. [Abee]. Lunar and Planetary Science 21, 809-810.
Rubin, AE (1990) Kamacite and olivine in ordinary chondrites: intergroup and intragroup relationships. [Shelburne, Bruderheim, Peace River]. GCA 54, 1217-1232.
Ryan, DE, Holzbecher, J and Brooks, RR (1990) Rhodium and osmium in iron meteorites. [Madoc, Welland]. Chem.Geol. 85, 295-303.
Scott, ERD and Taylor, GJ (1990) Origins of pallasites at the core-mantle boundaries of asteroids. [Springwater]. Lunar and Planetary Science 21, 1119-1120.
Part 4, 1991 to 2000 (132 items)
Britt, DT and Pieters, CM (1991) Black ordinary chondrites: an analysis of abundance and fall frequency. [Innisfree]. Meteoritics 26, 279-285.
Chen, Y, Pernicka, E and Wang, D (1991) The trace element chemistry and composition of niningerite in enstatite meteorites. [Abee]. Meteoritics 26, 328.
Davis, AM and Olsen, EJ (1991) Phosphates in pallasite meteorites as probes of mantle processes in small planetary bodies. [Springwater]. Nature 353, 637-640.
Halliday, I, Blackwell, AT and Griffin, AA (1991) The frequency of meteorite falls: comments on two conflicting solutions to the problem. [Bruderheim, Peace River, Revelstoke, Vilna]. Meteoritics 26, 243-249.
Hutcheon, ID and Olsen, E (1991) Cr isotopic composition of differentiated meteorites: a search for $^{53}$Mn. [Springwater]. Lunar and Planetary Science 22, 605-606.
Russell, SS, Pillinger, CT and Arden, JW (1991) A new kind of meteoritic diamond in Abee. Meteoritics 26, 389-390.
Stöffler, D, Keil, K and Scott, ERD (1991) Shock metamorphism of ordinary chondrites. [Belly River, Bruderheim]. GCA 55, 3845-3867.
Brooks, RR, Guo, X, Hoashi, M, Reeves, RD, Ryan, DE, Holzbecher, J and Henderson, GS (1992) Elemental abundance data for the Manitouwabing iron meteorite. [Madoc too]. Meteoritics 27, 186.
Cresswell, RG, Beukens, RP, Rucklidge, JC and Miura, Y (1992) Terrestrial ages of meteorites from radiocarbon measurements. [Bruderheim]. GAC/MAC Prog.w.Abs. 17, 21, Wolfville.
Cresswell, RG, Miura, Y, Beukens, RP and Rucklidge, JC (1992) Radiocarbon measurements on meteorites I: CO and CO$_2$ separations from temperature fractions. [Bruderheim]. 17th NIPR Symposium on Antarctic Meteorites, Tokyo, Japan, pp.68-1-68-2.
Cresswell, RG, Miura, Y, Beukens, RP and Rucklidge, JC (1992) $^{14}$C terrestrial ages of nine Antarctic meteorites using CO and CO$_2$ temperature extractions. [Bruderheim, Peace River, Abee]. MS submitted to NIPR, 19pp..
Gibbins, W (1992) Tracking our space invaders. [Gay Gulch, Skookum]. Up Here 8 no.2, 13,39.
Griffin, AA, Millman, PM and Halliday, I (1992) The fall of the Abee meteorite and its probable orbit. J.Roy.Astron.Soc.Canada 86, 5-14.
Hirata, T and Masuda, A (1992) Rhenium and osmium systematics on iron and stony iron meteorites. [Springwater]. Meteoritics 27, 568-575.
Howie, FM (1992) The Care and Conservation of Geological Material: Minerals, Rocks, Meteorites and Lunar Finds. [Springwater]. Butterworth-Heinemann, 138pp.
Buchwald, VF and Clarke, RS (1993) A mystery solved: the Port Orford meteorite is an Imilac specimen. [Springwater]. In 'The Port Orford, Oregon, meteorite mystery' (Clarke, RS editor), Smithsonian Contrib.Earth Sci. 31, 43pp., 25-43.
Cresswell, RG (1993) $^{14}$C Terrestrial Ages and Weathering Activities of Meteorites Using CO and CO$_2$ Fractions from Step-Wise Temperature Extractions. [Bruderheim]. PhD Thesis, IsoTrace Laboratory, University of Toronto.
Cresswell, RG, Beukens, RP and Rucklidge, JC (1993) Separation of spallation and terrestrial $^{14}$C in chondrites. [Bruderheim]. Lunar and Planetary Science 24, 341-342.
Cresswell, RG, Miura, Y, Beukens, RP and Rucklidge, JC (1993) $^{14}$C terrestrial ages of nine Antarctic meteorites using CO and CO$_2$ temperature extractions. [Bruderheim, Peace River, Abee]. Proc. NIPR Symposium on Antarctic Meteorites 6, 427pp., 381-390.
Haack, H and Scott, ERD (1993) Chemical fractionations in Group IIIAB iron meteorites: origin by dendritic crystallization of an asteroidal core. [Iron Creek]. GCA 57, 3457-3472.
Hoashi, M, Brooks, RR and Reeves, RD (1993) Palladium, platinum and ruthenium in iron meteorites and their taxonomic significance. [Welland, Skookum]. Chem.Geol. 106, 207-218.
IUPAC Commission on Atomic Weights and Isotopic Abundances (1993) Atomic weights of the elements 1991. [Abee]. J.Phys.Chem.Ref.Data 22 no.6, 1571-1584.
Nagai, H, Honda, M, Imamura, M and Kobayashi, K (1993) Cosmogenic $^{10}$Be and $^{26}$Al in metal, carbon, and silicate of meteorites. [Bruderheim]. GCA 57, 3705-3723.
Wilson, GC, Rucklidge, JC, Kilius, LR, Ding, G-J and Cresswell, RG (1993) Precious metal abundances and silver isotope ratios in selected iron meteorites. Part 1. Abundances of PGE and gold in the kamacite and plessite of iron meteorites. Part 2. Prospects for in-situ silver isotope measurements in iron meteorites by accelerator mass spectrometry. [Welland, Manitouwabing]. IsoTrace Laboratory Report, University of Toronto, 33+10pp..
Zhou,Y and Steele,IM (1993) Chemical zoning and diffusion of Ca, Al, Mn, and Cr in olivine of Springwater pallasite. Lunar and Planetary Science 24, 1573-1574.
Cresswell,RG, Beukens,RP, Rucklidge,JC and Miura,Y (1994) Distinguishing spallogenic from non-spallogenic carbon in chondrites using gas and temperature separations. [Bruderheim]. Nuclear Instruments and Methods in Physics Research B92, 505-509.
Guo,X, Brooks,RR and Reeves,RD (1994) Thallium in meteorites. [Manitouwabing, Madoc]. Meteoritics 29, 85-88.
Hutchison,R and Graham,A (1994) Meteorites. [Innisfree, Skookum]. Natural History Museum, London, 2nd impression, 61pp.
Kissin,SA (1994) New data on some Canadian iron meteorites. [numerous]. GAC/MAC Prog.w.Abs. 19, 57, Waterloo.
Lal,D and Jull,AJT (1994) Studies of cosmogenic in-situ $^{14}$CO and $^{14}$CO$_2$ produced in terrestrial and extraterrestrial samples: experimental procedures and applications. [Bruderheim]. Nuclear Instruments and Methods in Physics Research B92, 291-296.
Lingemann,CM and Stoffler,D (1994) Ringwoodite in shocked chondrites. [Catherwood]. Meteoritics 29, 491-492.
Norton,OR (1994) Rocks from Space: Meteorites and Meteorite Hunters. [Bruderheim]. Mountain Press Publishing Company, Missoula, MT, 449pp..
Wilson,GC (1994) Mineralogy, chondrule types, textures and optical classification of the St-Robert meteorite fall. IsoTrace Laboratory, University of Toronto, 15pp..
Wilson,GC, Ding,G-J, Kilius,LR, Rucklidge,JC and Zhao,X-L (1994) Platinum group elements, gold and silver. [Welland, Manitouwabing]. In `1993 Annual Report' (Wilson,GC (editor), IsoTrace Laboratory, University of Toronto, 69pp., 27-37.
Wilson,GC, Rucklidge,JC, Kilius,LR, Ding,G-J and Cresswell,RG (1994) In-situ analysis of PGE and gold in iron meteorites. [Welland]. GAC/MAC Prog.w.Abs. 19, 119, Waterloo.
Zhai,M and Shaw,DM (1994) Boron cosmochemistry. Part I: boron in meteorites. [Dresden (Ontario), Peace River, Bruderheim, Innisfree, Abee]. Meteoritics 29, 607-615.
Bogard,DD (1995) Impact ages of meteorites: a synthesis. [Peace River]. Meteoritics 30, 244-268.
Chen, JH and Wasserburg, GJ (1995) A comparison between $^{107}$Pd and $^{53}$Mn chronometers in some meteorites. [Springwater]. Lunar and Planetary Science 26, 1584pp., 235-236.
Choi, B-G, Ouyang, X and Wasson, JT (1995) Classification and origin of IAB and IIICD iron meteorites. [Osseo]. GCA 59, 593-612.
Huss, GR and Lewis, RS (1995) Presolar diamond, SiC, and graphite in primitive chondrites: abundances as a function of meteorite class and petrologic type. [Abee]. GCA 59, 115-160.
Jull, AJT, Cloudt, S, Cielaszyk, E and Donahue, DJ, LP (1995) $^{14}$C terrestrial ages and weathering of meteorites from the Allan Hills region and Meteorite Hills, Antarctica. [Bruderheim]. Lunar and Planetary Science 26, 1584pp., 705-706.
Kissin, SA and Herd, RK (1995) Two new iron meteorites from the province of Quebec, Canada. [Lac Dodon, Penouille]. Meteoritics 30, 527-528.
Lodders, K (1995) Alkali elements in the Earth's core: evidence from enstatite meteorites. [Abee]. Meteoritics 30, 93-101.
Rubin, AE, Scott, ERD and Keil, K (1995) Shock metamorphism of enstatite chondrites. [Blithfield, Abee]. Lunar and Planetary Science 26, 1584pp., 1197-1198.
Smoliar, JL and Walker, RJ (1995) Rhenium-osmium study of magmatic iron meteorites with low gallium abundances - Groups IVA and IVB. [Skookum]. Meteoritics 30, 580.
Wilson, GC (editor) (1995) 1994 Annual Report. [Manitouwabing]. IsoTrace Laboratory, University of Toronto, 64pp..
Wlotzka, F (1995) The Meteoritical Bulletin, No.78, 1995 November. [Lac Dodon, Penouille]. Meteoritics 30, 792-796.
Brown, P, Hildebrand, AR, Green, DWE, Page, D, Jacobs, C, Revelle, D, Tagliaferri, E, Wacker, J and Wetmiller, B (1996) The fall of the St-Robert meteorite. Meteoritics & Planetary Science 31, 502-517.
Chen, JH and Wasserburg, GJ (1996) Live $^{107}$Pd in the early solar system and implications for planetary evolution. [Skookum]. In 'Earth Processes: Reading the Isotopic Code' (Basu, A and Hart, S editors), AGU Geophysical Monograph 95, 437pp., 1-20.
Chen, M, Wopenka, B, El Goresy, A and Sharp, TG (1996) The Peace River (L6) chondrite: compositions and pressure-temperature history. Meteoritics & Planetary Science 31 no.4, supplement, A27, Berlin.
Choi,B-G and Wasson, JT (1996) Pallasites - chemical compositions and relationship to IIIAB irons. [Springwater]. Lunar and Planetary Science 27, 223-224.
Clayton,RN and Mayeda, TK (1996) Oxygen isotope studies of achondrites. [Giroux, Springwater]. GCA 60, 1999-2017.
Davis, AM and Olsen, EJ (1996) REE patterns in pallasite phosphates - a window on mantle differentiation in parent bodies. [Giroux]. Meteoritics & Planetary Science 31 no.4, supplement, A34-35, Berlin.
Ding, G-J (1996) In Situ Analysis of $^{187}$Re-$^{187}$Os Systematics and Silver Isotopic Compositions in Iron Meteorites Using Accelerator Mass Spectrometry. [Welland, Manitouwabing]. PhD Thesis, IsoTrace Laboratory, University of Toronto, 146pp.
Huss, GR, Lewis, RS and Hemkin, S (1996) The "normal planetary" noble gas component in primitive chondrites: compositions, carrier, and metamorphic history. [Abee]. GCA 60, 3311-3340.
Kempton, R (1996) Abee: more questions than answers. Meteorite 2 no.4.
Wilson, GC (1996) Electron microprobe observations on 1. Mafic-ultramafic rocks of the Fox River sill, Manitoba, and 2. Meteorites, including the 1994 St-Robert fall. IsoTrace Laboratory, University of Toronto, Report 96-01, 22pp.
Wilson, GC, Rucklidge, JC, Kilius, LR, Ding, G-J and Cresswell, RG (1996) Precious metal abundances in selected iron meteorites: in-situ AMS measurements of the six platinum-group elements plus gold. [Welland]. Abs. 7th International Conference on Accelerator Mass Spectrometry (AMS-7), Tucson, AZ, 20-24 May 1996. Radiocarbon 38, 128.
Zhai, M, Nakamura, E, Shaw, DM and Nakano, T (1996) Boron isotope ratios in meteorites and lunar rocks. [Dresden (Ontario), Bruderheim, Peace River, Innisfree, Abee]. GCA 60, 4877-4881.
Zhang, Y and Sears, DWG (1996) The thermometry of enstatite chondrites: a brief review and update. [Abee, Blithfield]. Meteoritics & Planetary Science 31, 647-655.
Zhang, Y, Huang, S, Schneider, D, Benoit, PH, DeHart, JM, Lofgren, GE and Sears, DWG (1996) Pyroxene structures, cathodoluminescence and the thermal history of the enstatite chondrites. [Abee]. Meteoritics 31, 87-96.
El Goresy, A, Wopenka, B, Chen, M, Weinbruch, S and Sharp, TG (1997) Evidence for two different shock induced high-pressure events and alkali-vapor metasomatism in Peace River and Tenham (L6) chondrites. Lunar and Planetary Science 28, 329-330.
Haag, RA (1997) The Robert A. Haag Collection Field Guide of Meteorites. [Springwater, Abee, Bruderheim, Vulcan]. 12th Anniversary Edition, Tucson, AZ, 60pp..
Hall, J (1997) Meteorite trade out of this world for Canada. [Abee]. Toronto Star, A5.
Herzog, GF plus 11 (1997) Preatmospheric size of the St-Robert (H5) chondrite. Meteoritics & Planetary Science 32 no.4, supplement (Abs. 60th annual meeting, Hawaii), 59.
Hirata, T and Nesbitt, RW (1997) Distribution of platinum group elements and rhenium between metallic phases of iron meteorites. [Skookum]. EPSL 147, 11-24.
Hsu, W, Huss, GR and Wasserburg, GJ (1997) Mn-Cr systematics of differentiated meteorites. [Springwater]. Lunar and Planetary Science 28, 609-610.
Jackel, A, Romstedt, J and Bischoff, A (1997) Acfer 066 (LL3-6) - petrologic and track study of a spectacular regolith breccia. [Holman Island]. Lunar and Planetary Science 28, 645-646.
Kissin, SA and Herd, RK (1997) Two new iron meteorites from the province of Quebec, Canada. [Lac Dodon, Penouille]. Meteoritics & Planetary Science 32, 317-319.
Lavielle, B, Toe, S and Gilabert, E (1997) Noble gas measurements in the L/LL5 chondrite Knyahinya. [Bruderheim]. Meteoritics & Planetary Science 32, 97-107.
Mathew, KJ and Begemann, F (1997) Solar-like trapped noble gases in the Brenham pallasite. [Springwater]. J. Geophys. Res. 102 no.E5, 11015-11026.
Rubin, AE (1997) Mineralogy of meteorite groups: an update. [Peace River]. Meteoritics & Planetary Science 32, 733-734.
Rubin, AE and Scott, ERD (1997) Abee and related EH chondrite impact-melt breccias. GCA 61, 425-435.
Rubin, AE, Scott, ERD and Keil, K (1997) Shock metamorphism of enstatite chondrites. [Blithfield]. GCA 61, 847-858.
Smith, DGW (1997) The Ferintosh, Alberta, L6 chondrite. J. Roy. Astron. Soc. Canada 91, 121-126.
Wilson, GC and Kissin, SA (1997) "Toronto Iron": a new Canadian (?) meteorite. Presentation to the Meteorites and Impacts Advisory Committee to the Canadian Space Agency (MIAC), Montreal, 2pp.
Wilson, GC, Rucklidge, JC, Kilius, LR, Ding, G-J and Cresswell, RG (1997) Precious metal abundances in selected iron meteorites: in-situ AMS measurements of the six platinum-group elements plus gold. [Welland, Manitouwabing]. Nuclear Instruments and Methods in Physics Research B123, 583-588.
Chen, M, Xie, X, El Goresy, A, Wopenka, B and Sharp, TG (1998) Cooling rate in the shock veins of chondrites: constraints on the (MgFe)$_2$SiO$_4$ polymorph transformations. [Peace River]. Abs. International Mineralogical Association 17th General Meeting, 42, Toronto.
Herd, RK (curator) (1998) The National Meteorite Collection of Canada. [numerous]. MIAC 1998 annual meeting, Ottawa, museum tour.
Hohenberg, CM, Brazzle, RH, Pravdivtseva, OV and Meshik, AP (1998) Iodine-xenon chronometry: the verdict. [Beaver Creek]. Meteoritics & Planetary Science 33, supplement, A69-70.
Horan, MF, Smoliar, MI and Walker, RJ (1998) $^{182}$W and $^{187}$Re-$^{187}$Os systematics of iron meteorites: chronology for melting, differentiation, and crystallization in asteroids. [Osseo]. GCA 62, 545-554.
Hsu, W (1998) Geochemical and petrographic studies of oldhamite, diopside, and roedderite in enstatite meteorites. [Abee]. Meteoritics & Planetary Science 33, 291-301.
Hsu, W and Crozaz, G (1998) Mineral chemistry and the origin of enstatite in unequilibrated enstatite chondrites. [Abee]. GCA 62, 1993-2004.
Lugmair, GW and Shukolyukov, A (1998) Early solar system timescales according to $^{53}$Mn-$^{53}$Cr systematics. [Springwater]. GCA 62, 2863-2886.
Rucklidge, JC (1998) MIAC regional report for 1998. [Kitchener, Burstall]. MIAC 1998 annual meeting, Ottawa.
Wasson, JT, Choi, B-G, Jerde, EA and Ulff-Moller, F (1998) Chemical classification of iron meteorites: XII. New members of the magmatic groups. [Manitouwabing]. GCA 62, 715-724.
Birck, JL, Rotaru, M and Allegre, CJ (1999) $^{53}$Mn-$^{53}$Cr evolution of the early solar system. [Abee]. GCA 63, 4111-4117.
Brazzle, RH, Pravdivtseva, OV, Meshik, AP and Hohenberg, CM (1999) Verification and interpretation of the I-Xe chronometer. [Bruderheim]. GCA 63, 739-760.
Brisbin, WC (1999) Edward I. Leith, 1906-1999. [Homewood]. Geolog 28 part 4, 39-40.
Grossman, JN (1999) The Meteoritical Bulletin, No. 83, 1999 July. [Toronto]. Meteoritics & Planetary Science 34, A169-186.
Herd, RK (1999) The national meteorite collection of Canada. [Madoc]. GAC/MAC Abs. 24, 53, Sudbury.
Lauretta, DS, Devouard, B and Buseck, PR (1999) The cosmochemical behavior of mercury. [Abee, Bruderheim]. EPSL 171, 35-47.
McSween, HY (1999) Meteorites and their Parent Bodies. [Bruno, St-Robert]. Cambridge University Press, 2nd edition, 310pp..
Mittlefehldt, DW (1999) Geochemistry and origin of pallasite olivines. [Springwater]. Lunar and Planetary Science 30, abstract 1828.
Rucklidge, JC (1999) The Kitchener meteorite. Wat on Earth 13 no.1, 12, University of Waterloo.
Szep, R (1999) The Third Millennium Meteorite Calendar. [Kitchener, Giroux, St-Robert]. superimpactor.com, Guelph, Ontario, 32pp.
Wilson, GC (1999) Archaeological and meteorite-verification projects, 1998-99. [Kitchener, Burstall]. IsoTrace Laboratory Report, University of Toronto, 15p+viip.
Wilson, GC (1999) The R.O.M. meteorite collections: a concise catalogue update. [numerous]. Report for Royal Ontario Museum, Toronto, 18pp.
Wilson, GC and Rucklidge, JC (1999) Mineralogy and classification of the Kitchener chondrite, a recent fall in southern Ontario. IsoTrace Laboratory, University of Toronto, Tech.Rep., 16pp.
Anon (2000) Meteorite a 'cosmic bonanza' for scientists. [Tagish Lake]. Reuters Online, 2pp.
Anon (2000) Yukon meteorite bonanza. [Tagish Lake]. Sky and Telescope 99 no.6, 22.
Brown, PG, Hildebrand, AR, Zolensky, ME, Grady, MM, Clayton, RN, Mayeda, TK plus 16 (2000) The fall, recovery, orbit, and composition of the Tagish Lake meteorite: a new type of carbonaceous chondrite. Science 290, 320-325.
Chen, JH, Papanastassiou, DA and Wasserburg, GJ (2000) Re-Os systematics in pallasites and in group IIIAB high-Ni iron meteorites. [Springwater]. Lunar and Planetary Science 31, abstract 1505.
Chen, M and El Goresy, A (2000) The nature of maskelynite in shocked meteorites: not diaplectic glass but a glass quenched from shock-induced dense melt at high pressures. [Peace River]. EPSL 179, 489-502.
Friedrich, JM and Lipschutz, ME (2000) Chemical analysis of L chondrites: forty-five elements by ICPMS. [Bruderheim]. Lunar and Planetary Science 31, abstract 1020.
Garrison, D, Hamlin, S and Bogard, D (2000) Chlorine abundances in meteorites. [Bruderheim, Abee]. Meteoritics & Planetary Science 35, 419-429.
Grady, MM (2000) Catalogue of Meteorites. [numerous]. Natural History Museum, London / Cambridge University Press, 5th edition, 690pp. plus CD-ROM.
Grady, MM, Wright, IP, Verchovsky, AB, Pillinger, CT and Zolensky, ME (2000) Carbon (and eventually nitrogen and argon) in the Tagish Lake (Yukon) carbonaceous chondrite. Meteoritics & Planetary Science 35, A62-63.
Grossman, JN (2000) The Meteoritical Bulletin, No.84, 2000 August. [Tagish Lake]. Meteoritics & Planetary Science 35, supplement, A199-225.
Grossman, JN (2000) A meteorite falls on ice. [Tagish Lake, Revelstoke]. Science 290, 283,285.
Guan, Y, Huss, GR, MacPherson, GJ and Wasserburg, GJ (2000) Calcium-aluminum-rich inclusions from enstatite chondrites: indigenous or foreign? [Abee]. Science 289, 1330-1333.
Herd, RK (2000) Quirks and Quarks. [Tagish Lake]. CBC Radio 1 program.
Herd, RK (2000) Petrology of the Kitchener L6 (S2) chondrite: preliminary textural and mineralogical results from scanning electron microscope mapping. Meteoritics & Planetary Science 35, A70-71.
Herd, RK, Hunt, PA, Venance, K and Protheroe, WJ (2000) Petrology of two new Canadian meteorites: Kitchener and Tagish Lake. MIAC 2000 annual meeting, Toronto.
Hidaka, H, Ebihara, M and Yoneda, S (2000) Isotopic study of neutron capture effects on Sm and Gd in chondrites. [Bruderheim]. EPSL 180, 29-37.
Hildebrand, AR, Brown, PG, Zolensky, ME, Lindstrom, D, Wacker, J and Tagliaferri, E (2000) The fireball and strewn field of the Tagish Lake meteorites, fell January 18, 2000, in northern British Columbia. Meteoritics & Planetary Science 35, A73.
Jull, AJT, Lal, D, Burr, GS, Bland, PA, Bevan, AWR and Beck, JW (2000) Radiocarbon beyond this world. [Bruderheim]. Radiocarbon 42, 151-172.
Kato, F, Ozaki, H and Ebihara, M (2000) Distribution of halogens in an Antarctic ordinary chondrite, Y-74014 (H6). [Bruderheim]. Antarctic Meteorite Research 13, National Institute of Polar Research, Tokyo, 349pp., 121-134.
Kissin, S and Lacombe, P (2000) Some iron meteorite problematica. [Manitouwabing, Madoc, Welland]. MIAC 2000 annual meeting, Toronto.
Kulyk, C (2000) Pieces of heaven. [St-Robert, Madoc]. SkyNews 5 no.6, 10-14.
Kulyk, C (2000) Jim Brook's excellent meteorite adventure. [Tagish Lake]. SkyNews 6 no.3, 8-9.
Lee, D-C and Halliday, AN (2000) Accretion of primitive planetesimals: Hf-W isotopic evidence from enstatite chondrites. [Abee]. Science 288, 1629-1631.
Mathew, KJ, Palma, RL, Marti, K and Lavielle, B (2000) Isotopic signatures and origin of nitrogen in IIE and IVA iron meteorites. [Skookum]. GCA 64, 545-557.
McSween, HY (2000) Identifying cosmic muck. [Tagish Lake]. Nature 407, 843-844.
Newton, J, Franchi, IA and Pillinger, CT (2000) The oxygen-isotopic record in enstatite meteorites. [Abee]. Meteoritics & Planetary Science 35, 689-698.
Okazaki, R, Takaoka, N, Nakamura, T and Nagao, K (2000) Cosmic-ray exposure ages of enstatite chondrites. [Abee, Blithfield]. Antarctic Meteorite Research 13, National Institute of Polar Research, Tokyo, 349pp., 153-169.
Paliwal, BS, Tripathi, RP, Verma, HC and Sharma, SK (2000) Classification of the Didwana-Rajod meteorite: a Mossbauer spectroscopic study. [Abee]. Meteoritics & Planetary Science 35, 639-642.
Phillips, T (2000) Arctic asteroid! [Tagish Lake]. NASA Space Science News on , 4pp.
Rucklidge, JC, Wilson, GC, Herd, RK and Wacker, JF (2000) The Kitchener L6 veined chondrite: fell 0830 EDT, July 12 1998. Lunar and Planetary Science 31, abstract 2005.
Wang, M-S and Lipschutz, ME (2000) Thermally-labile trace elements in enstatite meteorites. [Abee]. Lunar and Planetary Science 31, abstract 1029.
Wilkison, SL and Robinson, MS (2000) Bulk density of ordinary chondrite meteorites and implications for asteroidal internal structure. [Beaver Creek]. Meteoritics & Planetary Science 35, 1203-1213.
Zolensky, ME, Grady, MM, Clayton, RN, Mayeda, TK, Hildebrand, AR, Brown, PG, Brook, JL and Roots, CF (2000) Tagish Lake: a special new type 2 carbonaceous chondrite fall. Meteoritics & Planetary Science 35, A178-179.
Part 5, 2001 to 2010 (247 items)
Baker, L, Franchi, IA, Bland, PA, Wright, IP and Pillinger, CT (2001) Insight into the evolution of the Tagish Lake carbonaceous chondrite by analysis of the oxygen isotopic composition of extracted water and Mossbauer spectroscopy. Lunar and Planetary Science 32, abstract 1703.
Baker, L, Franchi, IA, Wright, IP and Pillinger, CT (2001) Oxygen isotopes in water extracted from carbonaceous chondrites. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A13, Vatican City.
Botta, O, Glavin, DP, Kminek, G and Bada, JL (2001) Identification of amino acid signatures in carbonaceous chondrites. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A26-27, Vatican City.
Busemann, H, Baur, H and Wieler, R (2001) Subsolar noble gases in an acid-resistant residue of the EH5 chondrite St. Mark's. [Abee]. Meteoritics & Planetary Science 36 no.9, A34, Vatican City.
Busfield, A, Gilmour, JD, Whitby, JA, Simon, SB, Grossman, L, Tang, CC and Turner, G (2001) I-Xe analyses of Tagish Lake magnetite and Monahans halite. Meteoritics & Planetary Science 36 no.9, A34-35, Vatican City.
Clayton, RN and Mayeda, TK (2001) Oxygen isotopic composition of the Tagish Lake carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1885.
Engrand, C, Gounelle, M and Zolensky, ME (2001) Oxygen isotopic composition of Tagish Lake. Meteoritics & Planetary Science 36 no.9, A54, Vatican City.
Engrand, C, Gounelle, M, Duprat, J and Zolensky, ME (2001) In-situ oxygen isotopic composition of individual minerals in Tagish Lake, a unique type 2 carbonaceous meteorite. Lunar and Planetary Science 32, abstract 1568.
Flynn, GJ, Keller, LP, Jacobsen, C and Wirick, S (2001) FTIR and carbon-xanes examination of organic carbon in Tagish Lake: evidence for a moderately volatile organic component. Lunar and Planetary Science 32, abstract 1593.
Gilmour, I, Pearson, VK and Sephton, MA (2001) Analysis of Tagish Lake macromolecular organic material. Lunar and Planetary Science 32, abstract 1993.
Gilmour,I, Sephton,MA and Pearson,VK (2001) The Tagish Lake chondrite and the interstellar parent body hypothesis. Lunar and Planetary Science 32, abstract 1969.
Gounelle,M and Zolensky,ME (2001) A terrestrial origin for sulfate veins in CI1 chondrites. [Revelstoke]. Meteoritics & Planetary Science 36, 1321-1329.
Gounelle,M, Zolensky,ME, Tonui,E and Mikouchi,T (2001) Mineralogy of Tagish Lake, a unique type 2 carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1616.
Grady,MM, Franchi,IA, Verchovsky,AB, Wright,IP and Pillinger,CT (2001) Continued investigation of the light element geochemistry of Tagish Lake. Lunar and Planetary Science 32, abstract 1733.
Grady,MM, Verchovsky,AB, Franchi,IA, Wright,IP and Pillinger,CT (2001) Noble gases in Tagish Lake. Meteoritics & Planetary Science 36 no.9, A71-72, Vatican City.
Grossman,L and Simon,SB (2001) Refractory inclusions in Tagish Lake: a strong link to the CMs. Meteoritics & Planetary Science 36 no.9, A73-74, Vatican City.
Herd,RK, Hunt,PA, Venance,KE and Protheroe,WJ (2001) Petrology of the Tagish Lake carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1928.
Hiroi,T, Zolensky,ME and Pieters,CM (2001) The Tagish Lake meteorite: first sample from the D asteroids. Antarctic Meteorites 26, NIPR, Tokyo, 183pp., 29-31.
Hiroi,T, Zolensky,ME and Pieters,CM (2001) The Tagish Lake meteorite: a possible sample from a D-type asteroid. Science 293, 2234-2236.
Jensen,MR, Jensen,WB and Black,AM (2001) Meteorites from A to Z. [numerous]. Michael R. Jensen, Jensen Meteorites, Littleton, CO, 244pp.
Keller,LP and Flynn,GJ (2001) Matrix mineralogy of the Tagish Lake carbonaceous chondrite: TEM and FTIR studies. Lunar and Planetary Science 32, abstract 1639.
Kissin,SA (2001) Notes on the Hagersville, Burstall, 'Argentina' and Chibougamau meteorites. Lakehead University, unpublished report, 2pp.
Kollar,D, Masarik,J and Reedy,RC (2001) Cosmogenic radionuclide profiles in Tagish Lake meteorite. Meteoritics & Planetary Science 36 no.9, A103, Vatican City.
Leshin,LA, Farquhar,J, Guan,Y, Pizzarello,S, Jackson,TL and Thiemens,MH (2001) Oxygen isotope anatomy of Tagish Lake: relationship to primary and secondary minerals in CI and CM chondrites. Lunar and Planetary Science 32, abstract 1843.
Leya,I plus 14 (2001) Exposure history of the St-Robert (H5) fall. Meteoritics & Planetary Science 36, 1479-1494.
Lindstrom,DJ (2001) Calibration of cosmic ray-produced nuclides in meteorites by normalization to $^{40}$K - application to the Tagish Lake meteorite. Lunar and Planetary Science 32, abstract 2073.
McCord,T (2001) Vic's meteorite donated to Alberta museum: sacred First Nations artifact has been Vic's property since the late 19th century. [Iron Creek]. Strand 44 no.7, Victoria University in the University of Toronto, 1-2.
Messenger,S (2001) Hydrogen isotopic measurements of the Tagish Lake meteorite. Lunar and Planetary Science 32, abstract 1916.
Mikouchi,T, Kasama,T, Zolensky,ME and Tachikawa,O (2001) Transmission electron microscopy of the matrix minerals in the Tagish Lake carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1371.
Nakamura,K, Zolensky,ME, Tomita,S and Tomeoka,K (2001) In situ observation of carbonaceous globules in the Tagish Lake chondrite. Meteoritics & Planetary Science 36 no.9, A145-146, Vatican City.
Nakamura,T, Noguchi,T, Zolensky,ME and Takaoka,N (2001) Noble gas isotope signatures and X-ray and electron diffraction characteristics of Tagish Lake carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1621.
NHM (2001) Meteorites. [Springwater]. Natural History Museum, London, museum visit.
Noguchi,T, Nakamura,T and Nozaki,W (2001) Mineralogy of phyllosilicate-rich micrometeorites and their relationship with some CI and CM chondrites. [Tagish Lake]. Antarctic Meteorites 26, NIPR, Tokyo, 183pp., 109-112.
Noguchi,T, Nakamura,T and Nozaki,W (2001) Phyllosilicate-rich micrometeorites and their origins: implication from comparison of mineralogy with some carbonaceous chondrites. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A150, Vatican City.
Nozaki,W, Nakamura,T, Noguchi,T and Takaoka,N (2001) D-type asteroids as a possible parental object of micrometeorites: experimental reproduction of micrometeorites from Tagish Lake carbonaceous chondrite. Meteoritics & Planetary Science 36 no.9, A150-151, Vatican City.
Okazaki,R, Nagao,K, Takaoka,N and Nakamura,T (2001) Studies of trapped noble gases in enstatite chondrites by a laser microprobe technique. [Abee]. Meteoritics & Planetary Science 36 no.9, A152-153, Vatican City.
Patzer,A and Schultz,L (2001) Noble gases in enstatite chondrites I: exposure ages, pairing, and weathering effects. [Abee]. Meteoritics & Planetary Science 36, 947-961.
Pearson,VK, Sephton,MA, Gilmour,I and Franchi,IA (2001) Hydrogen isotopic composition of the Tagish Lake meteorite: comparison with other carbonaceous chondrites. Lunar and Planetary Science 32, abstract 1861.
Pinsker,LM (2001) Reflections on the Tagish Lake meteorite. Geotimes 46 no.11, 11.
Pizzarello,S (2001) Soluble organics in the Tagish Lake meteorite: a preliminary assessment. Lunar and Planetary Science 32, abstract 1886.
Pizzarello,S and Huang,Y (2001) Molecular and isotopic analyses of Tagish Lake alkyl dicarboxylic acids. Meteoritics & Planetary Science 36 no.9, A163-164, Vatican City.
Pizzarello,S, Huang,Y, Becker,L, Poreda,RJ, Nieman,RA, Cooper,G and Williams,M (2001) The organic content of the Tagish Lake meteorite. Science 293, 2236-2239.
Poreda,RJ and Becker,L (2001) Fullerene and the nature of planetary atmospheres. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A164, Vatican City.
Quitte,G, Birck,JL and Allegre,CJ (2001) History and evolution of metal from stony-iron meteorites according to tungsten isotopes and relationship with eucrites. [Springwater]. Meteoritics & Planetary Science 36 no.9, A170-171, Vatican City.
Rubin,AE, Ulf-Moller,F, Wasson,JT and Carlson,WD (2001) The Portales Valley meteorite breccia: evidence for impact-induced melting and metamorphism of an ordinary chondrite. [Blithfield]. GCA 65, 323-342.
Schnabel,C, Leya,I, Wieler,R, Herd,RK, Synal,H-A, Krahenbuhl,U and Herzog,GF (2001) $^{129}$I in Knyahinya and Abee and a first estimate of GCR constancy over 20 Myr. Meteoritics & Planetary Science 36 no.9, A183-184, Vatican City.
Semeniuk,I (2001) Anatomy of a fall: the Tagish Lake meteorite. Mercury 30 no.6, 34-35.
Simon,SB and Grossman,L (2001) Petrography and mineral chemistry of the chondrule, inclusion and olivine populations in the Tagish Lake carbonaceous chondrite. Lunar and Planetary Science 32, abstract 1240.
Simon,SB and Grossman,L (2001) The isolated olivine grain population and accretionary rims observed in Tagish Lake. Meteoritics & Planetary Science 36 no.9, A189-190, Vatican City.
Steele, A, Toporski, JKW and McKay, DS (2001) The terrestrial contamination of meteorites: an update. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A197, Vatican City.
Wacker, JF, Hildebrand, AR and Brown, PG (2001) Pre-fall shapes and sizes for the Juancheng and Tagish Lake meteoroids from cosmogenic nuclide abundances. Meteoritics & Planetary Science 36 no.9, A216-217, Vatican City.
Walton, EL and Spray, JG (2001) Formation and evolution of the Benton LL6 chondrite. Meteoritics & Planetary Science 36 no.9, A218, Vatican City.
Wasson, JT and Richardson, JW (2001) Fractionation trends among IVA iron meteorites: contrasts with IIIAB trends. [Millarville]. GCA 65, 951-970.
Zanda, B and Rotaru, M (editors) (2001) Meteorites, their Impact on Science and History. [Springwater]. Cambridge University Press, 128pp.
Zolensky, M and Ivanov, A (2001) Kaidun: a smorgasbord of new asteroid samples. [Tagish Lake]. Meteoritics & Planetary Science 36 no.9, A233, Vatican City.
Zolensky, ME, Nakamura, K, Tonui, E, Mikouchi, T, Gounelle, M, Hildebrand, A and Brown, P (2001) The Tagish Lake meteorite: not your typical C2 chondrite. Antarctic Meteorites 26, NIPR, Tokyo, 183pp., 178-180.
Anon (2002) Rare meteorite discovered near Owen Sound. [Southampton]. University of Western Ontario, press release.
Baker, L, Franchi, IA, Wright, IP and Pillinger, CT (2002) The oxygen isotopic composition of water from Tagish Lake: its relationship to low-temperature phases and to other carbonaceous chondrites. Meteoritics & Planetary Science 37, 977-985.
Blakeslee, DJ (2002) Sacred places, sacred symbols: meteoric iron and the Garden of Evening Star. [Iron Creek]. In `Chacmool: Proc. 27th Ann. Conf. of the Archaeological Assoc. of the University of Calgary' (Allum, C, Kahn, J, Cluney, C and Peurakmaki-Brown, M editors), 394pp., 52-59.
Bland, PA, Cressey, G and Menzies, ON (2002) A continuum of aqueous alteration in the carbonaceous chondrites. [Tagish Lake]. Meteoritics & Planetary Science 37 no.7, supplement, A18.
Boyd, C (2002) Avid rock collector finds rare meteorite on Lake Huron shore. [Southampton]. Globe and Mail, A12.
Brown, PG, Hildebrand, AR and Zolensky, ME (2002) Tagish Lake. Meteoritics & Planetary Science 37, 619-621.
Brown, PG, ReVelle, DO, Tagliaferri, E and Hildebrand, AR (2002) An entry model for the Tagish Lake fireball using seismic, satellite and infrasound records. Meteoritics & Planetary Science 37, 661-675.
Bullock, ES, Gounelle, M, Grady, MM and Russell, SS (2002) Fe-Ni sulphides in Tagish Lake and CI1 and CM2 carbonaceous chondrites. Meteoritics & Planetary Science 37 no.7, supplement, A27.
Cody, GD, Alexander, CMO'D and Tera, F (2002) A chemical comparison of the organic solids from Orgueil, Murchison, and Tagish Lake. Meteoritics & Planetary Science 37 no.7, supplement, A36.
Floss, C (2002) Queen Alexandra Range 93148: a new type of pyroxene pallasite? [Springwater]. Meteoritics & Planetary Science 37, 1129-1139.
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Luu, TH, Petitat, M, Birck, J-L and Gounelle, M (2009) $^{54}$Cr isotopic anomalies in the Tagish Lake and Orgueil carbonaceous chondrites. Meteoritics & Planetary Science 44, A125.
Marlow, I and Goddard, J (2009) Places to find space rocks: 1. The moon. 2. Newmarket. [Buzzard Coulee]. Toronto Star, A1, 18.
McCausland,PJA and Plotkin,H (2009) The 1904 Shelburne (Ontario) L5 chondrite fall, revisited. J.Roy.Astron.Soc.Canada 103, 181-188.
McCausland,PJA, Flemming,RL, Wilson,GC, Renaud,J and Dillon,D (2009) The Wood Lake, Ontario H4 ordinary chondrite, a new Canadian meteorite. GAC/MAC Abs. 34, 1p., Toronto.
Nicklin,I (2009) Meteorite inventory. [numerous]. Royal Ontario Museum, 8pp.
Paperny,AM (2009) ‘Vandal’ from outer space smashed family’s SUV. [Grimsby]. Globe and Mail, A11.
Royal Ontario Museum (2009) The Teck Suite of Galleries. [Osseo, St-Robert]. Royal Ontario Museum, Toronto, new galleries.
Smith,C, Russell,S and Benedix,G (2009) Meteorites. [Tagish Lake]. Firefly Books / Natural History Museum, London, 112pp.
Weisberg,MK, Smith,C, Benedix,G, Folco,L, Righter,K, Zipfel,J, Yamaguchi,A and Chennaoui Aoudjehane,H (2009) The Meteoritical Bulletin, No.95. [Buzzard Coulee]. Meteoritics & Planetary Science 44, 429-462.
Whyte,AJ (2009) The Meteorites of Alberta. [numerous]. University of Alberta Press, Edmonton, 290pp.
Alexander,CMO'D, Cody,GD, Bowden,R, Fogel,ML and Herd,CDK (2010) Parent body modification of the structure, and elemental and isotopic compositions of IOM in Tagish Lake. Meteoritics & Planetary Science 45, A7.
Anon (2010) If this rock could talk. [Springwater]. Globe & Mail, p.A3.
Anon (2010) ROM's space walk a slice of the past. [Springwater]. Metro News, Toronto, p.6.
Blinova,A, Herd,CDK and Matveev,S (2010) Chondrules in the Tagish Lake meteorite: lithological variations. Meteoritics & Planetary Science 45, A17.
Bogard,DD, Dixon,ET and Garrison,DH (2010) Ar-Ar ages and thermal histories of enstatite meteorites. [Abee, Blithfield]. Meteoritics & Planetary Science 45, 723-742.
Cartwright,JA, Herrmann,S, McCausland,PJA, Brown,PG and Ott,U (2010) Noble gas analysis of the Grimsby H chondrite. Meteoritics & Planetary Science 45, A30.
Consolmagno,GJ, Opeil,CP and Britt,DT (2010) Thermal conductivities and porosities of stony meteorites. [Abee]. Meteoritics & Planetary Science 45, A38.
Croning, RA and Davis, NA (2010) Return to Buzzard Coulee. Meteorite 16 no.1, 8-11.
De Gregorio, BT, Stroud, RM, Nittler, LR, Cody, GD, Alexander, CMO’D and Herd, CDK (2010) Isotopic and chemical variations on the nanoscale of distinct lithologies from the Tagish Lake meteorite. Meteoritics & Planetary Science 45, A69.
Glavin, DP, Callahan, MP, Dworkin, JP, Elsila, JE and Herd, CDK (2010) Parent body influences on amino acids in the Tagish Lake meteorite. Meteoritics & Planetary Science 45, A64.
Herd, CDK, Slater, GF and Hilts, RW (2010) Monocarboxylic acids in the Tagish Lake meteorite: insights into the role of parent body processing. Meteoritics & Planetary Science 45, A79.
Izawa, MRM, Flemming, RL, King, PL, Peterson, RC and McCausland, PJA (2010) Mineralogical and spectroscopic investigation of the Tagish Lake carbonaceous chondrite by X-ray diffraction and infrared reflectance spectroscopy. Meteoritics & Planetary Science 45, 675-698.
Jirasek, R (2010) Buzzard huntin’ - a meteorite hunting story. [Buzzard Coulee]. Meteorite Hunting & Collecting Magazine 1 no.3, 4-5.
Kofman, RS, Herd, CDK and Froese, DG (2010) The Whitecourt meteorite impact crater, Alberta, Canada. Meteoritics & Planetary Science 45, 1429-1445.
Macke, RJ, Consolmagno, GJ, Britt, DT and Hutson, ML (2010) Enstatite chondrite density, magnetic susceptibility, and porosity. [Abee, Blithfield]. Meteoritics & Planetary Science 45, 1513-1526.
Majden, EP (2010) DEW Line tektites. [numerous]. E-mail to GCW.
McCausland, PJA, Brown, PG, Hildebrand, AR, Flemming, RL, Barker, I, Moser, DE, Renaud, J and Edwards, W (2010) Fall of the Grimsby H5 chondrite. Lunar and Planetary Science 41, abstract 2716 and poster.
Remusat, L, Rouzaud, J-N, Le Guillou, C and Eiler, JM (2010) Graphite and organic matter in Abee enstatite chondrite. Meteoritics & Planetary Science 45, A170.
Reynolds, MD (2010) Falling Stars: a Guide to Meteors and Meteorites. [Abee]. Stackpole Books, Mechanicsburg, PA, 2nd edition, 150pp.
Ruf, C (2010) Rare meteorite lands at ROM. [Springwater]. National Post, p.A12.
Sakamoto, K, Nakamura, T, Noguchi, T and Tsuchiyama, A (2010) A new variant of saponite-rich micrometeorites recovered from recent Antarctic snowfall. [Tagish Lake]. Meteoritics & Planetary Science 45, 220-237.
Scott, ERD, Goldstein, JI and Yang, J (2010) Formation of stony-iron meteorites in early giant impacts. [Giroux]. Planetary Science Research Discoveries, 11pp.
Sears, D (2010) The meteorites of 2010. [Grimsby]. Meteorite 16 no.4, 41-42.
Shanos, GT (2010) Carbon in meteorites. [Tagish Lake]. Meteorite 16 no.3, 29-33.
van Drongelen, K, Tait, K, Clark, G and McCausland, PJA (2010) Petrographic and geochemical analysis of the Shelburne meteorite, an L5 ordinary-chondrite fall. J.Roy.Astron.Soc.Canada 104, 132-141.
Weisberg, MK, Smith, C, Benedix, G, Herd, CDK, Righter, K, Haack, H, Yamaguchi, A, Chennaoui Aoudjehane, H and Grossman, JN (2010) The Meteoritical Bulletin, No.97. [Grimsby]. Meteoritics & Planetary Science 45, 449-493.
Weisberg, MK, Smith, C, Herd, C, Haack, H, Yamaguchi, A, Chennaoui Aoudjehane, H, Welzenbach, L and Grossman, JN (2010) The Meteoritical Bulletin, No.98, September 2010. [Redwater]. Meteoritics & Planetary Science 45, 1530-1550.
Wesel, R and Bandli, M (2010) The Brothers Grimsby. Meteorite 16 no.2, 30-31.
Wilson, GC (2010) An appraisal of the Grimsby meteorite, southwestern Ontario. TGSL Reports 2010-03-A and B, for the University of Western Ontario, v+10pp. / iv+10pp.
Yabuta, H, Alexander, CMO, Fogel, ML, Kilcoyne, ALD and Cody, GD (2010) A molecular and isotopic study of the macromolecular organic matter of the ungrouped C2 WIS 91600 and its relationship to Tagish Lake and PCA 91008. Meteoritics & Planetary Science 45, 1446-1460.
Yang, J, Goldstein, JI and Scott, ERD (2010) Main-group pallasites: thermal history, relationship to IIIAB irons, and origin. [Springwater, Giroux]. GCA 74, 4471-4492.
Yang, J, Goldstein, JI, Michael, JR, Kotula, PG and Scott, ERD (2010) Thermal history and origin of the IVB iron meteorites and their parent body. [Skookum]. GCA 74, 4493-4506.
Part 6, 2011 to 2012, an incomplete view from June 2012 (18 items)
Brown,P, McCausland,PJA, Fries,M, Silber,E, Edwards,WN, Wong,DK, Weryk,RJ, Fries,J and Krzeminski,Z (2011) The fall of the Grimsby meteorite - I: Fireball dynamics and orbit from radar, video, and infrasound records. Meteoritics & Planetary Science 46, 339-363.
Dobrica,E, Engrand,C, Quirico,E, Montagnac,G and Duprat,J (2011) Raman characterization of carbonaceous matter in CONCORDIA Antarctic micrometeorites. [Tagish Lake]. Meteoritics & Planetary Science 46, 1363-1375.
Martins,Z (2011) Organic chemistry of carbonaceous meteorites. [Tagish Lake]. Elements 7 no.1, 35-40.
McCausland,PJA, Samson,C and McLeod,T (2011) Determination of bulk density for small meteorite fragments via visible light 3-D laser imaging. [St-Robert, Shelburne, Wood Lake, Tagish Lake]. Meteoritics & Planetary Science 46, 1097-1109.
Popova,O, Borovicka,J, Hartmann,WK, Spurny,P, Gnos,E, Nemtchinov,I and Trigo-Rodriguez,JM (2011) Very low strengths of interplanetary meteoroids and small asteroids. [Innisfree, Tagish Lake]. Meteoritics & Planetary Science 46, 1525-1550.
Rubin,AE (2011) Abee: the key to understanding the parent-body history of enstatite chondrites. Meteorite 17 no.4, 5-7.
Xie,X, Sun,Z and Chen,M (2011) The distinct morphological and petrological features of shock melt veins in the Suizhou L6 chondrite. [Peace River, Catherwood]. Meteoritics & Planetary Science 46, 459-469.
Zolensky,ME (2011) Extraterrestrial water. [Tagish Lake]. Elements 7 no.3, 152.
Beck,P, Pommerol,A, Thomas,N, Schmitt,B, Moynier,F and Barrat,J-A (2012) Photometry of meteorites. [Tagish Lake]. Icarus, manuscript accepted for publication, 54pp.
Kissin,SA, MacRae,ND and Keays,RR (2012) Southampton, Canada's third pallasite. CJES 49, in press.
Le Guillou,C, Rouzaud,J-N, Bonal,L, Quirico,E, Derenne,S and Remusat,L (2012) High resolution TEM of chondritic carbonaceous matter: metamorphic evolution and heterogeneity. [Tagish Lake]. Meteoritics & Planetary Science 47, 345-362.
McCausland,PJA, Flemming,RL, Wilson,GC, Renaud,J, Dillon,D and Holdsworth,RW (2012) The Wood Lake, Ontario, H4 ordinary chondrite, a new Canadian meteorite. CJES 49, in press.
Opeil, CP, Consolmagno, GJ, Safarik, DJ and Britt, DT (2012) Stony meteorite thermal properties and their relationship with meteorite chemical and physical states. [Abee, Bruderheim]. Meteoritics & Planetary Science 47, 319-330.
Piani, L plus 10 (2012) Structure, composition, and location of organic matter in the enstatite chondrite Sahara 97096 (EH3). [Abee, Tagish Lake]. Meteoritics & Planetary Science 47, 8-29.
Wilson, GC and McCausland, PJA (2012) The curious meteorite harvest of the Lake Superior region I - overview. [numerous – as part of tabulation in poster format]. Abs. 58th Annual Meeting, Institute on Lake Superior Geology, vol. 58 part 1, 102pp., 97-98, Thunder Bay, ON.
Wilson, GC and Kissin, SA (2012) The curious meteorite harvest of the Lake Superior region II - gems in the rough. [Bernic Lake, and numerous U.S. Great-Lakes meteorites]. Abs. 58th Annual Meeting, Institute on Lake Superior Geology, vol. 58 part 1, 102pp., 99-100, Thunder Bay, ON.
Wilson, GC and McCausland, PJA (2012) Canadian meteorites: a brief review. [numerous]. CJES 49, in press.
Wilson, GC and McCausland, PJA (2012) Canadian meteorites: a brief review. [numerous – in poster format]. GAC/MAC Abstracts 35, St. John’s, 153.
About the author: Geologist and mineralogist Graham Wilson holds a B.A. (Hons.) from the Dept. of Geology and Mineralogy, University of Oxford, and a Ph.D. from the Dept. of Mineralogy and Petrology, University of Cambridge. He is a practising professional geoscientist in Ontario (P.Geo, APGO member 0623, 2002) and a fellow of the Geological Association of Canada (1986), the Geological Society of India (1996), and the Association of Applied (Exploration) Geochemists (1998). Member of the Association of Geoscientists for International Development, Meteoritical Society, Mineralogical Association of Canada, Prospectors and Developers Association of Canada, the Ontario Prospectors Association, and the Society of Economic Geologists. He was for many years a Research Associate of the IsoTrace Laboratory of the University of Toronto. Secretary of the Meteoritics and Impacts Advisory Committee to the Canadian Space Agency (2002-2006). He has developed his own Earth-science databases since 1983, and continues this work via his wholly-owned, federally-incorporated company, Turnstone Geological Services Ltd. (incorp. 1985). Author or co-author of some 700 reports, papers and abstracts, including roughly 500 reports in the Turnstone series, and about 40 articles in refereed journals.
See also:
http://www.turnstone.ca/
*****
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A stalwart opponent of censorship, he helped to publish a limited edition, twelve-volume set Arthur Machen's barred translation of Casanova's Memoirs, financing the printing in Mexico and the start of the career of the artist, Rockwell Kent, who illustrated them. Rex's financing of the printing, distribution, etc. was $24,000. During this time he was making a good income with the Educational Thrift Service that he had founded. He expected to lose his investment in the Casanova project, but instead made a profit. During this time he also lent $100,000 to Rockwell Kent so the soon-to-be-famous artist could work on at his art full time in Ireland.
Following is an array of archival data on The Memoirs of Jacques Casanova De Seingal.
- Excerpt regarding Stout’s Casanova project from *Rex Stout: A Biography* by John J. McAleer, Little, Brown, 1977
- Copy of front matter from Rex Stout’s set of the publication
- NY Times Article (October 1, 1997) “Learning to Love a Lover; Is Casanova's Reputation as a Reprobate a Bum Rap?”
- An Art Review of a showing of Rockwell Kent’s work
- A handwritten salutation to Rex Stout in the front of a rare used book that alludes to his “Casanova” project.
movement. He probed it like a muskmelon. What was too soft, too unyielding, or off in scent, color, or flavor, he passed by.
One of Rex’s liveliest friendships in this period was with Egmont Arens, his Washington Square Bookshop acquaintance, now his neighbor on West Eighth Street. Egmont was an artist, and later would pioneer streamlining in train design, but in seven years he already had had many careers in New York — as bookseller, editor of the original *Playboy*, art editor of *Vanity Fair*, officer of the Pratt Institute of Art, Manager of the People’s Symphony Concerts, editor of *The Philadelphian*, and founder of the Flying Stag Press. In 1921, with two friends, he had sailed the twenty-one-ton schooner yacht *Diablesse* to Europe. In prior times he had been a cowboy. Egmont was an amiable madman. He liked Rex and sought his friendship aggressively. Rex enjoyed Arens but could not share his emotional approach to life.
Rex’s objectivity perplexed Egmont. He campaigned to make inroads on it. Thus on 4 April 1924, he wrote Rex:
It’s not very easy to talk to you, because you are so careful, so covered up, so walled about, and one never knows whether the things you say are spoken for the benefit of strengthening the wall, or are the voice of the you within. As I have come to know even this little of your real self, I’ve often wondered why you bother so about the wall. The real you is so adequate and complete and fine and to-be-loved, that I’m amazed that you keep that part of you so hidden.\(^5\)
Despite his restraints, Rex soon joined Egmont in bringing out a deluxe twelve-volume edition of Arthur Machen’s translation of Casanova’s *Memoirs*, a book barred from the United States because of alleged erotic content. The idea originated with Egmont, but Rex took no convincing. Censorship would have his lifelong repugnance.
The plan was that Rex would finance the undertaking — which he did, to the sum of $24,000 — and that Egmont would handle the details of publication. This Egmont did with verve. He asked Havelock Ellis to write an introduction. When Ellis demurred, Egmont, undismayed, asked Arthur Symons to do it. Symons obliged. Egmont then got Arthur Machen himself to supply a new preface. Egmont’s efforts did not stop there. He hired Edmund Wilson to read, and correct as required, the whole of the text. Rockwell Kent was asked to prepare twelve illustrations. Egmont, calling himself “Eggface the Pirate,” further plotted to have Kent, then abroad, transport to Mexico the remainder of an earlier English edition of the *Memoirs*, so that they could control the market without competition. The scheme called for having Rex and himself fetch the books in Mexico and smuggle them back on a chartered yacht, by way of the Gulf. In Egmont’s mind, the thought that they might be intercepted by coast guard ships patrolling for bootleggers only added zest to the caper.
THE MEMOIRS OF JACQUES CASANOVA DE SEINGALT
THIS EDITION IS PRINTED FOR SUBSCRIBERS ONLY AND LIMITED TO ONE THOUSAND NUMBERED SETS OF WHICH THIS SET IS NUMBER
68
THE TYPE USED IS DERIVED FROM A FIFTEENTH CENTURY ITALIAN HANDWROUGHT FACE AND THE PAPER HAS BEEN SPECIALLY MADE AND WATERMARKED TO REPRODUCE AN EARLY ITALIAN HANDMADE PAPER
THE MEMOIRS OF
JACQUES CASANOVA
DE SEINGALT
Complete in twelve volumes as translated into English by Arthur Machen with an introduction by Arthur Symons a new preface by the translator and twelve drawings by Rockwell Kent
VOLUME TWELVE
Privately printed for subscribers only
AVENTUROS
1925
Learning to Love a Lover; Is Casanova's Reputation as a Reprobate a Bum Rap?
By DINITIA SMITH
Published: October 01, 1997
"I have loved women to a frenzy," the 18th-century writer and adventurer Giacomo Casanova wrote in his huge memoir, "History of My Life." And indeed he did. By one count, Casanova made love to 132 women during his life, a large number, at least by the preinflationary standards of the day.
His amorous pursuits made his reputation for the next 200 years, and the name "Casanova" became synonymous with a male neurosis. In popular culture, he has often been portrayed as something of a buffoon. In the 1954 film "Casanova's Big Night," Bob Hope masquerades as Casanova pursuing the lovely Joan Fontaine through Venice. In Fellini's "Casanova," with Donald Sutherland, and in "La Nuit de Varennes," with Marcello Mastroianni, Casanova is irredeemably dissolute.
But the popular portrayal has obscured Casanova's exploits as a magician, a spy, a translator of the "Iliad" and possibly, a co-author of the libretto for Mozart's "Don Giovanni." Casanova was said to be the only person ever to escape from the Doges' Palace in Venice. And he was a monumental egomaniac, able to find enough interesting material about himself to fill 12 volumes of writings.
But for the most part it has been nearly impossible to read Casanova's memoirs in English. They have long been out of print and difficult to obtain. Now, for the first time in over 25 years, they are available once again, in an attractively bound six-volume edition of a 1966 translation by Willard R. Trask, published in May by Johns Hopkins University Press. Next month, Farrar, Straus & Giroux will publish "Casanova, the Man Who Really Loved Women," written by a Belgian psychoanalyst, Lydia Flem. As much a meditation as a full-scale biography, Ms. Flem's book asserts that Casanova was something of a feminist.
It looks as if Casanova is on his way to rehabilitation.
"Having him available in translation makes it possible for people to discover he's a wonderful writer," said Jay Caplan, a professor of French literature at Amherst College.
For Robert Darnton, a professor of history at Princeton and an authority on French literature of the Revolutionary period, Casanova was not the usual Don Juan. "Casanova is a worldly-wise figure who rises above the defeats of his later life through the sheer power of his literary imagination," he said. "Sex is a part of the story, but only the vehicle for a deeper knowledge of the human condition." But who was the historical Casanova? How much of what he wrote was true? J. Rives Childs, a diplomat and author of a 1988 biography of Casanova, combed archives across Europe in an attempt to track down the facts behind Casanova's assertions. "Much has been made," Childs wrote, of "the occasional discrepancies found in the narrative." But most of these lapses, Childs said diplomatically, occur because "Casanova was of exemplary punctiliousness in protecting the identity of women of any social standing with whom he had liaisons."
He was born Giacomo Casanova in Venice in 1725, of Spanish ancestry. In his memoir, he claims that one of his ancestors sailed with Christopher Columbus. Casanova's parents were actors, considered a lowly class by Venetians, but were nonetheless immensely popular. Young Giacomo was a sickly child, given to nosebleeds. When he was only a year old, his mother, Zaneta, abandoned him to the care of his grandmother so that she could pursue her acting career. It could be argued that the rest of his life was a search for the maternal warmth that was abruptly taken from him when he was a baby.
Judging from Casanova's own account of his early exploits, he was a beautiful boy, androgynous in appearance, with curly hair that young girls liked to run their fingers through. When he was 11, Casanova was sent to Padua to study for the priesthood under the tutelage of an Abbe Gozzi. It was there that Casanova seems to have found his real calling, when he was seduced by the priest's sister, Bettina.
Shortly thereafter he returned to Venice in his priestly robes, and seduced two sisters simultaneously. He also came under the protection of the first of a series of rich patrons, a Senator Malipiero, who, Childs speculates, might have been his real father.
From then on, Casanova's life appears to have followed a pattern. There would be a rich patron. Casanova would get involved in a scheme. He would seduce someone. There would be a scandal, and he would have to leave town in a hurry. His feverish travels through France, Poland, Germany and Italy provide a panoramic history of 18th-century Europe, a landscape with few cultural boundaries.
In 1760, he met Voltaire. Casanova described their meeting thus:
"This," I said to him, "is the happiest moment of my life. I have a sight finally of my master; it is for 20 years, sir, that I have been your pupil."
Voltaire's reply, Casanova writes, was: "Honor me with another 20, but promise me also to come and bring my fees at the end of that time."
The two argued about poets -- including Ariosto, who was Casanova's favorite -- and Casanova told Voltaire he disagreed with some of his writings.
Casanova's memoirs are also a chronicle of 18th-century music. In 1784, by one account, he met Da Ponte. In Childs's biography of Casanova, he quotes an eyewitness to the encounter as recalling that Da Ponte asked Casanova to help with the libretto for "Don Giovanni," an opera that somewhat resembles his own autobiography.
Equal-Opportunity Approach to Women
Casanova seduced women of all classes, including a number of nuns. He also seemed to like underage girls. He never married, though he had children. In one precipitous episode, he almost married his own daughter, Leonilda. He actually went to bed with her and her mother, though he said that he left the child "intact."
Still, Dr. Flem argues in her new book: "Casanova never breaks up with a woman. Separation is always by mutual consent." And when he breaks up with a woman, there is "no rancor, no heartbreak, no revenge, no heartache. At most a bit of sadness."
Sometimes, Casanova writes, he liked women to dress him up as a girl. He appears to have had some homosexual experiences, though he preferred women to men.
But above all, Casanova liked his women to be intelligent. "Without speech, the pleasure of love is diminished by at least two-thirds," he wrote.
"Casanova was in love with women," Dr. Flem said in a telephone interview from her vacation home in Brittany. "He doesn't try to make a collection of women."
He had a gallant side, too, and was forever coming to the aid of women in distress, including women who were pregnant by men other than him.
"I fell in love with him," Dr. Flem said. "I think he is a man who can understand women. Because, in a certain way, a part of him is like a woman. He likes intelligent women very much. Women are not just an object of desire, but people to talk to. He's very afraid of hurting them, and he likes to stay friends after being lovers. And he is one of the best writers of that century."
In 1743 or 1744, Casanova published a poem that whetted his appetite for "the rewards and practice of literature," he said. He eventually abandoned his plans for the priesthood, and began earning his living as a violinist and a gambler.
The great love of Casanova's life was Henriette, whom he met in 1749. She seems to have been a cross-dresser. Henriette called him "the most honorable man I have ever met in this world." When they parted company in a hotel room in Geneva, she carved a message to him on the window with the point of a diamond. "You will forget Henriette, too," she wrote.
Years later, when he encountered her again, he failed to recognize her. "We have both aged," Henriette wrote to him in 1769 when she was 51. "But will you believe me that while I still love you, I am happy that you did not recognize me? It is not that I am ugly, but plumpness has altered my physiognomy."
The most famous of Casanova's escapades occurred in 1756-1757 in Venice, after he had published an anti-clerical poem and had been imprisoned in the Leads, the prison in the Doges' Palace, by the Inquisition. Casanova broke through the floor of his cell and escaped with the aid of an accomplice. He was said to be the first person ever to have found his way out of the place. Twenty years later, Casanova switched roles, and became a secret agent for the Inquisition.
Among his many jobs, Casanova raised money for the French authorities. He was the founder, in 1757, of a national lottery. Around that time, Casanova also became, temporarily, rich, and began referring to himself as the Chevalier de Seingalt. All his life, he engaged in a series of schemes to make money, including a crackpot attempt in 1763 to transmigrate the soul of the Marquise d'Urfe into the body of a male infant.
By the age of 65, Casanova had worn himself out. His powers had faded, and he got a job as a librarian for Count Joseph Charles de Waldstein at his castle at Dux. It was a terrible time for the old libertine. He was bored, and he hated the food.
Casanova's days in the castle, as described by Prince Charles de Ligne, the Duke's uncle, and quoted in the Childs biography, were not happy. "There was not a day in which, whether for his coffee, his milk, the plate of macaroni he demanded, there was not a quarrel," de Ligne wrote. Worse, Casanova became something of a laughing stock. "He had become angry, they had laughed," de Ligne wrote. "He had shown his French verses, they had laughed. He had gesticulated, declaiming Italian verses, they had laughed."
Memoirs Survive An Allied Air Raid
And so Casanova began his memoirs, "the only remedy to keep from going mad or dying of grief," he wrote. For nine years, he scribbled furiously for 13 hours a day in French, a language that he loved and was more widely spoken than Italian. By the time he died in 1798, his strongest attachment was to his fox terrier, Finette. The cause of death was said to be a painful disease of the bladder. His memoirs extended only to the year 1774.
According to de Ligne, Casanova's last words were: "I have lived as a philosopher and die as a Christian."
For years, Casanova's memoirs languished. Then, in 1820, one of his descendants offered them to F. A. Brockhaus, the German publisher, and Brockhaus published an edited version in German.
During World War II, Brockhaus hid the manuscript in 12 cartons under the Brockhaus office in Leipzig. But the building was hit by an Allied bomb. Casanova's writings were rescued and taken by bicycle to a bank vault. In 1960, Brockhaus published the memoirs in their full form.
"His final conquest, his most beautiful courtesan, is writing," Dr. Flem writes. "Words capture the scents, flavors, curves, textures, sounds and colors of memories." In the end, she writes, Casanova's memoirs are "a display that runs the entire gamut of the senses, warming the soul of an exile who dreads boredom."
social standing with whom he had liaisons."
He was born Giacomo Casanova in Venice in 1725, of Spanish ancestry. In his memoir, he claims that one of his ancestors sailed with Christopher Columbus. Casanova's parents were actors, considered a lowly class by Venetians, but were nonetheless immensely popular. Young Giacomo was a sickly child, given to nosebleeds. When he was only a year old, his mother, Zaneta, abandoned him to the care of his grandmother so that she could pursue her acting career. It could be argued that the rest of his life was a search for the maternal warmth that was abruptly taken from him when he was a baby.
Judging from Casanova's own account of his early exploits, he was a beautiful boy, androgynous in appearance, with curly hair that young girls liked to run their fingers through. When he was 11, Casanova was sent to Padua to study for the priesthood under the tutelage of an Abbé Gozzi. It was there that Casanova seems to have found his real calling, when he was seduced by the priest's sister, Bettina.
Shortly thereafter he returned to Venice in his priestly robes, and seduced two sisters simultaneously. He also came under the protection of the first of a series of rich patrons, a Senator Malipiero, who, Childs speculates, might have been his real father.
From then on, Casanova's life appears to have followed a pattern. There would be a rich patron. Casanova would get involved in a scheme. He would seduce someone. There would be a scandal, and he would have to leave town in a hurry. His feverish travels through France, Poland, Germany and Italy provide a panoramic history of 18th-century Europe, a landscape with few cultural boundaries.
In 1760, he met Voltaire. Casanova described their meeting thus:
"This," I said to him, "is the happiest moment of my life. I have a sight finally of my master; it is for 20 years, sir, that I have been your by mutual consent." And when he breaks up with a woman, there is "no rancor, no heartbreak, no revenge, no heartache. At most a bit of sadness."
Sometimes, Casanova writes, he liked women to dress him up as a girl. He appears to have had some homosexual experiences, though he preferred women to men.
But above all, Casanova liked his women to be intelligent. "Without speech, the pleasure of love is diminished by at least two-thirds," he wrote.
"Casanova was in love with women," Dr. Flem said in a telephone interview from her vacation home in Brittany. "He doesn't try to make a collection of women."
He had a gallant side, too, and was forever coming to the aid of women in distress, including women who were pregnant by men other than him.
"I fell in love with him," Dr. Flem said. "I think he is a man who can understand women. Because, in a certain way, a part of him is like a woman. He likes intelligent women very much. Women are not just an object of desire, but people to talk to. He's very afraid of hurting them, and he likes to stay friends after being lovers. And he is one of the best writers of that century."
In 1743 or 1744, Casanova published a poem that whetted his appetite for "the rewards and practice of literature," he said. He eventually abandoned claiming Italian verses, they had laughed."
And so Casanova began his memoirs, "the only remedy to keep from going mad or dying of grief," he wrote. For nine years, he scribbled furiously for 13 hours a day in French, a language that he loved and was more widely spoken than Italian. By the time he died in 1798, his strongest attachment was to his fox terrier, Finette. The cause of death was said to be a painful disease of the bladder. His memoirs extended only to the year 1774.
According to de Ligne, Casanova's last words were: "I have lived as a philosopher and die as a Christian."
For years, Casanova's memoirs languished. Then, in 1820, one of his descendants offered them to F.A. Brockhaus, the German publisher, and Brockhaus published an edited version in German. During World War II, Brockhaus hid the manuscript in 12 cartons under the Brockhaus office in Leipzig. But the building was hit by an Allied bomb. Casanova's writings were rescued and taken by bicycle to a bank vault. In 1960, Brockhaus published the memoirs in their full form.
"His final conquest, his most beautiful courtesan, is writing," Dr. Flem writes. "Words capture the scents, flavors, curves, textures, sounds and colors of memories." In the end, she writes, Casanova's memoirs are "a display that runs the entire gamut of the senses, warming the soul of an exile who dreads boredom."
Voltaire's reply, Casanova writes, was: "Honor me with another 20, but promise me also to come and bring my fees at the end of that time."
The two argued about poets — including Ariosto, who was Casanova's favorite — and Casanova told Voltaire he disagreed with some of his writings.
Casanova's memoirs are also a chronicle of 18th-century music. In 1784, by one account, he met Da Ponte. In Child's biography of Casanova, he quotes an eyewitness to the encounter as recalling that Da Ponte asked Casanova to help with the libretto for "Don Giovanni," an opera that somewhat resembles his own autobiography.
Casanova seduced women of all classes, including a number of nuns. He also seemed to like underage girls. He never married, though he had children. In one precipitous episode, he almost married his own daughter, Leonilda. He actually went to bed with her and her mother, though he said that he left the child "intact."
Still, Dr. Flem argues in her new book: "Casanova never breaks up with a woman. Separation is always temporary."
Kent’s rugged style gets rare showing
By Alan G. Artner
Tribune art critic
In the 1930s and 1940s Rockwell Kent’s illustrations were widely known in America. But during the 1950s his socialism received more attention than his art, and that combined with a modernist loathing for illustration kept him from regaining the spotlight.
American museum exhibitions of Kent’s work were rare, especially after he gave a large group of his paintings “to the people of the Soviet Union” in 1960. There was an important show in Maine almost a decade later. But only now, 30 years after his death, does “Distant Shores: The Odyssey of Rockwell Kent” at the Terra Museum of American Art celebrate him equally as a painter and illustrator.
In his early life, Kent was a wilderness traveler, and the paintings, prints and drawings assembled here testify to that passion. There’s something a little creepy about his decades of self-testing in Maine, Newfoundland, Alaska, Tierra del Fuego and Greenland. But he thought such trav-
els represented a “flight to freedom” from so-called civilized man, and the effect of the works proves as much mystical as macho.
In any event, the difficulty of life in Kent’s chosen locales rarely comes through in the paintings. And that perhaps has less to do with a stoic attitude than a rugged style. He favored a tight delineation of comparatively few streamlined forms, painted with strong contrasts of light and dark. This gave a heroic cast to unpeopled landscapes and work scenes alike.
The difficulty with the style is its similarity to the “uplifting” ones practiced in totalitarian countries. Kent’s romantic, allegorical content was favored over every other by various dictatorial regimes in the ’30s, though of course that was not his fault. But whereas his pictorial simplifications were strong, a tendency to simplify philosophically undermines several of the pictures, giving them a certain gooeyness.
That rather than storytelling, which is central to illustration, is what works against Kent, for when he is at the service of someone else’s thought — as with Herman Melville’s “Moby Dick” — he can be both spare in design and ideationally superb.
Kent’s unpeopled landscapes are too appealing in the way the works of certain early moderns were, creating a drama purely of light and form rather than overheated sentiment.
“Distant Shores: The Odyssey of Rockwell Kent” continues at the Terra Museum of American Art, 666 N. Michigan Ave., through May 29; a talk on Kent’s politics will be at 6 p.m. May 1.
Dollar Diplomacy
(First Edition, inscribed by Joseph Freeman to Rex Stout, with a humorous drawing)
Description:
First Edition. Very humorously INSCRIBED by co-author Joseph Freeman to Rex Stout and his wife [first wife] on the front endpaper, with a drawing of a naked man and woman embracing:
"For Rex and Fay / Casanova's Homecoming; or, The Technique of Peaceful Economic Penetration / see p. 28 / With best wishes / Joseph Freeman."
Turning to page 28, one can read about successful economic penetration, though it is much less interesting than the kind Mr. Freeman suggests in his drawing. Among the earliest titles published by the Viking Press, issued in their first year of existence, one of a handful of jointly-published books with B.W. Huebsch. Near Fine lacking the rare dust jacket. Attractive octagonal bookplate on the front pastedown, small numeric ink notation to same, at the top left corner. Price US $1,500.00.
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The first day of spring!
ENJOY!
The top table in their new position and Terry trying to hide amongst the foliage!
Or is that his spring look?
**ME TALK**
This was the first of the revised ME talks and it was Chris Hunter’s turn.
Life story and then changes in the educational scene. Nearly put one or two to sleep – maybe should have been titled “My Uneventful Life” or “Nothing but Hard Bloody Work!” 43 years in the education game is a very long sentence!
THE DRAGON BOATS ARE COMING!
As you may know our Rotary Club has been given an opportunity to do the catering for this season’s Dragon Boat ACT events. This is a great fundraising opportunity for our club.
This will be a very straightforward project that will take three people per event.
The benefits to our club is that it will help us raise funds for the extension of the Jerra Fitness Circuit that will enable people with a disability to also use the equipment.
How can you help? I hear you ask. It’s simple, I am calling for volunteers to help me with this project.
I need your time from 6.30am till 1.30pm to help with a breaky/lunch BBQ, bacon egg rolls etc.
The events are as follows:
• Regatta 1 (200m and 2000m) Saturday, 17 September - this will be a Pirate themed regatta and is aimed to be a fun hit out for our first regatta;
• Regatta 2 (500m) Saturday, 15 October;
• Regatta 3 (200m and 2000m) Saturday, 29 October - this will include schools from NSW;
• Regatta 4 (500m) Saturday, 19 November;
• Regatta 5 (200m and 2000m) Saturday, 10 December;
• Regatta 6 (500m) Saturday, 21 January 2017;
• Regatta 7 (500m) Saturday, 4 February;
• Regatta 8 (200m and 2000m) Saturday, 4 March;
• Saturday, 18 and Sunday 19 March National Capital Dragon Boat Festival - this will include Corporate teams and the day is from 0700 - 1600;
• Regatta 9 (500m) Saturday, 1 April.
At this stage I can do nearly all of the events except for the 15th October.
I would like two people who could do the 17th Sept with me as well as doing the 15th October that way they will know what is required as I will be away on the 15th October.
After that I will need two people per event to help me.
Please email me as soon as you can on your availability, email@example.com
Also please do not conflict with your market roster.
I appreciate your willingness to help our club.
All the best,
Anton
Club Service Director
** Please try to help out! **
KOALA PLAYING HIDE AND SEEK! SO CUTE! ~ Thanks, Anton.
LAST WEEK’S MEETING – WITH PRESIDENT – Liz Mulvaney
GUESTS FOR THIS WEEK: Vera
APOLOGIES THIS WEEK: Chilly, Peter and Sue Jarvis, David Stevens
CHARGE TO AUSTRALIA: Thanks to Sue Roger
TOAST TO ROTARY INTERNATIONAL: Toast made by Kaz
REPORTS FOR THIS WEEK:
Ms PRESIDENT’S REPORT:
OUR NEW VISION STATEMENT –
“A vibrant and fun-loving community group actively making a difference both locally and internationally.”
OUR ELEVATOR SPEECH -
“Jerrabomberra Rotary is a group of like-minded people who come together to serve the community and to make sure they have a good time doing it. We have lots of programs that impact on youth, the aged and the disadvantaged. We are active locally but also internationally as we are a global organisation.”
PRESIDENT LIZ MULVANEY’S REPORT:
- District Conference in Goulburn – remember - 28/29/30th October.
- MS Go for Gold Presentation – Pres. Lizzie can’t go – Paul Robey can go. Friday 16th Sept – need to RSVP tomorrow.
- 10th Sept – Club Development Seminar – Steve Hill running @ Raiders Club @ Holt – 10 – 3 pm. Addressing matters of club development and retention. NO cost. Can anyone go?
- Mexican Night – thank you – and the basketballs presented by George Nicola are on their way to Tonga as we speak!
- Support the Dragon Boat venture – as sent in email from Anton.
MEZ MULVANEY’S SECRETARY’S REPORT:
- NTR
TERRY SPENCER’S TREASURER’S REPORT:
- Invoices for fees have been sent out. Please pay as soon as you can.
- NTR as keeping the Joker money a secret!!! About $950!
CATHY HOBBSS’S YOUTH & VOCATIONAL SERVICE REPORT:
- RYPEN has been cancelled in September due to low numbers.
- Juniors on Watch – Friday, 16th Sept – 1.40 pm at school hall. – Jan can come. Chris absent OS.
BRUCE MILLER’S INTERNATIONAL & FOUNDATION REPORT:
- NTR (as Chilly not here!)
BEV McKAY’S COMMUNITY SERVICE REPORT:
- See market roster – up to date. MUST reference your market attendance to make sure it comes before the Dragon Boat Roster! Please! Please look for the email and ensure that you are able to assist.
ANTON PEMMER’S CLUB SERVICE REPORT:
- NTR
GENERAL BUSINESS
1. Take2 – for SIDS and Kids – Bicentennial Hall – 10th September - $35 or table of 10 for $300. Contact Paul Roger.
2. Meals pick-up next week – Bev @ The Jerra.
REGULAR HAPPENINGS
SERGEANT’S FINES: This week by Bev – she’s good!!!!!! And she gets lots of money as well!!!
$41.95 raised in fines.
MEALS: THIS WEEK! Pizza this week. Meals raised $154.
Don’t forget that the person to notify about meals is Pam. Is this correct now? See details at the end on the newsletter.
PLEASE, try to make her job easy and notify her if you will be there or not by midday on Tuesdays. P.S.: Here they are in case you can’t look that far!
Pam: T: 0418 967 925 firstname.lastname@example.org
ATTENDANCE: 88.9% - getting better!
Joker was won by Lizzie. Only 5 cards and drew ...............the ace of spades!
ONLY 4 cards left in the pack! Be here to be the winner! EXCITING!!!!
Collected $30.
**The markets is our cash cow and needs everyone’s support!**
- 3/9/16 – Sue & Paul Roger and Chilly
- Banking to Terry, please.
- Save $2 a week in your Centurion money boxes for The Foundation!
- Still H/W: Think of some potential members for our list
****** MEETING CLOSED – 8.05 pm ****
**SOME NEWS FROM THE MARKETS….**
PLEASE NOTE - New Email address: Please ensure you update your email contacts list to reflect the new address email@example.com
**PLEASE NOTE – THIS IS THE “NEWEST” ROSTER – DELETE ALL OTHERS!**
| Date | Name |
|------------|----------|
| 3/9/16 | Sue Roger|
| 10/9/16 | Mez |
| 17/9/16 | Cathy |
* Details as provided by the Market Master
Market Roster is current as of the date of publishing however changes may have occurred. Please visit: http://portal.clubrunner.ca/9728/SitePage/capital-region-farmers-market/roster for the most up to date roster.
Reports this week by: Bev
27 August - Sorry – not available due to technical glitch with emails from marketeers! See money below.
3rd September - On duty Paul and Sue, and Jan (a late substitute for Chilly who was in hospital) What a lovely morning – not! Warmer than past weeks with a starting temperature of 8 degrees, rising to 10 during the morning. Constant rain from arrival at 6.40am until about 10.00am when the rain finally gave up and patches of blue sky started to appear. Still pretty damp and chilly as everything was wet. The carpark was a river of mud, much to the joy of patrons, some of whom seemed to think it was our responsibility!! Although we pointed out that we had no control of the weather, or of the carpark which was owned and managed by EPIC, some people still felt we should use our great powers to improve things.
To make matters even more fun for the day, Old Well Station Road was also closed, without any notice to the CRFM Manager and there was also a Dog Show just to add to the traffic confusion. It was pleasing that most marketeers just took everything in their stride and when they finally found a way into the carpark they got into the normal routine of shopping and drinking coffee and eating. On that subject, nice warm porridge for breakfast from the Muesli store was excellent, and there were a few other treats, that should not have been consumed, that helped stoke the internal furnaces and keep ourselves warm.
One thing we did do to make the parking duty a little more comfortable, was after the first shift where a large umbrella did not keep Paul all that dry, Paul and Jan erected the spare gazebo at the gate and tied it to the gate and trolley to make sure it stayed put if the wind got up, which fortunately it didn’t. This made life a bit better and many shoppers also stopped under the cover to prepare for their final dash to the car. See Photo of Jan enjoying the shelter!! This may be something we might want to consider for the future, as the potential protection from the weather (either rain and sun) might be worth it.
Business at the ‘front of house’ was pretty much ‘as per usual’ – a lost purse and a lost cash card distressed a couple of shoppers, but the honesty of the patrons was once again proven, when both were handed in and reunited with their happy owners. Similarly, later on an umbrella that had strayed from its owners was also handed in and claimed. Two minor cuts required the first aid box to be deployed and finger plasters distributed. Only two requests for the location of the ATMs.
On the cash front there was only $18 in the float when we started, so we have reduced the day’s takings by $2 to return the float to the usual $20.00. Tables were hired by the usual suspects, with 12 tables used, and green bags sold steadily. No desire for the red cooler bags or cookbooks, but water was for some reason popular with 16 bottles purchased.
Inventory wise, may need some water for next week, but everything else is well stocked with Paul bringing out lots of boxes provided by Anton.
Green Bags – 2 and 3/4 boxes (about 270 bags)
Green Bag Bases – 7 and 1/2 boxes (lots)
Red Bags – half a box (about 40 bags)
Cookbooks – 3 full boxes
Water – about 18
Next week there is going to be a Caravan Rally in the Camp Ground, so be prepared for some fun with the traffic.
| Date | Name | Tables | Bags | Water | Books | Cooler Bags | Donations | Total |
|------------|-----------------------|--------|--------|-------|-------|-------------|-----------|-------|
| 27th Aug 2016 | Kaz, Bruce & Bev | $45 | $104 | $6 | $20 | $0 | $61 | $242 |
| 3rd Sept, 2016 | Paul & Sue Roger & Jan | $60 | $64 | $32 | 0 | 0 | 0 | $156 |
NOTE: Last Saturday market is on 17th Dec with an afternoon market on 22 December. There is then a break until January 14th! Yippee!
**Reminder on times – Arrive 6.45 am / Set up by 7 am / Parking by 7.30 am / Finish Parking at 11 am / pack up at 11.30 am**
**ANTON’S JOKE! DON’T BLAME ME!**
Two priests decided to go to Hawaii on vacation.
They were determined to make this a real vacation by not wearing anything that would identify them as clergy.
As soon as the plane landed they headed for a store and bought some really outrageous shorts, shirts, sandals, Sunglasses, etc.
The next morning they went to the beach dressed in their ‘tourist’ garb. They were sitting on beach chairs, enjoying a drink, the sunshine and the scenery when a ‘drop dead gorgeous’ blonde in a topless bikini came walking straight towards them. They couldn’t help but stare.
As the blonde passed them she smiled and said ‘Good Morning, Father ~ Good Morning, Father,’ nodding and addressing each of them individually, then she passed on by. They were both stunned. How in the world did she know they were priests? So the next day, they went back to the store and bought even more outrageous outfits.
These were so loud you could hear them before you even saw them! Once again, in their new attire, they settled down in their chairs to enjoy the sunshine. After a little while, the same gorgeous blonde, wearing a different coloured topless bikini, taking her sweet time, came walking toward them.
Again she nodded at each of them, and said ‘Good morning, Father ~ Good morning, Father,’ and started to walk away. One of the priests couldn’t stand it any longer and said, ‘Just a minute, young lady.’
‘Yes, Father?’
‘We are priests and proud of it, but I have to know, how in the world do you know we are priests, dressed as we are?’
She replied, ‘Father, it’s me, --- Sister Kathleen
---
**Kiama Car and Bike Spectacular**
**BURSON AUTO PARTS**
With all proceeds to Melanoma Research
**SUNDAY 13 NOVEMBER 2016, 9AM -3PM**
**SOMETHING FOR EVERYONE IN THE BEAUTIFUL SETTING OF KIAMA SHOWGROUNDS AND PAVILION!**
**DISPLAY OF VINTAGE, VETERAN AND CLASSIC CARS AND BIKES.**
**STALLS WITH AUTO SUPPLIES AND ACCESSORIES.**
**FULL PROGRAM OF EVENTS AND ENTERTAINMENT FOR THE WHOLE FAMILY INCLUDING**
- Car and bike judging competitions
- Lawnmower racing
- Off-road remote car competitions
- Jumping castle and face painting for kids
- Musical performances
- Radio coverage by WAVE FM
- Variety of food and coffee stalls
- Free skin care checks by Skin Cancer Care doctors
**ENTRY CHARGE - DONATION OF $5PP (UNDER 12s FREE)**
**BOOKINGS FOR DISPLAY VEHICLES & STALLS:**
Bob (02) 4234 1336 or Christine (02) 4234 3033
or email firstname.lastname@example.org
Proudly Hosted by Rotary Klama Gerringong Sunrise
Program
If anyone has program information, please email Chris – email@example.com
| Meetings | Social & Special Events |
|----------|-------------------------|
| **Date** | **Description** | **Date** | **Description** |
| 1/9/16 | Business Meeting at the School – Me talk - Chris | 27th – 30th October | DISTRICT CONFERENCE in Goulburn |
| 8/9/16 | Committee Meeting – 5 minutes of Rotary – Cathy on Youth. | Take2 For SIDS | Saturday, 10th September @ Bicentennial Hall in Qbn – 3 seats left on the table – see Paul Roger for a fun night |
| 15/9/16 | Guest Speaker from Men’s Shed, Martin Fisk | Friday, 28th October | RWAP Dinner for the wine buffs as part of District Conference entertainment – see Paul Roger |
| 8th & 22nd January | Home Hosting for NYSF, please. Save the dates. | 9th November | Membership Night at the Community Centre |
* Compiled from information provided by the Program Person
---
**BOARD OF MANAGEMENT - 2016-2017**
| Position | Name |
|---------------------------|-----------------------------|
| President | Liz Mulvaney |
| President Elect | Anton Pemmer |
| Vice President | Mez Mulvaney |
| Secretary | Mez Mulvaney |
| Treasurer | Terry Spencer |
| Club Service Director | Anton Pemmer |
| Community Service Director| Bev McKay |
| International and Foundation Director | Bruce Miller |
| Youth and Vocational Service Director | Cathy Hobbs |
**CLUB DETAILS**
Rotary Club of Jerrabomberra Incorporated
PO Box 8, Jerrabomberra NSW, 2619
www.jerrarotary.org.au
Email: firstname.lastname@example.org
Meets Thursday 6.15 for 6.30 – 8.30pm Jerrabomberra Public School (Staff Room)
Attendance & Apologies Pam Spencer by 12 Noon Tuesday T: 0418 967 925 email@example.com
Newsletter Chris Hunter Contributions T: 0418 646 317 E: firstname.lastname@example.org
---
**CURRENT CLUB MEMBERS**
Robert Chilman PHF
Andrea Close
Cathy Hobbs PHF
Colin Hobbs, PHF, PP
Chris Hunter, OAM, PHF, PP
Peter Jarvis, PHF, PP
Sue Jarvis, PHF
Kaz Kaczmarek
Bev McKay
Bruce Miller
Liz Mulvaney, PHF, President
Mez Mulvaney, OAM, PHF, PP
Anton Pemmer, PHF, PP
Paul Robey, PP
Jan Pettigrew, PHF, PP
Paul Roger PHF, PP
Sue Roger PHF
Pam Spencer, PHF, PP
Terry Spencer, PHF, PP
David Stevens, PHF, PP
Vicki Still
---
**HONORARY MEMBERS**
Alex Alexander, PP
Anne Davis, PHF, PP
---
**SUPPORTERS**
Vera Alexander PHF
Liz Miller
David Bailey, PHF, PP
Glenda Wahlert, PP
Glenn Wahlert, PHF
---
**OUR HISTORY**
In 1998 the Rotary Clubs of Queanbeyan and Queanbeyan West Rotary decided to sponsor a new Rotary Club based in Jerrabomberra. Bill Lilley, John Snedden and Peter Jarvis from Queanbeyan West took on the joint roll of mentoring the development of the new club. (Peter Jarvis went on to become our Charter President). Advertising for potential members began in March 1998. After a successful campaign, the Club was chartered on 18 November 1998 with 26 members.
Initial meetings were held at the Jerrabomberra General Store—the venue was very good until we grew in numbers. We then moved to the Jerrabomberra Community Centre for a few years, and we now meet at the Jerrabomberra Public School Staff Room, on Thursdays (6.15 for 6.30 pm).
(Charter) President Peter Jarvis ran competitions to select a name for our Club Newsletter and a design for the Club banner. There were some good and some not so good suggestions. Pam Spencer suggested the winning bulletin name ‘Jerraganda’ and David Stevens was the successful designer of our club banner. The design incorporated a goose and the windmill associated with the original entrance to the estate adjacent to the Community Centre. Both the Jerraganda and the Club logo have evolved to keep pace with modern times.
We have always been, and continue to be, a vibrant and fun loving club providing valued community service, both locally and internationally. Our motto is,
“Doing Good and Having Fun”
9
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Black Run Preserve
Conceptual Trails Master Plan
Winter 2013/2014
Prepared For:
Black Run Preserve Board of Trustees
Prepared By:
International Mountain Bicycling Association
Trail Solutions Program
PO Box 7578
Boulder CO 80306
Applied Trails Research
PO Box 10304
State College PA 16805
# Table of Contents
**Report Overview & Project Goals** ................................................................. 3
**Opportunities & Constraints** ........................................................................... 5
- Opportunities ........................................................................................................ 5
- Constraints ............................................................................................................. 6
**Existing Conditions & Proposed Trail System Additions** .......................... 8
- Existing System .................................................................................................... 8
**Recommendations** .......................................................................................... 9
- Conservation Core updates and Development .................................................. 11
- Footbridges .......................................................................................................... 14
- Signage .................................................................................................................. 16
- Discouraging Illegal Uses .................................................................................... 18
**Recommended Phasing** .................................................................................. 20
- Trail Design and Construction .............................................................................. 22
- Maintenance of Existing Trails ............................................................................. 23
**Appendices** ....................................................................................................... 26
Report Overview & Project Goals
Friends of Black Run Preserve contacted IMBA Trail Solutions and Applied Trails Research in June of 2013. The Friends of Black Run Preserve were seeking a master plan and guidance in the construction and maintenance of future trails.
A site visit was conducted from October 22nd through October 24th, 2013. The site visit consisted of four major components:
1. Kick-off meeting and initial site visit with John Volpa & Jim Rosenthal (10/22)
2. Public meeting to discuss plans for the Black Run Preserve (BRP) (10/23)
3. Scouting of the site and surrounding terrain for trail planning (10/22—10/24)
4. Meeting: Friends of Black Run Preserve (FBRP) board attended by Jeremy Wimpey, Rhonda Ward (Pinelands Commission Representative), Trail Crew Chair Joseph Michiels, and Board Members: Giulianelli, Giannotti, Isham, Rosenthal, Volpa and a Pineland Preservation Alliance (PPA) representative (10/24)
The report that follows is a culmination of information gathered during the above tasks, subsequent follow up communication, and further analyses of the landscape for trail system improvement and development. There are a variety of opportunities and constraints present at BRP; these include: proximity to suburban development, legacy uses of the landscape and trails, wetlands, sandy soils, strong community partnerships, and multiple governing agencies. We cover the details related to each of these and make suggestions for capitalizing upon opportunities and working with constraints to develop trails to support sustainable high-quality recreation and conservation experiences within the preserve.
The FBRP board’s input coupled with the comments and discussion from the public meeting indicate a need to further develop the recreation infrastructure on the site to meet several related goals:
- Increase awareness of the BRP
- Increase utility of current trail system for recreation and interpretation
• Develop additional trails to complement BRP’s landscape, conservation and management values
• Curb illegal uses (e.g., hunting, off-road vehicle (ORV) use, and dumping)
Planning maps presented in the appendices will aid in your use of this report and illustrate how several of these opportunities and constraints interact within the boundaries of the BRP. A follow up visit from IMBA staff in the spring of 2014 will focus on trail maintenance and construction at BRP. The FBRP board is currently working to permit this activity, and should continue to engage IMBA as this moves forward.
This report focuses primarily on trail system needs which couple directly with user needs and desires, as well as FBRP board management and goals. This report is meant to be a guide for the FBRP board to further develop its trail system infrastructure. The FBRP board will need to weigh information in this report against its internal plans, budgets and stated goals in order to effectively and efficiently move forward with trail system development as well as meeting organizational goals.
Opportunities & Constraints
Opportunities
• **Wetlands** – The existing and proposed routes in the BRP create a unique trail experience showcasing the Pine Barrens ecology. The extra care required to balance user experience, park needs and regulatory controls will help shape the BRP for years to come.
• **Topography** – While sometimes presenting difficulties for trail design and construction, the terrain in and around the BRP offers a diverse and well-rounded outdoor recreation experience. The high points, wetlands and sandy soil all create a unique outdoor experience. The lands just south of and adjacent to Bortons Road are unique within the preserve as they provide some of the greater topographic relief and grade.
• **Beauty** – The existing trails and proposed trails within the Black Run Preserve meander through Pine Barrens forest, wetlands, streams and old cranberry bogs. These areas may host a variety of threatened and endangered plant and animal species which may influence the extent of any future infrastructure or trails. These areas showcase the natural beauty of the area, allowing trail users to experience the unique character of the local ecology.
• **Engaged Communities** – One of the keys to a successful and vibrant preserve and trail system is a broad supporting community. The FBRP is a passionate group of volunteers whose aim is to support the Evesham Township community in being good stewards of the Preserve while helping people to enjoy its many beauties through hiking, school field trips, biking, bird watching and other forms of compatible recreation.
Partnerships – Partnerships with local user groups, Evesham Township, Evesham Municipal Utilities Authority (MUA), Pinelands Preservation Alliance (PPA), Rancocas Conservancy, and surrounding schools have helped create a solid base for bringing positive attention to the park. Continued expansion of the outreach will help create more opportunities for both formal and informal partnerships.
Constraints
Soils – The terrain and soils in the Black Run Preserve are a mix of sand and fine sand. While these soils lend themselves very well to drainage, they create challenging terrain in which to build trails. Care needs to be taken during trail design and construction to minimize trail alignments and characteristics that will lead to ongoing maintenance and erosion issues.
Wetlands – The existing and some proposed trails in the BRP are in or near wetlands and within a 300’ wetlands buffer. Extra care and regulatory controls will need to be addressed when planning for existing and future uses in the Preserve. The FBRP board is currently working with the Pinelands Commission (PC) and should continue to engage them as permitting and planning for trail construction move forward.
Legacy Uses – The historical uses in the BRP have been varied and left their mark on the landscape. From legal wastewater discharge, an illegal wastewater pipeline, dumping, hunting, ORV use, hiking and biking, all uses have shaped how users interface with the preserve. Educating users on the accepted uses in the park, creating barriers to deter illegal activities and working to revive and showcase the unique Pine Barrens ecology will conserve the landscape for future generations.
• **Multiple Land Managers** – Evesham Township owns the open space that makes up the Preserve while the MUA has property easements for its sewer lines running through the Preserve from King’s Grant to its 35+ acre effluent basin area in the Aerohaven Property section of the Preserve. Two legacy MUA retention basins require cooperation between the Township, MUA, and the FBRP to be re-graded and restored to a Pine Barrens upland community. The needs of all managers need to be communicated clearly and balanced within a collaborative plan for effective and efficient stewardship and operation of BRP.
The current formal trail system at BRP consists of paint- and plastic-blazed trails totaling around eight miles. Most of these trails are in the central portion of BRP and are adjacent to old cranberry bogs utilizing earthworks and old roads as their tread corridor. Trails are "named" by color, and signage is minimal. Conditions vary from highly developed (green trail) with surfacing, engineered bridges and fencing, to minimally developed native surfaces more like traditional singletrack (portions of the red trail).
Trailheads are not formalized and most users access the BRP from adjacent residential developments or parking along Kettle Run Road towards the north-central end of the BRP property. Parking is limited and access on/off of Kettle Run Road can be difficult.
during high traffic times of the day. A variety of signage welcomes visitors to the BRP in the area of this informal trailhead.
In addition to the existing marked trail system, there are numerous visitor-created informal trails within BRP, many providing access to/from adjacent residential developments, and others areas of the BRP. Use on these trails seems to be primarily related to exploration, access and trail based recreation with a few notable exceptions: hunting and camping activity.
Formal trails on BRP range in width from narrow singletrack paths (16 inch width) to active natural surface roads (10+ feet), developed through visitor use and opportunistic adoption of access roads and utility corridors. None of the trails on the BRP appear to have been formally designed and built as recreational trails. Condition of the trails varies depending on use and alignment to the local topography, with trails being used by motorized vehicles and fall-aligned trails suffering the most erosion and degraded conditions. Several sections of the wider marked trails continue to be used as roads that see active full size vehicle use (both illegal and MUA access); as a result, portions of these trails are sub-grade and drain poorly, causing trail widening and less than desirable trail user experiences where standing water and mud limit travel.
**Recommendations**
Based upon the results of the Visioning Event, on site fieldwork, and FBRP Board input propose the following four zones within the BRP are proposed: Based upon the results of the Visioning Event, on site field work, and FBRP Board input we propose the following four zones within the BRP:
Zone #1. Conservation and Recreation. A few additional trails should be developed in this zone to provide greater access to the BRP west of Kettle Run Road. These multi-use trails would include wildlife viewing areas along the bogs. These new trails would cross the west branch of the Black Run stream and its legacy cranberry bogs, creating a longer looping opportunity for trail runners and users looking for a longer excursion within the Preserve. Many users expressed these desires during the public meeting. The maps in the appendix show conceptual corridors for the development of these trails. Further field design and investigation will be necessary to
finalize trail location and actual costs will vary depending on the construction requirements the terrain and permitting processes will demand. Cooperation with the Rancocas Conservancy will be key in this area.
Zone #2. Conservation and Education Core. This area holds the existing trail system. The following are priorities for this area: trailhead formalization, an updated signage program, installing bollards and/or cables to deter illegal vehicle access, enforcement to curb illegal ORV use, maintenance activities to improve drainage where standing water and mud occur, improvement of bridges, and improved navigational signage and blazing. Adding at least one Americans with Disabilities Act (ADA) trail should be a priority. Additional emphasis could be placed on improving the system to compliment conservation goals, including interpretive signage and programming developments with structures (e.g. piers, blinds, and viewshed management) to enhance wildlife viewing opportunities on the cranberry bogs.
Conservation Core updates and Development
Priorities for the existing system include: trailhead formalization, an updated signage program, enforcement to curb illegal ORV use, maintenance activities to improve drainage where standing water and mud occur, improvement of bridge conditions, and improved navigational signage and blazing. Additional emphasis could be placed on improving the system to complement conservation goals, including interpretive signage and programming developments with structures (e.g. piers, blinds, and viewshed management) to enhance wildlife viewing opportunities on the cranberry bogs.
A few additional trails should be developed in the conservation core regions to provide access to areas of the BRP west of Kettle Run Road, and to create a longer looping opportunity for trail runners and users looking for a longer excursion within the BRP. Many users expressed these desires during the public meeting. The maps in the appendix show conceptual corridors for the development of these trails. Further field design and investigation will be necessary to finalize trail locations, and actual costs will vary depending on the construction requirements the terrain and permitting processes will demand.
Finally, consideration should be given to providing an accessible trail connecting a new formal trailhead to one or more of the cranberry bog dikes. The existing green trail provides limited ADA accessibility for approximately .25 miles. Additionally, an ADA trail will need to tie directly into a formally developed accessible trailhead. Future development could provide a looping opportunity with high-value conservation and interpretation experiences around the northern-most cranberry bog on the east side of Kettle Run Road.
Zone #3. Active Recreation Development. On this zone we have recommended the creation of about 5 miles of trail run and mountain bike specific trails to promote additional use and provide an additional draw for the BRP. This trail system is focused around the proposed secondary trailhead on Borton’s road and in the area where much of the dumping and ORV use is currently prevalent. The terrain in this area is some of the steepest and highest in the BRP; consequently this area is also outside of the 300’ wetland buffer that mandates additional permitting and process for development. The BRP should engage PPA and state level regulatory folks on the development in this region, but it is
anticipated that trail and trailhead development in this area will have fewer restrictions and requirements that will ease the cost of construction.
The loops we have shown here provide for an interface between the conservation core trail system of the BRP and the proposed active recreation trails. The active recreation trails will incorporate directional trails on the "peak" south of Borton's Road to provide a single climbing leg and two return legs that provide different downhill experiences for users. This combination with additional bi-directional stacked loops on the north side of Borton's Road will provide for a compact trail system that provides longer trail experiences than the stated mileage would suggest. Due to the soils located on the site, specialized construction including minimal grades, insloped turns and potential surfacing will be required to create sustainable and enjoyable trails.
Zone #4, Extended Backcountry Experience. This zone will utilize the northeast section of the Preserve and provide a longer trail experience for those who desire a sustained aerobic activity level. It would also connect with trails from Zones 2 and 3.
Footbridges
Footbridges in the BRP require special attention. These structures provide access and also expose visitors to risk. Existing bridges on the property range from a new engineered structure (green trail) to a single plank set on the banks of a creek (black trail). Other structures functioning as bridges include scrap lumber and pallets. These structures need to be brought up to a certain standard that will provide for safe use and durable access to cross wet areas as necessary. Several recent outdoor-oriented youth organization projects have created some of the more appropriate bridges on the BRP; continued projects by these organizations can augment in-house replacement of bridges on the existing trail system.
BRP Bridges
Trailhead formalization
Currently there is no formal trailhead access point for the BRP; users enter and depart the BRP from several points along Kettle Run Road and Bortons Road in addition to extensive visitor-created trails from adjoining residential areas. The FBRP board needs to formalize access to the preserve to increase visitors' awareness of the property boundaries and to help curb unwanted behaviors and uses. The signage program recommendations below address some of the need to formalize access and sign boundaries, but official development of a trailheads are also needed. Both the public and the FBRP board spoke to the need to provide safe formalized access to the Preserve.
Due to the need to address wetland and Pinelands conservation regulations, there are several barriers to formal parking and trailhead development. We have selected a primary trailhead straddling Kettle Run Road near the current informal trailhead. This location is well within the 300’ buffer from NHD wetlands and therefore will require additional environmental work and permitting for development. The "straddle" design (parking on both sides of the road) allows for safe and easy entry/exit from either travel lane, and may have some advantages related to the permitting processes. It is recommended to work with the Pinelands Commission to plan this formal trailhead with possible inclusion of vault toilets, refuse and recycling facilities using low impact construction and design elements.
Porous surfacing of parking lots, and hydrological sound management of storm water during and after construction need to be considered and integrated into these
designs. The actual size of the parking facility will depend on the Pinelands Commission and state regulations for development, but a 15-30 vehicle capacity within the two lots straddling Kettle Run Road is recommended.
**Bisected Trailhead**
We recommend that a secondary trailhead be developed along with the active recreation trail system on the southern extent of the BRP. This trailhead could be less formal than the primary trailhead (e.g., no restrooms or refuse/recycling) and should accommodate 15-30 vehicles (15-60 trail users). Development of this trailhead should again be coordinated with state and Pinelands Commission staff to comply with regulations; however, this location appears to be outside of the 300' wetland buffer.
**Signage**
An updated and consistent signage program will complement the FBRP board’s desire to build awareness of the BRP, aid in curbing illegal activities, improve visitor experiences, and provide opportunities for education and conservation messaging. The current signage is limited and grassroots in appearance; these signs are filling a need but there is much room for improvement. Several blaze colors currently used are difficult to see on trees (white, black) and can be difficult to distinguish from one another (red & orange). These blazing related issues can confuse users; additionally, the current trail naming conventions (trails are named after the color of their blaze and some are discontinuous)
detract from navigational ease. We recommend adopting names for each trail that highlight the values and resources at the BRP, and phasing out the use of several colors of blaze including black, white, and orange.
To aid in navigation we recommend installing signage that includes these trail names and directional indicators at key junctions. Signage should indicate the direction of the nearest parking/trailhead or other access nodes (e.g. Kettle Run Road Parking Lot) to aid visitors in returning to their vehicles or exiting the BRP when desired. As a part of programming, the BRP can incorporate varied loops which utilize multiple named trails to provide a desired recreation experience. For example, a short interpretive loop could be created by using the current green, blue, purple and orange trails around the northernmost bog; a larger loop for birdwatchers may meander through the bogs and then extend deeper into the preserve before returning via different trails. These recreation specific loops can be named and mapped over top of the trail system allowing visitors to access part or all of a loop and create their own experiences. Interpretive and directional signage along the loops should be installed to aid in navigation and provide relevant information about the BRP.
On the active recreation focused portion of the trail system, signage can be much more minimal and consist of blazing, directional and navigation signage at junctions with a trailhead kiosk with maps and regulations. We have provided several examples of
signage in the appendix that we believe will assist the FBRP Board to select and develop signage to address the above stated goals.
**Discouraging Illegal Uses**
Eliminating legacy and depreciative activities such as hunting, dumping and ORV use at BRP will present one of the biggest challenges for the FBRP. Successful elimination of these unwanted behaviors will take a multi-faceted approach implemented by dedicated staff and volunteers willing to work for years to curb these activities. In addition to current signage, volunteer advocacy and outreach, there are a few tools that land managers can use to deter these activities. Gates, bollards, fencing and other structures can be installed along the trail system to "block" ORV use and access to popular dumping and hunting sites. These structures will be most effective if accompanied by signage that explains the reason for the closure, and encourages users to comply with regulations on the BRP.
On sections of trail that are currently road width, yet are not needed by MUA or the township for vehicle access, we recommend that the FBRP Board implement road to trail conversion (R2T). R2T is accomplished by narrowing the existing tread and...
corridor along an existing road corridor. This process is analogous to placing a meandering narrow trail on the existing corridor and restoring and re-naturalizing the rest of the corridor. The resultant trail will deter ORV use and should incorporate sustainable design principles (drainage, grades and surface) while providing for a more desirable recreation experience with improved natural conditions adjacent to the trail.
Additional restoration opportunities can help to deter dumping and illegal uses. Restoration of the Aerohaven property to natural conditions could augment the efficacy of the FBRP Board’s efforts to reduce ORV use. Clean up and restoration at other sites that show evidence of dumping and other unwanted activity (e.g. campfires) will aid in reduction of these activities as well.
We recommend coordinating efforts with MUA to control MUA access routes to ensure they still have the access they require for maintenance of their infrastructure on the property, but deter illegal entry. Additional deterrents include the use of wildlife cameras to document dumping activities and illegal ORV use. This action should be undertaken with local law enforcement cooperation and some media attention. A coordinated message in the form of signage, physical barriers, increased enforcement and electronic monitoring will go a long way to curb illegal uses. The expansion of the trail system to put more desired/allowed use in the southern portion of the BRP may also aid in the reduction of these illegal and undesired uses of the Preserve. Increased legal recreational use has been shown to “crowd out” illegal or unwanted use in many parks and protected areas. Users that observe illegal use are likely to report it to authorities, and users partaking in illegal activities often will avoid the presence of other users.
Recommended Phasing
Phase I
Phase I focuses on the development of a managed open space along with increased community buy in and support.
- Closure to ORV traffic (work with MUA & Evesham Township to plan)
- Bollards/blockage
- Signage
- Wildlife cameras to capture plates/times
- Increased Police presence & enforcement
- Road to trail conversion (narrowing to prevent full size use)
- Signage program
- To complement conservation via education/interpretation
- To aid in navigation
- To formalize and promote the preserve
- Additional signage on trails into preserve from adjacent residential areas
- Continued community development
- Develop community stake in the property
- Trash clean ups
- Trail work & trail crew development/training
- Report vandalism & illicit uses
Phase II
Phase II creates further open space usability by providing formal access points, trail features and amenities.
- Kettle Run Road trailhead development
- Parking with "safe" ingress/egress
Trail development as needed to connect
Closure of existing informal trailheads (if relocated)
CXT/Vault toilets [if needed] to accommodate waste issues
• Trail development
o Implementation of standards/improvement (e.g., bridges)
o Classes of trail targeted at desired uses
o Field design of additional/alternate trails
o Construction of additional trails
o Closure and restoration of unsustainable and non-mission supporting trails
• Development of additional trailheads and access points
Phase III
Phase III focuses on the creation of amenities that help celebrate the Preserve and the unique environment of the area.
• Develop facilities
o Interpretive center
• Development of additional recreation Infrastructure
o Blinds
o Piers & boardwalks
o Viewing platforms
Trail Design and Construction
There's more to building a trail than moving rocks and dirt. Trails are usually part of larger systems that are the result of careful and diligent planning and collaboration. These trail systems must serve the needs of multiple user groups and take environmental and geographical factors into account.
While land managers and other administrators are ultimately responsible for land planning processes, committed trail users and community groups have important roles to play as well. Planning is ultimately about the big picture, and that picture includes not only the forest and the trees, but also the entire trails community.
The alignments presented in this report will be refined in the field to create a sustainable, enjoyable trail system. The specific alignment of the trail tread should be built to accommodate sustainable use by mountain bicyclists, as they will be able to obtain speeds greater than a hiker trail runner. Information for trail design and construction can be obtained from Trail Solutions: IMBA’s Guide to Building Sweet Singletrack, and Managing Mountain Biking: IMBA’s Guide to Providing Great Riding, both published by IMBA.
It is strongly recommended that the trails be designed by a qualified trailbuilder who has extensive experience developing sustainable mountain bicycle-specific singletrack trails that will also accommodate trail runners. Where recommended, an experienced trail contractor should perform the field design. If not, there is the potential to create a collection of trails that do not meet user needs and that will fail to become the community system that is hoped for. The use of contractors primarily experienced in road construction is not recommended as these firms and individuals are not versed in the needs of trail users and recreation-based construction.
Prior to construction, and preferably prior to the release of bid documents, the trail corridors identified in this report should be located in the field, using a combination of ribbon flagging, stakes, pin flags, and paint. The contractor should be expected to construct the trail within the identified corridor, which can be assumed to be approximately 50 feet wide, except where property boundary constraints limit this corridor width.
The BRP requires special considerations when it comes to designing, constructing and maintaining trails. Sandy soils, wetlands and high user pressures should be considered in the planning of trails.
- Grades on Sandy Soils – Trails should aim for sustainable grades that reduce the shearing of soil. As a general rule of thumb, trails constructed in sandy soils shouldn’t exceed 5% grade. This will help diminish user-based erosion and will still move water off the tread.
- Turns on Sandy Soils – The location of turns on sandy soils should put user pressures and shear forces into the soil rather than off of the soil. Locating turns that are inside (user forces are focused on pushing soil into the tread) rather than outside (user forces are focused on pushing soil off the tread) helps maintain the designed tread width and reduces user based erosion.
- Good Flow – A trail’s flow can drastically reduce user based erosion on sandy soils. Creating a predictable tread and trail alignment will help minimize sudden accelerations and sudden stops, which can degrade sandy soils rapidly. Predictable doesn’t mean boring; slow and technical can be as exciting as fast and flowy in vegetated environs like the BRP.
- Use of Armoring – Sometimes the desired experience or the topography dictates that the tread be steeper than 5%. In these instances it is important to harden the tread on the trails at the BRP by introducing rocks, pavers or other armoring to eliminate user based and natural erosion.
**Maintenance of Existing Trails**
The existing trail system in and around the Black Run Preserve has been largely created by social use and legacy uses (cranberry bog construction and access). While these trails typically take users where they want to go, they usually are poorly suited to high traffic or sustainability.
Some trails exist in locations where they can weather the varied use pressures. Other trails, or sections of trails, are located in less than ideal locations and are prone to both user and environmental damage.
The existing trails, even when located in sustainable locations, do require occasional maintenance to keep them from degrading to an unusable tread. While the soil in the BRP is predominately sandy, care does need to be taken in low areas or on high use trails to move water off the trail rather than let it percolate through.
- **Knick** should be implemented at the bottom of every grade reversal and where natural water flows cross the trail. The trails constructed using accepted construction techniques, can become cupped over time due to trail use and water flow. This cupping should be removed in the low areas where water collects and/or crosses on the trail to prevent muddy sections and encourage good sheet flow.
- **Rolling Grade Dips (RGD’s)** are a manufactured grade reversal and require more sweat equity during their construction, but are good problem solvers. These should be located in areas where trails cross old roadbeds or where there are long lengths of trail with no grade reversals. Old roadbeds typically act as water funnels and can transport water from far away and deposit it on the trail.
- Re-leveling tread and re-contouring of the back slope is needed from soil migrating off the back slope and creating an unacceptable camber to the tread. Other causes are soft outside critical edges that slough
with use and water flow. Re-leveling tread invites users to the middle of the trail where the tread is strongest and keeps people off the outside critical edge keeping the tread from migrating downhill. This type of maintenance is generally performed in key areas where tread widening or creep is either dangerous to users or environmentally unappealing.
- A thorough pruning plan on the trail corridor should be carried out every year, or even twice a year. Removing punjis (small trunks coming up and out of the ground), coat hangers (branches that have been cut, but extend into the trail) as well as pruning back of new growth helps keep users in the middle of the trail and away from the outside critical edge. This opens up sightlines on two-way trails allowing uphill and downhill users to see each other easier. It also allows users to see what they are about to encounter on the trail and prepare for it earlier. Care must be taken though to keep the corridor narrow since it is this tight feeling that keeps actual speeds low.
The soils, wildlife and plant life in and around the BRP survive in a delicate balance due to cold winters, warm summers and human pressures. Care should be taken to identify real impacts to existing concerns. Critical winter habitat for large mammals, existing populations of endangered plants and areas of poor soils need to be identified before trails are closed, opened or maintained. This duty of care will result in a sustainable trail and trail system that can celebrate the outdoors rather than degrade it.
A similar balance is needed to effectively implement the development presented in this plan; the FBRP board should continue to work with partners including the Pinelands Preservation Alliance, Rancocas Conservancy, Evesham Township, and other state and local entities. A broad range of users and volunteers are needed to support the BRP, its mission, and sustainable trail systems on the property.
## Appendices
### Trail Zones and Mileage Table
| Tasks | Zone | Trail Recommendations | Miles |
|--------------------------------------------|-------------------------------------------|----------------------------------------|-------|
| | Zone #1 Conservation and Recreation | New | 7.47 |
| | | Road to Trail (R2T) | 1.90 |
| | Zone #2 Conservation and Education Core | Decommission (Formal and Informal Trail)| 2.62 |
| | Zone #3 Active Recreation Development | New | 4.98 |
| | | Road to Trail (R2T) | 0.25 |
| | Zone #4 Extended Backcountry Experience | Decommission | 0.52 |
| | Total | New | 12.45 |
| | | Road to Trail (R2T) | 2.15 |
| | | Decommission | 3.14 |
Vault Toilet Manufacturers – http://www.cxtinc.com/vault.asp
|
Minimalist approach to perceptual interactions
Charles Lenay * and John Stewart
EA 2223 COSTECH, Département Technologie et Sciences de l’Homme, Université de Technologie de Compiègne, Compiègne, France
Edited by:
Ulrich Pfeiffer, University Hospital Cologne, Germany
Reviewed by:
Ezequiel Alejandro Di Paolo, Ikerbasque – Basque Foundation for Science, Spain
Hanne De Jaegher, University of the Basque Country, Spain
*Correspondence:
Charles Lenay, EA 2223 COSTECH, Département Technologie et Sciences de l’Homme, Université de Technologie de Compiègne, Centre Pierre Guillaumat, BP 60319, Rue du Docteur Schweitzer, 60203 Compiègne Cedex, France.
e-mail: email@example.com
Work aimed at studying social cognition in an interactionist perspective often encounters substantial theoretical and methodological difficulties: identifying the significant behavioral variables; recording them without disturbing the interaction; and distinguishing between: (a) the necessary and sufficient contributions of each individual partner for a collective dynamics to emerge; (b) features which derive from this collective dynamics and escape from the control of the individual partners; and (c) the phenomena arising from this collective dynamics which are subsequently appropriated and used by the partners. We propose a minimalist experimental paradigm as a basis for this conceptual discussion: by reducing the sensory inputs to a strict minimum, we force a spatial and temporal deployment of the perceptual activities, which makes it possible to obtain a complete recording and control of the dynamics of interaction. After presenting the principles of this minimalist approach to perception, we describe a series of experiments on two major questions in social cognition: recognizing the presence of another intentional subject; and phenomena of imitation. In both cases, we propose explanatory schema which render an interactionist approach to social cognition clear and explicit. Starting from our earlier work on perceptual crossing we present a new experiment on the mechanisms of reciprocal recognition of the perceptual intentionality of the other subject: the emergent collective dynamics of the perceptual crossing can be appropriated by each subject. We then present an experimental study of opaque imitation (when the subjects cannot see what they themselves are doing). This study makes it possible to characterize what a properly interactionist approach to imitation might be. In conclusion, we draw on these results, to show how an interactionist approach can contribute to a fully social approach to social cognition.
Keywords: perceptual crossing, imitation, recognition of intentionality, interaction, minimalism
INTRODUCTION
Research on social cognition often finds itself caught in an uneasy, paradoxical tension. On the one hand, understanding social phenomena requires giving an essential place to collective dynamics. On the other hand, from the viewpoint of cognitive science, one adopts a more or less explicit version of methodological individualism according to which social interactions must be explained on the basis of individual capacities. In this case, it is indeed difficult to maintain that there exist components which are proper to the collective domain, especially if one admits that such components only take on meaning if they are taken up in individual experience, and moreover that the explanation of the emergence of such components is based on individual competencies. It seems obvious that if there is a social interaction, the interacting subjects must possess the individual competences that are necessary for this interaction to occur. It would therefore seem a legitimate method to isolate the subjects in order to identify these competences, before going on to study how the individuals interact. The classical approaches, prolonging such a procedure, consider that these individual competences correspond to all the social know-how and knowledge involved: a capacity to recognize other subjects, to imitate, and finally common-sense psychology (theory of mind). But in this case, how is it possible to account for the inter-individual coordination of actions in space and time in order to attain shared goals and to organize in society according to a particular culture? The classical answer is to suppose that individual capacities for coordination and joint attention make it possible to share representations of current objects and events (Sebanz et al., 2006; Knoblich et al., 2011); and it is thought that the neurological basis for these capacities are to be found in the “mirror-neuron” systems which associate representations of actions performed with representations of observed movements (Blakemore and Decety, 2001; Gallese et al., 2004; Rizzolatti and Craighero, 2004; Gallese, 2007). However, if a “representation” is a state or process that is strictly internal to each subject, the collective remains in fact internalized in each subject (Tomasello et al., 2005; Thomas et al., 2006) and it is quite difficult to understand how the “social” as such could play a constitutive role (see for example the synthetic dossier in Topics in Cognitive science; Galantucci and Sebanz, 2009).
By contrast, interactionist approaches postulate that interactions play a role right from the start in the constitution of social phenomena. These are ancient traditions in social psychology and philosophy, from the work of George Herbert Mead (Gillespie, 2005) and Erwing Goffman (Goffman and Best, 2005) to the pragmatist approach of John Dewey (Petras, 1968) or the social psychology of Theodore Newcomb (Newcomb et al., 1966), from the phenomenology of Alfred Schütz (Schütz, 1970) to the work of Thomas Luckmann and Peter Berger (Berger and Luckmann,
This sort of attention to interactions is found currently in the framework of theories of development (Trevathan, 1993; Reddy, 2008), in dynamical systems theory (Coleman and Watson, 2000; Fogel, 2006), in the current of ecological psychology (Gibson, 1986), in enactive cognitive science (De Jaegher et al., 2010), and recently in certain areas of neuroscience (Schilbach et al., 2006; Dumas, 2011). However, all these studies are still affected by a tension between the collective aspects and individual cognition.
For example, studies in ecological psychology bear essentially on phenomena of the coordination of action (Schmidt and Richardson, 2008). These phenomena turn out to be very general, and can be explained by mechanisms related to the physics of embodiment and perceptual systems. However, it seems to us that this approach lacks an explanation of the passage from coordinations of this sort, and social interactions that are meaningful for the actors themselves. Similarly, in the framework of externalist conceptions of situated cognition and the extended mind (Hutchins, 1995; Clark and Chalmers, 1998) one can develop models of social activity based on a shared material and technical environment. And in the perspective of embodied embedded cognition (van Dijk et al., 2008), one can seek to understand social behaviors in terms of the relations of the organism with its social ecological niche (Marsh et al., 2009), or with social norms (Steiner and Stewart, 2009). But in all these cases, the social structures, or traces left by collective activity, must at some point be mobilized by individuals; and this requires understanding how the environment comes to have such a meaning for the actors themselves – for example, how they come to recognize other organisms as intentional subjects, how they recognize the behaviors as action following some norms.
In the enactive approach, explanations start from the viewpoint of the living organism (Varela et al., 1999). Rather than evoking internal representations, this approach is based on the coupling between an organism and its environment which results in the enaction of a meaningful world. In this framework, De Jaegher proposes to articulate the collective dynamics of social interactions and individual autonomy. The interaction between organisms is regulated by the organisms themselves through an activity of collective construction of meaning, a participatory sense-making (De Jaegher and Di Paolo, 2007). In this version, the interactionist position can postulate that social capacities and knowledge are actually constituted in the very course of social interactions; the essential aspects of individual social capacities are the result, and not the cause, of social interactions (McGann and De Jaegher, 2009; De Jaegher et al., 2010).
Now even this strong interactionist position poses a certain number of theoretical and methodological difficulties. First of all, methodologically, it is necessary to identify the relevant behavioral variables, and to record them without disturbing the interaction. Even more important, in order to account for the emergence of social phenomena in the course of the interaction, it is necessary to clearly identify and distinguish between (a) what is contributed by the individual subjects and (b) what is contributed by the actual dynamics of the interaction, in order to show that the dynamics of inter-individual interaction leads to more than what the individual organisms in interaction bring to the situation. At the same time, it is also necessary to explain (c) how some of these emergent phenomena can be subsequently appropriated by the individuals (Froese and Di Paolo, 2011b). As a basis for this methodological and conceptual discussion, we will propose here a minimalist experimental paradigm for the study of perceptual interactions in which it will be possible to clearly distinguish these three components. This will allow us to propose some explanatory schema concerning two major questions in social cognition: the recognition of the presence of another intentional subject; and the realm of imitation. In order to present this experimental paradigm and to argue for its heuristic value, we start by describing a minimalist method for the analysis of individual perception.
**A MINIMALIST EXPERIMENTAL METHOD FOR THE STUDY OF PERCEPTION**
Many empirical studies of inter-individual interactions proceed by setting up well-controlled conditions of observation (Marsh et al., 2009). However, even if the sorts of actions that can be performed are simplified as much as possible, the subjects interact using their natural perceptual systems. It is therefore very difficult to observe the internal mechanisms for controlling the actions, and it is difficult to understand the link between these actions and the social meaning that the individuals attribute to the interactions. The minimalist method that we propose here aims at providing the means to answer these questions, by precisely controlling the perceptual activities of the subjects in interaction. To do this, we base ourselves on studies of sensory substitution.
The general principle of such studies consists of transforming the stimuli proper to one sensory modality (for example ocular vision) to stimuli of a different sensory modality (for example touch; Collins and Bach-y-Rita, 1973; Schiff and Foulke, 1982; Visell, 2009). On condition that the user is active (manipulating the camera by lateral movement, rotation and zoom), (s)he is able to develop spectacular perceptual capabilities, in particular for the spatial localization and recognition of shapes (Guarniero, 1974; Bach-y-Rita, 2004). The use of a technical mediation for perception has four major advantages:
1. These devices enable the study of the genesis of a new kind of perceptual modality, in an experimental situation that can be closely controlled (Collins and Bach-y-Rita, 1973; Lenay et al., 2003; Auvray and Myin, 2009). Of course, this sort of perception is quite particular, and has to occur on the background of perceptual know-how already present for the user. Nevertheless, we are here in the presence of a genuine genesis of novel perceptual capabilities which were clearly absent before the learning process.
2. The perceptual learning involved in this experiment is evidence of an impressive plasticity of the central nervous system. The tactile sensory input has nothing to do with that of ocular vision, just as the control of the camera with the hands has nothing to do with the commands to ocular muscles and the head. Nevertheless, the technical device defines a space of coupling, a specific set of sensorimotor regularities. In conditions suitable for progressive learning, the use of this device leads to vast functional reorganization (Bach-y-Rita, 1990; De Volder et al., 1999), which results in robust, general know-how (Bach-y-Rita and Kercel, 2003) and a perceptual world where
the shapes and events are highly analogous to those involved in visual perception.
(3) The opportunity of working with adult subjects makes it possible to combine a psycho-physiological study of this perceptual genesis with a phenomenological description of alterations in lived experience (Lenay and Steiner, 2010; Ward and Meijer, 2010).
(4) The fourth advantage of using such technical mediation of perception is that it can simplify the repertoires of actions and sensory feedback which are available to the subject, and render them amenable to precise observation. We can then study, in each case, what objects can be constituted and what are the operations involved in this constitution.
In order to determine the minimal technical conditions which are necessary to enable the perception of an externalized object in a space where it can be localized, we have simplified the system of Bach-y-Rita to a single photoelectric cell connected to a single tactile stimulator. At each moment, the blindfolded subject thus receives only a minimal amount of information (1 bit) corresponding to the presence or absence of the tactile stimulation. We have been able to show that even with such a simple device, the spatial localization of luminous sources remains possible (Lenay et al., 1997). Here, it is manifestly clear that the perception cannot be based on an internal analysis of the sensory information, because this information has no intrinsic spatiality whatsoever. It is thus only through the movements of his/her exploratory activity that the subject can succeed in performing the perceptual task. By reducing the sensory input to a strict minimum, we force the subject to deploy a perceptual activity in the form of trajectories that can easily be observed and recorded. By construction, so to say, we adopt the theoretical framework of active perception (Varela, 1979; Gibson, 1986; Brooks, 1991; O’Regan and Noë, 2001). The spatial characteristics of an object are defined by the “Laws of Sensorimotor Contingency”; i.e., the laws which govern the sensory feedback as a function of the actions performed.
It is useful to go even further in the simplification by reducing the dimensions of action to two or even just one single dimension. On this principle, we have developed the “Tactos system” which will be used in the experiments involving social interactions that we shall present below (see Figure 1). This system consists essentially of a device for controlling tactile stimulators (Braille cells which electronically generate the movements of small pins) as a function of the movements of the cursor on a computer screen; the receptor field is guided by a pointing device (mouse, touch-pad, graphic tablet, or tactile screen), and when it passes over a colored pixel it commands the activation of an all-or-nothing tactile stimulator placed under the finger (see Lenay et al., 2003 for details).
In these highly restrictive experimental conditions, it has been shown that the users (blind persons or blindfolded adults) can learn to recognize simple shapes. As explained above, the spatial perception of a shape is necessarily active because there is no intrinsic spatiality in the sensory input. This perception is thus realized essentially through a perceptual trajectory that can easily be recorded, analyzed, and modeled (Stewart and Gapenne, 2004). Of course, the space of all the motor commands that produce movements of the hand and arm is vast; but the relevant space of significant actions is defined by the interface, and boils down to translations of the receptor field in the space where the shapes are situated. Besides, one observes that during the course of learning the attention of the subjects, which was initially focused on the tactile stimulation, turns toward the space of two-dimensional action. It is in this space that the subjects situate themselves and act. An interesting consequence of this radical minimalism is that the perceptual trajectories for localizing or recognizing shapes, as well as the perceptual strategies that make it possible to carry them out, seem to be the same whether the sensory feedback is tactile, auditory, or visual (Gapenne et al., 2005). It therefore seems that the simplicity of the device makes it possible to elucidate some of the fundamental properties of the perception, independently of the sensory modality. Moreover, to the extent that the space that is explored is defined by a computer, the Tactos system makes it possible to set up a virtual space which can be shared by several users, even physically situated at a distance. It is this experimental setup that forms the basis for the experiments on social interaction that we shall now describe. In each case, this setup allows to clearly distinguish (a) the necessary and sufficient contributions of each individual partner; (b) that which emerges from the collective dynamics; and (c) that which can be subsequently appropriated by the individual partners.
AN EXPERIMENTAL PARADIGM FOR THE STUDY OF THE RECOGNITION OF ANOTHER SUBJECT
Classically, in the framework of the philosophy of mind and the representationalist paradigm in cognitive science, one considers that the problem of the recognition of another subject comes down to the question of the adoption of an “intentional stance” with respect to the object in question (Dennett, 1971; Heider, 1982; Tremoulet and Feldman, 2000). In this framework, the question is thus to determine the criteria and mechanisms used by the subjects in deciding to treat the perceived objects, either as simple “things” which obey a mechanical causality, or else as “intentional agents” who act as a function of internal representations and goals. Various approaches are in competition, from the “simulation theory” (Meltzoff, 1995) which of late incorporates internal structures such as “mirror neurons” (Gallese et al., 2004) to the “theory theory” (Gergely et al., 1995; Csibra et al., 2003), passing
by the hypothesis of low-level perceptual modules (Leslie, 1987; Premack, 1990; Baron-Cohen and Cross, 1992; Povinelli et al., 2000; Tomasello et al., 2005). However, in spite of their diversity and above and beyond their oppositions, all these theories are based on the same type of experimental method. In all cases one establishes a strict separation between the observing subject and the scene that is observed.
By contrast, in an interactionist approach to this question the recognition of an intentional subject ought to take place during an interaction where the perceived subject can reciprocally recognize the observer himself as an intentional subject. We designate by the term “perceptual crossing” all those situations where two perceptual activities meet, as for example in mutual touching, looks where both subjects “catch each other’s eyes,” or a proto-conversation between mother and infant (Butterworth and Jarrett, 1991). The feelings of intimacy and the importance of the emotional values attached to this sort of inter-individual interaction are well known (Argyle and Dean, 1965). It is commonly reported that there is a feeling of immediate reciprocal recognition of the presence of another perceptual intentionality (Farroni et al., 2002). There is a question, however: when two subjects catch each other’s eyes, for example, is it because the subjects recognize each other as intentional subjects that they look at each other; or is it the other way round, because the looks are fixed on each other that there is reciprocal recognition as intentional subjects? (Baron-Cohen and Cross, 1992; Baron-Cohen et al., 2001) In the first case, each subject starts by unilaterally judging the presence of another subject on the basis of his behavior before entering into interaction, unless of course this interaction can supervene independently of any attribution of intentionality (Tomasello et al., 2005). In the second case, it is the perceptual interaction itself which produces the mutual recognition. In this case, the situation of perceptual crossing makes it possible to discriminate the specificity of a perceptual activity directed at oneself. In order to give an empirical content to this intuition we have used the minimalist experimental paradigm described above, in a form which gives rise to an elementary sort of perceptual crossing. As explained above, this situation allows for a precise and detailed observation of the joint perceptual dynamics. An initial experimental study of this sort, which has already been presented elsewhere (Lenay et al., 2006; Di Paolo et al., 2008; Auvray et al., 2009), must nevertheless be presented in some detail here because it will serve as the basis for the following experiments.
**EXPERIMENT 1: STUDY OF PERCEPTUAL CROSSING**
In order to purify the notion of “perceptual crossing,” and to make it possible to proceed to a precise analysis of the mutual dynamics, we have reduced the space of action of the participants to a single dimension, and reduced also the repertoire of sensory input to a single all-or-nothing stimulation (just 1 bit of information at each time-point). Two blindfolded participants are placed in different rooms, and can only interact via the device. They each explore a computer screen with a mouse, and receive tactile stimulation on the index finger of their free hand. The movements of the mouse control the movements of a receptor field of 4 pixels in a one-dimensional space. Only the horizontal movements of the mouse are taken into account. The space of action consists of a straight line 600 pixels long, which loops round to form a continuous circle so as to avoid edge-effects. Various objects, consisting of black pixels, are placed on this line. Each time the receptor field encounters a black pixel, the participant receives an all-or-nothing tactile stimulation on the Braille cell (see Figure 2).
**FIGURE 2 | The unidimensional space of perceptual interaction.** With the mouse of their computer, each subject moves a receptor field on a straight line in a shared digital space. When the two receptor fields meet each other, each user receives a tactile stimulus on his free hand. Here, the receptor fields can be perceived (they are thus also body-objects perceivable by the partner).
Two systems of this sort are connected in a network, so that the two participants share the same one-dimensional space. There are three sorts of objects that each participant can encounter:
1. The body-object of the other participant (his perceived body) which exactly matches his receptor field (4 pixels wide). When the two participants are in the same position, each receives an all-or-nothing tactile stimulation. We call this situation “perceptual crossing.”
2. A fixed object that we call the “fixed lure”: this is a segment 4 pixels wide. The fixed lure for the participant 1 is invisible for the participant 2, and is placed in a different position than the fixed lure for participant 2 (see Figure 3).
3. A moving object (4 pixels wide) that we call the “mobile lure.” In order to ensure that the mobile lure would have the same richness of movement as the body-object of the other participant, but without being responsive to perceptual crossings, we attached it by a rigid virtual link to the receptor field/body-object of the partner. The mobile lure thus follows exactly, but at a constant distance, all the movements performed by the partner. The lure was placed 50 pixels to the right of the receptor field (see Figure 3). In all that follows, distances between two objects are measured in pixels from the left-most pixel of one object to the left-most pixel of the other.
This experimental configuration makes it possible to test a theoretical hypothesis: even though the mobile lure and the body-object of the partner (which corresponds to his/her receptor field) have objectively exactly the same movements, will the participants be able to distinguish them on the sole basis that the receptor field of the partner is sensitive and animated by a perceptual activity turned toward their own movements?
Ten pairs of participants took part in this experiment. The participants were blindfolded and placed in different rooms. It is explained to them that the left/right movements of the mouse allow them to move in a shared one-dimensional space. In this space they can encounter three sorts of objects: a fixed object; a mobile object; and the body-object of their partner. The relation between the mobile object and the body-object of the partner is not explained to them. The instruction was to click on the left button of the mouse when they judged that they had met their partner. This experimental setup has a number of advantages:
1. The perceptual situation is radically novel for the subjects. We thus avoid the direct importation of knowledge already elaborated. On the contrary, a learning period is necessary, and this makes it possible to observe the genesis of the phenomena.
2. The reduction of the sensory input forces a spatial and temporal deployment of the perceptual activities, and this makes it possible to record them and to analyze them in detail.
3. The simplicity of the setup makes it possible to elucidate the sufficient conditions for a detailed explanatory scheme of the collective dynamics, which we may hope has some generality.
The results for all the participants and all the sessions showed that the majority of clicks (62%) occurred when the two partners were indeed in front of each other, i.e., in a situation of perceptual crossing (see Figure 4).
We then analyzed the distribution of clicks as a function of the cause of the stimulations received by the participant during the preceding 2 s. The results over all the participants show that 66% (±4) of the clicks follow stimulations from perceptual crossing; 23% (±10) of the clicks follow stimulations due to the mobile lure; and only 11% (±9) follow stimulations due to the fixed lure. These results show that the participants are able to distinguish between the three categories of object that they encounter in the one-dimensional space. They distinguish between the receptor field of the partner and an object, be it fixed or mobile. This overall success may seem surprising since, by construction, the mobile lure has exactly the same movement as the receptor field of their partner. It seems that what is recognized is indeed the *activity* of a perceptual subject directed toward themselves, and not just the objective structure of the movements (Wilkerson, 1999). However, further analysis shows that this apparent success at the overall level masks what was actually a revealing failure at the individual level.
We first carried out a comparison between the distribution of the clicks and the distribution of the tactile stimulations received. The overall results for all the participants show that 52% (±12) of the stimulations come from a perceptual crossing, 33% (±12) come from the fixed lure, and only 15% (±6) from the mobile lure (see Table 1; Figure 4).
When we calculate the *ratio* of clicks/stimulations, we find 0.33 for the fixed lure, 1.26 for the perceptual crossing, and 1.51 for the mobile lure. These results show a major difference between the fixed lure on one hand (0.33) and the mobile entities on the other
**Attractor in the collective dynamics**
We may note that all the observations made with these minimalist setups show that the perception of an object in a particular position is realized by its active, reversible exploration: the subjects come and go around the singularity that provokes a sensory return (Stribunruangrit et al., 2004). Thus, there is a general strategy which consists of reversing the movement of the receptor field following a sensory event. To the extent that the perceptual strategy of each participant consists of inverting their movement following an alteration in sensory input, if a participant meets their partner(s) he will invert his movement while the latter will do the same. The two receptor fields will thus enter into a sort of dance. This can be described as constituting an attractor in the collective dynamics; an attractor which is not a spatially fixed point, but a region which may itself be displaced. Even though the participants do not have a specifically collaborative aim, their simultaneous efforts to discriminate the presence of their partner produces an attractor in the collective dynamics of their perceptual activities (Froese and Di Paolo, 2010, 2011a).
**The reasons that lead the subjects to click**
If we study the events which precede each click, we observe that if over the last 2 s of his perceptual activity a subject meets:
1. few stimulations, no perception is constituted and the probability of clicking is low;
2. many stimulations, but for an object that is recognized as fixed (sensorimotor stability), the probability of clicking is again low;
3. but if there are many stimulations, for an object that remains undetermined spatially, the probability of clicking is high (see Figure 5).
In the latter case, the participant is probably in the presence of the other participant, but it is also possible that it is the mobile lure. Thus the clicks of the participants can be largely explained by the conjunction of two criteria, one negative and one positive:
1. “Another subject” is something which resists precise spatial determination: it is neither a fixed object, nor an object with movements determined by a simple rule.
2. However, at the same time, “another subject” is something which maintains its presence. This is indeed a characteristic of the body-object of another participant, but not of the mobile lure, because it is only this body-object which has a receptor field sensitive in its turn to the presence of objects, i.e., likely to change its behavior according to the sensory input it receives. The (only) difference between the receptor field of the other participant and the mobile lure attached to it is that only the former is sensitive to my presence; and as we have seen, this sensitivity is linked to a perceptual intentionality which constantly aims at remaining in the vicinity of a singularity. This is precisely a sufficient condition for the formation of an attractor in the joint dynamics which tends to augment the probability that the partner will be present. Thus, the criterion which seems to be employed by the participants for clicking is not arbitrary, but ensues logically from the meeting.
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**Table 1 | Distribution of the clicks and of the tactile stimulations – experiment 1.**
| | Receptor field | Mobile lure | Fixed lure |
|--------------------------------|----------------|-------------|------------|
| Percentage of clicks | 66 ± 4 | 23 ± 10 | 11 ± 9 |
| Percentage of stimulations | 52 ± 12 | 15 ± 6 | 33 ± 12 |
| Ratio clicks/stimulations | 1.26 | 1.51 | 0.33 |
(1.26 and 1.51). The participants have a probability of clicking that is four times greater if the stimulation comes from a mobile entity than it is due to the fixed lure. Thus, the ratio between clicks and stimulations shows that overall each participant does not seem to distinguish between stimulations due to perceptual crossing and stimulations due to the mobile lure (1.26 vs. 1.51). The difference in clicks on the mobile lure and on the receptor field of their partner (23 vs. 66%) seems to be due only to strategies of movement which are such that encounters with the mobile lure are much less frequent than encounters due to perceptual crossing (15 vs. 52%). If the participants succeed in the task, it is essentially because they succeed in situating themselves face-to-face with their partner, and not because they recognize in the pattern of stimulation any clues which discriminate the receptor field of their partner from that of the mobile lure. The only difference resides in the interaction itself. In order to account for these results, there are two things to be explained. On the one hand, the capacity of the participants to privilege the situation of being face-to-face; on the other hand, the reasons that leads them to click.
of two perceptual intentionalities. This criterion is coherent with the very content of that which is to be recognized. The other subject is recognized just as something that resists its precise determination and yet which persists in being present. An analysis of the phenomenological descriptions given by the subjects themselves would exceed the limits of this article. It is sufficient to note here that the modifications of the lived experience of the subjects can only be built on the basis of the objective elements that we present.
However, even if these criteria seem judicious, they are not sufficient here to guarantee against a failure to distinguish between the receptor field of the partner and the mobile lure. If by a stroke of bad luck it is the mobile lure which remains present, the participants have the same probability of clicking as for the receptor field. For example, if the receptor field of my partner is engaged in oscillating around an object situated at 50 pixels from my own position, and thus causing a movement of the attached lure around my own position, I will be induced to click on the attached lure.
**Conclusion to experiment 1**
In this first experiment where the aim is to discriminate the presence of another subject, the individuals fail whereas the collective action succeeds. Thus, the collective success cannot be explained by an individual capacity to recognize another subject by means of a particular sensation (Michael and Overgaard, 2012). The collective success is explained principally by a collective dynamics which results from the engagement of each subject in his perceptual activity searching for a partner. The clicks result from a decision rule which appears to be judicious, but which is insufficient at the individual level to distinguish between specific sensations.
The question which arises now for an interactionist approach is whether it is possible for the individuals to appropriate the collective success. This seems feasible if we relax a particularly unrealistic condition of our experimental situation in which there was no intrinsic difference between the various objects. If the subjects are able to recognize different intrinsic properties for the three objects, they may be able to use these properties to categorize the different situations of interaction in which they are engaged. In order to show that this is the case, we have carried out a new experiment with a protocol that is very similar, but which this time consists of categorizing the objects (fixed lure, mobile lure, and receptor field) that can be easily discriminated in their own right.
**EXPERIMENT 2: RECOGNITION OF PERCEPTUAL CROSSING**
The experimental setup is the same as that of the first experiment, except that this time the sensory feedback is no longer a tactile stimulus, but a sound which is different for each of the objects which can be encountered.
**Method**
Twenty participants took part in this experiment. Their ages ranged from 20 to 32 years (mean age of 22.4 years). All of the participants reported normal tactile perception. The experiment took approximately 25 min to complete and was performed in accordance with the ethical standards laid down in the 1991 Declaration of Helsinki.
We used an adapted version of the minimalist sensory substitution system Tactos. Blindfolded participants explored graphic information by means of a computer mouse and received auditory information via headphones. The displacement of the computer mouse produced the displacement of a 4-pixel receptor field in a one-dimensional space (a line 600 pixels long, with the ends joined to form a torus). Only the horizontal displacement of the mouse was taken into account. Several objects consisting of black pixels were situated on this line. Each time the receptor field covered a black pixel, a sound is emitted which varies according to the nature...
of the object. There are three possible sounds: (1) the horn of a car, (2) the horn of a big lorry, and (3) the tinkling of a bicycle bell. These sounds were chosen to be easily differentiated and named. Two Tactos devices were combined in a network so that each pair of participants shared a common one-dimensional space. As in the previous experiment, each participant could encounter three types of object:
(1) The 4-pixel receptor field of the other participant.
(2) A fixed 4-pixel wide object. The fixed object perceived by participant 1 was placed between 148 and 152 pixels and was invisible for participant 2; the fixed object perceived by participant 2 was placed between 448 and 452 pixels and was invisible for participant 1.
(3) A mobile 4-pixel wide object. In order to ensure that the movements of this object have exactly the same dynamic structure as the movements of a receptor field, two conditions were tested:
(i) **Condition C1**: the mobile object was attached by a virtual rigid link at a distance 100 pixels from the center of the receptor field (see Figure 3). It should be noted that when participant 1 explored participant 2’s mobile object, participant 2 did not receive any auditory feedback (and conversely, participant 1 did not receive any auditory feedback when his mobile object was explored by participant 2). In contrast, when one of the participants explored the other participant’s receptor field, both received auditory feedback.
(ii) **Condition C2**: just like C1 except that the mobile object is animated by the trajectory of the partner recorded from the previous session.
**Procedure**
Each pair of participants performed the experiment once. They were blindfolded and seated in different rooms in front of the Tactos device. There was no means of communicating between the participants other than the experimental setup. The functioning of the device – the relation between the receptor field, the objects in the environment, and the auditory feedback – was explained to the participants. The participants were then trained on the device during three phases of 1 min each: exploration of three fixed objects to which the three sounds were attributed (we verified that the sounds were clearly differentiated); exploration of an object 4 pixels wide moving at a constant speed of 15 pixels/s; then at 30 pixels/s. Then, the experimental task was explained to the participants. They were told that they could freely explore the one-dimensional space containing three types of auditory object: (1) the receptor field of the partner, (2) fixed objects, (3) and mobile objects. However, the nature of the dynamics of the mobile object was not explained. The instruction was to associate a sound to each of the three types of objects.
There were four sessions of 2 min each. In sessions S1 and S2 the condition was C1 (attached lure), in session S3 and S4 the condition was C2 (the lure follows the recorded movements of the partner in session S2). A sound was associated with each object; the sounds are reattributed differently and randomly for each session. At the end of the four sessions the strategies and impressions of each participant are noted and recorded.
**Results**
First of all, we looked at the frequency of correct responses for each of the three objects (see Table 2).
For the set of all 80 sessions (considering each participant independently), 60 were perfect. There was an improvement between sessions 1 and 4. This may be explained by an effect of learning with respect to the setup, but also with respect to the behavior of the partner which stays the same. This learning effect masks any possible difference between conditions C1 and C2. The ease of identifying the fixed object is confirmed by a success rate of almost 94%. If we consider that this recognition is generally achieved, the results for the categorization of the other two objects remain largely significant, especially in the fourth session where the success rate for the 20 participants is 85% compared to the chance rate of 50%.
We then examined the relation between the success of one participant and the concomitant success of the partner. Of the 60 sessions which were perfect for one participant, 46 (77%) were also perfect for the other participant, whereas by chance there would have been 35 (59%; $\chi^2 = 3.46$, $p < 0.07$).
**Analysis and conclusion for experiment 2**
After self-learning, the results of this complementary experiment are significantly in favor of a good categorization of the sound corresponding to the presence of the partner. There is no significant difference between the conditions C1 and C2 (attached lure or recorded lure). The analysis of the behavioral trajectories, and the questions posed at the end of the experiment, allow us to elucidate the strategies of the participants.
Almost all the participants adopt a “sweeping” technique when they encounter an object, i.e., they oscillate around the position where they perceived an object. A large majority of the participants first sought to identify the fixed object ($19 \pm 18\%$ of the positions are concentrated between +30 and −30 pixels from the fixed lure, out of the 800 pixels of the total space), and then they
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**Table 2 | Frequency of correct responses – experiment 2.**
| | Partner (%) | Mobile object (%) | Fixed object (%) | Perfect 3/3 (%) | $\chi^2$ test (%) |
|--------------------------------|-------------|-------------------|------------------|-----------------|-------------------|
| Success over all four sessions | 77.50 | 75.00 | 93.75 | 75.00 | 2.53 (significant)|
| Success session S1 (C1) | 65.00 | 65.00 | 95.00 | 65.00 | 17.97 (not significant)|
| Success session S2 (C1) | 75.00 | 75.00 | 95.00 | 75.00 | 2.53 (significant)|
| Success session S3 (C2) | 85.00 | 75.00 | 90.00 | 75.00 | 2.53 (significant)|
| Success session S4 (C2) | 85.00 | 85.00 | 95.00 | 85.00 | 0.17 (highly significant)|
sought to remain in contact with a mobile object. When two participants meet, they “sweep” on each other and seek to remain in contact. In this way, we find again a dynamic attractor around the position of perceptual crossing, although it is somewhat less marked than in the previous experiment (21 ± 8% of the positions are concentrated between +30 and −30 pixels from the position of the receptor field of their partner). When that succeeds sufficiently, they decide that it is their partner. When they fail to follow a mobile object, they decide that it is a lure which is indifferent to their presence (16 ± 7% between +30 and −30 pixels around the mobile lure).
As in the first experiment, the collective dynamics results from the common engagement of both participants in the perceptual activity. We may note in addition that the success of one participant has an influence on the success of his partner. This can be easily understood, since the two participants are engaged in the same perceptual task. If for example one of the participants does not move his receptor field, his partner will have no means of distinguishing it from the fixed lure.
What explains the individual success here is the ability of the participants to distinguish the dynamics of perceptual crossing from the dynamics of interacting with other objects. Since the participants have access to different intrinsic properties for the three objects, they can recognize *different occurrences of the same object*. Thus, the different sounds make it possible to disambiguate the situations of interaction: faced with a lure which presents the same criteria which led the participants to click in the first experiment (frequent sensory stimulation combined with an indeterminate position), the participants no longer make the mistake. The difference in the intrinsic properties allows them to recognize that this situation is not the same as the encounter with the other participant, which is more frequent because it corresponds to a stronger attractor in the dynamics of interaction. Thus, the situation of perceptual crossing is now recognized as a property of an object already identified by other means. We shall return to this point in the conclusions. Now that we have been able to define the collective dynamics of perceptual crossing (see Attractor in the Collective Dynamics), we may enquire whether this form of synchronization may make it possible to propose an original approach to the phenomena of imitation of facial expressions.
**Processes of Imitation**
It is indeed difficult to understand how, just after birth, an infant can establish a relation between the movements observed in a conspecific subject and the proprioceptive data concerning her own movements, in particular her *opaque actions* such as her own facial movements that she cannot see herself (Meltzoff and Moore, 1997). Even though some authors are skeptical of the new-born imitation data (Ray and Heyes, 2011), the phenomenon remains interesting; and the importance of this *correspondence problem* (Brass and Heyes, 2005) is not limited to imitation but applies also to action understanding (Rizzolatti and Craighero, 2004), the use of tools (Ferrari et al., 2005), empathy (Gallese et al., 2004), learning a language (Rizzolatti and Arbib, 1998), and the “theory of mind” (Gallese, 2007). In the literature there are two main positions concerning the underlying mechanisms.
The first position consists of postulating an innate “Active Intermodal Matching” system (AIM) which performs a supramodal representation of bodily actions which are seen or performed (Meltzoff and Moore, 1999; Nagy, 2006). In this case, an “innate mirror-neuron system” participates in the neuronal cabling between perceived facial expressions and the expressions that are produced (Iacoboni et al., 1999; Rizzolatti et al., 2002). However this solution, as indeed all “hereditarian” solutions in general, does not really explain anything at all, but consists of merely giving oneself a phenomenon whose genesis remains to be explained. If the question is that of explaining imitation, we have to show that it can occur without any prior knowledge of it.
The second position consists of postulating a “learning” of this matching between action and perception (Butterworth, 1999). Sensorimotor training is supposed to configure these internal structures by setting up an association between representations of the actions and representations of their sensory consequences, in particular visual consequences (Catmur et al., 2007, 2009; Cook et al., 2010). If the question is that of explaining imitation, we have to show that it can occur without any consciousness of imitating.
In both cases, imitation is postulated as being effected by structures that are internal to each individual, principally “mirror neurons.” However, if one was able to account for a phenomenon that appears as “imitation” without appealing to such internal structures, one would start to have the means to *account* for the setting up of such structures, whether it be through individual learning or by an evolutionary process. The path we propose to explore here consists of seeking the conditions for the appearance of “mimetic phenomena” in the very dynamics of the perceptual interactions—and this in the absence of any previous internal knowledge of the subjects concerning their own facial expressions. It is not the imitation which accounts for the interactions, but the dynamics of interaction which produces the imitation. Here again we propose a particular experimental study which makes it possible to elaborate a conceptual scheme, whose generality will of course have to be examined subsequently.
**Experiment 3: Mimetic Dynamics in the Perceptual Crossing**
We have thus taken up our experiment of minimalist perceptual crossing; but this time, the participants can modify what is presented to their partner. In accordance with our minimalist approach, we have chosen as a minimal modification of the body the relative distance between the body-object and the receptor field. The objective external description of “imitation” will be a similarity in the relative distances of the body-objects of the two subjects, relative distances that the subjects themselves do not perceive. If the subjects do succeed in matching these distances (*D*1 and *D*2, see below), this will illustrate our contention that “imitation” as such is largely in the eye of the beholder.
**Methods**
The experimental setup is the same as that of the first experiment, except that this time, there is no fixed lure, and the receptor field is no longer directly perceivable by the partner. All that is perceivable is the body-object that is attached to the receptor field.
We call *D*1 the position of the body-object of participant 1 with respect to his receptor field, and *D*2 for participant 2; the
The body-objects and receptor fields all have a width of 8 pixels. The displacement of the computer mouse produces the simultaneous displacement of the 8-pixel receptor field and the 8-pixel body-object in a one-dimensional space. Only the horizontal displacement of the mouse was taken into account. The one-dimensional space consisted of a line 800 pixels long, with the ends joined to form a torus in order to avoid singularities due to edges. Each time the receptor field encounters a black pixel of the body-object of his partner, the participant receives an all-or-nothing tactile stimulation on the Braille cell.
**Procedure**
Twelve participants took part in this experiment. Their ages ranged from 18 to 32 years (mean age of 20.4 years). All of the participants reported normal tactile perception. The experiment took approximately 35 min to complete and was performed in accordance with the ethical standards laid down in the 1991 Declaration of Helsinki.
The participants are blindfolded, placed in different rooms, and able to interact only via the device. Each pair of participants performed the experiment once. The functioning of the device – the relation between the receptor field, the objects in the environment, and the tactile feedback – was explained to the participants. During a learning period (with $D1 + D2 = 0$), the participants learned to maintain the situation of perceptual crossing. The explicit instructions are the following: the participants must be attentive to the possible drift of their perceptual crossing, and that by clicking they can restore the balance. One informs them that if they feel that the drift occurs toward the right they should click on the left button, and vice versa. The experiment was performed over four sessions of 3 min each, with different starting conditions:
S1: $D1 = +30$, $D2 = +30$ thus $D1 + D2 = 60$
S2: $D1 = +16$, $D2 = +30$ thus $D1 + D2 = 46$
S3: $D1 = +30$, $D2 = -30$ thus $D1 + D2 = 0$
S4: $D1 = -16$, $D2 = +30$ thus $D1 + D2 = 14$
The participants are instructed to maintain the perceptual crossing as long as possible. They do not know the position of their own body-object, nor that of their partner. Each participant clicks left or right according to his own feeling concerning the drift of the perceptual crossing.
**Results**
Overall, there was clearly a convergence toward the situation where $D1 + D2 = 0$, that we may identify as a situation of imitation. Even though the participants do not know the position of their body-object, either at the beginning or at the end, their joint search for a situation of balanced perceptual crossing rapidly leads to a similarity in these positions. In 3 min, the disequilibria in $D1 + D2$ are reduced to less than 30% of their initial values (see Table 3; Figure 8).
At the same time the diversity of the actual values for $D1$ or $D2$ increases over time [the standard deviation of $(D1 - D2)$ between pairs of participants passes from 0 to 16 pixels]; this is understandable, since the positions of equilibrium that are sought belong to an infinite class of situations where $D1 + D2 = 0$. Even in S3, where the initial position was already perfectly balanced, there is a differentiation of the situations of equilibrium.
The condition S4 is also interesting because, given the width of the receptor fields and body-objects (8 pixels), the participants could have satisfied themselves with a state of equilibrium where both participants remained immobile while receiving stimulation. Nevertheless, what is observed is a continuation of the process of convergence toward a better imitation (decrease in $D1 + D2$). This initial experiment thus enabled us to test our hypothesis: at least in these experimental conditions, the collective dynamics leads to a stabilization of a phenomenon of imitation.
**Analysis**
In order to understand how the participants manage to succeed in this task, we can come back to the analysis of the perceptual trajectories and sensory feedbacks, which represent all that the participants have access to. We will then attempt to determine the strategies adopted by the participants, whereby they link variations in their sensory input to their subsequent actions. In Figure 9, we illustrate the existence of an attractor in the relative positions, X1–X2.
Even when $(D1 + D2)$ is relatively large, so that the participants cannot both perceive each other simultaneously, the dynamics of
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**Table 3 | The initial and final values of $(D1 + D2)$, measured in pixels – experiment 3.**
| Experiment | Initial state | Average final state |
|------------|---------------|---------------------|
| | $D1 + D2$ | $D1 + D2$ | Standard deviation $D1 + D2$ | Standard deviation $D1 - D2$ |
| S1 | 60 | 13 | ±20 | ±30.6 |
| S2 | 46 | 10 | ±14 | ±23.3 |
| S3 | 0 | −1.6 | ±4.8 | ±1.8 |
| S4 | 14 | 5 | ±1.7 | ±8.8 |
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**FIGURE 8 | Results of the first experimental session – experiment 3.**
Legend: The fine lines represent the evolution of $(D1 + D2)$, i.e., the distance between the body-objects of the six pairs of subjects, over the course of the 3 min of the session. The thick line represents the evolution of the mean of $(D1 + D2)$. The dotted line indicates the dispersion of the values $D1$ and $D2$ (the standard deviation of the difference $D1 - D2$).
**FIGURE 9 | An example of interaction trajectories.** Time is indicated in seconds on the abscissa. **(A)** The trajectory of participant 1 (X1) is in blue, that of participant 2 (X2) in yellow (breaks in the trajectories correspond simply to passages in the torus). Stimulation received are marked by crosses on the trajectory. **(B)** The displacement between receptor field and body-object for participant 1, $D_1$, is in thick yellow, and that of participant 2, $D_2$, in thick blue. The sum of the displacements $(D_1 + D_2)$ is indicated by a black line. It can be seen that at the start the participants drift toward the right (the bottom of the graph), then from $t = 55$ s they start to drift toward the left (the top of the graph) but slower and slower as they progressively stabilize. At the start the displacement $(D_1 + D_2)$ is 60 pixels ($D_1 = D_2 = 30$). The participants start clicking from $t = 72$ s. From $t = 125$ s onward, the two subjects both receive a continuous stimulation and they stop moving: $(D_1 + D_2) = 4$ pixels.
The interaction still exhibits a sort of perceptual crossing in the form of a mutual oscillation of the participants around each other. This “attractor” can be characterized by the standard deviation of the distribution of distances between the participants\(^1\). As shown in **Figure 10**, this attractor becomes narrower as the values of $(D_1 + D_2)$ decrease; the participants are more and more often in front of each other and their movements are more and more reduced; the correlation coefficient of 0.52 is highly significant ($p << 0.1$). When $(D_1 + D_2)$ is less than 16, so that the two participants could stop moving in a situation where they both receive a stimulation, it is striking to note that most often their activity continues and, on the average, the attractor of the perceptual crossing narrows still further. In the fourth session, $(D_1 + D_2)$ decreases to $5 \pm 1.7$ pixels. Here, it is clear that it is only with respect to the dynamics of their interaction that the participants can grasp whether or not there is a drift in their perceptual crossing, and seek a situation with a well-balanced face-to-face.
Viewed from the outside, the actions of the participants produce a tightening of the attractor in their dynamics of interaction. The question arises as to the clues that the participants may use to guide their adjustments of $D_1$ and $D_2$. As we have already seen in the first experiment, the participants seem to be sensitive to the frequency of stimulations received whilst they seek to establish a perceptual crossing. As shown in **Figure 11**, a decrease in $(D_1 + D_2)$ is accompanied by an increase in the frequency of stimulation: the correlation coefficient of $(-0.62)$ is highly significant.
Moreover, as shown in **Figure 12**, the participants may also be sensitive to the systematic drift in their average positions over a 5-s period. The correlation coefficient of 0.342 is highly significant.
From the point of view of each participant, the value of $(D_1 + D_2)$ defines a situation of interaction which leads to a certain speed of the drift of the perceptual crossing, and to a certain frequency of sensory stimulations. Conversely, this speed of the drift and changes in the frequency of stimulations can serve as a clue to click and so to modify the value of $(D_1 + D_2)$.
In all the sessions, both participants are necessarily active in moving to obtain sensory stimulations. However it happens quite
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\(^1\)In the experiments illustrated in **Figures 10, 11,** and **12**, the data making up the distributions were collected at regular 1-s intervals over the course of the experiments.
often, in one-third of the sessions (8 out of the 24), that only one of the participants clicks (thus changing only $D1$ or $D2$ as the case may be); the other participant is active only in maintaining the perceptual crossing. Such a differentiation in the roles is possible because the functionally significant variable is actually the sum $(D1 + D2)$, and each participant can act alone on this variable.
**CONCLUSION ON EXPERIMENT 3**
In this experiment, two dynamics are coupled: a rapid perceptual dynamics of the movements of the receptor fields controlled by movements of the computer mouse; and a slower dynamics, corresponding to modifications of the distance “D” (between receptor field and body-object) which is controlled by left and right clicks on the mouse button. We see that this second, slower dynamics is controlled by the results of the first, rapid dynamics. In his rapid perceptual dynamics, each participant makes an effort to find and to sustain a good perceptual crossing (sweeping movements around the body-object of the partner). The participants reveal that they are able to perceive the orientation of a drift that they are *subjected to*. Even when the perceptual crossing is perfectly balanced ($D1 + D2 = 0$), the participants can move together in one overall direction or the other; but here, the participants seem to perceive that this drift has a “force,” a “systematicity,” that they can correct by clicking. The clicks of both participants act on a common spatial variable, the relative distance $(D1 + D2)$, which determines the balance of the perceptual interaction. By bringing this common variable to 0, they produce a stabilization of the perceptual crossing which, from the point of view of an external observer, corresponds to a mirror-resemblance of the images that are presented to the partner ($D1 = -D2$).
Of course it is a long way from this radically simplified situation, to those of natural multimodal encounters. We shall come back to this point in the final discussion. The point that seems to us important here, and that the experimental setup aimed at showing, is that the adjustment between the two participants occurs even though they do not know what image they present to their partner, nor what is the exact effect of their actions (the mouse clicks). They only have access to the collective dynamics, and it is through this that they guide their actions. Here, imitation does *not* result from learning the relations between what is perceived of another subject (visual perception of facial expressions) and what
is perceived of one’s own actions (proprioceptive perception of one’s own expressions).
**GENERAL CONCLUSION AND DISCUSSION**
**MINIMALISM AND TECHNICAL MEDIATION OF PERCEPTUAL ACTIVITY**
The object of the experiments presented here was to create the empirical conditions for a theoretical discussion by reducing conceptual ambiguities to a minimum. The various individual and collective components of the observed phenomena can be clearly distinguished, and sufficiently complete explanations can be proposed. To achieve this, the technical mediation serves as a prism which makes it possible to separate out and to analyze the components of complex interactive processes. By reducing the sensory information to 1 bit of all-or-nothing information, and by reducing the actions to movements on a one-dimensional line, the perceptual activities were externalized in the form of perceptual trajectories which can be easily recorded, permitting a complete analysis of the sensorimotor relations.
A large number of other studies are currently under way, using the same sort of deliberate minimalism. For example, we have verified that the dynamics of perceptual crossing remains essentially the same if the space of actions is two-dimensional (rather than the one-dimensional space used here; Lenay et al., 2011). In this framework, one can also study differentiation of the roles of the two partners following variations in the relative sizes of their perceiving bodies (receptor fields) and their perceived bodies (body-objects; Maillet et al., 2008). A similar experimental situation is also being used to carry out “Turing-test” experiments, where the participants have to discriminate between a human partner and automatic robots of increasing complexity (Deschamps et al., 2012). Perceptual crossings in one- and two-dimensional spaces have also been studied using the methods of evolutionary robotics, which makes it possible to explore the field of possible solutions (Di Paolo and Iizuka, 2008; Froese and Di Paolo, 2008; Rohde and Di Paolo, 2008). A study of the same type has also been carried out for the minimalist imitation experiment presented here (Froese et al., submitted).
Now it may be objected that this minimalism only accounts for an artificial perception, widely removed from natural perceptual functions, and so it does not teach us much about the natural situations. Our reply is that the constraints of minimalism make it possible to clearly control what was absent at the start, and so was constituted during the course of the experiment. Even if it is limited, there is nevertheless a genuine genesis of social cognitive capacities. The explanatory scheme that we propose for this particular situation may then serve as a model, as a tool. In fact, we consider that the boot is on the other foot: if other authors wish to maintain that other mechanisms are necessary to account for imitation in natural situations, it is up to them to demonstrate clearly the existence of such mechanisms – preferably in suitably minimalist experimental conditions.
**DYNAMICS OF INTERACTION AND INDIVIDUAL APPROPRIATION**
Contrary to the methodological individualism which poses as a matter of principle that all social phenomena must be explained on the basis of purely individual skills and abilities, we propose an alternative approach where certain social abilities that can be recognized in individuals are not the cause, but rather the consequence of interactions where an irreducibly collective component intervenes (De Jaegher et al., 2010). To do this, we have to show how these collective components can emerge, and how they can play a role in the activity of individuals. The experiments we have presented here attempt to fill this requirement, since they make it possible to precisely define:
(a) the initial individual abilities, and quite explicitly those that were initially absent;
(b) the emergent phenomena resulting from the collective dynamics; and
(c) the appropriation by individuals of the collective phenomena which are constituted in this way.
**Recognition of the other: the first experiment**
(a) In the first experiment, what the participants possess from the start are their perceptual abilities – in particular, the capacity to localize a shape in the one-dimensional space of exploration. However, by construction, the participants have no indication concerning the shape or the movement which might be associated to the other (the shape and movements of the partner and the mobile lure are exactly similar). Moreover, the body-object of a participant (that which can be perceived by the partner) is not perceivable by the participant himself.
(b) The meeting of the efforts of each partner to constitute objects in his space of perception produces an attractor for the perceptual activities. This attractor does not correspond for either partner to a deterministic sensorimotor law. Indeed, in the minimalist conditions that we have given ourselves, if a subject does discover a stable sensorimotor law, for example the regular and symmetrical oscillation around a point of sensory stimulation, that will constitute for that subject the perception of an immobile object in the one-dimensional space of action. In the same way, an asymmetrical oscillation around a point of stimulation that is continually shifted will constitute the perception of an object in uniform movement. However, given the minimalism of a single receptor field, if the object moves faster than the participant can move to explore it, its spatial constitution becomes impossible. One of the points of interest of our experimental situation resides here: if the other is, like me, engaged in perceptual activity, the movements of his body-object, like those of the perceptual field which is attached to it, are necessarily too fast for me to be able to determine them spatially. Here it is thus impossible, by construction, to recognize in advance a determinate behavior, and then, by perceptual or cognitive inference, to attribute an intentionality to it (Premack, 1990; Csibra et al., 2003). On the contrary, it is this very impossibility to precisely determine the sensory feedbacks by their actions, which seems to be picked up by the participants as the clue leading them to indicate the presence of the other: in spite of the indeterminacy of the sensorimotor contingencies, the participants can relate their actions to sensory stimuli which are persistently present while remaining unpredictable. Indeed, if the participants respond more often to the presence of the body-object of their partner than to that of the mobile lure, it is because the perceptual
activities attract each other – just as in the visual domain, looks can attract each other.
We may note that the impossibility for the participants to perceive the image that they present to their partner is actually a necessary condition for the appearance of the dynamics of interaction of perceptual crossing. If the image that I present to the other subject was an image that I could perceive myself, an object for my perceptual activity, the dynamics of a perceptual crossing would become impossible since this image would no longer be linked to my perceptual activity.
(c) However, as we have seen, the participants remain incapable of specifically identifying the presence of the other in any particular stimulation. This individual failure shows that the perceptual crossing does not proceed from a specific recognition of the other. The dynamics of the interactions escapes each of the individual partners. This will change in the second experiment.
**Recognition of the other: the second experiment**
(a) In the second experiment, the only difference with respect to the first one is that the participants possess from the start the additional capacity to distinguish the three different types of object (different characteristic sounds).
(b) The emergent dynamics is the same; but
(c) This time the emergent dynamics can be appropriated by associating the indeterminacy of the position of an object with one or other of two distinct sounds. The different intrinsic properties of the objects can be associated with properties characteristic of the dynamics of the interaction. An individual learning of the association between a given sound and a behavior of perceptual crossing becomes possible.
This opens up a path for explaining, by means of the functional meaning of the interactions, the formation of internal brain structures which may participate in the recognition of clues associated with this situation. The collective dynamics of the perceptual crossing situation brings about a situation of sensorimotor interactions that are sufficiently stable to serve as the basis for associative learning, i.e., the structuring of a neuronal system which associates concomitant multimodal input sensations, whether their origin be exteroceptive, proprioceptive, or resulting from previous actions.
If we apply this explanatory scheme to the development of the new-born infant, we may suppose that the dynamics of perceptual crossing with the caregiver is associated with the visual perception of the intrinsic properties of their face (Lavelli and Fogel, 2005; Itier and Batty, 2009). In a more general way, in the animal kingdom, the perceptual crossings that an organism exchanges with other organisms (according to the species, these organisms will more or less reliably belong to the same species) will make it possible to set up an association between this situation and characteristic which discriminate fellow creatures. We may note that, in its generality, this explanatory scheme does not decide in favor of either a hereditarian or environmentalist conception of human social cognition. It does however militate strongly in favor of an interactionist approach, and thus a fully social approach to social cognition. The important point is that the dynamics of inter-individual interaction constitutes a situation which associate on one hand a perceptual crossing, and on the other hand a particular perceptual content. The association between this social signifying dynamics and perceptual contents could equally well be the result of individual associative learning, or of the selection of hereditary characters which accomplish this association. The logical point which is crucial here is that the individual neuronal structures which participate in the association can be the *result* and not the primary cause of this dynamics of interaction. If, on the contrary, the inter-individual interactions had to be the effect of prior internal structures – if it were necessary to already have the means of recognizing partners before engaging in an interaction with them – then the process of learning, or the evolutionary scenario, which account for the appearance of these structures would be almost impossible to imagine, because it would be necessary to associate radically heterogeneous elements (things perceived, actions performed) without any prior concrete association.
**Imitation: the third experiment**
(a) In our third experiment, the prior capacities that the participants bring to the situation are again those of being able to engage in a dynamics of interaction. By construction, the participants do not have any possible perceptual access, either exteroceptive or proprioceptive, of their own body-object that they present to the other participant. To the extent that the actions of clicking produce only a displacement of this body-object relatively to their receptor field, they cannot acquire any perceptual meaning for an isolated subject. The only access that a subject can have to the meaning of these actions passes by the indirect route of meeting with another entity which is sensitive to variations in this body-object, i.e., passes by interaction with another subject.
(b) As before, the absence (see “b” in Section “Recognition of the Other: The First Experiment”) of any access of the participants to their own body-object explains the instantiation of a dynamics of perceptual crossing. It is this perceptual crossing which, as a collective dynamics, is sensitive to the relative positions of the body-objects.
(c) It is the reappropriation by the individuals of the drift or the stability of their perceptual crossing which serves as a reference, and makes it possible for each participant to discover the meaning of their clicks.
One might say that the perceptual crossing functions like a sign which allows the subjects to know if they are in agreement. However, this sign is not arbitrary (contrary to a linguistic signifier which could be linked to any signified content whatsoever). What is signified here by the agreement of a well-balanced perceptual crossing, are the very conditions for the realization of the perceptual crossing in question.
**GENERAL CONCLUSIONS**
There is a long distance between the deliberately minimalist situations that we have just explored, and natural situations. However, our aim here is to give an existence proof for a certain sort of explanatory scheme: recognition of the other as subject, or a form of imitation, can be genuinely explained in the framework of an interactionist approach, i.e., without appealing to any prior
knowledge (be it innate or acquired) which correlates what is perceived and what is done. To the extent that we have succeeded, this explanatory scheme should make it possible to actually account for the formation of neuronal structures, such as the famous “mirror neuron” system, which are activated both when an action is performed, and when it is perceived in another subject.
The “Associative Sequence Learning” model (ASL) proposes to account for the formation of these structures by classical sensorimotor learning based on the association between the observation and the execution of the same action (Heyes, 2001). Setting up a correspondence between internal representations of the actions performed, and the visual perception of these actions, does not seem to present any particular difficulty when the subject can see their own actions at the same time as those of the other subject. However, in the case of opaque actions (the subject does not see what it is that she is doing), it becomes necessary to imagine an association between the actions that the subject produces, and the sensory return corresponding to what she sees on the face of the model. The problem is that there is then no certainty that the action seen is similar to the action being performed. For that, there has to be a social synchronization, as when the caregiver plays the role of a “model” who actually imitates the expression of the infant (unless one uses an artificial mirror). But even then, two problems remain: (1) how does the infant recognize that she is engaged in a session of “imitation”? and (2) how can she select the relevant visual variables on the face that she is perceiving?
The rather particular situation of imitation that we have presented above proposes a different explanatory scheme which could help to provide some answers to these problematic questions. A certain sort of very simple, basic “imitation” could result directly from the dynamics of the interaction, independently of any deliberate internal matching between the actions of producing facial expressions and the perception of these expressions on the partner. The perception of an “agreement” precedes the knowledge of what the agreement is about. In this perspective, games of proto-conversation do not mean that the infant knows that (s)he is imitating (that her facial expressions are more or less correct reproductions of those of the adult), but only that the infant has the capacity to recognize the existence of an agreement in the interaction (Reddy, 2003; Trevarthen and Reddy, 2007). From this point on, if the infant perceives the expression presented by the caregiver at the same time that he recognizes this agreement, a learning process becomes possible. As an attractor, the perceptual crossing creates conditions that are stable enough for there to arise an association between the actions performed and the concomitant sensory returns. The existence of structures such as “mirror neurons” could be explained by such an association between different synchronized fluxes of multimodal and proprioceptive sensory inputs, sensory data which comes both from the behavior of the other subject and from the subject’s own actions. We must insist on the fact that it is a question here of an association between the face of the partner and the dynamics of interaction which is socially meaningful (the perceptual crossing). The classical logic of “imitation” is inverted. Here, it is the de facto “imitation” resulting from the collective dynamics, which then provides the means for linking the perceived image to proprioceptive sensations. It is only later that the child will discover that what he is doing is in fact an imitation. On the basis of an agreement in the perceptual crossing, the subjects may presume that their own facial expression, that they cannot see, actually resembles that of their partner that they do see.
A major interest of the explanatory reversal that we propose here, is to make it possible to engage a dialog between scientific research and phenomenological descriptions (Varela et al., 1999; Gallagher, 2001; Thompson, 2007). For example, the phenomenological description of the encounter with the Other as a radical otherness which refuses any definitive determination (Levinas, 1979) or that of an intersubjective world in which emotions are shared (Merleau-Ponty, 1996), find corresponding elements in interaction dynamics that can be objectively observed, and that can be associated with bodily and neuronal structures. In this way, we hope that a scientific study on social cognition can be coherent with a description of the lived experience of human activity in a society and a culture where it is meaningful.
ACKNOWLEDGMENTS
This research was supported by a grant from the Regional Council of Picardie. The authors thank all the members of the group CRED (Cognitive Research and Enactive Design) of the research unit COSTECH (Knowledge, Organization and Technical Systems) for their collaboration in this work, and the students Guillaume Doisy and Siffrenie De Bellabre for their help in the organization of experiments. We would also like to thank Tom Froese for his interesting comments, and subsequent discussion, which has helped us to substantially improve the text.
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**Conflict of Interest Statement:** The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
*Received:* 30 December 2011; *accepted:* 05 April 2012; *published online:* 09 May 2012.
*Citation:* Lenay C and Stewart J (2012) Minimalist approach to perceptual interactions. *Front. Hum. Neurosci.* 6:98. doi: 10.3389/fnhum.2012.00098
*Copyright © 2012 Lenay and Stewart. This is an open-access article distributed under the terms of the Creative Commons Attribution Non Commercial License, which permits non-commercial use, distribution, and reproduction in other forums, provided the original authors and source are credited.*
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Song Morphing by Humpback Whales: Cultural or Epiphenomenal?
Eduardo Mercado III*
Neural and Cognitive Plasticity Laboratory, Department of Psychology, University at Buffalo, Buffalo, NY, United States
Singing humpback whales (*Megaptera noovaengliae*) collectively and progressively change the sounds and patterns they produce within their songs throughout their lives. The dynamic modifications that humpback whales make to their songs are often cited as an impressive example of cultural transmission through vocal learning in a non-human. Some elements of song change challenge this interpretation, however, including: (1) singers often incrementally and progressively morph phrases within and across songs as time passes, with trajectories of change being comparable across multiple time scales; (2) acoustically isolated subpopulations singing similar songs morph the acoustic properties of songs in similar ways; and (3) complex sound patterns, including phrases, themes, and whole songs, recur across years and populations. These properties of song dynamics suggest that singing humpback whales may be modulating song features in response to local conditions and genetic predispositions rather than socially learning novel sound patterns by copying other singers. Experimental and observational tests of key predictions of these alternative hypotheses are critical to identifying how and why singing humpback whales constantly change their songs.
**Keywords:** acoustic communication, cetacean, mysticete, self-organization, vocal learning, epiphenomenon
**INTRODUCTION**
Discussions of animal culture, defined as “shared behavior or information within a community acquired through some form of social learning from conspecifics” (Garland and McGregor, 2020), often highlight the incredible vocal skills of humpback whales (Laland and Janik, 2006; Allen, 2019; Whiten, 2019). For instance, Rendell and Whitehead (2001a) identify humpback whale songs as one of the strongest examples of cetacean culture, a point echoed by Laland and Hoppitt (2003) and Janik (2014). The main reason humpback whales have garnered so much attention in the context of culture is because of the unique ways in which they change their songs throughout their lives. As Garland and colleagues note, “the level and rate of change is unparalleled in any other nonhuman animal and thus involves culturally driven change at a vast scale” (Garland et al., 2011, p. 690). Payne (2000) compared the process of whale song change to linguistic drift, but much faster, noting that within 1 decade songs produced by a population can change so much that it is not possible to recognize how they relate to earlier versions.
The songs of humpback whales are often described as being highly sophisticated communicative displays, possessing a multilayered hierarchical structure (Payne and Payne, 1985; Rekdahl et al., 2018).
Song features show regional specificity, such that in a given year, different populations can be distinguished based on the songs being produced (Winn et al., 1981). Individual singers gradually change song properties throughout their lives, within and across years, never settling on a stable, favored song (Guinee et al., 1983; Payne et al., 1983; Payne and Payne, 1985). Notably, singers in a particular area change their songs in parallel, leading to the inference that singers are copying each other’s songs. The driving force behind such copying is believed to be an acoustic competition that reveals a singer’s reproductive fitness to other whales (Payne, 2000; Herman, 2017). In summary, the current consensus view about singing humpback whales is that all singers continuously and irreversibly, modify their song content throughout their adult lives, either by introducing new song elements or by copying new elements heard from other whales, so that they can maximize mating opportunities. In contrast, I hypothesize that mechanisms other than cultural transmission are the primary drivers of song transformations, and more generally that variations in song across years are epiphenomenal (i.e., an incidental byproduct of song production and reception mechanisms) rather than cultural.
Numerous proposals have been made for why and how humpback whales change their songs over time (for review, see Parsons et al., 2008), all of which start with the assumption that cultural transmission plays a key role. A few researchers have questioned this assumption, however. For example, demonstrations of cultural transmission of vocal behavior by birds depend on showing that vocal traditions are characteristic of groups, socially learned, and fairly stable across generations (Freeberg, 2000). Freeberg (2001) noted that none of these processes have been definitively shown to occur in singing humpback whales, making evidence relating song changes to cultural processes difficult to interpret. Specifically, he points out that “just because we can measure differences does not mean the animals perceive or care about those differences” (p. 334).
The proposal that humpback whales socially learn their songs through processes of cultural transmission is a hypothesis, hereafter, referred to as the *song-copying hypothesis*. The song-copying hypothesis is closely related to a second hypothesis – that humpback whale songs function as a sexual advertisement display (Payne and McVay, 1971). According to the sexual advertisement hypothesis, the reason why male humpback whales copy songs is because better songs yield more and/or higher quality offspring, where better means preferred by females, envied by other males, or both. In combination, these two hypotheses attempt to explain both why humpback whales sing structurally complex songs and why they continuously modify their songs over time. Neither hypothesis requires that songs change over time, since there are other cetaceans like dolphins that copy sounds without constantly changing them and without using sounds as sexual advertisement displays (Mercado et al., 2014), and there are other mammals such as red deer that use sounds as vocal reproductive displays without copying sounds or changing them over time (Reby et al., 2005). In fact, no other mammals use constantly changing sound sequences as a sexual display (with the possible exceptions of popular musicians and bowhead whales; Stafford et al., 2018), making humpback whales a biological anomaly, hypothetically. Neither hypothesis has ever been tested in any substantive way. The only evidence providing any support for these hypotheses are the phenomena that they were initially proposed to explain (see also Mercado, 2018). Here, it is argued that the song-copying hypothesis is neither necessary nor sufficient for explaining how humpback whales change their songs over time and that mechanisms other than cultural transmission can better account for known temporal variations in the acoustic characteristics of humpback whale songs.
**MORPHING OF SONG PHRASES**
Fully assessing the song-copying hypothesis would require a variety of costly and time-consuming field experiments. It is possible to partially evaluate the viability of this hypothesis, however, through closer examination of the phenomena that originally led to it. Specifically, one can obtain clues to the mechanisms of song change by closely examining when and how songs change. Surprisingly, researchers have rarely attempted to do this, instead opting to compare either representative spectrograms of sound patterns or symbol sequences representing subjective impressions of spectrograms. For instance, Winn and Winn (1978) subjectively analyzed yearly and within-year changes in songs by comparing spectrographic images of representative sound sequences (“phrases”), and verbal descriptions of phrases, from 8 consecutive years (see also Cato, 1991). Payne and Payne (1985) compared songs across years by labeling repeated phrases (“themes”) with different graphical patterns, switching to new patterns when phrases were sufficiently dissimilar (subjectively judged). Later analyses of song change used more objective metrics (e.g., Cerchio et al., 2001; Eriksen et al., 2005; Garland et al., 2011), but still depended heavily on subjective impressions of phrase similarities and differences, typically denoted using alphanumeric labels (see also Cholewiak et al., 2013). Subjective symbolization of sound patterns is limited as an approach to characterizing how whales change songs because it discards many of the features that whales actually modify and replaces them with abstractions that reveal little about the acoustic features of the sequences being produced (Kershenbaum et al., 2016; Mercado and Perazio, in press). Attempts to quantitatively assess changes in whale songs over time revealed that some acoustic features of songs change more rapidly across years than others (Payne et al., 1983; Mercado et al., 2003, 2005; Green et al., 2011). Although past research studies have differed in their methodologies, one phenomenon that is consistently noted is that singers gradually change the acoustic features of the individual sounds (“units”) within phrases over time. Changes in the units within phrases are apparent both within songs and across years (Cato, 1991; Maeda et al., 2000; Arraut and Vielliard, 2004; Mercado et al., 2005).
Payne and McVay (1971) were the first to report that phrases produced by singing humpback whales often systematically change as they are being repeated. Many of these changes
qualify as natural sound morphing, in which one or more acoustic features gradually shift as a sound is repeated within a sequence (Caetano and Rødet, 2013). Figure 1 illustrates one way that singing humpback whales morph phrase elements while singing. Payne and Payne (1985) described sections of songs in which singers gradually morphed units across phrases as “shifting themes.” Specifically, they defined shifting themes to be “themes in which successive phrases evolve progressively from one form to another. As phrase follows phrase, units within them gradually shift in frequency and/or form, duration, or numbers, or are delivered at a slower or faster rate (p. 99).” Payne and Payne identified one or two shifting themes in recordings from every year they analyzed; suggesting that phrase morphing was a consistent feature of humpback whale songs. Singers morph both units and phrases along multiple acoustic dimensions, including duration, pitch, spacing, rhythm, frequency modulation, timbre, intensity, and number of units (Mercado and Perazio, in press). Recent detailed comparisons of morphing trajectories revealed that singers produce comparable within-song transformations across years and populations (Mercado and Perazio, in press). Payne and Payne described shifting themes as being one of three types produced by singers, the other two being “unorganized” and “static.” It is perhaps more accurate to describe both shifting and static themes as points along a continuum of phrase production ranging from substantial morphing (shifting) to very little morphing (static), because no phrase repeated by a singer is acoustically identical to its predecessor and subtle morphing
**FIGURE 1** | Phrase morphing within themes. (A) Traditional spectrographic depictions of humpback whale song phrases can also be represented as pitch vectors (Hvland Bruno and Tchernichovski, 2019), with colors representing peak frequencies of units to highlight spectral and temporal patterns. (B) Payne and McVay’s (1971) Theme 1 (recorded in Bermuda in 1964) in raster plot form shows progressive changes in unit duration, number, and frequency content across phrase “repetitions”; the two plots show Theme 1 from consecutive songs produced by one singer, illustrating intra-individual variations in theme and phrase production within a shifting theme (data from Payne and McVay, 1971, Figure 6, Whale I). (C) Raster plots from a second singer producing two consecutive versions of Theme 1 (recorded in Bermuda in 1963) illustrate inter-individual differences and/or cross-year differences in phrase duration, as well as in specific acoustic features of units (data from Payne and McVay, 1971, Figure 6, Whale II). Despite these differences, similarities in morphing trajectories and phrase structure across singers/years are apparent. (D) Plots from a third singer (recorded in Bermuda in 1963) show how variable two consecutive versions of Theme 1 can be, differing not only in the number of phrase repetitions, but also in the trajectory of phrase morphing and in the distribution of unit features and timing. The second raster plot also raises the question of how one might distinguish a longer duration Theme 1 from Theme 1 produced twice in a row (data from Payne and McVay, 1971, Figure 6, Whale III).
is often evident at the beginning and end of even the most static themes (Mercado et al., 2003).
Early spectrographic images of shifting themes also revealed that the degree of phrase morphing varies within song sessions, and even across consecutive songs (Payne and McVay, 1971). Traditionally, researchers have described these differences as variations in the number of times that phrases within a particular shifting theme were repeated. Side-by-side comparisons of consecutive themes reveal, however, that when one version of a theme contains less phrase repetitions than a subsequent instance of that theme, then the rate of morphing varies across the two themes (e.g., see Figure 6 in Payne and McVay, 1971). In other words, morphing trajectories and rates vary with the number of repetitions within a theme as opposed to being an obligatory component of repetition. Consequently, the eighth phrase in a 16-phrase shifting theme is acoustically different from the eighth phrase in a subsequent 40-phrase version of that same theme (see Figure 1D), implying that: (1) singers morph phrases differently early on in a theme when initiating a longer series of repetitions; and (2) singers have some flexibility in terms of how they morph phrases within and across shifting themes.
Payne et al. (1983) conducted quantitative analyses of phrase morphing by singing humpback whales in Hawaiian waters both within and across consecutive years. They focused their phrase analyses primarily on changes in the number, duration, and configuration of units within phrases. These analyses revealed gradual morphing of phrases over both months and years, with trajectories and rates of morphing varying across themes, months, and years – these variations in morphing were cited as evidence that the changes were cultural rather than environmental (see Figure 2A for examples of morphing across years). The progressive yearly changes in phrases that they reported were comparable to the kinds of changes that they observed within years, which were comparable to the acoustic transformations that occurred within shifting themes. Payne and colleagues noted that the changes in phrases were complex and asynchronous. Different phrases or components of phrases called “subphrases,” morphed in different ways and at different rates. Nevertheless, they described all of these changes as appearing “to follow set rules of progressive change.” Other more rapid changes in humpback whale songs that occur across years (referred to as “song revolutions,” see Noad et al., 2000; Allen et al., 2018) may also involve morphing of phrases (Garland et al., 2017; Allen et al., 2019). However, because revolutions were identified based on comparisons of symbolic transcriptions of songs rather than through direct acoustic comparisons of units, it is difficult to evaluate whether new phrases were morphs of earlier phrases.
Traditionally, researchers analyzing humpback whale songs have classified sets of repeated “phrase types” that occur in a predictable order within songs as themes, with the initiation of a new theme signaled by a switch to a “new phrase type” (Cholewiak et al., 2013). What qualifies as a new phrase type is often subjective and may vary across investigators, such that different researchers analyzing identical (Mercado et al., 2003), or similar (Thompson and Friedl, 1982; McSweeney et al., 1989), recordings of songs may identify different numbers of themes within those songs. As an extreme example, Payne and McVay (1971; Figure 8, Whale III) classified a single unit as an instance of a theme. Phrase types derived from quantitative analyses of perceptually-based unit categories (e.g., Garland et al., 2012; Allen et al., 2017) are similarly problematic because different unit categories will generate different symbolic sequences. Segregating phrases in terms of themes facilitates analyses of ordered cycles within song sessions as well as across singers, and can simplify analyses of temporal variations in these cycles (Frumhoff, 1983). This approach makes it difficult, however, to detect progressive acoustic changes that are occurring within song cycles (Mercado and Handel, 2012; Perazio and Mercado, 2018). Consequently, few analyses have described examples of cross-theme morphing of units or unit sequences. Mercado et al. (2010), Mercado and Sturdy (2017), and Mercado and Perazio (in press) noted that spectral features of units appeared to be gradually shifting throughout entire songs. Automated analyses of unit sequences further revealed that some acoustic properties of units were relatively stable within a song cycle while others were progressively changing across themes (Mercado and Sturdy, 2017). This finding led to the discovery of “drone units,” acoustically similar units that recurred across multiple themes, often at regular intervals (Mercado, 2016). Collectively, these past findings suggest that singing humpback whales are not limited to morphing phrases within shifting themes, but may also do so throughout entire song cycles. For at least some humpback whale songs, the entire song cycle is arguably one long shifting theme (Mercado and Perazio, in press), with asynchronous morphing (or deletion) of phrases determining the order of pattern progression with the cycle (Figure 3).
One reason why morphing of phrases across themes has received relatively little attention in past analyses of humpback whale songs is because of the widespread use of the hierarchical framework that Payne and McVay (1971) proposed for describing structure within songs (Suzuki et al., 2006; Cholewiak et al., 2013). This approach treats themes within songs as discrete, independent events, like horses on a merry-go-round. From this perspective, acoustic similarities between themes are less relevant than any features that might make a theme subjectively distinctive from other themes. Song production can alternatively be viewed as a hierarchical process in which cycles of respiration and air recirculation interact in ways that constrain the form of repeating phrases (Mercado and Handel, 2012; Mercado and Perazio, in press). Sounds produced bidirectionally, during both the inspiration and expiration of air, typically show characteristic differences in acoustic features (e.g., the hee-hawing production of brays by donkeys). Alternating acoustic properties of units and unit clusters consistent with bidirectional sound production is evident within humpback whale song phrases (Cazau et al., 2013; Mercado and Perazio, in press). When songs are analyzed in ways that preserve heterarchical structure, clear evidence of “cross-theme” phrase morphing becomes evident (Figure 3). Singers maintain continuity in rhythmic structure (Schneider and Mercado, 2019), unit duration and number, pitch alternation, and pitch shifting as they progress through a song cycle. Although there are periods when singers are morphing patterns more rapidly
(traditionally referred to as shifting themes) or more slowly (“static” themes), the waxing and waning of temporal and spectral features of patterns appears to follow smooth trajectories throughout a song cycle (Mercado and Perazio, in press). For example, in the song cycle shown in Figure 3, longer duration units gradually bifurcate into pairs of shorter duration units, which later merge back into individual longer duration units, only to split and merge again later in the cycle. Continuous shifts in the frequency content of units are also present, with the singer focusing more on lower- or higher-pitched units during different parts of the cycle (Perazio and Mercado, 2018; Mercado and Perazio, in press). If one compares phrases produced more than 5 min apart in a song cycle, the patterns are likely to be subjectively distinctive, and can thus be designated as different themes. Partitioning the song cycle in this way is arbitrary, however, and obscures the fact that singers are continuously morphing some features of consecutive phrases while preserving others.
In summary, analyses of phrase morphing across song cycles (i.e., progressive evolution of songs) over the past 50 years have revealed that: (1) singers gradually change acoustic elements of their sound sequences within and across themes as well as across weeks, months, and years; (2) phrases within songs can morph along multiple acoustic dimensions in parallel, and subjectively distinctive phrases can morph in different ways and at different rates; (3) individual singers can vary the rate at which they morph phrases within a song session, but whales within a population morph phrases collectively over time at a “group rate” such that singers in the population are generally producing similar sequences of phrases; and (4) the ways in which singers
morph phrases are similar across multiple time scales, although the trajectories of phrase changes vary in rate and extent across years.
These observations provide the primary evidence of cultural transmission of song characteristics between singing humpback whales. This evidence, despite being correlational, is considered compelling by many researchers because the rapid changes in song structure in some years but not others, combined with the synchronized changes across individual singers, seems to rule out any possible genetic or environmental factors that could drive the changes (Payne et al., 1983; Rendell and Whitehead, 2001b; Laland and Janik, 2006). Essentially, the argument is that no other possible mechanism is left to account for the observed patterns of change in humpback whale songs other than cultural transmission of song characteristics through vocal imitation and innovation. This “method of exclusion” or ethnographic approach has been critiqued by Laland and Janik (2006) and Laland et al. (2009), because: (1) it is infeasible to rule out that some unknown genetic or ecological factors explain the variance attributed to culture and (2) genes, ecology, and learning always interact in ways that affect behavior. A simpler empirical argument against invoking cultural transmission to explain song transformations by humpback whales is that lone singers commonly morph phrases within shifting themes (i.e., within a song cycle) in ways that parallel progressive changes in themes across years. Given that phrase morphing across songs is acoustically similar to phrase morphing within songs, it stands to reason that similar production mechanisms could potentially account for both transformations. This account is more parsimonious than cultural explanations for song change because it attributes both transformational phenomena to a single mechanism that does not require social learning.
If singers are predisposed to morph phrases or units along predictable trajectories (both within and across songs), then
this would naturally lead to converging transformations of song forms across individuals who progress from similar starting points. In this scenario, progressive changes to songs should be similar across populations, with similar patterns of morphing occurring in different locales and time periods. In contrast, the song-copying hypothesis predicts that song transformations should diverge across populations that are not in acoustic contact because of innovations and accumulating copying errors introduced by individual singers. The following section summarizes evidence for and against these two alternatives.
**RECURRING SONG ELEMENTS WITHIN AND ACROSS POPULATIONS**
Yearly changes in humpback whale song are often described as being progressive (or revolutionary) and irreversible (Winn and Winn, 1978; Payne et al., 1983; Payne and Payne, 1985; Eriksen et al., 2005; Garland et al., 2017). Songs recorded from different populations are also typically described as being “quite different in content” (Winn et al., 1981; Payne, 2000). Several researchers have proposed that observed differences in humpback whale songs over time and across populations arise through improvisation by particularly fit or creative singers (Payne, 2000; Cerchio et al., 2001; Noad et al., 2004). According to this interpretation, older themes are successively replaced by new themes to create novel songs that are unique to each population every year. Some themes may be replaced by similar themes or even persist unchanged for several years, but ultimately all themes will be discarded in favor of more fashionable/functional themes. And, once a theme is discarded, there is no reason why it should reappear because there should be no singers modeling production of it and the old theme would no longer qualify as an innovative addition.
Past assessments of the novelty of songs and themes across years have largely been based on subjective impressions of song recordings: both aural impressions of recordings and visual impressions of spectrographic representations. There is no way to know how humans’ impressions relate to the percepts of singing whales, and consequently no way to objectively identify what qualifies as novel or familiar to a humpback whale. Nevertheless, it seems probable that singers would be more likely to recognize a theme that is acoustically similar to other themes it has experienced in the past. There is clear evidence that a subset of acoustically similar themes persist across decades, even if they are not present in all years, and that themes that persist in one population are also likely to show up intermittently in other populations. For instance, both Winn and Winn (1978) and Payne and Payne (1985) identified the “surface ratchet” theme in songs spanning a decade. Although this theme was not present in all years analyzed, it was consistently structured and has subsequently been identified in every population of singing whales that has been analyzed for multiple years. Payne and McVay (1971) designated the surface ratchet theme as a shifting theme; Winn and Winn (1978) pointed out that in some years it included tonal units, but that in other years it did not. This theme has often been classified as the “first” or “last” theme in humpback whale songs because of its association with surfacing. It is thus well-established that at least one theme repeatedly reappears after being dropped, and does so in multiple populations worldwide.
The surface ratchet is not the only theme that has been dropped by singers only to reappear at later periods. Mercado et al. (2003) noted two others that have been reported in multiple populations. Figure 4 illustrates variants of phrases from one of these themes, a theme identified by both Winn et al. (1970) and Payne and McVay (1971) that has subsequently been reported in several other populations (e.g., Perazio et al., 2018). Much like the surface ratchet theme, this theme comes in two flavors depending on whether or not a subphrase of tonal units is included. Also like the surface ratchet theme, the units that make up this phrase are not acoustically identical either across populations or across years (Darling et al., 2019). Nevertheless, variants of this theme are structurally more similar than the beginning and ending phrases of shifting themes and it is unlikely that the specific combination of features that they share could have arisen through independent innovations. Finally, this theme often contains the largest number of phrase repetitions within songs where it appears (Payne and McVay, 1971; Mercado et al., 2003; Perazio et al., 2018; Darling et al., 2019).
Payne and McVay (1971) originally described the songs they analyzed as consisting of three main sections: (1) the surface ratchet theme, (2) clusters of rapidly produced, short-duration units, and (3) sustained units monotonously alternated (similar to the theme illustrated in Figure 4). All three of these “main sections” are recurring themes that have been intermittently identified in songs across populations and years (Mercado et al., 2003). Recent comparisons of phase morphing by singers across decades and populations revealed not only that singers show similar morphing trajectories over time and space, but also that entire songs may be replicated (including detailed spectrotemporal patterning within phrases) across distant populations and long time spans (Mercado and Perazio, in press). The fact that singers in acoustically isolated populations are consistently using recurrent themes produced in the same order and with similar phrase morphing trajectories argues strongly that a non-reversible process of accumulating, culturally transmitted modifications (or copying errors) is not what drives the progressive changes evident within humpback whale songs.
**UNDERSTANDING THE NATURE OF HUMPBACK WHALE SONG TRANSFORMATIONS**
Payne and McVay (1971) and Payne et al. (1983) were the first to describe the acoustic properties of humpback whale songs as slowly evolving, and to suggest that the mechanism driving such changes was cultural. The main phenomena they noted as evidence of this interpretation were: (1)
changes in songs are rapid, complex, continuous, and non-reversing, and so could not be driven by genetic changes; (2) the rate and types of changes observed varied across years, so were unlikely to be driven by seasonal factors; (3) songs produced at the beginning of a breeding season were highly similar to those produced at the end of the previous season, and the greatest changes appeared when singing was most prevalent, suggesting that changes were not the result of memory errors; and (4) the most pronounced changes appeared to be adopted by all singers in parallel, suggesting that singers were socially transmitting changes through acoustic contact. In short, how singers morphed song characteristics over time led to the inference that humpback whales must be learning what to sing by copying one another. Later work showed that song forms that were initially rare could rapidly become prevalent within a population (Noad et al., 2000), that singers sometimes adjust their song production upon hearing other songs (Cholewiak et al., 2018), and that singers may embellish existing phrases over time (Allen et al., 2018). These observations continue to be the main data cited as evidence of communicative culture and cultural transmission in humpback whales.
The first three phenomena noted above can potentially be explained as resulting from individual learning processes. But, this would not account for convergence across singers. Shared use of vocalizations alone could easily be explained as an inherited capacity. However, it is difficult to imagine how such continuous, complex changes in songs that occur synchronously in whales of various ages might be genetically encoded, given that each newly developed singer would need to sing a song that is the “same”\(^1\) as those being sung by whales with decades more singing experience. If singing humpback whales are learning songs by copying other singers, then this raises the question of when a singer will copy other singers it has heard, as well as the question of why songs change at all if singers are all copying what they hear other whales doing? Whale researchers have speculated that some songs are superior to others and that whales that hear songs that are “better” than the ones they are singing will attempt to copy those songs (Noad et al., 2000; Darling and Sousa-Lima, 2005; Garland et al., 2011). Because this process alone would ultimately result in all whales singing the same best song, it has further been suggested that songs that differ from the norm are better, leading to a kind of vocal arms race (Cerchio et al., 2001; Garland et al., 2017). However, in a runaway vocal competition scenario, one might expect to see innovative songs competing to become the new norm, which does not seem to occur. Consequently, yet another speculative assumption must be introduced. Namely, that not all innovations will make a song “better,” thus reviving the
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\(^1\)It is important to keep in mind that what counts as “the same” in whale songs differs from the criteria typically used in the bird song literature. For instance, a 5 min long song containing two themes (A and B) would be considered to be the same as a 30 min song containing four themes (A–D), as long as the two themes in the 5 min song contained phrases subjectively similar to those in two themes within the 30 min song. This is because the main criteria for two humpback whale songs to be considered “the same” is that the themes being produced in the song are part of the common set being used by whales in a population, occurring in the expected order. In fact, two 5 min songs that contained no sounds or patterns in common would be “the same” by these criteria, if say a third song contained only the C and D themes.
original question of when a singer will deem another singer’s song worthy of copying, combined with the question of what circumstances might lead an individual whale to attempt to be vocally creative. Currently, there is no way to objectively classify any song produced by a humpback whale in terms of its quality or innovativeness.
Current explanations for progressive changes in humpback whale songs attempt to apply principles of biological evolution (e.g., sexual selection) to the vocal actions of individual whales by proposing that only the “fittest” themes survive, and then only for a limited time (Parsons et al., 2008). It is unclear, however, whether processes of mate selection can explain the kinds of changes observed in the songs of humpback whales. First, this kind of process can only explain synchronization of song changes if there are “leaders” that all whales in a population are following. Otherwise, as noted above, if more than one whale is initiating changes, there should be competing versions of novel songs. So far, there is no direct evidence of any vocally trendsetting humpbacks. Second, the progressive regularity of phrase changes across whales noted by Payne et al. (1983) is not actually explained by the song-copying hypothesis. Why would the vast majority of “innovations” to songs consist of subtle progressive shifts in one or more acoustic characteristics of a phrase? The changes that Payne and colleagues identified, according to them, “progressed in such a predictable fashion that far from looking like accidents of forgetfulness they appeared to follow set rules of progressive change.” Changes that follow prescribed rules are not creative changes. Why are the songs of some consecutive years “extremely similar” while songs from other consecutive years have few if any themes in common (Payne and Payne, 1985; Allen et al., 2018)? The song-copying hypothesis can only explain such cross-year fluctuations in the rate of change by adding auxiliary speculations, such as that innovators are more influential and wanderlusty in some years than others (Noad et al., 2000). Similarly, the song-copying hypothesis has little to say about why some themes (e.g., the surface ratchet theme) are more consistently recurrent than others, or more generally, why themes show any differences in the rate and direction of how they progressively change over time, either within or across songs. Such omissions become particularly problematic when groups of whales that are not in acoustic contact are simultaneously morphing their phrases in similar ways (Cerchio et al., 2001; Darling and Sousa-Lima, 2005; Mercado and Perazio, in press), and when the ways that they are morphing phrases match trajectories of phrase-change observed more than a decade earlier (Figures 2B–C). Finally, the possibility that a selective process of copying innovative variants of phrases would lead to the same phrases repeatedly emerging across populations and decades (Mercado and Perazio, in press) seems about as likely as that multiple species would go extinct only to suddenly reappear later on in the geological timeline.
Despite these limitations, the song-copying hypothesis has gone unchallenged for 40 years. And, the everchanging songs of humpback whales are often noted as one of the clearest and most impressive cases of cultural transmission (Rendell and Whitehead, 2001b; Laland and Janik, 2006). In part, this is because cetologists have “ruled out” alternative explanations for the dynamic changes evident within humpback whales’ songs that are linked to genetics, ecological conditions, or individual learning. Using that logic, however, Cerchio et al. (2001) ruled out song copying as a possible mechanism of song change by showing that singers converged in their morphing of phrases even in the absence of acoustic contact. In reality, none of these possibilities have been ruled out. Humpback whales may be born possessing “templates” that determine the kinds of phrases they can produce throughout their lives, as well as how they will morph phrases over time. Ecological factors, including the acoustic soundscape created by other singing whales, may modulate the rate at which singers morph phrases, even if singers are oblivious to the details of what other whales are singing. Singers may learn over time not only how to produce phrases more precisely, but also how to shift acoustic features in ways that increase the functionality or efficiency of songs, especially in contexts where multiple singers are audible. Recent evidence that humpbacks modify their singing in reaction to hearing the songs of other singers (Cholewiak et al., 2018), suggest that they can adjust their vocal actions dynamically based on the acoustic context. However, this does not imply that those adjustments involve any song copying or any evaluation of the quality of another whale’s song. In fact, many animals flexibly adjust their actions in response to those of conspecifics in ways that lead to complex, convergent action patterns, including schooling fish, murmuring birds, and swarming humans (Figure 5). Might such non-cultural mechanisms of social interaction account for how groups of humpback whales collectively change their vocal actions over time?
Like humpback whales, schools of fish and flocks of birds sometimes coordinate their actions over extended periods of time (Parrish et al., 2002; Hemelrijk and Hildenbrandt, 2011, 2012). For example, when birds murmurate, they may fly in blobs that slowly morph over time before suddenly shifting into more complex, yet still coherent configurations (Ballerini et al., 2008a,b; Hemelrijk and Hildenbrandt, 2011). Changes in the overall form of the flock are progressive and “evolve” in ways that are not strongly constrained by environmental conditions. There are no innovators, coordinators, or copiers in such flocks. Nevertheless, members of a flock progressively modify their collective movements in convergent ways. Local interactions can lead to the emergence of complex convergent patterns when those interactions are nonlinear (Ballerini et al., 2008a,b; Moussaid et al., 2009; Cavagna et al., 2010; Storms et al., 2019), often referred to as self-organization. In self-organizing systems, the rules that determine how individuals within a group act depend primarily on local information. Self-organization depends on positive and negative feedback loops, in which one change can lead to a chain reaction of additional changes. The emergence of novel patterns also depends on fluctuations in the actions of individuals within the group as well as multiple interactions between members of the group. Studies of collective actions in social insects have repeatedly shown that relatively simple actions of group members can lead to complex collective outcomes.
The dynamic movements of groups of birds and fish may seem ephemeral compared to the progressively changing songs of humpback whales, but self-organizing systems may also lead to cumulative changes in actions, especially when actions modify the group’s environment, a process known as stigmergy (Parrish et al., 2002; Moussaïd et al., 2009). Stigmergic communication in insects often involves chemical or physical changes to the environment. In the case of humpback whales, stigmergic processes may lead to cumulative changes in the acoustic soundscapes experienced by singers. Such processes clearly depend on the social transmission of information, since the actions of others provide the stimuli that drive the adjustments in individual reactions. However, these reactions do not require vocal learning, an exchange of messages, evaluation of the relative goodness of others’ actions, or any memory of past actions. Within self-organizing systems relatively small perturbations at the individual level can lead to significant changes at the collective level (Moussaïd et al., 2009). How such changes affect the behavior of the group can depend on many factors, including the density (and goals) of interacting individuals, their movements, and environmental conditions. Simplified interaction models can produce complex emergent patterns of everchanging convergence (Sole et al., 1999; Muñoz, 2018), showing that sophisticated cultural learning processes are not required to explain either progressive behavioral changes or convergence of changes within a group. That being said, given the known vocal imitation abilities of cetaceans (Mercado et al., 2014), and their impressive cognitive capacities (Mercado and Delong, 2010), it would be surprising if singing humpback whales are limited to genetically-determined reactions to the sound sequences they produce and experience. Consistent with this possibility, anecdotal observations suggest that singers can flexibly respond to unique sound sequences (Rothenberg, 2008). In this respect, the behavior of individual singers, especially in contexts where social interactions are limited, may be more comparable to the flexible, voluntary actions of humans than they are to the collective, reflexive reactions of fish or ants.
Notably, local interactive mechanisms provide a simple explanation for why the kinds of phrase morphing evident within shifting themes produced by singing humpback whales would be highly similar to the progressive changes that are observed across years, for why such changes might occur rapidly in some phrases and years but more slowly in others, and for why specific phrases would emerge, disappear, and re-emerge across years and populations. All of these phenomena are characteristic of nonlinear dynamic systems. Self-similarity at multiple scales is a typical feature of fractals in nature, as is scale invariance, where similar patterns are evident at different levels of analysis (Sole et al., 1999; Muñoz, 2018). Criticality in dynamic, self-organizing systems is associated with periods of stabilization and intermittent rapid changes in state (Sole et al., 1999; Munoz, 2018), as is seen in the rapid, fluid changes in flocks of murmurating birds and fish schools interacting with a predator, followed by a gradual return to earlier configurations. Models that assume that selective copying of preferred innovations drives song transformations predict none of these dynamic patterns.
**CONCLUSION**
Singing humpback whales are clearly changing their songs in complex ways over time. Relatively little is known about what determines how and when a singer will modify song features. It is also not known what prompts a singer to vary the duration of its songs within a song session, the number of times it repeats phrases within themes, or the phrases it morphs and to what extent. Faced with a litany of unanswered questions regarding why humpback whales sing the way they do, researchers have turned to cultural
mechanisms as a potential answer to them all. While it is true that flexible social learning capacities can explain a wide range of complex social behaviors (Freeberg et al., 2012; Sewall, 2015), if cultural transmission becomes the default explanation for anything a singer does to change (or maintain) song characteristics, then it becomes a pseudoscientific explanation. Historically, the song-copying hypothesis has been attractive in part because it seems to tie the vocal ecology of humpback whales to that of other singing species like song-learning birds (Payne et al., 1983; Parsons et al., 2008; Herman, 2017; Cholewiak et al., 2018; Garland and McGregor, 2020). However, from the beginning, researchers have acknowledged that what whales are doing when they sing differs significantly in many ways from what singing birds are doing (Winn and Winn, 1978).
Recordings collected to date make it clear that singing humpbacks are not morphing their phrases arbitrarily. The ways in which they progressively morph phrases within and across songs does not match with what selectionist models of cultural evolution predict should happen, but neither do they match with a neutral model of evolutionary change in which random mutations spread through a population (Kimura, 1979). Evolutionary models of collective changes appear to be inadequate for characterizing the ways in which singers modify their songs over time (McLoughlin et al., 2018). Whether dynamic systems models of interacting agents can meet this challenge remains to be seen. Current models of self-organization focus heavily on variables that affect the movement patterns of individuals traveling within groups (Moussaïd et al., 2009; Hemelrijk and Hildenbrandt, 2012), and less on communicative behavior (for exceptions, see Aihara et al., 2007; Ramírez-Avila et al., 2018). Nevertheless, approaches that have shed light on the variables that drive collective behavior in other animals can provide some clues as to the kinds of studies that might reveal similar local interaction mechanisms operating in singing humpback whales. For example, observational studies of detailed movements of individual birds within large murmuring flocks revealed that individuals adjusted their movements based on the actions of their six or seven closest neighbors (Hildenbrandt et al., 2010). Similar studies of birds’ responses to predators revealed that birds showed modal patterns of evasive maneuvers (Storms et al., 2019). Singing whales might similarly modulate their songs based on the actions of their nearest neighbors and might modulate their songs in predictable ways when nearby whales engage in specific acts (e.g., breaching, vocalizing within surface-active competitive pods, etc.). Other mysticetes are known to modulate their singing behavior in relation to their swimming speeds (Clark et al., 2019), and humpback whales may similarly sing differently depending on the actions they are engaged in while singing (Henderson et al., 2018). Long-term, multi-day monitoring of individual singers producing songs both alone and in various social contexts can potentially provide important new clues as to how individuals respond to the vocal and physical actions of other whales.
From the aural perspectives of human listeners, the characteristics of humpback whale songs are highly complex and enigmatically organized. These features have led to speculation about a variety of cognitive processes that singing humpbacks must possess to be able to produce such acoustic spectacles, including prodigious memory capacities (Guinée and Payne, 1988; Handel et al., 2012; Garland et al., 2017), creative proclivities (Payne, 2000), and imitative skills (Janik, 2009). They have also spawned numerous conjectures regarding why whales might have evolved such perplexing vocal acts.
| Cultural transmission via song copying: “Singers copy high quality, innovative songs” | Song morphing through local interactions: “Singers modulate song features reactively” | How to test predictions |
|---|---|---|
| Song differences should grow with increasing temporal and/or geographical separation. | Themes should recur within and across populations. | These predictions can be tested through objective comparisons of recordings made across decades. |
| Controlled introduction of high quality, innovative songs will lead to copying. | Controlled introduction of foreign songs will not cause any singers to adopt those songs. | Testable through playbacks or by establishing direct communication channels between populations (e.g., two-way cellular transmission between acoustically isolated singers). |
| Song evolution will follow dissimilar trajectories across populations. | Song morphing will follow similar trajectories across populations. | Testable through objective comparisons of relative changes in unit and phrase characteristics across years in acoustically isolated populations. |
| In locales where multiple singers are audible, the most skilled singer will not change its song, while other group members may modify their songs to better match the highest quality song. | In locales where multiple singers are audible, all singers will modulate song production in predictable ways. | Can be tested by monitoring the songs of multiple singers or by artificially bringing lone singers into acoustic contact (e.g., using two-way cellular transmissions). |
| Singers should generally produce the highest quality song they are capable of producing, to consistently advertise their fitness. | Singers will continuously modulate song production based on the acoustic conditions or behavioral context within which they are singing. | Testable through objective analyses of intra-individual variations within and across song sessions. |
| Individual differences in songs should be most apparent when multiple singers are in direct acoustic competition. | Individual differences in songs should be more apparent when singers are alone and not constrained by the vocal actions of other singers. | Can be tested by objectively comparing songs produced by singers within choruses relative to songs produced by lone singers. |
TABLE 1 | Key predictions of the song-copying hypothesis and dynamic-interactions hypothesis along with potential approaches to testing those predictions.
Arguably, scientific efforts to clarify what singing humpback whales are doing, and why, have generated more heat than light given that Payne and McVay’s (1971) initial suggestion that perhaps female whales like fancy songs still tops the list of “explanations” for the phenomenon. Feminine fancies aside, there are likely proximate mechanisms that determine when a singer will produce longer or shorter song cycles (Chu and Harcourt, 1986; Miller et al., 2000; Fristrup et al., 2003), when they will skip or repeat themes (Frumhoff, 1983), and when they will morph phrase features, each of which can be experimentally and observationally investigated. For instance, if songs function collectively to act as a beacon for distant whales (Winn and Winn, 1978; Herman, 2017), then introducing multiple playbacks of current song around a targeted singer (at naturalistic distances) should have little effect on how the whale sings. Alternatively, if whales are adjusting their songs in response to the songs of their neighbors, then this intervention should have noticeable effects on the properties of the songs being produced (e.g., see Cholewiak et al., 2018). If novelty or peer pressure drive song changes (Garland et al., 2017), then having surrounding virtual whales all introduce a “new” theme (say from a distant population) should be sufficient to provoke at least some singers to adopt that theme. If instead singers adjust their songs to minimize cross-song interference (Mercado, 2018, 2020), then it should be possible to control how a singer responds to surrounding virtual singers by selecting the timing and spectral content of playbacks based on the songs that the singer is producing.
Table 1 describes several key studies that could be done to clarify the role that either song copying or dynamic social interactions play in song transformations.
In the past, researchers have questioned whether any explanation other than cultural transmission can possibly account for the complex, collective changes observed in humpback whale songs. Payne et al. (1983, p. 85) noted that, “It is inconceivable that such rapid and complete turnover of the song material could reflect genetic changes.” Similarly, Rendell and Whitehead (2001a) argued that, “horizontal cultural transmission almost certainly plays an important role in maintaining song homogeneity as there is no conceivable environmental trigger for such a pattern of variation,” and, “the continuously evolving songs of humpback and bowhead whales have no conceivable environmental or genetic cause.” In the words of Inigo Montoya, in regard to things inconceivable, “You keep using that word. I do not think it means what you think it means.”
**AUTHOR CONTRIBUTIONS**
The author confirms being the sole contributor of this work and has approved it for publication.
**FUNDING**
Conceptual development of the analyses described in this paper was supported in part by the William K. and Katherine W. Estes Fund.
**ACKNOWLEDGMENTS**
I thank Julia Hyland Bruno and the Presidential Scholars in Society and Neuroscience program at Columbia University for providing me with the inspiration and motivation for developing this paper through their efforts in organizing and sponsoring the “Transmission of Songs in Birds, Humans, and Other Animals” conference.
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**Conflict of Interest:** The author declares that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.
*Copyright © 2021 Mercado. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY). The use, distribution or reproduction in other forums is permitted, provided the original author(s) and the copyright owner(s) are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.*
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Comparative Evaluation of Short Fiber-reinforced Composite Resin Thickness on Fracture Resistance of Class II Composite Restoration: An *In Vitro* Study
Calvina Hartanto\textsuperscript{1}, Wandania Farahanny\textsuperscript{2}, Dennis Dennis\textsuperscript{3}
**ABSTRACT**
**Aim:** This study aims to evaluate the difference in fracture resistance of the short fiber-reinforced composite (SFRC) thickness as intermediate layer of class II composite restoration.
**Materials and methods:** Thirty human maxillary premolars were selected and divided into three groups. In groups I, II, and III, class II cavities were prepared. Groups I and II were restored with 2 mm and 4 mm thickness of SFRC as intermediate layer. Group III as control group was restored with nanohybrid composite. Thermocycling procedure was performed manually 250 times. Fracture resistance was measured by using Universal Testing Machine. Data were analyzed statistically using One-way Analysis of Variance (ANOVA) and post hoc least significant difference (LSD) test.
**Results:** The result showed that group II had the highest fracture resistance and group III had the lowest fracture resistance. The difference between groups was statistically significant ($p$ value < 0.05).
**Conclusion:** The conclusion showed that adding 4 mm of SFRC as an intermediate layer increased the fracture resistance.
**Clinical significance:** The use of SFRC as intermediate layer enhanced the fracture resistance of class II composite restoration.
**Keywords:** Class II, Fracture resistance, Nanohybrid composite, Short fiber-reinforced composite.
*The Journal of Contemporary Dental Practice* (2020): 10.5005/jp-journals-10024-2965
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**INTRODUCTION**
Missing of tooth structure often occurs due to trauma, caries, and cavity preparation. Restoration is needed to replace the missing tooth structure. An ideal restoration in a tooth should be able to maintain the esthetics and function, preserve the remaining tooth structure, and prevent microleakage. One of the objectives of tooth restoration is to reestablish its fracture resistance when subjected to occlusal load. In final restorations, composite resin shows an increased resistance to fracture, as it replaces biological tissue esthetically and functionally.\textsuperscript{1–3}
A successful restoration is determined by its longevity in the oral cavity, and other factors, such as cavity design, size of cavity, type of teeth, and restoration material. Based on the prospective studies for around 10 years, the survival proportion of Class II restorations ranged from 58.3 to 100%, and the retrospective studies varied from 55.1 to 89.7%.\textsuperscript{4,5} The prevailing reasons for restoration failure are fracture and secondary caries. Fracture is a considerable risk to posterior restorations, regardless of the lifespan or the age of these restorations.\textsuperscript{6}
In class II cavity, there is loss of the proximal and marginal ridge. This causes the tooth stiffness to reduce significantly by 2.5-fold, resulting in an overall 46% reduction of tooth stiffness. Therefore, restoration material with high fracture resistance is highly recommended in cases where it is subjected to heavy load as in cases of class II.\textsuperscript{7}
The usage of intermediate layer preceding the placement of packable composite resin may play an important role in the long-term success of posterior direct composite restorations.\textsuperscript{8} The frequently used intermediate layer is flowable composite. A research by Al-Ibrahemi states that the increased thickness of flowable composite placed as intermediate layer can increase the compressive strength.\textsuperscript{9} However, flowable composites have lower mechanical and physical properties compared to standard restorative composites and are not recommended for usage in stress-bearing areas.\textsuperscript{8}
The durability of a dental restoration is affected by its mechanical properties. The lost dental tissues, caused by caries or endodontic treatment of anterior or posterior tooth, should be replaced with a potential restorative material which have adequate strength and retention to protect the tooth against masticatory forces and preserve the remaining structure. Considering the compressive masticatory forces in the posterior region, the material should endure these forces. Compressive strength is one of the most important mechanical properties of posterior restorative material. A material with higher or lower amount of property will adversely affect on longevity of the tooth structure and the restoration. A restoration with lower compressive strength than the natural tooth, tends to fail or fracture and might lead to periodontal problems or extraction of the tooth.\textsuperscript{9}
The drawback of using conventional composites were stress development due to polymerization shrinkage and insufficient fracture resistance. These disadvantages encouraged the researchers to search for a new generation of composite that has better fracture strength with less polymerization shrinkage.\(^2\) A material with high fracture resistance has the ability to better prevent crack initiation and propagation.\(^10\) The strength of the materials depends on their compositions, such as filler.\(^1\) Research by Belli said that application of a fiber layer in a restorative material might increase the load-bearing capacity of the restoration and could prevent crack propagation from the restoration to the tooth.\(^12\)
In 2013, short fiber-reinforced composite resin (SFRC) was introduced to the market with the goal to substitute the missing dentin with a material having a similar behavior. SFRC has clinically shown to mimic the stress-absorbing properties of dentin. SFRC is proposed to be used as bulk base in high stress-bearing areas for restoring vital and non-vital teeth. The fiber reinforcement is partially to strengthen the structurally compromised tooth internally and to prevent the occurrence of fractures.\(^6\) The SFRC has also revealed control of the polymerization shrinkage stress by fiber orientation; thus, marginal microleakage was reduced compared with conventional particulate filler composite resins. By using a SFRC composite substructure under conventional composite resin, the static load-bearing capacity of this combination could be improved.\(^13\)
Due to lack of substantial conclusive literature on the strength and success of this material, this *in vitro* study was designed to compare the fracture resistance of short fiber-reinforced composite thickness as intermediate layer of class II composite restoration.
**MATERIALS AND METHODS**
This research constituted a laboratory experimental study using post test only control group design. Thirty intact and caries-free human maxillary premolars extracted for orthodontic reasons were used and approved by Health Research Ethics Committee, Medical Faculty of Universitas Sumatera Utara. All participants gave out informed consents prior to collecting the teeth samples. Gross cleaning was done by scaler and stored in saline solution. Thirty premolars were divided into three groups with 10 samples in each group. All samples were prepared with class II box-only cavity with mesiodistal length 2 mm, buccopalatal width 4 mm, verified by using a caliper, and depth 5 mm measured using a periodontal probe.
All of the samples were randomly divided into three groups according to the thickness of SFRC as intermediate layer:
- **Group I:** Class II cavity, restored with 2 mm thickness of SFRC (EverX Posterior, GC, Japan) as intermediate layer and 3 mm of nanohybrid composite (Filtek™ Z250XT, 3M ESPE, USA).
- **Group II:** Class II cavity, restored with 4 mm thickness of SFRC (EverX Posterior, GC, Japan) as intermediate layer and 1 mm of nanohybrid composite (Filtek™ Z250XT, 3M ESPE, USA).
- **Group III:** Class II cavity, restored with nanohybrid composite (Filtek™ Z250XT, 3M ESPE, USA).
The cavity surfaces were etched with 37% phosphoric acid for 15 seconds and rinsed with water for 15 seconds. The universal bonding agent (G-Premio Bond, GC, Japan) was applied to the cavity walls with a microapplicator and light cured for 20 seconds. SFRC was applied with 2- and 4-mm thickness with bulk technique and measured with a periodontal probe. The final layer of nanohybrid composite was applied with an incremental technique, and each layer was light-cured for 20 seconds. A fine finishing bur and spiral polishing disk were used to polish all samples.
The teeth from all the groups were stored in artificial saliva solution for 24 hours. Thermocycling procedure was performed manually 250 times, with soaking the samples in iced water (5°C) and water bath of 55°C for 30 seconds and dwell time of 10 seconds.
The root surfaces were covered with molten baseplate wax to simulate the periodontal ligament. All the samples were embedded and stabilized in a self-cure acrylic resin cylinder until 1 mm below cementoenamel junction. A special acrylic mold was prepared to provide the long axis of the teeth at a 13.5° angle to the vertical plane. Samples were positioned in the mold and held at a 13.5° angle for loading. All samples were subjected to fracture resistance testing at a crosshead speed of 1 mm/minute using Servopulser Universal Testing Machine (Fig. 1). The fracture load was recorded, and the data obtained were subjected to statistical analysis by 1-way analysis of variance (ANOVA) and *post hoc* least significant difference (LSD) test (*p* value < 0.05).
**RESULTS**
Groups were compared using one-way ANOVA. The descriptive statistics that represent the mean, standard deviation, and *p* value are shown in Table 1. The mean value is presented in Figure 2. Group II, which used 4 mm SFRC thickness, showed higher fracture resistance (535.71 N ± 74.03) than group I (444.21 N ± 82.79) and group III (438.65 N ± 107.75).
In this study, the result of fracture resistance with statistical analysis indicated that there was a significant difference between groups (*p* value < 0.05). *Post hoc* LSD test was performed for multiple comparisons between groups (Table 2). It was observed that group II (4 mm SFRC thickness) showed a significant difference when compared with group I (2 mm SFRC thickness) and group III (nanohybrid composite) (*p* value < 0.05). Group I (2 mm SFRC thickness) showed no significant difference in fracture resistance when compared with group III (nanohybrid composite) (*p* value > 0.05). The pairwise comparison of fracture resistance between groups showed that the fracture load recorded for 4 mm SFRC thickness group was significantly higher than those group for 2 mm SFRC thickness and nanohybrid composite group (*p* value < 0.05). The null hypothesis that there were no significant differences of
Table 1: Descriptive data of three different groups fracture resistance using one-way analysis of variance
| | N | Mean | Std. deviation | Std. error | 95% confidence interval for mean |
|----------------|-----|----------|----------------|------------|----------------------------------|
| | | | | | Lower bound | Upper bound | Minimum | Maximum |
| Group I | 10 | 444.21440| 82.966128 | 26.236193 | 384.86401 | 503.56479 | 279.692 | 581.140 |
| Group II | 10 | 535.70720| 74.025308 | 23.408858 | 482.75268 | 588.66172 | 401.408 | 659.344 |
| Group III | 10 | 438.64800| 107.748008 | 34.072912 | 361.56972 | 515.72628 | 252.448 | 566.734 |
| Total | 30 | 472.85653| 97.408284 | 17.784238 | 436.48368 | 509.22938 | 252.448 | 659.344 |
Fig. 2: Means value of fracture resistance of all groups (Newton)
Table 2: Post hoc least significant difference test result shows the mean difference and p value of the fracture resistance between groups
| Variable | Mean difference | p value |
|------------------|-----------------|---------|
| Group I–Group II | 91.49 | 0.03 |
| Group I–Group III| 5.57 | 0.89 |
| Group II–Group III| 97.06 | 0.02 |
fracture resistance among the SFRC thickness as intermediate layer was rejected because there were statistically significant differences.
**DISCUSSION**
When subjected to occlusal loads, a tooth restoration should restore the natural tooth’s fracture resistance.\(^2\) Considering the compressive masticatory forces in the posterior region, the material should endure these forces.\(^9\)
There are two methods currently used for assessing the fracture resistance of dental restoration: the compressive static fracture test and dynamic fracture test. The compressive static fracture test was performed using the Universal Testing Machine. Although an attempt was made to simulate the oral environment, the conditions were not identical to those of the intraoral. The applied load was only in one direction and one point, which did not simulate many ways of masticatory force exertion. A static test is often regarded as clinically less relevant, since such abrupt loading never occurs. However, dynamic fracture testing is claimed to better predict the clinical situation and has been considered as the standard to assess or predict the influence of mouth-motion fatigue on dental restoration.\(^{14,15}\)
In the compressive test, the loading angulation is paramount. In this study, the load was directed to the area of the restoration at a 13.5° angle because 13.5° angle is the typical loading angle used in dental applications. The load at failure decreases as the loading angulation increases.\(^{16}\)
The present study compared the thickness of SFRC in terms of fracture resistance. Based on the results, the highest mean fracture resistance was seen in the 4-mm SFRC thickness group, followed by 2-mm SFRC thickness, and nanohybrid composite group has the lowest mean of fracture resistance. This result agrees with previous studies, and Al-Ibrahemic observed that the fracture resistance increases as the flowable composite thickness increases. The fracture resistance of a restoration may be due to filler loading and mechanical properties of the material. Increasing the filler loading will increase the fracture resistance.\(^9\)
In this study, the composite consisted of short fibers, whereas in the aforementioned research, the intermediate layer did not contain an additional component. The function of SFRC is assumed to be based on supporting the superficial conventional composite and behaving as a crack arrest barrier. This bilayered restoration is able to mimic the natural behavior of enamel and dentin. The presence of fibers prevents and stops the crack propagation throughout the restoration. Adequate adhesion among fiber and matrix, which affords good load transfer, assures that the load is transferred to the stronger fiber, and it is the fiber that actually works as reinforcement. Voids that appear among the fiber and the polymer matrix is caused by insufficient adhesion and would act as initial fracture sites in the matrix and facilitate the breakdown of the material. Random fiber orientation and lowered cross-linking density of the polymer matrix by the semi-interpenetrating polymer network (semi-IPN) structure has a significant role in enhancing mechanical properties. Reinforcing effect of the fibers fillers is based not only on stress transfer from polymer matrix to fibers but also depends on behavior of individual fiber that acts as a crack stopper.\(^{2,6,9,10,17}\)
In relation to the SFRC, Garoushi et al. observed that EverX Posterior had fiber length distribution between 0.3 and 1.5 mm, which is in the range of the reported critical fiber length and desired aspect ratio. The critical fiber lengths of E-glass with bis-GMA polymer matrix vary between 0.5 and 1.6 mm. The stress transfer from polymer matrix to the fibers only possible if the fibers have a length equivalent or greater than the critical fiber length and essential for producing effective reinforcement. The amount, type, size, and load of fiber in the composite also affect its mechanical properties. Additionally, the fibers are silanized and are therefore able to chemically connect to the matrix. As a consequent of these features, the SFRC is able to reinforce the dental structures even in case of extreme loading conditions. Since these fibers show random orientation, they can reduce the polymerization stress generated by the composite resin in all directions.\(^{6,10,18,19}\)
Stress generated during polymerization shrinkage of composites have potential to cause an adhesive failure or microcracking of restorative material and/or at interface with tooth structure. The microcracks can predispose the tooth to fracture and affect the
capability of the restoration to resist occlusal forces. Therefore, short fiber fillers might absorb some of the polymerization shrinkage stresses and increase the stress-relieving capacity of the matrix, and this could decrease the marginal microleakage and improve the adaptation of the material.\textsuperscript{20,21}
Tsujimoto et al. observed that the SEM image of fracture surface of SFRC after fracture resistance measurement indicate the possibility that short E-glass fiber retard crack propagation along the fracture line. If the minor crack propagates through this kind of material, it encounters a fiber and cannot grow further. SFRC can mitigate damage and dissipate energy, which greatly improves their mechanical properties by preventing brittle failure and avoiding the loss structural integrity.\textsuperscript{17,18}
The two essential factors that strengthen the SFRC are millimeter-scale short fibers and semi-IPN structure. The millimeter-scale short fibers have an ability to bridge, stretch, divert, and withstand the opening and propagation of the crack, therefore inducing the stress intensity at the crack tip. The stretching capacity of fibers may allow the crack bridging and the crack blunting mechanisms to occur. During crack bridging, discontinuous fibers would probably stretch between the edges of the propagating crack causing blunting of the initially sharp crack. This would probably minimize or avert the crack propagation. The semi-IPN consists of both linear and cross-linked polymer phases. The linear phase can be dissolved if a suitable adhesive resin is added on its surface, thus enabling the reactivation of the material and also true chemical bonding to it. Then, the polymethyl acrylate within the semi-IPN structure which reduces the stiffness of the cross-linked resin monomer must be contributing to the toughening of the material.\textsuperscript{19,22}
Increased filler loading generally increases physical and mechanical properties. This determines a restoration’s clinical performance and durability. If the thickness of the material increases, the filler amount also increases. In this study, there is no significant difference between groups 1 and 3, means that with the addition of 2 mm SFRC has the same effect as the control group, where both groups can bear the equal forces. Increasing the SFRC thickness leads to the increase of the fiber content in the filler, resulting in the highest fracture resistance observed in group II. The fibers act as stress absorber and crack stopper, and an increased fiber amount will reduce fracture probability. The limitation of this study is using static load, as this could not mimic the clinical condition. Further studies should be conducted to evaluate the fracture resistance using the dynamic or intermittent load fracture test to simulate the actual masticatory movement, and the finite element analysis study sought to assess the stress distribution at the interface in restoration.
**CONCLUSION**
From the results of the study, it can be concluded that the increase in SFRC thickness as intermediate layer increases the fracture resistance on class II restoration.
**REFERENCES**
1. Heymann HO, Swift Jr EJ, Ritter AV. Sturdevant’s Art and Science of Operative Dentistry. 6th ed., USA: Mosby Co; 2012. p. 429.
2. Kumar A, Tekriwal S, Rajkumar B, et al. A comparative evaluation of fracture resistance of fiber reinforced composite, flowable composite, and a core build up material: an in-vitro study. Int J Curr Res 2016;8(6):32379–32380.
3. Cramer NB, Stansbury JW, Bowman CN. Recent advances and developments in composite dental restorative material. J Dent Res 2011;90(4):402. DOI: 10.1177/0022034510381263.
4. Demarco FF, Collares K, Correa MB, et al. Should my composite restorations last forever? why are they failing? Braz Oral Res 2017;31(suppl 1):92–93. DOI: 10.1590/1807-3107bor-2017.vol31.0056.
5. Kubo S. Longevity of resin composite restorations. Japan Dent Sci Rev 2011;47(1):43–55. DOI: 10.1016/j.jdsr.2010.05.002.
6. Garoushi S, Gargouna A, Vallittu PK, et al. Short fiber-reinforced composite restorations: a review of the current literature. J Invest Clin Dent 2018;1(1):1–3. DOI: 10.1111/jicd.12330.
7. Chowdhury D, Guha C, Desai P. Comparative evaluation of fracture resistance of dental amalgam, Z350 composite resin and Cention-N restoration in class II cavity. IOSR-JDMS 2018;17(4):52.
8. Kasraei S, Azarsina M, Majidi S. In vitro comparison of microleakage of posterior resin composites with and without liner using two-step etch-and-rinse and self-etch dentin adhesive systems. Oper Dent 2011;36(2):214. DOI: 10.2341/10-215-L.
9. Al-Ibrahemi JF, Mohammed R. The influence of different thickness of flowable composite base materials on compressive strength of composite restorations. J Genet Environ Res Conserv 2015;3(1):53–58.
10. Garoushi S, Vallittu PK, Lassila L. Mechanical properties and wear of five commercial fiber-reinforced filling materials. Chin J Dent Res 2017;20(3):137–143.
11. Anusavice KJ, Shen C, Rawls HR. Phillips’ Science of Dental Material. 12th ed., USA: Elsevier; 2013. p. 280.
12. Belli S, Eskitascioglu G. Biomechanical properties and clinical use of a polyethylene fiber post-core material. Int Dent South Africa 2006;8(3):21.
13. Garoushi S, Mangoush E, Vallittu PK, et al. Short fiber reinforced composite: a new alternative for direct onlay restorations. Open Dent J 2013;7(1):182. DOI: 10.2174/1874210601307010181.
14. Nie EM, Chen XY, Zhang CY, et al. Influence of masticatory fatigue on the fracture resistance of the pulpless teeth restored with quartz-fiber post-core and crown. Int J Oral Sci 2012;4(4):218–220. DOI: 10.1038/ijos.2012.78.
15. Makramani A, Razak A, Yi NM, et al. Effect of restorative techniques on fracture resistance of endodontically treated premolars. J Stomatol 2013;3(07):379–385. DOI: 10.4236/ojst.2013.37064.
16. Ozgunaltay G, Gorucu J. Fracture resistance of class II packable composite restorations with and without flowable liners. J Oral Rehabil 2005;32(2):111–115. DOI: 10.1111/j.1365-2842.2004.01364.x.
17. Tanner J, Tolvanen M, Garoushi S, et al. Clinical evaluation of fiber-reinforced composite restorations in posterior teeth – results of 2.5 year follow-up. Open Dent J 2018;12:482.
18. Tsujimoto A, Barkmeier WW, Takamizawa T, et al. Mechanical properties, volumetric shrinkage and depth of cure of short fiber-reinforced resin composite. Dent Mater J 2016;35(3):418–419. DOI: 10.4012/dmj.2015-280.
19. Frater M, Forster A. New generation of short-fiber reinforced composite restorations of the posterior dentition. Int Dent – Afr Edit 2018;9(5):7–8.
20. Garoushi SK, Hatem M, Lassila LVJ, et al. The effect of short fiber composite base on microleakage and load-bearing capacity of posterior restorations. Acta Biomater Odontol Scand 2015;1(1):10–11. DOI: 10.3109/23337931.2015.1017576.
21. Moosavi H, Zeynali M, Pour ZH. Fracture resistance of premolars restored by various types and placement techniques of resin composites. Int J Dent 2012;2012:1–2. DOI: 10.1155/2012/973641.
22. Bijelic-Denova J, Garoushi S, Lasilla LVJ, et al. Mechanical and structural characterization of discontinuous fiber-reinforced dental resin composite. J Dent 2016;5–8. DOI: 10.1016/j.jdent.2016.07.009.
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HOMES ON TOUR NEIGHBORS TOGETHER FOR BRUNCH NOMINATIONS FOR BOARD CAN'T WAIT FOR THE TWILIGHT TOUR AND...MORE
A MONTHLY NEWSLETTER PUBLISHED BY THE WILLO NEIGHBORHOOD ASSOCIATION
The Willo Neighborhood Real Estate Broker
24 years experience with honest, straightforward answers to all of your Real Estate questions.
(OVER 350 HOMES SOLD IN THE PAST 3½ YEARS)
JIM CONNER
CRS, GRI Associate Broker
5Stone Realty Group
Direct Line: 602-908-0711
Office: 602-840-9500
email@example.com
www.WilloNeighborhoodHomes.com
It’s Baaaaack!
We’re finally here – after months of preparation, the 25th Annual Willo Home Tour is upon us. Special thanks going out to the homeowners who graciously offered their homes for the tour, the tour chairs Andrea Meury and Lisa Bliss, the many tour committee members and all Willo residents who attend the tour and those around the street fair that make other plans without complaint on the day of tour. I’m really looking forward to the twilight tour and party as it morphs into a new family friendly gathering. Thanks to the Lewis residents for offering up their cul-de-sac at the park, renovated by Willo funds from previous home tours. For those of you who might wonder what we do with the money we make at home tours, two great examples are Walton and Broadmoor parks.
Our Willo Board election is coming up in March. From our January meeting, the nominating committee placed their list of names for the 2013-2015 board of directors. As the by-laws state, that list is posted here in Inside Willo. At our February meeting, we may take any other nominations from the floor. Those nominated will need to supply a short bio and photo to us no later than February 16th to be placed in the March issue. After our February meeting no other nominations will be accepted, per the by-laws. Each member of the Willo Neighborhood Association may vote – but remember, you must be an opted-in member to do so. You will find an opt-in form in this issue and the next to make sure your vote counts. If you have not opted in since December of 2012, your membership must be renewed (annually).
An associate of mine recently asked me why the Willo Home Tour has become so successful, truly eclipsing so many others, and my answer was simple: it’s the neighbors. Whatever this group puts their minds to becomes a success and I’m proud just to be a part of the neighborhood. Until next time, see ya ‘round the ‘hood.
515 W. Lewis
Under Contract
Tom Bryant & Pat Martin
HomeSmart Elite Group
602-980-7712 or 602-432-2150
The Willo Specialists with over 350 Willo Sales.
www.HistoricCentral.com
74 W. Wilshire
For Sale
LOVE IS IN THE AIR @ FEZ
Sharing The Love All Month
Valentine’s Day Entrée & Drink Specials
Weekly Lunch Special $8.95 ($1 more for any fountain drink!)
Happy Hour Daily
4-6:30pm and 10pm-close
Online & Mobile Reservations at fezoncentral.com • 602.287.8700
fezoncentral @fezoncentral foursquare.com/fezoncentral
Every Day of the Week
$5 Mondays
$5 martinis • Happy Hour All Day
$10 Tuesdays
$10 any sandwich, side salad, choice of soda, domestic bottled beer, or house wine
20% Off Wednesdays
20% off bill until 9pm* • 2-4-1 all drinks 9pm – close
*excludes already discounted items
Sunday Phunday
Live DJ
2pm-7pm • $10 Beer Buckets; Half-Priced Drinks
Karaoke Kraziness
9pm-close Reverse Happy Hour
901 north 4th street • 602.795.1792
blissrebar @blissrebar foursquare.com/blissrebar
Membership Opt-In Form
___ Opt In (No fee to join)
Yes! I want to be a member of the Willo Neighborhood Association. By checking the box above, you acknowledge that you are of voting age and live within the Willo Neighborhood Boundaries as outlined in the Willo Neighborhood Conservation Plan.
Name ____________________________________________
Address ___________________________________________
Signature __________________________________________
Email Address _______________________________________
(not to be given out or used for any other purpose than membership)
Mail Completed Form To:
Willo Neighborhood Association
PO Box 36506, Phoenix, AZ 85067
WE HAVE JUST WHAT YOUR BUSINESS NEEDS!
ADVERTISE IN THE NEXT INSIDE WILLO
CONTACT MEGAN D. MARTINEZ
602-799-4295
firstname.lastname@example.org
WE’RE JUST THE THING YOUR BUSINESS NEEDS!
WILLO BOARD OF DIRECTORS
BRAD BRAUER (PRESIDENT) email@example.com 602-690-1400
JASON BLISS (VICE PRESIDENT) firstname.lastname@example.org 480-577-6171
DON VALLEJO (SECRETARY) email@example.com 602-301-1041
LESLIE STACKPOLE (TREASURER) firstname.lastname@example.org 623-693-1497
GREG CORNS email@example.com 602-524-8000
PHIL FLEMMING firstname.lastname@example.org 602-501-2492
ANDREA MEURY email@example.com 602-692-0518
GENE NANCE firstname.lastname@example.org 602-252-5397
MARILYN RENDON email@example.com 602-430-0107
BOB THOMAS firstname.lastname@example.org 623-363-8147
PATRICE WAPPEL email@example.com 602-248-0408
JON WHITCOMB firstname.lastname@example.org 602-475-5900
TONY WIER email@example.com 602-253-0987
COMMITTEES
HISTORICAL REGISTRATION AND RENEWAL
GENE NANCE firstname.lastname@example.org 602-252-5397
TRAFFIC MITIGATION
TRACY GROMER email@example.com 602-340-0706
NEWSLETTER DELIVERY
HAYDEE SAINZ & JEFF PIUREK firstname.lastname@example.org
BLOCK WATCH
JON WHITCOMB email@example.com 602-620-3900
KLEANSTREETS
PATRICE WAPPEL firstname.lastname@example.org 602-248-0408
2013 HOME TOUR CHAIRS
ANDREA MEURY email@example.com 602-692-0518
LISA BLISS firstname.lastname@example.org
INSIDE WILLO NEWSLETTER
ANDREA MEURY (BOARD LIAISON) email@example.com 602-692-0518
ANDREA KATSENES (EDITOR) firstname.lastname@example.org 602-694-1275
MEGAN DESMOND (AD SALES MANAGER) email@example.com 602-799-4295
RALPH GROOM (GRAPHIC DESIGNER) firstname.lastname@example.org 718-704-7244
COMMUNITY ACTION OFFICER
OFFICER BEN HARRIS email@example.com 602-361-4501
GAIN EVENT
DON VALLEJO (CHAIR) firstname.lastname@example.org 602-301-1041
STATUTORY AGENT
PHIL FLEMMING email@example.com 602-501-2492
Willo Website
Join the Willo email list to receive important neighborhood notifications and updates. To subscribe, send an email to: firstname.lastname@example.org. The Willo website, www.willohistoricaldistrict.com, contains information on neighborhood activities, committee and board meetings. Webmaster Eric Eggert can be contacted at email@example.com.
Willo Historic Neighborhood Association Board
The Willo Historic Neighborhood Association Board was established in the early 1980s. The members are volunteers and are elected every two years in March. The association does not collect dues and does not act like a Home Owners’ Association (HOA). Rather, its function is to serve the collective well being of the neighborhood. Meetings are typically held the second Thursday of each month at 6:30 pm at the Fairfield Inn and Suites Hotel. All residents of Willo are invited to attend. Agendas are available online prior to the meeting at www.willohistoricaldistrict.com.
Inside Willo newsletter
This free newsletter is published monthly (excluding July & August) by a committee headed by Willo volunteers. Willo neighbors are encouraged to submit neighborhood news, tidbits, photos and articles (between 250-350 words) by the 10th of each month. We reserve the right to: edit as needed, attribute to the submitting neighbor (with the street they live on where appropriate), determine which issue the information may be printed and use content on our website and in neighborhood promotional materials. The Willo Neighborhood Association is not responsible for nor endorses the editorial content in Inside Willo. A copy of Inside Willo is also posted to the Willo website each month.
City Preservation
firstname.lastname@example.org 602-261-8699
Walk-in hours are 8:00 am to 12:00 pm, Mondays through Fridays at the main office, located at 200 W. Washington Street, 17th Floor. The field office is The Ellis-Shackelford House at 1242 N. Central Avenue (by appointment only)
Exterior Rehabilitation Program
http://phoenix.gov/HISTORIC/hprehab.html
Historic Designation
http://phoenix.gov/HISTORIC/tags.html
City Neighborhood Services
General Information 602-262-6011
Fight Back Program 602-495-3738
Graffiti Busters Hotline 602-495-7014
KEEP IT CLEAN! 602-534-4444
Landlord/Tenant Counseling 602-262-7210
Property Maintenance Violations 602-262-7844
Grants Administration 602-262-7158
Phoenix Police (also to report speeding)
Officer Ben Harris/Willo Representative email@example.com 602-361-4501
Crimestop 602-262-6151
City Councilmember/District 7 Hon. Michael Nowakowski 602-262-7492
Want results in 2013?
If you want a success story like these in 2012, call Vicki.
Vicki really knows Willo!
310 W. Lewis — $242,500
54 W. Edgemont — $259,000
315 W. Almeria — $281,000
301 W. Palm — $425,000
510 W. Cypress — $400,000
511 W. Windsor — $335,000
305 W. Palm — $433,000
Vicki Vanderhoff
Your Willo Neighbor & Historic Home Specialist
Mobile: 602-377-1571
firstname.lastname@example.org
CROSSING THE FINISH LINE! Congratulations to Willo neighbor, Ena Lynne Wilson (Virginia), who ran in the WHOLE 10th annual Rock 'n' Roll Marathon on Sunday, January 22nd. Ena finished in 4 hours, 8 minutes, and 50 seconds (4:08:50) and was so excited to run past the Willo area and see so many neighbors along 7th Avenue cheering her on!
WE WANT TO HEAR FROM YOU! From time to time, between monthly Inside Willo issues, we share timely information with Willo neighbors via email. Typically these updates communicate burglary and safety happenings, lost kids-lost pet alerts, etc. We try not to spam neighbors, targeting to only send updates out when necessary. If you are not receiving email updates and would like to be part of this neighborhood service, please send your request and email address to email@example.com
BRAD BRAUER
Associate Broker
602.690.1400
BRADBRAUER.COM
Willo Resident
OXIDE studio
gates / fencing
garden art / etc.
call Dan @ 602.614.2709
www.theoxidestudio.com
Willo Resident
HOUSE DOCTOR EXTERMINATING
DAVID RAMOS
VALLEY WIDE
Over 28 years experience
3310 W. Bell Rd. #232
Phoenix, AZ 85053
Office: 602-993-1800
E-mail: firstname.lastname@example.org
Cell: 602-672-5000
License #BL 8597
Fax: 602-439-6876
ROYAL WOOD FLOORING
Licensed Bonded Insured Commercial & Residential #281921-922
602.446.2613
Hardwood Flooring Repairs
Dustless Sanding & Refinishing
Laminate Engineered Bamboo
Wood Flooring Installation
Damaged Wood Floor restoration
www.royalwoodflooring.com
"Beautiful Homes Deserve Beautiful Wood Floors"
A Willo Neighborhood Brunch to Say Thank You
It was a brisk, sunny Sunday in January, when the 2013 Home Tour volunteer committee members hosted a “thank you” brunch at the home of David Miranda and Darrell Collins (Cypress) for our WONDERFUL homeowners that will be on tour this year. “It is so heartwarming to see the enthusiasm of our homeowners that so generously open up their homes to make our annual neighborhood fundraiser possible,” said Lisa Bliss (Coronado), 2013 Home Tour Co-Chair.
The Home Tour Brunch Committee, led by Mara Reynolds (Palm) met the night before in order to have the most delicious brunch spread ready for when our homeowners arrived on Sunday morning. “We always look forward to Mara’s secret Crème Brule French Toast,” said Home Tour committee member Phil Flemming (Encanto).
Co-Chair Lisa Bliss and Home Tour veteran Mara Reynolds answered questions, shared tips for managing tour day guests and relayed our thanks to each homeowner for rolling out the welcome mat on February 10th.
“If it is true that the way to a person’s heart is through their stomach, then our Home Tour Brunch Committee hit it out of the park, there was a lot of yummy love going around,” said Brad Brauer (Monte Vista), Willo Neighborhood President. “I think homeowners on tour this year really appreciated the chance to receive tips for tour day, and I heard lots of reports of their fix up projects in the works.”
“Not only is our Home Tour about raising money for our neighborhood, but a day like today reminds us that this is a great way for us to be together, get to know our neighbors and form long friendships,” said Andrea Katsenes (Vernon).
Thanks to Home Tour Brunch Committee members Mara Reynolds, Patrice Wappel, Rocio Sumner, Theresa Lococo, Catherine Sibiski, Cristina Coash and Jill Bray, Julie Whelihan and special thanks to - Bob McCarville (Windsor) for ably managing the beverage cart; Darren Leek (Coronado) for collecting and setting up heaters to keep the brunch guests warm; and Becky Shaw (Almeria) & Party People for helping out with rentals and the lovely French theme decorations.
(continued on page 13)
Easy Money
Get incentives before they’re gone!
With the money you save on your utility bill, you can buy the things you want.
It’s Easy!
Visit www.energizephx.com or call 602-495-5275.
Save Money by Saving Energy!
Brunch Pics
(continued on page 15)
Central Park Square Athletic Club
WILLO RESIDENTS
It’s time to check out your neighborhood healthclub
30 days for only $19 risk-free!
*Offer good for new members only. Current members not eligible.
www.centralparksquareathletic.com
VOTED best BREAKFAST IN THE VALLEY!
Breakfast. Brunch. Lunch.
FirstWatch®
The Daytime Café
25 years OF SERVING FRESH IDEAS
61 W. Thomas Rd.
Phoenix, AZ 85013
602-265-2092
www.firstwatch.com
Brunch Pics
(continued from page 13)
This Valentine’s Day, treat your loved ones to a delicious, nutritious, artisan pizza... made with a little extra ♥.
Heart shaped Large and XL pizzas upon request Feb. 14th!
*Large & XL pizzas in heart shape upon request at participating locations on February 14, 2013 only.
Not Just a Doctor . . . A Medical Home at St. Joseph’s Hospital and Medical Center
Why a medical home?
A medical home allows you to have coordinate care. It is designed to treat your current health care needs and prevent future medical issues.
What does it provide?
• A personal physician who is responsible and knowledgeable about you;
• Coordinated and integrated care – from primary medical care to subspecialty needs;
• Enhanced clinical hours, including Saturdays and evenings;
• Care that looks at the whole person, including mental health and social issues.
Isn’t it time you find a medical home?
For more information or to become a part of our medical family, call 602-406-7564.
St. Joseph’s Hospital and Medical Center
A Dignity Health Member
Oxide Studio has been an advertiser with Inside Willo since February 2011.
Come by and visit the OXIDE booth at the vendor street fair during the Willo Home Tour. In the month of February any Willo resident purchasing a project over $500 will also receive their choice of a “Heavy Metal Wind Chime ($75) or small botanical panel design of their choice ($120). Visit his website @ www.theoxidestudio.com to see the chimes, panels and other cool stuff. See you at the Tour!
The OXIDE studio is located at 50 W. Vernon Ave. in Phoenix. Call Dan @ 602-614-2709 for questions.
Dear Willo Neighbor,
A friendly reminder that the annual Willo Home Tour will take place Sunday, February 10.
The following streets will be closed from 6am to 5pm:
- 100 and 300 blocks of Holly Street
- 300 block of Monte Vista
- 3rd Avenue between Cypress Street and Palm Lane
Additionally, the 500 block of Lewis will be closed for a Twilight Tour party on Saturday, February 9 from 4pm to 9 pm.
Please remember to remove your cars from these streets by Saturday night. In addition, if you would turn off any sprinklers in your front yards (near the sidewalks and streets) on Saturday and Sunday, it would be greatly appreciated by the Street Fair vendors.
We apologize for this inconvenience, but hope you will join us for the event. Advance tickets are on sale on our website: www.willotour.com. They will also be available at the park on the day of the tour. For more info, please visit our website.
On behalf of the volunteer Home Tour Committee members and your fellow Willo residents, thank you for your patience, consideration, and help.
The Willo Home Tour Committee
The average American only lived to be about 50 years old in 1900. Today we red, white, and blues are living on average to be octogenarians. However, there are obstacles to getting to 80 years young and I’ll introduce you to some. Dance The Great Waltz with me as we uncover those heartbreakers of healthiness with an Academy Award winning theme.
Of course cigarette smoking will cut short The Best Years of Our Lives. No one was quite as witty while puffing on Parliaments as George Sander’s Addison DeWitt. Lighting up at every social occasion was what all the Ordinary People would do yesteryear. But today you’re smarter than that Mrs. Miniver; drop the habit before it drops you!
There is no need to be the all American Beauty; you just need to be height weight appropriate. Check online for a body mass index and determine your level of acceptable. It’s not likely It Happened One Night if the weight is skewed in the wrong direction. Obesity occurs gradually so be constantly vigilant.
Visit your doctor regularly My Fair Lady. You’re going to get ill Sooner or Later and you’re going to need medical care. Guys are less likely to go see the doc than women, and it’s a reason women generally outlive men. It’s true that Whatever Will Be, Will Be, but you can detect health problems early with frequent physician checkups. I’d be indebted for a ride to the office of Dr. Zhivago…if you’re Going My Way.
Whether you’re walking the Streets of Philadelphia during summer or reading a book in The Apartment, you need plenty of water. Your body is mostly water and there are good odds you’ll make it past your life expectancy with ample waves hitting your shores. Stay adherent to drinking at least eight cups of this good beverage each day and just maybe you’ll live From Here to Eternity.
Cars come equipped with seat belts for a reason…they save lives! There is no reset button after a fatal car Crash. Get in the habit of strapping in for safety each time you cruise Sunset Boulevard for a Sunday drive On the Waterfront. The Traffic is great anytime you’re able to reach eighty years of age.
The Greatest Show on Earth is the one you are in. Make some healthy changes in your life and don’t be joining that list of those dearly Departed just yet. I’ve got High Hopes that you’ll do The Right Stuff!
Thanks to Ron Blake, loyal Inside Willo advertiser, for sharing these thoughts. Blake House Cleaning, (480) 241-5651, BlakeHouseCleaning.com
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Easy and convenient, reliable and on-time delivery.
• Courteous and professional delivery personnel.
• Prescription Pick-Up Service: If you need us to come to your residence and pick-up new prescription orders we can do it!
• We welcome your Doctor to call in or fax your prescriptions; And we can deliver them to you the same day!
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All Insurance Plans Accepted
(Including Medicare, Medicaid and AHCCCS)
We Offer Drug Compounding
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Mail Out Medication Available
Medical equipment & supplies
(602) 264-9000
WILLO Neighbors-
• We offer Complimentary Breakfast
• Expanded Continental Breakfast
• Airport Transportation
• Van Service within a 3 mile radius
• Local Phone Call
• Free High Speed Internet Access
• Heated Outdoor pool and spa
Perfect Hotel- Perfect Location for out of Town Guests!
Ask about our great Summer Specials!
Call for rates and availability
Homework Remodels
design/build remodelers
Older Home Specialist
602-478-5102
HomeworkRemodels.com
ROC # 207613
Home Questions? We Have Answers!
Vicki Vanderhoff (Monte Vista)
"My historic home desperately needs a kitchen and bathroom remodel, but I'm nervous about detracting from the house's historic character. What do buyers really want, vintage style or modern convenience?"
-Confused on Cambridge
Dear Confused,
No need to fret! You don't have to sacrifice vintage charm to have modern convenience. The good news is that you can have both.
Modern designers have created a wide range of styles for kitchen cabinets and bathroom vanities that allow you to keep the nostalgic feel of your historic home, while updating with state-of-the-art fixtures.
Think of it this way, if you struggle to open your silverware drawer, the buyers of your home will too. Nobody wants that. I'm sure you'd both appreciate an updated kitchen. So do it wisely. Stick with the period and style of your home. Craftsman style cabinets and vintage subway tiles look beautiful with today's stainless steel appliances. Remember, the internet is full of beautiful homes and decorating ideas. Have you tried www.pinterest.com? Now there's a fun place to do your research!
Shhh... here's my favorite historic remodeling secret, it's www.rejuvenation.com. They offer incredible reproduction lighting, hardware, and home decor. In their own words "we obsess over the details of period authenticity and great design like no one else." Amen.
And thanks to good ol' Benjamin Moore for taking the guesswork out of choosing a paint color. Check out their new historic color palette at your local Ace Hardware. So if you have always wanted to update your kitchen, do it NOW so you can enjoy it. I don't know how many times I have heard sellers say, "I wish I would've updated my kitchen years ago, not just before I sold!"
Truly, it's a smart decision to update your historic home. If done wisely and with respect for the home's authentic character, I think selling will be the last thing on your mind.
Thanks to Vicki Vanderhoff for helping us share home information with our readers. For more information or if you have additional questions, please contact Vicki at email@example.com
Just Around the Corner
Professional pet sitting & home services
• Daycare
• Boarding
• Daily Walks
• Off Leash Play
• Leash Runs
• Pickup & Delivery
• Day & Night Visits
• Personalized Service
• Bonded & Insured
Theresa Smith
(602) 301-1373
firstname.lastname@example.org
www.jatcpetsit.com
*Pet First Aid Certified
Randy’s home is on the Willo Home Tour!
Come visit us during the event at 525 West Coronado.
Randy Betnar
Realtor
cell: 602.469.8188
email@example.com
Michele Wolff
Realtor
cell: 602.329.2199
firstname.lastname@example.org
ADVERTISE IN THE NEXT INSIDE WILLO
CONTACT MEGAN D. MARTINEZ
602-799-4295
email@example.com
WE’RE JUST THE THING YOUR BUSINESS NEEDS!
We Need Your Help at the Home Tour
We are looking for volunteers to help on the day of the big event—our annual Willo Home Tour, Sunday, February 10, 2013. We will need volunteers to work two hour shifts between the hours of 7:00a.m. and 6:00p.m on Sunday. This includes set-up, break-down and ticket sales. If you are interested in volunteering, please e-mail Dina Anagnopoulos at firstname.lastname@example.org.
Lights, Camera, Action! Look for our Home Tour volunteer chairs, Lisa Bliss and Andrea Meaury, on City of Phoenix’s Channel 11. Hosted by our councilman, Tom Simplot, Lisa & Andrea will be sharing the history and wonderful homes on tour with city viewers. Check www.Phoenix.gov/citygovernment/phx11 and click on “Channel 11 shows” for air dates/times.
Home tour advertising is everywhere! By now you should be hearing and seeing information on our 25th Anniversary Home Tour.
Digital billboards with our Home Tour information are located at:
- Thomas Rd & 16th Street
- I-17 & Thomas
- Indian School & 22nd Street
Also, listen for mentions on KIZZ FM & KBAQ FM, the NPR affiliate radio stations, in addition to custom spots airing on several cable networks such as HGTV & DIY.
Willo Twilight Tour
The 3rd Annual Willo Twilight Tour will take place on Saturday February 9, 2013 from 4:00 – 6:00 pm. The Twilight Tour gives us a chance to share our wonderful homes with Willo neighbors, friends and family before we open our doors to the public on Sunday. Tickets for this event are available for pre-sale at www.willotwilighttour.eventbrite.com and will be capped at 500 in order to maintain the intimacy of this popular event. Please be sure to purchase your tickets online as we cannot guarantee that tickets will be available at the door. We expect this to be a SOLD OUT event!
After the Twilight Tour we invite you and your family to join us for a fun night of food and music on the 500 Block of Lewis as we celebrate 25 Years of Willo.
BRING ON THE STITCHES, SPRAINS, AND OTHER WEEKEND MISHAPS
If your weekend warrior becomes a weekend casualty, consider your doctor before the emergency room. At Camelback Mountain Medical Associates, your doctor is on-call 24/7, so you can get back to your 9 to 5. Find out more at www.PhxDoc.com.
Dr. Griffin Cipolla
Your Family Doctor In The Neighborhood, Just South of Osborn & Central
120 E. Monterey Way 602-266-4383 www.PhxDoc.Com
ADVERTISE IN THE NEXT INSIDE WILLO
CONTACT MEGAN D. MARTINEZ
602-799-4295
email@example.com
WE’RE JUST THE THING YOUR BUSINESS NEEDS!
HISTORIC HOME RENOVATORS, LLC
GENERAL CONTRACTORS
DESIGN + BUILD + HOME ADDITIONS +
CABINET RESURFACING
Willo References EPA Certified
602 820 3533
Mastercard Visa
ROC 162734 www.historichomerenovators.com
Art for Fun!
studio and gallery
* You don’t have to be an artist to be an artist!™
Art Classes and Art Parties
Adults and Kids Ages 6 up
www.art4funstudio.com
602-274-6441
firstname.lastname@example.org
classes • workshops • customized parties
25th Anniversary Home Tour Line Up
73 W. Edgemont
50 W. Cambridge
317 W. Vernon
Plus:
107 W. Windsor
541 W. Encanto
547 W. Cypress
537 W. Cypress
102 W. Cypress
334 W. Monte Vista
324 W. Monte Vista
2017 N. 3rd Avenue
525 W. Coronado
322 W. Granada
533 W. Cypress
515 W. Vernon
Sanding & Refinishing Wood Floors
MASTER OF WOOD FLOORS OFFERS PROFESSIONAL WOOD FLOOR SERVICES:
-Wood Flooring, Staining & Refinishing-
-Custom Wood Flooring Installation-
-Historical Home Restoration and Repair Wood Flooring Experts-
LICENSED BONDED & INSURED, ROC #261536
Call 602-689-6652 www.masterofwoodfloors.com
BLAKE HOUSECLEANING
Housecleaning...with Actual Customer Service
Call today for your free consultation
480-241-5651
Visit our website:
www.blakehousecleaning.com
The Willo Historic Neighborhood Association seeks a web designer to design, host and maintain the association’s website. The website www.willohistoricdistrict.com is a public site that posts neighborhood-related news as well as information regarding our annual Home Tour for visitors, vendors and media. This position will report to the Willo Historic Neighborhood Association’s Board of Directors. Please note all design, logos, advertiser contacts and copy is property of the Willo Historic Neighborhood Board.
**Web Designer**
The Inside Willo Web Designer is responsible for the design, creation, hosting and maintenance of the Willo Historic Neighborhood Association’s website.
This position will:
- Redesign the current website on direction and approval from the Willo Website Committee
- Host the website and all affiliated URLs
- Manage the renewal of URLs and DNS information
- Interact closely with Willo neighbors and volunteers
- Establish set monthly deadlines for submissions and editing changes
- Report directly to the Willo Website Committee and Board Advisor
- Manage the PayPal online ticket sales for the Annual Willo Home Tour
- Make monthly updates to the site including but not limited to: posting Board Meeting agendas and minutes, uploading the current month’s issue of Inside Willo and updates regarding the Home Tour, all within a timely manner
- Track site traffic using Google analytics or similar software
- Create monthly reports of site traffic
- Offer technology input and suggestions to the Website Committee
- Employ search engine optimization to ensure high website rankings
- Create and maintain an email database and communication system for the neighborhood
Anyone interested please apply in writing with salary requirements by March 1, 2013 to Brad Brauer at email@example.com or call at 602.690.1400
Dr. Stephanie Eastman
Facials • Peels • Products
Pure, Natural & Healthy Skincare
Featuring: D’vine
Dr. Alkaitis
Jane Iredale
Experience the transformation…™
Perfect for the Holidays
Please call to make an appt
602.252.6252
Gift Certificates & Specials Available
Central Phoenix Animal Hospital
Medicine, Radiology and Surgery
Dogs, Cats, Ferrets & Rabbits
Alicia Ruiz, DVM
• Early morning drop off
• Professional quality pet care
• Quality pet care products and pet foods (Science Diet)
25 West Thomas
(S.W. Corner of First Avenue & Thomas)
Phone: 277-5155
M-T-TH-F: 7:30a.m.-5:30p.m. • W-Sat: 8a.m.- noon
WE HAVE JUST WHAT YOUR BUSINESS NEEDS!
ADVERTISE IN THE NEXT INSIDE WILLO
CONTACT MEGAN D. MARTINEZ
602-799-4295
firstname.lastname@example.org
WE’RE JUST THE THING YOUR BUSINESS NEEDS!
Neighboring Bakery Gets a Historic Nod
Information obtained from the Arizona Republic
It is now known as Bragg’s Pie Factory, but Jan Marshall (daughter of the builder, Allan Bragg) mostly remembers the doughnuts. Bragg’s Pie Factory, established in 1946, near Grand & 13th Avenues is now one of 83 properties which the city is giving plaques to recognize historic preservation. The plaques recognize both the historic structures and the property owners who maintain the buildings over the years, said Michelle Dodds, from the City of Phoenix’s Historic Preservation Office. “We have been really thankful to people in the community” she said. “It takes diligence to maintain these sites, and that diligence does have certain costs attached to it.” When first built, people just called the factory “Bragg’s Bakery.” Workers made baked goods of all kinds—cakes, bread, pies and doughnuts.
The triangle-shaped building had several uses. The front room, with its floor-to-ceiling glass walls, housed the family-run coffee shop and soda fountain. Bragg’s daughters worked as soda-fountain servers during their summer breaks from high school. Workers dressed in white uniforms, hats and aprons, used the majority of the building as a pastry factory. An aunt ran a day-old bakery out of the back portion of the building, which Bragg added on a few years after the original construction. Bragg closed the bakery in 1960 when pressure from unions to raise workers’ wages and competition from the frozen-pie industry forced him out of the Phoenix market.
Located at 1301 W. Grand Avenue, today Bragg’s Pie Factory has a new life in a funky and evolving neighborhood. Bragg’s hosts a wide variety of art exhibits, both inside and outside in its community space and gallery and is hopping on First Fridays. It even has a Facebook page.
PureSalon
YOUR HEALTHY ALTERNATIVE
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OLIVASTRO
$2.00 OFF any size bottle.
(In-store only.)
www.OlivastroOils.com
480.264.0228
540 West McDowell Road, Phoenix AZ 85003
Located in the old "My Florist Plaza"
CONTACT MEGAN D. MARTINEZ
602-799-4295
email@example.com
WE'RE JUST THE THING YOUR BUSINESS NEEDS!
KEEPING YOU COOL IN THE SUMMER
Gonzales Heating & Cooling
602.253.2977
www.gonzaleshc.com
Valleywide!
Residential & Commercial
Serving Arizona since 1980
Licensed • Bonded • Insured
• A/C Repairs
• New Installs
• Heat Pumps
• Refrigerated Air Conditioners
• Evaporate Coolers
• Gas & Electric Heating
• Duct Sanitation/Decontamination
• Dryer Vent Cleaning
• Metal Fabrication
Financing Available!
24 Months Same As Cash
1547 NW Grand Ave • Phoenix, AZ 85007
AND WARM IN THE WINTER
Join Artlink as it celebrates the 25th annual Art Detour from 11 a.m. to 5 p.m. on March 2 and 3, 2013 in downtown Phoenix. Art Detour, the event that launched Phoenix’s First Fridays Art Walk phenomenon, returns for its silver anniversary to showcase the local artists, galleries, organizations and businesses who have made the downtown arts community come alive. Activities include arts related tours, exhibits, hands-on kids’ activities (Kids’ Detour!), music and performance art, and much more.
**WHAT:** Art Detour 25
**WHO:** Downtown Phoenix artists, performers, gallery owners, curators and patrons of the arts.
**WHEN:** Saturday, March 2, and Sunday, March 3, from 11 a.m. to 5 p.m.
**WHERE:** Participating venues throughout greater downtown Phoenix. (Visit http://artlinkphoenix.com/art-detour/)
**HOW:** A shuttle will circulate throughout downtown, making stops at neighborhood “hubs” in Roosevelt Row, Grand Avenue and more, where music and performance art will provide a unique opportunity to explore Phoenix’s art scene in a fun, festival environment.
**WHAT:** In honor of Art Detour’s 25th Anniversary, the “Silver Gala” will celebrate 25 years of the downtown arts community and its contribution to the development of downtown Phoenix. The fun, formal affair will kick off the 25th Detour in style.
**WHEN:** Saturday, February 23, 2013, 7 p.m.
**WHERE:** A.E. England Building, 424 N. Central Ave., Phoenix 85004 (Civic Space Park)
**TICKETS:** Limited individual tickets as well as sponsorship options are available. Tickets are $60 or $100 for two. (Art Detour participants receive two tickets with registration.) For more information visit http://artlinkphoenix.com/art-detour/ or email firstname.lastname@example.org. Tickets are on sale now with all proceeds benefiting Artlink, the all-volunteer 501c(3) nonprofit organization, which is dedicated to linking artists, business and the public to better understand, appreciate and support a thriving arts community in downtown Phoenix.
**PARKING:** Valet parking, nearby garages and street parking are also available. The A.E. England Building is steps away from the Van Buren/Central Light Rail Station.
**ADDITIONAL INFORMATION FOR BOTH EVENTS:** Artlink supports a variety of community-based art events happening throughout the year and also operates the A.E. England Gallery, which is committed to showcasing the talents of new and emerging local artists. Ongoing community projects include support of the First Fridays Art Walk, the country’s largest self-guided gallery tour; Third Friday Collectors Tour; an annual Juried Exhibition; and the annual Art Detour self-guided tour, featuring open studios, pop-up galleries, family-friendly art experiences and more. For more information, visit artlinkphoenix.com.
Now Open!
#1 on Yelp!
Salon D'Shayn
waxing-skincare-hair-nails
25% Off 1st Time Client Special!
50% Off 1st Time Waxing Clients!
602-300-4825
544 W. McDowell Rd. Phoenix, 85003
www.SalonDShayn.com
My Green Cut Yard
Willo’s landscape & lawn-care service for over 5 years.
We do more than mow and go.
• Trees & Shrubs
• Check irrigation
• Handyman Services
Want a fresh new look for your yard?
Veggies: We build raised-bed gardens.
$25 OFF Total Clean-Up
With this ad.
Custom Screen Doors
Designed to fit the look of your historic home.
Enjoy your porch and let in the fresh spring air.
Sturdy, classic doors made of durable cedar or poplar. Security screen keeps pets safely inside.
For a FREE consultation, give Jeff a call at
602-799-9689
WE HAVE JUST WHAT YOUR BUSINESS NEEDS!
ADVERTISE IN THE NEXT INSIDE WILLO
CONTACT MEGAN D. MARTINEZ
602-799-4295
email@example.com
WE’RE JUST THE THING YOUR BUSINESS NEEDS!
HOME SALES
Real estate information provided by Brad Brauer, HomeSmart Elite Group.
| Sold or Pending | Status | Price |
|-----------------|---------|---------|
| 51 W. Cambridge | SOLD | $244,000|
| 325 W. Edgemont | SOLD | $283,500|
| 511 W. Windsor | SOLD | $335,000|
| 41 W. Vernon | SOLD | $380,000|
| 318 W. Vernon | PENDING | $240,000|
| 114 W. Windsor | PENDING | $240,000|
| 310 W. Lewis | PENDING | $259,000|
| 525 W. Cambridge | PENDING | $295,000|
| 515 W. Lewis | PENDING | $299,000|
| For Sale in Willo | Status | Price |
|-------------------|---------|---------|
| 541 W. Edgemont | ACTIVE | $224,900|
| 337 W. Wilshire | ACTIVE | $295,000|
| 74 W. Wilshire | ACTIVE | $319,000|
| 509 W. Palm | ACTIVE | $325,000|
| 330 W. Monte Vista| ACTIVE | $365,000|
| 505 W. Lewis | ACTIVE | $365,000|
| 77 W. Windsor | ACTIVE | $384,900|
| 514 W. Granada | ACTIVE | $399,000|
| 108 W. Granada | ACTIVE | $539,900|
| 38 W. Vernon | ACTIVE | $567,500|
All figures as of 01/15/2013. Information provided by Arizona Regional Multiple Listing Service and is listed by individual brokers. For more information, please contact the listing agent, one of our advertising realtors or your real estate professional.
Thanks to the following Willo neighbors that have volunteered to serve on our neighborhood board for the coming 2013-2015 term. If interested, nominations can still be made from the floor, in person at our February 14th Board meeting. If interested please contact Brad Brauer at (602) 690-1400. Remember these neighbors serve without pay and take very good care of our community!
NOMINATIONS FOR 2013-15
WILLO BOARD OF DIRECTORS
President: Brad Brauer - Monte Vista
Vice President: Marilyn Rendon - Cypress
Treasurer: Leslie Stackpole - Coronado
Secretary: Don Vallejo - Cypress
BOARD MEMBERS
Andrea Meury - Monte Vista
Gene Nance - Palm
Phil Fleming - Encanto
Jon Whitcomb - Granada
Greg Corns - Granada
Patrice Wappel - Windsor
Bob Thomas - Coronado
Theresa Lacoco - Cypress
Kevin Devlin - Monte Vista
FEBRUARY AT THE HEARD
AMERICAN INDIAN ART AND HISTORY
23RD ANNUAL HOOP DANCE CONTEST
SATURDAY & SUNDAY, FEB. 9 & 10
9:30 A.M. TO 5 P.M.
Experience the fast-paced precision and grace of hoop dancing at the World Championship Hoop Dance Contest. More than 70 top Native hoop dancers from the United States and Canada compete for cash prizes and the World Champion title. Daily admission: $18 adults; $13.50 seniors (65+); $12 American Indians and Heard Museum members, $7.50 for children age 4-12, FREE for children under 4 (includes museum admission).
CHOCOLATE, CHILI AND COCHINEAL: CHANGING TASTE AROUND THE WORLD AND PICTURE THIS!
NAVAJO PICTORIAL TEXTILES
OPENING SATURDAY, FEB. 16; 9:30 A.M. TO 5 P.M.
See two great new exhibits at the Heard on the same day! Explore chocolate, chili and cochineal dye, which will be celebrated through both art and special programs during this exhibit. These three products of the Western Hemisphere have added beauty and zest to the lives of people around the world. Picture This! features the many ways in which the weavers’ creativity and imagination have been woven with technical mastery.
55TH ANNUAL HEARD GUILD INDIAN FAIR & MARKET
SATURDAY & SUNDAY, MARCH 2 & 3
9:30 A.M. TO 5 P.M.
Celebrate the weaver’s art – along with the superlative works of 700 other American Indian artists – at the Indian Fair. This year’s theme, “Weaving Worlds with Wool,” pays homage to the art of the pictorial textile. While meeting artists and seeing their work, take in wonderful cultural performances, dine on a variety of food and see the Heard’s 12 current exhibits. Daily admission: $20 adults; children 16 and under are free. Visit heard.org/fair for more information.
HEARD MUSEUM - PHOENIX: 2301 N. Central Ave. Phoenix, AZ 85004
602.252.8848 | heard.org
From Traditional to Montessori, we offer many choices in our Signature Schools
- Traditional
- Montessori
- Performing & Fine Arts
- Dual Language Acquisition
- Global Investigations
- Math, Science & Technology
- Community Schools
Contribute Your AZ Tax Credit & Make A Difference!
www.phxschools.org
Our Schools Offer:
- A Safe, Happy Learning Environment
- Highly Qualified Teachers
- State of the Art Facilities
- Free Before/After School Care*
- Free Breakfast & Lunch
- Free Full Day Kindergarten
Call today to reserve priority placement in our K-8 schools.
Signature Schools
Bethune
Capitol
Dunbar
Edison
Emerson
Faith North
Garfield
Heard
Herrera
Kenilworth
Lowell
Magnet Traditional
Shaw
Whittier
All of our schools are FREE - even Montessori! We have all the programs many schools have dropped - art, band, music, orchestra and physical education. No matter where you live, we have a K-8 school that is just right for you!
*FREE before and after school care is available every school day from 7:00 am to 6:00 pm, during intersessions, including summer, for children of working parents. Space is limited.
PHOENIX Elementary School District #1
...where tradition and innovation merge to create the future.
602-523-5757 | www.phxschools.org
|
5天4晚 / 5D4N
泰幸福曼谷+芭提雅之游
Wonderful Bangkok + Pattaya Tour
Tour code: BTBKKPTY05-17
~ Special Arrangements ~
♥ The very first Teddy Bear Museum in Southeast Asia, go on a treasure hunt with Teddy Bear!
♥ Aboard to the extravagant The Vertical Cruise ~ experience a sensation of luxury & romance throughout your dinner night!
♥ Pattaya’s first ever three dimensional art Gallery ~ 3D Art in Paradise
~ 特安排 ~
♥ 东南亚首座泰迪熊博物馆，跟着可爱的泰迪熊四处去冒险吧!
♥ 乘搭【昭帕耶公主號】夜游充满魅力的曼谷之都，体验奢华人与浪漫的晚餐之夜!
♥ 芭提雅最火红的景点～让你一饱眼福的3D幻觉立体美术馆！
行程 / Itinerary
第1天 新山 新加坡 ➔ 芭提雅
DAY 1 Johor Bahru ➔ Singapore ➔ Pattaya
齐集于机场，乘搭客机飞往泰国首都～曼谷。抵达后，由本公司驻泰国代表欢迎送行。续往【芭提雅】参观【是拉差龙虎园】是拉差村的一座大型虎园，其中生活着超过300只孟加拉虎和近10万只鳄鱼。
午/晚餐
Meet upon arrival at airport, you will be met by our representative. Transfer to [Pattaya] to visit the [Sriracha Tiger Zoo] which there is a variety of animal shows and watching the excitement of Crocodile Farm.
Got an enquiry? Call us at 07 333 8228
永信旅游有限公司 B&T Holiday Tours Sdn. Bhd. (154324-T)
No. 19, Jalan Kuning Dua, Taman Pelangi, 80400 Johor Bahru.
Fax: +607 332 3722
www.bnt.com.my email@example.com
**第2天**
**DAY 2**
**芭提雅**
**Pattaya**
- **[珊瑚岛]** 乘搭快艇在碧波见底的海域上行驶向珊瑚岛（请自备短裤拖鞋）。岛上一望无际的海滩，碧绿的海水，您可尽情享受美好的时光或可自费水上活动（如天气恶劣则珊瑚岛行程可能取消）。
- **[东芭乐园]** 集植物園和鄉村度假村於一身。遊客可在此欣賞人工湖和觀看大型表演場館內進行的文化表演, 如民族舞、功夫和大象表演。
- **[Coral Island]** Breakfast at hotel, ride the speed boat to Coral Island, you may want to try the many types of water sports such as water ski, parasailing, jet ski and banana boat (own expenses).
- **[Nong Nooch Wonderland Village]** to watch the local performance such as traditional dances, Thai Boxing and elephant show.
**第3天**
**DAY 3**
**芭提雅→曼谷**
**Pattaya→Bangkok**
- **[泰迪熊博物馆]** 展館大體分成歷史館、藝術館以及企劃展廳。在歷史館中，其中米可朗基羅創作的《最後的晚餐》和蒙娜麗莎的泰迪玩熊造型尤其引人注目。
- **[3D ART IN PARADISE]** 是一个艺术壁画馆，每一张图都是画家亲自绘製而成，非常自然生动、炫丽精彩、栩栩如生，让你的泰国之旅有着不一样的体验。
- **[Teddy Bear Museum]** is a truly unique, slightly baffling and extremely fun family-friendly experience. Housed in the teddy bear-themed building, it houses about 1,000 stuffed animals in the most unexpected journey through history and fantasy ever.
- **[3D ART IN PARADISE]** is a shiny and spotless 2 storey gallery packed with superbly executed paintings in which visitors are invited to be part of dozens of scenes.
*IN THE EVENT WHERE THIS IS A DISCREPANCY BETWEEN THE ENGLISH AND CHINESE VERSION, THE CHINESE VERSION SHALL PREVAIL.*
**航班时间 FLIGHT DETAILS (可能会更改 SUBJECT TO CHANGE):**
| 出发 DEPARTURE | 第1天 D1 新加坡 S’PORE – 曼谷 BANGKOK |
| 回程 RETURN | 第5天 D5 曼谷 BANGKOK – 新加坡 S’PORE |
| 成人【全包】(一人一房) ADULT [ALL IN] (SINGLE ROOM) | 成人【全包】(两/三人一房) ADULT [ALL IN] (TWIN/TRIPLE SHARING) | 小孩的价格【全包】(1位小孩和1位成人同房) CHILD TWIN 【ALL IN】(1 CHILD SHARE WITH 1 ADULT IN A ROOM) | 小孩加床【全包】CHILD WITH BED 【ALL IN】 | 小孩无床【全包】CHILD NO BED 【ALL IN】 |
| --- | --- | --- | --- | --- |
| RM | RM | RM | RM | RM |
**备注:**
1. 以上价格是按至少16成人以上报价, 若不足16成人价格另议。
2. 如有突发性燃油费或是税务有任何调整, 我社有权向客人征收附加费。
3. 以上价格只限持有马来西亚护照者。
4. 行程表所列明的交通、行程、酒店住宿及膳食安排, 将可能因应不同出发日期而有所变动, 您可能不及时通知, 然而报名后有所变动的话, 我社将另作个别通知。
5. 行程、膳食及住宿的先后次序, 以当地地接待社(地接)的安排为准。
6. 若天气状况不佳, 额外加选的景点或活动将不会被取代且不能退款。若当地旅游景点不开放给旅客参观或游览, 将安排另一个旅游景点取代。
**Terms & conditions:**
1. Quotation given is based on minimum 16 adults, Tour fare will increase if less than 16 adults.
2. Due to the instability of the Airport Taxes & Fuel Surcharge. We B&T Holiday Tours Sdn. Bhd. will have rights to alter the differences cost incurred.
3. The above Tour Fare valid for Malaysia Passport Holder Only.
4. Flight details, itinerary, hotel and meals which stated on the itinerary above are subject to change according to different departure date without prior notice. Any changes after booking will inform accordingly.
5. The sequence of itinerary, meals and hotel arrangement are subject to the final adjustment of the local ground operator.
6. If the weather is poor, certain extra activities or attractions will not be replace nor will they be refunded. However, if said attraction is not open to visitors, we will replace it with another point of attraction.
7. If flying with low-cost airline, meals are not included, unless otherwise noted.
8. Principally tour commentary will be conducted in Mandarin.
9. Customers are bound to follow the group’s schedule/itinerary.
10. Triple room sharing will base on extra roll in bed basis.
11. It is recommended that you purchase travel insurance, for more details, please inquire from your travel agent.
12. To ensure the benefit of consumer, please refer to the standard terms & conditions of our Booking Information.
**第4天**
**DAY 4**
**曼谷**
**Bangkok**
- **[郑王庙]** 郑王庙, 又称作昭庙、郑王寺或黎明寺, 是泰国首都曼谷市曼谷艾县“血脉之河”湄南河西畔的一所佛教寺院。
- **[船游湄南河]** 坐在游船上, 随着船身在河面摇荡, 途经重要景点如[郑王庙]、大王宫等。
- 前往[TERMINAL 21] 和[河滨码头超大型夜市] 享受购物乐。
- **[四面佛]** 無論是求財, 婚姻, 事業都很靈驗, 不同宗教信仰的遊客也視此地為曼谷必去的景點之一。
- **[Wat Arun Temple]** which is also known as Temple of the Dawn for taking photo.
- We’ll take you on a [boat-ride tour] along the famous Chao Phraya river!
- Enjoy shopping at [Terminal 21] and [Asiatique River Front Night Market].
- **[Four Face Buddha]** Thai representation of the Hindu creation god Brahma.
**第5天**
**DAY 5**
**曼谷→新加坡→新山**
**Bangkok→Singapore→J. Bahru**
| 特色餐 Special Meals | 购物站 Shopping Stop |
| --- | --- |
| ① 烧烤海鲜自助餐 BBQ Seafood Buffet Dinner
② 自助晚餐@昭帕耶公主號 Buffet dinner cruise at Chao Phraya Princess Cruise
③ 泰式自助餐 Thai Buffet Lunch | ① 珠宝 Gem Factory
② 皮革 Leather factory
② 蜂蜜 Honey factory |
**全包团费包括**
来回机场巴士接送、经济舱来回机票(15公斤行李)及机场税、当地导游司机小费(团体出发), 列明餐食及景点
**全包团费不包括**
领队小费、酒店行李员小费、旅游保险、突发性燃油税, 榨上餐食
**PACKAGE INCLUDES**
Airport Transfer, Economy Class Air Ticket (15KG Luggage) & Airport Tax, Tour Guide & Driver Tipping (GIF), Meals & Attractions as per itinerary stated
**PACKAGE EXCLUDES**
Tour Leader Tippings, Bell Boy Tippings, Travel Insurance, Airline Fuel Surcharge, Meals on Board
**旅行取消手续费**
1. 如要取消所预定的旅行团, 必须以书面形式进行, 以避免任何误会。如果本公司于出发前45天前收到取消预定通知, 本公司将征收每人RM200.00。
2. 如果取消预定知定是于出发前的44天或以下获得, 将征收以下的手续费。
- 若已报名而通知取消-RM200(每人)
- 出发前45天以上-RM1,000(每人)
- 出发前30~44 天通知取消-RM2,000(每人)
- 出发前8~29 天通知取消-50% 旅费(每人)
- ** 出发前少于7天或机票已发出-100% 旅费(每人)
- ** 临时缺席者-不可退费。
**Cancellation Policy for Group Tour Packages**
Cancellation of booking must be made in writing to avoid any misunderstanding. If the tourist receives notice to cancel 45 days or more before the date of departure, a basic administrative fee of RM200.00 per person will be levied.
If notice of the cancellation is received 44 days or less before the date of departure the following charges will apply.
=> Once booking made, a basic administration charges – RM200 Per person.
=> 45 days & above before departure – RM1,000 Per person.
=> 30 ~ 44 days before departure – RM2,000 Per person.
=> 8 ~ 29 days before departure – 50% of tour fare.
*** 7 days less or TICKETED – 100% of tour fare Per person.
*** <No Show> will be non-refundable.
|
Leading Edge SARS-COV-2 Testing
SCIENTIFIC EXCHANGE
Jeff Andrews, MD, FRCSC
Worldwide Medical Director, Integrated Diagnostic Solutions, BD Life Sciences
COVID-19 disease & SARS-CoV-2
An epidemic of acute respiratory syndrome (Covid-19) started in humans in Wuhan in 2019, and became a pandemic.
- SARS-CoV-2 is a member of Coronaviridae, a family of enveloped, positive-sense, single-stranded RNA viruses that infect a broad range of vertebrates.
- A SARS-CoV-2 variant carrying the spike protein amino acid change G614 has become the most prevalent clade in the global pandemic; with G614 replacing D614 [Korber B, et all Cell 2020;182:812-27]
- patients infected with G614 shed more viral nucleic acid compared with those with D614, and G614-bearing viruses show significantly higher infectious titers in vitro than their D614 counterparts.
SARS-CoV-2 is an enveloped, single-stranded, and positive-sense RNA virus, belonging to the beta-CoV genera in the family Coronaviridae.
- The genome of this and other emerging pathogenic human CoVs encodes four major structural proteins [spike (S), envelope (E), membrane (M), and nucleocapsid (N)], approximately 16 nonstructural proteins (nsp1–16), and five to eight accessory proteins. [Jiang S, et al. Trends Immun 2020:Apr 24]
- Among them, the S protein plays an essential role in viral attachment, fusion, entry, and transmission. It comprises an N-terminal S1 subunit responsible for virus–receptor binding and a C-terminal S2 subunit responsible for virus–cell membrane fusion. S1 is further divided into an N-terminal domain (NTD) and a receptor-binding domain (RBD). [Huang Y, et al. Acta Pharm Sinica 2020;41:1141-9]
- SARS-CoV-2 attaches to angiotensin-converting enzyme 2 (ACE2). ACE2 is a membrane-anchored carboxypeptidase highly expressed by airway epithelial and type I and II alveolar epithelial cells, found to be the virus cell entry receptor previously during SARS-CoV outbreak. [Perrotta F, et al. Respir Med 2020;168:105996]
- During infection, CoV first binds the host cell through interaction between its S1-RBD and the cell membrane receptor, triggering conformational changes in the S2 subunit that result in virus fusion and entry into the target cell. [Huang Y, et al. Acta Pharm Sinica 2020;41:1141-9]
A vaccine to prevent infection has been crucial to obtain, and the claims of 95% effective are encouraging. Vaccination may begin with the highest prioritized individuals in December and by April the general population may be able to be vaccinated.
Covid-19 strain D614G
> Found in July 2020
> Detected in Malaysia by the Institute for Medical Research (IMR)
> Comprising:
✓ 3 cases (Sivagangga cluster)
✓ 1 case (Ulu Tiram cluster)
> Mutated virus 10 times more infectious
> Easier to spread if transmitted by ‘super spreader’ individuals
> Vaccines currently being developed may prove ineffective against mutation
> Public advised to be cautious and comply with standard operating procedure (SOP)
Social distancing
Observe self-hygiene
Wear a face mask
The Malaysian Institute for Medical Research, Malaysia Health Ministry, The Star Media Group, Kuala Lumpur
The structure of the SARS-CoV-2 virion
SARS-CoV-2 is a spherical, enveloped virus, with three structural proteins present in the lipid bilayer:
- spike glycoprotein
- membrane protein
- envelope protein
The nucleocapsid protein is associated with the membrane protein and is complexed with the viral RNA genome.
SARS-CoV-2 = severe acute respiratory syndrome coronavirus 2.
Poland GA, et al. Lancet 2020; Oct 13
A. Genomic organization of COVID-19: The COVID-19 genome contains 6–11 ORFs where the two-thirds of viral genome is contained in the first ORF (ORF1a/b), which codes for 2 polyproteins (pp1a and pp1ab) and 16 Nsps. The genome of COVID-19 is organized in the order of 5'-orf1/ab (replicase)-structural proteins (SG-SEP-MP-NCP)-3'.
B. Structural organization of COVID-19: COVID-19 exists in round, elliptic, and pleomorphic morphology with average diameter of 60 to 140 nm. The structural and accessory proteins including SG, SEP, NCP, and MP. *ORF*, Open reading frame; *Nsp*, non-structural protein; *SG*, spike glycoprotein; *SEP*, small envelope protein; *MP*, matrix protein; *NCP*, nucleocapsid protein.
Thankam FG, et al. JVCTS 2020; June 6
Pathology of COVID-19 infection.
SG mediates the attachment of COVID-19 to its receptor, ACE2, in the plasma membrane of alveolar cells. The binding is facilitated by the sheddases (ADAM metallopeptidase domain-17/CTSL/transmembrane protease/serine subfamily member 2), leading to the membrane fusion between COVID-19 and host cells.
The S1 subunit of SG is involved in the high-affinity binding of COVID-19 to the ACE2 receptor, whereas the S2 subunit facilitates the membrane fusion by harboring essential mediators. Following membrane fusion, the viral genome is released to the cytosol, where uncoated viral genome initiates the translation of pp1a and pp1ab.
The pp1a and pp1ab code for non-structural proteins required for the assembly of RTC in DMV. Immediately following the assembly, the RTC initiates the replication of viral RNA to synthesize a battery of sgRNAs encoding the structural and accessory proteins.
Finally, employing the host ER and Golgi machinery, the newly formed viral genome and proteins assemble to form VPBs. VPBs are virion containing vesicles that ultimately fuse with the host cell plasma membrane to release virus.
COVID-19, Coronavirus disease 2019; SG, spike glycoprotein; ACE2, angiotensin-converting enzyme 2; sgRNA, subgenomic RNA; RTC, replication transcription complex; DMV, double-membrane vesicle; ER, endoplasmic reticulum; VPB, viral particle buds; MP, matrix protein; SG, spike glycoprotein; NCP, nucleocapsid protein; SEP, small envelope protein; ERGIC, ER-Golgi intermediate compartment.
Life Cycle of Highly Pathogenic Human Coronaviruses (CoVs) and Specific Neutralizing Antibodies (nAbs) against These Coronaviruses.
(A) SARS-CoV-2 enters host cells by first binding to their respective cellular receptors [angiotensin-converting enzyme 2 (ACE2) for severe acute respiratory syndrome on the membranes of host cells expressing ACE2 (e.g., pneumocytes, enterocytes) or DPP4 (e.g., liver or lung cells including Huh-7, MRC-5, and Calu-3)] via the surface spike (S) protein, which mediates virus–cell membrane fusion and viral entry.
- Viral genomic RNA is released and translated into viral polymerase proteins.
- The negative-sense genomic RNA is synthesized and used as a template to form subgenomic or genomic positive-sense RNA.
- Viral RNA and nucleocapsid (N) structural protein are replicated, transcribed, or synthesized in the cytoplasm, whereas other viral structural proteins, including S, membrane (M), and envelope (E), are transcribed then translated in the endoplasmic reticulum (ER) and transported to the Golgi.
- The viral RNA–N complex and S, M, and E proteins are further assembled in the ER–Golgi intermediate compartment (ERGIC) to form a mature virion, then released from host cells.
(B) Potential targets of nAbs against SARS-CoV-2 and other pathogenic human CoVs.
(a) Human CoV receptor binding and membrane fusion process. The CoV first binds a viral receptor (ACE2 or DPP4) through the receptor-binding domain (RBD) in the S protein, followed by fusion of the virus with cell membranes via the formation of a six-helix bundle (6-HB) fusion core. NTD, N-terminal domain.
(b) Potential targets of nAbs on the S protein of human CoVs. Monoclonal antibody (mAb), antigen-binding fragment (Fab), single-chain variable region fragment (scFv) or single-domain antibody (nanobody (Nb)) or VHH derived from camelid heavy chain antibody (HcAb) binds to the RBD, S1 subunit (non-RBD, including NTD), or S2 of the viral S protein, blocking binding between the RBD and the respective receptor (for RBD-targeting nAbs), interfering with the conformational change of S (for S1-targeting nAbs), or hindering S2-mediated membrane fusion (for S2-targeting nAbs), leading to the inhibition of infection with pathogenic human CoVs in the host cells.
Jiang S, et al. Trends Immun 2020;41(5):355-9
Acute respiratory COVID-19
SARS-CoV-2 infection mainly results in pneumonia and upper/lower respiratory tract infection.
Fever and cough are two major clinical symptoms, but others include shortness of breath, muscle pain (myalgia), fatigue, confusion, headache, sore throat, and even acute respiratory distress syndrome, leading to respiratory or multi-organ failure.
For elderly people with underlying comorbidities such as diabetes, hypertension, or cardiovascular disease, SARS-CoV-2 infection may result in severe and fatal respiratory diseases.
The virus can be transmitted through respiratory droplets, or aerosolized form, or close contact with infected surfaces.
CDC. Scientific Brief. Updated 10/5/20 https://www.cdc.gov/coronavirus/2019-ncov/more/scientific-brief-sars-cov-2.html
Since early September, stronger clinical evidence has emerged to support the efficacy and safety of a small number of therapeutic interventions against SARS-CoV-2.
IDSA. Guidelines on the Treatment and Management of Patients with COVID-19. Updated 11/18/20. https://www.idsociety.org/practice-guideline/covid-19-guideline-treatment-and-management/
Inflammatory mediated COVID diseases
ARDS – adult respiratory distress syndrome
Vascular Thrombotic microangiopathy, due to cytokine storm
- Atypical disseminated intravascular coagulation
Cardiac injury
- thrombotic disease, pulmonary embolism, stroke, and peripheral arterial disease, endothelial dysfunction that affects small vessels – microangiopathy, cardiac injury of uncertain etiology
Neurological (other than anosmia, headache)
- encephalopathy, polyneuropathies
Pediatric multisystem inflammatory syndrome
Immune thrombocytopenia
The molecular associations of ACE2 signaling axis regarding CVDs are interconnected with the major sheddases (ADAM-17 and CTSL), TLRs, and NLRP3 inflammasome, contributing to the overall proinflammatory pool and subsequent cytokine burst leading to aggravated COVID-19–CVD comorbidity. Understanding the potential targets in these associations exhibits immense translational significance.
Thankam FG, et al. JTCVS 2020 https://doi.org/10.1016/j.jtcvs.2020.05.083
ACE2 signaling in CVD versus COVID-19 infection.
ACE2 proteolytically inactivates Ang I and Ang II and acts on Ang I to form Ang 1-9 peptide, which is the precursor of the vasodilator Ang 1-7. The binding of Ang II with type-1 receptors (AT1R and AT2R) initiates a series of biochemical events leading to vasoconstriction, oxidative stress, fibrosis, and retention of electrolytes.
In contrast, ACE2–Ang 1-7 axis via G-protein coupled protein receptor (Mas) acts as counter-regulator by promoting vasodilation, antioxidant responses, and antifibrotic reactions.
The decline of ACE2 expression following the progression of CVDs enhances the myocardial dysfunction and induces inflammatory burden.
The decreased ACE2 activity results in the activation of myocardial NADPH oxidase system, leading to superoxide-activated oxidative stress and hyperactivation of MMPs, which subsequently aggravate CVD pathology.
The COVID-19 SG increases the susceptibility of SG to undergo proteolytic cleavage by sheddases, including ADAM-17, CTSL, and TMPRSS2, which is essential for coronavirus entry to the host cells.
The shedding of ACE2 results in the suppression of downstream signaling, leading to increased Ang II level and subsequent aggravation of CVD pathology. sACE2 is associated with aggravated CVD pathology.
Ang, Angiotensin; ACE2, angiotensin-converting enzyme 2; COVID-19, coronavirus disease 2019; SG, spike glycoprotein; ADAM-17, ADAM metallopeptidase domain-17; CTSL, cysteine protease cathepsin L; TMPRSS2, transmembrane protease/serine subfamily member 2; MMP, matrix metalloproteinase; NADPH, nicotinamide adenine dinucleotide phosphate.
Proposed molecular mechanism underlying aggravated inflammatory response in COVID-19-CVD comorbidity.
The components of COVID-19, including the RNA and proteins, act as intracellular PAMPs, which are recognized by conventional pattern recognition receptors, especially TLRs, RIG-I-like receptors (RLRs), and NLRP3 inflammasome. The TLRs, including TLR3, TLR7, TLR8, and TLR9, detect viral genome in the endosomal vesicles. In addition, the viral genome in the cytosol are recognized by the cytosolic receptors including RIG-1 and MDAS. The binding of viral ligands with the receptors initiates the recruitment and assembly of adaptor proteins including TRIF, MAVS, and STING, which trigger the activation of the transcription factor NF-κB and IRF3 via MyD88 adapter. IRF3 triggers the expression of type I IFNs, whereas NF-κB stimulates the expression of a battery of proinflammatory cytokines leading to cytokine burst. IL-1β is generated by the proteolytic activation of pro–IL-1β by caspase-1 following the activation of NLRP3 inflammasome. The active NLRP3 inflammasome upregulates the transcription of pro–IL-1β gene and subsequent activation by caspase-1. The COVID-19 proteins including MP, SEP, and ORF3a activate NLRP3 via TRAF3 and subsequent IL-1β and ORF3a activate NF-κB and downstream cytokine burst. The apoptotic/necrotic cells following virus infection upregulate ADAM-17, the major sheddase for ACE2. IL-1β and TNF-α enhance the ACE2 shedding. The resultant sACE2 is a potent mediator for vascular inflammation and CVD pathology.
ADAM-17 activates atherosclerotic plaque rupture and vascular inflammation. ACE2 inhibits the DAMPs, including HMGB1 released from the infected and ischemic/necrotic cells due to membrane damage. The decreased levels of ACE2 lead to increased DAMPs, especially OxLDL, HMGB1, AGEs, and ROS. These mediators trigger NLRP3 inflammasome via TLR2, TLR4, RAGE, and/or TREM1 axes in cardiovascular system. The upregulation of such DAMPs in the ACE2-depleted environment is detrimental, resulting in aggravated COVID-19-CVD comorbidity. ADAM-17, ADAM metallopeptidase domain-17; OxLDL, oxidized low-density lipoprotein; AGEs, advanced glycation end products; HMGB1, high mobility group box 1; TLR, Toll-like receptor; ROS, reactive oxygen species; ACE2, angiotensin-converting enzyme 2; TNF-α, tumor necrosis factor-α; COVID-19, coronavirus disease 2019; TRIF, TIR-domain-containing adaptor protein including IFN-β; RIG-1, retinoic acid-inducible gene 1; MDAS, melanoma differentiation-associated gene 5; STING, stimulator of interferon genes protein; MP, matrix protein; MAV, mitochondrial antiviral-signaling protein; TRAF3, TNF receptor-associated factor; PAMPs, pathogen-associated molecular patterns; NF-κB, nuclear factor-κB; IRF3, interferon regulatory factor 3; ORF, open reading frame; SEP, small envelope protein; NLRP3, Nod-like receptor protein 3; IL, interleukin; IFN, interferon; CVD, cardiovascular disease.
IHME model led by Chris Murray projects an increase in cases as we progress to February, followed by a decline.
The light blue dotted line is the IHME projection on Aug 30, 2020.
How are you defining estimated infections versus confirmed infections, and how do you model them?
We define estimated infections as prevalent infections – that is, all cases that exist in a location on a given day, not just new ones. Confirmed infections are those infections that have been identified through testing.
For estimated infections, we start with death estimates, then work backward, using infection fatality ratios to estimate infections based on deaths. Confirmed infections are based on case data (see “Where does IHME obtain its data?”), averaged over the last three days to account for delays in reporting.
Worldometer
Daily New Cases in the United States https://www.worldometers.info/coronavirus/country/us/
Daily New Cases
Cases per Day
Data as of 0:00 GMT+0
Novel Coronavirus Daily Cases
Feb 15 Feb 29 Mar 14 Mar 28 Apr 11 Apr 25 May 09 May 23 Jun 06 Jun 20 Jul 04 Jul 18 Aug 01 Aug 15 Aug 29 Sep 12 Sep 26 Oct 10 Oct 24 Nov 07 Jan 01
- Solid line = Oct 21 projection
- Dotted line = Sept 20 projection
- Dashed line = prior projection Aug 20
Simple extrapolation of current decline in new cases
COVID-19 Tracker - STAT
United States
Total Cases: 11,573,758
First Case: 303 days ago
Recovered: 4,350,789
Deaths: 251,029
2 Week Average Change in New Cases: 73.1%
Average New Cases Yesterday: 141,697
Average New Cases 2 Weeks Ago: 81,866
2 Week Average Change in Deaths: 40.5%
Average Deaths Yesterday: 1,169
Average Deaths 2 Weeks Ago: 832
Simple extrapolation of current decline in new cases
Solid line = Oct 21 projection
Dotted line = Sep 20 projection
Dashed line = Aug 30 projection
National Forecast
https://www.cdc.gov/coronavirus/2019-ncov/covid-data/forecasting-us.html
CDC projection to mid-Dec, with extrapolation
Solid line = Oct 21 projection
Dotted line = Sep 20 projection
Dashed line = Aug 30 projection
Fighting COVID-19 disease & SARS-CoV-2
Prevention – Infection Control
• Face masks
• Physical distancing
• Wash hands
• Outside better than inside
• Quarantine 14d after exposure
• Isolate 10d after diagnosis
• Contact trace & test
• Vaccines
Diagnostics
• Rapid POC tests
• Antigen, isothermal PCR, other
• RT-PCR, CRISPr, others
• Culture
• Serology
• Chest Xray
• CT Scan
• other
Therapeutics
• Donor plasma
• Monoclonal antibodies
• Repurposed drugs (Remdesivir)
• Corticosteroids
• Anticoagulants
• New drugs
• Oxygen
• Positioning
• Ventilator
Bairi KE, et al. European J Cancer 2020;141:40-61
A Virion composition, genome organisation, and main enzymes
Main viral enzymes used as antiviral target
- Nsp16 (298aa) 2'-O-ribose-methyl-transferase
- Nsp13 (601aa) Helicase
- Nsp12 (932aa) RdRp
- Nsp5 (306aa) Mpro/3CLpro
- Nsp3 (1945aa) PLpro
RNA genome
Nucleocapsid protein (N)
Spike protein (S)
Envelope protein (E)
Membrane protein (M)
ORF1a
ORF1b
Spike (S)
3a E 7a 8 10 N Poly(A) tail
UTR
B Virus life cycle
Entry
Infection of new cells/spreading
Virus progeny
Activation of immune cells
Cytokine release up to a storm
Macrophages and other immune cells
Assembly and release
Synthesis of all viral proteins/polypeptides
Production of subgenomic mRNA
Proteolytic cleavage of polyprotein
Translation of ORF1a and 1b
Replicase complex
Uncoating
Amplification of genomic RNA synthesis
Virus factory
C
Targets for drug development
Entry inhibition:
- Arbidol
- Chloroquine/hydroxychloroquine
- Camifungin
- Convalescent plasma/immunoglobulins
Protease inhibitors:
- Lopinavir/ritonavir
- Niclosamide
- Darunavir
Inhibition of viral polymerase:
- Ribavirin
- Faviogiravir
- Remdesivir
Inhibition of translation and release:
- Interferon beta
Inhibition of cytokine storm consequences:
- Tocilizumab
- Sarilumab
- Brodalumab
- Baricitinib
Vaccine for individual protection
- Subunit vaccine
- DNA vaccine
- mRNA vaccine
Jiang S, et al. Trends Immun 2020;41(5):355-9
INCUBATION PERIOD
No signs & symptoms
Latent pre-infectious period
Presymptomatic infectious period
VIRAL SHEDDING HIGHEST
SYMPTOMATIC PERIOD
With signs & symptoms
Asymptomatic infected
Without symptoms or signs
INFECTIOUS PERIOD (symptomatic & pre-symptomatic)
PRE-SYMPTOMATIC BUT INFECTIOUS
Pre-symptomatic transmission:
infected person spreading infectious virus before developing signs and symptoms
Symptomatic transmission: transmission from a person while they are experiencing symptoms
Attribution: Dr. Melvin Sanicas, Zurich, Switzerland @Vaccinologist and TEDed https://ed.ted.com/search?q=Sanicas Modified by Dr. Jeff Andrews 19OCT2020
A
Duration of infection
Duration of infectiousness
Incubation period Symptoms Immunity?
Susceptibility
Serial interval: onset of symptoms of primary case – onset of symptoms secondary case
B
Contact rate x Probability of transmission per act x Duration of infectiousness
Reproduction number / Serial interval
Transmission rate
Reproduction number = $R_0$ or $R_{nought}$
Attribution: Counotte MJ, et al. PLOS Medicine
doi: https://doi.org/10.1371/journal.pmed.1002611.g001
Modified by Dr. Jeff Andrews 19OCT2020
What is the evidence regarding severity of disease and viral load?
Early reports, circa March 2020, suggested that milder disease was correlated with lower viral load and severe disease was correlated with higher viral load.
- However, the evidence of the relationship was limited by the poor quality of many of the studies, the retrospective nature of the studies, small sample sizes, and the potential problem of selection bias.
The more recent scientific study reports (August-October, 2020) indicate that there is not a statistically significant difference in viral loads between mild and severe disease.
Liu Y, et al. Lancet 2020;20(6):656-7
Heneghan C, et al. CEBM March 26, 2020
Zheng S, et al. BMJ 2020;369:m1443
Figure 2a. The distribution of Ct values corresponding to the 38 specimens that were positive by the Lyra assay (from specimens collected from participants, 0-7 DSO) following stratification by number of symptoms. Ct score distribution for specimens matched to 1 symptom is shown in blue while those matched to ≥2 symptoms are shown in orange; the pink color indicates blue/orange overlap.
Figure 2b. The mean Ct values (and standard deviation) are shown for the ≥2 symptom specimens (n=31; mean=22.10, standard deviation=5.63) and the 1 symptom specimens (n=7; mean=25.56, standard deviation=3.90). A two-sample t-test (2-tailed) analysis indicated non-significant difference between the means (p-value = 0.077; mean difference of 3.46; [95% CI: -0.43, 7.36]).
Figure 3a. The distribution of Ct values corresponding to the 38 specimens that were positive by the Lyra assay (from specimens collected from participants, 0-7 DSO). Plotted along the fitted distribution line are the 29 true positive Veritor results (orange circles) and the nine participant designations (letters superimposed onto blue circles), corresponding to those in Table 3, that represent the Veritor false negative results matched to Lyra assay Ct value.
Figure 3b. The mean Ct values (and standard deviation) are shown for the 29 true positive (20.76 and 4.21, respectively) and the 9 false negative (29.12 and 4.11, respectively) Veritor test results. A two-sample t-test (2-tailed) analysis indicated a significantly higher mean Lyra assay Ct value for specimens matched to the 9 Veritor test false negative results compared to those matched to the 29 true 542 positive results (p<0.001; mean difference of 8.36; [95% CI: 4.95, 11.77]).
What is the evidence regarding asymptomatic infection and viral load?
Early reports, circa March 2020, suggested that asymptomatic infected individuals had lower viral load than symptomatic patients
- However, the evidence was limited by very small sizes (1-4 asymptomatic individuals in study reports), the poor quality of many of the studies, the retrospective nature of the studies, and the potential problem of selection bias.
The more recent scientific study reports (July-October, 2020) indicate that there is not a statistically significant difference in viral loads between asymptomatic infected individuals and symptomatic patients
- The difference is that symptomatic patients have a day of onset or symptoms and that date may be used to associate with viral load changes over time, whereas asymptomatic individuals have no onset of symptoms day, and often are uncertain about the timing of exposure.
Current estimates about the proportion of population with asymptomatic infection, compared to symptomatic diagnosed with COVID-19
- CDC, USA – 40%
- South Korea, study of a congregate setting – 20%
Liu Y, et al. Lancet 2020;20(6):656-7
Heneghan C, et al. CEBM March 26, 2020
Zheng S, et al. BMJ 2020;369:m1443
Lee S, et al. JAMA Intern Med 2020; Aug 6
SARS-CoV-2 viral load and period of infectiousness
Cevik M et al, https://doi.org/10.1101/2020.07.25.20162107
Modified by Dr. Jeff Andrews 19OCT2020
Exposure
Day -2* Day 0 Day 5 Day 10** Day 21
Highly Infectious
Viral Load
IgM
IgG
PCR test continues to be positive in throat swabs
Average 13 days (max 83d)
Created by @mugecevik with Biorender
Symptom onset
Culturable virus*
*Individual-level differences are expected
** Patients with severe illness may shed infectious virus up to day 14
* Based on studies that cultured samples
Nasal swab antigen test
Likely negative Likely positive Likely negative
NP swab
Likely negative Likely positive Likely negative
RT-PCR test
Antibody test
Likely negative Likely positive
Figure 1A. The 38 RT-PCR assay positive specimens are plotted by Log10 copies/mL (y-axis) and are stratified by the SARS-CoV-2 live culture results (negative, n=10; positive, n=28). The median and inter-quartile range values, respectively, for the RT-PCR-positive/SARS-CoV-2 TMPRSS2 culture-negative were 4.21 and 1.37; the median and inter-quartile range values, respectively, for the RT-PCR-positive/SARS-CoV-2 TMPRSS2 culture negative were 7.39 and 1.66. The mean values for the SARS-CoV-2 TMPRSS2 culture-negative and SARS-CoV-2 TMPRSS2 assay-positive specimen groups were significantly different (4.01 versus 7.16, respectively; p-value <0.001 based on two-sample t-test [2-tailed]). Antigen test positive results are indicated as red data points (n=29) and the antigen test negative results (n=9) are indicated by the green data points.
Figure 1B. Probit models linking viral load to the probability of positive result of RT-PCR (Lyra), antigen test (Veritor), SARS-CoV-2 TMPRSS2 culture and SARS-CoV-2 VeroE6 culture (refer to Huang et al 2020).
Viral load levels at which there is a 5% chance of positive result: 1.6, 2.6, 4.5, and 5.75 log10 cp/ml for RT-PCR, antigen, SARS-CoV-2 TMPRSS2 culture, and SARS-CoV-2 VeroE6 culture, respectively.
Figure S2.
Relation of the RT-PCR Ct scores for the BD MAX assay, the RT-PCR assay, and the RT-PCR method used in Huang et al (2020) to viral load. Empirical equation for the RT-PCR assay $Ct = 42.69 - 3.14 \log_{10} \text{copies/mL}$. Empirical equation for the E target in Huang et al: $\log_{10} \text{copies/mL} = 12.377 - 0.052 \text{Ct} - 0.005 \text{Ct}$.
Diagnostics: viral RNA target
RT-PCR
- quantitative real-time RT-PCR (RT-qPCR) is one of the commonly used techniques for virus detection, which has high sensitivity, rapid detection, and other desirable characteristics.
Isothermic PCR
- reverse transcription loop-mediated isothermal amplification (RT-LAMP) performed in one step at 63°C isothermal conditions, and the results are obtained within 15–40 min, by targeting the ORF1ab, spike (S), envelope (E) or/and N gene of SARS-CoV-2
- RT-LAMP result can be evaluated using real-time turbidimeter, electrophoresis or fluorescent, which is faster and more convenient for clinical diagnosis of SARS-CoV-2
CRISPR
- Clustered regularly interspaced short palindromic repeats (CRISPR)-based diagnostic platforms have also been developed for point-of-care nucleic acid detection, such as SHERLOCK or DETECTR
- combines recombinase polymerase amplification with CRISPR-Cas enzymology for specific recognition of targeted DNA or RNA sequences
Li C, et al. Transbound Emerg Dis 2020 Jul;67(4):1485-1491
| Technology | real-time, basic | not real-time | with home collection | with screening claim | with pooling claim | with saliva specimen | with multi-analyte | total |
|--------------------|------------------|---------------|----------------------|----------------------|-------------------|---------------------|-------------------|-------|
| RT-PCR | 103 | 14 | 18 | 2 | 5 | 10 | 6 | 158 |
| isothermal/LAMP | 8 | | 2 | | | | | 10 |
| sequencing | 4 | | | | | | | 4 |
| CRISPER | 2 | | | | | | | 2 |
| TMA luminescence | 1 | | 2 | | 1 | | | 4 |
| other | 8 | | | | | | | 8 |
| **total tests** | | | | | | | | **186** |
| **home collection kit** | | | | | | | | |
| **saliva collection kit** | | | | | | | 1 | |
Source: [https://www.fda.gov/medical-devices/coronavirus-disease-2019-covid-19-emergency-use-authorizations-medical-devices/vitro-diagnostics-euas](https://www.fda.gov/medical-devices/coronavirus-disease-2019-covid-19-emergency-use-authorizations-medical-devices/vitro-diagnostics-euas)
Diagnostics: protein antigen target
Targets in the analyte:
- Nucleocapsid protein (N) (Quidel Sofia, BD Veritor, Abbott BinaxNOW, AccessBio CareStart, LumiraDx)
- Spike protein (S1) – no tests
Detection antibody
- Paired antibodies for the lateral flow immunoassay reaction on strip (EUA)
- Lateral flow immunofluorescent sandwich assay (Quidel Sofia and Sofia 2 (multianalyte))
- Chromatogenic digital immunoassay (BD Veritor)
- Lateral flow immunoassay, visual read (Abbott BinaxNOW, AccessBio CareStart)
- Microfluidic immunofluorescence assay (LumiraDx)
Control line
- IgG antibody, other
Specimen types for virus and antigen
Mixed results on RT-PCR sensitivity – larger sample size studies have shown statistically significant lower sensitivity for Nasal vs NP. Smaller studies did not find a difference in sensitivity. All studies found lower Ct values with NP compared to nasal.
Viral load is lower on nasal swab vs NP. RT-PCR is able to correct for this through amplification cycles and often yields positive concordance.
Indirectly, lower viral load likely means lower protein load and therefore the antigen test (unable to make up for low load by amplification) will likely have discordance between nasal and NP (negative nasal specimen and positive NP specimen).
Comparing a nasal swab antigen versus NP PCR increases the sensitivity bias in favor of the reference, thus decreasing antigen sensitivity.
Combining a nasal with a pharyngeal swab may achieve viral load concordance with NP.
Oropharyngeal swab yields inferior viral load and sensitivity, compared to NP.
Saliva yields inferior viral load and sensitivity compared to oropharyngeal swab.
For many studies, the swab type or transport media are not specified.
Péré H, et al. J Clin Microbiol. 2020;58(6):e00721-20.
Tu YP, Jet al. P medRxiv 2020.04.01.20050005
Berenger BM, et al. medRxiv 2020.05.05.20084889
Callahan C, et al. medRxiv 2020 Jun 14:2020.06.12.20128736
Pinninti S, et al. Clinical Infectious Diseases 2020, ciaa882, https://doi.org/10.1093/cid/ciaa882
Vlek ALM, et al. Eur J Clin Microbiol Infect Dis. doi: 10.1007/s10096-020-03972-y
Diagnostics: antibody serology tests
U.S. Food and Drug Administration (FDA) has authorized >35 antibody tests under Emergency Use Authorization (EUA)
◦ A number of these tests have been recalled due to changes in performance specification criteria.
ELISAs for detecting anti-trimer spike antibodies (IgG and IgA) and anti-nucleocapsid antibodies (IgG)
SARS-CoV-2 has four structural proteins, and among them the spike (S1) and the nucleocapsid (N) are considered the main immunogens and are widely used in immunoassays.
◦ The nucleocapsid is a protein with a small size that can easily be produced and purified in prokaryotic or eukaryotic hosts in vast quantities.
◦ anti-nucleocapsid antibodies appear earlier than the spike antibodies
◦ current commercial serology tests target anti-nucleocapsid antibodies
◦ current vaccine research serology tests target anti-spike antibodies
Specimen types and tests for antibody
specimen types: blood draw, finger prick, saliva
| Type of test | Time to result | Comment |
|--------------------------------------------------|----------------|-------------------------------------------------------------------------|
| Rapid diagnostic test (RDT) | <30 mins | Qualitative result, no info about whether antibodies are able to inhibit virus growth |
| Chemiluminescent immunoassay | <2 hours | Quantitative, no info about whether antibodies are able to inhibit virus growth |
| Enzyme-linked immunosorbent assay (ELISA) | <5 hours | Quantitative, no info about whether antibodies are able to inhibit virus growth |
| Neutralization assay | 3-5 days | The presence of active antibodies in patient serum that are able to inhibit virus growth *ex vivo*, in a cell culture system, but may miss antibodies to viral proteins that are not involved in replication. |
The 2x2 table of diagnostic statistics
| Diagnostic test outcome | Condition/disease |
|-------------------------|-------------------|
| | Positive/present | Negative/absent |
| Positive | True positive | False positive |
| | (Hit) | (Type I error) |
| Negative | False negative | True negative |
| | (Miss; Type II error) | |
- **Sensitivity**
- **Specificity**
Values do not change with prevalence
Values change with prevalence
False negative rate = 100% - Sensitivity
False positive rate = 100% - Specificity
Created by Dr. Jeff Andrews, Oct 21, 2020
The 2x2 table of diagnostic statistics
| Condition/disease | Positive/present | Negative/absent |
|-------------------|------------------|-----------------|
| Positive | True positive (Hit) | False positive (Type I error) |
| Negative | False negative (Miss; Type II error) | True negative |
Sensitivity: \( \text{True positive rate} = \frac{\text{True positives}}{\text{True positives + False negatives}} \)
Specificity: \( \text{True negative rate} = \frac{\text{True negatives}}{\text{True negatives + False positives}} \)
False negative rate: \( = 100\% - \text{Sensitivity} \)
False positive rate: \( = 100\% - \text{Specificity} \)
Values do not change with prevalence.
| Reference test | Positive | Negative |
|----------------|----------|----------|
| Positive | Positive Agreement | Putative False Positive |
| Negative | Putative False Negative | Negative Agreement |
Percent Positive Agreement: \( \frac{\text{Positive Agreement}}{\text{Positive Agreement} + \text{Putative False Positive}} \)
Percent Negative Agreement: \( \frac{\text{Negative Agreement}}{\text{Negative Agreement} + \text{Putative False Negative}} \)
Probability that person with positive index will also have positive reference test
Probability that person with negative index will also have negative reference test
Values change with prevalence.
Created by Dr. Jeff Andrews, Oct 21, 2020
Symptomatic patient enters with chance of COVID-19 of 30%
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Post-test probability = 99%
PPV = 98.6%
FPR = 0.5%
Odds Ratio = 3.3
Created by Dr. Jeff Andrews, Oct 21, 2020
Asymptomatic individual, known exposure to COVID-19, enters with chance of COVID-19 of 10%
Post-test probability = 95%
PPV = 95%
FPR = 0.5%
Odds ratio = 9.5
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Asymptomatic individual, no known exposure to COVID-19, enters with chance of COVID-19 of 1%
Post-test probability = 60%
PPV = 60%
FPR = 0.5%
Odds ratio = 60
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Asymptomatic individual, no known exposure to COVID-19, low prevalence community, enters with chance of COVID-19 of 0.1%
Post-test probability = 14%
PPV = 14.3%
FPR = 0.5%
Odds ratio = 140
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Symptomatic patient enters with chance of COVID-19 of 30%
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Post-test probability = 6.3%
NPV = 93.7%
FNR = 15.6%
Inverse odds ratio = 4.8
Created by Dr. Jeff Andrews, Oct 21, 2020
Asymptomatic individual, known exposure to COVID-19, enters with chance of COVID-19 of 10%
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Post-test probability = 1.7%
NPV = 98.3%
FNR = 15.6%
Inverse odds ratio = 5.9
Created by Dr. Jeff Andrews, Oct 21, 2020
Asymptomatic individual, no known exposure to COVID-19, enters with chance of COVID-19 of 1%
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Post-test probability = 0.2%
NPV = 99.8%
FNR = 15.6%
Inverse odds ratio = 5
Created by Dr. Jeff Andrews, Oct 21, 2020
Asymptomatic individual, no known exposure to COVID-19, low prevalence community, enters with chance of COVID-19 of 0.1%
Sn = 84.4%
Sp = 99.5%
LR+ = 169
LR- = 0.16
Post-test probability = 0.02%
NPV = 99.98%
FNR = 15.6%
Inverse odds ratio = 5
Created by Dr. Jeff Andrews, Oct 21, 2020
Symptomatic patient enters with chance of COVID-19 of 30%
Post-test probability = 99%
PPV = 98.6%
FPR = 0.5%
Interpretation: confirmation of COVID-19
Asymptomatic individual, known exposure to COVID-19, enters with chance of COVID-19 of 10%
Post-test probability = 95%
PPV = 95%
FPR = 0.5%
Interpretation: confirmation of COVID-19. After 222 tests, would have to repeat 19 tests to find 1 false positive.
Asymptomatic individual, no known exposure to COVID-19, enters with chance of COVID-19 of 1%
Post-test probability = 60%
PPV = 60%
FPR = 0.5%
Interpretation: probable COVID-19. Isolate. Follow-on with RT-PCR. After 400 tests, would have to repeat 5 tests to find 3 true positives.
Created by Dr. Jeff Andrews, Oct 21, 2020
Asymptomatic individual, no known exposure to COVID-19, low prevalence community, enters with chance of COVID-19 of 0.1%
Post-test probability = 14%
PPV = 14.3%
FPR = 0.5%
Interpretation: possible COVID-19. Isolate. Follow-on with RT-PCR. After 1200 tests, would have to repeat 7 tests to find 1 true positive.
Created by Dr. Jeff Andrews, Oct 21, 2020
Symptomatic patient enters with chance of COVID-19 of 30%
Interpretation: possible COVID-19. Quarantine away from others. Follow-on with RT-PCR. Have to repeat 16 tests to find 1 false negative.
Post-test probability = 6.3%
NPV = 93.7%
FNR = 15.6%
Asymptomatic individual, known exposure to COVID-19, enters with chance of COVID-19 of 10%
Interpretation: Unlikely COVID-19. Continue working, with infection control precautions. In high-risk setting, may need to quarantine. Would have to repeat 60 tests to find 1 false negative.
Take note of time since exposure. May need to repeat test within 48-72 hours to cover early incubation period.
Post-test probability = 1.7%
NPV = 98.3%
FNR = 15.6%
Asymptomatic individual, no known exposure to COVID-19, enters with chance of COVID-19 of 1%
Interpretation: Rules out COVID-19. Normal activity. Would have to repeat 500 tests to find 1 false negative.
Post-test probability = 0.2%
NPV = 99.8%
FNR = 15.6%
Asymptomatic individual, no known exposure to COVID-19, low prevalence community, enters with chance of COVID-19 of 0.1%
Interpretation: Rules out COVID-19. Normal activity. Would have to repeat 5000 tests to find 1 false negative.
Post-test probability = 0.02%
NPV = 99.98%
FNR = 15.6%
CDC reports November 20 that seasonal influenza activity in the USA remains low.
Past daily new cases of influenza in USA ranged 6-14/100,000 during peak days.
The peak number of daily new cases of influenza in the USA during last season was lower than the daily new cases of coronavirus in the USA today.
Mask-wearing will decrease the overall incidence of influenza this season.
Healthcare provider outpatient visits related to influenza are 50% of 2019 baseline.
In this season, the clinicians will not be able to determine if symptoms of flu are due to influenza, COVID-19, or some other diagnosis.
Therefore, they will want to use rapid multi-analyte tests for symptomatic patients, if available.
If there are test kits shortages, for adults, they will prefer SARS-CoV-2 first (due to higher mortality), and then reflex to Influenza if SARS-CoV-2 negative.
If there are test kits shortages, for young children, they will prefer influenza first (due to higher mortality), and then reflex to SARS-CoV-2 if influenza negative.
https://www.cdc.gov/flu/weekly/index.htm
Vaccine prioritization
Vaccine administration might begin in Dec-Jan with general population vaccination beginning after Mar-Apr.
ADM Giroir said priorities for vaccine will be:
- Healthcare workers
- Nursing home staff and residents
- First responders
- Vulnerable older populations and those with pre-existing conditions
- Teachers
These priorities target a reduction in deaths (not new cases).
Since the individuals who are currently spreading disease are not priority targets of vaccination, the new case rate will not be impacted until months after the general population is vaccinated (at earliest).
Test ordering for SARS-CoV-2 likely to remain very strong for at least 12 more months (due to sustained new case rates) and probably for several years
Vaccine impact on need for testing unlikely to be notable prior to October 2021 (given the vaccination timeline of CDC & ADM Giroir & need for 2 doses & unknown effectiveness or duration of effect)
Interest in multi-viral tests likely to be moderately-strong throughout the traditional flu season, and likely to repeat in 2021-2022 season and beyond
COVID-19 is here to stay, and the future depends on a lot of unknowns, including whether people develop lasting immunity to the virus, whether seasonality affects its spread, and — perhaps most importantly — the choices made by governments and individuals.
To end the pandemic, the virus must either be eliminated worldwide — which most scientists agree is near-impossible because of how widespread it has become — or people must build up sufficient immunity through infections or a vaccine. It is estimated that 55–80% of a population must be immune for this to happen, depending on the country.
Thank You!
|
2019 JGSSN Board of Directors
Mary Barkan
President
Michael Brenner
Vice President
Joanne Greene
Treasurer
Beverly Weinberg
Director
Joan Nazer
Secretary
Cheryl Shapiro
Director
Art Goldberger
Director
Davida Handler
Director
Michael Kantar
Immediate Past President
I was born in Dublin, Ireland. My husband Jim Handler was born in Waterloo, Iowa. We met while I was visiting relatives in New York – where Jim was in his final year of Law School at Columbia University. We were married in Dublin in the same synagogue where my parents married and will celebrate our 60th wedding anniversary March 1, 2019. We lived in Cedar Rapids, Iowa before moving to Henderson, Nevada in 2002. We have 3 sons, 5 grandsons, and 3 granddaughters.
When did you join JGSSN?
In 2002, when Jim and I moved to Henderson, Nevada from Cedar Rapids, Iowa. I worked with Michael Brenner and his committee when the JGSSN hosted the International Jewish Genealogical Conference in Las Vegas in 2005. Due to personal commitments, we were unable to participate between 2010 and 2015, but resumed our activities in 2016. We attended most meetings that year, and I joined the Board in 2019.
How has being a JGSSN member helped you with your genealogy?
Interacting with other members – hearing fantastic speakers – and widening my scope of exploration of other sources
Do you use a genealogy program? If so, what program?
Family Tree Maker (currently 2017.) I have tried others, but I have found that this is the most comprehensive and easiest to use and teach to others. I especially love their FREE online help, where you can chat in “real time” with one of their experts and get an emailed transcript of the conversation. I have never yet presented a problem that they could not solve.
What is your favorite genealogy website
As both Jim and I are descendants of Eastern European Jews, JewishGen is the winner, allowing us to search the following Jewish records free to the public:
The JewishGen Unified Database Search – which includes more than 26 million records contains:
8 million records from the Family Tree of the Jewish People;
5 million records from Jewish Records Indexing - Poland; and
13 million historical records from 750+ datasets created by JewishGen, JRI-Poland, close to 3 million Jewish historical records from LitvakSIG, and millions from worldwide countries, whether your ancestry is Ashkenazic, Sephardic, or from any other origin.
What genealogy website do you think is overlooked?
If you are looking for American records, there are a variety of official records such as Vital, Census, Immigration, Ellis Island, Newspaper Archives, Burial Records, Obituaries, Arrest Records, Property Transfers, and so many more. Most are available to search freely at your Public Library. You can also search for Business Information on sites such as LinkedIn.
What surnames are in your genealogy?
My 4 grandparents were Noyek, Price, Lepler, and Pasick (Psycc/Levin). Jim’s were Handler, Green (Grussglind), Fromson, and Robinson (Rabinowitz). Depending where their countries of origin and where they emigrated to, these names were sometimes spelled differently, so a “sound like” search is best to start with rather than an “exact match.” All genealogical sites will permit these and other helpful hints on searching.
What was your most surprising genealogical find?
That some branches of my family who spelled their names differently were nevertheless close relatives.
What was your most memorable genealogical success?
The emotions created as I instigated the first Noyek family reunion which was held in 1994 since most of the families had dispersed from the Pale of Settlement more than 150 years earlier—and bringing 175 people from 7 different countries together—many of them hearing about and discovering long-lost relatives for the first time. A large number of us still stay in touch.
Also, the founding of LitvakSIG in 1997—which now has several thousands of members and is growing daily.
What was your toughest genealogical problem?
In several cases, getting to convince new relatives that my quest was indeed “kosher” and that we really were each other’s family. A few people probably thought I was operating a “scam” to collect money from them. Fortunately, I had done enough research for them to realize that I was sincere, and that I knew enough about the family history to be able to answer questions to their satisfaction.
What relative helped you the most and how?
My late cousin, Arnold Noyek, who worked with me tirelessly, made lots of calls, and acted as the “Master of Ceremonies” during the 3-day weekend of our reunion.
What is your favorite family heirloom and why?
My late parents were both amateur tennis champions in Dublin, Ireland, and I cherish some of the silver cups that they won. (My sister has some of the other memorabilia.) We also have many old family photos, plus the Menorah that Jim’s grandmother brought with her from Ukraine, and the silver Torah Crown that Jim’s grandfather donated to the Synagogue in Oskaloosa, Iowa in 1918 following the death of his youngest sister.
What is your favorite family photo and why?
My maternal great-grandparents Zalman and Sarah Pasick. This photo was taken about 1900 in Lievenhof (now Livani), Latvia. Zalman was shot, and Sarah was raped and shot during a pogrom in or around 1902.
1931 Nathan Lepler, unknown female, Morrie Noyek, Lil Lepler Noyek
My father Morrie Noyel and his brother Isadore Isaac Noyek with lace collars and side curls in 1912
From the Jewishgen Discussion Group
New guide to the New York Public Library's Yizkor Book collection
Fri, 22 Feb 2019
The New York Public Library has created a new guide to its collection of 700 books, 80% of which were digitized in partnership with the Yiddish Book Center.
The new LibGuide, at https://libguides.nypl.org/yizkorbooks, includes information for all of those yizkor books, including links to the digitized titles. The guide also links to JewishGen's translations, though not directly from the alphabetical listing of books in its own collection.
In addition, the guide highlights other pages of the JewishGen Yizkor Book Project (e.g. its database and necrology) and Logan Kleinwaks's GenealogyIndexer, and it provides background information on yizkor books and the Jewish communities they describe.
From Mary Barkan
This photo was taken in the late 1970s in Las Vegas, Nevada. It shows my husband Barry Barkan (1944-2012) conducting the Sunset Orchestra, the student performance orchestra of the Clark County School District. Barry received his doctorate in cello and conducting from the University of Arizona. Accepting the position of String Supervisor for the school district brought us to Las Vegas. Barry also played in orchestras in the showrooms on the Las Vegas Strip. He was a member of the American Federation of Musicians, Local 369. He conducted musicals for performing groups, played in string quartets, played with pick up groups of performers and local musicians between shows, conducted for a music camp on Mt Charleston, performed with the Nevada Chamber Symphony and gave private cello lessons.
From Davida Handler
The Handler Quartet. Davida at the piano with her three sons.
From Carole Montello
This is my great aunt, Rebecca Pfeffer. She was the first of my maternal grandmother’s family to be born in the U.S. My great grandfather, William Pfeffer insisted that all of his children graduate school. This picture was taken in 1906 when Aunt Bess (as she was known) graduated from Battin High School, in Elizabeth, NJ., the same school from which all of the family, including my mother and I graduated.
I dug up a photo of my college graduation from Stony Brook University. The only significance of this is that I went back to college when I was 40 when my son started college and received an Associate degree from Suffolk Community College. From there I continued with my education to receive a BA degree and graduated when I turned 50.
I probably would not have gone to my graduation but my daughter and son insisted because my husband (their father) was receiving his second Masters degree at the same time, same university.
From Joan Nazer
One Of My Fondest Teaching Memories
As a female growing up in a Jewish household in the early 1960s, there was very little discussion about “what do you want to be when you grow up?” If you were a woman, your future occupation was already predetermined. The only choice for you to make was whether you would teach elementary school or high school. In my family, (as in most Jewish families), there was much importance placed on education since most Jews from Eastern Europe were deprived of educational advancement. If someone were to ask my Grandfather what his greatest accomplishment was, he would smile and proudly say “All my Grandchildren are college graduates.”
As predicted, I went on to become a history teacher in New York City. The area had many problems, but the training I received was invaluable. Once my children were in school, I returned to teaching in a wonderful high school on the south shore of Long Island. I was fortunate to develop and teach the Honor’s Program in World History for almost 20 years.
Over the years I taught many gifted students, but one young man stands out as exceptional. His name was Rob. He was a conscientious student with an inquiring mind who loved history, but had one other love as well. Looking at the accompanying photo you could probably guess what his second love was. We built a strong rapport the year he was my student and all through his high school career.
Our roles became reversed when he became the teacher and I became the student. He taught me about the game of basketball, which were the best college teams, and who the best players were. In short, I became a “basketball junkie.” I followed Rob’s college career as captain of the basketball team at Rutgers University with pride. Whenever we could, we went to watch him play and there were always tickets waiting for us.
Fast forward to the present. Every year when I return to New York to visit my family, I always return to the High School where I taught for 20 years. I have the pleasure of visiting Rob who is now a history teacher and the school’s basketball coach.
Was teaching a worthwhile profession? YOU BET!
The IAJGS Board Welcomes New Organizations
On behalf of the IAJGS Board and our current membership, it is with great pleasure that we welcome the Sociedade Genealógica Judaica de São Paulo (Jewish Genealogy Society of São Paulo) as the newest member of our growing family of IAJGS organizations. For more information about the Brazilian group, please see their Facebook page at www.jgssp.org or contact Richard Strimber at firstname.lastname@example.org.
The group’s next meeting will be a “hands-on workshop” on February 21st between 7:00 PM and 10:00 PM at the Jewish Brazilian Historical Archive (AHJB), part of the future Jewish Museum in São Paulo. Please see https://www.facebook.com/events/340698570108521/ for more information on the workshop and to make reservations. (Due to the nature of this workshop, attendance will be held to 25 people.) The following meeting, scheduled for the 3rd week in May, will feature a prominent speaker on the topic of DNA.
We also welcome the Miami Valley Jewish Genealogical and Historical Society. For more information about the Dayton, Ohio group, please see contact Marshall Weiss at email@example.com.
The group is working on their program schedule for the current year and will publicize it when it is complete. The Miami Valley Jewish Genealogical and Historical Society is associated with the Jewish Federation of Dayton (Ohio) and plans on meeting at the Federation’s location, 525 Versailles Drive, Dayton, OH as well as other sites in the Dayton area.
There will be no JGSSN meeting in April.
Carole Montello and Joan Nazer received Certificates of Appreciation from the JGSSN Board of Directors for their work on the 2018 Nominating Committee.
The JGSSN Board of Directors presented Certificates of Appreciation to outgoing board members David Ungar and Marilyn Brenner.
Jewish Genealogy Research Gems
overview of online sites that provide additional areas of research, picked by our panel.
**Landsmanshaftn** - *Landsmanshaft* definition is - a Jewish association of landsleit (people from the same town or region) organized especially for social and philanthropic purposes.
One way Jews who moved to the US found help in their adopted country was to join Landsmanshaft organizations, which included other immigrants from the same towns or regions in Europe, and helped the immigrants adapt to their new country – and also frequently bought cemetery sections and sold plots to their members. Post WWII, many of these organizations published Yizkor Books, as memorials to their destroyed towns.
**Speaker- Davita Handler**
**JewishGen Viewmate** - Jewish Genealogy site for helping in the translation and identification of genealogy related documents, photos and artifacts
ViewMate allows JewishGen participants to post photographs and documents online, and request help in translating or identifying information.
Here you can submit:
Photos: for identification of people, clothing, buildings, scenes, objects, artifacts, etc.
Letters, documents, book pages, maps, etc. for analysis or translation.
**Speaker- David Ungar**
**Genealogical Indexer** – A free searchable database of historical business directories, telephone directories, address directories, membership lists, etc., mainly from pre-WWII Central and Eastern Europe.
1,832,000 pages of 3,157 historical directories
148,000 pages of 326 Yizkor books
32,000 pages of military lists
24,000 pages of school sources
**Speaker – Michael Brenner**
In 1996, Carole Montello founded the Jewish Genealogy Society of Southern Nevada. To become a member of the International Association of Jewish Genealogy Societies, she had a lot of organizing to do. Along with her many tasks, Carole needed to start a newsletter for the new society. I was enlisted to be the first editor, and in the summer of 1998 the first issue was printed.
From the start, Carole envisioned a newsletter about members and their research discoveries, problems, and failures. She named the newsletter *Family Legacies* and encouraged members to contribute articles and photographs. The first year saw 3 issues and contributions from many members.
Few of the original JGSSN members were born in Las Vegas. *Family Legacies* tried to have articles of general interest and research tips for specific regions of the United States and areas of the world. I realized that JGSSN should share our stories and research help with other genealogical groups. To that end we began sending issues of *Family Legacies* to other IAJGS member societies. We also sent issues to Avotaynu, the journal of Jewish Genealogy where an abstract of our issues were included in their issues.
Our next step was to share with the wider world of genealogy. We began sending issues once a year to the Family History Library in Salt Lake City. Once listed in their card catalogue, researchers could read *Family Legacies* at that library.
We continued to make back issues of *Family Legacies* available to genealogists. We began by indexing surnames and article titles from every issue. We used a program called Access to create our databases. JGSSN members could consult the databases but we hoped for a larger reach.
I began sending a year of issues to PERSI (the Periodical Source Index) at the Allen County Public Library in Fort Wayne, Indiana. This library indexed genealogy journals, newsletters, family and surname society newsletters, etc., to generate a database available to researchers worldwide. I had used PERSI when doing research in Salt Lake City. I had ordered copies of articles from them.
Soon, if you lived in Las Vegas, were born in Chicago, had ancestors from Starokonstantinov, Ukraine, and you had contributed an article containing that information to *Family Legacies*, PERSI would have indexed the information you provided and researchers from everywhere could use PERSI to obtain a copy of your article. Researchers could find you and reach out to share family information.
Carole and I were delighted with the JGSSN PERSI connection. If you entered the surname Barkan into PERSI you would find:
**Article Title** Barry Barkan Memories, 20th C., Ny, Va
**Periodical Title** Family Legacies
**Year** 1998
**Article Title** Barkan Fam., Passover, 1977 contd., Las Vegas, Nv
**Periodical Title** Family Legacies
**Year** 2000
**Article Title** Barry Barkan Obituary, 1944-2012, Nm, Az, Nv
**Periodical Title** Family Legacies
**Year** 2012
Articles could lead researchers interested in the Barkan surname to sources in Las Vegas, Nevada. The Allen County Public Library also had copies of *Family Legacies* bound and stored on their shelves.
In 2007 *Family Legacies* had a new editor, Shelly Weiner. In 2015, I became editor again. The newsletter was still focused on members and their research questions, solutions, and stories. In late 2018 Kathy Burd from the Allen County Public Library contacted me. The Library was missing some issues of *Family Legacies* which they would like to include in PERSI. Could JGSSN fill in the blanks?
I had some back issues on my computer and there were some issues on the JGSSN website. David Ungar volunteered to gather a complete run through the end of 2018 and put them into PDFs.
Soon we were able to send missing issues and current issues through the end of 2018 to PERSI. PERSI is indexing the issues. Going forward, PERSI will receive a digital copy of each issue of *Family Legacies* as it is distributed to JGSSN members.
You can search PERSI for free at https://findmypast.com/search/periodical-source-index.
Contribute to *Family Legacies* and your information will be available to researchers around the world.
Internet Site Has List of Cantors Who Were Holocaust Victims
Marilyn Robinson’s blog, *Jewish Gem’s Genealogy: Mining for Your Elusive Ancestors*, notes there is an internet site which identifies 1,459 cantors who perished in the Holocaust. It is located at https://geoffreyshisler.com/yizkor/.
Other Family Trees Are Not a Valid Source
One of the major sources of information about your families’ heritage is other people’s family trees. Each week I am presented with the results of MyHeritage’s Smart Matching, which matches people on my family tree against other family trees on MyHeritage and Geni (Geni is now owned by MyHeritage). I have used these matches to fill in missing data such as birth, marriage and death information and for validating the information already on my tree.
*Family History Daily* has published an essay on the validity of other family trees as a source of information. One of their major concerns is that people, in copying the information, do not question the sources of the other family tree. Furthermore, the essay argues that the true source of your information is not the other tree, but the sources cited on the other family tree.
It can be dangerous to assume that a match provided by MyHeritage validates your own information without checking the source of the other tree’s data. One reason is that the other tree’s source may be your very own tree. If your information is inaccurate, it has the effect of perpetuating the error. When a third party receives a Smart Match showing that your tree and that of the second party contain identical information, there is a tendency to assume the information is accurate because it seems to come from two sources when it actually comes from a single source.
The *Family History Daily* article can be found at: https://familyhistorydaily.com/genealogy-help-and-how-to/family-tree-not-valid-source/.
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Past issues of *Nu? What’s New?* are archived at http://www.avotaynu.com/nu.htm
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Jewish Genealogy Society of Southern Nevada, Inc.
2019 Board Members
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JGSSN 2019 Meeting Calendar
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*Family Legacies*, the newsletter of the Jewish Genealogy Society of Southern Nevada, Inc., is published four times each year. Please direct your comments, suggestions and/or contributions to firstname.lastname@example.org.
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Reprinting is by permission only
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Mitigation of a Loss of Coolant Accident in ITER Vacuum Vessel by Means of Steam Pressure Suppression
Alessio Pesetti\textsuperscript{1}, Guglielmo Giambartolomei\textsuperscript{1}, Rosa Lo Frano\textsuperscript{1}, Roberta Lazzeri\textsuperscript{1}, Biswanath Sarkar\textsuperscript{2}, Marco Olcese\textsuperscript{2}, Donato Aquaro\textsuperscript{1*}
\textsuperscript{1} DICI-University of Pisa, Ig L. Lazzarino, Pisa, Italy
\textsuperscript{2} ITER Organization St Paul Lez Durance Cedex, France
Corresponding Author Email: email@example.com
https://doi.org/10.18280/ti-ijes.632-416
Received: 16 February 2019
Accepted: 3 May 2019
Keywords:
nuclear fusion reactor, ITER, direct steam condensation, CFD
ABSTRACT
A Loss of Coolant Accident (called ICE cat. IV) is postulated to occur in the ITER Vacuum Vessel due to a rupture of a shielding blanket cooling piping. The mitigation of this accident is realized by means of a Pressure Suppression System, constituted by 4 Tanks of 100 m$^3$ of volume each.
The Pressure Suppression Tanks (PSTs) system operates at sub-atmospheric pressure. No experimental results of steam condensation at sub atmospheric pressure conditions have been found in the technical literature.
Therefore, both analytical-numerical analyses and experimental tests were carried out at the University of Pisa on a 1:22 scale apparatus, simulating the PST.
Scaling studies were performed in order to calculate the effectiveness and functional performance of PST, simulating in the reduced scale apparatus the transient of steam mass flow rate occurring during the ICE IV event. The accidental scenarios have been determined considering the results of previous thermal hydraulic studies performed at ITER.
Subsequently, a quite extensive experimental campaign has been carried out on the reduced scale apparatus in order to study the influence of the main thermal hydraulic parameters that characterize the steam condensation efficiency in sub-atmospheric conditions.
This paper illustrates the results of analytical and numerical analyses simulating the PST behaviour during the transient of steam mass flow rate due to the Ingress of Coolant Event. The transient has been simulated experimentally applying the elaborated scale laws. The designed tanks of the PST have matched the safety goal to reduce the system pressurization condensing the injected steam at sub-atmospheric pressure.
1. INTRODUCTION
The Loss of Coolant Accident (LOCA) scenario is one of the most challenging accident sequence for the ITER safety because it may lead to a pressurization of the Vacuum Vessel (VV) due to the sudden formation of steam and non-condensable gases (Hydrogen and Oxygen) [1-3]. In such an event, the steam is discharged at a high or low rate, according to the postulated event conditions [4-6], into the Vacuum Vessel Pressure Suppression System (VVPSS).
The VVPSS is located in the Drain Tank Room (DTR), as shown in Figure 1. The VVPSS is designed to protect the VV from over pressurization caused by accidental conditions. It is made of four vapour suppression tanks (VSTs) (see Figure 2). In particular, an Inlet Coolant Event (ICE) is assumed as an accidental scenario.
VVPSS behaves, in principle, similarly to a containment of boiling water reactor even if it differentiates because it operates at sub-atmospheric pressure [1, 4, 7-8]. This peculiarity makes innovative and almost unique this investigation of the steam direct condensation at sub-atmospheric pressure.
The main components of VVPSS are the four Vapor Suppression Tanks (VSTs) having a height of 4.7 m, diameter of 6.3 m and overall inner volume of 100 m$^3$ each. They are partially filled with water in order to condense directly the steam and thus to dump the pressure. Each tank contains a single vertical sparger tube to discharge the steam and the non-condensable gases.
Figure 1. Location of the four VSTs in the tokamak cooling water system
The design configuration for the VSTs is shown in Figure 2. One tank, Small LOCA Tank (SLT), is used to manage small LOCAs and Loss of Vacuum Accidents (LOVAs). This tank contains $40 \text{ m}^3$ of water. The other three Tanks, Large LOCA Tanks (LLTs), contains $60 \text{ m}^3$ of water and are used to manage higher category events.
### 2. DESCRIPTION OF THE EXPERIMENTAL RIG
As previously mentioned, the VVPSS needs of experimental assessment since tests at its operating conditions are not available in the technical literature. Therefore, a research program with a “small-scale” experimental rig (about 1:22 reduced scale) has been carried out at DICI-University of Pisa, performing about 400 tests.
The experimental facility with its main components is shown in Figure 3. A more detailed description of the facility is given in [1-2]. The steam is injected inside the condensation tank through a removable single or multiple-holed (with 1 to 18 holes) sparger system.
With the ‘small scale’ experimental rig the main steam condensation regimes have been deeply investigated. A ‘Large Scale’ experimental rig (geometrical scale 1/1.08 and steam mass flow rate scale 1/10) is under construction at the University of Pisa, whose 3D rendering is shown in Figure 4. The main components are the Experimental Test Tank (ETT) of $92 \text{ m}^3$ of volume and the electric steam generator of 1.5 MWe of power.
#### 2.1 Similitude analysis
A similitude analysis has been elaborated and the scaling laws have been applied for simulating accidental scenarios which could occur in the Vacuum Vessel of ITER.
Obviously, the main parameter of steam direct condensation is the volume of the tank and the quantity of water contained in it.
From the experimental tests, we have deduced that the condensation regimes depend mainly on:
- the steam mass flux per unit area of holes $G_s = q_s / A$ (kg/sm$^2$), being $q_s$ (kg/s) the steam mass flow per hole, $A$ (m$^2$) the hole area;
- the downstream pressure $P_w$ (in front of the hole);
- the water temperature, $T_w$.
The selected geometric scaling factor ($S$) is dependent on the ratio between the actual volume of the condensation tank ($V_{act}$) and the volume of the scaled tank ($V_{scal}$), that is $S = V_{act}/V_{scal}$.
Furthermore, the ratio between water volume to vacuum volume has to be equal to $S$ in order to have the same physical mechanism of steam direct condensation in full scale and in the reduced scale condensation tank.
The steam mass flow rate per hole, downstream pressure (in front of the hole) and water temperature have to be the same in the full-scale and reduced scale tank.
Since in the real transient conditions, the steam condensation has a relatively slow dynamic process evolution, it can be considered a sequence of steady state conditions and, in consideration of that, the time dependency could be neglected at first approximation. Thus, we can obtain similar condensation regimes, in the full-scale as well as in the reduced scale system, if:
- the steam mass is scaled: $M_s/S$ (being $M_s$ the actual steam mass of the transient, $S$ the volume scale factor);
- the steam mass flow rate per hole, $q_s$, is the same;
- the time is amplified of the factor: $K=(N_s/N_s)/S$ (being $N_s$: hole number of actual sparger; $N_s$: hole number of the scale sparger);
- the water head, $H_w$ is equal.
At scaled time, the average water temperature, $T_w$, and the pressure, $P_w$, are the same in the full-scale as well as in the reduced scale system.
The experimental tests have permitted to identify six main condensation regimes (CR) (based on the video recorded during the tests) which are the following:
- Chugging (C)
- Transitional Chugging (TC)
- Bubbling Condensation Oscillation (BCO)
- Condensation Oscillation (CO)
- Interfacial Oscillation Condensation (IOC)
- Stable Condensation (SC)
Figures 5 and 6 illustrate the shape of the steam jet obtained in the experimental tests at the different conditions. The experimental results of the water average temperature, $T_w$ and of the downstream pressure $P_w$, permitted to determine a CR map (Figure 7), which defines the condensation zones in terms of the water average temperature versus the $G_s/P_w$ ratio [4].
The stable condensation at sub-atmospheric pressure is reached for a steam mass flow rate per unit of area, $G_s$, about ten times smaller than that correspondent at atmospheric pressure.
**Figure 5.** CRs: Stable Condensation (SC), Oscillation Condensation (OC) and Interfacial Oscillation (IO)
**Figure 6.** Condensation regimes: Transitional Chugging (TC), Bubbling Oscillation Condensation (BOC) and Chugging (C)
**Figure 7.** Experimental condensation regimes map
### 3. CFD SIMULATIONS OF STEAM DIRECT CONDENSATION
ANSYS FLUENT code [10] was used for investigating the two different steam Direct Contact Condensation (DCC) transient scenarios (A and B) at sub-atmospheric conditions.
The trend of LOCA accident (ICE cat. IV) is plotted in Figure 8. The maximum steam mass flow rate managed in each LLT is about 4 kg/s. The performed CFD simulations aim to verify the behavior of the ‘Large Scale’ tank at the maximum steam flux (that is in Stable Condensation regime) and at the minimum one (in the Chugging regime).
The peak of mass flow rate is maximized at a constant value of 5 kg/s for a transient of 500 s, while the minimum value is fixed at 0.5 kg/s for about 3000 s.
The transients have been simulated for both the ITER-LLT and the ETT and the CFD analyses were carried out also in order to assess the elaborated scaling laws. In both these analyses, FLUENT 2D axisymmetric model was selected for reducing calculation time. In order to simulate water liquid pool and cover gas domains, the multiphase model Volume of Fluid (VOF) was adopted.
The latent heat released during the steam condensation was simulated by means of energy source (W/m$^3$) positioned in front of the injection holes (condensation region). To take into account buoyancy phenomena in the liquid phase, a liquid density function of temperature between 0 and 98 °C was implemented.
The first scenario (A) was characterized by high superheated steam mass flow rate, 5 kg/s, at 130 °C injected horizontally into saturated water pool at 30 °C, through 1000 holes of 10 mm of diameter, arranged on 20 circumferential levels with 50 holes each (first row at a depth of about 1.3 m).
FLUENT models of both LLT (100 m$^3$) and ETT (92 m$^3$) geometrical configurations are shown in Figure 9 and 10, respectively.
Red dashed-dot line is the vertical axis of symmetry of the tank and the five light blue arrows highlights the corresponding five circumferential openings having the equivalent flowing area of 1000 holes.
In the second analysed scenario (B), about 0.5 kg/s of steam at 130 °C was condensed into the ETT saturated water pool at 50 °C. Two numerical models B.1, B.2 were developed which differ for the simulation of the energy zone, that is, the area of the model where it is assumed that the latent heat of condensation is released:
- Model B.1, 1000 holes merged in five openings of equal area; the heat source is released in 5 annular zones having 10.94 mm of height and radial width of L= 10 mm.
- Model B.2, 100 holes merged in one injection opening with a close annular heat source having 5.47 mm of height and radial width of L=10 mm.
The upper part of ETT (top head beyond the dashed line) was not simulated in order to reduce calculation time.
The two different boundary conditions of the models B considered that a steam mass flow rate of 0.5 kg/s is distributed uniformly on 1000 holes determining a Chugging regime. This is the assumption of model B.1.
Actually we can assume that the steam is discharged only by a reduced number of holes which can be estimated on the basis of critical mass flow rate.
The critical flowing area at steam working conditions corresponds to about the upper 90 holes (i.e. about the first two upper rows of 50 holes each). In these conditions, the longitudinal extension of steam jet plume is equal to 92 mm. This value is consistent with an empirical correlation as function of downstream pressure, mass flow rate and water pool temperature [9].
Figure 11 illustrates the distribution of temperature in the LLT and in the ETT at time instants determined through the scaling laws. Figure 12 shows the ETT temperature distribution for 0.5 kg/s steam released; it accounts for the effects due to the slight different amount of water of the two models.
**Figure 8.** Steam mass flow rate versus time produced by the ICE Cat. IV event
**Figure 9.** FLUENT model of ITER LLT
**Figure 10.** FLUENT model of ETT
**Figure 11.** Contour plot of temperature [K] at 440 s for ETT and at 500 s for LLT
In all the simulations, the hot water moves along the sparger reaching the water free surface and after it expands radially and axially towards the bottom. A smaller radial average temperature is obtained for the ITER LLT due to its greater radius. Otherwise, the axial depth of hot water is greater for the ETT. The area, where the condensation energy is released, has small influence on the temperature field.
Figure 13 shows the monitor points (therein indicated with crossed circles plus TE label with a numerical identification), whose positioning was coherently defined with the ETT instrumentation layout (sensors positioning).
In the following two points are taken as reference for calculating the temperature time trends: TE-1010 close to the water free level at inner radial position and TE-1507 in front of the injection region.
The correspondent temperature diagrams for the two models B are shown in Figure 14 and 15, respectively.
The main difference of the results obtained from the two models is the greater axial temperature difference in the model B2 (about 15 °C) which is constant in almost all the transient. The temperature difference for the model B2 changes during the transient reaching the value of about 5 °C at the end.
During the experimental tests, superheated steam (at $T_s=130$ °C and at $P_s$ ranging between 30-150 kPa) is discharged into water by means of the sparger. It transfers continuously energy to the water at low temperature and it cools down until it achieves the saturation temperature corresponding to the local pressure condition in order to condense.
When the steam condenses, it changes its thermodynamic phase from gas to liquid (hot water), by releasing latent heat to water, and it continues to transfer heat to the water until the thermal equilibrium is reached. As a result, the water is heated up. Therefore, the measurement of the mean water temperature before and after steam discharge, $DT_w$, allows to determine the condensation rate and, thus, enables to assess the efficiency of the condensation process at the prevailed conditions.
In the performed tests, at any instant of time, the mean temperature of water in the condensation tank was determined through the measurements provided by temperature sensors located within the water.
Figure 16 and 17 represent the behaviour of the average water temperature increase as a function of the initial water temperature of the tank in the range 30 ÷ 85 °C, for different steam mass flow rates ($Q_s=1.5, 2.5, 5$ g/s) and water head levels at the sparger hole, $H_w=1.0$ m and $H_w=1.6$ m, respectively.
The downstream pressure values in front of the sparger hole, $P_w$, ranges from 30 kPa to 76 kPa.
**Figure 16.** Water temperature increase as a function of the initial water temperature ($Q_w=1.5, 2.5, 5$ g/s; $H=1$ m; $P_w=30 \div 70$ kPa)
**Figure 17.** Water temperature increase as a function of the initial water temperature ($Q_w=1.5, 2.5, 5$ g/s; $H=1.6$ m; $P_w=30 \div 76$ kPa)
Figure 18 shows the water temperature increase at atmospheric pressure.
The previous figures show that the water temperature increase ($\Delta T_w$) is independent from the downstream pressure. $\Delta T_w$ can be considered proportional to the total steam mass discharged ($M_S$) and inversely proportional to the total mass of water in the tank ($M_W$). The proportionality constant $q(T_w)$, that we can call effective thermal capacity, depends only on the water temperature. Assuming total condensation in water, $\Delta T_w$ can be written as:
$$\Delta T_W = \theta(T_W) \frac{M_S}{M_W} \quad (1)$$
We have determined experimentally the values of the effective thermal capacity $q(T_w)$ for initial water temperature in the range $30 \div 85$ °C (Figure 19). The experimental data have been fitted linearly by the regression:
$$\theta(T_W) = 697.8 - 2.92 T_W \quad (2)$$
**Figure 18.** Water temperature increase $\Delta T_w$ at atmospheric pressure as function of the water temperature ($Q_w=2.5$ g/s-$H_w=1$ m; $P_w=111$ kPa; $Q_w=12$. g/s-$H_w=1.6$ m- $P_w=117$ kPa)
**Figure 19.** Experimental data of effective thermal capacity of water ($q$) as a function of the water temperature
On the basis of the Eq. (1) and (2) and of the similitude laws, described in paragraph 2.1, any accidental scenarios can be simulated analytically in the full scale or reduced scale tank, obtaining the average water temperature, $T_w$, and the downstream pressure $P_w$ versus time. These values permit to determine the evolution of the scenario in the map of the condensation regimes. In particular, $T_w$ is calculated by means of the steam mass discharged in the tank, $M_s$, and the total mass of the water, $M_w$ using Eq. (2).
After the calculation of $T_w$, the downstream pressure $P_w$ is given by the (3):
$$P_w = P_{FSV} + \rho_w(T_w) g H_w \quad (3)$$
where $P_{FSV}$, $\rho_w$ are the steam saturation pressure and the water density at the temperature $T_w$. $P_{FSV}$ is assumed to be the pressure in the vacuum space of the tank and it is given by the following equation:
$$P_{FSV} = P_{sat} = c_1 [1 - c_2 \theta (1 - c_3 \theta + c_4 \theta^2 - c_5 \theta^3)] \quad (4)$$
being $\theta = T_w / 100$ and $c_1 = 0.97417$; $c_2 = 1.13943$; $c_3 = 38.919$; $c_4 = 36.036$; $c_5 = 88.345$.
The correlation (4) is valid in the range $10^\circ\text{C} \leq T_w \leq 110^\circ\text{C}$.
The water density versus temperature is given by the following correlation:
$$\rho_W = 10^3 \left(1 - \frac{(T_w + 288.941)(T_w - 3.9863)^2}{5.089292 \times 10^5(T_w + 68.12693)}\right)$$ \hspace{1cm} (5)
$\rho_W(T_w)$ is given in kg/m$^3$ and the correlation is valid in the range $10^\circ\text{C} \leq T_w \leq 100^\circ\text{C}$.
Figure 20 illustrates the results of the analytical model applied at the ETT considering the transients simulated by the CFD. Once the $P_w$ and $T_w$ have been obtained it is possible to determine the condensation regimes calculating the unit steam mass flow rate to downstream pressure $P_w$ ratio, by means of the following equation:
$$\left(\frac{G_S}{P_W}\right)_{hole} = \left(\frac{q_s}{A_h P_W}\right)$$ \hspace{1cm} (6)
The steam mass flow rate $Q_S=5$ kg/s in a sparger of 1000 holes of 10 mm of diameter determines points of coordinates $(G/P_w, T_w)$ which are localized in the stable condensation zone. While the points correspondent to $Q_S=0.5$ kg/s are localized in the chugging zone.
The curves of the condensation regimes are illustrated in Figure 21 as coloured solid lines. The black lines subdivide the space in areas of different CRs.
### 5. DISCUSSION OF CFD AND ANALYTICAL RESULTS
Figure 21 compares the results of the CFD simulations and those of the analytical model in the condensation regime map. The solid lines refer to the analytical results while the symbols refer at the CFD results correspondent at different instants of time of the transients.
In the stable condensation zone CFD results for the full scale (diamonds) and the reduced scale ETT (circles) are compared with the analytical results. In the chugging zone, the analytic results are compared only with the results of CFD simulations of ETT (model B.1 and B.2).
Applying the scale laws (that in this case corresponds to an amplification with the factor $1/S$ of the time of the reduced scale), results in term of water average temperature versus time are illustrated in Figure 22.
The obtained values are almost coincident in the first part of transient. The scaled results of the reduced scale condensation tank are 1 °C smaller than the other at the end of the greatest steam mass flow rate transient. This small discrepancy is due essentially to the different D/H (Diameter/Height) ratio of the full scale and reduce scale tanks. This different D/H ratio determines a different temperature difference along the height of the tanks.
Figure 23 illustrates the water average temperatures at two heights of the tanks: at the free water surface ($T_{\text{top}}$) and at the sparger holes ($T_{\text{sparger}}$). The average value is calculated for a radial distance of 2 m (equal to the ETT radius). Figure 23 shows that at the end of transient, the temperature difference is equal to about 4 °C for ETT while it is about 15° C for the ITER tank.
The influence of the length of steam jet on the axial difference of temperature is shown in Figure 24. A greater length of steam jet produces a smaller axial difference of temperature (about 8 °C) which remains almost constant in all the transients. A shorter length of steam jet produces a greater axial difference of temperature although at the end of transient the temperature difference is almost equal.
**Figure 24.** Water average temperatures vs time at different heights of the reduced scale tank (ETT) (different lengths of steam jet: L=10mm-L=92mm)
6. CONCLUSIONS
This paper illustrates the results of experimental tests, analytical model and CDF simulations concerning the steam direct condensation in water at sub-atmospheric pressure.
The tests have been performed in a reduced scale experimental rig simulating the ITER safety system called VVPSS. A similitude analysis has been developed in order to extrapolate the results obtained with the reduced scale experimental rig to the full scale system.
The CFD analyses permitted to assess the scale laws and demonstrate the capability of a large-scale condensation tank to simulate very well the physical phenomena which occur in the actual full scale Vapor Suppression Tank even if the Diameter/Height ratio is different. This different D/H ratio determines a different temperature difference along the height of the tanks.
The heat transfer occurs preferably in the axial direction in the longer ETT and in radial direction in the ITER tank. All the water, in both the tanks, is involved in the condensation process. Therefore, the water average temperature and the downstream pressure (in front of the sparger holes) are equal, resulting in the same condensation regimes.
The analytical model, developed based on the experimental results, seemed to describe well the global process of steam condensation at sub-atmospheric pressure. In addition, it permitted to determine the different condensation regimes depending on the transient of the steam mass flow rate due to accidental events and the water average temperature and downstream pressure in the condensation tank.
DISCLAIMER
The views and opinions expressed herein do not necessarily reflect those of the ITER Organization.
REFERENCES
[1] Mazed D, Lo Frano R, Aquaro D, Del Serra D, Sekachev I, Olcese M. (2018). Experimental investigation of steam condensation in water tank at sub-atmospheric pressure. Nuclear Engineering and Design 335(15): 241-254. https://doi.org/10.1016/j.nucengdes.2018.05.025
[2] Mazed D, Lo Frano R, Aquaro D, Del Serra D, Sekachev I, Orlandi F. (2016). Experimental study of steam pressure suppression by condensation in a water tank at sub-atmospheric pressure. Proceedings ICONE24, Charlotte, North Carolina (USA), pp. V002T06A003. https://doi.org/10.1115/ICONE24-60029
[3] Lo Frano R, Mazed D, Aquaro D, Del Serra D, Sekachev I, Giambartolomei G. (2017). Methodology to investigate vibration phenomena caused by the steam condensation at sub-atmospheric condition. Proceedings of 25th International Conference on Nuclear Engineering, Shanghai (China), pp. V005T05A042. https://doi.org/10.1115/ICONE25-67448
[4] Lo Frano R, Mazed D, Aquaro D, Del Serra D, Orlandi F. (2017). Experimental investigation of functional performance of a vacuum vessel pressure suppression system of ITER. Fusion Engineering and Design 122: 42-46. https://doi.org/10.1016/j.fusengdes.2017.09.010
[5] Lo Frano R, Mazed D, Olcese M, Aquaro D, Del Serra D, Sekachev I, Giambartolomei G. (2018). Investigation of vibrations caused by the steam condensation at sub-atmospheric condition in VVPSS. Fusion Engineering and Design 136(B): 1433-1437. https://doi.org/10.1016/j.fusengdes.2018.05.031
[6] Lo Frano R, Aquaro D, Olivi N. (2016). Fluid dynamics analysis of loss of vacuum accident of ITER cryostat. Fusion Engineering and Design 109-111(B): 1302–1307. https://doi.org/10.1016/j.fusengdes.2015.12.038
[7] Shibata M, Takase K, Watanabe H, Akimoto H. (2002). Experimental results of functional performance of a vacuum vessel pressure suppression system in ITER. Fusion Engineering and Design 63-64: 217-222. https://doi.org/10.1016/S0920-3796(02)00242-9
[8] Takase K, Ose Y, Kunugi T. (2002). Numerical study on direct-contact condensation of vapor in cold water. Fusion Engineering and Design 63-64: 421-428. https://doi.org/10.1016/S0920-3796(02)00269-7
[9] Aquaro D. (2015). Experimental study of steam pressure suppression by condensation in a water tank at sub-atmospheric pressure. FDR Meeting, Cadarache, France.
[10] ANSYS FLUENT rel.19.2 – 2018 Ansys©Inc
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Geophysical constraints on the dynamics of spreading centres from rifting episodes on land
Tim J. Wright\textsuperscript{1*}, Freysteinn Sigmundsson\textsuperscript{2}, Carolina Pagli\textsuperscript{3}, Manahloh Belachew\textsuperscript{3}, Ian J. Hamling\textsuperscript{4}, Bryndis Brandsdóttir\textsuperscript{2}, Derek Keir\textsuperscript{5}, Rikke Pedersen\textsuperscript{2}, Atalay Ayele\textsuperscript{6}, Cindy Ebinger\textsuperscript{3}, Páll Einarsson\textsuperscript{2}, Elias Lewi\textsuperscript{6} and Eric Calais\textsuperscript{7}
Most of the Earth’s crust is created along 60,000 km of mid-ocean ridge system. Here, tectonic plates spread apart and, in doing so, gradually build up stress. This stress is released during rifting episodes, when bursts of magmatic activity lead to the injection of vertical sheets of magma — termed dykes — into the crust. Only 2% of the global mid-ocean ridge system is above sea level, so making direct observations of the rifting process is difficult. However, geodetic and seismic observations exist from spreading centres in Afar (East Africa) and Iceland that are exposed at the land surface. Rifting episodes are rare, but the few that have been well observed at these sites have operated with remarkably similar mechanisms. Specifically, magma is supplied to the crust in an intermittent manner, and is stored at multiple positions and depths. It then laterally intrudes in dykes within the brittle upper crust. Depending on the availability of magma, multiple magma centres can interact during one rifting episode. If we are to forecast large eruptions at spreading centres, rifting-cycle models will need to fully incorporate realistic crust and mantle properties, as well as the dynamic transport of magma.
Less than 2% of Earth’s mid-ocean ridge system is located above sea level. Although marine geophysical methods are very well suited for imaging the structure of mid-ocean ridges\textsuperscript{1,2} and locating melt within the crust\textsuperscript{3}, it is difficult to resolve active processes at submarine ridges. More commonly, inferences are made about dynamics of ridges by analogy with structures on land\textsuperscript{4}, or from observations of crustal structures that seem to be transient\textsuperscript{5}. Studies of magma transport at subaerial volcanoes have demonstrated the use of crustal deformation\textsuperscript{6–8} and seismological\textsuperscript{9} data for unravelling magma movements and magmatic plumbing systems. However, measuring both deformation and seismicity at submerged ridges during rifting is challenging, with only few examples where any data have been recovered\textsuperscript{10–14}.
Here we review geophysical observations of dynamic rifting processes at the two subaerial portions of mid-ocean ridge in Iceland and the Afar region in Africa (Fig. 1), and also present several unpublished results. Iceland sits astride the mid-Atlantic ridge in the North Atlantic where plate spreading began about 60 million years ago. The full plate-spreading rate of $\sim$19 mm yr$^{-1}$ is accommodated within Iceland\textsuperscript{15,16}. The Afar region forms an approximately triangular region at the northern end of the East African rift and contains the triple junction between the separating Nubian, Somalian and Arabian plates (Fig. 1). Spreading centres that are located beneath the Red Sea and Gulf of Aden jump on land in Afar, where rifting has proceeded from continental extension to nascent seafloor spreading over the past 30 million years\textsuperscript{17,18}. Current rates of extension between Arabia and the two African plates are on the order of 16–20 mm yr$^{-1}$ (refs 19,20). Both Afar and Iceland have anomalously thick and elevated crust due to the enhanced melting and dynamic topography induced by mantle plumes\textsuperscript{21–25}.
The ridge axes in both Iceland and Afar are divided into 60–100-km-long portions, known as magmatic segments in Afar\textsuperscript{26} and volcanic systems in Iceland\textsuperscript{27}. We use the term ‘spreading centre’ here to describe these segments/systems, as they are analogous to the second-order, non-transform offset segments observed on slow-spreading mid-ocean ridges\textsuperscript{28}. In this Review, we give particular weight to observations from rifting episodes, three of which have occurred subaerially in the modern era. Seismic activity associated with these rifting episodes has been measured and can be used to identify the magmatic plumbing systems. Furthermore, magma movements result in diagnostic surface deformation that can be used to infer the processes involved in rifting episodes. We also review constraints on the properties of crust and mantle at spreading centres that can be obtained by examining the response to the major stress changes associated with the rifting episodes. Because the rifting deformation cycle takes $10^2$–$10^3$ years to complete, one must consider a range of different spreading centres to constrain the entire cycle. We discuss observations from the Askja spreading centre in Iceland to help constrain processes occurring between rifting episodes. Finally, we construct a conceptual model for spreading centres that satisfies observations from these different locations and time periods, and discuss the implications for mid-ocean ridges.
Subaerial rifting episodes in the modern era
Our understanding of the mechanics of magmatic rifting has been transformed by observations of rifting episodes at subaerial spreading centres in Iceland (Krafla, 1975–1984) and Afar (Asal-Ghoubbet, 1978; Dabbahu, 2005–2010)\textsuperscript{29}. Here we summarize observations from these episodes, highlighting common features.
\textsuperscript{1}COMET+ School of Earth and Environment, University of Leeds, Leeds LS2 9JT, UK. \textsuperscript{2}Nordic Volcanological Centre, Institute of Earth Sciences, University of Iceland, Sturlugata 7, 101 Reykjavik, Iceland. \textsuperscript{3}Department of Earth & Environmental Sciences, University of Rochester, Rochester, New York 14627, USA. \textsuperscript{4}International Centre for Theoretical Physics, 11 Strada Costiera, Trieste I-34151, Italy. \textsuperscript{5}National Oceanography Centre Southampton, University of Southampton, European Way, Southampton SO14 3ZH, UK. \textsuperscript{6}Institute for Geophysics, Space Science and Astronomy, Addis Ababa University, Addis Ababa, Ethiopia. \textsuperscript{7}Department of Earth and Atmospheric Sciences, Purdue University, West Lafayette, Indiana 47907-2051, USA.
* e-mail: email@example.com
From 1975 to 1984, around 20 dyke intrusions occurred in the Krafla spreading centre\textsuperscript{6,8–9}, generating earthquake swarms\textsuperscript{29–31}, surface faulting\textsuperscript{32} and widening\textsuperscript{8,33,34} (Figs 2 and 3). Cumulative widening averaged to 4–5 m, corresponding to 2–2.5 centuries of long-term spreading\textsuperscript{35}. Each event was directly correlated with activity within the Krafla caldera, where subsidence occurred as the dyke propagated laterally away from the caldera at rates of 0.2–0.6 m s\textsuperscript{−1} (ref. 29). Between dyking events, seismicity was mostly confined to the caldera (Fig. 3), which uplifted at a rate of up to 6 mm day\textsuperscript{−1}, fastest immediately following a dyke intrusion and gradually slowing down\textsuperscript{36} (Fig. 2e). A low seismic velocity anomaly and shear wave attenuation at 3–5 km depth has been interpreted as a shallow magma chamber\textsuperscript{37}. It is located within a high velocity ‘chimney’—probably a complex of intrusions—extending from the base of the crust. Magma has also been imaged seismically, from S-wave shadows\textsuperscript{38} and by reflection from the base of the shallow chamber\textsuperscript{39}.
The initial dyke intrusion in December 1975 was by far the largest in the episode, intruding a ~60-km-long segment of the spreading centre\textsuperscript{40}. Most widening occurred ~50 km north of the Krafla caldera, where seismicity was almost absent (Figs 2a and 3e). The dyke was associated with a minor eruption within the Krafla caldera, which subsided by up to 2 m, consistent with a pressure drop in the shallow magma chamber. The initial dyke was followed by a sequence of smaller intrusions that began in September 1976 and occurred in irregular sequences until 1984\textsuperscript{29,30} (Fig. 2). Until 1980, most of the dykes propagated laterally in the crust, accompanied by surface fissuring and faulting. The volumes of erupted lavas were only a small fraction of the intruded volumes. Subsequently, eruptive activity increased with six of the final seven dykes breaching the surface and volumes increasing. It is likely that the change in activity reflects a reduction in extensional stresses to a level that did not allow dykes to propagate over long distances\textsuperscript{39}.
Compositional variations in erupted basalts has been documented at Krafla, with more evolved basalts erupting within the Krafla caldera and more primitive ones outside it\textsuperscript{41}. This is consistent with a deeper source of primitive magma feeding the shallow magma chamber\textsuperscript{11,42}; lateral dyking events emanating from a chemically zoned shallow storage area are one possible explanation for the observed variation in erupted basalt composition\textsuperscript{39} with more evolved basalt stored at higher levels being erupted within the caldera. Location of a deep source and its connectivity to the shallow chamber is still a topic of discussion, but deformation and seismicity data rule out models in which primitive basalt rises vertically from the mantle under the entire length of the spreading centre\textsuperscript{43}.
A rifting episode began on 6 November 1978 in the Asal–Ghoubbet spreading centre in Djibouti (Afar; Fig. 1). During a two-month swarm, several thousand earthquakes were recorded, the largest with local magnitude 5.3 (ref. 44), and seismicity was observed to propagate to the southeast\textsuperscript{44} away from a shallow (2–4 km) magma chamber identified in magnetotelluric data\textsuperscript{45}. An extensive set of faults up to 10 km long slipped by up to 0.5 m (ref. 46), and $16 \times 10^6$ m\textsuperscript{3} of basaltic lava was erupted from a 0.75-km-long fissure\textsuperscript{44}. Geodetic measurements showed that up to 1.9 m of extension occurred across the rift\textsuperscript{46,47}, with a 3-km-wide central graben subsiding by 70 cm and rift flanks uplifting by ~20 cm (ref. 46). The geodetic data have been modelled by the intrusion of two dykes along 20 km of the rift axis with a total thickness of 1.5–3 m in the upper ~5 km of crust\textsuperscript{48–50}.
In September 2005, the first subaerial rifting episode in the era of satellite geodesy began in the Dabbahu (northern Manda Hararo) spreading centre, Afar\textsuperscript{51–57}. The episode began in earnest on 20 September, with strong seismicity ($M_w$ 3.6–5.6) continuing until 4 October\textsuperscript{58}. Earthquakes began at the Dabbahu volcanic complex (DVC) in the north, before jumping to the central Ado ‘Elo volcanic complex (AVC) on 24 September. By 25 September, seismicity was occurring along the entire 60–70 km length of the spreading centre\textsuperscript{56}. On 26 September, a small eruption of silicic magma opened
**Figure 1** | **Location of subaerial spreading centres.**
**a**, Overview map showing plate boundaries.
**b**, Tectonic map of Iceland. Extensional faults and fissures form fissure swarms that, together with central volcanoes, form volcanic systems\textsuperscript{59}. Earthquakes (black dots) from the South Iceland Lowland (SIL) catalogue of the Icelandic Meteorological Office from 1995 to 2010. Ice caps are indicated (white).
**c**, Tectonic map of the Afar region. ‘Magmatic segments’ (from ref. 26) re-plotted in a consistent style with the Icelandic ‘fissure swarms’. Earthquake locations are compiled from temporary networks in Afar\textsuperscript{56,64,65,102} and the permanent network in Djibouti\textsuperscript{103}. AGS, Asal–Ghoubbet spreading centre; DS, Dabbahu spreading centre; EAS, Erta Ale spreading centre; RSR, Red Sea rift; GA, Gulf of Aden; MER, Main Ethiopian Rift.
with the later dykes filling in areas that opened less in the initial dyke (Fig. 2b). However, the location of individual dyke intrusions is also influenced by their immediate predecessor\textsuperscript{46}, as seems also to have been the case at Kralfa\textsuperscript{19}.
In each of these well-observed subaerial rifting episodes, dykes have propagated laterally for many kilometres in the upper crust from a source near the centre of the rift segment. More than one source fed dykes at both Kralfa and Dabbahu — at Dabbahu, at least three magma chambers at different locations and depths were involved in the initial phase of activity. At Kralfa and Dabbahu, a sequence of small dykes, analogous to earthquake aftershocks, followed the initial main dyke. The overall pattern of dyke opening is likely to be guided by tectonic extensional stresses — these episodes relieve stresses built up during the long periods between episodes. Although intense seismic swarms are associated with rifting episodes, the seismic moment release is small compared with the geodetic moment of the events\textsuperscript{47,48}. Deformation is therefore mostly aseismic, due to magma injection.
**Readjustment following rifting episodes**
The rifting episodes at Kralfa, Asal and Dabbahu have provided opportunities for measuring the Earth’s response to the major stress changes associated with rifting. Their geodetic moments are comparable to $M_w$ 7–8 earthquakes, thus producing similar stress changes. A typical rifting deformation response due to viscoelastic relaxation is therefore anticipated for several years or decades, with rates (several cm yr\textsuperscript{-1}) and length scales (tens of km) comparable to those observed after major earthquakes\textsuperscript{49}. In principle, these rifting episodes allow us to determine the rheological properties (elasticity and viscosity) of the crust and mantle that respond to the episode. In practice, separating the response of the magmatic plumbing system from the mechanical viscoelastic relaxation remains problematic.
Measurements of the post-rifting deformation at Kralfa come from a GPS network installed in 1987, three years after the rifting episode ended. When these sites were reoccupied in 1990, they revealed spreading rates across the plate boundary of up to 6 cm yr\textsuperscript{-1}, around three times higher than the long-term, far-field average\textsuperscript{50}. Average rates, at distances of 50 km and more, had in the 1993–2004 period returned to approximately background levels\textsuperscript{51}. The deformation data have been modelled using a variety of simple viscous\textsuperscript{52,53} or viscoelastic\textsuperscript{54,55} rheologies, with no magma movement. These models suggest that viscous relaxation occurs under an elastic upper layer that is $\sim$10 km thick, and that the viscosity of the layer that relaxes fastest is in the range of $1–3 \times 10^{16}$ Pas (refs 70,71). Alternatively, magmatic processes in an elastic Earth model have been invoked to explain a 50-km-wide post-rifting deformation signal, with up to $\sim$10 mm yr\textsuperscript{-1} uplift in 1993–1998 observed by InSAR\textsuperscript{56}.
A long-lived post-rifting deformation transient was also observed after the 1978 Asal rifting episode\textsuperscript{57}. Here, a geodetic network has been measured regularly since 1978, initially using trilateration\textsuperscript{58} and more recently with GPS\textsuperscript{59}. An apparent sharp change in extension rate along a $\sim$5 km baseline spanning the rift, from $\sim$65 mm yr\textsuperscript{-1} (1978–1985) to $\sim$17 mm yr\textsuperscript{-1} (1985–2003), has been attributed to a sudden change in the rate of magmatic input beneath the rift axis\textsuperscript{57}. However, it has also been modelled as a more gradual change of the kind expected from viscoelastic relaxation\textsuperscript{58}.
The ongoing Dabbahu rifting episode offers perhaps the best opportunity so far to quantify the response of the viscoelastic and magmatic systems to the stress changes induced by large dyke intrusion. Seismometers were installed around the rift in October 2005\textsuperscript{60}, and GPS observations began in January 2006\textsuperscript{7}, supplementing regular InSAR acquisitions\textsuperscript{61,62,63}. The geodetic data reveal that the post-rifting response began immediately following the initial dyke intrusion. Baselines of 30 km spanning the rift extended at rates as high as 200 mm yr\textsuperscript{-1} ($>10$ times the plate spreading rate) during the first few years, even after correcting for the effect of shallow dyke
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**Figure 2 | Summary of Dabbahu and Kralfa rifting episodes.**
**a,c,** Location of dyke intrusions (black lines) as a function of time for the Dabbahu rifting episode (**a**, updated from refs 59,65) and Kralfa rifting episode (**c**, from refs 29,39). Eruptive fissures in red. Distance is measured from the central feeding zones within the Adr’ Ale Volcanic Complex and Kralfa calderas.
**b,d,** Depth-averaged opening during the Dabbahu (**b**) and Kralfa (**d**) episodes (updated from refs 33,57,59,65). Opening for Kralfa dyke 18 is unavailable but estimated to add about 1 m in the caldera region\textsuperscript{19}.
**e,** Elevation of the Kralfa caldera inferred from tilt observations\textsuperscript{29,33}.
A 500-m-long vent between the Dabbahu and Gabbo volcanoes in the DVC\textsuperscript{51}.
Three-dimensional displacements caused by the initial activity were measured by interferometric synthetic aperture radar (InSAR)\textsuperscript{51,52,53} and sub-pixel offsets in optical satellite images\textsuperscript{53,54}. They confirmed that the entire Dabbahu spreading centre was active during this first phase, with near-symmetrical rift-perpendicular opening of up to 8 m. The flanks of the rift uplifted by up to 2 m, with a 2–3-km-wide graben subsiding by 2–3 m at the rift centre. Subsidence of up to 3 m was observed at the DVC under Dabbahu and Gabbo. Simple elastic models showed that the deformation was consistent with a large dyke intrusion, up to 10 m thick, in the upper 10 km of crust, with a total volume of 2–2.5 km\textsuperscript{3} (refs 51–54). The dyke did not break the surface, but caused faults to slip by up to 3 m on arrays of normal faults above it\textsuperscript{54}. The dyke was partially fed from shallow (3–5 km depth) chambers at Dabbahu and Gabbo\textsuperscript{51,52}, but magma was also probably fed from a deeper source at $\sim$10 km depth within the central AVC (refs 54,56).
Like at Kralfa, the initial dyke was followed by a sequence of smaller dyke intrusions, which began in June 2006\textsuperscript{59}. So far, there have been 14 dyke intrusions in total, with the most recent occurring in May 2010. These later dykes were typically 2–3 m thick and 10–15 km long, and have a cumulative volume approaching 1 km\textsuperscript{3} (refs 59,60). Three dykes broke the surface to produce basaltic fissural eruptions\textsuperscript{61}. Seismicity data show that they were all fed from the AVC and propagated at rates of 0.2–0.6 m s\textsuperscript{-1} (refs 62–64), comparable to those at Kralfa (Fig. 3c,f). Overall, the locations of the dyke intrusions seem to be guided by tectonic driving stress\textsuperscript{59,60},
intrusions following the large initial event (Fig. 4a). Nooner et al.\textsuperscript{77} are able to explain the horizontal deformation at GPS sites well by invoking viscoelastic relaxation below a 12–15 km elastic lid, finding a best-fit viscosity of $4.5 \times 10^{11}$ Pas for the relaxing region, slightly higher, but the same order of magnitude as those inferred at Kralfa. However, their model cannot explain the observed uplift pattern seen in the InSAR data\textsuperscript{79} (Fig. 4b). Deformation around areas of magma supply, notably the AVC at the segment centre, is also not predicted by simple viscoelastic relaxation models — the post-intrusion response is largest near the AVC (Fig. 4a,b), where seismicity data suggest magma replenishment\textsuperscript{82}. Opening in the 2005 dyke, which would drive any relaxation, was much further north (Fig. 2b). Subsidence to the southeast of the spreading centre (SESB, Fig. 4b,c) is also difficult to explain without invoking magma withdrawal, and suggests significant lateral flow of melt in the lower crust. Grandin et al.\textsuperscript{78} explain the observed InSAR time series using a set of magmatic sources in an elastic half space. By varying the time histories of the strengths of these sources, they are able to produce a good fit to the observations. However, their model includes a deep inflation source in a region of the segment centre where viscoelastic processes might be expected to dominate. The data from Dabbahu suggest that viscoelastic and magmatic processes are both occurring.
One problem that remains to be resolved is that any time-varying pattern of spatial deformation associated with a magmatic system can be modelled by varying pressure in magma sources embedded in elastic Earth models, as demonstrated in some models for the response to the Kralfa, Asal and Dabbahu episodes\textsuperscript{73,77,79}. However, for such interpretations to be robust and self-consistent, they must also take into account the viscoelastic relaxation from stresses induced by dyke opening and/or changes to the pressure or volume of subsurface magma chambers. These secondary displacements are often of comparable magnitude to the initial elastic displacements, but develop with a specific predictable spatial and temporal dependence\textsuperscript{11}. We therefore advocate the development of models that incorporate contributions from both viscoelastic and magmatic processes. These can only be validated against long time series of observational data, which should capture the transition from magmatic to viscoelastic response. Furthermore, many physical models of spreading ridges call for large variation in structure close to the ridge axis\textsuperscript{83}, whereas ‘geodetic models’ typically only contain horizontal boundaries. Constraining the numerous free parameters in such models requires long periods of geodetic observation and ancillary data on crustal and magmatic properties, for example from seismic and magnetotelluric imaging, repeated microgravity surveys, and petrological studies.
**Activity between and preceding major episodes**
The time-averaged extension rate across a spreading centre cannot exceed the long-term spreading rate. To satisfy this constraint,
spreading centres must be relatively quiet for several hundred years between episodes. The geologic and historic record in Iceland broadly satisfies this\textsuperscript{18}. Nevertheless, the deformation and seismicity occurring in these long repose periods can offer important constraints on the magmatic systems. Furthermore, evidence from Kрафa and Dabbahu suggests that rifting episodes may have significant precursory activity that could be used to provide warnings.
The Askja spreading centre in Iceland’s northern volcanic zone (Fig. 1) has the best characterized deformation and seismicity for a spreading centre in this ‘inter-rifting’ phase of the deformation cycle. Although eruptions occurred in Askja between 1921 and 1929 and in 1961, the most recent episode of major rifting occurred in 1874–1876\textsuperscript{19}. Current deformation at Askja has been well documented by GPS, InSAR and levelling data\textsuperscript{20–26}, and seismicity has been mapped using a dense local network\textsuperscript{27,28}. The zones of horizontal and vertical strain accumulation seem to act on different length scales: extension, at the expected full plate-spreading rate, is distributed over a zone ~80 km wide, whereas rift-axis subsidence is concentrated within the central ~20-km-wide zone of faulting and fissures (Fig. 5). The width of extension is narrower than predicted by simple viscous models\textsuperscript{29} but can be explained by simple amagmatic mechanical stretching of a crust in which the elastic layer is thinned near the ridge axis\textsuperscript{30}. It is likely that rifting cycle models with spatially variable viscosity structures could also explain the geodetic observations.
Despite the lack of recent magmatic activity, the Askja caldera itself has been subsiding since at least 1983, initially at about 5 cm yr\textsuperscript{-1}, and more recently at a rate of ~3 cm yr\textsuperscript{-1} (refs 48,85; Fig. 5). Measurements from 1966 to 1971 showed two years of uplift...
that was preceded by subsidence. The subsidence can be modelled by a pressure decrease in a shallow magma chamber at 2–3 km depth\textsuperscript{15,16}. In the absence of shallow intrusions or eruptive activity, this would require magma to flow out of the shallow chamber to deeper levels\textsuperscript{17,18}. A mass decrease inferred from repeated microgravity surveys supports this model\textsuperscript{19}. Alternatively, local variations in crustal strength or viscoelastic relaxation of hot material beneath the magma chamber might cause the subsidence, without the requirement for significant magma movement\textsuperscript{15}.
Recent deployments of dense seismic arrays around Askja have detected several clusters of micro-earthquake activity in the lower crust, which is normally ductile\textsuperscript{20–22}. These have been interpreted as areas where high rates of melt movement generate strain rates that are sufficient to cause brittle failure. The spatial distribution of seismicity was persistent over several years, suggesting that melt batches are being channelled upwards through a network of veins and cracks, both within the main areas of volcanic production, but also between them (Fig. 4). The melt seems to stall and accumulate below 10 km depth, well within the ductile part of the crust, forming sills that may crystallize to build the lower crust. This supplies geological evidence from Iceland and mid-ocean ridges that melt is supplied at multiple injection points\textsuperscript{23,24}. The mechanisms and pathways for channelling the deep melt into the focused shallow magmatic centres evident in the seismological and geodetic data remain unclear.
Despite the lack of detailed ground-based monitoring, significant precursory activity was observed before the Dabbahu and Krafla rifting episodes. At Krafla, persistent and unusual seismic activity within the caldera was recorded since the installation of permanent stations in 1974, but it is uncertain when it began\textsuperscript{25}. At Dabbahu, temporally sparse InSAR observations show that the Gabbo volcano began to uplift after September 2001, and that this continued through to the main dyke intrusion\textsuperscript{11}. Analysis of regional seismic data\textsuperscript{8} showed that intermittent seismicity began in the vicinity of Gabbo in April 2005, and that this increased in strength from early September until the main rifting episode began on around 20 September 2005. In both cases, it seems that renewed magma influx to a shallow chamber was the trigger for the start of the rifting episode. In the case of Dabbahu, most of the magma that fed the dyke intrusions was probably present in the shallow system — no precursory uplift was observed at Dabbahu and Ado ‘Ale, and the co-dyking subsidence at Gabbo exceeded the uplift by a factor of at least 10.
The majority of inter-rifting deformation is likely to be fairly steady and the result of mechanical stretching due to steady far-field plate motions as well as cumulative relaxation from previous episodes. However, this is modulated by pulses of magma recharge to the shallow plumbing system. If well monitored using seismic and geodetic methods, these pulses of recharge offer the potential to predict the onset of future rifting episodes.
**Conceptual model and implications for submerged ridges**
Several key lessons can be learned from observations of dynamic processes at subaerial spreading centres that have direct implications for how oceanic crust is created at slow-spreading mid-ocean ridges. Firstly, we emphasize how crustal growth at spreading centres is highly episodic. They can lie dormant for centuries before bursting into life for a short period of time during a rifting episode. The rifting episodes themselves involve the interplay between magma supply and extentional tectonic stresses\textsuperscript{26,27}. If magma supply was unlimited, we would expect a single dyke intrusion to relieve the majority of extensional stress in its vicinity; its intruded thickness would then approximately equal the long-term spreading rate multiplied by the repose period. Observations from Dabbahu and Krafla suggest that insufficient magma may be present in the shallow storage systems that feed the dykes — multiple dyke intrusions occur over an extended period of time, guided by and gradually relieving the tectonic stresses. Major eruptions can only occur if the amount of magma supplied to the
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**Figure 5 | Inter-rifting deformation and seismicity at Askja, Iceland.**
*a*, Map view of deformation and seismicity. Unwrapped line-of-sight displacements (negative values indicate motion away from the satellite) from reprocessed 1993–1998 interferograms\textsuperscript{11}. A linear phase ramp has been removed to minimize the contribution of long-wavelength horizontal motions. The remaining signal is mostly subsidence focused on the Askja fissure swarm. GPS displacements during the interval 1993–2004\textsuperscript{14} in a plate-boundary reference frame (black vectors). Seismicity\textsuperscript{20,28} in brittle upper crust (white dots) and normally aseismic lower crust (red dots). *b,d*, Cross-sections through the LOS velocities, along profiles A–A’ (*b*) and B–B’ (*d*). *c,e*, Cross-sections showing the depth of the earthquakes along the same profiles.
Figure 6 | Conceptual model for slow-spreading ridges based on observations at subaerial spreading centres. **a**, Three-dimensional perspective of upper crust based on current understanding of the Dabbahu rift segment showing probable locations of magma chambers (dark red ellipsoids). Chamber geometries are poorly resolved at present, except at Dabbahu (D), where stacked sills are likely\(^{39}\). Dykes are shown as red vertical planes. Topographic data are from the Shuttle Radar Topographic Mission at the zone of fissuring and faulting (highlighted in light red). Inferred hydraulic connections to deeper magma sources (red dashed lines). G, Gabbo; DVC, Dabbahu Volcanic Centre; AVC, Ado Ale Volcanic Centre. **b**, Cross-section through typical slice of crust away from a magmatic centre. Dyke shown in red. Thin black arrows show magma flow direction; thick arrows show crustal extension direction.
A shallow system exceeds that necessary to relieve the extensional stress accumulated in the crust.
Another key result is that multiple crustal magma chambers feed rifting episodes. These can be separated horizontally, as was the case for Dabbahu, where at least three large crustal chambers fed the initial dyke intrusion. Furthermore, vertical separation of discrete magma sources is also likely to be a common feature for plumbing systems. At Kralfa, a deep magma source is required as well as the shallow magma chamber to satisfy geodetic and geochemical observations. Although the dykes are fed primarily from a few discrete chambers in the upper to mid-crust, there is good evidence from observations of inter-rifting seismicity at Askja, and geochemistry, that melt is channelled through the lower crust at multiple injection points. The details of the pathways that channel the melt from multiple supply points in the lower crust to a few chambers in the mid to upper crust remain unclear, but are likely to involve channelled flow of melt in the lower crust. Subsidence observed to the south-east of the Dabbahu spreading centre could be evidence for this lower crustal flow.
Our conceptual model for a spreading centre at a slow-spreading ridge (Fig. 6), based on all these observations, consists of a brittle upper crust above a ductile lower crust and mantle. In the upper crust, extension is accommodated primarily by episodic dyking, along with a zone of faulting above the dykes in the top few kilometres. Dykes and faults release elastic strain that has accumulated in the period between rifting episodes. Magma propagates laterally within the dykes from one or more magma chambers, located at different depths; multiple magma chambers, separated by large distances, can be involved in single episodes of injection. The geometry of the crustal magma chambers is in general poorly known — a recent integrated analysis of InSAR, petrology and seismicity data at the Dabbahu volcano concludes that magma is likely to be stored in a series of vertically stacked sills\(^{39}\), but further work is required to resolve the geometries of other magma storage systems. The crustal magma chambers are replenished rapidly after magma withdrawal; exponentially decaying uplift above Gabbo and Dabbahu (GABH, Fig. 4c) and between dyking events in Kralfa (Fig. 2e) suggests a hydraulic connection to a deeper reservoir. The rates of replenishment are low (\(\sim\)2 m\(^3\) s\(^{-1}\) at Dabbahu and Gabbo, and similar at Kralfa), implying that the connecting pathways are narrow; feeder conduits with a radius no more than a few metres or, more likely, dykes with comparable cross-sectional areas, are required\(^{40}\). In the ductile lower crust, which is rich in partial melt\(^{41}\), extension is accommodated continuously by a combination of magmatic addition and viscous flow. Magma can flow laterally and vertically within the ductile region, causing earthquakes where the strain rates are high. Time-dependent viscous flow is most rapid immediately following a rifting episode. Although this model is somewhat specific to Dabbahu, it only requires minor modification to apply to other spreading centres.
Of course, caution is required before directly ascribing the phenomenology of a few subaerial spreading centres to all slow-spreading ridges. The subaerial centres are by their very nature anomalous, in particular because of their thick crust and the influence of mantle plumes. Furthermore, interaction with ice loads plays a significant role in the observed processes on Iceland\(^{42,43}\) and we might expect hydrothermal activity to be more vigorous at submerged ridges. Nevertheless, it is likely that considerable time will pass before we are able to make direct observations of the processes occurring on submerged spreading centres with the temporal and spatial resolution that is possible on land.
**Unresolved issues**
Several issues remain that should be the focus of research in the coming years. A key unsolved question is what controls the variability in style of magma plumbing at spreading centres. For example, recent analysis of geodetic data from an eruption in November 2008 suggests that an elongated axial magma chamber, similar to those found at fast-spreading ridges, exists in the Erta Ale spreading centre\(^{47}\) (Afar; Fig. 1), north of the famous lava lake\(^{48}\). At submerged ridges, spreading rate and magma supply are primary controls on style of magma plumbing\(^{49}\). Further work is required to determine whether these same factors control the morphology of subaerial ridges.
Observations from subaerial rifting episodes show that interactions can occur between multiple magmatic centres during a single episode and that the driving tectonic stresses play a key role in guiding dyke intrusions. Entire spreading centres may interact on a longer timescale — geological evidence suggests that the Kralla spreading centre had only one eruptive episode from 8,000–3,000 years BP (ref. 100), whereas activity on a neighbouring spreading centre increased. Further research is required into the spatial and temporal scale of such interactions between segments. We also encourage the further development of ocean-bottom geodetic and seismic instruments to capture dynamic processes occurring on submerged mid-ocean ridges.
In summary, geophysical observations at subaerial spreading centres enable us to build a picture of their dynamic internal mechanics.
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**Acknowledgments**
Our work is supported by NERC grants NE/F008611/1, NE/F01010X/1 and NE/E00771X/1, NSF grant EAR-0523470, EAR-0613637, NERC COMET award to I.J.H., and a Royal Society University Research Fellowship to T.W. Authors in Iceland were supported by the Icelandic Research Fund (through Volcano project) and the University of Iceland Research Fund. We are grateful to Janet Key and Bob White for providing the seismicity data for Askja, to the numerous people involved in the countless field experiments in Iceland and Icelanders who have collected the data described here. The manuscript was improved by thoughtful comments from Bob White and Falk Ameling. The Centre for the Observation and Modelling of Earthquakes, Volcanoes and Tectonics (COMET+) is part of the UK National Environment Research Council’s National Centre for Earth Observation.
**Author Contributions**
T.J.W. and E.S. prepared the article with input from all other authors. Previously unpublished seismic data from Iceland were collected and analysed by P.E. and B.R. Also, D.K.F., R.P. and R.W. constructed Fig. 1; B.R., M.B., C.P. and I.J.H. collated data from Dabbahu and Krafla to build Figs 2 and 3; I.J.H. and T.W. conducted a new analysis of InSAR data to make Fig. 4; R.P. and C.P. created Fig. 5; T.J.W. and E.S. designed Fig. 6 with input from other authors.
**Additional Information**
The authors declare no competing financial interests. Supplementary information accompanies this paper on www.nature.com/naturegeoscience. Correspondence and requests for materials should be addressed to T.J.W.
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Knowledge Mapping of Lexicography Research: A Visual Analysis With VOSviewer and CiteSpace
Jingwen Dong\textsuperscript{1}
\textsuperscript{1} Guangdong University of Foreign Studies, Guangdong, China
Received: May 20, 2024 \hspace{1cm} Accepted: July 26, 2024 \hspace{1cm} Online Published: September 8, 2024
doi:10.5539/jel.v13n6p203 \hspace{1cm} URL: https://doi.org/10.5539/jel.v13n6p203
Abstract
Lexicography has seen significant advancements during the past seven decades. This paper aims to provide a thorough review of lexicography research by analysing 7302 related publications from the Web of Science Core Collection database with two visualization tools: VOSviewer and CiteSpace. The lexicography studies are initially evaluated for the heated research topics, followed by identifying the most influential references, authors, journals, institutions, and nations/regions accordingly. Furthermore, through the analysis of co-cited references and keywords co-occurrence, the forthcoming research endeavours in lexicography are believed to encompass the prioritization of the user perspective in dictionary compilation, the emphasis on online and electronic dictionary development, and the exploration of dictionary integration with online technology.
Keywords: lexicography, scientometric, visual analysis, research trends, hotspots
1. Introduction
Dictionary-making is known to have a history of at least 3,000 years (Hartmann, 1984). Although the \textit{Latin-English Dictionary of Syr Thomas Elyot Knight} (1538) marked the initial appearance of the term ‘dictionary’ in a dictionary title, the study of dictionary theory did not start until the 1950s. According to Hartmann and James (2000), while ‘dictionary making’ refers to a craft, ‘lexicography’ is known as a scientific description of the act of dictionary-making.
In fact, lexicography has undergone substantial development since the 1950s, which is notable in the formation of various lexicographical associations, such as the Dictionary Society of North America, founded in 1975; the European Association for Lexicography, established in 1983; the Australasian Association for Lexicography, formed in 1990, and the Asian Association for Lexicography, established in 1997. In addition, a series of lexicography journals have been produced, including \textit{Lexicographica}—International Annual for Lexicography (established in 1985), \textit{International Journal of Lexicography} (established in 1988), \textit{Lexikos}—the journal of the African Association for Lexicography (established in 1991), and \textit{Lexicography}—Journal of ASIALEX and Equinox (established in 2014).
Over the years, systematic reviews and practice guidelines have thoroughly analysed specific lexicography research issues, with related articles published in numerous journals. Among the earlier reviews, Quemada (1972), surveyed historical lexicography in Western Europe before the late 1960s. Then, by sketching “a ‘typology’ of the genres found in the literature on lexicography,” a more comprehensive study conducted by Hartmann (1984) has offered an overview of lexicography development from historical, regional, and interlingual perspectives. Cowie (1989) has concentrated on the overview of dictionaries published for second-language learners of English. Apart from analysing the existing research, considerable insights have been presented into the potential future for developing such dictionaries.
Recently, an increased number of studies have emerged focusing on country-specific analyses of lexicographic developments. Notable examples include investigations on Italy (Marello, 2004), Great Britain (Karpova, 2018), Turkish (Bozkurt, 2019), China (Gao, 2021), Russian (Krylova, 2021), and Ukrainian (Blynova & Davydenko, 2021), among other regions. In addition, there are studies focused on specific categories or topics within the field of lexicography, including online dictionary (Tarp, 2012), academic lexicography (De Schryver, 2012a), Shakespeare lexicography (Karpova, 1992, 2020), digital lexicography (De Schryver et al., 2019), pedagogical dictionary (Li, 2019), English medical lexicography (Gordiyenko, 2021), EURALEX congress (De Schryver, 2012b), and lexicographic processes (Lemeshchenko-Lagoda, 2022), among others. Besides, some scholars employ bibliometric methodologies to offer a thorough analysis of the evolution of lexicography (McCREARY &
Nevertheless, up until now, there has been a dearth of scholarly efforts to summarize the discipline using a scientometric approach. Scientometrics has empowered a thorough examination of a specific area and its evolution. By gaining a holistic understanding of the research landscape, the identification of research richness, differences, trends, potential research hotspots, and limitations can be facilitated by scientometrics. Therefore, this study employs CiteSpace and VOSviewer to visually represent and analyse the scholarly literature on lexicography, offering an intuitive way to examine the development of all aspects of lexicography.
2. Preparation of This Studies
2.1 Objectives
The primary objective of this study is to comprehensively depict the progression of lexicography research and discern the noteworthy research themes through the networks of co-cited references and co-occurring keywords. Meanwhile, it also hopes to identify the research networks, including the countries/regions, institutions, authors, and journals. Ultimately, the above analysis aims to discover research gaps, developing trends, and hotspots within the field.
2.2 Data Collection
With the Web of Science Core Collection (WOSCC) database as the data source, the search terms employed in this study are ‘dictionar*’ OR ‘lexicograph*’. The categories are limited to ‘Language Linguistics’ and ‘Linguistics’, publication types to ‘article’ and ‘review’, and document types to ‘Article’, ‘Proceeding Paper’, ‘Editorial Material’, ‘Review Article’, and ‘Early Access’, with no limitation of language and time. Among the full records with cited references published before 2 September 2023, 7303 articles have been retrieved by WOSCC, with 7302 data items obtained by CiteSpace for analysis.
2.3 Methodology
This study employs visual software tools, namely CiteSpace (version 6.2.R4) and VOSviewer (version 1.6.19), for the analyses. As a visual analytic tool for visualising landmarks, critical paths, and emerging trends in a field of study based on relevant scholarly publications (Chen, 2022), CiteSpace is used to extract collaboration networks (countries/regions and institutions), co-citation analyses (co-cited authors, co-cited references, and co-cited journals), co-occurrence analyses (co-occurring keywords networks), and burst analyses (countries/regions, institutions, authors, references, and keywords). On the other hand, VOSviewer is a software tool for constructing and visualising bibliometric networks, which is used to obtain network maps of most-cited journals and co-occurring keywords networks in this study.
3. Results
3.1 Publication Outputs
The ultimate dataset has a total of 7302 papers, including 5333 articles, 1763 conference papers, 132 editorial materials, and 3 early access publications. These studies were published in 34 distinct languages, spanning the time period from 1956 to 2023. In 1956, the publication of two academic works on lexicography, Pfeffer’s *Bilingual Lexicography* and Malkiel’s *Linguistic Problems in a New Hispanic Etymological Dictionary*, marked the beginning of lexicography study. Although the annual quantity of publications generally below ten between 1956 and 1980, the number of annual publications increased yearly from 1981 onwards. Notably, in 2020, the number of annual publications peaked at 622, as shown in Figure 1.
The publication of lexicographic articles is closely related to the occurrence of academic conferences. For instance, the third international EURALEX conference took place in 1990, resulting in 89 articles published that year, marking the record before the 21st century. Besides, the significant rise in the number of articles published in 2014, 2015, and 2016 can be attributed to one or more lexicographic or linguistic conferences of that year. In addition, the inclusion of articles from the *International Journal of Lexicography* and *Lexikos* in Web of Science in 2003 and 2005 also positively influenced the subsequent number of publications and citations.
### 3.2 Analysis of Co-Cited References
The term co-citation was first introduced by Small, who argued that ‘co-citation is the frequency with which two items of earlier literature are cited together by the later literature’ (Small, 1973). Therefore, systematic reviews significantly benefit from co-citation networks because co-citation linkages may show how groups continuously change apart from initial publications. The research clusters, most cited papers, and turning-point papers will each be examined separately.
#### 3.2.1 Clusters of Research
Generally, co-citation clustering refers to the formation of clusters of co-cited references (Boyack & Klavans, 2010). For papers published between 1956 and 2023, a map of reference co-citation is presented with corresponding clusters. Among the 44 clusters found, only the top 20 clusters are demonstrated based on the number of citations within. According to Figure 2(A), showing the co-citation references network, and Figure 2(B), demonstrating correspondent clustering analysis, which is obtained with CiteSpace, these clusters are considered highly credible ($Q = 0.8679$, $S = 0.9656$) (Note 1).
The transition between clusters before and after the 21st century exhibits noticeable differences. Although the research clusters demonstrated a robust structure before the turn of the century, each cluster operated independently from the others with limited interconnections, such as cluster #12 ('linguistic description'; 16; S = 1; 1963) (Note 2), #9 ('anglicism'; 21; S = 1; 1978), #14 ('semantic theories'; 14; S = 1; 1975), #17 ('American lexicography'; 11; S = 1; 1973), #13 ('role'; 16; S = 1; 1988), and #19 ('corpus-based approach'; 10; S = 1; 1991). Therefore, the continuity of each research cluster is weak. However, a notable correlation between research clusters and enhanced research continuity has emerged in the new century. In this way, the evolutionary timeline of the clusters demonstrates a broad pattern in the progression of lexicography after the 21st century, with the trend starting in 2006, showcasing cluster #7 ('francais-pove mickala manfoumbi'; 29; S = 0.999; 2000), which has proved the research foundation for cluster #4 ('second language'; 68; S = 0.935; 2005) and cluster #1 ('practical lexicography'; 123; S = 0.925; 2008). Meanwhile, cluster #4 provided a research foundation for cluster #1 from 2008 to 2013, while cluster #8 ('empirical investigation'; 24; S = 0.989; 2000) also presented a research foundation for cluster #4 in 2010. In this way, clusters #4, #1, and #6 ('learners dictionaries'; 37; S = 0.999; 1987) further evolved into cluster #0 ('online dictionaries'; 175; S = 0.907; 2015). More recently, cluster #4 and cluster #0 became cluster #3 ('sports term'; 93; S = 0.964; 2018), and cluster #3 has a connection with cluster #2 ('cross-lingual word embedding'; 109; S = 0.989; 2017) in 2023.
In order to get deeper insights into current research trends, this investigation is centred on the network of co-cited literature from 2018 to 2023. As mentioned above, the reference co-citation with corresponding clusters is mapped out for articles from 2018 to 2023. Among the identified 38 clusters, only the top 20 are present based on the number of citations within each cluster. As shown in Figure 3(A), demonstrating the co-citation references network, and 3(B), depicting the correspondent clustering analysis obtained with CiteSpace, two emerging research trends are noticeable from the analysis. The first trend started from cluster #2 ('internet era'; 42; S = 0.903; 2014) with numerous lexicographical information research, and in 2018, it had evolved into cluster #3 ('lexicography-assisted writing assistant'; 34; S = 0.935; 2017), and in 2020 into cluster #4 ('virtue environment'; 32; S = 0.85; 2018). The second trend shows that 'cross-lingual word embedding' provided research foundations for cluster #0 ('neural machine translation'; 53; S = 0.872; 2018) from 2019 to 2021.
3.2.2 Most Cited References And Turning-point References
Among the ten most co-cited references presented in Table 1, *The Oxford Guide to Practical Lexicography* (Atkins & Rundell, 2008) remains the most co-cited reference, with 51 citations in the mapped network. The top rang also includes *Theory and Practice of Specialised Online Dictionaries: Lexicography versus Terminography* (Fuertes-Olivera & Tarp, 2014), with 38 citations in the network. Besides, the paper on natural language processing published by Bojanowski et al. (2017) in the *Transactions of the Association for Computational Linguistics*, ranks third among the most cited references, demonstrating 35 citations in the network.
Articles with citation bursts are considered the center of attention at some point of time (Chen, 2022). Through a burst analysis of the co-cited literature spanning the years 1956 to 2023 and the more recent period from 2018 to 2023, the top 12 most co-cited papers are extracted, respectively. According to the burst analysis, the top three references with the most substantial citation burst are two books (Atkins et al., 2008; Tarp et al., 2008) and one dictionary (*Diccionario de la lengua española*, 2014). However, when focusing on the past five years, the first place goes to Devlin et al.’s (2019) paper introducing a new language representation model called BERT, followed by Vaswani et al.’s (2017) paper on the new model of machine translation. As can be seen, lexicographic research has started to concentrate on fields like machine translation and neuroscience, thanks to the rapid development of information technology.
The ‘turning-point’ papers can be identified through the betweenness centrality. In other words, nodes with high betweenness centrality generally connect different clusters as key hubs. Firstly, Nation ISP’s (2001) book *Learning Vocabulary in Another Language*, central to cluster #4 (‘second language’), is not only a fundamental work in
language teaching and learning research but also further develops cluster #0 ('online dictionaries'). Similarly, Kosem et al.’s (2019) article about the example extraction tools GDEX (Good Dictionary Examples), is essential to cluster #3 ('sports term').
Table 1. The top 10 co-cited references
| Number of Citations | Centrality | Author | Year | Title | Source | Cluster ID | Type |
|---------------------|------------|---------------------------------------------|------|----------------------------------------------------------------------|---------------------------------------------|------------|----------|
| 51 | 0.03 | B. T. Sue Atkins, Michael Rundell | 2008 | *The Oxford Guide to Practical Lexicography* | OXFORD UNIVERSITY PRESS | 1 | Book |
| 38 | 0.02 | Pedro A. Fuertes-Olivera, Sven Tarp | 2014 | *Theory and Practice of Specialised Online Dictionaries: Lexicography versus Terminography* | De Gruyter | 0 | Book |
| 35 | 0.01 | Piotr Bojanowski, Edouard Grave, Armand Joulin, Tomas Mikolov | 2017 | *Enriching Word Vectors with Subword Information* | Transactions of the Association for Computational Linguistics | 2 | Article |
| 35 | 0 | Real Academia Española | 2014 | *Diccionario de la lengua española* | Real Academia Española | 21 | Dictionary |
| 32 | 0.03 | Sylviane Granger (ed.), Magali Paquot (ed.) | 2012 | *Electronic Lexicography* | Oxford University Press | 0 | Book |
| 32 | 0.02 | Sven Tarp | 2008 | *Lexicography in the Borderland between Knowledge and Non-Knowledge: General Lexicographical Theory with Particular Focus on Learner's Lexicography* | Max Niemeyer Verlag | 1 | Book |
| 31 | 0.07 | Nation I.S.P. | 2001 | *Learning vocabulary in another language* | Cambridge University Press | 4 | Book |
| 26 | 0.03 | Hanks Patrick | 2013 | *Lexical Analysis: Norms and Exploitations* | MIT Press | 0 | Book |
| 23 | 0.02 | Pedro A. Fuertes-Olivera(ed.), Henning Bergenholz (ed.) | 2011 | *E-Lexicography. The Internet, Digital Initiatives and Lexicography* | Continuum | 1 | Book |
| 23 | 0.03 | R. H. Gouws, D. J. Prinsloo | 2005 | *Principles and Practice of South African Lexicography* | Stellenbosch African Sun Media | 1 | Book |
3.3 Co-Occurring Keywords Network
In the analysed dataset, there are 14,373 keywords, with 299 occurring at least ten times in frequency. With these 299 keywords, the research hotspots concerning microstructure, lemma, dictionary type, dictionary language, and the number of dictionary languages can be identified, as shown in Table 2. Regarding the microstructure of dictionaries, research hotspot is semantics (n = 277), followed by phraseology (n = 127), collocation (n = 119), and etymology (n = 101). The most studied lemma type is term (n = 162), followed by neologism (n = 98), idiom (n = 77), and dialect (n = 72). Meanwhile, further research also discovers that the terms’ categories encompass agricultural, architectural and design, electronic, and touristic-cultural aspects. Besides, the most attention paid to the part of speech of words goes to the verb (n = 35), followed by the proverb (n = 32), noun (n = 15) and adjective (n = 14). In addition, the most studied type of dictionary is electronic dictionary (n = 100), followed by online dictionary (n = 86), historical dictionary (n = 76) and learner’s dictionary (n = 57). Not surprisingly, the top two dictionary types are related to electronic tools, which proves Hanks’ statement that ‘Lexicography of the future will surely aim to create electronic tools’ (De Schryver, 2012a).
Lexicographic languages of interest to lexicographers include English (n = 211), Russian (n = 119), Spanish (n = 58) and French (n = 51), with English taking the lead by a wide margin and Arabic (n = 13) and Chinese (n = 11), which are known as the working languages of the United Nations, receiving comparatively less attention in research endeavors. For the number(s) of languages involved, bilingual dictionaries (n = 138) have attracted the most attention, followed by monolingual dictionaries (n = 51). Even though the ‘Big Five’ have all launched their own monolingual English learner’s dictionaries and continue to update them regularly, bilingual dictionaries remain the focus of lexicographers’ research. Dictionaries in other languages number, such as multilingual dictionaries, have received less attention.
This study also covers the keyword bursts in the analyses, where keywords that experienced a surge in occurrences serve as indicators of hot topics (Chen, 2022). The results exhibit the most significant citation bursts in ‘text reception’ (6.95) and ‘text production’ (6.95) between 2005 and 2012. In particular, the keyword ‘second language’ demonstrates the most extended burst duration, spanning 16 years from 1996 to 2012. Comparatively, the ‘Russian language’ shows a significant citation burst of 5.61 in 2023. When considering the period between 2018 and 2023, ‘pedagogical lexicography’ ranks highest in burst strength and duration, scoring 4.24.
Table 2. Top 10 key words
| Microstructure | Freq | Lemma | Freq | Dictionary types | Freq | Language | Freq | Number of languages | Freq |
|----------------|------|---------|------|-----------------------------------|------|----------|------|---------------------|------|
| Semantics | 277 | Term | 162 | Electronic dictionary | 100 | English | 211 | Bilingual dictionary| 138 |
| Phraseology | 127 | Neologism| 98 | Online dictionary | 86 | Russian | 119 | Monolingual dictionary| 51 |
| Collocation | 119 | Idiom | 77 | Historical dictionary | 76 | Spanish | 58 | Multilingual dictionary| 14 |
| Etymology | 101 | Dialect | 72 | Learner’s dictionary | 57 | French | 51 | | |
| Metaphor | 82 | Loanword| 28 | Specialized dictionary | 25 | Polish | 39 | | |
| Phonology | 64 | Slang | 18 | Corpus-based dictionary | 24 | German | 29 | | |
| Polysemy | 62 | Verb | 35 | Dialect dictionary | 24 | Italian | 29 | | |
| Morphology | 45 | Proverb | 32 | Explanatory dictionary | 16 | African | 26 | | |
| Grammar | 40 | Noun | 15 | Terminological dictionary | 11 | Czech | 20 | | |
| Equivalence | 39 | Adjective| 14 | Pronunciation dictionary | 10 | Croatian | 17 | | |
Based on the average publication years, this study extracts the visualisation overlay for the co-occurring keyword networks with VOSviewer. Except for the keywords analysed above, some of the most cited keywords are corpus (n = 147), translation (n = 140), and dictionary use (n = 102).
3.4 Analysis of Major Co-Cited Journals and Authors
Co-cited journals can indicate high-impact journals in the field of lexicography. The ten journals with the most citations are *International Journal of Lexicography*, *Lexikos*, *Natural Language Engineering*, *Applied Linguistics*, *Lexicographica*, *Computational Linguistics*, *TESOL Quarterly*, *Lecture Notes in Computer Science*, *Language learning*, and *Modern Language Journal* (Table 3). When considering the period between 2018 and 2023, the top 5 journals with the most citations are *International Journal of Lexicography*, *Lexikos*, *Natural Language Engineering*, *Applied Linguistics*, and *Computational Linguistics*. In the past five years, the ranking of journal co-citation frequency has remained the same.
Besides, among the co-cited journals with the most publications over the past 20 years, the five journals with the most articles are *Lexikos* (n = 429), *International Journal of Lexicography* (n = 373), *Voprosy Leksikografii* *Russian Journal of Lexicography* (n = 140), *Vestnik Volgogradskogo Gosudarstvennogo Universiteta Seriya 2 Yazykoznanie* (n = 113), and *Lecture Notes in Artificial Intelligence* (n = 110).
Co-cited authors can signify influential figures within the lexicography field, identifying highly influential authors and those who operate as linkages between clusters and share common research interests. Overall, the most
frequently co-cited author is Tarp S, followed by Atkins BTS, Bergenholtz H, Wiegand HE, Gouws RH, Sinclair J, Lakoff G, Rundell M, and Zgusta L. At the same time, the timeline of co-cited author clusters identifies Hausmann FJ and Wiegand HE as two major authors linking clusters #0 (‘online dictionaries’) and #1 (‘new media’). In order to get deeper insights into current high-impact authors, this investigation is centred on the network of co-cited authors from the last five years (2018–2023). The top 5 co-cited authors in the past five years are Tarp S, Atkins BTS, Lew R, Gouws RH, and Lakoff G.
Authors with a burst of occurrences indicate rising stars with spectacular productivity (Chen, 2022). In the last five years, the top three authors with the most vigorous citation bursts are Devlin J, Wolf T, and Vaswani A. Notably, Devlin J demonstrates both a high burst strength and a significant centrality of 0.11, suggesting his position as an emerging author who has been frequently cited in the past five years and a connector between cluster #2 (‘frame semantics’) and cluster #3 (‘cross-lingual word embedding’).
Table 3. Top 10 co-cited journals
| Journals with most citations (1956–2023) | Initial year | Impact factor (2022) | Total co-citations | Total articles |
|-----------------------------------------|--------------|----------------------|--------------------|---------------|
| International Journal of Lexicography | 1988 | 0.5 | 948 | 373 |
| Lexikos | 1991 | 0.4 | 605 | 429 |
| Natural Language Engineering | 1995 | 2.5 | 386 | 26 |
| Applied Linguistics | 1980 | 3.6 | 377 | 27 |
| Lexicographica | 1985 | 0.3 | 302 | 56 |
| Computational Linguistics | 1974 | 9.3 | 268 | 27 |
| TESOL Quarterly | 1967 | 3.2 | 209 | 10 |
| Lecture Notes in Computer Science | 1973 | 1.27 | 200 | 33 |
| Language learning | 1948 | 4.4 | 199 | 13 |
| Modern Language Journal | 1916 | 4.9 | 194 | 19 |
3.5 Analysis of Cooperation Networks Across Countries/Regions and Institutions
Among the 124 countries/regions involving the analysed dataset, 79 countries exhibit over five article publications. According to the network of the co-authors’ countries illustrated in Figure 4(A), each node’s dimensions represent the issuance volume of the respective country or region. At the same time, the connecting lines symbolise collaborative partnerships among countries or regions. The purple outer circle around a node indicates a high centrality, signifying its significant influence within the network. Therefore, the top five countries/regions that demonstrate the highest number of publications are Russia (n = 788), Spain (n = 723), the US (n = 497), Germany (n = 433), and the People’s Republic of China (n = 319), collectively representing 38% of the overall article count. Meanwhile, the top five countries/regions exhibiting the highest centrality levels are Spain, the US, South Africa, the UK, and Germany, revealing that the US is the most cited country (n = 5440), followed by Germany (n = 3059), the UK (n = 2677), Canada (n = 2276) and Spain (n = 1661).
When considering the past 5 years (2018–2023), the ranking of the top five countries/regions with the highest number of publications remain consistent, except for the People’s Republic of China, which surpasses Germany in position. Yet, the top 5 countries/regions with the highest centrality have shifted notably, with the US, Russia, Germany, Spain, and South Africa leading the way. Moreover, the US remains the most cited country when it comes to the number of citations.
The examination of burstness indicates that the US had the most significant citation burst (51.65) and the most extended burst duration (1977–2007), with the top 12 countries/regions exhibiting bursts before 2013. However, further examination in the last five years (2018–2023) reveals that only Kazakhstan exhibits bursts, despite its weakness (2.1). In this way, the number of articles from each country/region has been generally steady in recent years, with no significant increase in a particular country/region.
The analysed data contains 3038 institutions, of which 671 are in partnership with each other. It is observed that 382 institutions within this dataset exhibit an article publication frequency exceeding five times. According to Figure 4(B), which illustrates the network of co-authors’ institutions, the top five institutions with the most papers are: Russian Academy of Sciences (n = 144), Stellenbosch University, Centre National de la Recherche Scientifique (CNRS), UDICE-French Research Universities and Aarhus University. The top 5 institutions with the most centrality are: Austrian Academy of Sciences, KU Leuven, Aarhus University, Russian Academy of Sciences, Centre National de la Recherche Scientifique (CNRS) and Hungarian Academy of Sciences.
When considering a limited period of the past five years, the Russian Academy of Sciences (n = 108) has
maintained its position as the institution with the highest number of publications, followed by the Ministry of Education & Science of Ukraine, Stellenbosch University, the Centre National de la Recherche Scientifique (CNRS), and Tomsk State University. The Ministry of Education & Science of Ukraine has seen a significant increase in the articles published in the last five years. Moreover, the centrality of the Russian Academy of Sciences has increased, making it the highest centrality in the network of institutional collaborations in the last five years. Therefore, the Russian Academy of Sciences has occupied a leading position in terms of both publication output and influence when it comes to lexicography from 2018 to 2023.
The analysis of burstness reveals that Ghent University exhibits the most vigorous citation burst (13.81), while the University of Chicago has the longest burst duration (1974–2007). Additionally, the Saarland University demonstrates the most recent and the strongest citation burst (3.37).
Figure 4. (A) Network of the co-authors’ countries and (B) network of co-authors’ institutions (1956–2023)
4. Discussion
4.1 Summary of the Main Findings
The results demonstrate significant development in lexicography over the past seven decades. The exponential rise in lexicography publications since 1980 reflects a robust and expanding research landscape, with an annual publication count stabilizing at over 100 articles by 2010 and reaching a record-breaking 622 publications in 2020. The identified key countries/regions, institutions, authors, and journals provide valuable insights into the global distribution of lexicography research. Meanwhile, the findings of Russia leading in total publications, Spain in
centrality, and the US in citation count demonstrate the diverse and widespread nature of lexicography scholarship. The prominent works, such as *The Oxford Guide to Practical Lexicography*, and influential authors like Tarp S, Atkins BTS, Bergenholtz H, Wiegand HE, and Gouws RH, highlight the impact of specific publications and researchers within the field.
Furthermore, the analysis of the co-cited reference network from 1956 to 2023 reveals a growing association between research clusters and increased research continuity since the beginning of the 21st century, suggesting a maturing and interconnected research landscape while fostering collaboration and sustained inquiry.
Overall, these results signify the vibrant and dynamic characteristic of lexicography research, thanks to the extensive global participation, influential contributions, and evolving research networks, all of which contribute to the rich tapestry of scholarly inquiry within this domain.
4.2 Future Trends in Lexicography Research
Future development trends in lexicography studies can further be analysed from the co-cited reference clusters, burst detection, and keyword co-occurrence frequency. There are three main points.
4.2.1 Prioritising the User Perspective in Dictionary Compilation
The lexicographic viewpoint can be broadly divided into two categories: the compiler’s perspective and the user’s perspective. A gradual transition towards the user-centred paradigm since the late 1970s can be observed in global lexicography theory and practice (Geng & Wei, 2013), leading to the increasing marginalisation of the ‘compiler’s perspective’ in favour of the ‘user’s perspective’. The trend of focusing on the ‘user perspective’ in this study is reflected through the increase in keyword frequency for ‘dictionary use,’ ‘students,’ and ‘learners’. In particular, ‘students’ exhibits significant burst strength, ranking in the top twelve keywords for the research categories from 1956 to 2023 and 2018 to 2023.
*Dictionaries and Their Users*, a collection compiled by Hartmann in 1979, marked the initial endeavour to tackle the challenges encountered by dictionary users (McCreary & Dolezal, 1998). In the analysed dataset, while the first article containing ‘dictionary use’ among the keywords appeared in 1997, the first article containing the keywords ‘students’ and ‘learners’ appeared in 1997 and 2008, respectively. Since then, the number of articles has increased. Notably, the most current research on dictionary use has adopted the empirical or experimental paradigm based on the analyses of 102 articles identified through the keyword ‘dictionary use’. Meanwhile, the advancing research on ‘dictionary use’ has coincided with an increase in empirical studies in this field, revealing a tendency towards more reliable and convincing results and conclusions.
4.2.2 Emphasising Online and Electronic Dictionary Development
Most dictionaries can be classified with several properties, among which three categorisation methods are considered the most common. Initially, dictionaries can be classified into monolingual, bilingual, and multilingual dictionaries based on the number(s) of languages involved. Meanwhile, general dictionaries, specialised dictionaries, and learners’ dictionaries can be classified based on the types of dictionary users. In addition, paper-based dictionaries and online or electronic dictionaries are categorised based on the different presentation mediums. The primary dictionary category prioritised by lexicographers is electronic and online dictionaries. According to the data in Table 2, electronic and online dictionaries are more prevalent as keywords, which are expected to be the subject of extensive research in the future. Furthermore, the analysis of co-cited references clusters spanning from 1956 to 2023 (Figure 1) recognises ‘online dictionary’ cluster as the biggest.
The distinction between electronic and online dictionaries is ambiguous. According to Tarp (2012), internet dictionaries are considered synonymous with electronic dictionaries. Dai and Xu (2014), conversely, posited online dictionaries as a form of electronic dictionaries, and they argued that an electronic dictionary for general users refers to a dictionary that uses a hard disk, CD-ROM, disk or chip as a storage medium and presents the information on the screen of personal computers, cell phones, and other terminals with the help of a microprocessor and related computers, networks, and other technologies for the use of general users. No matter how electronic dictionaries and online dictionaries are divided, it is indisputable that they represent the predominant direction for dictionary development.
The Oxford English Dictionary introduced its first electronic dictionary in 1988 and subsequently made the decision to discontinue its print version in 2010. Meanwhile, the print version of Macmillan Dictionary ceased publication in 2013. Electronic dictionaries and online dictionaries have developed rapidly, with major dictionaries introducing their own dictionary applications. However, it is important to note that electronic dictionaries and online dictionaries should not be regarded as mere electronic replicas of traditional paper dictionaries, and there
are big differences between the two in terms of compilation style, information storage mode and retrieval mode, etc. Hence, lexicographers are dedicated to investigate the methodologies of handling and displaying information within the context of electronic dictionaries and online dictionaries. The relative research includes: multimodal exemplification (Liu, 2015) and multimodal definition (Liu, 2017); the use of electronic dictionaries and user’s needs (Lew & De Schryver, 2014); the colour of functional label (Dziemianko, 2015); the impact of corpus for dictionary makers and users (Heuberger, 2016); information and data overload (Gouws & Tarp, 2016); and the typography in online English learner’s dictionaries (Hao et al., 2022).
4.2.3 Exploring Dictionary Integration With Modern Technology
Modern technology is gradually taking up the compilation and utilization of dictionaries. Initially, it has been seamlessly integrated into the entire dictionary compilation process. For example, the corpus has become a vital tool for compiling dictionaries, with major English dictionaries having established their own corpora to provide data support for dictionary compilation. Nevertheless, there remains to be a challenge posed by the expanding corpus size in the data screening for lexicographic compilation. According to Rundell (2002), a transition exists in corpus lexicography, away from the emphasis on corpora size and composition, which was frequently discussed in the 1980s and 1990s. Therefore, the focus should be on the recent difficulties in effectively extracting lexicographically significant information from extensive text databases.
Lexicographic technology involves several stages, including developing corpus construction and retrieval tools, extracting, analysing, and retrieving corpus, and improving the multimodal presentation of lexicographic textual information (Geng & Wei, 2017). Currently, researchers have investigated relevant technologies. For instance, Geng and Wei (2017) introduced the Verb Sketch System, a technical modal for composing verb entries in English-Chinese learner’s dictionaries, as an illustrative case to explore the lexicography technology development. Then, Kosem et al. (2019) designed the first extraction tool, the GDEX (Good Dictionary Examples), to assist lexicographers in identifying high-quality examples. Furthermore, bilingual word embeddings in natural language processing has been employed in lexicography to facilitate the creation of bilingual dictionaries (Mikolov et al., 2013). However, there remains a notable lack of systematic studies focusing on the technologies for compiling dictionaries from a general viewpoint, compared to other research areas, such as dictionary usage.
Modern technology has significantly influenced the usage of dictionaries, making them more than just traditional paper-based or electronic resources for finding information. Nowadays, dictionaries are increasingly integrated into a tool designed to assist reading, writing, and translation. Based on the reference timeline for co-citation clusters over the past five years, cluster #0 neural machine translation, cluster #1 cross-lingual word embedding, and cluster #3 lexicography-assisted writing assistant have emerged as research areas particularly active between 2018 and 2023, suggesting lexicographers’ attention on investigating lexicographic principles integration for writing, translation, and reading platforms and programmes. For example, Frankenberg-Garcia et al. (2019) have established a project named ColloCaid (www.collocaid.uk) for those wishing to master English collocations for academic purposes. Meanwhile, by describing the functionalities of various digital writing assistants, Olivera and Tarp (2020) focus on one such tool, the Spanish-English Write Assistant. In addition, inspired by a monolingual speaker’s acquisition of translation skills through reference to a bilingual dictionary, Duan et al. (2020) have proposed a novel machine translation task with a ground-truth bilingual dictionary and large-scale monolingual corpora but no available parallel sentences.
4.3 Limitations
Thanks to the significant number of references and the consistency of clusters, this study’s analysis is considered successful. However, it is still impossible to rule out abnormal clusters. Meanwhile, since the data were only collected from WOSCC, which fails to cover all lexicographic outputs, a somewhat incomplete retrieval of the publication may affect the accuracy of the findings.
5. Conclusion
Since lexicographical practice and theoretical research complement one another, the development of one leads to the improvement of the other. This scientometric study presents a visual analysis of the literature about lexicographic research within the WOSCC spanning the years 1956 to 2023, presenting a comprehensive overview of the current state of lexicographic research from a macroscopic standpoint. Therefore, the emerging trends, focal areas of interest, and gaps can be identified in lexicography research, offering valuable insights to researchers seeking to comprehend the evolutionary trajectory of lexicographic research.
Acknowledgments
This study was supported by the Innovative Research Projects of Postgraduates in Guangdong University of Foreign Studies (No. 24GWCXXM-102). I am grateful to the anonymous reviewers for their insightful comments and valuable suggestions.
Authors contributions
Not applicable
Funding
This study was supported by the Innovative Research Projects of Postgraduates in Guangdong University of Foreign Studies (No. 24GWCXXM-102).
Competing interests
The authors declare that they have no known competing financial interests or personal relationships that could have appeared to influence the work reported in this paper.
Informed consent
Obtained.
Ethics approval
The Publication Ethics Committee of the Canadian Center of Science and Education.
The journal’s policies adhere to the Core Practices established by the Committee on Publication Ethics (COPE).
Provenance and peer review
Not commissioned; externally double-blind peer reviewed.
Data availability statement
The data that support the findings of this study are available on request from the corresponding author. The data are not publicly available due to privacy or ethical restrictions.
Data sharing statement
No additional data are available.
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McCreary, D. R., & Dolezal, F. (1998). Language Learners and Dictionary Users: Bibliographic Findings and Commentary. In T. Fontenelle, P. Hiligsmann, A. Michiels, A. Moulin & S. Theissen (Eds.), *The Eighth EURALEX International Congress on Lexicography, EURALEX’98 Proceedings, Liège, Belgium, 4–8 August 1998* (pp. 611–618). Liège: Département d’anglais et de néerlandais, Université de Liège.
Mikolov, T., Le, V., & Sutskever, I. (2013). *Exploiting Similarities among Languages for Machine Translation* (arXiv:1309.4168). arXiv.
Nation, I. S. P. (2001). *Learning vocabulary in another language* (Vol. 10). Cambridge: Cambridge university press. https://doi.org/10.1017/CBO9781139524759
Quemada, B. (1972). Lexicology and lexicography. In T. A. Sebeok (Ed.), *Current trends in linguistics* (vol. 9 Linguistics in Western Europe, pp. 395–475). The Hague: Mouton. https://doi.org/10.1515/9783111561929-011
Rundell, M. (2002). Good Old-fashioned Lexicography: Human Judgment and the Limits of Automation. In M. - H. Corréard (Ed.), *Lexicography and Natural Language Processing: A Festschrift in honour of B. T. S. Atkins* (pp. 138–155). Stuttgart: EURALEX.
Small, H. (1973). Co-citation in the scientific literature: A new measure of the relationship between two documents. *Journal of the American Society for Information Science*, 24(4), 265–269. https://doi.org/10.1002/asi.4630240406
Tarp, S. (2008). *Lexicography in the borderland between knowledge and non-knowledge: general lexicographical theory with particular focus on learner’s lexicography*. Berlin: Mouton de Gruyter. https://doi.org/10.1515/9783484970434
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Notes
Note 1. The degree to which a network may be divided into modules or clusters is measured by the network’s modularity (also known as the Q score). When the cluster structure is considered significant, the Q metric—which ranges from 0 to 1—must be greater than 0.3. An approach for analysing and confirming consistency within data clusters is the silhouette (also known as the S score). When the S score exceeds 0.3, it indicates that the cluster network is homogeneous, and a value of 0.7 is considered highly reliable. The S measure goes from -1 to +1. A silhouette score of 1 means the cluster is relatively isolated.
Note 2. The information in parentheses represents the clusters’ label, size, silhouette score and the average year of publication of the cluster members.
Copyrights
Copyright for this article is retained by the author, with first publication rights granted to the journal. This is an open-access article distributed under the terms and conditions of the Creative Commons Attribution license (http://creativecommons.org/licenses/by/4.0/).
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TACOMA POWER / GENERATION
REQUEST FOR QUALIFICATIONS
CUSHMAN 2 POWERHOUSE UNIT 31, 32 REBUILD PROJECT
SPECIFICATION NO. PG21-0529F
Cushman 2 Powerhouse
Unit 31, 32 Rebuild Project
Request for Qualifications (RFQ)
Design-Build Services
PG21-0529F
RFQ Release Date:
May 17, 2021
Statement of Qualifications (SOQ) Submittal Deadline:
June 8, 2021 at 11:00 AM (PDT)
PROJECT LOCATION: Cushman 2 Powerhouse, Mason County, WA
PROJECT DESCRIPTION: The City of Tacoma seeks Statements of Qualifications (SOQs) from qualified firms to provide Design-Build (DB) Services for the Cushman 2 Unit 31, 32 Rebuild Design-Build Project (Project). The Project will consist of design, manufacturing, procurement, and construction services for the replacement, repair, and refurbishment of components of two (2) vertical hydroelectric turbine-generator units. The Allis-Chalmers units were originally installed in the 1930’s and are rated 30 MVA each.
DB CONTRACT ESTIMATE: $20,000,000 – $22,000,000
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REQUEST FOR QUALIFICATIONS PG21-0529F
Cushman 2 Unit 31, 32 Rebuild
Submittal Deadline: 11:00 a.m., Pacific Time, Tuesday, June 8, 2021
Submittal Delivery: Sealed submittals will be received as follows:
By Email:
firstname.lastname@example.org
Maximum file size: 35 MB. Multiple emails may be sent for each submittal
Bid Opening: Held virtually each Tuesday at 11AM. Attend via this link or call 1 (253) 215 8782. Submittals in response to a RFQ will be recorded as received. As soon as possible on the day of submittal deadline, preliminary results will be posted to www.TacomaPurchasing.org.
Solicitation Documents: An electronic copy of the complete solicitation documents may be viewed and obtained by accessing the City of Tacoma Purchasing website at www.TacomaPurchasing.org.
- Register for the Bid Holders List to receive notices of addenda, questions and answers and related updates.
- Click here to see a list of vendors registered for this solicitation.
Pre-Proposal Meeting: A pre-proposal meeting will be held virtually May 21, 2021 at 8:30 a.m. PST. Attend via this link. Firms requiring telephone access to this meeting can direct inquiries to Doreen Klaaskate, Senior Buyer at email@example.com. The City requests that firms have a maximum of two representatives for this meeting.
Project Scope: The City of Tacoma seeks Statements of Qualifications (SOQs) from qualified firms to provide Design-Build (DB) Services for the Cushman 2 Unit 31, 32 Rebuild Design-Build Project (Project). The Project will consist of design, manufacturing, procurement, and construction services for the replacement, repair, and refurbishment of components of two (2) vertical hydroelectric turbine-generator units.
Estimate: $20,000,000 - $22,000,000
Paid Leave and Minimum Wage: Effective February 1, 2016, the City of Tacoma requires all employers to provide paid leave and minimum wages, as set forth in Title 18 of the Tacoma Municipal Code. For more information visit www.cityoftacoma.org/employmentstandards.
Americans with Disabilities Act (ADA) Information: The City of Tacoma, in accordance with Section 504 of the Rehabilitation Act (Section 504) and the Americans with Disabilities Act (ADA), commits to nondiscrimination on the basis of disability, in all of its programs and activities. Specification materials can be made available in an alternate format by emailing Gail Himes at firstname.lastname@example.org, or by calling her collect at 253-591-5785.
Federal Title VI Information:
"The City of Tacoma" in accordance with provisions of Title VI of the Civil Rights Act of 1964, (78 Stat. 252, 42 U.S.C. sections 2000d to 2000d-4) and the Regulations, hereby notifies all bidders that it will affirmatively ensure that in any contract entered into pursuant to this advertisement, disadvantaged business enterprises will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, national origin in consideration of award.
Additional Information: Requests for information regarding the specifications may be obtained by contacting Doreen Klaaskate, Senior Buyer by email to email@example.com
Protest Policy: City of Tacoma protest policy, located at www.tacomapurchasing.org, specifies procedures for protests submitted prior to and after submittal deadline.
Meeting sites are accessible to persons with disabilities. Reasonable accommodations for persons with disabilities can be arranged with 48 hours advance notice by calling 253-502-8468.
# TABLE OF CONTENTS
1.0 Introduction .................................................................................................................. 1
2.0 Project Description ..................................................................................................... 1
3.0 Request for Qualifications ............................................................................................ 5
4.0 Request for Proposals ................................................................................................... 13
5.0 Negotiation, Award, and Execution .............................................................................. 15
6.0 General Conditions ....................................................................................................... 16
## Attachment
- **Attachment A** City’s Signature Page – Receipt of Addenda
- **Attachment B** Index of Confidential and Proprietary Information
- **Attachment C** Draft Contract
- **Attachment D** Draft General Terms and Conditions
- **Attachment E** Draft Insurance Requirements
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1.0 INTRODUCTION
The City of Tacoma (City), is using a two-step process to select a Design-Builder for the rehabilitation of two hydroelectric turbine-generator units (Unit 31, 32) at the City’s Cushman 2 Powerhouse utilizing the Design-Build (DB) project delivery method authorized under RCW 39.10. The City was granted project approval from the State of Washington Capital Projects Advisory Review Board, Project Review Committee on December 3, 2020 to use the Design-Build delivery method.
This Request for Qualifications (RFQ) initiates the first step of the procurement, wherein the City will evaluate submitted Statements of Qualifications (SOQs) from experienced Proposers and select up to three (3) of the highest ranked Proposers to participate in the second step of the procurement. The second step consists of a Request for Proposals (RFP) process to submit competitive sealed Proposals for design and construction of the Project, as more specifically described in the RFP documents. The City intends to award the Design-Build Contract for the Project to the Finalist offering the Proposal that is ranked highest.
The City will pay an honorarium of $60,000 to all non-successful Finalists who fully participate in the RFP process, including but not limited to submitting a responsive Proposal.
City personnel, in addition to technical consultants and a Design-Build advisor, have formed a team to provide technical oversight and Design-Build support for the Project. The City desires to partner with the Design-Builder to execute the Project, as described in the RFQ, and as will be described further in the RFP, and the final Design-Build Contract.
For clarity throughout the RFQ, the following terms and definitions apply.
**City** – The terms City, City of Tacoma, Owner, and Tacoma Power are synonymous and interchangeable in respect to this RFQ.
**Contract or Design-Build Contract or DB Contract** – The Design-Build Contract the City anticipates executing through this procurement process, as provided under RCW 39.10.330.
**Design-Build Team** – Members of the Design-Build Team including the Design-Builder and Major and Specialty Work providers.
**Design-Builder** – The firm or entity that will enter into the Design-Build Contract with the City and will be solely responsible for delivering the Project.
**Finalists** – The short-listed Proposers after SOQ evaluation.
**Major and Specialty Work** – includes design, supply and/or manufacturing of major components, rotor pole refurbishment, machining, installation, disassembly and reassembly, alignment, and commissioning and testing.
**Proposer** – The firm or entity responding to the RFQ; proposed Design-Builder.
2.0 PROJECT DESCRIPTION
2.1 Reasons for Using Design-Build Delivery
Hydroelectric turbine-generator rehabilitation is highly specialized work that requires simultaneous design, material sourcing, and manufacturing, which then must be coordinated and integrated with shipment, installation, and commissioning to meet outage schedules and reduce outage durations; this process lends itself to the use of a Design-Build project delivery method. The City will also use the Design-Build project delivery method to maximize innovation and efficiencies between the designer and the builder for this technical and complex integration of processes.
2.2 Project Background and Scope
The Cushman 2 Powerhouse located near Hoodspurt, WA was constructed in the 1930’s and today includes three vertical Francis hydroelectric turbine-generators. The powerhouse originally had two units, Units 31 and 32. The turbine-generators were supplied by Allis-Chalmers and include a vertical shaft and Francis-type turbine with a single turbine guide bearing. The generator components include a vertical shaft with a combined guide and thrust bearing mounted above the rotor and a guide bearing mounted below the rotor.
The Project will consist of design, procurement, manufacture and construction services to rehabilitate Unit 31 and 32 which have reached the end of their useful life. The third unit (Unit 33) is not included in the scope of work for this Design-Build project.
The generators are rated 30 MVA at 0.9 power factor with a rated terminal voltage of 12.6kV. The generators were last rewound in 1975 and 1977. The turbines have a synchronous speed of 300 rpm, outlet diameter of 88.75 inches, and rated net head of 455 feet. The runners were replaced in 1995. The bottom ring is one piece coupling the scroll case and telescopic draft tube. The bottom ring is considered non-removable and may be considered for redesign and replacement.
The anticipated scope of work for the project includes:
- Unit disassembly
- Refurbish the runner
- Perform condition assessment of major turbine and generator components
- Perform fatigue and FEA on critical components
- Replace the wicket gates
- Add wicket gate leaf end seals in headcover and bottom ring facing plates
- Replace wicket gate stem seals
- Install greaseless bushings for wicket gates, the operating ring and the linkages
- Refurbish servomotors
- Restore runner inner and outer crown seal water to turbine
- Add runner band seal water to turbine
- Add blowdown air to support synchronous condense mode of operation
- Cleanup and coat the water passages
- Refurbish the turbine pressure relief valve
- Refurbish existing headcover air inlet valve. Analysis of expanding air inlet system.
- Rewind the stator
- Replace the stator core (continuously stacked)
- Refurbish the rotor poles
- Refurbish the stator frame
- Provide screening and dehumidification on generator cooling inlet air
- Add instrumentation to generator and turbine
- Reassemble and commission the unit
*Engineering and design* is expected to include, but is not limited to: finite element analysis of highly stressed components to predict remaining life of those components that are to be re-used; wicket gates; wicket gate end seals; greaseless bushings; stator frame modifications or new stator frame; stator core; stator windings; generator cooling modifications; and rotor pole refurbishment. Analysis will also include resonant frequency analysis for stator core and frame. *Refurbishment* of the turbine-generator components is expected to include, but is not limited to: media blasting; non-destructive examination; engineering analyses; general repairs and refurbishments; modifications;
repair of cavitation, erosion, and wearing/galling; machining; and painting, bearings and lubrication system, as well as supply and installation of replacements for worn components such as bushings, seals, wearing rings, etc.
Site services are expected to include, but are not limited to: signature testing on the unit before and after the rebuild; unit disassembly; unit inspections; field machining of components; hazardous materials abatement; media blasting and recoating of turbine and generator parts, as necessary; unit reassembly; machine alignment per industry standards; unit check out, start-up, and commissioning; and performance testing.
Documentation shall be provided and include, but not be limited to, O&M manual for generator and turbine. Provide general assembly drawings, subassembly drawings, detail drawings. Drawings shall show all necessary dimensions and fabrication details, including the type and grade of materials, details of welded and bolted joint connections, tolerances on fits and clearances, surface finish, painting, nondestructive examinations, and all field joints.
2.3 Project Goals
The City has established the following Project Goals:
1. **Maximize the Project Budget and Efficiency of Operations.** The Design-Builder will efficiently design and construct the Project to:
a. Optimize capital investment by working collaboratively with the City to determine the best value scope and solutions.
b. Re-certify existing re-used components to meet or exceed specified project service life and other requirements.
c. Maximize efficiency by extending the timing between future outages and rewinds and reducing the need for both routine maintenance and infrequent major maintenance.
d. Consideration for improvements in safety and ease of maintenance in the design of new components.
e. Extend unit service life to additional 30 years.
2. **Excellent Design-Build Performance.** The Design-Builder will use a management approach to achieve the following objectives:
a. Appropriate decision-making authority for on-site personnel and an expedited analysis/decision process so that decisions by the Design-Build Team are made in a timely fashion so as not to impact the project schedule or delay the unit outage.
b. Excellent and intentional communication and collaboration with the City.
c. Transparent operations and decision making to reduce surprises to the City and reduce material changes to the project.
d. Reduced schedule delays and outages in the context of this project.
e. Provide timely resolution to issues, including specifically any issues discovered during the rehabilitation.
f. Reliable supply chain and a proven materials procurement plan.
g. No recordable safety incidents.
h. Manage the identification, location, and remediation of hazardous materials located at the jobsite.
3. **Quality.** The Design-Builder will employ a robust and effective Quality Management Plan and demonstrate superior technical expertise of personnel performing the work to achieve the following objectives:
a. Exceed technical and quality requirements for the Project.
b. Development and implementation of a clear and thorough Quality Management Plan that actively and transparently discovers, tracks, and successfully resolves quality issues before they impact schedule and cost.
### 2.4 Project Funding
The overall project was approved as part of the 2021/22 budget by the Tacoma Public Utility Board with funds available in Tacoma Power’s capital program. The estimated spend for the 2023/24 and 2025/2026 periods will be included in the City’s 2023/24 and 2025/26 budgets.
### 2.5 Project Schedule
The following is the anticipated project schedule. The City intends to complete the Design-Builder selection process and execute a Contract with the selected Design-Builder in a timely and efficient manner. The dates listed are preliminary and may be adjusted by the City during the procurement or project execution phases.
| Key Milestones | Target Date(s) |
|---------------------------------------|---------------------------------|
| **Step 1 – RFQ Phase** | |
| RFQ Released for Advertisement | May 17, 2021 |
| RFQ Virtual Review Meeting | May 21, 2021 |
| Deadline for Submitting Questions | May 28, 2021 |
| Last Day for City response to questions and to Issue Addenda | June 1, 2021 |
| Statement of Qualifications Deadline | June 8, 2021 at 11:00 AM PDT |
| Notification of Finalists | July 2021 |
| **Step 2 – RFP Phase** | |
| RFP Issued | August 2021 |
| RFP Virtual Review Meeting | September 2021 |
| Mandatory Site Visit | October 2021 |
| Proprietary Meeting #1 | October 2021 |
| Proprietary Meeting #2 | November 2021 |
| Proposal Deadline | December 7, 2021 at 11:00 AM PT |
| Proposal Evaluation | January – February 2022 |
| Interviews | February 2022 |
| Key Milestones | Target Date(s) |
|----------------------------------------------------|-------------------------|
| Announcement of Highest-Ranked Finalist | March 2022 |
| Design-Build Contract Negotiations | April – June 2022 |
| Design-Build Contract Execution | August 2022 |
### Project Execution
| Key Milestone | Target Date(s) |
|-------------------------------------------------------------------------------|-------------------------|
| Engineering and Design | September 2022 – Ongoing|
| Manufacturing | February 2022 – Ongoing |
| Unit 32 Outage – Construction, Commissioning and Operational Testing | April – October 2024 |
| Unit 31 Outage – Construction, Commissioning and Operational Testing | April – October 2025 |
| Project Closeout | November – December 2025|
### 3.0 REQUEST FOR QUALIFICATIONS
#### 3.1 Eligibility
Proposers who have a qualified Design-Build Team and are interested in being considered for selection as the Design-Builder may submit a SOQ in accordance with the requirements set forth in this RFQ. Proposer’s attention is directed to Section 3.7 Minimum Technical Qualifications.
#### 3.2 Statement of Qualification (SOQ) General Requirements
SOQs must address each topic below in a clear, comprehensive, and concise manner and in the format and order described below. SOQs should be prepared to provide straightforward and concise information that will enable the City’s Selection Advisory Committee (SAC) to efficiently evaluate them.
The SOQ shall be formatted as follows:
1. **Table of Contents.** Refer to Section 3.5 for required sections and order.
2. **Use tabs, or electronic bookmarks to separate the required SOQ sections.**
3. The City has strict page limits for certain sections of the SOQ as shown in Section 3.5. Any pages that exceed the page limit will not be considered for purposes of evaluation. While the City does not intend to reject SOQs for exceeding page limits, it will not consider any information on pages that exceed the page limitation for an individual section.
4. All SOQs shall be in an 8 ½” by 11” format with the exceptions noted. Proposers may use 11” by 17” format for plans, figures, drawings, schedules, exhibits, tables, or other illustrative and graphical information used in responding to the RFQ requirements. All 11” by 17” pages will be counted as one page. Pages in 11” by 17” format may not be used for narrative responses.
5. All information shall be in English.
6. All narrative text shall be single-spaced in a regular style font at a minimum of 11 points. The type style and size of headings and figures are not prescribed.
7. No text, tables, figures, photos, or other substantive content shall be printed within 1.0 inch of any page edge.
8. SOQs should only include information required by this RFQ.
9. SOQs shall be digital in PDF format. The complete SOQ shall be contained in a single, unlocked, searchable PDF file with bookmarks.
10. SOQs shall be submitted per the instructions on the information page located at the front of the RFQ. Proposers have full responsibility for ensuring that their SOQs are received by the City by the SOQ deadline.
3.3 **RFQ Submittal (SOQ) Evaluation Process**
Procurement and Payables will first review SOQs for responsiveness. The City may request clarification on any submittal. Those SOQs deemed responsive will be evaluated and scored.
SOQs will be evaluated by a Selection Advisory Committee (SAC). The SAC will be comprised of individuals familiar with the Project and knowledgeable in the scope of work, including representatives from the City and the City’s technical consultants.
The City reserves the right to determine, in its sole discretion, which projects submitted by the Proposer meet the definition of “Projects of Similar Scope and Complexity” and to award more points to Proposers who have performed work on projects that incorporate more of the characteristics set forth in this definition and that are more recent. The City also reserves the right to award more points to projects in which the Proposer’s Key Personnel had substantial responsibility for their respective scopes of work.
The SAC will evaluate and score the SOQs using the evaluation criteria and weighting presented in this RFQ. SOQs will be scored and then ranked in relation to all other SOQs submitted. Scores may range from zero points to the maximum points available, depending on the appropriateness and completeness of the response to the stated criteria.
The SAC will identify significant and minor strengths and weaknesses from the SOQs. The term “strength” is that part of the SOQ which ultimately represents a benefit to the Project and is expected to increase the Proposer’s ability to meet or exceed the Project Goals; a minor strength has a slight positive influence and a significant strength has a considerable positive influence on the Proposer’s ability to exceed the Project Goals. The term “weakness” is that part of the SOQ which detracts from the Proposer’s ability to meet the Project Goals and may result in inefficient or ineffective performance; a minor weakness has a slight negative influence and a significant weakness has a considerable negative influence on the Proposer’s ability to exceed the Project Goals.
The City may contact references furnished by Proposers at any stage in the selection process and may contact other sources that may not have been named by the Proposer but can assist the City in evaluating Proposers.
The City may perform a review of any Proposer’s financial status and capacity to perform the work. All Proposers shall comply with requests for information that are deemed necessary by the City to perform a reasonable review of the firm's financial status. The City reserves the right to reject any Proposer if the City’s analysis of the Proposer’s financial status and capacity indicates, in the City’s sole judgment, that the Proposer will not be able to successfully perform the work.
The City intends to select up to the three (3) highest ranked teams to form the short list to which the City intends to issue a RFP. The City will notify all Proposers submitting SOQs of the highest ranked Proposers who will be invited to submit Proposals in response to the Final RFP issued by the City. Scoring from the RFQ will not carry forward or be used in the determination of the selection of
3.4 Projects of Similar Scope and Complexity
The term “Projects of Similar Scope and Complexity” as used in this RFQ refers to projects the Proposer has successfully completed in North America within the last ten (10) years which have many, or all, of the characteristics listed below where the Proposer had prime responsibility. This term will be used when evaluating SOQs.
1. Projects that involved the refurbishment of generators (with minimum scope of new stator core with improved core clamping, new stator windings, and rotor pole reinsulation) rated between 10 and 50 MVA and of a similar speed range to Cushman Unit 31 and 32. Experience with Allis-Chalmers generators, particularly those of similar vintage as Cushman Unit 31 and 32.
2. Projects that involved the refurbishment of Francis turbines that generate between 10 and 50 MW. Experience with Allis-Chalmers turbines, particularly those of similar vintage as Cushman Unit 31 and 32.
3. Projects that included engineering, manufacturing and installation of new turbine-generator components, including at a minimum stator core laminations and windings, wicket gates, wicket gate end seals, and greaseless wicket gate bushings.
4. Projects that included synchronous condensing capabilities in an existing unit.
5. Projects that involved FEA and fatigue analysis of critical turbine-generator components.
6. Projects that required strong coordination and integration of the design and construction professionals and collaboration with the owner.
7. Projects where the contractor/vendor improved the functionality and life cycle performance of the generators.
8. Projects that involved complete construction services, including, unit disassembly, site machining of embedded and other components, rigging/handling/transportation of large and heavy components, unit reassembly, and machine alignment.
9. Projects that involved turbine-generator testing, such as signature testing, turbine index testing, generator performance and other testing, etc.
10. Projects that involved hazardous materials remediation.
3.5 RFQ Submittal (SOQ) Evaluation Criteria
The SOQs submitted by the Proposers should contain information demonstrating how the proposed team meets the evaluation criteria below. The SOQ must include a Table of Contents (not included in the maximum page count of the SOQ) and be organized by sections corresponding to the criteria, in the order shown below.
| SOQ Section No. | Section Title and Required Information | Maximum Pages | Points Available |
|-----------------|------------------------------------------------------------------------------------------------------|---------------|------------------|
| 1 | Letter of Interest | 2 | Pass/Fail |
| 2 | Minimum Technical Qualifications | 2 | Pass/Fail |
| 3 | Design-Build Team Qualifications and Past Performance References | 10* | 35 |
| 4 | Key Personnel Experience and Qualifications | 5** | 35 |
| 5 | Ability to Perform | 5 | 15 |
| 6 | Excellence in Design | 3 | 10 |
| 7 | Utilization of MWBE-Certified Businesses | 2 | 5 |
| 8 | Forms | - | Pass/Fail |
| | • City’s Signature Page | - | NA |
| | • Index (confidential and proprietary information) | - | NA |
*Page count does not include Identification of Projects Table
**Page count does not include resumes for Key Personnel. Each individual resume shall not exceed two pages.
### 3.6 Letter of Interest
At a minimum include the name of the entity submitting as the Proposer and the primary point of contact with address, email, telephone number, and the signature of an authorized representative.
The Letter of Interest should introduce your firm (or joint venture or proposed team), provide supplementary information about your firm and proposed Design-Build Team that is not provided elsewhere in the SOQ, and explain what makes your team unique and the best fit for the Project. The Letter of Interest should also include the address of the office that will oversee and manage the Project, including design, manufacturing and construction.
The City is looking to partner with a Design-Build Team with demonstrated qualifications and experience from Projects of Similar Scope and Complexity.
### 3.7 Minimum Technical Qualifications
Submit a short narrative with brief project examples demonstrating the Proposer has the following experience delivering **Projects of Similar Scope and Complexity**. References can be made to information submitted elsewhere in the SOQ. References to other sections shall be specific and clear.
1. Refurbished an existing generator that included design, manufacture, installation of a new stator core with improved core clamping, new stator windings, and frame refurbishment.
2. Performed detailed analysis with the intent of reusing and replacing existing turbine components including scroll case, draft tube, runner, shaft, seals, wicket gates, wear rings,
wicket gates, shift ring, bushings, levers, etc. Analysis capabilities include component FEA, fatigue and hand calculations.
3. Performed detailed analysis of existing generator components including frame, upper and lower brackets, shafts (main and stub), rotor hub, rotor spider and rotor rim and rotor pole to rim connections.
4. Refurbished or supervised the refurbishment of the poles for a salient pole hydro generator.
5. Performed or coordinated the successful disassembly, in-situ and shop machining, welding, reassembly, alignment, balancing and commissioning.
6. Performed refurbishment and commissioned a turbine pressure relief valve.
If the Proposer is team of firms, the narrative and project examples should demonstrate that collectively all minimum technical qualifications are met. **A letter of agreement to partner on the project between firms should also be provided.**
Failure to meet minimum technical qualifications may result in an SOQ being eliminated from further evaluation. The City may request clarification on any submittal.
**Design-Build Team Qualifications and Past Performance References**
3.8 Provide a narrative which includes the following information regarding the Proposer’s experience and technical capabilities. For all Major and Specialty Work the Proposer intends to subcontract to a Design-Build Team member, include the subcontractor’s and/or supplier’s experience and technical capabilities. The Proposer’s experience and capabilities should be drawn from and reference three (3) to five (5) Projects of Similar Scope and Complexity that the Proposer has completed.
1. Overall hydro turbine-generator analysis capabilities, including the number, size, and location of turbine-generators assessed and analyzed in the last 10 years. Demonstrate analysis capabilities directly relevant to the Cushman 2 Unit 31, 32 Rebuild anticipated scope of work (e.g., resonant frequency modeling, analyses to evaluate and improve generator ventilation, generator uprate analyses, wicket gate and headcover FEA).
2. Overall hydro turbine-generator design capabilities, including the number and location of new or refurbished turbine-generators designed and installed in the last 10 years. Demonstrate design and installation capabilities directly relevant to the Cushman 2 Unit 31, 32 Rebuild (e.g. stator winding designs in the 12.6 kV voltage class or higher, design of replacement stator cores with improved core clamping for existing machines, field pole rehabilitation or replacement, and refurbishment engineering of turbines of similar vintage).
3. Manufacturing capabilities to handle hydro turbines and generators of similar weight and dimensions to Cushman 2 Unit 31, 32 (e.g. rotor-and-shaft weight of 121 tons, stator assembly weight of 67.5 tons, stator bore inside diameter of 139.5 inches, generator shaft length of 247.25 inches, and runner outside diameter 95.7 inches).
4. Overall on-site construction and commissioning capabilities. Experience with unit disassembly and reassembly and unit alignment. Experience with site field machining, fabrication, and modification of turbines and generators of similar weight and dimensions to Cushman 2 Unit 31, 32. Experience with generator performance testing
and turbine index and vibration testing. Demonstrate on-site construction capabilities directly relevant to the Cushman 2 Unit 31, 32 Rebuild (e.g. stacking and winding the stator; inspection, non-destructive examination, and repair of turbine and generator components).
5. Demonstrate experience working in a collaborative team to develop the best value-engineered solutions to technical issues and to deliver projects on schedule and within budget. Projects may be the same or in addition to those listed in the Identification of Projects Table.
In addition to the information provided in the narrative above, provide the information requested below for the referenced three (3) to five (5) Projects of Similar Scope and Complexity.
The information below must be submitted in an Identification of Projects Table. The Identification of Projects Table may be submitted on 11” x 17” paper and shall be no more than three pages in length. The Proposer is responsible for ensuring that contact information contained in the table is correct. The inability to contact a reference may have a detrimental impact on the evaluation of qualifications. The City reserves the right to contact any person listed in the Identification of Projects Table or any other person with knowledge regarding any project in which any Key Personnel or Design-Build Team member participated.
1. Project name, name of owner, and location;
2. A description of the project;
3. Contract type (e.g., design-build, design-bid-build, general contractor / construction manager (GCCM), guaranteed maximum price (GMP), other);
4. Indicate if the project meets all the elements of the definition of “Projects of Similar Scope and Complexity”;
5. Contract duration from date of notice-to-proceed to the date of physical completion;
6. Original Substantial Completion Date, Actual Substantial Completion Date, and explanation for difference, if any;
7. Awarded contract price and final contract price, including all change orders, with an explanation of the difference, if any, between the award contract price and final contract price;
8. The identity and role played by each of the Design-Build Team members (companies) and each of the Key Personnel (individuals) on each project and if they stayed in the role for the duration of the project;
9. Name, position, and contact information for the owner’s representative who is most familiar with the Proposer’s work on the project.
10. Identify any key personnel proposed for this project who have worked on these example projects to demonstrate experience.
3.9 **Key Personnel Experience and Qualifications**
Provide a narrative describing the experience and qualifications of your Key Personnel for the roles identified below. Identified Key Personnel must have the minimum required years of experience shown on the below table. The City expects a single person for each specific key role; the same person may not be assigned to multiple Key Personnel roles unless the individual has sufficient
hands-on experience performing an additional role. Roles for Key Personnel should include, but are not limited to, the following:
- Project Manager
- Project Engineer/System Integrator (if applicable)
- Lead Turbine Engineer
- Lead Generator Engineer
- (Onsite) Construction Manager/Superintendent
- Rewind/Restack Supervisor
- Turbine Supervisor
- Site Safety Manager
| Key Personnel Title | Minimum Required Years of Experience |
|----------------------------------------------------------|--------------------------------------|
| Project Manager | 5 |
| Project Engineer/System Integrator (if applicable) | 10 |
| Lead Turbine Engineer | 10 |
| Lead Generator Engineer | 10 |
| (Onsite) Construction Manager/Superintendent | 10 |
| Rewind/Restack Supervisor | 10 |
| Turbine Supervisor | 10 |
| Site Safety Manager | 5 |
Proposers are encouraged to highlight situations where Key Personnel have worked together on previous Projects of Similar Scope and Complexity.
For all Key Personnel roles, the Proposer shall provide an equivalent back up individual should the Key Personnel identified becomes unavailable during the Project duration.
Please provide resumes (no more than two pages each) for Key Personnel and their identified backup that include the following information.
1. Name, current firm, geographic location, current title, and years employed by current firm;
2. If employed less than five (5) years at current firm, please list previous firm, previous title and years employed by previous firm;
3. Total years of professional experience;
4. Total years of professional experience in designated role for this project;
5. Education, certifications, professional registration and licenses held;
6. Proficiency in English and other languages;
7. Proposed role on the Project;
8. Proposed percent time involvement during the various project phases – design, manufacturing and procurement, field construction, and startup and commissioning. Identify and discuss the impact of current assignments and other potential projects on the availability of the Key Personnel for this Project.
9. Provide at least one (1) previous project (include project and owner name, description, current status, dates of involvement) that demonstrates experience that will assist in achieving or exceeding the Project Goals in the role on this Project;
10. Provide three (3) professional references, including name, title, phone number, and email address. References may not be current City employees, and may be checked only for the highest-scoring Proposer teams. Please ensure all reference information provided is current and correct. References may be contacted by the City and used as part of the evaluation process, including references not provided by the Proposer.
11. Organizational Chart and Key Personnel Availability: Provide a Cushman project-specific organizational chart showing the overall organizational structure and hierarchy for all Project Team Members including Key Personnel. Provide a narrative of the proposed project team, including the firms and the individual team members (personnel), and how the organizational structure will result in an integrated and cohesive team for managing the project. Chart may be submitted on 11”x17” paper. Chart will count towards the page limit of this section.
3.10 Ability to Perform
Describe Proposer’s abilities in managing, performing, and completing Design-Build projects or construction Projects of Similar Scope and Complexity. Demonstrate through past performance the Proposers’ ability to exceed the Project Goals and achieve Design Excellence.
Concisely discuss past successes in the following:
1. Facilitating cooperation with owner teams and third parties.
2. Past project where team members, reporting structures, and various disciplines work well regarding unforeseen conditions and/or a difficult owner. Describe how Proposer addressed the challenges and why it was successful.
3. Past project that included multiple units over multiple years.
4. How work is tracked during an outage to ensure that the overall schedule is maintained.
5. Being responsive to owner’s requests (scope and quality) and exceeding Project Goals.
6. How Proposer’s firm effectively manages project schedule and budget.
7. Being self-sufficient on site (e.g., supplying appropriate tooling, equipment, and personnel to complete work without assistance from the owner).
8. Discuss how Proposer’s corporate culture encourages safety.
3.11 Excellence in Design
Provide at least two project examples where your team (or each member of your team) has achieved a high level of design quality leading to a reduction in project costs, duration, or improved project safety while maximizing value and without compromising quality or project requirements.
Examples may include, but are not limited to, increased capacity or efficiency, unique design features such as resonant frequency analysis on the stator core and frame or construction methods, operational considerations, increased duration between maintenance outages, or entire overall projects. Examples may also include how safety was incorporated into design, fabrication, and site work. Projects described here may be in addition to those requested above.
3.12 MWBE Experience
Describe your team’s programs, approaches, and specific steps used to include diverse businesses including, but not limited to, certified Minority & Women’s Business Enterprises (MWBE) in previous Projects of Similar Scope and Complexity. Using specific past project examples, highlight strategies that were successful in increasing diverse-business participation.
For past Projects of Similar Scope and Complexity provide examples of scope of work that was awarded to MWBE.
Identify scope items from this RFQ which you would solicit interest from MWBE companies should you be shortlisted.
The City may require inclusion of MWBE companies as part of the final award.
4.0 REQUEST FOR PROPOSALS
Finalists from the RFQ stage will be notified in writing and issued an RFP. Only the Finalists may submit a Proposal in response to the RFP.
The RFP will consist of the documents listed below that will provide a more detailed description of the scope of work and to provide a more complete context within which Finalists can appreciate the nature of the work and the relevant experience and expertise being sought from the Finalists.
Volume 1
- Instructions to Finalists
- Proposal Submittal and Forms
- Draft Contract Forms
- Draft Design-Build Contract
Volume 2
- General Terms and Conditions
- General Requirements
- Technical Specifications
- Information Available to Finalists
- Reference Drawings
4.1 Scope of RFP
Finalists will be required to put together a Technical Proposal comprised of a preliminary design package, a detailed project schedule, a project management plan, and other project-related information based on the General Requirements and Technical Specifications of the RFP. The City estimates a 30% design effort, including preliminary drawings, design calculations, component analysis, and conceptual design. In addition to the Technical Proposal, Finalists will submit a Price
4.2 Proposal Submittal
Finalists will submit Technical and Price Proposals on the date set forth in the RFP. The Technical and Price Proposals shall be submitted as separate packages.
4.3 Site Visit and One-on-One (Proprietary) Meetings
The City plans to conduct one site visit and two confidential One-on-One Meetings with each Finalist which will be described in further detail in the RFP. The format of the One-on-One Meetings will be designed to allow the Finalists to ask questions regarding the Project and the City’s Project Goals, for Finalists to explain the general concepts in their Technical Proposal, and for the City to observe the Finalists’ ability to collaborate with their own team members and with the City. The City will provide candid feedback and direction to confirm that the proposed concepts are consistent with the Project Goals and the technical specifications. The City expects that the Finalist’s Key Personnel will be participating in these meetings.
All information from the Finalists provided in the One-on-One Meetings will remain confidential during the procurement process; however, see Sections 6.15 and 6.16 of this RFQ with respect to the potential public disclosure of information provided during the procurement pursuant to Washington’s public records act.
4.4 Interview
The City will hold an interview with each Finalist after the submission of the Technical and Price Proposals. During the interview, Finalists will be provided an opportunity to present their Proposals. The SAC may ask questions of the Finalists in advance of the interview to be addressed in writing or to be addressed as part of the presentation. The SAC may ask questions of the Finalists during the interview.
Presentations will be evaluated on how the technical solutions and management approach will meet or exceed the City’s Project Goals. Finalists will be evaluated on their ability to address the concerns from the SAC, effectively communicate and collaborate, and provide achievable and collaborative solutions to meet or exceed the City’s Project Goals.
Interview requests with specific information, including a list of the team members and Key Personnel expected to attend, will be emailed to each Finalist. At a minimum, the Project Manager, Lead Engineers and Construction Manager/Superintendent shall attend the interview. The interview will be evaluated and scored.
4.5 Proposal Evaluation
The City’s SAC will evaluate the Proposals based solely on the factors, weighting, and scoring identified in the RFP and in any addenda. The Finalist with the highest score shall be selected as the Highest Ranked Finalist.
Finalists submitting responsive Technical and Price Proposals will be evaluated and scored using the criteria in the table below and following the process described below and in Section 3.3 of this RFQ.
| Evaluation Criteria | Max Points |
|-----------------------------|------------|
| Technical Proposal | 70 |
| Design | 30 |
| Management Plan | 20 |
| Schedule | 20 |
| Price Proposal | 30 |
| MWBE | 5 |
| Interview | 20 |
| **Total** | **125** |
The Price Proposal will not be scored until after the scoring of the Technical Proposal. Each Price Proposal will be opened, and the Finalist with the lowest Price Proposal (LPP) will receive the maximum points allocated for the Price Proposal criteria. The remaining Finalists will receive a proportionate share of the points based on their Price Proposal (PP) and the following equation \((\text{LPP} ÷ \text{PP}) \times \text{Max Points}\) rounded down to the next lowest whole number.
4.6 **Selection and Notification**
The City will notify all Finalists submitting proposals of the Highest Ranked Finalist and will also make a selection summary of the final proposals available to all Proposers within two (2) Business Days of such notification.
4.7 **Honorarium**
Finalists submitting responsive proposals which are not awarded a Design-Build Contract will be paid an honorarium of $60,000. The City reserves the right to issue less than the full honorarium amount in the event that, in its sole discretion, it determines that less than 100% of the requirements of the RFP were satisfactorily completed.
5.0 **NEGOTIATION, AWARD, AND EXECUTION**
5.1 **Notice of Award Recommendation Letter**
The Highest Ranked Finalist will receive a Notice of Award Recommendation letter from the City, announcing the City’s intent to initiate negotiations with the selected Finalist.
5.2 **Negotiation**
The City will initiate negotiations with the Highest Ranked Finalist to finalize the Technical Requirements and the General Terms and Conditions. If the City is unable to reach mutual agreement with the Highest Ranked Finalist, negotiations with that Finalist may be suspended or terminated, and the City may proceed to negotiate with the next highest scored Finalist. The City will continue in accordance with this procedure until mutual agreement is reached, or the selection process is terminated.
Upon successful negotiation, the City will send a Contract Award Letter that will include a request for documents that are to be submitted within ten (10) Business Days of receipt and prior to
execution of the contract, including:
1. Unless the Finalist has already submitted a Taxpayer Identification Number and Certification Request Form (W-9) to the City, the Finalist must submit this form prior to Contract Execution
2. Certificate of Insurance and all required insurance documents including endorsements
3. Evidence of required licenses for Finalist and identified Subcontractors
4. Payment and Performance Bond
5. Retainage Bond, if applicable
6. Original, signed Contract Cover (or Agreement Form)
5.3 **Insurance Requirements**
The Finalist receiving a Contract Award Letter must promptly provide proof of insurance required for this Project. The Design-Build Contract will not be executed until all required proof of insurance has been received and approved by the City.
6.0 **GENERAL CONDITIONS**
6.1 **Addenda**
All RFQ documents will be posted on [http://www.TacomaPurchasing.org](http://www.TacomaPurchasing.org). It is the Proposer’s responsibility to ensure it has received a complete set of documents from the website.
Proposers may submit written questions to the Purchasing representative at any time until the deadline stated in the RFQ. No further questions will be accepted after this date and time. The City will publish the questions and any answers on [http://www.tacomapurchasing.org](http://www.tacomapurchasing.org). The City reserves the discretion to group similar questions to provide a single answer or not to respond when the requested information is confidential.
The City reserves the right to revise the RFQ at any time before the submittal deadline. Such revisions, if any, will be announced by written addendum to the RFQ.
The City will issue addenda for any changes to the RFQ, which will become part of the RFQ. If an addendum is issued, all other provisions in the RFQ that are not modified remain unchanged. Addenda will be issued on [http://www.tacomapurchasing.org](http://www.tacomapurchasing.org).
It is the obligation and responsibility of the Proposer to learn of any addenda, responses, or notices issued by the City. Note that some third-party services may independently post City of Tacoma solicitations or other procurement documents on their websites. Proposer relying on such services do so at their own risk.
Proposers shall acknowledge receipt of addenda on the City’s Signature Page (Attachment A).
6.2 **Validity of SOQs**
Proposers agree that the information included in the SOQs, including Key Personnel, will remain valid and accurate for a minimum of ninety (90) days from submission. Finalists will be required to extend their validation through final selection and the Finalist awarded a Design-Build Contract will be required to extend through contract execution.
6.3 Cost of Preparing Statement of Qualifications
The Proposer is solely responsible for all costs incurred in the preparation and presentation of a SOQ in response to this RFQ.
The City is not liable for any costs incurred by the Proposer in preparation of materials or a proposal submitted in response to this RFQ, for attending any interviews, or any other activities related to responding to this RFQ.
6.4 No Objections
If the Proposer does not object to any of the provisions of this RFQ prior to the SOQ deadline, the Proposer waives all rights to protest the provisions of this RFQ. By submitting an SOQ in response to this RFQ, Proposer agrees that the process, criteria, and requirements described in this RFQ are fair and proper, and that the Proposer has no objection to any provisions of the RFQ.
6.5 Proposer Responsibility in Responding
It is the Proposer’s responsibility to provide a full and complete written response, which does not require interpretation or clarification by the City. The Proposer is to provide all requested materials, forms, and information. During evaluation and scoring (prior to interviews, if any), the City will rely upon the submitted materials and will not accept materials from the Proposer after the SOQ deadline; however, this does not limit the right of the City to consider additional information independently available to the City (such as references that are not provided by the Proposer but are known to the City, or past experience by the City in assessing the Proposer), or to seek clarifications from the Proposer as needed by the City.
For a Proposer proposing as a Joint Venture, each member of the Joint Venture shall separately provide their own individual information where this RFQ requests specific evidence of a Proposer’s qualifications.
Proposers are advised that the City’s ability to evaluate SOQs is dependent in part on the Proposer’s submitting SOQs that are well-ordered, detailed, comprehensive, and readable. Proposers are responsible for errors and omissions in their SOQs. No such error or omission shall diminish the Proposer’s obligations to the City.
Prior to the SOQ deadline, a Proposer may make changes to its SOQ. No change shall be allowed after the deadline. If any changes are made to the SOQ after submitting to the City and prior to the deadline, the Proposer shall contact the Purchasing representative in writing to request the return of SOQ. The Proposer will be required to resubmit the SOQ package.
6.6 Withdrawal
At any time, by written request, a Proposer may withdraw their SOQ.
6.7 Cancellation and Rejection of Statement of Qualifications
The City reserves the right to reject non-responsive SOQs, and may reject all SOQs for any reason at its sole discretion. The City may choose not to award and/or execute a Design-Build Contract even after declaration of the Highest Ranked Finalist. Proposers acknowledge that a Notice of Award Recommendation confers no right of contract. A decision by the City to cancel the RFQ, RFP, and/or not enter into a contract will not be the basis of any claims or causes of action for costs or damages.
6.8 Ex Parte Communications
Proposers are advised to refrain from initiating and/or engaging in communications specific to this procurement with third party agencies, City consultants, and other non-designated employees of the City and its departments who may or may not have knowledge of the Project. These agencies and/or employees are not authorized to represent the interests of the City in this procurement. Proposers are advised not to rely on any information obtained other than what is provided by the designated City representative through the City of Tacoma’s purchasing website. The City reserves the right to take actions deemed appropriate to the City, up to and including the disqualification of the Proposer, for engaging in unauthorized communications deemed detrimental to this procurement.
6.9 Ethics
The Proposer must be aware, familiar and comply with the City’s Code of Ethics contained in Chapter 1.46 of the Tacoma Municipal Code and educate Proposer workers accordingly.
6.10 Gifts and Gratuities
A Proposer shall not directly or indirectly offer anything of value (such as retainers, loans, entertainment, favors, gifts, tickets, trips, favors, bonuses, donations, special discounts, work, or meals) to any City employee, consultant, volunteer or official.
6.11 Involvement of Current and Former City Employees
A Proposer (including officer, director, trustee, partner or employee) must not have a business interest or a close family or domestic relationship with any City official, officer or employee who was, is, or will be involved in selection, negotiation, drafting, signing, administration or evaluating Proposer performance. If a Proposer has any current or past (within the most recent 24 months) involvement with City employees, officials or volunteers that are working or assisting on this procurement or on the Design-Build Contract, Proposer must notify the Purchasing representative. The City shall make sole determination as to compliance.
6.12 Organizational Conflicts of Interests
Organizational Conflict of Interest means that because of other activities or relationships with other persons or entities, a person or entity:
1. Is unable or potentially unable to render impartial assistance or advice to the City; or
2. Is or might be otherwise impaired in its objectivity in performing the contract work; or
3. Has an unfair competitive advantage.
The integrated nature of the Design-Build project delivery method creates the potential for Organizational Conflicts of Interest. Disclosure, evaluation, neutralization, and management of these conflicts and of the appearance of conflicts, is in the interests of the public, the City, and the consulting and construction communities.
The City will take steps to ensure that individuals involved in the preparation of the procurement
documents (e.g., RFQ, RFP), evaluation of SOQs and Proposals, and selection of Design-Builder are not influenced by Organizational Conflicts of Interest, and that no Proposer is given an unfair competitive advantage over another.
Proposers are required to disclose all relevant facts concerning any past, present, or currently planned interests, activities, or relationships which may present an Organizational Conflict of Interest. Proposers shall state how their interests, activities, or relationships, or those of the chief executives, directors, Key Personnel, or any proposed consultant, subconsultant at any tier, contractor, or subcontractor at any tier may result, or could be viewed as, an organizational conflict.
If an Organizational Conflict of Interest is determined to exist, the City may, at its sole discretion, offer the Proposer the opportunity to avoid or neutralize the Organizational Conflict of Interest; disqualify the Proposer from further participation in the procurement; cancel this procurement; or, if Award has already occurred, declare the Proposal non-responsive and Award the Design-Build Contract to the next highest scored Finalist, or cancel the Design-Build Contract. If the Proposer was aware of an Organizational Conflict of Interest prior to Award of a Design-Build Contract and did not disclose the conflict to the City, the City may terminate the Design-Build Contract for default.
6.13 Licensing and Registration
All RFP proposers must meet all licensing requirements that apply to its type of business upon the RFP proposal due date or the City may find the Finalist non-responsible.
Upon the RFP Proposal due date the Design-Builder must meet all bidder responsibility criteria as stated under [RCW 39.04.360](#). The City recommends that all proposers review and meet bidder responsibility criteria prior to submitting a response to their RFP.
Team Continuity and Changes to Organizational Structure
6.14 Part of the evaluation of SOQs will be based on the qualifications of the proposed Key Personnel. A Proposer/Finalist may not, without the written consent of the City, substitute, or change any of the Key Personnel for the duration of the selection process and for the duration of the Design-Build Contract. Requests shall not be unreasonably withheld. All proposed Key Personnel are to be committed throughout the selection process and be available for the post-Proposal Interview. If a Proposer substitutes any Key Personnel prior to Award, the City reserves the right to revise its scoring of that team.
Requests for removal, replacements, and additions shall be submitted in writing. To qualify for approval, the written request shall document that the proposed removal, replacement, or addition will be equal to or better qualified than the Key Personnel provided in the SOQ. The City will use the criteria specified in the RFQ to evaluate all requests.
Requesting Disclosure of Public Records
6.15 This procurement is subject to RCW 39.10.470(3), which provides that all documents related to a procurement under RCW 39.10.330 are exempt from disclosure until the notification of the highest scoring Finalist is made in accordance with RCW 39.10.330(6) or the selection required under RCW 39.10.330(3).
6.16 Public Disclosure Proprietary and Confidential Material Must be Marked
Proposer submittals, all documents and records related to the submittal, and all other documents and records provided to the City by Proposer are deemed public records subject to disclosure under the Washington State Public Records Act, Chapter 42.56 RCW (Public Records Act). Thus, City may be required, upon request, to disclose the Contract and documents or records related to it unless an exemption under the Public Records Act or other laws applies. In the event City receives a request for such disclosure, determines in its legal judgment that no applicable exemption to disclosure applies, and Proposer has complied with the requirements to mark records considered confidential or proprietary as such requirements are stated below, City agrees to provide Proposer 10 days written notice of impending release. Should legal action thereafter be initiated by Proposer to enjoin or otherwise prevent such release, all expense of any such litigation shall be borne by Proposer, including any damages, attorneys’ fees or costs awarded by reason of having opposed disclosure. City shall not be liable for any release where notice was provided and Design-Builder took no action to oppose the release of information.
If Proposer provides City with records or information that Proposer considers confidential or proprietary, Proposer must mark all applicable pages or sections of said record(s) as “Confidential” or “Proprietary.” Further, in the case of records or information submitted in response to this Request for Qualifications or a subsequent Request for Proposals, an index must be provided indicating the affected pages or sections and locations of all such material identified Confidential or Proprietary. Information not included in the required index will not be reviewed for confidentiality or as proprietary before release. If Proposer fails to so mark or index Submittals and related records, then the City, upon request, may release said record(s) without the need to satisfy the requirements to mark confidential or proprietary content above; and Proposer expressly waives its right to allege any kind of civil action or claim against the City pertaining to the release of said record(s). Proposer may not simply mark everything with a document header or footer, page stamp, or a generic statement that a document is non-disclosable, exempt, confidential, proprietary, or protected.
Submission of materials in response to City’s RFQ and RFP shall constitute assent by Proposer to the foregoing procedure and Proposer shall have no claim against the City on account of actions taken pursuant to such procedure.
Proposers must be familiar with the Washington State Public Records Act and the limits of record disclosure exemptions. For more information, visit the Washington State Legislature’s website at http://www1.leg.wa.gov/LawsAndAgencyRules).
6.17 The City’s Rights
Throughout the procurement process, the City reserves the right, at its sole discretion, to:
1. Appoint evaluation committees to review SOQs and Proposals;
2. Investigate the qualifications of any Proposer;
3. Seek or obtain data related to the SOQs or Proposals from any source and consider such data in the evaluation of the SOQ;
4. Require confirmation of information furnished by a Proposer;
5. Hold meetings and conduct discussions and correspondence with the Proposers to seek an improved understanding and evaluation of the SOQs or Proposals;
6. Require additional information from a Proposer concerning its SOQ or Proposal;
7. Require additional evidence of qualifications to perform the work;
8. Modify the procurement process as permitted by law;
9. Waive minor deficiencies and irregularities in a SOQ or Proposal;
10. Reject any or all SOQs or Proposals;
11. Issue a new RFQ or RFP;
12. Conduct negotiations with the Highest Ranked Finalist prior to award of the Contract;
13. Cancel a Contract signed by the selected Design-Builder but not yet executed by the City; and
14. Not issue a Notice to Proceed after execution of the Contract.
6.18 Debriefing
Unsuccessful Proposers may ask the Purchasing representative for a debriefing, once the protest deadline has concluded and the Design-Build Contract has been signed. Debriefings may include a review of the debriefed Proposer’s points for each evaluation criteria, overall ranking, the strengths and weaknesses of its SOQ and Proposal, and presentation in the interview, and answers to questions regarding the selection process.
6.19 Protests
The City has rules to govern the rights and obligations of Proposers that desire to submit a protest to this process. Please see the City website at http://www.tacomapurchasing.org for these rules. Proposers have the obligation to be aware of and understand these rules, and to seek clarification as necessary from the City.
END OF RFQ
Attachments
Attachment A City’s Signature Page – Receipt of Addenda
Attachment B Index of Confidential and Proprietary Information
Attachment C Draft Contract
Attachment D Draft General Terms and Conditions
Attachment E Draft Insurance Requirements
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Attachment A
City’s Signature Page – Receipt of Addenda
SIGNATURE PAGE
CITY OF TACOMA – DEPARTMENT OF PUBLIC UTILITIES – TACOMA POWER
All submittals must be in ink or typewritten and must be executed by a duly authorized officer or representative of the bidding/proposing entity. If the bidder/proposer is a subsidiary or doing business on behalf of another entity, so state, and provide the firm name under which business is hereby transacted.
Submittals will be received and time stamped only at the City of Tacoma Procurement & Payables Division, located in the Tacoma Public Utilities Administration Building North, 4th Floor, at 3628 South 35th Street, Tacoma, WA 98409. See the Request for Qualifications page near the beginning of the specification for additional details.
REQUEST FOR QUALIFICATIONS SPECIFICATION NO. PG21-0529F
Cushman 2 Unit 31, 32 Rebuild Project
The bidder/proposer agrees, by submitting a bid/proposal under these specifications, that in the event any litigation should arise concerning the submission of bids/proposals or the award of contract under this specification, Request for Bids, Request for Proposals or Request for Qualifications, the venue of such action or litigation shall be in the Superior Court of the State of Washington, in and for the County of Pierce.
Non-Collusion Declaration
The undersigned bidder/proposer hereby certifies under penalty of perjury that this bid/proposal is genuine and not a sham or collusive bid/proposal, or made in the interests or on behalf of any person or entity not herein named; and that said bidder/proposer has not directly or indirectly induced or solicited any contractor or supplier on the above work to put in a sham bid/proposal or any person or entity to refrain from submitting a bid/proposal; and that said bidder/proposer has not, in any manner, sought by collusion to secure to itself an advantage over any other contractor(s) or person(s).
__________________________________________________________
Bidder/Proposer’s Registered Name
__________________________________________________________
Address
__________________________________________________________
City, State, Zip
__________________________________________________________
E-Mail Address
__________________________________________________________
E.I.No. / Federal Social Security Number Used on Quarterly Federal Tax Return, U.S. Treasury Dept. Form 941
__________________________________________________________
Signature of Person Authorized to Enter into Contracts for Bidder/Proposer
__________________________________________________________
Printed Name and Title
__________________________________________________________
(Area Code) Telephone Number / Fax Number
__________________________________________________________
State Business License Number in WA, also known as UBI (Unified Business Identifier) Number
__________________________________________________________
State Contractor’s License Number (See Ch. 18.27, R.C.W.)
Addendum acknowledgement #1_____ #2_____ #3_____ #4_____ #5_____
THIS PAGE MUST BE SIGNED AND RETURNED WITH SUBMITTAL.
Form No. SPEC-080A
Revised: 06/27/18
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Attachment B
Index of Confidential and Proprietary Information
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Attachment C
Draft Contract
This Contract is made and entered into effective as of ________, ("Effective Date") by and between the City of Tacoma, a Municipal Corporation of the State of Washington ("City"), and ____________ ("Design-Builder").
That in consideration of the mutual promises and obligations hereinafter set forth the Parties hereto agree as follows:
I. The City is authorized under the Revised Code of Washington ("RCW") Chapter 39.10, the Alternative Public Works Contracting Procedures Act (the "Act"), as amended, to undertake the Cushman 2 Unit 31, 32 Rebuild Project ("Project") through the alternative public works contracting design-build procedures, including public solicitation of proposals for design-build services.
II. The City has determined that it is in the City's best interest to contract with a single entity to design, manufacture and construct the Project in accordance with, and as described in this Contract.
III. The City began the design-build procurement for the Project by issuing a Request for Qualifications ("RFQ") on ________.
IV. Following an evaluation of the statements of qualifications submitted in response to the RFQ, based on the criteria set forth in the RFQ, the City short-listed three (3) firms deemed to be the most qualified to submit Proposals.
V. On ________, the City began the second phase of the competitive process by issuing a Request for Proposals to design, manufacture, construct, and acceptance and performance test the Project (the "RFP") to the three (3) shortlisted Proposers.
VI. Proposals submitted in response to the RFP were received on ________ from three (3) shortlisted firms.
VII. The Proposals were evaluated by the City in accordance with the evaluation criteria and scoring method set forth in the RFQ and RFP.
VIII. Based on the evaluations of the Proposals, the City determined that the Proposal submitted by Design-Builder was the Highest Scored Proposal received in response to the City's RFP.
IX. The Project will be owned, financed, operated and maintained by the City.
X. Design-Builder shall fully execute and diligently and completely perform all work and provide all services and deliverables described herein and in the items listed below each of which are fully incorporated herein and which collectively are referred to as "Contract Documents":
1. Specification No. ________ Cushman 2 Unit 31, 32 Rebuild.
2. Design-Builder's submittal submitted in response to Specification No. ________ Cushman 2 Unit 31, 32 Rebuild
3. Other
XI. In the event of a conflict or inconsistency between the terms and conditions contained in this document entitled Contract and any terms and conditions contained in the above referenced Contract Documents the following order of precedence applies with the first listed item being the most controlling and the last listed item the least controlling:
1. Contract
2. Specification
3. Design-Builder's submittal
XII. The Contract terminates on ________.
XIII. The total price to be paid by City for Contracts full and complete performance hereunder may not exceed:
$______________, plus any applicable taxes.
XIV. The Design-Builder shall begin the Design-Build Work on the Notice to Proceed Date in the Notice to Proceed issued to Design-Builder by the City. Following Notice to Proceed, the Design-Builder shall perform the Design-Build Work regularly and without interruption (unless the City directs otherwise in writing) with such forces as necessary to complete the Design-Build Work in a manner acceptable to the City and on the schedule as follows:
| Unit 31: | Scheduled Performance Test Completion | ____________ |
|----------|--------------------------------------|--------------|
| | Scheduled Commercial Operation Date | ____________ |
| Unit 32: | Scheduled Performance Test Completion | ____________ |
|----------|--------------------------------------|--------------|
| | Scheduled Commercial Operation Date | ____________ |
The time of beginning, rate of progress, and time of completion are essential and material provisions of the Contract.
XV. If the Design-Build Work is delayed or does not meet certain Performance Guarantees and/or certain project milestones, the Design-Builder agrees to Liquidated Damages as set forth in the Contract Documents.
XVI. The City shall pay the Design-Builder to complete the Design-Build Work as set forth herein and in accordance with the Contract Documents. The Design-Builder shall inform all Subcontractors who work on the Project of this Contract and of the manner and method of payment.
XVII. In accordance with RCW Chapter 39.12 and the Contract, the Design-Builder shall pay, or cause to be paid to persons employed on or in connection with this Work, not less than the prevailing rate of wage for the labor performed.
XVIII. Design-Builder agrees to accept as full payment hereunder the amounts specified herein and in Contract Documents, and the City agrees to make payments at the times and in the manner and upon the terms and conditions specified. Except as may be otherwise provided herein or in Contract Documents Design-Builder shall provide and bear the expense of all equipment, work and labor of any sort whatsoever that may be required for the transfer of materials and for constructing and completing the work and providing the services and deliverables required by this Contract.
XIX. The Design-Builder on behalf of his or her heirs, executors, administrators, successors, and assigns, does hereby agree to the full performance of all the covenants to which the Design-Builder is obligated under the terms of the Contract.
XX. The City’s preferred method of payment is by ePayables (Payment Plus), followed by credit card (aka procurement card), then Electronic Funds Transfer (EFT) by Automated Clearing House (ACH), then check or other cash equivalent. DESIGN-BUILDER may be required to have the capability of accepting the City’s ePayables or credit card methods of payment. The City of Tacoma will not accept price changes or pay additional fees when ePayables (Payment Plus) or credit card is used. The City, in its sole discretion, will determine the method of payment for this Contract.
XXI. Failure by City to identify a deficiency in the insurance documentation provided by Design-Builder or failure of City to demand verification of coverage or compliance by Design-Builder with the City’s stated insurance requirements shall not be construed as a waiver of Design-Builder’s obligation to maintain such insurance.
XXII. Design-Builder acknowledges, and by signing this Contract agrees, that the Indemnification provisions set forth in the controlling Contract Documents, including the Industrial Insurance immunity waiver (if applicable), are totally and fully part of this Contract and, within the context of the competitive bidding laws, have been mutually negotiated by the Parties hereto.
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Attachment D
Draft General Terms and Conditions
SECTION I DEFINITIONS
1.01 DEFINITIONS
A. “Applicable Law” means (1) any federal, State or local law, code or regulation, including the City’s rules and regulations; (2) any formally adopted and generally applicable rule, requirement, determination, standard, policy, implementation schedule, or other order of any Governmental Body having appropriate jurisdiction; (3) any established interpretation of law or regulation utilized by an appropriate regulatory Governmental Body if such interpretation is documented by such regulatory body and generally applicable; (4) any Governmental Approval; and (5) any consent order or decree, settlement agreement or similar agreement between the City and any Governmental Body, in each case having the force of law and applicable from time to time, over the Project, the Design-Build Work or any other transaction contemplated hereby.
B. “Certificate for Reuse” means a written certification (supported by attached analyses and calculations of stresses, remaining fatigue life, and estimated future time in service for crack initiation/propagation using criteria provided in these Documents) that the component in question is projected to have a remaining service life that exceeds the service life specified herein by at least 50 percent.
C. “Changed Condition” means any act, event or condition that (1) is beyond the reasonable control of the affected party, (2) could not reasonably have been assumed, anticipated or provided for in the Design-Builder’s Proposal, and (3) materially expands the scope, interferes with, delays, or increases the cost of performing the Design-Build Work under the Contract, to the extent that such act, event or condition is not the result of the willful or negligent act, error or omission, failure to exercise reasonable diligence, or breach of this Contract on the part of the party claiming the occurrence of a Changed Condition.
D. “City” or “City of Tacoma” means City of Tacoma, inclusive of Tacoma Public Utilities, Light Division dba Tacoma Power.
E. “Commercial Operation” means that all Design-Builder required testing has been completed and the Unit is available for electrical and mechanical operations without restrictions such as limits on capacity, start/stops, etc., for 24hr/day continuous operation. No punch list item remains to be completed which in any way adversely impacts the availability for full, safe, unrestricted operation and/or which reasonably requires a Unit outage to complete. Commercial Operation follows Unit Acceptance.
F. “Contract” means the City of Tacoma’s Contract Documents as listed in Section 2.01.A.
G. “Days” means calendar days.
H. “Design-Builder” The firm or joint venture awarded the Design-Build Contract.
I. “Design-Build Team” The prime contractor, designer, and major and specialty subs and suppliers including, but not limited to, those parties performing the following: design, supply and/or manufacturing of major components, rotor pole refurbishment, machining, installation, disassembly and reassembly, alignment, and commissioning and testing.
J. “Design-Build Work” or “Work” means everything required to be furnished and done for and relating to the design and construction required by the Contract both during the term of the Contract and relating to the Warranty Obligations set forth in the Contract Documents. Design-Build Work includes the employment and furnishing of all labor, materials, equipment, supplies, tools, scaffolding, transportation, insurance, temporary facilities and other things and services of every kind whatsoever necessary for the full performance and completion of the Design-Builder’s design, engineering, procurement, manufacturing, construction, quality assurance and quality control, acceptance and performance testing, and related obligations with respect to the design and construction required by the Contract, including all completed structures, assemblies, fabrications, acquisitions and installations, all testing, and all of the Design-Builder’s administrative, accounting, recordkeeping, notification and similar responsibilities of every kind whatsoever under this Contract pertaining to such obligations. A reference to Design-Build Work shall mean any part and all of the Design-Build Work unless the context otherwise requires and shall include all Design-Build Work authorized by change order or other Contract amendment or modification.
K. “Event(s) of Default” means those events permitting termination of the Contract and which are set forth in Sections 2.13 and 2.14.
L. “Force Majeure Event’ means an event which (1) is not the result of a party’s action or failure to act, and (2) is not foreseeable, (3) is otherwise beyond a party’s reasonable control, and (4) prevents a party from performing its obligations under the Contract. Examples of possible Force Majeure Events include but are not limited to an act of nature, act of civil or military authority, fire, flood, windstorm, earthquake, terrorism, or war.
M. “General Requirements” means the general requirements for the Design-Build Work set forth in the
General Requirements.
N. “Good Engineering and Construction Practice” means those methods, techniques, standards and practices which, at the time they are to be employed and in light of the circumstances known or reasonably believed to exist at such time, are generally recognized and accepted as good design, engineering, equipping, installation, construction and commissioning practices for the design, construction and improvement of capital assets in the electrical utility industry as followed in the northwestern region of the United States.
O. “Governmental Approval” means all orders of approval, permits, licenses, authorizations, consents, certifications, exemptions, rulings, entitlements and approvals issued by a Governmental Body of whatever kind and however described which are required under Applicable Law to be obtained or maintained by any person with respect to the Design-Build Work.
P. “Governmental Body” means any federal, state, regional or local legislative, executive, judicial or other governmental board, agency, authority, commission, administration, court or other body, or any official thereof having jurisdiction other than the City.
Q. “Hazardous Substances” means any waste, substance, object or material designated as, or containing any component designated as, hazardous, toxic or harmful under Applicable Law including, without limitation, “hazardous substances” as defined under the Comprehensive Environmental Response, Compensation, and Liability Act (CERCLA) and “hazardous waste” as defined under the Resource Conservation and Recovery Act (RCRA).
R. “Project” means the Design-Build Work required by the Contract.
S. “Performance Guarantees” means the performance requirements set forth in the General and Technical Requirements.
T. “Performance Test” means the tests set forth in the General and Technical Requirements to determine whether the unit met the Performance Guarantees.
U. “Project Site” or “Site” means the project site as more fully set forth in the General and Technical Requirements.
V. “Punch List” shall be a list of incomplete aspects of the Design-Build Work which need to be completed as a condition of Project Completion. It shall also include resolution of aforementioned items.
W. “Regulated Site Condition” means, and is limited to, the presence of Regulated Substances in environmental media anywhere in, on or under the Project Site, whether or not disclosed to the Design-Builder.
X. “Regulated Substance” means (1) any oil, petroleum or petroleum product and (2) any pollutant, contaminant, hazardous substance, hazardous material, toxic substance, toxic pollutant, solid waste, municipal waste, industrial waste or hazardous waste that is defined as such by and is subject to regulation under any Applicable Law. Regulated Substances include Hazardous Substances.
Y. “Subcontractor” means every other person or entity (other than employees of the Design-Builder) employed or engaged by the Design-Builder or any person directly or indirectly in privity with the Design-Builder (including but not limited to all subcontractors and every sub-subcontractor of whatever tier) for any portion of the Design-Build Work, whether for the furnishing of design, services, labor, materials, equipment, supplies, services, or otherwise.
Z. “Technical Requirements” means the technical requirements for the Design-Build Work set forth in the Technical Requirements.
AA. “Unit Acceptance” is the milestone which occurs when the Trial Operation Period is successfully completed, all work is completed, and the Unit is available for Commercial Operation. No Punch List item(s) remain to be completed that in any way adversely impacts the availability for full, safe, unrestricted operation of the Unit. As-built drawings have been submitted.
SECTION II CONTRACT REQUIREMENTS
2.01 DESIGN-BUILDER’S RESPONSIBILITY
A. Contract Documents
The Respondent to whom the Contract is awarded, hereinafter called the Design-Builder, shall enter into a Contract with the City within 10 days after receipt from the City of a properly prepared Contract subsequent to the successful completion of negotiations. The Contract Documents will consist of, at a minimum, the Contract, the General Terms and Conditions, the General and Technical Requirements, the Design-Builder’s Proposal, and Change Orders.
B. **Surety Bonds**
The Design-Builder to whom the Contract is awarded shall provide a payment bond and performance bond, including power of attorney, for 100 percent of the amount of his/her bid (including sales taxes), to insure complete performance of the Contract including any guarantee. In addition, a warranty/maintenance bond for 25% of the amount of his/her bid shall also be provided. The bonds must utilize City forms and be executed by a surety company licensed to do business in the State of Washington.
C. **Independent Contractor**
Design-Builder is an independent contractor; no personnel furnished by the Design-Builder shall be deemed under any circumstances to be the agent or servant of the City. Design-Builder shall be fully responsible for all acts or omissions of Subcontractors and its and their suppliers, and of persons employed by them, and shall be specifically responsible for sufficient and competent supervision and inspection to assure compliance in every respect with the Contract. There shall be no contractual relationship between any Subcontractors or supplier and the City arising out of or by virtue of this agreement. No provision of the Contract is intended or is to be construed to be for the benefit of any third party.
D. **Assistance**
The obligations of a party to cooperate with, to assist or to provide assistance to the other party hereunder shall be construed as an obligation to use the party’s personnel resources to the extent reasonably available in the context of performance of their normal duties, and not to incur material additional overtime or third party expense unless requested and reimbursed by the assisted party.
E. **Good Engineering and Construction Practice**
The Design-Builder shall utilize Good Engineering and Construction Practice in carrying out the Design-Build Work and to supplement and in no event displace or lessen the stringency of, the requirements under this Contract. In the event that, over the course of the performance of this Contract, Good Engineering and Construction Practice evolves in a manner which in the aggregate materially and adversely affects the cost of compliance therewith by the Design-Builder, the Design-Builder shall be relieved of its obligation to comply with such evolved construction practice (but not Good Engineering and Construction Practice as of the Contract Date) unless the City agrees to adjust the Awarded Contract Price, as appropriate, to account for such additional costs. Except to the extent that the Design-Builder is relieved of its obligation to comply with such evolved Good Engineering and Construction Practice, as provided above, in no event shall any evolution of Good Engineering and Construction Practice, or any City election to pay or not pay any such additional costs, relieve the Design-Builder of its obligations under the Contract.
F. **Key Personnel**
The Design-Builder has identified, and the City has approved, the Key Personnel who are assigned to the Project as part of their Proposal. Prior to award of Contract, the Design-Builder shall submit a table, which sets forth the key Project staff, their Project assignments, and the expected amounts of their available time that will be spent on the Project for design, manufacturing, construction, and/or testing.
Percentage of time estimates shall be based on 100% of the hours available over the entire phase, assuming 40 hours per week (for non-construction personnel only), minus time for vacations, sick leave, training, professional societies, and conferences as a basis.
G. **City Rights With Respect to Key Personnel**
The Design-Builder acknowledges that the identity of the Key Personnel proposed by the Design-Builder and its Subcontractors in its responses to the RFQ and RFP was a material factor in the selection of the Design-Builder. The Design-Builder shall utilize the Key Personnel to perform the tasks at the level of effort identified in the Design-Builder submitted table. If any Key Personnel must be changed during the Project, the Design-Builder shall provide the City with thirty (30) days written Notice of the proposed change with such additional information as the City may reasonably require. For the duration of the Project, Design-Builder may not, without written consent of the City, substitute or change any of Key Personnel.
H. **Character of Design-Builder’s Employees**
The Design-Builder shall employ only competent, skillful, faithful and orderly persons fluent in spoken and written English to do the work, and whenever the City staff administering the Contract shall notify the Design-Builder in writing that any person on the work is, in City staff’s opinion, incompetent, unfaithful, disorderly or otherwise unsatisfactory, the Design-Builder shall forthwith discharge such persons from the work and shall not again employ him or her on this Contract.
2.02 INSPECTION
A. Observation and Design Review Program
During the progress of the Design-Build Work through Project completion, the Design-Builder shall at all times during normal working hours afford the City every reasonable opportunity for observation and shall comply with any Design-Build Work review procedures set forth in the Contract. The Design-Builder shall use its best efforts to provide City employees with safe access to the Design-Build Work. During any such observation, all representatives of the City shall comply with the Design-Builder’s site-specific health and safety plan applicable to areas visited and shall in no material way interfere with the Design-Builder’s performance of any Design-Build Work.
B. Design-Builder Tests
The Design-Builder shall conduct all tests or inspections of the Design-Build Work as required by the Contract or per Good Engineering and Construction Practice. The Design-Builder shall give the City reasonable advance notice (unless otherwise noted in the Contract, at least twenty-one (21) days) of tests or inspections prior to the conduct thereof. Unless the City provides express written direction to the contrary, Design-Builder shall not conduct any test or inspection required pursuant to the Contract unless the City is present to observe the test or inspection. If required by the Contract, the Design-Builder shall engage an engineer licensed in the State at its sole cost and expense to conduct or witness any such test or inspection. All analyses of test samples shall be conducted by persons appearing on lists of laboratories authorized to perform such tests by the State or federal agency having jurisdiction and shall be subject to the approval of the City, which approval shall not be unreasonably withheld.
C. City Tests, Observations and Inspections
The City, its employees, agents, representatives and contractors (which may be selected in the City’s sole discretion), and all Governmental Bodies having lawful jurisdiction, may at any reasonable time and with reasonable notice conduct such on-site or off-site observations and inspections, and such civil, structural, mechanical, electrical or other tests as the City deems necessary or desirable to ascertain whether the Design-Build Work complies with this Contract. Off-site locations include, but are not limited to, any Design-Builder or Subcontractor fabrication sites. The costs of such test, observation or inspection shall be borne by the City unless such test, observation or inspection reveals a material failure of the Design-Build Work to comply with this Contract or Applicable Law, in which event the Design-Builder shall bear all reasonable costs and expenses of such observation, inspection or test. In the event that any requested test, observation or inspection causes a material delay in the progress schedule, the progress schedule shall be adjusted to reflect the actual period of time needed for completion as directly caused by the requested testing, but only if such testing, observation or inspection does not reveal any material failure or non-compliance as set forth herein.
D. Certificates and Reports
The Design-Builder shall secure and deliver to the City promptly, at the Design-Builder’s sole cost and expense, all required certificates of inspection, test reports, work logs, certified payroll and approvals with respect to the Design-Build Work as and when required by the Contract. The Design-Builder shall provide to the City, immediately after the receipt thereof, copies of any notice of default, breach or non-compliance received by the Design-Builder from or in connection with any Governmental Body, Subcontract, or Payment and Performance Bond.
E. Notice of Covering Design-Build Work
The Design-Builder shall give the City notice in the monthly progress report of its upcoming schedule with respect to the covering and completion of any Design-Build Work, and shall update such notice, if necessary, within a reasonable time period (at least fourteen (14) days) before such covering and completion. The City shall give the Design-Builder reasonable notice (a minimum of 48 hours) of any intended inspection or testing of such Design-Build Work in progress prior to its covering or completion, which notice shall be sufficient to afford the City a reasonable opportunity to conduct a full inspection of such Design-Build Work. At the City’s written request, the Design-Builder shall take apart or uncover for inspection or testing any previously-covered or completed Design-Build Work; provided, however, that the City’s right to make such requests shall be limited to circumstances where there is a reasonable basis for concern by the City as to whether the disputed Design-Build Work complies with the requirements of this Contract. The cost of uncovering, taking apart, or replacing such Design-Build Work along with the costs related to any delay in performing Design-Build Work caused by such actions, shall be borne as follows:
(1) by the Design-Builder, if such Design-Build Work was covered prior to any observation or test required by the Contract or if such Design-Build Work was covered prior to any observation or test for which the City was not provided reasonable advance notice hereunder, and, therefore, did not observe the test; and
(2) in all other cases, as follows:
a. by the Design-Builder, if such observation or test reveals that the Design-Build Work does not comply with this Contract; or
b. by the City, if such observation or test reveals that the Design-Build Work complies with this Contract.
In the event such Design-Build Work does comply with this Contract, the delay caused by such observation or test shall be treated as having been caused by a Changed Condition and any costs incurred with respect to such observation or test shall be borne by the City (through and only through a written modification to the Contract).
2.03 REPORTS, RIGHT TO AUDIT
A. Reports
Design-Builder shall, at such times and in such form as the City may reasonably require, furnish the City with periodic status reports pertaining to the services undertaken or goods provided pursuant to the Contract.
B. Right to Audit
Upon City’s request, Design-Builder shall make available to City all accounts, records and documents related to the scope of work for City’s inspection, auditing, or evaluation during normal business hours as reasonably needed by City to assess performance, compliance and/or quality assurance under the Contract or in satisfaction of City’s public disclosure obligations as applicable.
2.04 INDEMNIFICATION
A. Indemnification
Design-Builder acknowledges that pursuant to the terms of this agreement, Design-Builder is solely and totally responsible for the safety of all persons and property in the performance of this Contract. To the greatest extent allowed by law, Design-Builder assumes the risk of all damages, loss, cost, penalties and expense and agrees to indemnify, defend and hold harmless the City, from and against any and all liability which may accrue to or be sustained by the City on account of any claim, suit or legal action made or brought against the City for the death of or injury to persons (including Design-Builder’s or subcontractor’s employees) or damage to property involving Design-Builder, or subcontractor(s) and their employees or agents, arising out of and in connection with or incident to the performance of the Contract including if the City is found to have a nondelegable duty to see that work is performed with requisite care, except for injuries or damages caused by the sole negligence of the City. In the case of concurrent negligence, Design-Builder shall only be liable to the extent of the negligence of Design-Builder and the parties for which it is responsible.
In this regard, Design-Builder recognizes that Design-Builder is waiving immunity under industrial Insurance Law, Title 51 RCW. This indemnification extends to the officials, officers and employees of the City and also includes attorney’s fees and the cost of establishing the right to indemnification hereunder in favor of the City. In addition, within the context of competitive bidding laws, it is agreed that this indemnification has been mutually negotiated. Provided however, this provision is intended to be applicable to the parties to this agreement and it shall not be interpreted to allow a Design-Builder’s employee to have a claim or cause of action against Design-Builder.
2.05 ASSIGNMENT AND SUBCONTRACTING OF CONTRACT
A. Assignment
The Contract shall not be assigned except with the consent of the City.
Requests for assignment of this Contract must be in writing with the written consent of the surety, and the request must show the proposed person or organization to which the contract is assigned is capable, experienced and equipped to perform such work. The proposed substitute person or organization may be required to submit to the City information as to his/her experience, financial ability and give statements covering tools, equipment, organization, plans and methods to fulfill any portion of the Contract prior to approval of assignment. City’s acceptance of any assignment shall be documented in writing using the City’s Assignment of Agreement template.
B. Subcontracting
The Contract shall not be subcontracted except with the written consent of the City.
Requests for subcontracting of this Contract must be in writing with the written consent of the Surety, and the request must show the proposed person or organization to which the Contract is subcontract is capable, experienced and equipped to perform such work. The proposed substitute person or organization may be required to submit to the City information as to his experience, financial ability and
give statements covering tools, equipment, organization, plans and methods to fulfill any portion of the Contract prior to approval of subcontracting.
The written consent approving the subcontracting of the Contract shall not be construed to relieve the Design-Builder of his/her responsibility for the fulfillment of the Contract. The Subcontractor shall be considered to be the agent of the Design-Builder and the Design-Builder agrees to be responsible for all the materials, work and indebtedness incurred by the agent.
Subcontractor shall not subcontract any portion of a subcontract for work with the City without the written consent of the City.
2.06 EXTENSION
The Contract may be mutually extended in writing by the parties, subject to the same prices, terms and conditions.
2.07 DELAY
A. Extension of Time
With the written approval of the City, the Design-Builder may be granted additional time for completion of the work required under this Contract, if, in the City's opinion the additional time requested arises from unavoidable delay.
B. Unavoidable Delay
Unavoidable delays in the prosecution of the work shall include only delays from causes beyond the control of the Design-Builder and which he/she could not have avoided by the exercise of due care, prudence, foresight and diligence. Delay caused by persons other than the Design-Builder, Subcontractors or their employees will be considered unavoidable delays insofar as they necessarily interfere with the Design-Builder's completion of the work, and such delays are not part of this Contract.
Unavoidable delay will not include delays caused by ordinary weather conditions, surveys, measurements, inspections and submitting plans to the Engineer of the particular Division involved in administering this Contract.
2.08 FORCE MAJEURE; CHANGED CONDITIONS
A. Relief from Obligations
Except as expressly provided under the terms of this Contract, neither party to this Contract shall be liable to the other for any loss, damage, delay, default or failure to perform any obligation to the extent it results from a Force Majeure Event; however if a Force Majeure Event would otherwise operate to relieve Design-Builder from an obligation under the Contract, the City may elect to treat the Force Majeure Event as a Changed Condition. The occurrence of a Force Majeure Event shall not excuse or delay the performance of a party’s obligation to pay monies previously accrued and owing under this Contract, or to perform any obligation hereunder not affected by the occurrence of the Force Majeure Event.
B. Changed Condition - Notice and Mitigation
If Design-Builder encounters or experiences any Changed Condition for which the Design-Builder does or should reasonably anticipate may result in a request for an adjustment to the Contract time or price, the City shall be entitled to prompt notice and information in order to allow the City to anticipate and mitigate any costs. The party that asserts the occurrence of a Changed Condition shall notify the other party in writing within 72 hours of the date and time the party experiencing such Changed Condition first knew of the occurrence, followed within 15 days by a written description of: (1) the Changed Condition and the cause (to the extent known); and (2) the date the Changed Condition began, its estimated duration, the estimated time during which the performance of such party’s obligations hereunder shall be delayed, or otherwise affected, and the impact, if any, on the Acceptance Date. As soon as practicable after the occurrence of an Changed Condition, but within 30 days of the occurrence, the affected party shall also provide the other party with a description of: (i) the amount, if any, by which the Awarded Contract Price is proposed to be adjusted as a result of such Changed Condition; (ii) any areas where costs might be reduced and the approximate amount of such cost reductions; and (iii) its estimated impact on the other obligations of such party under this Contract. The affected party shall also provide prompt written notice of the cessation of such Changed Condition. Whenever such act, event or condition shall occur, the party claiming to be adversely affected thereby shall, as promptly as reasonably practicable, use its best efforts to eliminate the cause therefor, reduce costs and resume performance under this Contract, except that with respect to the discovery of possible Regulated Substances the parties shall follow the process described in Section 2.38. While the Changed Condition continues, the affected party shall give notice to the other party, before the first day of each succeeding month, updating the information previously submitted. The party claiming to be adversely
affected by a Changed Conditions shall bear the burden of proof and shall furnish promptly any additional documents or other information relating to the Changed Condition reasonably requested by the other party.
C. **Conditions to Performance, Schedule and Awarded Contract Price Relief**
If and to the extent that any Changed Condition materially expands the scope of the Design-Builder’s obligations hereunder, materially interferes with, materially delays or materially increases the cost of the Design-Builder’s performing its obligations hereunder, the Design-Builder shall be entitled to relief from the performance of its obligations hereunder, an extension of schedule or an increase in the Awarded Contract Price, or any combination thereof, which properly reflects the interference with performance, the time lost or the amount of the increased cost, in each case as a result thereof, but only to the minimum extent reasonably forced on the Design-Builder by the event, and the Design-Builder shall perform all other Design-Build Work without delay in time or increase in cost. The proceeds of any Required Insurance available to meet any such increased cost, and the payment by the Design-Builder of any deductible, shall be applied to such purpose prior to any determination of cost increase payable by the City under this Section. Any cost reduction achieved through the mitigating measures undertaken by the Design-Builder pursuant to subsection (B) of this Section upon the occurrence of a Changed Condition shall be reflected in a reduction of the amount by which the Awarded Contract Price would have otherwise been increased or shall serve to reduce the Awarded Contract Price to reflect such mitigation measures, as applicable. In the event that the Design-Builder believes it is entitled to any relief on account of an Changed Condition, it shall furnish the City written notice of the specific relief requested and detailing the event giving rise to the claim within 30 days after the giving of notice delivered pursuant to subsection (B) of this Section, or if the specific relief cannot reasonably be ascertained and such event detailed within such 30-day period, then within such longer period within which it is reasonably possible to detail the event and ascertain such relief. Within 30 days after receipt of such a timely submission from the Design-Builder the City shall issue a written determination as to the extent, if any, it concurs with the Design-Builder claim for performance, price or schedule relief, and the reasons therefor. The Design-Builder acknowledges that its failure to give timely notice pertaining to a Changed Condition as required under this Section may adversely affect the City. To the extent the City asserts that any such adverse effect has occurred and that the relief to the Design-Builder or the additional cost to be borne by the City under this subsection should be reduced to account for such adverse effect, the Design-Builder shall have the affirmative burden of refuting the City’s assertion. Absent such refutation, the reduction in relief to the Design-Builder and the reduction in additional cost to the City asserted by the City in such circumstances shall be effective. The agreement of the parties as to the specific relief to be given the Design-Builder hereunder on account of a Changed Condition shall be evidenced by a Change Order.
D. **Exclusions**
It is specifically understood that, without limitation, none of the following acts, events or circumstances shall constitute a Changed Condition for purposes of any adjustment to the Contract:
1. any act, event or circumstance that would not have occurred but for the affected party’s failure to comply with its obligations hereunder;
2. changes in interest rates, inflation rates, wage rates, insurance premiums, commodity prices, currency values, exchange rates or other general economic conditions, except as addressed in the Contract;
3. changes in the financial condition of the City, the Design-Builder or their affiliates or Subcontractors affecting the ability to perform their respective obligations;
4. the consequences of error, neglect or omissions by the Design-Builder, any Subcontractor, any of their Affiliates or any other person in the performance of the Design-Build Work;
5. union or labor work rules, requirements or demands (other than City changes to its union or labor work rules, requirements or demands) which have the effect of increasing the number of employees employed at the Project or otherwise increasing the cost to the Design-Builder of performing the Design-Build Work;
6. weather conditions normal for the area surrounding the Project Site;
7. any and all surface, subsurface and other conditions affecting the Project Site, which may increase costs of performing or cause delay in the performance of the Design-Build Work, except those constituting Regulated Site Conditions or unfavorable Changed Conditions;
8. mechanical failure of equipment;
9. power outages caused by the Design-Builder or its Subcontractors;
10. failure of the Design-Builder to secure any patent or other intellectual property right which is or may be necessary for the performance of the Design-Build Work;
11. a Change in Law pertaining to Taxes (except an increase or decrease in the rate of the local Tax currently imposed on building materials used in the construction of the Project); or
(12) local labor disputes or strikes involving employees of the Design-Builder, its Affiliates, or Subcontractors which affect the performance of the Design-Build Work.
E. Acceptance of Relief Constitutes Release
Either party’s acceptance of any performance, price or schedule relief under this Section shall be construed as a release of the other party for any and all Loss-and-Expense resulting from, or otherwise attributable to, the event giving rise to the relief claimed.
2.09 WARRANTY
A. Warranty for Construction, Labor or Services Contract
Neither the final certificate of payment or any provision in the Contract Documents, nor partial or entire occupancy of the premises by the City, shall constitute an acceptance of work not done in accordance with the Contract Documents or relieve the Design-Builder of liability in respect to any express warranties or responsibility for faulty materials or workmanship. The Design-Builder shall remedy any defects in the work and pay for any damage to other work resulting therefrom, which shall appear or could have been reasonably discovered within the warranty period. The City will give notice of observed defects with reasonable promptness.
If it has been discovered, before payment is required under the terms of the Contract, that there is a failure to comply with any of the terms and provisions of this Contract, the City has the right and may withhold payment.
In case of a failure of any part of the work, materials, labor and equipment furnished by the Contract or to fully meet all of the requirements of the Contract, the Design-Builder shall make such changes as may be necessary to fully meet all of the specifications and requirements of this Contract. Such changes shall be made at the Design-Builder's sole cost and expense without delay and with the least practicable inconvenience to the City. Rejected material and equipment shall be removed from the City's property by and at the expense of the Design-Builder.
B. Warranty
Unless a longer period is specified, the Design-Builder and/or manufacturer of the supplies, materials and/or equipment furnished and all Work pursuant to this Contract agrees to correct any defect or failure of the supplies, materials, equipment and/or Work which occurs within five (5) years from the date of Unit Acceptance. All of the costs (including shipping, dismantling and reinstallation) of repairs and/or corrections of substandard, defective or failed equipment, supplies material and/or Work is the responsibility of the Design-Builder and/or manufacturer.
When the Design-Builder is not the manufacturer of the item of equipment, Design-Builder agrees to be responsible for this warranty and Design-Builder is not relieved by a manufacturer's warranty.
C. Warranty Period Extension
The Contract warranty period shall be suspended from the time a significant defect is first documented by the City until the work or equipment is repaired or replaced by Design-Builder and accepted by the City. In addition, in the event less than ninety (90) days remain on the warranty period (after recalculating), the warranty period shall be extended to allow for at least ninety (90) days from the date the work or equipment is repaired or replaced and accepted by the City.
2.10 DEDUCTIONS FOR UNCORRECTED WORK
If the City deems it expedient to correct work not done in accordance with the terms of this Contract, an equitable deduction from the Contract price shall be made.
2.11 CITY’S RIGHT TO TERMINATE CONTRACT
A. City Termination for Cause
The City shall have the right during the term of the Contract to terminate the Contract for cause and to pursue all remedies available pursuant to this Section, without cost or liability to the City, if the Design-Builder should be adjudged as bankrupt, or makes a general assignment for the benefit of creditors, or a receiver should be appointed on account of his/her insolvency, or if he/she or any of his/her subcontractors should violate any of the provisions of the Contract, or if the work is not being properly and diligently performed, or in the case of and other Event of Default by the Design-Builder.
The City may serve written notice upon the Design-Builder and Surety executing the Payment and Performance Bond of City’s intention to terminate the Contract; such notice will contain the reasons for termination of the Contract, and unless within 10 days after the serving of such notice, such violation shall cease and an arrangement satisfactory to the City for correction thereof shall be made, the Contract shall, upon the expiration of said 10 days, cease and terminate and all rights of the DesignBuilder hereunder shall be forfeited. In the event the Contract is terminated for cause, Design-Builder shall not be entitled to any lost profits resulting therefrom.
In the event of any such termination, the City shall immediately send (by regular mail or other method) written notice thereof to the Surety and the Design-Builder. Upon such termination the Surety shall have the right to take over and perform the Contract, provided however, the Surety must provide written notice to the City of its intent to complete the work within 15 calendar days of its receipt of the original written notice (from the City) of the intent to terminate. If the Surety fails to so confirm its intent to perform, or having done so fails to perform accordingly, the City may take over the Work and prosecute the same to completion by any method it may deem advisable, for the account of and at the expense of the Design-Builder, and the Design-Builder and the Surety shall be liable to the City for all reasonable excess cost occasioned to the City thereby. The City may without liability for doing so, take possession of and utilize in completing the work, such materials, equipment, plant and other property belonging to the Design-Builder as may be on the Site of the Work and necessary therefore.
B. **City Convenience Termination Option**
The City shall have the right at any time during the term of this Contract, exercisable in its sole discretion, for its convenience and without cause, to terminate this Contract upon 10 days written notice to the Design-Builder. Upon any such termination, the City, subject to the Design-Builder substantiating its costs, shall pay the Design-Builder all amounts due for the Design-Build Work actually performed to be paid as part of the Awarded Contract Price but not yet paid as of the date of termination.
2.12 **REMEDIES FOR BREACH**
The parties agree that, except as otherwise provided in the Contract with respect to termination rights, in the event that either party breaches this Contract, the other party may exercise any legal rights it may have under this Contract, under the Payment and Performance Bond and under Applicable Law to recover damages or to secure specific performance, and that such rights to recover damages and to secure specific performance shall ordinarily constitute adequate remedies for any such breach. Neither party shall have the right to terminate this Contract except upon the occurrence of an Event of Default or as otherwise provided herein; provided that upon any such termination, the terminating party shall have all of the rights and remedies provided for herein.
2.13 **EVENTS OF DEFAULT BY THE DESIGN-BUILDER OR DESIGN-BUILD TEAM**
A. **Events of Default Not Requiring Previous Notice or Cure Opportunity for Termination**
Each of the following shall constitute an Event of Default by the Design-Builder or a major subcontractor or team member of the Design-Builder upon which the City, by notice to the Design-Builder, may terminate this Contract without any requirement of having given notice previously or of providing any further cure opportunity:
(1) **Insolvency**. The insolvency of the Design-Builder as determined under the Bankruptcy Code;
(2) **Voluntary Bankruptcy**. The filing by the Design-Builder of a petition of voluntary bankruptcy under the Bankruptcy Code; the consenting of the Design-Builder to the filing of any bankruptcy or reorganization petition against the Design-Builder under the Bankruptcy Code; or the filing by the Design-Builder of a petition to reorganize the Design-Builder pursuant to the Bankruptcy Code; or
(3) **Involuntary Bankruptcy**. The issuance of an order of a court of competent jurisdiction appointing a receiver, liquidator, custodian or trustee of the Design-Builder or of a major part of the Design-Builder’s property, respectively, or the filing against the Design-Builder of a petition to reorganize the Design-Builder pursuant to the Bankruptcy Code, which order shall not have been discharged or which filing shall not have been dismissed within 90 days after such issuance or filing, respectively.
B. **Events of Default Requiring Previous Notice and Cure Opportunity for Termination**
It shall be an Event of Default by the Design-Builder upon which the City may terminate this Contract, by notice to the Design-Builder, if:
(1) any representation or warranty of the Design-Builder hereunder was false or inaccurate in any material respect when made, and the legality of this Contract or the ability of the Design-Builder to carry out its obligations hereunder is thereby materially and adversely affected; or
(2) The Design-Builder fails, refuses or otherwise defaults in its duty (a) to pay any amount required to be paid to the City under this Contract within sixty (60) days following the due date for such payment, or (b) to perform any other material obligation under this Contract (unless such default is excused by an Changed Conditions as and to the extent provided herein), except that no such default (other than those set forth in subsection (A) of this Section) shall constitute an Event of Default giving the City the right to terminate this Contract for cause under this subsection unless:
a. The City has given prior written notice to the Design-Builder stating that a specified default has occurred which gives the City a right to terminate this Contract for cause under this Section, and describing the default in reasonable detail; and
b. The Design-Builder has neither challenged in an appropriate forum the City’s conclusion that such a default has occurred or constitutes a material breach of this Contract nor corrected or diligently taken steps to correct such default within a reasonable time but not more than 30 days from the date of the notice given pursuant to item (1) above (but if the Design-Builder shall have diligently taken steps to correct such default within a reasonable period of time, the same shall not constitute an Event of Default for so long as the Design-Builder is continuing to take such steps to correct such default).
2.14 EVENTS OF DEFAULT BY THE CITY
A. Events of Default Permitting Termination
Each of the following shall constitute an Event of Default by the City upon which the Design-Builder, by notice to the City, may terminate this Contract:
(1) Failure to Pay or Perform. The failure, refusal or other default by the City in its duty to perform any material obligation under this Contract (unless such default is excused by a Changed Conditions as and to the extent provided herein); or
(2) Bankruptcy. The authorized filing by the City of a petition seeking relief under the Bankruptcy Code, as applicable to political subdivisions which are insolvent or unable to meet their obligations as they mature; provided that the appointment of a financial control or oversight board by the State for the City shall not in and of itself constitute an Event of Default hereunder.
B. Notice and Cure Opportunity
No such default described in subsection (A) of this Section shall constitute an Event of Default giving the Design-Builder the right to terminate this Contract for cause under this subsection unless:
(1) The Design-Builder has given prior written notice to the City stating that a specified default has occurred which gives the Design-Builder a right to terminate this Contract for cause under this Section, and describing the default in reasonable detail; and
(2) The City has neither challenged in an appropriate forum the Design-Builder’s conclusion that such default has occurred or constitutes a material breach of this Contract nor corrected or diligently taken steps to correct such default within a reasonable period of time but not more than 30 days from the date of the notice given pursuant to item (1) above (but if the City shall have diligently taken steps to correct such default within a reasonable period of time, the same shall not constitute an Event of Default for as long as the City is continuing to take such steps to correct such default).
2.15 OBLIGATIONS OF THE DESIGN-BUILDER UPON TERMINATION
A. Design-Builder Obligations
Upon a termination of the Design-Builder’s right to perform this Contract or upon expiration of this Contract, the Design-Builder shall, as applicable:
(1) stop the Design-Build Work on the date and to the extent specified by the City;
(2) promptly deliver to the City all design documents and “as-built” construction record drawings prepared by the Design-Builder in carrying out the Design-Build Work which have been paid for but have not previously been delivered to the City;
(3) promptly take all action as necessary to protect and preserve all materials, equipment, tools, and other property;
(4) promptly remove from the Project all equipment, implements, machinery, tools, temporary facilities of any kind and other property owned or leased by the Design-Builder (including, but not limited to sheds, trailers, and workshops), and repair any damage caused by such removal;
(5) clean the Project and the Project Site and leave them in a neat and orderly condition;
(6) promptly remove all employees of the Design-Builder and any Subcontractors and vacate the Project Site;
(7) promptly deliver to the City a list of all supplies, materials, equipment, property and special order items previously delivered or fabricated by the Design-Builder or any Subcontractor but not yet incorporated in the Project;
(8) provide the City with any spare parts and additional materials required by the Contract Documents;
(9) deliver to the City the Operation and Maintenance Manual used at the Project in the performance of the Design-Build Work, including all revisions and updates thereto;
(10) deliver to the City a copy of all books and records in its possession relating to the performance of the Design-Build Work;
(11) advise the City promptly of any special circumstances which might limit or prohibit cancellation of any Subcontract;
(12) promptly deliver to the City copies of all Subcontracts, together with a statement of:
a. the items ordered and not yet delivered pursuant to each agreement;
b. the expected delivery date of all such items;
c. the total cost of each agreement and the terms of payment; and
d. the estimated cost of canceling each agreement;
(13) assign to the City any Subcontract that the City elects in writing, at its sole election and without obligation, to have assigned to it. The City shall assume, and the Design-Builder shall be relieved of its obligations under, any Subcontract so assigned;
(14) unless the City directs otherwise, terminate all Subcontracts related to this Project;
(15) provide the City with a list of all Project equipment subject to patents, licenses, franchises, trademarks or copyrights and the associated royalties and license fees associated therewith which the City will be responsible for paying on or after the Termination Date;
(16) as directed by the City, transfer to the City by appropriate instruments of title, and deliver to the Project (or such other place as the City may specify), all special order items pursuant to this Contract for which the City has made or is obligated to make payments;
(17) notify the City promptly in writing of any Legal Proceedings against the Design-Builder by any Subcontractor or other third parties relating to the termination of the Design-Build Work (or any Subcontracts);
(18) give written notice of termination, effective as of date of termination of this Contract, promptly under each policy of Required Insurance (with a copy of each such notice to the City), but permit the City to continue such policies thereafter at its own expense, if possible; and
(19) take such other actions and execute such other documents as may be necessary to effectuate and confirm the foregoing matters, or as may be otherwise necessary or desirable to minimize the City’s costs and take no action which shall increase any amount payable by the City under this Contract.
B. **Design-Builder Payment of Certain Costs**
If termination is pursuant to cause, the Design-Builder shall be obligated to pay the costs and expenses of undertaking its obligations under subsection A. of this Section. If the Design-Builder fails to comply with any obligation under this Section, the City may perform such obligation and the Design-Builder shall pay on demand all reasonable costs thereof subject to Cost Substantiation.
C. **City Payment of Certain Costs**
If termination is due to a City Event of Default or termination for the City’s convenience, the City shall pay to the Design-Builder within 60 days of the date of the Design-Builder’s invoice supported by Cost Substantiation all reasonable cost and expenses incurred by the Design-Builder in satisfying its obligations under the Contract.
D. **Delivery of Design-Build Work to the City**
Concurrently with payment by the City to the Design-Builder of the amount due upon any termination of this Contract under this Section, the Design-Builder shall deliver to the City all materials including Deliverables-in-progress produced for this Contract during the period to the Termination Date hereunder, which Deliverables and Deliverables-in-progress immediately shall become the property of the City. The City’s use of any such Deliverables and Deliverables-in-progress for any purpose other than the continuation of the Design-Build Work shall be at its own risk and the Design-Builder shall have no liability therefor.
2.16 **SURVIVAL OF CERTAIN PROVISIONS UPON TERMINATION**
All representations and warranties of the parties hereto contained in this Contract, the Design-Builder’s indemnity obligations in this Contract with respect to events that occurred prior to the Termination Date, and all other provisions of this Contract that so provide shall survive the termination of this Contract. No termination of this Contract shall (1) limit or otherwise affect the respective rights and obligations of the parties hereto accrued prior to the date of such termination; or (2) preclude either party from impleading the other party in any Legal Proceeding originated by a third-party as to any matter occurring during the performance of this Contract.
2.17 **LIENS**
In the event that there are any liens on file against the City, the City shall be entitled to withhold final or progress payments to the extent deemed necessary by the City to properly protect the outstanding lien claimants until proper releases have been filed with the City Clerk.
2.18 LEGAL DISPUTES
A. General
Washington law shall govern the interpretation of the Contract. The state or federal courts located in Pierce County Washington shall be the sole venue of any mediation, arbitration, or litigation arising out of the Contract. The Design-Builder and the City each irrevocably consents to the jurisdiction of such courts in any such Legal Proceeding and waives any objection it may have to the laying of the jurisdiction of any such Legal Proceeding.
B. Attorney Fees
If the Contract becomes the subject of litigation or arbitration, the substantially prevailing party may be entitled to reasonable attorney fees, as provided in RCW 39.04.240. Provided, however, the attorney fee hourly rate for the City's Deputy City Attorneys is agreed to be $250 per hour or the same as the hourly rate for Design-Builder's legal counsel, whichever is greater.
C. Dispute Resolution Process
All claims, disputes and other matters in question between the City and the Design-Builder arising out of, or relating to, this Contract, shall be resolved in accordance with the following procedures: (1) dispute, (2) claims, (3) mediation, and (4) judicial resolution.
D. Claims
The City and the Design-Builder acknowledge the benefits of resolving, and attempting to resolve, all disputes by discussion between themselves, without proposing to any third parties, and agree therefore to negotiate in good faith to resolve all disputes before invoking any other method of dispute resolution as provided for in this Contract; provided, however, that the period of time for good faith negotiations shall not exceed 30 days, unless a longer period is mutually agreed.
E. Mediation
(1) If the City and the Design-Builder cannot resolve a dispute through the administrative claims process, either party may request mediation. The party requesting mediation shall do so within 30 days of receiving the other parties notice of denial.
(2) The parties will select and agree upon a mediator. If they are unable to agree, the City and the Design-Builder shall seek the selection of the mediator by Pierce County Superior Court, Seattle WA. Mediation will occur within sixty (60) days of the filing of the Design-Builder’s written notice to mediate unless both parties agree to a later date or unless the mediator’s schedule requires a later date. Each part will participate in the mediation process in good faith and may be represented at the mediation by lawyers. The parties shall each bear their respective costs incurred in connection with this procedure, except that they shall share equally the fees and expenses of the mediator and the cost of the facility for the mediation. If mediation does not resolve the disputed matter, the Design-Builder may pursue judicial resolution as provide herein.
F. Judicial Resolution
(1) If mediation does not resolve the disputed matter, the Design-Builder may serve and file a lawsuit in Pierce County Superior Court in Tacoma, WA. Such lawsuit shall be filed within one hundred eighty (180) days of the Project Completion Date or within ninety (90) days of the mediation process under Section C, whichever is later. This requirement cannot be waived except by an explicit waiver signed by the City. The failure to file a lawsuit within the 180 day period shall result in the City’s decision rendered in accordance with Section B being final and binding on the Design-Builder and all its Subcontractors.
(2) Actions by the Design-Builder against the City or between the Design-Builder and its Subcontractor arising out of a common set of circumstances shall, upon demand by the City, be submitted in a single forum or the City may consolidate such claims or join any party necessary to the complete adjudication of the matter in the same forum.
2.19 CONTINUANCE OF WORK DURING DISPUTE
At all times during the course of any dispute process, the Design-Builder shall continue with the Design-Build Work as per the Contract, in a diligent manner and without delay or conform to the City’s decision or order and shall be governed by the applicable provisions of this Contract. Records of the Design-Build Work performed during such time shall be kept in sufficient detail to enable payment in accordance with the applicable provisions in this Contract, if necessary.
2.20 CONFLICT OF INTEREST
No officer, employee, or agent of the City, nor any member of the immediate family of any such officer, employee or agent as defined by City ordinance, shall have any personal financial interest, direct or indirect,
in a Contract, either in fact or in appearance. Design-Builder shall comply with all federal, state, and City conflict of interest laws, statutes, and regulations. Design-Builder represents that Design-Builder presently has no interest and shall not acquire any interest, direct or indirect, in the program to which the Contract pertains that would conflict in any manner or degree with the performance of Design-Builder’s services and obligations hereunder. Design-Builder further covenants that, in performance of a Contract, no person having any such interest shall be employed. Design-Builder also agrees that its violation of the City’s Code of Ethics contained in Chapter 1.46 of the Tacoma Municipal Code shall constitute a breach of Contract subjecting the Contract to termination.
2.21 DESIGN-BUILDER’S DUTY TO EXAMINE
Design-Builder agrees to be responsible for examining the site(s) and to have compared them with the Specifications and Contract Drawings, and to be satisfied as to the facilities and difficulties attending the execution of the proposed Contract (such as uncertainty of weather, floods, nature and condition of materials to be handled and all other conditions, obstacles and contingencies) before the delivery of his/her Proposal. No allowance will be subsequently made by the City on behalf of the Respondent by reason of any error or neglect on Respondent’s part, for such uncertainties as aforesaid.
2.22 PERMITS
Except when modified by the Special Provisions, the Design-Builder shall procure and pay for all permits and licenses necessary for the completion of this Contract including those permits required by the City. The City will obtain county or state road crossing permits if required. In the event a necessary permit is not obtained, the Design-Builder will not be permitted to work on items subject to said permit and any delays caused thereby will not be subject to extra compensation or extensions.
2.23 NOTIFICATION OF OTHER GOVERNMENTAL AGENCIES AND UTILITIES WHEN UNDERGROUND WORK IS INVOLVED
The Design-Builder shall notify all other affected governmental agencies and utilities whenever underground work is done under the terms of this Contract. The Design-Builder is required to obtain permission of the appropriate public and private utilities and governmental agencies before performing underground work pursuant to the terms of this Contract. The Design-Builder is required to call “one call” at 1-800-424-5555 for all work involving excavation or digging more than 12 inches beneath ground or road surface.
The City may have indicated on the plans and specifications the existence of certain underground facilities that are known to the City division responsible for this Contract. It is the Design-Builder’s responsibility to fully comply with the Underground Utility Locate Law, Chapter 19.122 RCW. If the site conditions are “changed or differing” as defined by RCW 19.122.040(l), the Design-Builder may pursue the party responsible for not properly marking or identifying the underground facility. The Design-Builder agrees not to file any claim or legal action against the City (division responsible for this Contract) for said “changed or differing” conditions unless said City division is solely responsible for the delay or damages that the Design-Builder may have incurred.
2.24 INSURANCE
A. During the course and performance of a Contract, Design-Builder will provide proof and maintain the insurance coverage in the amounts and in the manner specified in the City Insurance Requirements as is applicable to the services, products, and deliverables provided under the Contract. The City Insurance Requirements document, if issued, is fully incorporated into the Contract by reference.
B. Failure by City to identify a deficiency in the insurance documentation provided by Design-Builder or failure of City to demand verification of coverage or compliance by Design-Builder with these insurance requirements shall not be construed as a waiver of Design-Builder’s obligation to maintain such insurance.
C. The Design-Builder shall not commence work under this Contract until all required insurance has been obtained and such insurance has been approved by the City, nor shall the Design-Builder allow any subcontractor to commence work on his/her subcontract until all insurance required herein has been obtained by Subcontractor. It is the Design-Builder’s responsibility to ascertain that all Subcontractors have the insurance as required by this Contract at all times such Subcontractors are performing the work. The insurance coverages required herein shall be maintained and effective at all times any work including warranty work is being performed by the Design-Builder or a Subcontractor.
2.25 SAFETY
A. General
The Design-Builder shall, at all times, exercise adequate precautions for the safety of all persons, including its employees and the employees of a Subcontractor, in the performance of this Contract and shall comply with all applicable provisions of federal, state, county and municipal safety laws and
regulations. It is the Design-Builder's responsibility to furnish safety equipment or to contractually require Subcontractors to furnish adequate safety equipment relevant to their responsibilities.
The Design-Builder shall obtain the necessary line clearance from the inspector before performing any work in, above, below or across energized Light Division circuits.
The City may advise the Design-Builder of any safety violations. It is the Design-Builder's responsibility to make the necessary corrections. Failure to correct safety violations is a breach of this Contract and, as such, shall be grounds for an order from the City to cease further work and remove from the Site until the condition is corrected. Time and wages lost due to such safety shutdowns shall not relieve the Design-Builder of any provisions of this Contract and shall be at the sole cost of the Design-Builder. The purpose of this authority to stop work is to enforce the contract and not to assume control except to the extent necessary to ensure compliance with the provisions of this contract.
Any of the above actions by employees of the City shall in no way relieve the Design-Builder of his/her responsibility to provide for the safety of all persons, including his/her employees.
B. **Work Hazard Analysis Report**
The Design-Builder will be required to complete a work hazard analysis report. This report shall outline how the Design-Builder proposes to satisfy all safety laws and regulations involved in performing the work. This report shall be completed and submitted to the City before the pre-construction conference. In addition, the report shall be updated at least monthly to account for changing work hazards and submitted to the City within 5 days of update. A copy of the most recent report shall be maintained at the work site (accessible to the supervisor).
2.26 **PROTECTION OF WORKERS AND PROPERTY**
The Design-Builder shall erect and maintain good and sufficient guards, barricades and signals at all unsafe places at or near the work and shall, in all cases, maintain safe passageways at all road crossings, and crosswalks, and shall do all other things necessary to prevent accident or loss of any kind.
The Design-Builder shall protect from damage all utilities, improvements, and all other property that is likely to become displaced or damaged by the execution of the work under this Contract.
The Design-Builder is responsible for all roads and property damaged by his/her operations as shall be determined by the Engineer administering this Contract and for all costs associated with the repairs. The Design-Builder shall be responsible for repairing all damage to roads caused by his/her operations to the satisfaction of the particular governmental body having jurisdiction over the road. The Design-Builder shall also be responsible for repairing all damage to City-owned property to the City's satisfaction.
2.27 **DESIGN-BUILDER'S COMPLIANCE WITH THE LAW**
A. **Hours of Labor**
The Design-Builder and Subcontractors shall be bound by the provisions of RCW Chapter 49.28 (as amended) relating to hours of labor. Except as set forth in the Special Provisions, eight (8) hours in any calendar day shall constitute a day's work on a job performed under this Contract.
In the event that the work is not performed in accordance with this provision and in accordance with the laws of the State of Washington, then this Contract may be terminated by the City for the reason that the same is not performed in accordance with the public policy of the State of Washington as defined in said statutes.
B. **Prevailing Wages**
The Design-Builder and any Subcontractors shall be bound by the provisions of Chapter 39.12 RCW, as amended, relating to prevailing wages and usual fringe benefits. No worker, laborer, or mechanic employed in the performance of any part of this Contract shall be paid less than the "prevailing rate of wage" as determined by the industrial Statistician of the Department of Labor and industries. The schedule of the prevailing wage rates for the locality or localities where this Contract will be performed is by reference made a part of this Contract as though fully set forth herein. Current prevailing wage data will be furnished by the Industrial Statistician upon request. The Design-Builder shall immediately upon award of the Contract, contact the Department of Labor and Industries, ESAC Division, General Administration Building, Olympia, Washington 98504, to obtain full information, forms and procedures relating to these matters.
Before payment is made by or on behalf of the City, of any sum or sums due on account of a Public Works contract, it shall be the duty of the officer or person charged with the custody and disbursement of public funds to require the Design-Builder and each and every Subcontractor from the Design-Builder or a Subcontractor to submit to such officer a "Statement of Intent to Pay Prevailing Wages." Each statement of intent to pay prevailing wages must be approved by the industrial statistician of the Department of Labor and Industries before it is submitted to said officer. Unless otherwise authorized by
the Department of Labor and Industries each voucher claim submitted by a Design-Builder for payment on a project estimate shall state that the prevailing wages have been paid in accordance with the prefiled statement or statements of intent to pay prevailing wages on file with the public agency. Following the final acceptance of a Public Works project, it shall be the duty of the officer charged with the disbursement of public funds to require the Design-Builder and each and every Subcontractor from the Design-Builder or a Subcontractor to submit to such officer an "Affidavit of Wages Paid" before the funds retained according to the provisions of RCW 60.28.010 are released to the Design-Builder. Each affidavit of wages paid must be certified by the industrial statistician of the Department of Labor and Industries before it is submitted to said officer.
In the event any dispute arises as to what are the prevailing rates of wages for work of a similar nature and such dispute cannot be adjusted by the parties in interest, including labor and management representatives, the matter shall be referred for arbitration to the Director of the State of Washington, Department of Labor and industries whose decision shall be final, conclusive and binding on all parties involved in the dispute.
2.28 TAXES
A. Applicable federal, state, City, and local taxes shall be included in the Contract price. As used herein, the term “taxes” shall include any and all taxes, assessments, fees, charges, interest, penalties, and/or fines imposed by applicable laws and regulations in connection with the procurement of goods and/or services hereunder.
(1) Federal Excise Tax. The City is exempt from federal excise tax. The City will furnish a Federal Excise Tax Exemption certificate, if required.
(2) State and Local Sales Tax. The City is subject to Washington state sales tax. It is Design-Builder's obligation to state the correct sales tax percentage and include the applicable Washington state, city and local sales tax as a separate line item(s) in the prices submitted.
(3) City of Tacoma Business and Occupation Tax. It is Design-Builder's obligation to include City of Tacoma Business and Occupation tax in the unit and/or lump sum prices submitted; it shall not be shown separately on the submittal. Per Sub-Title 6A of the City of Tacoma Municipal Code, transactions with the City may be subject to the City’s Business and Occupation Tax.
B. Any or All Other Taxes. Any or all other taxes are the responsibility of Design-Builder unless otherwise required by law. Except for state sales tax, Design-Builder acknowledges that it is responsible for the payment of all taxes applicable to the Contract and Design-Builder agrees to comply with all applicable laws regarding the reporting of income, maintenance of records, and all other requirements and obligations imposed pursuant to applicable law.
C. If the City is assessed, made liable, or responsible in any manner for taxes contrary to the provisions of the Contract, Design-Builder agrees to hold the City harmless from such costs, including attorney's fees. In the event Design-Builder fails to pay any taxes, assessments, penalties, or fees imposed by any governmental body, including a court of law, other than those taxes the City is required to pay, then Design-Builder authorizes the City to deduct and withhold or pay over to the appropriate governmental body those unpaid amounts upon demand by the governmental body. It is agreed that this provision shall apply to taxes and fees imposed by City ordinance. Any such payments shall be deducted from Design-Builder's total compensation.
2.29 LICENSES/PERMITS
A. Design-Builder must register with the City of Tacoma's Tax and License Division, 733 South Market Street, Room 21, Tacoma, WA 98402-3768, 253-591-5252, https://www.cityoftacoma.org/government/city_departments/finance/tax_and_license/.
B. During the term of the Contract, Design-Builder, at its expense, shall obtain and keep in force any and all necessary licenses and permits including a Washington State business license and a business license as is required by Tacoma Municipal Code Subtitle 6C.20.
2.30 COMPENSATION
A. The City shall compensate Design-Builder in accordance with the Contract. Said compensation shall be the total compensation for Design-Builder's performance hereunder including, but not limited to, all work, services, deliverables, materials, supplies, equipment, subcontractor's fees and all reimbursable travel and miscellaneous or incidental expenses to be incurred by Design-Builder. Unless stated otherwise the total stated compensation may not be changed without a written change order or other form of contract amendment.
B. Payment(s) made in accordance with the Contract shall fully compensate Design-Builder for all risk, loss, damages or expense of whatever nature, and acceptance of payment shall constitute a waiver of all claims.
2.31 PROGRESS PAYMENT
Progress payments will be made up to the amount of ninety-five percent (95%) of the actual work completed as shall be determined by the Engineer administering the Contract.
The Design-Builder may request that an escrow account be established as permitted by law, in which event the Design-Builder will earn interest on the retained funds.
When the time for construction, services and/or installation will exceed thirty (30) days, the Design-Builder may request, by invoice, to be paid a progress payment based on percentage of work completed. Progress payment invoices shall be accompanied by the following documentation for each progress payment item, at a minimum:
- Brief narrative description of the progress on the item during the invoice period;
- Labor hours on the item during the invoice period, broken down by management/administration, engineering, fabrication, and installation/construction, expressed as both hours expended during the invoice period and percentage of total hours for the item;
- Materials purchased or used on the item during the invoice period, expressed as units. cost at unit price(s), and percentage of total cost of the item;
- Incidental and other direct costs for the item, expressed as costs during the invoice period and percentage of total cost associated with the item;
- Calculation of above values to determine overall percentage completion of the item during the reporting period; the calculation methodologies for each progress payment item shall be submitted for review and approval before invoicing any progress payment.
The Engineer will review and approve the progress payment request on a monthly basis.
2.32 FINAL PAYMENT
The final payment of five percent (5%) of the Contract price shall be approved on final acceptance of the work under this Contract by the City. Also, before final payment is made, the Design-Builder shall be required to:
A. Provide a certificate from the Washington State Department of Revenue that all taxes due from the Design-Builder have been paid or are collectible in accordance with the provisions of Chapter 60.28 and Title 82 of the Revised Code of Washington;
B. Provide the General Release to the City on the form set forth in these Contract documents;
C. Provide a release of any outstanding liens that have been otherwise filed against any monies held or retained by the City of Tacoma;
D. File with the City Director of Finance, and with the Director of the Washington State Department of Labor and Industries, on the state form to be provided, an affidavit of wages paid;
E. File with the City Director of Finance, on the state form to be provided, a statement from the State of Washington, Department of Labor and Industries, certifying that the prevailing wage requirements have been satisfied;
F. File with the City Director of Finance, on the state form to be provided, a statement of release from the Public Works Contracts Division of the State of Washington, Department of Labor and Industries, verifying that all industrial insurance and medical aid premiums have been paid;
G. If there is a fee assessed to the City for any certificate, release or other form required by law, the Design-Builder agrees that the fee amount may be passed on to the Design-Builder and deducted from the monies paid to the Design-Builder.
2.33 CHANGES
A. In Plans or Quantities
The City, without invalidating this Contract, or any part of this Contract, may order extra work or make reasonable changes by altering, adding to or deducting from the materials, work and labor and the Contract sum will be adjusted accordingly. All such work and labor shall be executed under the conditions of the original Contract except that any claim for extension of time caused thereby shall be adjusted at the time of ordering such change. When work or bid items are deducted, reduced or eliminated, it is agreed that no payment will be made to Design-Builder for anticipated profit.
B. **Extra Work**
Any claim or order for extra materials, work and labor made necessary by alterations or additions to the plans or by other reasons for which no price is provided in this Contract, shall not be valid unless the Design-Builder and City have agreed upon a price prior to commencing extra work, and the agreement has been signed by the Design-Builder and approved by the City, and approved by the payment and performance bond surety.
C. **Extra Work - No Agreed Price**
If it is impracticable to fix an increase in price definitely in advance, the order may fix a maximum price which shall not under any circumstances, be exceeded, and subject to such limitation, such alteration, modification, or extra shall be paid for at the actual necessary cost as determined by the City, which cost (including an allowance for profit) shall be determined as the sum of the following items (1) to (7) inclusive:
(1) Labor, computed at regular wage scale, including premium on compensation insurance and charge for social security taxes, and other taxes, pertaining to labor; no charge for premium pay shall be allowed unless authorized by the City;
(2) The proportionate cost of premiums on comprehensive general liability and other insurance applicable to the extra work involved and required under this Contract;
(3) Material, including sales taxes pertaining to materials;
(4) Plant and equipment rental, to be agreed upon in writing before the work is begun; no charge for the cost of repairs to plant or equipment will be allowed;
(5) Superintendence, general expense and profit computed at 20 percent of the total of paragraphs (1) to (4) inclusive;
(6) The proportionate cost of premiums on bonds required by this Contract, computed by 1 1/2 percent of the total of paragraphs (1) to (5) inclusive;
(7) The City reserves the right to furnish such materials as it may deem expedient, and no allowance will be made for profit thereon.
Whenever any extra work is in progress, for which the definite price has not been agreed on in advance, the Design-Builder shall each day, report to the City the amount and cost of the labor and material used, and any other expense incurred in such extra work on the preceding day, and no claim for compensation for such extra work will be allowed unless such report shall have been made.
The above-described methods of determining the payment for work and materials shall not apply to the performance of any work or the furnishing of any material, which, in the judgment of the City, may properly be classified under items for which prices are established in the Contract.
D. **Claims for Extra Work**
If the Design-Builder claims that any instructions by drawings or otherwise, involve extra cost under this Contract, he/she shall give the City written notice thereof within 30 days after receipt of such instruction, and in any event before proceeding to execute the work, except in an emergency endangering life or property, and the procedures governing the same shall be as provided for immediately above in this paragraph. The method in these paragraphs is the only method available to the Design-Builder for payment of claims for extra work performed under the terms of this Contract.
2.34 **CLEANING UP**
The Design-Builder shall at all times, at his/her own expense, keep the premises free from accumulation of waste materials or debris caused by any workers or the work, at the completion of the work the Design-Builder shall remove all his waste materials from and about the Site and all his/her equipment, sanitary facilities and surplus materials. In the case of dispute, the City may remove the debris and charge the cost to the Design-Builder as the City shall determine to be just. All material that is deposited or placed elsewhere than in places designated or approved by the City will not be paid for and the Design-Builder may be required to remove such material and deposit or place it where directed.
2.35 **LIST OF SUBCONTRACTORS**
Provide a list of subcontractors as required in this RFP.
2.36 **ACCESS TO AND SUITABILITY OF THE PROJECT SITE**
A. **Familiarity with the Project Site**
The Design-Builder acknowledges that the Design-Builder’s agents and representatives have visited, inspected and are familiar with the Project Site, its physical condition relevant to the obligations of the Design-Builder under this Contract; that the Design-Builder is familiar with all local and other conditions which may be material to the Design-Builder’s performance of its obligations under this Contract.
(including, but not limited to transportation; seasons and climate; access; availability; disposal, handling and storage of materials and equipment; and availability and quality of labor and utilities); and that the Design-Builder reviewed all information regarding the Project Site provided or otherwise made available through this Contract or the RFP process, or otherwise obtained in the course of performing its obligations hereunder; and that based on the foregoing and the reasonably observable conditions at the Project Site Walkthrough, the Project Site constitutes an acceptable and suitable site for the construction of the Project in accordance herewith, and the Project can be constructed on the Project Site within the Awarded Contract Price in accordance with the progress schedule and Design-Builder’s Price Proposal, subject to the provisions hereof relating to Regulated Site Conditions and other Changed Conditions.
B. **Access to Project Site**
The execution of this Contract and Notice to Proceed shall constitute the granting of access to the Design-Builder to the Project Site, conditioned upon compliance with Site security requirements and solely for the purpose of performing all Design-Build Work.
2.37 **PROJECT PHASES AND VALIDATION PERIODS**
Not Used.
2.38 **REGULATED SITE CONDITIONS**
A. **Design-Builder Obligations**
In performing the Design-Build Work, the Design-Builder shall exercise due care, in light of all relevant facts and circumstances, to avoid exacerbating any Regulated Site Condition or otherwise address and manage such Regulated Site Conditions in accordance with Good Engineering and Construction Practice after the location and existence of such Regulated Site Condition has been disclosed to the Design-Builder, or becomes actually known by the Design-Builder through physical observation (including any such observation made during any demolition). The Design-Builder shall also comply with all requirements concerning Regulated Site Conditions. The Design-Builder shall be liable for any loss and expense incurred by the City arising out of or resulting from: (1) the Design-Builder’s, or its agents’ or Subcontractors’, failure to exercise due care with respect to such disclosed or known Regulated Site Condition; (2) the Design-Builder’s, or its agents’ or Subcontractors’, failure to comply with any requirements in the Schedules concerning Regulated Site Conditions; and (3) any new release of Regulated Substances caused by the Design-Builder or its agents or Subcontractors, such as a spill. The Design-Builder shall not otherwise be responsible for any Regulated Site Condition, including any loss and expense relating to any Regulated Site Condition.
B. **Asbestos Discovery - Notification Obligations**
(1) The City has provided notice of existing asbestos in the Project Site. In the event that the presence of any asbestos is discovered in the vicinity of the Work that existed prior to the Design-Builder’s entry (“pre-existing asbestos”), the Design-Builder shall promptly suspend all work and notify the City. The Design-Builder shall be responsible for the removal, abatement, and disposal of any pre-existing asbestos in accordance with the Contract.
(2) To the extent that the Design-Builder fails to promptly suspend all work and notify the City of the discovery of any pre-existing asbestos, or to the extent the Design-Builder, its Subcontractors or agents, negligently cause any pre-existing asbestos, the location of which the City has notified the Design-Builder, to become disturbed, the Design-Builder shall remain responsible for such asbestos related claims.
C. **City Obligations**
If at any time a Regulated Site Condition is determined to exist which (1) reasonably requires a Response Action or other action in order to comply with Applicable Law, (2) interferes with the performance of the Design-Build Work, or (3) increases the cost to the Design-Builder of performing the Design-Build Work, then the Design-Builder shall immediately provide written notice to the City of such Regulated Site Condition. The City shall promptly after written notice from any Governmental Body or the Design-Builder of the presence or existence thereof, commence and diligently prosecute Response Actions or other actions as may be necessary to dispose of, remediate or otherwise correct the Regulated Site Condition or otherwise make the Regulated Site Condition comply with Applicable Law.
2.39 **COMMENCEMENT OF DESIGN-BUILD WORK**
A. **Commencement**
The Design-Builder shall proceed, promptly following the Contract Date, to undertake, perform and complete the Design-Build Work in accordance with the Contract Documents. The Design-Builder shall not commence the manufacturing or construction portion of the Design-Build Work until the DesignBuilder has satisfied all pre-construction requirements set forth in or such requirements have been waived by the City.
B. **Sole Responsibility and Liability**
The Design-Builder shall have the sole and exclusive responsibility and liability for the design, construction and performance of the Project hereunder, notwithstanding any term, condition or provision pertaining to the Project set forth in the RFQ or RFP. The Design-Builder acknowledges that, in the proposal and negotiation process leading to the execution of this Contract, the Design-Builder had the unrestricted right and opportunity not to execute this Contract if the Design-Builder had determined that any such term, condition or provision would in any manner or to any degree impair the Design-Builder’s ability to perform the Design-Build Work in compliance herewith.
C. **City Review and Comment on Design Documents**
The City shall have the right to review and comment on the Design-Builder’s design documents in order to confirm the compliance and consistency of the design documents with the General and Technical Requirements. The Design-Builder shall give due consideration and provide written responses, in the time and manner provided in the Contract Documents, to any comments delivered by the City as to the Design-Builder’s design documents. Neither compliance by the Design-Builder with the General and Technical Requirements, nor review and comment by the City of the design documents, nor any failure or delay by the City in commenting on any design documents shall in any way relieve the Design-Builder of full responsibility for the timely design, construction and performance of the Project in accordance with the Contract.
D. **Documents at the Project Site**
The Design-Builder shall maintain at the Project Site all design and construction documents, including a complete set of record drawings, in accordance with the Contract Documents. These documents shall be available to the City for reference, copying and use. Construction and other record drawings shall be updated at least bi-weekly with redline markups to reflect as-installed or constructed conditions.
2.40 **DESIGN-BUILDER DESIGN – GENERAL AND TECHNICAL REQUIREMENTS**
A. **Conformity of Design-Builder Design Documents with the General and Technical Requirements**
The Design-Builder shall prepare all design documents necessary or appropriate to carry out and complete the Project. All working and final design documents shall comply with the General and Technical Requirements and shall ensure that the Project is constructed to a standard of quality, integrity, durability and reliability which is equal to or better than the standard established by the Contract Documents.
B. **City Interest in the General and Technical Requirements**
The Design-Builder acknowledges the City’s material interest in each provision of the General and Technical Requirements and no change to the General and Technical Requirements shall be made except with the consent of the City, which may be withheld or conditioned in its sole discretion. Any such changes shall be evidenced by a Change Order, as applicable.
C. **General and Technical Requirement Changes Made At Design-Builder Request**
The Design-Builder may request for City consideration changes to the General or Technical requirements that do not negate, dilute, or supersede any other General or Technical requirement and which also do not negatively impact the quality, integrity, reliability, and service life. The Design-Builder shall provide the City timely written notice of any such request such that the City has at least 30 days to review such request, and if approved, sufficient time develop and execute a Change Order so that the project schedule is not affected. The notice shall contain sufficient technical, cost, and schedule information for the City to determine that the General or Technical Requirements change: (1) does not diminish the capacity of the Project to comply with the Contract; (2) does not impair the quality, integrity, durability and reliability of the Project; (3) is reasonably necessary or is advantageous for the Design-Builder to fulfill its obligations under this Contract; and (4) is feasible. The City shall have the absolute right to accept, reject or modify any General or Technical Requirements change proposed by the Design-Builder. Any such General or Technical Requirement change accepted or modified by the City, and any related change in the terms and conditions of this Contract, shall be reflected in a Change Order.
D. **General and Technical Requirement Changes Made On Account Of Changed Condition**
Upon the Notice of Changed Conditions, the City shall promptly proceed, subject to the terms, conditions and procedures set forth in Section 2.33, to make or cause to be made all General and Technical Requirements changes reasonably necessary to address the Changed Condition(s). The Design-Builder shall consult with the City concerning possible means of addressing and mitigating the effect of any Changed Conditions, and both parties shall cooperate in order to minimize any delay.
lessen any additional cost and modify the Project so as to permit the Design-Builder to continue performing the Design-Build Work in light of such Changed Conditions. The design and construction costs resulting from any General or Technical Requirement resulting from a Changed Condition shall be borne by the City. Any General or Technical Requirement change made on account of Changed Conditions, and any related change in the terms and conditions of this Contract, shall be reflected in a Change Order.
E. **General and Technical Requirement Changes Required By Governmental Bodies**
The parties recognize that a Governmental Body may impose conditions in connection with a Governmental Approval, not known at the time of Technical and Price Proposal submittals, that requires a General or Technical Requirement(s) change. In the event of any such additional conditions are set by a Governmental Body, the City shall promptly proceed to accommodate any General or Technical Requirement changes reasonably necessary to comply with such additional conditions by Change Order.
F. **General and Technical Requirement Changes Made At City Direction**
The City shall have the right to make General and Technical Requirement changes at any time for any reason whatsoever, whether and however the exercise of such rights affects this Contract. The design and construction costs resulting from any such General or Technical Requirement change made at the City’s direction under this Section shall be added to the Contract by Change Order. No General or Technical Requirement change shall be made at the direction of the City under this Section that impairs any right, impairs the ability to perform, imposes any additional obligation or liability, or increases the costs of the Design-Builder hereunder, unless the Design-Builder is specifically compensated or specifically provided relief for such impairment, obligation, cost or liability.
2.41 **COMMENCEMENT OF CONSTRUCTION**
A. **Pre-Construction Requirements**
The Design-Builder shall not commence construction of the Unit or any portion thereof until all of the following pre-construction requirements have been satisfied by the Design-Builder or waived by the City:
(1) Plans and Reports for Design-Build Work. The Design-Builder shall have received approval from the City on all final versions of plans, drawings and reports required for the Design-Build Work in accordance with the requirements set forth in the Contract Documents.
(2) Updated Construction Schedule. The Design-Builder shall have provided the City an updated Construction Schedule in accordance with the Contract Documents.
(3) Materials on Site. The Design-Builder shall have delivered and inspected all materials required to be on Site in accordance with the requirements of the Contract Documents.
(4) Pre-Construction Conference. The Design-Builder has held a pre-construction conference for the Unit with the City in accordance with the requirements of the Contract Documents.
2.42 **CONSTRUCTION PRACTICE**
The Design-Builder shall perform the Design-Build Work in accordance with the Contract and shall have exclusive responsibility for all construction means, methods, techniques, sequences, and procedures necessary or desirable for the correct, prompt, and orderly prosecution and completion of the Design-Build Work as required by this Contract. The responsibility to provide the construction means, methods, techniques, sequences and procedures referred to above shall include, but not be limited to, the obligation of the Design-Builder to provide the following construction requirements: construction trailers; required design certifications; required approvals; weather protection; clean-up and housekeeping of the Project Site; construction personnel; temporary parking; vehicle traffic; safety and first aid facilities and equipment; correction of or compensation for defective work or equipment; Subcontractors’ insurance; additional storage areas; temporary fire protection; Subcontractor and vendor qualification; receipt and unloading of delivered materials and equipment; erection rigging; temporary supports; and construction coordination and supervision.
2.43 **ENGAGEMENT OF CITY**
The Design-Builder shall fully cooperate with the City’s Contract Representative of this Contract and the performance of its duties for the City. In the performance of such services, the Design-Builder agrees that the City may, without limiting other possible services to the City: review and monitor construction progress, payments and procedures; determine the completion of specified portions of the Design-Build Work; review proposed changes to the General and Technical Requirements; review plans, drawings and specifications of the Project for compliance with the General and Technical Requirements; review the validity of any Design-Builder written notice that an Changed Conditions has occurred (including the discovery of Regulated Site Conditions); and provide certificates and perform such other duties as may be specifically conferred on the
City hereunder. It is understood that while the services intended to be provided by the City shall be of an observational and review nature, the City may, if appropriate, have the authority to interfere with, halt or delay, in any way it deems necessary, the construction of the Project or require or approve changes to the General and Technical Requirements or the Design-Builder’s design documents prepared in connection therewith.
2.44 PROGRESS SCHEDULE AND REPORTS
A. General
The Design-Builder shall submit to the City design submittals, monthly progress schedules and reports in accordance with the requirements of the Contract Documents. The Design-Builder agrees that the Design-Builder’s submission of the monthly progress schedule and report (or any revised progress schedule and report) is for the City’s information only, and the City’s acceptance of the monthly progress schedule and report (or any revised progress schedule and report) shall not bind the City in any manner. Thus, the City’s acceptance of the monthly progress schedule and report (or any revised monthly progress schedule and report) shall not imply City approval or consent to any of the matters set forth therein.
B. Design and Construction Schedule
The Design-Builder shall perform the Design-Build Work according to the accepted progress schedule.
2.45 UNIT ACCEPTANCE
A. Acceptance Process
The Design-Builder shall prepare and submit to the City for its approval a detailed Inspection and Test Plan, which shall conform to the requirements of the Contract Documents in all respects.
B. Punch List
The Design-Builder shall submit an up to date Punch List to the City when the Design-Builder believes that the Design-Build Work for the Unit has been substantially completed in compliance with this Contract.
The Punch List shall include a statement of repairs, corrections and adjustments to the Design-Build Work, and incomplete aspects of the Design-Build Work which need to be completed as a condition of Project Completion.
The Design-Builder and the City will agree in writing upon the Punch List (or, if they are unable to agree, the City will prepare and issue the Punch List to the Design-Builder within twenty-one (21) days of the Design-Builder having submitted its prepared Punch List to the City). Completion of the Punch List work shall be verified by a walk-through of the Project conducted by the City with the Design-Builder.
C. Performance Testing
(1) Conduct the Performance Test. When the Design-Builder has reassembled the unit, the Design-Builder shall conduct the Performance Test in accordance with the Contract Documents.
(2) Commercial Operation. If the Unit cannot be placed in Commercial Operation by the Scheduled Commercial Operation Date, Liquidated Damages will apply pursuant to Section 2.47. If the Unit fails to meet the Performance Guarantees, the City may elect, in its discretion, to place the Unit in Commercial Operation while the Design-Builder continues to correct the conditions to meet the Performance Guarantees. If the Performance Test indicates that the Unit meets the Performance Guarantees and all other Unit Acceptance Date Conditions set forth below, the Unit will be accepted and the parties shall begin Project completion. If the Unit Acceptance Date Conditions are not met, the parties shall proceed as set forth below.
(3) Performance Test Report. Within thirty (30) days following the last day of any Performance Test, the Design-Builder shall furnish the City with a written Performance Test report consistent with the requirements specified in the Contract Documents. If the Design-Builder fails to furnish the certified Performance Test report within such 30-day period, the Unit shall be deemed to have failed to meet the Performance Test requirements.
(4) Costs of Performance Test. The cost of all Performance Test activities which the Design-Builder incurs, including any repetition of the Performance Test, shall be included in the Awarded Contract Price. If repeated Performance Tests are required due to the failure of the Design-Builder to meet Performance Test requirements or other Performance Guarantees, the Design-Builder shall reimburse the City for all costs of the City in conducting any such repeated Performance Tests.
D. **Unit Acceptance Date Conditions**
The following conditions shall constitute the “Unit Acceptance Date Conditions,” each of which must be satisfied in all material respects by the Design-Builder in order for the Unit Acceptance Date to occur, and each of which must be and remain satisfied as of the Unit Acceptance Date:
Achievement of Performance Guarantees. The Design-Builder shall have completed the Performance Tests and such tests shall have demonstrated that the Unit has met the Performance Guarantees. Unit Acceptance shall not be deemed to have been achieved unless the Performance Test, conducted in the manner provided in the Contract Documents and the Performance Test Plan, demonstrates that the Performance Guarantees have been met. In the event the Unit does not successfully meet the Performance Guarantees, the Design-Builder, at Design-Builder’s expense, shall take corrective action and re-test the Unit in accordance with the Contract Documents. The Design-Builder shall provide the City with at least two weeks’ written notice of any repeat of the Performance Test. The City reserves the right to reschedule the Performance Test retest or rework due to failed Performance Tests.
Design-Build Work Completed. All Work on the Unit, including all items on the Punch List for the Unit has been completed.
Final Operation and Maintenance Manual. The Design-Builder has delivered to the City the final Operation and Maintenance Manual for the Unit.
Trial Operation Period is completed and accepted by the City.
Warranty Bonds are issued and submitted by the Design-Builder and accepted by the City.
Unit Acceptance Certificate is issued by the Design-Builder and accepted by the City.
E. **Concurrence Or Disagreement With Unit Acceptance Date Conditions**
(1) **Unit Acceptance Date Concurrence.** The “Unit Acceptance Date” shall be the day upon which the Design-Builder certifies that all Unit Acceptance Date Conditions have occurred. The City shall determine, within 30 Days of its receipt of such report, whether it concurs with such certification. If the City states in writing that it concurs with the Design-Builder’s certification, the Unit shall be deemed to have achieved Acceptance and the Unit Acceptance Date shall be established on the date of the Design-Builder’s original certification. In cases where the City does not determine in writing the concurrence or disagreement with Unit Acceptance Date Conditions certified by the Design-Builder within thirty (30) Days of the receipt by the City of such report, the date of the Design-Builder’s original certification of the Unit Acceptance Date shall be deemed to have been achieved and established.
(2) **Unit Acceptance Date Disagreement.** If the City determines at any time during such 30-Day review period that it does not concur with the Design-Builder’s certification of Unit Acceptance, the City shall immediately send written notice to the Design-Builder of the basis for its disagreement. In the event of any such non-concurrence by the City, the parties shall attempt to resolve the matter through discussion and negotiation for the remainder of the 30-Day review period. If the parties do not resolve the dispute within the 30 Days allowed for review, either party may elect to refer the dispute to Mediation pursuant to Section 2.18. If the parties are unable to resolve the dispute through Mediation, then either party may initiate judicial proceedings.
2.46 **PROJECT COMPLETION**
A. **Requirements**
“Project Completion” shall be deemed to have occurred when all of the following conditions have been satisfied:
(1) **Unit Acceptance Achieved.** The Design-Builder has achieved Unit Acceptance in accordance with this Section;
(2) **Deliverables.** The Design-Builder shall have delivered to the City all Deliverables required under the Contract Documents;
(3) **Final Record Drawings.** The Design-Builder shall have delivered to the City construction record drawings and all Operations and Maintenance manual as required in the Contract Documents;
(4) **Spare Parts In Storage.** All spare parts and additional materials required by the applicable General and Technical Requirements have been delivered and are in storage at the Project Site or other area designated by the City;
(5) **Punch List.** All items on the Punch List have been completed by the Design-Builder and then approved and verified by the City.
(6) **Contract Documentation.** The Design-Builder shall have delivered all other documentation required by the Contract or by Applicable Law;
(7) **Payment of Claims**. The Design-Builder has certified to the City that all of its claims against the City have been paid; and
(8) **Cleanup**. Clean up and removal of construction materials, debris, and any temporary facilities has been completed.
Final acceptance by the City is contingent upon the Design-Builder achieving Project Completion.
### 2.47 LIQUIDATED DAMAGES
#### A. General
This Contract provides for the assessment of Liquidated Damages against the Design-Builder for delay, for failure of the Unit to meet requirements to be placed in Commercial Operation, or for delay or failure of the Unit to achieve Performance Guarantees. Each party agrees that the City’s actual damages in each such circumstance would be difficult or impossible to ascertain (particularly with respect to the public harm that could occur as a result of such non-performance, breach or default of the Design-Builder), and that the Liquidated Damages provided for herein with respect to each such circumstance are a fair and reasonable determination of such damages and are intended to place the City in the same economic position as it would have been in had the circumstance not occurred. Liquidated Damages shall constitute the only damages that will be assessed against the Design-Builder for delay or failure to achieve Performance Guarantees, and are the exclusive remedy of the City; provided that such Liquidated Damages shall not preclude, limit or alter any other remedies available at law or equity for default or breach for which Liquidated Damages are not specifically provided for in this Contract. The parties acknowledge and agree that such additional remedies are intended to address harms and damages which are separate and distinct from those which the Liquidated Damages are meant to remedy. The City’s assessment of Liquidated Damages shall not be construed as a penalty.
#### B. Liquidated Damages for Delay
1. The parties have agreed on the following Liquidated Damages resulting from failure to achieve specific progress schedule milestones. The Design-Builder authorizes the City to deduct the Liquidated Damages pursuant to the schedule set forth below from any money due or become due the Design-Builder. Liquidated Damages will not be assessed for any Day for which an extension of time is granted. No deduction or payment of such damages for delay will release the Design-Builder, in any degree, from further obligations and liability to complete the Contract.
2. **Liquidated Damages for Failure to Achieve Commercial Operation**. In the event that the Design-Builder fails to achieve the Performance Guarantees and other applicable specified requirements by the Scheduled Commercial Operation Date, the City may, in its sole discretion, determine whether to place the Unit in Commercial Operation. If the Unit is not placed in Commercial Operation by the Scheduled Commercial Operation Date, Liquidated Damages will apply as set forth below for the Unit for each calendar day beyond the Scheduled Commercial Operation Date until the Design-Builder achieves Commercial Operation.
| Days | Amount |
|---------------|----------|
| 1 to 7 Days | $TBD |
| Beyond 7 Days | $TBD |
#### C. Failure to Achieve Performance Guarantees
1. In the event that the Design-Builder initially fails to achieve the Performance Guarantees, the Design-Builder shall be required to conduct the Performance Test at least one additional time. Prior to any retest, the Design-Builder shall provide, for the City’s approval, a written plan laying out the remedial steps the Design-Builder plans to take to meet the Performance Guarantees.
2. If the City decides to place the Unit in Commercial Operation even though the Unit failed to achieve the Performance Guarantees, the Design-Builder shall provide to the City, a written plan (hereinafter “Remedial Plan”) describing, in detail, the remedial steps the Design-Builder proposes to take to meet the Performance Guarantees, including but not limited to whether the Remedial Plan requires an outage and the planned duration of the outage. The City shall have the right to approve the Remedial Plan in whole or in part, provided the City shall not unreasonably withhold approval of the Remedial Plan. If the approved Remedial Plan requires a Unit outage, the City shall conduct an outage to allow the Design-Builder an opportunity to perform the Corrective Work; however, such Corrective Work may be limited if the disassembly of other Units restricts the ability to disassemble the Unit in question. In addition, the City shall determine, in its sole discretion, the date and duration of any outage, and the extent of disassembly of the Unit. In no circumstance will the City remove the rotor from the Unit for this outage. If such an outage is conducted, Liquidated Damages will apply in the amount of $9,500 per day for each day of the outage.
3. If the City decides to place the Unit in Commercial Operation despite the failure to achieve the Performance Guarantees or other applicable requirements, and not allow an outage, the City will proceed as set forth in Section D below and shall not be entitled to the liquidated remedies for delay.
D. Liquidated Damages for Continued Failure to Achieve Performance Guarantees
(1) Liquidated Damages shall be assessed in the amount of $TBD for each kilowatt (or portion thereof) that the actual stator winding I2R losses at 95 degrees Celsius as determined by test, exceed the guaranteed I2R losses per Contract. Any reduction so made will be based on measurement of the winding resistance (average of all three phases) and winding RTDs temperature (average of all readings) as specified and calculated I2R losses at rated current.
(2) Liquidated Damages shall be assessed in the amount of $TBD for every kVA reduction (or portion thereof) from 33,000 KVA at 0.90 power factor required to limit the temperature rise of the stator winding and field winding to values specified in Bid. KVA at warranted temperature rise will be determined by test as specified.
2.48 COST RECORDS AND REPORTING
During the Term of this Contract, the Design-Builder shall prepare and maintain proper, accurate and complete books and records of the cost and description of the Design-Build Work that the Design-Builder has performed since the Contract Date, the cost of which would be the responsibility of the City if the City were to elect to terminate this Contract pursuant to this Section. All financial records of the Design-Builder and its Subcontractors shall be maintained in accordance with generally accepted accounting principles and auditing standards. The Design-Builder shall submit a reasonably detailed summary thereof acceptable to the City, together with a summary statement of monthly and aggregate reimbursable expenses incurred, to the City at any time after the Contract Date at its request. Specific requests by the Design-Builder for the payment of reimbursable expenses shall be supported by Cost Substantiation. In the event that the City terminates the Contract, the Design-Builder shall make available to the City a copy of all books and records of the Design-Build Work.
2.49 NO WAIVERS
No action of the City or Design-Builder pursuant to this Contract (including, but not limited to, any investigation or payment), and no failure to act, shall constitute a waiver by either party of the other party's compliance with any term or provision of this Contract. No course of dealing or delay by the City or Design-Builder in exercising any right, power or remedy under this Contract shall operate as a waiver thereof or otherwise prejudice such party's rights, powers and remedies. No single or partial exercise of (or failure to exercise) any right, power or remedy of the City or the Design-Builder under this Contract shall preclude any other or further exercise thereof or the exercise of any other right, power or remedy.
2.50 NOTICES
Unless otherwise specified, except for routine operational communications, which may be delivered personally or transmitted by electronic mail, all notices required by the Contract shall be in writing and shall be deemed to have been duly given if delivered personally or mailed first-class mail, postage prepaid, to Design-Builder’s registered agent and to the applicable City representative.
2.51 NONDISCRIMINATION
Design-Builder agrees to take all steps necessary to comply with all federal, state, and City laws and policies regarding non-discrimination and equal employment opportunities. Design-Builder shall not discriminate in any employment action because of race, religion, color, national origin or ancestry, sex, gender identity, sexual orientation, age, marital status, familial status, or the presence of any sensory, mental, or physical handicap. In the event of non-compliance by Design-Builder with any of the non-discrimination provisions of the Contract, the City shall be deemed to have cause to terminate the Contract, in whole or in part.
2.52 FEDERAL, STATE, AND MUNICIPAL LAWS AND REGULATIONS
Design-Builder shall comply with all federal, state, municipal, and/or local laws and regulations in the performance of all terms and conditions of the Contract. Design-Builder shall be solely responsible for all violations of the law from any cause in connection with its performance of work under the Contract.
2.53 FEDERAL, STATE AND MUNICIPAL REGULATIONS
All federal, state, municipal and/or local regulations shall be satisfied in the performance of all portions of the Contract. The Design-Builder shall be solely responsible for all violations of the law from any cause in connection with work performed under this Contract.
2.54 PUBLIC DISCLOSURE: PROPRIETARY OR CONFIDENTIAL INFORMATION
A. Design-Builder submittals, all documents and records comprising the Contract, and all other documents and records provided to the City by Design-Builder are deemed public records subject to disclosure under the Washington State Public Records Act, Chapter 42.56 RCW (Public Records Act). Thus, City may be required, upon request, to disclose the Contract and documents or records related to it unless an exemption under the Public Records Act or other laws applies. In the event City receives a request for such disclosure, determines in its legal judgment that no applicable exemption to disclosure applies, and Design-Builder has complied with the requirements to mark records considered confidential or proprietary as such requirements are stated below, City agrees to provide Design-Builder 10 days written notice of impending release. Should legal action thereafter be initiated by Design-Builder to enjoin or otherwise prevent such release, all expense of any such litigation shall be borne by Design-Builder, including any damages, attorneys’ fees or costs awarded by reason of having opposed disclosure. City shall not be liable for any release where notice was provided and Design-Builder took no action to oppose the release of information.
B. If Design-Builder provides City with records or information that Design-Builder considers confidential or proprietary, Design-Builder must mark all applicable pages or sections of said record(s) as “Confidential” or “Proprietary.” Further, in the case of records or information submitted in response to a Request for Proposals, an index must be provided indicating the affected pages or sections and locations of all such material identified Confidential or Proprietary. Information not included in the required index will not be reviewed for confidentiality or as proprietary before release. If Design-Builder fails to so mark or index Submittals and related records, then the City, upon request, may release said record(s) without the need to satisfy the requirements of subsection A above; and Design-Builder expressly waives its right to allege any kind of civil action or claim against the City pertaining to the release of said record(s).
C. Submission of materials in response to City’s Solicitation shall constitute assent by Design-Builder to the foregoing procedure and Design-Builder shall have no claim against the City on account of actions taken pursuant to such procedure.
2.55 WAIVER
A waiver or failure by either party to enforce any provision of the contract shall not be construed as a continuing waiver of such provisions, nor shall the same constitute a waiver of any other provision of the Contract.
2.56 SEVERABILITY AND SURVIVAL
If any term, condition or provision herein or incorporated by reference is declared void or unenforceable or limited in its application or effect, such event shall not affect any other provisions hereof and all other provisions shall remain fully enforceable. The provisions of the Contract, which by their sense and context are reasonably intended to survive the completion, expiration or cancellation of the Contract, shall survive termination of the Contract.
2.57 NO CITY LIABILITY
Neither the City, its officials, staff, agents, employees, representatives, or consultants will be liable for any claims or damages resulting from any aspect of this procurement process.
2.58 SIGNATURES
A signed copy of Submittals, Contract Documents, including but not limited to contract amendments, contract exhibits, task orders, statements of work and other such Contract related documents, delivered by email or other means of electronic transmission including by using a third party service, which service is provided primarily for the electronic execution of electronic records, shall be deemed to have the same legal effect as delivery of an original signed copy.
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Attachment E
Draft Insurance Requirements
The Contractor (Contractor) shall maintain at least the minimum insurance set forth below. By requiring such minimum insurance, the City of Tacoma shall not be deemed or construed to have assessed the risk that may be applicable to Contractor under this Contract. Contractor shall assess its own risks and, if it deems appropriate and/or prudent, maintain greater limits and/or broader coverage.
1. GENERAL REQUIREMENTS
The following General Requirements apply to Contractor and to Subcontractor(s) of every tier performing services and/or activities pursuant to the terms of this Contract. Contractor acknowledges and agrees to the following insurance requirements applicable to Contractor and Contractor’s Subcontractor(s):
1.1. City of Tacoma reserves the right to approve or reject the insurance provided based upon the insurer, terms and coverage, the Certificate of Insurance, and/or endorsements.
1.2. Contractor shall not begin work under the Contract until the required insurance has been obtained and approved by City of Tacoma.
1.3. Contractor shall keep this insurance in force during the entire term of the Contract and for Thirty (30) calendar days after completion of all work required by the Contract, unless otherwise provided herein.
1.4. Insurance policies required under this Contract that name “City of Tacoma” as Additional Insured shall:
1.4.1. Be considered primary and non-contributory for all claims.
1.4.2. Contain a “Separation of Insured provision and a “Waiver of Subrogation” clause in favor of City of Tacoma.
1.5. Section 1.4 above does not apply to contracts for purchasing supplies only.
1.6. Verification of coverage shall include:
1.6.1. An ACORD certificate or equivalent.
1.6.2. Copies of all endorsements naming the City of Tacoma as additional insured and showing the policy number.
1.6.3. A notation of coverage enhancements on the Certificate of Insurance shall not satisfy these requirements – actual endorsements must be submitted.
1.7. Liability insurance policies, with the exception of Professional Liability and Workers’ Compensation, shall name the City of Tacoma and its officers, elected officials, employees, agents, and authorized volunteers as additional insured.
1.7.1. No specific person or department should be identified as the additional insured.
1.7.2. All references on certificates of insurance and endorsements shall be listed as “City of Tacoma”.
1.7.3. The City of Tacoma shall be additional insured for both ongoing and completed operations using Insurance Services Office (ISO) form CG 20 10 04 13 and CG 20
37 04 13 or the equivalent for the full available limits of liability maintained by the Contractor irrespective of whether such limits maintained by the Contractor are greater than those required by this Contract and irrespective of whether the Certificate of Insurance describes limits lower than those maintained by the Contractor.
1.8. Contractor shall provide a Certificate of Insurance for each policy of insurance meeting the requirements set forth herein when Contractor provides the signed Contract for the work to City of Tacoma. Contractor shall provide copies of any applicable Additional Insured, Waiver of Subrogation, and Primary and Non-contributory endorsements. Contract or Permit number and the City Department must be shown on the Certificate of Insurance.
1.9. Insurance limits shown below may be written with an excess policy that follows the form of an underlying primary liability policy or an excess policy providing the required limit.
1.10. Liability insurance policies shall be written on an “occurrence” form, except for Professional Liability/Errors and Omissions, Pollution Liability, and Cyber/Privacy and Security.
1.11. If coverage is approved and purchased on a “Claims-Made” basis, Contractor warrants continuation of coverage, either through policy renewals or by the purchase of an extended reporting period endorsement as set forth below.
1.12. The insurance must be written by companies licensed or authorized in the State of Washington pursuant to RCW 48 with an (A-) VII or higher in the A.M. Best’s Key Rating Guide www.ambest.com.
1.13. Contractor shall provide City of Tacoma notice of any cancellation or non-renewal of this required insurance within Thirty (30) calendar days.
1.14. Contractor shall not allow any insurance to be cancelled or lapse during any term of this Contract, otherwise it shall constitute a material breach of the Contract, upon which City of Tacoma may, after giving Five (5) business day notice to Contractor to correct the breach, immediately terminate the Contract or, at its discretion, procure or renew such insurance and pay any and all premiums in connection therewith; with any sums so expended to be repaid to City of Tacoma by Contractor upon demand, or at the sole discretion of City of Tacoma, offset against funds due Contractor from City of Tacoma.
1.15. Contractor shall be responsible for the payment of all premiums, deductibles and self-insured retentions, and shall indemnify and hold the City of Tacoma harmless to the extent such a deductible or self-insured retained limit may apply to the City of Tacoma as an additional insured. Any deductible or self-insured retained limits in excess of Twenty Five Thousand Dollars ($25,000) must be disclosed and approved by City of Tacoma Risk Manager and shown on the Certificate of Insurance.
1.16. City of Tacoma reserves the right to review insurance requirements during any term of the Contract and to require that Contractor make reasonable adjustments when the scope of services has changed.
1.17. All costs for insurance shall be incidental to and included in the unit or lump sum prices of the Contract and no additional payment will be made by City of Tacoma to Contractor.
1.18. Insurance coverages specified in this Contract are not intended and will not be interpreted to limit the responsibility or liability of Contractor or Subcontractor(s).
1.19. Failure by City of Tacoma to identify a deficiency in the insurance documentation provided by Contractor or failure of City of Tacoma to demand verification of coverage or compliance by Contractor with these insurance requirements shall not be construed as a waiver of Contractor’s obligation to maintain such insurance.
1.20. If Contractor is a State of Washington or local government and is self-insured for any of the above insurance requirements, a certification of self-insurance shall be attached hereto and be incorporated by reference and shall constitute compliance with this Section.
2. CONTRACTOR
As used herein, “Contractor” shall be the Supplier(s) entering a Contract with City of Tacoma, whether designated as a Supplier, Contractor, Vendor, Proposer, Bidder, Respondent, Seller, Merchant, Service Provider, or otherwise.
3. SUBCONTRACTORS
It is Contractor’s responsibility to ensure that each subcontractor obtain and maintain adequate liability insurance coverage. Contractor shall provide evidence of such insurance upon City of Tacoma’s request.
4. REQUIRED INSURANCE AND LIMITS
The insurance policies shall provide the minimum coverages and limits set forth below. Providing coverage in these stated minimum limits shall not be construed to relieve Contractor from liability in excess of such limits.
4.1 Commercial General Liability Insurance
Contractor shall maintain Commercial General Liability Insurance policy with limits not less than One Million Dollars ($1,000,000) each occurrence and Two Million Dollars ($2,000,000) annual aggregate. The Commercial General Liability Insurance policy shall be written on an Insurance Services Office form CG 00 01 04 13 or its equivalent. Products and Completed Operations shall be maintained for a period of three years following Substantial Completion of the Work related to performing construction services.
This policy shall include product liability especially when a Contract solely is for purchasing supplies. The Commercial General Liability policy shall be endorsed to include:
4.1.1 A per project aggregate policy limit, using ISO form CG 25 03 05 09 or an equivalent endorsement.
4.2 Commercial (Business) Automobile Liability Insurance
Contractor shall maintain Commercial Automobile Liability policy with limits not less than One Million Dollars ($1,000,000) each accident for bodily injury and property damage and bodily injury and property damage coverage for owned (if any), non-owned, hired, or leased vehicles. Commercial Automobile Liability Insurance shall be written using ISO form CA 00 01 or
equivalent. Contractor must also maintain an MCS 90 endorsement or equivalent and a CA 99 48 endorsement or equivalent if “Pollutants” are to be transported.
4.3 Workers’ Compensation
Contractor shall comply with Workers’ Compensation coverage as required by the Industrial Insurance laws of the State of Washington, as well as any other similar coverage required for this work by applicable federal laws of other states. The Contractor must comply with their domicile State Industrial Insurance laws if it is outside the State of Washington.
4.4 Employers’ Liability Insurance
Contractor shall maintain Employers’ Liability coverage with limits not less than One Million Dollars ($1,000,000) each employee, One Million Dollars ($1,000,000) each accident, and One Million Dollars ($1,000,000) policy limit.
4.5 Professional Liability Insurance or Errors and Omissions
Contractor and/or its subcontractor shall maintain Professional Liability or Errors and Omissions with limits of One Million Dollars ($2,000,000) per claim and Two Million Dollars ($4,000,000) in the aggregate covering acts, errors and omissions arising out of the professional services under this Contract.
If the policy limit includes the payment of claims or defense costs, from the policy limit, the per claim limit shall be Two Million Dollars ($2,000,000).
If the scope of such design-related professional services includes work related to pollution conditions, the Professional Liability policy shall include Pollution Liability coverage.
If provided on a “claims-made” basis, such coverage shall be maintained by policy renewals or an extended reporting period endorsement for not less than three years following the end of the Contract.
4.6 Excess or Umbrella Liability Insurance
Contractor shall provide Excess or Umbrella Liability Insurance with limits not less than Fifteen Million Dollars ($15,000,000) per occurrence and in the aggregate. This coverage shall apply, at a minimum, in excess of primary underlying Commercial General Liability, Employer’s Liability, Pollution Liability, Marine General Liability, Protection and Indemnity, and Automobile Liability if required herein.
4.7 Pollution Liability Insurance
Contractor shall maintain a Pollution Liability or Environmental Liability Insurance providing coverage, including investigation and defense costs, for bodily injury and property damage, including loss of use of damaged property or of property that has been physically damaged or destroyed.
Such coverage shall provide both on-site and off-site cleanup costs and cover gradual and sudden pollution, and include in its scope of coverage the City of Tacoma damage claims for loss arising out of Contractor’s work with limits not less than One Million Dollars ($1,000,000) each occurrence and Two Million Dollars ($2,000,000) aggregate.
This policy shall include Environmental Resource Damage coverage and Hazardous Substance Removal. If such coverage is provided on a “claims-made” basis, the following additional conditions must be met:
4.7.1 The policy must contain no retroactive date, or the retroactive date must precede the commencement date of this Contract.
4.7.2 The extended reporting period (tail) must be purchased to cover a minimum of Six (6) years beyond completion of work.
4.8 Commercial Property Insurance
Contractor shall provide Commercial Property Insurance for loss or damage to any and all equipment owned by City of Tacoma while in the care, custody, or control of Contractor, Subcontractors, or their agents. The coverage shall be provided on an ISO Special Form Causes of Loss CP10 30 06 07 or equivalent and shall provide full replacement cost coverage. The deductible shall not exceed Two Thousand Five Hundred Dollars ($2,500). Contractor shall be responsible for paying the deductible for the applicable coverage.
4.9 **Installation Floater Insurance**
Contractor shall maintain during the term of the Contract, at its own expense, Installation Floater Insurance covering Contractor's labor, materials, and equipment to be used for completion of the work performed under this Contract against all risks of direct physical loss, excluding earthquake and flood, for an amount equal to the full amount of the Contract improvements.
4.10 **Inland Marine (Cargo) Insurance**
Contractor shall maintain Cargo Insurance. Coverage shall protect the property from all risk of injury, and coverage shall be in an amount of the full replacement cost of the property, with no coinsurance exposure. Any applicable deductible shall not exceed Five Thousand Dollars ($5,000).
4.11 **Other Insurance**
Other insurance may be deemed appropriate to cover risks and exposures related to the scope of work or changes to the scope of work required by City of Tacoma. The costs of such necessary and appropriate Insurance coverage shall be borne by Contractor.
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|
Southeast Athletic Trainers' Association, Inc.
June 11, 1993
Kansas City, MO
Agenda
I. Call to order
II. Reading of the Minutes
III. Old Business:
Financial Report
1993 SEATA Meeting - Jackson, MS
1993 Student SEATA Meeting - Tuscaloosa, AL
Committee Reports
Site Selection for 1994 District Meeting
District Director Report
IV. New Business:
Dues Increase
Other Matters
V. Adjournment
Approximately 223 members were in attendance (quorum of District IX membership was set established to be 120 based on latest available membership figures). President Jim Gallaspy called the meeting to order at 5:40 p.m. and asked Chris Gillespie for the invocation.
READING OF THE MINUTES
Mr. Gallaspy requested a motion to dispense of the minutes. Motion made by Mr. Doug May and second by Mr. Tom Simmons. No discussion and motion passed.
Mr. Gallaspy thanked Cramer Products, Inc. on behalf of District IX for the refreshments provided for the meeting.
FINANCIAL REPORT
Mr. Gallaspy called on Mr. Chuck Kimmel to give a financial report for the District Meeting in Jackson, MS, the Student Athletic Trainer Meeting in Tuscaloosa, AL and the upcoming District Meeting in Gatlinburg, TN.
-Mr. Kimmel reported as follows:
1992 District Meeting - Jackson, MS
Total Income: $18,690.00
Total Expenses: $13,362.84
Net Profit (Loss): $5,327.16
1993 Student Trainer Meeting - Tuscaloosa, AL
Total Income: $18,836.48
Total Expenses: $18,158.47
Net Profit (Loss): $678.01
-Mr. Kimmel reported that complete financial report from 1992 would be presented in Gatlinburg.
Mr. Gallaspy requested committee reports from the following District NATA Committees and their reports were as follows:
**Board of Certification** - Eva Clifton
-Mrs. Clifton thanked all those in District IX that had served as either an examiner or a model.
-Atlanta, Georgia will be added as a test site in 1994 with the certification examination scheduled to administered there twice during that year.
-The current Continuing Education Unit (CEU) period ends December 1993 and six will be needed.
-The next period begins January 1994 with eight (8) units required during that period.
-The CEU program suffered a net loss of $62,000 over the last year. This loss has been absorbed by the Board of Certification.
-CEU packets have been sent to all members for the current period with attention given to those athletic trainers who have not met the requirements for the current period.
-New CEU packets will be distributed for the 1994-1997 period after the first of the year. Mrs. Clifton stated that each athletic trainer will need to keep their packet for the three (3) year record and record everything on the recording sheet provided. When the required eight (8) credits is reached, the athletic trainer will need to send their records to the National Office.
-The three time failure policy was discussed in their Committee meetings. She stated that this policy had been a "nightmare" and a "mistake" and that because of this the policy has been dropped. The BOC will re-examine this policy and may end up becoming a recommendation, not a policy.
-All supervising athletic trainers were encouraged to be familiar with the Role Delineation Study as "it is the heart by which the certification exam is built." This study is revalidated every five (5) years. The members present were informed that the F.A. Davis Company sells the Role Delineation Study as well as the Test Study Guide which has representation of all three parts of the exam.
-Paul Grace will be leaving MIT as of July 1st and will be
SEATA MINUTES - JUNE 11, 1993 - KANSAS CITY, MO
working at a management company.
-Mrs. Clifton requested that anyone with any questions pertaining to the Certification Examination to call her. Her address and phone number is available in the District Newsletter.
-The District IX meeting CEU's will be done differently in Gatlinburg. Each session will have a CEU credit assigned to it and you will have to fill out a CEU form for each session thereby only awarding CEU's based on the actual sessions attended.
-Mrs. Clifton recommended that everyone read the Board of Certification Update and the NATA News that they receive to stay up-to-date.
Research and Education Foundation - Dr. Bobby Barton
-There has been an independent board set up for the Research and Education Foundation much as with the Board of Certification.
-Dr. Barton congratulated District IX for the amount of donations that has come from its area. Other than large corporate type of donations, District IX, its member institutions, and its members has generated more money to the Foundation than any other of the NATA Districts.
-There have been two prevailing questions as it concerns the Research and Education Foundation: 1) Who gets the money? and 2) Who decides how the money will be spent?
-The Research and Education Foundation's Board of Directors is made up of Dr. Barton, Bob Benke, John Powell, Ronnie Barnes, an orthopaedic surgeon from our District, and a researcher from the United States Olympic Committee who is dean of the Health, Physical Education and Recreation Department at Indiana University.
-The Stanley Robertson firm has been employed to do a management study for the Research and Education Foundation. Their study has resulted in a very favorable response from all those studied, not just athletic trainers.
-The initial goal for the Foundation was set too high and a more realistic goal of $2,000,000 has been set.
-Mr. Brooks McIntyre has been employed to be the "watchdog" for the Foundation.
-The Research and Education Foundation Board will not decide
who gets the money.
-An independent group of athletic trainer educators will make the decisions as to who receives the money. Dr. Rod Harter will serve as the chairperson of this committee. They will review all projects that are submitted.
-The Board of Directors of the NATA have not, to date, acted on the Research and Education Foundation Board's recommendations.
1. The Research and Education Foundation's Board has recommended that some part-time help be employed to handle mailouts.
2. They, too, have recommended that the NATA's Grants and Scholarships come under their Board.
-Dr. Barton reported that the Board has been disappointed that there have not been many good projects available for receiving monies from the Research and Education Foundation. He encouraged everyone to take advantage of the opportunities that the Foundation can provide them.
District Meeting/AAU - Jane Steinberg
-Ms. Steinberg reminded the membership that the AAU competitions were going to be in Knoxville, TN from July 31 until August 7 and that she needs student athletic trainers and/or certified athletic trainers to help her with this event. The event can provide free housing.
-She encouraged everyone to attend the SEATA Meeting in Gatlinburg, TN from June 12 to 14.
Governmental Affairs - Keith Webster
-Mr. Webster reported that the Alabama bill had passed in the 1993 legislative session. He advised all Alabama athletic trainers to become aware of the bill is they already did not know about it. A series of meetings were held around the state to explain the bill and its impact on athletic trainers. He advised anyone who had missed one of these meetings to contact a local Alabama athletic trainer representative.
-Thirty (30) states are under regulation across the country.
-Contact Mr. Webster or Mr. Ross Davis at the University of Florida if you would like to assist in the Florida efforts for
athletic trainer regulation.
-Mr. Webster will contact state legislative representatives for a possible meeting in Gatlinburg.
**College/University Student Trainer Committee** - Paul Newman
-The committee met and was unanimous in its support for student members of the NATA to receive the Journal.
-Mr. Newman reported that a possible solution for a more cost effective way of getting the Journal to students would be to send their copy to their supervising athletic trainer.
**SEATA Site Selection Committee/NATA Audio-Visual Committee** - R.T. Floyd
-The NATA Audio-Visual Committee met and is progressing along with the guidelines for a video production contest. There has been one entry and the decision on that will be in one year.
-Mr. Floyd reported that the Audio-Visual room in Kansas City had been well received. New to last year's meeting was that there were five (5) viewing stations with earphones instead of having only one (1) station as had been the case previously.
-The 1994 SEATA Annual Business Meeting and Clinic is going to be March 25, 26, and 27 (Friday, Saturday, and Sunday). The site has not been decided.
-The 1995 SEATA Annual Business Meeting and Clinic is going to be March 24, 25, and 26 (Friday, Saturday, and Sunday).
-Mr. Floyd recognized the Site Selection Committee Members: Bill Brooks, Bill Edwards, Jessica Ennis, Leroy Mullins, George McDowell, Jim Madeleno, Chuck Kimmel, and Bob Goodwin.
-There are proposals for the 1994 meeting but none as yet for the 1995 meeting. Anyone interested can submit a proposal to Mr. Floyd.
**DISTRICT DIRECTOR'S REPORT** - Jerry Robertson
-Board meetings are now open to the regular membership.
-The NATA Vice-President for the next year will be Mr. Pete Carlin from District VI.
SEATA MINUTES - JUNE 11, 1993 - KANSAS CITY, MO
- The NATA is in the process of purchasing a voice mail service at the national office. The national office has been receiving over 6000-7000 calls per month utilizing the 800 number and adding this feature will be more cost effective than adding more personnel. Every effort will be made to make the system user-friendly and cost effective.
- An effort will be made to locate a sponsor for the Wednesday night welcome party at the National Symposium. The Board of Directors and the Convention Committee will work to secure sponsorship for the Wednesday night welcome party.
- Mr. Robertson reported that the late Mr. Tim Kerin was going to be inducted into the NATA Hall of Fame. He thanked all the people who assisted in securing his nomination and subsequent induction.
- There will be a Hall of Fame display at the National Office modeled after District IX's at the Hughston Sports Medicine Center.
- Mr. Robertson reported that officials at the Paul Bryant Museum in Tuscaloosa, Alabama have agreed to include a permanent display honoring District IX NATA Hall of Fame inductees. He thanked those athletic trainers in Alabama for their support and eventual approval of this.
- There will be a mobile display of District IX NATA Hall of Fame members that will be displayed at the SEATA Annual Business Meeting and Clinic as well as the SEATA Student Trainer Meeting.
- It was reported that the NATA is in much better shape financially this year with assets of $4,074,037 and $221,166 of net income.
- The USOC athletic injury database is up and running and available for athletic trainers to access. This system is available to any athletic trainer who wants to perform injury research using the database. Contact Bob Benke if interested in using this data.
- The student athletic trainer Journal issue will be revisited before leaving Kansas City.
- The NATA is in the process of negotiating with Tinactin on an agreement. This will not be a sponsorship, but will be an agreement whereby some money will be given to the NATA. This agreement will be re-negotiated in one year.
- The Board passed a Code of Ethics and NATA Membership
Standards and Eligibility requirements with membership sanctions and procedures which was brought to them by the Ethics Committee. Each member will receive a copy.
-A College Athletic Trainer steering committee has been formed with one member being a representative from District IX.
-Mr. Robertson thanked everyone involved in District IX for their input and support.
-He requested of the District to give him some direction on the proposed $25 dues increase. He outlined three reasons for the increase:
1. maintain current level of membership services,
2. development of a legal defense fund, and
3. replace existing or expiring corporate sponsorship funds in the general fund.
Questions from the floor were accepted:
Q. Will there be a cap on the dues increase?
A. Not discussed. The discussions only involved a $25 increase across the board.
Q. What about the Journal for students?
A. I think it will be reinstated.
Q. What about student dues? Will they, too, increase $25? If so, this will prove a hardship on students which will mean many will not be able to join.
A. Yes.
Q. Why can't the money we get from corporate sponsorships help to defray costs to the student membership or if the trend away from corporate sponsorships does not happen and they remain strong, then where is that money going to be put?
A. The trend away from corporate sponsorships has already started.
Q. Do you think the increase in dues will pass?
A. I have not asked all the other Board members but I believe it is pretty strong.
A motion was made by Mr. R.T. Floyd and seconded by Mr. Chris Gillespie that District IX support dues increase for certified athletic trainers and all other categories but not support the increase for students.
The motion passed clearly by a show of hands.
NEW BUSINESS
-A presentation of changes for the SEATA By-Laws was made by Mr. Doug May of the District IX Constitution Committee. The changes presented were as follows:
Article II
Section 2
The certified members of the Southeast Athletic Trainers' Association will propose nominations for the District IX officers. Nominations are to be made in writing to the District Secretary prior to the Annual Business Meeting.
DELETE:
...prior to the Annual Business Meeting.
Section 2
These nominations will be voted on by the certified members of the District present at the Annual Business Meeting. Nominations can be made from the floor at the meeting.
CHANGE TO READ:
These nominations will be voted on by the certified members of the District by a mail vote.
Section 3
...In the event the President cannot succeed, there will be a special election at the Annual SEATA Business Meeting.
CHANGE TO READ:
...In the event the President cannot succeed, there will be a special election by mail vote with a call for nominations from the district membership by written announcement.
Article X
In the event that this organization decides to disband, the remaining monies in the treasury will be given to the Grants and Scholarship Committee of the National Athletic Trainers' Association.
CHANGE TO READ:
In the event that this organization decides to disband, the remaining monies in the treasury will be given to the
state organizations that make up the District (Alabama, Florida, Georgia, Kentucky, Louisiana, Mississippi, and Tennessee). The monies will be divided equal.
-After the presentation there were questions and discussion from the floor regarding the proposed changes.
-A motion was made by Mr. Mike Roberts and seconded by Mr. Richard Clemons to accept all proposed changes except those to Article X. Following some discussion, a vote was taken.
IN FAVOR: UNANIMOUS
-Discussion of Article X revision was discussed. After some discussion a motion from the floor and seconded from the floor was made to accept the change to Article X but for it to read as follows:
In the event that this organization decides to disband, the remaining monies in the treasury will be divided based on the percentage of NATA dues paying members in each state (Alabama, Florida, Georgia, Kentucky, Louisiana, Mississippi, and Tennessee).
-After some discussion, the motion was voted on. The vote was as follows:
IN FAVOR: 114 OPPOSED: 77
ABSTAINED: 12 TOTAL VOTE: 203
-Mr. Gallaspy reported the count and reported that the motion had failed as it takes a three-fourths majority to amend the By-Laws.
-A motion was made from the floor and seconded from the floor to accept the revision of Article X as it was originally presented.
-After some discussion, including "how much money are we talking about?" (roughly $79,000), the motion was voted on. The vote was as follows:
IN FAVOR: 138 OPPOSED: 56
ABSTAINED: 9 TOTAL VOTE: 203
-Mr. Gallaspy reported that the motion had been accepted as a vote of 134 was required for passage.
-Mr. Ron Courson reported on the Seventh Annual SEATA Student Trainer Meeting held in Tuscaloosa and made available certificates to individuals that assisted in the meeting.
SEATA MINUTES - JUNE 11, 1993 - KANSAS CITY, MO
-Mr. Deloss Brubaker asked the District Director to request that the NATA Board of Directors not do anything directed to the membership without going to the membership first.
-Mr. Robertson has presented to the Board of Directors that all Hall of Fame inductees should have an opportunity to say a few words at the Awards Luncheon.
-Mr. Robertson reported that he has requested from President Denny Miller a "30-day policy." This policy would require that each Director would have issues for consideration a minimum of 30-days prior to their discussion and/or vote.
-After some discussion, Mr. Gallaspy asked if the proposed policy presented by Mr. Robertson was adequate and what Mr. Brubaker had in mind and he responded in a favorable manner.
-A motion to adjourn was made by Mr. Tom Simmons with a second from the floor. The meeting was adjourned at 6:50 p.m.
|
THE EFFECT OF SOIL WATER REPELLENCY AND FUNGAL HYDROPHOBICITY ON SOIL WATER DYNAMICS IN THE ATHABASCA OIL SANDS
A Dissertation Submitted to the College of Graduate Studies and Research in Partial Fulfillment of the Requirements for the Degree of Doctor of Philosophy in the Department of Soil Science University of Saskatchewan Saskatoon By Henry Wai Chau
@ Copyright Henry Wai Chau, December, 2013, All rights reserved
PERMISSION TO USE
In presenting this dissertation in partial fulfillment of the requirements for a Postgraduate degree from the University of Saskatchewan, I agree that the Libraries of this University may make it freely available for inspection. I further agree that permission for copying of this dissertation in any manner, in whole or in part, for scholarly purposes may be granted by the professor or professors who supervised my dissertation work or, in their absence, by the Head of the Department or the Dean of the College in which my dissertation work was done. It is understood that any copying or publication or use of this dissertation or parts thereof for financial gain shall not be allowed without my written permission. It is also understood that due recognition shall be given to me and to the University of Saskatchewan in any scholarly use which may be made of any material in my dissertation.
DISCLAIMER
Reference in this dissertation to any specific commercial products, process, or service by trade name, trademark, manufacturer, or otherwise, does not constitute or imply its endorsement, recommendation, or favouring by the University of Saskatchewan. The views and opinions of the author expressed herein do not state or reflect those of the University of Saskatchewan, and shall not be used for advertising or product endorsement purposes.
Requests for permission to copy or to make other use of material in this thesis in whole or part should be addressed to:
Head of the Department of Soil Science
University of Saskatchewan
51 Campus Drive
Saskatoon, Saskatchewan, S7N 5A8
OR
Dean
College of Graduate Studies and Research
University of Saskatchewan
107 Administration Place
Saskatoon, Saskatchewan S7N 5A2
Canada
Surface mining of the Athabasca Oil Sands of Canada is occurring at an unparalleled rate resulting in large scale disturbances over vast areas. Soil water availability for plants is one of the key issues faced when reclaiming the landscape. A factor which limits the soil water availability is soil water repellency (SWR). Soil water repellency is found on both natural and disturbed sites in this region and can cause reduced infiltration, reduced soil water storage, enhanced runoff, increased preferential flow, and reduced ecosystem productivity. Effective characterization of SWR, determination of the causes of SWR and understanding how it affects soil pores and water flow are important for environmental management.
The main objective of this study is to examine the effect of SWR and fungal hydrophobicity on soil water dynamics in Athabasca Oil Sands. This was accomplished by determining the relationship between the measurement of severity and persistence of SWR and the critical water content (CWC) where SWR is greatest between different soils in the region. Examining how the water conducting porosity and soil pores are affected by SWR. Developing methods to quantify fungal strains that cause SWR and testing of these fungal strains for their ability to alter the SWR and infiltration into soil.
Results show that a high severity (Contact angle) of repellency does not necessarily denote long persistence (Water Drop Penetration Time) or high CWC in soils from the region. A high severity of SWR in larger diameter pores decreased the water conducting porosity due to the larger pore contribution to the total liquid flux. The modified microscopy approach and the alcohol percentage test (APT) resulted in improved characterization of fungal hydrophobicity. Fungal strains were classified as hydrophilic, hydrophobic and chrono-amphililic based on their surface properties from these measurements. The surface property of selected fungi strains can alter the SWR in both a repellent and wettable soil and can also change the water infiltration rate.
This research highlights the importance of characterization of SWR, the effects on water flow, and how fungal hydrophobicity can alter the SWR and infiltration. This will aid in improving our understanding of SWR and improve remediation efforts on water repellent soils in the Athabasca Oil Sands region.
ACKNOWLEDGEMENTS
I would like to express my sincere appreciation to Dr. B.C. Si and Dr. V. Vujanovic for their guidance, inspiration encouragement and continued support through the course of this investigation. I would especially like to thank them for their patience during this time.
Special thanks go to my committee member, Dr. S.L. Barbour, Dr. K. Van Rees, Dr. R. de Freitas, and Dr. S. Siciliano for helpful insights and timely conversation through the investigation and during my academic career.
This investigation was funded by grants from CEMA, Conrad, Syncrude ltd. Suncor, and Albian Sands. I am greatly indebted to these organizations. I am extremely grateful for the financial support by NSERC, University of Saskatchewan, Department of Soil Science, Canadian Soil Science Society and Soil Science Society of America.
To all the friends I’ve made in the department, your support and our lively discussions in and outside the research world was wonderful; special thanks to T. Pernitsky, Y. Dobrovolskaya, M. Li, M. Sigouin, E. Neil, A. Laird, T. King, Dr. H. Wei, Y. Goh, Dr. S. Chun, A. Mascarenhas, C. Dedzoe, Dr. G. Kar, Dr. T. Yates, M. St. Arnaud, K. Heidinger and Dr. S. Adl.
I also want to thank my Indian Brother, Dr. A. Biswas. Thanks for all the support and encouragement throughout the program and in life. Your mentorship and guidance is very much appreciated.
To my parents, Mei Sin and Tzu Yin, my brother Kenny, my sister Wendy, and extended family, Thank you for your generous support. Finally, to Xia Luo, the wonderful woman in my life thanks for your support and your encouragement through my program and in life.
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| PERMISSION TO USE | i |
| DISCLAIMER | ii |
| ABSTRACT | iv |
| ACKNOWLEDGEMENTS | v |
| TABLE OF CONTENTS | vi |
| LIST OF TABLES | ix |
| LIST OF FIGURES | x |
| 1. GENERAL INTRODUCTION | 1 |
| 1.1 Introduction | 1 |
| 1.2 Organization of the Dissertation | 3 |
| 2. LITERATURE REVIEW | 5 |
| 2.1 Soil Water Repellency | 5 |
| 2.2 Causes of Soil Water Repellency | 6 |
| 2.3 Measurement and Characteristics of Soil Water Repellency | 9 |
| 2.4 Conducting Porosity in Water Repellent Soils | 16 |
| 3. RELATIONSHIP BETWEEN THE SEVERITY, PERSISTENCE OF SOIL WATER | 20 |
| REPELLENCY AND THE CRITICAL SOIL WATER CONTENT IN WATER REPELLENT | |
| SOILS | |
| 3.1 Preface | 20 |
| 3.2 Abstract | 20 |
| 3.3 Introduction | 21 |
| 3.4 Materials and Methods | 26 |
| 3.4.1 Study Sites and Soil Description | 26 |
| 3.4.2 Laboratory Analysis | 28 |
| 3.4.3 Measurement of Severity and Persistence | 29 |
| 3.4.4 Measurement of Critical Water Content | 32 |
| 3.4.5 Contact Angle Measurements | 32 |
| 3.5 Results and Discussion | 33 |
| 3.5.1 Severity and Persistence | 33 |
| 3.5.2 Critical Water Content | 39 |
| 3.5.3 Conclusions | 44 |
| 4. DETERMINATION OF THE CONDUCTING POROSITY AND WATER REPELLENT | 45 |
| AFFECTED PORES SIZES IN SOILS UNDER DIFFERENT TENSIONS | |
| 4.1 Preface | 45 |
| 4.2 Abstract | 46 |
| 4.3 Introduction | 46 |
| 4.4 Materials and Methods | 49 |
| 4.4.1 Site Information | 49 |
4.4.2 Tension Infiltrometer .................................................................52
4.4.3 Estimation of the Conducting Porosity ........................................53
4.4.4 Water Repellency Index .............................................................54
4.5 Results and Discussion ..................................................................55
4.6 Conclusions ....................................................................................70
5. A NOVEL METHOD FOR IDENTIFYING HYDROPHOBICITY ON FUNGAL SURFACES: CONTACT ANGLES .................................................................71
5.1 Preface ..........................................................................................71
5.2 Abstract .........................................................................................71
5.3 Introduction ...................................................................................72
5.4 Materials and Methods .................................................................75
5.4.1 Fungal Inocula .......................................................................75
5.4.2 Preparation of Slide Media ..................................................76
5.4.3 Fungal Slide Culture ..............................................................76
5.4.4 Contact Angle Acquisition ...................................................77
5.4.5 Contact Angle Measurement ...............................................78
5.5 Results and Discussion ..................................................................79
5.5.1 Hydrophobic / Hydrophilic Fungi ........................................79
5.5.2 Chronoamphiphilic ...............................................................82
6. ASSESSMENT OF ALCOHOL PERCENTAGE TEST FOR FUNGAL SURFACE HYDROPHOBICITY MEASUREMENT .................................................................86
6.1 Preface ..........................................................................................86
6.2 Abstract .........................................................................................86
6.3 Introduction ...................................................................................87
6.4 Materials and Methods .................................................................91
6.4.1 Fungal Strains .......................................................................91
6.4.2 Contact Angles .....................................................................91
6.4.3 Alcohol Percentage Test ......................................................94
6.5 Results and Discussion ..................................................................94
6.6 Conclusions ..................................................................................96
7. WETTING PROPERTIES OF FUNGI MYCELIUM ALTER SOIL INFILTRATION AND SOIL WATER REPPELLENCY IN A STERILIZED WETTABLE AND REPELLENT SOIL..99
7.1 Preface ..........................................................................................99
7.2 Abstract .........................................................................................100
7.3 Introduction ..................................................................................100
7.4 Materials and Methods .................................................................102
7.4.1 Fungal Cultures ....................................................................102
7.4.2 Soil Water Repellency ..........................................................103
7.4.3 Preparation of Soil for Inoculation .......................................105
7.4.4 Preparation of Fungal Inocula ..............................................105
7.4.5 Water Repellency Index ......................................................107
7.5 Results and Discussion ..................................................................108
7.6 Conclusions ..................................................................................115
8. SYNTHESIS AND CONCLUSION ................................................................. 116
8.1 Summary of Findings ........................................................................... 117
8.2 Future Research .................................................................................. 123
9. LITERATURE CITED .............................................................................. 126
Table 1. Soil water repellency (SWR) classification of soils based on the severity (Contact angles: King, 1981) and the persistence (WDPT: Dekker and Jungerius, 1990). ...........................................31
Table 2. Soil description (soil texture) and soil water repellency (SWR) classification of the soils based on the severity (contact angles) and persistence (WDPT) independently and the soil critical water content.................................................................................................................................35
Table 3. Location specific information: bulk density and initial volumetric water content from each location in each of three sites; SV 26, Goodale, and Preston before infiltration. .......................51
Table 4. Estimation of the water conducting porosity (WCP) and intrinsic (95% ethanol) conducting porosity (ECP) (% of total soil volume) for pore diameter of 0.0231 to 1 mm for the five locations in each site ..................................................................................................................66
Table 5. Comparison of contact angles obtained from the modified microscope approach on fungal slide cultures with similar fungal species from literature. .................................................................................................................................80
Table 6. The age of cultures for complete coverage of slide media and contact angles obtained from surface measurements.........................................................................................................................93
LIST OF FIGURES
Fig. 1. Diagram of decreasing infiltration due to presence of hyphae and presence of hyphae and fungal hydrophobicity .................................................................9
Fig. 2. Diagram of the contact angle formed by a water droplet placed on a repellent surface .................................................................10
Fig. 3. Diagram illustrating the characterization of soil water repellency. a) Degree and persistence measured as contact angles formed on the soil surface and water drop penetration or spreading time respectively. b) Water repellency index determined by sorptivity ratio of 95% ethanol and water through infiltration. c) Critical water content is the water content at which soil water repellency is no longer present (no contact angle on soil surface or instantaneous spreading or penetration of water droplet) ..................................................16
Fig. 4. Map of 13 sites in Northern Alberta and Central Saskatchewan (● natural jack pine sites, ○ reclaimed/disturbed sites, and ▶ agricultural sites) ...........................................................................................................28
Fig. 5. a) The severity of SWR (contact angles) as a function of persistence (time) on extremely water repellent sites classified by contact angles measured; AE1, SS trial, SV 26, ALFH, SW30 and SV 10. b) The severity of SWR (contact angles) as a function of persistence (time) on subcritical repellent soils classified by contact angles measured; SV 27 and CPA ............................................................................................................................................................................36
Fig. 6. Contact angle as a function of water content for all sites for determination of the critical water content. Error bars represents the standard error of mean for 5 droplets on 5 subsamples ........................................................................................................................................................................41
Fig. 7. Trends observed from contact angle (severity) as function of water content (kg kg-1): a) Contact angles decreases rapidly with increase in water content, b) Contact angles drops slowly with increase in water content, c) Contact angles are persistent until a water
content is reached, thereafter contact angles drop slowly with increase water content. d) As water content increases past 0% there is an increase in contact angle initially followed by decrease in contact angle.
Fig. 8. Water repellency index (RI) as a function of water pressure head (cm) for the five locations calculated from sorptivity obtained at a) early time and b) steady state on SV 26, Goodale, and Preston. Macropore and mesopore contributions to flow separated at -3 cm pressure head. Location 1 (●), 2 (■), 3 (◆), 4 (△), and 5 (○). Dashed vertical line indicates RI values at different locations under -3 cm tensions.
Fig. 9. Steady-state infiltration rate (x 10^-2 m s^-1) from location 1 on a) SV 26, b) Goodale, c) Preston; calculated from water pressure head (cm) on the bottom axis, and equivalent 95% ethanol head (cm) on top axis. Water (●), Ethanol (■).
Fig. 8. The water and 95% ethanol flux contribution (% of total volume) as a function of the water pressure head (cm) and ethanol pressure head (cm) respectively for the five locations on a) SV 26, b) Goodale, and c) Preston. Macropore and mesopore contributions to liquid flux (%) are separated at -3 cm pressure head. Location 1 (●), 2 (■), 3 (◆), 4 (△), and 5 (○).
Fig. 11. The change in the estimated conducting porosity (95% ethanol conducting porosity – water conducting porosity) (% of total volume) in the five locations on a) SV 26, b) Goodale, and c) Preston.
Fig. 12. Diagram of the modified microscope setup for image acquisition and contact angle measurement.
Fig. 13. a) Diagram of placement of 10uL water droplets in respect to the point of inoculation. b) Images of 10 µl water droplets on the surface of *Cladosporium cladosporioides* grown on
a PDA slide. c) Images of 10 µl water droplets on the surface of *Suillus tomentosus* grown on a PDA slide media.
Fig. 14. Wet mount of spores extracted from *Trichoderma harzianum* from two areas from the same fungal cultures: a) Older growth (green area/centre portion) and b) Younger growth (white area/outer region). * Drops of 10µl sterile dH$_2$O were spotted onto fungal cultures of both centre and outer portions. Water droplets were pipetted few times and transferred to slides for microscopy observation.
Fig. 15 a) Plot of fungal strains versus the alcohol percentage (ethanol) absorbed into fungal surfaces on PDA grown cultures and contact angles of water droplets on the fungal inoculated PDA agar slides (Chau et al., 2009): (●) Contact Angles, (■) Inner zone APT (%) and (□) Outer Zone APT (%). Note: Strains designated as *L. laccata* (LL), *M. hyaline* (MH), *F. avenaceum* (FH), *F. oxysporum* (FA), *Alternaria sp.* (A), *C. minourae* (CM), *S. mycoparasitica* (SA), 3-Acetyldeoxynivalenol *F. graminearum* (3A-FG), 15-Acetyldeoxynivalenol *F. graminearum* (15A-FG), *P. aurantiogriseum* (PA) and *C. cladosporioides* (CC). b) The relationship between the ethanol percentage method and water contact angle measurements on agar inoculated hydrophobic fungal cultures (fitted by linear regression $R^2 = 0.95$): (●) Fungal strains and (○) *C. minourae*.
Fig. 16. Miniaturized infiltrometer to measure the infiltration of two liquids (water and 95% ethanol) in a small circular surface area. Caption: modified infiltrometer tip using nylon membrane affixed to 200 ml pipette tip. Inner diameter measures 2 mm.
Fig. 17. Plot of the water repellence index as a function of time (days) for incubation of 3 strains of fungi and the control on a) wettable soil, and b) water repellent soil. Errors bars represent the standard error of the mean. (●) *Alternaria sp.*-hydrophobic, (■) *F.
Fig. 18. Plot of cumulative infiltration as a function of time from 21 days of incubation for 3 strains of fungus and the control on a) wettable soil, and b) water repellent soil. (● Alternaria sp.-hydrophobic, ■ F. proliferatum-hydrophilic, ◇ T. harzianum-chrono-amphilic and △ control-uninoculated soil)
| Abbreviation | Description |
|--------------|-------------|
| AE1 | A ecosite 1 |
| AE2 | A ecosite 2 |
| ALFH | Aurora LFH capping study |
| APT | Alcohol Percentage Test |
| ATS | Albian Tailing Sands |
| CPA | Center pit at Aurora |
| CA | Contact Angle |
| CONRAD | Canadian Oil Sands Network for Research and Development |
| CV | Coefficient of variation |
| CWC | Critical water content |
| SCB | Syncrude Coke Bulk |
| LFH | Leaf, litter and humus layer on soil surface |
| MED | Molarity of an ethanol droplet |
| RI | Water repellency index |
| SW | Water sorptivity |
| SE | Ethanol Sorptivity |
| SS Trial | Albian Shallow Stripping Trial |
| SV10 | Soil vegetation plot 10 |
| SV26 | Soil vegetation plot 26 |
| SV27 | Soil vegetation plot 27 |
| SWR | Soil water repellency |
| Code | Description |
|------|-----------------------------|
| SW30 | South west 30 |
| WDPT | Water droplet penetration time |
1. GENERAL INTRODUCTION
1.1 Introduction
Soil water repellency (SWR) has received increased attention by the scientific community in recent years since it has been found to be a much more widespread property in soils than previously thought (Hallett, 2008; Müller and Deurer, 2011; Jordán et al., 2013). Soil water repellency is a surface property which causes soil to reduce its affinity to water. This has a direct effect on the infiltration of water in and flow through soils. The presence of SWR in soil often affects whether water moves to surface water as runoff, infiltrates into soil water storage, contributes to drainage into groundwater, or is lost by evaporation (Doerr et al., 2000). Likewise, SWR will also affect the soil's filtering and buffering capability of nutrients and contaminants. The efficient use of water for agricultural crops, forest development, reclamation practices and effective protection of fresh water from contamination could be greatly enhanced by a better understanding of relationship between SWR and soil water.
The Athabasca Oil Sands of Canada is where surface mining of the oil sands is occurring at an unparalleled rate, resulting in large scale disturbances over vast areas. In order for the oil companies in the region to operate within a regulatory framework set within the Land Surface Conservation and Reclamation Act 1973 and the Environmental Protection and Enhancement Act 1992 (Government of Alberta, 1999), they are obligated to conserve and reclaim their disturbed lands. The aim of reclamation entails the complete re-creation of landforms and ecosystems at the landscape scale, with the goal of producing suitable and sustainable habitats for plants and animals (Government of Alberta, 1999).
The soils and materials in the area used for the recreation of landforms originated from coarse textured glacial fluvial and eolian deposits (Turchenek and Lindsay, 1983). Additionally, the oil sands are also situated under the peat lands (bogs and fens) of the boreal forests. As such, reclamation entails using salvaged soil materials, tailings sand, peat, and surface organic matter for reclamation practices. Soil water availability for plants is one of the key issues facing reclaiming disturbed landscapes in the Athabasca Oil Sands Region of Canada due to the dominance of these materials. A limiting factor to soil water availability is soil water repellency. Soil water repellency is found on both natural and disturbed sites in this region (Hunter et al., 2011). Observation of low infiltration rates on reclaimed / distributed landscapes compared to natural landscapes, suggest differences in the severity and persistence of SWR (Hunter et al., 2011). As such, effective characterization of the severity and persistence of water repellency must be done to accurately determine the influence on hydrological processes. To better understand water flow in repellent soils, understanding what pores sizes are influenced by SWR and how SWR influences the conducting porosity is also important. Soil water repellency is dependent on many inter-related and dynamic factors including soil organic matter content, hydrocarbon concentration, fungi and plant exudates, fire, and water content (Doerr et al., 2000). Examination of the causes of SWR is important to provide us with more information on factors to consider when determining the implications of SWR. As well, research into the causes of SWR will also aid in management and remediation practices of severely repellent sites. One of the main causes of SWR is fungi; however correlations between SWR and specific fungal causes have been weak (Savage et al., 1969; Smits et al., 2003). This is mainly due to difficulties with the classification of fungi based on their surface hydrophobicity which are known to cause SWR. The roughness of fungi and fungi mycelia does not allow for effective characterization of contact
angle on fungal surfaces (Smits et al., 2003). More efficient methods are needed to quantify fungal hydrophobicity and to classify fungi by their ability to cause SWR. The main objective of this research is to examine the effect of SWR and fungal hydrophobicity on soil water dynamics in the Athabasca Oil Sands, starting from the fundamental principles of SWR characterization (1) by examining the relationship between degree, persistence and the critical water content in water repellent soils, (2) examining SWR effects on the conducting porosity and water flow, (3) development and, (4) modifications of methods to quantify fungal strains based on their surface property that can cause SWR and (5) by examining the effect of fungal strains in soils on SWR and infiltration.
1.2 Organization of the Dissertation
The research presented in this dissertation is organized in a manuscript format. Following this introduction and the literature review presented in Chapter 2, five studies are presented in Chapters 3 through 7. Chapter 3 focuses on the measurement of SWR. The issue with SWR measurement is there is little literature on the effect of water content on SWR measurement (DeJonge et al., 1999; Beatty and Smith, 2013). In addition, measurement techniques only focus on the severity or persistence as an indication of the presence of repellency. Since SWR is a dynamic property affected by soil water content, the objective of this chapter was to examine the severity as a function of persistence and water content in water repellent soils. This will aid our understanding of SWR under different water content conditions. In the fourth chapter the objective is to examine the effect of SWR on the conducting porosity. As the soil water content increases, the severity and persistence of SWR decreases. This phenomenon will influence the water flow in certain pores. Understanding how repellency affects water flow in certain pores is important in terms of water management.
Chapter 5 focuses on how to measure the hydrophobicity of fungal strains that cause water repellency. The objective of this chapter was to develop a method to measure the hydrophobicity of different fungal strains. This is useful for determining fungal strains that have the ability to change SWR. A challenge for both classification of water repellency in soil and hydrophobicity of fungal strain based on contact angle is surface roughness (Unestam, 1991; Smits et al., 2003). This surface roughness is due to rough particle surfaces of soil and the mycelia of fungi. In chapter 6, a previously developed method using different concentrations of ethanol solutions with different surface tension to measure the spread of solution on the soil surface or infiltration as indication of the severity (Chau et al., 2010) was tested on fungi. The objective of this chapter was to examine if the contact angles measured on the fungal surface are related to the percentages of alcohol droplets. This method would be suitable for measurement of fungal culture with large aerial mycelia which would obscure the view of CA on fungi.
Application of surfactants, amendments are not a economically and environmentally viable option to reclaim repellent soils due to cost of transport and potential negative impact to the environment (Doerr et al., 2000). In Chapter 7, the objective was to examine the use of fungal strains or the stimulation of fungal strains to change the SWR in soil. In this dissertation, I have provided better measurement techniques for determination of SWR, determined which fungal strains could cause SWR, and improved our understanding of how the wetting behaviour of repellency is affected in different pore sizes and the influence on water flow. Chapter 8 is the conclusion of this dissertation, where I summarize major findings, limitations and future directions of the research.
2. LITERATURE REVIEW
2.1 Soil Water Repellency
Soil water repellency or hydrophobicity is defined as the state whereby the soil does not wet spontaneously when water is applied, and is increasingly recognized as a problem (Wallis, 1992). Water repellent soils are found throughout the world on grasslands (Dekker and Ritsema, 1994), forests (Buczko et al., 2002), agricultural lands (Hallett and Young, 1999), and also on disturbed/reclaimed areas (Roy and McGill, 1998; Wallach et al., 2005). The main effects of SWR are reduced infiltration (DeBano, 1971; Wallis et al., 1993) and water storage (DeBano, 1981; Hendrickx et al., 1993), increased overland flow and soil erosion (King, 1981; Dekker and Ritsema, 1994; Shakesby et al., 2000; Ellies et al., 2005; Cerdà and Doerr, 2007), development of fingered flow or preferential flow paths, creation of unstable, irregular wetting fronts (Hendrickx et al., 1993; Dekker and Ritsema, 1994; Bauters et al., 2000; DeBano, 2000; Buczko and Bens, 2006; Carrick et al., 2011) and delayed seed germination (Osborn et al., 1967). However, low levels or sub critical SWR has been shown to be important for stabilizing soil structure (Tillman et al., 1989) and soil aggregates (Hallett and Young, 1999), improving soil water storage (Kobayashi and Shimizu, 2007), and preventing dispersion and erosion of soil (Ellies et al., 2005).
During the past years, SWR has been studied intensively. Studies examining the impacts of SWR have focused on water repellency in natural soils (Crockford et al., 1991; Woche et al., 2005), finger flow and finger formation (Ritsema et al., 1997; Bauters et al., 1998), water flow in field studies (Wang et al., 2000b; Wallach et al., 2005), infiltration of water into water repellent soils (Wang et al., 2000b; Wallach et al., 2005; Lamparter et al., 2006; Carrick et al., 2011; Ganz
et al., 2013), and finally the effect of water content on water repellency (DeJonge et al., 1999; Doerr and Thomas, 2000; Liu et al., 2012). Management strategies such as reducing evaporation, increasing infiltration, optimizing water retention, controlling water movement in soils and amelioration of repellency have been implemented to improve soils affected by this condition (Ritsema and Dekker, 2003; Hallett, 2008; Müller and Deurer, 2011). However, these strategies are neither cost effective nor entirely practicable due to our gaps in our understanding of how SWR functions in soil.
2.2 Causes of Soil Water Repellency
Soil water repellency occurs in many soils around the world (Leelamanie et al., 2010). Coarse textured soils are more susceptible to SWR (Tschapek, 1984; Harper and Gilkes, 1994; DeJonge et al., 1999; Woche et al., 2005; Karunarathna et al., 2010) due to lower surface area per unit volume than fine textured soils, meaning less hydrophobic material is required to coat soil to have the same severity of SWR (Doerr et al., 2000). Soil water repellency is primarily caused by hydrophobic compounds coating the mineral surfaces of soil particles (Tschapek, 1984; Ma’shum et al., 1988; Doerr et al., 2000; Ellies et al., 2005; Diehl and Schaumann, 2007; Karunarathna et al., 2010). Soil mineral particles have a high affinity for water (Tschapek, 1984), but when coated with hydrophobic or amphiphilic compounds they become repellent in nature (Hudson et al., 1994; Ellies et al., 2005; Buczko and Bens, 2006). These organic compounds are derived from sources from vegetation (Bond, 1964; Franco et al., 2000), fungi (Bond and Harris, 1964; Savage et al., 1969; Dekker and Ritsema, 1996), microorganisms (Schaumann et al., 2007; Fisher et al., 2010; Bond and Harris, 1964; York and Canaway, 2000), humic acids (Roberts and Carbon, 1972; Chen and Schnitzer, 1978), decomposed plant material (McGhie and Posner, 1987; Doerr, 1998; Ellies et al., 2005), fires (Shakesby et al., 1993), and hydrocarbons (Roy and
Soil water repellency is a dynamic phenomenon that changes with water content (Dekker and Ritsema, 1994). Change in water content causes hydrophilic portions of amphiphilic organic compounds to reorient themselves, leaving mainly hydrophobic areas exposed (Savage et al., 1969; DeBano, 1981; Doerr, 1998; Lichner et al., 2007). Just as drying induces SWR, prolonged exposure to water weakens repellency by re-exposing hydrophilic portions of organics (Doerr et al., 2000).
The origin of SWR remains elusive, making it difficult to assess management strategies that control its occurrence in soil. Despite years of research (Wallis and Horne, 1992; DeBano, 2000; Doerr et al., 2000; Hallett, 2008; Jordán et al., 2013), a comprehensive understanding of the repellency phenomenon from a biological perspective is still lacking. Although studies are mixed on the causes, fungi are generally thought to be a prime cause of water repellency in soils (Hallett, 2008). Hallett and Young (1999) found that stimulating the microbial biomass with nutrients can greatly enhance repellency in soils. As well, Feeney et al. (2006) reported a strong relationship between fungal biomass and SWR. Furthermore, Hallett et al. (2001) selectively inhibited either fungi or bacteria on a sandy soil with biocides to separate the influence of each group on SWR. Inhibition of fungal growth decreased the development of SWR after 10 days of incubation in a nutrient amended soil. By inhibiting bacterial proliferation, SWR was greatly enhanced, possibly because bacteria can degrade hydrophobic compounds and/or the native fungi experienced less competition (Hallett et al., 2001b). Research to date into soils has identified fungi as the dominant microbial group that causes water repellency, while bacteria may decrease repellency (Roper, 2004). However, certain fungal strains do not express hydrophobic surface properties; instead express hydrophilic surface properties (Unestam and Sun, 1995). Little is known about how these surface properties from fungi can alter SWR.
Hydrophobins, a class of small amino acids which are found in filamentous fungi (Wessels, 1996), has created interest in its connection to SWR (Rillig, 2005). Linder (2009) found that the increase in fungal surface hydrophobicity is related to the amount of hydrophobins produced on fungal surfaces. Rillig et al. (2010) was the first to report a causal relationship between the growth of AM fungal mycelia and SWR. This relationship is due to the presence of a hydrophobin-related protein: glomalin. They both speculated the hydrophobins and glomalin-related surface proteins (GRSP) on fungal surfaces might be the cause of the increased SWR (Rillig, 2005). However, conflicting evidences suggest that hydrophobins and GRSP in some fungal strains does not necessarily confer water repellent surface properties (Hallett et al., 2009; Mosbach et al., 2011). As such, the cause of SWR due to fungi remains inconclusive. However, characterization of water repellency from fungal surfaces properties as a whole and its effect on SWR may give a better indication on the role that fungi play in SWR (Spohn and Rillig, 2012). Additional, the presence of fungal hyphae in soil will cause clogging of soil pores and effectively decrease infiltration (Fig. 1). Coupling hyphae clogging of soil pores with fungal hydrophobicity would result in further decrease in infiltration (Fig. 1.) (Seki et al., 1998; Fisher et al., 2010). Since fungi are one of the primary causes of SWR in soils, examining its effect on SWR will also improve our understanding of how SWR can alter infiltration in soils.
Fig. 1. Diagram of decreasing infiltration due to presence of hyphae and presence of hyphae and fungal hydrophobicity
2.3 Measurement and Characteristics of Soil Water Repellency
Several approaches exist for measuring and quantifying SWR. These include: water drop penetration time (WDPT) test, molarity of ethanol droplet (MED), repellency index (RI), and contact angles (CA) (Wallis and Horne, 1992; Letey et al., 2000). Although these are simple tests which are easy to reproduce, the correlation between their results is often rather weak (Czachor, 2006). The most direct way to determine SWR is to measure the contact angle (CA) of water on the soil surface. Quantitative measurements of soil contact angles are influenced by composition of the soil, porosity, surface roughness and chemical heterogeneity of natural soil grains (Busscher et al., 1984; Woche et al., 2005; Shang et al., 2008). Several methods have been used to calculate or directly measure CA, including capillary rise (Emerson and Bond, 1963) and modified capillary rise (Bachmann et al., 2003), Wilhelmy plate (Bachmann et al., 2003) and sessile drop (Bachmann et al., 2000) methods. The sessile drop method (Bachmann et al., 2000) is the preferred method to determine the CA directly from a droplet on the soil surface.
This method allows for measurement of CA in the range of 0-180° with an accuracy of < 6° (Bachmann et al., 2003). This direct measurement of CA is simple, accurate and requires the least amount of extrapolation. Shang et al. (2008) found that the sessile drop method yielded the most consistent results as compared to other contact angle measurements.
**Fig. 2.** Diagram of the contact angle formed by a water droplet placed on a repellent surface.
The severity can be described as how strongly the soil repels water, which is determined by measuring the CA (Fig. 2, 3a). When a water drop is placed on a repellent surface, the droplet is not absorbed, forming a bead on the surface which depends on the relation between the three interfacial energies: liquid-vapour ($\sigma_{LV}$), solid vapour ($\sigma_{SV}$) and solid liquid ($\sigma_{SL}$) formulated in Young’s equation (Eq. 2.1);
$$\sigma_{LV} \cos(\theta) = \sigma_{SV} - \sigma_{SL}$$
(Eq. 2.1)
where $\theta$ is the contact angle formed between the soil and the water droplet. Classification scheme for SWR using contact angles is described by King (1981). The severity (degree) of SWR can range from sub-critical (slightly) to extremely repellent. Subcritical SWR, defined as the contact angle of a water droplet on a soil surface larger than 0° but less than 90°, is often ignored when examining the effects of SWR on water flow (Tillman et al., 1989). This is due to less severe changes to hydrologic processes in the soil as observed in an extremely water repellent soil.
Severity provides information about the risk of runoff and erosion during a rain fall event, since water will not enter the soil when the severity is high (Cerdà and Doerr, 2007; Miyata et al., 2007).
A water droplet may remain as a drop in a finite area (static), or it may spread or be absorbed over the surface (dynamic), which is indicative of a decrease in the persistence (Letey, 1969; Letey et al., 2000). Persistence can be defined as how long the soil remains water repellent in the presence of water (Fig. 3a). Because SWR is temporally variable, its persistence is also of interest. An understanding of the persistence of water repellency provides information about wettability of the soil in the long term. In general, quantitative classification of persistence is measured by the time it takes for water droplets to be absorbed/infiltrate, defined as the water drop penetration time (WDPT) (Dekker and Jungerius, 1990). A decrease in the persistence is associated with the surface energy required to shift the soil from a repellent state to a more wettable state. Surface energy gained in forming the solid liquid interface should exceed the liquid air surface for spreading to occur (Eq. 2.2):
\[
\sigma_{SV} - \sigma_{SL} > \sigma_{LV}
\]
(Eq. 2.2)
The surface energy is determined by the composition of the hydrophobic compounds, functional groups, orientation, and the nature of the intermolecular forces between them (Roy and McGill, 1998). Non-hydrophobic compounds are associated with non-polar molecules and dispersion forces, while hydrophobic compounds are associated with polar molecules, which have hydrogen bonding and dipole/dipole interactions (Roy and McGill, 1998). There are both hydrophobic and non hydrophobic compounds that coat soil particle surfaces (Doerr et al., 2000). The arrangement of the molecules oriented on the surface of soil particles determines how the molecules reorientate themselves during the rewetting processes. This causes a shift the soil from
a repellent state to more a wettable state, relating to the persistence of the SWR. The time of infiltration of a water droplet is directly relevant to the erosion potential and potential water runoff since water will not infiltrate until the persistence of SWR is gone (Wessel, 1988).
Another method for characterization of the severity of SWR is molarity of an ethanol droplet (MED) test (Watson and Letey, 1970; King, 1981; Doerr, 1998), dilutions or concentrations of ethanol and water, with known surface tensions (or energies), that are applied to the soil for determination of the surface energy of the soil. The MED test is recorded as the lowest ethanol:water concentration to penetrate the soil (Crockford et al., 1991; Dekker and Ritsema, 1994; Doerr, 1998; Doerr and Thomas, 2000; Cofield et al., 2007). Roy and McGill (2002) found that the MED test is not reliable at field moist conditions as it is not sensitive to subcritical water repellency.
The repellency index (RI) compares sorptivity of water and ethanol from the infiltration of these two liquids into soil (Fig. 3b) (Wallis et al., 1991). This uses the sorptivity, calculated from the unsaturated flow rate of two liquids in soil, determined using the tension infiltrometer (Tillman et al., 1989; Wallis et al., 1991). For a liquid to enter into soil, its surface energy must be less than that of the soil (Doerr, 1998). Thus, the infiltration of water will be impeded if the soil has a high surface energy, as is the case for water repellent soils. The test liquid will infiltrate if the surface energy (tension) is sufficiently lowered (Van’t Woudt, 1959). (95% v/v) Ethanol, with a much lower surface energy than water behaves in water repellent soil in a similar way that water would in the same soil if the soil were wettable (Letey et al., 1962). Because SWR affects infiltration of water but not ethanol, comparisons of their sorptivities in soil are used to characterize SWR (Roy and McGill, 2002; Lamparter et al., 2010). The tension infiltrometer infiltrates a test liquid (water and ethanol for these studies) into soil under a negative tension to
exclude macropore flow. Sorptivity can be determined when cumulative infiltration is plotted against the square root of time. Initial or early time sorptivity, calculated from infiltration and time measurements is described by Philip, (1954) (Eq. 2.3) as
\[ i = St^{1/2} \]
(Eq. 2.3)
where, \( i \) is the cumulative infiltration (\( L \ T^{-1} \)), for each measured pressures, \( S \) is sorptivity (\( L \ T^{-1} \)) of infiltrating liquid and \( t \) is the time (\( T \)). Sorptivity (\( S \)) can be determined at steady state by (Leeds-Harrison et al., 1994) (Eq. 2.4)
\[ S = \sqrt{\frac{Qf}{4br}} \]
(Eq. 2.4)
where \( Q \) is the steady state infiltration rate, \( b \) is the parameter dependent on the soil water diffusivity function, taken as 0.55 for soil with unknown \( b \) parameter (White and Sully, 1987), \( r \) is the radius of disc, and \( f \) is the fillable (air filled) porosity.
Soil-water sorptivity is affected by SWR, whereas soil-ethanol sorptivity is not (Letey et al., 1962). As such, the corrected soil-ethanol sorptivity is used as the measure of the intrinsic property of soil against which the impeded soil-water sorptivity is compared to. The repellency index (RI) can be calculated with (Tillman et al., 1989) (Eq. 2.5).
\[ RI = 1.95 \frac{S_E}{S_W} \]
(Eq. 2.5)
where \( S_E \) is the sorptivity of 95% ethanol (\( L \ T^{-1/2} \)), \( S_W \) is the sorptivity of water (\( L \ T^{-1/2} \)), and 1.95 is a constant to correct for viscosity and density differences between water and 95% ethanol (Tillman et al., 1989; Wallis et al., 1991). Multiple methods of measuring SWR are required to
get a clear picture of the state of SWR in soils. Furthermore, the conditions under which SWR are tested should be carefully controlled and clearly reported (Shirtcliffe et al., 2006; Douglas et al., 2007).
The knowledge of the severity and persistence of SWR in soil is crucial for understanding and predicting how SWR affects hydrological processes; for optimizing plant growth, and for reducing groundwater contamination risk and improving infiltration. However, there is a poor understanding of the persistence of SWR and its effect on soil water infiltration and flow (Doerr et al., 2000). Although it is well known that soils can lose their water-repellent characteristics during a long period of wetting (Crockford et al., 1991), little is known about the exact wetting mechanisms involved, and the threshold conditions needed for SWR to disappear (Doerr et al., 2000). Leelamanie and Karube (2009) performed a study on the severity of SWR and its relation to SWR persistence in hydrophobized sand. They concluded that WDPT, or the persistence, is positively correlated to the initial contact angle. Further, the persistence measured at any point during the wetting processes is the same as that of a soil at the same initial contact angle. Therefore, the relationship between persistence and contact angle is unique, regardless of the initial conditions. If this was truly the case, a single measurement for either the severity or persistence is needed to assess SWR. However, not all water repellent soils will follow this scenario as some soils may have a lower initial severity, but a longer persistence (Dekker and Ritsema, 1994). If the severity and persistence operate independently, management scenarios become more complex. To assess the relationship between severity and persistence, multiple soils must be tested to prove if a high severity equates to high persistence and vice versa (Ju et al., 2008; Lamparter et al., 2010).
Another important factor controlling SWR is the critical water content (CWC). The CWC is an important transition zone where soil turns from a repellent state to a wettable state (Fig. 3c) (Ritsema and Dekker, 2003; Shirtcliffe et al., 2006; Liu et al., 2012). It is the water content at which the effects of SWR are no longer present. Since the measurement of the severity and temporal persistence of repellent soils are usually performed at a single water content, measurements of CWC should be performed because it explains how SWR behaves under different water contents. The soil moisture-related aspect of SWR has important repercussions for land use management due to effects of SWR in soils which have not reach the threshold of the CWC. Determining the relationship between the contact angle, WDPT, and the CWC would be helpful in understanding SWR because the measured WDPT data could be correlated to a range of CA or CWC. Additionally the applicability of this relationship in different types of soils needs further attention.
Fig. 3. Diagram illustrating the characterization of soil water repellency. a) Degree and persistence measured as contact angles formed on the soil surface and water drop penetration or spreading time respectively. b) Water repellency index determined by sorptivity ratio of 95% ethanol and water through infiltration. c) Critical water content is the water content at which soil water repellency is no longer present (no contact angle on soil surface or instantaneous spreading or penetration of water droplet).
2.4 Conducting Porosity in Water Repellent Soils
The soil water conducting porosity is crucial for understanding water, solute, and pollutant infiltration and movement through soils (Beven and Germann, 1982; Ankeny et al., 1990; Luxmoore, 1990). Macroporosity (diameter >1.0 x 10^{-3} m) and mesoporosity (diameter from 1.0x 10^{-5} – 1.0 x 10^{-3} m) are the major fractions of the total soil porosity that contributes to
the water conducting porosity in saturated soil (Luxmoore, 1981). Not all these pores contribute to the flow as they can include pores that are non-continuous, dead ended and have irregular pore geometry, which restricts the transport of water (Bodhinayake et al., 2004). Pore tortuosity and surface roughness are also known to decrease the conducting porosity.
Since the entry and transport of water from the soil surface is controlled by the conducting porosity (Watson and Luxmoore, 1986), examination into the relationship between SWR and the conducting porosity must be performed. Soil water repellency is highly spatially variable (Hallett et al., 2004) and it operates at the millimeter-scale, making measurements extremely difficult. However, with recent advances using the miniaturized infiltrometer for assessing SWR (Tillman et al., 1989), more accurate characterization at smaller scales has been done (Hallett et al., 2004). Tension infiltrometers measure the infiltration rate at negative water pressures with respect to the atmosphere (Clothier and White, 1981). Since capillary pressure is related to the equivalent pore diameter, the change in the tension or pressure head can estimate the range of pore size contribution to infiltration (Jarvis et al., 1987). Alternatively, tension infiltrometers are being used to observe hydraulic properties or time dependent changes in water repellent soils (Doerr and Thomas, 2000; Hallett et al., 2004; Lichner et al., 2007). Pore water pressures need to be or become negative before infiltration occurs as compared to ponded infiltration techniques. Given that SWR is water content dependent and infiltration under tension is responsive to initial positive pore water pressures and air-entry pressures, the changes in the rate of infiltration into soil or discharge from the tension infiltration instruments can provide useful indications of changes in surface tension of soil (or contact angle change) and associated changes in wettability as time of exposure to water increases (Beatty and Smith, 2013).
Ethanol is considered to be a completely wetting liquid due to its low surface tension as discussed above. As such flow of ethanol into and through water repellent soil is independent of the severity of water repellency of the soil (Watson and Letey, 1970). Tillman et al. (1989) found that infiltration using ethanol under tension, the measurement of the intrinsic sorptivity can be determined. The intrinsic sorptivity is defined as soil sorptivity independent of surface properties and only depends on the pore geometry of the porous system. Surface properties of the soil are an issue when sorptivity is measured with an incomplete wetting liquid, such as the case of water in a water repellent soil. Lamparter et al. (2006) and Jarvis et al. (2008) both used ethanol and water as the infiltrating liquids under tension to evaluate the effect of SWR on hydraulic processes. They found reductions in water infiltration rates caused by SWR as compared to ethanol (Lamparter et al., 2010). The ratio of the two sorptivities from the early time or steady state infiltration curve can also give an indication of how repellent the soil is under different water content situations. In this way, the overall contribution of SWR to the total conducting porosity excluding the macropores is assessed. However, this does not distinguish the contribution of specific water repellent pore sizes to the total water flux. There is little research on how the RI changes with exclusion of different pore sizes (decreasing pressure head).
Many methods have been developed to calculate the water conducting porosity. Watson and Luxmoore (1986), Dunn (1991) and Bodhinayake et al. (2004) utilized minimum equivalent pore radius, mean pore radius, and a range of pore radii for determination of the conducting porosity, respectively. Due to the overestimation of the conducting porosities from Watson and Luxmoore (1986) and Dunn (1991), Bodhinayake et al. (2004) is the preferred method for characterization of the conducting porosity. Nevertheless these conducting porosity estimations do not take into account the presence of SWR. Using 95% ethanol infiltration, the intrinsic
conducting porosity can be determined which is the conducting porosity independent of soil surface properties (Lamparter et al., 2010).
3. RELATIONSHIP BETWEEN THE SEVERITY, PERSISTENCE OF SOIL WATER REPELLENCY AND THE CRITICAL SOIL WATER CONTENT IN WATER REPELLENT SOILS
3.1 Preface
Characterization of SWR is difficult due to fact that SWR is dependent on water content and exposure time to water (Shirtcliffe et al., 2006). Previous studies focus only on the presence or absence of repellency in site as indicator of SWR (Letey, 1969; Müller and Deurer, 2011). Soil water repellency is often measured for severity, persistence or the soil critical water content independently. Measurements of severity and persistence are related to the differences and changes in surface energy between water and the soil surface respectively and may operate independently of each other. However, these measurements will not give consistent results (Shang et al., 2008). Characterizing and understanding the severity, persistence and CWC together are valuable when determining how SWR will affect soil water flow. The objective of this study was to determine the relationship between the severity of SWR and its persistence and to determine the critical water content (CWC). The severity of SWR as a function of persistence was assessed by measuring the change of water drop contact angles (modified sessile drop method) with time (WDPT, water drop penetration time) and by water content on soils.
3.2 Abstract
Soil water repellency (SWR) causes reduced soil water storage and enhanced runoff and reduced ecosystem productivity. As such, characterization of SWR is a prerequisite for effective
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1 This work has been previously published in Chau, H.W., Biswas A, Vujanovic, V. and Si, B.C. (2013), Relationship between the severity, temporal persistence and the critical soil water content in water repellent soils. Accepted in Geoderma (GEODER-S-13-00167). Minor modifications have been made for consistency.
environmental management. The objective of this study was to determine the relationship between the severity of SWR and its persistence and to determine the soil critical water content (CWC). Soils were collected from thirteen soil sites; five from natural jack pine (*Pinus banksiana*) ecosites (AE1, AE2, SV 10, 26 and 27), six from reclaimed/disturbed sites (ALFH, CPA, SS trial, ATS, SCB, and SW30) located in the Athabasca Oil Sands region and two from agricultural sites (Goodale and Melfort) in Central Saskatchewan, Canada. The severity of SWR as a function of persistence was assessed by measuring the change of water drop contact angles (modified sessile drop method) with time (WDPT, water drop penetration time). The CWC was determined for all the soils by measuring water drop contact angles on soils with predetermined water contents from oven dried to $0.20 \text{ kg kg}^{-1}$. In natural, reclaimed and agricultural soils, a high severity (contact angle) of repellency does not necessarily denote long persistence (WDPT) or high CWC. Measurement of severity and persistence are related to the differences and changes in surface energy between water and the soil surface respectively. Although the CWC gives us the water content at which above it SWR is negligible, the trend between contact angle and increasing water content proved to be more informative. Characterizing and understanding the severity, persistence and CWC together are valuable when determining the effects of SWR on hydrological processes as the mechanisms involved may differ from one another.
### 3.3 Introduction
The Athabasca Oil Sands of Canada are estimated to contain over 170 billion barrels of oil, making it the second largest viable oil deposit in the world (Kraemer et al., 2009). Surface mining of the oil sands is occurring at an unparalleled rate, resulting in large scale disturbances over vast areas. The oil companies in the region are obligated to operate within a regulatory framework to conserve and reclaim their disturbed land as set out within the Land Surface
Conservation and Reclamation Act 1973 and the Environmental Protection and Enhancement Act 1992 (Government of Alberta, 1999). The aim of reclamation entails the complete recreation of landforms and ecosystems at the landscape scale, with the goal of producing suitable and sustainable habitats for plants and animals (Government of Alberta, 1999).
The soils in the area originated from coarse textured glacial fluvial and eolian deposits (Turchenek and Lindsay, 1983). Additionally, the oil sands are also situated under the peat lands (bogs and fens) of the boreal forests. As such, reclamation entails using salvaged soil materials, tailings sand, peat, and surface organic matter for reclamation practices. Given the presence of hydrocarbon, and that coarse textured and organic soils dominate the Athabasca Oil Sands region (Government of Alberta, 1999), the issue of water repellency in soil has yet to be addressed (Hunter et al., 2011). The low surface area per unit volume of coarse textured soils (Doerr et al., 2000; Lehrsch and Sojka, 2011) and excessive drying of both soil and organic materials stockpiles (Moskal et al., 2001) for future reclamation projects may contribute or enhance expression of water repellency in soil.
Soil water repellency (SWR) has an effect on hydrological processes due to reduced infiltration, increased overland flow, increased preferential flow, decreased soil water storage, and increased soil erosion (Doerr et al., 2000). It has been reported in many types of soils at variable severities (DeBano, 1981) and is considered as the “norm rather than the exception” (Wallis et al., 1991). Water repellent soils are found throughout the world on grasslands (Dekker and Ritsema, 1994), forests (Buczko et al., 2002), agricultural land (Hallett and Young, 1999), and also on disturbed mining sites in Athabasca Oil Sands (Roy and McGill, 1998; Wallach et al., 2005). Additionally SWR has been found to affect the spatial distribution of vegetation in landscapes leading to patchiness of growth (DeBano, 1981; Lozano et al., 2013). As such, the
role SWR plays in water flow processes is important for effective drought mitigation and water management to improve vegetation growth.
The effect of SWR on soil is related to its severity and persistence. The severity can be described as how strongly the soil repels water, which is measured by water drop contact angles. When a water drop is placed on a repellent surface, the droplet does not absorb, forming a bead on the surface which depends on the relation between the three interfacial energies; liquid-vapour, solid-vapour, and solid-liquid. The severity (degree) of SWR can range from sub-critical (slightly) to extremely repellent. Subcritical SWR, defined as the contact angle of a water droplet on a soil surface larger than $0^\circ$ but less than $90^\circ$, is often ignored when examining the effects of SWR (Hallett et al., 2001a). This is due to less severe changes to hydrologic processes in the soil as observed in an extremely water repellent soil. Additionally, methods such as MED (Molarity of ethanol droplet method), are unsuitable for determination of the severity of SWR in subcritically repellent soils since different subcritical severities of water repellency are difficult to distinguish (King, 1981).
A water droplet may remain as a drop in a finite area (static), or it may spread or be absorbed over the surface (dynamic), which is indicative of a decrease in the difference between the soil surface tension and liquid surface tension. Persistence can be defined as how long the soil remains water repellent in the presence of water. In general, quantitative classification of persistence is measured by the time it takes for water droplets to be absorbed/infiltrate, defined as the water drop penetration time (WDPT) (Doerr, 1998). Persistence of SWR can be classified by WDPT as described by Dekker and Jungerius (1990). Persistence of SWR is associated with the surface energy required to shift the soil from a repellent state to a more wettable state. Surface energy gained in forming the solid liquid interface should exceed the liquid air surface
for spreading to occur. The surface energy is determined by the composition of the hydrophobic compounds, functional groups, orientation, and the nature of the intermolecular forces between them (Roy and McGill, 1998; Cheng et al., 2009, 2010). Non-hydrophobic compounds are associated with non-polar molecules and dispersion forces, while hydrophobic compounds are associated with polar molecules, which have hydrogen bonding and dipole/dipole interactions (Roy and McGill, 1998). There are both hydrophobic and non-hydrophobic compounds causing coatings on the soil particle surface (Doerr et al., 2000; Horne and McIntosh, 2000). The arrangement of the molecules orientated on the surface of soil particles determines how the molecules reorientate themselves during the rewetting processes (Roy and McGill, 2000). This is necessary to shift the soil from a repellent state to more a wettable state.
The knowledge of the severity and persistence of water repellency in soil is crucial for understanding and predicting how it affects hydrological processes; for optimizing plant growth, and for reducing groundwater contamination risk on reclaimed land. However, there is a poor understanding of the persistence of SWR and its effect on soil water flow (Doerr et al., 2000; Ganz et al., 2013). Although it is well known that SWR may decrease or disappear during long wetting periods (Crockford et al., 1991), little is known about the exact wetting and rewetting mechanisms involved, and the threshold conditions needed for SWR to disappear (Doerr et al., 2000; Jordán et al., 2013). Leelamanie and Karube (2009) performed a study on the severity of SWR and its relation to persistence in hydrophobized sand. They concluded that persistence of SWR (measured as WDPT) is positively correlated to the initial contact angle. Further, the persistence measured at any point during the wetting processes is the same as that of a soil at the same initial contact angle. Therefore, the relationship between persistence and contact angle is unique, regardless of the initial conditions (Leelamanie and Karube, 2009). If this was truly the
case, a single measurement for either the severity or persistence is needed to assess SWR. However, not all water repellent soils will follow this scenario as some soils may have a lower initial severity, but a longer persistence (Dekker and Ritsema, 1994; Ganz et al., 2013). If the severity and persistence operate independently, management scenarios become more complex. To assess the relationship between severity and persistence, multiple soils must be tested to prove if a high severity of SWR equates to high persistence of SWR and vice versa (Ju et al., 2008; Lamparter et al., 2010). Additionally, naturally water repellent soil material should be tested to assess moisture dependent wettability.
Another important factor controlling SWR is the critical water content (CWC). The CWC is an important transition zone where soil turns from a repellent state to a wettable state (Ritsema and Dekker, 2003). It is the water content at which above it the expression of SWR is no longer present. Since the measurement of the severity and persistence of repellent soils are usually performed at single water content, measurements of CWC should be performed because it explains how SWR behaves under different water contents. The soil moisture-related aspect of SWR has important repercussions for land use management due to the effects of SWR in soils which have not reached the threshold of the CWC. In an effort to better quantify the effect that different SWR has on hydrological processes such as infiltration. It is important to determine relationship between severity and persistence in water repellent soils. The purpose of this study was to determine the relationship between the severity, persistence and the CWC in soils with varying SWR. I hypothesized that there is a difference in the relationship between the severity, persistence of SWR and the critical water content.
3.4 Materials and Methods
3.4.1 Study Sites and Soil Description
The study areas are located in the Canadian Boreal Forest Region within the Central Mixed Wood Region in Alberta, Canada and in Central Saskatchewan, Canada within the Aspen Parkland Region (Natural Regions Committee, 2006). Sites used in this study from the Canadian Boreal Forest Region were located in Athabasca Oil Sands, characterized by a continental boreal climate with long, very cold winters and short cool summers. The climate of the study area is humid continental with long term mean annual precipitation of 455 mm and mean daily temperature of -18.8°C in January and 16.8°C in July (Environment Canada, 2003). The average elevation of the study site is 369 m (Huang et al., 2012). The area is comprised of valleys incised into broad muskeg covered plains (Carrigy and Kramers, 1973). Approximately, 20% of the area is comprised of coarse textured glacial fluvial and eolian deposits on which Brunisolic (Inceptisol) soils have developed (Turchenek and Lindsay, 1983). Sites were selected from natural jack pine (*Pinus banksiana*) ecosites (long term soil and vegetation plots) and disturbed/reclaimed sites located on Suncor Energy Inc., Shell Albian Energy Inc. and Syncrude Canada Inc. leases. The long term soil and vegetation plots: SV 10 (N 57°07’44”, W 111°59’44”), SV 26 (N 57°51’92”, W 111°43’04”) and SV 27 (N 57°50’51”, W 111°43’70”) as well as AE1 (N 57°26’68”, W 111°55’48”) and AE2 (N 57°20’55”, W 111°51’95”) sites were on undisturbed jack pine stands with a lichen covered forest floor on coarse-textured, nutrient poor, eolian and glaciofluvial parent material, classified as an A ecosite (Beckingham and Archibald, 1996). Ecosites are ecological units developed under similar environmental conditions (climate, moisture, nutrient regime) (Beckingham and Archibald, 1996). A ecosites are developed under dry conditions with fast drainage and pore nutrient status in the soil.
Additional sites from reclaimed and disturbed open pit oil sands mining operations include the Albian Shallow-Stripping trial (SS trial) (N 57°25’55”, W 111°52’017”), Syncrude South West (SW 30) (N 56°99’13”, W 111°61’85”), Aurora LFH Capping Study (ALFH) (N 57°07’18”, W 111°50’66”), Center-pit at Aurora (CPA) (N 57°32’46”, W 111°54’05”), Albian Tailings Sands (ATS) (N 57°25’55”, W 111°52’01”), and Suncor Coke Bulk (SCB) (N 57°00’56” W 111°50’16”). The SS trial had a reclamation prescription with 0-10 cm of LFH/Ae horizon mix overlaid on to 10-50 cm of peat/mineral sand mix and 50-100 cm of tailing sands. The Aurora LFH Capping Study site was constructed of 0-10 cm of LFH (litter, fermentation and humus) overlaid onto 10-100 cm peat mineral mix soil located on a southeast facing complex slope of a saline sodic overburden. The SW 30 site is a large overburden shale site constructed with 15 cm layers of peat/mineral mix, overlaying a layer of 20 cm of glacial till or glaciolacustrine clay. The CPA site was a disturbed open pit mining site, which comprised of Brunisolic soils typical of the region. The SCB site is mixture of sand and coke, a waste product formed during the heavy oil upgrading processes of bitumen. Coke is proposed to be added between tailings sand and a peat layer for reclamation covers. The ATS site is composed of by-products of the oil sand extraction process; settled sand, silts, clays and hydrocarbon residues from tailing ponds that will be used for future reclamation prescriptions. Additionally, two agricultural sites, Melfort (N 52°81’21”, W 104°51’18”) and Goodale (N 52°03’66”, W 106°35’38”) from central Saskatchewan were selected for comparison of SWR with soils with finer particle sizes (Fig. 4). The two agricultural sites in Central Saskatchewan were previously cropped with canola (*Brassica napus*). These areas are characterized with warm summers and very cold winters. The climate of the study area is humid continental with long term mean annual precipitation of 350 mm and mean daily temperature of -17°C in January and 18.2°C in July.
The average elevation of the study site is 480 m. The soils in these sites are Dark Brown Chernozemic soils under the Canadian system (Typic Borolls, USDA taxonomy system).
Fig. 4. Map of 13 sites in Northern Alberta and Central Saskatchewan (● natural jack pine sites, ○ reclaimed/disturbed sites, and ▶ agricultural sites).
3.4.2 Laboratory Analysis
Total Carbon and Nitrogen contents were determined using a LECO CNS-2000 analyzer (LECO Corp., St. Joseph, MI). Particle size distribution was also analyzed for determination of soil texture classification (USDA) using a Laser Scattering Particle Size Distribution Analyzer.
(Horiba LA - 950, Horiba Instruments Inc., Irvine, CA) after air-drying, sieving to 2 mm and removal of organic matter using hydrogen peroxide (35% v/v). Bulk composite soil samples were taken from 0-5 cm soil surface (excluding the LFH whenever possible) where repellency is the greatest on the surface (Miyata et al., 2007). Soils were passed through a 2 mm sieve to remove plant roots and debris, as well to ensure a uniform and smooth surface for contact angle determination. Samples were then oven dried to 40 °C for 24 hrs and kept air dry at 20°C before testing to obtain the potential SWR and minimize extreme alteration to the soil surface (Dekker et al., 1998). Modified sessile drop contact angle was measured on a thin layer of sieved soil fractions affixed to a glass slide using double sided adhesive tape (Bachmann et al., 2000).
3.4.3 Measurement of Severity and Persistence
The severity and persistence were measured on eight of the sites (natural sites: AE1, SV 10, SV 26, and SV 27; reclaimed/disturbed Sites; CPA, SW 30, ALFH, and SS Trial) by measuring the mobile sessile drop contact angle and water drop penetration time. Measurements were performed in an enclosed chamber with relative humidity (RH) at 80-85 % and temperature at 22.5°C, using saturated salt (KCL) solution to mitigate the evaporation influence of the soil surfaces. Control samples were taken to measure the amount of water content change within the samples during the experiment in the chamber due to evaporation and condensation. The water loss and gain from the soil using the modified sessile drop method was negligible. A PG-X goniometer (FIBRO System AB) was placed on top of prepared soil surfaces. Drops of 4 µL of distilled water were deposited on the soil surface and pictures of the static contact angle were taken from an integrated camera - captured 6 images min\(^{-1}\) (640x480 pixels) until the droplet spread across the soil surfaces. Contact angles were measured on images from 5 replicate droplets from a composite sample of the soil. The measurement of severity and persistence was
categorized by scheme developed by King, (1981) and Dekker and Jungerius, (1990), respectively (Table 1). At a significance level of $P = 0.05$, Paired t tests were used to compare the severity and persistence of SWR among sites. Pearson Correlation Coefficient was used to assess the linear relationship between severity, persistence of SWR, total C, and total N at significance level of $P = 0.05$.
Table 1. Soil water repellency (SWR) classification of soils based on the severity (Contact angles: King, 1981) and the persistence (WDPT: Dekker and Jungerius, 1990).
| Contact angles (°) | Severity | Persistence |
|--------------------|---------------------------|----------------------|
| | SWR Classification | WDPT (s) | SWR Classification |
| <75* | Not significantly water repellent | <5 | Wettable |
| 75-80* | Very low water repellent | 5-60 | Slightly repellent |
| 81-86* | Low water repellent | 60-600 | Strongly water repellent |
| 87-93* | Moderately repellent | 600-3600 | Severely water repellent |
| 94-97 | Severely repellent | >3600 | Extremely water repellent |
| >97 | Very severely repellent | | |
*Subcritical soil water repellency (0° > contact angle < 90°)
3.4.4 Measurement of Critical Water Content (CWC)
Soil CWC was determined on all 13 soils by measuring sessile drop contact angle with increasing water contents on the soil surface until the soil changed from a repellent to a wettable state. The range of water contents were obtained by separating oven dried soil samples into 100 gram fractions into sealed containers. Distilled water was applied manually by spraying soil samples with predetermined amounts of water calculated by mass. Soil water contents ranged from 2.5, 5.0, 7.5, 8.5, 10.0, 12.5, 15, 17.5 and 20.0 % gravimetric water content. Oven dried and ambient air dried soil samples were also included in the measurement. Samples were subsequently shaken, mixed thoroughly and left for a week to equilibrate. As shown in King (1981), and Badía et al. (2013) the action of sieving and mixing of soil sample has the potential to decrease the severity of repellency as hydrophobic coatings may be removed from the soil surface. As such all samples at specific water contents including oven and ambient air dried were subject to the same manipulations to minimize the influence of degradation of SWR due to the mixing. The actual water content was determined by taking a subsample and measuring gravimetrically the water content before contact angle measurements were taken. Five droplets of 4ul were placed on each of the five subsamples (25 measurements per water content). The experiment was replicated twice. By comparing contact angle (severity) versus water content, the CWC was determined to be the water content at which the contact angle reaches 0 degrees (Point at which the soil changes from repellent to wettable state and vice versa).
3.4.5 Contact Angle Measurements
Measurement of contact angles from the images obtained by the PGX goniometer were measured by using open source multi-platform java image processing program Image J, available at http://rsb.info.nih.gov/ij/ as well as using a Low Bond Axisymmetric Drop Shape Analysis
Model of Drop Shape Analysis (LB\_ADSA) approach (Stalder et al., 2010). This method allowed for fitting of the whole drop profile based on the Young-Laplace equation. It allows for contact angle determination on obscured view due to roughness of soil particles, overcoming the baseline issues of the goniometer approach as the whole drop profile is taken into account when determining the contact angle.
3.5 Results and Discussion
3.5.1 Severity and Persistence
The eight soil tested exhibited some severity of SWR, of which six sites showed a high severity with contact angles above $90^\circ$ (Table 2). Ranking the sites with initial contact angles in ascending order were SV 10, SW 30, SV 26, ALFH, SS trial and AE1 with contact angles of $95 \pm 3^\circ$, $121 \pm 1^\circ$, $129 \pm 2^\circ$, $132 \pm 4^\circ$, $145 \pm 3^\circ$ and $145 \pm 1^\circ$, respectively. This resulted in SWR classification of severely water repellent (SV 10) to very severely water repellent (SW 30, SV 26, ALFH, SS trial and AE1) based on the contact angle and classification scheme in Table 1 (Fig. 5a). The WPDT values as a measure of persistence of SWR in SW 30, SV 10, SS trial, AE1, ALFH, and SV 26 were $5 \pm 0.2$, $86 \pm 2$, $94 \pm 4$, $135 \pm 2$, $158 \pm 6$ and $167 \pm 17$ minutes, respectively (Table 2). This resulted in an extremely water repellent SWR classification for five of the six soils based on WDPT and classification scheme (Table 1). Though these soils have the same classification based on both the contact angle and the WDPT measurement, the severity as a function of persistence for these soils is different as the curves cross (Fig. 5a). This suggests that a high contact angle (severity) does not necessarily denote long WDPT (persistence). The SW 30 site, however, had a severely water repellent classification based on its persistence (WDPT) (Table 2). This difference in persistence compared to severity could be due to its peat/mineral mix composition (Table 2). The peat composition of the soil would be water
repellent when dry; however when wet it can absorb a substantial amount of water (Lachacz et al., 2009). This resulted in a high severity (contact angle) initially, but with the breakdown of repellency in this soil, it absorbs water rapidly as compared to the other repellent soils. The short persistence is likely due to the reversible nature of repellency under the presence of water and the composition of the peat material in the site (Lachacz et al., 2009).
Table 2. Soil texture and soil water repellency (SWR) classification of the soils based on the severity (contact angles) and persistence (WDPT) independently and the soil critical water content
| Soils | Soil Texture | Contact angles (°)† | Severity | SWR Classification | WDPT (Min)† | SWR Classification | Soil Critical Water Content (kg kg⁻¹) |
|---------|--------------------|---------------------|---------------------------|----------------------------|-------------|----------------------------|-------------------------------------|
| SV 27 | Sand | 65±5 | Not significantly water repellent | 95±12 | Extremely water repellent | 4% |
| CPA | Sand | 75±2 | Very low water repellent | 60±7 | Extremely water repellent | 0% |
| SV 10 | Sand | 95±3 | Severely repellent | 86±2 | Extremely water repellent | 3% |
| SW 30 | Clay | 121±1 | Very severely repellent | 5±0.2 | Severely water repellent | >17% |
| SV 26 | Sand | 129±2 | Very severely repellent | 167±17 | Extremely water repellent | 8% |
| ALFH | Sand | 132±4 | Very severely repellent | 158±6 | Extremely water repellent | 6% |
| SS Trial| Sandy Loam | 145±3 | Very severely repellent | 94±4 | Extremely water repellent | 16% |
| AE1 | Sand | 145±1 | Very severely repellent | 135±2 | Extremely water repellent | 5% |
| AE2 | Sand | 89±3 | Moderately repellent | n/a | n/a | 8% |
| SCB | Loam Sand | 114±2 | Very severely repellent | n/a | n/a | >19% |
| ATS | Sand | 111±3 | Very severely repellent | n/a | n/a | 2% |
| Melfort | Clay Loam | 81±1 | Low water repellent | n/a | n/a | >12% |
| Goodale | Sandy Loam | 79±1 | Very low water repellent | n/a | n/a | 12% |
†Contact angles and WDPT were measured on 5 replicates with standard error in severity and minutes respectively.
Fig. 5. a) The severity of SWR (contact angles) as a function of persistence (time) on extremely water repellent sites classified by contact angles measured; AE1, SS trial, SV 26, ALFH, SW30 and SV 10. b) The severity of SWR (contact angles) as a function of persistence (time) on subcritical repellent soils classified by contact angles measured; SV 27 and CPA.
There was no obvious trend between CA and the carbon and nitrogen content with $r$ of 0.21 ($p>0.05$) and 0.20 ($p>0.05$) respectively. Additionally WDPT was negatively correlated with carbon and nitrogen content with $r$ of -0.70 ($p>0.05$) and -0.71 ($p>0.05$) and was not statistically significant. Since all the soils originated from different locations, it is expected that the relationship normally found between carbon and repellency is not present in this study. The arrangement and source of hydrophobic and non hydrophobic molecules on the different soil surfaces could be the cause for the differences observed between SWR severity and persistence (Douglas et al., 2007).
Site SV 26 had significantly lower severity (smaller contact angle) of SWR than other extremely repellent soils: AE1 ($P<0.01$), SS Trial ($P<0.01$), and SW 30 ($P<0.01$). According to the assumptions of Leelamanie and Karube (2009), contact angle should decrease exponentially with soil water contact time and WPDT should respond to initial contact angle, but not to reductions in contact angle with soil water contact time. This suggests that high degree should be associated with high persistence. Therefore, SV 26 theoretically should have a shorter persistence than these repellent soils. However, this soil showed significantly larger WDPT at 167±17 minutes (Fig. 5a) as compared to SS Trail ($P<0.01$) and SW 30 ($P<0.01$). This implies that the initial severity of SWR is not necessarily related to persistence (Dekker and Ritsema, 1994; Shirtcliffe et al., 2006). The SWR in site SV 27 and the CPA was in the sub-critical range (CA < 90°) and classified as not significantly water repellent and very low water repellent, respectively (Table 2). The CPA had a higher severity with a contact angle 75±2° of SWR compared to SV 27 with a contact angle of 65±5°, however it was not statistically significant ($P>0.05$). SV 27 did however have statistically significant longer persistence (95±12 minutes) ($P<0.05$) than the CPA (60±7 minutes) (Fig. 5a, 5b). Therefore, in this subcritical range, the
same severity of water repellency does not always equate to long persistence as indicated by the crossing of the soil curves (Fig. 5b). Subcritical SWR has the ability to buffer the water storage property of sandy soils to facilitate plant and microbial growth (Doerr et al., 2000). It may be advantageous in decreasing the hydraulic conductivity of the soil to slow down deep drainage and allow for longer water residence time in soil for plant water uptake (Lichner et al., 2007). As discussed by Doerr et al. (2000) and DeBano (1981), the presence or absence of a soil water repellent layer can result in drastic change in hydrological processes. These results demonstrate that severity is not always related to persistence in both an extremely repellent and subcritical repellent soil. Contact angles were not strongly correlated with WDPT and were not statistically significant ($r = 0.37, p > 0.05$). This suggests that the role SWR plays in hydrological processes is more complex. For example, a soil with a high severity of SWR but low persistence would result in more initial runoff and less infiltration, but will subsequently become wettable, negating the influence of the water repellency. Assessing differences between severity and persistence is important when determining runoff scenarios considering the magnitude and frequency of the rainfall events (Beatty and Smith, 2013). The difference between contact angle and WDPT is due to wetting mechanisms occurring at the surface of soil particles. Contact angles formed on the soil surface are caused by the difference in surface energy between water, soil surface and air. The larger the difference in surface energy between the soil and liquid, the larger the contact angles will be. Assuming that the surface energy of water and air remains constant, the change in soil surface energy causes persistent repellency measured by WDPT. Although a soil surface may have a large surface energy compared to water, the rate at which surface energy changes is dependent on the composition of hydrophobic coating on the soil surface (Chen and Schnitzer, 1978). As such, comparison between the severity and persistence measured by contact angles
and WDPT between soils are much more complex considering they measure different properties for determination of SWR.
3.5.2 Critical Water Content
Critical water contents ranged from 0% in the CPA site to > 19% in the SCB site (Table 2, Fig. 6). This is similar to the finding by Doerr and Thomas (2000) who indicated that repellency can occur in soils with water content up to 28%. A soil with a high CWC would be more difficult to remediate as more surfactant or water will be needed to overcome the repellent nature of the soil. Four trends were observed in the determination of the CWC from the change in contact angle as a function of water content (Fig. 6, 7). As water content increased in the SV 10, SV 27, CPA, and ATS sites from 0%, the severity of repellency or the water drop contact dropped drastically to zero (Fig. 6). This suggests that repellency is easily reversible in these sites and when water is present repellency disappears rapidly. In sites SV 26, SS Trial, AE 1, AE 2, the severity of repellency or the water drop contact angle decreases slowly until it reaches its CWC (Fig. 6). This indicates that repellency is not as easily reversible in these sites and is more persistent as soil is wetted from oven dried moisture conditions. As shown in sites SCB and Goodale, with increasing water content, the contact angle does not decrease until water content reaches > 8% (Fig. 6). This suggests that the SWR in these soils are very persistent at water contents < 8%. After reaching 8%, SWR drops slowly until the CWC is reached. With increasing water content in sites SW 30 and Melfort, the decrease in contact angle was not reached in this study. The exact critical water content was not determined for these soils, however the CWC would be expected to be >17% and > 12% for SW 30 and Melfort respectively. Additionally, SW 30 and Melfort sites had persistent repellency at lower water contents. The critical water content was not reached in the Goodale and Melfort sites. In sites
SCB, SW 30, Goodale, and Melfort the contact angle also increased initially from 0% water content and then decreased slowly until the CWC was reached (Fig. 6). It has been suggested that as water content goes from oven dried conditions (0%) to the soil’s permanent wilting point, the soil increases to its maximum SWR, followed by a decrease in SWR as it approaches the water content at field capacity (King, 1981). Through the examination of CWC between different soils, we observe that the value CWC is not only important but the trends observed are also important. The trends show how repellency changes as a function of water content (Fig. 7). A more rapid decrease in repellency (measured by contact angle) with increases in water content would indicate less severe repellency even though the initial severity may be high (Fig. 7a, 7b). A slow decrease or persistent repellency at low water contents would indicate more severe repellency in a site (Fig. 7c, 7d). As water content increases such as after a rainfall event, the soil will approach its critical water content. The expression of repellency is important to determine as the soil increases in water content. If the soil does not reach the critical water content, soil infiltrability in the soil matrix will be reduced, with an increased chance of preferential flow and runoff causing a decrease in soil water storage in the soil profile.
Fig. 6. Contact angle as a function of water content for all sites for determination of the critical water content. Error bars represent the standard error of mean for 5 droplets on 5 subsamples.
Fig. 7. Trends observed from contact angle (severity) as function of water content (kg kg\(^{-1}\)): a) Contact angles decrease rapidly with increase in water content, b) Contact angles drop slowly with increase in water content, c) Contact angles are persistent until a water content is reached, thereafter contact angles drop slowly with increase water content. d) As water content increases past 0% there is increase in contact angle initially followed by decrease in contact angle.
In terms of reclamation, natural sites did show lower CWC compared to reclaimed/disturbed sites (Fig. 6). This is more likely due to the composition or nature of repellent materials in each of the soils (Horne and McIntosh, 2000). In the agricultural sites, the effects of SWR can also be seen in finer textured soils as illustrated by high CWC (Fig. 6). Additionally similar cropped sites with finer soil textures showed differences in CWC, suggesting that the repellency is site specific soil. CWC is important to assess the effect of water repellency in soils as it determines at which water contents the effect of SWR are negligible. A soil with a high CWC would be more susceptible to preferential flow and runoff due to the soil remaining repellent at higher water contents. Additionally it was found that severity of
repellency is not necessarily related to critical water content as some of the soils with high severity of repellency had low CWC (Table 2). Furthermore soils with low severity of repellency were also found to have a high critical water content. This is most likely due to the composition of hydrophobic compounds causing the repellency. Hydrophobic compounds in soils with high CWC indicate that the difference between the surface tension from water and the soil surface at low water contents is persistent. However when water is present and the soil reaches the CWC, the particles reorientate rapidly, making the effect negligible and making SWR manageable (Doerr et al., 2000; Lehrsch and Sojka, 2011). While hydrophobic compounds in soils with lower initial severity and higher critical water contents have more complex organic compounds which take substantially longer time to reorientate when subject to wetting. The complex nature of compounds that cause repellency further complicates measurement as differences in amount and type will determine the severity, persistence and CWC of repellency in the soil (Horne and McIntosh, 2000).
Classification of SWR could be inconsistent between soils; depending on if the classification is based on the contact angles, the WDPT, or the critical moisture content due to fact that they measure a different property of repellency under different conditions (Table 2). The ability to measure contact angles with time during rewetting and CWC gives us a more detailed understanding of how the severity of SWR is changing with persistence and at which water content repellency is still present. On reclaimed land, soils with a high severity of SWR and CWC may increase the chance of runoff and evaporation, particularly for materials placed on a slope (Arbel et al., 2005). However, the shorter persistence and CWC means that a storm may remove the SWR more rapidly. This will mitigate the effect of SWR on soil due to its disappearance after a rainfall event. Much of the soils in the Athabasca Oil Sands are comprised
of coarse textured sandy soils. These sandy textured soils have a lower water retention and higher hydraulic conductivity as compared to finer textured soils. This makes re-vegetation of plant communities difficult due to less available water in the soil profile. However, the expression of subcritical SWR in sandy soils does slow the rapid infiltration of water through the root zone (Hallett et al., 2004). Therefore, sandy soils displaying sub-critical repellency will have a smaller hydraulic conductivity compared to non-water repellent soils, resulting in an increased soil water residence time in the soil profile (Andry et al., 2009). This would potential increase the water storage capability of sandy soils or prevent the loss of water to deep percolation. The severity and persistence and CWC are major indicators of SWR and must be examined accurately to determine the role water repellency plays in the environment.
3.5.3 Conclusions
In this study, the relationship between severity, persistence of SWR, and critical water content was determined using soils from the Athabasca oil sands region and agricultural sites in central Saskatchewan. Regardless of the land use, a high severity (Contact angle) of repellency does not necessarily denote long persistence (WDPT) or high CWC. Measurement of severity and persistence are related to the surface tension differences and changes in surface energy between water and the soil surface respectively. Critical water content allowed us to determine how persistent SWR was under different water contents. This is important for predicting runoff scenarios due different magnitude and frequency of rainfall events in water repellent sites. Characterizing and understanding the severity, persistence and CWC together are valuable tools when determining the effects of SWR on hydrological processes as they operate under different mechanisms.
4. DETERMINATION OF THE CONDUCTING POROSITY AND WATER REPELLENT AFFECTED PORES SIZES IN SOILS UNDER DIFFERENT TENSIONS
4.1 Preface
Water in soil primarily flows through long continuous connected pores. The conducting porosity is the percentage of long continuous connected pores in soil compared to the total volume. Pore properties including tortuosity, surface roughness, discontinuity and dead end pores can impede water flow through soil (Bodhinayake et al., 2004). Although the presence of soil water repellency (SWR) has been documented in many soils (Doerr et al., 2000), the issue of water repellent pores has yet to be examined. Infiltration using tension infiltrometer at different pressure heads and using water and equivalent pressures using 95% ethanol, the contribution of specific pores sizes (derived by the capillary rise relationship) to water flow can be determined. Also the repellency index (RI) is dependent on including all pores size excluding macropores to determine the SWR in soil. Does the exclusion of certain pore size influence the measurement of the RI? The objective of this study was to determine if SWR affects the conducting porosity in soil and if the measurement (repellency index (RI)) of SWR is influenced by pores sizes. This study will aid in our understanding of how water moves through repellent soil and how to best measure SWR using RI.
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2 This work has been previously submitted in Chau, H.W., Li, M., Biswas, A, Vujanovic, V. and Si, B.C. (2013). Soil water repellency and the conducting porosity in water repellent soils under different tensions. Under review European Journal Soil Science (EJU 165-13). Minor modifications have been made for consistency.
4.2 Abstract
The conducting porosity in soil is of critical importance to the movement of water, and transport of solute and pollutants through soil. Pore properties including tortuosity, surface roughness, discontinuity and dead end pores influence the conducting porosity in soil. As soil water repellency (SWR) is present in all types of soils to a certain degree, the issue of water repellent pores has yet to be addressed. The objective of this study was to determine if SWR affects the conducting porosity in soil and if the repellency index (RI) is dependent on different tensions. Tension infiltrometer measurements were taken at 5 pressure heads using water (-0.3, -3.0, -7.0, -10.0 and -13.0 cm) and equivalent pressures using 95% ethanol (-0.11, -1.31, -2.64, -3.77 and -4.9 cm) at five randomly selected locations on a Jack Pine (*Pinus banksiana*) stand (SV 26) in Northeastern Alberta and two agricultural fields (Goodale and Preston) in Central Saskatchewan. The total conducting porosity in soil was higher under ethanol infiltration compared to water at all the locations in all the three sites. The effect of SWR on the conducting porosity is related to the severity of repellency and at which pore diameter range water flow is impeded. The RI under -3 cm was more representative of the total repellency in the soil as more contributing diameter pores to the water flux were included in the measurement. A high RI affecting larger diameter pores has more influence on the conducting porosity due to the contribution to the total liquid flux. To accurately determine the actual conducting porosity in soil, SWR must be taken into account.
4.3 Introduction
Soil water repellency (SWR) has been recognized as a worldwide phenomena affecting many types of soils (Wallis and Horne, 1992). It has considerable influence on soil water dynamics through decreasing infiltration and increasing preferential flow, runoff and erosion.
Since the transport of water from the soil surface is controlled by the conducting porosity (Watson and Luxmoore, 1986), examination into the relationship between SWR and the conducting porosity must be performed. The soil water conducting porosity is crucial for understanding water, solute, and pollutant movement through soils (Beven and Germann, 1982; Ankeny et al., 1990; Luxmoore, 1990). Characterization of this property is paramount for research and practical application in agriculture, forestry, pedology and hydrology. With the development of the tension infiltrometer (Perroux and White, 1988), determination of the water conducting porosity has improved. This also allowed for the determination of which pore diameters contribute more to infiltration. Macroporosity (diameter > $1.0 \times 10^{-3}$ m) and mesoporosity (diameter from $1.0 \times 10^{-5} – 1.0 \times 10^{-3}$ m) are the major fractions of the total soil porosity that contributes to the water conducting porosity in soil (Luxmoore, 1981). Not all these pores contribute to the flow as they can include pores that are non-continuous, dead ended and have irregular pore geometry, which restricts the transport of water (Bodhinayake et al., 2004). Pore tortuosity and surface roughness are also known to decrease the water flow in soils.
As we know SWR is highly variable in site (Hallett et al., 2004); it can also operate at the millimeter-scale, making measurements extremely difficult. However, with recent advances using the miniaturized infiltrometer for assessing SWR (Tillman et al., 1989), more accurate characterization at smaller scales has been done (Hallett et al., 2004). Tension infiltrometers measure the infiltration rate at negative water pressures with respect to the atmosphere (Clothier and White, 1981). Since capillary pressure is related to the equivalent pore diameter, the change in the tension or pressure head can estimate the range of pore size contribution to infiltration (Jarvis et al., 1987).
Calculation of the repellency index (RI) is a common method for determination of the severity of SWR. This method involves the infiltration of two liquids: commonly water and 95% ethanol (not influenced by repellency) under -3 cm pressure head to minimize macropore flow. The ratio of the two sorptivities from the early time or steady state infiltration curve gives an indication of how repellent the soil is. In this way, the overall contribution of SWR to the total conducting porosity excluding the macropores is assessed. However, this does not distinguish the contribution of specific water repellent pore sizes to the total water flux. There is little research on how the RI changes with exclusion of different pore sizes (decreasing pressure head).
Many methods have been developed to calculate the water conducting porosity. Watson and Luxmoore (1986, 1988), Dunn (1991), and Bodhinayake et al. (2004) utilized minimum equivalent pore radius, mean pore radius, and a range of pore radii for determination of the conducting porosity, respectively. Due to the overestimation of the conducting porosities using minimum equivalent pore radius and mean pore radius (Watson and Luxmoore, 1986; Dunn, 1991), using a range of pore radii (Bodhinayake et al., 2004) is the preferred method for characterization of the conducting porosity. Nevertheless these conducting porosity estimations do not take into account the presence of SWR. Through using 95% ethanol infiltration we can determine an intrinsic conducting porosity; that is the conducting porosity independent of soil surface properties (Lamparter et al., 2010). The objective of this study was to examine how SWR affects water conducting porosity at different pore sizes by examining the change in RI under different pressure heads. I hypothesized that SWR will decrease the conducting porosity in soil and the extent will be determined by which pores sizes SWR is affecting.
4.4 Materials and Methods
4.4.1 Site Information
The study areas are located in the Canadian Boreal Forest Region within the Central Mixed Wood Region in Alberta and in Central Saskatchewan within the Aspen Parkland Region (Natural Regions Committee, 2006). Three field experiments using a tension infiltrometer to infiltrate water and 95% (vol vol\(^{-1}\)) ethanol were performed on one field site in Northeastern Alberta, Canada (N 57° 30’ 39”, W 111° 25’ 48”) and two sites in Central Saskatchewan, Canada (N 52° 03’ 66” W 106° 30’ 38”, N 52° 07’ 98” W 106° 37’ 53”). The site in Northeastern Alberta is characterized by a continental boreal climate with long and cold winters and short cool summers. The average annual precipitation is 455 mm, with mean daily temperature of -18.8°C in January and 16.8°C in July (Environment Canada, 2003). This site is an undisturbed jack pine (*Pinus banksiana*) stand with a lichen covered forest floor on coarse-textured, nutrient poor soils, designated as SV 26 (Long Term Soil Vegetation Plot 26), an A ecosite, respectively (Beckingham and Archibald, 1996). This long term soil vegetation plot is a typical site that the Athabasca Oil Sands industries need to recreate in their reclamation/restoration projects (Johnson and Miyanishi, 2008). The soil in the area is described as Dystric Brunisol (Dystrochrept inceptisol, USDA taxonomy system) developed on glacial fluvial and eolian parent material. The two agricultural sites in Central Saskatchewan are the Goodale (Goodale Crop Research Farm) and Preston (Animal Science Field) sites, which were previously cropped with canola (*Brassica napus*). This area is characterized with warm summers and very cold winters. The average annual precipitation is 350 mm, with mean daily temperature of -17°C in January and 18.2°C in July for these sites. (Environment Canada, 2003). The soils in these sites are Dark Brown Chernozemic soils under the Canadian system (Typic Borolls, USDA taxonomy system).
Site SV 26, Goodale, and Preston sites were classified with a Canadian/USDA texture of sand, sandy loam and loam designation respectively. Initial assessment showed the presence of natural SWR in the sites (Hunter et al., 2011). Soil texture was determined by measuring particle size distribution using a Laser Scattering Particle Size Distribution Analyzer (Horiba LA - 950, Horiba Instruments Inc., Irvine, CA) after air-drying and sieving to 2 mm. Gravimetric water content and bulk density was determined at locations adjacent to where the infiltration occurred before the experiment (Table 3). To test for SWR in the soil initially, contact angles were determined using the sessile drop method and Low Bond Axisymmetric Drop Shape Analysis (Bachmann et al., 2000; Stalder et al., 2010).
Table 3. Location specific information: bulk density and initial volumetric water content from each location in each of three sites; SV 26, Goodale, and Preston before infiltration.
| Location | SV 26 Bulk density (g cm\(^{-3}\)) | SV 26 Initial field water content (\(\theta_f\)) | Goodale Bulk density (g cm\(^{-3}\)) | Goodale Initial field water content (\(\theta_f\)) | Preston Bulk density (g cm\(^{-3}\)) | Preston Initial field water content (\(\theta_f\)) |
|----------|-----------------------------------|-----------------------------------------------|-------------------------------------|-----------------------------------------------|-----------------------------------|-----------------------------------------------|
| Location 1 | 1.39 | 0.17 | 1.08 | 0.09 | 0.85 | 0.06 |
| Location 2 | 1.29 | 0.13 | 1.25 | 0.27 | 0.87 | 0.05 |
| Location 3 | 1.34 | 0.17 | 1.24 | 0.26 | 0.76 | 0.15 |
| Location 4 | 1.42 | 0.12 | 0.98 | 0.10 | 0.86 | 0.17 |
| Location 5 | 1.32 | 0.16 | 0.91 | 0.08 | 1.00 | 0.05 |
4.4.2 Tension Infiltrometer
Before infiltration measurements were performed, an area of 0.6 cm diameter was selected and surface debris was carefully removed from the surface to ensure good contact. Tension infiltrometers with a 0.2 m diameter disc (Soil Moisture Measurement Systems, Tucson, AZ) were used to measure infiltration rate as a function of time at different pressure heads for two liquids on 5 locations randomly selected in each of the three fields. SWR can vary at the millimeter scale due to the presence of unevenly distributed hydrophobic material (Orfánus et al., 2008). The five locations were not taken as replicates as averaging the locations would not allow us to see the true effect of repellent pores on the RI and the conducting porosity. The nylon mesh attached to the tension infiltrometer disc had an air entry value of about -3.0 to 3.2 kPa pressure head. Tension infiltrometer measurements were taken at five pressure heads using water (-0.3, -3.0, -7.0, -10.0 and -13.0 cm water pressure head corresponding to $1 \times 10^{-2}$, $1 \times 10^{-3}$, $4.2 \times 10^{-4}$, $3.0 \times 10^{-4}$, and $2.3 \times 10^{-4}$ m equivalent pore diameters). Pressure heads were adjusted for infiltration of ethanol to account for differences in surface tension and density as compared to water. Using the capillary rise equation (Eq. 4.1) with $\gamma$ of $2.19 \times 10^{-2}$ N m$^{-1}$ and $\rho$ of $8.07 \times 10^{2}$ kg m$^{-3}$ for 95% ethanol the pressures head used were -0.11, -1.31, -2.64, -3.77 and -4.9 cm. The water and 95% ethanol pressure heads corresponded to $1 \times 10^{-2}$, $1 \times 10^{-3}$, $4.2 \times 10^{-4}$, $3.0 \times 10^{-4}$, and $2.3 \times 10^{-4}$ m equivalent pore diameters. Since the pressure head were equivalent between the water and 95% ethanol, the liquid content in soil at each pressure head is equal. Water and ethanol (95%) were infiltrated side by side, on the same location from low to high pressure heads, beginning with the -13.0 cm and -4.9 cm for water and ethanol respectively to reduce the effect of spatial variability (Logsdon and Jaynes, 1993). This reduces the hysteresis where drainage occurs close to the tension infiltrometer disk while wetting continues near the wetting
front (Reynolds and Elrick., 1991). The water infiltrating into the soil was measured by recording the drop in water level as a function of time. When the rate of water infiltrating in soil did not change with time for three consecutive measurements taken at 30 second intervals, steady state was assumed. Steady state occurred around 18-20 minutes.
4.4.3 Estimation of the Conducting Porosity
The capillary rise equation, (Eq. 4.1) (Bear, 1972) gives the maximum filled pore size, $r$, (L) at a specific pressure head, $h$ (L).
$$r = \frac{2 \gamma \cos(\alpha)}{\rho g h}$$ \hspace{1cm} (\text{Eq. 4.1})$$
which $\gamma$ is the surface tension of the liquid (M T$^{-2}$), $\alpha$ is the contact angle between the liquid and the pore wall (assumed to be zero), $\rho$ is the density of the liquid (M T$^{-2}$), and $g$ is the gravity acceleration constant (L T$^{-2}$). Modification of the capillary rise equations for different liquids for determination of the maximum filled pore size must be corrected for differences in the surface tension and the density of the liquids.
The steady state infiltration rate obtained from measurement under the five pressure heads was used to determine unsaturated hydraulic properties using Gardner's (1958) exponential hydraulic conductivity function, (Eq. 4.2);
$$K(h) = K_{fs} \exp(\alpha h)$$ \hspace{1cm} (\text{Eq. 4.2})$$
where $K(h)$ is the unsaturated hydraulic conductivity (L T$^{-1}$), as a function of pressure head, $h$ (L), $\alpha$ is the inverse macroscopic capillary length parameter (L$^{-1}$) and $K_{fs}$ is the saturated
hydraulic conductivity (L T\(^{-1}\)). Under a circular disc and steady state condition, Eq. 4.3 can be used for determination of the unknown parameter \(K_{fs}\) and \(\alpha\) (Wooding, 1968).
\[
q^\infty(h) = \left(1 + \frac{4}{\alpha \pi r_d}\right) K_{fs} \exp(\alpha h)
\]
(Eq. 4.3)
\(q^\infty\) is infiltration rate at steady state (L T\(^{-1}\)) as a function of pressure head, \(h\) (L), \(r_d\) is the radius, (L), of the circular disc, and \(K_{fs}\) is the saturated hydraulic conductivity (L T\(^{-1}\)).
Given \(K_{fs}\) and \(\alpha\), the soil water conducting porosity, \(\varepsilon\), for a given range of pore radii or pressure heads was estimated by (Bodhinayake et al., 2004) (Eq. 4.4)
\[
\varepsilon(a,b) = \frac{2 \mu \rho g K_{fs}}{\gamma^2} \left\{ \exp \left[ -2 \gamma a \left( \frac{4 \gamma^2}{(\rho gb)^2} + \frac{4 \gamma}{\rho gb a} + \frac{2}{\alpha^2} \right) \right] - \exp \left[ -2 \gamma a \left( \frac{4 \gamma^2}{(\rho ga)^2} + \frac{4 \gamma}{\rho gaa} + \frac{2}{\alpha^2} \right) \right] \right\}
\]
(Eq. 4.4)
where \(a\) is the lower limit for the pore diameter (L), \(b\) is the upper limit of the pore diameter (L), \(\alpha\) is the hydraulic property (L\(^{-1}\)), \(\rho\) is the density of liquid (M L\(^{-3}\)), \(g\) is the gravity acceleration, (L T\(^{-2}\)), \(K_{fs}\) is the saturated hydraulic conductivity (L T\(^{-1}\)), \(\gamma\) is the surface tension (M T\(^{-2}\)), and \(\mu\) is the viscosity (M L\(^{-1}\) T\(^{-1}\)). Estimation of the conducting porosity was done on the following pore diameter ranges from 1.0 x 10\(^{-3}\) to 1.0 x 10\(^{-2}\), 4.2 x 10\(^{-4}\) to 1.0 x 10\(^{-3}\), 3.0 x 10\(^{-4}\) to 4.2 x 10\(^{-4}\), 2.31 x 10\(^{-4}\) to 3.0 x 10\(^{-4}\) and 2.3 x 10\(^{-4}\) to 1.0 x 10\(^{-2}\) m. We assumed that the maximum pore diameter at the site is 1.0 cm.
### 4.4.4 Water Repellency Index
Early time sorptivity was determined by (Philip, 1954) (Eq. 4.5)
\[
i = St^{1/2}
\]
(Eq. 4.5)
where, $i$ is the cumulative infiltration (L T$^{-1}$), for each measured pressures, $S$ is sorptivity (L T$^{-1}$) of infiltrating liquid and $t$ is the time (T). Sorptivity ($S$) was determined at steady state by (Leeds-Harrison et al., 1994) (Eq. 4.6)
$$S = \sqrt{\frac{Qf}{4br}}$$
(Eq. 4.6)
where $Q$ is the steady state infiltration rate, $b$ is the parameter dependent on the soil water diffusivity function, taken as 0.55 for soil with unknown $b$ parameter (White and Sully, 1987), $r$ is the radius of disc, and $f$ is the fillable (air filled) porosity. The repellency index (RI) can be calculated with (Tillman et al., 1989) (Eq. 4.7).
$$RI = 1.95 \cdot \frac{S_E}{S_W}$$
(Eq. 4.7)
where $S_E$ is the sorptivity of 95% ethanol (L T$^{-1}$), $S_W$ is the sorptivity of water (L T$^{-1}$), and 1.95 is a constant to correct for viscosity and density differences between water and 95% ethanol. However, utilizing different pressure heads to assess the conducting porosity of soil, the viscosity and density were factored in to the pressure head differences at different pore sizes for infiltration, so the 1.95 correction factor is not needed, and RI can be calculated with (Eq. 4.8);
$$RI = \frac{S_E}{S_W}$$
(Eq. 4.8)
An RI greater than 1 indicates the presence of SWR in the site. The RI was determined for each of the 5 pressure heads and compared to the equivalent pore diameter ranges.
### 4.5 Results and Discussion
The RI in each of the five locations in SV 26, Goodale and the Preston site using water pressure heads (-0.3, -3.0, -7.0, -10.0, and -13.0) and corresponding 95% ethanol pressure heads (-
0.1, -1.3, -2.6, -3.7 and -4.9) are displayed in Fig. 8 a) and 8 b) for early time and steady state conditions, respectively. The pressure heads were set sequentially from -13.0, -10.0, -7.0, -3.0, and -0.3 cm; corresponding to increasing equivalent pore diameter sizes. This will allow us to determine the differences in RI excluding larger pore sizes or increasing pressure head to -0.3 cm. Steady state RI was lower than early time RI (Fig. 8). This is related to initial water content in soil before the measurement (Table 3). Parameter $\theta$, contact angle is an indication of the wettability of soil; however it is often neglected as it is assumed to be constant at $0^\circ$ in fully wettable soil. Assuming the wetting fluid does not change in surface tension due to increase in hydrophobic compounds leaching into the fluid during transport through soil (Arye et al., 2007). Additionally, discussion of fractionally wettability, in which some pores expressing contact angle, may not be filled at a given pressure (Beatty and Smith, 2013). This is further complicated when we have subcritical contact angle (CA<90°), suggesting partially filled pore, or completely empty pore not contributing to water flow. The pores contributing to flow must be wettable or else it would not contribute to water flow due to the discontinuity in pores not being filled. Under steady state conditions, if the persistence of repellency is low, we can expect that all the pores filled and conducting water will contribute to the conducting porosity. If the persistence of repellency is long, then we can assume that the some of the pores that are repellent will not fill and conduct water, which will not contribute to the conducting porosity.
Fig. 8. Water repellency index (RI) as a function of water pressure head (cm) for the 5 locations calculated from sorptivity obtained at a) early time and b) steady state on SV 26, Goodale and Preston. Macropore and mesopore contributions to flow separated at -3 cm pressure head. Location 1 (●), 2 (■), 3 (◆), 4 (△), and 5 (○). Dashed vertical line indicates RI values at different locations under -3 cm tensions.
Water repellency indexes calculated from either the early time or the steady state varied with pressure head (Fig. 8). For example, in location 1 for SV 26, RI varies from approximately 5 at the pressure head of -13.0 cm, to 7 at the pressure head of -10.0 cm, to 9 at pressure head of -7.0 cm, to 33 at the pressure head of -3.0 cm and to 2 at the pressure head of -0.3 cm (Fig. 8a). However, the patterns of the RI variation with pressure head were different from location to location and from site to site (Fig. 8). This gives an indication of how variable the severity and persistence of SWR is between sites and within site. In most cases, RI increased with the increase in pressure head from -13.0 cm to -3.0 cm, and then decreased from pressure head = -3.0 to -0.3 cm (Fig. 8). This suggests that the role of repellency is less of a factor since the smaller pores contribute less to the total flux and repellency affects capillary flow more than gravitational flow. However, there were locations where the patterns were different. For example, at location 5 of SV 26, RI decreased from pressure head = -13.0 cm to -10.0 cm, increased from pressure head =-10.0 to –7.0 cm and then decreased from pressure head =-7.0 to -0.3 cm (Fig. 8a). This is likely due to the highly variable nature of repellency in soils and in soil pores and that repellency affects water transport at smaller scales and larger scales like in macropores (Hallett et al., 2004).
Though the general patterns in the RI vs. pressure head relationship were similar between the early time and the steady-state at a location (Fig. 8), the repellency indices calculated from the early time were much larger than that calculated from the steady-state as discussed previously. For example, the largest RI value from location 1 of SV 26 was 33 at pressure head of -3.0 cm from the early time and was 7 from the same water pressure head from the steady-state. According to Hunter et al. (2011), who examined only early time infiltration, severely water repellent soil has RI > 19.5, and sub critically water repellent soil has RI between 1.95 and
19.5. According to this classification, location 1 of SV 26 could be classified as severely water repellent from the early time analysis, and sub critically water repellent from the steady-state analysis. This is due to fractionally wettability of the pores, with more exposure to water the soil will reach the critical water content and the equivalent pore under a certain pressure head will be filled and conduct water.
The early time analysis and steady-state analysis lead to different RI values. Determination of the RI from sorptivities at early time infiltration, would give us an indication of the repellency in the soil at the water content initially before infiltration. As well, the RI at steady state would be more related to repellency after all the equivalent pore diameters (corresponding to the tension applied from the disc) are filled with water. Therefore, the RI at steady state as compared to early time is lower due to the change in water contents (Fig. 8) (Logsdon and Jaynes, 1993). For examining the influence of SWR on the RI excluding the certain pore diameters, the RI at steady state would be more useful as all the conducting pores should be filled regardless of the persistence of SWR. As such our discussion will focus on repellency at steady state conditions.
At the highest pressure head, -0.3 cm, we see that all the locations in site SV26, Preston and Goodale (except for location 5 in Goodale) have a RI below 5 and have a lower RI than at pressure head -3.0 cm (Fig. 8). This suggests that when all the pores with diameters $\leq 1.0 \times 10^{-2}$ m are included, the contribution of non-water-repellent pores may reduce the overall water repellency. This is also likely due to the temporal removal of water repellency under this pressure head as we see a drop in RI from early time to steady state (Fig. 8). When the water content increases as more conducting pores are involved and filled, repellency can be temporally removed as the soil has passed its critical water content (Wang et al., 2000a). At -3.0 cm
pressure head, we see that RI increases for most of the locations for the 3 sites, because SWR measured in soil theoretically excluded in all the macropores (diameters $\geq 1 \times 10^{-3}$ m) (Fig. 8). At this pressure head, the macropores were empty and did not contribute to the flow measurement. Only the mesopores contributed to the flow much like at field capacity where all gravity water has drained out of the macropores (Luxmoore, 1981). This indicates that SWR still affected water flow at these conditions. We know that SWR will affect the infiltration rate (Wang et al., 2000b) during a wetting event when soil water content increases past a certain water content. However, the effect of SWR during gradual drying is still unknown.
As the pressure head decreases, we notice that repellency is still being detected by the repellency index at lower pressures heads (smaller pore diameters) (Fig. 8b). This suggests that SWR affects both flow through macropores and mesopores (Nyman et al., 2010). Repellency at smaller pore sizes may be less influential as liquid flux is smaller in pores with smaller diameters. As such repellency index measured under the -13.0 cm pressure head would be less significant as the liquid through pores are less influential to the total flux. The result that repellency was present under different pressure heads validates that the measurement under different pressure head is important to determine the role SWR plays in certain pores (Hunter et al., 2011). If the repellency index was determined under only one pressure head neglecting a specific pore size range, the overall influence of SWR to soil water transport would be incorrect. This is the first demonstration of the RI as a function of pressure head or exclusion of certain filled pore diameter.
Fig. 9 depicts the steady state infiltration with corresponding pressure heads for location 1 in the sites of SV 26, Goodale, and Preston, respectively. The infiltration rate decreases with the decrease in pressure head due to exclusion of larger diameter pores and number of pores.
Similar to water infiltration, steady state infiltration of ethanol decreased with the increase in ethanol head. All 3 sites showed a higher steady state infiltration rate of ethanol than that of water (Fig. 9). This is mainly due to the effect of SWR on the infiltration. Infiltrating 95% ethanol instead of water will give us an intrinsic infiltration rate, which is the infiltration not influenced by repellency of pores in soil. When the steady state infiltration rate is the same for both water and 95% ethanol, repellency has no effect on the infiltration as equivalent pores are filled under both liquids.
Fig. 9. Steady-state infiltration rate (x 10^-2 m s^-1) from location 1 on a) SV 26, b) Goodale, c) Preston; calculated from water pressure head (cm) on the bottom axis, and equivalent 95% ethanol head (cm) on top axis. Water (●), Ethanol (■)
The liquid flux at a defined pore diameter range was calculated from subtracting the liquid flux at an upper constrained pressure head with the liquid flux at a lower constrained pressure head. For example at -0.3 cm of pressure head the water flux was subtracted from the pressure head of -3.0 cm which give us the water flux contribution from $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$ m pore sizes. Water fluxes are subtracted with decreasing water pressure head from -0.3 to -3.0 cm, -3.0 to -7.0 cm, -7.0 to -10.0 cm, and -10.0 to -13.0 cm. This corresponds to the water flux through pores diameter ranges of $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$, $1 \times 10^{-3}$ to $4.2 \times 10^{-4}$, $4.2 \times 10^{-4}$ to $3.0 \times 10^{-4}$, $3.0 \times 10^{-4}$ to $2.3 \times 10^{-4}$ and $\leq 2.3 \times 10^{-4}$ m equivalent pore diameters. Since the water flux compared to 95% ethanol flux was lower, I assumed that the 95% ethanol flux is our liquid flux in soil not affected by repellency (surface properties). This is true when soil water contents are higher than its critical water content. In SV 26 site for location 1, 2, 3, and 5, most of the liquid flow occurred at $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$ m pore diameter range and for location 4 at the $1.0 \times 10^{-2}$ to $4.2 \times 10^{-4}$ m diameter range (Fig. 8a). In the Goodale site, most of the five locations show that liquid flows through the $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$ m, with the exception of location 3 as some of the liquid flow went through the pores with a diameter $\leq 2.3 \times 10^{-4}$ m (Fig. 8b). For the Preston site, most of the liquid flowed through the pores with a diameter between $1 \times 10^{-2}$ to $1 \times 10^{-3}$ m at locations 1, 3, and 4, while at locations 2 and 5 it flowed through the pores with diameter between $1.0 \times 10^{-3}$ to $4.2 \times 10^{-4}$ m (Fig. 8c). Since more liquid flows through larger diameter pores than through small diameter pores, the large diameter pore ranges contribute more to the total liquid flux.
Fig. 8. The water and 95% ethanol flux contribution (% of total volume) as a function of the water pressure head (cm) and ethanol pressure head (cm) respectively for the five locations on a) SV 26, b) Goodale, and c) Preston. Macropore and mesopore contributions to liquid flux (%) are separated at -3 cm pressure head. Location 1 (●), 2 (■), 3 (◆), 4 (△), and 5 (○).
Under the same tension, with 95% ethanol and water, we can calculate the pore size range that is involved in the water conducting process. For example under the 13 cm and 4.9 cm of water and ethanol tension respectively, the pores that are involved are $>2.3 \times 10^{-4}$ m. However if repellency affects a portion of pores, then a significant portion of water conducting is lost due to change in CA in pores preventing or limiting the conduction in soil. Slightly water repellent soil have lower actual pore radii conducting flow compared to potential pore radii (The actual pore radii available for flow taking into account reduced wettability) (Beatty and Smith, 2013). The conducting porosity (calculated as the % of the total volume) in soil was generally higher under 95% ethanol infiltration than under water infiltration for all the locations in SV 26, Goodale and Preston sites at each pore diameter range. This resulted in an overall higher conducting porosity under 95% ethanol compared to water (Table 4). The difference is most likely caused by water repellency restricting flow through certain pores. This also supports the idea that all soils show some severity of repellency, therefore causing the difference in calculated conducting porosity. When examining water repellent soils, the larger the change in conducting porosity the higher the severity of SWR present. As SWR does not affect 95% ethanol infiltration, the lower conducting porosity in water than in ethanol would also indicate the presence of water repellent pores. The 95% ethanol infiltration was also used to determine the intrinsic conducting porosity (Lamparter et al., 2010).
Table 4. Estimation of the water conducting porosity (WCP) and intrinsic (95% ethanol) conducting porosity (ECP) (% of total soil volume) for pore diameter of 0.0231 to 1 mm for the five locations in each site
| Pore Diameter (a-b), cm | Location 1 (WCP) | Location 1 (ECP) | Location 2 (WCP) | Location 2 (ECP) | Location 3 (WCP) | Location 3 (ECP) | Location 4 (WCP) | Location 4 (ECP) | Location 5 (WCP) | Location 5 (ECP) |
|-------------------------|------------------|------------------|------------------|------------------|------------------|------------------|------------------|------------------|------------------|------------------|
| SV 26 | 3.04 x10^{-3} | 5.76 x10^{-2} | 5.20 x10^{-3} | 1.62 x10^{-2} | 4.29 x10^{-3} | 1.70 x10^{-2} | 5.65 x10^{-3} | 4.93 x10^{-2} | 1.11 x10^{-3} | 2.17 x10^{-2} |
| Goodale | 1.25 x10^{-4} | 1.38 x10^{-3} | 4.40 x10^{-4} | 1.02 x10^{-3} | 5.78 x10^{-6} | 4.19 x10^{-4} | 1.54 x10^{-4} | 1.18 x10^{-3} | 6.37 x10^{-5} | 3.81 x10^{-2} |
| Preston | 4.61 x10^{-4} | 6.39 x10^{-3} | 4.83 x10^{-3} | 6.77 x10^{-3} | 6.19 x10^{-4} | 6.06 x10^{-3} | 1.12 x10^{-3} | 2.74 x10^{-2} | 1.25 x10^{-3} | 6.83 x10^{-3} |
At the pore diameter ranges of $2.3 \times 10^{-4} - 1.0 \times 10^{-2}$ m, locations are ranked in order of decreasing total water conducting porosity; Location 4, 2, 3, 1, and 5 for SV 26; Location 2, 1, 4, 5, and 3 for SV 26; Location 2, 5, 4, 3, and 1 for SV 26 (Table 4). For the intrinsic (95% ethanol) conducting porosity in the pore diameter range of $2.3 \times 10^{-4} - 1.0 \times 10^{-2}$ m, locations were ranked in terms of decreasing intrinsic total conducting porosity; Location 1, 4, 5, 3, and 2 for SV 26; Location 1, 4, 2, 3, and 5 for Goodale site; Location 5, 1, 4, 2 and 3 for Preston (Table 4). This difference in rank between water and 95% ethanol supports that RI measured under each pressure head varies in each location as the intrinsic total conducting porosity order has changed.
The changes in the conducting porosity for all five locations for each of the 3 sites are shown Fig 8. The SWR had more of an effect on location 1, 4, as compared to 2, 3, and 5 because the change ($2.3 \times 10^{-4} - 1.0 \times 10^{-2}$ m diameter range) between the water and intrinsic conducting porosity was greater at location 1 and 4 than at location 2, 3, and 5 in site SV 26 (Fig. 11a). This is mainly due to the more pronounced effect of SWR on the water conducting porosity at the pore diameter ranges of $1.0 \times 10^{-3} - 1.0 \times 10^{-2}$ m and $4.2 \times 10^{-4} - 1.0 \times 10^{-3}$ m which constitutes 62% and 28% respectively of the liquid flux for location 1 in site SV 26 (Fig. 8a). At location 4, there is more mesopore contribution to water flow due to the higher bulk density (Table 3). This suggests that a large percentage of the total liquid flux in this location was contributed from the mesopores (85% of total flux came from diameters $\leq 1.0 \times 10^{-3}$ m). Therefore, the change in the conducting porosity in location 4 is larger than locations 2, 3 and 5 in the SV 26 site.
Fig. 11. The change in the estimated conducting porosity (95% ethanol conducting porosity – water conducting porosity) (% of total volume) in the five locations on a) SV 26, b) Goodale, and c) Preston.
In the Goodale and Preston site, the largest change in conducting porosity was observed in location 5 and location 4 respectively (Fig. 11b, 11c). In the Goodale site, Location 5 had only 34% of the total liquid flux flowing through $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$ m pore diameter range, compared to Location 1 having 98% (Fig. 10b). However at $1.0 \times 10^{-3}$ to $4.2 \times 10^{-4}$ m pore diameter ranges, 64% of the total liquid flux flowed through these pores in location 5. As such the high RI observed at early time and steady state conditions in location 5 results in a larger change in the conducting porosity as compared to all locations in the Goodale Site (Fig. 11b). At location 4 in the Preston site, 80% of the total liquid flux occurred through $1.0 \times 10^{-2}$ to $1.0 \times 10^{-3}$ m pore diameter sizes (Fig. 10c). With larger RI observed at early time than from steady state, this resulted in the largest change in conducting porosity compared to other locations in the Preston site (Fig. 10c).
Examining location 2 and 3 in SV 26, Goodale, and Preston sites, we observe lower levels of repellency as compared to all other locations in each of the 3 sites at all pressure heads (or all the pore sizes) except for location 2 in the Preston site (Fig. 8). Location 2 in the Preston site had a large repellency index at the most negative pressure head (pore diameter size $\leq 2.3 \times 10^{-4}$). However at this pressure head the liquid flowing through this pore diameter range did not contribute much to the total liquid flux. This resulted in not much change to the conducting porosity. In all the sites, Location 2 and 3’s water conducting porosity between the pore diameter ranges of $1.0 \times 10^{-3} - 1.0 \times 10^{-2}$ m and $4.2 \times 10^{-4} - 1.0 \times 10^{-3}$ m did not change much with the intrinsic conducting porosity. This indicates that SWR will have less of an effect on the total conducting porosity in these two locations as the pore diameters that contribute more to the total liquid flux had a smaller RI as compared to the other three locations. This also suggests the SWR effect on the water conducting porosity originated mainly from the reduced infiltration.
through the larger pores. The effect of SWR on the conducting porosity is directly related to how much the infiltration through these pores is reduced and how severe the repellency is in pore diameter ranges which contribute to majority of the total liquid flux.
4.6 Conclusions
This study revealed that ethanol infiltration through a tension infiltrometer can be used to determine the intrinsic conducting porosity (unaffected by surface properties) in water repellent soils. The obtained intrinsic conducting porosity is much higher than that from water conducting porosity if the soil is water repellent. We also determined how RI varies under different pressure heads. RI values obtained under different pressure heads are different due to all pore size ranges tested showing some degree of repellency. This suggests that some pores are not being filled under certain pressures at equilibrium. This would suggest that water retention in soil would be affected by water repellency since some pores are not being filled under certain pressure conditions. The effect of RI on the water conducting porosity is related to how many and how much of each equivalent pore is filled under a certain pressure head to the total liquid flux. Large diameter pores contribute more to the liquid flux than smaller sized pores. As a result a high RI in the macropores in contrast to high RI at the mesopore ranges will result in a decrease in the water conducting porosity. The determination of the RI under different pressure heads gives a better indication of how SWR will affect water flow through different pore diameters. Additionally, determining RI using a tension which includes the pore diameters that contribute more to the total liquid flux would give a better indication of the role repellency plays in soil water transport.
5. A NOVEL METHOD FOR IDENTIFYING HYDROPHOBICITY ON FUNGAL SURFACES: CONTACT ANGLES
5.1 Preface
Fungal surface hydrophobicity has many ecological functions and is speculated to be a major cause of SWR (White et al., 2000; Feeney et al., 2006). Water contact angles are a direct and simple approach for characterization of SWR and fungal surface properties (Wessel, 1988; Bachmann et al., 2000; Letey et al., 2000). However due to roughness of the surface of soil and fungi, water contact angles are often obscured and hard to measure (Smits et al., 2003). With advances in contact angle measurements, new fitting schemes have been developed to fit contact angle on obscured surfaces such as fungi and soil (Stalder et al., 2010). The objective of this study was to evaluate if utilization of *in-vitro* growth conditions coupled with versatile image analysis allows for more accurate fungal contact angle measurements. Fungal strains classified by the surface properties were utilized in Chapter 7 for assessment of the change in SWR and infiltration rate in soil.
5.2 Abstract
Fungal surface hydrophobicity has many ecological functions and water contact angles measurement is a direct and simple approach for its characterization. The objective of this study was to evaluate if *in-vitro* growth conditions coupled with versatile image analysis allows for more accurate fungal contact angle measurements. Fungal cultures were grown on agar slide media and contact angles were measured utilizing a modified microscope and digital camera.
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3 This work has been previously published in Chau, H.W., Si, B.C., Goh, Y.K., and Vujanovic, V. (2009). A novel method for identifying hydrophobicity on fungal surfaces. Mycological Research. 113:1046-1052. Minor modifications have been made for consistency.
setup. Advanced imaging software was adopted for contact angle determination. Contact angles were observed in hydrophobic, hydrophilic and a newly created chronoamphiphilic class containing fungi taxa with changing surface hydrophobicity. Previous methods are unable to detect slight changes in hydrophobicity, which provide vital information of hydrophobicity expression patterns. Our method allows for easy and efficient characterization of hydrophobicity, minimizing disturbance to cultures and quantifying subtle variation in hydrophobicity.
5.3 Introduction
Microbial surface characteristics via the cell wall interactions have important implications in a variety of processes (Dague et al., 2007). It is one of the surface properties influencing microbial interactions at the fungal interface (Van Loosdrecht et al., 1987; Gannon et al., 1991). Key functions include supporting internal turgor pressure, appressorium formation in the cells and also providing structure, shape, adhesion and aggregation (Lee and Dean, 1994; Dague et al., 2007). Microorganisms and their interactions at the interfaces are known to be controlled by physicochemical properties of the cellular surface (Smits et al., 2003). Research suggested that the presence of hydrophobic moieties causes the fungal cell surface to exhibit hydrophobic properties (Hazen, 1990; Hazen et al., 1990; Lopez-Ribot et al., 1991; De Vries et al., 1993). Spore dispersal, adhesion, pathogenesis and breaking surface tension have been linked to fungal hydrophobic moieties, which were identified as a class of cysteine rich proteins called hydrophobins (Hazen, 1990; Stringer et al., 1991; Wessels et al., 1991; Wessels, 1992; Bidochka et al., 1995a; b). The relationship between hydrophobins and fungal hydrophobicity is well understood (Wösten and de Vocht, 2000), but how the expression of these proteins affects contact angle measurement of fungal surfaces has not been addressed. It is known that changes in the developmental stages of a fungus cause expression of different hydrophobins, which is likely
one of causes of change in fungal surface hydrophobicity (Peñas et al., 1998). Besides hydrophobins, secondary metabolites such as despides and depsidones were also found to contribute to surface hydrophobicity in lichen mycobionts (Lange et al., 1997; Huneck, 2003; Lumbsch et al., 2006). Other fungal metabolites and repellents including mycotoxins and free radicals may also contribute to fungal hydrophobicity (Teertstra et al., 2006; Orciuolo et al., 2007; Peiris et al., 2008). Examinations into the causes of fungal surface hydrophobicity should also encompass compounds beside hydrophobins.
Current methods employed to characterize/assess microbial cell surface hydrophobicity include binding to aliphatic acids, hydrocarbons, microsphere assay, colony imprints, dielectric permittivity, hydrophobic interaction chromatography, imprint assay, rolling drop assay, salt aggregation test and two phase partitioning (Doyle, 2000). These methods are subjected to criticism as they are indirect methods to quantify hydrophobicity of the microbial cell surfaces. Time, temperature, pH, ionic strength, and interaction species concentration are factors that affect these methods especially when dealing with adhesion techniques (Ofek and Doyle, 1994). Microbial adhesion methods involve both electrostatic effects and hydrophobic interactions to bind, which suggest other interactions may influence the results (Geertsema-Doornbusch et al., 1993; Doyle, 2000). Current methods involve manipulation of the specimen (washing, staining, extraction, adhesion and drying), which may drastically impact the hydrophobicity assessment.
Behaviours such as excretion of exudates, resistance to flooding, production of aerial mycelia, spores and fungal growth are the basis of some of methods for indirect differentiation between hydrophobic and hydrophilic fungal surface properties (Stenström, 1991; Unestam and Sun, 1995). The way that fungi and microorganism in general grow and develop, will determine the method employed (Hazen, 1990). In an effort to maintain consistency and reproducibility,
much of the research requires sample manipulation to ensure standard conditions. Manipulation of the sample will undoubtedly affect the hydrophobicity, resulting in incorrect measurements. This is more prevalent when a change is made to hydrophobic samples such as fragile fungal cultures. Due to its delicate and multifaceted nature of fungal growth, they have been largely excluded from hydrophobicity measurements (Hazen, 1990; Smits et al., 2003). Unestam (1991) proposed a simple method which required placing small droplets ($\leq 0.01 \mu l$) on fungal structures and observing water drop penetration for at least 2 h at 20 °C. This method allows for direct characterization of hydrophobicity with minimized disturbances to fungal surfaces, but is time-consuming, subjective and does not provide information of surfaces energies (or degree of hydrophobicity).
An important parameter in surface science is contact angles; defined as the angle formed between liquid–vapour and the liquid–solid interfaces, at solid–liquid–vapour three phase contact area (Lam et al., 2002). Contact angles are a common measure of the degree of surface hydrophobicity, as well as surface energies, heterogeneity and roughness (Lam et al., 2002). Measurements are simple and result in high confidence level in assessing hydrophobicity (Doyle and Rosenberg, 1990; Doyle, 2000), making it one of the most widely used techniques (Lam et al., 2002). However acquiring consistent contact angles is a challenge because the effectiveness of contact angle measurement relies on the quality of the sample surface (Lam et al., 2002). Traditional methods for contact angle acquisition such as the goniometry, measure the angle by placing a tangent to the water drop at its base (Lam et al., 2002). However, due to background discrepancy and roughness of the sample surface, distinct baselines may not always be visible (Duncan et al., 1995; Stalder et al., 2006; Goclawski and Urbaniak-Domagala, 2007; Hauck et al., 2008).
To address the limitations of the goniometer method on fungal surfaces, Smits et al. (2003) measured contact angles on fungal cultures overgrown on filter paper, which was previously done on bacteria cells (Absolom et al., 1983). However, the amount of fungal accumulation on the filter paper may also affect the result (Van der Mei et al., 1991). In addition, the contact angle on filter grown with fungal cultures requires manipulations of sample (washing and air drying filter), which may have a direct influence on fungal surface hydrophobic properties. A simple method that utilizes an undisturbed sample and can accurately measure the subtle variations in both the persistence and degree of hydrophobicity is required.
The objective of this study was to develop and apply a simple and rapid method for assessing water contact angles on fungal cultures grown on slide media using a modified microscope. I hypothesized that this method can measure water contact angles on fungal cultures. With this method, we can evaluate both the contact angle (degree of hydrophobicity) and the water drop penetration (persistence of hydrophobicity) in effort to determine fungal hydrophobic properties. Contact angles at different growth stages can be compared to analyze how the age of the culture affects hydrophobicity. To assess if this method is successful in quantifying fungal surface property, we compared our results to fungal strains previously analyzed.
5.4 Materials and Methods
5.4.1 Fungal Inocula
Eleven fungal strains from phyla Ascomycota, Basidiomycota and Zygomycota were selected for quantifying fungal surface properties. Some of these fungal strains were previously analyzed by Smits et al. (2003) and Unestam (1991) and Unestam and Sun (1995). Cultures of *Alternaria* sp. SMCD 2122, *Penicillium aurantiogriseum* SMCD 2151, *Cladosporium*
*Cladosporioides* SMCD 2128, *Cladosporium minourae* SMCD 2130, *Suillus tomentosus* UAMH 9089/SMCD 2263, *Cenococcum genophilium* (Strain UAMH 5512) SMCD 2264, *Trichoderma harzianum* SMCD 2166, *Mortierella hyalina* SMCD 2145, *Laccaria laccata* UAMH 10033/SMCD 2265 and *Laccaria trichodermophora* SMCD 2267 were obtained from the Saskatchewan Microbial Collection and Database (SMCD) and the University of Alberta Microfungus Collection and Herbarium (UAMH). These strains were maintained on Oxoid potato dextrose agar (PDA) plates (39 g potato dextrose agar in 1 L distilled H$_2$O) or Modified Melin Norkrans (MMN) Media (UAMH Recipe) in plastic Petri dishes at 22.5 °C.
### 5.4.2 Preparation of Slide Media
Pre-cleaned microscope slides (76.2 mm x 25.4 mm) were aseptically sterilized by dipping in 95% ethanol solution and flaming. The sterilized slides were then aseptically transferred to sterilized petri dishes. Approximately 2 mL of the PDA or MMN media was spread uniformly on the slide using a micropipette. Then the slide media was allowed to harden.
### 5.4.3 Fungal Slide Culture
Under aseptic conditions, a small scraping of fungi from an active growing culture was inoculated on the center of the slide media. The slide was then incubated in the dark at 22°C, and examined every day until adequate growth occurred. The slides were then taken from the sterile plates and placed on sample stage. Contact angles of 5 to 6 water droplets of 10µL were measured from one edge of the slide to the other edge on two replicate slides. Additional measurements on the PDA slide were preformed to assess reproducibility of contact angles of the strains.
5.4.4 Contact Angle Acquisition
The experimental apparatus for contact angle measurements consisted of three main parts: sample stage, image observation and acquisitions device, and contact angle analysis software. Sample stage was a biochem* support jacks Brand tech (16cm (L) x 13 cm (W) x 27.5 cm (H)). It allowed for easy movement of a slide for image viewing and manipulations. Slide samples were viewed at a maintained temperature of 25°C and at 30% relative humidity. Viewing and acquisition of contact angle images was conducted using a modified stereo microscope with a horizontal light path (Fig. 12). A Zeiss SV 6 Stereomicroscope was modified by moving the view from a vertical direction to a horizontal direction. Coupled with Nikon Cool Pix 8400 camera with 3264 x 2448 resolutions contact angles were viewed through the microscope and images were captured with the camera (Fig. 12). The images were then transferred to a computer that contains imaging software.
Fig. 12. Diagram of the modified microscope setup for image acquisition and contact angle measurement.
5.4.5 Contact Angle Measurement
The software utilized in this study is the open source multi-platform java image processing program ImageJ, which is publicly available at http://rsb.info.nih.gov/ij/. Measurement of contact angles was obtained by using the Low Bond Axisymmetric Drop Shape Analysis Model of Drop Shape Analysis (LB_ADSA) plug in, which is available online for free at http://bigwww.epfl.ch/demo/dropanalysis/. This model utilized image gradient energy and cubic spine interpolation to obtain high precision contact angle image measurements (Stalder et al., 2006). This global model utilized first order perturbation solution of the Laplace equation for measuring axis-symmetric drops while fitting the whole drop profile (Stalder et al., 2006). Fitting of the whole drop profile allows for contact angle determination on fungal cultures obscured due
to aerial mycelia by overcoming the baseline issues of the goniometer approach. Stalder et al. (2006) suggested that this computational solution was more efficient than the numerical integration and allowed for more accurate contact angle measurements (ADSA approach).
5.5 Results and Discussion
5.5.1 Hydrophobic / Hydrophilic Fungi
*Alternaria sp.*, *Cladosporium cladosporioides*, *Cladosporium minourae* and *Penicillium aurantiogriseum* illustrated hydrophobic surface properties due to contact angles measurement >90° (Table 5, Fig. 13). Fungal strains such as *Alternaria sp.*, *C. cladosporioides*, *C. minourae* exhibited uniform colony growth on slide media, and allowed for characterization of growth rate (cm of growth/time). Water contact angles were evaluated from the point of inoculation to the end of the slide to assess how hydrophobicity changes with time (Fig. 13a). We observed only a slight difference in the contact angles assessed with the four hydrophobic strains as the standard deviation was low (Table 5). Fig. 13b shows similar water contact angles from 10 µl water droplets deposited onto the surface of *C. cladosporioides*. *Cladosporium* strains showed typically higher contact angle values, but were still within the same hydrophobicity classes (Table 5). The lower values previously recorded from the fungal filter technique (Smits et al., 2003) may be attributed to lack of fungal cell accumulation in the filter or that washing/drying the filter membrane may have reduced the hydrophobicity. For example, excretions of exudates and spores formation may be washed off the surface, which explains why smaller contact angles were observed from manipulative methods than from the proposed contact angle method.
Table 5. Comparison of contact angles obtained from the modified microscope approach on fungal slide cultures with similar fungal species from literature.
| Fungus Culture | Time (Days) | PDA† | MMN‡ | Fungal Surface Classification | Literature Fungal surface classification |
|---------------------------------|-------------|------|------|------------------------------|------------------------------------------|
| *Cladosporium cladosporioides* | 10 | $142^\circ \pm 1$ $(106\pm2)$ § | $135^\circ \pm 1$ $(100\pm3)$ § | Hydrophobic | *Cladosporium sp.* Hydrophobic (Smits et al., 2003) |
| *Cladosporium minourae* | 10 | $142^\circ \pm 5$ $(106\pm2)$ § | $141^\circ \pm 1$ $(100\pm3)$ § | Hydrophobic | *Cladosporium sp.* Hydrophobic (Smits et al., 2003) |
| *Penicillium aurantiogriseum* | 10 | $128^\circ \pm 1$ | $124^\circ \pm 1$ | Hydrophobic | n/a |
| *Alternaria sp.* | 5 | $122^\circ \pm 1$ | $124^\circ \pm 2$ | Hydrophobic | n/a |
| *Suillus tomentosus* | 30 | $89^\circ - 134^\circ$ | $96^\circ - 118^\circ$ | Chronoamphiphilic | *Suillus tomentosus* Hydrophobic (Unestam, 1991) |
| *Trichoderma harzianum* | 3 | $61^\circ - 117^\circ$ $(27\pm3)$ § | $43^\circ - 108^\circ$ $(25\pm3)$ § | Chronoamphiphilic | *Trichoderma harzianum* Hydrophilic (Smits et al., 2003) |
| *Cenococcum geophilum* | 30 | $68^\circ -133^\circ$ | $74^\circ - 81^\circ$ | Chronoamphiphilic | *Cenococcum geophilum* Hydrophilic (Unestam and Sun, 1995) |
| *Laccaria laccata* | 30 | $0^\circ$ | $0^\circ$ | Hydrophilic | *Laccaria laccata* Hydrophilic (Unestam and Sun, 1995) |
| *Laccaria trichodermophora* | 21 | $0^\circ$ | $53^\circ - 82^\circ$ | Hydrophilic | *Laccaria sp.* Hydrophilic (Unestam and Sun, 1995) |
| *Mortierella hyalina* | 7 | $59^\circ \pm 1$ | $31^\circ - 51^\circ$ | Hydrophilic | n/a |
† Potato Dextrose Agar Media
‡ Melin Norkrans Media
§ Referenced Values
¶ No measured contact angles
Fig. 13. a) Diagram of placement of 10uL water droplets in respect to the point of inoculation. b) Images of 10 µl water droplets on the surface of *Cladosporium cladosporioides* grown on a PDA slide. c) Images of 10 µl water droplets on the surface of *Suillus tomentosus* grown on a PDA slide media.
*Mortierella hyalina*, *Laccaria laccata* and *Laccaria trichodermophora* had water contact angle readings <90° and thus were classified as hydrophilic (Table 5). *L. trichodermophora* and *M. hyalina* did however show an increase in the contact angle as the placed droplets approached the area of inoculation. Fig. 13c shows lower contact angles further away from the point of inoculation from water droplets placed on the surface of *Suillus tomentosus*. Busscher et al. (1984) suggested this change in contact angle was due to denser colonization at the zone of inoculation. However, Smits et al. (2003) found no morphological differences between the two zones of colonization using scanning electron microscopy and thus concluded that it must be
caused by an increase in hydrophobicity. We agreed with Smits et al. (2003), but proposed that the increase in hydrophobicity is due to a change in growth state from the point of inoculation to the edge of the slide. Our observations and results from Smits et al. (2003) suggested that the possible accumulation of hydrophobic substances as fungi aging might have caused the shift in hydrophobicity due to age and stability of fungi hydrophobicity after a certain time period. Therefore, to obtain consistent and stable water contact angle readings require stability of fungal growth. Understanding fungal life cycle, gene expression and metabolism may also provide insights into how fungal surface properties change due to external factors. *C. cladosporioides* and *C. minourae*, *P. aurantiogriseum* and *Alternaria* sp. showed little difference between contact angles on the two types of media, while *L. trichodermophora* showed the highest change (Table 5). It was also noted that the increase in contact angle was not large enough to change the classification of the strain. Depletion of carbon source in MMN medium as compared to PDA medium may have resulted in the change in contact angles. Smits et al. (2003) and Nielsen et al. (2001) noted that depletion of carbon sources may potentially shift the metabolism of a particular fungus, resulting in changes in surface property. Moreover, Vergara-Fernández et al. (2006) found that type of carbon source and cultivations conditions affect the surface hydrophobicity of *Fusarium solani*. Glucose- and nitrogen-depleted media were also observed to show high or increased in expression of certain hydrophobin-encoding genes in *Trichoderma reesei* (Nakari-Setälä et al., 1997).
### 5.5.2 Chronoamphiphilic
*S. tomentosus* and *T. harzianum* had a contact angle > 90° at the point of inoculation, but contact angles became smaller further away from the point of inoculation. At the end of growth, contact angles were < 90° on the slide (Fig. 13c). Therefore, these two strains showed
hydrophobic characteristics at the point of inoculation, but growth further away from the point of inoculation showed hydrophilic characteristics. However, *S. tomentosus* was classified as hydrophobic by Unestam (1991) and *T. harzianum* was described as hydrophilic by Smits *et al.* (2003). Unestam (1991) also speculated that hydrophobic fungus must also have hydrophilic structures to aid in uptake of water which might be the case in *S. tomentosus*.
The presence of sporulation, and change in life cycles may also result in a shift in hydrophobic property (Smits et al., 2003). For example, after approximately 3 days of growth on PDA and MMN, *T. harzianum* started producing green spores as opposed to the visible white mycelia growth (Smits *et al.* 2003). Conidia were collected from $1^{st}$, $3^{rd}$, and $5^{th}$ days of *T. harzianum* PDA grown cultures according to the procedures outlined in Whiteford and Spanu (2001). Amount of conidia was counted with haemacytometer and day 5 had the highest average number of conidia ($1.6 \times 10^6$ cells mL$^{-1}$) as compared to day 1 and day 3 ($1.7 \times 10^4$ cells mL$^{-1}$ and $4.0 \times 10^5$ cells mL$^{-1}$ respectively). Fig. 14a and 14b visualizes a substantial increase in spore number from the zone of older growth when compared to the younger growth on the same plate. As *T. harzianum* aged in culture, generation of hydrophobic spores can further affect water contact angle (Smits *et al.*, 2003). Nakari-Setälä *et al.* (1997) discussed that most of the hydrophobins are found in fungal aerial structures, such as spores or conidia and these cells are highly hydrophobic. Furthermore, production of suitable substrates and moisture could drastically increase the spore production in *Trichoderma* species, which would undoubtedly affect its surface properties (Cavalcante *et al.*, 2008). We recognize that temporal changes in surface hydrophobicity can occur and proposed a new *Chronos* (*Greek: time*) – *amphiphilic* (*Greek: loving both*) class containing fungal taxa with shifting hydrophobicity over time and space. With the additional of a new class, emerging hydrophobicity expression patterns within the same
species can be quantified more accurately throughout growth chronosequences, time and space scales. This provides further insights into the functional significance of fungal surface properties.
Fig. 14. Wet mount of spores extracted from *Trichoderma harzianum* from two areas from the same fungal cultures: a) Older growth (green area/centre portion) and b) Younger growth (white area/outer region). * Drops of 10µl sterile dH$_2$O were spotted onto fungal cultures of both centre and outer portions. Water droplets were pipetted few times and transferred to slides for microscopy observation.
With the proposed method, we can assess variations in fungal hydrophobicity and test shifts in surface properties of actively growing fungi. To perform the latter assessment and tests, the microscopic slide can be exposed to varying environmental parameters, e.g. temperature, humidity, oxygen concentrations and/or UV radiation. Since agar is the support medium, the nutrient content of the support media can also be modified in order to analyze behavioural changes of particular fungal strain (Fig. 14. *T. harzianum*). Inhibitory compounds can further be used to evaluate induced changes in fungal hydrophobicity.
Finally, our study proposes a more efficient method for monitoring fungal hydrophobicity—taking into account variations in environmental factors influencing fungal surface properties. Therefore, this novel method is particularly important for understanding fungal biological cycles and ecological functions, which are closely related to surface properties.
6. ASSESSMENT OF ALCOHOL PERCENTAGE TEST FOR FUNGAL SURFACE HYDROPHOBICITY MEASUREMENT
6.1 Preface
Measurement of contact angles on fungal surfaces and soils are often difficult to measure due to obscured measurement due to fungal mycelia and roughness of soil particles (Chapter 5). Alternative measurement techniques have been developed to measure water repellency on soil (Roy and McGill, 2002). Utilizing different concentration of ethanol solutions (molarity of ethanol method or alcohol percentage test) with different surface tension and measuring the lowest concentration of water/ethanol solution that resist wetting, this provides an indication of water repellency in soils. My aim was to extend this method further and apply it on fungal surfaces for characterization of fungal hydrophobicity. The objective of this study was to determine whether assessing the penetration of solutions with different concentrations of ethanol (Alcohol Percentage Test: APT) on fungal surfaces is effective in characterization of hydrophobicity on fungal surfaces. Results were also validated against contact angle measurements obtained in Chapter 5.
6.2 Abstract
The aim of this study was to determine whether assessing the penetration of solutions with different concentrations of ethanol (Alcohol Percentage Test: APT) on fungal surfaces is effective in characterization of hydrophobicity on fungal surfaces. Alcohol percentage test and contact angle measurements were conducted on nine hydrophobic and two hydrophilic fungal strains from the
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4 This work has been previously published in Chau, H.W., Goh, Y.K., Si, B.C., and Vujanovic, V. (2010). Assessing ethanol sorptivities on fungal surfaces: a measure of the degree of hydrophobicity. Letters in Applied Microbiology. 50:295-300. Minor modifications have been made for consistency.
phyla of Ascomycota, Basidiomycota and Zygomycota. There was a strong positive correlation ($R^2=0.95$) between the APT test and contact angle measurements from eight out of the nine hydrophobic stains (four pathogenic and mycotoxigenic *Fusarium* taxa, one melanosporaceous biotrophic taxon, *Alternaria* sp, *Penicillium aurantiogriseum*, and *Cladosporium cladosporioides*). Hydrophilic control strains, *Mortierella hyalina* and *Laccaria laccata* had contact angles $< 90^\circ$ and no measurable degree of hydrophobicity using the APT method. The APT method was effective in measuring the degree of hydrophobicity and can be conducted on different zones of fungal growth. Characterization of fungal surface hydrophobicity is important for understanding of its particular role and function in fungal morphogenesis and pathogenesis. The APT is a simple method that can be utilized for fungal hydrophobicity measurements when CA cannot be measured due to obscured view from aerial mycelia growth.
6.3 Introduction
Microbial cell walls and hydrophobicity of cell surfaces have recently been recognized for their importance in ecology, medicine, food industry, chemistry and biology. Surface hydrophobicity is crucial for several key functions, such as appressorium formation in the cells and also providing structure, shape, adhesion and aggregation (Lee and Dean, 1994; Dague et al., 2007). These key functions may increase the virulence and pathogenicity of human and plant pathogenic microorganism. Research into fungal surface hydrophobicity has increased dramatically in recent years due to the discovery of hydrophobins. Hydrophobins are proteins that are ubiquitous to filamentous fungi and are often implicated as one of the metabolites that contribute to fungal surface hydrophobicity (De Vries et al., 1993; Wessels, 1994). These proteins are usually found and secreted on the outer surfaces of conidia, spores, aerial hyphae, infection structures and fruiting bodies (Wessels, 1996; Kershaw and Talbot, 1998; Wösten,
They also have important functions such as allowing the escape from aqueous environments, which then allows fungi to produce aerial mycelia and spores (Schuren and Wessels, 1990; Linder et al., 2005).
Hydrophobicity mediates fungal attachment processes on other hydrophobic surfaces, which is an important step of fungal pathogenesis initiation (Howard and Valent, 1996; Linder et al., 2005). Inhibition of this surface hydrophobicity might hinder fungal pathogenesis initiation (Tucker and Talbot, 2001) and decrease aerial spore production, attachment, spread, pathogenicity, and symbiotic association with a host (Talbot et al., 1993; Tucker and Talbot, 2001). The degree of fungal hydrophobicity also has important implications for human health. The relationship between surface hydrophobicity and human pathogenic fungi is well documented in *Candida albicans* and *Aspergillus fumigatus* (Karkowska-Kuleta et al., 2009). Tighter adherence to epithelial cells, endothelial cells and extracellular proteins in *C. albicans* as well as adhesion to albumin and collagen in *A. fumigatus* are the result of hydrophobic surface properties (Karkowska-Kuleta et al., 2009). Due to hydrophobic phenomena on fungal surfaces, characterization of this property is important for understanding its functions and role in the environment as well as the host.
Despite the noted importance of fungal surface hydrophobicity, characterization methods are limited to the manner in which the fungus grows. The majority of methods are based on indirect observations, such as growth behaviour on plates and broth cultures, excretions of hydrophobic compounds and aerial growth of mycelia and spore formation (Smits et al., 2003). Techniques used to assess microbial hydrophobicity are also subject to criticism, as most of these approaches are based on adhesion properties (Chau et al., 2009). Microbial adhesion techniques involve both electrostatic effects and hydrophobic binding interactions, which led to the
conclusion that other factors may influence the results (Geertsema-Doornbusch et al., 1993; Doyle, 2000). Also, adhesive methods involve manipulation of the specimen (washing, staining, extraction, adhesion and drying), which may drastically affect the hydrophobicity assessment through degradation of fungal cultures. In order to ensure accurate hydrophobicity assessment, the techniques employed must be direct and offer minimal disturbance to the culture.
Two simple techniques that are currently employed for characterization of hydrophobicity are the water drop penetration time (WDPT; Letey (1969)) and contact angle (CA) methods (Letey et al., 1962). WDPT measures the time taken by a water droplet to either penetrate or spread on a surface. Typically WDPT is assessed on porous surfaces, but it is also applicable on planar surfaces by means of absorption (Unestam, 1991). The WDPT is a measure of the persistence of hydrophobicity on a particular surface. Contact angles refer to the angle of the liquid/vapour interface where a particular liquid meets the surface. It is also commonly known as a measurement of the degree of hydrophobicity. The acquisition of contact angles is affected by the surface smoothness and uniformity, properties of the measuring liquids and the methodological approach. Unfortunately, due to the ability of fungi to produce aerial mycelia, contact angles may be difficult to measure as the angle and baseline where it is measured is often obscured. In these certain instances, an additional method is required.
Contact angle measurements and WDPT have been employed extensively in analyzing surface hydrophobicity and SWR (Letey et al., 2000). However, Unestam (1991) proposed a technique similar to WDPT on fungal surfaces, by observing the absorption of 0.01 µl water droplets on ectomycorrhizal short roots, mycelia, rhizomorphs and mats. This allowed for a direct measure of persistence of hydrophobicity on fungal surfaces.
A liquid surface tension that has a surface CA of 90° was proposed as an index of water repellency by Watson and Letey, (1970). This procedure is predicated on the assumption that a liquid can only completely wet a surface if the CA is less than 90°. For surfaces with a CA less than 90° the surface tension of the droplet is assumed to be less than that of the surface. When the CA is greater than 90°, surface tension of the droplet (liquid) is greater than that of the surface and thus will prevent wetting of the surface. Theoretically, a series of solutions providing various surface tensions can be prepared and placed onto a hydrophobic surface. The solutions with higher surface tension will tend to reside on the surface and contribute to a higher degree of hydrophobicity, while solutions with lower surface tension will either penetrate or spread on the surfaces due to a lower degree of hydrophobicity. As discussed earlier, surface tension with a CA equal to 90° is the surface tension of a solution where there is a transition from wetting, to repelling on the surface. Fluids with low surface tension can be mixed with miscible fluids that have high surface tension to create a series of solutions with varying surface tensions. Alcohol percentage test (APT) (Dekker and Ritsema, 1994), more commonly referred to as the Molarity of Ethanol method (MED) (Watson and Letey, 1970) was developed based on the fact that ethanol has a smaller surface tension (0.0219 N m\(^{-1}\)) than water (0.0719 N m\(^{-1}\)). The APT uses aqueous ethanol solutions with different concentrations to determine the lowest concentration of ethanol solution that absorbs or wets the surface (Watson and Letey, 1970). The higher the ethanol concentration that wets the surface, the more severe the degree of hydrophobicity. For soil test, five and 10 s are commonly utilized as the reference time for absorption or wetting (Letey et al., 2000). Application of this technique on fungal surfaces has yet to be assessed and may offer another direct measure of the degree of hydrophobicity. However, this approach on fungi may present some challenges due to the delicate nature of fungi.
as it may cause degradation of its hydrophobicity. As such, a reference point of approximately 5 s or less is more reasonable for assessing hydrophobicity on fungal surfaces due to the effect of hydrophobicity degradation (Crockford et al., 1991). The objective of this study was to determine if APT is an effective approach to characterize the hydrophobicity on fungal surfaces. I hypothesized that APT can be used to measure the hydrophobicity on fungal surfaces.
6.4 Materials and Methods
6.4.1 Fungal Strains
Eleven fungal strains from phyla of Ascomycota, Basidiomycota and Zygomycota were selected for assessing the application of the APT method. Four *Fusarium* strains (*F. avenaceum*, *F. oxysporum*, 3- and 15-Acetyldeoxynivalenol-producing *F. graminearum* chemotypes), one biotrophic mycoparasite - *Sphaerodes mycoparasitica* SMCD 2020, *Alternaria* sp. (Kunze) Wiltshire SMCD 2122, *Penicillium aurantiogriseum* Dierckx SMCD 2151, *Cladosporium cladosporioides* (Fresen.) G.A. de Vries SMCD 2128, *Cladosporium minourae* Iwatsu SMCD 2130, *Mortierella hyalina* (Harz), W. Gams SMCD 2145 and *Laccaria laccata* Scop & Cooke UAMH 10033 /SMCD 2265, were obtained from Saskatchewan Microbial Collection and Database (SMCD) and University of Alberta Microfungus Collection and Herbarium (UAMH). The fungal isolates were maintained on potato dextrose agar (PDA) (Difco) supplemented with antibiotics (100 mg L\(^{-1}\) streptomycin sulphate and 12 mg L\(^{-1}\) neomycin sulphate) (Sigma-Aldrich) prior to the experiments to prevent contamination.
6.4.2 Contact Angles
Fungal cultures were inoculated onto slide media (Chau et al., 2009) and were incubated in the dark at 23°C. Growth was assessed daily until complete coverage of the glass slide was
observed (Table 6). Approximately five to ten, 10 µl droplets of water were deposited onto fungal surfaces. Pictures were taken immediately following deposition of the droplets. Contact angles of the droplets were measured by obtaining the images using a modified microscopy apparatus and fitting a drop profile using Low Bond Axisymmetric Drop Shape Analysis Model of Drop Shape Analysis (LB_ADSA) (Stalder et al., 2006; Chau et al., 2009). Fungal plates were prepared in triplicates, while the experiment was repeated twice. Contact angles obtained on slide cultures were used to validate the APT method by linear regression.
Table 6. The age of cultures for complete coverage of slide media and contact angles obtained from surface measurements.
| Fungus Cultures | Time (Days) | PDA* \((\theta_w)\) |
|-----------------------------------------------------|-------------|----------------------|
| *Fusarium avenaceum* | 7 | 108 ° ± 3 |
| *Fusarium oxysporum* | 7 | 116 ° ± 1 |
| 3-Acetyldeoxynivalenol *Fusarium graminearum* | 7 | 124 ° ± 1 |
| 15-Acetyldeoxynivalenol *Fusarium graminearum* | 7 | 125 ° ± 2 |
| *Sphaerodes mycoparasitica* | 7 | 125 ° ± 1 |
| *Cladosporium cladosporioides* | 10 | 142 ° ± 1 |
| *Cladosporium minourae* | 10 | 142 ° ± 5 |
| *Penicillium aurantiogriseum* | 10 | 128 ° ± 1 |
| *Alternaria sp.* | 5 | 122 ° ± 1 |
| *Laccaria laccata* | 30 | 0 ° ± 0 |
| *Mortierella hyalina* | 7 | 59 ° ± 1 |
* Potato Dextrose Agar Media
6.4.3 Alcohol Percentage Test
A series of aqueous ethanol solutions were prepared in 5% increments starting from 0 to 100% ethanol (Dekker and Ritsema, 1994). Conversions of alcohol percentages to molarity, or surface tension, can be performed by using the relationship illustrated in Watson and Letey (1970) or refer to previous published data in Butler and Wightman (1932) and Roy and McGill (2002). The APT/MED protocol described by Watson and Letey (1970) and Crockford et al. (1991) was used. Four microlitre droplets of ethanol solutions were applied on the surface of fungal colonies and the time interval used for infiltration of the solution droplets was <5-s. This short penetration time was vital to ensure that hydrophobicity decay did not affect our results (Crockford et al., 1991). Inner and outer zones of fungal colony growth were defined by observations of two distinct zones, with differences in color, structure and aerial mycelia. Replicates of three droplets on each zone were assessed on three replicates of fungal cultures.
6.5 Results and Discussion
*L. laccata* and *M. hyalina* were the control strains and showed no hydrophobicity with CAs less than 90°, resulting in an APT reading of zero (Fig. 15a). Strains with the highest CA were *Cladosporium* (> 140°), while *F. avenaceum* strains had the lowest CA (108°) among all hydrophobic fungal strains (Fig. 15a). This APT reading (degree of hydrophobicity) was due to surface tension of the fungus (> 0.0719 Joules m\(^{-2}\)) being greater than that of any of the aqueous ethanol solutions.
Fig. 15 a) Plot of fungal strains versus the alcohol percentage (ethanol) absorbed into fungal surfaces on PDA grown cultures and contact angles of water droplets on the fungal inoculated PDA agar slides (Chau et al., 2009): (●) Contact Angles, (■) Inner zone APT (%) and (□) Outer Zone APT (%). Note: Strains designated as *L. laccata* (LL), *M. hyaline* (MH), *F. avenaceum* (FH), *F. oxysporum* (FA), *Alternaria sp.* (A), *C. minourae* (CM), *S. mycoparasitica* (SA), 3-Acetyldeoxynivalenol *F. graminearum* (3A-FG), 15-Acetyldeoxynivalenol *F. graminearum* (15A-FG), *P. aurantiogriseum* (PA) and *C. cladosporioides* (CC). b) The relationship between the ethanol percentage method and water contact angle measurements on agar inoculated hydrophobic fungal cultures (fitted by linear regression $R^2 = 0.95$): (●) Fungal strains and (○) *C. minourae*.
*Removed from linear correlation due to interaction effects from ethanol solutions.*
Through characterization of hydrophobicity using the APT method, we found that *Alternaria* sp., *C. cladosporioides*, *C. minourae* and 15-Acetyldeoxynivalenol-producing *F. graminearum* chemotype exhibited two zones of hydrophobicity. It was observed that mycelial growth further from the point of inoculation showed growth into the media; while in the center aerial mycelia were being produced. However, it was noted that 15-Acetyldeoxynivalenol-producing *F. graminearum* chemotype showed higher degrees of hydrophobicity on white/aerial mycelia (APT = 73±3%) than the red pigment growth in the center (APT = 55±0%) (Fig. 15a). The red pigment growth eventually replaced the growth of the white mycelia.
Linear relationships between CA and APT between hydrophobic strains were low ($R^2 = 0.50$) and mainly due to one of the fungal strains, that is, *C. minourae*. Indeed, removal of this strain resulted in a better correlation ($R^2 = 0.95$) (Fig. 15b). APT values for *C. minourae* of 45% may be attributed to some interaction between the ethanol and fungal surfaces or the effect of ethanol on fungal cultures.
### 6.6 Conclusions
Results presented in this study revealed differential expressions of fungal hydrophobicity, which may be based on the age of mycelia growth. Understanding the expression pattern of fungal hydrophobicity may further provide insight into its implications, such as pre-pathogenesis in plant pathogenic fungi and attachment to host in human pathogenic fungi (Tucker and Talbot, 2001; Karkowska-Kuleta et al., 2009). Wessel et al., (1991) found that accumulation of hydrophobins on older mycelia growth as compared to younger growth may cause a decrease in hydrophobicity assessment at the location further away from the point of inoculation. Differences in the zones of growth may also be due to depletion of nutrients at the point of inoculation, resulting in a shift from primary to secondary metabolism (Smits et al., 2003). As
we know, submerged and aerial hyphae have been shown to have differences in functions and surface hydrophobicity (Wösten and Willey, 2000). Fungi tend to acquire their nutrients by hydrophilic means (Unestam, 1991). However, when nutrients are depleted, formation of hydrophobic aerial structures and spore productions will occur. Distinguishing the differences in aerial and submerged hyphae hydrophobicity may aid in understanding spore dispersal patterns of certain types of fungi (Wösten and Willey, 2000). The APT method allows for the assessment of hydrophobicity on these two morphologically or chemically different regions because this method is a direct measurement and requires very little solution (< 10 µl).
The 15-Acetyldeoxynivalenol-producing *F. graminearum* chemotype showed a higher degree of hydrophobicity on white/aerial mycelia than the red growth in the center. This could be due to the generation of more soluble toxin or pigment compounds when compared to white aerial mycelia growth. In several previous studies, few *Fusarium* mycotoxins were found to be more hydrophobic than others (Yoshizawa and Morooka, 1973; Elosta et al., 2007). Red pigmentation is related to melanin or aurofusarin production and might offer protection against desiccation stress (Butler and Day, 1998). However, Prota (1992) found that melanin contains large amounts of water to preserve the structure of the pigment. The ability of melanin to store water and ions may suggest lower degrees of hydrophobicity as compared to the aerial mycelia (White, 1958). More research is needed to better understand the importance of morphological and hydrophobic regions as well as their relationship with *Fusarium* function and pathogenicity.
Furthermore, additional research is needed to examine how hydrophobicity will change due to alteration of growth conditions, such as nutrient status, pesticide and chemical treatment, and the presence of host plant and biocontrol organisms such as bacteria. In the case of altering growth conditions, there is the potential for alteration of fungal surface hydrophobicity in
response to the changes (Smits et al., 2003; Feeney et al., 2006; Chau et al., 2009). It is also possible that any changes that may occur will result in a decrease in pathogenicity of plant pathogens (Talbot et al., 1993; Kazmierczak et al., 2005).
Hydrophilic classification of fungi is not suitable from APT measurements, due to the fact that surface tensions of fungal surfaces are always lower than the tension of aqueous ethanol solutions. Therefore, the result is an instantaneous infiltration or spreading of the solution. With the current limitations of the contact angle approach, related to its subjective nature and the possibility of obscured views, the APT method may offer an alternative approach for characterization of fungal hydrophobicity. This study has shown that the APT method is useful for analyzing the degree of hydrophobicity of hydrophobic fungal strains through comparison of CA measurements on the fungal surfaces. The APT measurements were also useful for characterization of different zones of hydrophobicity on the same culture. This will aid in providing a better understanding of the expression patterns of hydrophobicity in zones of colour changes and aged growth due to different morphological, chemical, or metabolic reasons. Given the advantages of the APT method such as the reproducibility and simplicity, it should be considered as one of the methods for quantifying the degree of hydrophobicity on fungal surfaces.
7. WETTING PROPERTIES OF FUNGI MYCELIUM ALTER SOIL INFILTRATION AND SOIL WATER REPELLENCY IN A $\gamma$ STERILIZED WETTABLE AND REPELLENT SOIL
7.1 Preface
Reduced infiltration, increased runoff, increased leaching and preferential flow, reduced plant growth and seed germination and increased soil erosion are some of the common issues with soil water repellency (SWR). Previous management strategies to remediate water repellency in soils such as clay addition, surfactant treatment and intensive irrigation are unfeasible due to the lack of clay material, toxicity of surfactants, and cost and access to water (DeBano, 2000; Franco et al., 2000). Alternative strategies are preferred (McKenna et al., 2002). Hydrophobic fungal structures and exudates have been known to be a major contributor in changing the soil water relationship in natural soils (Unestam, 1991; Unestam and Sun, 1995). Effective characterization of fungal strains that may cause and suppress SWR has not been examined to date. However, with results from Chapter 5 and 6, we were able to classify fungi based on its surface property. The surface property of fungi is one of the mechanism in which fungi can change the water repellency in soil. The ability of fungi to alter the SWR and enmesh soil particles can result in changes to the infiltration dynamics in soil. The objective of this study was to determine whether SWR and infiltration could be manipulated through inoculation with classified fungi based on surface properties. This study would improve our understanding of how fungi can change the SWR in soil and alter the infiltration rate. Also fungal inoculation or
---
5 This work has been previously published in Chau, H.W., Goh, Y.K., Si, B.C., and Vujanovic, V. (2012). Surface properties of fungi mycelium alters soil infiltration and soil water repellency in a $\gamma$ sterilized wettable and repellent soil. Fungal Biology 116:1212-1218. Minor modifications have been made for consistency.
stimulation of native fungal species could be explored as a suitable remediation strategy for SWR. Fungal strains selected for this study were previously characterized for fungal hydrophobicity (Chau et al., 2009). The suitability for inoculation in field must take into account fungal pathogenicity and virulence.
7.2 Abstract
Soil water repellency (SWR) has a drastic impact on soil quality resulting in reduced infiltration, increased runoff, increased leaching, reduced plant growth and increased soil erosion. One of the causes of SWR is hydrophobic fungal structures and exudates that change the soil water relationship. The objective of this study was to determine whether SWR and infiltration could be manipulated through inoculation with fungi. The effect of fungi on SWR was investigated through inoculation of three fungal strains (hydrophilic-*Fusarium proliferatum*, chrono-amphiphilic-*Trichoderma harzianum* and hydrophobic-*Alternaria* sp.) on a water repellent soil (WR-soil) and a wettable soil (W-soil). The change in SWR and infiltration was assessed by the water repellency index and cumulative infiltration respectively. *F. proliferatum* decreased the SWR on WR-soil and slightly increased SWR in W-soil, while *Alternaria* sp increased SWR in both the W-soil and the WR-soil. Conversely *T. harzianum* increased the SWR in the W-soil and decreased the SWR in the WR soil. All strains showed a decrease in infiltration in W-soil, while only the *F. proliferatum* and *T. harzianum* strain showed improvement in infiltration in the WR-soil. The ability of fungi to alter the SWR and enmesh soil particles results in changes to the infiltration dynamics in soil.
7.3 Introduction
Soil water repellency (SWR) is a worldwide issue that affects soil quality, resulting in reduced water infiltration, increased runoff, leaching of nutrients and pesticides, reduced plant
available water and increased soil erosion (Bauters et al., 1998; Doerr et al., 2000; Rillig, 2005). SWR may be beneficial through contribution to water stable aggregates; this has a positive influence on soil structure and carbon storage (Piccolo and J.S.C., 1999; Spaccini et al., 2002). SWR is primarily caused by hydrophobic compounds coating the mineral surfaces of soil particles (Diehl and Schaumann, 2007). There are many factors further exacerbating SWR including soil moisture, organic matter, fire, soil texture and microorganism interactions (Rillig, 2005). In addition, fungal biomass and exudates are also known to increase SWR. This phenomenon can be seen in the highly localized water repellency of fairy rings caused by basidiomycetous fungi (York and Canaway, 2000).
Hallett and Young (1999) found that stimulating the microbial biomass with nutrients can greatly enhance repellency in soils. As well, Feeney et al. (2006) reported a strong relationship between fungal biomass and SWR. Furthermore, Hallett et al. (2001a) selectively inhibited either fungi or bacteria on a sandy soil with biocides to separate the influence of each group on SWR. Inhibition of fungal growth decreased the development of SWR after 10 days of incubation in a nutrient amended soil. By inhibiting bacterial proliferation, SWR was greatly enhanced, possibly because bacteria can degrade hydrophobic compounds and/or the native fungi experienced less competition (Hallett et al., 2001b). Research to date into sandy soils has identified fungi as the dominant microbial group that causes water repellency, while bacteria may decrease repellency (Roper, 2004). However, certain fungal strains do not express hydrophobic wetting properties; instead they express hydrophilic wetting properties (Unestam and Sun, 1995). Little is known about how these wetting properties from fungi can alter SWR.
Hydrophobins, a recently discovered class of small amino acids which is a ubiquitous protein found in filamentous fungi (Wessels, 1996) has created interest in its connection to SWR.
Linder (2009) found that the increase in hydrophobic wetting properties is related to the amount of hydrophobins produced on fungal surfaces. Rillig et al. (2010) was the first to report a causal relationship between the growth of Arbuscular mycorrhiza fungal mycelia and SWR. This relationship is due to the presence of a hydrophobin-related protein; glomalin. They both speculated the hydrophobins and glomalin-related soil proteins (GRSP) on fungal surfaces might be the cause of the increased SWR (Rillig, 2005). However, conflicting evidence suggests that hydrophobins and GRSP in some fungal strains does not necessarily confer hydrophobic wetting properties (Feeney et al., 2006). As such, the cause of SWR due to fungi remains inconclusive. However, characterization of water repellency from fungal wetting properties as a whole (Chau et al., 2009) and its effect on SWR may give a better indication on the role that fungi play in SWR (Spohn and Rillig, 2012).
The objective of this study was to determine whether SWR and infiltration in soil could be manipulated through inoculation with fungi. Three extensively researched species capable of exhibiting varying wetting properties were investigated, namely, *Alternaria* sp., *Trichoderma harzianum* and *Fusarium proliferatum* (Chau et al., 2009). I hypothesized that the wetting properties of fungi are a main determinant of SWR and that a change in the surface property of the soil will result in a change in SWR and infiltration behavior.
### 7.4 Materials and Methods
#### 7.4.1 Fungal Cultures
Cultures of *Alternaria* sp. SMCD (Saskatchewan Microbial Community Database) 2122, *Trichoderma harzianum* SMCD 2166 and *Fusarium proliferatum* SMCD 2241 were maintained on potato dextrose agar (PDA) (Difco Laboratories, Detroit, MI) plates (39 g potato dextrose agar in 1 litre distilled H$_2$O) at 22.5 °C (room temperature) in darkness. The wetting properties
of the fungal surface mycelium for *Alternaria* sp. *T. harzianum* and *F. proliferatum* were determined by measuring the water droplet contact angle on growing PDA cultures following the procedure proposed by Chau et al. (2009). Fungi from an active growing culture were inoculated on the center of the slide PDA media. The slides were replicated three times. The slides were then incubated in the dark at 22 °C until complete coverage of the slide media was obtained. Contact angles of 5 water droplets of 10 µL were measured across the slide. In addition, *Alternaria* sp., *F. proliferatum*, and *T. harzianum* were also tested for wetting properties using the alcohol percentage test (APT) as described by Chau et al. (2010). A series of aqueous ethanol solutions were prepared in 5% increments starting from 0 % to 100 % ethanol (Chau et al., 2010). Ethanol solutions (4 µl) were applied on the surface of fungal colonies. Three droplets were assessed on three replicates of fungal cultures with a time interval used for infiltration of less than five seconds. *Alternaria* sp. had contact angles of 122°±1 and an alcohol percentage value of 50%, therefore it was classified as hydrophobic, while *F. proliferatum* had contact angle of 0° and thus classified as hydrophilic. *Trichoderma harzianum* had contact angles that ranged from 61-117°, and was classified as chrono-amphiphilic (change in wetting properties with time). *T. harzianum* and *F. proliferatum* could not be measured using the APT due to having contact angles below 90°, which resulted in an APT reading of 0%.
### 7.4.2 Soil Water Repellency
The soils for this study were taken from a study area located in the Canadian Boreal Forest Regions, within the Central Mixed wood sub region (Natural Regions Committee, 2006). This area is characterized by a continental boreal climate with long and cold winters and short cool summers. The average annual precipitation is 455 mm, with mean daily temperatures of
-18.8°C in January and 16.8°C in July (Environment Canada, 2002). Approximately 20% of the land in the region is comprised of coarse textured glacial fluvial and eolian deposits on which Brunisolic soils (Inceptisols) have developed. These soils support a variety of ecosite types described by Beckingham and Archibald (1996) and are of critical importance for reclamation practices of the Athabasca Oil Sands industry. Ecosites are classified ecological units developed under similar environmental conditions (climate, moisture, and nutrient regime) (Beckingham and Archibald, 1996). The poor water storage property of these coarse textured soil materials with the additional concerns of SWR makes reclamation of these ecosites difficult. However, mitigating the influence of SWR on soil will improve the outcome of these reclamation scenarios (Müller and Deurer, 2011).
Laboratory experiments were performed on coarse textured, Brunisolic, sandy soil materials typical of this region. Two sandy soils were selected from sites previously observed to show the presence of SWR by Hunter et al. (2011). The first site, (ALFH) was a constructed of 0-10 cm of LFH (litter, fermentation and humus) overlaid onto 10-100 cm peat mineral mix soil located on a southeast facing complex slope of a saline sodic overburden. The second site (CPA) was a disturbed open pit mining site, which was comprised of Brunisolic soils typical of the region. Soil texture was determined using a Laser Scattering Particle Size Distribution Analyzer (Horiba LA - 950, Horiba Instruments Inc., Irvine, CA) after air-drying and sieving to 2 mm. Total C and N contents were also determined using a LECO CNS-2000 analyzer (LECO Corp., St. Joseph, MI). To test for SWR in the soil initially, contact angles were determined using the sessile drop method and the Low Bond Axisymmetric Drop Shape Analysis (Bachmann et al., 2000; Stalder et al., 2010). The soil from the first site (57°04'N, 111°30'W) was coarse-textured (93% sand, 5 % silt and 2% clay), nutrient poor (carbon 0.96 g g\(^{-1}\), nitrogen 0.05 g g\(^{-1}\)) and had a
WDPT (water drop penetration time) after 2 hrs with an initial contact angle of $128^\circ \pm 2$. This soil would be classified as extremely water repellent (WR-soil) based on the description from Bauters et al. (2000). The soil from the second site selected ($57^\circ 19'N$, $111^\circ 32'W$) was also coarse textured (98% sand, 2% silt and 0% clay) and nutrient poor (Carbon 0.08 g g$^{-1}$, Nitrogen 0.015 g g$^{-1}$), however it was found to be non-water repellent due to instantaneous infiltration of water droplets (WDPT=0) and with an initial $0^\circ$ contact angle. Therefore, this soil was classified as wettable soil (W-soil) (Bauters et al., 2000).
### 7.4.3 Preparation of Soil for Inoculation
The soils were air-dried for a week and were subsequently sieved through a 2 mm sieve to remove any large debris and plant material. The soils were then subject to gamma sterilization using $\gamma$-irradiation (562.32 Gy/hr for 3 days and 5 hours) in sealed polyethylene cylinders (Trevors, 1996). After irradiation, the soils were frozen to decrease the change in soil prior to experimentation and were maintained under sterile conditions (Trevors, 1996). Serial dilutions were performed on irradiated soils and no colony forming units were present on LB (lysogeny broth) and PDA media incubated at 30°C and 23°C in the dark respectively. Soil was loosely packed into glass petri dishes with dimensions of 5.3 cm diameter x 1.3 cm height for fungal inoculations.
### 7.4.4 Preparation of Fungal Inocula
Two fungal plugs (1 cm x 1cm) from each of the three strains from actively growing plates were aseptically transferred to separate 100 mL of potato dextrose broth (PDB) (24 g of Difco PDB in 1 litre of distilled water) solutions. Uninoculated 100 mL PDB served as controls. The fungal cultures were incubated for 7 days (23°C, in darkness and 250 revolutions per minute (RPM) on an orbital shaker). After 7 days, fungal suspensions were filtered through sterile
cheese cloth to remove the spent media, and the fungal mass was weighed. Weighted fungal mass of 1.6 grams was transferred to sterile 50 mL Falcon tubes (Falcon Plastics, Los Angeles, California). Additionally, fresh PDB with sterile glass beads was added to falcon tubes. The tubes were then vigorously agitated by shaking and using the vortex until a uniform suspension of fungal mycelia was obtained. The suspension was then filtered through a layer of sterile cheese cloth to remove the glass beads. The fungal suspension was then aseptically transferred to a 150 mL conical flask and PDB was added to make the final concentration of fungus/PDB (1.6 g 80 mL\(^{-1}\)). Five mL of PDB-fungal suspension (*Alternaria* sp, *T. harzianum* and *F. proliferatum*) was applied to the soil. Un-inoculated PDB solutions served as controls. The procedure discussed above was repeated for inoculation of the WR-soil. In addition, 5 mL of distilled water was mixed into the WR-soil, to increase soil above its critical water content (water content at which soil changes from repellent to wettable) (Dekker and Ritsema, 1994) and facilitate wetting of the soil fungal suspension. Without increasing the water content of WR-soil prior to inoculation, the fungal suspension would not infiltrate the soil surface and colonize the soil. Addition of water does not change the characteristics of SWR in our soils as drying the sample prior to experimentation resulted in reestablishment of SWR. Each inoculation was replicated three times with five sampling times, giving a total of 18 inoculated soils for each two soil conditions (wettable and water repellent). Soils were then incubated in a closed plastic chamber in the dark at 25°C with a relative humidity of 80-85%. The W-soil was tested on days 0, 3, 5, 7 and 21, while the WR-soil was tested on day 0, 6, 12, 18, 21. The WR-soil was tested at different days as fungal colonization was slower in the WR soil as compared to the W-soil. Soils were taken out and subsequently dried at 45°C for 24 hrs to maximize SWR and provide
uniform water content between all the samples before the infiltration measurement (Hallett and Young, 1999).
7.4.5 Water Repellency Index
To obtain the small scale hydraulic properties, a miniaturized infiltrometer (Fig. 16) was constructed, modified from the design of Leeds-Harrison et al. (1994). The infiltrometer tip had a contact radius of 2 mm, which is standard for typical miniaturized infiltrometers. The design consisted of glass tubing, a 250 mL plastic bottle and a 200 uL plastic pipette tip cut to 2mm verified with a digital calliper under a conventional stereo microscope. Porous sponge (Leeds-Harrison et al., 1994) and fibers used by Hallett et al. (2004) were not suitable as ethanol caused the cellulose to harden and not allow adequate liquid flow through the tip and also did not restrict the air entry. Instead the tip was modified by affixing nylon mesh to the end of the infiltrometer using cyanoacrylate (superglue) adhesive. The nylon mesh had an air entry value of about -3.0 cm (-3 to -3.2 kpa) water pressure head. This worked best as it did not impede liquid transport and it restricted the air entry (Hallett et al., 2004). The amount of liquid entering the soil was measured by recording the weight loss in reservoir as a function of time. The infiltrometer was set at 2 cm pressure head to minimize the influence of macropores. Cumulative infiltration from both 95% ethanol and water was plotted against the square root of time ($t^{1/2}$) to obtain the early time infiltration curve. Early time sorptivity was determined for both liquids by using the formula, described by Philip (1954) (Eq. 7.1);
$$I = St^{1/2} \quad \text{Eq. 7.1}$$
where, $I$ is the cumulative infiltration, (L T$^{-1}$), for each measured pressures, $S$ is sorptivity, (L T$^{-1}$), of infiltrating liquid and $t$ is the time, (T).
Fig. 16. Miniaturized infiltrometer to measure the infiltration of two liquids (water and 95% ethanol) in a small circular surface area. Caption: modified infiltrometer tip using nylon membrane affixed to 200 ml pipette tip. Inner diameter measures 2 mm.
Sorptivity values determined from water and 95% ethanol infiltration into soil from early time infiltration curve were used to determine the change in SWR. Water repellency index (RI) was determined by (Eq. 7.2):
\[
RI = 1.95 \left( \frac{S_E}{S_W} \right)
\]
where \( S_E \) and \( S_W \) are the sorptivity measurements of 95% ethanol and water, respectively. (Tillman et al., 1989). The constant, 1.95 accounts for the differences in the liquid’s surface tension and viscosity. An RI value that is greater than one implies the presence of SWR in soil.
7.5 Results and Discussion
Uninoculated W-soil showed no initial water repellence (RI=1) and no change in RI during the 21 day period of incubation (RI=1) (Fig. 17a). The uninoculated WR-soil showed
high initial water repellence (RI>1000) and no change in RI as a function of time (Fig. 17b). WR-soil had at least 1000 times (1000x) higher RI than W-soil (Fig. 17). The inoculated WR-soil showed more dense colonization on the top of the soil than W-soil. Moreover, visible mycelia growth was found later on the inoculated WR-soil, compared to the W-soil. The WR-soil was initially wetted, so that inoculation with the fungal suspension could occur. This led to temporary removal of SWR, which allowed for penetration of the fungi suspension into the soil. Re-establishment of SWR was evident after a drying event (Fig. 17b). There was no change to SWR as wetting the soil only altered the water content during the inoculation and incubation of the soil.
Fig. 17. Plot of the water repellence index as a function of time (days) for incubation of 3 strains of fungi and the control on a) wettable soil, and b) water repellent soil. Errors bars represent the standard error of the mean. (● Alternaria sp.-hydrophobic, ■ F. proliferatum-hydrophilic, ◦ T. harzianum-chrono-amphilic and △ control-uninoculated soil)
Water repellent characteristics of a soil inoculated with fungus are drastically affected by the fungal wetting properties, due to growth of the fungi around the soil particles (particle enmeshment) (Tisdall, 1994; Degens, 1997; Tisdall et al., 1997). *F. proliferatum* was classified to be hydrophilic due to $0^\circ$ contact angle on the surface mycelium. After day 21 the RI value of *F. proliferatum*-inoculated W-soil was 10 times (10x) that of the uninoculated W-soil (Fig. 17a). In the WR-soil, inoculation of *F. proliferatum* decreased RI by 100 times (100x) after 21 days of incubation compared to the control. Using fungal strains to manipulate SWR might be effective in remediating extremely water repellent soils (Hallett et al., 2006).
*Alternaria* sp. was classified as hydrophobic with contact angles of $122^\circ \pm 1$ and APT value of 50% on the surface of the mycelium. The *Alternaria* sp. in the W-soil increased the RI after 21 days of incubation. This increase in RI was 1000 times (1000x) greater than uninoculated W-soil (Fig. 17a). The inoculated *Alternaria* sp soil showed an increase by 2 times (2x) in RI in WR-soil compared to the uninoculated WR-soil (Fig. 17b). As the wetting properties of fungi are a main determinant of fungal derived-SWR, the repellency in this inoculated soil would never increase past levels observed on the fungal surface. The increase in SWR caused by hydrophobic fungal strains will have implications in water transport in soil, as increases in SWR are associated with preferential flow, runoff, erosion and decreased water storage (Morales, 2010). Hydrophobic fungi may be used as a bio-barrier Kim (2004) or bioclogging agent (Seki et al., 1998) to change the water flow characteristics by changing the repellency of certain type of soils. Furthermore, low levels of repellency may also slow down water movement (through altering soil hydraulic properties) (Hallett et al., 2004) in soil, therefore increasing water residence time for plant uptake. This is particularly useful in sandy soils where drainage and water retention properties are a major limiting factor.
The chrono-amphiphilic strain, *T. harzianum* changes its wetting properties as a function of time with contact angles from 61-117° (Chau et al., 2009). The most interesting results from this fungal strain, is that it’s wetting properties also changes depending on the nutrient conditions it is under. *T. harzianum* strain increased the RI by 1000x at 21 days of incubation in W-soil (Fig. 17a). As well, the *T. harzianum* strain decreased the RI 100x at 21 days incubation in WR-soil (Fig. 17b.). Such a dynamic organism can possibly survive under both flooding and desiccation situations. The possibility of using *T. harzianum* for manipulating or remediating SWR should be examined further as this organism is also found to be useful as a bio-control agent (Grondona et al., 1997).
At 21 days of incubation, we observe the largest change in the RI for all the strains under both soil types. Cumulative infiltration at 21 days was higher for the W-soil than for the WR-soil (Fig. 18). Fig. 18a depicts the change in the cumulative infiltration (mm) as function of time (sec) from *F. proliferatum*, *Alternaria* sp, *T. harzianum* strains and uninoculated control on W-soil after 21 days of incubations. All strains showed a decrease in cumulative infiltration as compared to the uninoculated control (Fig. 18a). The smallest decrease in cumulative infiltration was found for the *F. proliferatum* inoculated sample, followed by the *T. harzianum* and the *Alternaria* sp. inoculated sample. Although *F. proliferatum* was classified as hydrophilic, some impedance to infiltration was observed. However, this was not to the same extent from the two more repellent strains. Due to colonization and enmeshment of soil particles from fungal mycelia, the sizes of pores would decrease resulting in a decrease in hydraulic conductivity and thus infiltration into soil is reduced (Ritz and Young, 2004). As such we can conclude fungal inoculation, irrespective of their wetting properties, will alter the infiltration in soil that is not repellent.
Fig. 18. Plot of cumulative infiltration as a function of time from 21 days of incubation for 3 strains of fungus and the control on a) wettable soil, and b) water repellent soil. (● Alternaria sp.-hydrophobic, ■ F. proliferatum-hydrophilic, ◦ T. harzianum-chronoamphilic and △ control-uninoculated soil)
The change in the cumulative infiltration (mm) as function of time (sec) from *F. proliferatum*, *Alternaria* sp, *T. harzianum* strains and uninoculated control on WR-soil after 21 days is shown in Fig. 18b. Cumulative infiltration in the uninoculated control in the WR-soil was drastically less than the control W-Soil. *F. proliferatum* and *T. harzianum* both showed increase in cumulative infiltration as compared to the uninoculated control (Fig. 18b). However, *Alternaria* sp showed a decrease in the cumulative infiltration (Fig. 18b). The improvement in infiltration and water absorption in the WR-soil suggest enmeshment and colonization of fungi with hydrophilic wetting properties on the soil surface.
Using fungal strains to manipulate SWR (improving infiltration) might be effective in remediating extremely water repellent soils. However this bioremediation would require surfactants for the fungus to penetrate the soil as illustrated by our prewetting to reach the critical water content in our WR-soil. Also, some fungal strains have hydrocarbon degrading capabilities (Hallett et al., 2006). The use of them synergistically to degrade pollutants and then remediate the SWR caused by the pollutant may be a possible novel approach to improving soil hydrology in hydrocarbon contaminated soils. However the ability of fungi to enmesh water repellent soil and thus alter the SWR is not the mechanism that is occurring in these soils. Degradation of hydrophobic compounds in these hydrocarbon contaminated sites results in decrease in SWR related to the decrease in quantity of hydrophobic compounds. The shortcoming of this is a particular strain with the ability to degrade the hydrocarbon contaminants also increases the water repellent property of soil. This is mainly due to a fungal strain exhibiting its own hydrophobic wetting properties (Hallett et al., 2006). For the fungal strain to grow and uptake contaminants, some degree of hydrophobic interactions must occur.
It would be beneficial to select strains that have hydrocarbon degrading qualities as well as hydrophilic wetting properties.
Soil water repellency is commonly considered detrimental to soil quality, however the presence in soils around the world suggest a beneficial role not yet realized. Subcritical (low level) repellency is known to decrease the saturated hydraulic conductivity and increase the residence time of water due to bioclogging and decreasing the effective water conducting porosity (Morales et al., 2010). Further studies should encompass the role that fungi play in soils which have subcritical SWR (White et al., 2000).
7.6 Conclusions
This is the first demonstration of fungal effects on SWR and infiltration as a function of the wetting properties of the fungal strain added. The ability of fungi to enmesh soil particles and fill pore spaces allows for the alteration of SWR and infiltration. Under these conditions, the use of fungal strains to decrease the repellency can be proposed. However, in our setup, we focused only on the effect of fungal strains on $\gamma$-sterilized sandy soil. Further testing should be done to assess the interacting effect between strains from native species in a water repellent soil. Additionally further testing of these strains under stress and limited nutrient conditions should be performed, as the wetting properties in fungi might change due to sporulation.
8. SYNTHESIS AND CONCLUSION
Soil water repellency causes reduced infiltration, reduced soil water storage, enhanced runoff, increased preferential flow, and reduced ecosystem productivity. Improving the water dynamics in water repellent soils is difficult due to inconsistency in measurements, understanding in water flow through repellent soil and some of the causes of SWR. Although the presence of SWR has been documented in many soils (Doerr et al., 2000), the issue of water repellent pores has yet to be examined. Pore properties including tortuosity, surface roughness, discontinuity and dead end pores can impede water flow through soil, however less is known about the effect of SWR in soil pores.
Fungi are a major contributor to SWR, however there is a lack of knowledge of which fungal strains has the ability to cause SWR. Most studies focus on the ability of fungi to decrease SWR through decomposition of hydrophobic organic matter in soil (White et al., 2000; Feeney et al., 2006). Few studies examined the surface property as an indicator of fungi ability to cause SWR. Water contact angles are a direct and simple approach for characterization SWR and fungal surface properties (Unestam, 1991). However due to roughness of the surface of soil and fungi, water contact angles are often obscured and hard to measure (Busscher et al., 1984; Krishnan et al., 2005). With advances in contact angle measurements (Stalder et al., 2010), new fitting schemes have been developed to fit contact angle on obscured surfaces such as fungi and soil. Alternative surface tension measurements have been developed to measure water repellency on soil (Roy and McGill, 2002; Lamparter et al., 2010). Utilizing different concentrations of ethanol solutions with different surface tension and measuring the lowest concentration of ethanol solution that resist wetting, provides an indication of water repellency in soils. Extending
this method further and applying on fungal surface for characterization of fungal hydrophobicity would be useful.
Previous management strategies to remediate water repellency in soils such as clay addition, surfactant treatment and intensive use of irrigation are unfeasible due to lack of clay material, toxicity of surfactants, and cost and access to water (Franco et al., 2000; Ritsema and Dekker, 2003; Hallett, 2008; Müller and Deurer, 2011). Hydrophobic fungal structures and exudates have been known to be a major contributor in changing the soil water relationship in natural soils (Unestam, 1991; Unestam and Sun, 1995; Sun et al., 1999). Effective characterization of fungal strains that may cause and suppress SWR has not been examined to date. The surface property of fungi is one of the mechanisms in which fungi can change the water repellency in soil.
The research presented in this dissertation addresses knowledge gaps on the characterization of SWR, understanding the causes of SWR and its effect on conducting porosity and infiltration. The objectives of this research was to understand the relationship between severity, persistence and CWC in water repellent soils, effect of SWR on pores and conducting porosity, to develop and modify methods for classification of fungal strains that cause SWR and to determine the effects of fungal hydrophobicity on SWR and infiltration in soil.
8.1 Summary of Findings
Soil water repellency is a key issue faced by farmers and land managers throughout the world. The issue with SWR measurement is there is little literature on the dynamic properties of SWR (Beatty and Smith, 2013). Often the measurement technique will influence the results. In addition, measurement techniques only focus on the severity or persistence as indication of the presence of repellency. Furthermore severity and persistence are done at one antecedent moisture content and this will likely influence the results of the measurement due to change in water
content with time. Since SWR is a dynamic property affected by soil water content, our objective was to examine the severity as a function of persistence and as a function of water content (Chapter 3). The results demonstrate that severity is not always related to persistence in both an extremely repellent and subcritical repellent soil. Contact angles were not strongly correlated with WDPT and were not statistically significant ($r = 0.37$, $p > 0.05$) (Chapter 3). This is due to the nature of the hydrophobic material causing repellency in these soils. This also suggests that the role SWR plays in hydrological processes is more complex than what was previously thought (Chapter 3). For example, a soil with a high severity of SWR but low persistence would result in more runoff on slope and less infiltration (Cerdà and Doerr, 2007), but will subsequently become wettable, negating the influence of the water repellency. Differences between severity and persistence would be important when determining runoff scenarios considering the magnitude and frequency of the rainfall events (Beatty and Smith, 2013). The difference between contact angle and WDPT is due to wetting mechanism occurring at the surface of soil particles. Contact angles formed on the soil surface are caused by the difference in surface energy between water, soil surface and air. Although a soil surface may have a large surface energy compared to water, the rate at which surface energy changes is dependent on the composition of hydrophobic coating on the soil surface (Chen and Schnitzer, 1978). As such comparison between the severity and persistence measured by contact angles and WDPT between soils are much more complex considering they measure different properties for determination of SWR. In natural, reclaimed and agricultural soils, a high severity (Contact angle) of repellency does not necessarily denote long persistence (WDPT) or high CWC. Measurement of severity and persistence are related to the differences and changes in surface energy between water and the soil surface respectively. Although the CWC gives the water
content at which above it SWR is negligible, the trend between contact angle and increasing water content proved to be more informative. The trends show how repellency changes as a function of water content (Fig. 7). A more rapid decrease in repellency (measured by contact angle) with increases in water content would indicate less severe repellency even though the initial severity may be high (Fig. 7a, 7b). A slow decrease or persistent repellency at low water contents would indicate more severe repellency in a site (Fig. 7c, 7d). As water content increases such as after a rainfall event, the soil will approach its critical water content. The expression of repellency is important to determine as the soil increases in water content. If the soil does not reach the critical water content, soil infiltrability in the soil matrix will be reduced, with an increased chance of preferential flow and runoff causing decrease in soil water storage in soil profile.
Additionally, it was found that the severity of repellency is not necessary related to critical water content as some of soils with high severity of repellency had low CWC (Table 2). Furthermore soils with low severity of repellency were also found to have high critical water content. This is most likely due to the composition of hydrophobic compound causing the repellency. Hydrophobic compounds in soils with high CWC indicate that the difference between the surface tension from water and the soil surface at low water contents is persistent. However when water is present and the soil reaches the CWC, the particles reorientate rapidly making the effect negligible and making SWR manageable (Doerr et al., 2000; Lehrsch and Sojka, 2011). While hydrophobic compounds in soils with lower initial severity and high critical water contents have more complex organic compounds which take substantially longer time to reorientate when subject to wetting. The complex nature of compounds that cause repellency
further complicates measurement as differences in amount and type will determine the severity, persistence and CWC of repellency in the soil (Horne and McIntosh, 2000).
As the soil water content increases, the severity and persistence of SWR decreases. This phenomenon will influence the water flow in certain pores. Understanding how repellency affects water flow in certain pores is important (Chapter 4). This study revealed that ethanol infiltration through tension infiltrometer can be used to determine the intrinsic conducting porosity (unaffected by surface properties) in water repellent soils. The obtained intrinsic conducting porosity is much higher than that from water conducting porosity if the soil is water repellent. We also determined how RI varies under different pressure heads. RI values obtained under different pressure heads are different due to all pore size ranges tested showing some degree of repellency. This suggests that pores that will be filled with water in wettable soils under certain pressure, are not being filled under the same pressures at equilibrium due to water repellency in water repellent soils (Beatty and Smith, 2013). This would also suggest that water retention in soil would be affected by water repellency since some pores are not being filled under certain pressure conditions. The effect of RI on the water conducting porosity is related to how many and how much of each equivalent pore is filled under a certain pressure head to the total liquid flux. Large diameter pores contribute more to the liquid flux than smaller sized pores. As a result a high RI in the macropores in contrast to high RI at the mesopore ranges will result in a decrease in the water conducting porosity. The determination of the RI under different pressure heads gives a better indication of how SWR will affect water flow through different pore diameters. The RI under -3 cm of pressure was more representative of the total repellency in the soil as more contributing diameter pores to the water flux were included in the measurement. A high RI affecting larger diameter pores has more influence on the conducting porosity due to
the contribution to the total liquid flux. To accurately determine the actual conducting porosity in soil, SWR must be taken into account. Additionally, determining RI using a tension which includes the pore diameters that contribute more to the total liquid flux would give a better indication of the role repellency plays in soil water transport.
One issue with measuring contact angles for determining water repellency in soils and hydrophobicity of fungal strain is surface roughness. This surface roughness is due to rough particle surfaces soil and the mycelia of fungi. How can we measure which fungal strains have the ability to change the SWR in soil? Firstly our objective was to develop a method to accurately characterized repellency on fungi surfaces (Chapter 5). Fungal cultures were grown on agar slide media and contact angles were measured utilizing a modified microscope and digital camera setup, with advanced imaging software for contact angle determination. Contact angles were observed in hydrophobic, hydrophilic and a newly created Chrono-amphiphilic class containing fungi taxa with changing hydrophobicity. Our study proposes a more efficient method for monitoring fungal hydrophobicity, taking into account variations in environmental factors influencing fungal surface properties. Therefore, this novel method is particularly important for understanding fungal ecological functions, which are closely related to surface properties and affect the SWR.
A method was developed using different concentration of ethanol solutions with different surface tension to measure the spread on soil surface or infiltration as indication of the severity (Roy and McGill, 2002). The objective of this study was to examine if the contact angles measured on fungal surface is related to the percentages of alcohol droplets (Chapter 6). This method would be suitable for measurement of fungal culture with large aerial mycelia which would obscure the view CA on fungi. APT and contact angle measurements were conducted on
nine hydrophobic and two hydrophilic fungal strains from the phyla of Ascomycota, Basidiomycota and Zygomycota. There was a strong positive correlation ($R^2=0.95$) between the APT test and contact angle measurements from eight out of the nine hydrophobic stains (four pathogenic and mycotoxigenic *Fusarium* taxa, one melanosporaceous biotrophic taxon, *Alternaria* sp., *Penicillium aurantiogriseum*, and *Cladosporium cladosporioides*). Hydrophilic control strains, *Mortierella hyalina* and *Laccaria laccata* had contact angles $< 90^\circ$ and no measurable severity of hydrophobicity using the APT method. This study has shown that the APT method is useful for analyzing the degree of hydrophobicity of hydrophobic fungal strains through a comparison of CA measurements on the fungal surfaces. APT measurements were also useful for characterization of different zones of hydrophobicity on the same culture. This will aid in providing a better understanding of the expression patterns of hydrophobicity in zones of colour changes and aged growth due to different morphological, chemical, or metabolic reasons. Given the advantages of the APT method such as the reproducibility and simplicity, it should be considered as one of the methods for quantifying the degree of hydrophobicity on fungal surfaces.
In terms of management scenarios, application of surfactants to reclaim repellent soils are costly and may have a negative impact to the environment (Franco et al., 2000; McKenna et al., 2002; Ritsema and Dekker, 2003; Hallett, 2008; Müller and Deurer, 2011). In Chapter 7 we examined the use of fungal strains or the stimulation of fungal strains to change the SWR in soil. The objective of this study was to determine whether SWR and infiltration could be manipulated through inoculation with fungi. The effect of fungi on SWR was investigated through inoculation of three fungal strains (hydrophilic-*Fusarium proliferatum*, chrono-amphiphilic-*Trichoderma harzianum* and hydrophobic-*Alternaria* sp.) on a water repellent soil (WR-soil) and a wettable
soil (W-soil). The change in SWR and infiltration was assessed by the RI and cumulative infiltration respectively. This is the first demonstration of fungal effects on SWR and infiltration as a function of the wetting properties of the fungal strain added. The ability of fungi to enmesh soil particles and fill pore spaces allows for the alteration of SWR and infiltration. The measured surface properties of fungi determined the level of SWR in the soil and affected the infiltration rate. Under these conditions, the use of fungal strains to decrease or to change the repellency in soil can be proposed.
8.2 Future Research
Soil water availability for plants is one of the key issues facing reclaiming disturbed landscapes in the Athabasca Oil Sands Region of Canada due to the dominance of coarse textured soils, organic soils and hydrocarbons. A major limiting factor to soil water availability is the presence of soil water repellency. The work presented in this dissertation will aid in improving reclamation practices to maximize soil water availability to plants by mitigating and understanding SWR in these soils. We proposed effective characterization of the severity and persistence of water repellency and CWC must be done to accurately determine the influence on soil water availability. To better understand water flow in repellent soils, determination of what pores sizes are influenced by SWR and how SWR influences the conducting porosity is also important. Since soil water repellency is dependent on many inter-related and dynamic factors including soil organic matter content, hydrocarbon concentration, fungi and plant exudates, fire, and water content (Doerr et al., 2000), examination of the causes of SWR is important to understand how they relate to degree and persistence of SWR and provides us with more information on factors to consider when determining the implications of SWR. As well, research
into the causes of SWR will also aid in management and remediation practices of severely repellent sites.
The hydrological implications of SWR are closely related to the soil hydraulic properties; hydraulic conductivity and soil water retention characteristics. In order to assess the hydrological implications of SWR, it is important to gain more insights about the relationship between SWR and hydraulic properties. Yet, investigations of a direct, causal link between SWR and hydraulic properties are mainly restricted to the laboratory scale or single methods to evaluate SWR (Bauters et al., 2000). However, in recent studies of SWR, it has become increasingly apparent, that the use of only one method to assess the SWR is not sufficient (Chapter 3) (Bachmann et al., 2003). A few studies exist which examine the effect of SWR on the soil hydraulic properties. Bauters et al. (1998) conducted infiltration experiments on artificially hydrophobized materials and reported that the water entry pressures increased according to the degree of SWR reaching a positive value for the extremely water repellent materials. In contrast drainage curves showed that only the non-repellent sand was different compared with the artificial hydrophobic mixtures. Czachor (2006) determined drainage and infiltration water saturation curves of various soil types with different degrees of SWR. It was shown that in the case of drainage the effect of SWR is less pronounced than in case of infiltration. Lamparter et al. (2010) examined the effect of SWR on the water saturation curves for initially dry materials using artificially hydrophobized sand. For the same pressure head value, less water was taken up by the dry materials for a higher degree of SWR. Although there are a few studies which examine the effect of SWR on soil hydraulic properties, they are limited to classical hydraulic properties measurements.
Measurement of soil hydraulic properties using water can be difficult and may lead to erroneous results because of different water contents present at an equal capillary pressure in
water-repellent soils compared with completely wettable soils (Bauters et al., 2000; Beatty and Smith, 2013). Additionally, the water phase in water repellent soils might be discontinuous, leading to decreased water infiltration rates (Chapter 4). SWR is not a static soil property. It changes with water content and the time the soil has been in contact with water (Chapter 3) (DeJonge et al., 1999). The changing wettability with time complicates the measurement of soil hydraulic properties (Clothier et al., 2000).
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Table A.1. P values from t-tests comparing the severity of soil water repellency between sites.
| | SV 27 | CPA | SV10 | SV 30 | SV26 | ALFH | SS | AE1 | AE2 | SCB | ATS | Melfort | Goodale |
|-------|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|---------|
| SV 27 | 1.0000 | 0.1004 | 0.0009 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0034 | 0.0001 | 0.0001 | 0.0138 | 0.0252 |
| CPA | 1.0000 | 0.0005 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0047 | 0.0001 | 0.0001 | 0.0278 | 0.1114 |
| SV 10 | 1.0000 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.1950 | 0.0008 | 0.0055 | 0.0022 | 0.0010 |
| SW 30 | | 1.0000 | 0.0720 | 0.0284 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0140 | 0.0133 | 0.0001 | 0.0001 | 0.0001 |
| SV 26 | | | 1.0000 | 0.5212 | 0.0022 | 0.0001 | 0.0001 | 0.0001 | 0.0007 | 0.0011 | 0.0001 | 0.0001 | 0.0001 |
| ALFH | | | | 1.0000 | 0.0316 | 0.0135 | 0.0001 | 0.0038 | 0.0030 | 0.0001 | 0.0001 | 0.0001 | 0.0001 |
| SS Trial | | | | | 1.0000 | 1.0000 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 |
| AE1 | | | | | | 1.0000 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 | 0.0001 |
| AE2 | | | | | | | 1.0000 | 0.0001 | 0.0001 | 0.0008 | 0.0353 | 0.0133 | |
| SCB | | | | | | | | 1.0000 | 0.4295 | 0.0001 | 0.0001 | 0.0001 | |
| ATS | | | | | | | | | 1.0000 | 0.0001 | 0.0001 | 0.0001 | |
| Melfort | | | | | | | | | | 1.0000 | 0.1950 | | |
| Goodale | | | | | | | | | | | 1.0000 | | |
Table A.2. P values from t-tests comparing the persistence of soil water repellency between sites.
| | SV 27 | CPA | SV 10 | SW 30 | SV 26 | ALFH | SS Trial | AE1 |
|-------|---------|---------|---------|---------|---------|---------|----------|---------|
| SV 27 | 1 | 0.0358 | 0.4806 | 0.0001 | 0.0086 | 0.0015 | 0.9889 | 0.0111 |
| CPA | | 1 | 0.0073 | 0.0001 | 0.0004 | 0.0001 | 0.0029 | 0.0001 |
| SV 10 | | | 1 | 0.0001 | 0.0015 | 0.0001 | 0.1114 | 0.0001 |
| SW 30 | | | | 1 | 0.0001 | 0.0001 | 0.0001 | 0.0001 |
| SV 26 | | | | | 1 | 0.6311 | 0.0031 | 0.0985 |
| ALFH | | | | | | 1 | 0.0001 | 0.0066 |
| SS Trial | | | | | | | 1 | 0.0001 |
| AE1 | | | | | | | | 1 |
Fig. B.1. Soil particle size distribution for five natural jack pine ecosite.
Fig. B.2. Soil particle size distribution for five disturbed/reclaimed sites.
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Rotational flows over obstacles in the forced Korteweg-de Vries framework
Marcelo V. Flamarion*
Received, Mar. 27, 2021
Accepted, May. 26, 2021
How to cite this article:
Flamarion MV. Rotational flows over obstacles in the forced Korteweg-de Vries framework. Selecciones Matemáticas. 2021;8(1):125–130. http://dx.doi.org/10.17268/sel.mat.2021.01.12
Abstract
In this work we investigate rotational waves resonantly excited by a submerged obstacle in a sheared shallow water channel with constant vorticity. In the weakly nonlinear, weakly dispersive regime, the problem is formulated in the forced Korteweg-de Vries framework. We compute the solution of the initial value problem for this equation numerically using a Fourier pseudospectral method with integrating factor. The water surface is initially taken at rest, and once the current is turned on, waves are immediately generated in the free surface. We identify the main effects of sheared current in the generated waves such as rotational solitary waves propagating upstream and sharp crested waves being generated.
Keywords . Gravity waves, Solitary waves, KdV equation, Shear flow.
1. Introduction. In order to investigate problems in hydrodynamics, we usually need an external force to model the propagation of a water wave, i.e., a mechanism that produce waves [10]. Physically, the external force usually models two types of problems: waves generated by a moving disturbance in the bottom of a channel or a distribution of pressure moving along the free surface. There are several application problems in these scenarios, we mention atmospheric flows encountering topographic obstacles, flow of water over rocks [2], ship wakes and ocean waves generated by storms [8].
When the flow is irrotational, the waves generated due to a current-topography interaction are governed by two parameters, namely, the amplitude of the external force and the Froude number defined as
\[ F = \frac{U_0}{\sqrt{gh_0}}, \]
where, \( U_0 \) is the velocity of the uniform stream, \( g \) is the acceleration of gravity and \( h_0 \) is the undisturbed depth of a shallow water channel. In the weakly nonlinear, weakly dispersive regime the forced Korteweg-de Vries (fKdV) can be used as model to study near-critical flows (\( F \approx 1 \)) produced by external forces with small amplitudes. Several authors have studied flow over obstacles in the fKdV framemork. This topic is broad and therefore it is hard to give an overview of contributions. For the interested reader, we mention a few articles and references therein from which the bibliography may be useful. The first study reported using the fKdV as a model to study flow over obstacles was done by Wu and Wu [13], later in [1, 5, 12, 9], and more recently by Ermakov and Stepanyants [3].
In the near-resonant regime, the generated waves have complex patterns which propagates upstream and downstream away from where the obstacle is located. These flows are undesirable since the generated waves may cause problems in applications, such as the erosion of waterway banks and energy loss through wave drag on a ship. In the supercritical regime (\( F > 1 \)), the flow is mainly characterized by the formation of a dominant elevation wave stationed exactly above the obstacle, while a smaller transient wave train moves downstream. The steady state is reached when the transient wave train sheds. In subcritical case (\( F < 1 \)), the flow is featured by a periodic wave train propagating downstream and a small transient
*UFRPE/Rural Federal University of Pernambuco, UACSA/Unidade Acadêmica do Cabo de Santo Agostinho, BR 101 Sul, 5225, 54503-900, Ponte dos Carvalhos, Cabo de Santo Agostinho, Pernambuco, Brazil (email@example.com).
wave moving upstream. The steady state corresponds to an upstream surface elevation with a downstream periodic wave train.
The Korteweg-de Vries in the presence of a background flow was first introduced by Johnson and Freeman [7]. However, the authors did not consider the presence of an external force in their formulation. Only recently, a nonuniform bottom and a moving distribution of pressure was taken into account the fKdV framework [4]. Using asymptotic analysis for the full Euler equations, Flamarión et al. [4] deduced a fKdV-type equation that can be used to model rotational flows over obstacles. In this work, the authors showed that mathematically the effects of pressure and topography are the same, and used the obtained fKdV to validate a numerical method for the full Euler equation.
In this work we investigate numerically the rotational flow over an obstacle in a shallow water channel with constant vorticity in the fKdV framework. We focus on the effects of the vorticity on the generated waves. To the best of our knowledge there are no articles on rotational generated waves in the fKdV framework. From our numerical experiments, we identify that in the critical regime rotational sech$^2$-type solitary waves propagate upstream, and this waves become sharper as the current gets stronger in the bottom. In the supercritical regime, an elevation wave arise exactly over the obstacle and its amplitude increases when the current is strong in the bottom of the channel. Moreover, sharp crested waves are observed in the wave train that propagates downstream in the subcritical regime.
This article is organized as follows. In section 2 we present the mathematical formulation of the rotational fKdV equation. The numerical methods are presented in section 3, the numerical results in section 4 and the conclusion in section 5.
2. The rotational forced Korteweg-de Vries equation. We consider a two-dimensional incompressible flow of an inviscid fluid with constant density in a sheared shallow water channel with constant vorticity in the presence of gravity force and a submerged obstacle.
In the weakly nonlinear regime, the dimensionless fKdV equation
$$-2I_{31}\zeta_t - 2I_{31}f\zeta_x + 3I_{41}\zeta\zeta_x + J_1\zeta_{xxx} = h_a(x), \tag{2.1}$$
can be used as a model to describe the flow over disturbances with small amplitudes [4]. Here, $\zeta(x,t)$ is the free-surface displacement over the undisturbed surface and $h$ is the submerged obstacle. The coefficients in (2.1) are given by the formulas
$$I_{31} = \frac{\Omega + 2\gamma(\Omega)}{2\gamma'(\Omega)^2(\Omega + \gamma(\Omega))^2}, \quad I_{41} = \frac{1}{3} \frac{\Omega^2 + 3\Omega\gamma(\Omega) + 3\gamma'(\Omega)^2}{\gamma(\Omega)^3(\Omega + \gamma(\Omega))^3}, \quad J_1 = \frac{1}{3\gamma'(\Omega)^3}, \tag{2.2}$$
where
$$\gamma(\Omega) = -\frac{\Omega}{2} + \frac{\sqrt{\Omega^2 + 4}}{2},$$
$\Omega$ is the vorticity parameter and
$$U(y) = \Omega y + \gamma(\Omega) + \epsilon f, \tag{2.3}$$
is the sheared current of constant vorticity ($\omega = -\Omega$). $f$ is a constant, and $\epsilon$ is a small positive parameter. The fKdV is obtained through asymptotic analysis from the dimensionless full Euler equations. In the full Euler model, the bottom of the channel is $y = -1$, and $y = 0$ is the undisturbed surface. The flow is defined as supercritical, subcritical or near-critical depending on whether $f > 0$, $f < 0$ or $f \approx 0$.
The coefficients of (2.1) are functions of the vorticity parameter. We point out that the nonlinearity term never vanishes, and it increases as the absolute value of $\Omega$ increases. Besides, the dispersive term decays to zero as $\Omega \to -\infty$. Thus, in this limit the fKdV equation (2.1) approaches the Burgers equation, and the waves may break. These coefficients as a function of $\Omega$ are depicted in Figure 2.1.
When the bottom is flat ($h_x = 0$) a traveling solitary wave solution for (2.1) is
$$\zeta(x,t) = A \text{sech}^2(k(x - ct)), \quad \text{where} \quad c = f - \frac{2J_1}{I_{31}}k^2, \quad A = \frac{4J_1}{I_{41}}k^2, \tag{2.4}$$
and the unforced linearized equation (2.1) is
$$\zeta_t + f\zeta_x - \frac{J_1}{2I_{31}}\zeta_{xxx} = 0. \tag{2.5}$$
Therefore, linear waves with wavelength $\lambda = 2\pi/k$ propagates with phase speed
$$c(k) = f + \frac{J_1}{2I_{31}}k^2.$$
In particular, steady linear waves only exist if
\[ k = \sqrt{-\frac{2I_{31}}{J_1} f}. \]
Since \( I_{31}, J_1 > 0 \), steady waves only exist when the flow is subcritical (\( f < 0 \)). Figure 2.2 displays the linear phase speed for \( f = 0 \) and different values of \( \Omega \). It is possible to see that when the current is weaker at the bottom (\( \Omega > 0 \)), these linear waves travel slower. Furthermore, in the supercritical regime, linear waves always travel downstream. However, in the subcritical regime waves can propagate downstream as well as upstream depending on their wavelength.
### 3. Numerical methods
The fKdV equation (2.1) is solved using a Fourier pseudospectral method with an integrating factor. It avoids numerical instabilities due to the higher-order derivative term. We consider a periodic computational domain \([-L, L]\) with a uniform grid with \( N \) points and step \( \Delta x = L/N \). The derivatives in \( x \) are performed spectrally using the Fast Fourier Transform (FFT) [11]. Moreover, the time advance is computed through the classical Runge-Kutta fourth-order method (RK4) with time step \( \Delta t \). The sensitivity of a similar numerical method with respect to \( N \) and \( \Delta x \) was tested in [4]. The authors showed that the solution is accurately captured by different discretizations. Thus, for convenience, we set the following parameters: \( L = 1000 \), \( N = 2^{13} \), and \( \Delta t = 0.01 \). The initial data is always taken at rest (\( \zeta_t(x, 0) = 0 \)) and the bottom topography is modelled by the localised obstacle
\[
h(x) = \frac{e^{-x^2}}{\sqrt{\pi}}.
\]
Although \( h \) is not periodic, \( h \) decays exponentially to zero as \( |x| \to \infty \); therefore, for large values of \( L \), we can approximate the boundary conditions by periodic conditions.
### 4. Numerical results
We start our discussion considering the critical regime. In the absence of vorticity, it is well known that solitary waves are generated propagating upstream, and a wave train downstream.
When the current is no longer constant, we observe that rotational solitary waves are generated periodically upstream and an oscillatory wave train downstream. We compute the amplitude of the leading solitary wave propagating upstream and compare it to the $\text{sech}^2$-type solitary waves defined in (2.4) and find that they agree very well. A particular case is depicted in Figure 4.1. Although the pattern of the generated waves are qualitatively similar to the irrotational problem, we point out a few differences. First, when the current is stronger at the bottom of the channel ($\Omega < 0$), waves are generated more frenetically upstream as well as downstream, and their crests are sharper. On the other hand, when the current is stronger close to the surface, waves are slowly generated and their crest become smoother. These features can be seen with more details in Figure 4.2.
Now we consider the supercritical regime. In this case we see that the amplitude of the resonant wave with the topography increases when the shear current is stronger at the bottom. Besides, these waves become crested sharper. The steady state is reached when the transient propagating downstream shed. Figure 4.3 (left) displays a typical solution of equation (2.1) in the supercritical regime. As we can see in Figure 4.3 (right) the amplitude of the steady wave decreases with $\Omega$. It is as the problem somehow becomes more linear for large values of $\Omega$.
Lastly, we analyse the subcritical regime. In this case, waves are generated upstream and a train of waves downstream. When the current is stronger at the bottom, waves propagate faster and their crest are sharper. The corresponding steady solution is an elevation surface on the left of the topography and a steady wave train downstream.
These results help us understand some important features in the full model. For instance, Flamarion et al. [4] found numerical evidences that the generated waves due to a current-topography interaction may break at early times when $\Omega$ is negative. Although the fKV model cannot capture wave breaking, we find that in this case, the generated the waves become sharp crested, which indicates that they may break in the full model.
Figure 4.3: Left: Typical supercritical generated wave for $f = 0.75$ and $\Omega = -0.5$. Right: The amplitude of supercritical waves with $f = 0.75$ as a function of $\Omega$.
Figure 4.4: Left: generated waves in the subcritical case for $f = -0.5$ and $\Omega = -0.5$. Right: generated waves in the subcritical case for $f = -0.5$ and $\Omega = 0.5$.
5. Conclusions. In this paper we have investigated rotational flows over a submerged obstacle. The problem was formulated using the rotational fKdV framework. Through a pseudospectral numerical method, we investigate how the sheared flow affects the generated waves. Qualitatively, the flow is still governed by the amplitude of the obstacle and the small the Froude number. Although the patterns of the generated waves are similar to the ones observed in the irrotational problem, some aspects such as the generation of rotational solitary waves, sharp crested waves arise. In particular, the formation of sharp crested waves indicate that solution of the full Euler model may break at early times. In the critical regime we compared the generated upstream waves with sech$^2$-type solitary waves and found that they agreed well. In the supercritical regime, when the current is stronger in the bottom of the channel, the amplitude of the elevation wave over the obstacle is higher. Besides, in the subcritical regime the wave train that propagates downstream becomes sharp crested when the current is stronger in the bottom of the channel.
6. Acknowledgements. The author is grateful to IMPA-National Institute of Pure and Applied Mathematics for the research support provided during the Summer Program of 2020 and to Federal University of Paraná for the visit to the Department of Mathematics.
ORCID and License
Marcelo V. Flamarion https://orcid.org/0000-0001-5637-7454
This work is licensed under the Creative Commons - Attribution 4.0 International (CC BY 4.0)
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F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
The Executive Administrator is the agency’s chief executive officer, reporting directly to the Board. The Executive Office delegates authority for specific program areas to five Deputy Executive Administrators, the Chief Financial Officer and the General Counsel, as depicted in the agency’s organizational chart and described elsewhere in this section. In addition, within the Executive Office, the Director of Governmental Relations and Director of Policy Integration & Federal Coordination report directly to the Executive Administrator. All of these positions are part of the Executive Administrator’s Leadership Team.
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
Executive
| Funding Source | Amount |
|-------------------------|------------|
| General Revenue | $249,115 |
| Federal Funds | 219,834 |
| Appropriated Receipts | 19,094 |
| **Total** | **$488,043** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
The Office of State-Federal Relations (OSFR) in Washington, D.C., performs services similar to the Policy Integration & Federal Coordination Division. OSFR serves as a liaison between the Governor, state legislature, and Texas congressional delegation. OSFR monitors legislation and interacts with congressional offices on priority issues for the state, which currently do not include water issues. The Policy Integration & Federal Coordination Division performs similar duties, with a much more specific focus on water resources issues and programs. The Policy Integration & Federal Coordination Division is often called on to provide specific input on draft legislation and appropriations related to water resources policy and funding. The Policy Integration & Federal Coordination Division also coordinates federal
communications with various regional and national water organizations to ensure a cohesive message where appropriate.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
As mentioned above, the Policy Integration & Federal Coordination Division coordinates its federal outreach with regional and national water organizations, including the Texas Water Conservation Association, Western States Water Council, Interstate Council on Water Policy, Council for Infrastructure Financing Authorities, and Alliance for Water Efficiency. In addition, where applicable, the Executive Office coordinates with other state and federal agencies on water policy and funding.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
The Executive Office works closely with a broad range of governments, from local to federal levels. The Executive Office interacts directly with municipalities, water districts, river authorities, state and federal agencies, and the executive and legislative branches of Texas and federal government.
K. If contracted expenditures are made through this program please provide:
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
FY 2008 expenditures: $5,500
Number of contracts: 1
The only contract for this area was for peer review services for the Internal Audit section. These services are obtained periodically to ensure best practices. This contract requires a report and presentation to the Board to fulfill the required services.
L. What statutory changes could be made to assist this program in performing its functions? Explain.
Eliminating out-of-state travel limitations for business conducted in Washington, D.C.
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
None.
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable
Legal Services
A. Provide the following information at the beginning of each program description.
| Name of Program or Function | Legal Services |
|-----------------------------|----------------|
| Location/Division | 1700 North Congress Avenue
Stephen F. Austin Building, 5th Floor
Austin, Texas 78701 |
| Contact Name | Kenneth L. Petersen, General Counsel |
| Actual Expenditures, FY 2008| $566,663 |
| Number of FTEs as of August 31, 2008 | 7.00 |
B. What is the objective of this program or function? Describe the major activities performed under this program.
The objective of the Legal Services Division is to provide legal advice and representation to the TWDB Board members and staff in the areas of financial assistance, water planning, water policy, natural resources, environmental compliance, legislation, tort claims, human resources, contracting and purchasing, real estate, ethics, open records, open meetings, and rulemaking. This includes, but is not limited to, preparing and reviewing documents, researching and preparing formal and informal legal opinions, representing the agency on interagency working groups, drafting and reviewing regulations and policies, and working with the Office of the Attorney General regarding agency litigation and contested matters.
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
Although the day-to-day activities of the Legal Services Division include a number of matters that are not easily counted (see, B, above), the following are a few statistics that reflect the work of the Legal Services Division.
- In FY 2008, assisted with the application review and loan process for the Clean Water State Revolving Fund (CWSRF) program, which resulted in 19 loans closed, totaling $93,634,236. Assisted with the application review and loan process for the Drinking Water State Revolving Fund (DWSRF) program, which resulted in 30 loans closed, totaling $426,735,000. Also assisted with the application review and loan process for state programs, resulting in 35 loans closed, totaling $119,445,00.
In FY 2009, provided legal advice and assistance pertaining to funds received as part of the American Recovery and Reinvestment Act which solicited over 726 CWSRF program projects and 800 DWSRF program projects. The Legal Services Division is assisting with the application review and loan process for the DWSRF program for approximately 34 projects identified as eligible for American Recovery and Reinvestment Act funding. The division is also assisting with the application review and loan process for the CWSRF program for approximately eight projects identified as eligible for funding through the American Recovery and Reinvestment Act.
Developed and proposed/adopted 261 new rules or rule amendments and 23 miscellaneous documents in FY 2008 and 133 new rules or rule amendments and 30 miscellaneous documents in FY 2009.
Worked with the Office of the Attorney General in defending six lawsuits pending against the TWDB in FY 2008 and FY 2009. Assisted the Office of the Attorney General in pursuing lawsuits.
Responded to four complaints filed with the Equal Employment Opportunity Commission (EEOC) in FY 2008 and one complaint filed in FY 2009.
Responded to approximately 50 open records requests in FY 2008 and 153 open records requests in FY 2009.
Prepared bill analyses for over 400 bills during the 81st Texas Legislature.
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
Prior to 2005, there existed a Legal Services Division and a separate section titled “Administration and Northern Legal Services” within the division of Project Finance and Construction Assistance. In 2004 or 2005, reorganization occurred, budgets were consolidated, and the attorneys working in the Project Finance and Construction Assistance Division became part of the Legal Services Division. The functions performed by these attorneys also moved to the Legal Services Division. The primary impacts of the consolidation of the functions performed by the attorneys was (1) the elimination of strict lines separating attorneys’ job duties and (2) the availability of a single source for legal services. This also provides an opportunity for cross training.
The Legal Services Division is currently part of the Executive Office. The division consists of a General Counsel, a Deputy General Counsel, seven staff attorneys, a program specialist, and two executive assistants. The program specialist serves as the agency open records coordinator and as the primary coordinator for bill analyses and review. The executive assistants provide administrative support to and staffing for agency Board meetings.
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
The Legal Services Division provides legal services and advice internally to the entire agency. The types of legal services vary depending on the issues that arise within the agency. A breakdown of the services provided by the Legal Services Division is as follows:
- Financial Assistance (project finance and construction planning): 45 percent
- Water Science and Conservation: 20 percent
- Water Resources Planning and Information: 15 percent
- Claims and lawsuits against the TWDB: 5 percent
- General government and agency operations: 15 percent
F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
The General Counsel reports to the Executive Administrator. The staff attorneys, program specialist, and executive assistants report to the General Counsel. The following is the Legal Services Division organization chart:
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
Legal Services
| Funding Source | Amount |
|---------------------------------------|----------|
| General Revenue | $321,146 |
| Agricultural Water Conservation Fund | 1,217 |
| Federal Funds | 170,591 |
| Appropriated Receipts | 73,709 |
| **Total** | **$566,663** |
Sunset Advisory Commission 58 September 2009
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
There are no other programs, internal or external to TWDB, that provide services that are identical or similar to the functions of the Legal Services Division. The Office of the Attorney General represents the TWDB in civil litigation. Other state agencies have legal divisions, and private law firms provide legal services to some governmental bodies. However, given the broad and unique nature of the TWDB’s mission, no other program provides services that are identical or similar to the services provided by the TWDB Legal Services Division.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
Although there is little risk of duplication or conflict, the Legal Services Division seeks to ensure coordination with other agencies to increase efficiency. For example, the TWDB participates in the State Agency Coordinating Committee Legal Subcommittee. The TWDB’s attorneys and program specialist participate in periodic meetings of agency public information coordinators. In addition, the TWDB attorneys are members of various state and local bar groups.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
The Legal Services Division works with entities seeking loans and grants from the TWDB, including but not limited to cities; counties; local and special districts created under Section 52, Article III or Section 69, Article XVI, Texas Constitution; groundwater districts, other political subdivisions of Texas; any interstate compact commission to which the state is a party; and any nonprofit water supply corporation created and operating under Chapter 67.
The Legal Services Division also supports agency staff in water science and conservation and water planning issues, including groundwater. This might include interacting with the groups involved in these issues, such as local governments, special and local districts, regional water planning groups that have been designated by the TWDB, and groundwater management areas.
The Legal Services Division supports the work of other TWDB divisions in their routine work with other agencies, including but not limited to the following: (There are incidental projects and issues that might require limited coordinated and communication with another state or federal entities. These are not included here.)
- Office of the Governor on American Recovery and Reinvestment Act matters related to the American Recovery and Reinvestment Act and reporting and general government issues
- The Texas Commission on Environmental Quality, the Texas Department of Rural Affairs (formerly the Office of Rural Community Affairs), the Secretary of State’s Office, the Health and Human
Services Commission, and the U.S. Environmental Protection Agency on CWSRF and DWSRF and state loan and grant programs
- Federal Emergency Management Agency on flood mitigation planning issues
- U.S. Geological Survey
- The Comptroller’s Office, the Texas Facilities Commission, the Texas State Library and Archives Commission, and the Department of Information Resources on general government issues
- The Attorney General’s office on claims and litigation, as well as public information matters
- The Texas Workforce Commission and federal Equal Opportunity Commission regarding claims of discrimination. Other TWDB divisions may also be very involved in such matters, but the Legal Services Division is the lead division for such contacts.
K. If contracted expenditures are made through this program please provide:
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
FY 2008 expenditures: $42,053
Number of contracts: 2
The Legal Services Division entered into an outside counsel contract for intellectual property rights, including legal advice and services related to trademark rights. Legal Services also entered into a contract for expert engineering consulting services in preparation for litigation. The staff attorney assigned to these issues and who works most closely with the contractor reviews each invoice for work prepared and consistency with the contract. All invoices are also approved for payment by the Office of the Attorney General, in accordance with their procedures. In addition to review by program staff, contract administration staff review invoices to ensure that submissions are proper and correspond to contract requirements.
L. What statutory changes could be made to assist this program in performing its functions? Explain.
Judicial remedies to enforce specific covenants and obligations in bonds and other securities, including loan and grant agreements, executed or issued by financial assistance applicants, may be extended or more clearly specified in statute, as discussed in greater detail in Section IX, Policy Issues ("Adequacy of Judicial Remedies").
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
Not applicable.
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable.
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable.
Water Science and Conservation provides the scientific expertise required to analyze and supply objective information on the water resources of Texas as well as provide technical assistance for water conservation activities. With a staff that holds 17 Ph.D.’s, 10 registered professional engineers, and 22 registered professional geoscientists, Water Science and Conservation provides these functions through four primary programs:
- Conservation
- Surface Water Resources
- Groundwater Resources
- Innovative Water Technologies
**Conservation**
- Promotes conservation strategies in regional and statewide water resources planning
- Reviews, plans and annually reports water conservation plans, which are required to receive financial assistance from the TWDB
- Assists water suppliers with developing water conservation plans and water loss audits
- Provides technical assistance to implement water conservation best management practices
- Provides technical and financial assistance to implement agricultural conservation programs
- Provides water conservation education, literature, outreach, and public awareness programs
**Surface Water Resources**
- Provides data collection and analytical studies to determine freshwater inflow needs to maintain the health and productivity of Texas’ bays and estuaries
- Provides data collection and analytical studies to determine the conditions in Texas’ rivers and streams necessary to support a sound ecological environment
- Provides data collection and analysis to determine reservoir volumes and sediment accumulation
- Evaluates the availability of surface water for water and wastewater infrastructure projects submitted to the TWDB for financial assistance
• Provides modeling studies to determine the amount of water available to meet the multiple needs for water in Texas
**Groundwater Resources**
• Monitors wells and springs in all major and minor aquifers to determine water levels and ambient water quality and assess changes over time
• Administers and maintains the groundwater database, which provides public information on groundwater levels, water quality, and other information concerning groundwater wells
• Reviews desired future conditions submitted by groundwater conservation districts, develops managed available groundwater estimates, and assists with reviews of petitions appealing the reasonableness of the desired future conditions
• Evaluates the availability of groundwater for water and wastewater infrastructure projects submitted to the TWDB for financial assistance
• Develops and runs groundwater flow models to support development of groundwater management plans, assists with defining desired future conditions, and calculates managed available groundwater in overall support of managing groundwater resources in Texas
• Assists groundwater conservation districts in developing their groundwater management plans and reviews these plans for administrative completeness
**Innovative Water Technologies**
• Researches, develops, and disseminates information to advance the development of innovative water management strategies, including desalination, water reuse, rainwater harvesting, and aquifer storage recovery
• Provides educational outreach on innovative water technologies
• Manages technology demonstration contracts and research studies
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
**Performance Measures**
• Number of responses for water conservation information, groundwater data, technical assistance, and educational activities provided by the TWDB staff
• Percent of communities receiving technical and/or financial assistance for water planning and conservation
• Percent of information available to adequately monitor the state’s water supplies
• Number of bay, estuary, and instream study elements completed
• Number of data units collected and/or processed by the TWDB staff in support of monitoring, investigating, and defining the state’s surface water and groundwater resources
**Key Statistics**
• Since 1985, the TWDB has developed annual irrigation water use estimates for each of the 254 counties.
• The National Research Council of the National Academies of Science positively reviewed the Texas Instream Flow Program in which the TWDB is a partner.
Since 1982, the TWDB has surveyed 128 lakes and reservoirs. The updated elevation-area-capacity tables have been used by regional water planning groups.
The TWDB currently supports 93 streamflow measurement sites and 57 lake level monitoring sites in cooperation with the U.S. Geological Survey.
In FY 2008, the TWDB staff and cooperators collected 14,074 annual water levels, 10,866 continuous recorder water levels from recorders (counted at six per month), and 834 water quality samples.
Since inception of the Groundwater Availability Modeling Program in 1999, 24 models have been developed, representing all 9 major aquifers and 10 of the 21 minor aquifers.
Hydrodynamic models have been developed for all major estuaries in Texas.
The TWDB has advanced the seawater desalination initiative from a preliminary planning level through a completed pilot plant study phase.
The TWDB has funded nine brackish groundwater desalination projects and two seawater pilot plant studies.
Continuous (hourly) measurements of water quality data have been collected in all major bays since 1986, except Sabine Lake, which began in 1990 and Laguna Madre in 1992.
Freshwater inflow studies and reports have been completed for all major bays, with the minor bays presently being studied.
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
**Conservation**
House Bill 1, passed by the 69th Texas Legislature in 1985, was the start of the current era of water conservation programs in water planning activities by the TWDB and other agencies. In 1997, Senate Bill 1 established the regional water planning process, which includes optional consideration of water conservation strategies as a means to meet future water supply needs. In 2003, the 78th Legislature approved several conservation activities, including consolidation of several existing agricultural water conservation funding programs to better use funding for grants and staff activities, development of a Water Conservation Best Management Practices Guide (TWDB Report 362) to be used by regional water planning groups and individual retail water suppliers, and requirements related to water conservation plans and water audits. The 80th Legislature authorized the TWDB to implement a statewide water conservation public awareness program.
**Surface Water Resources**
Studies of Texas’ bays and estuaries by Texas state agencies began in the late 1960s with the recognition that these downstream ecosystems are influenced by inflows and they are economically important. The earliest inflow recommendations for all of Texas’ major estuaries were developed in the late 1970s and early 1980s, culminating in a series of reports authored by the TWDB, Texas Commission on Environmental Quality, and Texas Parks and Wildlife Department. With additional data and improved models and methods, the agencies developed updated recommendations for the major estuaries in the early 2000s. Senate Bill 2, passed in 2001, created the Texas Instream Flow Program, which is administered by the three agencies and is focused on instream flow needs of entire river sub-basins. Senate Bill 3, passed in 2007, established the Texas Environmental Flows Science Advisory Committee, basin and bay area stakeholder committees, and basin and bay area expert science teams. These committees and teams are now reevaluating existing data, models, and analyses in an accelerated process to develop further updated inflow recommendations.
The hydrographic survey program was authorized in 1991 to provide accurate and affordable methods for determining current and future reservoir storage capacities.
The TWDB uses the water availability models developed in 2001 and 2004 by Texas Commission on Environmental Quality but modifies them to evaluate water management strategies as part of state water planning. The Water Availability Modeling Program provides guidelines and technical assistance for planning efforts at the regional level. These committees and teams are relying on technical and administrative assistance from the TWDB and other state agencies.
**Groundwater Resources**
Until 1988, groundwater monitoring team leaders managed four different regions in the state and determined the goals of all water level and water quality monitoring programs. After 1988, the TWDB management centralized decisions about groundwater data collection and initiated programs resulting in the annual measurement of water level depths in all counties, technological upgrades to recorder equipment, and periodic/cyclic sampling of wells (and springs) for water quality. Part of the shift to centralized data collection was the creation of a centralized, relational database for all types of information in all aquifers. After 2000, these data became available online through several avenues. These online resources frequently receive national recognition for their comprehensive nature and ease of downloading data.
Both the groundwater technical assistance and the groundwater availability modeling functions were formed and have evolved as a result of legislation. The Groundwater Technical Assistance Program started on September 1, 1997, with the implementation of Senate Bill 1, 75th Legislative Session. Initially, the section focused on assisting groundwater conservation districts in developing groundwater management plans. In the legislative sessions following the 75th Session, the requirements for developing the management plan increased, requiring the TWDB to provide additional services and review.
The Groundwater Availability Modeling Program was an outgrowth of the regional water planning process created by Senate Bill 1, 75th Legislative Session. To assist with regional planning of aquifers shared by multiple regional water planning groups, the TWDB developed a regional scale model of the Hill Country portion of the Trinity Aquifer in 2000. The program was deemed successful and, in 2001, Senate Bill 2, 77th Legislative Session, required that models of the major and minor aquifers be developed and provided to groundwater conservation districts and regional water planning groups to assist in their planning and management efforts. During the same legislative session, legislation was passed that required groundwater conservation districts to use groundwater availability modeling information in conjunction with any available site-specific information provided by the districts and acceptable to the TWDB.
Both sections have expanded further since the passage of House Bill 1763, 79th Legislative Session. This act requires that groundwater conservation districts develop desired future conditions of relevant aquifers within their boundaries. In many instances, groundwater conservation districts have sought technical assistance and groundwater modeling to assess alternative desired future conditions. Ultimately, once the desired future conditions are adopted, staff from the Groundwater Technical Assistance and Groundwater Availability Modeling sections will develop managed available groundwater numbers that will be used by regional water planning groups and groundwater conservation districts.
**Innovative Technologies**
Innovative Water Technologies was formed to address the 78th Texas Legislature’s statutory directive to the TWDB to take all necessary action to advance the development of seawater desalination supplies. In addition to seawater desalination activities, this section is also responsible for programs concerning brackish
groundwater desalination, reuse, rainwater harvesting, and aquifer storage recovery. Staff members provide information on innovative technologies for consideration when regional water plans are being developed.
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
Water Science and Conservation provides foundational information and data for other agency activities and for regional water planning groups. This involves interaction with, support of, and/or membership in numerous entities:
- Water Conservation Advisory Council
- Drought Preparedness Council
- Texas Groundwater Protection Committee and subcommittees
- Advisory Council of the Irrigation Technology Center
- Groundwater conservation districts (95)
- Regional water planning groups (16)
- Environmental interest groups
- International Boundary and Water Commission
- Texas Commission on Environmental Quality
- U.S. Geological Survey
- Bureau of Economic Geology at The University of Texas Austin
- U.S. Environmental Protection Agency
- U.S. Army Corps of Engineers
- Local municipal water districts and city water departments
- Coastal commercial and recreational fisheries
- Texas Parks and Wildlife Department
- General public
Many entities benefit from data collected and posted online by Water Science and Conservation, including governmental entities at all levels, university researchers, different divisions within the TWDB, private companies, and the general public. These data are necessary for planning, preparing special reports and studies, and contributing to general knowledge. There are no qualifications for use of the data; water resources information is always available online. For example, a person looking to drill a water well can contact our agency or visit our Web site to learn about depth to water, water quality, and expected well productivity.
Water conservation literature and educational information, both printed and on the Web, provide public awareness and educational opportunities. Water IQ is a statewide public awareness water conservation program providing information on water-efficient practices and raising awareness about the importance of water conservation.
Water Science and Conservation is divided into three divisions, along with a function to address innovative water technologies, reporting to the Deputy Executive Administrator:
- Conservation
- Surface Water Resources
- Groundwater Resources
Each division is led by a division director and divided further into sections. The responsibilities of management include performing or delegating responsibility for the following tasks:
- Facilitating, assigning, and prioritizing projects
- Completing administrative tasks including budget, performance plans, timesheets, hiring and de-hiring of staff, annual raises or merit bonuses, staff meetings, meeting reports, and oversight
- Reviewing products, such as reports and papers, to provide quality assurance
- Coordinating and developing the sections’ processes and procedures internally and externally
- Overseeing contract management
- Directing updates to Web content and Web development
- Arranging and coordinating annual technical advisory group meetings
- Serving as a source person for various work-related questions or concerns regarding the program
The following is the Water Science and Conservation organization chart:
Texas Water Development Board
Self-Evaluation Report
WATER SCIENCE & CONSERVATION
Robert E. Mice, Deputy Executive Administrator
INNOVATIVE WATER TECHNOLOGIES
CONSERVATION
MUNICIPAL WATER CONSERVATION
AGRICULTURAL WATER CONSERVATION
SURFACE WATER RESOURCES
BAYS & ESTUARIES
INSTREAM FLOWS
HYDROSURVEY
GROUNDWATER RESOURCES
GROUNDWATER AVAILABILITY MODELING
GROUNDWATER TECHNICAL ASSISTANCE
GROUNDWATER MONITORING
WATER AVAILABILITY MODELING
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Water Science and Conservation**
| Funding Source | Amount |
|---------------------------------------|------------|
| General Revenue | $5,667,946 |
| Agricultural Water Conservation Fund | 275,430 |
| Water Assistance Fund | 16,884 |
| Federal Funds | 983,028 |
| Appropriated Receipts | 1,392,755 |
| Interagency Contracts | 45,152 |
| **Total** | **$8,381,195** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
No internal or external programs provide the same identical services and functions as Water Science and Conservation; however, there are similar programs in various areas.
**Conservation**
- The Texas Commission on Environmental Quality requires water conservation plans in conjunction with a surface water right of 1,000 acre-feet or more for municipal use and 10,000 acre-feet for irrigation use, and the TWDB requires water conservation plans from all financial assistance applicants.
- Some groundwater conservation districts require irrigators to submit annual reports of irrigation water use. When available, these data are incorporated into the TWDB’s estimates of irrigation water use.
- Other entities, including the Lower Colorado River Authority, Texas AgriLife Extension Service, and several larger municipalities, also provide educational conservation materials; however, these are specific to their area.
- The Texas Commission on Environmental Quality also has a public awareness campaign titled “Take Care of Texas,” which includes energy and water conservation aspects.
- Some large regional and municipal utilities use their own specific public awareness programs, although some use Water IQ.
**Surface Water Resources**
- The Texas Parks and Wildlife Department, Texas Commission on Environmental Quality, and the Texas Department of Health also collect randomly located point measurements of salinity and some nutrient data and conduct studies on Texas’ estuaries. However, the primary focus of Texas Parks and Wildlife Department data collection is to maintain commercial and recreational fisheries, and it considers many factors other than freshwater inflows. The collection of long-term (5 to > 20 years) continuous (hourly) water quality data in Texas’ estuaries is unique to the TWDB. However, the Lower Colorado River Authority, Mission-Aransas National Estuarine Research Reserve, and Padre Island National Seashore have begun collecting similar data in their respective locales.
The Texas Parks and Wildlife Department and the Texas Commission on Environmental Quality run hydrologic, water quality, and hydraulic models, though the focus on the effects of freshwater inflows and the modeling expertise for estuaries found in the Bays and Estuaries Program are unique to the TWDB.
The National Oceanic and Atmospheric Administration, the U.S. Army Corps of Engineers, and the U.S. Geological Survey collect water velocity or flow data at limited locations in some bays, though the broad spatial coverage across all of Texas’ bays is unique to the TWDB.
The TWDB, the Texas Parks and Wildlife Department, and the Texas Commission on Environmental Quality jointly provide technical and administrative assistance to the environmental flows process, although expertise in coastal hydrology and estuarine modeling is unique to the TWDB.
The Texas Parks and Wildlife Department and the Texas Commission on Environmental Quality are partner agencies with the TWDB in the Texas Instream Flow Program. Each partner shares in data collection activities, and they are jointly responsible for characterizing aquatic ecosystems, evaluating impacts to those systems, and determining their instream flow needs. However, expertise in hydraulic and sediment transport modeling is unique to the TWDB staff.
The TWDB, the Texas Parks and Wildlife Department, and the Texas Commission on Environmental Quality jointly provide technical and administrative assistance to the environmental flows process, although expertise in hydraulic and sediment transport modeling is unique to the TWDB.
Many river authorities, cities, and private interests also subsidize the collection of river flow data through the U.S. Geological Survey. However, the statewide coverage of the TWDB-funded gages and focus on data needs for water planning is unique to the TWDB.
The National Oceanic Atmospheric Administration conducts hydrographic surveys to produce the nation’s nautical charts, though their focus is on navigation safety and in areas near the coast and offshore.
The Texas Parks and Wildlife Department, the Texas Commission on Environmental Quality, and river authorities in Texas all conduct water availability modeling analyses. However, the Texas Commission on Environmental Quality focuses on water permitting issues; the Texas Parks and Wildlife Department focuses on streamflow conditions; and river authorities conduct only regional studies, while the TWDB focuses on water availability issues and use of water strategies for the entire state.
The U.S. Geological Survey and the U.S. Army Corps of Engineers monitor reservoirs in the state, but the TWDB covers a wider range of reservoirs for the entire state and integrates and analyzes water storage conditions for all of the major reservoirs in the state.
The National Weather Service collects precipitation and some evaporation data in Texas, but the TWDB collects evaporation data at many locations that the National Weather Service does not serve. The TWDB program also provides estimated areal precipitation and evaporation data for Texas at finer geographical scale.
**Groundwater Resources**
- More than 40 groundwater conservation districts, the U.S. Geological Survey, municipal water districts, cities and municipalities, and the International Boundary and Water Commission measure groundwater levels in wells in their areas of interest or jurisdiction. They provide this information to the TWDB for inclusion in its groundwater database, and the TWDB does not measure these wells.
- Some of these entities also sample for groundwater quality through in-house, portable lab analysis of a few inorganic constituents. By contrast, the TWDB contracts with a National Environmental
Laboratory Association Program accredited lab, using U.S. Environmental Protection Agency approved methods, to analyze for 35 or more inorganic constituents and for stable and radioactive isotopes.
- Water districts and cities operating public supply wells regulated by the Texas Commission on Environmental Quality may sample and analyze for some of the same inorganic and radioactive constituents that the TWDB does, also using accredited labs; however, they analyze drinking water after treatment, primarily for bacteria and other organic compounds such as chlorination disinfection byproducts and pesticides or herbicides. The U.S. Geological Survey also conducts water quality sampling for specific projects typically involving only 30 wells and no more frequently than once a year.
- The Texas Commission on Environmental Quality has limited resources to address questions about groundwater management plan approval but handles questions on groundwater conservation district formation, collects all districts’ administrative information, and creates a statewide map of the districts they recognize. Texas AgriLife Extension Service provides educational materials on district activities and presentations to unconfirmed districts or areas considering forming a district.
- Groundwater availability models developed by the TWDB were initially used to broadly define groundwater availability for regional water planning groups and groundwater conservation districts. They are now being used to assist in establishing desired future conditions and, ultimately, determining managed available groundwater. Several local agencies (such as the Lower Colorado River Authority and the San Antonio Water System) have developed local scale groundwater models to address local scale groundwater management issues. To improve their reliability and accuracy, these local scale models depend on the TWDB groundwater availability model for data on pumping outside the immediate area of interest of the local scale model.
- Groundwater models that cover a larger scale have been developed by the U.S. Geological Survey. The U.S. Geological Survey is typically the sole source of information concerning aquifers within the boundaries of states with insufficient resources dedicated to studying and monitoring groundwater resources. The U.S. Geological Survey frequently works cooperatively with local agencies. Of particular note was their Regional Aquifer System Analysis Program, which was initiated in 1978 and completed in 1995 and covered 25 aquifer systems in the United States. The results were published in a national Ground Water Atlas. The scale of the models was considered too coarse to use for the TWDB Groundwater Availability Modeling Program.
**Innovative Water Technologies**
- There are no other state programs focused specifically on advancing the development of alternative water supplies by means of innovative technologies. A possible and notable exception, however, is the Texas Emerging Technology Fund, which seeks to expedite the development and commercialization of new technologies and, conceivably, may include water-related technologies. In contrast to this program, the TWDB’s Innovative Water Technologies programs focus exclusively on existing and proven technologies or refinements to existing technologies or processes that can result in cost savings for water utilities.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
**Conservation**
- TWDB coordinates with the Texas Commission on Environmental Quality in developing conservation plan materials and will accept a water conservation plan that satisfies the Texas Commission on Environmental Quality’s requirements.
- TWDB data is coordinated with local data on annual irrigation water use whenever possible.
- TWDB conservation literature is designed to be generic for statewide applicability.
- Water IQ is specific to water, but the Texas Commission on Environmental Quality’s program focuses on federal air and water quality standards.
- TWDB offers the use of Water IQ materials to interested parties upon completion of a usage agreement.
**Surface Water Resources**
- The Bays and Estuaries Program coordinates its long-term water quality monitoring of Texas’ estuaries by directly contracting with the Texas Parks and Wildlife Department to assist in conducting the program. Synoptic (short-term, bay-wide) studies and other types of data collection activities are also coordinated with the Texas Parks and Wildlife Department and in the past with the Texas Commission on Environmental Quality, the U.S. Army Corps of Engineers, the U.S. Geological Survey, and universities by having them directly participate in the design and execution of data collection efforts. The TWDB is aware of and has been provided biological data collected by the Texas Parks and Wildlife Department Coastal Fisheries Program, thereby preventing functional overlap.
- The TWDB, the Texas Parks and Wildlife Department, and the Texas Commission on Environmental Quality signed a memorandum of agreement in October 2002 related to instream flow studies. In December 2002, they published a Programmatic Work Plan outlining the scope, time frame, and methodology for planning and conducting priority studies. As documented in that plan, the agencies agreed to work collaboratively on all study elements. In accordance with respective agencies’ specific expertise and responsibilities in conserving fish and wildlife resources and water resources management, they selected lead agencies for activities described in the Programmatic Work Plan. The three agencies have also worked with river authorities and other local stakeholders to develop study goals, objectives, and indicators. Instream Flow staff members also serve as technical representatives on the Texas Environmental Resource Stewards forum where federal and state resource agencies discuss common issues.
- The Hydrographic Survey Program contracts with lake owners and water rights owners. Program staff members conduct extensive background research to identify any past surveys conducted on a particular lake or reservoir and who conducted the survey. The TWDB’s Hydrographic Survey program is the only known program that uses the multi-frequency sub-bottom profiler for conducting sedimentation surveys within major lakes and reservoirs in Texas.
- The TWDB’s water availability modeling activities have clear purposes that do not overlap with Texas Commission on Environmental Quality or Texas Parks and Wildlife Department applications of the model. The TWDB maintains close contact with the Texas Commission on Environmental Quality to ensure that we have the latest version of its water availability model and understand the
latest model functions. The data collection and synthesis activities of the Water Availability Modeling Program use data from the U.S. Geological Survey and the National Weather Service in addition to data collected by the TWDB to develop water resources data or reports; thus, the TWDB is aware of and does not overlap with data collection from other programs.
**Groundwater Resources**
- The Groundwater Monitoring Section has operated under informal agreements with groundwater conservation districts and the U.S. Geological Survey for decades. These organizations routinely send water level data to the TWDB annually, generally after each has finished its measuring season. The TWDB Monitoring Section personnel encourage districts to meet for informal training that ultimately is designed to promote district take-over of water level monitoring duties. The TWDB also hosts annual “Groundwater 101” workshops in which we emphasize our assistance with water level monitoring. Other periodicals, such as the monthly Aquifer Monitor email, remind recipients (representatives in all mentioned entities are included) of monitoring activities, database developments, and assistance.
- The U.S. Geological Survey and the Texas Commission on Environmental Quality also share water quality data with the TWDB upon demand. Within a more formal setting, the Groundwater Monitoring Section manager’s position as vice-chair of the Texas Groundwater Protection Committee and co-chair of its Data Management Subcommittee has ensured that all groundwater information about previous, current, and future water quality sampling projects is shared with the interested representatives of each entity. The TWDB has served as vice-chair of this state agency (as the Texas Groundwater Protection Committee is considered) since the committee’s inception in 1989. The Texas Commission on Environmental Quality routinely uses TWDB data when producing their bi-annual 305(b) report to the U.S. Environmental Protection Agency, which includes an assessment of groundwater quality in all of the state’s aquifers. Most important, to ensure that no duplication or conflict occurs, members of the Texas Groundwater Protection Committee meet quarterly and work together throughout the year on a number of publications describing monitoring activities, such as the yearly joint monitoring and contamination report.
- The TWDB and the Texas Commission on Environmental Quality have a memorandum of understanding to communicate results of management plan reviews and approvals. The TWDB sends letters to the Texas Commission on Environmental Quality once a month to update the status of overdue plans. In addition, the TWDB sends letters to indicate when districts have submitted plans for the official approval process, have officially withdrawn a plan from the approval process, or have their management plan officially approved. The Texas Commission on Environmental Quality sends the TWDB a letter whenever they have new administrative information about or action toward a district.
- To avoid duplication of modeling efforts, the TWDB has evaluated existing groundwater flow models developed from outside sources to determine their validity for being incorporated into the Groundwater Availability Modeling Program. If appropriate, the TWDB has “adopted” existing models.
- Because outside sources recognize the TWDB will only adopt groundwater availability models that meet the agency’s criteria, these groups typically request oversight or participation in their projects. The groups ask for agency collaboration so that their models will meet TWDB standards and be adopted as official groundwater availability models.
- To avoid any duplication of efforts or studies, the TWDB and the Texas office for the U.S. Geological Survey are in regular communication. The most relevant project that could be perceived as a duplication of efforts is the current regional modeling effort that includes the High Plains Aquifer, referred to as the Ogallala Aquifer in Texas. The U.S. Geological Survey has determined
that they will use existing models for the central and southern portions of the High Plains Aquifer and only develop a new model for the northern portion of the High Plains Aquifer. The TWDB has already provided copies to the U.S. Geological Survey of the groundwater availability models developed for the Ogallala Aquifer. In return, the U.S. Geological Survey will collect additional information that can be used at a later date to improve our models.
**Innovative Water Technologies**
- TWDB staff members monitor projects that are funded through the Texas Emerging Technology Fund to ensure there is no duplication of effort.
**J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.**
**Conservation**
- Staff members provide technical assistance to local and regional governments to meet requirements for water conservation plans or water loss audits or to implement water conservation activities.
- The Conservation Division provides grants to political subdivisions to implement local agricultural water conservation programs.
- Staff members receive data from the U.S. Department of Agriculture—Farm Service Agency, local groundwater conservation districts, and the Texas Commission on Environmental Quality for irrigation water use estimates.
- The Texas High Plains Agricultural Water Enhancement program operates under an agreement between the TWDB, which provides program promotion and impact analysis activities, and the U.S. Department of Agriculture—Natural Resources Conservation Service, Texas, which manages the cost-share funding provided to agricultural producers.
**Surface Water Resources**
- Several federal agencies are involved in funding studies, cost sharing, and data sharing, including the U.S. Environmental Protection Agency, the U.S. Army Corps of Engineers, the U.S. Geological Survey, the U.S. Fish and Wildlife Service, the National Weather Service, and the National Oceanic and Atmospheric Association.
- The Texas Parks and Wildlife Department and the Texas Commission on Environmental Quality cooperate on data collection, joint studies, and support of the environmental flows process.
- Technical assistance is provided to the General Land Office on the Oil Spill Program.
- Feedback and comments on water availability modeling are provided to the Texas Commission on Environmental Quality.
- Data and technical support is provided to local governments, river authorities, port authorities, and regional water planning groups.
**Groundwater Resources**
- Groundwater Resources staff provides support and assistance to local groundwater conservation districts as directed by statute. Examples of this support and assistance includes the following:
- Developing groundwater models
- Using groundwater models to develop estimates of the annual flow into and out of the district within each aquifer and between aquifers in the district
Using groundwater models and other available data and information to develop estimates of managed available groundwater based on a district’s desired future condition.
Reviewing groundwater conservation district management plans for administrative completeness
Groundwater Resources staff provides support and assistance to regional water planning groups as directed by statute, such as reporting estimates of managed available groundwater for inclusion in regional water plans.
On occasion, federal agencies such as the U.S. Geological Survey and the U.S. Department of the Interior—Bureau of Reclamation cooperate in special studies or modeling efforts.
**Innovative Water Technologies**
- Innovative Water Technologies staff provides presentations and other information to regional water planning groups and their designated consultants to assist in identifying and assessing potential water management strategies.
- Innovative Water Technologies’ outreach targets include cities, public utility boards, water supply corporations, groundwater management districts, and universities. Staff members interact with these entities in a contract management capacity if they receive TWDB grants for technology demonstration projects and/or research studies. Staff also responds to questions from representatives of these entities about technology matters and provides presentations, if requested.
- Innovative Water Technologies staff maintains close collaboration with the U.S. Bureau of Reclamation on matters related to research on advanced water treatment technologies and funding opportunities for water technology projects.
**K. If contracted expenditures are made through this program please provide:**
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
FY 2008 expenditures: $2,150,681
Number of contracts: 35
Water Science and Conservation contracts are awarded for monitoring, laboratory analysis, data analysis, and scientific studies in support of model development and enhancements. For each contract the scope of work, budget, timeline, reporting requirements, and project deliverables are documented. Scheduled progress reports are required in many of the contracts. In addition to review by program staff, contract administration staff reviews invoices to ensure that submissions are proper and correspond to contract requirements.
**L. What statutory changes could be made to assist this program in performing its functions? Explain.**
Please refer to the agency’s policy recommendations in Section IX.
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
Additional information on Water Science and Conservation programs and data that they provide via the Web can be found at:
Bays and Estuaries: [http://www.twdb.state.tx.us/data/bays_estuaries/bays_estuary_toc.asp](http://www.twdb.state.tx.us/data/bays_estuaries/bays_estuary_toc.asp)
Conservation: [http://www.twdb.state.tx.us/assistance/conservation/consindex.asp](http://www.twdb.state.tx.us/assistance/conservation/consindex.asp)
Desalination: [http://www.twdb.state.tx.us/iwt/desal.asp](http://www.twdb.state.tx.us/iwt/desal.asp)
Instream Flows: [http://www.twdb.state.tx.us/InstreamFlows/index.html](http://www.twdb.state.tx.us/InstreamFlows/index.html)
Hydrographic Survey: [http://www.twdb.state.tx.us/assistance/lakesurveys/volumetricindex.asp](http://www.twdb.state.tx.us/assistance/lakesurveys/volumetricindex.asp)
Water Availability Modeling: [http://wiid.twdb.state.tx.us/ims/resinfo/viewer.htm](http://wiid.twdb.state.tx.us/ims/resinfo/viewer.htm)
Groundwater Monitoring: [http://www.twdb.state.tx.us/GwRD/HEMON/GMSA.asp](http://www.twdb.state.tx.us/GwRD/HEMON/GMSA.asp)
Groundwater Technical Assistance: [http://www.twdb.state.tx.us/GWRD/GTA/gtahome.htm](http://www.twdb.state.tx.us/GWRD/GTA/gtahome.htm)
Groundwater Availability Modeling: [http://www.twdb.state.tx.us/gam/](http://www.twdb.state.tx.us/gam/)
Rainwater Harvesting: [http://www.twdb.state.tx.us/iwt/rainwater.asp](http://www.twdb.state.tx.us/iwt/rainwater.asp)
Water Reuse: [http://www.twdb.state.tx.us/iwt/reuse.asp](http://www.twdb.state.tx.us/iwt/reuse.asp)
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable.
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable.
Water Resources Planning and Information collects, analyzes, and disseminates water-related data and provides other services necessary to aid in planning and managing the state's water resources. It provides statewide geographic data services and flood mitigation planning, including administering federal assistance programs. With a staff that holds 23 advanced degrees (22 Masters and 1 Ph.D.) and has 3 registered professional engineers, 1 registered professional geoscientist, and 7 Certified Floodplain Managers, WRPI provides these functions through three primary program areas:
- Water Resources Planning
- Flood Mitigation Planning
- Texas Natural Resources Information System (TNRIS)
**Water Resources Planning**
- Coordinates the regional water planning process
- Develops population and water demand projections
- Compiles annual municipal and industrial water use data and information regarding water sales and purchases among users and suppliers
- Develops estimates of agricultural water use
- Evaluates the social and economic impacts of not meeting forecasted water needs
- Develops and maintains data management structures for water planning and water supply and strategy analysis
- Develops the state water plan, a comprehensive guide to the water resources in the state
- Works with state, federal, and local partners to implement water management strategies recommended in the planning process
- Administers the Regional Water and Wastewater Facility Planning grant program, which offers state funds to political subdivisions for studies to evaluate the most feasible alternatives to provide regional water supply and wastewater services for areas in Texas
- Operates the Texas Water Bank and Trust
• Reviews applications for financial assistance to ensure consistency with regional water plans and the state water plan, including approved population and water demand projections, and ensures compliance with water use survey reporting requirements
• Develops procedures to facilitate the availability and exchange of water resources data in Texas
• Provides technical support to the Water Conservation Advisory Council
**Flood Mitigation Planning**
• Serves as the state coordinator for the National Flood Insurance Program to enable communities to enroll and maintain eligibility in the program so that citizens and businesses are eligible for national flood insurance
• Administers the Flood Protection Planning Program, a feasibility level-planning grant program that provides state funds to political subdivisions to study flood problems within their watersheds and to evaluate the feasibility of structural and non-structural solutions
• Administers the Federal Emergency Management Agency’s (FEMA) Flood Mitigation Assistance Program to provide planning and project grants to develop or update flood mitigation plans and to implement flood mitigation projects
• Administers the FEMA Severe Repetitive Loss Program to reduce or eliminate the risk of flood damage to severe repetitive loss residential structures insured under the National Flood Insurance Program
**Texas Natural Resources Information System (TNRIS)**
• Organizes and manages state historical aerial photographic and mapping inventory
• Provides direct and Internet access to geographic data and maps
• Conducts training and workshops to broaden understanding and use of public geographic data resources
• Manages the Strategic Mapping Program to maintain current and accurate standard geographic base data
• Manages the National Flood Insurance Program mapping services activities to support development of digital maps for the public
• Maintains the Borderlands Information Center to coordinate development and exchange of data along the Texas-Mexico Border
• Coordinates the process for updates and changes to the Geographic Names Information System
• Supports emergency management activities through implementation of geographic information systems (GIS) and data
C. **What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.**
**Performance Measures**
• Percent of key regional and statewide water planning activities completed
• Number of active grants for regional water, wastewater, flood, and research studies funded from the Research and Planning Fund
• Number of communities assisted through Community Assistance Contacts and Community Assistance Visits
• Number of person-hours in training classes and conferences sponsored by TNRIS
• Number of strategic mapping pool
• Number of responses to requests for TNRIS-related information that are filled
**Key Statistics**
• Since 1997, the TWDB has supported the development and adoption of 16 regional water plans during two five-year planning cycles.
• Since the early 1960s, the TWDB has developed six state water plans, including two (2002 and 2007) based on the regional water planning process.
• Since 1985, the TWDB has developed county level annual water use estimates for agricultural producers (livestock and irrigation) and mining industries for each of the state’s 254 counties.
• Since 1985, the TWDB has administered a statewide Water Use Survey that today includes nearly 7,000 water utilities, manufacturers, and electric utilities. TWDB staff members collect, analyze, and publish survey data each year and maintain historical water use databases for use by internal and external customers.
• Since the 1990s, the TWDB has committed $21.6 million for almost 200 regional facility planning projects and almost $15.6 million for over 100 flood protection planning projects throughout the state.
• Since 2007 (when the TWDB assumed administration of the program), Flood Mitigation Planning staff members have conducted 68 Community Assistance Visits, over 1,000 Community Assistance Contacts, and 53 training workshops pursuant to the National Flood Insurance Program.
• In 2008, the TWDB awarded two FEMA Severe Repetitive Loss grants for a total of $26.6 million to buy out nearly 130 properties within Harris County, which represent roughly 10 percent of the Severe Repetitive Loss properties identified by FEMA statewide.
• Since 2004, the TWDB has awarded $12.8 million in funding through the FEMA Flood Mitigation Assistance Program to assist communities in implementing measures to reduce or eliminate the long-term risk of flood damage to buildings, manufactured homes, and other structures insurable under the National Flood Insurance Program.
• Since 1968, TNRIS has served as a centralized information system incorporating all Texas natural resource data, socioeconomic data related to natural resources, and indexes related to that data that are collected by state agencies or other entities.
• The TNRIS data catalog has over 1,000,000 frames of aerial photography, more than 50 unique data sets equal to 500 gigabytes, and averages 10,000 data downloads a month.
• Following the devastation of Hurricane Rita, TNRIS developed a geospatial emergency management support system to serve as a data repository for emergency management in Texas through a $1 million grant from FEMA awarded in 2007.
• TNRIS hosts the annual GIS Forum, the largest event of its kind in Texas, offering GIS and geospatial professionals the opportunity to share products, services, and knowledge and to network with nationally recognized experts in the geospatial field.
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
**Water Resources Planning**
Although the TWDB has planned for the state’s water needs since the 1950s, the process has evolved over the years in response to state legislation. The drought of 1996 led to the passage of Senate Bill 1 in 1997, which established a new water planning process that relies primarily upon regional water plans prepared and adopted by local and regional decision makers. In essence, the planning process shifted from a centralized approach to a consensus-driven, regional model. Teams of regional and local leaders of different backgrounds and various social, environmental, and economic interests, with technical assistance from the TWDB and other state agencies, provide a thorough regional assessment that can be merged into a comprehensive state water plan. This approach has produced the 2001 and 2006 Regional Water Plans, and the 2002 and 2007 State Water Plans.
Senate Bill 2, passed by the 77th Texas Legislature in 2001, addressed a number of issues that emerged during the first round of regional water planning. The bill directed the TWDB to obtain or develop groundwater availability models for major or minor aquifers in coordination with groundwater conservation districts and regional water planning groups. Senate Bill 2 also allowed the TWDB to conduct surveys of entities using groundwater and surface water to gather data to be used for water supply planning. The legislation also clarified the meaning of the designation of river or stream segments of unique ecological value.
In addition, Senate Bill 2 created the Water Infrastructure Fund to pay for the implementation of water projects recommended through the state and regional water planning processes. Although the fund was created by the 77th Texas Legislature, it did not receive any appropriations until it was funded by the 80th Texas Legislature in 2007.
In 2007, the 80th Texas Legislature passed Senate Bill 3, the third significant omnibus water bill that included a number of provisions related to water planning. The legislation established the Water Conservation Advisory Council, a panel of experts in water conservation, to provide state leadership. Senate Bill 3 also established the Environmental Flows Advisory Group and the Texas Environmental Flows Science Advisory Committee, including a process to provide for developing and adopting environmental flow regimes for the major river basins in Texas.
In addition, Senate Bill 3 provided for a process to allow for a “minor amendment” to a regional water plan. The legislation also designated sites of unique value for constructing a reservoir and stream and river sites of unique ecological value recommended in the 2007 State Water Plan. The bill also established the Study Commission on Region C Water Supply to review water demand and water supply alternatives within the Region C Regional Water Planning Area and evaluate measures to comply with regulatory mitigation requirements. Senate Bill 3 created the Legislative Joint Interim Committee to evaluate water infrastructure needs and make recommendations on any legislative actions necessary to address funding needs to support the state’s water programs. Senate Bill 3 also increased the amount of permitted withdrawals from the Edward’s Aquifer and directed the Edwards Aquifer Authority, with assistance from Texas A&M University, to develop a recovery implementation program for all federally threatened or endangered species associated with the aquifer.
Flood Mitigation Planning
The TWDB has been providing state funds for flood mitigation planning since the early 1990s. In 1994, the National Flood Insurance Reform Act created the Flood Mitigation Assistance Program, which provides FEMA funds to assist states and communities in implementing measures that reduce or eliminate the long-term risk of flood damage to buildings, manufactured homes, and other structures insurable under the National Flood Insurance Program. The TWDB first awarded grants through the Flood Mitigation Assistance Program in 2001.
In 2004, Congress authorized the Bunning-Bereuter-Blumenauer Flood Insurance Reform Act, which amended the National Flood Insurance Act of 1968 to provide funding to reduce or eliminate the long-term risk of flood damage to severe repetitive loss structures insured under the National Flood Insurance Program. The TWDB first awarded grants through the Severe Repetitive Loss Program in 2008.
In 2007, the 80th Texas Legislature transferred the administration of the National Flood Insurance Program in Texas from the Texas Commission on Environmental Quality to the TWDB. The mission of the program remains the same, but the services provided have continued to improve with the expansion of the program, which now includes staff in all five TWDB field offices (Austin, San Antonio, Harlingen, Houston, and Mesquite).
TNRIS
TNRIS was established by the Texas Legislature in 1968 as the Texas Water-Oriented Data Bank. In 1972, after four years of growth and diversification, it was renamed the Texas Natural Resources Information System. In 1997, the 75th Legislature passed Senate Bill 1, which merged the TNRIS Task Force and the GIS Planning Council into the Texas Geographic Information Council and provided funding for the Texas Strategic Mapping Program (StratMap). In 2000, TNRIS completed the Texas Orthoimagery Program, with 17,772 digital images created across Texas.
In 2001, StratMap completed its seven layers by using approximately $40,000,000 in state and matching funds, in-kind contributions, and related data. The 77th Legislature provided funds for maintaining orthoimagery, transportation, and political boundaries and for creating the National Hydrographic Dataset for Texas. Also that year, TNRIS made StratMap data available online via a Digital Data Distribution System interface.
In 2003, member agencies of the Texas Geographic Information Council and other local, regional, and federal agencies extensively employed GIS technology to assist with the Space Shuttle Columbia recovery. In 2004, TNRIS entered into agreement with the U.S. Department of Agriculture—Farm Service Agency for new statewide orthoimagery to update the data from 1995 to 1996. The Texas Commission on Environmental Quality, the U.S. Geological Survey, and the U.S. Department of Agriculture—Natural Resources Conservation Service contributed funding.
In 2006, TNRIS entered into agreements with FEMA, the International Boundary and Water Commission, and the Lower Colorado River Authority to produce very high resolution elevation data with LiDAR technology that employs an airborne laser sensor to rapidly and accurately measure elevations.
Also in 2006, TNRIS began supporting the Texas Height Modernization Program and spatial reference center, which established the elevation reference system for the state. The system is the key to producing accurate and reliable maps and is especially important for mapping areas of flooding, coastal surge impacts, and other engineering-related projects that depend on accurate data.
In 2007, the Texas Water Code was amended by the 80th Legislature to provide authority for TNRIS to include data related to emergency management. Several projects were undertaken to strengthen the capacity of the state to respond and manage emergency events. The legislature also passed the National Flood Insurance Program bill that created authority for state participation in floodplain mapping.
TNRIS partnered with the Farm Services Agency for the second time in 2008 to acquire 1-meter, multi-band imagery for Texas. The aerial products support diverse requirements, including 911 call management, air quality, facilities planning, and vegetation classification.
In 2009, the Council on Competitive Government established a new procurement process designed to strengthen Texas’ capabilities to create and maintain digital maps for government and the public. The new process, called High Priority Imagery and Data Sets, established a unified approach to digital map development and promotes coordination among state, regional, and municipal government.
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
Water Resources Planning and Information provides administrative and technical support for the 16 regional water planning groups, the Water Conservation Advisory Council, and political subdivisions in Texas that are awarded grants for regional water and wastewater facility planning and flood protection planning projects. Water Resources Planning and Information provides information and data for regional water planning groups, countless state and local governments, and businesses and citizens through historical water use data from the Water Use Survey and projected water use data from the regional water planning database and the TNRIS data catalog. This involves interaction with numerous entities:
- Water Conservation Advisory Council
- Groundwater conservation districts (95)
- Regional water planning groups (16)
- Wholesale and retail water providers
- Industrial water users
- Local governments
- River authorities and other special law districts
- Environmental interest groups
- State and federal agencies
- General public
The functions of TNRIS affect not only external customers but also internal TWDB customers, providing services necessary for a number of TWDB activities by supporting the following:
- The groundwater division by developing the groundwater availability model geodatabase to provide integrated access to all geographic groundwater datasets and by developing and deploying the Geologic Atlas of Texas.
- Groundwater monitoring by incorporating groundwater monitoring data into the development of the Texas Hydrologic Information System.
• Water availability modeling by deployment, training, and use of National Hydrography and other StratMap datasets.
• The Bays and Estuaries Program by incorporating coastal water quality data into the development of the Texas Hydrologic Information System.
• Project Finance by applying GIS analysis tools and updated census and business information to review socioeconomic factors.
• Economically Disadvantaged Areas Program by providing border-area data services and analysis, including census, transportation, and physiographic studies including elevation and watersheds.
• Flood Mitigation Planning by providing emergency management related data services, including mapping of National Flood Insurance Zones.
• The agency as a whole by applying GIS analysis tools and updated census and business information to review socioeconomic factors, by data developing and disseminating data, and by providing training and education.
F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
Water Resources Planning and Information is divided into three divisions with directors reporting to the Deputy Executive Administrator:
• Water Resources Planning
• Flood Mitigation Planning
• TNRIS
Each division is led by a division director and divided further into sections. The responsibilities of management include performing or delegating responsibility for the following tasks:
• Managing contracts
• Providing administrative and technical assistance
• Facilitating, assigning, and prioritizing projects
• Completing administrative tasks, including budget, performance plans, timesheets, hiring and dehiring of staff, annual raises or merit bonuses, staff meetings, meeting reports, and oversight
• Reviewing products, such as reports and papers, to provide quality assurance
• Coordinating and developing the processes and procedures internally and externally
• Directing updates to Web content and Web development
• Serving as a source person for various questions or concerns regarding the program
The following is the Water Resources Planning and Information organization chart:
Texas Water Development Board
Self-Evaluation Report
WATER RESOURCES PLANNING & INFORMATION
Carolyn Brittin, Deputy Executive Administrator
- WATER RESOURCES PLANNING
- REGIONAL WATER PLANNING
- WATER PLANNING RESEARCH & ANALYSIS
- ECONOMIC & DEMOGRAPHIC RESEARCH
- WATER USE SURVEYS & ESTIMATES
- WATER SUPPLY & STRATEGY ANALYSIS
- FLOOD MITIGATION PLANNING
- FEDERAL & STATE PROGRAMS
- NATIONAL FLOOD INSURANCE PROGRAM
- TEXAS NATURAL RESOURCES INFORMATION SYSTEM
- BORDER INFORMATION CENTER
- STRATEGIC MAPPING (STRATMAP)
- INFORMATION SERVICES
- DISTRIBUTION CENTER
- NATIONAL FLOOD INSURANCE PROGRAM - MAPPING SERVICES
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Water Resources Planning and Information**
| Funding Source | Amount |
|---------------------------------------|------------|
| General Revenue | $4,019,453 |
| Agricultural Water Conservation Fund | 1,805 |
| Water Assistance Fund | 35,500 |
| Federal Funds | 1,349,164 |
| Appropriated Receipts | 2,957,193 |
| Interagency Contracts | 1,115,813 |
| **Total** | **$9,478,928** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
No internal or external programs provide services and functions identical to Water Resources Planning and Information; however, there are similar programs in various areas.
**Water Resources Planning**
Although water supply planning is done at the local level by water providers, no other programs perform comprehensive water planning at the regional or state level.
**Flood Mitigation Planning**
The division works very closely with FEMA in administering the National Flood Insurance Program and the Flood Mitigation Assistance and Severe Repetitive Loss programs. FEMA administers these programs at the national level, and the TWDB serves as the state coordinator, providing services, awarding funds, and managing contracts with communities in Texas.
The division coordinates with the Texas Floodplain Management Association, a professional organization of those involved in floodplain management, flood hazard mitigation, the National Flood Insurance Program, flood preparedness, and warning and disaster recovery. The organization certifies professional floodplain managers and provides educational opportunities and professional skills to the state’s floodplain management professionals. The division also coordinates with the Association of State Floodplain Managers, a national professional organization involved in similar activities.
The division also works closely with the Governor’s Division of Emergency Management, an agency charged with carrying out a comprehensive all-hazard emergency management program for the state and for assisting cities, counties, and state agencies in planning and implementing their emergency management programs.
TNRIS
TNRIS is recognized as the state clearinghouse for geographic information. Its principal role is to develop statewide base data for use by all agencies and the public.
Other agencies acquire data specific to their programs but do not serve as a clearinghouse or referral center for data dissemination. TNRIS’ base data serves as the common geographic reference for all other mapping data used in other agencies. In its role as the clearinghouse, TNRIS maintains expertise in data and its application to a wide range of needs.
The Department of Information Resources is responsible for establishing information technology standards and rules related to managing of geographic data. This role serves to ensure interoperability of geographic data through standard technology practices.
The Department of Information Resources is also managing the transformation of selected state agencies to a centralized data center. The Department oversees the contract that provides the technology infrastructure services to the state. The data center will host agency data and represents a support function for TNRIS data dissemination services. In this arrangement, TNRIS personnel are the subject matter experts for designing and implementing GIS and are working with the Department of Information Resources to deploy systems for access by government and the public.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
Water Resources Planning
Not applicable.
Flood Mitigation Planning
The division holds regular meetings with different agencies and associations to avoid duplicating efforts. Quarterly reports are provided to FEMA to inform them of current and proposed activities. Staff members also work with the Governor’s Division of Emergency Management, as required, to address specific issues, such as Hurricane Ike in 2008.
TNRIS
- Coordination for data collection is provided by the Texas Geographic Information Council. Regular meetings and collaboration are held to communicate initiatives. Special joint funding projects are established to solicit participation in geographic data collection partnerships.
- Statewide purchasing of geographic data is administered in conjunction with the Council on Competitive Government. The Council on Competitive Government identified GIS as a state service and developed a state purchasing contract for “High Priority Imagery and Data Sets.” The responsibility for the contract places TNRIS in a key central role to receive notices for proposed projects and serve as an advisor and partner for finding additional partnerships and product needs.
- Activities related to the High Priority Imagery and Data Sets are coordinated with the Texas Geographic Information Council and other potential government entities. These activities involve sharing specifications and data, in addition to pursuing additional funding that can increase match
High Priority Imagery and Data Sets also provide the ability for agencies to contract directly with selected vendors, resulting in streamlined purchasing. This lessens the dependency for agencies to go through interagency agreements and avoids delays or conflicts in timing while still contributing to the awareness of projects and their locations.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
**Water Resources Planning**
The program works with local governments and other political subdivisions of the state to provide guidance, funding, and technical and administrative support for regional water planning and regional water and wastewater facility planning. Through the regional water planning process, the program coordinates with other state agencies in developing population and water demand projections and in developing the state water plan. The program also works with federal agencies such as the U.S. Army Corps of Engineers to facilitate the implementation of water management strategies in the 2007 State Water Plan and to enhance TWDB efforts in water data and science.
**Flood Mitigation Planning**
The program works with local governments and other political subdivisions of the state to provide funding and technical and administrative support for flood protection planning. Flood Mitigation works closely with the Governor’s Division of Emergency Management, the agency charged with carrying out a comprehensive all-hazard emergency management program for the state and for assisting cities, counties, and state agencies in planning and implementing their emergency management programs. The TWDB coordinates with the Governor’s Division of Emergency Management in assisting citizens and businesses in Texas in responding to any disaster that may result in flooding. Hurricane response has been the largest priority, and the most recent example is Hurricane Ike in 2008.
Flood Mitigation works very closely with FEMA on Community Assistance through the National Flood Insurance Program to assist communities in preparing for and mitigating flooding. The program also works with FEMA to administer the Severe Repetitive Loss and Flood Mitigation Assistance programs.
**TNRIS**
TNRIS works with a number of state and federal partners to acquire and disseminate geographic data. Main partners include these groups:
- **U.S. Geological Survey**—Federal agency with primary responsibility for national mapping programs. This agency is charged with developing the national map, a seamless digital compilation of thematic data including imagery, elevation, political boundaries, geographic names, and hydrography.
- **Data collection partnerships**
- U.S. Geological Survey regularly contributes funding for Texas mapping programs that meet national objectives
- U.S. Geological Survey coordinates components of U.S. Department of Homeland Security mapping, including imagery and critical infrastructure datasets
- **Data stewardship**
Texas coordinates stewardship of national map by adopting standards and developing best practices for maintaining digital data
- Data standards
- U.S. Geological Survey maintains national data standards through contributions made as part of the Federal Geographic Data Committee
- Geographic names coordination
- TNRIS manages the geographic names program for Texas
- Grants for special projects to support the national map
- U.S. Geological Survey provides funding for developing special mapping products and supporting technology for maintenance of the national map
- U.S. Department of Homeland Security—Principal federal agency responsible for security, preparedness, and response to security threats and disasters in the United States
- Disaster preparedness/Response coordination
- TNRIS maintains data supplied by the U.S. Department of Homeland Security for use in emergency management and response activities and combines these sources with state geographic information as required
- U.S. Army Corps of Engineers—Agency responsible for civil works projects and determination of wetlands through Section 404 of the Clean Water Act
- Technical collaboration
- Sharing data and technology requirements to support interoperability of data resources
- Disaster preparedness/Response coordination
- Support Corps of Engineers field teams that mobilize to emergency events
- Program coordination
- Provide regular communication about activities and identification of new datasets and designations
- Federal Emergency Management Agency
- Dissemination of Flood Insurance Rate Maps
- Technical collaboration—specifications for digital elevation data
- Disaster preparedness/Response coordination—data access and transmission to field offices and emergency management teams
- Program coordination alignment of technology development initiatives
- Data collection partnerships
- Source of grant funding through the Hazard Mitigation Grant Program
- U.S. Department of Agriculture—Farm Services Agency
- Data collection partnerships—responsible for key federal program to acquire imagery across the United States; primary partner for receiving StratMap data funds for statewide aerial imagery
- U.S. Department of Agriculture—Natural Resources Conservation Service
- Data collection partnerships—provides funding to StratMap
- Data management—coordination of soils mapping information
- U.S. Forest Service
- Technical coordination of map products—StratMap works to develop compatible map products
- U.S. National Park Service
- Data collection partnerships—provides funding to StratMap
- National Oceanic and Atmospheric Administration
- Technical coordination of geodetic control
• U.S. Environmental Protection Agency
o Technical coordination—digital data and interoperability
o Source of grant funding to TNRIS
• International Boundary Waters Commission
o Data collection partnerships—provides funding to StratMap
• U.S. Fish and Wildlife Service
o Data distribution—wetlands map
• Regional Councils of Government
o Data sharing
o Technical exchange
• Texas Spatial Reference Center/National Oceanic Atmospheric Administration
o Data standards coordination
• Columbia Regional Geospatial Service Center
o Data sharing
o Technology transfer
K. If contracted expenditures are made through this program please provide:
• the amount of those expenditures in fiscal year 2008;
• the number of contracts accounting for those expenditures;
• a short summary of the general purpose of those contracts overall;
• the methods used to ensure accountability for funding and performance; and
• a short description of any current contracting problems.
FY 2008 expenditures: $985,348
Number of contracts: 34
Water Resources Planning and Information contracts are executed to support water resource planning, federal flood mitigation assistance, and mapping information services. For each contract, the scope of work, budget, timeline, reporting requirements, and project deliverables are documented. In addition to review by program staff, contract administration staff reviews invoices to ensure that submissions are proper and correspond to contract requirements.
L. What statutory changes could be made to assist this program in performing its functions? Explain.
No statutory changes are recommended at this time.
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
Additional information on Water Resources Planning and Information programs be found on the following Web sites:
State Water Plan: http://www.twdb.state.tx.us/wrpi/swp/swp.htm
Regional Water Planning: http://www.twdb.state.tx.us/wrpi/rwp/rwp.htm
Planning Data: http://www.twdb.state.tx.us/wrpi/data/data.htm
Water Use Survey: http://www.twdb.state.tx.us/wrpi/wus/wus.htm
Flood Mitigation Planning: http://www.twdb.state.tx.us/wrpi/flood/flood.htm
TNRIS: http://www.tnris.state.tx.us/
StratMap: http://www.tnris.state.tx.us/StratMap.aspx
Borderlands Information Center: http://www.tnris.state.tx.us/BIC.aspx
TNRIS Education and Training: http://www.tnris.state.tx.us/Education.aspx
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable.
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable.
Project Finance
A. Provide the following information at the beginning of each program description.
| Name of Program or Function | Project Finance |
|-----------------------------|-----------------|
| Location/Division | 1700 North Congress Avenue
Stephen F. Austin Building, 5th Floor
Austin, Texas 78701 |
| Contact Name | Amanda Lavin, Deputy Executive Administrator |
| Actual Expenditures, FY 2008| $6,640,875 |
| Number of FTEs as of August 31, 2008 | 24.00 |
B. What is the objective of this program or function? Describe the major activities performed under this program.
The primary business functions of the office of Project Finance involve various aspects of making loans and granting financial assistance to customers through the TWDB’s financial assistance programs. These programs provide funding for planning, designing, and constructing customer’s water- and wastewater-related projects. The objective of Project Finance is to maximize the availability and effectiveness of the financial assistance programs accessed by political subdivisions throughout Texas, while providing the appropriate program oversight.
Project Finance provides its services through two divisions—the Program Development Division and the Project Development Division. Collectively, these divisions are responsible for the following business functions:
- Collecting, managing, and distributing information describing water and wastewater facility needs in Texas
- Marketing the TWDB’s financial assistance programs
- Conducting pre-application meetings with entities interested in TWDB financial assistance
- Reviewing work processes, rules, and procedures and making improvements to ensure efficiency and effectiveness
- Working with applicants throughout the financial assistance process to ensure that the customer’s schedules and expectations are met and that the application, closing, and construction of projects proceed smoothly and in a timely manner
- Conducting financial reviews of grant and loan applicants
- Providing project tracking and oversight
- Providing annual and interim reports to the U.S. Environmental Protection Agency regarding federally funded programs
- Managing the Clean Water State Revolving Fund (CWSRF) and the Drinking Water State Revolving Fund (DWSRF) Intended Use Plan process
- Developing and implementing new financial assistance programs
Prior to May 2009, Project Finance was combined with the office of Construction Assistance. Project Finance and Construction Assistance were reorganized into two separate units in order to provide additional focus on each area of expertise. The two offices work closely together to ensure the effective and efficient use of program funds and the timely completion of projects.
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
Project Finance manages over 20 Goal 2 performance measures related to administering the TWDB financial assistance programs.
The selected measures below reflect the effectiveness of the various programs administered.
**Output Measure 02-01-01.02 - KEY**
| Total dollars committed to projects to implement the state water plan |
|---------------------------------------------------------------|
| **FY 2008 Performance** | **FY 2008 Target** |
| $511,440,000 | $234,910,000 |
**Output Measure 02-01-03.02 - KEY**
| Number of commitments to small and disadvantaged communities |
|-------------------------------------------------------------|
| **FY 2008 Performance** | **FY 2008 Target** |
| 66 | 26 |
**Output Measure 02-01-03.03 – KEY**
| Total dollars of financial assistance committed |
|-----------------------------------------------|
| **FY 2008 Performance** | **FY 2008 Target** |
| $827,679,205 | $679,700,000 |
**Output Measure 02-01-03.04**
| Total dollars committed to small, rural, and disadvantaged community projects through agency programs targeting such communities |
|--------------------------------------------------------------------------------------------------------------------------|
| **FY 2008 Performance** | **FY 2008 Target** |
| $151,598,682 | $35,000,000 |
**Outcome Measure 02-01-03.02**
| Total dollars saved resulting from Texas Water Development Fund financial assistance |
|-------------------------------------------------------------------------------------|
| **FY 2008 Performance** | **FY 2008 Target** |
| $120,280,038 | $80,700,000 |
Two efficiency measures for FY 2008 are listed below. In these two measures, the agency performed better than target, holding administrative costs down and managing significantly higher dollars per FTE.
**Efficiency Measure 02-01-03.01 - KEY**
| | FY 2008 Performance | FY 2008 Target |
|--------------------------------|---------------------|----------------|
| Administrative cost per active financial assistance agreement. | $1,408 | $3,231 |
**Efficiency Measure 02-01-03.02**
| | FY 2008 Performance | FY 2008 Target |
|--------------------------------|---------------------|----------------|
| Total non-EDAP financial assistance dollars managed per FTE. | $64,061,641 | $44,228,834 |
The following highlights key marketing activities in FY 08:
- Developed the Economically Distressed Areas Program (EDAP) Marketing Plan with a goal to focus on strategic areas of the state to educate and provide technical assistance and awareness regarding EDAP to potential customers. Marketing efforts were focused in East Texas, North East Texas, South Texas/Coastal Bend Area, and the Brazos Region.
- Conducted six DWSRF and CWSRF workshops around the state in Bryan, Amarillo, Edinburg, Dallas, Abilene, and Odessa.
- Key activities and achievements:
- Number of marketing trips—30 in various regions of the state
- Number of outreach calls—80 (includes all program inquiries)
- Number of technical assistance calls completed—420 (all programs)
**D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.**
The primary function of providing financial assistance to political subdivisions for water and wastewater services has not changed. However, the programs and manner in which financial assistance is provided has changed to meet the needs of our customers and to ensure efficient use of the program. One such change is illustrated by the stepped financing approach in EDAP. Additional information on the financial assistance programs is included in Section XII.
**E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.**
Project Finance affects political subdivisions throughout the state through the marketing and administering the financial assistance programs. Those entities who apply for financial assistance loans and/or grants for water and/or wastewater systems are assisted through the process by Project Finance staff. The specific qualifications for the various programs are identified in Section XII.
F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
Project Finance is organized into two divisions:
- **Program Development Division** – This division is responsible for marketing, developing, and implementing the TWDB financial assistance programs. The division also develops policies to facilitate the management of the financial assistance programs. Division staff monitors and ensures agency compliance with state and federal laws, policies, and standards as it relates to administering the TWDB financial assistance programs. The division conducts water and wastewater needs assessments and projections for two federally funded programs (CWSRF and DWSRF), in addition to handling all annual and interim reports. Staff actively pursues opportunities to market and provide outreach regarding TWDB programs.
- **Project Development Division** – This division assesses the financial viability of projects by reviewing and analyzing financial data provided by potential applicants requesting financial assistance. Division staff oversees projects to ensure they are progressing in a timely manner. Staff also leads the efforts of multi-disciplinary project work groups to ensure progress on projects is achieved from the pre-application phase through commitment, closing, and final completion. The division coordinates loan closing activities associated with the financial applications. Staff works closely with the Program Development Division to ensure program requirements are being followed and that they are aware of the program implications of potential and existing projects. The division is responsible for coordinating, compiling, reviewing, and finalizing monthly Board presentation material regarding proposed projects and presenting financial applications to the Board for consideration.
Generally, most financial assistance programs administered by Project Finance follow the same process of pre-application, application, commitment, and closing.
The following is the Project Finance organization chart:
PROJECT FINANCE
Amanda Lavin, Deputy Executive Administrator
PROGRAM DEVELOPMENT
PROJECTIONS & MARKETING
PROJECTIONS
MARKETING
PROGRAM & POLICY
PROJECT DEVELOPMENT
FINANCIAL ASSESSMENT
PROJECT OVERSIGHT
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Project Finance**
| Source | Amount |
|-------------------------------|--------------|
| General Revenue | $3,854,359 |
| Agricultural Water Conservation Fund | 1,510,144 |
| Federal Funds | 1,090,815 |
| Appropriated Receipts | 185,557 |
| **Total** | **$6,640,875** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
No other entity provides identical financial assistance services. Within the state, the Texas Department of Rural Affairs, formerly known as the Office of Rural and Community Affairs, also provides matching grants to entities to construct water and wastewater facilities in economically distressed areas. In addition, the U.S. Department of Agriculture—Rural Development program provides financial assistance for constructing water and wastewater projects. These financial assistance programs are generally coordinated to assist entities in financing their projects.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
The TWDB coordinates with both the Texas Department of Rural Affairs and the U.S. Department of Agriculture—Rural Development in providing financial assistance. The General Appropriations Act regularly includes a rider for both TWDB and the Texas Department of Rural Affairs that continues a memorandum of understanding. The focus of the memorandum is to ensure that none of the appropriated funds are used to aid in the proliferation of colonias or are in a manner inconsistent with the intent of EDAP and to maximize the delivery of the funds and minimize administrative delay.
The TWDB also works closely with the Texas Border and Mexican Affairs Division of the Secretary of State to ensure project coordination among the various funding and oversight agencies. The Secretary of State leads coordination of the various entities and holds quarterly meetings in which the TWDB participates.
The TWDB coordinates with the various Councils of Government on all grant projects to avoid duplicating projects.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
The primary federal governmental entity Project Finance interacts with is the U.S. Environmental Protection Agency (EPA), which provides capital grants to support the DWSRF and the CWSRF programs. EPA has also previously provided funding for the Colonia Wastewater Treatment Assistance Program, which has complemented EDAP.
Certain levels of EDAP grant funding are impacted by health and safety nuisance determinations made by the Texas Department of State Health Services. The TWDB maintains an interagency contract with the department to perform nuisance findings.
Coordination efforts between the TWDB and the Texas Historical Commission are necessary on various projects receiving financial assistance. The Texas Historical Commission assesses and protects archeological, architectural, and historical state landmark resources. Federal and state antiquities laws require all funded projects to be evaluated for their potential effect on archeological features present on a project site and cleared by the Texas Historical Commission. To facilitate this coordination, a memorandum of understanding between the TWDB and the Texas Historical Commission has been established.
The TWDB also coordinates with Texas Department of Rural Affairs and the U.S. Department of Agriculture—Rural Development in providing financial assistance to economically distressed areas.
For the DWSRF, the Texas Commission on Environmental Quality performs the priority ranking of applications. The Texas Commission on Environmental Quality, as the state primacy agency, is responsible for state program management, small systems technical assistance, source water protection, and capacity development, in addition to ranking of applications.
K. If contracted expenditures are made through this program please provide:
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
No contracted services were obtained in FY 08.
L. What statutory changes could be made to assist this program in performing its functions? Explain.
During the 81st Legislative Session (2009), Senator Eddie Lucio, Jr., authored Senate Bill 2284 and Representative Eddie Lucio III authored House Bill 3542, neither of which passed. The bills would have allowed for 100 percent grant funding with EDAP bond authority. Current statute requires that no more than
90 percent of the total principal amount of issued and unissued bonds under the EDAP authority may be provided as grant assistance. Thus the remaining 10 percent of EDAP funds is required to be in the form of loan assistance. Please refer to Section XII for a full explanation of the proposed statutory change.
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
Financial Assistance Programs
http://www.twdb.state.tx.us/assistance/financial/financial_main.asp
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable
Construction Assistance provides environmental and engineering reviews and approvals required for projects financed with funds administered by the TWDB. In addition Construction Assistance staff provides technical and construction management assistance to project owners during all phases of project construction. Staff members include professional engineers, environmental reviewers, and technical and administrative personnel who provide these services through two primary divisions:
- Project Engineering and Review
- Inspection and Field Support
**Project Engineering and Review**
This division is responsible for processing and assessing the engineering and environmental effects of an application for financial assistance from the TWDB, which includes the following tasks:
- Reviewing and approving the engineering feasibility reports for the proposed project
- Reviewing environmental documents and issuing an environmental determination
- Reviewing and approving plans and specifications for every contract of each project
- Reviewing contract bid tabulations and authorizations to award
- Reviewing and approving of executed construction contract documents
- Reviewing and approving contract change orders
**Inspection and Field Support**
This division is responsible for overseeing project construction and providing technical assistance to project owners from the preconstruction phase, throughout the construction phase, and contract and project close-out, which includes the following tasks:
- Reviewing bidability and constructability of plans and specifications
- Participating in and reporting on preconstruction conferences
- Conducting monthly construction inspections and writing progress reports
- Conducting contract and project final inspections and writing final reports
- Gathering contract close-out documents and issuing a Certificate of Approval for each contract
Conducting post-construction performance and warranty assistance as required
Maintaining project database with current and historical project information
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
Construction Assistance, in conjunction with Project Finance, contributes to the following performance measures:
- Output 02-01-01.01 – Number of Board actions to amend, confirm, or modify an applicant’s terms of previously approved Economically Distressed Areas Program (EDAP) financial assistance
- Output 02-01-02.03 – Number of completed EDAP projects
- Output 02-01-02.04 – Number of EDAP construction contracts in progress
- Output 02-01-03.06 – Number of construction contracts managed
- Output 02-01-03.08 – Number of Board actions to amend, confirm, or modify an applicant’s terms of previously approved financial assistance from the Board
These measures reflect the number of projects managed and approved for financial assistance from the TWDB. In FY 2008, each of these performance measures has met or exceeded agency outcome and output performance targets, demonstrating progress in these programs.
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
Not applicable
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
The TWDB provides financing to a variety of public entities for constructing water and wastewater infrastructure statewide. Construction Assistance works with the engineering, environmental impacts assessment, and the construction aspects of project funding. The persons and entities affected are in the following three general categories:
1) Political subdivisions of the state with the authority to own and operate water and/or wastewater utilities.
All applicants of the TWDB funding programs administered by Project Finance and Construction Assistance must be public entities that can own and operate water and/or wastewater systems. These entities include cities, authorities, districts, water supply corporations, and in limited cases, counties.
The only exceptions to this are the Drinking Water State Revolving Fund (DWSRF) and the TWDB Self-Help programs. In the DWSRF, private water providers may qualify for funding under specific criteria. In Self-Help funding, financing may be offered to nonprofit entities who can help communities provide sweat equity in constructing infrastructure.
As a result, the people affected by the programs are the public and public officials who are affiliated with the entities that apply for funding. This ranges from citizens and staff associated with the individual entities applying for funding to local, state, and federal elected officials who may have an interest in the outcome of construction projects.
2) Professional Community in Texas
Project financing and construction is accomplished in Texas with the involvement of the professional community in several fields, including financing, engineering, environmental impacts assessment, legal, and construction. As such, the TWDB programs involve working interactively with all of these professional areas.
Coordination in Construction Assistance, therefore, focuses on the engineering, environmental, and construction communities. This also involves work with the various professional societies in these fields.
3) Governmental Agencies
The construction of water and wastewater projects in Texas is governed by statute and regulation. In addition, some of the programs administered by the TWDB are funded in part or whole by federal funds. As a result, other state and federal agencies are affected by projects funded by the TWDB. These would include, but are not limited to, the Texas Commission on Environmental Quality, the Texas Historical Commission, the Texas Parks and Wildlife Department, the U.S. Environmental Protection Agency (EPA), the U.S. Army Corps of Engineers, and the U.S. Fish and Wildlife Service.
Funding in Texas is also provided by other agencies. These programs are operated independently, but the TWDB works conjunctively with them to provide complete funding packages for projects. As a result, these other agencies are affected by TWDB funding. These include, but are not limited to, the Texas Department of Rural Affairs, the U.S. Department of Agriculture—Rural Development, North American Development Bank, Border Environment Cooperation Committee, and Housing and Urban Development funding for entitlement counties.
Construction Assistance is divided into two divisions reporting to the Deputy Executive Administrator:
- Project Engineering and Review
- Inspection and Field Support
**Project Engineering and Review** has a director with one executive assistant and three team leads overseeing three areas, including Environmental Impact Assessment, State Engineering, and Federal Engineering.
The Project Engineering and Review Division is located at Austin Headquarters: 1700 N. Congress, Austin 78711.
**Inspection and Field Services** has a director with one executive assistant and one staff services officer at the Austin headquarters, four field offices and one satellite office. The four field offices are located in Mesquite, Houston, Harlingen, and Austin, with a one-man satellite office in San Antonio.
**Mesquite Office** – Covers an area from the Oklahoma border south to about 40 miles north of Waco and from the Arkansas/Louisiana border west to the eastern edge of the Panhandle.
*Staff*: Four full-time inspectors, one team lead/inspector, and one administrative assistant.
*Location*: Near East Loop 635 and Interstate 30 at 801 W. Kearney, Suite 200, Mesquite 75149
**Houston Office** – Covers an area from the Gulf of Mexico north to about Nacogdoches and from the Louisiana border west to a line approximately from Bryan to Port Lavaca.
*Staff*: Five full-time inspectors, one team lead/inspector, and one administrative assistant.
One inspector maintains a sub-office in a City of Houston office building in downtown Houston to better serve the City of Houston projects.
One inspector works primarily from a home-based office in Anahuac and is responsible for projects in far East Texas.
*Location*: Main office – Northwest side of Houston at 3920 FM 1960, Suite 330, Houston 77068
**Harlingen Office** – Covers an area from the Mexico border north to a line just north of Corpus Christi to north of Laredo.
*Staff*: Two full-time inspectors, a manager\(^2\), and one administrative assistant.
*Location*: 1828 W. Jefferson, Harlingen 78550
**Austin Field Office** – Has a total of four full-time inspectors and one lead inspector. Administrative support is provided by the division executive assistant.
*Staff*: Three inspectors and the lead inspector are in the TWDB headquarters in Austin.
One inspector is in a sub-office in San Antonio.
*Location*: Austin Headquarters: 1700 N. Congress, Austin 78711
*Location*: San Antonio: 321 Center Street, Suite 400, San Antonio 78202
---
\(^2\) As of the date this report was written, the manager position in Harlingen was not yet filled because of a division restructuring.
The following is the Construction Assistance organization chart:
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Construction Assistance**
| Funding Source | Amount |
|---------------------------------------|------------|
| General Revenue | $526,426 |
| Agricultural Water Conservation Fund | 874 |
| Federal Funds | 2,288,026 |
| Appropriated Receipts | 784,403 |
| **Total** | **$3,599,729** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
The Texas Commission on Environmental Quality also reviews plans and specifications for water projects. They have implemented a different protocol for wastewater projects. The TWDB review of plans and specifications for water projects is governed by an agreement with the Texas Commission on Environmental Quality.
There is no duplication, per se, in funding of infrastructure between the Texas Department of Rural Affairs, the North American Development Bank, the U.S. Department of Agriculture—Rural Development, and the Border Environment Cooperation Committee because we typically compliment each other to develop complete funding packages. One exception may exist with U.S. Department of Agriculture—Rural Development funding in some cases. From time to time there seems to be some tension with that federal agency regarding the "shopping" of projects by applicants between us and them.
The Texas Commission on Environmental Quality has a bond review section for projects funded for water districts.
The TWDB Water Resources Information and Planning area offers funding programs for research, planning, and flood projects. However, the nature and intent of the programs do not duplicate those in Construction Assistance.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
- Coordination of reviews of plans and specifications for water projects with the Texas Commission on Environmental Quality are governed by a memorandum of agreement.
- Close ongoing coordination, mostly to cooperate to completely fund projects addresses any duplication. This is due to the scarcity of funding compared to the needs statewide.
Because of an agreement between the TWDB and the Texas Commission on Environmental Quality, there is no duplication. If a water district comes to us for funding, the applicant does not have to receive approval for a bond transaction from the Texas Commission on Environmental Quality (only applies to districts).
Clear assignments of responsibilities and autonomously operating programs eliminate duplication. Construction Assistance coordinates with Water Resources Information and Planning on funding opportunities and joint packaging of funding, if necessary, as we would with any other entity that may offer funding for projects.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
Although the TWDB may commit funds, it cannot deliver them until all appropriate permits, concurrences, or comments are obtained from state and federal agencies with jurisdiction. Many of these are related to the environment, and the information provided in their assessment will facilitate review by other agencies and will be of use in preparing any permit applications. The following is a partial list of state and federal agencies that, depending upon the type of project and/or its location, may comment on the project, issue a permit, or provide easements. Any of these agencies may require changes in the project design or stipulate measures to be taken to protect the environment.
**The Texas Commission on Environmental Quality**
The Texas Commission on Environmental Quality is the state agency responsible for regulating water and wastewater issues in the state. The TWDB adheres to regulations and permitting administered by the Texas Commission on Environmental Quality. In addition, the Texas Commission on Environmental Quality and the TWDB jointly manage the Drinking Water State Revolving Fund (DWSRF), coordinating their roles closely.
**Texas Historical Commission**
The Texas Historical Commission reviews projects for potential impacts to cultural resources of the state, including historical sites, and performs other related activities within its purview. Conditions identified by the Texas Historical Commission are inserted into the TWDB’s environmental findings and into the construction documents as necessary.
**Texas Parks and Wildlife Department**
The Texas Parks and Wildlife Department reviews projects to identify potential impacts to fish and wildlife and threatened and endangered species and performs other related activities within its purview. Conditions that are identified by the Texas Parks and Wildlife Department are inserted into the TWDB’s environmental findings and into the construction documents as necessary.
**U.S. Environmental Protection Agency (EPA)**
The EPA provides funding to the state for use in various programs. Two of the main programs include the Clean Water State Revolving Fund (CWSRF) and the Drinking Water State Revolving Fund (DWSRF). Programs that receive funding from the EPA are administered by the TWDB to comply with EPA requirements.
**U.S. Army Corps of Engineers**
The U.S. Army Corps of Engineers reviews projects for potential impacts to wetlands and navigable waterways and performs other related activities within its purview. The TWDB adheres to permits granted
by the Corps of Engineers. Conditions identified by them are inserted into the TWDB’s environmental findings and into the construction documents as necessary.
**United States Fish and Wildlife Service**
The U.S. Fish and Wildlife Service reviews projects to identify potential impacts to fish and wildlife and threatened and endangered species and performs other related activities within its purview. Conditions identified by the U.S. Fish and Wildlife Service are inserted into the TWDB’s environmental findings and into the construction documents as necessary.
**Funding Agencies**
Funding in Texas is also provided by other agencies. These programs are operated independently, but the TWDB works conjunctively with them to provide complete funding packages for projects. As a result, these other agencies are affected by TWDB funding. These include, but are not limited to, the Texas Department of Rural Affairs, the U.S. Department of Agriculture—Rural Development, North American Development Bank, Border Environment Cooperation Committee, and Housing and Urban Development funding for entitlement counties.
**Other Agencies**
Construction in Texas, depending upon the nature of the project, can also involve other agencies on some projects but not all. When projects fall within these agencies’ purview, coordination and feedback are added to the project. These would include the Council of Governments, Texas General Land Office, the International Boundary and Water Commission, the U.S. Bureau of Reclamation, the U.S. Department of Agriculture—Natural Resources Conservation Service, the U.S. Federal Emergency Management Administration, and the Occupational Safety and Health Administration.
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**K. If contracted expenditures are made through this program please provide:**
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
FY 2008 expenditures: $6,800
Number of contracts: 4
Construction Assistance contracted services are operational in nature. Requirements and deliverables are documented and reviewed by Construction Assistance staff. In addition to review by program staff, contract administration staff reviews invoices to ensure that submissions are proper and correspond to contract requirements.
**L. What statutory changes could be made to assist this program in performing its functions? Explain.**
Not applicable
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
The Texas Water Development Board Web site for the previously combined Project Finance and Construction Assistance departments provides information on organization, procedures, and processes; Intended Use Plan participants; training; and various program and project information reference material. The information is located on an agency intranet page.
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable
Finance
A. Provide the following information at the beginning of each program description.
| Name of Program or Function | Finance |
|-----------------------------|---------|
| Location/Division | 1700 North Congress Avenue
Stephen F. Austin Building, 5th Floor
Austin, Texas 78701 |
| Contact Name | Melanie Callahan, Chief Financial Officer |
| Actual Expenditures, FY 2008| $2,668,927 |
| Number of FTEs as of August 31, 2008 | 32.80 |
B. What is the objective of this program or function? Describe the major activities performed under this program.
Debt and Portfolio Management
- Performs the function of debt issuance of general obligation (self-supporting and non-self supporting) and revenue debt of which the proceeds are subsequently lent or, in certain cases granted, to eligible entities of the TWDB’s financing programs. This includes evaluating and recommending the instrument, structure, and terms of the debt.
- Provides ongoing review and monitoring of specific program and TWDB portfolios. This includes reviewing program debt service coverage ratios, capacity and program perpetuity management, loan risk, market risk, and concentration risk. It also includes establishing loan rates and fulfilling other program and loan-specific requirements. An objective is to achieve and maintain the highest credit ratings for long-term lower program debt costs for the assistance programs.
- Provides oversight of investments to ensure compliance with the TWDB’s investment policies and the Public Funds Investment Act.
- Assigns, monitors, and tracks the use of bond proceeds, repayments, and other related funds to ensure compliance with tax-exempt financing regulations including arbitrage requirements.
- Provides state debt reporting, Internal Revenue Service arbitrage compliance reporting, and appropriate disclosure reporting for U.S. Securities Exchange Commission.
Financial Monitoring
- Monitors compliance with bond covenants and applicable statutes to minimize risk of default.
- Monitors stability reviews, subrecipient monitoring, and final accountings.
Accounting
- Maintains the general ledger
- Ensures integrity of financial data
- Prepares financial reports
- Prepares federal grants accounting and billing
Processes payables and loan and grant disbursements
Processes payroll
Processes revenue and loan receipts
Management of the Micro Information Products (MIP) financial system
Budget
- Prepares annual operating budget
- Prepares Legislative Appropriations Request
- Prepares legislative fiscal notes
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
- Debt portfolio managed through refundings, which achieved $10.8 million in General Revenue savings
- No defaults in the history of the Water Financial Assistance or State Revolving Fund programs
- No financial findings resulting from audits
- $695,400,000 in general obligation bonds issued in FY 09
- $257,740,000 in revenue bonds issued in FY 09
- 65 single audits reviewed in FY 09
- 530 annual financial stability/compliance reviews performed in FY 09
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
There have been no changes from the original intent; however, recent changes within the financial markets have affected the services and functions of the TWDB’s financial assistance programs. These include but are not limited to the following:
- Weakened and reduced number of municipal insurers
- Perceived weakening of portfolio due to insurer downgrades
- Limited municipal market access for those issuers that relied upon insurance, increasing the demand for TWDB financing for primary infrastructure construction
- Reduced number of providers and increased market costs due to market liquidity disruptions
Other impacts have resulted from requirements related to federal disclosure and the implementation of the Municipal Securities Rulemaking Board’s new Electronic Municipal Market Access disclosure reporting system. In addition, the federal Tax Increase Prevention and Reconciliation Act implemented new requirements for pooled tax-exempt issuances, creating increased disclosure, monitoring, smaller and more frequent issuances, and increased interest costs.
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
Bonds are issued to provide funding for political subdivisions eligible for financial assistance under current funding programs, including regional water authorities, districts, cities, counties, water supply corporations, and other political subdivisions. Recipients of financial assistance are then subject to monitoring by the TWDB.
All internal programs of the TWDB are supported by the accounting and budget functions.
F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
The Finance function is administered through the Chief Financial Officer and leadership of the five primary divisions of Finance. Weekly meetings are held by the leadership to discuss actions needed regarding initiatives, and notes from these meetings are available to all Finance staff.
Functions are carried out in accordance with guidance from state and federal oversight agencies and generally accepted accounting practices for governmental entities.
Following is the Finance organization chart:
FINANCE
Melanie Callahan, Chief Financial Officer
DEBT & PORTFOLIO MANAGEMENT
BUDGET
ACCOUNTING
FINANCIAL REPORTING
REVENUE, PAYROLL, & ACCOUNTS PAYABLE
TRAVEL
FINANCIAL SYSTEMS
FINANCIAL MONITORING
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Finance**
| Source | Amount |
|-------------------------------|------------|
| General Revenue | $44,597 |
| Agricultural Water Conservation Fund | 23,265 |
| Federal Funds | 1,394,406 |
| Appropriated Receipts | 406,658 |
| **Total** | **$2,668,927** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
No other state entity issues debt and provides loans for water and wastewater infrastructure. Although single audit desk reviews are not uncommon, no other entity performs the specific monitoring of TWDB financial assistance recipients. Most agencies have staff that provides similar accounting and budget functions, although few deal with bond and loan accounting to the extent the TWDB does.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
Not applicable
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
Finance coordinates and provides other areas of the agency with information, statistics, and analysis for the federal Clean Water and Drinking Water programs. The area also works with federal grantors, including the U.S. Environmental Protection Agency, U.S. Department of Commerce, U.S. Department of Interior, and the U.S. Department of Homeland Security. All required coordination and reporting to oversight agencies, including the Bond Review Board, the Comptroller, and the Legislative Budget Board, is performed. Finally, political subdivisions across the state receive financial assistance from the TWDB.
K. If contracted expenditures are made through this program please provide:
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
the methods used to ensure accountability for funding and performance; and
a short description of any current contracting problems.
FY 2008 expenditures: $276,267
Number of contracts: 8
Finance contracts are for services related to debt service, investments, and audit and loan-closing services. Accountability is ensured by documenting the needs, selection process, and required deliverables. All invoices are reviewed by staff, and contract administration staff reviews invoices to ensure that submissions are proper and correspond to contract requirements. In addition, many of these contracts require the reporting of performance to the Bond Review Board.
L. What statutory changes could be made to assist this program in performing its functions? Explain.
Additional constitutional general obligation debt issuance authority is needed to ensure the TWDB’s ability to provide funds to eligible borrowers.
The elimination or streamlining of state debt authorization would be helpful to ensure the TWDB can enter the financial markets in a timely manner.
M. Provide any additional information needed to gain a preliminary understanding of the program or function.
None
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
- why the regulation is needed;
- the scope of, and procedures for, inspections or audits of regulated entities;
- follow-up activities conducted when non-compliance is identified;
- sanctions available to the agency to ensure compliance; and
- procedures for handling consumer/public complaints against regulated entities.
Not applicable
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable
Operations & Administration
A. Provide the following information at the beginning of each program description.
| Name of Program or Function | Operations and Administration |
|-----------------------------|------------------------------|
| Location/Division | 1700 North Congress Avenue |
| | Stephen F. Austin Building, 5th Floor |
| | Austin, Texas 78701 |
| Contact Name | Lisa Glenn, Deputy Executive Administrator |
| Actual Expenditures, FY 2008 | $5,803,394 |
| Number of FTEs as of August 31, 2008 | 57.26 |
B. What is the objective of this program or function? Describe the major activities performed under this program.
This Operations and Administration area is responsible for performing customer service in the following areas: Human Resources; Communications, Strategic Planning, and Records Management; Information Technology; and Support Services and Contract Administration.
Human Resources Division
- Administers a comprehensive human resources program
- Advises supervisors and managers in personnel matters to promote greater staff productivity and ensure a work environment free of discrimination
- Serves as an advisor to senior management and other key management and supervisory staff on personnel policies and procedures relating to all aspects of employee relations
- Maintains a position classification system used to evaluate jobs in accordance with the State Classification Plan
- Ensures that jobs are classified according to the compensation provisions of the State Classification Salary Schedule
- Provides a recruitment program that locates, selects, and retains employees from diverse backgrounds in compliance with various Equal Employment Opportunity laws, regulations, and guidelines; prepares Equal Employment Opportunity data; and reports employment data to state and federal entities
- Establishes a comprehensive training program designed to increase employee motivation and productivity
- Administers employee benefits such as group insurance, retirement, deferred compensation, Employee Assistance Program, and TexFlex
- Processes employee complaints and grievances according to the established policies;
- Maintains the highest level of confidentiality and security as it relates to employee personnel records and transactions
• Establishes, maintains, and retains personnel files and other employment records according to state law
• Counsels and assists employees on problems or issues related to the workplace and advises employees about the Employee Assistance Program as needed
• Develops, posts, and advertises job vacancy announcements
• Establishes and coordinates recruitment activities with appropriate recruitment sources
• Screens job applications for minimum qualifications and makes referrals to the selecting authority for interviews
• Checks employment references and notifies interviewed candidates regarding final hire decisions
• Monitors the performance appraisal system, including notifying supervisors of evaluation due dates, filing copies of evaluations in employees’ personnel files, and reporting overdue evaluations to appropriate management staff
• Counsels separating employees regarding their retirement benefits and insurance coverage (COBRA) and conducts exit interviews with the Human Resources Division
• Reports work-related injuries or illnesses to the State Office of Risk Management
• Ensures compliance with all leave provisions for state employees in accordance with the Fair Labor Standards Act
**Communications, Strategic Planning, and Records Management Division**
The objective of this division is to provide communications, records management, Web administration, publication production support, and other services to agency staff and customers. The primary responsibilities are specified below:
- Informs stakeholders of agency activities and actions of the Board
- Answers inquiries from the public and the media
- Distributes press releases
- Answers questions from the media
- Processes public information requests
**Records Management**
- Ensures that the agency maintains records in an efficient and cost-effective manner
- Provides support and training to all areas of the agency in managing records
- Oversees destruction of records that have met their retention
- Provides routing and tracking of incoming mail for portions of the agency
- Maintains water project files for the agency
**Web Administration**
- Administers the TWDB’s Internet and Intranet, ensuring the public effective and quick access to latest TWDB information.
**Publications and Graphics Support**
- Provides editorial, design, and production assistance on water resources materials for the agency, including these projects:
- Numbered scientific reports based on agency data collection
- Conservation brochures and materials
- State water plan
- Various legislatively mandated reports
- Administrative reports
• National Flood Insurance Program workbooks and brochures
• Program information sheets
• Other agency materials as needed (for example, letterhead, business cards)
• Posts materials on the agency Web site and serves as the backup department for managing the site.
**Information Technology Division**
The objective of the Information Technology Division is to provide security and infrastructure, Help Desk assistance, application services, database administration, project management, and systems analysis support to the agency staff and customers. The primary responsibilities for each section are specified below:
**Security and Infrastructure**
- Provides intrusion protection services
- Provides security awareness training
- Maintains and supports network
- Coordinates and consolidates for Department of Information Resources data center
- Provides field office connectivity
**Application Services**
- Performs software development activities to support agency needs relating to collecting and disseminating water information
- Writes and debugs code for legacy applications developed in Microsoft ASP and Microsoft Access
- Develops new Web applications using the latest technologies to enhance applications and security
**Database Administration**
- Provides support to administer databases to support software development for creating, securing, and modifying data and generating reports
**Help Desk**
- Provides Information Technology assistance to the agency
- Provides new workstation setup
- Assists staff in troubleshooting application errors
- Provides BlackBerry support
- Establishes user accounts
- Installs software
- Provides field office support
- Sets up video projector and laptops for Board meetings and other agency meetings
**Project Management**
- Tracks project activities, scope, schedule, and budget and maintains documentation
**Systems Analysis**
- Generates requirements and test plans
- Provides assistance with development, design, documentation, maintenance, evaluation, and support of agency applications.
Support Services and Contract Administration:
The objective of the Support Services and Contract Administration Division is to provide staff support, purchasing, contracting, and other services to agency staff and customers. The primary responsibilities for each section are specified below:
**Support Services**
- Provides facility management (building maintenance and associated repairs, space management, lease management)
- Provides staff support (telecommunications, fleet management, mail services, supplies)
- Provides other duties (fraud prevention coordination, annual inventory, safety management, cost-savings initiatives)
**Contracting and Purchasing**
- Develops and administers contracts
- Procures goods and services
- Coordinates contract payment
- Coordinates outlay processing
C. What evidence can you provide that shows the effectiveness and efficiency of this program or function? Provide a summary of key statistics and performance measures that best convey the effectiveness and efficiency of this function or program.
Human Resources
The Human Resources Division maintains a weekly status report that provides updates to activities and projects performed by the division. This weekly report details specific information related to the following:
- Number of employees (YTD)
- FTE cap
- Management-to-staff ratio
- Number of new hires
- Number of separations
- Employee turnover rate
- Current job posting status report
- Internship program
- Contractor/Temporary employee report
- Recruitment events
- Special leave and benefits issues (Family and Medical Leave Act, military, sick leave pool, and extended sick leave)
- Workers’ compensation report
- Human Resources reports and status updates
- Human Resources special projects
This comprehensive reporting tool provides management with a weekly summary that assesses the performance of the Human Resources Division. Highlights of this performance of the last year include the following:
- Managed 104 active positions in 2008; hired 85 positions
- Reduced turnaround times for job posting review by 75 percent, allowing a shorter time from selection to offer
- Implemented new Human Resources policies and procedures with annual review and revision
- Completed certification—three out of five Human Resources staff members have successfully completed the HRCI - PHR Certification exam. The remaining staff members are scheduled to attend the preparatory course in the Fall 2009.
- Completed second year of successful partnering with the Mickey Leland Internship Program
- Developed a comprehensive recruitment program to include career fair attendance/sponsorship, successful advertisement program, and brand development.
- Implemented a comprehensive wellness program with an agency designated wellness coordinator
- Trained mediator—one Human Resources staff member is now a trained mediator and has successfully mediated several issues
- Completed a successful series of management training, designed to address deficiencies in hiring, performance appraisal, and disciplinary actions
- Developed additional training on new hire, on-boarding, and leave issues for both managers and staff
**Communications, Strategic Planning, and Records Management**
This division strives to answer media requests effectively by providing responses on the same day requests are received and uses an online Communications Tracking System to keep track of all media requests made and responses given. In addition, the Communications staff has managed to maintain positive coverage in the press on water-related issues.
*Records Management*
Project documentation is easily accessible, available to the staff and public, and the Records Retention Schedule is up to date and available.
*Web Administration*
The agency’s Web site hits have increased in traffic due to higher demand for online browsing of agency data and information. Although Web site traffic has increased, Web Administration has received very few complaints. Additionally, to promote a higher level of efficiency on the Web site, Web Administration has several projects underway, with the biggest project dubbed the “Web Revitalization.” These projects include the following:
- Implementation of an improved search engine, enabling users to locate hard-to-find documents quickly
- Content provider management and policies
- Reduction of broken links and orphaned files
- Enhanced support to the agency with more accurate and updated contents
Implementation of accessibility policy and requirements set forth in Texas Accessibility Code, Sections 206 and 213, World Wide Web Consortium’s Web Content Accessibility Guidelines 2.0, and Section 508 of American Disabilities Act
**Publications and Graphics Support**
The best indication of the effectiveness of the Publications and Graphics Support group is the number of projects produced in the year-and-a-half this office has existed, which include the following initiatives:
- Water conservation
- Legislative reporting
- Public information
- Water planning
- Water use
- Water research
Staff members use the state bidding process for selecting low-bid printers and measures performance by producing materials on time and on (or under) budget.
**Information Technology**
*Security and Infrastructure*
The network is very stable; outages are very rare. The last network outage was over a year ago and it was due to an electrical problem on the fourth floor of the Stephen F. Austin building. The network was back up within an hour.
The agency servers have not had an infection or intrusion since July 2004. Desktops have only experienced sporadic malware incidents. This information is reported monthly to the Department of Information Resources Security Incident Reporting System.
*Application Services and Database Administration*
Development has created a three-tier application framework on top of Microsoft .NET 3.5 Framework. The framework consists of common libraries used in new Web applications being developed to provide users with a consistent look and feel among the TWDB Web applications and to provide methods for accessibility, authentication, authorization, and roles to be used by individual Web applications. Applications developed on the TWDB framework use the Application Program Management System security framework libraries to perform user authentication and authorization. The TWDB framework is continuously being enhanced to improve the process for developing new Web applications that collect and disseminate water information for other departments, agencies, and the general public.
Below is a list of Web applications that have been developed using the TWDB application framework since September 2007.
| Solution Name | Application Name |
|---------------|------------------|
| TWDB.GWM Groundwater Monitoring | |
| TWDB.LTS | Legislative Tracking System |
| TWDB.IUP | Intended Use Plan |
| TWDB.MRP | Major Rivers Program |
| TWDB.PMA | Performance Measures Application |
| TWDB.WCS | Water Conservation Survey |
| TWDB.WIQ Water IQ | |
Help Desk
Meetings with business areas have indicated overall satisfaction with the Help Desk and the level of service received. During the second quarter of calendar year 2009, 968 tickets were opened and 949 tickets were closed.
Project Management and Systems Analysis
The project management function within the Information Technology Division is a relatively new program area, created during FY 2008. The project management function provides project management structure, project scheduling, project scope monitoring, and project documentation centralization. These functions are considered management controls to enhance Information Technology project effectiveness and efficiency and are exercised for appropriate agency projects.
Support Services and Contract Administration
Summary of key statistics for FY 08:
- Number of new contracts executed: 94.
- Total dollar amount of executed contracts: $29,501,029.
- Number of purchase orders processed: 1469.
- Total dollar amount of purchase orders: $7,459,824
- Number of outlays processed: 333
- Total dollar amount of processed outlays: $146,832,340
- Number of contract payments: 608
- Total dollar amount of contract payments: $37,992,074
The division is composed of 15 FTE’s at the present time and has eliminated three FTE positions over the past years by using existing staff to perform the work once performed by these FTE’s. These efficiencies provided the agency an extensive cost savings without affecting customer support. Additionally, the staff is constantly praised for providing excellent customer service and response, which is a reflection of the division’s effectiveness. Lastly, Contract Administration has created a contract tracking database that tracks certain measures. This data is used for various agency reports and for tracking contract status. The information is reported to the Board members and TWDB management staff on a monthly basis and has been very well received by all parties. In total, Contracting and Purchasing staff members have processed more than 2,500 individual work assignments/transactions during FY 2009.
D. Describe any important history regarding this program not included in the general agency history section, including how the services or functions have changed from the original intent.
The Human Resources Division has continued to maintain its original intent to serve as the agency in the following ways:
- An organization characterized by flexibility, creativity, and timely responsiveness to the numerous and diverse needs of employees and managers seeking an array of consultative and support services
- An effective and efficient organization to both external and internal customers that provides practical, reliable advice and services to all employees and managers
- A dynamic, responsive organization with the internal capability to address emerging needs and issues
An integral part of the strategic planning process at all levels of the TWDB, with the ability to understand and bring value to the missions of our customers
A supported, highly valued, and respected partner with senior leadership in accomplishing the TWDB’s mission
Employees who demonstrate these professional qualities, competencies, and attitudes through
- An ability to clearly articulate the role and value of human resources in meeting the needs of our customers
- A commitment to work together as a team, through both our internal and external partnerships
- An ability and desire to redefine and simplify business strategies, structures, and processes to improve organizational efficiency and competitiveness
- An eagerness to acquire and apply professional/technical knowledge, skills, and experience to accomplish results and serve customers better
- An ability to generate innovative solutions, explore non-traditional ideas, and apply best practices to positively impact our mission and key initiatives
- An ability to respond to customers’ needs in a manner that generates significant customer satisfaction
In accomplishing this mission, the Human Resources Division has strived to
- Ensure that employees of the TWDB receive the best possible combination of employee benefits, especially in the area of medical care
- Ensure the salaries paid to TWDB employees are both attractive and competitive in the job market
- Provide TWDB employees opportunities for professional development through effective training programs
- Maintain accurate and complete personnel records
- Be responsive to questions and concerns of employees regarding all aspects of their employee/employer relationship
- Provide well-qualified applicant pools representing a broad cross section of the community from which the TWDB may assemble a high quality and diverse workforce
- Ensure compliance with all internal and external human resource rules and regulations under which the TWDB is required to operate
- Use electronic technology to make services more responsive and accessible to TWDB employees
**Communications, Strategic Planning, and Records Management**
The original intent of the Communications Division has not changed. However, the division has been enhanced with the addition of a Publications and Graphics Support section. Due to increased awareness of water by the public, the agency recognized the need for expanded resources in the Communications Division to disseminate information to the public.
*Records Management*
Historically, the Records Management section, known as “the File Room,” is a central repository for agency files. The File Room is responsible for processing mail received for many divisions of the agency. During the upcoming fiscal year, staff members will be implementing an electronic filing application that can be used throughout the agency to enhance file management activities.
*Web Administration*
The original intent of Web services was to facilitate access to agency data and information. The intent has not changed, except in volume, scope, and complexity.
**Publications and Graphics Support**
The Publications and Graphics Support section was formed in February 2008. Before that time, the three staff members were scattered throughout the agency. By moving the staff into one office, they have been able to better serve the entire agency and coordinate their efforts more efficiently and economically. The formation of the office marked the first time the agency could offer consolidated editorial, design, and print services.
**Information Technology**
The original intent of the Information Technology Division has not changed substantially; however, the division has been affected by the implementation of new legislation and enhanced its operations as follows:
*Security and Infrastructure*
Important history relates to House Bill 1516 and House Bill 3112 and the agency’s data center services contract, which was executed with the Department of Information Resources in May 1, 2007.
*Application Services and Database Administration*
The Information Technology Division is moving from a decentralized development methodology to a more centralized approach that utilizes a Web application framework. The division is in the process of developing new applications in Microsoft ASP.NET 3.5 and rewriting legacy Microsoft ASP and Microsoft Access applications using the TWDB framework. Development has moved from a process in which the programmer does the analysis, requirements, coding, testing, and deployment to having systems analysts performing the analysis, and gathering requirements and documentation.
*Help Desk*
The Help Desk has added video streaming, BlackBerry devices, and remote telecommuting and has also created network/e-mail accounts over the last few years.
*Project Management and Systems Analysis*
The project management function within the Information Technology Division is a new program area created during FY 2008. This program area was established to better manage, track, and report on various Information Technology projects and activities at the TWDB, as well as assist agency staff with project activities. The systems analysis function, although existing previous to FY 2008, was considerably enhanced during FY 2008 by adding new FTE’s and establishing a new support configuration to better respond to the agency’s internal customers.
**Support Services and Contract Administration**
From 1986 through 1992, the agency received most of the staff services functions through an interagency contract with the Texas Water Commission. The agency was paying in excess of $186,000 annually to the Texas Water Commission for mailroom services, facility assistance, receiving, and warehouse and storage management instead of hiring TWDB staff to do this work. This contract was terminated in 1993 by the current Division Director who in turn hired two FTE’s to perform these functions. The end result was a savings of $80,000 annually for the TWDB. Additionally, in 2007 the agency consolidated all contracting and purchasing functions into one centralized section. This centralization provided the agency with much better control over these functions, better reporting capabilities, and better customer service/support. The current organizational structure of this division also provides effective controls in purchasing and
contracting. The budget, purchasing/contracting, and actual payment processes all fall in separate areas in the agency. This structure helps reduce the opportunity for fraudulent activities and theft.
E. Describe who or what this program or function affects. List any qualifications or eligibility requirements for persons or entities affected. Provide a statistical breakdown of persons or entities affected.
**Human Resources**
The Human Resources Division serves every current and prospective employee of the TWDB. As a service-oriented division, Human Resources must respond and be accountable to the Board, the Executive Administrator, the management team, Legal Services, Internal Audit, and staff. The Human Resources Division must keep apprised of the latest laws, regulations, requirements, statutes, and rules regarding the various aspects of employment and employment law. Furthermore, the Human Resources Division serves as the representative for the agency at fairs, seminars, and conventions and typically is the first point of contact for prospective job applicants.
**Communications, Strategic Planning, and Records Management**
The Communications Division affects all TWDB stakeholders as well as the general public. The division is responsible for getting relevant information in front of interested parties through the media. There are no qualifications or eligibility requirements for person or entities affected by this division.
*Records Management*
Ultimately, this section’s work provides guidance and support to the entire agency. Historically, the group has worked closest with Project Finance and Construction Assistance staff in housing and routing their files. Staff members also work closely with Internal Audit and Legal Services staff in responding to audit, litigation, and open records requests.
80 percent Project Finance and Construction Assistance
10 percent Legal Services
10 percent Internal Audit
*Web Administration*
This function affects agency customers, stakeholders, and employees using an Internet browser to access the TWDB information. There is no qualification or eligibility requirement.
*Publications and Graphics Support*
This program affects the entire agency. All print and editorial projects are funneled through this office. Staff members also help support several state-mandated functions of the agency.
**Information Technology**
The Information Technology Division affects all the TWDB staff as follows:
*Security and Infrastructure*
These areas affect all agency employees, including field offices, and visitors, with respect to network connectivity and the ability to access data on servers and the Internet. Information security affects all agency employees and visitors, desktops/notebooks, servers, and network infrastructure equipment. Agency employees must abide by the agency’s information security policies.
Application Services and Database Administration
These functions affect Information Technology customers using the applications and databases, which are primarily internal agency staff. However, at times, the functions affect external customers, such as the general public, individuals, and organizations who receive agency services or are considered agency stakeholders who submit requests for information and/or assistance.
Help Desk
The Help Desk services the entire agency including remote offices. Currently, there are three FTE’s providing Help Desk services. These staff members must have broad technical skills with the ability to troubleshoot any hardware- or software-related incident.
Project Management and Systems Analysis
Both of these functions affect Information Technology customers, who are primarily internal agency staff. However, at times, the functions affect external customers, such as the general public, individuals, and organizations who receive agency services or are considered agency stakeholders who submit requests for information and/or assistance. The two functions assist the TWDB staff with technology support to aid them in carrying out their daily activities.
Support Services and Contract Administration
The Support Services and Contract Administration staff members provide various services to all agency staff as well as many stakeholders. All division staff must be customer service oriented and familiar with state and federal rules and regulations. Appropriate certifications have been obtained by certain contracting and purchasing staff to support the roles they provide to the agency.
F. Describe how your program or function is administered. Include flowcharts, timelines, or other illustrations as necessary to describe agency policies and procedures. List any field or regional services.
Human Resources; Communications, Strategic Planning, and Records Management; Information Technology; and Support Services and Contract Administration serve under the direction of the Deputy Executive Administrator for Operations and Administration.
Human Resources
The Human Resources Director works with the Deputy of Operations and Administration, executive management, and legal staff to ensure effective implementation of Human Resources policies and practices for the agency.
Communications, Strategic Planning, and Records Management
The Director of the Communications Division works with staff in carrying out the primary functions for processing open records requests, media requests, and news clips service distribution, and planning and distributing in-house publications. The Director works with the Deputy of Operations and Administration, executive management, and legal staff to ensure effective implementation of policies and procedures for each of these primary functions.
Web Administration
Major changes in format or content on the agency Web site go through the leadership for review and approval before the changes go into effect; otherwise, minor changes or some general content can be reviewed by the Web Administrator or assigned to content providers before they go into effect.
**Publications and Graphics Support**
The Director of Communications oversees this office. Agency staff request Publications assistance, and the Publications Team Lead confers with the Director to prioritize projects.
**Information Technology**
The Information Technology Division is within Operations and Administration. The Division Director oversees and manages daily operations of this division and reports directly to the Deputy Executive Administrator of Operations and Administration. All division policies and procedures are reviewed and approved by the Deputy Executive Administrator of Operations and Administration and the executive management team prior to adoption and implementation. All staff members are housed at the agency’s main headquarters.
*Security and Infrastructure*
Network infrastructure and security is monitored through a series of tools allowing the Information Technology staff to monitor the traffic, isolate bottlenecks, troubleshoot network connectivity issues, and provide means to improve network performances.
*Application Services and Database Administration*
The development management function is administered by the Team Lead under the direction of the Information Technology Division Director.
*Help Desk*
Calls and emails received are entered into c.Support—the TWDB incident tracking tool. Once the incident has been resolved, the time worked on the incident is entered and the ticket is closed. Some calls may be assigned to other groups in the Information Technology department through c.Support. This resource manages the incident to resolution and closes the ticket in c.Support.
*Project Management and Systems Analysis*
Both the project management and system analysis functions are administered by the Information Technology Division Director. Each of the functions is “clustered” into their own functional areas and is configured to support different business areas of the TWDB.
**Support Services and Contract Administration**
The Support Services and Contract Administration Division is within Operations and Administration. The Division Director oversees and manages daily operations of this division and reports directly to the Deputy Executive Administrator of Operations and Administration. All division policies and procedures are reviewed and approved by the Deputy Executive Administrator of Operations and Administration and the executive management team prior to adoption and implementation. All Support and Contract Administration staff is housed at the agency’s main headquarters.
Following is the Operations and Administration organization chart:
Texas Water Development Board
Self-Evaluation Report
Operations & Administration
Lisa Glenn, Deputy Executive Administrator
Support Services & Contract Administration
Support Services
Communications, Strategic Planning and Records Management
Contracting & Purchasing
Contracts
Purchasing
Contract Payments
Human Resources
Staff Resources Officer
Information Technology
Program Management Organization
Application Services
IT Systems & Project Coordination
Security, Infrastructure, & Service Desk
Web Administration
Publications & Graphics Support
Records Management
G. Identify all funding sources and amounts for the program or function, including federal grants and pass-through monies. Describe any funding formulas or funding conventions. For state funding sources, please specify (e.g., general revenue, appropriations rider, budget strategy, fees/dues).
**Operations and Administration**
| Funding Source | Amount |
|---------------------------------------|------------|
| General Revenue | $3,582,834 |
| Agricultural Water Conservation Fund | 11,062 |
| Federal Funds | 1,648,806 |
| Appropriated Receipts | 556,576 |
| Interagency Contract | 4,116 |
| **Total** | **$5,803,394** |
H. Identify any programs, internal or external to your agency, that provide identical or similar services or functions. Describe the similarities and differences.
**Human Resources**
The Human Resources function must be performed by all state agencies in some capacity. The TWDB has determined that an internal program best suits its business needs as opposed to outsourcing these duties and responsibilities. The Human Resources function is centralized at the TWDB, and there is no redundant function elsewhere in the agency.
**Communications, Strategic Planning, and Records Management**
This division serves as the main point of contact for the agency, which is standard for all government entities. As with other water agencies and associations, staff members provide news and information and serve as a resource to the public. This is not duplicated. However, the agency’s mission is to provide education and assistance to the public. Therefore, there are many other areas of the agency that provide this function on a topical basis.
*Records Management*
By law, each state agency is required to have one records management program, which cannot be duplicated either internally or externally.
*Web Administration*
Externally—most state agencies have a Web Administration group that maintains their agency’s Web site. Web sites differ in their content management system, programming language, color and design schemes, navigation, file system infrastructure, and Web authoring tools. However, most Web sites have the same goal of providing access to vital information (such as documents, publications, agendas, and minutes); forms (such as application, surveys, and feedback); policies; accessibility (as in accessibility coordinator); and data storage.
Internally—there are assigned content providers contributing content on the Web site, both on the public site and Intranet to reduce the overhead on Web Administration. Content providers, however, cannot create templates, create new Web sites without prior authorization from Web Administration and
leadership, and they do not have the ability to repair or clean up the Web site or Web pages. They can post and edit contents, delete old pages or files (with prior authorization), and be part of the Web team.
**Publications and Graphics Support**
The Publications section functions are not duplicated internally or externally.
**Information Technology**
The Information Technology function must be performed by all state agencies in some capacity. The TWDB has determined that an internal program best suits its business needs as opposed to outsourcing these duties and responsibilities.
**Security and Infrastructure**
There are no internal or external programs that provide similar services.
**Application Services and Database Administration**
The section known as the Texas Natural Resources Information System, or TNRIS, has staff members who develop their Web site, which is specific to providing a centralized information system incorporating Texas natural resources data in GIS.
**Help Desk**
The Help Desk is the only internal program providing this function. Externally, similar functions are provided by Department of Information Resources and Team For Texas staff.
Team for Texas (IBM) is used for data restores and all server functions. If a data restore is requested, the Help Desk contacts IBM with all of the information needed for a restore. A Remedy ticket is entered at the Department of Information Resources by either IBM or the Help Desk. Once the incident/request is completed and the customer is satisfied, the Help Desk notifies IBM to close the ticket.
**Project Management and Systems Analysis**
There are various business areas of the agency, other than Information Technology, that have staff members who perform project management and systems analysis activities; however, staff members in these areas who perform these functions generally do not have these duties as a primary focus of their job duties and responsibilities.
For example, within the Finance and Water Resources Planning and Information areas, some staff have project management and systems analysis responsibilities relative to those areas of expertise; however, these duties are not the primary responsibilities of those positions.
TNRIS has staff members who perform project management and systems analysis functions from an Information Technology perspective to various degrees; however, these functions focus on and are in direct support of the mandated mission of TNRIS and involve providing a centralized information system incorporating Texas natural resources data in GIS.
**Support Services and Contract Administration**
Internal—Within the TWDB, there is no other division or section that performs the same functions or services as the Support Services and Contract Administration staff members do. All state agencies have staff members that provide similar or same services/functions for their agency staff and stakeholders. These functions are necessary in order for each agency to operate.
External—As mentioned above, all state agencies have similar in-house administrative staff. These employees support the agency and its programs. These functions are not performed by any external parties at any state agency.
I. Discuss how the program or function is coordinating its activities to avoid duplication or conflict with the other programs listed in Question H and with the agency’s customers. If applicable, briefly discuss any memorandums of understanding (MOUs), interagency agreements, or interagency contracts.
**Human Resources**
There is coordination of training with internal divisions to avoid duplication of services. The Human Resources Division coordinates with external agencies such as the Equal Employment Opportunity Commission, State Auditor’s Office, Attorney General’s Office, Texas Workforce Commission, Employees Retirement System, and the State Office of Risk Management as needed to ensure mandated training, legal claims, unemployment claims, worker’s compensation claims, employee benefits information, and other personnel matters are appropriately handled or resolved.
**Communications, Strategic Planning, and Records Management**
This division works closely with internal stakeholders as well as external stakeholders, including other water agencies.
*Records Management*
By law, each state agency is required to have one records management program, which cannot be duplicated either internally or externally.
*Web Administration*
Externally—There is none.
Internally—Web Administration will be implementing content provider guidelines that will eliminate overlap or duplication of effort between content providers and Web administrators.
*Publications*
Not applicable
**Information Technology Division**
*Security and Infrastructure:*
Not applicable
*Application Services and Database Administration*
As mentioned in Item H above, the development performed elsewhere is generally not viewed as redundant but more supplemental to activities performed in Information Technology, largely due to the different types of focus, concentration of services, and levels of services.
Help Desk
When the Help Desk receives an e-mail sent to “Help Desk” or takes a phone call from a business customer, the person who takes the email or call follows through the resolution unless another Information Technology resource has been assigned to address the incident.
Project Management and Systems Analysis
As mentioned in Item H above, the project management and systems analysis activities performed elsewhere are generally not viewed as redundant but more supplemental to activities performed in Information Technology, largely due to the different types of focus, concentration of the services, and levels of services.
Support Services and Contract Administration
- All fleet functions are consolidated to improve efficiency and to ensure all data is accurately reported.
- All safety efforts are performed by Support Services staff. This ensures consistency in this area.
- All building-related issues are coordinated by the Support Services staff. No other staff is allowed to do this type of work.
- Contracting services are coordinated internally to eliminate duplication of effort and to ensure compliance with state and federal statutes.
- Contract payment review is solely performed in this division. This helps eliminate duplication of effort and ensures consistency.
- Only the agency purchaser is allowed to procure goods and services. No other TWDB staff is allowed to procure except in case of absolute emergency (such as roadway incident).
- All outlays are reviewed within the division. The division does rely on Construction Assistance staff to certify the outlay, but all reviews are performed by outlay staff.
J. If the program or function works with local, regional, or federal units of government include a brief description of these entities and their relationship to the agency.
Communications, Strategic Planning, and Records Management Division
The division works collaboratively with media relations and public information professionals at other city, county, state, and federal agencies as needed for media communication topics of mutual concern. No specific function requires us to work with a local, regional, or federal unit of government.
Records Management
The Records Management Section submits regular reporting to the Texas State Library and Archives Commission to fulfill Texas Government Code, section 411, as well as 13 Texas Administrative Code, section 6.1. Since the agency works directly with local governments, staff members also work under regulations set forth in Texas Local Government Code, section 201-203.
Because some projects receive funding directly from the U.S. Environmental Protection Agency, there are requirements on record keeping and reporting for those projects.
Web Administration
There are some external links to and from various entities’ Web sites. For example, TWDB’s Web site contains links to the Texas Online and the Fraud and Waste (through the State Auditor’s Office) Web sites.
Save Texas Water (www.savetexaswater.org) is an external Web site separate from the TWDB function but hosted on the TWDB Web server. The content on this Web site is maintained by the staff in the Conservation Division in Water Science and Conservation for the Water Conservation Advisory Council.
**Publications and Graphics Support**
Staff members provide copies of all our materials to the State Library and also work with state printers on the Council of Competitive Government list.
**Information Technology Division**
*Security and Infrastructure:* Not applicable
*Application Services and Database Administration:* Not applicable
*Help Desk:* Not applicable
*Project Management and Systems Analysis*
The project management program area serves in a management capacity for the Texas Water Information System Expansion project, also known as the TxWISE project. Additionally, staff from the systems analysis program area is involved in support roles on the project.
This project, which involves consolidating data from various agency data systems into one application, is in part funded with federal funds from the U.S. Environmental Protection Agency (EPA). In addition to the federal funding, the TWDB uses an EPA national consultant from Northbridge for the developing and deploying this new data management information system. Also, as the EPA consultant has deployed systems of this type in other states, project management staff members network with government staff in other states such as California, Arizona, New Mexico, and Louisiana to share information.
**Support Services and Contract Administration**
The Support Service staff members work daily with the Texas Facilities Commission on building issues, maintenance, facility improvements and other related functions. The TWDB has a very good working relationship with this agency.
The Contract Administration staff works closely with the Comptroller’s office and other state/federal agencies, as well as local entities on various contracting and purchasing issues. Again, the TWDB appears to have good working relationships with these parties.
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**K. If contracted expenditures are made through this program please provide:**
- the amount of those expenditures in fiscal year 2008;
- the number of contracts accounting for those expenditures;
- a short summary of the general purpose of those contracts overall;
- the methods used to ensure accountability for funding and performance; and
- a short description of any current contracting problems.
FY 2008 expenditures: $1,444,563
Number of contracts: 21
Operations and Administration contracted services are primarily for Information Technology services, but other operational contracts for Human Resources services are executed. The primary contract in Operations and Administration is an interagency contract with the Department of Information Resources for data center consolidation. Other services require the documentation of scope of work, budget, timeline, reporting requirements, and project deliverables. In addition to review by program staff, contract administration staff members review invoices to ensure that submissions are proper and correspond to contract requirements.
**Security and Infrastructure**
The Department of Information Resources data center services contract was executed on May 1, 2007. Data center services expenditures in FY 08: $1,212,494.40
This is a single, legislatively mandated contract between the TWDB and the Department of Information Resources to have a selected service, now known as IBM Team for Texas (IBM), manage the agency’s data center.
The general purpose of this contract is to consolidate 27 state agency data centers into two state data centers managed by a single contract. For the TWDB, this means IBM now manages our data center to include servers, network storage, systems administration, and disaster recovery of agency data. The TWDB is currently scheduled to transform our data center to the state data centers (Austin and San Angelo) by December 2009.
The methods used to ensure accountability for funding and performance include a monthly invoice, validation of invoices, and continual monitoring of servers, backups, and IBM’s ticketing system known as Remedy, which is used to track changes, incidents, and solution requests.
Service provided by IBM continues to degrade and is hampering the ability of the TWDB to work efficiently. Some examples include:
IBM continues to provide insufficient backup of TWDB systems. Not all systems are being backed up nor being addressed appropriately. The TWDB received a backup audit from IBM on 8/25/2008; we met with IBM and the Department of Information Resources on 11/12/08 to identify issues, and change requests were submitted; however, not all changes have been completed.
There continues to be a lack of movement by IBM regarding establishing a site-to-site encrypted tunnel between the TWDB and the state data centers, which has caused a delay in the network connectivity of the TWDB and, in turn, is delaying TWDB’s transformation.
IBM has not successfully completed the TNRIS backup and restoration of approximately six terabytes of special geographic information systems data. This request is older than 26 weeks and has prevented TNRIS from loading additional data from portable hard drives, thereby putting this data at risk of being lost. This same request would have taken the TWDB a maximum of two weeks to complete.
**Application Services and Database Administration**
Two contractors are employed to augment the development staff. One contractor is providing programming services for infrastructure financial reports, report interface projects, and Water Use Survey applications. The other contractor is developing the security framework modules and Application Program Management System that will be used by Water Information Integration & Dissemination applications such as the Water Use Survey. The Application Program Management System provides user authentication and a single point
of access to TWDB’s Web applications. The development of this system is in response to the security vulnerabilities identified in Texas Administrative Code 202 and is part of the Information Resources Deployment Review Corrective Action Plan response.
**Help Desk:** Not applicable
**Project Management and Systems Analysis**
**TxWISE Project Information**
- Amount of expenditures for FY 2008 (state expenditures) – $10,895.67
- Number of contracts (state expenditures) – One
- Short summary of purpose of contract – Developing and implementing the state portion of a comprehensive management information system for agency loan, grant, and contract funding assistance programs. Contract obtains the services and expertise of an EPA national consultant who has performed these activities in other states.
- Consultant performance is monitored by the Information Technology project manager using weekly and monthly status reporting from the consultant, weekly status meetings with the project team, and semi-weekly meetings with the steering committee. Funding is monitored by the TWDB Contracts and Purchasing staff and the Information Technology project manager through the invoice review and approval process.
- No current contracting problems exist.
**Support Services and Contract Administration**
Below is a summary of the FY 08 contracts and purchases:
| Category | Number Processed | Value |
|---------------------------|------------------|---------------------|
| New Contracts Executed | 94 | $29,501,029.68 |
| Total Purchase Orders | 1,469 | $7,459,824.66 |
| Federal Outlays | 333 | $146,832,340.68 |
| Contract Payments | 608 | $37,992,074.30 |
All of these contracts and purchases were performed in accordance with state and federal rules and regulations and are subject to both state and federal audit.
**L. What statutory changes could be made to assist this program in performing its functions? Explain.**
None.
**M. Provide any additional information needed to gain a preliminary understanding of the program or function.**
**Publications and Graphics Support**
Although this section’s primary task is to edit, design, and print major agency publications, they also assist agency staff with a multitude of small projects. These projects do not fit neatly into categories, but they include the following:
- Scanning and posting historical agency reports on our Web site
• Producing over-sized maps, posters, and other materials
• Providing graphic support
• Producing event-announcement post cards
• Copying, collating, and binding in-house reports
• Providing logos and photos for presentations
We also assist our Web Administrator daily in managing the 105,000 files on our Web site.
N. Regulatory programs relate to the licensing, registration, certification, or permitting of a person, business, or other entity. For each regulatory program, if applicable, describe:
• why the regulation is needed;
• the scope of, and procedures for, inspections or audits of regulated entities;
• follow-up activities conducted when non-compliance is identified;
• sanctions available to the agency to ensure compliance; and
• procedures for handling consumer/public complaints against regulated entities.
Not applicable
O. For each regulatory program, if applicable, provide the following complaint information. The chart headings may be changed if needed to better reflect your agency’s practices.
Not applicable
|
DvP using CBDC: a “settlement choice model” for securities settlement
Alisa DiCaprio
Austen Appleby
George Calle
Brian Gelfand
Marc Henniges
Sven Schulz
Ricardo Correia
Tony Anderson
Delivery vs. Payment is central to the world's securities settlement systems, but is implemented in multiple forms that differ by jurisdiction. All of these different models exist on a continuum from intraday gross settlement—which minimizes settlement risk while requiring a great deal of liquidity—to delayed batch settlement—which offers netting efficiencies but delays final settlement. Market participants acknowledge the benefits of real time gross settlement but continue to rely on the operational and liquidity advantages of delayed batch settlement. Acknowledging that reality, this paper proposes a new “best of both worlds” model that allows for a choice of settlement type at the time of trading and offers the ability to settle both gross and netted trades instantly using Central Bank Digital Currency and digital assets on a blockchain infrastructure.
# Table of Contents
1—Introduction .................................................................................................................. 1
2—Delivery versus Payment today .................................................................................. 2
2.1 The role of central banks in the securities settlement process ........................................... 2
2.2 Typology of settlement models .......................................................................................... 3
3—A history of central bank exploration of the wholesale CBDC DvP use case ..................... 4
3.1 Drivers of central bank interest in blockchain .................................................................... 4
3.2 Four foundational research reports on the CBDC DvP use case ........................................ 4
3.3 How changes in settlement times impact the incentives for DvP using blockchain .......... 6
4—DvP Model 4? A proposal for a settlement choice model .................................................. 7
4.1 Two ways the settlement choice model changes today’s DvP process .............................. 8
4.2 Impacts on participants, CSDs and central banks ............................................................... 9
4.3 Settlement choice model vs decentralized finance applications ...................................... 10
5—An exploration of DLT’s impact on existing models in securities settlement ....................... 12
5.1 DvP Model 1 ......................................................................................................................... 12
5.2 DvP Model 2 ......................................................................................................................... 14
6—Conclusion ..................................................................................................................... 18
7—Appendix: CBDC Working Group survey results ............................................................... 20
The widespread exploration of Central Bank Digital Currency (CBDC) and decentralized technology by central banks and financial market infrastructures (FMIs) has opened the door to an interesting new securities settlement option. One where participants can dynamically choose between instant trade-for-trade settlement or batched netted settlement. This flexibility is unusual for the market, but consistent with the demands of market participants.
One of the challenges in today’s securities settlement processes is that they have evolved unevenly in recent decades. Systems and processes were digitized at different speeds, local business norms often prevailed over standardization, and international (cross-time zone and cross-language) trades were low priority. Consequently, processes, systems, and especially market participants have adapted to existing constraints, which in some cases reinforce market inefficiencies.
Delivery versus Payment (DvP) processes are one example of how the market has adapted to these constraints. Delays of two days (T+2) in settlement are not just accepted today but relied upon to source liquidity and securities, and to reconcile multiple books and records. While there is now renewed interest in shorter settlement cycles, this need to source liquidity and align records is in part why market participants are currently more supportive of a move to T+1 over T+0.
To gauge where the financial industry is in its thinking about T+0 DvP, we undertook a survey of members of the R3 CBDC Working Group. This survey identified four inefficiencies in today’s DvP process, covering both operations and technology. Atomic\(^1\) settlement would address some of these inefficiencies, but in the absence of a technology upgrade could exacerbate others. We use the survey responses to guide our discussion of a novel model of securities settlement.
Our objective in this paper is to provide evidence that the confluence of new technologies available in securities settlement allows for flexibility in the choice of settlement model used by market participants. Rather than disintermediating existing market participants, a choice model allows them to take on distinct new roles in a new system defined by tokenized securities, CBDCs, and blockchain. We also focus exclusively on the DvP settlement process here—we are aware of the fact that moving to T+0 settlement would require changes in today’s trading processes, systems and infrastructure.
This paper explores the benefits of settlement on blockchain using CBDC. This can potentially simplify the settlement process and provide an efficient path to T+0 DvP while preserving the important roles of existing mechanisms and market infrastructures. It constitutes an attractive idea to the sector because it would unlock value in the existing regulated securities settlement process. We acknowledge that an actual move to T+0 settlement would also imply changes to the current processes and market conventions in trading and clearing—these concerns would need to be addressed separately and are not covered in this paper.
The paper begins with a look at the history of DvP and CBDC research and experimentation by central banks and FMIs in sections 2 & 3. Section 4 introduces a settlement choice model that is distinct from but contains elements of existing DvP practices. To anticipate the benefits and challenges of this model, we undertake an architectural exercise in section 5. Specifically, we look at how the process in existing DvP models 1 and 2 would change with the application of blockchain technology, which is an essential feature of our proposed settlement choice model.
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\(^1\) Atomic settlement is different from, though related to real time gross settlement (RTGS). Atomic means that there can be no partial settlements. By contrast, partial settlements are possible using today’s structure. Atomic means that the transfer of two assets is linked in such a way as to ensure that the transfer of one asset occurs if and only if the transfer of the other asset also occurs—that is, the settlement of both assets is conditional upon each other.
Delivery versus Payment (DvP) describes the process of exchanging securities against money. It is the common way that securities are settled, complemented by “Delivery free of payment” and “Delivery versus Delivery.” By interlocking securities transfers to funds transfers, a DvP process can reduce or eliminate principal risk by requiring that payment is made at the same time as the securities are delivered.
There are various mechanisms for implementing DvP. The simplest form of DvP is gross settlement, where transactions are settled trade-by-trade rather than grouped together and netted.
Today’s DvP procedures have received renewed focus because of both the turmoil caused by securities price volatility and resulting margin requirements, and the significant efficiency benefits offered by blockchain technology and wholesale CBDC. DvP mechanisms generally execute through a central securities depository (CSD) and involve central bank money transfers between participant accounts at the central bank. If CBDC were to become available for on-chain settlement against tokenized securities, this could introduce alternatives for DvP that would mitigate some of the risks and inefficiencies that we see today.
2.1 The role of central banks in the securities settlement process
The reason we undertook this research as part of the CBDC working group is because central bank money plays a central role in securities settlement systems. While central bank money is not required for securities settlement, from a risk perspective the ideal process is for the final and irrevocable settlement of payment obligations to be done using money that represents a direct claim on the central bank.
In today’s settlement architecture, using central bank money requires parties to have accounts at the central bank, or to settle through banks that have those accounts. Central bank money exists electronically and can only be used between accounts of participants at the central bank. This practice means that there is a close existing linkage between most of today’s securities settlement systems and their associated central banks.
We began our project by asking: what if securities could be settled without requiring institutions to be formally connected through the central bank? We realized that for securities settlement, the combination of blockchain and CBDC could change two things about the securities settlement process. First, blockchain allows central bank money and securities to be settled against each other directly without requiring linkages between institutions. Second, having CBDC on the same ledger as digital forms of securities reduces the risks and potential delays of both real time gross settlement (RTGS) and netted settlement. Blockchain further allows for a single ledger for all participants, the benefits of which are described briefly later in this paper.
By removing the institutional requirement to be linked via central bank accounts, CBDC and blockchain technology offers the possibility of an alternative mechanism for DvP, which is not in practice today but could be adopted in the future.
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2 From BIS 1992 p. 1: “Principal risk in securities clearance and settlement systems is generally recognised to be the largest potential source of systemic risk, that is, the risk that the inability of one institution to meet its obligations when due will cause other institutions to fail to meet their obligations when due, ultimately jeopardising the stability of payment systems and of financial markets.”
3 Today’s settlement architecture requires the settling banks to be direct members of a central bank settlement system. This is the case regardless of whether the settlement uses central bank money or commercial bank money. Under the CPMI roadmap for payments, a future question is whether a securities settlement system can be a direct participant (instead of a bank) of the central bank cash settlement system.
We call this the settlement choice model. It combines the characteristics of existing DvP models and adds features that address some of today’s inefficiencies (See the appendix for the results of a survey of CBDC Working Group members on this topic). DvP is enabled in this model by allowing market participants to choose, on a per transaction basis, whether to use netting or trade for trade. To understand how novel this process is, we first detail the existing DvP models in use today.
2.2 Typology of settlement models
In 1992, the Bank for International Settlements (BIS) published a report on *Delivery versus Payment in securities settlement systems*. In this report, the BIS presents a taxonomy of existing DvP mechanisms. The report divides these mechanisms into three model cases. Each is distinct, though they exist on a clear continuum from immediate finality of both the cash and securities legs (Model 1) to deferred finality of both legs (Model 3).
**Figure 1. Spectrum of BIS DvP models**
| Immediate finality | Deferred finality |
|--------------------|-------------------|
| **Model 1** | **Model 2** | **Model 3** |
| gross settlement of securities and cash | gross settlement of securities throughout the settlement cycle, followed by a net settlement of cash at the end of the same cycle | net settlement of securities and cash |
Model 1 settles transactions trade-by-trade. In this workflow, full payment is exchanged for full delivery of securities. Model 1 transactions can, in theory, be implemented on a blockchain-based platform using atomic swaps between the securities and the cash leg.
In Model 2, securities settlement occurs intraday, but payments are netted among participants and are only exchanged during the final securities settlement. This requires a record-keeping process throughout the settlement cycle which at the end leads to a net cash obligation between two counterparties. Throughout the cycle, participants typically use collateral (other securities in their portfolio) to obtain credits for the acquisition of the securities in the record-keeping process.
With Model 3, the finality of settlement for both payments and deliveries only occurs on a net basis at the end of the netting cycle. Model 3 therefore provides no finality on either of the legs of the trade throughout a trading cycle. Both securities and cash are recorded and then settled in transactions between the two counterparties at the end of the cycle.
The BIS based this taxonomy on processes that were being used in 1992. These are still the common DvP models used today, with different jurisdictions using their own versions of these models for securities settlement. Model 2 settlement is prevalent in the US and Canada, for example. Whereas the European TARGET2-Securities (T2S) system uses a combination: T2S employs Model 1 throughout the day and offers short periods of Model 3 for night batches and other limited cases. To compensate for liquidity issues, participants of T2S can use their securities as collateral to obtain credit during the trading cycle. They can do this through central bank auto-collateralisation and/or through client collateralisation. However, the cash payments are still settled right away, not netted later in contrast to Model 2.
What all of these models have in common is that they settle using central bank accounts. It is for this reason that we introduced an exploration of DvP into discussions taking place in the R3 CBDC Working Group. DvP as a use case for CBDC isn’t entirely novel, however. To provide some context to our proposal in this paper, the next section considers the very recent but extremely active history of central bank exploration of DvP in the CBDC context.
DvP is just one use case in today’s widespread international activity around CBDC design and issuance. The current attention to CBDC research is a deliberate attempt to thoughtfully and carefully integrate decentralization into the existing monetary system.
There are two forces that are converging to raise interest in the CBDC DvP use case for securities settlement. The first is that there is now a considerable foundation of central bank research on the DvP use case. We go through this in some detail in section 3.1. The second reason is that settlement times have shortened, and blockchain provides a clear path to T+0 securities settlement, the utility of which has raised considerable debate. We cover that in section 3.2.
3.1 Drivers of central bank interest in blockchain
Today’s activity in the CBDC space is partially in response to the growing prevalence of Bitcoin and other cryptocurrencies. Other factors that have driven this include the globally diminishing use of central bank-issued banknotes and the increasing activity of largely unregulated Big Techs in the payments space. There have been concerns that the ability of central banks to continue to set monetary policy may be eroded by these factors unless the central banks themselves were also actively participating in the digital payments space.
Central banks began their exploration into digital currencies as early as 2014. The BIS reports that in January 2021 86% of surveyed central banks were exploring CBDC use cases. Several countries have trialled, are currently deploying, or are in the process of issuing general purpose or retail CBDCs, including Ecuador (2014–2018), the Bahamas (Sand Dollar in 2019), the Eastern Caribbean central bank (D-Cash in 2020) China (Digital Yuan in 2020), Venezuela (Petro-Dollar in 2018) and Nigeria (e-Naira in 2021).
While these retail-focused cases have been the predominant focus in the popular press, the DvP use case that we explore here is on the wholesale side. Wholesale CBDC is only available to financial institutions and payment service providers rather than consumers directly.
For securities settlement, wholesale CBDC is of particular interest because it could offer significant efficiency benefits for various financial transactions while contributing to systemic stability in financial markets.
Central banks have undertaken a great deal of detailed research into wholesale CBDC use cases. Many of the wholesale CBDC projects to date have focused on the use of CBDCs for cross-border payments and atomic settlement for various asset classes including securities (see Table 1).
3.2 Four foundational research reports on the CBDC DvP use case
There are four wholesale CBDC projects in particular that inform this paper. We describe them briefly in the table and paragraphs below. This summary is meant to give some context to the proposal we introduce in section 4 of this paper. These projects provided both design requirements and business considerations for our proposal.
The first of these is the Bank of Canada’s **Project Jasper** Phase 3. This proof of concept was conducted jointly by the Bank of Canada, Payments Canada, and TMX Group and was supported by Accenture and R3. It demonstrated the successful interaction of tokenized central bank money (Digital Depository Receipts) and tokenized securities on a shared distributed ledger for the settlement of previously cleared and netted transactions. The primary lessons from Jasper Phase 3 are that (1) the interaction of tokenized fiat money and securities can successfully occur on a shared ledger; (2) using this ledger, there is liquidity efficiency achieved via direct interaction between fiat money and securities; and (3) it is possible to use “loose coupling” between the Bank of Canada and the Canadian Depository for Securities, allowing direct interaction between fiat money and securities to happen without requiring either the integration of the two systems or an interface between them.\(^4\)
A second CBDC project is Project Stella Phase 2. This proof-of-concept was a joint project by the European Central Bank (ECB) and the Bank of Japan. It compares settlement of fiat money and securities both on a single ledger and on two separate ledgers, using several different types of distributed ledger technologies. The principal take-aways of Project Stella Phase 2 are: (1) there is utility to be gained from DLT for DvP settlement on both the dual-ledger and single-ledger models, and (2) there is added complexity in using separate cash and securities ledgers instead of the direct interaction of cash and securities on a single ledger.
As a third project, **Project Ubin** Phase 3 demonstrated successful and efficient interledger settlement of securities and fiat money using several different DLT providers. Project Ubin showed (1) the potential for DvP on DLT to compress settlement times, (2) that smart contracts could enable enforcement of participant rights and obligations and investor protection, and (3) that this settlement model has a central role for a recognized market operator (RMO) to monitor and facilitate market functionalities.
A final project that informs our research is **Project Helvetia**, a joint experiment conducted by the BIS Innovation Hub, the Swiss National Bank and the SIX Group. Project Helvetia compared single-ledger settlement with a settlement model that links digital securities and an existing central bank payment system. The project found an efficiency advantage in single ledger settlement, but it was accompanied by potential CBDC design and implementation challenges.
Our paper on DvP for securities settlement is an extension of these earlier (and ongoing) efforts to build out the DvP use case for CBDC. The model we introduce in Section 4 incorporates the efficiency and complexity learnings from Projects Jasper and Stella and Helvetica, and acknowledges Project Ubin’s result that existing intermediaries can remain as part of a functioning DLT settlement system.
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\(^4\) The term loose coupling refers to a scenario in which two separately governed systems are logically connected without compromising the control of either authority over its system or assets.
3.3 How changes in settlement times impact the incentives for DvP using blockchain
Central bank research on the DvP use case is not the only reason that there is renewed interest in blockchain for securities settlement in DvP. The progressive shortening of settlement times provides a further incentive for central banks to understand how CBDC and blockchain might adjust how DvP is executed.
Today, securities settlement is available in T+2. The US securities settlement system operator (DTCC) has published a roadmap to settlement in T+1. T+0 settlement would be a dramatic departure from what was the historical movement of T+5 to T+3, and then to T+2 today. It would require considerably more than just increasingly frequent settlement cycles.
You might ask why central banks are not aiming for T+0 in the short run. The answer is that while the technology is available, current market structures, operational processes and market conventions still require time to settle transactions efficiently. Multilateral netting provides enormous efficiencies to the market, and further work is required before T+0 settlement can include the benefits of multilateral netting.
Complementing central bank research work on CBDC for DvP, there are regulator efforts to understand the implications of blockchain on DvP in the context of settlement times. The DTCC has announced development work on a DLT settlement platform for securities. Project ION will function alongside and interact with the current infrastructure to allow participants to prepare for digital asset settlement in the future and help enable this compression of settlement times.
It is these two forces that led us to propose a new model for DvP and securities settlement. CBDC research clarified the efficiency benefits of blockchain, while operational frictions, liquidity requirements and market conventions are impediments to T+0 settlement today. Building upon these considerations, we propose a model that we believe uses both blockchain and CBDC in a way that would build on existing processes, offer new efficiencies and options, and not completely disrupt or disintermediate market infrastructures that play important roles in ensuring consistency, confidence, and market integrity.
One of the major concerns raised in every CBDC discussion is disintermediation. This gets to the heart of the slow adoption of blockchain. Today’s intermediaries play important roles in securities settlement, and while it is technically possible to settle without them, it may not be wise from a financial stability perspective at the current time.
This fundamental tension informed our design of the settlement choice model. We propose this model as a way of taking advantage of the new functionalities that blockchain provides for DvP, while continuing to leverage existing market infrastructures like CSDs and central banks. This could also be an introductory step in the move towards greater disruption, but one that allows all market participants to adjust.
In contrast to what is often assumed, blockchain will not necessarily lead to a complete disintermediation of existing players. Instead, they will still perform important roles, e.g., provide infrastructure or accept accountability for certain processes. Figure 2 shows all parties involved in our simplified process overview, with a color code which we will find again in the process descriptions. These parties can be thought of as being interconnected via a blockchain (or several connected blockchains). Each of them could theoretically run a node that connects them to one another.
Blockchain, tokenization, and CBDC are inherent components of this simplified approach, and all the challenges arising from an adoption of each of these innovations individually as well as from integrating such a platform into existing systems will need to be investigated in future studies. An implementation will challenge existing market conventions, which are notoriously tough to change.
In the following subsections, we take an expansive view of securities settlement. We begin by describing our settlement choice model and the two innovations it presents to the existing process of DvP. This covers both the technical architecture and how it would change how we do DvP today. Finally, we take the model to its logical extreme to understand how it might change the DvP process in the future.
4.1 Two ways the settlement choice model changes today’s DvP process
The model that we propose here is a combination and extension of DvP Models 1 and 2.
There are two innovations in this model. The first is that participants in the securities settlement system have a choice as to how their trades will settle. If participants wish to settle on a real-time gross basis, they can mark the trade for RTGS and it can be settled on-chain via atomic settlement achieving finality of both legs. If they prefer to take advantage of the benefits of netting, they can mark their trades to settle via the netting mechanism—finality of securities settlement is achieved as it is today in real time and cash legs are settled intraday via CSD credit tokens.
The second innovation is for participants that decide to net, they can opt at any time during the day to calculate and finalize a net settlement using CBDC on-chain in the CSD. This settlement will finalize the cash leg and release any collateral that was committed to secure the CSD Credits.
To better understand how this new model works, we use a simplified setup where all tokens, market participants, and smart contracts (e.g., for DvP and settlement) are placed on the same blockchain.
Figure 3: Components in the settlement choice model (illustrative model)
Figure 3 illustrates one possible way of trading in the DLT-based securities settlement system: (1) CP2 sends one Security A token to the DvP smart contract in order to swap it against two CSD coins. (2) CPI stakes one Security B token and receives four CSD coins in return (according to a current market price). (3) CPI transfers two of these tokens into the DvP smart contract. (4) Now, the trade can take place. Afterwards, the tokens will be sent back to the respective contracts with a changed owner. Alternatively to this process, the two counterparties could also use the DvP smart contract to trade securities against securities (delivery-versus-delivery), CBDC against securities, or CSD coins against CBDC (peer-to-peer netting).
Figure 3 shows this setup. Two smart contracts representing securities A and B contain squares which indicate the single securities owned by either Counterparty 1 (blue) or 2 (red). The CBDC smart contract (owned by the central bank) contains several CBDC coins as diamonds with the same coloring for ownership of these tokens. The CSD provides two smart contracts: one where securities (rectangles) can be staked in order to receive CSD tokens (circles) and one where the actual swap / trade takes place.
Let us assume that tokens are standardized (like an ERC-20 token on the Ethereum blockchain) in a form such that, for their technical representation, it does not matter what they represent: CSD coins, CBDC, or securities.
The following actions will then be possible with a setup as depicted in Figure 3:
- An atomic swap in the DvP smart contract between CBDC and a security (Model 1).
- Moving (staking, locking) a security token into the Collateral smart contract of the CSD in order to receive newly minted CSD Coins / tokens which can be used as intraday payments (intraday cash).
- An atomic swap between a security and such a newly minted CSD Coin.
- Re-use of CSD Coins for different trades.
- An atomic swap between CSD Coins and CBDC as a cash settlement (Model 2).
- Freeing collateral by burning CSD Coins and moving the security tokens back into their smart contracts.
We make a number of simplifying assumptions in this model. First, we assume that all assets in the transaction are represented on the same blockchain. Other assumptions include: there is just one currency, the collateral smart contract always knows the market value of securities and will create the correct amount of CSD coins, and the CSD coin is worth the same as a CBDC token.
In reality, cross-ledger technology may be required, currency conversion and different values and risks of securities and CSD tokens will need to be considered. Complex risk models, additional players with niche functionality, and various oracles need to be created in order to implement such a solution. All of these capabilities are already available today and can all be applied to this new model while still providing a choice for market participants. How to incorporate these additional features, players, and processes is a subject for future study.
4.2 Impacts on participants, CSDs and central banks
The technical architecture we describe above innovates both the DvP process and also more specifically the netting process. What we are proposing can offer significant advantages. We can divide these benefits into those which impact the participants, the CSD and the central bank.
The market participants involved in securities settlement are the beneficiaries of this model. The benefits they could gain include:
- Direct netting, providing instant finality at T+0, if participants want, without impairing the ability to also benefit from DvP Model 2 for other trades.
- Direct access to CBDC for all those on-boarded to the central bank smart contract (either via the central bank itself or through intermediaries or representatives).
- If the CBDC and the securities share a common ledger, independent actors can issue a variety of tokens on this ledger and interact directly with capital, lowering the barrier to entry and promoting competition.
- Participants need not worry about linkages to accounts at a central bank.
- The usage of smart contracts allows for instant feedback on the success of a trade. This does not take out all risks, as that also depends on the assets being exchanged, but it allows for immediate re-use of the exchanged assets and a higher degree of automation.
There are also benefits to the CSD. These include:
- Simplification of netting and record keeping with smart contracts. Any net and final payment in central bank money can be done at any time by exchanging CBDC and CSD Coins via the DvP smart contract. As the CSD Coins are created by locking collateral, participants will have an incentive to obtain CSD Coins as soon as they can to unlock their collateral, e.g. in order to trade it.
Without the need to adhere to banking schedules, there is additional flexibility for the CSD to operate on its own schedule.
Finally, central banks may also benefit from a settlement choice model. They could easily offer a service to stake certain qualified securities as collateral in order to mint CBDC for the staking party. This would enable deals according to model I but with credit extended in the form of CBDC.
4.3 Settlement choice model vs decentralized finance applications
The savvy reader might notice that our proposed settlement choice model has features that are very similar to another trend in securities markets—decentralized finance (or, DeFi). However DeFi exists at the opposite extreme: it has no intermediaries, requires no trust in counterparties or centralized service providers, and as a result, requires over-collateralization.
DeFi has grown considerably over the last two years. It consists of applications for exchanges, derivatives, synthetic instruments, algorithmic stablecoins, lending, hedging, and more. These products usually consist of a number of smart contracts and specific tokens, which create incentives for market participants, in the form of financial rewards or governance features.
In this section, we look at the consequences of implementing the settlement choice model infrastructure in the DeFi space and compare the features in both ecosystems. The previous sections assumed that our settlement choice proposal would be applied in a way where existing intermediaries were retained and overall market disruption was minimal. Here we consider what it might look like if the role of the CSD was fully automated.
Though it is not our original intent, the proposed settlement choice model could also be set up as a DeFi application. In such a decentralized settlement security system, certain tokens could be used as collateral to create payment tokens which are valid within the ecosystem (for us, the job of the CSD). The DvP smart contract (in our example, also owned by the CSD) would then be a decentralized exchange where tokens can be swapped. The CBDC equivalent could be the native token of the blockchain or a stablecoin created by an external entity or by an algorithm, for example as in the case of DAI.
There are three key aspects of such decentralized systems: (1) They are open to anyone. This means that today’s anti money laundering measures which are designed for centralized systems will be difficult to apply. (2) In order to receive tokenized value of any kind (stablecoins, derivatives, etc.), over-collateralization is the rule, together with forced sales in cases when borrowed asset prices fall below established thresholds. In such a system it is not possible to extend credit based on ratings or to create money (as banks can) based on future payments.
Finally, (3) any connection to off-chain values (fiat currencies, gold, etc.) is handled through decentralized oracles or economic incentives that rely on network effects. This imposes a risk on financial transactions that involve off-chain values.
In general, DeFi applications are often created by startup companies on relatively new infrastructure. Additionally, most market participants manage the private keys (which give them access to their assets) on their own, which means there is no third party to assist them in case of loss. These two aspects each can lead to the total loss of all assets. This could occur through key loss, hacked smart contracts, or protocol errors. Moreover, untrained traders are not protected from malicious actors, complex structured products, or inappropriate financial decisions.
On the plus side for DeFi, one can never lose more than one owns, while in centralized systems, leveraged products and margin calls can in some cases lead to default.
However, centralized players can be forced (1) by regulators to follow certain rules and thus prevent criminal activity (2) by the market to use money and other values efficiently and extend credit based on ratings or for a lower amount of collateral than in DeFi markets, and (3) by law to accept liability and accountability for provided rates and accepted deals. Moreover, extensive record-keeping and reporting requirements make total loss of assets for market participants due to technical errors unlikely.
Our proposed settlement choice model can hence leverage the efficiencies of smart contracts, automation, ease-of-use, simple onboarding, and openness, but also the centralized aspects of regulation, efficiency, and clear accountabilities.
In our proposed settlement choice model, market participants will choose which settlement type they wish to use at the time of trading—either netted or immediate and gross. If they choose netting, our model would further allow participants to decide when they wish to do netting without having to wait for the end of a trading cycle. This is a notable change from the process as it works today.
Because our proposed settlement model includes elements of both BIS DvP Models 1 and 2, translating each of these processes to a blockchain architecture allows us to anticipate some of the challenges that will accompany the implementation of our settlement choice model. In this section we therefore deconstruct BIS DvP Models 1 (gross settlement of both securities and cash) and 2 (gross settlement of securities, net settlement of cash) to explore how each would respond to using a blockchain architecture. We highlight both the efficiencies and the challenges that this innovative technology can introduce.
5.1 DvP Model 1
In the settlement choice model, participants have two choices. One choice is gross settlement of securities and payment on a trade-for-trade basis. This model of DvP is the primary form of securities settlement in the European T2S system (with the exception of a few hours at night when settlement is netted) and is available for use in Canada for certain trades and in the US for securities that are not eligible for continuous net settlement.
In this section, we first look at how gross settlement works today, and then explore how using blockchain for Model 1 DvP addresses some, but not all, of the inefficiencies in today’s DvP process as highlighted by R3 CBDC Working Group participants (see appendix). In particular, applying blockchain with on-chain CBDC to Model 1 can reduce the time elapsed between trading and settlement, and by definition a single ledger as contemplated by blockchain architecture can eliminate the need to reconcile multiple books and records and provide a single set of consistent static data describing securities. However, a domestic model does not address the issues of differing conventions between national systems and the resulting cross-border frictions.
We begin with an example. Figure 4 provides an overview of the steps in a securities settlement system. In this example, two market participants have agreed on a deal where Counterparty 1 purchases a security from Counterparty 2 (right-hand-side) for a certain amount of money (depicted by the diamonds with dollar signs on the left-hand-side). Both counterparties communicate this deal to their respective custodians, who will facilitate the trade on the securities settlement system.
On the left-hand-side, we see the balance within the reserve accounts of the custodians at the central bank. The right-hand-side displays the securities ledger for Custodian 1 and 2 within the Central Securities Depository (CSD).
Step 0 shows the initial state at the time of the deal: On their central bank accounts, Custodian 1 owns three cash units, Custodian 2 owns two. On the securities ledger, Custodian 1 does not own any securities, Custodian 2 owns two of the same kind.
Step 1 shows what happens in this simple DvP model on settlement day: the exchange of money on the central bank side and the securities exchange in the CSD happen in near-real time. Both accounts now reflect the state after the deal, where money and securities have changed owners. Money will have been sent using the relevant High Value Payment System (HVPS), e.g., RTGS.
The innovation that blockchain introduces is that the DvP process can be finalized using an atomic swap, especially if it is implemented on a blockchain using on-chain payments, tokenized securities, smart contracts, and automated flows. The value in using a CBDC in this atomic model is that the cash leg is settled in central bank money, just as if the settlement was affected in accounts at the central bank as previously illustrated.
The principal role of the CSD in this model is to provide and be accountable for infrastructure in the form of accessible, thoroughly tested, and robust smart contracts. The central bank will release a CBDC onto the ledger in the form of a smart contract that represents the currency as a digital asset. The two counterparties will interact with the same ledger and the smart contracts provided by the central bank and the CSD. They will also interact with the securities issued by Issuers A and B (see figure 5) in the form of smart contracts, again representing them as digital assets. Note that all participants are interacting with a single ledger and with the same smart contracts and digital assets.
This eliminates the current issues around multiple ledgers, multiple connected systems and potentially inconsistent data.
Figure 5: Securities settlement on blockchain using DvP Model 1
Figure 5 shows the simple process of an atomic swap for the same deal as in Figure 3 between the two counterparties: Security A and CBDC are both represented by tokens in a smart contract, in which assets are allocated to different owners, indicated by the colored tokens.
CPI sends one CBDC token (indicated by the blue diamond) to a DvP smart contract while CP2 (red) transfers one Security A token into the same contract. In Step 2, an atomic swap will take place and the assets are then transferred back with switched owners.
Due to delays in markets, batch processing, different time zones, liquidity requirements and other factors, atomic swaps and DvP Model 1 have not always been the go-to choice for market participants. Consequently, the market infrastructure which has evolved around this constraint now leverages the time lapse between trading and settlement, allowing participants (to use a common expression) to use money they do not have to buy securities that the seller does not own.
5.2 DvP Model 2
This model provides finality on the securities leg right away, however the cash side is settled at the end of the trading cycle. Examples of using Model 2 include Canada (CDS) and the US (DTCC) for securities settlement.
In order to understand the increased complexity, the involvement of collateral, and how an additional record-keeping process is required, we will present you with an example of a deal between two counterparties involving more than one trade which they will net at the end of the trading cycle.
In this example, starting in Figure 6, the two involved market participants have agreed on two transactions: (1) Counterparty 2 purchases Security A (top; left of center) from Counterparty 1 for one money unit (depicted by the dollar coin on the right of center). (2) Counterparty 1 purchases Security B from Counterparty 1 for three money units (depicted by the three dollar coins).
As in DvP Model 1, both counterparties communicate this transaction to their respective Custodians, who will facilitate the trade on the securities settlement system.
On the left-hand-side of the securities settlement system, we see—again—the balance within the reserve accounts of the custodians at the central bank. The right-hand-side displays the securities ledger for Custodian 1 and 2 within the CSD but now also the accounts on the Cash Ledger within the CSD, which can be filled by “locking” securities from the securities ledger as collateral.
Step 0 shows the initial state at the time of the deal: On their central bank accounts on the left, Custodian 1 owns three cash units, Custodian 2 owns one cash unit. On the securities ledger, Custodian 1 owns four A securities, Custodian 2 owns three B securities. The cash ledger is empty for both.
In step 1, as indicated in Figure 7, both cash ledger accounts in the CSD are being filled by locking the corresponding amount of securities on the securities ledger. This is necessary to later purchase the securities involved in the deal. From that deal at the top, we see that security A’s market value is one cash unit. Security B’s market value is three cash units. By locking three A type securities, Custodian 1 hence receives three cash units, Custodian 2 receives the same amount by locking one B type security. Note that the central bank accounts do not change.
Step 2 (Figure 8) displays how one security of type B is transferred from Custodian 2 to Custodian 1 while three cash units are moved on the cash ledger to pay for the security. Again, the central bank accounts don’t change.
In step 3 (Figure 9)—and we’re still inside the same settlement cycle—the security of type A will move from Custodian 1 to Custodian 2 on the securities ledger, while one cash unit is transferred on the cash ledger. Legal finality of settlement of the securities leg occurs during the cycle. Final settlement of the payment leg has not yet occurred, and reserve accounts on the central bank side are unaffected.
Step 4 (Figure 10) now shows the actual net payment and final settlement of the payment legs on the central bank side (on the left): Custodian 1 transfers two cash units to Custodian 2. This step contains several simplifications:
- First, in several countries and systems, custodians do not have direct access to an electronic form of central bank money, so the CSD will arrange the netted payment between the custodians’ bankers through their reserve accounts.
- Second, the question of the amounts of netted cash obligations does not become obvious from the two ledgers we show in the CSD. Some additional record-keeping needs to take place within the CSD to calculate and record the obligations for netted payment.
In our proposed Settlement Choice Model, we will show how these two aspects can become considerably simpler with CBDC and a shared ledger on a blockchain.
In the final step, the CSD unlocks the collateral after the net payment has been made (Figure 11).
At the end of the settlement day,\(^5\) the securities will have changed owners and only the net amount of money will have been transferred in the central bank accounts. With CBDC, one could replace the extended credit within the CSD, which would make all deals DvP Model 1 type transactions and introduce potential issues, as market participants currently use the time between trade and settlement to optimize liquidity and trading strategies.
As illustrated previously, Model 2 introduced considerably more complexity as compared with Model 1. However, switching from a Model 2 system to a Model 1 system is not in the interest of all market participants, given the liquidity requirements to support trade-for-trade settlement.
In summary, Model 1 provides quick finality and requires considerable liquidity, Model 2 allows immediate finality for securities legs and saves liquidity via netting final payments. Model 3 does not provide new insights with regards to the benefits of blockchain or CBDC.
Today, systems use either the one or the other model, at least within certain time windows. Market participants are hence forced to accept trade-offs in terms of the speed of settlement finality versus liquidity requirements that may not be optimal. Rather than arguing that one model would be superior to the others in every instance, we believe that the best solution will be a system which incorporates all advantages from all models, but not at the cost of additional inefficiencies. This is reflected in our proposal of the Settlement Choice Model.
\(^5\) Which is usually two days after the closure of the underlying deals.
Securities settlement in DvP provides a tangible example of how CBDCs might be used to diminish risk and improve efficiency within wholesale financial markets. Of course, even as the CBDC discussion advances globally, to apply CBDC to securities settlement, there are a number of different policy and technical questions that must be addressed.
**Regulatory considerations**
First, on the regulatory side, CBDCs need to be enabled to work in each jurisdiction as well as between them. Regulators must determine the specific regulations that need to be enacted to accomplish this.
As one example, central banks in general issue and circulate cash and provide settlement accounts. What that would mean for the Eurozone and the roles of national central banks vs the ECB issuing and circulating Euro might be quite different from the role of the central bank with a national currency (as for example in Denmark). Such an undertaking will also require a clear understanding of the participant roles and relationships required for each market. For example, how central banks will relate to commercial banks and other payment interface providers which may be granted access to central bank money for securities settlement. New participant roles and activities will need to be examined and tested.
**Payment system implications**
Another angle of regulatory consideration relates to the statutory implications of the categorization of CBDC as a payment instruction. The token represents the instruction by the first holder of the token and each subsequent holder to the CBDC issuer of the token, to debit the current payor’s node on the ledger and credit the same amount on the node of the next holder of the token. The CBDC token will not represent legal title, it is electronic information—a declaration of interest that can be transferred pursuant to (and in accordance with) the laws governing the payment instruction. As such, no specific form of assignment would be required to effect the transfer under the relevant statutory framework. The regulatory frameworks of relevant countries for sending and receiving payments including settlement finality, should be reviewed to ensure they are compatible across jurisdictions.
**Business practices and operational considerations**
A major category that needs to come under consideration is the impact of a new settlement model on operational and business practices. It is not yet obvious how a settlement choice model might impact current practices and market conventions employed by participants to trade. If reliance is currently placed on settlement delays to provide windows to either acquire securities or source cash consideration, changes to market behaviour will need to be introduced to enable atomic settlement as envisaged by the proposal to become the prevailing model.
There are similar operational questions that need to be answered on the central bank side as well. The first is settlement timing. Central banks need to decide whether they require intra-day or end-of-day settlement and what type of transparency and intervention rights they will require as part of maintaining control over monetary policy on a DLT platform, and the extent to which DLT platforms need to be adopted in relation to the CBDC operation. For example, the Chinese DC/EP does not provide for operation on any DLT platform.
A second issue is the funding model. Pre-funding which currently occurs in some RTGS models (involving intra-day facilities provided by settlement banks to other RTGS participants), would lead to higher liquidity demands either for CBDC, RTGS systems, or privately issued coins backed by central bank money. Our proposed Settlement Choice Model contemplates both pre-funding and the elimination of some settlement delays under Model 1, as well as immediate finality for securities legs and liquidity efficiencies via netting under Model 2.
A third issue is a change in how RTGS interacts with multiple accounts. For interoperability with DLT platforms (e.g., to enable atomic settlement for various asset classes), RTGS systems would require the functionality to block account balances across multiple accounts. Real-time payment systems allow ‘parallel’ instead of sequential settlement, and in this respect are better suited to atomic multilateral settlement.
To conclude, CBDC is a rapidly changing field which requires coordination among many different actors in the monetary and payments space. In this paper we suggested that the issuance of a CBDC opens up the possibility of more efficient securities settlement. This would increase efficiency in a system that has seen limited innovation in the decades since the BIS first took their taxonomy in 1992.
Many of the innovations in settlement have focused on the dual problems of liquidity risk and settlement risk. Improving the DvP process began in earnest in the wake of the 1987 collapse in securities prices. Since then, settlement delays have been reduced materially.
Market participants have already benefited from the efficiency gains of the reduction from T+5 to T+2 settlement cycles. However, the current DvP workflows continue to present challenges beyond liquidity and settlement risk. These challenges have not yet been thoroughly inventoried.
**Survey procedure**
To fill this knowledge gap, in February 2021, we surveyed the members of the R3 CBDC Working Group on the problems that they would like to solve in post-trade activities. Respondents reported four general categories of difficulties perceived with securities settlement today:
- Multiple books and records
- Inconsistencies involving securities static data
- Multiple standards
- Time lapses between trade and settlement
The prioritization of these individual pain points depends on both the market role of the respective institution, but also on the role individual respondents play in the settlement process within their institution. The specific characteristics and features of the settlement systems run by the participant banks also play a role in which problems have the biggest day-to-day impact.
Although we believe that the first three pain points can be solved, or at least eased by the introduction of a DLT-based settlement infrastructure, the focus of this paper is to propose a solution for the fourth point. In the remainder of this section, we describe each of the four points in some detail along with a discussion about how DLT based settlement solutions could contribute towards a solution.
In legacy securities settlement systems, participants have multiple books and records, and different ways of accounting for customer positions including omnibus accounts. This creates challenges and inefficiencies for custodians and dealers, such as delivery management, hold/release functionality, reporting requirements, and reconciliation.
Having to maintain multiple books and records for one market/settlement system is compounded for some participants by the necessity of having multiple custodian relations. This also leads to a fragmentation of the necessary funding of pending settlements. In general, the large number of parties involved in a transaction is seen as one of the main reasons for failed settlements.
Some participants viewed “multiple books and records” to be the root cause of the other pain points around inconsistencies involving data, the need for multiple standards, and delays. As a result, one respondent noted that the value proposition for DLT would be to keep books and records entirely on the ledger and thus make information instantly available to the affected parties where the processing today is rather sequential from party to party and slows down the information flow. In a DLT orchestration, smart contracts
(conditional code) could take over some parts of the role of share registries. And even if not all participants fully leverage DLT and the data which might be available on it, the introduction of a ‘golden source’, in the form of a shared ledger, for data in subsequently used systems could lead to fewer disputes and slimmer reconciliation processes.
**Inconsistencies involving securities static data**
There are delays in the distribution of static data for new issues across systems, which lead to data inconsistencies between platforms. Further inconsistencies arise from the broad range of securities properties (e.g., quantity or nominal based) and the many different ways in which these are represented in different systems.
Inconsistencies involving static data is a problem for all participants, as is the manual effort and complex system set-up necessary to fulfil each market’s specific requirements. A blockchain holding static data would ensure data consistency across all users and provide the means to distribute updates instantaneously.
**Multiple standards**
Many different country-specific standards or practices exist with regards to securities and cash settlement. This leads to complex processes and manual efforts in areas such as tax, reporting, and valuation.
Introducing a new technology will not be sufficient to align all country-specific processing, most notably in the area of tax requirements. However, smart contracts could be a way to consistently implement some of these requirements in a consistent way, which would remove the burden from individual institutions to implement these requirements on their own. Additionally, these smart contracts could make specific requirements transparent for other market participants, which in turn can lead to greater efficiency.
**Delays between trade and settlement**
Delays between trade and settlement are seen as necessary in today’s markets, especially for international investors. Time zone differences play an important role here, making T+0 or even T+1 impossible or undesirable in some situations.
Delays in settlement generate risks, which must be mitigated by central counterparties (CCP)s and participants. This requires additional resources (collateral) as well as liquidity at the CCP.
There is a counterpoint however: Reducing these delays can create additional liquidity demands on the participants. In a cross-border context, delays can manifest when assets are inaccessible due to different banking hours across time zones.
This is the main issue that we’re aiming to address. A DLT-based system is not only able to deliver instant settlement solutions even better than today’s gross settlement systems, but also that the direct interaction of securities and CBDC on a single ledger can provide greater efficiency in an environment where multilateral netting (and thus reduced liquidity requirements) is prioritized over RTGS.
We found that many respondents viewed the issues as highly interrelated. In general, any initiative aimed at improving information flow between participants and/or addressing the trade-off between liquidity requirements and settlement risk would be seen as beneficial for the whole process. As in a DLT setup, information flow is not dependent on any central operator distributing messages, and transactions can
be instantaneous and are not bound to any local time zone’s operating hours or business days. There is therefore a huge potential in DLT settlement solutions in general to address the pain points raised by survey participants.
About R3
R3 is a leading provider of enterprise technology and services that enable direct, digital collaboration in regulated industries where trust is critical. Multi-party solutions developed on our platforms harness the "Power of 3"—R3's trust technology, connected networks and regulated markets expertise—to drive market innovation and improve processes in banking, capital markets, global trade and insurance.
As one of the first companies to deliver both a private, distributed ledger technology (DLT) application platform and confidential computing technology, R3 empowers institutions to realize the full potential of direct digital collaboration. We maintain one of the largest DLT production ecosystems in the world connecting over 400 institutions, including global systems integrators, cloud providers, technology firms, software vendors, corporates, regulators, and financial institutions from the public and private sectors.
For more information, visit www.r3.com or connect with us on Twitter or LinkedIn.
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Japan–Russia Rapprochement: Why Abe-Putin Summits Failed to Deliver
by Biren Nanda, Senior Fellow, Delhi Policy Group
Introduction
Since he returned to power for the second time in 2012, Japan’s Prime Minister Shinzo Abe has been the main driving force behind Japan’s attempts at rapprochement with Russia. Abe sought to achieve what no post war Japanese Prime Minister had done – to restore the full integrity of Japanese territory by securing the return of the Northern Territories¹ to Japan.
Abe’s Visit to Moscow in April 2013
Abe’s visit to Moscow from April 28-30, 2013 was the starting point for the present phase of Japan-Russia relations. On March 1, 2012 four days before he was re-elected President of Russia, Vladimir Putin stated that he wanted to improve relations with Japan by strengthening economic ties and resolving the territorial issue on the basis of a “draw” or hikiwake - a term borrowed from the Judo vocabulary. Clearly, Putin was hinting at a solution to the territorial issue that was not a victory for either side but a compromise.
Putin had made territorial concessions before. In 2010, he permitted the splitting of the disputed area in the Barents Sea between Russia...
and Norway, thus ending a dispute that had lingered on for four decades. A compromise on the Kurile Islands would, however, be more difficult because they were assigned to the Soviet Union after the Allied victory in World War II, alongside Kaliningrad.
Putin’s words found a positive echo in Abe’s thinking. Perhaps, both leaders were responding to geopolitical shifts engendered by China’s rise. China was already posing a military threat to the Senkaku Islands in the South China Sea. From Japan’s perspective, strengthening relations with surrounding countries, including Russia, had become a strategic objective. The prospect of exploring Russia’s market for business opportunities and energy resources acted as a magnet for Japanese business. The over-supply in the world natural gas market also encouraged Russia to look at Japan as a promising source of demand, especially after Japan turned away from nuclear energy following the Fukushima disaster. Hydrocarbons currently constitute 70% of Russia’s exports to Japan.
A number of documents were signed during the April 2013 Abe-Putin summit, including an agreement to establish a 2+2 mechanism of consultations between the Foreign and Defense Ministers of the two sides. A new platform was created by JBIC, the Russian External Economic Bank and the Russian Direct Investment Fund, to promote Japanese investment in Russia.
Finally, Prime Minister Shinzo Abe stated that on the issue of the renewal of peace treaty negotiations it was agreed to “give our Foreign Ministries instructions to accelerate talks on designing a mutually acceptable resolution …”\(^2\)
**Abe’s New Approach to Japan-Russia Relations**
During his May 2016 visit to Sochi, Abe announced a “new approach” towards negotiations with Russia. Instead of merely pressing its territorial claims, Japan would now focus on getting the best deal with Russia. This package of economic cooperation and a willingness to compromise over territory found a positive resonance with Putin. After meeting Putin in Sochi on May 6, 2016 Abe reaffirmed that the two leaders were seeking “a new approach, free of any past ideas.”
*Russian President Vladimir Putin meets with visiting Japanese Prime Minister Shinzo Abe in Sochi, Russia, on May 6, 2016. (Kremlin Photo)*
**What prompted Abe’s drive for better relations with Moscow?**
The Northern Territories issue was of course the major driver behind Abe’s diplomacy. But in pursuing his initiative, Abe severely impacted his ties with the Obama Administration. Putting it another way, a lame duck Obama Administration gave
Abe a window of opportunity to pursue his historic initiative with Moscow. And there was always the hope that the elections would throw up a Russia-friendly leader in the White House – which is what eventually happened. The main reason behind Abe’s willingness to take the political risk of irking Washington was Russia’s rapidly developing political, economic and military partnership with China – including the significant growth in Chinese state sector investment in the Russian Far East overlooking the Kurile Islands.
The geopolitical window that Abe sought to take advantage of was also created by other developments – the G-7 was too preoccupied by other issues to object to Abe’s efforts at a rapprochement with Russia. The UK was in the midst of an identity crisis over Brexit, France was facing a crisis from terrorism and the decline in domestic support for President Hollande, Germany was facing a domestic backlash to the refugee crisis and Italy its own financial difficulties.
Abe had also visited Sochi in 2014, just before the Ukraine Crisis, for the Winter Olympics despite the de facto boycott of the games by western leaders. Japan joined its allies and partners in expelling Russia from the G-8, but refrained from strong condemnation of Russia and cultivated the impression that it was doing so owing to its alliance commitments with the US.
Abe returned to Sochi in May 2016 with an Eight Point Economic Cooperation Plan that was in accord with Russian development priorities – demographic issues, health, housing, environment and SMEs. Other areas listed included energy cooperation, raising productivity, economic diversification, high technology and humanitarian exchanges. Abe also set up a new position - Minister of Economic Cooperation with Russia.\(^3\)
**Putin’s visit to Japan in December 2016**
Russian President Vladimir Putin paid a much anticipated two-day official visit to Japan in mid-December, 2016. Prior to this visit, it increasingly became clear that it would be impossible to reach an agreement on the Peace Treaty and the territorial dispute over the Northern Territories. Even though a large number of economic deals were concluded during the visit, it failed to deliver on the issues that mattered most to Abe and his nationalist domestic constituency.
The optics of the visit were also unfavorable from the Japanese point of view. Prior to the visit, Putin rejected a Japanese legislator’s gift of a male Akita dog to join the female dog he had received four years ago. Putin also kept Abe waiting and arrived in Japan two hours late. Later, Putin turned down Abe’s invitation to enjoy local food and relax in the *onsen* after the talks.
This was Putin’s 16th Summit meeting with Abe. Despite the many negatives, the visit had a number of positive outcomes.
First, the “two leaders expressed their sincere determination to solve the issue over the peace treaty.” Putin also said that his intention was to base the negotiations on the 1956 Japan-Soviet Joint Declaration, which stated that the Habomai group of islets and the Shikotan island, the smaller two of the four disputed islands, would be handed over to Japan once the Peace Treaty was concluded.
Second, they agreed to start talks over joint economic activities on the four disputed Kurile Islands under a program that would allow former residents of the islands freedom to visit them without restrictions.
Third, Putin and Abe confirmed Abe’s ‘Eight Point Economic Cooperation Plan’ and signed 80 agreements on economic projects worth $2.5 bn. The agreements included the Arctic LNG-2 project between Russia’s Novatek and Japan’s Marubeni, Mitsubishi and Mitsui corporations. Other energy deals also involved Russia’s Roseneft and Gazprom, and Tokyo Electric Power. The Russia Direct Investment Fund – a sovereign wealth fund - and JBIC agreed to establish a $1 billion investment fund that would serve as an enabling platform to support joint investment projects in Russia.
Putin also made a strong call for bilateral security talks, suspended in the wake of the Ukraine crisis, including the resumption of the 2+2 Defense and Foreign Ministers’ dialogue between the two countries.
Both leaders claimed common ground on security issues in Northeast Asia – including concerns on North Korea’s nuclear and missile programs. They also agreed on the necessity of formulating a joint response.
Finally, “both leaders sought to exploit the opportunity to extract domestic political benefits, as well as to send specific signals to foreign counterparts, regardless of the actual outcome of the visit.”
Abe fails to make tangible progress on the Northern Territories Issue
Despite the hype created by the Putin visit in December 2016, it was clear that there was no real progress on the return of the four Islands in the Kurile chain – Iturup, Kunashir, Shikotan and Habomai.
Abe had expected that the Eight Point Economic Cooperation Plan would deepen Japan-Russia cooperation and there would be progress at a minimum on the return of two islands- Habomai and Shikotan - but a month prior to his visit to Japan, Putin hardened his position. He made it clear that even if the two islands were returned to Japan, sovereignty would in perpetuity rest with Russia. Joint economic activity could go forward only under these conditions. Putin emphasized the necessity of building mutual trust to achieve even this modest objective.
*So why did Putin harden his position in November 2016, a month before his visit to Japan?* US President Obama had opposed Abe’s invitation to Putin to visit Japan. The November, 2016 election of Donald Trump brought up new possibilities of a US-Russia rapprochement. However, it soon became clear that Trump’s preferred Russia policy was going to be one of his administration’s greatest weaknesses. Both Putin and Abe must have been reluctant to assume any major change in Sino-US relations. This factor, and the tightening of Sino-Russian relations in the aftermath of the Ukraine crisis, may have had a negative impact on Russia-Japan ties and in turn may have been responsible for Putin’s walk back on the islands issue immediately prior to his December 2016 visit to Japan.
*President Trump and Russian Foreign Minister Lavrov get cosy in the Oval Office in May this year. American news media were barred from covering the meeting; photographs were taken by Tass (the Russian News Agency). Trump’s efforts to reverse the decline in US-Russia ties have been defeated by rising Congressional opposition to Russia in the wake of widespread anger over alleged Russian interference in the US Presidential elections. Source: AFP/Russian Foreign Ministry.*
What the Post War History of Japan-Russia ties tells us
The territorial issue between Russia and Japan has always been held hostage to considerations of strategic power-play, first by the Soviet Union and then Russia. As early as 1956, the Soviet Union hinted at the possibility of considering the return of the Habomai and Shikotan islands if Japan abandoned its alliance with the United States. In 1960, the Soviet Union warned Japan against signing the Treaty of Mutual Cooperation and Security with the United States. After the treaty was concluded, the Soviet Union declared that the Habomai and Shikotan islands would not be handed back to Japan until Japan abrogated the
Mutual Defense Treaty with the United States. In 1964, the Soviet Union offered to return the two islands unconditionally if the United States ended its military presence in Okinawa and the main island of Japan.
After 1975, the Soviet Union warned Japan that its Peace Treaty with China (signed in 1978) would harm bilateral relations. In 1976, Gromyko visited Japan and offered to return two islands in return for signing a bilateral Treaty of Goodwill and Cooperation.
The question, therefore, arises why after 16 summits with Putin did Abe fail in his major foreign policy goal of securing the return of the Northern Territories to Japan?
The answer is most likely to be found in previous Japanese attempts to use economic incentives to induce Moscow to return the islands captured from Japan after the war.
By 1990 the Soviet economy had gone into a tailspin. With Gorbachev’s visit to Japan scheduled for April 1991, the feeling in Tokyo was that Gorbachev could be persuaded to relent and hand over the Kurile Islands in return for massive economic aid. The Gaimusho position had been to insist on the ‘islands first’ solution – the return of the disputed islands to precede any economic cooperation with Japan.
In March 1991, the Secretary General of the ruling LDP in Japan, Ichiro Ozawa, established a back-channel and visited Moscow and proposed concessions by the Soviet Union on the islands issue, offering credits in return. The tradeoff was to be explicit from the beginning and Japanese aid was to be granted only if the Soviet Union agreed to give up all four islands.
Ichiro Ozawa, the then Secretary General of the Japanese Liberal Democratic Party, photographed in 1991.
Source: https://www.britannica.com/biography/Ozawa-Ichiro
In many respects Germany was a model for Ozawa. In a deal agreed between Chancellor Helmut Kohl and President Gorbachev, Germany had provided US $ 50 billion worth of direct and indirect assistance to the Soviet Union and its successor states. In effect Germany had paid for the Soviet surrender of East Germany but the tradeoff was never made explicit. This helped project a narrative according to which the Soviet surrender of East Germany was the result of Gorbachev’s New Thinking and not a quid pro quo for German aid.
Gorbachev rejected Ozawa’s proposal. Gorbachev told Ozawa that he was
“not inclined to and could not conduct a discussion according to such a plan: you give us something and we will give you what you want. That is not a conversation I want to have with you…”
**Why did Gorbachev refuse?**
First, it is likely that it was the sheer audacity of the proposal – the notion the Soviet Union could be bribed to part with its territory. Second, key information on the deal under discussion was leaked to the media. On Sunday, March 24, 1991 the *Yumuiiri Shimbun* had revealed the amount of assistance offered to the Soviet Union for the return of the disputed islands: US $ 26 billion including US $ 4 billion in emergency assistance. Third, Yeltsin visited Kunashiri and insisted that Russia could not part with the Kurile islands. By projecting himself as the protector of Russia’s territorial integrity and sovereignty, Yeltsin reduced Gorbachev’s flexibility in the negotiations. Fourth, the Russian general staff was reportedly opposed to the territorial deal. The two large islands – Itorofu and Kunashiri – are of enormous strategic importance for Russia. They protect the Russian dominated Sea of Okhotsk, where many of the Russian submarines are kept ready for action. Also, the islands are at a location where hot and cold currents meet and the water does not freeze in winters, allowing the Soviet Far East Fleet year-round access to the Pacific Ocean.
Ozawa’s proposal had the underlying logic of persuading the Soviet Union to part with territory in exchange for economic inducements – an idea that must have been deeply repugnant to the nationalist sentiments of the Soviet leadership. And there had to be strenuous denials, that there was indeed, such a deal under discussion, once the details were leaked in the media. Indeed, if Gorbachev refused Ozawa’s offer at a time when the Soviet Union was threatening to implode, a relatively better off and stable Russia under Putin is very unlikely to fall for the bait.
What then is Russia’s imperative to resolve the Kurile Islands issue?
Russia has no pressing need to resolve the Kurile Islands issue. Putin’s Russia is better off economically than the Soviet Union in 1991 – and therefore much less likely to fall for economic inducements. Putin may be a strong leader with nationalist credentials, but that does not make him a better candidate for making territorial concessions. In Putin’s own words, “I will not offend anyone if I say I love Russia more [than Japan].” In addition, the geopolitical situation in Northeast Asia favors Russia, which has developed closer ties with China, in contrast to tensions in Sino-Japanese relations.
Why then has Putin readily engaged so intensively with Abe? The answer perhaps is that while Russia seeks strategic ties with China to counter the United States, Putin also wants to pull Japan out of the US orbit, while Japan under Abe wants to stay on the right side of Russia in the case of any eventuality that involves hostilities with China. Despite the growing closeness of Sino-Russian ties, Moscow views the growing military power of China with concern and seeks strategic ties with other major countries in East Asia. Closer ties with Japan could, therefore, give Russia strategic space and leverage over China.
Selling the Benefits of a Potential Japan-Russia Agreement
How would a potential Japan-Russia agreement on the Northern Territories be perceived internationally?
President Trump is personally inclined to develop a better working relationship with Russia, but the Republican controlled US Congress and the Democratic Party are not. A series of missteps by Trump himself and his senior aides have unleashed a series of investigations and ramped up sanctions that have significantly reduced the policymaking space for his administration as far as Russia is concerned.
The Trump administration may see some merit in allowing Japan to improve its relationship with Russia and help balance a growing Russia-China nexus. The United States may not veto a possible Russia-Japan territorial deal, but it may insist that the Japanese maintain economic sanctions on Russia. But western sanctions on Russia are steadily becoming harsher, and could become harsher still in the future as a result of developments in Europe or the Middle East. As a result, the economic package offered by Japan to Russia could shrink to the point that Putin may lose all interest in making a deal.
Putin’s job of reassuring China might be easier than Abe’s task of managing alliance pressure from the US. He could explain that resolving issues along Russia long borders is part of Russia’s long-term strategy. The resolution of the Northern Territories
issue would improve security in Northeast Asia; Russia is making no strategic concessions to Japan while securing Japan’s participation in the Russian project to develop Siberia and the Far East. Despite its political difficulties with Japan, China has in fact been doing the same thing with Japan for decades.
A dialogue between Russia and Japan on Korean peninsula issues could also lead to better understanding and mutual trust. The threat from North Korea emanates not only from its nuclear weapons and missiles but also from its reclusive and unpredictable leader. Managing the situation and preventing an outbreak of hostilities is in the interest of both countries. This dialogue could be extended to cover other security issues like terrorism. Russia is concerned about Al Qaeda, Daesh and local and regional groups in the North Caucasus and Central Asia. Afghanistan is another area that could be an appropriate topic of policy discussion. The normalization of relations between Russia and Japan can, overall, contribute to a more stable equilibrium in Northeast Asia, where at present China and its ally North Korea call all the shots and keep the US-Japan alliance at bay.
**China as a factor in Japan’s Efforts to Normalize Ties with Russia**
A number of major factors may have contributed to the logic of recent Japanese efforts to normalize relations with Russia and resolve the Northern Territories issue. First, is the geo-economic surmise that Russia would not like to be dependent on only one large hydrocarbon consumer in Asia. Second, it is more than likely that the Russians view the growing military power and assertiveness of China with some concern and seek strategic ties with other powers in the Far East to balance China, even though these concerns are not openly articulated.
After the Ukraine crisis, Sino-Russian relations grew closer - and from Japan’s perspective this must have been an undesirable development. Russia’s economic interest to diversify energy markets away from Europe and to supply energy resources and arms to China, as well as the imperative of strategic coordination with China against the United States, have contributed to a Sino-Russian entente. But China’s rapid economic development and rising influence has made it difficult for Russia to sustain a relationship with China on the basis of equality. The competition and struggle for leadership between Russia and China is particularly evident in the SCO and BRICS\(^8\).
In Sino-Russian relations, military cooperation has played a leading role. After the end of the cold war, Russia hesitated to supply defense technology to China due to fears that China would reverse engineer the products and sell them cheaply to
other countries. Russia entered into joint production arrangements with India, while selling defense equipment to China. Russia supplied a downgraded version of the Sukhoi SU-30 fighter to China while supplying India with an upgraded one. China later obtained from Ukraine the same Soviet era defense technology that Russia refused to sell to China. From this, one can deduce the lack of trust Russia has in its military cooperation with China.
A China-Russia joint naval exercise in the Yellow Sea
Source: https://www.rferl.org/a/chinese-naval-fleet-russia-hold-joint-military-exercises-baltic-sea-after-trump-visit-poland-germany/28565674.html
Japan was especially alarmed at the Sino-Russian Joint Naval Exercises in May-June 2014 to the northwest of the Senkaku Islands, the exercises in August, 2015 near the borders of North Korea and the exercises in the South China Sea in September, 2015. (The latest edition of these exercises was held in northern European waters in July, 2017.)
After the break up of the Soviet Union, for quite some time Russia was not active in North Korea, perhaps because there were more important and sensitive security issues on its plate. However, from 2008 onwards Russia has focused on its economic relations with North Korea through projects involving port development and railway rehabilitation\(^9\). Russia has continued to develop an independent approach to North Korea and in this way Moscow has distanced itself from Chinese policy on the issue, even though both countries have been criticized in the west for not upholding sanctions on the North.
The election of Donald Trump as US President could have been a game changer if he had succeeded in rescuing US-Russia relations from their downward slide. Neither Japan nor Russia would have assumed any major change in US-Russia relations in light of these developments in US politics. A complicating factor has been the fallout of US-Russia tensions on the Northern Territories issue - the deployment of anti-ship missiles in the Kurile Islands was the direct result of a decision taken by Putin in March, 2016 in the wake of the Ukraine crisis. The 2+2 Talks between Russia and Japan were viewed in Japan as a useful device to signal possible Russia-Japan military ties to China. The Ukraine crisis effectively constrained this potential.
Two factors appear to be at work in shaping Japanese perceptions of Sino-Russian ties. First, that Russia is wary of ties with China and second, the hope that Japan can improve its geopolitical position by leveraging Russia’s desire not to become China’s junior partner in Asia. These expectations have yet to play out in a manner that delivers tangible gains to Japan.
Conclusion
Despite his persistent focus on resolving the issues of the Peace Treaty and the Northern Territories through a policy of compromise and economic inducements, Prime Minister Abe has failed to make concrete progress in his parleys with Putin. History has not been on Abe’s side. The record of similar approaches in the past was indeed one of dismal failure.
While engaging with each other, Abe and Putin are both driven by the imperative of nationalism; and on the Russian side, there are serious national security considerations as well. These factors have thwarted any possibility of a breakthrough.
Both leaders were also propelled forward towards their dialogue by geopolitical factors: Putin sought to improve relations with Japan after the isolation of Russia in the aftermath of the Ukraine crisis; Abe took the calculated risk of offending the lame duck Obama administration and an inward looking Europe beset with internal problems to pursue his agenda of a historical peace deal and territorial settlement with Russia.
In the end, neither leader had the courage or incentive to take the final leap of faith, that might have had the potential of changing the geopolitical balance in Northeast Asia. And now, perhaps, Abe is too politically weakened by scandals at home, to be able to pick up the pieces and make one last attempt at securing a peace deal and a resolution of the Northern Territories issue with Russia.
What about the future?
The unexpected can always happen. If the Trump administration eventually succeeds in overcoming Congressional opposition – which presently appears impossible – and manages to improve relations with Russia, it could indeed open a whole new range of possibilities and opportunities. The US could exploit Russian vulnerabilities and reservations towards a rising and assertive China and drive a wedge into the budding Russia-China entente. Russia may well seek to buttress its strategic position in Asia by securing a resolution of the territorial and peace treaty issues with Japan. Indeed, Russia could succeed in doing unto China what China did to the Soviet Union in 1971. It would be a win-win outcome for Russia and Japan, because Japan too would significantly strengthen its geopolitical position in Northeast Asia as a result. For the present, that scenario remains a distant dream till such time as the US pulls the curtain on treating Russia as a permanent antagonist and China as a presumptive “constructive stakeholder”, both being anachronistic assumptions 25 years after the end of the cold war.
References:
1 Northern Territories is the name given by Japan to four islands in Kurile chain – Iturup, Kunashir, Shikotan and Habomai. The islands were annexed by the Soviet Union after the Second World War and have been claimed by Japan ever since.
2 Press and answers to journalists’ questions following Russian-Japanese talks http://en.kremlin.ru/events/president/transcripts/18000
3 http://thediplomat.com/2016/09/shinzo-abe-going-all-in-on-improving-japan-russia-ties/
4 Joint Press Statement issued after the Abe-Putin Talks.
5 http://thediplomat.com/2016/12/how-putin-outplayed-abe-in-japan/ “How Putin Outplayed Abe in Japan” by Liubomir K. Topaloff . The Diplomat December 23, 2016.
6 http://thediplomat.com/2016/12/how-the-kuril-islands-are-testing-shinzo-abes-statesmanship/ “How the Kuril Islands Are Testing Shinzo Abe’s Statesmanship” by Sergey Radchenko, The Diplomat, December 22, 2016.
7 “Gorbachev Ozawa and the Failed Back-Channel Negotiations of 1989-90”.- Sergie Radchenko, Lisbeth Tarlow. Journal of Cold War Studies, Volume 15, Number 2, Spring 2013.
8 “For Russia and China, the Shanghai Cooperation Organization (SCO) — which is holding its annual summit Aug. 28-29 in Tajikistan — serves different purposes. The SCO focus for Russia is outward, as a security alliance that might someday counter NATO, while China views the SCO as a security guarantor in Central Asia. As the summit concludes in the Tajik capital of Dushanbe, Russia is in no position to push its vision of the SCO on China.” – Stratfor World View August 2008
9 In 2008, Russia obtained the right to develop a wharf in Rajin Port and use the port for 49 years. It also undertook to repair a 54-kilometer railroad linking Khasan and Rajin crossing the DPRK-Russia border.
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WELCOME TO JERSEY CITY
A Resource Guide for Immigrants
#HealthierJC
DIVISION OF IMMIGRANT AFFAIRS
DEPARTMENT OF HEALTH AND HUMAN SERVICES
DR. MARTIN LUTHER KING, JR. CITY HALL ANNEX
1 JACKSON SQUARE | JERSEY CITY, NJ 07305
Not like the brazen giant of Greek fame, with conquering limbs astride from land to land;
Here at our sea-washed, sunset gates shall stand a mighty woman with a torch, whose flame is the imprisoned lightning, and her name Mother of Exiles.
From her beacon-hand glows world-wide welcome;
her mild eyes command the air-bridged harbor that twin cities frame.
"Keep, ancient lands, your storied pomp!" cries she with silent lips.
"Give me your tired, your poor,
Your huddled masses yearning to breathe free,
The wretched refuse of your teeming shore.
Send these, the homeless, tempest-tost to me,
I lift my lamp beside the golden door!"
-Emma Lazarus
November 2nd, 1883
Ellis Island, located in the New York harbor between the states of New York and New Jersey, was once a port of entry that functioned as an immigrant inspection site from 1924 to 1954. Ellis Island served as a gateway to new beginnings for immigrants coming from Europe.
Alongside Ellis Island, the Statue of Liberty was one of the first things immigrants travelling to the United States would see. The Statue of Liberty stands high as a symbol of freedom in the Hudson River. Lady Liberty was a gift from France, to honor the alliance between France and United States during the American Revolution. The monument continues to serve as a beacon of hope shining bright for all newcomers from all over the world.
A Message from Mayor Steven M. Fulop
Over 12 million immigrants first stepped foot on U.S. soil right here in Jersey City. It’s an exclusive part of our country’s history that only we can claim. For decades, Ellis Island served as an immigration station, welcoming newcomers of various ethnicities and backgrounds to become part of the local community. I am proud that this tradition lives on, that America’s Golden Door remains open, and that Jersey City is a home that offers sanctuary, opportunity, and hope to so many.
Building a life in a new home can often be met with struggle and hardship. My parents had many obstacles to overcome when they fled Romania to begin a new life in New Jersey. My two brothers and I worked in our father’s delicatessen, while my mother went on to open an office to assist immigrants in Newark. My parents are a reminder for me that everyone deserves the opportunity for a better life.
Today, my work as Mayor allows me the opportunity to help people in various ways, including efforts to assist immigrants trying to make a new life for themselves and their families. One of my proudest examples is when I signed an executive order making Jersey City a Sanctuary City, but those important protections only work in conjunction with robust services and compassionate support. This Resource Guide for Immigrants that you hold in your hands symbolizes our pledge that we will work with our community partners, to assist in all that we can, and to invite you to build Jersey City together.
Sincerely,
Steven M. Fulop
Mayor
City of Jersey City
As Director of the Health Department, there is nothing more important than the health and wellbeing of Jersey City’s residents. But health is more than what we eat or how much we exercise. Our overall health is determined by every part of our daily lives: our jobs, our homes, our air, our sense of security. For new immigrants, trying to exist in a way that promotes health can be uniquely challenging.
The Department of Health and Human Services recognizes that you are essential to the health of Jersey City, which is why the Division of Immigrant Affairs is part of our organization. Your use of public and non-profit services, your engagement with city government, your contributions to our society help us all stay healthy and happy. In a city where two of every five residents were born in another country, the health of immigrants is a barometer of the city’s public health at large. Your success is Jersey City’s success.
This Resource Guide for Immigrants encourages you to take full advantage of the many services our city has to offer. Our Division of Immigrant Affairs team has compiled this guide because we understand that your needs are diverse, and your potential to prosper is limitless. Your health is much more than diet and exercise, and your future is tied to the future of Jersey City, a city where all are welcome.
Sincerely,
Stacey Lea Flanagan
Director
Jersey City Department of Health and Human Services
A Message from Mike McLean
Director of the Division of Immigrant Affairs
Jersey City is a city of immigrants in a nation of immigrants. This is your city, and your integration and success help us all. No matter where you are from, what language you speak, or your immigration status, Jersey City is a city that welcomes you.
The Division of Immigrant Affairs and our community partners are eager to assist and accompany you on your journey. Behind every organization described in this Resource Guide, there are people ready to help you. Within every informational panel, there is knowledge you can use to help yourself and your community.
✓ Take this guide with you.
✓ Use this guide to navigate your new community.
✓ Share this guide with your friends and family.
✓ Do not hesitate to make phone calls and visit offices.
And as always, you are welcome to call Division of Immigrant Affairs team. When you seek help, it helps us all.
Sincerely,
Mike McLean
Director
Division of Immigrant Affairs
Welcome to the New York City Department of Health and Mental Hygiene (DOHMH). We are committed to improving the health of all New Yorkers, and we are proud to serve as the nation’s largest public health agency.
Our mission is to protect and promote the health of New Yorkers by preventing disease, injury, and disability; ensuring access to quality health care; and promoting healthy behaviors and environments. We work to achieve our mission through a variety of programs and services, including:
- **Public Health Surveillance**: Monitoring and tracking health trends and diseases to inform public health decision-making.
- **Health Promotion and Education**: Providing information and resources to help New Yorkers make healthy choices.
- **Environmental Health**: Ensuring that the environment is safe for human health and well-being.
- **Maternal and Child Health**: Supporting the health of pregnant women, newborns, and young children.
- **Mental Health Services**: Providing mental health services and support to individuals and communities.
- **Disaster Preparedness and Response**: Preparing for and responding to emergencies and disasters.
We are dedicated to serving all New Yorkers, regardless of their background or circumstances. Our staff is diverse and reflects the rich tapestry of our city, and we strive to create an inclusive and welcoming workplace.
If you have any questions or need more information about our services, please don’t hesitate to contact us. We look forward to working with you to improve the health of all New Yorkers.
| Section | Page |
|-------------------------------|------|
| Government Services | 08 |
| Legal Services | 15 |
| Medical Services | 31 |
| Housing and Jobs | 41 |
| ESL and Continuing Education | 49 |
| Refugee and Asylee Services | 59 |
| Immigrant Youth | 65 |
| LGBTQ+ Services | 71 |
| Volunteer and Connect | 73 |
| Financial Literacy | 79 |
| Transportation and General Needs | 85 |
| Appendix | 89 |
9-1-1 is the telephone number you should call when there is any kind of emergency. Examples of emergencies include fire, serious injury, difficulty breathing, violence, and robberies.
- Call 9-1-1 for emergency help only
- If you do not speak English, say the name of the language you speak to the operator
- Give the location and description of the emergency
- Stay on the phone until help arrives
Emergency Calls Only: 9-1-1
Non-Emergency calls to the Jersey City Police Department: 201-547-5477
Who should I call if there is an emergency?
In the case of an emergency, it is always best to call 9-1-1 for assistance. A call to a 9-1-1 can be made from any phone and is always free. Text messages can also be sent to 9-1-1, but a phone call is the most typical and reliable way to contact emergency services. Tell the operator your exact location and describe the emergency. Depending on your type of emergency, a police car, ambulance, and/or fire truck will be sent to your location. Do not hang up the phone until emergency services arrive.
All people are encouraged to call 9-1-1 where there is an emergency. You will not be asked your immigration status when calling. If you are unable to communicate in English, say the language you speak and an interpreter will be provided.
Who else may respond in an emergency?
United Rescue Jersey City is a team of volunteer paramedics with specialized training and equipment who can respond to medical emergencies on foot or in their private vehicles. They are very valuable, because they can often respond before an ambulance arrives. For more information, see www.UnitedRescue.us. Another local organization is the Community Emergency Response Team (CERT), which is made up of volunteers who respond to large-scale emergencies like natural disasters. For more information, contact firstname.lastname@example.org or 201-369-5200.
What if I need the police, but it isn’t an emergency?
If you would like to contact the police for an issue that is not an emergency, you should call the Jersey City Police Department at 201-547-5477. To report non-emergencies like noise complaints or a flooded road, contact the Public Safety Department at 201-547-4239. If you have information that could be used to stop a crime but want to remain anonymous, contact the Jersey City Police Tip Line at 201-547-5245 or email@example.com.
Jersey City Police Department Non-Emergency Dispatcher
The Jersey City Police Department Non-Emergency Dispatcher is the phone number you should call for non-emergencies that require police attention. Call to report noise, domestic disturbances, or suspicious activity. You will NOT be asked your immigration status when contacting the Jersey City Police. If you have an emergency, call 9-1-1.
- Report non-emergency problems to the police
- Report suspicious activity in your neighborhood
- Report any information that can be used to prevent crime or danger
201-547-5477
firstname.lastname@example.org
Division of Immigrant Affairs (DIA)—City of Jersey City
The Division of Immigrant Affairs (DIA) is dedicated to assisting and welcoming all immigrants living in Jersey City. In addition to publishing this Resource Guide, we offer free limited assistance with some citizenship applications and Green Card renewals. We cannot give legal advice, but we can connect you with non-profit legal assistance and many other services.
- Get free assistance completing immigration forms for citizenship
- Connect with many services
- Access free information and resources for the citizenship exam
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-6800
email@example.com
Why is the U.S. Census so important?
The census is when the government makes a complete count of every person who lives in the United States. The census is conducted every 10 years, and counts all people, regardless of their immigration status. The government then uses the census count to determine how much money it should give to cities for schools, police, fire departments, and public health. The government also uses the census count to determine how many elected representatives are needed for a given population. Non-profit organizations use the census count to determine how to serve vulnerable groups. Even corporations use the census count to plan where to build stores, offices, and restaurants. When residents fail to fill out census forms, their community might lose its fair share of resources and compromise its future.
What if I am not a citizen, or I don’t have proper immigration documents?
First, if you reside in the United States, you are required by law to fill out a census form, even if you are not a citizen or a documented immigrant. Second, according to Title 13 of federal law, the information you put on your census form may not be published, used in court, or accessed by any government agency other than the Census Bureau. The Census Bureau may only use the census information to provide statistical counts and broad analyses of data; it is not permitted to use your individual information.
How can I complete a census form?
The census begins April 1, 2020, and is repeated every 10 years. You can complete the census online or by phone or mail in several different languages. Because your response is required by law, the Census Bureau will send a representative to your home to collect the necessary data if you do not submit.
Hudson County Department of Family Services (DFS)
The Department of Family Services provides public benefits to residents who meet certain eligibility requirements. Help with food, housing, health insurance, childcare, child support, elderly care, transportation, and employment are all offered at DFS. For a detailed list of public benefits, read the “What are public benefits?” information panel.
- Apply for food stamps
- Enroll in government-supported health insurance
- Apply for rental assistance if you are a family facing eviction
- Receive cash assistance for families with children under 18
- Find free and low-cost childcare
- Apply for child support if you are a single parent
- Register for free full-time ESL classes and job training through the Work First program
- Enroll in free health insurance (Medicare) and home health care if you are over 65
257 Cornelison Avenue, Jersey City, NJ 07302
201-420-3000
hudsoncountynj.org/department-of-family-services
Mon–Fri: 8:00 a.m. to 3:45 p.m
Free
Spanish, Arabic, Other Foreign Languages
Documents and Preparation Required
What are public benefits?
Public benefits are programs funded by the government that help people pay for basic needs like food, housing, and medical care. If you do not have proper immigration documents, you will not be approved for most public benefits. It is important to note that each program has its own set of requirements and renewal processes.\(^6\)
How can public benefits help me buy food?
If you are approved for the Supplemental Nutrition Assistance Program (SNAP), you will be given an Electronic Benefits Transfer (EBT) card, which can be used to buy food at stores with signs that say “EBT accepted”. EBT cards have a fixed value that is automatically replenished every month, as long as the cardholder renews membership in SNAP.\(^7\)
How can public benefits help me find a job?
Temporary Assistance for Needy Families (TANF; “Work First New Jersey”) temporarily provides cash, childcare, and job training to low-income families. To extend TANF benefits, you must have a job or be enrolled in school.\(^8\)
How can public benefits help me pay rent?
The Section 8 voucher program assists the poor, elderly, or disabled with paying for a rented home. Generally, Section 8 recipients must pay 30% of their income toward rent, and the balance is paid directly to the landlord by the government.\(^9\) Recipients must find a landlord that is willing to accept Section 8 vouchers. You can apply for Section 8 and other public housing benefits by contacting the Jersey City Housing Authority at 201-706-4676 or www.jerseycityha.org.\(^{10}\)
How can public benefits help me pay for medical care?
Medicaid is a state and federal benefits program that provides free or low-cost health insurance to families with low income. Medicare is a federal program that provides health coverage if you are 65 years of age or older, or if you are disabled.\(^{11}\) Supplemental Security Income (SSI) provides monthly cash assistance to people with blindness and other disabilities. Supplemental Security Disability Insurance (SSDI) provides monthly assistance to workers who can no longer work as a result of a disability or illness. Any person can apply for SSDI if they have been paying into Social Security for at least 10 years.\(^{12}\) NJ Family Care is a program that helps eligible children and adults gain access to health care.\(^{13}\)
Where do I go to apply for public benefits?
To apply for most of the Hudson County DFS benefits programs listed here, you must go to their office (at 257 Cornelison Avenue) on a weekday (Monday through Friday) before it opens at 8:00 a.m. You will need documents like proof of immigration status, proof of Hudson County address, proof of income, and identification for all members in your household.
If you are awarded SNAP benefits, you can use this EBT card to purchase food at local stores that accept SNAP.
Visit the Hudson County Department of Family Services to apply for assistance with health care, housing, and food.
Jersey City Community Solutions (JCCS) is a court-based program that seeks alternatives to incarceration for people who commit low-level, nonviolent offenses. JCCS can be helpful if someone is facing criminal charges such as drug possession or shoplifting. JCCS develops sentences that incorporate community service and rehabilitation programs instead of having individuals serve jail time.
- Learn about community service and rehabilitation options in the court system
- Receive guidance when facing a low-level, nonviolent criminal charge
365 Summit Avenue,
Jersey City, NJ 07306
201-209-6734
firstname.lastname@example.org
www.jerseycitynj.gov/CityHall/law/municipalcourt/JCCS
The Division of Affordable Housing is where renters can go if they suspect their landlord is neglecting to provide a safe home or might be violating the Housing Code. Here, you can also find the Office of Landlord/Tenant Relations, which can help you ensure your landlord is following the law on rent control and rental agreements. The Division of Affordable Housing can also give you information about housing options and your rights as a renter.
- Report landlord misconduct or negligence
- Ask questions about rental agreements and tenants’ rights
- Learn about rent control protections
342 Martin Luther King Drive,
Jersey City, NJ 07302
201-547-5127
If you have a problem with your rented home, you can go to the new Division of Affordable Housing at 342 Martin Luther King Dr.
Jersey City Resident Response Center (RRC)
The Resident Response Center is a centralized department you can call to report a community concern and receive information and assistance related to city services. An RRC representative will listen to your questions and concerns and will connect you with the city department that can best assist.
- Report a problem in your neighborhood
- Connect with city agencies
280 Grove Street, Room 106,
Jersey City, NJ 07302
201-547-4900
www.jerseycitynj.gov/community/rrc
Free
Spanish
Additional Services Available
A Resident Response Center representative will listen to your questions and concerns and connect you with the city department that can best assist.
Social Security Administration—Jersey City Office
The Social Security Administration provides financial assistance to many people who are retired or disabled. Even if you do not receive these benefits, a Social Security card is an essential document that you will need to work, pay taxes, and interact with most government agencies. You can apply for one at the 325 West Side Avenue office. You will need proof of your immigration status.
- Apply for a Social Security card
- Ask about disability and retirement benefits
325 West Side Avenue,
Jersey City, NJ 07305
1-800-772-1213
www.ssa.gov
Documents and Preparation Required
A Social Security number and card are what nearly all United States residents use to identify themselves to employers, government offices, and many private institutions like banks and health insurance providers.
US Citizenship and Immigration Services (USCIS)
Newark Asylum Office
The USCIS Newark Asylum Office (located in Lyndhurst) is where USCIS officials conduct interviews for immigrant petitions related to asylum, suspensions of deportation, and other cases. Nearly all business at this office must be scheduled by appointment. Individuals without an appointment can arrive at the office on Fridays.
- Attend your asylum or immigration interview
- Schedule an appointment regarding your asylum or suspension of deportation case
**USCIS Newark Asylum Office**
1200 Wall Street West, 4th Floor,
Lyndhurst, NJ 07071
**201-508-6100**
**email@example.com**
US Citizenship and Immigration Services (USCIS)
Newark District Office
USCIS is the federal government agency that handles all citizenship and immigration applications. A specific USCIS form must be carefully completed and submitted for every immigration adjustment or petition. Most USCIS forms require a fee, but many forms can be submitted with a Fee Waiver, which would reduce or eliminate the need to pay. Visiting a USCIS field office is usually only necessary for interviews and special appointments.
**Completing a USCIS application:**
- Find a licensed attorney or accredited representative to help you understand and complete USCIS forms
- Never submit anything to USCIS that is not complete, true, and correct
- Check the USCIS website for the correct address before sending mail; different forms may need to be sent to different addresses
**Visiting the USCIS field office:**
- Only go to USCIS when you have been informed of an appointment by mail
- To request an appointment, use the InfoPass tool on the USCIS website
- Bring all necessary documents; citizenship interviewees need to bring an NJ state ID, passport, and Green Card
**USCIS Field Office,**
Peter Rodino Federal Building
970 Broad Street,
Newark, NJ 07102
**1-800-375-5283**
**www.USCIS.gov**
Who can help me with my immigration legal problem?
ACCREDITED REPRESENTATIVES
An accredited representative has specialized training and is authorized by the U.S. Dept. of Justice to provide legal assistance to immigrants. Accredited representatives must work for a non-profit organization that is recognized by the Dept. of Justice. They often help at public events and community centers. Immigrant Hope in Clifton has accredited representatives on staff.
“PRO BONO” IMMIGRATION LAWYERS
A pro bono lawyer is a licensed immigration attorney who agrees to provide legal services for free. Like all licensed attorneys, pro bono lawyers must have graduated from law school and hold a license from the State Bar Association in the state where they are practicing law. Northeast New Jersey Legal Services is a pro bono legal agency that provides free services.
LOW-COST IMMIGRATION LAWYERS
Sometimes called “low bono”, low-cost immigration lawyers work for non-profit organizations and offer professional legal services at a fraction of the cost of private attorneys. Some “low bono” agencies will ask for proof of income and might favor those who earn less. The Center for Immigrant Representation at 35 Journal Square is a low-cost immigration legal agency.
What forms of help might I be cautious about?
PRIVATE IMMIGRATION LAWYERS
Private lawyers can ask for any fee to help with your immigration legal case. Although many private attorneys are excellent, some abuse their clients by providing poor legal services at very high prices. It is common to find a private attorney through a trusted recommendation. Private attorneys are not listed in this guide.
“NOTARIOS”
“Notarios” are typically not authorized to help you with an immigration legal problem, and you may put yourself at significant risk by trusting one. Unlike in Latin America, a “notario” may not practice law in the United States. Those who are authorized to practice law usually advertise themselves as lawyers. Please read elsewhere in this section about “notarios”.
American Friends Service Committee (AFSC) Immigrants’ Rights Program
The AFSC Immigrants’ Rights Program offers free and low-cost legal services to immigrants who are in detention, facing deportation, seeking to reunite with families, or in need of protection. AFSC also engages in many efforts to advocate for the protection and support of immigrant communities.
- Ask questions about legal cases
- Meet with a lawyer about your deportation case
- Advocate for immigrant rights and protections
89 Market Street, 6th Floor,
Newark, NJ 07102
973-643-1924
firstname.lastname@example.org
www.afsc.org/office/newark-nj
Free, Low-Cost
Spanish
Additional Services Available
American Immigration Lawyers Association (AILA)
AILA is a national association of attorneys and law professors who practice and teach immigration law. AILA members represent clients seeking permanent residence, asylum, and other immigration statuses, often on a pro bono basis. While AILA cannot be contacted for direct assistance, they can provide valuable information and connect you to other attorneys.
- Find information about your immigration questions
- Ask for a list of pro bono attorneys
1331 G Street NW, Suite 300,
Washington, DC 20005
202-783-7853
www.aila.org
Who can I trust with immigration legal services?
Only licensed immigration attorneys or accredited representatives are authorized to help you with your immigration legal case. For information on avoiding immigration legal scams, go to www.uscis.gov/avoid-scams.\(^1\)
**Pro bono** immigration attorneys provide legal services to immigrants without asking for fees or compensation, but they will usually ask you to prove that your income is low.\(^2\) The term “pro bono” is derived from Latin and means “for the public good”. To find pro bono attorneys, visit www.justice.gov/eoir/file/ProBonoNJ.
“Low bono” is a modification of the term “pro bono” and describes licensed attorneys that work for non-profit agencies and provide legal services at low costs. If you have an income that does not qualify you for a pro bono attorney, but you still can’t afford a private attorney, a “low bono” attorney could be your best option.\(^3\)
**What is an accredited representative?**
Accredited representatives are not attorneys, but have received a special authorization from the U.S. Dept. of Justice to provide legal services to immigrants. After being accredited, they can represent immigrants in court and when engaging with the U.S. Citizenship and Immigration Services. Accredited representatives must work for non-profit organizations that are recognized by the U.S. Dept. of Justice and may only provide legal services on a pro bono or “low bono” basis.\(^4\)
**What should I know about for-profit attorneys?**
Attorneys must attend law school, earn a law degree, and be licensed by the State Bar Association in the state where they are practicing law. If you choose a for-profit attorney, it is important to ensure that none of their authorizations have been revoked or suspended. You can visit www.njcourts.gov and click “Licensed Attorneys” to check. Before entering into an agreement with an attorney, you can first speak with them about the details of your case and have a clear understanding of the costs.\(^5\)
If you need legal advice, make sure the person is a licensed attorney or an accredited representative to avoid falling victim of immigration scams.
The Bishop Francis Center for Legal Immigration Services helps immigrants by offering legal assistance in most cases of immigration and naturalization proceedings. The initial consultation fee is $60.
- Meet with a lawyer
- Ask questions about legal cases
- Receive help with your TPS, DACA, or U, VAWA, and T Visa
- Receive help with family petition and Special Immigrant Juvenile Status
976 Broad Street, 1st Floor, Newark, NJ 07102
973-733-3516
www.ccannj.com/refugee_immigration.php
Centro Comunitario CEUS Legal Services for Immigrants (LSI) Program
Centro Comunitario is a non-profit organization dedicated to helping immigrants in New Jersey with low-cost legal services.
- Receive help with your TPS, VAWA, and NACARA applications
- Receive help with applying for political asylum
- Get help with family petitions and citizenship
4214 John F. Kennedy Boulevard, Union City, NJ 07087
201-617-2466
email@example.com
www.ceusnj.org
The Center for Immigrant Representation
The Center for Immigrant Representation is a non-profit law agency that provides a wide range of low-cost immigration legal services, with an excellent record of success.
- Meet with an immigration lawyer or accredited representative
- Apply for citizenship, family petitions, U and VAWA Visas, and other immigration statuses
- Seek legal assistance as a victim of domestic abuse or human trafficking
35 Journal Square, Suite 827 (8th floor), Jersey City, NJ 07306
201-884-2290
firstname.lastname@example.org
www.thecenterimmigration.org
What makes Jersey City a “Sanctuary City”?
Many cities in the United States call themselves “Sanctuary Cities” because they enact local policies to welcome immigrants. Even though these local policies are, at times, very different from federal or state policies, it is important to know that no city—not even a “Sanctuary City”—can excuse immigrants from federal enforcement by Immigration Customs Enforcement (ICE) or Customs and Border Patrol (CBP). Federal immigration officers can question and detain anyone in the United States, even if they live in a “Sanctuary City”.
Jersey City first called itself a “Sanctuary City” in 1996 and reaffirmed this title in 2017, when Mayor Steven M. Fulop directed the city government to follow careful procedures to welcome and protect immigrants. One major “Sanctuary Policy” is that Jersey City police officers may not cooperate with federal immigration agents and must treat everyone the same, regardless of immigration status.
Columbia University Law School Immigrants’ Rights Clinic
The Immigrants’ Rights Clinic at Columbia Law School provides free legal services to immigrants in need, including unaccompanied minors who have been detained at the U.S. border and those facing deportation.
- Ask questions about legal cases
- Meet with a lawyer or accredited representative
- Meet with law students who are supervised by a lawyer
- Get help if facing deportation
435 West 116th Street,
New York, NY 10027
212-854-4291
email@example.com
What should I know about “notarios”?
In many Latin American countries, a “notario” is a lawyer that can provide many legal services. However, in the United States, only licensed attorneys or accredited representatives can provide the services associated with Latin American “notarios”. Many businesses in the United States call themselves “notarios” and offer legal services that they are not qualified or authorized to provide. Unfortunately, many immigrants trust “notarios” or “multi-service centers” and later find themselves paying fees for incorrect legal advice from a fraudulent representative. The abuse of immigrants by “notarios” is so well documented that in November 2018, the State of New Jersey fined dozens of these offices for providing fraudulent legal services. It is extremely important to verify that someone offering legal services is a licensed attorney or accredited representative by checking at www.njcourts.gov and clicking “Licensed Attorneys”. You can also find more information on immigration scams on www.uscis.gov/avoidscams.
HealthRight International
HealthRight International provides psychological, medical, and gynecological evaluations for foreign-born survivors of torture and other human rights abuses for use in immigration proceedings. Your legal representative must refer you to HealthRight in order for you to receive an evaluation.
- Obtain a psychological or physical evaluation as evidence in support of an application for asylum or other immigration relief
14 East 4th Street, 3rd Floor,
New York, NY 10012
212-226-9890
www.healthright.org
Free
Spanish, Other Foreign Languages
Additional Services Available
Immigrant Hope—Clifton
Immigrant Hope provides legal advice and assistance for immigrants in need. Immigrant Hope is affiliated with the Evangelical Free Church of America. The Clifton office is located on the Grace Church campus and is able to service people in Spanish, Portuguese, Albanian, and Turkish. The consultation fee is $40.
- Receive help with your immigration forms
- Ask questions about legal cases
- Receive help with your DACA renewal
- Find English language classes
45 Hazel Street,
Clifton, NJ 07011
973-928-4103
firstname.lastname@example.org
immigranthope.org/location/clifton-new-jersey/
Low-Cost
Spanish, Portuguese, Albanian, and Turkish
Appointment Required
Documents and Preparation Required
Additional Services Available
Division of Immigrant Affairs—City of Jersey City
In addition to publishing this Resource Guide, the Division of Immigrant Affairs offers free, limited assistance with applications for citizenship and Green Card renewals. We can help you read instructions, organize documents, and prepare forms. If you have any other questions about any of the services mentioned in this guide, please call.
- Receive free, limited assistance with preparing citizenship and Green Card renewal applications
- Connect with other services
- Receive information and resources for the citizenship exam
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-6800
email@example.com
Free
Spanish, Arabic, Other Foreign Languages
Appointment Required
Kids in Need of Defense (KIND)
KIND offers free legal representation to unaccompanied immigrant and refugee children who face deportation. Services are only available to unaccompanied minors who are under 18.
- Receive free legal representation (only for unaccompanied minors under 18)
- Meet with a lawyer to ask questions about your case and learn about your rights
📞 862-926-2117
✉️ firstname.lastname@example.org
🌐 www.supportkind.org
Free
Spanish, French, Chinese
Appointment Required
Additional Services Available
Legal Office for Refugees and Asylum Seekers
Church World Service (CWS)
The CWS Legal Office provides legal services to refugees, asylees, and other immigrant groups. To meet with an attorney, there is a consultation fee of $75, and other services cost low fees, as well.
- Meet with an immigration lawyer
- Apply for U Visa, adjustment of status “Green Card”, or citizenship
- Receive help with your asylum case or family petition
- Renew your DACA status
- Apply for and renew Temporary Protected Status (TPS)
📍 475 Riverside Drive, Suite 700,
New York, NY 10115
📞 212-870-2814
🌐 www.cwsglobal.org/legal-services
Low-Cost
Appointment Required
THE JERSEY CITY DIVISION OF IMMIGRANT AFFAIRS IS HERE TO HELP!
Free Help with Citizenship and Green Card Renewal Applications*
- Reading instructions
- Organizing documents
- Completing forms
*Although we can gladly help with the needs listed above, please keep in mind that our staff are not immigration professionals and our ability to assist is limited. We cannot interpret laws of application requirements, nor can we provide any legal advice. You may require the help of a licensed immigration attorney.
Free Help with Finding Services
- Finding non-profit health services
- Finding non-profit lawyers
- Problems with your landlord
All are welcome, regardless of immigration status. Your privacy will be protected.
Call for an Appointment and Information:
En español and English: 201-547-5107
In العربية and English: 201-547-5118
Email: email@example.com
Jersey City Department of Health and Human Services, Jersey City Division of Immigrant Affairs
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
9:00 a.m. to 5:00 p.m.,
Monday through Friday
What should I know about my Green Card?
If you are a Lawful Permanent Resident (LPR), your Green Card is the most important document that proves your right to live and work in the United States. When your Green Card expires, you will still be an LPR, but holding an expired card will make it difficult to apply for jobs and services, travel abroad, and interact with most government agencies. You should know the expiration date of your Green Card and make careful plans to renew six months before it expires.\(^{11}\) As a Green Card holder, you are required to complete an AR-11 Change of Address form every time you move. For information, go to [www.uscis.gov/AR-11](http://www.uscis.gov/AR-11).\(^{12}\)
How do I renew or replace my Green Card?
You can submit a form called I-90 to the U.S. Citizenship and Immigration Services. The I-90 requires you to provide personal information and a photocopy of your expired (or almost-expired) Green Card. If you lose your Green Card, you can report it to your local police station. If the police cannot file a report, you can ask to submit a “written affidavit” and ask for a copy. Not only can this document be used in your application for a replacement Green Card, it can also be used if your lost Green Card is found.\(^{13,14}\)
How do I apply for a fee waiver?
The full fee for Green Card renewal or replacement is usually $540, and the wait time is generally six months.\(^{14}\) If you qualify for an I-912 Fee Waiver, you will not have to pay any application fee, but you will need proof of receiving government assistance like Medicaid or SNAP (“food stamps”) or of earning a very low income. A full list of requirements can be found at [www.uscis.gov/i-912](http://www.uscis.gov/i-912).\(^{15}\)
Who can help me?
If you live in Jersey City and need help with your Green Card renewal, you can contact the Division of Immigrant Affairs (located at 1 Jackson Square, Jersey City, NJ 07305) to set up an appointment by calling 201-547-4328.
It is important to renew your Green Card as early as six months before the expiration date.
Legal Services of New Jersey (LSNJ) Immigration Representation Project
Legal Services of New Jersey provides free legal services to low-income New Jersey residents for a variety of civil and immigration matters. LSNJ helps undocumented immigrants, asylum seekers and those facing deportation, human trafficking victims, torture survivors, and LGBTQ people. To qualify for help from LSNJ, you must meet the low-income eligibility guideline.
- Meet with a licensed pro bono attorney
- Receive help with adjustment of status, DACA, TPS, and VAWA applications
- Receive deportation defense and representation in courts
- Attend advocacy meetings and “know your rights” presentations
P.O. Box 1357,
Edison, NJ 08818
732-572-9100 ext. 8782
firstname.lastname@example.org
Free
Spanish, Bengali, French, Haitian Creole, Portuguese
Additional Services Available
Make the Road New Jersey
Make the Road builds the power of immigrant and working-class communities to achieve dignity and justice through community organizing, legal and support services, and transformative education. For a free immigration legal services consultation, you are asked to attend at least one community meeting in Elizabeth on Thursdays at 7:00 p.m., or in Passaic on Wednesdays at 6:00 p.m. Also, see Make the Road’s listing in the Education and Immigrant Youth sections of this guide.
- Apply for citizenship and other immigration petitions
- Learn about various classes and programs
42 Broad Street,
Elizabeth, NJ 07201
email@example.com
www.maketheroadnj.org
Free
Spanish, Portuguese
North Hudson Community Action Corp (NHCAC) Immigration and Naturalization Services
NHCAC helps immigrants with completing USCIS immigration forms, translating important documents, and connecting with lawyers. NHCAC partners with other community organizations to offer ESL and financial literacy classes for immigrants. They can also connect you to a civil surgeon doctor who can complete the I-693 medical exam for your Green Card application.
- Get help filling out immigration forms
- Set an appointment with a civil surgeon for your I-693 medical exam
- Request translations of foreign language documents into English
- Connect with lawyers
7007 Polk Street,
Guttenberg, NJ 07093
201-210-0333 ext. 22101 or 22102
www.nhcac.org
Mon–Fri: 8:30 a.m. to 5:00 p.m.
Free
Spanish
Documents and Preparation Required
Additional Services Available
Northeast New Jersey Legal Services (NNJLS)
Northeast New Jersey Legal Services provides free non-criminal civil legal help to low-income immigrants in Bergen, Hudson, and Passaic Counties who meet certain eligibility requirements. NNJLS can assist with a range of immigration matters, including visa renewals, citizenship applications, adjustment of status, and family petitions. NNJLS also provides legal help with other civil legal matters, including housing, public assistance, domestic violence, sexual assault, veterans, seniors, education, expungement of New Jersey criminal records, federal tax matters, and HIV/AIDS.
- Meet with a lawyer
- Ask about many legal concerns
574 Summit Avenue, 2nd Floor,
Jersey City, NJ 07306
201-792-6363
firstname.lastname@example.org
www.northeastnjlegalservices.org
Free
Spanish, Arabic, Bangla, Korean, Turkish, Other Foreign Languages
Documents and Preparation Required
Rutgers University School of Law, Newark
Immigrant Rights Clinic
The Immigrant Rights Clinic at Rutgers University School of Law provides legal services to immigrants with problems related to asylum, deportation, and certain crimes.
- Meet with a lawyer
- Ask questions about legal cases
123 Washington Street,
Newark, NJ 07102
973-353-5292
www.law.rutgers.edu/legal-clinics
Spanish, Other Foreign Languages
Appointment Required
Documents and Preparation Required
Seton Hall Law School
Immigrants’ Rights/International Human Rights Clinic
The Immigrants’ Rights/International Human Rights Clinic at Seton Hall Law School provides pro bono legal services for economically disadvantaged residents, asylum seekers, and individuals facing deportation.
- Meet with a lawyer or with a law student supervised by a lawyer
- Get help with your asylum case or U Visa
- Seek help with deportation defense
833 McCarter Highway,
Newark, NJ 07102
973-642-8700
email@example.com
law.shu.edu/clinics
Free
Spanish, Portuguese, Arabic, Other Foreign Languages
Appointment Required
Documents and Preparation Required
How can I become a U.S. citizen?
If you are eligible to become a naturalized U.S. citizen, you will need to submit an N-400 Citizenship Application, record your fingerprints and “biometrics”, pass the citizenship exam and interview, and take an oath.
What are some of the requirements for the N-400 Citizenship Application?
• You have been a lawful permanent resident (Green Card holder) of the United States for at least five years. If you marry a U.S. citizen, the requirement is three years, instead of five.
• You are at least 18 years old at the time of filing.
• You have not traveled outside of the United States for more than a total of 12 months in the last five years.
• You have not traveled outside of the United States for more than six months during one trip in the last five years.
• You have lived within the same state where you are claiming residence for at least three months.\(^{16}\)
• For a complete list of citizenship requirements, go to www.uscis.gov/n-400.”
What are the fees? Can I apply for a fee waiver?
The N-400 Citizenship Application requires a fee of up to $725. If you qualify for the I-912 Fee Waiver, you will not have to pay any application fee, but you must show proof of receiving government assistance like Medicaid or SNAP (“food stamps”) or of earning very low income. A full list of requirements can be found at www.uscis.gov/i-912.\(^{17}\)
What can prevent me from becoming a citizen?
Excessive travel outside of the United States can interfere with the continuous residence requirement mentioned above. Failing to pay taxes, lying to the government, or being convicted of a crime can have a negative impact on the “good moral character” requirements. If you have these problems, you can consult with an immigration attorney before starting the application process.\(^{18}\) Also, most applicants must understand, speak, and write basic English. For free assistance with starting the process of becoming a U.S. citizen, you can contact the Jersey City Division of Immigrant Affairs at 201-547-6800.
If you have been a permanent resident for five years, you could be eligible to apply for U.S. citizenship.
Call the Division of Immigrant Affairs for information about naturalization classes to help you prepare for your citizenship exam.
The final step to becoming a naturalized citizen is the Oath of Allegiance, which usually takes place at the USCIS Newark District Office in the Peter Rodino Federal Building.
We Are One New Jersey—Hudson County
We Are One New Jersey offers assistance with applications for citizenship (N-400), Green Card renewals (I-90), employment authorization documents (I-765), Deferred Action for Childhood Arrivals renewal (DACA), and citizenship certificate replacements. We Are One can assist you in reading instructions, organizing documents, and preparing forms. You can also ask We Are One for assistance with a dispute with your landlord. Services are free for all Hudson County residents.
- Receive help with applications for citizenship, Green Card renewal, and employment authorization documents
- Receive help with your DACA renewal
- Receive help with your voter registration application
- Also, see information on We Are One’s ESL and citizenship classes in the Education section of this guide
830 Bergen Avenue, Suite A401,
Jersey City, NJ 07306
201-209-2839
firstname.lastname@example.org
www.weareonenj.org
Free
Spanish, French
Documents and Preparation Required
Additional Services Available
WomenRising
WomenRising is an organization that helps victims of domestic violence and their families by providing social services and advocating for women’s rights.
- Seek assistance with restraining orders and other legal matters
- Call an emergency hotline to report domestic abuse
- Stay in an emergency shelter for victims of domestic violence
- Receive counseling for victims of domestic violence
- Connect with support group services
270 Fairmount Avenue,
Jersey City, NJ 07306
201-333-5700
email@example.com
www.womenrising.org
Free
Spanish
What can I do if ICE stops me?
Immigration and Customs Enforcement (ICE) ensures that only properly documented immigrants enter and live in the United States. It is important to know that even though Jersey City calls itself a “Sanctuary City”, ICE can still enforce federal immigration laws within the city. If ICE stops or questions you, you should never lie, run, show false documents, or resist physically.\(^{19}\)
What rights do I have if I am stopped by ICE?
You can ask ICE officers for a warrant to search your home or make an arrest. A **warrant** is a legal document that is signed by a judge that gives ICE permission to arrest someone and search their home. If there is no warrant, or if the warrant is not signed by a judge, you have the right to refuse consent for searches of yourself, home, and car. You also have the right to remain silent.\(^{20}\)
What can I do if a friend or loved one is arrested by ICE?
You can contact the Jersey City Division of Immigrant Affairs at **201-547-6800**, and we can connect you with non-profit lawyers, counselors, and other professionals who can help.\(^{21}\) It is important to have information about your encounter with ICE agents, including the date, time, and location. If anyone is arrested, you will need their full name, date of birth, country of origin, and their Green Card number to locate them. **American Friends Service Committee** is a non-profit law office that specializes in legal defense for immigrants who have been detained by ICE. Their phone number is **973-643-1924**.\(^{22}\)
How can I help a family member who is being held in ICE detention?
If you are searching for someone in ICE detention, you can use the ICE Detainee Locator website, [locator.ice.gov](http://locator.ice.gov).\(^{23}\) You can also contact ICE’s Public Advocate at the ICE Community Helpline: **1-888-351-4024**.\(^{24}\) **First Friends of NJ & NY** is a non-profit organization that specializes in supporting immigrant detainees being held in the Jersey City area with visits and essential materials. Their phone number is **908-965-0455**.\(^{25}\)
Medical Services
Alliance Community Healthcare
Alliance Community Healthcare provides medical, dental, and other services and counseling. The clinic accepts insured and uninsured patients. They provide discounts and payment plans for individuals with low income.
- See a doctor or a dentist
- Bring your children to see a pediatrician
- Connect with a mental health specialist
- Receive counseling for a variety of needs
- Enroll in a prescription drug discount program
- Get help with applying for Medicaid if you qualify
115 Christopher Columbus Drive,
Jersey City, NJ 07302
201-451-6300
www.alliancecommunityhealth.org
Mon, Wed, & Thur: 9:00 a.m. to 7:00 p.m.
Tue & Fri: 9:00 a.m. to 5:00 p.m.
Sat & Sun: Closed
Low-Cost, Accepts Uninsured Patients
Spanish
Accepts Walk-ins
Documents and Preparation Required
Additional Services Available
You can take advantage of free health screenings and fairs that offer free testing for HIV, cholesterol, glucose, and blood pressure.
Where can I get free preventive health services in Jersey City?
Preventive health services are routine checkups and tests performed by medical professionals, including immunizations and vaccinations, screenings for illnesses, and patient counseling to prevent diseases or other health problems.\(^1\) Different divisions of the Department of Health and Human Services offer free preventive health services to Jersey City residents. These include:
The **Jersey City City Clinic** provides free immunization and flu vaccines to uninsured children and free flu vaccines for seniors. If you are 13 years or older, you can be tested for sexually transmitted diseases (STDs), screened for HIV, and connected with treatment services—parental consent is not required. Call 201-547-5535.\(^2\)
Vaccines are offered at the Jersey City City Clinic to uninsured children 2 months to 18 years old who live in Jersey City.
The **Women, Infants and Children (WIC) Program** provides food vouchers to pregnant women and new mothers. The vouchers can be used in most supermarkets to buy food that is marked “WIC approved”.\(^3\) To receive WIC vouchers, you must meet federal income standards. New mothers can also receive iron-fortified formula and jars of nutritious baby food. Call 201-547-6842.\(^4\)
The **Division of Community Health and Wellness** has a team of community health educators who share information about pressing health issues and host free health screening events. Call 201-547-4578.
The **Division of Environmental Health** conducts lead screening for uninsured children under the age of six. Call 201-547-4743.\(^5\)
These free services are not substitutes for your personal doctor. If you have a health problem, you should see a doctor.
All services are conveniently located in the City Hall Annex, at the Department of Health and Human Services at 1 Jackson Square.
**Jersey City Childhood Lead Poisoning Prevention Program (CLPPP)**
CLPPP provides prevention, screening, and treatment of lead poisoning to uninsured or underinsured children between nine months and six years old. CLPPP also provides education and awareness on the hazards of lead poisoning.
- Receive lead screening for children between nine months and six years old
- Receive education and information about lead poisoning
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-4743
Free
Spanish
Documents and Preparation Required
Jersey City City Clinic
If your child is between 2 months and 18 years old, you can accompany them to receive free immunizations, even if you are uninsured. Free flu vaccines are given to seniors and children 6 to 59 months old. If you are 13 years old or older, you and your partner can be tested for sexually transmitted diseases (STDs) and screened for HIV for free, and you can be connected with treatment services; parental consent is not required. To be served at the City Clinic, call for an appointment, and bring a photo ID and proof of Jersey City residence.
- Get your children vaccinated for free (2 months to 18 years old)
- Get a free flu shot (6 to 59 months old and seniors)
- Get screened for HIV and tested for STDs for free
- Get treatment and counselling for STDs
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-5535
Mon–Fri: 8:00 a.m. to 4:00 p.m.
Free, Accepts Uninsured Patients
Spanish, Korean
Appointment Required
Documents and Preparation Required
Additional Services Available
Jersey City Crisis Counseling and Chaplain Program
Residents who are experiencing trauma or severe emotional distress can receive help from the Crisis Counseling and Chaplain Program. Counselors and chaplains are specially trained to provide emotional support and to connect you with medical and mental health specialists. To access this service, call the phone number below and ask about mental health first aid.
- Talk with a counselor or chaplain if you are experiencing trauma or profound stress
- Get trained in mental health first aid
Jersey City Division of Injury Prevention
Jersey City Department of Health & Human Services
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-6800
Free, Accepts Uninsured Patients
Spanish, Arabic, Urdu, Hindi, Gujarati
What does it mean to have health insurance?
To be insured, or to “have coverage”, means that you are a member of a health insurance plan. Membership in a health insurance plan usually requires you to pay a fee every month to a private corporation that administers the plan. When you need medical services, the insurance plan will pay for some or all of the fees.\(^6\) There is currently a New Jersey state law requiring all people to have some form of health insurance.\(^7\)
Are all health insurance plans the same?
No. Some insurance plans require very high monthly fees, some require low fees, and some are free. Typically, an expensive insurance plan will pay for more medical services and specialized medical procedures. A cheaper plan will typically require you to pay larger portions of fees and will sometimes require you to pay the entire fee for specialized medical procedures. When an insurance plan pays for all of your medical fees, this is fee is “fully covered”. When you are asked to pay medical fees that the insurance plan will not pay this fee is called “out of pocket”.\(^8\)
How can I get health insurance?
One way of joining a health insurance plan is by having a full-time job with an employer who offers to share the insurance membership costs with its employees. This usually means that your portion of the membership costs are automatically taken from your paycheck every two weeks or once a month.\(^9\) If you do not work for an employer that offers a shared health insurance plan, you can pay for membership in an insurance plan directly. This is usually called a “private plan”. You can also apply for a health insurance plan that is paid for by the government. The most popular form of government-supported health insurance is called Medicaid and requires you to prove that you have a low income.\(^10\) Remember that having health insurance is required by state law.
If I have health insurance, how do I use it?
The insurance plan provider sends membership cards to its members, and you present the card every time you need medical services. If you need medical care that is not an emergency, you can schedule an appointment with a private doctor’s office. (Going to a hospital for a non-emergency is not customary and usually expensive.) It is important to tell the doctor’s office staff the name of your insurance plan before seeing the doctor, and ask if the services are “covered”. You can usually ask all of these questions over the phone, when you are scheduling your appointment. When you visit the doctor’s office, you will often need to pay a copay, which is a fixed portion of a medical service fee that plan members must pay to the medical service provider. The monthly costs of being an insurance plan member should stay the same, no matter how many medical services you use throughout the year.\(^11\)
The Jersey City Medical Center is a multi-service hospital that provides medical services for individuals and their families. The center specializes in women and infants, cardiac care, and medical emergencies. It also has a Comprehensive Care Center location that specializes in HIV treatment, counseling, and medical case management.
- Receive emergency medical treatment
- Receive prescription medications and medical referrals
- Connect with a specialist
- Receive treatment and testing
- Receive comprehensive care and counseling for HIV treatment (Greenville Location)
355 Grand Street, Jersey City, NJ 07302
201-915-2000
www.rwjbh.org/jersey-city-medical-center
Comprehensive Care Center, Greenville Location
1825 John F. Kennedy Boulevard, 1st Floor, Jersey City, NJ 07305
201-204-0004
Spanish, Other Foreign Languages
Accepts Walk-ins
Documents and Preparation Required
Additional Services Available
The Medical and Social Services for the Homeless (MASSH) and the Projects for Assistance in Transition from Homelessness (PATH) programs provide homeless and at-risk individuals with access to many social and medical services. To receive help from the programs, you must be homeless or at risk of becoming homeless, or have a mental disorder diagnosis. All services are free to people who qualify.
- See a doctor
- Find mental health and substance abuse treatment services
- Receive job training and placement
- Get help applying for social service programs
- Get help finding a temporary or permanent place to live
1825 John F. Kennedy Boulevard, Jersey City, NJ 07305
201-204-0004 ext. 1049
Free, Accepts Uninsured Patients
Spanish
What if I cannot afford to see a doctor?
The cost of medical services in the United States is very high, and there is an ongoing debate over how to increase access to quality medical services. The following are some programs you might apply for to make sure you can receive medical services even if you cannot afford them.
What is New Jersey Medicaid?
NJ Medicaid provides health insurance to adults, children, and disabled individuals who meet the program’s requirements.\(^{12}\) To qualify for Medicaid, or a similar program called “NJ Family Care”, you must live in New Jersey and demonstrate that you earn a low income. To enroll, go to [www.NJFamilyCare.org](http://www.NJFamilyCare.org) or visit the Hudson County Department of Family Services at 257 Cornelison Avenue.\(^{13}\) You can also call a Medicaid specialist at the Jersey City Division of Community Health and Wellness at 201-547-4578.
Can immigrants receive New Jersey Medicaid?
To enroll in NJ Medicaid, you must be a Lawful Permanent Resident who has both lived in the U.S. and had a Green Card for five years. Children under 18 years old and some immigrant groups, like refugees, asylees, and victims of human trafficking, are exempt from the five-year waiting period. Pregnant women residing in New Jersey who meet certain requirements may receive NJ Medicaid during their pregnancy and for 60 days following delivery or the date that the pregnancy ends.\(^{14}\)
What is the Federal Health Insurance Marketplace?
Those who do not qualify for Medicaid can apply for membership in a health insurance program that is offered by a private insurance agency by visiting the Federal Health Insurance Marketplace at [www.healthcare.gov](http://www.healthcare.gov). You can enroll in low-cost health insurance plans on the Marketplace website between November 1 and December 15, and your coverage will begin January 1. However, there are exceptions called “special enrollment periods” that might allow you to enroll at any time. To apply for health coverage through the Marketplace, visit [www.healthcare.gov](http://www.healthcare.gov) or call 1-800-318-2596.\(^{15}\)
What are Charity Care and “Sliding Scale”?
Charity Care and “Sliding Scale” are discount programs available to uninsured and low-income patients. If you meet certain income requirements, some or all of your medically necessary services might be paid for you. Charity Care and “Sliding Scale” programs are administered independently at each hospital and medical office.\(^{16,17}\)
What is the Emergency Payment Program for Aliens?
Immigrants who do not qualify for Medicaid because of their immigration status or because they are undocumented can apply for the Emergency Payment Program for Aliens at 257 Cornelison Avenue within three months of a severe medical emergency.\(^{18}\)
If you are a member of Medicaid, carry this Health Benefits Identification Card (HBID), especially when seeing a doctor.
The Metropolitan Family Health Network provides adult medical services for people ages 19 and older. An on-site social worker can also help you apply for welfare benefits. Both centers accept Medicaid and offer a sliding scale payment option for people without insurance.
- See a doctor
- Get a prescription for medication
- Receive counseling services for your medical needs
- Apply for Medicaid, SNAP (“food stamps”), and other services
**Bergen Avenue Location:**
857 Bergen Avenue,
Jersey City, NJ 07306
201-478-5859
www.metropolitanfhn.com
Mon, Wed, Thurs, & Fri: 8:30 a.m. to 4:30 p.m.
Tues: 8:30 a.m. to 7:00 p.m.
**Garfield Avenue Location:**
935 Garfield Avenue,
Jersey City, NJ 07304
201-478-5800
www.metropolitanfhn.com
Mon, Wed, Thurs, & Fri: 8:30 a.m. to 4:30 p.m.
Tues: 8:30 a.m. to 7:00 p.m.
The NHCAC Community Health Center offers accessible medical and other health-related services. This clinic accepts all patients regardless of insurance coverage or ability to pay. For uninsured patients, a sliding scale payment option is available, which will take into consideration your household size and household income. Fees for doctor visits range from $20 to $80.
- See a doctor or dentist
- Take your kids to receive vaccinations
- Get a blood test
- Get a referral to see a medical specialist
- Receive counseling for your medical needs
- Get a prescription for medication
**Jersey City location:**
324 Palisade Avenue,
Jersey City, NJ 07307
📞 201-459-8888
🔗 www.nhcac.org
🕒 Mon, Tue, Wed, & Fri: 8:30 a.m. to 5:00 p.m.
Thu: 8:30 a.m. to 7:00 p.m.
**North Bergen location:**
1116 43rd Street,
North Bergen, NJ 07047
📞 201-330-2632
🔗 www.nhcac.org
🕒 Mon, Tue, Wed, & Fri: 8:30 a.m. to 5:00 p.m.
Thu: 8:30 a.m. to 7:00 p.m.
The Parkside Medical Center provides affordable primary health care and accepts insured and uninsured patients. First appointments are $75 and follow-ups are $50. Patients referred by Parkside Medical Center to the on-site test lab receive a 70% discount on blood work and other lab work. The Center provides treatment and counselling for individuals who suffer from drug and alcohol addiction.
- See a doctor
- Get a prescription for medication
- Get blood and other lab tests
- Receive treatment for drug and alcohol addiction
- Get methadone and Suboxone treatment
**Lafayette Street Location:**
121 Lafayette Street, Jersey City, NJ 07304
**Harrison Avenue Location:**
75 Harrison Avenue, Jersey City, NJ 07304
**Phone:** 201-434-1111
**Website:** www.khcpmc.org
**Hours:** Mon-Fri: 9:00 a.m. to 4:00 p.m.
Sat & Sun: Closed
**Phone:** 201-451-5425
**Hours:** Mon–Fri: 6:00 a.m. to 3:00 p.m.
Sat & Sun: 7:00 a.m. to 10:00 a.m.
---
SAMHIN assists South Asian immigrants living in Northern New Jersey who suffer from mental health illnesses, addiction, and experiences with suicide. SAMHIN can connect you to the appropriate mental health care providers, support groups, and recovery plans.
- Connect with a mental health care professional through an online mental health provider directory
- Learn about mental illnesses and addiction
- Join a South Asian Alcoholics Anonymous group
- Join Janani, a free support group for anyone who has lost someone by suicide
**Phone:** 732-902-2561
908-280-2833
**Email:** firstname.lastname@example.org
**Website:** www.samhin.org
**Free**
**Hindi, Gujarati, Punjabi**
**Services Available**
The Women, Infants, and Children Program offers vouchers for buying food and infant formula, plus a network of essential supports. These services are available to eligible pregnant women, breastfeeding mothers, and families with children five years old and younger. To apply, bring identification and proof of income to the Jersey City WIC office. If you have them, bring proof of receiving Medicaid and proof of pregnancy. WIC is welcoming of all immigrants, regardless of status.
- Receive vouchers for nutritious food and infant formula
- Learn about childhood nutrition
- Learn about immunization requirements for infants and children
- Connect with health care providers
- Receive educational breastfeeding support
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-6842
email@example.com
www.jcwic.org
Free
Spanish, Arabic, Other Foreign Languages
Appointment Required
Documents and Preparation Required
Visit the Jersey City WIC office for help with your child’s nutrition.
Get your “WIC Approved” fruits, vegetables, dairy products, and baby food at a supermarket that accepts WIC vouchers.
The Division of Environmental Health keeps Jersey City healthy by overseeing all food and health-related businesses and addressing health problems in public places. The Division also gives out summonses to people or organizations that do not comply with health rules. To file a complaint, call 201-547-5285.
- Report problems with your landlord
- Report bedbug, rodent, and insect infestations
- Report sewage or garbage problems
- Report problems with restaurants, grocery stores, or beauty and hair parlors
Dr. Martin Luther King, Jr. City Hall Annex
1 Jackson Square,
Jersey City, NJ 07305
201-547-5285
The Division of Environmental Health conducts inspections of all businesses serving food to the public. Call 201-547-5285 to report a problem.
How can I keep my home safe?
Call 9-1-1 if you smell gas.
The gas that is used to power cooking stoves and water heaters is flammable and can cause serious health problems if breathed in. If any of the gas pipes in your home are leaking, you should be able to smell a distinct odor similar to rotten eggs, which is intentionally added to help detect a leak. If you believe there is a gas leak, open your windows, do not touch electrical devices, go outside, and call 9-1-1 immediately.\(^1\)
Install and test smoke and carbon monoxide detectors.
Smoke and carbon monoxide detectors are small electronic devices that sound an alarm if there is a fire or a deadly gas in your home. It is important to know that carbon monoxide does not contain the noticeable odor that is added to cooking gas, and it can kill anyone who breathes it in for an extended period of time. These detectors are affixed to walls and ceilings, and are typically powered by replaceable batteries. If you rent your home, your landlord is required to provide detectors, but you must test the devices and ensure that the batteries do not need to be replaced.\(^2\) To ask about free smoke and carbon monoxide detectors, call the Jersey City Fire Prevention Office at 201-547-4255.
Be careful of lead poisoning, especially for children.
Lead is a chemical proven to be poisonous, especially to children, and has been heavily restricted in the United States for decades. The most common source of lead poisoning is damaged or peeling paint found in apartments and homes built before 1978. New immigrant children are more likely to have been exposed to lead.\(^3\) For a free lead screening for children nine months to six years old, call the Childhood Lead Poisoning Prevention Program at 201-522-4395.\(^4\)
Keep insects and rodents out of your home.
Cover or close all holes in your walls to prevent insects and rodents from getting in, store food in sealed containers, and throw out the trash as often as you can.\(^5\) If you are a renter and your landlord does not address an infestation, you can call the Landlord Tenant Relations Office at 201-547-5127 and the Division of Environmental Health at 201-547-5285.
Weatherize your home.
Puertorriqueños Asociados for Community Organization (PACO) Weatherization is a program offered to people with low income to help them reduce utility bills and increase energy efficiency at home. PACO can help by offering energy-saving light bulbs and appliances, sealing doors and windows, and providing information about subsidies for heating bills. To apply for weatherization, please call 844-722-6432. You will be asked to fill out an application and provide some supporting documents.\(^6\)
Test alarms monthly by pressing and holding the test button.
If you are struggling to pay your utility bills, call PACO to ask about their weatherization and LiHEAP program.
Jersey City Employment and Training Program (JCETP)
JCETP helps Jersey City residents find jobs and appropriate job training. If you are between the ages of 14 and 24, you can receive occupational skills training and financial literacy education. To access services, you will need to be unemployed or underemployed.
- Get help finding a job
- Get help creating a cover letter and résumé
- Use a computer for job searching
- Receive job training and placement
248 Summit Avenue, 1st Floor,
Jersey City, NJ 07306
201-795-8800
jcetp.org
Martin’s Place:
398 Martin Luther King Jr. Drive,
Jersey City, NJ 07305
551-222-4323
Free
Spanish
Appointment Required
Additional Services Available
Jersey City Housing Authority
The Jersey City Housing Authority helps qualified low-income families and seniors find affordable and safe housing. The Housing Choice Voucher Program (HCVP) is designed to assist low-income individuals in paying rent and moving towards economic self-sufficiency. To qualify for the program, you must meet the income requirements, be a U.S. citizen or Lawful Permanent Resident, and be able to prove that you are a good tenant.
- Apply for the Housing Choice Voucher Program
- Apply for public housing
400 U.S. Highway #1,
Jersey City, NJ 07306
201-706-4600
www.jerseycityha.org
Free
Spanish
Appointment Required
Documents and Preparation Required
How can I find a good job?
The most common way to find a job is by asking people you know if they can share recommendations. You can also find listings in the “jobs” section of a local newspaper or by reviewing posters at a supermarket. Businesses that are hiring typically put signs in their windows that read “Help Wanted”. You can also find many job postings on the Internet.
What is “part-time” versus “full-time”?
“Part-time” means working fewer than 30 hours per week at one job. Part-time jobs typically do not offer job benefits, like paid vacation or employer contributions to a health insurance plan. “Full-time” means working at least 40 hours per week at one job and typically includes job benefits. However, each employer defines the terms of “part-time” and “full-time”, so it is important to ask about job benefits before you are hired.\(^6\)
What documents do I need to get a job?
The most common form of work authorization is a Social Security card, but an Employment Authorization Document or Green Card is also sufficient. Nearly all employers will provide you with a formal job application and ask you to complete it with your personal information, previous jobs, history of education, and a list of job references. Job references are people who can tell a new employer that you will be a reliable employee. Typically, they are your former employers or former co-workers, and not your family. For most skilled jobs, you will also need to create and submit a résumé. A résumé is a unique document that lists your name, contact information, skills, previous jobs, and history of education.\(^7\)
What should I be careful about when getting a job?
Some criminals seek to harm people looking for jobs. An employer should never require payment to read your application or to train you for the job. You should never accept a job without speaking to the employer directly and completing a job application. Also, do not share personal information, like your Social Security number or Individual Taxpayer Identification Number (ITIN), unless you are certain the employer is legitimate. Never work “off the books”—not only is this illegal, but it also puts you at risk of being abused by employers.\(^7\)
What does it mean to “climb the ladder”?
“Climbing the ladder” means seeking better jobs after building experience and trust at your current job. Doing this is essential to success in the United States and requires you to ensure that your current employer will serve as a good job reference for future jobs. If you are a good employee, you will likely be paid more or earn the job references and experience you need to find a better job. If you are planning to leave a job, it is a cultural requirement to tell your employer a minimum of two weeks beforehand. If you do not do this, your employer will be unlikely serve as a job reference. Asking your employer for more responsibility or returning to school for diplomas and degrees are also good ways to “climb the ladder”.\(^8\)
Who can help me with all this?
The Division of Immigrant Affairs (DIA) can connect you with resources to help with your job search: 201-547-4328. Additionally, the Jersey City Employment and Training Program (JCEPT) offers free assistance with job skills: 201-795-8800.\(^9\) You can also visit www.usa.gov/find-a-job.
The One-Stop Center in Jersey City is part of New Jersey Career Connections and can help you find a job, find training for specialized jobs, and prepare for interviews. The Center can also help with benefits enrollment and English as a Second Language (ESL) classes.
- Get professional help finding a job
- Get training for specialized jobs
- Seek assistance writing your résumé
438 Summit Avenue, 2nd Floor, Jersey City, NJ 07306
201-217-4899
201-217-7008
www.careerconnections.nj.gov
PACO (Puertorriqueños Asociados for Community Organization, Inc.)
PACO helps people pay for their utility bills, helps them find ways to conserve heat and energy in their homes, and inspects homes for exposures to lead. These services are available to both renters and owners and have income eligibility requirements. You can apply for home energy assistance and weatherization at the Central Avenue location. Other social services are available at the PACO Multi-Service Center, like document translation, senior assistance, and summer art camp for youth.
- Apply for help to pay your utility bills
- Have your home inspected for heating and insulation improvements
- Get your home inspected for lead
- Get help applying for Medicare and other public benefits
- Register your children for summer youth programs
Home Energy and Weatherization Office:
346 Central Avenue,
Jersey City, NJ 07307
844-722-6432
firstname.lastname@example.org
www.pacoagency.org
Executive Office and Multi-Service Center:
390 Manila Avenue,
Jersey City, NJ 07302
844-722-6432
email@example.com
What are my rights and responsibilities as a tenant?
A **tenant** (or “renter”) is anyone who lives in a property they do not own and makes monthly payments to the property owner, or “**landlord**”. The agreement between a tenant and a landlord is typically called a **lease**, which is a signed document that describes the monthly payment, special requirements of the tenant and the landlord, and the dates that the lease starts and ends.\(^{10}\)
**What must a tenant do?**
The most important responsibility of any tenant is to pay the full rental payment to the landlord on or before the monthly due date written in the lease. Rent payments must be made before the coming month of renting; they are almost never paid after a month of renting. Generally, a tenant who rents a home or apartment is required to keep the property clean, avoid disrupting neighbors, and place trash and recyclables at the curb on specific days. Tenants are typically not required to make repairs to a rented property, and it is always best to report any damage to the landlord in writing. Most leases will include other tenant requirements that are more specific, like if a tenant is permitted to smoke inside the property or own pets.\(^{11}\)
**What must a landlord do?**
The most important responsibility of any landlord is to maintain the “warranty of habitability”. This is a legal requirement to provide the tenant with drinkable water (both hot and cold), a functioning heating system in the winter, and the supply system for electricity and gas. Generally, the landlord is also required to fix any major problems with the property, like leaking pipes, broken windows, infestations of mice or insects, or any safety hazards. Generally, the landlord is not responsible for supplying appliances, like a refrigerator, stove, or washing machine. If these appliances come with the rented property, they should be written in the lease.\(^{11}\)
**What is a security deposit?**
A **security deposit** is a payment that a tenant makes at the beginning of a rental agreement that the landlord can use to repair parts of the property that the tenant breaks, but only after the tenant moves out. A security deposit is a one-time payment, and according to New Jersey law, it cannot be larger than one-and-a-half month’s rent payment. Also required by New Jersey law, the landlord must store a tenant’s security deposit in a special bank account or investment account using the tenant’s name.\(^{12}\)
**What are some important tips for tenants?**
Before renting, you should always ask for a written lease from the landlord and read it carefully, using a translator if needed. It is a good practice to also seek the advice of a lawyer before signing a lease. Tenants should never make any cash payments to a landlord without keeping a record of having paid or receiving a written receipt from the landlord. Finally, keep in mind that your landlord might serve as a reference for future jobs or rental applications, so be sure to maintain as positive a relationship as you can.\(^{10}\)
The Urban League of Hudson County Employment Program provides occupational training and job placement assistance to people who already receive Temporary Assistance for Needy Families (TANF). They also provide General Educational Diploma (GED) classes.
- Receive occupational and job readiness training
- Receive job placement assistance
- Enroll in GED classes
253 Martin Luther King Drive, Jersey City, NJ 07305
201-451-8888
firstname.lastname@example.org
www.ulohc.org
Free
Spanish
FIND MORE ONLINE
GET HEALTHY, GET STARTED TODAY
HEALTHIER JC SERVICES NETWORK
• Search more than 2,000 free and low-cost services for all your needs
• View a map of all free services available in your neighborhood
• Share service providers with your friends and family
HealthierJC.AuntBertha.com
PARTNERSHIP FOR A HEALTHIER JERSEY CITY
• View the community calendar of free and low-cost events
• Read live Twitter feeds from federal and state health agencies
• Any organization that serves Jersey City can become a Healthier JC Partner and apply for grants
• Learn about urgent health priorities
www.HealthierJC.com
For more information, e-mail email@example.com or firstname.lastname@example.org.
Action 21
Action 21 is a volunteer-based multi-service organization that provides English as a Second Language (ESL) and civics/citizenship classes, as well as after-school tutoring for children. Action 21 also hosts Know Your Rights workshops.
- Register to take an English class
- Register to take a civics/citizenship class
- Bring your children for homework help
366 Central Avenue, 2nd Floor,
Jersey City, NJ 07307
973-980-8745
email@example.com
Low-Cost
Spanish, Spanish Sign Language (LSE)
Additional Services Available
Adult Education Program at Jersey City Public Schools
The Adult Education Program provides free English as a Second Language (ESL) classes and General Education Diploma (GED) classes in English or Spanish for Jersey City residents. Day classes (9:00 a.m. to 3:00 p.m.) are available at Ferris High School, and evening classes (6:00 p.m. to 9:00 p.m.) are available at Public School #11. To enroll, you must have a Social Security number, photo ID, and proof of address. Classes are offered between October and June. Pre-registration and placement tests are required.
- Register for English as a Second Language (ESL) classes
- Register for General Education Diploma (GED) classes in English or Spanish
Daytime Learning Program:
Ferris High School, Building A (1st Floor)
35 Colgate Street,
Jersey City, NJ 07302
201-915-6614
Evening Learning Program:
Public School #11
886 Bergen Avenue,
Jersey City, NJ 07306
201-915-6521
201-915-6227
firstname.lastname@example.org
www.jcboe.org
Free
Documents and Preparation Required
The American English Program
New Jersey City University (NJCU)
NJCU offers English as a Second Language (ESL) classes to students of all English levels, with a special focus on students preparing for college and working adults. Classes are available on weekday mornings, afternoons, and evenings, and on Saturdays. The tuition is approximately $75.00 per week.
- Register to take highly focused ESL classes
- Focus on college-level English, business English, American culture, and pronunciation
2039 Kennedy Boulevard PS #414,
Jersey City, NJ 07305
201-200-3423
email@example.com
www.njcu.edu/learnenglish
Centro Comunitario CEUS
CEUS offers English as a Second Language (ESL) and Spanish Literacy classes. Students will be evaluated to determine their levels before being placed in the appropriate class. Classes cost $80 for each semester.
- Attend English as a Second Language (ESL) classes
- Attend Spanish Literacy classes
- Participate in English Conversation classes
4214 John F. Kennedy Boulevard,
Union City, NJ 07087
201-617-2466
firstname.lastname@example.org
www.ceusnj.org
English as a Second Language Program
Vroom Street Church
Vroom Street Church provides five levels of English as a Second Language (ESL) classes in winter, spring, and fall. You must be evaluated before registering for classes. Classes are free, but you will have to pay $45 for study materials and books.
- Get evaluated on your English language skills
- Register for an English class
- Attend ESL classes based on your English language ability
155 Vroom Street,
Jersey City, NJ 07306
201-332-7841
email@example.com
vroomstreetchurch.org/free-esl-classes-in-jersey-city
English Connect
Church of Jesus Christ of Latter-day Saints
The Church of Jesus Christ of Latter-day Saints offers a free English as a Second Language (ESL) class on Tuesday and Thursday nights from 7:00 p.m. to 8:00 p.m. You are welcome to come any Thursday for a conversational review class. If you would like to attend on Tuesday, you will need to call the number below and pay $5 for a workbook. You can also take a “Self-Reliance for Immigrants” class on Thursday nights from 8:00 p.m. to 8:30 p.m. that teaches skills for personal and professional success. All classes are free.
• Join an English Conversation class on Thursday nights
• Enroll in a 25-week English class on Tuesday nights
• Take a “Self-Reliance for Immigrants” class
140 Sip Avenue, 2nd Floor,
Jersey City, NJ 07306
973-906-9680
Free
Families for Literacy Program
Saint Peter’s University (SPU) and New City Kids
SPU’s Families for Literacy Program, in collaboration with New City Kids, offers classes in English as a Second Language (ESL), music, and art, as well as tutoring, employment training, and financial literacy. All classes are free of charge and held twice a week. Childcare is provided during daytime classes. This is only open to Jersey City residents who are not native English speakers and who have a school-aged child in grade K–12.
- Register for free ESL classes
- Learn how to communicate with your child’s school
- Learn how to connect with employers and develop a résumé
- Enroll your children in after-school classes and tutoring
- Learn the basics of financial management
For Enrollment in Families for Literacy Program:
240 Fairmount Avenue,
Jersey City, NJ 07306
201-915-9896
firstname.lastname@example.org
For English as a Second Language (ESL) Information:
O’Toole Library, 3rd Floor and Basement
99 Glenwood Avenue,
Jersey City, NJ 07306
201-761-6184
email@example.com
www.saintpeters.edu/celac
Greater Bergen Community Action (GBCA)
Greater Bergen Community Action offers English as a Second Language (ESL) and citizenship classes for the parents of children who qualify for the Head Start Program. You can apply for your infant or toddler to join the Head Start Program, which provides prekindergarten classes and nutrition counseling.
- Enroll in ESL classes if your child is enrolled in Head Start
- Enroll in U.S. citizenship classes
- Apply for your children to attend prekindergarten and kindergarten
93 Nelson Avenue,
Jersey City, NJ 07307
201-884-1050
www.gbcaheadstart.org
Free
Spanish
Documents and Preparation Required
Additional Services Available
Hudson County Community College (HCCC)
HCCC is a public community college that offers English as a Second Language (ESL) classes for students who are not full-time college students. To enroll, you will need a photo ID and a payment of $310. The two-hour class is held mornings and evenings for 10 weeks, including Sundays.
- Register for a 10-week ESL course
119 Newkirk Street,
Building 1, Room 106,
Jersey City, NJ 07306
201-360-4179
www.hccc.edu/eslbilingual
Documents and Preparation Required
Hudson County Schools of Technology
The Hudson County Schools of Technology offer English as a Second Language (ESL) classes in the evening from Monday to Thursday. Registration takes place from July to January.
200 85th Street,
North Bergen, NJ 07047
201-631-6361
firstname.lastname@example.org
www.hcstonline.org
Documents and Preparation Required
The Latino Family Literacy Project at Jersey City Public Schools provides a way for parents to be involved with their children’s school activities. The literacy program helps develop family reading routines by encouraging parents to read with their children. In order to participate in the program, your child must be in Public School #17.
- Receive reading materials in English and Spanish for you and your children
- Read and share family stories with your child
- Learn to help your children with their reading
Joseph H. Brensinger School - P.S. #17
600 Bergen Avenue,
Jersey City, NJ 07305
201-915-6120
Free
Spanish
Literacy Program at the Jersey City Public Library
The Jersey City Public Library provides low-cost classes in English as a Second Language (ESL), citizenship, math, and General Education Diploma (GED) for Hudson County residents who are over the age of 18. The cost of the ESL classes is $50 and includes a semester of citizenship classes if you choose to take them together. Classes are offered in six-month sessions and meet twice a week. The Fall session is from September to January, and you must register in July. The Spring session is from February to June, and you must register in January. To register you will need to visit the Main Branch Library. The cost of books for the ESL classes is always under $25, and the cost of materials for the citizenship classes is $10.
- Register to take English classes
- Receive tutoring in math and reading
- Register to take citizenship classes
- Use a computer for free
Main Branch Library
472 Jersey Avenue,
Jersey City, NJ 07302
201-547-4518
email@example.com
www.jclibrary.org
Low-Cost
Appointment Required
Documents and Preparation Required
Make the Road New Jersey
Make the Road New Jersey provides English as a Second Language (ESL) and workplace safety courses through the Occupational Safety and Health Administration (OSHA), as well as a host of other services.
- Register to take English classes
- Register to take an occupational safety class
- Also, see the Youth Power Project—Make the Road New Jersey listing in the Immigrant Youth section of this guide
42 Broad Street,
Elizabeth, NJ 07201
908-368-1196
firstname.lastname@example.org
www.maketheroadnj.org
The Multilingual Intake Center
Jersey City Middle School #7
The Multilingual Intake Center provides assessments and support for immigrant families who want to enroll their children in Jersey City public schools. The center evaluates and places children in ESL classes according to their ability to speak, write, and read English. To register your children in public school, you must bring the child’s most recent school transcripts or certificates, proof of address, and proof of age.
- Enroll your children in Jersey City public schools
- Get an evaluation of your child’s English skills
- Enroll your child in ESL classes
- Create a school schedule that fits your child’s needs
Franklin L. Williams Middle School - M.S. #7
222 Laidlaw Avenue,
Jersey City, NJ 07306
201-420-5427
201-418-7601
201-915-6196
www.jcboe.org
Free
Spanish, Portuguese
Additional Services Available
Free
Spanish, Arabic,
French-Creole, Other Foreign Languages
Can my child attend public school?
In the United States, all children are required by law to enroll in school, and all children may attend public schools for free, regardless of immigration status.\(^1\)
How does the public school system work?
Jersey City has many public schools that offer education to children as young as 3 and as old as 18 in three basic levels: “Pre-K through 5” (prekindergarten through 5th grade), “Middle School” (6th grade through 8th grade), and “High School” (9th grade through 12th grade). Classes for adults are free and usually held at night.\(^2\)
How can I enroll my child in school?
If your child has recently arrived from a foreign country, or if you do not speak English at home, you will need to enroll them at the Multilingual Intake Center at Middle School #7 at 222 Laidlaw Avenue, Jersey City (phone: 201-420-5247 or 201-418-7601).\(^2\) When enrolling, you will need to present proof that your child lives in Jersey City, their birth certificate, their immunization records and health history, and transcripts from previous schooling. Your child needs to come with you when enrolling, and your child’s language skills might be tested as part of the enrollment process. For all other enrollment information, you can call the District Office of Jersey City Public Schools at 201-915-6000.\(^3\)
What if my child does not speak English?
In 2019, Jersey City served more than 3,600 students whose first language was not English. The Multilingual Intake Center will determine the best public school classroom for your child. They might recommend the Bilingual Education Program, which offers full-time or part-time bilingual education in your child’s first language and English, although this might not be the school that is closest to your home. Popular languages served by this program are Spanish, Arabic, Tagalog, Hindi, and Urdu. Another program offered is the Dual Language Program, which teaches Pre-K through grade 5 students in English and Spanish simultaneously, so that they can become fluent in both languages. To enroll in this program, call 201-915-6045.\(^3\)
Saint Aedan’s Migrant Center
The Saint Aedan’s Migrant Center is a volunteer organization that provides legal seminars, educational workshops, medical clinics, and connection to other support services.
- Practice English with an ESL conversation partner
- Attend a financial literacy workshop
- Connect with food pantries and clothing sources
39 Tuers Avenue, 3rd Floor,
Jersey City, NJ 07306
201-433-6800
email@example.com
Free
Spanish, Other Foreign Languages
Appointment Required
The Union City Adult Learning Center offers English as a Second Language (ESL) classes and citizenship classes to the adult immigrant community. Classes are offered during weekday mornings, afternoons, and evenings, and on Saturday mornings. To register, you must call the center and have a Social Security number. The classes are open to all residents of Hudson County, not just Union City residents.
- Register for citizenship and English classes
- Enroll in courses to become a Certified Teaching Assistant
400 38th Street,
Union City, NJ 07087
201-348-5658
firstname.lastname@example.org
http://alc.ucboe.us
We Are One New Jersey offers English as a Second Language (ESL) and U.S. Civics classes that are specialized for students preparing for their citizenship interview. You can also schedule a practice citizenship interview. If you have a problem with your landlord, you can ask We Are One for assistance. Classes and services are free to all residents of Hudson County.
- Enroll in English and civics classes to prepare for the U.S. citizenship exam and interview
- Have a practice citizenship interview
- Find other services related to immigration assistance
- Also, see the We Are One listing in the Legal Services section of this guide
830 Bergen Avenue, Suite A401,
Jersey City, NJ 07306
201-209-2839
email@example.com
www.weareonenj.org
Refugee and Asylee Services
Church World Service (CWS)
Immigration and Refugee Program
Church World Service is a non-profit agency that helps refugees, asylees, and other vulnerable immigrants to become self-sufficient. They offer programs that assist with housing, employment, and paying bills. They also offer job readiness courses, English classes, and other workshops. CWS also administers the Refugee Cash Assistance Program for refugees and asylees without children.
- Receive cash assistance if you are a refugee or asylee without children
- Get assistance finding a job and a home
- Seek assistance organizing your family budget
- Enroll in English classes and educational workshops
26 Journal Square, Suite 600,
Jersey City, NJ 07306
201-659-0467
firstname.lastname@example.org
www.cwsjerseycity.org
Free
Spanish, Arabic, Tigrinya, Amharic, Dari
Appointment Required
Documents and Preparation Required
First Friends of New Jersey and New York
First Friends of New Jersey and New York supports immigrants being held in four detention centers near Jersey City through visits and free stamps and stationary. When detainees are released, First Friends helps them with housing, transportation, and accessing public benefits.
- Request that a family or friend in immigrant detention receives visits and care packages
- Receive help finding a place to live after release from the detention center
- Connect with pro bono attorneys who specialize in detention
53 South Hackensack Avenue,
Kearny, NJ 07032
908-965-0455
email@example.com
www.firstfriendsniny.org
Spanish, Other Foreign Languages
What should I know about my first year as an asylee?
If you have been granted asylum, you have the right to live and work in the United States and apply for public benefits.\(^1\) Your first year as an asylee will be very important for your long-term success.
**What documents will I need?**
You should have been given a signed and stamped I-94 document or card, which is your primary form of identification as an asylee. If any information on your I-94 is incorrect, including your status or the spelling of your name, you should return to where it was given to you and ask that the incorrect information be changed.\(^2\) You may also contact an immigration attorney, instead. With your I-94, you can apply for a **Social Security number and card**, which are what nearly all United States residents use to identify themselves to employers, government offices, and many private institutions, like banks and health insurance providers.\(^3\) To apply for a Social Security number and card, go to [www.ssa.gov](http://www.ssa.gov) (click “Languages” for a foreign language translation) or visit the Social Security Administration office at 325 West Side Avenue, Monday through Friday, 9:00 a.m. to 4:00 p.m. You may also apply for an **Employment Authorization Document (EAD)** using USCIS Form I-765. Although an EAD will feature your photo and a Social Security card will not, a Social Security card will provide you with more ability to register with public and private institutions.\(^3\)
**How can I get a Green Card?**
As an asylee, you may apply for a Green Card one year after being granted asylum, which is a process called “adjustment of status” that requires submitting **USCIS Form I-485** and other documents. Although adjustment of status is not required by law, going through this process and getting a Green Card will make you a Lawful Permanent Resident, which provides stronger protections against possible changes in immigration rules and is a required step toward becoming a U.S. citizen. It is important to plan and budget for your adjustment of status application. Asylees are not eligible for a USCIS Fee Waiver and must pay the application fee, which can be as high as $1,225. You will need to include a completed **USCIS Form I-693**, which requires a report from a specialized doctor called a civil surgeon and may cost an additional $200 or more.\(^4\) Saving money for these expenses within your first year as an asylee can be essential. For help finding professional assistance from non-profit agencies who can help you with your adjustment of status, contact the Jersey City Division of Immigrant Affairs at **201-547-6800**.
**What specialized help can I find as an asylee?**
As an asylee, you might find specialized help from non-profit resettlement agencies and support groups. In Jersey City, you can inquire at the **Church World Service** resettlement office by calling **201-659-0467** or by going to 26 Journal Square, Suite 600. You can also contact **Welcome Home Jersey City, First Friends of New Jersey and New York**, and other agencies listed in this guide.
The I-94 is the first and most essential document to start your life as an asylee.
Resettlement organizations like Church World Service and Welcome Home can help you with housing and food during your first year as an asylee or refugee.
Welcome Home Jersey City is a volunteer organization that provides English as a Second Language (ESL) classes and tutoring for refugee and asylee families. Classes take place most Thursdays from 6:00 p.m. to 8:00 p.m. Welcome Home also helps refugees and asylees by giving them some home appliances. Contact the organization to confirm before attending.
- Learn English with other refugees and asylees
- Have dinner and participate in family activities
- Bring your children
The Church of Jesus Christ of Latter-day Saints
140 Sip Avenue, 2nd Floor,
Jersey City, NJ 07306
firstname.lastname@example.org
www.welcomehomerefugees.org
HIAS provides assistance to refugees, asylum seekers, and other individuals seeking humanitarian relief in New Jersey and New York. You must call to make an appointment.
- Meet with a lawyer
- Receive help with employment authorization and adjustment of status applications
- Ask for help with deportation defense
- Get help with job placement and living arrangements
411 Fifth Avenue, Suite 1006,
New York, NY 10016
212-967-4100
email@example.com
www.hias.org
Human Rights First represents immigrants seeking asylum in New Jersey and New York immigration courts. To qualify for help, you must be without legal representation and unable to afford an attorney.
- Receive help with an asylum application
- Apply for protection under the United Nations Convention against Torture (CAT)
- Enroll in government assistance programs if you qualify
75 Broad Street, 31st Floor,
New York, NY 10004
212-845-5200
firstname.lastname@example.org
www.humanrightsfirst.org
International Refugee Assistance Project (IRAP)
IRAP provides comprehensive legal representation to refugees during the registration, protection, and resettlement process. IRAP specializes in helping at-risk refugees, including LGBTQ individuals, religious minorities, and children with medical emergencies.
- Meet with a lawyer
- Ask about specialized services for Special Immigrant Visa (SIV) holders and persecuted groups
1 Battery Park Plaza, 4th Floor,
New York, NY 10004
www.refugeerights.org
Most Foreign Languages
Appointment Required
Documents and Preparation Required
International Rescue Committee (IRC) Resettlement Services
The IRC is a resettlement agency that helps refugees, asylees, and other vulnerable immigrants find jobs, classes, and cash assistance programs. They also provide free legal services and English as a Second Language (ESL) classes.
- Seek assistance with housing
- Get help searching for a job
- Learn about cash assistance programs
- Sign your child up for Refugee Youth Summer Camp (ages 5 through 19)
208 Commerce Place, 4th Floor,
Elizabeth, NJ 07201
908-351-5116 ext. 100
908-351-5116 ext. 116 (Immigration Legal Services)
email@example.com
www.rescue.org/united-states/elizabeth-nj
Free
Most Foreign Languages
Documents and Preparation Required
Additional Services Available
Jersey City Vigil for Refugees
The Jersey City Vigil for Refugees welcomes refugees and asylees, providing assistance and friendship. They offer weekly food deliveries, in-home English as a Second Language (ESL) tutoring, and other forms of accompaniment.
- Receive food deliveries if you are a recently resettled refugee or asylee
- Meet with a volunteer tutor
- Connect with the volunteer community
- Join a weekly vigil for human rights at the Grove Street PATH station
551-233-9740
firstname.lastname@example.org
www.jcvigilforrefugees.org
Free
Spanish, Other Foreign Languages
The Lighthouse
The Lighthouse provides free temporary housing and resettlement assistance to asylees who have been released from immigrant detention.
- Find shelter after release from detention
- Access food and English tutoring
- Connect with a lawyer and other professionals
201-709-3770
email@example.com
www.thelighthouseinnj.org
Free
Spanish, Other Foreign Languages
Additional Services Available
Refugee and Human Trafficking Program
Catholic Charities
The Refugee and Human Trafficking Program provides emergency cash assistance for refugees, asylees, and victims of human trafficking. Walk-in consultations are required. English and computer classes are offered Monday through Friday, 9:00 a.m. to 12:00 p.m., and 1:00 p.m. to 4:00 p.m.
- Receive help with cash assistance
- Sign up for English and computer classes
2201 Bergenline Avenue, Suite 4,
Union City, NJ 07087
201-325-4800
Free
Spanish, Arabic, French, Mandarin, Russian
Appointment Required
Documents and Preparation Required
Catholic Charities’ Refugee Resettlement Program helps refugees and asylees with pre-arrival arrangements and with case management and direct assistance during their resettlement experience. Although the office is in New York City, they can help refugees and asylees living in Jersey City.
- Participate in job trainings
- Find social services for food and housing
- Enroll in English as a Second Language classes
80 Maiden Lane, 14th Floor,
New York, NY 10038
212-419-3726
www.cccsny.org
The Restoring Family Links Program helps individuals locate relatives in other countries if they have been lost due to man-made or natural disasters.
- Find family members overseas who were separated during war, natural disasters, and other emergencies or crises
209 Fairfield Road,
Fairfield, NJ 07004
973-797-3300
www.redcross.org/reconnectingfamilies
On World Refugee Day 2019, Mayor Steven M. Fulop delivered a special proclamation recognizing the Welcome Home organization and the many refugee and asylee families they help. Above, Director of Health and Human Services Stacey Lea Flanagan presents the proclamation to Welcome Home leader Alain Mentha.
TCUS provides undocumented students attending Saint Peter’s University with academic, personal, and professional support. The Center also provides public workshops and information for undocumented youth.
- Learn about special programs for undocumented students
- Connect with support groups for undocumented students
King Kairos House - Saint Peter’s University
125 Glenwood Avenue,
Jersey City, NJ 07306
201-761-7180
firstname.lastname@example.org
www.saintpeters.edu/centers-institutes/tcus
In 2018, New Jersey Governor Phil Murphy signed a bill to expand state financial aid to undocumented immigrants. To learn more, you can call The Center for Undocumented Students (TCUS) at Saint Peter’s University.
Fun Club—Welcome Home Jersey City
Welcome Home Jersey City is a volunteer organization that provides English as a Second Language (ESL) classes and tutoring for refugee and asylee families. Classes take place most Thursdays from 6:00 p.m. to 8:00 p.m. Welcome Home also helps refugees and asylees by giving them some home appliances. Contact the organization to confirm before attending.
- Learn English with other refugees and asylees
- Connect with volunteers and participate in family activities
- Bring your children to participate in art and music activities
The Church of Jesus Christ of Latter-day Saints
140 Sip Avenue, 2nd Floor,
Jersey City, NJ 07306
email@example.com
www.welcomehomerefugees.org
Free
Additional Services Available
Fun Club at Welcome Home in Jersey City provides homework help and other after-school activities to school-aged refugee and asylee children.
Head Start Program
Greater Bergen Community Action (GBCA)
Greater Bergen Community Action provides care for low-income infants, toddlers, and preschoolers, as well as classes in health, nutrition, and citizenship for parents. In order for children to attend the Head Start Program, parents must meet the income requirements.
- Apply for your children to attend prekindergarten and kindergarten
- Receive special services for children with disabilities
- Get medical and dental services for your children
- Get social service referrals and support for your children
- Receive prenatal services if you are a pregnant woman
93 Nelson Avenue,
Jersey City, NJ 07307
201-884-1050
www.gbcaheadstart.org
Hudson Partnership CMO
Hudson Partnership CMO helps coordinate care for children ages 3 to 21 who struggle with mental health or emotional issues, developmental disabilities, or substance abuse. Services provided by the organization include in-home therapy, evaluations, and referrals to outpatient services. To request services for your child, you must first call PerformCare at 877-652-7624.
- Find help for your child if he or she has mental health issues, substance abuse problems, or developmental disabilities
- Connect with other support services for youth
Hudson Partnership CMO
110 Meadowlands Parkway,
Secaucus, NJ 07094
For services, first call PerformCare: 877-652-7624
201-537-1460
www.hudsoncmo.org
The Department of Recreation in Jersey City offers a variety of free activities for Jersey City youth, including sports, gymnastics, dance, and fishing. To find activity schedules and to register, please visit the website below.
- Register your children to participate in sports tournaments and after-school programs
- Sign up your children to receive teen mentoring or help with homework
- Register your children in swimming and figure skating lessons
Caven Point Complex
1 Chapel Avenue,
Jersey City, NJ 07305
201-547-4537
jcrec.redesk.com
firstname.lastname@example.org
www.jerseycitynj.gov/cityhall/recreation
New City Kids
New City Kids is a free after-school program available to low-income Jersey City youth ages 6 through 18. The program supports students with after-school homework help, music enrichment, performing arts, and athletics. New City Kids also offers a reduced-cost, faith-based summer camp that runs from July through August. Additionally, the organization encourages teenagers to participate in its Life Internship program. Through this program, teens are paid to mentor younger students, while also receiving help with college applications, college entrance exams, leadership skills, and financial literacy.
- Sign up your children for after-school homework assistance in math and grammar
- Give your child the opportunity to learn a musical instrument
- Register your children for performing arts and athletics teams
- Help your teens to develop leadership and life skills
- Get extra assistance with your teens’ college applications and entrance exams
240 Fairmount Avenue,
Jersey City, NJ 07306
201-915-9896
email@example.com
Public School #11
886 Bergen Avenue,
Jersey City, NJ 07306
201-912-4501
firstname.lastname@example.org
Public School #22
264 Van Horne Street,
Jersey City, NJ 07304
201-915-6480
(Mon & Tue)
Fountain of Salvation Church
324 Communipaw Avenue,
Jersey City, NJ 07304
201-626-0800
email@example.com
(Wed & Thur)
Urban League of Hudson County
The Urban League of Hudson County provides childcare vouchers to full-time working families and students, as well as job training and placement, after-school activities for youth, counseling for at-risk families, and help enrolling in Medicaid. To receive childcare vouchers, you must meet the income requirements and work at least 40 hours a week or attend school full-time.
- Receive childcare vouchers
- Enroll in job training and connect with employers
- Get help enrolling in Medicaid
- Register your child in after-school tutoring and mentoring programs
- Ask about in-home support services for low-income seniors
253 Martin Luther King Drive,
Jersey City, NJ 07305
201-451-8888
firstname.lastname@example.org
Spanish, Other Foreign Languages
Additional Services Available
Youth Power Project—Make the Road New Jersey
Make the Road New Jersey’s Youth Power Project provides immigrant youth with legal support, mentorship, and information on educational and professional development.
- Get help with your college applications
- Fill out your “NJ Dreamer” financial aid application
- Meet with a lawyer
- Sign up for English and job safety classes
- Ask questions about scholarship information and other educational resources
- Participate in the College Ambassador Summer Institute Program
42 Broad Street,
Elizabeth, NJ 07201
908-967-3478
email@example.com
firstname.lastname@example.org
www.nj4dreamers.com
Free
Spanish, Portuguese
How is LGBTQ+ connected with immigrants?
Just like many immigrant groups around the world, LGBTQ+ people in the United States have had to advocate for their civil rights, legal protections, and a dignified place in society. Because Jersey City is home to so many immigrants, our city’s efforts to welcome immigrants and LGBTQ+ people overlap. As a result, organizations like Hudson Pride Center not only provide assistance with health services, support groups, and social events, they do so in various foreign languages and with sensitivities to the immigrant experience. Jersey City has been ranked among the United States’ most gay-friendly cities and one of the nation’s most welcoming cities for immigrants. In 2013, Mayor Steven M. Fulop created the Task Force on LGBTQ Equality. Our LGBTQ+ community has grown into a multifaceted network that demonstrates our inclusivity and empowers people to be proud of their identity, both as LGBTQ+ and as immigrants.
Garden State Equality
Garden State Equality is an advocacy organization that works for inclusion, legal protections, and safe and welcoming spaces for the LGBTQ community.
- Attend trainings and special events
- Apply for health insurance
- Advocate for the equal and fair treatment of the LGBTQ community
40 South Fullerton Avenue,
Montclair, NJ 07042
973-509-5428
email@example.com
www.gardenstateequality.org
Hudson Pride Center
The Hudson Pride Center is a safe place for the LGBTQ+ community, providing emotional support groups, mental health counseling, and access to medical services. The Center has a strong history of helping LGBTQ+ immigrants.
- Connect with the LGBTQ+ community
- Join the YouthConnect support program
- Receive pre-exposure prophylaxis (PrEP), HIV testing, and assistance with HIV treatment
- Receive assistance with accessing hormone replacement therapy, gender re-affirming surgery, and name- and gender-marker changes on documents
176 Palisade Avenue, 3 East,
Jersey City, NJ 07306
201-963-4779
firstname.lastname@example.org
www.hudsonpride.org
North Hudson Community Action Corporation Clinic
714 31st Street,
Union City, NJ 07087
201-963-4779 ext. 117
The Lesbian, Gay, Bisexual & Transgender Community Center (The Center)
The Center provides support, educational programs, and advocacy for the LGBTQ community. The Center holds support groups for transitioning individuals, youth, and individuals recovering from sexual abuse. To apply for services, it is recommended that you visit The Center in person.
- Join health and wellness programs
- Receive parenthood and family counseling services
- Attend addiction support meetings
- Get tested for HIV
- Receive assistance finding jobs, housing, and schooling
208 West 13th Street,
New York, NY 10011
212-620-7310
email@example.com
www.gaycenter.org
Free
Additional Services Available
The Pride Center of New Jersey, Inc.
The Pride Center of New Jersey provides assistance and information to the LGBTQ community.
- Advocate for LGBTQ rights
- Learn about health awareness programs
85 Raritan Avenue, Suite 100,
Highland Park, NJ 08904
732-846-2232
firstname.lastname@example.org
www.pridecenter.org
Free
Additional Services Available
The Queer Detainee Empowerment Project (QDEP)
The Queer Detainee Empowerment Project (QDEP) supports LGBTQI and HIV-positive immigrants who are currently detained, recently released, or at risk of being detained. QDEP connects these groups, as well as undocumented immigrants, with legal, medical, mental health, and public assistance resources.
- Receive visits during detention, as well as post-release guidance
- Connect with medical, mental health, and HIV treatment services
505 8th Avenue, Suite 1212,
New York, NY 10018
347-645-9339
email@example.com
www.qdep.org
Free
Spanish
Volunteer and Connect
Why would I volunteer with an immigrant organization?
Volunteering is one of the best ways to make friends, become part of a community, and learn how to succeed in the United States. Your experience as an immigrant and your foreign language skills are essential to the organizations that work so hard to serve immigrants.
What are some things I can do to help immigrants?
The Jersey City Division of Immigrant Affairs Fellows Program provides specialized training in helping immigrants. You can use your foreign language skills to learn about the United States immigration system and help others with applying for citizenship and navigating services. For information, e-mail firstname.lastname@example.org or call 201-547-6800.
First Friends of NJ & NY invites volunteers to visit immigrant detainees at four detention centers near Jersey City and collects donations of stamps, stationary, and support letters for detainees.\(^1\)
Welcome Home Jersey City volunteers help refugees and asylees with learning English and joining a supportive network of friends and neighbors. You can help with a variety of tasks, from arts and crafts with kids, to moving furniture for newly resettled families.\(^2\)
Church World Service provides training for volunteers who help refugees and asylees with job training and computer skills, apartment setups, and much more.\(^3\)
Volunteering with the organizations listed in this section can result in an empowering experience and create relationships that give hope to new immigrants.
American Civil Liberties Union of New Jersey (ACLU-NJ)
The ACLU of New Jersey is a non-profit organization that advocates for the rights of immigrants. They represent individuals in court and advocate for legal reforms.
- Join advocacy campaigns for immigrant rights
- Learn about ongoing efforts to protect immigrants
P.O. Box 32159,
Newark, NJ 07102
973-642-2084
email@example.com
www.aclu-nj.org
Faith in New Jersey
Faith in New Jersey is a multi-faith and multi-racial network working together for social and economic justice. The organization also advocates for the expansion of “Sanctuary City” policies.
P.O. Box 1317,
Camden, NJ 08105
609-256-4118
firstname.lastname@example.org
www.faithinnewjersey.org
Free
Spanish
Additional Services Available
First Friends of New Jersey and New York
First Friends advocates for the rights and dignity of immigrant detainees and asylum seekers. They provide volunteers with training and opportunities to visit detainees in four detention centers in Northern New Jersey. First Friends also provides stationary packets for detainees as part of the Stamp Out Despair program.
• Visit immigrant detainees
• Receive training on how to assist and support recently released detainees
• Learn about the plight of immigrant detainees
53 South Hackensack Avenue,
Kearny, NJ 07032
908-965-0455
email@example.com
www.firstfriendsnjny.org
Spanish
Connect with volunteer organizations to help the Jersey City immigrant community.
Haiti Solidarity Network of the Northeast (HSNNE)
The Haiti Solidarity Network advocates for social, political, and economic justice for the people of Haiti. HSNNE also holds fundraisers to raise money for services and projects in Haiti.
- Contribute to aid projects in Haiti
- Visit Haiti with a church delegation
- Connect to the Haitian community in the United States
492 Bramhall Avenue,
Jersey City, NJ 07304
201-669-7787
firstname.lastname@example.org
www.haitisolidaritynetwork.org
French-Creole
Additional Services Available
Immigrants’ Rights Program (IRP)
American Friends Service Committee
The Immigrants’ Rights Program advocates for immigration policies that respect the rights and dignity of all immigrants. IRP also advocates for the release of immigrants in detention centers and for the protection of individuals facing deportation.
- Learn how to support and advocate for immigrant detainees
89 Market Street, 6th Floor,
Newark, NJ 07102
973-643-1924
email@example.com
www.afsc.org/office/newark-nj
Spanish
Additional Services Available
International Migrants Alliance (IMA) USA
The IMA collaborates with international organizations both inside the United States and abroad to help migrants, refugees, and displaced individuals.
- Connect with resources based on your specific needs
- Advocate for migrants’ rights
firstname.lastname@example.org
www.wearemigrants.net
Free
Spanish, Tagalog
Make the Road New Jersey
Make the Road New Jersey mobilizes immigrant and working-class communities to advocate for the protection of their rights and dignity, while also providing various forms of assistance and training.
- Join campaigns to expand rights and protections for immigrants
- Attend free educational trainings
42 Broad Street,
Elizabeth, NJ 07201
908-368-1196
email@example.com
www.maketheroadnj.org
Free
Spanish, Portuguese
Additional Services Available
New Jersey Alliance for Immigrant Justice
The New Jersey Alliance for Immigrant Justice advocates for broad changes in laws to protect and empower immigrant communities. The organization offers a variety of volunteer opportunities for those seeking to support positive change for immigrants.
- Attend free educational seminars and trainings
- Learn about laws affecting immigrants
firstname.lastname@example.org
www.njimmigrantjustice.org
Free
Spanish
How can I connect with people from my home country?
Jersey City Cultural Affairs celebrates immigrant communities like yours and invites you to contribute to Jersey City’s multicultural identity. Jersey City has been called the most diverse city in the United States, and immigrants like you are what make our city so vibrant.
- Find out if your nation’s flag is featured in our many **flag raising ceremonies** at City Hall.
- Enjoy food and performances at the annual **Taste of Culture** event.
- Find cultural organizations from your home country.
- Learn about hundreds of free events, like movies in the park, plays, and music festivals.
Jersey City Cultural Affairs Calendar: [www.jerseycityculture.org](http://www.jerseycityculture.org)
**Office of Cultural Affairs**
280 Grove Street, 4th Floor,
Jersey City, NJ 07302
201-547-6921
Your nation’s flag could be celebrated by Cultural Affairs at one of Jersey City’s many flag raising ceremonies.
Jersey City’s Taste of Culture event celebrates the food and performing arts from our immigrant communities’ home countries.
New Jersey Coalition Against Human Trafficking
The New Jersey Coalition Against Human Trafficking is made up of many different organizations that work together to prevent human trafficking in New Jersey.
- Learn about ways to prevent human trafficking
- Meet with an expert in trauma care
- Connect with service programs for victims of human trafficking
784 Morris Turnpike, Suite 111,
Short Hills, NJ 07078
201-903-2111
email@example.com
www.njhumantrafficking.org
Spanish
Additional Services Available
Philippine American Friendship Community, Inc. (PAFCOM)
PAFCOM strives to make it easier for the Filipino community to integrate into life in the United States.
- Connect with the Filipino community in Jersey City
- Participate in healthy aging programs, like Zumba and line dancing
- Volunteer to help other Filipinos with various services
238 Stegman Parkway #104,
Jersey City, NJ 07305
201-479-8941
firstname.lastname@example.org
www.pafcomnj.org
Free
Tagalog
Additional Services Available
Saint Aedan’s Migrant Center
The Saint Aedan’s Migrant Center is a volunteer organization that provides legal clinics, educational workshops, and connections to other support services.
- Volunteer to be an interpreter in Arabic or Spanish
- Donate food or clothing
- Become an ESL conversation partner
39 Tuers Avenue, 3rd Floor,
Jersey City, NJ 07306
201-433-6800
email@example.com
Free
Spanish, Other Foreign Languages
Appointment Required
How can I open a bank account?
To open a bank account, you will have to complete an application at the bank, provide personal information, and present verifying documents. Typically, you will need these documents:
- An official identification card with your picture
- A passport from the United States or other country
- Proof of where you live, which is typically a piece of mail containing an official document or a bill
- A Social Security number or an Individual Taxpayer Identification Number (ITIN)
What are a checking account and a savings account?
A **checking account** allows you to store your money at a bank and then access it very easily by withdrawing cash, buying things with a debit card, or writing a check. A **savings account** allows you to store money that you do not intend to access frequently in a bank. Savings accounts are typically not used for paying bills, and the government only allows you to withdraw money from a savings account six times per month.
How can I keep my bank account safe?
Do not give your account numbers or debit card numbers to anyone. If you lose your debit card, call the bank immediately. Regularly check your bank documents for any unusual charges or activities. Generally, banks’ official websites and official apps are secure and offer an easy way to be careful about fraud and to receive alerts from the bank.
Paying taxes is one of the most important responsibilities for all people living in the United States. Failure to pay taxes is illegal and can jeopardize your immigration status and your ability to become a citizen.\(^4\)
**Some important tax terms:**
*Internal Revenue Service (IRS)* is the government agency responsible for collecting taxes from all employees and businesses.
*Annual income taxes* are a requirement for all people to report to the IRS between January 1 and April 15 exactly how much money they earned in the previous calendar year. Typically, annual income taxes are filed using *IRS Form 1040*.
*Tax withholdings* are deductions taken from each of your paychecks so the IRS can collect taxes for specific government programs. Tax withholdings require you to complete *IRS Form W-4* before starting to work.
*Pay stubs* are receipts that document each time your employer pays you, as well as your tax withholdings and annual earnings.
An *Individual Tax Identification Number (ITIN)* is a number issued by the IRS so that people without proper work authorizations or immigration status can still file taxes.
**How do I pay annual income taxes?**
Every year, everyone who works in the United States and earns substantial annual income must file income taxes with the IRS between January 1 and April 15. To “file” income taxes means using a special form to declare to the IRS how much income you earned in the last calendar year. The most typical form used to file annual income taxes is *IRS Form 1040*. Although you can file your taxes without professional help, it is widely agreed that filing taxes in the United States is a confusing process, and many people find accountants for assistance. Similar to attorneys, you can find low-cost and pro bono accountants, and it is important to verify that an accountant is properly licensed. The website [www.irs.gov](http://www.irs.gov) is also helpful and has several language options.\(^5\)
**How can I pay annual income taxes if I do not have work authorization?**
The ITIN is issued by the IRS to people living in the United States who do not have access to typical work authorizations but still want to obey the law by paying income taxes. It is important to know that the IRS, generally, does not share ITIN information with the Department of Homeland Security. This means that if an undocumented immigrant applies for an ITIN, it is unlikely that immigration enforcement will be able to find their personal information. If you are fearful, you can always talk to a licensed immigration attorney. Using an ITIN to pay income taxes might be helpful if you plan to seek permanent status or assistance from the government.\(^6\) To apply for an ITIN, you must submit the *IRS Form W-7*. Go to [www.irs.gov](http://www.irs.gov) and type “ITIN” in the search menu.\(^7\)
---
1. Declare your income every year and file your taxes between January 1 and April 15.
2. The ITIN can be used to pay income taxes even if you do not have work authorization.
What does it mean to work “off the books”?
The expression “off the books” (or “under the table”) refers to any monetary transaction made without paying the required taxes to the government. Working “off the books” typically means receiving wage payments in cash without the proper tax withholdings and without reporting your total annual income to the IRS. This is illegal. Failure to pay taxes and report income can jeopardize your immigration status and compromise your ability to become a citizen.\(^8\)
What does it mean to work “on the books”?
Working “on the books” usually means that you are paid with a paycheck that comes with an attachment called a pay stub. A pay stub shows how much you have been paid for a given period and the entire year, and it lists your tax withholdings. Working “on the books” almost always means you will be asked to complete an IRS Form W-4 Employee’s Withholding Allowance Certificate before beginning work, and you will be given a W-2 Wage and Tax Statement at the end of every calendar year. If you do not complete a W-4 when you begin working, you are probably not working “on the books” and could be employed illegally.\(^9\)
What if my employer says I am “freelance”?
If an employer asks you to complete IRS Form W-9 when you start working (instead of Form W-4), they will pay you as a “freelance employee” or “independent contractor” without deducting tax withholdings. This means you are responsible for paying “self-employment taxes” four times a year using the IRS Form 1040-ES, in addition to filing annual income taxes. Paying employees as “freelancers” is a common way for corrupt employers to avoid the responsibility of filing and paying taxes, and many people are cautious when being paid this way. Always ask the person paying you for a written receipt of payment that shows your name and Social Security number (or ITIN), the amount you are paid, the date, and the employer’s name and address.\(^{10}\)
Do I need to pay property taxes for my home?
If you do not own a home and are a renter, you do not need to pay property taxes. Your landlord should pay property taxes, and these tax costs cannot be added to your monthly rent bill. If you own a home or other real estate property, you must pay taxes to the Jersey City Tax Collector’s Office.\(^{11}\)
What if I have other questions about taxes?
Speaking to a certified accountant is the best option for professional advice, but be certain to verify an accountant’s credentials by going to www.irs.gov and typing “preparer credentials” in the search menu. The www.irs.gov website is also an excellent source of information, with several language options.
April 15 is National Tax Day in the United States. It is the deadline to file annual income taxes.
What is a debit card?
A **debit card** is given to you by your bank when you open a checking account. You can use your debit card to buy things, and the payment will be made electronically using the money you have in your checking account. When your bank gives you a debit card, you will need to record a private personal identification number or a “**PIN**”. Your PIN is usually four digits, and when you buy something with your debit card, you will need to enter your PIN in the same machine that reads your card. Your PIN is private; do not read it out loud to the cashier or let anyone see you enter the numbers. It is possible to use all of the money in your checking account and still buy things with your debit card, but this will result in substantial fees from your bank called “**overdraft penalties**”. Your debit card is also needed when you use an automated teller machine (ATM) to withdraw cash from your checking account. It is important to know that even though your debit card looks like a credit card, using it does not build your credit score.\(^{12}\)
What is a credit card?
A **credit card** is given to you by a finance corporation that believes you will be able buy things with their card and then pay them back over time. To apply for a credit card, you will typically need a Social Security number or an Individual Taxpayer Identification Number (ITIN), proof that you earn money, and a documented history of paying debts, and you must be at least 18 years old. When you buy something with your credit card, you will not need a four-digit PIN, but you will usually have to write your signature. Be very careful not to share your credit card number, and if you suspect someone has used your credit card fraudulently, call the phone number on the back of the card or on your monthly statement immediately. It is important to know that when you buy things with a credit card, you are paying with borrowed money, and you will receive a bill each month asking you to pay for the items you bought. Many Americans inadvertently find themselves unable to pay their credit card bills and are burdened by credit card debt. To learn more about credit and credit scores, read the information found elsewhere in this section of the Resource Guide.\(^{13}\)
What is a credit score?
Your **credit score** is a measurement of your ability to earn and spend money responsibly. Your credit score is created by private credit reporting agencies that collect information about how you spend money and pay bills over time. If you are seeking to rent an apartment, apply for a loan from a bank, or buy a car, your credit score will be used to measure how much you can be trusted to make payments. Having a good credit score is essential to your financial stability and long-term success in the United States.\(^{14}\)
How can I earn a good credit score?
When you first come to the United States as an immigrant, any history of spending outside the U.S. will not contribute to your credit score. You will not have a credit score, which can be just as limiting as having a bad credit score. First, build good credit by always paying your bills on time, and never going into debt. Second, build good credit by using a credit card and always paying all of your monthly bills. Using a debit card will not build credit.\(^{14}\)
So, what is a good credit score?
Credit scores are numbers that typically range from 300 to 850. “Good credit” is generally considered a score of 700 or above, and “bad credit” is generally below 600. There are three major credit reporting agencies in the United States, and they might not all report the same exact credit score for the same person. By law, the three credit reporting agencies must provide you with a free credit score report once a year. One of the best websites to find more information is [www.usa.gov/credit-reports](http://www.usa.gov/credit-reports).\(^{14}\)
What is wage theft?
Wage theft is when an employer fails to pay you for your work. This might be a failure to pay you for your overtime hours, the tips that your employer collected on your behalf, or the last wages you earned before leaving a job.\(^{15}\) Wage theft also includes an employer paying below the legal minimum wage, which is set by each state. As of July 1, 2019, it is illegal for any employer in New Jersey to pay a wage lower than $10 per hour for any job.\(^{16}\) Unfortunately, immigrants and low-wage earners are most at risk of wage theft.
How can I avoid wage theft?
First, you should never work “off the books”, which means you are paid only in cash without tax deductions or a written record of your wages and hours. Second, you can keep your own record of the days you work, the times you started and ended your work, and the wage your employer agreed to pay you. If your employer has failed to pay any portion of your wages, you should immediately ask to be paid properly. It is important to know that all wage earners, documented or undocumented, are protected from wage theft by federal law.
What can I do if I am a victim of wage theft?
First, you can file a claim with the New Jersey Department of Labor’s Wage and Hour Compliance Division by going to the [www.myworkrights.nj.gov](http://www.myworkrights.nj.gov) website, printing the MW-31A form, and mailing it to P.O. Box 389, Trenton, NJ 08625. This agency allows you to complete a claim anonymously, without using your name.\(^{17}\)
Second, you can file a complaint with the U.S. Department of Labor’s Wage and Hour Division by calling 908-317-8611 or by visiting [www.dol.gov/whd/howtofilecomplaint.htm](http://www.dol.gov/whd/howtofilecomplaint.htm).\(^{18}\) When you call, you will be asked questions about your employment, but you will not be asked your immigration status.
Third, you can contact Jersey City’s Resident Response Center (RRC) to inform them that you have submitted a wage theft claim with the New Jersey and/or United States Wage and Hour office(s). You may contact RRC anonymously and in your preferred language.\(^{19}\) It is against the law for your employer to retaliate against you for filing a wage theft complaint.\(^{20}\)
Workers employed in the food, construction, and home care industries are at higher risk of wage theft. There are rights protecting every worker, regardless of immigration status.
Protect your wages. Keep track of your earnings by reviewing your paychecks.
Where can I find free food?
If you are hungry and struggling to buy food, you can find free food at **food pantries**. Food pantries are charitable groups that distribute free bags or boxes of food to people in need at a specific time and place. Although most food pantries will rarely turn anyone away, each pantry will have its own policies and practices for who can take free food. Some pantries will not ask you for any documents, while others will require registration, identification, proof of residency, and proof of receiving other government benefits.
For a detailed list of all food pantries in your area, go to [HealthierJC.AuntBertha.com](http://HealthierJC.AuntBertha.com) and submit your zip code to find a pantry near you. This website is available in many languages and lists thousands of free or low-cost services.
**Fountain of Salvation**
324 Communipaw Avenue, Jersey City, NJ 07304
Call **201-435-0009** or visit [www.fountainofsalvation.org/jcity](http://www.fountainofsalvation.org/jcity) for times
**Our Lady of Sorrows Parish: The Mary House of Emergency Food**
93 Clerk Street, Jersey City, NJ 07305
Mon, Wed, & Fri: 9:00 a.m. to 1:30 p.m.
Call Sister Alice McCoy at **201-433-0626**
Free to Jersey City residents, but registration is required. Bring identification with proof of address, family size, and income.
**St. John’s Lutheran Church Food Pantry**
155 North Street, Jersey City, NJ 07307
Every second Saturday, 10 a.m. to 1:30 p.m.
**201-798-0540**
**St. Matthew’s Lutheran Church**
85 Wayne Street, Jersey City, NJ 07302
Mon at 12:00 p.m. and Fri at 1:00 p.m.
**201-898-2350** ext. 3
Free to all. Bring your own bag or cart. Representatives from UnitedHealthcare and others are present on Fridays to help with eligibility for health insurance.
**We Project—“Community Table”**
North Street and Summit Avenue, in the parking lot
Every Saturday, 6:30 a.m. to 10:30 a.m.
**201-456-8908** or [firstname.lastname@example.org](mailto:email@example.com)
Free food for all, no identification needed. Bring a reusable bag.
How can I ride an NJ Transit bus?
New Jersey Transit buses run throughout Jersey City and into adjacent cities like Bayonne, Hoboken, Union City, and New York City. To board an NJ Transit bus, you must wait at a bus stop, which will be marked by an NJ Transit sign with the bus numbers that serve that stop. Each bus number has a designated route, and to know which direction the bus is travelling, you must check the final destination that appears on the front of the bus. You must board the bus at the first door, tell the driver your destination, and pay the exact amount by putting bills and coins into the machine. The cost of each bus ride depends on your destination and is measured by “zones”. Most destinations within Jersey City are called “Zone 1” and cost $1.60 (as of 2019). You may also buy a monthly bus pass, which allows unlimited travelling within a certain zone for a fixed price. To signal to the driver that you would like to get off the bus, press the tape above the window. To find a map of all bus routes, go to the www.njtransit.com web page, which can be translated into foreign languages using the menu at the bottom right.\(^1\)
How can I ride the PATH train?
PATH stands for “Port Authority Trans-Hudson” and is a system of two subway lines that connect Jersey City, Hoboken, Newark, New York City, Harrison, and Kearny. Jersey City has four underground PATH stations. To ride a PATH train, you must buy a plastic MetroCard using one of the multilingual machines at a PATH station, and then pass the MetroCard through the slot in the rotating turnstile. Jumping over the turnstile without paying the fare is illegal and could result in serious repercussions. A single ride on the PATH train costs $2.75 (as of 2019). You may buy multiple rides and store them on one MetroCard, or you may buy a monthly SmartLink card. Maps and schedules for PATH trains can be downloaded in English and Spanish at www.panynj.org.\(^1\)
How can I travel on the light rail?
The Hudson-Bergen Light Rail is a small train that connects Jersey City with cities to its north and south. To ride the light rail, you must buy a ticket from one of the blue and orange machines at a light rail station, but you must “validate” your ticket before getting on the train. This requires you to insert your ticket into the machine labeled “Ticket Validator”, which will print a purple date and time on your ticket. Keep your ticket while riding on the train, because an NJ Transit officer may enter the train and ask all passengers to show their validated tickets. If your ticket is not validated, you will likely be required to pay a fine. For maps, schedules, and information about the light rail, go to the www.njtransit.com web page, which can be translated into foreign languages using the menu at the bottom right.\(^1\)
Do I really need a mobile phone?
Yes. Access to a smartphone will increase your ability to stay safe, connect with jobs and services, and maintain relationships. The United States culture can seem impatient and demanding, and it is very rare that an employer will call your home, leave a message, or wait for you to call back. If friends or people you know have job recommendations or things they would like to share, it is likely that they will send a text message rather than visit you in person. Making international calls using web-based apps on a smartphone can be much cheaper than using a landline phone or buying phone cards. And in the case of an emergency, a mobile phone might be the only way to call 9-1-1 for help.
Where can I get a mobile phone?
Many mobile phone companies offer different plans. Most times, you must buy a phone and pay monthly bills. Typically, you can buy a plan that offers minutes and texts only, or a plan that also includes Internet data. The cost of plans usually ranges from $25 to $60 per month.
What are “scam” calls?
Around the world, criminals use smartphones to harm to people with “scam” calls or text messages. In the United States, it is extremely rare for any federal government agency to contact you by phone. The Internal Revenue Service (IRS) will never call your phone and ask for your Social Security number or Individual Tax Identification Number (ITIN). If someone contacts you on your phone and asks you for personal information or to make a payment, you should be suspicious and wait for a letter in the mail, which is the customary way of sending official communications in the United States.\(^2\)
STAY INFORMED
TEXT UPDATES FOR IMMIGRANTS
JERSEY CITY
WELCOMES
IMMIGRANTS
Receive free text messages about...
Free health events and services for immigrants
Free immigration assistance program
Important changes to immigration rules
✓ Your membership is anonymous.
✓ Your phone number will not be shared.
✓ One-way texts are sent by the Jersey City Department of Health and Human Services, Division of Immigrant Affairs.
Text “Add” to (973) 419-5694
For immigration assistance, contact the Division of Immigrant Affairs at 201-547-6800 or firstname.lastname@example.org.
(español and العربية)
Section 1: Governmental Services
1. “Community Emergency Response Teams (CERT).” (n.d.) New Jersey Office of Emergency Management. Retrieved from http://ready.nj.gov/cert/index.shtml
2. “Public Safety.” (n.d.) City of Jersey City. Retrieved from https://www.cityofjerseycity.com/CityHall/PublicSafety
3. “Division of Police.” (n.d.) City of Jersey City. Retrieved from https://www.cityofjerseycity.com/cms/One.aspx?portalid=618974&pagetid=7220&tabid=5
4. United States Census Bureau. (n.d.). Retrieved from https://www.census.gov/
5. “Data Protection and Privacy Program; Federal Law.” (August 2018). United States Census Bureau. Retrieved from https://www.census.gov/about/policies/privacy/data_stewardship/federal_law.html
6. “Government Benefits.” (n.d.) US.gov. Retrieved from: https://www.usa.gov/benefits
7. “NJ Snap.” (June 2019). State of New Jersey Department of Human Services Division of Family Development. Retrieved from https://www.nj.gov/humanservices/dld/programs/njsnap/
8. New Jersey WorkFirst. (October 2017). Handbook. Retrieved from https://www.state.nj.us/humanservices/dld/programs/workfirst/nj_workfirst_handbk_e0118.pdf
9. “Housing Choice Vouchers Fact Sheet.” (n.d.) U.S. Department of Housing and Urban Development. Retrieved from https://www.hud.gov/topics/housing_choice_voucher_program_section_8
10. Jersey City Housing Authority. (n.d.). Retrieved from https://jerseycityha.org/
11. “What is the Difference Between Medicaid and Medicare?” (October 2015). U.S. Department of Health & Human Services. Retrieved from https://www.hhs.gov/answers/medicare-and-medicaid/what-is-the-difference-between-medicare-medicaid/index.html
12. “Overview of our Disability Programs.” (n.d.). Social Security. Retrieved from https://www.ssa.gov/redbook/eng/overview-disability.htm
13. NJ FamilyCare. (2013). Retrieved from http://www.njfamilycare.org/default.aspx
Section 2: Legal Services
1. “Avoid Scams.” (August 2019). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/avoid-scams
2. “Free Legal Help.” (n.d.). The American Bar Association. Retrieved from https://www.americanbar.org/groups/legal_services/fhl-home/fhl-free-legal-help/
3. “Low Bono Section.” (June 2019). Washington State Bar Association. Retrieved from https://www.wsba.org/legal-community/sections/low-bono-section
4. “Recognition & Accreditation (R&A) Program.” (August 2019). The United States Department of Justice. Retrieved from https://www.justice.gov/eoir/recognition-and-accreditation-program
5. “Finding the Right Lawyer.” (n.d.). The State Bar of California Retrieved from http://www.calbar.ca.gov/Public/Free-Legal-Information/Legal-Guides/Finding-the-Right-Lawyer
6. McDonald, T. (February 2017). “Fulop on ‘sanctuary city’ order: ‘We’re going to stand by our values.’” The Jersey Journal. Retrieved from https://www.nj.com/hudson/2017/02/fulop_on_sanctuary_city_order_were_going_to_stand.html
7. American Immigration Lawyers Association. (n.d.). Stopnotariofraud.org. Retrieved from https://stopnotariofraud.org/
8. Shea, K. [November 2018]. “State targets 28 ‘notarios’ they say are preying on immigrants with legal issues.” The Jersey Journal. Retrieved from https://www.nj.com/news/2018/11/state_targets_28_notarios_says_theyre_illegally_of.html
9. “Attorney Search.” (n.d.). New Jersey Courts. Retrieved from https://portal.njcourts.gov/webe7/prweb/PRServletPublicAuth/-amRUHgepIwWWiIBQpI9_yQNuuu4oN16/*JSTANDARD?AppName=AttorneySearch
10. “Avoid Scams.” (August 2019). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/avoid-scams
11. “Green Card.” (February 2018). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/greencard
12. “AR-11, Alien’s Change of Address Card.” (July 2018). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/ar-11
13. Bray, I. (n.d.). “Process to Renew Your Green Card.” Nolo. Retrieved from https://www.alllaw.com/articles/nolo/us-immigration/process-renew-green-card.html
14. “I-90, Application to Replace Permanent Resident Card.” (July 2019). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/i-90
15. “Fee Waiver Guidance.” (September 2015). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/node/44213
16. “Naturalization Information.” (n.d.). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/citizenship/educators/naturalization-information
17. “N-400, Application for Naturalization.” (March 2019). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/n-400
18. “Become a Citizen.” (March 2018). U.S. Department of Homeland Security. Retrieved from https://www.dhs.gov/how-do-i-become-citizen
19. “Who We Are.” (August 2019). U.S. Immigration and Customs Enforcement. Retrieved from https://www.ice.gov/about
20. “ICE Arrests.” (n.d.). Immigrant Defense Project. Retrieved from https://www.immigrantdefenseproject.org/ice-home-and-community-arrests/
21. “Immigrant Affairs.” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/community/diversity/office_of_welcoming_communities/immigrantaffairs
22. American Friends Service Committee. (n.d.). Retrieved from https://www.afsc.org/
23. “Online Detainee Locator System.” (n.d.). U.S. Immigration and Customs Enforcement. Retrieved from https://locator.ice.gov/odls/#/index
24. “Contact ICE: ICE ERO Detention Reporting and Information Line.” (July 2018). U.S. Immigration and Customs Enforcement. Retrieved from https://www.ice.gov/contact/detention-information-line
25. “Get Help.” (n.d.). First Friends of NJ and NY. Retrieved from https://firstfriendsnjny.org/get-help/
Section 3: Medical Services
1. “Preventive Health Services.” (n.d.). HealthCare.gov. Retrieved from https://www.healthcare.gov/coverage/preventive-care-benefits/
2. “Preventative Health/STD Clinic: City Clinic.” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/CityHall/health/preventativehealth
3. “Women, Infants & Children (WIC).” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/CityHall/health/WIC
4. “About New Jersey WIC.” (n.d.). State of New Jersey Department of Health. Retrieved from https://www.state.nj.us/health/fhs/wic/home/about.shtml
5. “Division of Environmental Health.” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/cityhall/health/divisionofhealth
6. “Health Insurance.” (n.d.). Medline Plus. Retrieved from https://medlineplus.gov/healthinsurance.html
7. “New Jersey Health Insurance Market Preservation Act.” (December 2018). State of New Jersey. Retrieved from https://nj.gov/treasury/njhealthinsurancemandate/index.shtml
8. Department of Health and Human Services. (June 2014). From Coverage To Care: A Roadmap to Better Care and a Healthier You. Retrieved from https://marketplace.cms.gov/outreach-and-education/downloads/c2c-understand-your-health-coverage.pdf
9. “Finding Health Insurance.” (March 2019). USA.gov. Retrieved from https://www.usa.gov/finding-health-insurance
10. Medicaid.gov. (n.d.). Retrieved from https://www.medicaid.gov/
11. “The Affordable Care Act.” (December 2017). U.S. Department of Health and Human Services. Retrieved from https://www.hhs.gov/healthcare/about-the-aca/index.html
12. “What is it?” (n.d.). NJFamilyCare.org. Retrieved from http://www.njfamilycare.org/whatisit.aspx
13. NJ FamilyCare. (2013). Retrieved from http://www.njfamilycare.org/default.aspx
14. “Who is eligible?” (n.d.). NJFamilyCare.org. Retrieved from http://www.njfamilycare.org/who_eligbl.aspx
15. “Health Care.” (n.d.). U.S. Department of Health and Human Services. Retrieved from https://www.hhs.gov/healthcare/index.html
16. “Charity Care - New Jersey Hospital Care Payment Assistance Program.” (n.d.). State of New Jersey Department of Health. Retrieved from https://www.state.nj.us/health/charitycare/index.shtml
17. National Health Service Corps, U.S Department of Health and Human Services Health Resources and Services Administration. (June 2019). “NHSC Sliding Fee Discount Program Information Package.” Retrieved from https://nhsc.hrsa.gov/sites/default/files/NHSC/nhsc-sites/nhsc-sliding-fee-discount-program.pdf
18. “Emergency Payment Program for Aliens.” (n.d.). State of New Jersey Department of Human Services Division of Medical Assistance and Health Services. Retrieved from https://www.state.nj.us/humanservices/dmahs/clients/medicaid/payment/
Section 4: Housing and Jobs
1. “I Smell Gas…” (n.d.). PSE&G.com. Retrieved from https://nj.pseg.com/outageandgasleaks/smellgas
2. “Smoke Alarm and Carbon Monoxide (CO) Alarm Compliance.” (n.d.). Retrieved from https://www.nj.gov/dca/divisions/codes/forms/pdf_ucc_stdforms/SACMAC%20info.pdf
3. “Protect Your Family from Exposures to Lead.” (n.d.). United States Environmental Protection Agency. Retrieved from www.epa.gov/lead/protect-your-family-exposures-lead
4. “Childhood Lead Poisoning Prevention Program.” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/CityHall/health/childhealthclinic/leadprevention
5. “Keep Pests Out.” (December 2017). Centers for Disease Control and Prevention. Retrieved from https://www.cdc.gov/flyers/keep-pests-out.html
6. “Weatherization.” (n.d.). Puertorriqueños Asociados for Community Organization, Inc. Retrieved from http://pacoagency.org/weatherization/
7. “Find a Job.” (August, 2019). USA.gov. Retrieved from https://www.usa.gov/find-a-job
8. “Training and Development: Career Development.” (n.d.). U.S. Office of Personnel Management. Retrieved from https://www.opm.gov/policy-data-oversight/training-and-development/career-development/
9. Jersey City Employment and Training Program. (n.d.). Retrieved from http://jcetp.org/
10. “Landlord-Tenant Information.” (n.d.). State of New Jersey Department of Community Affairs. Retrieved from https://www.state.nj.us/dca/divisions/codes/offices/landlord_tenant_information.html
11. “Your Right to Safe and Decent Housing.” (April 2014). Legal Services of New Jersey. Retrieved from https://www.lsnjlaw.org/housing/landlord-tenant/repairs-habillability/pages/safe-decent-housing.aspx
12. “Security Deposit Law N.J.S.A. 46:8-19 Through 26.” (May 2010). New Jersey Department of Community Affairs, Division of Codes and Standards, Landlord-Tenant Information Service. Retrieved from https://www.nj.gov/dca/divisions/codes/publications/pdf_lti/sdepsit_law.pdf
Section 5: ESL and Continuing Education
1. “The Provision of an Equal Education Opportunity to Limited-English Proficient Students.” (August 2000). U.S. Department of Education. Retrieved from https://www2.ed.gov/about/offices/list/ocr/eeolep/index.html
2. Jersey City Public Schools. (n.d.). Retrieved from https://www.jcboe.org/
3. “Registration Information.” (n.d.). Jersey City Public Schools. Retrieved from https://www.jcboe.org/apps/pages/RegistrationInfo
Section 6: Refugee and Asylee Services
1. “Benefits and Responsibilities of Asylees.” (March 2018). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/humanitarian/refugees-asylum/asylum/benefits-and-responsibilities-asylees
2. “I-94 Automation – Admitted to U.S. with Wrong Information.” (n.d.). U.S. Customs and Border Protection. Retrieved from https://help.cbp.gov/app/answers/detail/a_id/1683/~/i-94-automation--admitted-to-u.s.-with-wrong-information
3. “Work Permit (EAD) Applicants Can Now Get Social Security Number Automatically.” (October 2017). Nolo. Retrieved from https://www.nolo.com/legal-updates/work-permit-ead-applicants-can-now-get-social-security-number-automatically.html
4. “Green Card for Asylees.” (July 2017). U.S. Citizenship and Immigration Services. Retrieved from https://www.uscis.gov/greencard/asylees
Section 8: LGBTQ+ Services
1. “LGBTQ Resources.” (n.d.). City of Jersey City. Retrieved from https://www.jerseycitynj.gov/community/diversity/l_g_b_t_q_commission
Section 9: Volunteer and Connect
1. “Stamp Out Despair.” (n.d.). First Friends of NJ and NY. Retrieved from https://firstfriendsnjny.org/get-involved/stamp-out-despair/
2. WelcomeHome.org. (n.d.). Retrieved from https://welcomehomerefugees.org/
Section 10: Financial Literacy
1. “A Newcomer’s Guide to Managing Money: Checklist for opening a bank or credit union account.” (n.d.). Consumer Financial Protection Bureau. Retrieved from https://files.consumerfinance.gov/f/201507_cfpb_checklist-for-opening-an-account.pdf
2. “Opening a Bank Account.” (n.d.). Comsumer.gov. Retrieved from https://www.consumer.gov/articles/1003-opening-bank-account#i-what-to-know
3. “Identity Theft.” (February 2017). U.S. Department of Justice. Retrieved from https://www.justice.gov/criminal-fraud/identity-theft/identity-theft-and-identity-fraud
4. “International Students & Scholars Program: Taxes.” (n.d.). University of Virginia. Retrieved from https://issp.virginia.edu/taxes
5. “Filing for Individuals.” (July 2019). IRS. Retrieved from https://www.irs.gov/filing
6. “Individual Taxpayer Identification Number (ITIN).” (January 2017). National Immigration Law Center. Retrieved from https://www.nilc.org/issues/taxes/itinfaq/
7. “Individual Taxpayer Identification Number.” (June 2019). IRS. Retrieved from https://www.irs.gov/individuals/individual-taxpayer-identification-number
8. “How Do You Report Suspected Tax Fraud Activity?” (July 2019). IRS. Retrieved from https://www.irs.gov/individuals/how-do-you-report-suspected-tax-fraud-activity
9. “How to File Your Federal Taxes.” (September 2019). USA. gov. Retrieved from https://www.usa.gov/file-taxes
10. “Self-Employed Individuals Tax Center.” (July 2019). IRS. Retrieved from https://www.irs.gov/businesses/small-businesses-self-employed/self-employed-individuals-tax-center
11. “Real Estate (Taxes, Mortgage Interest, Points, Other Property Expenses).” (April 2019). IRS. Retrieved from https://www.irs.gov/faqs/itemized-deductions-standard-deduction/real-estate-taxes-mortgage-interest-points-other-property-expenses/real-estate-taxes-mortgage-interest-points-other-property-expenses-5
12. “Using Debit Cards.” (n.d.). Consumer.gov. Retrieved from https://www.consumer.gov/articles/1004-using-debit-cards
13. “Credit Cards.” (n.d.). Consumer Financial Protection Bureau. Retrieved from https://www.consumerfinance.gov/consumer-tools/credit-cards/
14. “Credit Reports and Scores.” (August 2019). USA. gov. Retrieved from www.usa.gov/credit-reports
15. “H.R. 4763 - Wage Theft Prevention and Wage Recovery Act.” (March 2016). Congress.gov. Retrieved from https://www.congress.gov/bill/114th-congress/house-bill/4763/text
16. “Rate of Pay for Young Workers.” (n.d.). State of New Jersey Department of Labor and Workforce Development. Retrieved from https://www.nj.gov/labor/wagehour/content/childlabor_RateofPay.html
17. “Wage & Hour Compliance - File a Wage Claim.” (n.d.). State of New Jersey Department of Labor and Workforce Development. Retrieved from https://www.nj.gov/labor/wagehour/comply/filing_wage_claim.html
18. United States Department of Labor Wage and Hour Division. (n.d.). How to File a Complaint. Retrieved from https://www.dol.gov/whd/flsa/HowToFileAComplaint-eng.pdf
19. Jersey City Wage Theft Ordinance. (n.d.). Retrieved from https://www.jerseycitynj.gov/common/pages/DisplayFile.aspx?itemId=12594588
20. “Compliance Assistance - Wages and the Fair Labor Standards Act (FLSA).” (n.d.). United States Department of Labor Wage and Hour Division. Retrieved from https://www.dol.gov/whd/flsa/
Section 11: Transport and General Needs
1. “How to Ride NJ Transit.” (n.d.). NJ Transit. Retrieved from https://www.njtransit.com/rg/rg_servlet.srv?hdnPageAction=HowToRideTo
2. “How to Know It’s Really The IRS Calling or Knocking on Your Door.” (April 2017). IRS. Retrieved from https://www.irs.gov/newsroom/how-to-know-it-s-really-the-irs-calling-or-knocking-on-your-door
DIVISION OF IMMIGRANT AFFAIRS
DEPARTMENT OF HEALTH AND HUMAN SERVICES
DR. MARTIN LUTHER KING, JR. CITY HALL ANNEX
1 JACKSON SQUARE
JERSEY CITY, NJ 07305
201-547-6800
email@example.com
|
Phaseolus: A New World gift to mankind
Why common beans are so common?
The journal of the International Legume Society
Issue 2 • April 2014
Legume Perspectives is an international peer-reviewed journal aiming to interest and inform a worldwide multidisciplinary readership on very different aspects of legume research and use, including genetics, agronomy, animal production, human nutrition and health and economics.
Please write your article so that it will assist in the exchange of information between people working in different expert fields of legume research: write to the length requested; provide a review of the most important information on your topic; try to avoid (or explain) specialist words, unusual jargon and acronyms; emphasise results and conclusions; choose titles carefully and add subheadings that tell readers something. Legume Perspectives prefers a clear, simple and comprehensive writing style that would make its articles interesting and useful for both academic and amateur audience. Your manuscripts does not have to follow the usually strict structure of the research papers.
We strongly encourage you to submit either longer (1,250 words + 2 tables, figures or photos + up to 8 references) or shorter (450 words + 1 table, figure, photograph or drawing + up to 4 references) manuscripts. The Editorial Board may allow any variation from case to case. Please provide also an additional abstract of between 90 and 100 words and from 4 to 6 key words listed alphabetically.
The manuscripts should be prepared in Microsoft Office Word, using Times New Roman font, 12 points size. The references should be listed and numbered alphabetically, following the style of any of the published papers in this issue. The tables may be incorporated in the manuscript, while it is desirable that figures, photographs or drawings are submitted separately preferably as .jpg files.
Please send your prepared manuscripts or any inquiries on publishing in Legume Perspectives to email@example.com or firstname.lastname@example.org
Interested in grain, forage and other legume research?
Join Legume Society today!
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I am proud to present this Legume Perspectives issue dedicated to Common Bean, one of the most important grain legume crops for direct human consumption in the world. The origin and diversity of the crop is examined along with the current state of genetic information and the status of breeding programs worldwide. Articles describing beneficial associations with soilborne microbes leading to an increased productivity, biotic and abiotic stresses that affect this crop and breeding for beneficial traits to improve human health are also included. Hopefully, this collection of interesting articles will encourage and stimulate not only those knowledgeable readers, but to those who would like to become familiarized with this fascinating legume. I would like to take the opportunity to thank all colleagues who have made this issue possible: the authors of the articles, and the associated Phaseomics research teams, for their insightful contributions, and sincere acknowledgment to those people who contributed to produce this issue.
Marta Santalla
Managing Editor of Legume Perspectives issue 2
CARTE BLANCHE
4 Federico Sanchez: A new dawn in the bean horizon
RESEARCH
5 Alfonso Delgado-Salinas: Biodiversity and systematics of *Phaseolus* L. (Leguminosae)
8 Paul Gepts: Domestications of *Phaseolus* beans and their importance for conservation and genetic improvement
12 Elisa Bellucci, Laura Nanni, Eleonora Biagetti, Elena Bitocchi, Alessandro Giardini, Domenico Rau, Monica Rodriguez, Giovanna Attene, Roberto Papa: Common bean origin, evolution and spread from America
17 Aleksandar Mikić: Words denoting common bean in European languages
18 Molly Welsh: Why we must preserve *Phaseolus* genetic diversity or the value of plant genetic resources in the legume world
20 Rosana Pereira Vianello, Claudio Brondani: Common bean gene mapping for molecular improvement
22 Phillip McClean, Scott Jackson, Jeremy Schmutz, Daniel Rokshar, Perry Cregan: Progress toward a draft sequence of the common bean genome
24 Manan Richard, Stéphanie Pflieger, Artur Fonseca, Andrea Pedrosa-Harand, Valérie Geffroy: Peculiar features of common bean subtelomeres
27 Thais M. Cipriano, Abdulrazak B. Ibrahim, Josias C. Faría, Francisco J.L. Aragão: Development of transgenic common bean with agronomic traits
30 Georgina Hernández, Bárbbara Nova-Franco: MicroRNAs as post-transcriptional regulators in common bean (*Phaseolus vulgaris*)
33 James D. Kelly: Use of genetic diversity in common bean breeding
35 Carmen Quinto, Rosana Sánchez-López, Luis Cárdenas, Jesús Montiel, Manoj-Kumar Arthikala, Noreide Nava, Olivia Santana: The symbiosis between *Phaseolus vulgaris* and rhizobia
38 Alejandra A. Covarrubias, José Luis Reyes, Marina Battaglia, Miguel A. Rosales, Sonia Cuellar, Cecilia Contreras, Lucero Rivera, Carlos De La Rosa, Guadalupe Sosa, Fernando Rabanal, Arturo Velarde, Francisco Campos, Edilvia Ocampo, Rosa M. Solórzano: The response to water deficit in *Phaseolus vulgaris*
42 Matthew Blair, Luz N. Garzón, Oscar A. Oliveros, Gustavo A. Ligarreto: Molecular breeding for biotic stress resistance in common bean (*Phaseolus vulgaris*): Example of resistance to ascochyta blight, an intractable disease of tropical highlands
45 Elizabeth Quintana-Rodríguez, Martin Hell: Resistance in common bean to fungal disease improved by plant-to-plant signalling
47 Ana M. González, Fernando J. Yuste-Lisbona, María Lores, A. Paula Radiño, Antonio M. De Ron, Rafael Lozano, Marta Santalla: Nuña popping bean: a kind of witness of the first steps of common bean domestication
50 Francesca Sparvoli, Roberto Bollini: Nutritional quality of common bean: more nutrients or less antinutrients?
53 Mar Vilanova, Paula Rodiño, Ana González, Pilar Canosa, Iria Rodríguez-Vega, Manuel Riveiro, Marta Santalla: Snap bean (*Phaseolus vulgaris* L.) quality profile by sensory descriptive analysis
55 Jaime Martínez-Castillo, Rubén H. Andueza-Noh, Luciana Camacho-Pérez, Félix Dzul-Tejero, Julián Coello-Coello, Matilde M. Ortiz-García, M. Guadalupe Carrillo-Galván: Current state of knowledge of the Lima bean (*Phaseolus lunatus* L.) in Mexico
FOLKLORE
58 Svetlana Antanasović, Mariya Sabeva, Siyka Angelova, Branko Ćupina, Đorđe Krstić, Sanja Vasilijević, Aleksandar Mikić: The Common Bean Museum in Smilyan
Common bean is a major legume crop with over 25 MMT produced per year, and is the most important grain legume for direct human consumption in the world. It represents a major source of protein and calories, has high fiber content and is also a rich source of minerals, such as iron and zinc. Common bean originated in Mexico, but later diversifications and dispersals through the whole American Continent, and the rest of the World has made this grain legume to become rapidly popular for its nutritional qualities. Although, common bean was domesticated about 7000 years, predominantly in two diversity centers -Mexico and Central America, and the Andean region, new genetic pools are rapidly emerging in Europe, Asia and Africa. In developing countries bean varieties and landraces are cultivated, from sea level up to 9,000 feet above, mostly by small farmers in rain fed conditions without or minimum inputs. There are increasingly mapping populations established to study the inheritance of agronomic traits in different locations. Higher yields and other traits like improved symbiotic performance, drought tolerance; bacterial blight, rust and root rot resistances, have already been successfully transferred from wild accessions and closely related species, such as tepary bean (P. acutifolius) and the scarlet runner bean (P coccineus), to commercial varieties. P. vulgaris is true diploid species with an average genome size of ~600 Mb, and its nucleotide sequence from three different cultivars has been recently released. The sequence of wild accessions and species within the genus Phaseolus will follow. The synergy between genomic assets, vast genetic variability, and cutting edge genetic resources trigger exciting possibilities to increase yield and fitness in different environments, in hand of improved nutritional grain qualities. This new dawn brings opportunities to increase world production and consumption and to fulfill challenges among small holders in food insecure countries.
UNAM, Instituto de Biotecnología, Cuernavaca, Mexico (firstname.lastname@example.org)
Biodiversity and systematics of *Phaseolus* L. (Leguminosae)
by Alfonso DELGADO-SALINAS
**Abstract:** The New World genus *Phaseolus* comprises ca. 80 species and his center of diversity occurs primarily in the mountains of Mexico (ca. 60 species). Although most species are generally narrowly distributed, widespread species such as *P. lunatus* and *P. vulgaris* occur from northern Mexico to Argentina. Five of these wild species were brought by domestication into cultivation. Morphologically and ecologically distinctive within the NW Phascolinae, *Phaseolus* phylogeny includes eight phylogenetic groups, where four of the five cultivated species are established in the *P. vulgaris* group. *Phaseolus* diversity is also expressed in floral morphology and floral presentation to pollinators (bees and hummingbirds). Ecological, geographical and reproductive studies are still needed.
**Key words:** New World Phascolinae, *Phaseolus*, phylogeny, systematics
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**Distribution of the *Phaseolus* genus**
The genus *Phaseolus* L. is a member of the economically important subtribe Phaseolinae (tribe Phaseoleae), and includes more than 80 wild species widely distributed throughout the Americas (except for Alaska, west and north Canada, western USA, Chile and southern Argentina), from south eastern Canada, southeastern and southwestern USA, Mexico, Central America, West Indies and to mostly eastern South America. Of these species, just over 60 are distributed mostly in the Mexican uplands (3). Five of these were domesticated and brought in cultivation, the “tepary” or “escumite” bean (*P. acutifolius* A. Gray), amazingly adapted to arid locations; the “ayocote” or “scarlet runner bean” (*P. coccineus* L.), splendid climber with beautiful blossoms, well-adapted to temperate cold environments; the “pallar” or “lima bean” (*P. lunatus* L.), a versatile vine occurring in seasonally dry or humid forests; the “gordo” or “year bean” (*P. dumosus* Macfadyen), well-adapted to temperate-humid sites, locally important to different human groups; however still neglected, and the world-wide cultivated “frijol”, “poroto” or common bean (*P. vulgaris* L.). Because of this biodiversity and human importance, the genus has been the focus of much taxonomic, monographic, phylogenetic, and molecular genetics studies (3, 5).
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**Morphological diversity in *Phaseolus* species**
Morphologically, *Phaseolus* species are mostly perennial climbers with foliage bearing microscopic hooked hairs (Fig. 1.2); fleshy, sometimes yam-sized roots, associate to root-nodules; leaves trifoliolate, and inflorescences in rather long pseudoracemes. Stipules and stipels of leaves, as well as floral bracts carry patches of glandular hairs that function in some species as extrafloral nectaries to attract ants. The flowers are characterized by colorful petals, mostly purplish, but sometimes red, pink or white, with a noticeable standard, two prominent wing petals, the right-one disposed horizontally as landing platform, and a tightly and laterally coiled beak of the keel petals, where stamens and gynoecium are enclosed (Fig. 1.3 and Fig. 1.4). This conspicuous floral asymmetric arrangement is associate with the presence of secondary pollen presentation with a stylar or pollen brush, that brings an improved placement of pollen and pollen reception on highly designed style and stigmatic surfaces, and consequently attraction of specialized pollinators (bees and hummingbirds) endorsing reproductive isolation, and thus, certainly have impelled diversification in this group of legumes. The fruit is mostly an elastically-dehiscent pod, with 1 seed, like in *P. microcarpus* Mart. to 20 seeds in *P. pauciflorus* Sessé et Moc. ex G. Don.
Ecologically wild *Phaseolus* species appear to be distinct to other New World Phascolinae species in being generally confined to oak, oak-pine, and pine forests; however there are few species that occur in seasonally dry tropical forests and related vegetations that are rich in succulent plants such as arid shrublands or even in sandy soils in coastlands. Some species in the *P. lunatus* phylogenetic group inhabit islands, such as *P. mollis* endemic to the Galapagos.
**Phylogenetic clades of *Phaseolus***
Phylogenetically, *Phaseolus* is a monophyletic genus, diagnosed not only by molecular characters but also by morphological characteristics (i.e., synapomorphies). The latter include the tightly and laterally coiled beak of the keel petals (Fig. 1.3 and Fig. 1.4), inflorescences lacking swollen nodes (extrafloral nectaries), mostly persistent primary floral bracts, and foliage and reproductive parts bearing uncinate hairs (1) (Fig. 1.2). All known species of *Phaseolus* are established in eight phylogenetic clades (Fig. 1.1), where four of the cultivated species are included in the *P. vulgaris* group and only *P. lunatus* is positioned in a different group (3) (Fig. 1.5). *Phaseolus* is closely related to the rest of New World Phascolinae but being morphologically, ecologically, and phylogenetically very distinct (Fig. 1).
Given the Mexican center of diversity for *Phaseolus*, and the estimated age of origin 6-8 million years ago (3), the extant diversification for the eight species clades within the genus reveals that most of this diversity came into existence well after the completion of tectonic activity in Mexico. The formation of such mountains perhaps facilitated the diversification of *Phaseolus* in upland regions, where *Phaseolus* species are today most abundant in oak and coniferous forests.
Taxonomic history of *Phaseolus* genus
Taxonomic activity in *Phaseolus* (and related genera) started perhaps when human groups in different parts of the world coincidently harvested, selected, and classified the *Phaseolinae* in their surroundings. Asian, African and American humans started at that point an important and never-ending selection process with different species of the actual *Phaseolus* and *Vigna* genera (Fig. 2). Domestication activities overcome traits and several crops came in cultivation by human in different regions of the world. Beans and other legumes nourished humans and no doubt contributed to the formation of important cultures. The name “phaseolus” (for some authors, a Latin word for a plant with flowers that simulated a small boat) was coined for Old World plants, possibly to called cultivars of *Vigna unguiculata* (L.) Walp. The phaseolus name was adopted and made official by Linnaeus in 1753, and ever since more than 500 hundred plants were described as members of a not well-defined genus *Phaseolus*. In 1970, Verdcourt’s seminal treatment of Phaseolinae (6) clarified the distinction between *Phaseolus* and *Vigna*, among others, and by doing this generated an intense interest in developing a more acceptable classification for this group of plants. Many botanists have confined their efforts since then to this diversified group of plants. Classification systems based in morphology, cytology, phytochemistry, and recently with the incorporation of molecular data have provided step by step gradually new meaning, knowledge and classification were not purely arbitrary (5). This *Phaseolus* monograph demonstrates how an intensive period of taxonomic activity has a significant effect on species discovery from a combination of old and recent collections. During the last twenty years, 25 species and the same amount of varieties have been described (2, 5).
Despite all this accumulated information, there are still some basic aspects of habitat, ecology, and reproduction of *Phaseolus* species which are not understood. Work is still in progress, trying to ascertain species delimitation and in some cases settled complicate nomenclatures; as well as the use of geographical and ecological data of wild and cultivars in order to predict the effect of climate change to set exploration and regional conservation strategies.
References
(1) Delgado-Salinas A, Turley T, Richman A, Lavin M (1999) Phylogenetic analysis of the cultivated and wild species of *Phaseolus* (Fabaceae). Syst Bot 23:458-460
(2) Delgado-Salinas A (2000) New species in Mexican *Phaseolus* (Fabaceae). Syst Bot 25:414-436
(3) Delgado-Salinas A, Bibler R, Lavin M (2006) Phylogeny of the genus *Phaseolus* (Leguminosae): a recent diversification of an ancient landscape. Syst Bot 31:779-791
(4) Delgado-Salinas A, Thulin M, Pasquet R, Weeden N, Lavin M (2011) *Vigna* (Leguminosae *sensu lato*: The names and identities of the American segregate genera. Am J Bot 98:1-22
(5) Freytag GF, Dehouck DG (2002) Taxonomy, distribution, and ecology of the genus *Phaseolus* (Leguminosae – Papilionoideae) in North America, Mexico and Central America. Sida, Bot Miscellan 23:1-300
(6) Verdcourt B (1970) Studies in the Leguminosae-Papilionoideae for the “Flora of Tropical East Africa”: IV. Kew Bull 24:507-569
Acknowledgements
The author thanks Alfredo Wong León and Carlos Gómez Hinostrosa for photographs and Julio César Montero Rojas for his assistance with figures.
Domestications of *Phaseolus* beans and their importance for conservation and genetic improvement
by Paul GEPTS
**Abstract:** Domestication was initiated some 10,000 years ago. Its effects are pervasive and can be readily observed in the genetic structure of the wild and domesticated gene pools of crops in general and beans in particular. In turn, this genetic structure influences the way in which breeders utilize genetic diversity and germplasm specialists conserve this diversity. Interestingly, domestication is an ongoing process.
**Key words:** common bean, domestication, conservation, genetic improvement
Domestication is the process by which specific wild plants have been selected for adaptation to agricultural requirements and consumer preferences. Several thousands of years ago, hunter-gatherers in certain regions of the world started cultivating wild plants, possibly as a result of an imbalance between supply and demand for the wild plants they were gathering as a source of sustenance. As soon as these wild plants were sown and harvested, instead of merely gathered, they were subjected - in the cultivated environment - to quite different selection pressures than the ones they had encountered in the wild. This novel set of selection eventually led to strongly modified plants that were quite different from their wild ancestors and could not survive anymore without human intervention.
The traits that were strongly changed as a consequence of domestication selection pressures, as illustrated by *Phaseolus* beans, include seed dormancy (reduction), seed dispersal (reduction or elimination), growth habit (more compact, in bush as well as climbing types), photoperiod sensitivity (reduction or elimination), pod and seed size (increase), diversity of pod and seed shape and color (increase), concentration of toxic or anti-nutritional compounds (reduced), and susceptibility to pathogens or pests (increased) (4, 5, 20, 40). One of the consequences of this drastic change is that fully domesticated beans, similar to other crops, are incapable of autonomous survival without the assistance of humans.
**Phaseolus: an example of the phenomenon of domestication**
Among crops, *Phaseolus* beans provide a very interesting example of the phenomenon of domestication because of the multiple domestications to which they have been subjected. Indeed, among the approximately 75 to 100 *Phaseolus* species (10, 11), no less than five species have been domesticated. Two of these and perhaps a third one have been domesticated at least twice, leading to a total of seven and perhaps eight domestications (1, 14, 35), which can then be compared for a better understanding of the domestication phenomenon.
The five domesticated *Phaseolus* species are - in decreasing order of economic importance - *P. vulgaris* (common bean), *P. lunatus* (lima bean), *P. coccineus* (runner bean), *P. acutifolius* (tepary bean), and *P. dumosus* (year bean). Although the genus *Phaseolus* is a relatively young genus (4-5 million years; 10), the species giving rise to the five domesticates had acquired contrasting reproductive morphologies (from high levels of self-pollination to outcrossing via intermediate reproductive systems, including vegetative reproduction in runner bean), life histories (from short-lived annual plants to perennialism), climatic adaptation (including permutations of hot vs. cool and humid vs. dry environments), and interactions with microorganisms, such as Rhizobium or Bradyrhizobium, which engage in symbiotic nitrogen fixation with their bean host (13, 25).
University of California, Department of Plant Sciences, Davis, USA (email@example.com)
The multiple domestications observed today suggest that early farmers may have chosen to re-domesticate locally adapted species rather than - or in addition to - broadening the adaptation of the first *Phaseolus* species to have been cultivated. The five domesticated species - and other wild, as yet undomesticated, *Phaseolus* species may have conserved certain traits predisposing them to domestication. The broad geographic, ecological, and seasonal adaptation characterizing clade B in which these species are classified (10), may have facilitated their domestication and especially their subsequent spread. It was also suggested (12) that genetic linkage of several genes controlling domestication traits may have facilitated the maintenance of domestication traits in the face of re-occurring gene flow between the incipient domesticates and their wild progenitors. Such linkage has also been observed in crops as different as pearl millet, rice and tomato.
**The region and timing of domestication of *Phaseolus***
Application of molecular markers has been instrumental in shedding light on the number and - in some cases - the potential region of domestication. Common bean was domesticated at least twice (14, 19), in Mesoamerica (a region encompassing Mexico, Central America, Colombia and Venezuela) and in the southern Andes (southern Peru, Bolivia, and Argentina). A recent analysis suggests that Mesoamerican common bean may have been domesticated in a more narrowly defined area in the Mexican states of Jalisco and western Guanajuato (21). Lima bean was also domesticated twice, in Ecuador and northern Peru (on the western slope of the Andes) and Mesoamerica (in an area partially overlapping with the presumed common bean domestication area) as suggested by recent analyses (35, 36). The runner bean was domesticated presumably in Mexico; recent data suggest, however, a potential second domestication in an unidentified area (1). Areas of domestication for tepary bean are located in northwestern Mexico, including the states of Jalisco, Sinaloa, and Sonora (28, 34). Finally, year bean was potentially domesticated in Guatemala, where wild types of this species have been identified (11).
The actual timing of these domestications is uncertain because of the limited number of archaeobotanical sites and remains, mostly consisting of seeds. Using accelerator mass spectrometry, a direct and, therefore, more reliable $^{14}$C dating method (17), ages for seeds of $\sim$5000 years were obtained. More recent data based on micro-remains, in this case *Phaseolus* starch grains from tooth calculus of human remains from Nanchoc in Peru, reveal an age of $\sim$ 8000 years in a pre-maize, domesticated context (31). Glottochronological data (timing based on language divergence) suggest the existence of words for beans in a proto-Mayan language some 3500 years ago (7).
**Importance of genetic diversity for conservation and breeding**
Few genes for morphological or physiological differences between wild and domesticated beans have been isolated so far. One exception is the gene for determinacy (main and lateral stems ending in a terminal inflorescence), which is a homologue of the *Arabidopsis thaliana* TFL1 gene (23, 32). Candidate gene approaches as well population genetic methods can help identify other genes or genome regions involved in the domestication process (30).
*Phaseolus* beans provided one of the earliest examples that domestication has induced a more or less marked reduction in genetic diversity (14, 34). While this reduction is generally attributable to both genetic drift (across the genome) and selection (at or near genes for domestication), it is expected to be stronger in regions that are more conserved and for sequences with low mutation rates, accounting for the broad range of data. Results range from $\sim$10% for SSRs (a high mutation rate type of sequence) to some 3% for phaseolin electrophoretic data (14). These results have led to an increased emphasis on the conservation of landraces, not only in centers of origin, but also outside for example in Brazil (8, 9), Europe (2, 29, 33), and Africa (3). It also puts more emphasis on a more detailed characterization of adaptation of wild bean population to better understand the adaptation of domesticated beans and the extent to which the genetic and molecular basis of widening of the ecological amplitude of the domesticated gene pool.
The major split between Andean and Mesoamerican host gene pools in common bean is mirrored in a similar subdivision of strains among pathogens such as *Pseudorosvora grisea* (agent of Angular Leaf Spot; 16), *Colletotrichum lindemuthianum* (agent of Anthracnose; 18), and *Uromyces appendiculatus* (agent of Rust; 39). Geographic divergence between the Andes- and Mesoamerica in the last 100,000 (24) to 500,000 (15) years has led to co-adaptation of the two host gene pools and their respective pathogens, such that Andean isolates are more virulent on average on Andean hosts, and vice-versa. As a consequence, breeders have sought to identify resistance for Andean host lines in the Mesoamerican host gene pool and vice-versa. They have also sought to pyramid resistance genes from the two gene pools in the hope, as yet uncontradicted, of achieving a more stable host resistance.
In some cases, bean breeders have had to incorporate resistances from sources outside the primary gene pool of common bean. In addition to being crops in their own right, tepary and runner beans are sources of genetic diversity for disease and stress tolerance in common bean. For example, tepary bean has been a major source of resistance to *Xanthomonas campestris* (causal agent of Common Bacterial Blight; 39). This resistance has been incorporated into advanced breeding lines or commercial cultivars (26, 38). Tepary bean could also provide tolerance to heat or drought. In runner bean, tolerance to low soil fertility, Bean Golden Mosaic Virus, Common Bacterial Blight and root rots has been identified and is being transferred to common bean (6, 27, 37, 39).
Current bean farmers in centers of origin and mostly in developing countries are both guardians and active managers of bean genetic diversity. They rely actively on this genetic diversity for their subsistence and have an intimate knowledge of its characteristics, including adaptation (41). They can also utilize pollen and seed gene flow among wild beans, landraces, and improved varieties to maintain level of genetic diversity in farmer’s fields comparable to those in wild populations surrounding the fields, in contrast with the general reduction in genetic diversity observed between wild and domesticated beans (42).
References
(1) Angioi SA, Desiderio F, Rau D, Bitocchi E, Artene G, Papa R (2009) Development and use of chloroplast microsatellites in *Phaseolus* spp. and other legumes. Plant Biol 11:598-612
(2) Angioi SA, Rau D, Nanni I, Bellucci E, Papa R, Artene G (2011) The genetic make-up of the European landraces of the common bean. Plant Genet Resour 9:197-201
(3) Asfaw A, Blair M, Almekinders C (2009) Genetic diversity and population structure of common bean (*Phaseolus vulgaris* L.) landraces from the East African highlands. Theor Appl Genet 120:1-12
(4) Ballhorn DJ, Kautz S, Heil M, Hegeman AD (2009) Cyanogenesis of wild lima bean (*Phaseolus lunatus* L.) is an efficient direct defence in nature. PLoS ONE 4:e5450
(5) Ballhorn DJ, Kautz S, Lion U, Heil M (2008) Trade-offs between direct and indirect defences of lima bean (*Phaseolus lunatus*). J Ecol 96:971-980
(6) Beaver J, Osorno J (2009) Achievements and limitations of contemporary common bean breeding using conventional and molecular approaches, Euphytica 168:145-175
(7) Brown CH (2006) Prehistoric chronology of the common bean in the New World: The linguistic evidence. Am Anthropol 108:507-516
(8) Burle ML, Fonseca J, Kami JA, Gepts P (2010) Microsatellite diversity and genetic structure among common bean (*Phaseolus vulgaris* L.) landraces in Brazil, a secondary center of diversity. Theor Appl Genet 121:801-813
(9) Burle ML, Fonseca JR, José del Peloso M, Melo LC, Temple SR, Gepts P (2011) Integrating Phenotypic evaluations with a molecular diversity assessment of a Brazilian collection of common bean landraces. Crop Sci 51:2668-2680
(10) Delgado-Salinas A, Biblier R, Lavin M (2006) Phylogeny of the genus *Phaseolus* (Leguminosae): a recent diversification in an ancient landscape. Syst Botany 31:779-791
(11) Freytag GF, DeBouck DG (2002) Taxonomy, distribution, and ecology of the genus *Phaseolus* (Leguminosae — Papilionoideae) in North America, Mexico and Central America. Botanical Research Institute of Texas, Forth Worth
(12) Gepts P (2004) Domestication as a long-term selection experiment Plant Breed Rev 24:2:1-44
(13) Gepts P, DeBouck DG (1991) Origin, domestication, and evolution of the common bean, *Phaseolus vulgaris*. In: Voysset O, Van Schoonhoven A (eds) Common Beans: Research for Crop Improvement. CAB, Oxon, UK, pp. 7-53
(14) Gepts P, Osborn TC, Rashka K, Bliss FA (1986) Phaseolin-protein variability in wild forms and landraces of the common bean (*Phaseolus vulgaris*): evidence for multiple centers of domestication. Econ Bot 40:451-468
(15) Gepts P, Papa R, Coulibaly S, Gonzalez Mejia A, Pasquet RS (1999) Wild legume diversity: insights from molecular methods. Ministry of Agriculture, Forestry and Fisheries (MAFF) International Workshop on Genetic Resources, National Institute of Agrobiological Resources, Tsukuba, Ibaraki, Japan, 19–31
(16) Guzmán P, Gilbertson RL, Nodari R, Johnson WC, Temple SR, Mandalà D, Mkandawire ABC, Gepts P (1995) Characterization of variability in the fungus *Phascolariopsis griseola* suggests coevolution with the common bean (*Phaseolus vulgaris*). Phytopathol 85:600-607
(17) Kaplan I, Lynch T (1999) *Phaseolus* (Fabaceae) in archaeology: AMS radiocarbon dates and their significance for pre-Columbian agriculture. Econ Bot 53:261-272
(18) Kelly JD, Vallejo VA (2004) A comprehensive review of the major genes conditioning resistance to anthracnose in common bean. Hort Sci 39:1196-1207
(19) Koenig R, Gepts P (1989) Allozyme diversity in wild *Phaseolus vulgaris*: further evidence for two major centers of diversity. Theor Appl Genet 78:809-817
(20) Koinange EMK, Singh SP, Gepts P (1996) Genetic control of the domestication syndrome in common-bean. Crop Sci 36:1037-1045
(21) Kwak M, Gepts P (2009) Structure of genetic diversity in the two major gene pools of common bean (*Phaseolus vulgaris* L., Fabaceae), Theor Appl Genet 118:979-992
(22) Kwak M, Kami JA, Gepts P (2009) The putative Mesoamerican domestication center of *Phaseolus vulgaris* is located in the Lerma-Santiago basin of Mexico. *Crop Sci* 49:554-563
(23) Kwak M, Velasco DM, Gepts P (2008) Mapping homologous sequences for determinacy and photoperiod sensitivity in common bean (*Phaseolus vulgaris*). *J Hered* 99:283-291
(24) Mamidi S, Rossi M, Annam D, Moghadam S, Lee R, Papa R, McClean P (2011) Investigation of the domestication of common bean (*Phaseolus vulgaris*) using multilocus sequence data. *Functional Plant Biology* 38:953-967
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(27) Milikas PN, Kelly JD, Beebe SE, Blair MW (2006) Common bean breeding for resistance against biotic and abiotic stresses: from classical to MAS breeding. *Euphytica* 147:106-131
(28) Muñoz LC, Duque MC, Debouck DG, Blair MW (2006) Taxonomy of tepary bean and wild relatives as determined by amplified fragment length polymorphism (AFLP) markers. *Crop Sci* 46:1744-1754
(29) Negri V (2003) Landraces in central Italy: where and why they are conserved and perspectives for their on-farm conservation. *Genet Resour Crop Evol* 50:871-885
(30) Papa R, Bellucci E, Rossi M, Leonardi S, Rau D, Gepts P, Narni L, Attene G (2007) Tagging the signatures of domestication in common bean (*Phaseolus vulgaris*) by means of pooled DNA samples. *Ann Bor* 100:1039-1051
(31) Piperno DR, Dillehay TD (2008) Starch grains on human teeth reveal early broad crop diet in northern Peru. *Proc Natl Acad Sci* 105:19622-19627
(32) Repinski SL, Kwak M, Gepts P (2012) The common bean growth habit gene *PvTFL1y* is a functional homolog of Arabidopsis TFL1. *Theor Appl Genet* 124:1539-1547
(33) Santalla M, Rodino AP, de Ron AM (2002) Allozyme evidence supporting southwestern Europe as a secondary center of genetic diversity for the common bean. *Theor Appl Genet* 104:934-944.
(34) Schinkel C, Gepts P (1988) Phaseolin diversity in the tepary bean, *Phaseolus acutifolius* A. Gray. *Plant Breed* 101:292-301
(35) Serrano-Serrano ML, Andueza-Noh RH, Martínez-Castillo J, Debouck DG, Chacón S MI (2012) Evolution and domestication of lima bean in Mexico: evidence from ribosomal DNA. *Crop Sci* 52:1698-1712.
(36) Serrano-Serrano ML, Hernández-Torres J, Castillo-Villamizar G, Debouck DG, Chacón Sánchez MI (2010) Gene pools in wild Lima bean (*Phaseolus lunatus* L.) from the Americas: Evidences for an Andean origin and past migrations. *Mol Phylogenet Evol* 54:76-87
(37) Singh SP (2001) Broadening the genetic base of common bean cultivars; a review. *Crop Sci* 41:1659-1675
(38) Singh SP, Muñoz CG, Terán H (2001) Registration of common bacterial blight resistant dry bean germplasm VAX 1, VAX 3, and VAX 4. *Crop Sci* 41:275-276
(39) Singh SP, Schwartz HF (2010) Breeding common bean for resistance to diseases: a review. *Crop Sci* 50:2199-2223
(40) Vanderborght T (1979) Le dosage de l’acide cyanhydratique chez *Phaseolus lunatus* L. *Ann Gembloux* 85:29-41
(41) Worthington M, Soleri D, Aragón-Cuevas F, Gepts P (2012) Genetic composition and spatial distribution of farmer-managed bean plantings: an example from a village in Oaxaca, Mexico. *Crop Sci* 52:1721-1735
(42) Zizumbo-Villarreal D, Colunga-GarcíaMarín P, Payró de la Cruz E, Delgado-Valerio P, Gepts P (2005) Population structure and evolutionary dynamics of wild–weedy–domesticated complexes of common bean in a Mesoamerican region. *Crop Sci* 35:1073-1083
Common bean origin, evolution and spread from America
by Elisa BELLUCI¹, Laura NANNI¹, Eleonora BIAGETTI¹, Elena BITOCCHI¹, Alessandro GIARDINI¹, Domenico RAU², Monica RODRIGUEZ², Giovanna ATTENE² and Roberto PAPA¹,³*
Abstract: The common bean (*P. vulgaris* L.) has an evolutionary scenario that is almost unique, that makes it an important model among the crops. It is characterized by two independent domestication events that caused two clearly differentiated gene pools. This is seen by the co-existence of the wild and domesticated populations, and by the fertile and vital progeny that are obtained from crosses between these. Recent studies have also provided significant contributions towards the clarification of some of the issues regarding its origin and evolution, although some questions still remain unresolved and are a matter of intense debate.
Key words: origin, evolution, dispersal, gene pools, common bean
Origin and domestication of *Phaseolus vulgaris*
The genus *Phaseolus* that originated in Mesoamerica comprises five domesticated species: *P. vulgaris* (common bean), *P. dumosus*, *P. coccineus* (runner bean), *P. acutifolius* (tepary bean) and *P. lunatus* (lima bean). The common bean is the most economically important among these, as it is the main grain legume for direct human consumption, and it represents a rich source of protein, vitamins, minerals and fiber, especially in less-developed countries (6).
Eight principal crown clades were identified (9) from a study of the molecular phylogeny of *Phaseolus*, with the *P. vulgaris* group being the oldest, at ca. 4 Ma. The closest relatives to *P. vulgaris* are the Mesoamerican species *P. dumosus* and *P. coccineus*, which together form the so-called ‘vulgaris complex’. On the basis of sequence data of the α-amylase inhibitor gene, *P. vulgaris* diverged from *P. dumosus* and *P. coccineus* ca. 2 Ma ago (11).
*P. vulgaris* is a true autogamous diploid species, with 22 chromosomes and a haploid genome size that is estimated to be between 587 Mbp and 637 Mbp (4).
The wild common bean is widely distributed from northern Mexico to North-Western Argentina, and it is characterized by two major eco-geographical gene pools: the Mesoamerican and Andean. These two gene pools show parallel wild and domesticated geographical structures, as shown by several studies based on different datasets, which have included morphology and different types of molecular markers.
Until recently, the most credited hypothesis as to the origin of the common bean was a dispersion northwards (Colombia, Central America and Mexico) and southwards (southern Peru, Bolivia and Argentina) from the core area of the western slopes of the Andes in northern Peru and Ecuador, which resulted in the Mesoamerican and Andean gene pools, respectively (12). This hypothesis was supported by the identification of a new type of phaseolin (type I) in a wild *P. vulgaris* population discovered in northern Peru and Ecuador. This is a seed storage protein that is believed to be the ancestral form of the other phaseolin types.
However, recently, this hypothesis has been called into question by different studies (5, 16, 21). A Mesoamerican origin of the common bean was identified (5) through investigations into nucleotide diversity at five different gene fragments on a wide sample of wild *P. vulgaris* that is representative of its geographical distribution. This study highlighted the higher genetic diversity detected for the Mesoamerican gene pool, as compared to the Andean gene pool. This revealed a 90% loss of diversity for the Andean gene pool and confirmed the bottleneck in the Andes prior to domestication.
The second novel outcome of this analysis (5) was the clear population structure identified in Mesoamerica, which up to now had not usually been considered as a single gene pool. The Mesoamerican accessions were split into four distinct genetic groups: one was represented by accessions distributed across all of the geographical area, from the north of Mexico down to Colombia, and the other three groups were composed of only Mexican accessions. Investigations into the relationships among these different groups showed that, remarkably, there is no clear distinction between the Mesoamerican and Andean wild gene pools, while there are different relationships between the Mesoamerican groups and the north Peru–Ecuador and Andean gene pools. So this study shows clear evidence of the Mesoamerican origin of the common bean, which was most likely to have occurred in Mexico. This outcome is consistent with the known distribution of most of the close relatives of *P. vulgaris*. Thus, both of the gene pools from South America originated from the Mesoamerica populations of Central Mexico through different migration events, and the wild common bean from Northern Peru and Ecuador is presumed to be a relict population that only represents a fraction of the genetic diversity of the ancestral population.
The wild common bean underwent a complex process of domestication, which transforms a wild plant into a crop through structural and functional modifications (the ‘domestication syndrome’). This makes the domesticated plant genetically different from its progenitors, and confers upon it better adaptation to different agro-ecosystems. In *P. vulgaris*, the process of domestication involved several morphological and physiological changes, such as differences in growth habit (indeterminate *vs* determinate), seed dormancy (present *vs* not present), photoperiod sensitivity (short-day *vs* insensitivity), shape, color and size of the plant and its harvested parts, and dissemination mechanisms (shattering *vs* non-opening pods).
Where did this domestication occur for the common bean? Several studies documented two independent domestication events: one in Mesoamerica and one in the Andes. These gave origin to two major gene pools that show partial reproductive barriers and marked phenotypic differences, according to morphology, seed-storage proteins, and nuclear and chloroplast markers (1, 2, 19). Following domestication, the domesticated gene pools of the common bean appear to have been organized into four Mesoamerican (Durango, Jalisco, Mesoamerica, Guatemala) and three Andean (Nueva Granada, Peru, Chile) races. These differed in ecological adaptation, geographical range, morpho-agronomic traits, allozyme alleles, and RAPD markers (3, 24), although their origins are still controversial today.
A further matter of debate is whether multiple domestications occurred within each gene pool, and the role of gene flow and introgression. For the Mesoamerican gene pool, different studies have suggested both single and multiple domestication events. Recently, for the first time, this question was studied by analyzing nucleotide data (16), and these strongly supported a single domestication event in Mesoamerica. The question could not be answered in the Andean gene pool because of the low level of diversity, which reduces the resolving power of such molecular studies. However, within the Andean gene pool, both single and multiple domestications have been suggested (3, 8, 21, 22). Using multilocus sequence data to test multiple demographic models in domesticated *P. vulgaris* landraces, a single domestication event in each gene pool was recently evidenced (15).
The identification of the presumed geographical center of domestication and its dating are other important aspects of common bean domestication that remain still under debate. Further efforts are clearly needed to investigate these puzzling issues more thoroughly.
The process of domestication leaves its signatures on the patterns of the genetic diversity in the genome of crop plants, and this generally consists of a reduction in the genetic diversity in crops, relative to their wild progenitors. Two major impacts on diversity result from domestication. First, the domestication syndrome, such as changes in traits selected for human use, leads to selection signatures at specific loci. The major traits that distinguish a wild bean from a domesticated bean have been localized on a genetic map (13). For those genes indicated, the high genetic diversity and selection intensity has indicated that the domestication process in the common bean proceeded rapidly, and through changes that involved only a few genes, but had large effects.
The genes for domestication are located in regions of high divergence between wild and domesticated *P. vulgaris* (18). Also, the regions linked to the domestication loci, where the highest diversity of the wild relatives is located, have probably been less exploited historically by farmers and breeders. This knowledge of the domestication loci is useful both for the identification of markers that are tightly linked to undesirable genes (e.g. shattering), and for the possibility of identifying the surrounding chromosomal regions that appear to contain the highest, and historically less exploited, diversity of the wild germplasm. Using a genome scan approach for the signature of domestication, it was estimated that a large fraction of the genome of the common bean (about 16%) was under the effects of selection during domestication. Interestingly, most of the amplified fragment length polymorphism markers that were putatively under the effects of selection due to the domestication loci were localized close to genes and quantitative trait loci that are linked to the domestication process (20).
The second major consequence of domestication is the reduction in the genetic diversity in crops relative to their wild progenitors, due to human selection and genetic drift through bottleneck effects. Contrary to selection, which only affects genetic diversity at target genes, bottleneck processes reduce neutral genetic diversity across the entire genome.
In analyzing the Mesoamerican and Andean wild and domesticated populations using amplified fragment length polymorphism markers, it was observed a strong reduction in the genetic diversity due to domestication (as wild *vs* domesticated samples) only in the Mesoamerica population (21). Very different patterns of molecular diversity can be highlighted by markers that differ substantially in their mutation rates, and indeed, simple sequence repeat (SSR) markers (14) showed a moderate reduction in the genetic diversity in Mesoamerica (*ca.* 10%). Data from wild and domesticated common beans (16) arose from an analysis of a genomic sequence similar to SHATTERPROOF 1 (*PhSHPT*), the gene involved in the control of fruit shattering in *Arabidopsis thaliana*. This offered the first estimates of the effects of domestication on the nucleotide variation in *P. vulgaris*. The loss of diversity in the domesticated accessions in the Andes was 54%, while in Mesoamerica this loss of diversity was 69%.
However, introgressive hybridization between domesticated forms and their wild relatives has often expanded genetic diversity, thus counteracting the effects of the initial domestication bottleneck. Through genetic analysis of Mexican *P. vulgaris* populations (17, 18) with different levels of sympatry, the wild and domesticated forms are not genetically isolated, as they show moderate and asymmetric gene flow (>3-fold higher from domesticated to wild, than *vice versa*). In the presence of gene flow, the marked phenotypic differences between the two forms growing in the same distribution area are explained by the selection that acts against the domesticated alleles in a wild context, and against the wild alleles in an agroecosystem.
The evolutionary history of the common bean was characterized by two independent domestication events that resulted in two clearly differentiated gene pools, with the coexistence of the wild and domesticated populations, and the production of fertile and vital progeny from crosses between its wild and domesticated forms. This has made *P. vulgaris* an important model among crops for the study of the genes and quantitative trait loci that were involved in the domestication process.
**Evolution of Phaseolus vulgaris out of the Americas**
The expansion and the pathways of distribution of the common bean out of the American domestication centers were very complex, and they involved several introductions from the Americas that were combined with exchanges between continents, and within continents among several countries. Outside of America, the common bean populations were more ‘free’ to pass through new evolutionary pathways that were not possible in the American center of origin, due to the spatial isolation between these two gene pools. Thus, several continents and countries have been proposed as secondary centers of diversification for *P. vulgaris*, including Europe (2, 23), Brazil (7), and central-eastern and southern Africa (10) and China (25).
Although the amount of available data is larger for Europe than for other secondary centers of diversification, it is clear that the proportions of the Mesoamerican and Andean gene pools can vary considerably across different continents, as also among countries within continents.
Within the Americas, the genetic diversity and the structure of a sample of 279 common bean landraces from Brazil using nuclear SSR markers and phaseolin, PvTF1L1y, APA and SCAR markers was assessed (7). Surprisingly, despite the proximity to the Andes, they found that the Mesoamerican gene pools were 4-fold more frequent than the Andean gene pools. Similarities in climate and soil between the two areas might explain the success and diffusion of the Mesoamerican bean germplasm into Brazil. Moreover, multiple introductions of Mesoamerican germplasm in pre- and post-conquest times (10) might have had a considerable impact on the establishment of this pattern.
As highlighted by pioneering studies on the patterns of diversity of the phaseolins, both the Mesoamerican and Andean gene pools are present in Europe, with higher frequency seen for the Andean types. Recently, a study with chloroplast microsatellites (cpSSRs), nuclear markers (phaseolin and three indel-spanning markers of PvSHP1), and morphological seed traits on a wide European collection (2) permitted to trace the distribution of the domesticated Mesoamerican and Andean gene pools in Europe. This study confirmed that the largest fraction of the European germplasm was of Andean origin (67%). However, in the eastern part of Europe the proportion of the Mesoamerican type tends to increase, with a maximum of 46% in Greece. Overall, this suggests that there was high gene flow among the different regions of Europe, and/or homogeneous selection.
In Africa, the Mesoamerican and Andean gene pools are approximately equal in frequency, even if there are striking differences between different countries due to different farmer selection preferences and the input of germplasm from national programs.
Even if China is a large producer of dry beans, and is the most important producer of the *P. vulgaris* snap beans in the World, an analysis of a 229-landrace collection revealed higher prevalence of the Mesoamerican type (25). At present, it is believed that there were only a limited number of introductions of the common bean into China, which were biased towards the Mesoamerican type.
Under the bottleneck model, it is expected that dissemination from the center of origin will lead to a reduction in genetic diversity, and theoretically, this reduction in genetic diversity should be proportional to the distance from the center of origin. The data obtained using nuclear SSR markers (14) demonstrated that contrary to expectations, and overall for the two gene pools, the reduction in genetic diversity has been strong for Brazil, intermediate for China, and low or nearly absent for Africa. This is probably due to the dissemination history of *Phaseolus* over the last few centuries, which has followed the routes of intense commercial activities and exchanges between different countries and continents.
For Europe, a direct comparison (2) of the levels of diversity between an American and a European collection using cpSSR markers was performed. They concluded that the intensity of the cytoplasmic bottleneck that resulted from the introduction of the common bean into Europe was very low (a loss of cpSSR diversity of *ca.* 2%). At the nuclear level, a much higher loss of diversity consequent to the introduction of the common bean into Europe (*ca.* 30%) was evidenced (19), and supported (2) by the hypothesis of a bottleneck at the nuclear level that was of greater intensity than for cpSSRs by studying the PvSHP1 nuclear markers.
Finally, to obtain more precise estimates of the bottleneck intensity at the nuclear level and to provide a clearer picture of the dissemination pathways of *P. vulgaris* all around the World, researcher efforts today are focused on sequence analyses and high-throughput sequencing technologies.
References
(1) Acosta-Gallegos JA, Kelly JD, Gepts P (2007) Pre-breeding in common bean and use of genetic diversity from wild germplasm. Crop Sci 47:44-59
(2) Angioi SA, Rau D, Attene G, Nanni I, Bellucci E, Logozzo G, Negri V, Spagnolletti Zeuli PL, Papa R (2010) Beans in Europe: origin and structure of the European landraces of *Phaseolus vulgaris* L. Theor Appl Genet 121:829-843
(3) Beebe S, Renfro J, Gaitan E, Duque MC, Tohme J (2001) Diversity and origin of Andean landraces of common bean. Crop Sci 41:854-862
(4) Bennett MD, Leitch IJ (2010) Angiosperm DNA C-values database (release 7.0, Dec. 2010) http://www.kew.org/cvalues/
(5) Bitocchi E, Nanni I, Bellucci E, Rossi M, Giardini A, Spagnolletti Zeuli E, Logozzo G, Stougaard J, McClean P, Attene G, Papa R (2012) Mesoamerican origin of the common bean (*Phaseolus vulgaris* L.) is revealed by sequence data. Proc Nat Acad Sci 109:E788-E796
(6) Broughton WJ, Hernandez G, Blair M, Beebe S, Gepts P, Vanderleyden J (2003) Beans (*Phaseolus* spp.) - model food legumes. Plant Soil 252:55-128
(7) Burle ML, Fonseca JR, Kami JA, Gepts P (2010) Microsatellite diversity and genetic structure among common bean (*Phaseolus vulgaris* L.) landraces in Brazil, a secondary center of diversity. Theor Appl Genet 121:801-813
(8) Chacón SMI, Pickersgill B, Debouck DG (2005) Domestication patterns in common bean (*Phaseolus vulgaris* L.) and the origin of the Mesoamerican and Andean cultivated races. Theor Appl Genet 110:432-444
(9) Delgado-Salinas A, Bibler R, Levin M (2006) Phylogeny of the genus *Phaseolus* (Leguminosae): a recent diversification in an ancient landscape. Systems Bot 31:779-791
(10) Gepts P and Bliss FA (1988) Dissemination Pathways of common bean (*Phaseolus vulgaris*, Fabaceae) deduced from phaseolin electrophoretic variability. II Europe and Africa. Econ Bot 42:86-104
(11) Gepts P, Papa R, Coulibaly S, González Mejía A, Pasquet R (1999) Wild legume diversity and domestication - insights from molecular methods. Proceedings, 7th MAFF International Workshop on Genetic Resources, Tsukuba, Japan, 19-31
(12) Kami J, Becerra-Velásquez V, Debouck DG, Gepts P (1995) Identification of presumed ancestral DNA sequences of phaseolin in *Phaseolus vulgaris*. Proc Natl Acad Sci 92:1101-1104
(13) Koinange EMK, Singh SP, Gepts P (1996) Genetic control of the domestication syndrome in common bean. Crop Sci 36:1037-1045
(14) Kwak M and Gepts P (2009) Structure of genetic diversity in the two major gene pools of common bean (*Phaseolus vulgaris* L., Fabaceae). Theor Appl Genet 118:979-992
(15) Mamidi S, Rossi M, Annam D, Moghaddam S, Lee R, Papa R, McClean P (2011) Investigation of the domestication of common bean (*Phaseolus vulgaris*) using multilocus sequence data. Funct Plant Biol 38:953-967
(16) Nanni I, Bitocchi E, Bellucci E, Rossi M, Rau D, Attene G, Gepts P, Papa R (2011) Nucleotide diversity of a genomic sequence similar to SHATTERPROOF (PsySHPT) in domesticated and wild common bean (*Phaseolus vulgaris* L.). Theor Appl Genet 123:1341-1357
(17) Papa R, Gepts P (2003) Asymmetry of gene flow and differential geographical structure of molecular diversity in wild and domesticated common bean (*Phaseolus vulgaris* L.) from Mesoamerica. Theor Appl Genet 106:239-250
(18) Papa R, Acosta J, Delgado-Salinas A, Gepts P (2005) A genome-wide analysis of differentiation between wild and domesticated *Phaseolus vulgaris* from Mesoamerica. Theor Appl Genet 111:1147-1158
(19) Papa R, Nanni I., Sicard D, Rau D, Attene G (2006) The evolution of genetic diversity in *Phaseolus vulgaris* L. In: Motley TJ, Zerega N, Cross H (eds) New Approaches to the Origins, Evolution and Conservation of Crops. Darwin’s Harvest. Columbia University Press, New York
(20) Papa R, Bellucci E, Rossi M, Leonardi S, Rau D, Gepts P, Nanni I., Attene G (2007) Tagging the signatures of domestication in common bean (*Phaseolus vulgaris*) using a series of pooled DNA samples. Ann Bot 100:1039-1051
(21) Rossi M, Bitocchi E, Bellucci E, Nanni I., Rau D, Attene G, Papa R (2009) Linkage disequilibrium and population structure in wild and domesticated populations of *Phaseolus vulgaris* L. Evol Appl 2:504-522
(22) Santalla M, Menéndez-Sevillano MC, Monteagudo AB, De Ron AM (2004) Genetic diversity of Argentinean common bean and its evolution during domestication. Euphytica 135:75-87
(23) Santalla M, Rodiño AP, De Ron AM (2002) Allozyme evidence supporting southwest Europe as a secondary center of genetic diversity for common bean. Theor Appl Genet 104:934–944
(24) Singh SP, Gepts P, Debouck DG (1991) Races of common bean (*Phaseolus vulgaris* L., Fabaceae), Econ Bot 45:379-396
(25) Zhang X, Blair MW, Wang S (2008) Genetic diversity of Chinese common bean (*Phaseolus vulgaris* L.) landraces assessed with simple sequence repeats markers. Theor Appl Genet 117:629-664
Words denoting common bean in European languages
by Aleksandar MIKIĆ
Abstract: The well-known word *bean* may denote both common beans (*Phaseolus* spp.) and faba bean (*Vicia faba* L.) in most European languages. The ultimate origin of this word is the Proto-Indo-European root *bhābhā-, initially denoting faba bean, as one of the most ancient crops of the Old World and literally meaning *something swollen*.
Key words: etymology; faba bean; *Phaseolus* beans; Proto-Indo-European language
Today, *Phaseolus* beans, especially common bean (*P. vulgaris* L.) play a rather prominent role in the human diets across the Europe. In many European regions, most notably southeastern Europe, it gradually replaced other pulse crops, especially faba bean (*Vicia faba* L.). Along with this process, another one, of purely linguistic character, went in parallel. Its result is that in a large number of the modern European languages the words initially denoting faba bean shifted to denote common bean, leaving the latter with various additional adjectives to make it distinct from the former, such as in Baltic, Germanic and Uralic languages. (Table 1). On the other hand, the words denoting common bean in, for instance, Romance and Slavic languages are mostly derived from the Latin *phasolus*, in its turn originating from the Old Greek ϕασολός, denoting a kind of bean. The word denoting faba bean in all Indo-European languages are descendant of the Proto-Indo-European *bhābhā-, meaning literally *something swollen* and being obviously descriptive (1).
Acknowledgements
Project TR-31024 of the Ministry of Education, Science and Technological Development of the Republic of Serbia.
References
Mikić A (2012) Origin of the words denoting some of the most ancient Old World pulse crops and their diversity in modern European languages. PLoS ONE 7:e44512
Institute of Field and Vegetable Crops, Novi Sad Serbia (firstname.lastname@example.org)
Table 1. A comparative overview of the words denoting common bean (*Phaseolus vulgaris* L.) and faba bean (*Vicia faba* L.) in some modern European languages
| Family | Branch | Language | *Phaseolus vulgaris* | *Vicia faba* |
|-----------------|----------|--------------|----------------------|--------------|
| Afro-Asiatic | Semitic | Maltese | fazzola; fula | fula |
| Altaic | Turkic | Turkish | fasulye | bakla |
| | Basque | Basque | babarrun | baba |
| Dêne-Caucasian | Abkhaz | abezyd | abezyd |
| | Chechen | kho | kho |
| | Albanian | Albanian | fasule | bathë |
| | Armenian | Armenian | lobi sovorakan | lobi |
| | Latvian | parastas pupinas | lauka pupas |
| | Lithuanian| daržinė pupelė | pupa |
| | Breton | tavern; hariko | tavern |
| Celtic | Irish | pónaire | pónaire |
| | Scottish Gaelic | pónair | pónair |
| | Welsh | ffa | ffa |
| | Danish | buskbanne | hestebanne |
| | Dutch | boon | tuinboon |
| Germanic | English | common bean | faba bean |
| | German | Fisole; Bohne | Ackerbohne |
| | Icelandic| matbaun | bándabauðir |
| | Norwegian| hagebønne | baunevikke |
| | Swedish | böna | äkerbona |
| Hellenic | Greek | φασόλι | koukiá |
| Indo-Iranian | Ossetian | qædurhos | qædurhos |
| | Catalan | fesol | fava |
| | French | haricot | féverolle |
| | Galician | feixón | fava |
| | Italian | fagiolo | fava |
| | Occitan | fasòls | fava |
| | Portuguese| feijão | fava |
| | Romanian | fasole | bob |
| | Spanish | frijol | haba |
| | Belarusian| pasulya | bob |
| | Bulgarian| fasul; bakla | bob |
| | Croatian | grah | bob |
| | Czech | fazole | bob |
| | Polish | fasola | bob |
| | Russian | fasol' | bob |
| | Serbian | pasuli; grah | bob |
| | Slovak | fazul'a | bob |
| | Slovenian| fízol | bob |
| | Ukrainian| kvasyolya | bib |
| | Upper Sorbian | niski bob; buna | bob |
| Kartvelian | Georgian | Georgian | lobio | lobio |
| Uralic | Finno-Permic | Estonian | uba | põlduba |
| | Finish | papu | härkäpapu |
| | Hungarian| veteménybab | bab |
Why we must preserve *Phaseolus* genetic diversity or the value of plant genetic resources in the legume world
by Molly WELSH
**Abstract:** Presently, the global *Phaseolus* germplasm is preserved in major collections, such as the one within the National Plant Germplasm Service of USDA, ARS, in Pullman, United States and eleven centers of CGIAR (Consultative Group on International Agricultural Research), as well as in many smaller national sites throughout the world. Although preserving genetic diversity of *Phaseolus* is expensive, methods to fund the process must continually be explored, with legume scientists, breeders, and consumers at the forefront of the drive to preserve these important resources.
**Key words:** Phaseolus beans; germplasm, genetic diversity, preservation
Step back in time; remember reading about the Irish Potato Famine in the mid 19th century, and in the 20th century the Southern Corn Blight emergency in the United States or the problem with Citrus Canker in the orange groves of Brazil? The factor these divergent crops, all with serious disasters, had in common was lack of genetic diversity. These are but tiny examples showing the importance of genetic diversity for crop plants.
Legumes are one of the most important plant families, providing food, forage, and industrial crops to the world. As food for human consumption they are particularly important, providing up to 65% of protein in daily human diets. But many factors hinder improvement in legume crops: insect and disease predation, unfavorable environmental stresses and anti-nutritional factors. An emphasis on germplasm collection and evaluation as a source for solutions to these problems continues to be important (1).
But, easily we may combine these seemingly separate ideas into a discussion of the value for preservation of genetic diversity (germplasm). Inherently, its distinct monetary value is difficult to quantify as one of the prim directives to the preservation of the germplasm is that it remain identical to that which was originally collected and documented. Wild, weedy, and landrace accessions can’t compete economically with highly developed cultivars, but have a chance of containing valuable traits not currently present in the developed lines. Threats to crops change and/or adapt at a relatively speedy rate, whether it is the developing climate change or insect and disease adaptations to the crop’s resistance. It is important that there is a wide variety of places where breeders and researchers may search for answers to these threats.
Presently the *Phaseolus* germplasm is preserved throughout the world (Fig. 1). The NPGS (National Plant Germplasm Service, United States) and the 11 CGIAR centers (Consultative Group on International Agricultural Research) hold the largest collections, but there are many smaller national sites throughout the world (3). Preservation of genetic diversity is expensive and methods to fund the process must continually be explored (2). We, legume scientists, breeders, and consumers, should be at the forefront of the drive to preserve these important resources (Fig. 2). ■
USDA, ARS, Western Regional Plant Introduction Station, *Phaseolus* Germplasm Collection, Washington State University, Pullman, USA (email@example.com)
References
(1) Graham PH, Carroll PV (2003) Legumes: Importance and Constraints to Greater Use. Plant Physiol 131:872-877
(2) Koo B, Pardey PG, Wright BD (2003) The economic costs of conserving genetic resources at the CGIAR centers. Agric Econ 29:287-297
(3) Welsh MM (2012) Where do YOU find a genome? Phaeomics - the Genome Special Edition, Guanajuato, Mexico, 21-23 June 2012 (presentation)
Figure 1. Diversity of *Phaseolus*
Figure 2. Molly Welsh collecting *Phaseolus* seeds
Common bean gene mapping for molecular improvement
by Rosana PEREIRA VIANELLO* and Claudio BRONDANI
Abstract: As molecular genetics technology advances *Phaseolus vulgaris* has been benefited towards the knowledge and understanding of the entire genome. This progress has led to the development of a large and useful set of anonymous and gene-targeted molecular markers scattered throughout the entire genome, which has been mapped and resulting in a high-resolution linkage map, unavailable until recently for common bean. Several QTL mapping studies have provided baseline knowledge of genomic regions affecting traits of interest and suggested targets for candidate genes to be tested in association mapping. In this context, high-throughput genotyping based on new sequencing technologies will assist researchers to increase the effectiveness of the common bean breeding programs.
Key words: molecular marker, linkage map, QTL, MAS
Elucidating the hereditary basis of genetic variability for diverse and complex organisms is one of the major scientific challenges, even nowadays with the advent of high-throughput genomics technologies. For molecular breeding, genetic maps are particularly important because a gene related to an economically important trait can be located on the map, which leads to finding the precise chromosomal location, following the inheritance of a DNA marker in the phenotyped segregating individuals. For common bean, which has a genome size estimated at 450 to 550 million base pairs (Mbp) per haploid genome distributed on 11 chromosomes, the genetic maps became accessible since the 1990s. Thence, many molecular marker linkage studies have been performed mainly due to the advances in DNA techniques which have contributed to reducing costs and increasing accessibility to molecular approaches. Furthermore, these have made possible and affordable to construct genetic maps, allowing significant insights into the structure and organization of the *P. vulgaris* genome. In addition, to contribute to the identification and location of genes or loci governing a wide variety of traits including diseases resistance, components of yield, grain quality and the domestication process.
Over the past 20 years, significant advances have been made to understand the common bean genome, beginning with multiple efforts to develop genetic maps by integrating different classes of molecular markers, especially RFLPs and RAPDs. Remarkable scientific contributions were the development of permanent segregating populations (BAT93 x JaloEEP558 and DOR365 x G19833), of which accumulating data of segregating characters, allowed the alignment and growing information between the past and present maps (5). An important feature for genetic mapping as well as for comparative genetic studies has been the development of co-dominant microsatellite markers for *P. vulgaris*, initially allocated into a linkage map (15). From the year 2000, with the continuous scientific progress, a large set of microsatellite markers started to be integrated into common bean linkage maps, leading to a linkage map based exclusively on these markers (7). Subsequently expanded versions of core linkage maps have been released (8). The first report of SNP (Single Nucleotide Polymorphism) mapping in *P. vulgaris* (3) included a total of 118 new marker loci into an integrated molecular map for common bean.
In recent years, with increasing efforts to develop ESTs (Expressed Sequence Tags) resources for common bean, a new class of locus-specific DNA markers called ‘functional molecular markers’ have been developed. These approaches include the mining for repetitive sequences and for SNP markers. Increasing set of SNPs have been reported for common beans (9, 14), using genotypes of Andean and Mesoamerican common bean gene pools. Currently, SNP-based genetic markers have attracted great attention when creating dense genetic linkage maps, since they are abundant and can also provide gene-base and syntentic-marker relationships. These advances have been well documented for common bean, and recent reports have described increasing number of mapped markers allowing the establishment of a genome synteny study among important
legumes (11). Recently, a high-density integrated genetic map was constructed, of which more than 1,000 markers were placed across the 11 linkage groups of common bean providing a framework for analysis of the entire genome, which has a high potential to be used for synteny and QTL analysis (4, 5).
It is expected that in common bean, progress in QTL mining and mapping will provide understanding of the genetic traits of interest and to unravel candidate genomic regions that can be deployed in crop improvement through molecular breeding. Most of the target traits are related to domestication and to agronomically relevant traits. In this regard, breeding programs can be carefully focused on useful genomic regions to search for candidate genes to be tested in association mapping and in the selection process to identify lines with desirable phenotypes. Undoubtedly, in order to contribute to an increase in the efficiency of the common bean genetic breeding programs. A number of reports highlighting locations of QTLs distributed throughout the genome in different environments, and associating traits linked to yield components, plant and root architecture (1,3), nutrient content and cooking time in the seeds, are cited (1, 6). Regarding biotic stress, remarkable and continuous efforts have been made for the search, identification and use of molecular markers that co-segregate with genes that conferring resistance to pests and diseases (12). Subsequently, markers linked to the major QTL regions for resistance were characterized and used for indirect selection (2) or converted into sequence-characterized amplified regions (SCAR) that, in a practical way, proved to be useful to develop common bean lines or cultivars with different genes pyramided to increase the diseases resistance (10).
However, despite all experimental QTL research that have been made over the years, only a few QTLs related to the same trait were mapped in common locations in the linkage maps. This is partly due to the reduced size of segregant populations, distinct genitors used, background genetic interaction, G x E interaction and the limitations due to the partial alignment of linkage groups among different studies. In view of the progress in genomic technologies approach, the high-resolution map densely composed by molecular markers, enabling with the identification of haplotypes for genome-wide selection, constitutes a promising strategy to locate QTLs that control significant and useful proportion of the phenotypic variation for a number of economically important traits. Thereafter for common bean, an autogamous plant, the implementation of marker-assisted selection will have its most effective use for the improvement of quantitative traits.
References
(1) Blair MW, Medina H, Astudillo C, Rengifo J, Beebe SE, Machado G, Graham R (2010) QTL for seed iron and zinc concentration and content in a Mesoamerican common bean (*Phaseolus vulgaris* L.) population. Theor Appl Genet 121:1059-1070
(2) Endler M, Terpstra K, Kelly JD (2008) Marker-assisted selection for white mold resistance in common bean. Mol Breed 21:149-157
(3) Galcano CH, Fernández AC, Gómez M, Blair MW (2009) Single strand conformation Polymorphism based SNP and Indel markers for genetic mapping and synteny analysis of common bean (*Phaseolus vulgaris* L.). BMC Genomics 10:29-643
(4) Galcano GH, Fernandez AC, Franco-Herrera, N, Gichy KA, McClean PE, Vanderleyden J, Blair MW (2011) Saturation of an intra-gene pool linkage map: Towards a unified consensus linkage map for fine mapping and synteny analysis in common bean. PLoS ONE 6:1-10
(5) Galcano GH, Cortés AJ, Fernandez AC, Soler A, Franco-Herrera N, Makunde G, Vanderleyden J, Blair MW (2012) Gene-Based Single Nucleotide polymorphism markers for genetic and association mapping in common bean. BMC Genet 13:48
(6) Garcia RAV, Rangel PN, Bassinello PZ, Brondani C, Melo LC, Sibov ST, Brondani RPV (2012) QTL mapping for the cooking time of common beans. Euphytica 186:779-792
(7) Grisi MCM, Blair MW, Gepts P, Brondani C, Pereira PAA, Brondani RPV (2007) Genetic mapping of a new set of microsatellite markers in a reference common bean (*Phaseolus vulgaris*) population BAT93 X Jalo EEP558. Genet Mol Res 6:691-706
(8) Hatal LR, Sanin I, Camargo LEA, Fungaro MHP, Gepts P, Tsai SM, Vieira MLC. (2010) Extension of the core map of common bean with EST-SSR, RGA, AFLP and putative functional markers. Mol Breed 25:25-45
(9) Hyten DL, Song Q, Fickus EW, Quigley CV, Lim J-S, Choi I-K, Hwang E-Y, Pastor-Corrales M, Cregan PB (2010) High-throughput SNP discovery and assay development in common bean. BMC Genomics 11:475
(10) Kelly JD, Gepts P, Miklas PN, Coyne DP (2003) Tagging and mapping of genes and QTL and molecular marker-assisted selection for traits of economic importance in bean and cowpea. Field Crop Res 82:135-154
(11) McConnell M, Mamidi S, Lee R, Chikara S, Rossi M, Papa R, McClean P (2010) Syntentic relationships among legumes revealed using a gene-based genetic linkage map of common bean (*Phaseolus vulgaris* L.). Theor Appl Genet 121:1103-1116
(12) Miklas PN, Singh SP (2007) Common Bean. In: Kole C. (ed) Genome Mapping and Molecular Breeding in Plants. Vol 3: Pulses, Sugar and Tuber Crops. Springer Science+Business Media, Dordrecht, the Netherlands, pp. 1-31
(13) Pérez-Vega E, Pañeda A, Rodríguez-Suárez C, Campa A, Giráldez R, Ferreira JJ (2010) Mapping of QTLs for morpho-agronomic and seed quality traits in a RH population of common bean (*Phaseolus vulgaris* L.). Theor Appl Genet 120:1367-1380
(14) Souza TLPO, Barros EG, Bellato CM, Hwang E-Y, Cregan PC, Pastor-Corrales MA (2012) Single nucleotide polymorphism discovery in common bean. Mol Breed 30:419-428
(15) Yu K, Park SJ, Poysa V, Gepts P (2000) Integration of simple sequence repeat (SSR) markers into a molecular linkage map of common bean (*Phaseolus vulgaris* L.). J Hered 91:429-434
Progress toward a draft sequence of the common bean genome
by Phillip McCLEAN\textsuperscript{1*}, Scott JACKSON\textsuperscript{2}, Jeremy SCHMUTZ\textsuperscript{3}, Daniel ROKSHAR\textsuperscript{4} and Perry CREGAN\textsuperscript{5}
Abstract: Common bean, the most consumed food legume in the world, is a societal crop important as an economic commodity and a principal protein source. For continued improvement, it is essential to develop modern breeding tools that scale in high- and low-throughput research environments. The development of these tools is best realized in the context of a whole genome sequence of common bean. The sequencing of G19833, an Andean genotype, was funded by the US Department of Agriculture and Department of Energy, Joint Genome Institute. The final draft assembly covers 88% of the 590 Mb genome and consists of $\sim$26,000 full genes. Associated with the development of the genome sequence is a high density genetic map consisting of $\sim$7,000 SNP loci. Low-coverage sequence data was mined, and $\sim$2,800 indel markers with utility to distinguish variation with major US market classes were discovered. These indel markers can routinely be used in low-throughput, low-cost screening programs that aid the development of improved cultivars better adapted to local production systems.
Key words: common bean, genome, Phaseolus vulgaris, phaseomics, sequencing
Common bean (\textit{Phaseolus vulgaris} L.; $2n = 2x = 22$) is an important global crop that is an important dietary component for developed and developing countries. FAOSTAT (http://faostat.fao.org/) provides an important glimpse into the production and utility of common bean. From a single country perspective, Brazil leads the world in dry bean production with 3.3 million MT in 2010. Yet from a continental perspective, Africa leads the world with 4.0 million MT. From a food security perspective, half of the world production is in countries termed by FAO as “low income, food deficit countries”. Since common bean is an important source of calories and protein in a number of these countries, world-wide efforts are underway to improve the nutritional value of common bean. To support these efforts, a common bean genome sequencing project was initiated with the goal of developing a draft assembly that could be initially mined for data to develop tools for modern crop improvement efforts. These tools can further be used to discover the genetic factors underlying the traits that define common bean as an important nutritional crop.
The United States common bean sequencing project
The United States common bean sequence project began with a white paper shared with multiple funding agencies (http://www.css.msu.edu/bic/pdf/Bean_Genomics_Status_2008.pdf). In early 2009, the United States Department of Agriculture (USDA) requested projects for sequencing of the genome, and funding was obtained for the project in September of that year. The investigators on the project were Scott Jackson (PI, Univ. of Georgia), Phillip McClean (North Dakota State Univ.), Jeremy Schmutz (HudsonAlpha Institute for Biotechnology), Daniel Rokhsar [Department of Energy, Joint Genome Institute, (DOE/JGI)], and Perry Cregan (USDA/ARS). In addition, funds were secured from the DOE/JGI.
The funded project followed many of the activities outlined in the original white paper. These included collecting the bulk of the sequencing data using $\sim$400bp reads using the Roche 454 technology. Additional Sanger sequencing was included 1) to collect additional BAC-end sequence data, beyond what was already available for the target genotype, and 2) to generate fosmid ($\sim$35kb) sequence data. A new molecular map based on an F2 population ($n = 247$) was developed from the cross of Stampede (pinto) and Redhawk (red kidney). This consisted of nearly $\sim$7,000 SNP loci. The SNP collection was primarily funded by this project with additional financial support from the USDA Common Bean Coordinated Agricultural Project (BeanCAP). Finally, RNA-seq data was collected from a collection of root, stem, leaf, flower, and pod tissues at different stages of development.
The common bean genotype G19833 of Andean origin was sequenced for this project. This genotype was selected because of the availability of genomic sequence data at the onset of the project (5). The total genome coverage of the Roche 454 sequence data is 21.02X. The main assembly, obtained using Arachne (2), was interrogated and reoriented using the SNP genetic map and common bean/soybean synteny data (4) to obtain a scaffold-based assembled genome consisting of 520 Mb. Based on a genome size of ~590 Mb, derived from a genome estimate of $N=0.60$ pg (http://data.kew.org/cvalues/) and a conversion factor of 1 pg = 978 Mb (3), approximately 88% of the genome is found in the assembly. To assess the degree to which the expression portion of the genome is represented in the final assembly, publicly available EST data was aligned to the assembly. 94% of those sequences aligned. A total of ~26,000 genes containing appropriate stop and start codons were discovered during the gene modeling and annotation steps. These were based on a total of ~31,500 primary and alternative transcripts. Of these ~21,000 have Pfam (1) annotations.
**Applications of a modern common bean genome sequence to crop improvement**
Modern crop improvement is relying more and more on the tools that are derived from sequencing projects. Principal among these are the abundant set of new markers. The BeanCAP project has evaluated the diversity of over 10,000 SNPs among greater than 500 genotypes of all major market classes in the US. These SNPs were identified using next generation sequencing of a set of 20 genotypes. A subset of ~6,000 SNPs has now been selected that is representative of the diversity among pinto, great northern, small white, black, kidney, and snap beans. These are currently being used by breeders and geneticists on the project to study diversity within their respective programs and to fine-map many traits of agronomic interest. The full set of 10,000 SNPs is also being used to decipher the genetic factors associated with many agronomic and nutritional traits. This is being accomplished using data collect from a four location, national trial of 300 modern breeding genotypes. All of the genotypes are from the Mesoamerican gene pool. Modern association mapping techniques will be applied to uncover significant associations between the 10,000 SNPs and the genes that control the traits.
Although SNP technology is powerful, many places in the world do not have the technology necessary to apply it to a breeding program. Rather, PCR-based diagnostic tools are preferred and more reasonably priced. Using the sequence data collected during the SNP discovery process, insertion/deletion (indel) events greater than eight base pairs were identified. Using a number of filtering steps a total of ~2,800 indels were identified. These have now been mapped onto the assembly. One obvious scenario can be envisioned that describes their effective use.
Once bi-parental and association mapping populations have been evaluated and significant SNP associations discovered, indel markers that are physically close to the SNP locus can be selected. Those indels should then be further tested to confirm their utility in breeding programs. Importantly, these indels were developed to represent variation found within specific US market classes. Given that the indel marker is site-specific and market class specific, the prospects of markers with a utility to track a gene of interest within those genetically narrow populations most often used by breeders are enhanced.
**References**
(1) Bateman A, Coin L, Durbin R, Finn RD, Hollich V, Griffiths-Jones S, Khanna A, Marshall M, Moxon S, Sonnhammer ELL, Studholme DJ, Yeats C, Eddy SR (2004) The Pfam protein families database. Nucleic Acids Res 32:D138-D141
(2) Batzoglou S, Jaffe DB, Stanley K, Butler J, Gnerre S, Mauceli E, Berger B, Mesirov JP, Lander ES (2002) ARACHNE: a whole-genome shotgun assembler. Genome Res 12:177-189
(3) Doležel J, Bartoš J, Voglmayr H, Greilhuber J (2003) Nuclear DNA content and genome size of trout and human. Cytom 51A:127–128
(4) McClean P, McConnell, Mamidi S, McConnell, M, Chikara S, Lee R (2010) Synteny mapping between common bean and soybean reveal extensive blocks of shared loci. BMC Genomics 11:184
(5) Schlueter JA, Coicochea JL, Collura K, Gill N, Lin J-Y, Yu Y, Kudrna D, Zucolo A, Vallejos CE, Munoz-Torres M, Blair MW, Tohme J, Tonkins J, McClean P, Wing RA, Jackson SA (2008) BAC-end sequence analysis and a draft physical map of the common bean (*Phaseolus vulgaris* L.) genome. Trop Plant Biol 1:40-48
Peculiar features of common bean subtelomeres
by Manon RICHARD\textsuperscript{1}, Stéphanie PFLIEGER\textsuperscript{1}, Artur FONSECA\textsuperscript{2}, Andrea PEDROSA-HARAND\textsuperscript{2} and Valérie GEFFROY\textsuperscript{1,3*}
Abstract: In the common bean (\textit{Phaseolus vulgaris} L.) genome, most of the well-characterized large resistance (R) gene clusters are located at the ends (rather than the centers) of linkage groups, suggesting that the location at the end of a linkage group, and by inference a subtelomeric location, is favorable for R gene proliferation. In addition, terminal knobs (heterochromatic blocks) are present at most chromosome ends of \textit{P. vulgaris}. These unusual features of common bean genome (subtelomeric localization of NBS-LRR sequences and presence of terminal knobs) will be better investigated with the availability of the complete common bean genome sequence.
Key words: common bean, \textit{Phaseolus vulgaris}, resistance gene, NBS-LRR, subtelomere
In the human genome, extensive cytogenetic and sequence analyses have revealed that subtelomeres (regions adjacent to telomeres) are hotspots of interchromosomal recombination and segmental duplications (9). This peculiar dynamic activity of subtelomeres has been reported in such diverse organisms as yeast and the malaria parasite, \textit{Plasmodium}. As expected for a plastic region of the genome subject to reshuffling through recombination events, subtelomeres exhibit unusually high levels of within-species structural and nucleotide polymorphism and they often contain fast-evolving genes involved in adaptative processes (9). In plants, this plasticity of subtelomeres has not been identified in \textit{Arabidopsis thaliana}, and to our knowledge, has not yet been investigated at a large scale for other plant species with full genome sequences available. Recent data suggest that common bean subtelomeres present peculiar features.
In the common bean genome, most of the well-characterized large resistance (R) gene clusters are located at the ends (rather than the center) of linkage groups (LG). For example, the \textit{Co-x}, \textit{I}, \textit{B4}, \textit{Co-4} and \textit{Co-2} loci have been mapped to the ends of LG B1, LG B2, LG B4, LG B8 and LG B11, respectively (2, 5, 6, 7, 13). Genetic complexity of these clusters is illustrated by the B4 R gene cluster where R specificities and R Quantitative Trait Loci (QTL) against a large selection of pathogens including the fungi \textit{Colletotrichum lindemuthianum} and \textit{Uromyces appendiculatus} and the bacteria \textit{Pseudomonas syringae} have been mapped (5, 6, 11). Similarly, at the \textit{Co-2} and \textit{Co-4} R locus, R specificities against both the bacteria \textit{P. syringae} and the fungus \textit{C. lindemuthianum} have been mapped (2).
In plants, the most prevalent R genes encode proteins containing a nucleotide-binding site (NBS) and a C-terminal leucine rich-repeat (LRR) domain (NBS-LRR). R genes belonging to this class have been identified in various plant species, in monocots as well as in dicots, and correspond to R genes effective against all types of pathogens and pests, including fungi, bacteria, viruses, nematodes, oomycetes, and insects. In common bean, molecular analysis of the \textit{Co-2} and \textit{B4} clusters have revealed that these complex R clusters consist of a tandem array of more than 40 CC-NBS-LRR (CNL) sequences (3, 8) (Figure 1A). Fluorescence \textit{in situ} hybridization (FISH) analysis revealed a subtelomeric location for these two complex R clusters (3) (Figure 1B, E). Furthermore, the \textit{Co-4} anthracnose R locus was also confirmed to be in a subtelomeric position of a common bean chromosome, now named chromosome 8 (10). During the bioinformatic analysis of B4 R gene cluster, a new 528-bp satellite repeat, referred to as \textit{khipu}, specific to the \textit{Phaseolus} genus, was identified between the CNL sequences (3). In order to determine the pattern of \textit{khipu} distribution at greater resolution, FISH was performed on meiotic pachytene chromosomes because they are less condensed than somatic chromosomes. Terminal knobs (heterochromatic blocks) of different sizes were visible at most chromosome ends of \textit{P. vulgaris}, while \textit{khipu} tandem repeats were present on 17 chromosome ends (Fig. 1C), mostly corresponding to cytologically visible terminal knobs (Fig. 1D, F), indicating the existence of frequent ectopic recombination events in \textit{Phaseolus} subtelomeric regions.
Figure 1. Sequence comparison between the *P. vulgaris* BAt91 B4 410-kb contig (center) and syntomic regions in *M. truncatula* chromosome 6 (left) and *L. japonicus* chromosome 2 (right). Yellow lines indicate significant homology matches between predicted genes. (A), B and C, FISH to mitotic *Pv* BAtY3 chromosomes using B4-CNL (B) and *kikpu* (C) as probe. D, E, F, FISH to pachytene chromosomes (D) using B4-CNL (E) and *kikpu* probe (F). The major knob and the minor knob are indicated with an arrow and an arrowhead, respectively. (3)
Unlike species with large genomes, heterochromatin is largely restricted to pericentromeric regions in small-genome plant species. For example, in the compact *Arabidopsis thaliana* genome (125 Mbp) only two knobs have been reported, while in the large maize genome (2,671 Mbp), numerous knobs have been reported (1). The relatively small genome of *P. vulgaris* does not seem to follow this tendency. Indeed, heterochromatic knobs have been detected in most *P. vulgaris* chromosome termini and *khipu* tandem repeats are components of most of them (3). This abundance of terminal knobs in *P. vulgaris* is in sharp contrast with results from other legume species such as *L. japonicus* and *M. truncatula*, where most of the heterochromatin is localised at pericentromeric regions and no terminal heterochromatic blocks have been reported, except for the 45S rDNA cluster on *I*2 (12). Thus, the complexity of bean subtelomeres does not seem to be obviously related to its genome size, because at 588 Mbp, *P. vulgaris* is not significantly larger than *L. japonicus* (472 Mbp) or *M. truncatula* (500 Mbp). In cereal, similar results were obtained for rye (*Secale cereale* L.) genome. Indeed, rye differs from phylogenetically related wheat (*Triticum*) and barley (*Hordeum*) in having large heterochromatin blocks in the subtelomeric regions of its chromosomes (4).
The availability of the complete genome sequence of *P. vulgaris* offers now a unique opportunity to investigate the peculiar distribution of NBS-LRR sequences in the common bean genome and their association with *khipu* satellite.
**References**
(1) Ananiev EV, Phillips RL, Rines HW (1998) A knob-associated tandem repeat in maize capable of forming fold-back DNA segments: Are chromosome knobs megarotransposons? Proc Natl Acad Sci 95:10785-10790
(2) Chen NWG, Sevignac M, Thareau V, Magdelena G, David P, Ashfield T, Innes RW, Geffroy V (2010) Specific resistances against *Phascolarotoma syringae* effectors AvrB and AvrRpml have evolved differently in common bean (*Phaseolus vulgaris*), soybean (*Glycine max*), and Arabidopsis thaliana. New Phytol 187:941-956
(3) David P, Chen NWG, Pedrosa-Harand A, Langin T, Geffroy V (2009) A nomadic subtelomeric disease resistance gene cluster in common bean. Plant Physiol 151:1048-1065
(4) Evtushenko EV, Elisafenko EA, Vershinin AV (2010) The relationship between two tandem repeat families in rye heterochromatin. Mol Biol 44:1-7
(5) Geffroy V, Sicard D, de Oliveira JCF, Sevignac M, Cohen S, Gepts P, Neema C, Langin T, Dron M (1999) Identification of an ancestral resistance gene cluster involved in the coevolution process between *Phaseolus vulgaris* and its fungal pathogen *Colletotrichum lindemuthianum*. Mol Plant-Microbe Interact 12:774-784
(6) Geffroy V, Sevignac M, De Oliveira JCF, Foulloux G, Skroch P, Thouquet P, Gepts P, Langin T, Dron M (2000) Inheritance of partial resistance against *Colletotrichum lindemuthianum* in *Phaseolus vulgaris* and co-localization of quantitative trait loci with genes involved in specific resistance. Mol Plant-Microbe Interact 13:287-296
(7) Geffroy V, Sevignac M, Billant P, Dron M, Langin T (2008) Resistance to *Colletotrichum lindemuthianum* in *Phaseolus vulgaris*: a case study for mapping two independent genes. Theor Appl Genet 116:407-415
(8) Innes RW, Ameline-Torregrosa C, Ashfield T, Cannon E, Cannon SB, Chacek B, Chen NWG, Coulaux A, Dahwari A, Denny R, Deshpande S, Egan AN, Glover N, Hans CS, Howell S, Hut D, Jackson S, Lai HS, Mammoode J, del Campo SM, Metcalf M, Nguyen A, O’Brieness M, Pfeil BE, Podichei R, Ratnaparkhe MB, Samain S, Sanders I, Segurens B, Sevignac M, Sherman-Broyles S, Thareau V, Tucker DM, Walling J, Wawrzynski A, Yi J, Doyle JJ, Geffroy V, Roe BA, Maroof MAS, Young ND (2008) Differential accumulation of retroelements and diversification of NB-LRR disease resistance genes in duplicated regions following polyploidy in the ancestor of soybean. Plant Physiol 148:1740-1759
(9) Linardopoulou EV, Williams EM, Fan YX, Friedman C, Young JM, Trask BJ (2005) Human subtelomeres are hot spots of interchromosomal recombination and segmental duplication. Nat 437:94-100
(10) Melotto M, Coelho MF, Pedrosa Harand A, Kelly JD, Camargo LEA (2004) The anthracnose resistance locus *Co4* of common bean is located on chromosome 3 and contains putative disease resistance-related genes. Theor Appl Genet 109:690-699
(11) Mildas PN, Kelly JD, Beebe SE, Blair MW (2006) Common bean breeding for resistance against biotic and abiotic stresses: From classical to MAS breeding. Euphytica 147 105-131
(12) Pedrosa A, Sandal N, Stougaard J, Schweizer D, Bachmaier A (2002) Chromosomal map of the model legume *Lotus japonicus*. Genet 161:1661-1672
(13) Vallejos CE, Astua-Monge G, Jones V, Plyler TR, Sakiyama NS, Mackenzie SA (2006) Genetic and molecular characterization of the *J* locus of *Phaseolus vulgaris*. Genet 172:1229-1242
Development of transgenic common bean with agronomic traits
by Thais M. CIPRIANO\textsuperscript{1,2}, Abdulrazak B. IBRAHIM\textsuperscript{1,2,3,4}, Josias C. FARIA\textsuperscript{5} and Francisco J.L. ARAGÃO\textsuperscript{1,2,3,4,*}
Abstract: The recent development of first transgenic germinivirus resistant common bean in the field is a direct benefit of advances in transgenic technologies and breeding techniques made possible by genome sequencing and application of high-throughput molecular tools as well as improved knowledge on morphological and cellular responses of different plant tissues and organs culture \textit{in vitro}. Efforts from various research centers culminated in the employment of some of these techniques, resulting in the event Embrapa 5.1, generating the first commercially available transgenic common bean that met the Brazilian biosafety regulations. This represents an important phase in common bean biotechnology with the potential to boost productivity thereby improving economic returns to farmers all over the world.
Key words: common bean, transgenic bean, BGMV, biosafety
Common bean: production, utilization and challenges
Common bean (\textit{Phaseolus vulgaris} L.) is one of the five domesticated species out of the 30 known members belonging to the genus \textit{Phaseolus}. It is an important grain legume consumed in tropical and sub-tropical countries of Latin America, Africa and Asia. Cultivated by resource poor farmers, who are often unable to purchase and apply agrochemicals on a regular basis, the crop occupies more than 85% of the total area cropped with \textit{Phaseolus} throughout the world.
Despite this nutritional importance and the ease with which it may be cultivated, its productivity has been declining in some regions due to such limiting factors as poor agronomic practices, diseases, insects, nutritional deficiencies, soil and climate constraints and lack of improved varieties and weed competition.
In order to address these problems, a number of common bean breeding programs initiated by different research centers all over the world, have led to the development and delivery of varieties with enhanced disease and insect resistance, greater drought resistance, and other important agronomic traits. This is in part, due to the identification of molecular markers for various traits and construction of genetic linkage maps in the crop, leading to the development of tools for marker-assisted selection-based breeding programs. In addition, map-based cloning of some genes identified from the crop assisted in the progress recorded so far in the development of improved varieties of common bean.
In spite of this, a lot needs to be done in order to, not only sustain this progress, but confront the mounting challenges faced by the crop in a rapidly changing environment. Although classical breeding will continue to benefit producers of beans, the full potentials of the crop are unlikely to be fully harnessed due to the obvious limitations of this approach. Thus it is unlikely to provide all the solutions for improving the crops to meet the needs of farmers and commercial production due, primarily to restrictions caused by limited genetic variability within the species and difficulties in assessing traits.
Common bean genetic engineering
To confront this challenge, genetic engineering represents an important alternative that may accelerate the production of the crop with useful traits especially when applied along with classical breeding approach.
The last few decades saw the optimization of most of the systems developed for the regeneration and transformation of common bean. In parallel, the availability of characterized genes, including coding and regulatory sequences, has increased as a direct result of studies on structural and functional plant genomics. As in other crops, genetic engineering of common bean is focused on the introduction of foreign genes to promote tolerance to biotic and abiotic stresses, increase yield potential and reduce sensitivity to environmental adversity. The fact that this strategy allows for the development of elite crop lines in an efficient and timely manner—a feat which is often difficult to achieve through conventional breeding—makes it a method of choice in many research centers. Success in the development of transgenic seeds of beans ensure increase yield and guarantee yield stability and production cost that maximizes economic returns to the farmers.
Methods employed in genetic transformation of common bean include *Agrobacterium*-mediated system, direct DNA uptake into protoplasts and particle bombardment. Although there have been advances in the methodologies for gene delivery and plant tissue culture, legumes such as common bean, only proved amenable to some of these systems after certain “unconventional” initiatives, such as the elimination of some steps involving tissue culture (4).
Although earlier researchers showed transient gene expression by electroporation and PEG-mediated protoplast transformation, no transgenic bean plants were obtained. One of the first reports was based on the use of *Agrobacterium* system. However, there was no molecular evidence for genetic transformation or progeny analysis. Later, another report appeared where *A. tumefaciens* was used to achieve expression of a *lea* gene that conferred abiotic tolerance in *P. vulgaris* in a protocol based on sonication and vacuum infiltration, although transformation efficiency was low (8).
Figure 1. Transgenic (GM) and non-transgenic (non-GM) plants under field conditions and natural infection by the Bean golden mosaic virus. Severe viral symptoms are observed in non-GM plants while GM plants do not show symptoms
The Brazilian experience
Perhaps the most reproducible system for common bean transformation is so far based on the biolistic process which had earlier led to the generation of some transgenic tissues and organs. A pioneer work that reported the introduction of genes of agronomic interest appeared in 1992 when *h2stl*, a gene coding for albumin, isolated from Brazilian nut, was introduced into cell lines of common bean in order to increase methionine level (1). Subsequent attempts using this approach led to an increase of 14 to 23% of methionine in the seeds of transgenic lines when compared to non-transgenic plants (3). A major setback to this remarkable success was the fact that 2S albumin from Brazilian nut was later identified as an allergen. Consequently, the development of transgenic common bean variety with improved methionine content was discontinued. In 1993 Russell et al. (9) introduced the *bar* gene, which encodes for phosphinothricin acetyl transferase (PAT), conferring resistance against the herbicide ammonium glufosinate with the coat protein gene from *Bean golden mosaic virus* (BGMV) in an attempt to develop virus-resistant plants. Although the resulting transgenic plants showed resistance against the herbicide under glasshouse conditions, there was no evidence of resistance against the virus.
This earlier work inspired further attempts that recorded some degree of success by cloning the genes *Rep-Tr-AP-REN* and *BC* from BGMV, under the control of CaMV 35S promoter in the plasmid p35SABC. Following transformation, two transgenic lines exhibiting delayed and attenuated viral symptoms were obtained (2). In another report, transgenic plants were obtained using a vector containing a mutated *rep* (*AC1*) gene, which codes for a mutated AC1 (REP) protein bearing amino acid codon change in the putative NTP-binding motif (D262R). Resistance against the virus was observed in one line, which when studied over several generations, appeared to depend on inoculation level (7). As an improvement to the approach above, RNAi construct was used to silence *AC1* viral gene in an attempt to generate resistant transgenic common bean plants (6). Eighteen transgenic lines of common bean were obtained expressing intron-harpin which led to post-transcriptional gene silencing of the *AC1* gene. Two of these lines exhibited high resistance and gave rise to progenies that were free from symptoms upon inoculation under high pressure of more than 300 viruliferous whiteflies per plant. This resistance was observed during the whole plant life cycle and at early stage of development. The plants were tested under field conditions in state of Goiás, Minas Gerais and Paraná (Brazil) (Fig. 1). Results from these trials confirmed that transgenic lines were immune to the BGMV (5).
Biosafety evaluations, based on the guidelines of the Brazilian Biosafety Committee (CTNBio) and other regulatory authorities, were carried out with a view to obtaining authorization for commercial release of the first transgenic bean varieties. These studies comprised RNA characterization, food/feed safety analyses, molecular characterization, agronomic equivalence, environmental safety, composition and nutritional equivalence. In addition, the stability of foreign gene expression, gene flow and factors related to interaction of these plants exposed to natural stress under tropical environments were evaluated. Based on these studies, in 2011 the event Embrapa 5.1, resistant to BGMV, was approved for commercial release by CTNBio. A version of the proposal presented to CTNBio is available (in Portuguese) at the page http://www.ctnbio.gov.br/index.php/content/view/16501.html.
**Conclusion**
The remarkable success that led to the development of first commercially approved common bean underscores the great potentials attainable through application of transgenic technologies in farmer preferred varieties of the crop. The efficient and timely manner through which improved varieties of the crop can be obtained will guarantee yield stability and low production cost that maximizes economic returns to farmers while addressing the problem of food insecurity.
**References**
(1) Aragão FJL, Sá MFG, Almeida ER, Gander ES, Rech EL. (1992) Particle bombardment-mediated transient expression of a Brazil nut methionine-rich albumin in bean (*Phaseolus vulgaris* L.). Plant Mol Biol 20:357–359
(2) Aragão FJL, Ribeiro SG, Barros LMG, Brasileiro ACM, Maxwell DP, Rech EL, Faria JC (1998) Transgenic beans (*Phaseolus vulgaris* L.) engineered to express viral antisense RNAs show delayed and attenuated symptoms to bean golden mosaic geminivirus. Mol Breed 4:491–499
(3) Aragão FJL, Barros LMG, de Sousa MV, Grossi de Sa MF, Almeida ERP, Gander ES, Rech EL (1999) Expression of a methionine-rich storage albumin from the Brazil nut (*Bertholletia excelsa* H.B.K., Lecythidaceae) in transgenic bean plants (*Phaseolus vulgaris* L., Fabaceae), Genet Mol Biol 22:445–449
(4) Aragão FJL, Rech EL (2001) Transgenic common bean (*Phaseolus vulgaris*). In: Bajaj YPS (ed) Biotechnology in Agriculture and Forestry. Springer-Verlag, Berlin, Germany, pp. 269–283
(5) Aragão FJL, Faria JC (2009) First transgenic germinivirus resistant plant in the field. Nat Biotechnol 2:1086–1088
(6) Bonfim K, Faria JC, Nogueira EOPJ, Mendes EA, Aragão FJL (2007) RNAi-mediated resistance to Bean golden mosaic virus in genetically engineered common bean (*Phaseolus vulgaris*). MPMI 20:717–726
(7) Faria JC, Albino MMC, Dias BBA, Cunha NB, Silva LM, Viana GR, Aragão FJL (2006) Partial resistance to *Bean golden mosaic virus* in a transgenic common bean (*Phaseolus vulgaris* L.) line expressing a mutated *rep* gene. Plant Sci 171:565–571
(8) Liu ZG, Park BJ, Kanno A, Kaneya T (2005) The novel use of a combination of sonication and vacuum infiltration in Agrobacterium-mediated transformation of kidney bean (*Phaseolus vulgaris* L.) with *lea* gene. Mol Breed 16:189–197
(9) Russell DR, Wallace KM, Bathe JH, Martinell BJ (1993) Stable transformation of *Phaseolus vulgaris* via electric discharge mediated particle acceleration. Plant Cell Rep 12:165–169
MicroRNAs as post-transcriptional regulators in common bean (*Phaseolus vulgaris*)
by Georgina HERNÁNDEZ* and Bárbara NOVA-FRANCO
Abstract: Current knowledge on plant microRNAs (miRNAs) comes mostly from *Arabidopsis*. The majority of plant miRNAs targets are transcription factors. MiRNAs have been involved as relevant global regulator of plant developmental processes as well as response / adaptation to different types of biotic and abiotic stresses. Despite the agronomic importance of legume plants, the knowledge of roles of miRNAs in legumes, including common bean (*Phaseolus vulgaris*), is scant. MiRNAs are involved in biological processes like nutrient balance, development, reproduction and plant-microbe interactions; therefore we consider that research in *P. vulgaris* miRNAs is crucial for improvement of this staple crop. Here we will review recent information about miRNAs in common bean that has been derived from research groups of the National University of Mexico.
Key words: common bean, microRNAs, nitrogen fixation, abiotic stress, metal toxicity.
MiRNA biogenesis in plants
Complex biological processes such as plant development or plant adaptation to variable environmental conditions are finely and precisely controlled by multiple regulatory mechanisms. These include transcriptional and post-transcriptional regulation of gene expression where transcription factors and non-protein-coding RNAs play key roles.
The microRNAs (miRNAs) are small non-protein-coding RNAs that have emerged as ubiquitous post-transcriptional gene regulatory molecules in plants and animals. Plant miRNAs, approximately 21 nucleotides long, are derived from the processing of longer primary miRNA transcripts adopting hairpin-like structures. MiRNAs are negative regulators that suppress expression of their target mRNA mainly by inducing its degradation. The recognition of the miRNA target(s) is based in sequence complementarity (3) (Fig. 1).
*Phaseolus vulgaris* miRNAs
The first studies to identify miRNAs included the cloning and sequencing - employing traditional sequencing methods- of populations of small RNAs present in different plants. This strategy was used to identify miRNAs from common bean, both from different organs of plants grown in optimal conditions and from seedlings subjected to abiotic stresses such as drought, cold and salinity (1). Members from 16 conserved miRNAs families and eight novel miRNAs were identified in common bean. More recently, deep-sequencing technologies have allowed identifying larger numbers of plant miRNAs. High-throughput small RNA sequencing was applied to extend our knowledge of the common bean miRNA population (6). Small RNA libraries were prepared from common bean roots, seedling, flower buds, and leaves and these were sequenced using Illumina’s platform. In this work 109 miRNAs belonging to 29 conserved families were identified for *P. vulgaris* and 29 novel miRNA candidates were predicted based on small RNA reads and precursor predictions (6). Bioinformatic analyses have been used to predict target genes for conserved and novel common bean RNAs (1, 6). As shown in Table 1, most of the predicted targets for conserved miRNAs that have been detected in *P. vulgaris* code for transcription factors belonging to different gene families. However other miRNAs recognize targets with variable functions i.e. pvu-miR2119 targets an alcohol dehydrogenase mRNA.
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Universidad Nacional Autónoma de México, Centro de Ciencias Genómicas, Cuernavaca, Mexico (firstname.lastname@example.org)
Published work about identification of miRNAs in common bean (1, 6) was done prior to having access to the genome sequence of this legume. However *P. vulgaris* genome was sequenced recently and it is now deposited in Phytozome database (*Phaseolus vulgaris* v0.9, DOE-JGI and USDA-NIFA, http://www.phytozome.net/commonbean). This resource allows mapping the miRNA-coding genes in the *Phaseolus* genome and identifying the miRNAs precursors with predicted stem-loop structure.
Research in our group aims to define the roles of miRNAs in common bean nodule development/function and abiotic stress responses. The root nodules are novel plant organs that result from effective interactions between rhizobia, nitrogen (N)-fixing bacteria, and legumes. The differentiated N-fixing bacteroids establish in the nodules and fix atmospheric N that is assimilated, as ammonia, by the plant. Through this symbiotic interaction legumes produce their own fertilizer, and so it is relevant for sustainable agriculture. Common bean symbiotic N-fixation and crop yield is limited by abiotic stresses such as nutrient deficiency and metal toxicity that are common in acidic soils where beans are grown. Current knowledge indicates that legume miRNAs play important regulatory roles in processes like rhizobia-interaction, N-fixation and nodule development as well as in the mechanisms that allow common bean plants to cope with environmental stresses (7). We consider that the understanding of miRNAs roles in regulatory networks is relevant for common bean improvement.
We have analyzed the expression profile of miRNAs in leaves roots and nodules of nutrient-sufficient and nutrient-stressed (phosphorus, iron or nitrogen deficiency; and (aluminum, manganese or copper toxicity) common bean plants. For this we used a hybridization approach employing miRNA macroarrays printed with oligonucleotides complementary to known miRNAs from *P. vulgaris*, *Glycine max* (soybean) and miRNAs conserved in different plants (9). We have detected 42 miRNAs expressed in the different common bean organs and stress conditions. Recently we have identified the genes coding for these miRNAs in the *P. vulgaris* genome. Some miRNAs responded to nearly all stresses and in the three organs analyzed while others showed organ specific responses.
**Figure 1.** MiRNA biogenesis in plants. MiR genes are transcribed from their own locus. Precursors are processed to produce the mature miRNA that incorporates into RISC (RNA induced silencing complex), binds specifically to a target mRNA and induces its degradation. Modified from Zhao et al. (2007) Trends Biochem Sci 32
As mentioned before, our group is most interested in identifying relevant regulatory roles of miRNAs in the N-fixing nodules of common bean. Table 1 shows 19 miRNAs identified as nodule-expressed in *P. vulgaris*, via miRNA macroarray hybridization (9). These include conserved and *P. vulgaris* miRNAs. Analysis of the *P. vulgaris* genome sequence ([http://www.phytozome.net/commonbean](http://www.phytozome.net/commonbean)) lead us to identify the number of loci that code for each of this miRNAs, which vary from 1 to 9, thus indicating the existence of different members of each miRNA family. Most of these miRNAs were also expressed in roots and/or in leaves, with the exception of miR172 that was detected only in the nodules. Two conserved miRNAs: miR319 and miR398 were detected only in stressed nodules (nutrient deficiency or metal toxicity) and not in nodules from plants in optimal growth conditions, thus indicating their role in stress responses.
We have demonstrated the participation of PvmiR399 in the PvPHR1 transcription factor signaling pathway for phosphorus (P)-deficiency in common bean (8). For this we used a functional genomics approach applying the RNAi technology in bean composite plants, with untransformed shoots and transformed roots resulting from *Agrobacterium rhizogenes*-mediated transformation (2, 8). We analyzed the transcript profile of genes that respond to P-deficiency in composite plants with low (silenced) transcript levels of PvPHR1 and PvmiR399 growing in P-deficiency as compared to optimal conditions. Our results demonstrated that, similar than in *Arabidopsis*, PvPHR1 controls P-deficiency signaling in common bean roots. Once P-deficiency is sensed -either locally or systemically- by unknown molecule(s) the PvPHR1 transcription factor positively regulates the expression of target P-responsive genes (for P transport, remobilization and homeostasis) and also of PvmiR399. The target of PvmiR399 is the ubiquitin E3 conjugase PvPHO2 that promotes degradation of some P-deficiency responsive genes through ubiquitination. In P-deficient conditions PvmiR399 will increase and so will exert a negative regulation upon PvPHO2 to prevent degradation of genes needed to cope with P-stress.
Current research from our group aims to demonstrate the role of selected miRNAs in the nodulation and symbiotic process of common bean and also in the response of the plant to metal toxicity stress (5). There is still a lot to know about the crucial roles of miRNAs in common bean. We are confident that knowledge in this area will expand in the near future and it will contribute to improve yield and quality of the most important grain legume for human consumption in the world.
**Table 1. MiRNAs in *Phaseolus vulgaris* nodules**
| miRNA | Target gene | miR loci in *P. vulgaris* genome | miRNA expression in *P. vulgaris* |
|----------------|--------------------------------------------------|----------------------------------|-----------------------------------|
| miR156 | Squamosa promoter binding-like protein (SPL) | 5 | N, R, L |
| miR157 | Squamosa promoter binding-like protein (SPL) | 6 | N, R, L |
| miR159 | MYB transcription factors | 1 | N, R, L |
| miR160 | Auxin Response Factors (ARFs) | 5 | N, R, L |
| miR164 | NAC, CUP Transcription factors | 7 | N, R, L |
| miR166 | ATHBs | 9 | N, R, L |
| miR167 | Auxin Response Factors (ARFs) | 5 | N, L |
| miR170 | Scarecrow-like protein | 6 | N, R, L |
| miR172 | APETALA 2 (AP2) | 6 | N |
| miR319 | TCP Transcription factors | 2 | SN, L |
| miR390 | Trans-Acting siRNA 3 (TAS3) | 2 | N, R, L |
| miR395 | ATP Sulfurylase | 4 | N, R, L |
| miR396 | GRL | 2 | N, R, L |
| miR398 | Cu Superoxide Dismutase | 2 | SN, R, L |
| pvu-miR159.2 | Chlartin heavy chain | 1 | N, R, L |
| pvu-miR1511 | SPIRAL1-like1 | 0 | N, L |
| pvu-miR2118 | U1 snRNP 70K | 1 | N, R, L |
| pvu-miR2119 | Alcohol dehydrogenase | 1 | N, R, L |
| pvu-miR2199 | ARF-GAP | 1 | N, R, L |
References
(1) Arenas-Huertero C, Pérez B, Rabanal F, Blanco-Melo D, De la Rosa C, Estrada-Navarrete G, Sánchez F, Covarrubias AA, Reyes JL (2009) Conserved and novel miRNAs in the legume *Phaseolus vulgaris* in response to stress. Plant Mol Biol 70:385-401
(2) Estrada-Navarrete G, Alvarado-Affantranger X, Olivares J-E, Guillén G, Díaz-Camino C, Campos F, Quinto C, Gresshoff PM, Sanchez F (2007) Fast, efficient and reproducible genetic transformation of *Phaseolus* spp. by *Agrobacterium rhizogenes*. Nat Protoc 2:1819-1824
(3) Jones-Rhoades MW, Bartel DP, Bartel B (2006) MicroRNAs and their regulatory roles in Plants. Ann Rev Plant Biol 57:19-53
(4) Mallory AC, Vaucheret H (2006) Functions of microRNAs and related small RNAs in plants. Nat Genet 38:S31-S36
(5) Mendoza-Soto AB, Sánchez F, Hernández G (2012) MicroRNAs as regulators in plant metal toxicity response. Front Plant Sci 3:105
(6) Peláez P, Trejo MS, Iñiguez LP, Estrada-Navarrete G, Covarrubias AA, Reyes JL, Sánchez F (2012) Identification and characterization of microRNAs in *Phaseolus vulgaris* by high-throughput sequencing. BMC Genomics 13:83
(7) Simon SA, Meyers BC, Sherriff DJ (2009) MicroRNAs in the rhizobia legume symbiosis. Plant Physiol 151:1002-1008
(8) Valdés-López O, Arenas-Huertero C, Ramírez M, Girard I., Sánchez F, Vance CP, Reyes JL, Hernández G (2008) Essential role of MYB transcription factor, PvPHR1 and microRNA; PvmiR399 in phosphorus-deficiency signaling in common bean roots. Plant Cell Environ 31:1834-1843
(9) Valdés-López O, Yang SS, Aparicio-Fabre R, Graham, PH, Reyes JL, Vance CP, Hernández G (2010) MicroRNA expression profile in common bean (*Phaseolus vulgaris*) under nutrient deficiency stresses and manganese toxicity. New Phytol 187:805–818
(10) Zhao Y, Srivastava D (2007) A developmental view of microRNA function. Trends Biochem Sci 32:189-197
Use of genetic diversity in common bean breeding
by James D. KELLY
Abstract: Common bean (*Phaseolus vulgaris* L.) is the most widely grown and consumed grain legume worldwide. Within the Americas a wide range of bean seed and growth types are grown from the Canadian Prairies to Salta in the northern Argentina. Beans are adapted from sea level conditions in the Caribbean to over 2000m in the Andean highlands. In many countries, beans are displaced by higher valued commodities and export crops to more marginal production areas with lower rainfall, shallow infertile soils, shorter growing seasons at higher elevations and latitudes. Here, I explore how genetic diversity and genomic tools can be used in breeding programs to improve common bean productivity and produce a higher value crop.
Key words: diversity, breeding, common bean, gene pools, market classes
Genetic diversity in common bean
Beans originated in Mesoamerica most likely in Mexico (1) but wild beans can be found from Chihuahua in northern Mexico to Salta in northern Argentina. Multiple domestication events occurred throughout this region and as a result beans are classified in the two major gene pools, Andean and Middle American (Table 1). The Andean gene pool is characterized by large-seeded types whereas the Middle America gene pool is genetically more diverse and consists of smaller to medium sized beans. There is free recombination between members of the same gene pool but breeders have confronted greater difficulties when crossing between gene pools as incompatibility barriers restrict free gene flow. Major genes can be moved across gene pools but more complex traits related to productivity and adaptation are not easy to transfer. Lack of breeding progress in larger seed types appears to be due in part to narrower genetic base in the Andean gene pool, as breeders have not successfully expanded the genetic diversity due to the inter-gene pool barriers to free genetic exchange. Breeders are now looking at members of wild *P. vulgaris* as more likely parental candidates to expand genetic diversity in Andean beans rather than members of the cultivated gene pool. Wild *P. vulgaris* has been a valuable source of genes that condition resistance to seed weevils. Eight major genes known as ‘are’ genes have been reported to provide varying levels of resistance to both the common and Mexican bean weevils. The trait is associated with a unique protein known as Arcelin that does not exist in cultivated beans. Four other members of the cultivated *Phaseolus* genus also offer opportunity to seek traits that are absent from common bean. Unique resistance to drought, common bacterial blight and rust are found in tepary bean (*P. acutifolius*) in the tertiary gene pool and some of these traits have been successfully transferred to common bean. Root rot and white mold resistance resides in the scarlet runner bean (*P. coccineus*) in the secondary gene pool and breeders continue to struggle to integrate these into useful common bean germplasm.
Useful traits from common bean
Bean breeders have to work within the major constraints of growth habit, maturity, and seed traits. Maturity and growth habit are constraints set by producers within specific production areas. Growers in the US Midwest want upright type II bean varieties that they can direct harvest and mature in 100 days ahead of the autumn frosts. In contrast producers in the semiarid highlands of Mexico prefer prostrate vine type III plant that they can sow at lower densities as these plant types are more responsive to the low and variable rainfall patterns in the region. Breeders in Central America want short season (70 days) varieties that they can plant in the short rainy ‘postrerro’ season since the types evade drought and produce despite the limited and diminishing rainfall. Determinate type I bush beans are preferred by farmers in the highlands of Ecuador where they plant large-seeded Andean Calima types in contrast to the higher mountainous areas (> 1800m) where climbing beans such as Cargamanto are more productive as they are better adapted to those elevations and have a longer growing season. Transferring genetic gains achieved in one production area is not always possible as the growing conditions and growth habits preferred by farmers are very different and not universally suitable.
Breeding for a specific seed market class within the wide array of commercial seed types (Table 1) that differ in culinary quality is equally challenging. Genetic progress in one seed type is not always transferable to contrasting seed types due to genetic incompatibility, dramatic differences in seed size, shape, color, patterns, and culinary quality including processing quality. Seed quality traits necessitate strict selection criteria that contribute to narrowing the genetic base of cultivated beans. Given the constraints imposed by producers and markets, breeders struggle to introduce genetic variability to meet production challenges, disease and insect pressure and the changing climatic conditions that will confront producers in the near future.
There is a clear recognition that intense selection for specific traits causes a narrowing of the genetic base of the resulting progeny. There is an equally compelling argument that to achieve high yields and rigid quality standards, breeders need to retain and combine desirable genetic components many of which are minor in effect. Breeders cross elite with elite lines to maintain and enhance those economic traits accumulated in elite lines. Introducing new genetic variability risks a breakup of these favorable genetic combinations and linkages. To meet these challenges, the use of 3-tier breeding pyramid (3) was proposed as the most effective way to introduce new variability while retaining the breeding structure needed to produce elite varieties. New variability is introduced at the bottom of the pyramid using breeding systems such as recurrent selection to introgress useful variability into germplasm that applied breeders can introduce into their breeding materials. Pre-breeding systems might also be utilized to introduce variability from wild and related species at this level. As new germplasm is ‘tamed’ it can be moved to the middle tier of the pyramid where it is more likely to be used in breeding future varieties. Different breeding methods can be deployed at different levels of the pyramid to optimize the specific goals. This strategy has resulted in development of upright type II plant habit in a wide array of seed types grown in the US using germplasm from Central America. Gains in larger-seeded Andean seed types have not been forthcoming and may require a different breeding approach.
**Table 1. Gene pools, races, growth habits and seed size of different commercial bean market classes grown worldwide**
| Gene pool | Race | Growth Habit † | Seed size g/100 seed | Commercial class |
|-----------|------------|-----------------|----------------------|-------------------------------------------------------|
| Andean | Nueva Granada | Type I | 50-95 | Kidney, Calima, Alubia, Fabada, Canellini, Canadian Wonder, Mweze Moja, Kabanima, Kabulangeti |
| | | Type IV | 45-60 | Bush Cranberry, Sugar, Borlotti, Pompadour, Cargabello |
| | Chile | Type III | 55-100 | Corgamanto, Sangre de Toro, Fabada, |
| | Peru | Type I | 40-55 | Vine Cranberry, Coscorron, Cacahuate, Araucano, Pompadour |
| | | Type IV | 35-55 | Nufías |
| Middle American | Mesoamerican | Type II | 20-30 | Black, Preto, Carioca |
| | | Type II, I | 20-25 | Navy, Pea, Panamito |
| | Durango | Type III, II | 35-45 | Pinto, Ojo de Cabra |
| | Jalisco | Type II, III | 32-42 | Great Northern |
| | | | 30-38 | Small Red, Red Mexican, Rojo de Seda |
| | | | 30-37 | Pink, Flor de Mayo, Rosinha |
| | Guatemala | Type IV | 20-30 | Small Red and Blacks – Mexico, Central American only |
† Type I = Determinate bush; Type II = Indeterminate upright short vine; Type III = indeterminate prostrate vine; Type IV = Indeterminate climbing habit(s)
The Genomic era is finally reaching the *Phaseolus* community (2). The first two bean genotypes from each gene pool will be sequenced and the first SNP Chip platform will be available to bean breeders in 2012. Currently breeders have utilized a wide array of SCAR markers linked to many of the major disease resistance traits but the opportunity to expand marker-assisted selection to a wide array of traits is on the horizon. Additional information can be found on web sites below:
BeanCAP, www.beancap.org, and BIC, www.css.msu.edu/bic.
**References**
(1) Bitocchi E, Nanni I., Bellucci F, Rossi M, Giardini A, Spagnolletti Zeuli P, Logozzo G, Stougaard J, McClean P, Attene G, Papa R (2012) Mesoamerican origin of the common bean (*Phaseolus vulgaris* L.) is revealed by sequence data. Proceed Natl Acad Sci 109:E788-E796
(2) Broughton WJ, Hernandez G, Blair M, Beebe S, Gepts P, Vanderleyden J (2003) Beans (*Phaseolus* spp.) – model food legumes. Plant Soil 252:55-128
(3) Kelly JD, Kolkman J, Schneider K (1998) Breeding for yield in dry bean (*Phaseolus vulgaris* L.). Euphytica 102:343-356
The symbiosis between *Phaseolus vulgaris* and rhizobia
by Carmen QUINTO*, Rosana SÁNCHEZ-LÓPEZ, Luis CÁRDENAS, Jesús MONTIEL, Manoj-Kumar ARTHIKALA, Noreide NAVA and Olivia SANTANA
**Abstract:** The symbiosis between legume and rhizobia, a highly specific and coordinated process, culminates with the formation of nitrogen-fixing nodules. This process is essential for a sustainable agriculture in food insecure countries. Here we investigated early events in the interaction *Phaseolus vulgaris*-*Rhizobium etli* by biochemical, cell imaging, molecular and genomic approaches. Functional analysis of *PvSymRK* (symbiosis receptor-like kinase) and several *PvRboh* (plant NADPH oxidases) genes suggests that they have key roles in nodule formation. The earliest (seconds) cellular responses in living root hair cells to NF were recorded by using specific fluorescent probes. Fast and transient intracellular reactive oxygen species (ROS) changes responding to NFs were found. These results will be briefly discussed.
**Key words:** *Phaseolus vulgaris*, noduleation, symbiosis, rhizobia, SymRK, Rboh, ROS, fluorescent probe, root hair, Nod factors
Plants establish beneficial associations (symbiosis) with soilborne microbes leading to an improved nutritional status of plants, therefore an increased productivity in nutrient-limiting conditions. Symbiotic relationship between legume and bacteria (known as rhizobia) is characterized by the development of a new root-derived organ, the nitrogen-fixing nodule. In the last 25 years, a remarkable progress has been made in the understanding on the molecular and cellular events involved in the organogenesis of the nodule (1).
The establishment of the nodulation process is accompanied by significant changes in the developmental programs of both symbionts. Once the rhizobia senses the flavonoids released by the legume root, a set of rhizobial nod genes are switched on driving the synthesis of lipochitin-oligosaccharides, known as Nod factors. In turn, perception of the Nod factors by specific receptors (LysM kinase-like receptors) present in the root hair triggers a series of cellular responses, including the activation of signal transduction pathways, changes in root hair morphology and gene expression. Cellular responses are accompanied by specific molecular responses such as ion exchanges (K\(^+\), Cl\(^-\), Ca\(^{2+}\), H\(^+\)), calcium oscillations and rearrangements in actin cytoskeleton (3, 5). Altogether these changes promote rhizobial attachment to and the invagination of the root hair membrane resulting in the formation of an elongated tubular structure, known as infection thread (IT) that guides the rhizobia toward the infection site. In parallel cortical-cell divisions, underneath the IT, prompt the formation of the nodule primordium (6). As the IT reaches the central tissue of the young nodule, the bacteria are released into the intracellular environment of cortical cells. Finally, in a plant-derived membrane, the symbiosome, rhizobia differentiate into bacteroids that express the enzymatic machinery needed to convert atmospheric nitrogen into ammonia (11).
To gain insights into the molecular mechanisms activated at the initial steps of *Phaseolus vulgaris* nodule infection and organogenesis, our group has undertaken the functional characterization of legume genes recruited as part of the responsive signaling components. We have focused on three experimental strategies: RNA-interference-based reverse genetics, cell biology and in vivo microscopy of Nod factor/rhizobia responsive root hairs, and evaluation of ROS production.
As an initial approach we have investigated the relationship between the spatio-temporal distribution of *PvSymRK* and the development of *P. vulgaris* nodules (6). SymRK, a leucine-rich repeat receptor-like kinase, is a signal transducer whose expression is required at different steps of the nodulation process: the rhizobia invasion of root hairs, the cortical cell division, the IT formation and growth, as well as the release of rhizobia to the intracellular space of cortical cells to form the symbiosome (7, 12). A novel function of *PvSymRK* linked to a well-coordinated differentiation and/or development of the nodule vascular bundles in *P. vulgaris*, as we have recently documented (6). We got interested in the nodule vascular system when we were analyzing the immunolocalization of *PvSymRK* along the nodulation process. We consistently observed an, unanticipated, immunofluorescence signal associated to both the root central cylinder and the nodule vascular system at stages as early as the provascular traces of the forming nodule primordium (3 days post-inoculation or dpi), as well as in nodule vascular bundles in mature nodules. Such a remarkable result drew our attention to the analysis of the development of nodule vasculature using an RNAi-mediated reverse...
genetics strategy. We have performed meticulous histological analysis of the scarce nodule-like structures harvested from *PvSymRK* down-regulated transgenic roots. In addition to the previously described deficiency in both root hair invasion and IT/symbiosome formation, we have found “defects” in the vascular system of these nodule-like structures. Some nodule-like structures presented immature vascular traces (lacking tracheary elements), an ectopic distribution of the vascular bundles or even the absence of vasculature (6). The diversity in the spatio-temporal functions of SymRK opens the question on the identity of the signaling molecules involved in the activation of the SymRK-mediated transduction cascade, an ambitious task.
In our group, special attention has been given to changes induced in the apical region of the root hair in response to Nod factors. As aforementioned, a dynamic actin cytoskeleton is one of the driving forces regulating growth in root hair cells in response to Nod factor treatment or rhizobia invasion. Calcium changes (increased calcium gradient) at the tip region of the root hair have been related to the actin cytoskeleton rearrangements induced in response to Nod factors perception (2). Growing root hairs are highly polarized cells that present a typical tip growth limited to the apical dome, where a continuous actin polymerization is taking place, similar to what it has been observed in growing pollen tubes and fungal hyphae (1). In this context, we were pioneers showing that the actin microfilaments, visualized by microinjecting fluorescent phalloidin, became fragmented in *P. vulgaris* root hairs upon exposure to Nod factors (2). We are currently exploring the advantages of expressing fluorescent-actin-binding proteins (i.e. fused to GFP; 13) in transgenic roots to visualize, *in vivo*, the dynamics of actin filaments at specific stages of the nodulation process, rather than using fixed tissues as reported in most studies. In the same direction, we have initiated a series of experiments using improved versions of fluorescent probes, such as calcium-, pH-, ROS (reactive oxygen species)- and hydrogen peroxide-sensitive GFP indicators that exhibit expanded dynamic range and more resistance to photobleaching when compared to other fluorescent indicators (8, 9).
**Figure 1.** A fast and specific transient increase in the levels of tip-localized ROS signal is induced in *Phaseolus vulgaris* root hair in response to Nod factors. Serial images of a growing root hair cell loaded with CM-H2DCFDA (3.3 µM), a ROS-sensitive fluorescent dye. Upon addition of Nod factors (10⁻⁸ M; d), there is an increase in the tip-localized ROS signal. Images were captured every 10 sec. Exposition time was 10 msec.
**Figure 2.** Superoxide accumulation in *P. vulgaris* nodule primordia (a) is inhibited by DPI (50 µM, 15 min) treatment (b). Superoxide accumulation (purple precipitates) was assessed by NBT staining. Scale bar= 1 mm.
In a previous report, we describe the use of ratio-imaging analysis in combination with a ROS-sensitive fluorescent dye (CM-H2DCFDA) to address ROS distribution in root hairs treated with Nod factors (4). We have observed Nod factors induce a rapid (15 sec to 1 min) and specific transient increase in the levels of tip-localized ROS signal (Fig. 1). Incubation with DPI (an inhibitor of RBOH/plant NADPH oxidases and flavin-containing enzymes, widely used to reduce intracellular levels of ROS) inhibits ROS changes induced by Nod factors. Fig. 2 shows that there is a superoxide accumulation during nodule primordia development, which is inhibited by DPI treatment. We have also demonstrated that extracellular ATP modulates intracellular levels of ROS. Localization of a large number of mitochondria coincides with the apical distribution of ROS signal, suggesting that these mitochondria may contribute to ROS production in this region of the root hair (4). In order to improve our understanding on ROS production and its functional relationship with the initial events of the symbiotic interaction of *P. vulgaris* with rhizobia, we have characterized the expression of *PrRboB* (respiratory burst oxidase homologs or plant NADPH oxidase) gene family, constituted by nine *PrRboB* genes (Montiel et al, manuscript in preparation). In particular, we have found that down-regulation of *PrRboBB* impairs ROS-production and IT growth, as observed in not-fully developed nodules produced in *PrRboBB-RNAi* roots (Montiel et al, manuscript in preparation).
In conclusion, our data generated using a combinatorial strategy based on reverse genetics and *in vivo* imaging of cells incubated with or expressing radiometric fluorescent probes are a contribution to the understanding of how the nodule infection and organogenesis take place.
References
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(8) Jiang K, Schwarzer C, Lally E, Zhang S, Ruzin S, Machen T, Remington SJ, Feldman I. (2006) Expression and characterization of a redox-sensing green fluorescent protein (reduction-oxidation-sensitive green fluorescent protein) in *Arabidopsis*. Plant Phys 141:397-403
(9) Nagai T, Yamada S, Tomomaga T, Ichikawa M, Miyawaki A (2004) Expanded dynamic range of fluorescent indicators for Ca(2+) by circularly permuted yellow fluorescent proteins. Proc Natl Acad Sci USA 101:10554-10559
(10) Oldroyd GED, Downie JA (2008) Coordinating nodule morphogenesis with rhizobial infection in legumes. Ann Rev Plant Biol 59:519-546
(11) Popp C, Ott T (2011) Regulation of signal transduction and bacterial infection during root nodule symbiosis. Curr Opin Plant Biol 14:1-10
(12) Sánchez-López R, Jáuregui D, Nava N, Alvarado-Affántranger X, Montiel J, Santana O, Sánchez F, Quinto C. (2011) Down-regulation of SymRK correlates with a deficiency in vascular bundle development in *Phaseolus vulgaris* nodules. Plant Cell Environ 34:2109-2121
(13) Sheahan MB, Staiger CJ, Rose RJ, McCurdy DW. (2004) A green fluorescent protein fusion to actin-binding domain 2 of *Arabidopsis* fimbrin highlights new features of a dynamic actin cytoskeleton in live plant cells. Plant Phys 136:3968-3978
The response to water deficit in *Phaseolus vulgaris*
by Alejandra A. COVARRUBIAS, José Luis REYES, Marina BATTAGLIA, Miguel A. ROSALES, Sonia CUÉLLAR, Cecilia CONTRERAS, Lucero RIVERA, Carlos de la ROSA, Guadalupe SOSA, Fernando RABANAL, Arturo VELARDE, Francisco CAMPOS, Edilia OCAMPO and Rosa M. SOLÓRZANO
**Abstract:** A major problem in common bean (*Phaseolus vulgaris* L.) agriculture is that most of the cultivated area is located in rainfed regions leading to low grain yields due to intermittent and terminal drought. To better understand the common bean response to water limitation, we have followed different approaches that include a physiological and molecular characterization of the response comparing cultivars differing in their drought resistance, the functional characterization of drought responsive proteins and of small non-coding RNAs (microRNAs). Some of the results are briefly described.
**Key words:** *Phaseolus vulgaris*, abiotic stress, water deficit, drought, gene expression, microRNAs, stress proteins.
A major problem in common bean (*Phaseolus vulgaris* L.) agriculture is that most of the cultivated area is located in rainfed regions leading to low yield (up to 80% of yield reduction) due to intermittent and terminal drought (3, 8). Common beans, as part of the basic food for people in Latino America, have been grown for a long time over a broad variety of environments, mostly under rainfed conditions, exposing them to recurrent droughts and to large changes in soil water availability (3); this has led to the selection of several genotypes associated with different mechanisms responsible of maintaining the plant functions needed not only for survival but also for enough seed production under drought. Hence, common bean could be a good crop model to identify different mechanisms to cope with water limitation.
Because the plant responses to water deficit differ depending on various factors, such as the plant developmental stage at the time of the stress impact, the severity of the adverse condition, or the combination of additional environmental stimuli (heat, light intensity, among others), it is relevant to identify and understand the physiological reactions that certain cultivars present upon particular water deficit conditions. This information, together with the identification and characterization of the different molecules participating in this response, will allow the establishment of functional links between these molecules and those physiological processes related to the plant adjustment or adaptive mechanisms operating under this environmental stress.
To obtain insights into the mechanisms involved in the plant response to water limiting conditions, we have focused on the analysis of physiological and molecular responses to water limitation in common bean (*Phaseolus vulgaris* L.). Three main approaches have been followed.
Because terminal drought is a major problem for common bean production as it occurs during the reproductive stage, importantly affecting seed yield in Mexico and other countries, we want to understand those mechanisms associated with the plant response to this stress condition. For this, we have characterized some physiological responses in cultivars belonging to the Durango race, considered a major drought resistance source for tropical environments (3). Particularly, we have used three cultivars Pinto Saltillo, Pinto Villa and Bayo Madero, with different drought susceptibility. The common bean cultivars were subjected to moderate and severe terminal drought treatments under greenhouse conditions, and we analyzed the following traits: relative growth rate, photosynthesis and transpiration rates, stomatal conductance, water-use efficiency, relative water content, proline accumulation, glycolate oxidase activity and their antioxidant response. The results from these experiments indicate that the resistance to terminal drought in Durango race and in particular in Pinto Saltillo cultivar is not only the result of an intrinsic high productivity but rather the consequence of the participation of various mechanisms: a fine control of stomatal conductance, an efficient CO$_2$ diffusion in leaf tissues and fixation, and an effective water use. These data strengthen the idea that in terminal drought resistant cultivars, response mechanisms that favor seed production over foliar growth prevail (1), and reinforce the pertinence of characterizing drought resistant genotypes selected for particular drought types, to build a better picture of those mechanisms involved in drought resistance during specific plant developmental stages and to particular environments (11).
We have also studied particular molecular mechanisms in the response to water deficit related to the function of proteins that accumulate in response to this stress condition. Those best characterized by our research are related to the role of the so-called LEA (Late Embryogenesis Abundant) proteins, which are ubiquitous in the plant kingdom and whose accumulation is closely associated to water deficit conditions imposed during development or by the environment (2). We have studied this group of proteins in common bean and Arabidopsis and found that they show similar accumulation patterns (2, 4). Even though we have been able to characterize the participation of some LEA proteins in response to water deficit in Arabidopsis, this task has been difficult in common bean, mainly because the limitation for transforming this species, among other constraints. Given this situation, we have worked in establishing the transformed ‘hairy roots’ system to characterize *P. vulgaris* water deficit responsive genes in an homologous system, where despite the analysis is only possible in these singular organs, it offers the opportunity to study their tissue and cellular localization and the effects of their deficiency and over-expression. This study has implied the establishment of conditions to impose water deficit for this particular experimental system to study some functional characteristics of these proteins. By using reporter genes fused to *LEA4* gene promoters or by over-expressing some LEA proteins, we have been able to detect their localization in roots and root hairs, with a high accumulation in vascular tissues but also in cortex and epidermis. An interesting observation was their accumulation in meristematic regions, which correlates with the observation made in Arabidopsis regarding the impact of the AtLEA6 over-expression on the higher production of axilar and floral buds under water deficit (6). Inside the cell, these proteins are found in cytosol and nuclei (Fig. 1). Similar localization was previously found using specific antibodies (4). This validates the use of this system for such analyses.
A recently discovered mechanism of gene regulation involves the role of small RNA molecules known as microRNAs. MicroRNAs are small RNA molecules of 20-24 nts in length produced from longer precursors than are specifically processed by the type III RNase DICER-LIKE 1 (DCL1) and associated protein factors. Within a multiprotein complex called RISC (RNA-Induced Silencing Complex), the microRNA is bound to the effector protein ARGONAUTE 1 (AGO1), and recognizes a target mRNA by RNA/RNA base-pairing. RISC subsequently directs mRNA down-regulation by AGO1-mediated mRNA endonucleolytic cleavage or by inhibiting mRNA translation. Hundreds of microRNAs have now been described in diverse plant species, where they have been recognized to regulate multiple processes including plant growth, root, leaf, and flower development, hormone signaling, as well as biotic and abiotic stress responses (6).
On this regard, we have focused on the analysis of microRNAs as regulators of this response in *P. vulgaris*. We have identified common bean microRNAs that are expressed under water deficit conditions, including several legume-specific microRNAs (1, 5). Their characterization, along with new data from high-throughput sequencing of small RNA populations from different organs of common bean has allowed us to obtain a global picture of microRNA dynamics (4). Their detailed study is revealing how common bean, and possibly other legumes as well, uses the repertoire of microRNAs to control plant processes in response to adverse conditions. In contrast with these microRNA studies, the identification of *P. vulgaris* target mRNAs has been hindered by the lack of sufficient genomic sequence data to obtain potential candidates. Thus, we have combined different strategies to identify miRNA targets: a bioinformatic prediction of targeted transcripts, a biochemical analysis of the AGO1 protein and of its interacting RNAs, and a high-throughput sequencing analysis of cleaved mRNAs to identify miRNA targets under water deficit conditions (Fig. 2).
The recent availability of the sequenced genome for *P. vulgaris* (www.phytozome.net) has allowed us to explore potential candidate targets at the genomic level. This comprehensive analysis will be invaluable to identify mRNAs subjected to microRNA regulation and it will provide us with novel tools to understand what cellular processes are being regulated by microRNAs during adverse conditions.
All together, our data will help to better understand strategies used by common bean and other legumes to cope with adverse environmental conditions.
References
(1) Arenas C, Pérez B, Rabanal F, Blanco-Melo D, De la Rosa C, Estrada-Navarrete G, Sanchez F, Covarrubias AA, Reyes JL (2009) Conserved and novel miRNAs in the legume *Phaseolus vulgaris*. Plant Mol Biol 70:385-401
(2) Battaglia M, Olvera-Carrillo Y, Garciarrubio A, Campos F, Covarrubias AA (2008) The enigmatic and appealing LEA proteins and other hydrophilins. Plant Physiol 148:6-24
(3) Beebe SE, Rao IM, Blair MW, Acosta-Gallegos JA (2011) Phenotyping common beans for adaptation to drought, In: Monneveux P, Ribaut J-M (eds) Drought Phenotyping in Crops: From Theory to Practice. CGIAR Generation Challenge Programme, Texcoco, Mexico, pp. 319-343
(4) Colmenero-Flores JM, Moreno LP, Smith C, Covarrubias AA (1999) *Phlo-18*, a member of a new LEA protein family; expression, protein accumulation, and immunolocalization during stress and development. Plant Physiol 120:93-103
(5) Contreras-Cubas C, Rabanal FA, Arenas-Huertero C, Covarrubias AA, and Reyes JL (2012) The *Phaseolus vulgaris* miR159a precursor encodes a second differentially expressed microRNA. Plant Mol Biol 80:103-115
(6) Covarrubias AA, Reyes JL (2009) Post-transcriptional gene regulation of salinity and drought responses by plant microRNAs. Plant Cell Environ 33:481-489
(7) Cuéllar-Ortiz SM, Arrieta-Montiel MP, Acosta-Gallegos JA, Covarrubias AA (2008) Relationship between carbohydrate partitioning and drought resistance in common bean, Plant Cell Environ 31:1399-1409.
(8) FAO 2011, FAOSTAT http://faostat.fao.org/site/567/DesktopDefault.aspx?PageID=567#ancor
(9) Olvera-Carrillo Y, Campos F, Reyes JL, Garciarrubio A, Covarrubias AA (2010). Functional Analysis of the Group 4 Late Embryogenesis Abundant proteins reveals their relevance in the adaptive response during water deficit in *Arabidopsis thaliana*. Plant Physiol 154:373-390
(10) Pelaez P, Trejo MS, Iñiguez LP, Estrada-Navarrete G, Covarrubias AA, Reyes JL, Sánchez FE (2012). Identification and characterization of microRNAs in *Phaseolus vulgaris* by high-throughput sequencing. BMC Genomics 13:83
(11) Rosales MA, Ocampo E, Rodriguez-Valentin R, Olvera-Carrillo Y, Acosta-Gallegos JA, Covarrubias AA (2012) Physiological analysis of common bean (*Phaseolus vulgaris* L.) cultivars uncovers characteristics related to the resistance to terminal drought. Plant Physiol Biochem 56:24-34
Molecular breeding for biotic stress resistance in common bean (*Phaseolus vulgaris*): Example of resistance to ascochyta blight, an intractable disease of tropical highlands
by Matthew BLAIR*, Luz N. GARZÓN, Oscar A. OLIVEROS and Gustavo A. LIGARRETO
**Abstract:** Biotic stresses cause the greatest reduction in yield potential of common beans (*Phaseolus vulgaris* L.) in most production areas devoted to the crop. Diseases are especially important in most years under most production systems. This is due to the multiple disease pathogens that attack common bean as well as the high prevalence of inoculum in most production regions. In addition, co-evolution of fungal strains and crop germplasm has led to diseases of high virulence especially in Latin America where the crop was domesticated and is still grown. Movement of pathogens from one continent to another and recombination in some fungal genomes has created new strains in Africa especially. The example that we will use in this mini-review is that of Ascochyta blight, an important disease of Latin America and some parts of Africa.
**Key words:** Ascochyta blight, breeding, common bean, fungal pathogen
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**The fungal pathogen: Ascochyta blight**
Ascochyta blight (Fig. 1) is caused by the fungal pathogen *Phoma exigua* var. *diversispora* and generates losses of up to 84% in common beans grown in highland environments of the Andes, Central America or East Africa. Within the Andean region, the disease is especially prevalent in the Departments of Antioquia, Boyacá, Cauca, Cundinamarca and Nariño of Colombia as well as in many parts of Ecuador and Peru. The disease is also important in high elevation areas of Guatemala in Central America and in Tanzania in Eastern Africa. Few studies have analyzed resistance sources for levels of disease infection nor the inheritance of resistance to Ascochyta blight in beans. In some initial screening in Peru, some resistance was found in genebank accessions mostly from a relative species of common bean named scarlet runner bean (*P. coccineus* L.). Other research using only common bean genotypes, found that resistance was never very high and only a few accessions presented intermediate levels of resistance (3, 6).
Meanwhile, the existence of pathogenic races has not been confirmed, nor genotypes for the analysis of differential infection have been defined. Given this, we have recently made a collection of isolates for the pathogen in an attempt to differentiate strains from different regions of Colombia based on differential reactions with previously described resistance sources (4). In that study, we characterized the reaction of ten landraces and local cultivars through pathogenicity tests with four isolates of the disease agent as a first step towards creating a differential set of interactions. We found that cultivars varied in disease levels and that races of Ascochyta blight are likely to exist since both strong and weak pathogenicity strains were identified. Notable sources of resistance have been G4032, G6436, G20523, ICTA Hunapu and several ASC and ASR breeding lines (1, 4). Variability in resistance sources was mainly found within the Mesoamerican genepool (Table 1) while Colombian Andean landraces were all susceptible. The identification of potential races among the fungal strains was not surprising as races are well known and amply characterized for the pathogens causing anthracnose (*Colletotrichum lindemuthianum* Sacc. and Magn.) and rust (*Uromyces appendiculatus* pv. *phaseoliola* Pers.) diseases in common bean.
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*Universidad Nacional de Colombia, sede Palmira y sede Bogotá, Colombia (email@example.com)*
Table 1. Sources of resistance evaluated against four Colombian isolates of the disease Ascochyta blight caused by *Phoma exigua* var. *diversisporum*.
| Genotype | Gene Pool (*P. vulgaris*) | Infection level with corresponding strains<sup>a</sup> |
|--------------|---------------------------|------------------------------------------------------|
| | | Popayán ASC1 | Antioquia ASC3 | Cundinamarca ASC35 | Santander ASC 236 |
| Agrario | Andean | S | I | I | I |
| Cabrera | Andean | S | I | I | I |
| Cargamanto | Andean | I | I | I | I |
| D. Moreno | Andean | S | S | S | I |
| G3367 | Mesoamerican | S | I | S | S |
| G3991 | Mesoamerican | S | S | S | I |
| G9603 | NA | S | S | S | S |
| G4032 | Mesoamerican | I | I | I | I |
| G6436 | Mesoamerican | I | I | I | I |
| G10747 | Mesoamerican | I | I | S | I |
| G19833 | Andean | S | S | S | I |
| DOR364 | Mesoamerican | S | S | S | S |
| G2333 | Mesoamerican | S | S | S | S |
| G19839 | Andean | S | S | S | I |
| G35182 | *P. coccineus* | R | R | R | R |
Molecular breeding for Ascochyta blight resistance
A major research effort has gone into tagging resistance genes and identifying linked molecular markers (7). Initial studies were almost all performed with small segregating populations and bulked-segregant analysis. Later studies included quantitative trait locus (QTL) analysis, to screen for levels of resistance to various pathogens where inheritance was not limited to single gene resistance factors. Many of these QTL analysis were performed with recombinant inbred lines (RIL) made from contrasting mapping parents and in some cases the same RIL population was used to screen for resistance to one or more disease resistances. Inheritance studies to fungal disease resistance have identified a large set of major resistance genes and a number of QTLs for reduced symptoms. More studies of this sort are needed especially for less-well studied diseases in this crop such as Ascochyta blight.
In the case of our focus pathogen, no inheritance studies have yet been performed. It seems likely that inheritance to Ascochyta blight is mostly quantitative as resistance is only intermediate and reflects differences in disease development on different varieties. Leaf lesion size is an important trait that is quantitatively inherited as is the infection of pods. A set of genetic mapping parents were found to vary for resistance to some Ascochyta blight strains (4) with the resistant allele coming from the Andean genotypes (G19833 and G19839) and the susceptible allele coming from the Mesoamerican genotypes (DOR364 and G2333). This seems to be counterintuitive since disease resistance sources have tended to be lacking in the Andean gene pool for this disease, while most resistance has been observed in Mesoamerican bush and climbing beans. Full QTL studies with the derived RIL population would be of interest but would require better testing conditions as Ascochyta blight requires cool temperatures for optimum development and therefore is not adapted to greenhouse screening. Association of resistance with genotyping of derived lines might be an interesting way to...
discover markers associated with resistance QTLs. This would be especially useful for progeny derived from G2333 as this genotype has been used for crosses to improve anthracnose resistance and it is important to monitor that susceptibility to *Ascochyta* blight should not be co-inherited with Anthracnose resistance.
A novel method of screening for QTL associations will be with candidate genes based on the full suite of resistance gene homologues (RGH) genes in common bean. We have carried out a project to identify over 400 RGH genes from the whole genome of the Andean genotype G19833 in an attempt to determine which function as disease resistance genes and against which pathogens. Many anthracnose resistance genes now appear to belong to this gene family and it is highly likely that NBS-LRR genes play a role in defense against various fungal pathogens.
**Inter-specific crosses: a potential source of resistance to be handled with care**
We have seen that common beans of both the Andean and Mesoamerican gene pools are mostly susceptible to *Ascochyta* blight with some exceptions among Guatemalan black beans and other germplasm entries. Meanwhile high levels of resistance are found in the secondary gene pool species scarlet runner bean (*P. acuminus*) and year-long bean (*P. daimosus*) (2). Inter-specific crosses are possible between these species although most segregants are more similar to one or the other species and repeated backcrossing is needed to return to the self-pollinating common bean type. Inter-specific crosses have not been made specifically for *Ascochyta* resistance but crosses made for other purposes have been suitable for screening this trait.
Several populations derived from interspecific *P. vulgaris* x *P. acuminus* and *P. vulgaris* x *P. daimosus* crosses with the genotypes G35575 and G35999 have been screened for *Ascochyta* blight resistance so far (5). Both types of crosses have been found to result in lines that are intermediate but not high in tolerance to the disease.
Unlike previous interspecific lines with a Mesoamerican gene pool background the lines from (5) were of Andean background. Results of that study confirmed the variability in the pathogenic capacity of different isolates of the causal agent and the need for differential varieties for a more accurate description of the isolates and categorization into races. Lines derived from G35575 were more resistant than those from G35999 but only to some of the *Ascochyta* strains. Most interspecific lines have been developed from a single or two backcrosses, something important to consider when breeding with interspecific crosses.
When making interspecific crosses, one must consider the characteristics of the donor species as well. For example, negative attributes of scarlet runner bean are its outcrossing nature, its poor seed set and its thick seed coat. Year-long bean has a thick seed coat but is less of an outcrosser. Large seededness, high mineral concentration as well as adaptation to cool rainy conditions are desirable traits of scarlet runner bean, however almost all scarlet runner beans have a vine architecture or are photoperiod sensitive and are difficult to cross or manage agronomically. Although some scarlet runner beans are type III bush beans with slightly less photoperiod sensitivity these generally do not carry as many desirable traits for resistance to diseases.
**Conclusion**
In conclusion, the breeding for *Ascochyta* blight resistance cannot rely on inter-specific crosses alone for variety development and it may advisable to use gene tagging and more precise marker-assisted backcrossing to transfer resistance genes within the primary gene pool for Andean or Mesoamerican beans or from the secondary gene pool to common bean. Therefore, QTL and gene-tagging studies should be extended to crosses within each species and inter-specific crosses to find the most important genes controlling resistance. The complete understanding and comparative analysis of LRR-NBS genes in the *Phaselia* genus will aid in the transfer of resistance gene specificities between species. This is expected to result in durable resistance for intractable diseases such as *Ascochyta* blight.
**References**
(1) Blair MW, Garzón LN, Jara C, Castellanos G, Mosquera G, Ligareto GA, Oliveros OA, Rivera CM, Villarraga P (2011) Resistance to and diversity of *Ascochyta* blight in common beans. Ann Rep Bean Improv Coop 54
(2) Camarena MF, Huaringa JA, Matros CL, Mostacero NE, Chiappe VL (sine anno) Resistencia a la mancha de la ascochita en frijol. Programa de Leguminosas de Grano de la Universidad Nacional Agraria La Molina
(3) De la Cruz H (1990) Selección de progenitores por resistencia a ascochyta en frijol. RELEZA I, 7-9 May 1990, Quito, Ecuador
(4) Garzón LN, Blair MW, Jara C, Castellanos G, Hoyos A, Mosquera G, Ligareto GA, Oliveros OA, Villarraga P (2011a) Disease response of Andean breeding lines tested for *Ascochyta* blight resistance. Ann Rep Bean Improv Coop 54
(5) Garzón LN, Blair MW, Jara C, Castellanos G, Mosquera G, Cajiao C, Beebe S, Ligareto GA, Oliveros OA, Villarraga P (2011b) Disease response of inter-specific common bean (*Phaseolus vulgaris*) x scarlet runner or year-long beans (*P. acuminus* and *P. daimosus*) breeding lines for *Ascochyta* blight resistance. Ann Rep Bean Improv Coop 54
(6) Erazo O, Pastor-Corrales M (1990) Prácticas culturales y resistencia genética para el manejo de la ascochyta del frijol. RELEZA I, 7-9 May 1990, Quito, Ecuador
(7) Miklas PN, Kelly JD, Beebe SE, Blair MW (2006) Common bean breeding for resistance against biotic and abiotic stresses: from classical to MAS breeding. Euphytica 147:105-131
Resistance in common bean to fungal disease improved by plant-to-plant signalling
by Elizabeth QUINTANA-RODRÍGUEZ and Martin HEIL*
Abstract: Fungal infections are a common threat in the cultivation of common bean (*Phaseolus vulgaris*). However, the resistance to the fungal pathogen, *Colletotrichum lindemuthianum*, in high-yield cultivars of *P. vulgaris* can be enhanced via plant-to-plant signalling. Volatile compounds such as limonene, nonanal and methyl salicylate contribute to the antifungal properties of resistant bean cultivars and enhance also the resistance in neighbouring plants, even when these belong to susceptible cultivars. Plant volatiles represent an attractive alternative to the use of pesticides in the fight against fungal infections of common bean.
Key words: Volatile organic compound, plant-plant signalling, priming, resistance inducers
Plants have to cope with pathogens and herbivores during their entire life. For that reason the plants have developed elaborate mechanisms to respond to attack by detrimental organisms. In addition to pre-existing defence barriers, such as cuticles and cell walls, plants possess an inducible immune system that controls the activation of defence mechanisms after the recognition of an attacker. These responses are systemic, that is, the defence mechanisms are expressed both in the affected and in distant, yet undamaged organs. This spread of resistance throughout plant tissues is termed systemic acquired resistance (SAR) (4).
However, resistance on the one hand is costly in terms of energy and resource consumption (6). Highly resistant plants are therefore characterized by low growth rates and low yield. Thus, crop plants, including common bean (*Phaseolus vulgaris*), have lost a large part of the inducible resistance traits during the breeding for high yield and result much less protected from infections than their wild ancestors (1). On the other hand, resistance- (R-) gene mediated resistance is commonly highly specific and active only against selected strains of a given species of pathogen. In conclusion, we face an urgent need to search for new means of resistance induction.
Anthracnose, caused by *Colletotrichum lindemuthianum*, is one of the most important diseases in common bean, causing losses of up to 100% of the harvest when the climatic conditions favour the pathogen. Main strategies in the control of this disease include the use of sterile seeds, the application of fungicides, and the development of resistant cultivars. However, due to the high genetic variability among the strains of *C. lindemuthianum*, all these strategies lack broad efficiency.
We explored the potential that is represented by broadly resistant wild genotypes and landraces to search for inducible resistance traits. Wild genotypes of common bean and resistant cultivars such as Pinto Villa respond to challenging with *C. lindemuthianum* strain 1088 with the release of multiple volatile organic compounds (VOCs). Interestingly, plants of the susceptible cultivar Negro San Luis exhibit phenotypic resistance when growing close to challenged Pinto Villa plants (Fig. 1A).
We speculated that the expression of this resistance is caused by plant-to-plant signalling, that is, a resistance activation in as yet undamaged plants, or parts of a plant, that are exposed to VOCs emitted from challenged, resistance-expressing plants. This phenomenon has been broadly described for wild lima bean (*Phaseolus lunatus*). Lima bean plants exhibited a resistance to the bacterial pathogen, *Pseudomonas syringae pv syringae* when being located close to conspecific neighbours in which SAR to pathogens had been chemically induced (7). Because VOCs that are emitted from bean have anti-fungal effects, among others (2), the phenomenon of plant-to-plant signalling was likely to exist also in common bean.
Our recent observations showed that VOCs emitted from challenged common bean plants lead to resistance to anthracnose in plants of cultivars that are commonly considered susceptible to the fungus. The resistance was quantitatively similar to the resistant plants at the phenotypic level and was as strong as the resistance induced by the chemical resistance inducer, benzothiadiazole, BTH (Fig. 1B).
The volatile profiles were characterized in the headspace of challenged plants (of both susceptible and resistant cultivars) and also in plants induced chemically with BTH. Based on the identification of differentially emitted VOCs, we selected nonanal, limonene, and methyl salicylate to investigate their effect on the germination of fungal conidia, an important phase in the early steps of the infection of a plant with the fungus. All VOCs exerted an inhibitory effect on the germination of fungal spores, with limonene having the strongest effects (Fig. 2).
Limonene was already reported to have inhibitory effects on the growth of *Fusarium verticillioides* (3). Nonanal presented also a negative effect on the growth of this pathogen. Interestingly, this VOC as well as methyl salicylate induced the resistance to *P. syringae* pv *syringae* in Lima bean (5, 7).
In conclusion, the VOCs that are produced by resistant bean cultivars in response to challenging them with a fungal pathogen enhance the phenotypic resistance in neighbouring plants, and this effect is likely to be caused by two potential and perhaps additive mechanisms: (1) associational resistance caused by direct inhibitory effects on spore germination and (2) the inducing effects of these VOCs on resistance-related genes. VOCs represent a highly attractive new strategy to enhance the resistance in common bean to anthracnose.
**References**
(1) Córdova-Campos O, Adame-Alvarez R, Acosta-Gallegos J, Heil M (2012) Domestication affected the basal and induced disease resistance in common bean (*Phaseolus vulgaris*). Eur J Plant Pathol 134:367-379
(2) Croft K, Jurtner F, Slusarenko AJ (1993) Volatile products of the lipoxygenase pathway evolved from *Phaseolus vulgaris* (L.) leaves inoculated with *Pseudomonas syringae* pv *phaseolicola*. Plant Physiol 101:13-24
(3) Dambolena JS, Lopez AG, Canepa MC, Theumer MG, Zygadlo JA, Rubinstein HR (2008) Inhibitory effect of cyclic terpenes (limonene, menthol, menthione and thymol) on *Fusarium verticillioides* MRC 826 growth and fumonisin B1 biosynthesis. Toxicon 51:37-44
(4) Durrant WE, Dong X (2004) Systemic acquired resistance. Ann Rev Phytopathol 42:185-209
(5) Girón-Calva P, Molina-Torres J, Heil M (2012) Volatile dose and exposure time impact perception in neighboring plants. J Chem Ecol 38:226-228
(6) Heil M, Baldwin IT (2002) Fitness costs of induced resistance: emerging experimental support for a slippery concept. Trends Plant Sci 7:61-67
(7) Yi HS, Heil M, Adame-Alvarez RM, Ballhorn DJ, Ryu CM (2009) Airborne induction and priming of plant defenses against a bacterial pathogen. Plant Physiol 151:2152-2161
**Figure 1.** Airborne resistance induction in common bean. A) Quantitative evaluation of disease in controls (no treatment), susceptible Negro San Luis plants exposed to volatiles (SEV) coming from an infected resistant (Pinto Villa) plant and resistant emitter plant, Pinto Villa (REV). B) Quantitative evaluation of disease on susceptible Negro San Luis plants treated directly with 0.5 mM BTH (BTH) or exposed to the air coming from infected resistant plants (SEV). Control plants were sprayed with distilled water. Pathogen population was recovered in all the treatments and is represented as numbers of colony forming units (CFU) per gram leaf fresh mass. Sample size was n=6. Different letters indicate significant differences among treatments (P < 0.001 according to LSD).
**Figure 2.** Effects of volatiles on conidial germination. The fungal pathogen *C. lindemuthianum* was exposed to different volatiles to analyze the effects on fungal development. A) Visual effect on the conidia exposed to volatiles; B) Percentage of germinated conidia after the exposure to volatiles. The bars represent the percentage of conidial germination, sample size n=5. Different letters indicate significant differences among treatments (P < 0.001 according to LSD)
Nuña popping bean: a kind of witness of the first steps of common bean domestication
by Ana M. GONZÁLEZ¹,²#, Fernando J. YUSTE-LISBONA²,³#, María LORES¹, A. Paula RODIÑO¹, Antonio M. DE RON¹, Rafael LOZANO² and Marta SANTALLA¹*
Abstract: Nuñas are native pole beans from South America that possesses the unique property of popping. Nuñas could be a new, nutritious and healthy snack food with potential for North America, Europe, Japan and other industrialized areas, but they are unsuitable for commercial production in temperate zones because they are photoperiod sensitive. Popping ability is quantitatively inherited and controlled mainly by dominant and epistatic effects. Eight QTLs were identified for popping ability on linkage groups 3, 5, 6, 7 and 9 and accounted together for 31% of the phenotypic variance. These QTLs would be good candidates for marker assisted selection to improve popping in nuña bean cultivars for their production as healthy snacks.
Key words: QTLs, marker assisted selection, evolution, Phaseolus vulgaris
Origin and diversity of nuña pop beans
Popping bean or nuña bean (*Phaseolus vulgaris* L., Fabaceae) is traditionally grown in the Andean highlands of South America at 2,000-3,000 m asl, where they are occasionally sold in local markets or consumed at home, thus far known and thought to be an ancient and pre-ceramic landrace (1). It seems probable that nuña beans originated in the Andes, where in some locations from Peru and Bolivia are sympatric with wild and primitive common bean populations, and perhaps at an early stage in the development of Andean agriculture (2). The first selection pressures leading to domestication of common bean could have resulted in the development of popping beans, and it appears that toasting grains was a well-established tradition in the Andes and possibly in Mesoamerica, where early maize races have also been used for popping. However, no evidence of nuña beans in Mesoamerica has been found most likely due to genetic differences between the Mesoamerican and Andean gene pools, which could be responsible, among others, for their contrasting popping ability and photoperiod response (1).
Nuña bean is tropical in appearance, with vigorous climbing growth habit and day-length sensitivity, and is consumed after a quick toasting process. The foremost trait that distinguishes popping bean from all other types of bean is the ability to expand the cotyledons after grains explode in response to heating, which is referred to as popping expansion, similar to popcorn, although the popping mechanism is different. Variation in popping ability, seed size, and color has been observed among nuña landraces (Fig. 1). Nuñas have a higher content of starch and copper than dry bean varieties and a lower content of protein, phosphorous, iron, and boron. Antinutritional factors such as lectins were higher in raw and boiled nuña samples than in toasted nuñas, while tannin levels did not change from raw to toasted treatments. Overall in-vitro digestibility was slightly lower for toasted nuñas than boiled dry bean (3).
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¹CSIC, Misión Biológica de Galicia, Departamento de Recursos Fitogenéticos, Pontevedra, Spain (firstname.lastname@example.org)
²Universidad de Almería, Campus de Excelencia Internacional Agroalimentario, Centro de Investigación en Biotecnología Agroalimentaria (BITAL), Almería, Spain
#Both authors contributed equally to this work
Breeding for popping traits is highly valuable for healthy snacks
Patterns of genetic variability in popping bean germplasm have been studied by using morphologic and molecular data (1, 3, 5, 6, and 7). Expansion coefficient is the most important quality parameter for popping beans. In popcorn, seed moisture content above or below an optimum range will dramatically reduce popping percentage (4). Previous studies also indicated that popping performance of nuna beans was related to the moisture content of seeds (5). Except moisture, little is known on the factors influencing popping ability in bean unlike in maize, where several physico-chemical properties of the grain are well studied (8).
Popping ability should be combined with bush growth habit, early maturity, and photoperiod insensitivity for commercial production in temperate zones. Our studies indicated that additive effects have only minor importance in the total variation of popping performance, and few genes in a mainly dominant fashion and epistasis could be interacting to confer popping ability in common bean. In consequence, more rapid advance will be made in the improvement of popping performance in nuna bean by using a breeding procedure which emphasizes the dominant and epistatic gene effects. Studies evidenced that the backcross with the nuna as the recurrent parent enhanced popping ability among progeny (6). Transgressive segregation was also observed for popping traits (Table 1), suggesting that extreme popping phenotypes resulted from complementary effects of alleles from two parents. Since transgressive segregation relies on additive genetic variation, the extreme phenotypes can be maintained and fixed through artificial selection, providing the potential for improvement of popping ability.
Figure 1. Unpopped (left) and popped (right) seeds of nuna bean landraces
Phenotypic selection for popping ability is laborious and time-consuming. Marker-assisted selection (MAS) approaches have been difficult to apply in the case of complex traits as popping ability, because individual QTLs have small genetic effects which in many cases are also environmentally modulated; hence, the identification of potential candidate QTLs for MAS is crucial.
Eight QTLs for expansion coefficient and popping dimension index were detected (Table 1) in an intra-gene pool mapping population generated from the cross PMB0225 (unpopped parent) x PHA1037 (popped parent). These QTLs were located on several linkage groups (LGs 3, 5, 6, 7 and 9) and they together explained 31% of the phenotypic variation; interestingly four of these QTLs co-localized on LG3 and LG7, which explained 21% of the phenotypic variation. These QTLs not only showed stability across significantly correlated traits, in separate and combined environments, but also they are shared QTLs for more than one trait which could be managed simultaneously in a breeding program.
The inheritance of popping ability was shown to be complex. Dominant gene action and additive × additive and dominant × dominant genetic effects were shown to be important in the genetic regulation of popping. The complexity of the inheritance of popping expansion shows that more complex breeding strategies could be more successful. The discovery of different QTLs with significant genetic effects for popping traits provides ample scope for an effective pyramiding approach, in which candidate QTLs could be simultaneously selected using PCR-based cost-effective marker systems. Therefore, by means of a QTL pyramiding approach, it could be possible to combine QTL alleles with positive effects for popping ability on a day-length-insensitive genotype through molecular breeding; it would allow overcoming the main drawback that has restricted the production and commercialization of nuña beans in temperate regions.
Acknowledgements
This work has been funded by a grant PET2008_0167 of the Ministerio de Economía y Competitividad. The authors thank Quval-Frutos Secos El Nogal (Pontevedra, Spain) for technical support and Diputación de Pontevedra for farm facilities. A. Paula Rodiño and Ana M. González were supported by a research contract of the Xunta de Galicia and National Spanish Research Council (CSIC), respectively.
Nutritional quality of common bean: more nutrients or less antinutrients?
by Francesca SPARVOLI* and Roberto BOLLINI
Abstract: Common bean production accounts to about 23 million metric tons and represents one third of the total world production of pulses. Due to its energy, protein, dietary fibre and minerals content, common bean is the major staple food for about one billion people living in Eastern Africa and South America and its consumption is also encouraged in developed countries. Nevertheless, beans have several disadvantages; they require long cooking-time and seed proteins are poorly digested and low in sulphur amino acids. Moreover, seeds accumulate anti-nutrients, such as lectins, phytic acid, tannins and raffinosaccharides, that hamper its nutritional value, reduce micronutrients bioavailability and cause stomach discomfort and flatulence.
Key words: $\alpha$-amylase inhibitor, antinutrients, lectins, phytic acid, galactooligosaccharides, storage proteins
The good and bad of bean seed storage proteins
Protein content of common bean seed is about of 20% of the dry matter. The largest fraction of these proteins is made up by storage proteins, which contribute to up to 80% of the total protein. Storage proteins are represented by phaseolin and legumin (7S and 11S globulins, respectively) and the APA proteins ($\alpha$-Amylase inhibitor, Phytohemagglutinin, Arecelin), a group of lectin-related polypeptides. All but legumin are glycoproteins. Contrary to other legumes, phaseolin is very abundant and normally represents about 50% of total seed proteins, while legumin is only 10%. APA proteins account for another 15% of total seed proteins, although in some wild genotypes arecelin may reach up to 50% of total proteins with a proportional decrease of phaseolin. APA proteins are considered protective factors against seed eating predators. These proteins are coded by a small multigene family that evolved through duplication and diversification of a common lectin ancestor (1). APA proteins may be very toxic to monogastric animals and/or insects, thus contributing to the low nutritional. Phytohemagglutinin has sugar binding property and is the true lectin. Its presence constitutes a possible risk, since in raw or incorrectly cooked bean seeds it has been shown to cause outbreaks of gastroenteritis, nausea and diarrhoea.
$\alpha$-Amylase inhibitor ($\alpha$AI) and arecelin may be considered truncated forms of PHA$_{\alpha}$ in which one or two loops involved in sugar binding function are missing, respectively (Fig. 1). In the case of $\alpha$AI, which is a potent inhibitor of both mammalian and insect (but not plant) $\alpha$-amylases, the precursor polypeptide is cleaved into two smaller subunits and this structural change is required to its biological activity. The presence of $\alpha$AI in the seed negatively affects starch utilisation. Arecelin has not a clearly understood biological activity, however its presence is associated to the highest levels of resistance against the two major bean pests, the bean weevil (*Acanthoscelides obtectus*) and the Mexican bean weevil (*Zabrotes subfasciatus*).
Phaseolin and APA proteins have been described as highly resistant to proteolysis in the digestive tract of humans and monogastric animals. This, at least in part, has been attributed to their conformation which is characterised by a high content of beta-sheet structures and by the presence of glycan chains at the surface of these proteins. Both these structural constrains may limit the access of the proteolytic enzymes, making these proteins resistant to hydrolysis. APA proteins are even more resistant to proteolysis than phaseolin and this, in the case of arecelin, has been regarded as one of the mechanism by which this class of proteins protects the seed from the attack of bruchids beetles. $\alpha$-Amylase inhibitor is also a very stable protein, in fact in its native form it is highly resistant to trypsin proteolysis for several hours at 37°C.
Although incomplete digestibility of phaseolin may limit the nutritional value of bean seeds, the presence of this protein may confer health properties to the seeds. In fact, there are evidences in soybean and lupine that peptides derived from digestion of 7S globulins have hypocholesterolemic activities (2). Since legume globulins are highly conserved and common bean is closely related to soybean, similar properties may also hold true for phaseolin. Healthy properties have been reported also for $\alpha$AI which presence in the diet helps in controlling obesity and diabetes. Much attention has been given to $\alpha$AI as a basic ingredient in several commercial anti-obesity and anti-diabetes products, referred to as “starch blockers”, due to their ability to interfere with the breakdown of complex carbohydrates leading to reduction of glucose derived energy intake. The efficacy and security of “starch blockers” is frequently debated since many of the commercial preparations display very low $\alpha$AI activity and are rich in PHA.
Exploiting natural variability in bean species (*P. vulgaris* and *P. coccineus*) has proven to be useful to identify genotypes having different combinations of storage proteins. For example, most of bean genotypes accumulate PHA and $\alpha$AI, while arcelin is found only in wild accessions collected in central Mexico; APA-null genotypes or some containing only $\alpha$AI have also been reported while genotypes devoid of phaseolin may be found in *P. coccineus*. Thanks to this variability, breeding lines and varieties have been obtained with the aim to improve the nutritionally quality of the seed, to be more suitable for the production of starch blockers and to be resistant to bruchid beetles (Table 1).
**Bean seed biofortification: strategies to improve micronutrient bioavailability**
Iron deficiency anaemia (IDA) is the most prevalent micronutrient deficiency affecting more than two billion people throughout of the world. Bio-fortification, through the development of micronutrient rich crops, is one of the strategies adopted to fight against IDA and more generally against micronutrient deficiencies. Due to its worldwide consumption and nutritional qualities, common bean has been identified as a strategic target crop to increase dietary iron for human beings ([http://www.harvestplus.org/content/iron-beans](http://www.harvestplus.org/content/iron-beans)).
Bean seeds have an iron content that vary between 35 and 90 µg/g and breeding to increase iron concentration by 60-80% in cultivated varieties has been achieved by researchers at CIAT (Centro International de Agricultura Tropical). The iron content in these bio-fortified bean varieties has been improved up to 100 µg/g. However, increase in iron content not necessarily translates into increased iron bioavailability, that may be strongly reduced by the presence in the seeds of iron absorption inhibitors, such as phytic acid (PA), polyphenols (PP) in coloured varieties, and seed 7S globulins. Thus, any strategic approach for bean bio-fortification, based either on increasing iron content or reducing iron absorption inhibitors, should consider nutritional trials to be performed to verify the success and extent of the bio-fortification strategy.
Experiments to assess iron bio-availability in high iron bean (HIB) lines, performed using different *in vivo* (human and animal feeding) and *in vitro* (Caco-2 cells) systems, have shown that the benefit of increased iron content may be vanished by the presence of high levels of PA and PP in the seeds. In fact, improved iron bio-availability was gained when iron content was increased in beans with low PP content. Furthermore, if the PA content of the HIB lines is too high, then normal iron (52 mg/g) bean lines provide significantly more bioavailable iron (3).
Since PP accumulate in seed coat and bean has a wide array of variability in seed colours, ranging from white to black, low PP genotypes can be easily identified. Conversely, natural variability in PA content is not very high and the best way to gain significant PA reductions is by obtaining low phytic acid (*lpa*) mutants, in which PA may decrease between 40 and 90%. Although such type of mutants have been identified in several grain crops, often PA reduction was associated with negative agronomic traits, such as lower seed viability and emergence, reduced plant growth rate and grain yield. These findings may limit the use of *lpa* mutants for iron bio-fortification, since acceptable agronomic performance should be guaranteed to small farmers and poor populations that would benefit from bio-fortified crops.
In common bean a single *lpa* mutant was identified and shown to carry a defective MRP type ABC transporter (*Pumpf*) necessary for phytic acid transport to the vacuole (4). Compared to wild type genotypes, bean *lpa* seeds have a 90% PA reduction, seven fold higher free iron extractability in mild acid conditions and 25% less raffinosaccharides (this reduction is expected to diminish flatulence). Agronomic analyses of the original *lpa* mutant and of derived *lpa* lines have shown that, despite the strong PA reduction in the seed, seedling emergence, seed yield and plant growth were not affected and not statistically different from those of wt and parental genotypes (5). A recent work aimed to evaluate iron bioavailability in *lpa* lines, using an *in vitro* digestion Caco-2 cell culture model, has shown that the amount of ferritin produced in Caco-2 cells fed with *lpa* and low PP seed digestate is about twice that found in cells fed with the normal PA and low PP genotype (6).
In conclusion, available data indicate that the future direction for an effective iron biofortification in common bean will require a breeding approach to combine HIB lines, low PP genotypes and *lpa* mutant(s).
Snap bean (Phaseolus vulgaris L.) quality profile by sensory descriptive analysis
by Mar VILANOVA, Paula RODIÑO, Ana GONZÁLEZ, Pilar CANOSA, Iría RODRÍGUEZ-VEGA, Manuel RIVEIRO and Marta SANTALLA*
Abstract: Sensory quality of snap beans (Phaseolus vulgaris L.) influence consumer preferences. The application of sensory descriptive analysis (SDA) for snap bean quality is shown in this work. SDA has allowed generating descriptors for appearance, aroma, flavor and texture, which could be used to characterize snap bean varieties.
Key words: sensory quality, common bean, quality, Phaseolus vulgaris.
Importance of sensory descriptive analysis in food quality
Sensory quality is the ultimate measure of product quality. Sensory analysis comprises a variety of powerful and sensitive tools to measure human responses to foods. Specific scientific methods have been developed to accurately, reproducibly and objectively measure or estimate human responses to stimuli. All descriptive analysis methods involve the detection and the description of both qualitative and quantitative sensory aspects of a product by a trained panel. Panelist must be able to detect and describe the perceived sensory attributes of a sample, appearance, aroma, flavor, texture or sound properties and they must learn to differentiate and rate the intensity of these descriptors.
The flavor profile method (FMP) was the first reported descriptive method, developed in the 1940s to complement existing sensory techniques. FMP is a consensus technique, and vocabulary development and rating sessions are carried out during group discussions, with members considering aspects of the detectable flavor components (5). Quantitative descriptive analysis (QDA) was developed during the 1970s and it has gained acceptance for sensory evaluation (8). QDA is one of the most comprehensive and informative tools used in sensory analysis for evaluating food and dairy products (8). The principle of QDA is based on the ability to panelists to measure specific attributes of a product in a reproducible manner to yield a comprehensive quantitative product description amenable to statistical analyses (2).
Snap bean quality by sensory descriptive analysis
Sensory Descriptive Analysis has been applied in the last years to evaluate bean quality (4, 7). QDA was applied to know the gamma radiation effect on sensory attributes of the common bean (Phaseolus vulgaris L.) variety Carioca Tybata from Brazil (1). Other authors have also applied SDA to correlate the sensory descriptors with volatile compounds in rehydrated French beans (9), and to evaluate the sensory characteristics of local varieties of common bean from Cuba (4) and Spain (7).
A study of 10 snap bean varieties by sensory descriptive analysis, including both fresh and cooked immature pods, was carried out in the MBG-CSIC. A selection of descriptors to evaluate the snap bean quality profile was identified by a panel (Figure 1), according to the motivation (all volunteers) and availability (attendance at all sessions). Sessions were carried out by following the NORME ISO 11035 (6). The Geometric Mean (GM) permitted to take into account descriptors which were rarely mentioned, albeit very important in terms of the perceived intensity, and those descriptors perceived with a low intensity but nevertheless often mentioned in the analysis (3).
*CSIC, Misión Biológica de Galicia, Departamento de Recursos Fitogenéticos, Pontevedra, Spain (email@example.com)
Acknowledgments
This work has been funded by a grant 09MRU025403PR of the Galicia Government. A. Paula Rodiño, Ana M. González were supported by a research contract of the Xunta de Galicia and National Spanish Research Council (CSIC), respectively. I. Rodríguez-Vega and P. Canosa thanks grants to Spanish Government.
References
(1) Armelim JM, Canniatti-Brazaca SG, Spoto MHF, Arthur V, Piedade SMS (2006) Quantitative Descriptive Analysis of common bean (*Phaseolus vulgaris* L.) under gamma radiation. J Food Sci 71:8-12
(2) Chapman JW, Lawless HT, Boor KJ (2001) Quantitative descriptive analysis and principal component analysis for sensory characterization of ultrapasteurized milk. Dairy Sci 84:12–20
(3) Dravnieks A, Bock FG (1978) Comparison of odours directly and through proWling (ITT Research Institute, Chicago, IL, 60610). Chem Sense Flavour 3:36–54
(4) Leyva-Martínez, R.M., Pachón, H., Chaveco-Pérez, O., Permuty-Abeleira, N., Ferraz-Tellez Y, Caballero-Espinosa N, García-Sánchez E (2010) Evaluación sensorial de frijol (*Phaseolus vulgaris* L.) mejorado nutricionalmente en dos comunidades cubanas. Agron Mesoam 21:281-288
(5) Murray JM, Delahunty CMA, Baxter IA (2001) Descriptive sensory analysis: past, present and future. Food Res Int 34:461–471
(6) Norme ISO 11035 (1994) Sensory analysis. Identification and selection of descriptors for establishing a sensory profile by a multidimensional approach
Sanz Calvo M, Arizcua del Rey J (1999) Sensory analysis of beans (*Phaseolus vulgaris*). Biotechnol Agron Soc Environ 3 :201–204
(7) Stone H, Sidel JL (1998) Quantitative descriptive analysis: developments, applications, and the future. Food Technol J 52:48–52
(8) Van Ruth MV, Roozen JP, Cozijnsen JL (1995) Volatile compounds of rehydrated French beans, bell peppers and leeks. Part 1. Flavour release in the mouth and in three mouth model systems. Food Chem 53: 15-22
Current state of knowledge of the Lima bean (Phaseolus lunatus L.) in Mexico
by Jaime MARTÍNEZ-CASTILLO*, Rubén H. ANDUEZA-NOH, Luciana CAMACHO-PÉREZ, Félix DZUL-TEJERO, Julián COELLO-COELLO, Matilde M. ORTÍZ-GARCÍA and M. Guadalupe CARRILLO-GALVÁN
Abstract: Lima beans are an important crop in Mexico. Within Mexico, a potential center of domestication of this species, the Yucatan peninsula has the greatest richness of landraces. These landraces have high levels of genetic diversity, but many are at high risk of genetic erosion from a variety of factors. In this region, there are wild populations, which favor wild to crop introgression and the resultant genetic variation may undergo selection by the Mayan farmers of this region.
Key words: domestication, genetic diversity, Lima bean, Mexico, wild–crop introgression
Importance of Lima bean in Mexico
Mexico is one of the main centers of origin of agriculture and domestication of plants. Of the plants domesticated in this country, beans (*Phaseolus* sp.) are a representative food of the Mexican culture. The genus *Phaseolus* comprises over 50 species, most of which are wild species. Only five species have been domesticated, and all five are present in Mexico: the common bean (*P. vulgaris*), runner bean (*P. acutifolius*), tepary bean (*P. acutifolius*), piyola bean (*P. polyanthus*) and Lima bean (*P. lunatus*). Although each of these species is particularly important to Mexican culture, in this review we only present significant results from molecular studies obtained over the past 12 years for Lima bean from Mexico.
In Mexico, the Lima bean is cultivated by a large number of ethnic groups living in the country. This crop is known by different names, among the most commonly used are “ibes” in the Yucatan Peninsula, “patashetes” in Chiapas, “pataxtles” in Veracruz and “combas” in Guerrero. Because of the large variation in the type of seed produced, the landraces also have numerous names, as is the case of “ibes” in Mayan agriculture of the Yucatan Peninsula. This region has the largest number of Lima bean landraces, with more than 25 landraces (Fig. 1), which have been named on the basis of shape, color and seed production cycle (4). Examples are the landraces known by the Mayan names of *chak-patziia-sintzoy* (red heart of the Dove) and *mazqa-Kizam* (boar eyebrows). In Mexico, Lima bean is not cultivated intensively as in some other countries (i.e., Peru, United States, Madagascar), which has prevented it from acquiring greater economic importance. Lima bean is grown mainly in the Mesoamerican traditional farming system of slash and burn known as milpa. For example, in the Yucatan peninsula, this crop is the fourth most important species of the Mayan milpa.
Lima bean domestication in Mexico
Beans (*Phaseolus* sp.) were domesticated in America in pre-Columbian times. Lima bean is now recognized to have been domesticated in at least two different sites (8). One site is in South America, in the mid-altitude valleys located between the countries of Peru and Ecuador. A second site is located in Mesoamerica; ribosomal DNA-based evidence shows that it could be somewhere in west-central Mexico (8). Recent results based on chloroplast DNA, support to the West-Central Mexico as a domestication site for Lima bean, but also indicate the possible existence of another site in Mesoamerica, possibly in Guatemala or Honduras (Andueza-Noh, personal communication) in the area known as the Mayan Highlands. Although previous studies based on protein analysis had already indicated this second possibility, improved and increased sampling of wild *P. lunatus* in Central and South America is needed to clarify this hypothesis.
Diversity and genetic erosion in Lima bean in Mexico
There are few studies in Mexico on diversity and genetic erosion in Lima bean using molecular data, and these have been done only in the Yucatan Peninsula. In a phytogeographical study that encompassed all of Mexico, it was found the Yucatan peninsula presents the greatest richness of Lima bean landraces across the country. This high diversity (4) is at risk of being lost because nearly 70% of the area planted with Lima beans in this region was dominated by three landraces, while another 12 landraces were planted by a few farmers in small plots. Molecular studies have reported that these 12 landraces have high levels of genetic diversity compared to the other three more abundant landraces and compared to landraces in other Mesoamerican regions (1, 6). The high risk of genetic erosion of the landraces is due to various factors including (3) the intensification of traditional agriculture Maya, (1) the incorporation of small producers into the market and, (3) destruction from natural phenomena such as hurricanes and droughts. This genetic risk has increased over the past 30 years (6, 7).
Gene flow and genetic introgression in Lima bean
In areas where landraces and wild populations of *P. lunatus* still grow sympatrically (Fig. 1), genetic exchange between them can be found. Such is the case in the Yucatan peninsula which was reported as having high levels of genetic diversity for wild populations (5). A regional analysis showed the existence of low levels of wild-crop gene flow, but the flow from landraces to wild populations was three times greater (Fig. 2) (2). In a recent study at the plot level (*milpa*), genetic introgression was found between these populations, with the introgression levels depending mainly on positive or negative selection on the introgressed forms by Mayan farmers (3). We have detected weedy forms (Fig. 1) that could be acting as a genetic bridge between landraces and wild populations. In some cultivated species, as could be the case for Lima bean in the Yucatan peninsula, the existence of weedy forms has produced an asymmetry in gene flow, favoring the highest gene flow from landraces toward wild populations. All these studies will help in assessing the risks of a possible release of transgenic varieties of this species in Mexico.
Perspectives on the study of Lima bean in Mexico
Much remains to be investigated in the Lima bean from Mexico. We are currently using microsatellite molecular markers to understand the structure and genetic relationships of this species throughout Mexico to obtain basic information on the domestication of the species. We are also conducting *in situ* and *ex situ* conservation programs of the landraces that are at risk of being lost in the traditional agriculture Maya of southeastern Mexico, and deepening our knowledge about the role of traditional farmers in the process of wild-crop genetic introgression and in selection of the genetic variation generated for this important micro-evolutionary process. Only when the contributions of the farmer are properly taken into account we could achieve an accurate understanding of the dynamics, generation and maintenance of genetic diversity of the landraces.
References
(1) Camacho Pérez I (2012) Diversidad, estructura y relaciones genéticas del *fríjol Lima* (*Phaseolus lunatus* L.) en el área Maya. Master thesis. Centro de Investigación Científica de Yucatán, Mérida, Yucatán, México
(2) Castillo J, Zizumbo-Villarreal D, Gepts P, Colunga-García Marín P (2007) Gene flow and genetic structure in the wild—weedy—domesticated complex of *Phaseolus lunatus* L. in its Mesoamerican center of domestication and diversity. Crop Sci 47:58-66
(3) Dzul Tejero F (2011) Introgresión genética silvestre-domésticado del lb (*Phaseolus lunatus* L.) en la agricultura Maya de la península de Yucatán, Mexico. Master thesis. Centro de Investigación Científica de Yucatán, Mérida, Yucatán, México
(4) Martínez-Castillo J, Zizumbo-Villarreal D, Perales-Rivera H, Colunga-García Marín P (2004) Intraspecific diversity and morpho-phenological variation in *Phaseolus lunatus* L. from the Yucatan Peninsula, Mexico. Econ Bot 58:354-380
(5) Martínez-Castillo J, Zizumbo-Villarreal D, Gepts P, Delgado-Valerio P, Colunga-GarcíaMarín P (2006) Structure and genetic diversity of wild populations of lima bean (*Phaseolus lunatus* L.) from the Yucatan peninsula, Mexico. Crop Sci 46:1071–1080
(6) Martínez-Castillo J, Colunga-GarcíaMarín P, Zizumbo-Villarreal D (2008) Genetic erosion and *in situ* conservation of Lima bean (*Phaseolus lunatus* L.) landraces in its Mesoamerican diversity center. Genet Resour Crop Evol 55:1065-1077
(7) Martínez-Castillo J, Camacho-Pérez I, Coello-Coello J, Andueza-Noh RH (2011) Wholesale replacement of Lima bean (*Phaseolus lunatus* L.) landraces over the last 30 years in northeastern Campeche, Mexico. Genet Resour Crop Evol 59:191-204
(8) Serrano-Serrano MI., Andueza-Noh RH, Martínez-Castillo J, Dehouck DG, and Chacón MI (2012) Evolution and domestication of lima bean (*Phaseolus lunatus* L.) in Mexico: Evidence from ribosomal DNA. Crop Sci 52:1698-1712
The Common Bean Museum in Smilyan
by Svetlana ANTANASOVIù, Mariya SABEVA², Siyka ANGELOVA², Branko ĆUPINA¹, Đorđe KRSTIù, Sanja VASILJEVIó and Aleksandar MIKIó
Abstract: Sensory quality of snap beans (*Phaseolus vulgaris* L.) influence consumer preferences. The application of sensory descriptive analysis (SDA) for snap bean quality is shown in this work. SDA has allowed generating descriptors for appearance, aroma, flavor and texture, which could be used to characterize snap bean varieties.
Key words: Bulgaria, common bean, folklore, museum, *Phaseolus vulgaris*
In the southern Bulgaria, in the Smolyan Province, quite close to the border with Greece, there is a small village of Smilyan. There, like in many other regions of the Balkan Peninsula, *Phaseolus* beans have been grown for at least 250 years. Similarly to the local landraces of other pulse crops, such as faba bean (*Vicia faba* L.) or chickpea (*Cicer arietinum* L.), each household cultivates, uses and maintains its own one, sufficiently enough to satisfy its needs. It is well-known that common bean is the most important pulse crop in human diets across the Balkans and it is no wonder that it deserved a kind of sacred place devoted especially to it: a common bean museum. Though not large, it contains a large number of home-made artwork of the common bean seeds and welcomes thousands of visitors from Bulgaria and other countries each year. Welcome and *добър апетит!* (enjoy your meal)!
Acknowledgements
Projects TR-31016 and TR-31024 of the Ministry of Education, Science and Technological Development of the Republic of Serbia and ERA-168/01 SEELEGUMES of European Union.
¹University of Novi Sad, Faculty of Agriculture, Department of Field and Vegetable Crops, Novi Sad Serbia (firstname.lastname@example.org)
²Institute for Plant Genetic Resources, Sadovo, Bulgaria
³Institute of Field and Vegetable Crops, Novi Sad, Serbia
Figure 1. The interior of the Common Bean museum in the village of Smilyan, Bulgaria
Welcome to IFLRC VI & ICLGG VII
Saskatoon, Canada, July 7-11 2014
Thank you for your interest in
IFLRC VI & ICLGG VII – a joint conference of
the 6th International Food Legumes Research Conference (IFLRC VI) and
7th International Conference on Legume Genetics and Genomics (ICLGG VII).
The conference includes a central scientific program and great opportunities for networking among participants.
There will be many opportunities to establish new partnerships among the academic, biotech, applied and commercial agriculture communities that will have positive effects on the future of the legume industry internationally.
The scientific program is structured around plenary talks from the world’s leading legume scientists in major important disciplines including:
• legume genomics
• molecular breeding
• human nutrition
• trait improvement
• agronomy
• physiology
The combined interests of ICLGG and IFLRC span the spectrum from basic legume science through consumer-driven applications.
An underlying theme of the conference is to explore scientific avenues to increase demand for legumes in a high-value market chain worldwide. Our industry has the potential to grow by focusing the latest technologies on the needs of producers and consumers.
The joint meeting of IFLRC and ICLGG represents a unique opportunity to advance this goal.
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Essential Thalamic Contribution to Slow Waves of Natural Sleep
François David,1,2,* Joscha T. Schmiedt,1,4,* Hannah L. Taylor,1 Gergely Orban,1 Giuseppe Di Giovanni,1,5 Victor N. Uebele,3 John J. Renger,6 Régis C. Lambert,2,3 Nathalie Leresché,2,3 and Vincenzo Crunelli1
1Neuroscience Division, School of Biosciences, Cardiff University, Cardiff CF10 3AX, United Kingdom, 2Unité Mixte de Recherche 7102 Centre National de la Recherche Scientifique and 3Université Pierre et Marie Curie, Université Paris 6, 75005 Paris, France, 4Ernst Strüngmann Institute for Neuroscience in Cooperation with Max Planck Society, 60528 Frankfurt, Germany, 5Physiology and Biochemistry Department, Malta University, 2080 Malta, and 6Merck & Company Inc., West Point, Pennsylvania 19486
Slow waves represent one of the prominent EEG signatures of non-rapid eye movement (non-REM) sleep and are thought to play an important role in the cellular and network plasticity that occurs during this behavioral state. These slow waves of natural sleep are currently considered to be exclusively generated by intrinsic and synaptic mechanisms within neocortical territories, although a role for the thalamus in this key physiological rhythm has been suggested but never demonstrated. Combining neuronal ensemble recordings, microdialysis, and optogenetics, here we show that the block of the thalamic output to the neocortex markedly (up to 50%) decreases the frequency of slow waves recorded during non-REM sleep in freely moving, naturally sleeping-waking rats. A smaller volume of thalamic inactivation than during sleep is required for observing similar effects on EEG slow waves recorded during anesthesia, a condition in which both bursts and single action potentials of thalamocortical neurons are almost exclusively dependent on T-type calcium channels. Thalamic inactivation more strongly reduces spindles than slow waves during both anesthesia and natural sleep. Moreover, selective excitation of thalamocortical neurons strongly entrains EEG slow waves in a narrow frequency band (0.75–1.5 Hz) only when thalamic T-type calcium channels are functionally active. These results demonstrate that the thalamus finely tunes the frequency of slow waves during non-REM sleep and anesthesia, and thus provide the first conclusive evidence that a dynamic interplay of the neocortical and thalamic oscillators of slow waves is required for the full expression of this key physiological EEG rhythm.
Introduction
Slow waves and their neuronal counterpart, the cortical and thalamic oscillations between depolarized UP states and hyperpolarized DOWN states (Steriade et al., 1993a; Contreras and Steriade, 1995; Petersen et al., 2003; Sirota and Buzsáki, 2005; Crunelli et al., 2012), are the main EEG hallmark of non-rapid eye movement (non-REM) sleep (Crunelli and Hughes, 2010; Brown et al., 2012) and are also observed during anesthesia (Chauvette et al., 2011). The physiological importance of these waves of natural sleep is emphasized by their ability to group together other EEG rhythms of non-REM sleep (Steriade, 1997) and by their putative role in the consolidation of recently acquired memories (Tononi and Cirelli, 2001; Marshall et al., 2006; Ji and Wilson, 2007).
The mechanisms underlying the generation of EEG slow waves, however, remain controversial. Because (1) lesions of thalamic nuclei do not suppress slow waves in anesthetized cats (Steriade et al., 1993b) and (2) UP and DOWN states are recorded in neocortical slices (Sanchez-Vives and McCormick, 2000; Cossart et al., 2003) and in an isolated cortical gyrus \textit{in vivo} during anesthesia (Timofeev et al., 2000), these EEG slow waves are exclusively and consistently viewed as a cortically generated rhythm (Sanchez-Vives and McCormick, 2000; Timofeev et al., 2000; Chauvette et al., 2011; Brown et al., 2012). However, (1) increasing thalamic inhibition alters EEG slow waves in anesthetized rats (Doi et al., 2007) and suppresses whisking-induced cortical UP states in head-restrained mice (Poulet et al., 2012); (2) UP and DOWN states, and associated slow waves, can be recorded in thalamic slices (Hughes et al., 2002, 2004; Blethyn et al., 2006); and (3) selective thalamic degeneration modifies slow waves of non-REM sleep in humans (Gennignani et al., 2012). These findings, together with other mechanistic \textit{in vitro} studies and investigations in anesthetized animals (for review, see Crunelli and Hughes, 2010), question the current cortico-centric view of slow wave generation and led us to suggest that the full expression of these EEG waves of natural sleep requires a dynamic interplay of cortical and thalamic oscillators (Crunelli and Hughes, 2010). Unfortunately, the resolution of this controversy is still hampered by the lack of any study that has directly and systematically addressed this issue in unrestrained, naturally waking-sleeping...
animals. Moreover, our current mechanistic knowledge of slow waves of natural sleep continues to be clouded by the speculative extrapolations of findings obtained in anesthetized conditions.
Using a combination of neuronal ensemble recordings, thalamus-selective pharmacological inactivation, and optogenetic activation of thalamocortical (TC) neurons in naturally sleeping or anesthetized rats, here we show, for the first time, that the thalamus is required for finely tuning the frequency of slow waves during non–REM sleep and anesthesia. Moreover, we demonstrate that the entrainment of EEG slow waves by selective thalamic activation is dependent on T-type calcium channels. Together, these results provide the first conclusive evidence that cortical and thalamic oscillators are necessary for the full expression of slow waves of non–REM sleep.
Materials and Methods
All experimental procedures were performed in accordance with the United Kingdom Animals (Scientific Procedure) Act 1986 and local ethics committee guidelines. All efforts were made to minimize animal suffering and the number of animals used. Experiments were performed on male adult Wistar rats (260–400 g, Harlan Laboratories), maintained on a normal diet and under a 8:00 A.M. to 8:00 P.M. light-on regimen.
Experiments in anesthetized rats
Surgery. After anesthesia induction with 5% isoflurane, rats received an intraperitoneal injection of ketamine (120 mg/kg) and xylazine (20 mg/kg). Anesthesia was then maintained with a constant flow of ketamine (42 mg/kg/h) and xylazine (7 mg/kg/h) delivered via an intraperitoneal catheter connected to a pump (Newfira NE-300 syringe pump). Body temperature was maintained at 37°C with a heating pad and rectal probe. Rats were implanted with gold-plated skull screws (diameter 1 mm, length 3 mm) for EEG recordings in S1: anterior/posterior (AP) = −2.2 mm, mediolateral (ML) = ±5.5 mm from bregma (Paxinos and Watson, 2007). An additional screw (ground electrode) was placed anterior to the bregma, and two other screws above the cerebellum were used as reference electrodes for EEG and thalamic recordings.
For measuring the spatial extent of the action of 3,5-dichloro-N-[1-(2,2-dimethyl-tetrahydro-pyran-4-ylmethyl)-4-fluoro-piperidin-4-ylmethyl]-benzamide (TTA-P2), a potent and selective T-type channel antagonist (Uebel et al., 2009; Dreyfus et al., 2010), or of the sodium channel blocker TTX in the thalamus (i.e., see experiments illustrated in Fig. 3), a 1 mm hole was drilled unilaterally above the ventrobasal thalamic nucleus (VB), the dura was carefully removed, and a 32-channel silicone probe (10 mm length, 0.6 mm width, 1–4 MΩ) with four shanks (200 μm recording point distance, 15 μm thickness) (NeuroNexus Technologies) was slowly lowered in the VB (dorsoventral [DV] = −4.5 to −5.5 mm). A second hole in the same hemisphere was used to slowly lower (200 μm every 5 min) a microdialysis probe (CMA 12 Elite, 2 mm dialysis membrane length, 20 kDa cutoff, with a 16° angle with respect to the vertical axis; see Fig. 3A) to a final position that was between 0.5 and 1 mm lateral from the silicon probe. The 16° angle positioning of the dialysis probe was dictated by the space constraints of the silicone and dialysis probes connecting devices on the animal skull.
For measuring the effect of TTX and TTA-P2 (applied by microdialysis in the VB) on slow and spindle waves during anesthesia (i.e., see experiments illustrated in Fig. 4), EEG electrodes were implanted as above, and two microdialysis probes (one in each VB) were slowly lowered fully vertically until their tips rested 6.5 mm below the skull (i.e., in the most ventral part of the VB). In some rats, a silicone probe was also inserted unilaterally in the VB with a 16° angle with respect to the vertical axis.
For measuring the effect of systemic TTA-P2 injection (i.e., see experiments illustrated in Fig. 5), rats were implanted with EEG electrodes and a unilateral silicon probe in the VB (as described above).
Systemic (intravenous) and/or intraperitoneal injection. TTA-P2 was dissolved in saline containing 4% DMSO and the pH adjusted with potassium hydroxide (1 mEq). Control intraperitoneal injections contained 4% DMSO in saline. For reverse microdialysis injection, TTA-P2 was dissolved in aCSF with 4% DMSO. Tetrandrotetoxin citrate (TTX) was dissolved in aCSF. Flow rate of the microdialysis injection was set at 1 μL/min.
Injections. For the systemic injections, once stable EEG slow waves were recorded for at least 30 min and high amplitude well isolated units were present in some of the silicone probe channels, a control period of at least 40 min was recorded before injecting intraperitoneally either saline/DMSO or TTA-P2 while continuing recording for at least another 2 h. For intrathalamic drug application, reverse microdialysis injection of aCSF was initiated as soon as the microdialysis probes were in position, and continued for at least 1 h before electrical recordings commenced. Once stable, high-amplitude, well-isolated units could be recorded from...
some of the silicone probe channels, recording of a control period of at least 40 min was initiated. This was followed either by continuation of aCSF application or the inlet tubing was switched to a solution containing either TTX or TTA-P2. Recordings and dialysis application then continued for at least 1 h. At the end of the recording session, rats were transcardially perfused.
**Recordings.** Thalamic signals were amplified with an Omnetics preamplifier (gain 20, bandwidth 0.8 Hz to 54 kHz) and a Plexon recorder/64 channel amplifier (gain 7500–12,500, bandwidth 1–6000 Hz, Plexon).
The EEG signal was amplified with a combination of SuperTech BioAMP (Pecs) pre- (bandwidth 0.1–500 Hz) and main-amplifiers (bandwidth DC to 500 Hz). When combined unit and EEG recordings were made, signals were digitized with a Plexon recorder/64 system at 20 kHz with 16-bit resolution. EEG recordings were digitized using the Plexon recorder input via the IP16 event input breakout panel. The digitized data were converted to Spike2 format (version 5.13, CED). For all further analyses, data were converted to a raw binary format using tools of the freely available Klusters, Neuroscope, and NDManager software suite (Hazan et al., 2006). EEG data were low-pass filtered with a windowed sinc filter at 100 Hz and downsampled to 200 Hz.
**Experiments in freely moving rats**
**Surgery.** Rats were anesthetized and implanted with EEG electrodes, as described above, and an EMG electrode was positioned in the neck muscle. Two or four microdialysis guide cannulae (one or two in each VB, respectively) (i.e., see experiments illustrated in Fig. 6 for two probes in each VB) were slowly lowered fully vertically so their tip was just above the VB (DV = −4.4 mm) (Paxinos and Watson, 2007). When two guide cannulae were inserted in each VB, their AP coordinates were as follows: −2.6 and −3.8 mm (Paxinos and Watson, 2007). Both EEG electrodes and the cannulae were fixed to the skull with dental acrylic cement. Rats were allowed at least 7 d to recover from surgery (single housed) and to habituate to the recording cage (4/bd). At the end of the recording sessions, rats were transcardially perfused.
**Injections.** For the systemic injections, on the day of the experiment rats were transferred to the recording cage, connected to the electrical recording and microdialysis apparatus (as appropriate), and allowed to move freely in their cage for at least 1 h before any recording commenced. A control period of at least 1.5 h was then recorded before an intraperitoneal injection of either saline or TTA-P2 was made while continuing recording for at least another 2 h. Four days were allowed between two consecutive recording days in each rat. For intrathalamic drug application, 24 h before recording, microdialysis probes were slowly inserted into the brain to replace the dummy probe in the guide cannulae. On the day of the experiments, rats were transferred to the recording cage and connected to the dialysis probes and electrical recording apparatus. aCSF dialysis was initiated immediately while the rats were allowed to habituate for 1 h. A control period of 2.5 h was then recorded while administering aCSF (same conditions as described for the anesthetized condition). Animals were then recorded for an additional 2 h while receiving either aCSF or drug-containing aCSF (in a random order on consecutive recording days, each separated by at least 4 d). Video recording was performed simultaneously with electrical recordings in all experiments in freely moving rats.
**TTA-P2 levels in the VB.** The concentration of TTA-P2 in samples taken from the microdialysate dialysis tubes was measured, following protein precipitation with acetonitrile, by liquid chromatography-mass spectrometry under a validated analytical protocol (Shipe et al., 2008; Uehleke et al., 2009). TTA-P2 concentration in the brain tissue outside the dialysis membrane was estimated according to the equilibrium equation described previously (Chan and Chan, 1999).
**Optogenetics**
**Viral injection.** pAAV-CaMKIIα-hChR2(H134R)-mCherry plasmids (K. Deisseroth laboratory, Addgene plasmid 26975) were packaged into recom-
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**Figure 2.** Detection of slow and spindle waves. **A**, Representative EEG wavelet power spectrum of slow wave frequency band (0.2–4.5 Hz) during ketamine-xylazine anesthesia. **B**, Representative EEG broadband power spectrum. Dashed lines indicate the frequency band shown in **A**. **C**, Expanded EEG trace (black) (from time period marked in **A** with arrow) illustrating the identification of slow waves (green circles) by means of negative to positive zero-crossing detection on the 0.2–4.5 Hz bandpass-filtered signal (green trace). Waves with peak-to-peak amplitude (red triangles to blue triangles) of <60% of the mean peak-to-peak amplitude were discarded. **D**, Autocorrelogram of EEG slow waves detected as shown in **C** from the first 20 min of data shown in **A**. **E**, Representative raw (middle), 5–12.5 Hz bandpass-filtered (bottom) EEG traces showing spindle waves (black arrows) and wavelet power spectrum (top) with detected spindle wave episodes (green lines) during anesthesia. **F**, Average frequency distribution of spindles during anesthesia ($n = 7$ rats). **G**, **H**, Data for spindles during natural sleep are illustrated in the same format as **E** and **F**, respectively ($n = 6$ rats).
biant AAV2 vectors and serotyped with AAV1 coat proteins. Viral suspensions were titered to $1.14 \times 10^{13}$ genome copies/ml (GC) (University of Pennsylvania Vector Core). Concentrated stock virus was diluted with 0.1 M PBS tinted with Fast Green FCF (Sigma), giving a final viral concentration of $5.70 \times 10^8$ to $2.28 \times 10^9$ GC/μl for injection. The dorsal surface of the skull was exposed, a small craniotomy made over one VB ($AP = -3.14$ mm, $ML = 2.80$ mm from bregma) (Paxinos and Watson, 2007), and the dura reflected. A 10 μl Gastight Hamilton syringe and 34 Ga needle were front filled with mineral oil and diluted virus. Needles that flowed slowly into the thalamus ($DV = -4.75$ mm from the pia) were left in place for 10 min. A 1 μl virus ($5.70 \times 10^8$ to $2.28 \times 10^9$ infectious units) was injected at a rate of 100 nl/min using a programmable micro-pump (UMP3-1, WP1) and allowed to disperse for a further 10 min before the needle was slowly retracted. Rats were then individually housed and allowed to recover with *ad libitum* access to food and water for a minimum of 3 weeks to allow viral gene expression.
**Optical stimulation and recording.** Rats previously injected with rAAV-CaMKIIα-hChR2 (H134R) were chronically implanted with EEG screws and the microdialysis probes (one in each VB) were implanted (as above) with a 16° angle with respect to the vertical axis. A 200 μm multimode (0.39 NA) optic fiber (CFM12120; Thorlabs) was custom-glued to a 32-channel silicone probe, with the fiber tip ~400 μm above the top recording sites. The fiber ferrule was connected to a compatible patch–cord and 473 nm laser diode (70 mW Stradus; Vortran Laser Technology), and the silicon probe and EEG wires connected to a Digital Lynx 108X recording system (Neuralynx Hybrid Input Boards; Neuralynx) via 36-gauge gold-plated wires. One probe was slowly lowered to just above one VB, 300 μm posterior and medial to the virus injection site ($AP = -3.44$ mm, $ML = 2.50$ mm from bregma) (Paxinos and Watson, 2007), and $DV = -4.60$ mm from the pia, and then moved in small steps to locate light-responsive ChR2+ cells exhibiting characteristic TC neuron bursts (see experiments illustrated in Figs. 9 and 10). Extracellular action potentials (sampling frequency: 32 kHz per channel, filtered from 600 Hz to 9 kHz), continuous extracellular signal (sampling frequency: 32 kHz per channel and broadband filtered from 0.1 Hz to 9 kHz), EEG signals (sampling frequency: 4 kHz, filtered from 0.1 Hz to 1 kHz), and light stimulation events were simultaneously recorded and checked by spike detection software (Neuralynx). Digital laser modulation was controlled with pClamp software and a 1322A Digitida (Molecular Devices), synchronized with the Digital Lynx 108X. Laser output power for 5, 20, and 100 ms pulses was 40 mW, which equated to <10 mW at the fiber tip (dependent on stimulation frequency), quantified with a digital power meter and photodiode sensor (PM120D; Thorlabs).
**Data analysis**
Spike sorting and data preprocessing were performed with the Klusters, Neuroscope, NDManager software suite (Hazan et al., 2006). All other analyses were performed with routines based on the free toolboxes SciPy 0.8 (Jones et al., 2001), OpenElectrophy 0.2 (Garcia and Fourcaud-Trocme, 2009), running under Python 2.6.6 and MATLAB (R2010b, MathWorks) on a 64-bit Linux computer.
**Data preprocessing and spike sorting.** To extract spikes from the extracellular field potential, the signal was high-pass filtered with median filter (0.5 ms window half-length). Spikes were detected by thresholding at 1.2 SD and clustered by an expectation maximization algorithm (Klustakwik; Harris et al., 2000) on the basis of their first three principal components. All results of the automatic clustering were verified *post hoc* by visual inspection. Units were excluded from further analyses if more than one high amplitude cell was present on a single channel, if their autocorrelation did not show a refractory period of at least 2 ms, and if their spike amplitude markedly changed during the experimental session.
**Burst analysis** consists of defining two or more spikes that were preceded by at least 100 ms of silence and had interspike intervals (ISIs) >10 ms, and were visually examined *post hoc*. For each burst, the following parameters were calculated (Fig. 1): (1) ISI, (2) interburst interval, (3) number of spikes per second in 5 min windows (burst rate), (4) ratio of all spikes taking part in a burst, (6) number of spikes in each burst, and (7) ISI as a function of the ISI number within a burst (i.e., burst signature). Units with a *decelerando* burst signature (Fig. 1C,D) were classified as TC neurons, whereas those with a burst signature and spike autocorrelogram typical of thalamic reticular neurons (Huguenard and Prince, 1992) were discarded.
**Detection of slow waves and spindles under anesthesia.** To quantify EEG slow waves beyond power spectral analysis, a slow wave detection algorithm similar to those described previously (Molle et al., 2009; Nir et al., 2011) was implemented (Fig. 2A–D). On the 0.2 to 4.5 Hz bandpass-filtered signal, all negative to positive zero-crossings were detected as slow waves. To discard spurious slow waves, the local minimum and maximum around a crossing were determined. If the difference between these was <60% of the mean maximum-to-minimum distance, the slow...
Figure 4. Block of thalamic firing decelerates EEG slow waves during anesthesia. A, Spike raster plots (top three traces; “bursts”) from 3 VB TC neurons and EEG from S1 (bottom trace) show the effects of 50 μM TTX and 300 μM TTA-P2 dialysis in the VB. The predominant burst firing during aCSF is virtually abolished by TTX and TTA-P2, an effect accompanied by slowing of the EEG rhythm. B, Event-triggered averages of raw EEG traces centered on the middle point of DOWN to UP state transitions were calculated after 1 h of aCSF, TTX, and TTA-P2 dialysis (n = 438, 243, and 222 transitions, respectively). C, Normalized (to predrug period), time-dependent decrease of slow waves by TTX (n = 5) and TTA-P2 (n = 5) (drug dialysis starts at 0). D, EEG power spectra 60 min after start of drug dialysis. E, Normalized (to predrug period), time-dependent reduction of spindle waves by TTX and TTA-P2. C–E, Solid lines indicate the mean; color shading indicate SEM. In this and the following figures, illustrated drug concentrations during microdialysis are those of the inlet dialysis tube (for brain concentration delivered by dialysis probes, see Fig. 3B). In this experiment and those depicted in Figures 5, 6, and 7, the dialysis probes were inserted in a fully vertical position.
The wave was discarded. For the analysis of UP and DOWN state duration, the periods above and below the midpoint of the DOWN to UP transitions in the bandpass-filtered signal were labeled as UP and DOWN states, respectively. States with a magnitude of <25% of the average magnitude during the control period were discarded and the neighboring states of equal type (UP/UP or DOWN/DOWN) were used. Spindle waves were detected in the frequency range 5–12.5 Hz (Fig. 2E,F).
Spectral analysis. Power spectral densities were estimated with Welch’s average periodogram method using a Hanning window with length of 4096 data points. Total power in a frequency band was determined as the integral over that frequency band.
Detection of non-REM sleep epochs. The power of the EEG signal between 0.5 and 4 Hz was computed for every 10 s of recording. If the calculated power was higher than twice the power calculated during a period of active wakefulness, the 10 s epoch was classified as non-REM sleep. To ensure detection reliability and behavioral state stability over the selected periods, only consecutive epochs of sleep lasting at least 60 s were included in further analysis.
Detection of slow waves and spindles during natural sleep. The EEG signal was convolved with complex Morlet wavelets of 2.5 cycles for sleep spindles and 1.0 cycle for slow waves at a frequency resolution of 0.1 Hz for spindles and 0.01 Hz for slow waves (Kornland-Martin et al., 1987). Using a wavelet ridge extraction method, each oscillatory epoch of the EEG was extracted with an energy threshold to detect its beginning and end (see Figs. 2G, 6A, and 7A) (Roux et al., 2007; Garcia and Fourcaud-Trocmé, 2009). The boundary frequencies of wave detection were chosen as from 0.5 to 4 Hz for slow waves (see Fig. 6B) and from 6 to 14 Hz for spindle oscillations (see Fig. 2G,H). The threshold was defined as 3 times the average energy during a non-REM sleep period during the control session. Slow and spindle waves with <2 and 3 cycles, respectively, were discarded. When overlapping oscillations were detected, the wave with the highest energy was selected.
Statistical analysis. Group comparisons were performed using the Mann–Whitney U test. Paired data were tested with Wilcoxon’s signed ranks test. All quantitative data in figures and text are given as mean ± SEM.
Histology
Electrode and microdialysis probe tracking. Before insertion, silicone and microdialysis probes were immersed for 1/2 h and 5 min, respectively, in a 1% Vybrant Dil (Invitrogen) dye solution. At the end of the experiment, rats were injected with a lethal dose of urethane (40%), and the brains were removed and placed in a 4% PFA solution for 48 h. The brains were then transferred and stored in a 0.1 M PBS. Sections (100 μm thick) containing the VB were cut with a vibratome (VT1000S) and mounted on coverslips to measure the relative position of microdialysis and silicone probes, which were visualized using a fluorescent microscope (Leica).
Immunofluorescence. Rats were given an overdose of ketamine-xylazine and transcardially perfused with 4% PFA. Brains were fixed in 4% PFA and then cryoprotected in 20% (w/v) sucrose in 0.1 M PBS. Each brain was blocked to give coronal sections, mounted onto a freezing microscope (Leica), and cut into 50 μm slices. Free-floating sections were processed for NeuN and RFP immunofluorescence. Briefly, sections were washed 3 × 10 min with fresh 0.1 M PBS and blocked for 1.5 h in 1 × PGT (0.1 M PBS, 3% NGS, and 0.2% Triton X-100 (Sigma-Aldrich)). Sections were gently shaken at room temperature for 2 h, then overnight at 4°C with primary antibodies against both NeuN (1:500 mouse monoclonal, Millipore), and RFP (1:1000 Living ColorsDaRedrabbit polyclonal, Clontech) in 1 × PGT. Sections were rinsed 3 × 10 min with fresh 0.1 M PBS and incubated for 2 to 3 h at room temperature with 1:200 goat anti-mouse AlexaFluor-488 (Invitrogen) and 1:200 goat anti-rabbit AlexaFluor-594 (Invitrogen) secondary antibodies in 1 × PGT. Sections were washed 3 × 10 min in fresh 0.1 M PBS and mounted onto gelatin-subbed Superfrost Plus microscope slides (Thermo Scientific). Slides were coverslipped with Vectashield fluorescent mounting medium (Vector Laboratories) and visualized using a fluorescence microscope (Leica).
Results
Effect of thalamic inactivation on slow waves during anesthesia
We first abolished the somatosensory thalamic output to the cortex by bilateral reverse microdialysis of TTX in the ventrobasal thalamus (VB) of ketamine-xylazine anesthetized rats, while
simultaneously recording slow waves from primary somatosensory cortex (S1) and the firing of different single TC neurons in the VB. TTX abolished action potentials in TC neurons around the VB injection site [predrug: 2.51 ± 0.11 spikes/s, TTX: 0.001 ± 0.002, \( n = 11 \) rats, \( n = 33 \) neurons, \( p < 10^{-7} \), Wilcoxon signed-rank test] (Fig. 3B1,B2, blue lines, C, bottom plot; see also Fig. 4A, unit recordings). This effect led to a concomitant marked reduction (45 ± 1.4%) in the number of EEG slow waves after 1 h of drug dialysis (Fig. 4A,B) and thus to a frequency decrease from 1.19 ± 0.02 to 0.63 ± 0.03 slow waves/s (\( n = 5 \), \( p = 0.0017 \), Mann–Whitney U test compared with aCSF, \( n = 6 \)) (Fig. 4A–D). The duration of both UP and DOWN states was increased by TTX from 0.40 ± 0.01 (UP) and 0.42 ± 0.03 s (DOWN) to 0.68 ± 0.07 and 0.58 ± 0.06 s, respectively (\( p < 0.006 \), Mann–Whitney U test compared with aCSF) (Fig. 4B). In the same rats, the simultaneously recorded spindle waves, which are a thalamically generated rhythm (Morison and Bassett, 1945; Steriade et al., 1985; De Gennaro and Ferrara, 2003; Astori et al., 2011), were abolished by TTX [predrug: 0.13 ± 0.02 spindles/s, TTX: 0.009 ± 0.008, \( p = 0.0016 \)] (Fig. 4E), indicating the effectiveness of our thalamic inactivation by microdialysis administration of TTX.
Because T-type calcium channels play a key role in the thalamic output to cortex (Llinás and Jahnsen, 1982; Crunelli et al., 1989; Deleuze et al., 2012) and underlie TC neuron UP states (Hughes et al., 2002), we next investigated the effect on slow waves of the potent and selective T-type calcium channel antagonist, TTA-P2 (Uebele et al., 2009; Dreyfus et al., 2010), directly applied in the VB by reverse microdialysis. This drug produced a block of high-frequency bursts of TC neurons, which was dependent on its concentration in the dialysis inlet tube and on the distance between the recorded neuron and the dialysis probe (Fig. 3B1; see also unit recordings in Fig. 4A). Interestingly, single action potential firing (which accounted for ~18.4 ± 1.2% of the total firing) was also markedly decreased by TTA-P2 (Fig. 3B2; see Fig. 4A, unit recordings) so that, at a distance of 500 \( \mu m \) from the dialysis probe, only 3.3 ± 2.1% of total spikes (i.e., in bursts and as single action potentials) remained after 1 h of TTA-P2 application. We chose a microdialysis inlet tube concentration of 300 \( \mu M \) TTA-P2 because: (1) it virtually abolished the total TC neuron firing in a region that almost fully covered the mediolateral extent of the VB (Fig. 3C,D), and (2) it resulted in a tissue concentration around the probe of ~42 \( \mu M \) (based on a 14% recovery rate) (for explanation, see Fig. 3E), which is well in the range of concentrations that we previously showed to be required to abolish intrinsic and synaptically driven TC neuron firing in the VB *in vitro* (Dreyfus et al., 2010, their Fig. 1C). Thus, TTA-P2 applied in the VB at 300 \( \mu M \) elicited a clear reduction (25 ± 3%, \( n = 5 \), \( p = 0.02 \) compared with aCSF, \( n = 6 \)) of slow waves (Fig. 4A,B), leading to a frequency decrease from 1.00 ± 0.02 to 0.69 ± 0.03 slow waves/s (\( p = 0.020 \)) (Fig. 4A,C,D). The durations of UP and DOWN states were both prolonged from 0.59 ± 0.04 (UP) and 0.58 ± 0.02 (DOWN) to 0.77 ± 0.06 and 0.70 ± 0.03 s, respectively (\( p < 0.05 \), Mann–Whitney U test compared with aCSF) (Fig. 4B). Moreover, in the same experiments, spindle waves were markedly suppressed (88 ± 5%) by microdialysis injection of TTA-P2 in the VB (aCSF: 0.15 ± 0.01 spindles/s; TTA-P2: 0.019 ± 0.008; \( p = 0.02 \)) (Fig. 4E), indicating the effectiveness of our thalamic inactivation by microdialysis administration of TTA-P2.
TTA-P2 also elicited a dose-dependent decrease in slow waves when applied systemically (Fig. 5A–D), with a similar ED\(_{50}\) on burst (0.18 ± 0.05 mg/kg) (Fig. 5E) and total firing (0.26 ± 0.06 mg/kg) (Fig. 5F). In particular, at a dose (3 mg/kg) that abolished...
burst firing in the VB (Fig. 5E), TTA-P2 produced a stronger decrease (63 ± 1%, \( n = 3 \), \( p = 0.018 \)) of slow waves (Fig. 5B) than an equipotent (on burst firing) intra-VB application (compare with Fig. 3B1), indicating that T-type calcium channels in other thalamic nuclei and brain regions effectively contribute to the full expression of EEG slow waves in S1 during anesthesia.
**Effect of thalamic inactivation on slow waves during natural sleep**
Because anesthesia does not fully reproduce the spatiotemporal dynamics of slow waves during non-REM sleep (Chauvette et al., 2011; Nir et al., 2011; Vyzavatskiy et al., 2011), we then applied TTX and TTA-P2 by reverse microdialysis in the thalamus of naturally sleeping-waking rats. The same inlet dialysis concentration of TTA-P2 (300 \( \mu M \)) and one-probe-per-VB configuration that was effective during anesthesia had no effect on slow waves of natural sleep, nor did 1 and 3 mM TTA-P2, most likely because the volume of tissue where a firing block was achieved with these higher TTAP-2 concentrations was not much bigger than the region affected by 300 \( \mu M \) (Fig. 3B1,B2,D). We therefore enlarged the thalamic area affected by microdialysis application by implanting a group of rats with four dialysis probes, so that in each VB one probe was close to its rostral and one to its caudal end (see Materials and Methods). In these animals, TTA-P2 (3 mM) induced a significant decrease (23 ± 7.8%, \( n = 7 \), \( p = 0.0095 \), Mann–Whitney U test compared with aCSF, \( n = 12 \)) in the peak of the instantaneous frequency distribution of slow waves during non-REM sleep (predrug: 2.19 ± 0.09 Hz; TTA-P2: 1.72 ± 0.13 Hz), as did TTX (50 \( \mu M \)) (TTX: 0.92 ± 0.13 Hz, 50 ± 13% reduction, \( n = 5 \), \( p = 0.0061 \)) (Fig. 6A–D). As expected, in the same animals, sleep spindles were more potently decreased by TTX and TTA-P2 (94 ± 7% and 48 ± 6%, respectively) than slow waves (predrug: 0.36 ± 0.02 spindles/s; TTX: 0.05 ± 0.03, TTA-P2: 0.19 ± 0.02; \( p = 0.001 \) for both compared with aCSF) (Fig. 6D,E).
**Figure 6.** Block of thalamic firing decreases slow wave frequency during natural sleep. **A**, Non-REM sleep EEG (bottom) and corresponding wavelet spectra (top) during VB microdialysis of aCSF, 3 mM TTA-P2, and 50 \( \mu M \) TTX. Transient slow waves (white lines) were detected as ridges in the wavelet spectra (see Materials and Methods). **B**, Slow wave frequency density distribution during aCSF, TTA-P2, and TTX dialysis, 1 h after the start of drug dialysis (arrows indicate the measured peaks). **C**, Time dependence of TTA-P2 (\( n = 7 \) rats) and TTX (\( n = 5 \) rats) effects on the normalized peak of the slow wave frequency distribution. **D**, Raw non-REM EEG power spectra show TTA-P2- and TTX-elicted decrease of power in deep spindle frequency range and increase of power in slow wave frequency range. **E**, Time dependence of TTA-P2 and TTX effects on sleep spindles normalized count. **B, D**, Solid lines indicate the mean; color shading indicates SEM. **C, E**, Error bars indicate SEM.
**Figure 7.** Systemic injection of TTA-P2 markedly decreases the frequency of slow waves and abolishes spindles during natural sleep. **A**, Non-REM sleep EEG (middle), corresponding wavelet spectra (top), and EMG (bottom) after intraperitoneal injection of saline (left) and 10 mg/kg TTA-P2 (right). Transient slow waves (white lines) were detected as ridges in the wavelet spectra as in figure 2. **B**, Slow wave frequency distribution after saline and TTA-P2 injection. There is a shift of the peak (arrows) from −2 Hz to −0.7 Hz. **C**, Time dependence of TTA-P2 (\( n = 4 \) rats) and saline (\( n = 6 \) rats) effects on the normalized peak of the slow wave frequency distribution. **D**, Raw non-REM sleep EEG power spectra show TTA-P2-elicted decrease of power in sleep spindle frequency range and increase of power in slow wave frequency range compared with saline injection. **E**, Time dependence of TTA-P2 effects on sleep spindles normalized count. **F, G**, Dose–response curve of burst (**F**) and total spike (**G**) rate measured 40 min after systemic intraperitoneal injection of TTA-P2 (logistic regression fits, \( p < 0.05 \)). ED\(_{50}\) for bursts: 0.55 ± 0.03 mg/kg; ED\(_{50}\) for total spikes: 1.71 ± 0.11 mg/kg). The 3 and 10 mg/kg TTA-P2 abolish bursts recorded during natural sleep (\( p < 10^{-7} \) compared with saline injection, Mann–Whitney U test, \( n = 4/2 \) (1 neurons)). **B, D**, Solid lines indicate the mean; color shading indicates SEM. **C, E–G**, Error bars indicate SEM.
As it was observed during anesthesia, also in naturally sleeping rats systemic injections of TTA-P2 dose-dependently blocked burst and total firing in VB TC neurons during non-REM sleep (with an ED$_{50}$ of 0.55 ± 0.03 and 1.71 ± 0.11 mg/kg, respectively) (Fig. 7F,G), as well as slow waves and sleep spindles (Fig. 7A–E). In particular, a dose of 10 mg/kg of TTA-P2 markedly reduced slow wave (saline: 1.94 ± 0.13 Hz, $n = 6$; TTA-P2: 0.8 ± 0.01 Hz, $n = 4$ rats) and sleep spindle frequencies (saline: 0.32 ± 0.13 spindles/s, TTA-P2: 0.05 ± 0.01) by 73 ± 5% ($p = 0.0095$) and 86 ± 4% ($p = 0.00031$), respectively (Fig. 7E).
**Entrainment of EEG slow waves by optogenetic stimulation of TC neurons during anesthesia**
Because thalamic inactivation by either TTX or by selective block of thalamic T-type calcium channels with TTA-P2 decreased the frequency of slow waves during anesthesia and natural sleep, the thalamic input to the neocortex should be able to entrain these EEG waves. Because electrical stimulation of the thalamus leads to antidromic excitation of the somatotopic cortical region, which may in turn affect the cortical slow wave oscillator, we addressed this question using selective optogenetic activation of channelrhodopsin2-expressing TC neurons (Fig. 8) with short (5, 20, or 100 ms) 473 nm light pulses at stimulation frequencies that ranged from 0.75 to 4 Hz ($n = 7$ rats) (Fig. 9). At the cellular level, each light pulse elicited a single high-frequency burst of action potentials, which was invariably followed by a 100–250 ms period of electrical silence before firing resumed (Fig. 9C). For stimulation frequencies from 0.75 to 1.5 Hz, this pattern of TC neuron activation elicited a clear peak in the EEG wavelet (Fig. 9A) and FFT power spectrum (Fig. 9D) at the respective stimulation frequency, which had higher amplitude than the peak of the control EEG (i.e., with no light stimulation) (Fig. 9D, black line). As seen from the light-pulse triggered averages (Fig. 9B), light stimulation for frequencies >1.5 Hz not only failed to entrain EEG slow waves but also markedly flattened the power spectra eliminating the peak present at ~1 Hz during the control condition (i.e., without light stimulation; Fig. 9D, black line). When T-type calcium channels in VB were blocked by microdialysis of 300 µM TTA-P2 ($n = 3$ rats) (Fig. 10A), the cellular burst response during light stimulation was strongly reduced (burst reduction: 89 ± 4%, $n = 1056$ pulses, $n = 11$ neurons, $p = 0.0020$, Wilcoxon signed-rank test), the TC neuron firing between stimulations was virtually abolished (Fig. 10B), and no entrainment of slow waves occurred for stimulation frequencies between 0.75 and 1.5 Hz (Fig. 10C1,D). Moreover, a similar block of EEG slow wave entrainment was observed after systemic injection of TTA-P2 (3 mg/kg) at these stimulation frequencies (data not shown). Finally, no significant effect of TTA-P2 injected locally (Fig. 10C2,D) or systemically (data not shown) was observed at stimulation frequencies ≥ 1.75 Hz.
**Discussion**
Our results conclusively demonstrate that the full manifestation of EEG slow waves during non-REM sleep in freely moving, naturally waking-sleeping rats requires a dynamic interplay of cortical and thalamic neuronal ensembles because inactivation of the thalamic output to the neocortex brings about a marked deceleration of slow waves and selective excitation of TC neurons entrains EEG slow waves.
**Contribution of thalamic oscillators to sleep rhythms**
There is a general consensus that an isolated neocortex can generate and maintain the UP and DOWN state dynamics that underlie EEG slow waves of natural sleep via an intricate balance of excitation and inhibition that is mostly generated by synaptically driven cortical slow wave oscillators (Sanchez-Vives and McCormick, 2000; Timofeev et al., 2000; Bazhenov et al., 2002; Cossart et al., 2003; Shu et al., 2003; Le Bon-Jego and Yuste, 2007; Beltramo et al., 2013). In line with this interpretation, the cortical firing (during UP states) and the electrical silence (during DOWN states) impose similar UP/DOWN state transitions on thalamic neurons, making the thalamus fully subservient to corticothalamic activity. Over the last 10 years, however, this view has been challenged by solid experimental evidence demonstrating that an isolated thalamus as well as single TC and nucleus reticularis thalami (NRT) neurons *in vitro* can sustain slow waves and an intrinsic UP/DOWN states dynamics, respectively, which are similar to those observed during natural sleep (Crunelli...
Figure 9. Thalamic entrainment of EEG slow waves during anesthesia. **A**, EEG trace (bottom) and wavelet transform (top) showing the effect of 20 ms, 471 nm light pulses at 1, 1.5, and 2 Hz. Dashed white line indicates the start of the first pulse. **B**, Event triggered EEG averages centered on the 20 ms light pulses (blue vertical bars) for the illustrated stimulation frequencies. Gray areas indicate SEM. A total of 10 s of EEG was used for each average. **C**, Cluster plots of firing of 4/8 TC neurons in response to two consecutive 20 ms pulses (at 1 Hz) (blue vertical lines). “Bursts” The corresponding EEG trace is superimposed as a black line. **D**, EEG power spectra in response to 20 ms light pulses at the illustrated frequencies (indicated by arrows). There are frequency-dependent amplification and the shift of the peak of the power spectra compared with control (i.e., without light stimulation; black line).
and Hughes, 2010). This thalamic activity only occurs when the metabotropic glutamate receptors (which are present postsynaptically to the corticofugal terminals) of TC and NRT neurons (Godwin et al., 1996) are active, making these neurons “conditional oscillators” for slow waves (Crunelli and Hughes, 2010).
The present findings strongly support this hypothesis: removal of the thalamic input to cortex reduces the frequency of slow waves of non-REM sleep, demonstrating, for the first time, a necessary role for the thalamus in this physiological rhythm. The generation of slow waves during natural sleep, therefore, derives from cortical networks as primary oscillators with the thalamic oscillator providing a fine-tuning by imposing its faster frequency and phase properties to the cortical slow wave rhythm. The full physiological rhythm might, indeed, be the result of two competing oscillators (Gutierrez et al., 2013), with the thalamus being able to reset the phase of the slower cortical networks, as indicated by the ability of selective optogenetic excitation of thalamofugal fibers to entrain EEG slow waves (this work) and to induce isolated UP states in awake, head-restrained rats (Poulet et al., 2012). Importantly, the ability of the thalamus to modulate cortical UP states depends on thalamic T-type calcium channels, and in particular on the high-frequency burst of action potentials that invariably marks the start of TC neuron UP states (Contreras and Steriade, 1995, their Fig. 9; Slezia et al., 2011; Ushimaru et al., 2012). The effect of this thalamic modulation will also be important in determining the slight acceleration of slow waves observed from sleep Stage 2 to 4 (Crunelli and Hughes, 2010; Brown et al., 2012) because the intrinsic slow wave thalamic oscillator increases its frequency with the progressive hyperpolarization that accompanies non-REM sleep deepening (Hughes et al., 2002; Crunelli and Hughes, 2010). Support to the thalamic modulation of EEG slow waves also comes from data showing that an acceleration of these waves is accompanied by a phase shift of the TC neuron firing toward the start of an UP state (Slezia et al., 2011).
In the same animals where slow waves of non-REM sleep were decreased in frequency, the simultaneously recorded sleep spindles, which are a thalamically generated rhythm (Morison and Bassett, 1945; Steriade et al., 1985; De Gennaro and Ferrara, 2003; Astori et al., 2011), were abolished by inactivation of the same thalamic region. This demonstrates that, whereas both cortex and thalamus are required for the full expression of slow waves and spindles of natural sleep, the relative contribution of these brain areas to these oscillations is markedly different, reflecting the diverse cellular/network generators that underlie these two EEG rhythms.
By comparing, for the first time, slow waves during natural sleep and anesthesia under the same laboratory conditions, we could identify that a larger area of thalamic inactivation was necessary to obtain a significant effect on slow waves during non-REM sleep compared with anesthesia. This indicates that the thalamic modulation of slow waves during anesthesia is very different from that during natural sleep, stressing the diverse nature of the cortical and thalamic neuronal dynamics underlying these behavioral states, the limitations associated with extrapolating results from one experimental condition to the other, and a potentially different involvement of the “core” and “matrix” thalamic projection systems (Jones, 2001).
Thalamic T-type calcium channels and the slow rhythm
Our investigation is the first to provide direct evidence that the T-type calcium channels of thalamic (i.e., TC and NRT) neurons are required for the full expression of slow waves during natural sleep, although we could not distinguish between TC and NRT neuron contribution because of TTA-P2 spread to the latter neuronal population at the highest concentrations. A previous study reported an increased number of awakenings in mice carrying a supposedly thalamic-selective deletion of CaV3.1 T-type channels expression (Anderson et al., 2005). However, the presence of recombination in piriform cortex, some hypothalamic nuclei, and other brain areas questions the selectivity of this genetic approach and weakens its conclusions. Another study in anesthetized CaV3.1 T-type calcium channel KO mice (Lee et al., 2004) suggested a contribution of these channels to δ waves (defined as power in the 1–4 Hz frequency band) but not to slow waves (defined as power in the <1 Hz frequency band). Our results in anesthetized rats instead indicate that slow waves peaking at ~1 Hz are decreased in number by TTA-P2, leading to a slowing down in frequency to ~0.6 Hz. Although these contradictory data may be the result of the use of different species or anesthetics, they may also result from the different wave classifications. Indeed, it is debatable (Luczak and Barthó, 2012) whether EEG waves occurring at the upper end of the δ frequency range (2–4 Hz) in naturally sleeping rats do represent a separate entity from slow (<2 Hz) waves because the underlying UP and DOWN state firing dynamics of slow waves in the 2–4 Hz band is similar to that in 0.5–2 Hz band (Ji and Wilson, 2007, their Fig. 2).
It is not surprising that the vast majority of the total TC neuron firing (i.e., high-frequency bursts plus single action potentials) depends on T-type calcium channels (i.e., it is blocked by TTA-P2). Indeed, although these channels are classically viewed as underlying only high-frequency bursts of TC neurons, recent evidence has indicated that the continuous opening of a very small number of T-type channels that occurs at ~−60 mV generate a depolarizing window current (Dreyfus et al., 2010, their Fig. 2) that is crucial for the maintenance of the UP state (Hughes et al., 2002; Crunelli and Hughes, 2010). This strong reliance of the thalamic output on T-type channels also indicates that during slow waves synaptic activity, and in particular cortical inputs to the thalamus, are not sufficient to drive a TC neuron output in the absence of these channels.
Resetting and entrainment of EEG slow waves can be achieved by whisker stimulation (Civillico and Contreras, 2012) or by optogenetic activation of cortical neurons in anesthetized rats (Kuki et al., 2013), whereas long (>4 s) optogenetic stimulation of TC neurons in head-restrained mice can induce UP states in neocortical neurons that do not outlast the light stimulus (Poulet et al., 2012). Our results show that short (5 ms) optogenetic stimuli, which evoke high-frequency bursts in TC neurons, strongly entrain EEG slow waves, and that this response is only present when thalamic T-type calcium channels are functionally active. This strengthens the suggestion that thalamic T-type channel-mediated bursts may critically control UP states in related cortical territories during non-REM sleep by finely tuning the frequency of the EEG slow waves that occur during this behavioral state (Crunelli and Hughes, 2010). In contrast, a recent imaging study has reported that thalamic slow waves always follow cortical slow waves during anesthesia (Stroh et al., 2013). However, these results shed little light on the relative contribution of thalamic and cortical neuronal ensembles to slow waves of natural sleep, because, as indicated by Wester and Contreras (2013), they may be confounded by the experimental conditions, in particular the use of anesthetic agent that is known to markedly block T-type calcium channels (Joksovic and Todorovic, 2010; Eckle et al., 2012).
In conclusion, these findings provide conclusive demonstration of our hypothesis (Crunelli and Hughes, 2010) that both cortical and thalamic population activities are required for the full manifestation of EEG slow waves of natural sleep, and suggest that a decreased thalamic output to the neocortex resulting from thalamic pathologies (Schmahmann, 2003; Kopelman et al., 2009; Parmaudeau et al., 2013) will bring about a slowing down of slow waves during non-REM sleep with deleterious consequences for memory processes.
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A meeting of the Audit Committee of the City of Albany Industrial Development Agency will be held on Wednesday, October 14th at 11:00 AM at 21 Lodge Street, Albany, NY 12207 and conducted telephonically pursuant to Executive Order No. 202.1 issued by the New York State Governor’s Office.
Roll Call, Reading and Approval of the Audit Committee Meeting Minutes of March 9, 2020
Unfinished Business
New Business
A. Teal, Becker and Chiaramonte CPA’s – 2020 Audit Engagement Letter
B. Review Adequacy of Audit Committee Charter
C. Review Audit Committee 2020 Performance
Other Business
Adjournment
Please check the website www.albanyida.com for updated meeting information.
IDA MINUTES OF AUDIT COMMITTEE MEETING
Monday, March 9, 2020
Attending: Susan Pedo, Darius Shahinfar, Dominick Calsolaro
Also Present: Lee Eck, Sarah Reginelli, Mark Opalka, Joe Scott, Andy Corcione, Virginia Rawlins, Tammie Fanfa, Emily Silengo, and Nathan Pannucci
Chair Susan Pedo called to order the City of Albany IDA Audit Committee meeting at 10:30 a.m.
Roll Call, Reading and Approval of Minutes of the October 15, 2019 Committee Meeting
Audit Committee Chair Susan Pedo reported that all Committee members were present. Since the minutes of the previous meeting had been distributed to Committee members in advance for review, Chair Susan Pedo made a proposal to dispense with the reading of the minutes. Chair Susan Pedo made a proposal to approve the minutes of the October 15, 2019 Audit Committee meeting as presented. A motion to accept the minutes, as presented, was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the minutes were accepted unanimously.
Unfinished Business
Teal, Becker and Chiaramonte CPA’s – 2019 Audit Engagement Letter
Nathan Pannucci and Emily Silengo were present from Teal, Becker and Chiaramonte. Ms. Silengo reviewed in detail with the Committee the draft 2019 audited financial statements and informed the Committee that their team had no difficulties conducting the audit, giving credit to management and staff’s adherence to the reporting process. Ms. Silengo informed the Committee that the audit did not find any external weaknesses and a clean opinion will be issued. Ms. Silengo informed the Committee of GAAP updates.
A motion to move the 2019 audited financial statements to the next Board meeting was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the motion passed unanimously with all members voting aye.
Review of Draft 2019 Annual Report
Staff reviewed the Draft 2019 Annual Report with the Committee. Staff advised the Board that to-date 64 out of the 67 projects had submitted their required annual reporting forms, however additional completed forms were expected by the PARIS deadline to submit of March 31, 2020. The Committee discussed the job creation/retention reports of active projects with specific attention to under-performing projects. While the full Report, including reporting on all active projects, had been distributed to the Committee and Board previously, the Committee reviewed each of the 26 projects reporting job creation below 80 percent of their goals individually. Staff reported that 18 of these projects were still under
construction, and therefore were expected to be under their goals. Staff reviewed with the Committee the specific details for each project that had underreported jobs figures. Staff noted none of the 26 projects under-reporting jobs are subject to the Agency’s recapture provision. The Committee discussed each provided rationale for underreporting and noted that they were reasonable. Staff will continue the verification process up to the March 31 deadline. Staff reviewed the status of active projects reporting overruns on sales tax exemptions.
A motion to move the 2019 Annual Report to the full Board with a favorable recommendation, subject to any additional updates to the draft, was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the motion passed unanimously.
**Review of Draft 2019 Procurement Report**
Staff reviewed the Draft 2019 Procurement Report with the Committee. A motion to move the 2019 Procurement Report to the full Board with a favorable recommendation, subject to any necessary changes made to the draft, was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the motion passed unanimously with all members voting aye.
**Review of Draft 2019 Investment Report**
Staff reviewed the Draft 2019 Investment Report with the Committee. A motion to move the 2019 investment report to the full Board with a favorable recommendation, subject to any necessary changes made to the draft, was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the motion passed unanimously with all members voting aye.
**Review of Management Assessment of Internal Controls and Performance Measures Report**
Staff reviewed the Draft 2019 Management Assessment of Internal Controls with the Committee. A motion to move the 2019 Management Assessment of Internal Controls to the full Board with a favorable recommendation, subject to any necessary changes made to the draft, was made by Darius Shahinfar and seconded by Dominick Calsolaro. A vote being taken, the motion passed unanimously with all members voting aye.
Staff reviewed the 2019 Performance Measurements with the Committee. No action was needed or taken for this item.
**Other Business**
None
There being no further business, Chair Susan Pedo adjourned the meeting at 3:24 p.m.
Respectfully submitted,
_____________________
Lee Eck, Secretary
October 1, 2020
To The Board of Directors
City of Albany Industrial Development Agency,
a Component Unit of the City of Albany
21 Lodge Street
Albany, NY 12207
The following represents our understanding of the services Teal, Becker and Chiaramonte, CPAs, P.C. (the Firm) will provide the City of Albany Industrial Development Agency, a Component Unit of the City of Albany (the Agency).
You have requested that the Firm audit the governmental activities, the business-type activities, the aggregate discretely presented component units, each major fund, and the aggregate remaining fund information of the Agency, as of December 31, 2020, and for the year then ended and the related notes to the financial statements, which collectively comprise the Agency’s basic financial statements as listed in the table of contents. We are pleased to confirm our acceptance and our understanding of this audit engagement by means of this letter. Our audit will be conducted with the objective of our expressing an opinion on each opinion unit applicable to those basic financial statements.
Accounting principles generally accepted in the United States of America (U.S. GAAP), as promulgated by the Governmental Accounting Standards Board (the GASB) require that the Management’s Discussion and Analysis and budgetary comparison information be presented to supplement the basic financial statements. Such information, although not a part of the basic financial statements, is required by the GASB, who considers it to be an essential part of financial reporting for placing the basic financial statements in an appropriate operational, economic, or historical context. As part of our engagement, we will apply certain limited procedures to the required supplementary information (RSI) in accordance with auditing standards generally accepted in the United States of America (U.S. GAAS). These limited procedures will consist primarily of inquiries of management regarding their methods of measurement and presentation, and comparing the information for consistency with management’s responses to our inquiries. We will not express an opinion or provide any form of assurance on the RSI. The following RSI is required by U.S. GAAP. The RSI will be subjected to certain limited procedures but will not be audited:
- Management’s Discussion and Analysis (MD&A)
- Schedule of Revenues and Expenses - Budget (Non-GAAP Basis) and Actual
**Auditor Responsibilities**
We will conduct our audit in accordance with U.S. GAAS and the standards applicable to financial audits contained in *Government Auditing Standards*, issued by the Comptroller General of the United States of America. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the basic financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the basic financial statements. The procedures selected depend on the auditors’ judgment, including the assessment of the risks of material misstatement of the basic financial statements, whether due to fraud or error, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements.
An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the basic financial statements. If appropriate, our procedures will therefore include tests of documentary evidence that support the transactions recorded in the accounts, tests of the physical existence of inventories, and direct confirmation of cash, investments, and certain other assets and liabilities by correspondence with creditors and financial institutions. As part of our audit process, we will request written representations from your attorneys, and they may bill you for responding. At the conclusion of our audit, we will also request certain written representations from you about the financial statements and related matters.
Because of the inherent limitations of an audit, together with the inherent limitations of internal control, an unavoidable risk that some material misstatements (whether caused by errors, fraudulent financial reporting, misappropriation of assets, or violations of laws or governmental regulations) may not be detected exists, even though the audit is properly planned and performed in accordance with U.S. GAAS and Government Auditing Standards, and/or any state or regulatory audit requirements.
In making our risk assessments, we consider internal control relevant to the Agency’s preparation and fair presentation of the basic financial statements in order to design audit procedures that are appropriate in the circumstances but not for the purpose of expressing an opinion on the effectiveness of the Agency’s internal control. However, we will communicate to you in writing concerning any significant deficiencies or material weaknesses in internal control relevant to the audit of the basic financial statements that we have identified during the audit. Our responsibility as auditors is limited to the period covered by our audit and does not extend to any other periods.
We cannot provide assurance that an unmodified opinion will be expressed. Circumstances may arise in which it is necessary for us to modify our opinions or add emphasis-of-matter or other-matter paragraphs. If our opinions on the basic financial statements are other than unmodified, we will discuss the reasons with you in advance. If, for any reason, we are unable to complete the audit or are unable to form or have not formed opinions, we may decline to express opinions or to issue a report as a result of this engagement.
**Compliance with Laws and Regulations**
As previously discussed, as part of obtaining reasonable assurance about whether the basic financial statements are free of material misstatement, we will perform tests of the Agency’s compliance with the provisions of applicable laws, regulations, contracts, and agreements. However, the objective of our audit will not be to provide an opinion on overall compliance and we will not express such an opinion.
**Management Responsibilities**
Our audit will be conducted on the basis that management and those charged with governance acknowledge and understand that they have responsibility:
a. For the preparation and fair presentation of the basic financial statements in accordance with accounting principles generally accepted in the United States of America;
b. For the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of basic financial statements that are free from material misstatement, whether due to error, fraudulent financial reporting, misappropriation of assets, or violations of laws, governmental regulations, grant agreements, or contractual agreements;
c. To provide us with:
i. Access to all information of which management is aware that is relevant to the preparation and fair presentation of the basic financial statements such as records, documentation, and other matters;
ii. Additional information that we may request from management for the purpose of the audit; and
iii. Unrestricted access to persons within the Agency from whom we determine it necessary to obtain audit evidence.
d. For including the auditors’ report in any document containing basic financial statements that indicates that such basic financial statements have been audited by the Agency’s auditor;
e. For identifying and ensuring that the Agency complies with the laws and regulations applicable to its activities;
f. For adjusting the basic financial statements to correct material misstatements and confirming to us in the management representation letter that the effects of any uncorrected misstatements aggregated by us during the current engagement and pertaining to the current year under audit are immaterial, both individually and in the aggregate, to the basic financial statements as a whole;
g. For maintaining adequate records, selecting and applying accounting principles, and safeguarding assets;
h. For acceptance of nonattest services, including identifying the proper party to oversee nonattest work;
i. For informing us of any known or suspected fraud affecting the Agency involving management, employees with a significant role in internal control and others where fraud could have a material effect on the financials; and
j. For the accuracy and completeness of all information provided.
With regard to the supplementary information referred to above, you acknowledge and understand your responsibility: (a) for the preparation of the supplementary information in accordance with the applicable criteria; (b) to provide us with the appropriate written representations regarding supplementary information; (c) to include our report on the supplementary information in any document that contains the supplementary information and that indicates that we have reported on such supplementary information; and (d) to present the supplementary information with the audited basic financial statements, or if the supplementary information will not be presented with the audited basic financial statements, to make the audited basic financial statements readily available to the intended users of the supplementary information no later than the date of issuance by you of the supplementary information and our report thereon.
As part of our audit process, we will request from management and those charged with governance, written confirmation concerning representations made to us in connection with the audit.
With respect to any nonattest service we will perform the following:
- Financial Statement Preparation
With respect to the nonattest service listed above we agree to perform the following at the end of the year:
- Propose adjusting or correcting journal entries to be reviewed and approved by the Agency’s management.
We will not assume management responsibilities on behalf of the Agency. However, we will provide advice and recommendations to assist management of the Agency in performing its responsibilities.
The Agency’s management is responsible for (a) making all management decisions and performing all management functions; (b) assigning a competent individual to oversee the service; (c) evaluating the adequacy of the service performed; (d) evaluating and accepting responsibility for the results of the service performed; and (e) establishing and maintaining internal controls, including monitoring ongoing activities.
Our responsibilities and limitations of the engagement are as follows:
- We will perform the service in accordance with applicable professional standards.
- This engagement is limited to the previously noted nonattest service above. Our Firm, in its sole professional judgment, reserves the right to refuse to do any procedure or take any action that could be construed as making management decisions or assuming management responsibilities, including determining account codings and approving journal entries.
**Reporting**
We will issue a written report upon completion of our audit of the Agency’s basic financial statements. Our report will be addressed to the governing body of the Agency. We cannot provide assurance that unmodified opinions will be expressed. Circumstances may arise in which it is necessary for us to modify our opinions, add an emphasis-of-matter or other-matter paragraph(s), or withdraw from the engagement.
In accordance with the requirements of *Government Auditing Standards*, we will also issue a written report describing the scope of our testing over internal control over financial reporting and over compliance with laws, regulations, and provisions of grants and contracts, including the results of that testing. However, providing an opinion on internal control and compliance will not be an objective of the audit and, therefore, no such opinion will be expressed.
Other
We understand that your employees will prepare all confirmations we request and will locate any documents or support for any other transactions we select for testing.
Regarding the electronic dissemination of audited financial statements, including financial statements published electronically on your Internet website, you understand that electronic sites are a means to distribute information and, therefore, we are not required to read the information contained in these sites or to consider the consistency of other information in the electronic site with the original document.
If you intend to publish or otherwise reproduce the basic financial statements and make reference to our firm, you agree to provide us with printers’ proofs or masters for our review and approval before printing. You also agree to provide us with a copy of the final reproduced material for our approval before it is distributed.
In connection with this engagement, we may communicate with you or others via e-mail. As e-mails can be intercepted, disclosed, used, and/or otherwise communicated by an unintended third party, or may not be delivered to each of the parties to whom they are directed, we cannot ensure that e-mails from us will be properly delivered and read only by the addressee. Therefore, we disclaim and waive any liability for interception or unintentional disclosure of e-mail transmissions, or for the unauthorized use or failed delivery of e-mails transmitted by us in connection with the performance of this engagement. In that regard, you agree that we shall have no liability for any loss or damage arising from the use of e-mail, including any punitive, consequential, incidental, direct, indirect, or special damages, such as loss of revenues or anticipated profits, or disclosure of confidential information. In addition to fax and email, many firms also send data over the internet using other methods (such as portals) and may store electronic data via software applications hosted remotely on the Internet, or allow access to data through third-party vendors’ secured portals or clouds.
Notwithstanding anything contained herein both the Firm and the Agency agree that regardless of where the Agency is domiciled and regardless of where this Agreement is physically signed, this Agreement shall have been deemed to have been entered into at the Firm’s office located in the county of Albany, State of New York, USA and the county of Albany, State of New York, USA shall have the exclusive jurisdiction for resolving disputes related to this Agreement. This Agreement shall be interpreted and governed in accordance with the Laws of the State of New York.
The Firm’s liability relating to the performance of the services rendered under this letter is limited solely to direct damage sustained by you. In no event shall the Firm be liable for the consequential, special, incidental, or punitive loss, damage or expense caused to you or to any third party (including without limitation, lost profits, opportunity costs, etc.). Notwithstanding the foregoing, our maximum liability relating to services rendered under this letter (regardless of form of action, whether in contract, negligence or otherwise) shall be limited to the fees received by us for this engagement. The provisions set forth in this paragraph shall survive the completion of the engagement.
You agree that any dispute that may arise regarding the meaning, performance or enforcement of this engagement will, prior to resorting to litigation, be submitted to mediation, and that the parties will engage in the mediation process in good faith once a written request to mediate has been given by any party to the engagement. Any mediation initiated as a result of this engagement shall be administered within the county of Albany, New York, by the American Arbitration Association, according to its mediation rules, and any ensuing litigation shall be conducted within said county, according to the laws of the State of New York. The results of any such mediation shall be binding only upon agreement of each party to be bound. The costs of any mediation proceeding shall be shared equally by the participating parties.
You may request that we perform additional services not addressed in this engagement letter. If this occurs, we will communicate with you regarding the scope of the additional services and the estimated fee. We also may issue a separate engagement letter covering the additional services. In the absence of any other written communication from us documenting such services, our services will continue to be governed by the terms of this engagement letter.
**Provisions of Engagement Administration, Timing and Fees**
Katharine K. Doran, CPA is the engagement partner for the audit services specified in this letter. Her responsibilities include supervising Teal, Becker & Chiaramonte, CPAs, P.C.’s services performed as part of this engagement and signing or authorizing another qualified firm representative to sign the audit reports.
Our fees for these services for the year ending December 31, 2020 will be $7,200, plus out-of-pocket costs such as report production, typing, postage, etc. Our standard hourly rates vary according to the degree of responsibility involved and the experience level of the personnel assigned to your audits. The above fee is based on anticipated cooperation from your personnel and the assumption that unexpected circumstances will not be encountered during the audit. Interim billings will be submitted as work progresses and as expenses are incurred and are due and payable upon presentation of our invoices. A final bill will be provided at the conclusion of our services and payment is due upon presentation. Interest at the rate of 1.5% per month will be charged on all late payments forty five (45) days past due. In the event that your account is turned over to an attorney for collection, you agree to pay all costs of collection including, attorney’s fees, costs and disbursements.
During the course of the audit we may observe opportunities for economy in, or improved controls over, your operations. We will bring such matters to the attention of the appropriate level of management, either orally or in writing.
You agree to inform us of facts that may affect the basic financial statements of which you may become aware during the period from the date of the auditor’s report to the date the financial statements are issued.
It is our policy to keep records related to this engagement for seven years, after which time the Firm will commence the process of destroying the contents of the engagement files. In providing services under this agreement, we will not be the sole host or custodian of your original records. These records will be returned to you promptly upon the completion of the engagement along with a copy of the financial statements. When records are returned to you, it is your responsibility to retain and protect your records for possible future use, including potential examination by any government or regulatory agencies. The balance of the Firm’s engagement file is the Firm’s property, and we will provide copies of such documents at our discretion, if compensated for any time and costs associated with the effort, unless required by law.
At the conclusion of our audit engagement, we will communicate to those charged with governance the following significant findings from the audit:
- Our view about the qualitative aspects of the Agency’s significant accounting practices;
- Significant difficulties, if any, encountered during the audit;
- Uncorrected misstatements, other than those we believe are trivial, if any;
- Disagreements with management, if any;
- Other findings or issues, if any, arising from the audit that are, in our professional judgment, significant and relevant to those charged with governance regarding their oversight of the financial reporting process;
• Material, corrected misstatements that were brought to the attention of management as a result of our audit procedures;
• Representations we requested from management;
• Management’s consultations with other accountants, if any; and
• Significant issues, if any, arising from the audit that were discussed, or the subject of correspondence, with management.
The audit documentation for this engagement is the property of Teal, Becker & Chiaramonte, CPAs, P.C. and constitutes confidential information. However, we may be requested to make certain audit documentation available by law or regulation, or to peer reviewers. If requested, such access to audit documentation will be provided under the supervision of Teal, Becker & Chiaramonte, CPAs, P.C.’s personnel. Furthermore, upon request, we may provide copies of selected audit documentation. We will mark all information as confidential and maintain control over the duplication of such information.
In accordance with the requirements of Government Auditing Standards, we have attached a copy of our latest external peer review report of our firm for your consideration and files.
Please sign and return the enclosed copy of this letter to indicate your acknowledgment of, and agreement with, the arrangements for our audit of the basic financial statements including our respective responsibilities.
We appreciate the opportunity to be your financial statement auditors and look forward to working with you and your staff.
Very truly yours,
TEAL, BECKER & CHIARAMONTE, CPAs, P.C.
RESPONSE:
This letter correctly sets forth our understanding and Agreement and it is acknowledged and agreed to by an authorized representative of City of Albany Industrial Development Agency, a Component Unit of the City of Albany by:
Signature: ________________________________
Title: ______________________________________
Date: ______________________________________
Number of bound copies of the financial statements needed: ___________
Special mailing instructions for the bound copies of the financial statements: ______________________________________________________
_____________________________________________________________________________________________________________________
Do you need an electronic copy of the financial statements? ___________
September 8, 2017
To the Shareholders of
Teal, Becker & Chiaramonte, CPA’s, P.C.
And the Peer Review Committee of the
New York State Society of Certified Public Accountants
We have reviewed the system of quality control for the accounting and auditing practice of Teal, Becker & Chiaramonte, CPA’s, P.C. (the firm) in effect for the year ended May 31, 2017. Our peer review was conducted in accordance with the Standards for Performing and Reporting on Peer Reviews established by the Peer Review Board of the American Institute of Certified Public Accountants (Standards).
A summary of the nature, objectives, scope, limitations of, and the procedures performed in a System Review as described in the Standards may be found at www.aicpa.org/prsummary. The summary also includes an explanation of how engagements identified as not performed or reported in conformity with applicable professional standards, if any, are evaluated by a peer reviewer to determine a peer review rating.
**Firm’s Responsibility**
The firm is responsible for designing an system of quality control and complying with it to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. The firm is also responsible for evaluating actions to promptly remediate engagements deemed as not performed or reported in conformity with professional standards, when appropriate, and for remediating weakness in its system of quality control, if any.
**Peer Reviewer’s Responsibility**
Our responsibility is to express an opinion on the design of the system of quality control and the firm’s compliance therewith based on our review.
**Required Selections and Considerations**
Engagements selected for review included an engagement performed under *Government Auditing Standards*, a compliance audit under the Single Audit Act, and an audit of an employee benefit plan.
As part of our review, we consider reviews by regulatory entities as communicated by the firm, if applicable, in determining the nature and extent of our procedures.
**Opinion**
In our opinion, the system of quality control for the accounting and auditing practice of Teal, Becker & Chiaramonte, CPA’s, P.C. in effect for the year ended May 31, 2017, has been suitably designed and complied with to provide the firm with reasonable assurance of performing and reporting in conformity with applicable professional standards in all material respects. Firms can receive a rating of *pass, pass with deficiency(ies)* or *fail*. Teal, Becker & Chiaramonte, CPA’s, P.C. has received a peer review rating of *pass*.
Amato, Fox & Company, P.C.
SCHEDULE H
AUDIT COMMITTEE CHARTER
Purpose
Pursuant to the Agency’s by-laws, the purpose of the Audit Committee shall be to (1) assure that the Agency’s board fulfills its responsibilities for the Agency’s internal and external audit process, the financial reporting process and the system of risk assessment and internal controls over financial reporting; and (2) provide an avenue of communication between management, the independent auditors, the internal auditors, and the board of directors.
Powers of the Audit Committee
It shall be the responsibility of the Audit Committee to:
- Appoint, compensate, and oversee the work of any public accounting firm employed by the Agency.
- Conduct or authorize investigations into any matters within its scope of responsibility.
- Seek any information it requires from Agency employees, all of whom should be directed by the board to cooperate with committee requests.
- Meet with Agency staff, independent auditors or outside counsel, as necessary.
- Retain, at the Agency’s expense, such outside counsel, experts and other advisors as the Audit Committee may deem appropriate.
The Agency board will ensure that the Audit Committee has sufficient resources to carry out its duties.
Composition of Committee and Selection of Members
The Audit Committee shall be established as set forth in and pursuant to the Agency’s by-laws. The Audit Committee shall consist of at least three members of the board of directors who are independent of Agency operations. The Agency’s board will appoint the Audit Committee members and the Audit Committee chair.
Audit committee members shall be prohibited from being an employee of the Agency or an immediate family member of an employee of the Agency. In addition, Audit Committee members shall not engage in any private business transactions with the Agency or receive compensation from any private entity that has material business relationships with the Agency, or be an immediate family member of an individual that engages in private business transactions with
the Agency or receives compensation from an entity that has material business relationships with the Agency.
Ideally, all members on the Audit Committee shall possess or obtain a basic understanding of governmental financial reporting and auditing.
The Audit Committee shall have access to the services of at least one financial expert; whose name shall be disclosed in the annual report of the Agency.
The Audit Committee’s financial expert should have (1) an understanding of generally accepted accounting principles and financial statements; (2) experience in preparing or auditing financial statements of comparable entities; (3) experience in applying such principles in connection with the accounting for estimates, accruals and reserves; (4) experience with internal accounting controls and, (5) an understanding of Audit Committee functions.
Meetings
The Audit Committee will meet a minimum of twice a year, with the expectation that additional meetings may be required to adequately fulfill all the obligations and duties outlined in the charter.
Members of the Audit Committee are expected to attend each committee meeting, in person or via videoconference. The Audit Committee may invite other individuals, such as members of management, auditors or other technical experts to attend meetings and provide pertinent information, as necessary. A majority of the committee members present or participating through videoconference shall constitute a quorum.
Meeting agendas will be prepared for every meeting and provided to the Audit Committee members along with briefing materials five (5) calendar days before the scheduled Audit Committee meeting. The Audit Committee will act only on the affirmative vote of a majority of the members at a meeting. Minutes of these meetings will be recorded.
The Audit Committee will meet with the Agency’s independent auditor at least annually to discuss the financial statements of the Agency.
Minutes of the committee’s meeting shall be prepared and filed in the records of the Agency and posted to the Agency’s webpage.
Meetings of the committee are open to the public, and the committee shall be governed by the rules regarding public meetings set forth in the applicable provisions of the Public Authorities Law and Article 7 of the Public Officers Law that relate to public notice and the conduct of executive session.
Responsibilities
The Audit Committee shall have responsibilities related to: (a) the independent auditor and annual financial statements; (b) the Agency’s internal auditors; (c) oversight of management’s internal controls, compliance and risk assessment practices; (d) special investigations and whistleblower policies; and (e) miscellaneous issues related to the financial practices of the Agency.
A. Independent Auditors and Financial Statements
The Audit Committee shall:
Appoint, compensate and oversee independent auditors retained by the Agency and pre-approve all audit services provided by the independent auditor.
Establish procedures for the engagement of the independent auditor to provide permitted audit services. The Agency’s independent auditor shall be prohibited from providing non-audit services unless having received previous written approval from the Audit Committee. Non-audit services include tasks that directly support the Agency’s operations, such as bookkeeping or other services related to the accounting records or financial statements of the Agency, financial information systems design and implementation, appraisal or valuation services, actuarial services, investment banking services, and other tasks that may involve performing management functions or making management decisions.
Review and approve the Agency’s audited financial statements, associated management letter, report on internal controls and all other auditor communications.
Review significant accounting and reporting issues, including complex or unusual transactions and management decisions, and recent professional and regulatory pronouncements, and understand their impact on the financial statements.
Meet with the independent audit firm on a regular basis to discuss any significant issues that may have surfaced during the course of the audit.
Review and discuss any significant risks reported in the independent audit findings and recommendations and assess the responsiveness and timeliness of management’s follow-up activities pertaining to the same.
B. Internal Auditors
The Agency may, in its absolute discretion and by resolution of the members, create and establish an internal audit procedure. In the event such an internal audit procedure is created, the Audit Committee shall:
Review with management and the internal audit director, the charter, activities, staffing and organizational structure of the internal audit function. The Audit Committee shall have authority over the appointment, dismissal, compensation and performance reviews of the internal audit director.
Ensure that the internal audit function is organizationally independent from Agency operations.
Review the reports of internal auditors, and have authority to review and approve the annual internal audit plan.
Review the results of internal audits and approve procedures for implementing accepted recommendations of the internal auditor.
C. **Internal Controls, Compliance and Risk Assessment**
The Audit Committee shall:
Review management’s assessment of the effectiveness of the Agency’s internal controls and review the report on internal controls by the independent auditor as a part of the financial audit engagement.
D. **Special Investigations**
The Audit Committee shall:
Ensure that the Agency has an appropriate confidential mechanism for individuals to report suspected fraudulent activities, allegations of corruption, fraud, criminal activity, conflicts of interest or abuse by the directors, officers, or employees of the Agency or any persons having business dealings with the Agency or breaches of internal control.
Develop procedures for the receipt, retention, investigation and/or referral of complaints concerning accounting, internal controls and auditing to the appropriate body.
Request and oversee special investigations as needed and/or refer specific issues to the appropriate body for further investigation (for example, issues may be referred to the State Inspector General or, other investigatory organization.)
Review all reports delivered to it by the Inspector General and serve as a point of contact with the Inspector General.
E. **Other Responsibilities of the Audit Committee**
The Audit Committee shall:
Present annually to the Agency’s board a report of how it has discharged its duties and met its responsibilities as outlined in the charter.
Obtain any information and training needed to enhance the committee members’ understanding of the role of internal audits and the independent auditor, the risk management process, internal controls and a certain level of familiarity in financial reporting standards and processes.
Review the committee’s charter annually, reassess its adequacy, and recommend any proposed changes to the board of the Agency. The Audit Committee charter will be updated as applicable laws, regulations, accounting and auditing standards change.
Conduct an annual self-evaluation of its performance, including its effectiveness and compliance with the charter and request the board approval for proposed changes.
CAIDA Audit Committee 2020 Self Evaluation
1. Meetings
- During 2020, the Audit Committee met twice. The charter requires the Committee to meet a minimum of two times per year, plus any additional meetings as needed.
- All meetings were properly noticed and open to the public as required, and all agendas, meeting materials and minutes were made available to the public in advance of each meeting on the agency’s website.
- Meeting materials were provided to board members in advance of each meeting.
- Minutes of each meeting were regularly prepared, distributed to board members and posted on the agency’s website.
2. 2020 Summary of Activities
The following is a summary of the Audit Committee’s activities and recommendations to the Board of Directors regarding agency operations during 2020.
Actions taken:
- Appointed and oversaw independent auditors retained by the Agency and pre-approved all audit services provided by the independent auditor.
- Established procedures for the engagement of the independent auditor to provide permitted audit services.
- Reviewed and approved the Agency’s audited financial statements, associated management letter, report on internal controls and all other auditor communications.
- Reviewed significant accounting and reporting issues, including complex or unusual transactions and management decisions, recent professional and regulatory pronouncements, and assessed their impact on the financial statements.
- Reviewed and discussed any significant risks reported in the independent audit findings and recommendations and assessed the responsiveness and timeliness of management’s follow-up activities pertaining to the same.
- Reviewed management’s assessment of the effectiveness of the Agency’s internal controls and reviewed the report on internal controls by the independent auditor as a part of the financial audit engagement.
- Presented annually to the Agency’s board a report of how it has discharged its duties and met its responsibilities as outlined in the charter.
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|
Bright extragalactic ALMA redshift survey (BEARS) III: detailed study of emission lines from 71 Herschel targets
M. Hagimoto\textsuperscript{1,*}, T. J. L. C. Bakx\textsuperscript{1,2}, S. Serjeant\textsuperscript{3}, G. J. Bendo\textsuperscript{2}, S. A. Urquhart\textsuperscript{3}, S. Eales\textsuperscript{5}, K. C. Harrington\textsuperscript{6}, Y. Tamura\textsuperscript{1}, H. Umehata\textsuperscript{17}, S. Berta\textsuperscript{8}, A. R. Cooray\textsuperscript{9}, P. Cox\textsuperscript{10}, G. De Zotti\textsuperscript{11}, M. D. Lehner\textsuperscript{12}, D. A. Riechers\textsuperscript{13}, D. Scott\textsuperscript{14}, P. Temi\textsuperscript{15}, P. P. van der Werf\textsuperscript{16}, C. Yang\textsuperscript{17}, A. Amvrosiadis\textsuperscript{18}, P. M. Andreani\textsuperscript{19}, A. J. Baker\textsuperscript{20,21}, A. Beelen\textsuperscript{23}, E. Borsato\textsuperscript{22}, V. Buat\textsuperscript{23}, K. M. Butler\textsuperscript{16}, H. Dannerbauer\textsuperscript{24,25}, L. Dunne\textsuperscript{5}, S. Dye\textsuperscript{26}, A. F. M. Enia\textsuperscript{27,28}, L. Fan\textsuperscript{29,30,31}, R. Gavazzi\textsuperscript{10,32}, J. González-Nuevo\textsuperscript{33,34}, A. I. Harris\textsuperscript{35}, C. N. Herrera\textsuperscript{8}, D. H. Hughes\textsuperscript{36}, D. Ismail\textsuperscript{23}, R. J. Ivison\textsuperscript{19}, B. Jones\textsuperscript{13}, K. Kohno\textsuperscript{37,38}, M. Krips\textsuperscript{8}, G. Lagache\textsuperscript{23}, L. Marchetti\textsuperscript{39,40}, M. Massardi\textsuperscript{40,41}, H. Messias\textsuperscript{40,42}, M. Negrello\textsuperscript{5}, R. Neri\textsuperscript{8}, A. Omont\textsuperscript{10}, I. Perez-Fournon\textsuperscript{24,25}, C. Sedgwick\textsuperscript{3}, M. W. L. Smith\textsuperscript{1,5}, F. Stanley\textsuperscript{10}, A. Verma\textsuperscript{43}, C. Vlahakis\textsuperscript{44}, B. Ward\textsuperscript{5}, C. Weiner\textsuperscript{3}, A. Weiβ\textsuperscript{45} and A. J. Young\textsuperscript{20}
Affiliations are listed at the end of the paper
Accepted 2023 March 4. Received 2023 January 26; in original form 2022 December 7
ABSTRACT
We analyse the molecular and atomic emission lines of 71 bright Herschel-selected galaxies between redshifts 1.4 and 4.6 detected by the Atacama Large Millimeter/submillimeter Array. These lines include a total of 156 CO, [C I], and H$_2$O emission lines. For 46 galaxies, we detect two transitions of CO lines, and for these galaxies we find gas properties similar to those of other dusty star-forming galaxy (DSFG) samples. A comparison to photodissociation models suggests that most of Herschel-selected galaxies have similar interstellar medium conditions as local infrared-luminous galaxies and high-redshift DSFGs, although with denser gas and more intense far-ultraviolet radiation fields than normal star-forming galaxies. The line luminosities agree with the luminosity scaling relations across five orders of magnitude, although the star formation and gas surface density distributions (i.e. Schmidt–Kennicutt relation) suggest a different star formation phase in our galaxies (and other DSFGs) compared to local and low-redshift gas-rich, normal star-forming systems. The gas-to-dust ratios of these galaxies are similar to Milky Way values, with no apparent redshift evolution. Four of 46 sources appear to have CO line ratios in excess of the expected maximum (thermalized) profile, suggesting a rare phase in the evolution of DSFGs. Finally, we create a deep stacked spectrum over a wide rest-frame frequency (220–890 GHz) that reveals faint transitions from HCN and CH, in line with previous stacking experiments.
Key words: galaxies: high-redshift – galaxies: ISM – infrared: galaxies – submillimetre: galaxies.
1 INTRODUCTION
Since the advent of wide-field submillimetre instrumentation, we have been aware of a population of high-redshift dusty star-forming galaxies (DSFGs), which are subdominant at rest-frame optical wavelengths but contribute to the comoving volume-averaged star formation density (e.g. Smail, Ivison & Blain 1997; Hughes et al. 1998; Blain et al. 2002; Casey, Narayanan & Cooray 2014) of 20–80 per cent over most of the history of the Universe (e.g. Zavala et al. 2021), particularly at the peak in star formation density at $z \sim 2.5$ (Madau & Dickinson 2014). The Herschel Space Observatory, the Planck satellite, the South-Pole Telescope (SPT), and the Atacama Cosmology Telescope (ACT) each mapped one to several thousands of square degrees and discovered many high-redshift galaxies apparently forming stars at rates beyond 1000 M$_\odot$ yr$^{-1}$ (Rowan-Robinson et al. 2016). However, hydrodynamical models of galaxies initially failed to reproduce these extreme star-forming events (e.g. Narayanan et al. 2015). A further complication is that high-resolution follow-up observations of individual sources reveal a heterogeneous population, from smooth discs to clumpy merger-like systems (e.g. Bussmann et al. 2013, 2015; Dye et al. 2015, 2018; Hodge et al. 2016; Gulberg et al. 2018; Lelli et al. 2021; Chen et al. 2022). Accurate characterization of these diverse sources across larger samples is thus needed, although so far such detailed studies of this population have been limited by the lack of angular resolving power of single-dish telescopes and the intrinsic uncertainty in the photometric redshifts estimated from the far-infrared regime($\Delta z/(1 + z) \simeq 0.13$ (Lapi et al. 2011; González-Nuevo et al. 2012; Pearson et al. 2013; Ivison et al. 2016; Bakx et al. 2018).
The large areas of the DSFG surveys allowed the selection of rare types of galaxies. In fact, simply selecting galaxies with 500-$\mu$m
flux densities $S_{800} > 100 \text{ mJy}$ has proven to be a reliable selector of strongly gravitationally lensed systems (Negrello et al. 2007, 2010; Wardlow et al. 2013; Negrello et al. 2014, 2017; Nayyeri et al. 2016). In an effort to better understand bright, distant *Herschel* galaxies, Baix et al. (2018) selected sources with $S_{800} > 80 \text{ mJy}$, as well as a photometric redshift $z_{\text{phot}} \geq 2$, based on the *Herschel*-Spectral and Photometric Imaging Receiver (SPIRE) fluxes, in order to decrease the contamination rate (see also Baix et al. 2020b). They constructed a sample of 209 sources, known collectively as the *Herschel* Bright Sources (HerBS) sample. A cross-correlation analysis in Baix, Eales & Amvrosiadis (2020a) has shown it is likely that lower flux criterion ($100 \text{ mJy} > S_{800} > 80 \text{ mJy}$) selects towards more intrinsically bright sources with lower magnification factors. Thus, this sample likely not only includes rare strongly lensed sources, but also intrinsically very bright sources, such as hyperluminous infrared galaxies (HyLIRGs, $L_{IR} > 10^{13} L_\odot$; Fu et al. 2013; Ivison et al. 2013; Riechers et al. 2013, 2017; Oteo et al. 2016).
The angular magnification in the strongly gravitationally lensed sources enables resolved observations of the gas down to 100–pc scales (e.g. Dye et al. 2015; Tamura et al. 2015; Egami et al. 2018) with follow-up imaging. Such observations are well suited to illuminate the physical processes driving the star formation activity within the galaxies, particularly through resolved kinematics of spectral lines. Similarly, resolved gas morphologies and kinematics will hold the key to understanding the physical origin of HyLIRGs. However, determining the spectroscopic redshift of individual sources is an essential first step, and therefore several redshift campaigns have targeted submm- and mm-wave-selected galaxies. In the Northern hemisphere, the Institut de Radio Astronomie Millimétrique (IRAM) 30-m telescope and NOrthern Extended Millimeter Array (NOEMA) have been used to search for CO emission lines for determining spectroscopic redshifts (Baix et al. 2020c; Neri et al. 2020). In particular, the NOEMA project z-GAL (PLs. P. Cox, H. Dannerbauer, and T. Baix) aims to obtain the spectroscopic redshifts of 137 sources in northern and equatorial fields (Cox et al., in preparation). However, a large fraction of the *Herschel* sources in the Southern hemisphere had not yet been done.
Therefore, Urquhart et al. (2022) and Bendo et al. (2023) presented the result of the Bright Extragalactic Atacama Large Millimeter/submillimeter Array (ALMA) Redshift Survey (BEARS). They selected the 85 sources from HerBS that are located in the South Galactic Pole field and previously lacked spectroscopic redshifts. Using a series of meticulously chosen spectral windows, they reported 71 spectroscopic redshifts by targeting the brightest mm-wavelength lines, i.e. the rotational transitions of CO ($J, J - 1$) (see Baix & Dannerbauer 2022). These observations have angular resolutions of $\sim 2–3 \text{ arcsec}$ for the 2 and 3 mm spectral windows, respectively. Since higher-$J$ transitions are sensitive to denser and warmer gas, the line luminosity ratios between different transitions can provide insight into the gas conditions within the galaxies such as gas densities and kinetic temperatures (e.g. Weiß et al. 2007; Bothwell et al. 2013; Yang et al. 2017; Cánameras et al. 2018; Dannerbauer et al. 2019; Harrington et al. 2021). Furthermore, lines with a high critical density and temperature are excited for the strongly lensed, high-redshift *Planck* selected sources, indicating molecular gas is typically warmer for these dusty star-forming systems with high intrinsic infrared luminosities ($\sim \log L_{IR} = 12.5–13.7 \ L_\odot$; Harrington et al. 2021). Similar findings have been reported for the SPT-selected sources (Reuter et al. 2020) and studies of bright *Herschel* galaxies (Yang et al. 2017; Baix et al. 2020c; Neri et al. 2020).
The CO lines from this redshift search provide us with a sensitive probe of the interstellar medium (ISM) conditions of a large sample of *Herschel* galaxies. Specifically, the Schmidt–Kennicutt (SK) relation between the star formation surface density and molecular gas mass ($\Sigma_{\text{SFR}}-\Sigma_{\text{H}_2}$; Schmidt 1959; Kennicutt 1998) is diagnostic of the star formation mode, i.e. ‘main sequence’ as opposed to ‘starburst’. High-redshift dusty starbursts typically have higher star formation rates (SFRs) relative to their molecular gas compared to normal star-forming galaxies (e.g. Casey et al. 2014), which results in a shorter depletion time-scale ($\sim 100 \text{ Myr}$). The reasons for this boost in star formation are often hypothesized to be connected with recent merger events (Sanders et al. 1988; Barnes & Hernquist 1991; Hopkins et al. 2008), although several other theories have been posited (Cai et al. 2013; Gulberg et al. 2019; Hodge et al. 2019; Rizzo et al. 2020; Fraternali et al. 2021). CO is the second-most abundant molecule in the ISM, and the $J = 1–0$ transition to the ground state has traditionally been considered as the best tracer of the molecular gas mass. However, it is difficult to observe in high-redshift galaxies due to its relative faintness. Alternatively, other low-$J$ CO lines, such as CO $(2–1)$ or $(3–2)$, can be used as molecular gas tracers, although to use these we have to assume a gas excitation. In addition, we could miss the molecular gas mass behind the ‘photosphere’ due to the optically thick nature of $^{13}\text{CO}$, particularly for low-$J$ CO lines. In this situation, the [C I] $(^3P_1 – ^3P_0)$ line is a useful alternative tracer, which has been discussed from both theoretical and observational perspectives (e.g. Papadopoulos & Greve 2004; Papadopoulos, Thi & Viti 2004). [C I] $(^3P_1 – ^3P_0)$ is typically optically thin and therefore probes the full molecular gas mass, although in the local Universe there exists not much difference between molecular gas estimates from CO lines and [C I] $(^3P_1 – ^3P_0)$ (Israel 2020). In addition, it is a useful probe of the physical conditions of the photoionisation regions (PDRs) inside these dusty starbursts (e.g. Alaghband-Zadeh et al. 2013; Bothwell et al. 2017; Jiao et al. 2017; Valentino et al. 2020b).
In this paper, we exploit the 156 detections and upper limits of CO rotational transitions, as well as [C I] atomic carbon and the H$_2$O $(2_{11} – 2_{00})$ water transition within the BEARS project to estimate the ISM conditions of 71 bright *Herschel*-selected galaxies. We briefly describe the sample and observations in Section 2, and show the initial sample results in Section 3. We discuss these results in Section 4, Section 5 discusses four sources with strange spectral features, and Section 6 discusses the composite spectrum. We provide our main conclusions in Section 7. Throughout this paper, we adopted a spatially flat $\Lambda$CDM cosmology with the best-fitting parameters derived from the *Planck* results (Planck Collaboration XIII 2016), which are $\Omega_m = 0.307$, $\Omega_\Lambda = 0.693$, and $h = 0.693$.
## 2 SAMPLE AND OBSERVATIONS
Our sources are selected from the *Herschel* Bright Sources sample (HerBS; Baix et al. 2018, 2020b), which contains the 209 brightest, high-redshift sources in the 616.4 deg$^2$, H-ATLAS survey (Eales et al. 2010). The H-ATLAS survey used the PACS (Poglitsch et al. 2010) and SPIRE (Griffin et al. 2010) instruments on *Herschel* to observe the North and South Galactic Pole Fields, as well as three equatorial fields, to a 1σ sensitivity of 5.2 μm at 250 μm to 6.8 mJy at 500 μm.\footnote{These sensitivities are derived from the background-subtracted, matched-filtered maps without accounting for confusion noise.} (Eales et al. 2010; Valiante et al. 2016). The sources are selected with a photometric redshift, $z_{\text{phot}}$, greater than 2 and a 500-μm flux density, $S_{500}$, greater than 80 mJy. Blazar contaminants were removed with radio catalogues and verified with 850-μm SCUBA-2.
observations (Bakx et al. 2018). The infrared photometric redshift of each source was initially calculated through the fitting of a two-temperature modified blackbody (MBB) spectral energy distribution template from Pearson et al. (2013) to the 250-, 350-, and 500-\(\mu\)m flux densities (Bakx et al. 2018). This MBB was derived from the \textit{Herschel}-SPIRE photometry of 40 lensed H-ATLAS sources with spectroscopic redshifts from the H-ATLAS survey, and assumed both a cold (23.9 K) and warm (46.9 K) component of the dust. These sources are similar to the ones in this sample, and would thus provide a good initial photometric redshift estimate, with an estimated error of \(\Delta z/(1+z)\approx0.12\). Improved photometric fits of the data, including the recent ALMA data, are reported in Bendo et al. (2023).
Concerted efforts have been made to measure the redshifts of these sources using both single-dish telescopes (e.g. IRAM; Bakx et al. 2020c) and interferometers (e.g. NOEMA; Neri et al. 2020). However, most of the sources in the Southern hemisphere have been out of reach for earlier redshift search attempts with CARMA, NOEMA, and IRAM 30-m. As described by Urquhart et al. (2022), our targeted sources are all located in the South Galactic Pole field (Eales et al. 2010). The initial line searches were conducted by the Atacama Compact Array (ACA; also called the Morita Array) for 11 sources in the 3-mm band (Band 3). This has been complemented by a larger scale search using the 12-m Array that observed another 74 sources at 3 mm, and all 85 targets at 2 mm, in an effort to measure robust redshifts. In total, the redshifts of 71 galaxies in 62 out of 85 \textit{Herschel} fields were identified. The redshift identification is described in more detail in Urquhart et al. (2022), with the continuum and source-multiplicity analysis presented in Bendo et al. (2023).
### 3 LINE FLUXES
We use the line fluxes reported in Urquhart et al. (2022) for all detected lines, which we complement with upper-limit extractions using the following method. Briefly, for the detected lines, circular apertures were centred on the peaks of the corresponding continuum emission, and the radii of the apertures were manually adjusted for each source in each image to include as much line emission as possible while still measuring that emission at higher than the 5\(\sigma\) level. These apertures were several times larger than the beam size, removing potential bias when comparing lines with different signal-to-noise ratios or with different beam sizes. Similarly, the frequency channels were manually selected such that as much of the line flux as possible was included while still yielding measurements above the 5\(\sigma\) level. For non-detected lines, the same aperture and line velocity width as the detected lines were used. We then fit a Gaussian profile to the frequency of the undetected spectral lines with a fixed velocity width. The resulting uncertainty on this fit then provided us with the 1\(\sigma\) error.
Fig. 1 shows an overview of all the detected spectral lines and the 3\(\sigma\) upper limits of undetected lines of all sources. Most of the detected spectral lines are from CO ranging from \(J = 2–1\) to \(7–6\), and in addition, we detect the [C I] (\(^3P_1–^3P_0\)) line for 23 sources, a water line (H\(_2\)O (\(2_{11}–2_{02}\))) for two sources, and the [C I] (\(^3P_2–^3P_1\)) line for four sources. We also include the upper limits of a single CO, six [C I] (\(^3P_1–^3P_0\)), and three H\(_2\)O (\(2_{11}–2_{02}\)) lines. Most of these lines had already been reported in Urquhart et al. (2022), however, we extracted three extra [C I] (\(^3P_1–^3P_0\)), three extra [C I] (\(^3P_2–^3P_1\)), and one extra H\(_2\)O (\(2_{11}–2_{02}\)) lines. These additional velocity-integrated line fluxes and upper limits are listed in Table A1. We find velocity-integrated fluxes, \(f_{CO}\), ranging from 0.6 to 21.1 Jy km s\(^{-1}\). We do not correct for cosmic microwave background (CMB) effects (i.e. the observational contrast against the CMB and the enhanced excitation of the CO or other line transitions), since this requires extensive modelling of the ISM conditions and exceeds the scope of this paper, particularly since it is not a large correction at these redshifts (da Cunha et al. 2013; Zhang et al. 2016; Tunnard & Greve 2017). The velocity-width full width at half-maximum (FWHM) of our sources ranges between 110 and 1290 km s\(^{-1}\). This observed diversity in line profiles is also seen in the Fig. G1, where the velocity distribution of the BEARS systems is compared against one another.
### 4 DISCUSSION
#### 4.1 CO spectral line energy distributions
Fig. 2 compares the normalized integrated line intensities for each of the sources. In this figure, the sources are normalized to the expected CO (1–0) line velocity-integrated flux, derived from the mean spectral line energy distribution (SLED) of the turbulent model in Harrington et al. (2021), using the lowest \(J_{up}\) CO line with \(\pm 1\sigma\) standard deviation (shown as the grey shaded region). The colour of the lines indicates the lowest \(J_{up}\) transition, starting from \(J_{up} = 2\) to 5 shown in \textit{red}, \textit{blue}, \textit{green}, and \textit{orange}. The \textit{dashed lines} show the associated thermalized profiles for each normalized transition (\(I_{CO} \propto J_{up}^2\)), with the instant of proportionality determined by the SLED from Harrington et al. (2021). The \textit{connected red plus points} indicate the SLED from the stacked spectrum (see Section 6 for details).
The CO SLEDs reflect a diverse population that broadly follows the mean ratios reported by Harrington et al. (2021), which has a slightly smaller median redshift (\(z_{med} = 2.4\)) relative to our median redshift (\(z_{med} = 2.7\)). Several sources already show a downward trend in velocity-integrated intensity at \(J_{up} < 4\), which is more in line with non-starburst galaxies (Dannerbauer et al. 2009; Boogaard et al. 2020) such as the Milky Way (Fixsen, Bennett & Mather 1999). It is important to note that the general shape of CO SLEDs consists of multiple components (e.g. Daddi et al. 2015; Yang et al. 2017; Cañameras et al. 2018). The stacked SLED straddles the top of the expected ratios from Harrington et al. (2021), but it is normalized only to two CO (2–1) detections and reflects the average line ratios across a wide range in redshifts. The stacked SLED agrees within the 1\(\sigma\) error with the model from Harrington et al. (2021), although it appears higher for \(J_{up} > 4\). While the majority of sources show sub-thermalized profiles (i.e. below their respective \textit{dashed lines}), several sources (HerBS-69B, -120A, -120B, -159B) have SLEDs above the typically assumed theoretical maximum excitation, based on the equipartition distribution of the CO excitation states; this will be discussed separately in Section 5.
We provide an alternative perspective on the CO SLEDs of our sources in Fig. 3, where we compare the luminosity ratios of all detected lines. We calculate the line luminosity for the spectral lines using the equation from Solomon et al. (1997):
\[
L' = 3.25 \times 10^5 S_{CO} \Delta v f_{obs}^{-2} D_L^2 (1 + z)^{-3} \left[ \text{K km s}^{-1} \text{ pc}^2 \right],
\]
with the integrated flux, \(S_{CO} \Delta v\), in Jy km s\(^{-1}\), the observed frequency, \(f_{obs}\), in GHz, and the luminosity distance, \(D_L\), in Mpc. We derive the line luminosity ratios, \(r_{J_a,J_b}\), for each of our sources, using
\[
r_{J_a,J_b} = \frac{L'_a}{L'_b} = \frac{I_a J_b^2}{I_b J_a^2}.
\]
Here, \(L'_a\) and \(L'_b\) refer to the luminosity of lines a and b, \(I_a\) and \(I_b\) refer to the integrated line flux, and \(J_a\) and \(J_b\) refer to the upper rotational quantum level, commonly referred to as \(J_{up}\). We
Figure 1. Integrated line intensities of the spectral lines for each of the galaxies with robust spectroscopic redshifts (see Urquhart et al. 2022). We show the CO-line transitions as connected black points, and include $[\text{C I}] \left( ^3P_1 - ^3P_0 \right)$ and $[\text{C I}] \left( ^3P_2 - ^3P_1 \right)$ as unconnected orange squares at $J_{\text{up}} = 4.5$ and 7.5, respectively. The unconnected blue diamond at $J_{\text{up}} = 6.5$ refers to the H$_2$O $(2_1-2_0)$ line. The positions of the [C I] and H$_2$O lines are chosen based on their frequency relative to the CO lines. We show 3$\sigma$ upper limits as downward triangles. The dashed black line shows the thermalized SLED profile fitted to the lowest-$J_{\text{up}}$ CO transition, and the filled grey region shows the mean SLED obtained from the turbulent model for Planck-selected galaxies by Harrington et al. (2021) with associated 1$\sigma$ spread propagated in quadrature, also fitted to the lowest $J_{\text{up}}$ CO transition for each galaxy. We also include the source ID, spectroscopic redshift, and apparent infrared luminosity for each panel.
Figure 2. Normalized line intensities of BEARS galaxies against the observed CO line transition. The lines are normalized to the CO (1–0) emission calculated using the mean SLED obtained from the turbulent model for strongly lensed galaxies identified by the Planck satellite (LPs) in Harrington et al. (2021). The colour of the marker reflects the lowest $J_{\text{up}}$ transition observed to the galaxy. Similarly, the coloured dashed lines indicate the thermalized profiles for the lowest transitions ($\propto J_{\text{up}}^3$). The grey filled region shows the mean SLED with $\pm 1\sigma$ standard deviation from Harrington et al. (2021). The connected red plus points show the SLED from the stacked spectrum (Section 6), and this is consistent with the mean SLED of Planck-selected DSFGs. We note that several sources appear to exceed the maximum (i.e. thermalized) line ratio profile, and we discuss the implications of this in Section 5.
use error-propagation rules to obtain the total error of each data point. The dashed black line at $r_{J_1, J_2} = 1$ indicates the constant-brightness or thermalized profile ($I_{CO} \propto J_{\text{up}}^2$), typically assumed to be the maximum excitation SLED of a galaxy.
Similar to Fig. 2, the majority of sources fall within the mean SLED from Harrington et al. (2021) (grey filled region). A handful of sources already appear to peak at or lower than $J_{\text{up}} = 3$, with the majority of sources showing a peak in their CO SLED between $J_{\text{up}} = 4$ and 6 or beyond. Several sources, however, lie on the unexpected side of the thermalization curve, indicating super-thermal excitation within our sources (see Section 5). We note that there is a strong redshift dependence for what lines are detected for each source. This is due to the fixed spectral windows in the ALMA observations described in Urquhart et al. (2022), where sources at higher redshifts had higher-$J$ CO lines redshifted into the observing windows.
4.2 Spectral line comparison
In this subsection, we compare several spectral lines against the bolometric infrared luminosity (8–1000 $\mu$m) for the BEARS galaxies. We choose to derive the infrared luminosity using only the 151 GHz flux density from the Band 4 observations with ALMA, since all galaxies are identified through their 151 GHz flux density, and over half of all sources discussed in this paper (40 out of 71) have multiples that make direct comparison to the Herschel and SCUBA-2 photometry unreliable. For all sources in our sample, the observed 151 GHz emission probes the infrared emission, as all sources lie beyond $z > 1$. Although Bendo et al. (2023) provide estimates of the photometric properties of individual sources and sources with multiples at the same confirmed redshift, a comprehensive study across our sample is still elusive, as it requires extensive work using deblending techniques on the Herschel and SCUBA-2 photometry for sources with multiples. The scope of this paper is to provide a
Figure 3. Line luminosity ratios between the different lines plotted against the CO transition in the denominator (i.e. the normalizing CO line transition) using equation (2). We compare the ratios to the expected ratios of the compilation of Harrington et al. (2021) (grey filled region), and the constant brightness profile (flat dashed line). The colour of the data markers reflects their redshift (blue to red equalling low to high redshift). Each panel indicates a different CO-transition in the denominator of the luminosity ratio, while the x-axis refers to the CO transition in the numerator. We manually shift the points between $J_1 - 0.5$ and $J_1 + 0.5$ so as not to overlap. The constant brightness profile assumes equal excitation among all CO transitions, and thus has a uniform value of 1.0 for all CO transitions. The lines detected for each source depends strongly on their spectroscopic redshift, and is reflected in the clustering of colours at specific CO line transitions. For non-thermalized CO lines, the points lie above 1 at x-values lower than $J_0$, and below 1 at x-values larger than $J_0$.
Figure 4. Detected CO and [C I] emission lines versus the infrared luminosity. We compare the line luminosity of the BEARS sources against reference samples of low-redshift star-forming galaxies, including infrared-luminous galaxies (Greve et al. 2014; Liu et al. 2015; Rosenberg et al. 2015; Kamenetzky et al. 2016; Yang et al. 2017; grey points), high-redshift star-forming galaxies (Valentino et al. 2020a; green squares), and DSFGs (Walter et al. 2011; Alaghband-Zadeh et al. 2013; Bothwell et al. 2017; Yang et al. 2017; Harrington et al. 2021; blue squares, diamond points, and plus points). We use a linear-regression-fitting technique to estimate the scaling relations, accounting for errors in both the line and infrared luminosities. The red solid line and background pink shade mean the best-fitting result and ±2σ uncertainty. The best-fitting parameters of the scaling relations are reported in Table B1. The large plus sign indicates the result from the stacked spectrum (see Section 6). Our sources, as well as the stacked result, are consistent with previous works.
A comprehensive study of the gas properties of our sample, and we therefore take a simplified approach using the single data point all our sources share (i.e. the 151 GHz detection) and leave a deblending study for future work. The infrared luminosity is calculated assuming an MBB with an average dust temperature of 35 K and a dust-emissivity index ($\beta$) of 2. This is in line with the photometric study of individual sources and sources with multiples at the same redshifts from Bendo et al. (2023), which finds an average dust temperature of $32.3 \pm 5.5$ and a $\beta$ of $2.00 \pm 0.35$, and also agrees with previous studies of dusty galaxies in the distant Universe (e.g. Eales et al. 2000; Dunne & Eales 2001). A single-temperature MBB is the most basic representation of the emission of a dusty galaxy, and allows for an easy comparison or future translation to other studies, unlike a direct fit to an observed spectrum such as the Cosmic Eelash (e.g. Ivison et al. 2010; Swinbank et al. 2010). The 151 GHz emission traces the Rayleigh–Jeans tail of the emission, and we are thus sensitive to the larger but colder reservoirs of dust. However, we note that this data point provides little constraint on any warmer dust that could be present inside a small portion of these galaxies. We account for the CMB using the appropriate equations from da Cunha et al. (2013), which correct both for the dust emission in contrast to the CMB, as well as additional dust heating by the CMB. For single-component sources, we validate our method against the luminosities from Baix et al. (2020b) and Bendo et al. (2023), and find similar infrared luminosities within the typical uncertainty of the 151 GHz flux density. Throughout this paper, we calculate the SFR assuming the Kennicutt & Evans (2012) relation of SFR [$M_\odot \text{ yr}^{-1}] = 1.47 \times 10^{-10} L_{\text{IR}} [\text{L}_\odot]$.
Fig. 4 shows the line luminosity of the CO and [C I] lines against the infrared luminosity of the BEARS sources. These sources are compared against the relationships for low- (Greve et al. 2014; Liu et al. 2015; Rosenberg et al. 2015; Kamenetzky et al. 2016;
Yang et al. 2017) and high-redshift (Walter et al. 2011; Alaghband-Zadeh et al. 2013; Bothwell et al. 2017; Yang et al. 2017; Valentino et al. 2020a; Harrington et al. 2021) galaxies. In order to estimate the scaling relations accounting for errors in both the line and infrared luminosity, we use a linear regression fitting technique of SciPy (Virtanen et al. 2020) ODR (orthogonal distance regression) package, which is an implementation of the FORTRAN ODRPACK package (Boggs et al. 1992). The best-fitting parameters in the scaling relations are reported in Table B1 according to the prescription
\[
\log_{10} \left( L'_{\text{line}} \left[ \text{K km s}^{-1} \text{ pc}^2 \right] \right) = a \times \log_{10} \left( L_{\text{IR}} \left[ \text{L}_\odot \right] \right) + b.
\]
The line luminosity scalings of BEARS galaxies are consistent with the reference samples, spanning over four orders of magnitude for all lines. The best-fitting results of the CO and [C\text{I}] lines (except CO (2–1) and perhaps CO (3–2)) agree with a linear scaling relation across our sample. While the line fits are well constrained, the source-to-source variation across the reference samples and our data are of the order of ±0.5 dex. This means that we can convert the luminosities of these emission lines into SFR estimates.
### 4.3 Inferred Schmidt–Kennicutt relation of Herschel sources
Fig. 5 shows the SK scaling relation – star formation surface density against molecular gas mass surface density (Schmidt 1959; Kennicutt 1989) – for all 71 BEARS sources detected in either [C\text{I}] or CO. The molecular hydrogen mass in the galaxy is calculated using
\[
M_{\text{H}_2} = \alpha L'_{\text{line}}.
\]
When available, we use the [C\text{I}] ($^3P_1$–$^3P_0$) line to calculate the molecular gas mass, otherwise we use the mean line luminosity ratios obtained from the turbulence model in Harrington et al. (2021) to calculate the CO (1–0) line luminosity, specifically $r_{2:1} = 0.88 \pm 0.07$, $r_{1:1} = 0.69 \pm 0.12$, $r_{4:1} = 0.52 \pm 0.14$, and $r_{5:1} = 0.37 \pm 0.15$. We use each conversion factor from the recent study of Dunne et al. (2021, 2022):
\[
\alpha_{[\text{C}\text{I}]} = 17.0 \left[ M_\odot \left( \text{K km s}^{-1} \text{ pc}^2 \right)^{-1} \right],
\]
\[
\alpha_{\text{CO}} = 4.0 \left[ M_\odot \left( \text{K km s}^{-1} \text{ pc}^2 \right)^{-1} \right].
\]
They estimate this value through a self-consistent cross-calibration between three important gas-mass tracers (i.e. [C\text{I}], CO and submm dust continuum). In total, they use 40/7 galaxies from low to high-redshift ($z \approx 6$), and fail to find any evidence for a bimodality in the gas conversion factors between different galaxy types. As a sanity check, our sources also have a good agreement in their estimates of the molecular gas mass between [C\text{I}] and CO. The $\alpha_{\text{CO}} = 4.0 \, M_\odot \left( \text{K km s}^{-1} \text{ pc}^2 \right)^{-1}$ value includes the additional helium correction (see Bolatto, Wolfire & Leroy 2013 for a review) of 1.36. This $\alpha_{\text{CO}}$ value is larger than the typically assumed 0.8 for starbursting galaxies (see e.g. Casey et al. 2014); however, this is in line with recent studies of Planck-selected galaxies (Harrington et al. 2021). We note that the lower $\alpha_{\text{CO}}$ values from previous studies are better able to align the observed dynamical and molecular gas masses (see Section 4.5). We use the deconvolved IMFTT result discussed in Section 4.4 to estimate the surface densities, where circles indicate sources with size estimates and circles with diagonal arrows indicate sources with upper limits on their size estimates. We use the same (continuum) size estimate for both the molecular gas and star formation surface densities. These are compared against reference samples at low- (Kennicutt 1989; de los Reyes & Kennicutt 2019a, b; Kennicutt & De Los Reyes 2021) and high-redshift (Tacconi et al. 2013; Hatsukade et al. 2015; Chen et al. 2017, and references therein).
We adjust the reference sample of DSFGs (blue squares) from Chen et al. (2017, and references therein) from the initially assumed $\alpha_{\text{CO}} = 0.8$ to 4.0 for a fair comparison, where the black arrow in the top left part of the graph indicates the effect of this change in $\alpha_{\text{CO}}$. Recent studies have shown that the size of the molecular gas reservoir extends beyond the bright star-forming region (e.g. Chen et al. 2017). Therefore, the arrow can also be used to indicate the effect of a 2.2 times (= $\sqrt{4/0.8}$) larger radius of the molecular reservoir relative to the star-forming region. The diagonal dashed lines indicate the depletion time-scales of 1 Myr to 10 Gyr, defined as the molecular gas mass divided by the SFR ($t_{\text{dep}} = \mu M_{\text{mol}}/\text{SFR}$).
The BEARS sources appear to have shorter depletion times than local spirals and dwarf galaxies, as well as $z \approx 1$–3 star-forming galaxies, suggesting accelerated star formation in these systems and hence implying that these systems are not simply scaled-up versions of gas-rich, normal star-forming systems (Cibinel et al. 2017; Kaasinen et al. 2020). The BEARS sources have, on average, longer depletion times than the DSFGs from Hatsukade et al. (2015) and Chen et al. (2017, and references therein). Harrington et al. (2021) also report the longer depletion time-scale for Planck-selected DSFGs, suggesting that DSFGs are not necessarily consuming their gas faster than other active galaxies. However, they do appear to have a similar slope that is of the order of unity or slightly steeper. This is in contrast to the slopes reported in early studies (e.g. 1.25–1.44 by Gao & Solomon 2004) and in agreement with current studies (e.g. 0.9–1.4 by Tacconi et al. 2013, 2018; Tacconi, Genzel & Sternberg 2020 and 1.13 by Wang et al. 2022). There exists, however, an ambiguity in the measured sizes of these kind of studies. As noted in Chen et al. (2017), if the dust size is used instead of the CO-based size estimate, the gas surface density of the sources could increase by over an order of magnitude. High-resolution imaging of DSFGs have shown these sources to be compact dusty systems (e.g. Ikarashi et al. 2015; Barro et al. 2016; Hodge et al. 2016; Gullberg et al. 2019; Pantioti et al. 2021) with sizes of the order of a single kiloparsec. Instead, relative to the $z \sim 2$–4 SMGs, the BEARS systems are likely hosting more extended star formation in their systems seen through an increase in their depletion time-scales. Here, we note an intrinsic bias in our sample, since all galaxies have spectroscopic redshifts based on CO line measurements. Low gas-surface-density galaxies might remain without a spectroscopic redshift, which could bias our sample towards higher gas surface densities.
The size estimates from IMFIT are of the same order as the beam size of the current ALMA observations ($\approx 2$ arcsec), and could be affected by the magnification of gravitational lensing. These effects, however, would only move the data points along the diagonal lines of constant depletion time-scales (if we exclude differential lensing), and would not affect our estimates of the SK-slope; however, it is difficult to exclude any effects from differential lensing at the current resolution (Serjeant 2012).
### 4.4 Dynamical properties of BEARS galaxies
The moderate resolution of our observations ($\approx 2$ arcsec) and velocity width of the lines provides a potential window on the dynamical nature of these high-redshift galaxies. We calculate (apparent) dynamical virial and rotational mass following earlier studies (Neri et al. 2003; Tacconi et al. 2006; Bouché et al. 2007; Engel et al. 2010; Bothwell et al. 2013; Bussmann et al. 2013; Wang et al. 2013; Willott, Bergeron & Omont 2015; Venemans et al. 2016; Yang et al. 2017) as
Figure 5. SK scaling relation, i.e. star formation surface density against molecular gas mass surface density (Schmidt 1959; Kennicutt 1989) for the BEARS galaxies detected either in [C\text{I}] (\textit{red}) or CO (\textit{light red}). We use the deconvolved 3MPdT result discussed in Section 4.4 to estimate the surface densities, where \textit{circles} indicate sources with size estimates and \textit{circles with diagonal arrows} indicate sources with upper limits on their size estimates. They are compared against reference samples of low-redshift galaxies (Kennicutt 1989; de los Reyes & Kennicutt 2019a, b; Kennicutt & De Los Reyes 2021; \textit{grey points, plus points, and diamonds}), high-redshift star-forming galaxies (Tacconi et al. 2013; \textit{green squares}), and high-redshift DSFGs (Hatsukade et al. 2015; Chen et al. 2017 and references therein; \textit{blue squares}). We use an $a_{[\text{CI}]}$ value of 17.0 and an $\alpha_{\text{CO}}$ value of 4.0 from the recent study of Dunne et al. (2021, 2022). We adjust the reference sample of DSFGs (\textit{blue squares}) from Chen et al. (2017) from the initially assumed $\alpha_{\text{CO}} = 0.8$ to 4.0 for a fair comparison, where the \textit{black arrow} in the top left part of the graph indicates the effect of this change in $\alpha_{\text{CO}}$. Recent studies have shown that the size of the molecular gas reservoir extends beyond that of the bright star-forming region. The arrow can thus also be used to indicate the effect of a 2.2 times larger radius of the molecular reservoir relative to the star formation region. The \textit{diagonal dashed lines} indicate the depletion time-scales of 1 Myr to 10 Gyr. The BEARS sources appear to have slightly longer gas depletion times than DSFGs from Chen et al. (2017, and references therein); however, they do appear to have a similar slope. The SK slope for the BEARS sample is approximately unity.
\begin{align}
M_{\text{dyn,vir}} &= 1.56 \times 10^6 \left( \frac{\sigma}{\text{km s}^{-1}} \right)^2 \left( \frac{r}{\text{kpc}} \right) M_\odot, \\
M_{\text{dyn,rot}} &= 2.32 \times 10^5 \left( \frac{v_{\text{circ}}}{\text{km s}^{-1}} \right)^2 \left( \frac{r}{\text{kpc}} \right) M_\odot,
\end{align}
in which $\sigma = \Delta V_{\text{CO}}/(2\sqrt{2}\ln 2)$, $\Delta V_{\text{CO}}$ is the FWHM of the line, $v_{\text{circ}}$ is the circular velocity (using $v_{\text{circ}} = 0.75 \Delta V_{\text{CO}}/\sin i$, with the inclination angle set as the average of $i = 55^\circ$ deg following Wang et al. 2013), and $r$ is the effective radius. Here, we note that a wrong estimate of $i$ may lead to a significant systematic shift.
Figure 6. Velocity widths versus effective radii for sources with detected line emission. Dash–dotted, dashed, and dotted lines show constant dynamical masses, which are $10^{10}$, $10^{11}$, and $10^{12} \, M_\odot$, respectively. Grey shaded regions are the variations in which equations of rotational (upper) or virial (lower) estimates shown in Yang et al. (2017) (i.e. equations 7 and 8) are selected to calculate dynamical mass. The pink data points represent the upper limits of the size estimation from IMFIT. These sources are unresolved so we set the size of them to the minimum size of detected sources (red points). We show the histograms of the velocity and radius distributions on the right and top sides of the graph, respectively; the red filled and pink hatched histograms correspond to the data points with the same colour.
for individual objects, but that using the average value is useful for statistical estimates of $M_{\text{dyn}}$ across the population, even though individual $M_{\text{dyn}}$ estimates are not necessarily reliable. We calculate the effective radius from the Band 4 continuum image using the CASA tool IMFIT. Here, we note that the size estimation from Band 4 continuum might not equal the source size probed by the CO emission lines (e.g. Chen et al. 2017). The source size is calculated from the deconvolved major and minor axes, added in quadrature. Any measurement errors are also added in quadrature.
In Fig. 6, we show the velocity width distribution of the sources as a function of their effective radius. 21 galaxies do not have reliable source sizes from the IMFIT routine, and are shown in light red. For these 21 galaxies, we set their sizes to 0.14 arcsec, the lower end of the reliable IMFIT size estimates. There are three likely interpretations of these source sizes. The first and most straightforward is that the source is unlensed, and therefore that the sizes represent the physical sizes of the galaxies. The second option is that the sources are strongly gravitationally lensed, and that the spatial extent is that of a single gravitationally lensed arc resulting from a foreground galaxy cluster or group. In that case, the observed angular size in the tangential direction would be the magnification $\mu$ multiplied by the intrinsic size, while in the radial direction there would be no magnification. The third option is that the system is a galaxy–galaxy gravitational lens system, in which case the angular extent is likely to reflect that of the Einstein radius of the lensing geometry rather than the size of the BEARS galaxy.
We compare the effective radii and velocities with fixed-mass solutions to the dynamical mass equations, on the simplest assumption that the systems are unlensed. Most galaxies have dynamical masses between $10^{11}$ and $10^{12} \, M_\odot$, and the variation is only minor between rotational (upper) and virial (lower) mass limits. There are several caveats to this method, however. First, we do not have any direct reason to assume that these systems are either virialized or stably rotating. Secondly, the systems may be gravitational lenses, in which case the radii in equations (7) and (8) are overestimates of the underlying source sizes.
These (apparent) dynamical galaxy masses are at the most massive end of the star formation main sequence, and appear to indicate that these systems are some of the most massive galaxies in the Universe. Indeed, DSFGs have often been suggested as progenitors of red-and-dead giant elliptical galaxies at $z \sim 0$ (Swinbank et al. 2006; Coppin et al. 2008; Toft et al. 2014; Ikarashi et al. 2015; Simpson et al. 2017; Stach et al. 2017) given (1) their high stellar masses (Hainline et al. 2011; Aravena et al. 2016), (2) their high specific SFRs (Straatman et al. 2014; Spilker et al. 2016; Glazebrook et al. 2017; Schreiber et al. 2018; Merlin et al. 2019), and (3) their location in overdense regions (Blain et al. 2004; Weiβ et al. 2009; Hickox et al. 2012).
However, there exist some important additional caveats to the dynamical mass estimates. A critical underlying assumption is that the systems are self-gravitating and relaxed, as discussed in Dunne et al. (2022). If submm galaxies are dynamically complex, for example if their gas kinematics is dominated by a major merger, then this could yield apparent anomalously large dynamical masses. Dunne et al. (2022) show that a very wide range of star-forming galaxies can be interpreted consistently as having a constant gas mass conversion factor of $\alpha_{\text{CO}} = 4.0 \, M_\odot \, (\text{K km s}^{-1} \, \text{pc}^2)^{-1}$, and attribute the previous roughly 5 times lower estimates to the unrelaxed dynamical states of submm galaxies (e.g. their equation 9). On the contrary, galaxies undergoing rapid collapse triggering bursts of star formation through violent disc instabilities – as for example seen in SDP81 (Dye et al. 2018) – could cause us to underestimate the dynamical masses. Similarly, differential lensing (Serjeant 2012) of low-dispersion star-forming regions could cause us to underestimate the total velocity widths and thus the dynamical masses.
4.5 Molecular gas mass
Fig. 7 shows the (apparent) dynamical virial mass of each galaxy against the estimated molecular gas mass, on the assumptions of no gravitational lensing (see above) and dynamically relaxed (i.e. no major merging) states in the submm galaxies. The figure also shows the 1:4, 1:1, and 4:1 scaling relations between the molecular and dynamical masses. Remarkably, the majority of our galaxies have a molecular gas mass above that of the dynamical mass. We find a scatter of half an order of magnitude around the 4:1 scaling relation, with galaxies having large velocity widths ($\Delta V$) scattering towards higher dynamical masses and vice versa.
Gravitational lensing does not resolve this apparently unphysical pair of mass constraints. Lens magnification corrections would reduce $M_{\text{gas}}$ estimates, because this scales with the line luminosity, but lensing would also reduce $M_{\text{dyn}}$. The latter correction may even be stronger than that for $M_{\text{gas}}$, especially if the physical size estimates from our marginally resolved ALMA data in equations (7) and (8) are dominated by Einstein radii, however, the positions of galaxies above the ‘main sequence’ in the SK plane in Fig. 5 would be insensitive to magnification effects.
An alternative reading of this apparently unphysical result in Fig. 7 is that the underlying assumption of the dynamical mass estimates is false, i.e. that the systems are not dynamically relaxed (e.g. Dye et al. 2018) or that the line velocity does not represent the bulk of
Figure 7. Comparison of the molecular gas masses to dynamical masses for the BEARS sources. The colours indicate the average velocity width of the emission lines, and upper limits indicate sources without accurate size estimates from the LMP2T analysis. The majority of sources lie below the $M_{\text{dyn}} = M_{\text{gas}}$ relation (dashed line), suggesting that we may be underestimating the dynamical masses of these systems. This can be caused by gravitational lensing, which boosts the observed gas mass, or by the compact nature of the dust emission.
the galaxy (e.g. Hezaveh, Marrone & Holder 2012; Serjeant 2012). We argue therefore that our results may still be consistent with the interpretation of a constant $\alpha_{CO}$ conversion factor, in agreement with the merger hypothesis for submm galaxies (Sanders et al. 1988; Hopkins et al. 2008).
Nevertheless, the gas mass alone (modulo the gas fraction) indicates that these systems are at the massive end of the galaxy mass function. The discovery of massive, quenched systems around the first billion years of the Universe (Straatman et al. 2014; Glazebrook et al. 2017; Schreiber et al. 2018) indicates the need for galaxies that rapidly build-up mass and, more importantly, rapidly quench afterwards. At gas masses over $10^{11} \, M_\odot$, DSFGs are likely progenitors of the quenched population, although the quenching time-scale of 0.1–1 Gyr from Fig. 5 does not appear to be rapid enough to quench the systems adequately.
4.6 Dust-to-gas mass ratio
The dust-to-gas mass ratio is the dust mass divided by the molecular gas mass, and as the dust locks up metals produced through bursts of star-formation, this ratio forms an important evolutionary probe across time (Péroux & Howk 2020; Zabel et al. 2022) sensitive to the gas-phase metallicity in a system (James et al. 2002; Draine & Li 2007; Galliano, Dwek & Chanial 2008; Leroy et al. 2011; Rémy-Ruyer et al. 2014; Shapley et al. 2020; Granato et al. 2021). Meanwhile, the dust destruction mechanisms require the conditions for dust formation to be recent ($\sim 0.3$–0.5Gyr, Hou et al. 2019; Hu et al. 2019; Osman, Bekki & Cortese 2020). Models further suggest that these high SFRs also correlate with in/outflows (Triani et al. 2020, 2021), ubiquitously observed for DSFGs (Spilker et al. 2020a, b; Berta et al. 2021; Butler et al. 2021; Riechers et al. 2021).
Fig. 8 shows the dust-to-gas ratio for the BEARS targets, as well as for other high-redshift star-forming galaxies from Shapley et al. (2020) and damped Lyman-$\alpha$ absorber systems from De Cia et al. (2018) and Péroux & Howk (2020, and references therein). We use the 151 GHz flux density from Bendo et al. (2023), and convert this to a dust mass assuming $\dot{S}_v = \kappa_v B_v(T = 35 \, \text{K}) M_{\text{dust}} D_L^{-2}$, where $\kappa_v$ is the dust mass absorption coefficient, $B_v$ is the Planck function at temperature $T = 35 \, \text{K}$, and $D_L$ is the luminosity distance. Here, we assume $\alpha \beta = 2$, and approximate the dust mass absorption coefficient ($\kappa_v$) as $\kappa_v (\nu_b/\nu_a)^{\beta}$, with $(\kappa_a, \nu_a)$ as (10.41 cm$^2$ g$^{-1}$, 1900 GHz) from Draine (2003). The BEARS sources have ratios of the order $10^{-2}$ to $10^{-3}$, similar to what is seen in local dusty galaxies and high-redshift DSFGs. Absorber systems are typically selected solely by their bulk atomic gas and are thus sensitive to the metallicity-evolution of galaxies across time. Unlike absorber systems, BEARS and other SFGs (Shapley et al. 2020) do not show any redshift evolution, in agreement with a metallicity close to the Milky Way (Draine & Li 2007a; Draine et al. 2014). The low scatter and lack of trend with redshift suggests that we are witnessing a single star-forming phase, and the high dust-to-gas ratio suggests that this phase occurred relatively recently.
4.7 Photodissociation regions inside DSFGs
Fig. 9 shows the luminosity ratio of [C I] ($^3P_1 - ^1P_0$) to CO (4–3) (left-hand panel) and [C I] ($^3P_2 - ^1P_1$) to CO (7–6) (right-hand panel) against their respective [C I] luminosity over infrared luminosity. In total, 19 BEARS sources have both [C I] ($^3P_1 - ^1P_0$) and CO (4–3) observations, and four BEARS sources have [C I] ($^3P_2 - ^1P_1$) and CO (7–6) observations. Here, we calculate the line luminosity using the typical equation from Solomon et al. (1997),
$$L = 1.04 \times 10^{-3} \Delta v f_{\text{obs}} D_L^2 \ [\text{L}_\odot].$$
We also include the reference samples of local ULIRGs (Michiyama et al. 2021 in the left-hand panel and Lu et al. 2017 in the right-hand
Figure 9. Left-hand panel: Ratio of [C I] (3P1−3P0) to CO (4–3) plotted versus [C I] (3P1−3P0) luminosity over infrared luminosity for 19 BEARS sources with both [C I] (3P1−3P0) and CO (4–3) observations (red circles and downward triangles for detections and upper limits, respectively) as well as reference samples of local ULIRGs (Michiyama et al. 2021; grey points), high-redshift SPT-sources (Bothwell et al. 2017; blue crosses) and Planck-sources (Harrington et al. 2021; blue plus points), classical SMGs (blue squares), QSOs at z ≃ 2–4 (orange diamonds), and main-sequence galaxies at z ≃ 1.2 (green squares) from Valentino et al. (2020b, and references therein). We also include the result from stacking (red plus sign). Right-hand panel: Ratio of [C I] (3P2−3P1) to CO (7–6) plotted versus [C I] (3P2−3P1) luminosity over infrared luminosity for four BEARS sources with both [C I] (3P2−3P1) and CO (7–6) observations (red circles for detections) as well as reference samples of local ULIRGs (Xu et al. 2017; grey points), high-redshift SPT-sources (Jiang et al. 2021; blue crosses) and Planck-sources (Harrington et al. 2021; blue plus points), Herbig DSFGs (blue diamonds), classical SMGs (blue squares), QSOs at z ≃ 2–4 (orange diamonds) from Valentino et al. (2020b, and references therein), and main-sequence galaxies at z ≃ 1.2 (green squares) from Valentino et al. (2020a). We also include the result from stacking (red plus sign). The PDR models of Kaufman, Wolfire & Hollenbach (2006) are overplotted in both panels, showing the theoretical relations for constant hydrogen densities (near-horizontal yellow solid lines) and FUV radiation intensity fields (near-vertical cyan solid lines).
panel), DSFGs and Quasi-Stellar Objects (QSOs) in the range of redshift 2–4, main-sequence (MS) galaxies at z ≃ 1.2 (Valentino et al. 2020a, b, and references therein), high-redshift SPT sources (Bothwell et al. 2017 in the left-hand panel and Jarugula et al. 2021 in the right-hand panel) and Planck sources (Harrington et al. 2021). In this plane, the physical conditions of PDRs (e.g. Hollenbach & Tielens 1999) can be constrained (e.g. Umehata et al. 2020; Valentino et al. 2020b; Michiyama et al. 2021). We investigate the differences in PDR conditions among our and reference samples using PDRToolbox\(^2\) (Kaufman et al. 2006; Pound & Wolfire 2008, 2011), which provides the line intensities for each combination of hydrogen density (\(n_H\)) and far-ultraviolet (FUV) radiation intensity fields (\(G_0 = 1.6 \times 10^4 \text{ erg s}^{-1} \text{ cm}^{-2}\); Habing 1968 units, i.e. the incident FUV field between 6 eV < \(h\nu\) < 13.6 eV) assuming plane parallel model originally by Kaufman et al. (1999). We show the theoretical tracks for constant \(n_H\) and \(G_0\) using yellow and cyan solid lines in Fig. 9.
Most of our sources are located within \(10^4 \leq n_H \leq 10^5 \text{ [cm}^{-3}\text{]}\) and \(10^3 \leq G_0 \leq 10^4 \text{ [Habing]}\). Our sources exhibit denser and more intense radiation environments than MS galaxies at z ≃ 1.2, but similar properties to local ULIRGs and other DSFGs. This is consistent with previous works (Valentino et al. 2020b; Michiyama et al. 2021), with the exception of the sources HerBS-90 and -131B, where \(L_{[C I](1,0)}/L_{CO(4,3)} \geq 1\). This suggests that the gas in these two sources is more diffuse, similar to MS galaxies, in line with photoionization modelling to dwarf galaxies by Madden et al. (2020). We note that the offset could also be caused by the different observed line profiles between CO and [C I], i.e. the larger estimation of \(\Delta V\) in [C I] line emission might have resulted in an overestimate of the line luminosity.
The ISM properties derived from the different atomic carbon lines, [C I] (3P1−3P0) and [C I] (3P2−3P1) vary slightly in the derived gas densities and FUV intensity fields. This could be due to a change in the internal properties of DSFGs in the early Universe or due to observational biases in selecting our distant galaxies. The observational biases could result from a selection towards higher redshift, since all galaxies with CO (7–6) and [C I] (3P2−3P1) are detected at higher redshift, where the lines shift into more favourable parts of the atmospheric windows (and the spectral windows used in Urquhart et al. 2022). More observations are needed to conclusively test the modest discrepancy between the ISM properties derived from the different atomic carbon lines.
We use the PDR model from Kaufman et al. (1999) that supposes the simple 1D geometry assuming three discrete layers, i.e. the [C I] emission comes only from the thin layer between two gas components traced by CO and singly ionized carbon emission ([C II]). Meanwhile, spatially resolved observations of local giant molecular clouds (e.g. Ojha et al. 2001; Ikeda et al. 2002) and active star-forming region in local galaxies (e.g. Israel, Rosenberg & van der Werf 2015) suggest that the CO- and [C I]-bright gas are well mixed. This gas property has been explained more successfully assuming more complicated gas conditions (clumpy geometry: e.g. Stutzki et al. 1998; Shimajiri
\(^2\)https://dustem.astro.umd.edu/index.html
mixing within highly turbulent clouds: e.g. Xie, Allen & Langer 1995; Glover et al. 2015; and more complicated 3D geometric models: e.g. Bisbas et al. 2012) or additional excitation origins (cosmic rays, CRs: e.g. Papadopoulos et al. 2004; Papadopoulos, Bisbas & Zhang 2018, shocks: e.g. Lee et al. 2019). However, such models require a lot of observational data that trace multiphase ISM. For example, Bothwell et al. (2017) required multitransitions of CO, [C I], and [C II] lines to constrain gas density and FUV intensity.
In particular, recent works show that CRs can dissociate CO molecules more effectively than FUV radiation in molecular clouds because they are not strongly attenuated by dust (e.g. Bisbas et al. 2017). Highly star-forming environments such as the ones expected in our sample result in a large amount of CRs (as seen in the stacked spectrum in Section 6), which will likely affect the properties of the ISM. Bothwell et al. (2017) compare the gas density and FUV intensity obtained from PDRToolbox with those from 3D-PDR (Bisbas et al. 2012) – a model that includes the effect of CRs – for SPT-selected strongly lensed DSFGs. This is a fair comparison, as SPT-selected DSFGs have similar infrared luminosities as our sample. As a result, they find consistency between the two models for the FUV strength, however, a relatively higher gas density (\( \log n_H = 5.2 \pm 0.6 \text{ cm}^{-3} \)) compared to the 1D model from Kaufman et al. (1999) (\( \log n_H = 4.4 \pm 0.4 \text{ cm}^{-3} \)). Since \( L_{\text{C}[II]} / L_{\text{CO}(4-3)} \) ratio is sensitive to gas density, CRs can cause us to underestimate the gas density of our sources since we do not consider CRs in our current work. At the moment, it is hard to constrain the physical properties through only two emission lines and infrared luminosity, possibly leading us to underestimate the gas density by nearly one order of magnitude (0.8 dex).
### 4.8 Water lines from BEARS galaxies
Fig. 10 provides a comparison of \( L_{\text{IR}} \) against the luminosity ratio of H\(_2\)O (2\(J_1 - 2J_0\)) emission to \( L_{\text{IR}} \) for five BEARS sources, three of which are not detected above 3\( \sigma \). We compare the galaxies against reference samples from Yang et al. (2013, 2016), Lu et al. (2017), Apostolovski et al. (2019), Bakx et al. (2020c), Neri et al. (2020), and Jarugula et al. (2021). We confirm tight correlations between them and derive a scaling relation for the H\(_2\)O emission using linear regression to all the samples shown in Fig. 10 in order to account for errors in both the infrared luminosity and line emission, minimizing the fit of
\[
\log_{10} \left( \frac{L_{\text{H}_2\text{O}}}{L_{\text{IR}}} \right) = a \log_{10} (L_{\text{IR}}[\text{L}_\odot]) + b,
\]
where both \( a \) and \( b \) are left as fitting parameters.
A super-linear relation seems to better fit all the observed data across four orders of magnitude, with \( a = 0.12 \pm 0.04 \) and \( b = -6.8 \pm 0.5 \), which is consistent with previous studies (e.g. Omont et al. 2013; Yang et al. 2013, 2016). Our linear regression fitting favours a super-linear relation at the 3\( \sigma \) level, although we note that our observations only add two H\(_2\)O detections, and three upper limits. Contrary to Jarugula et al. (2021), we also include sources from Lu et al. (2017) that are not included in Yang et al. (2013). The improved fitting constraints from the additional sources since Yang et al. (2016) – who find \( (a = 1.16 \pm 0.13) \) – likely cause an increase in the significance of the super-linear fit result from \( \sim 1 \) to \( \sim 3 \sigma \).
Both observations (e.g. Riechers et al. 2013; Yang et al. 2013, 2016; Apostolovski et al. 2019; Jarugula et al. 2021) and modelling (e.g. González-Alfonso et al. 2010, 2014) find a strong correlation between the infrared luminosity and the H\(_2\)O line emission. The moderately higher transitions of H\(_2\)O (above \( \approx 100 \) K) are not excited through collisions, but instead infrared pumping is expected to be their dominant excitation mechanism (González-Alfonso et al. 2022). Meanwhile, the \( J = 2 \) lines are likely still partially collisionally excited, which could explain the super-linear scaling relation (Yang et al. 2013; Liu et al. 2017), although the super-linear trend appears to go away in resolved observations (Yang et al. 2019), and could be due to optical depth effects (González-Alfonso et al. 2022). The origins of our observed super-linear relation will require detailed radiative transfer modelling across multiple water transitions. We briefly note that this result is in contrast to the picture of H\(_2\)O line luminosity being proportional to SFR, even down to the resolved scale of individual GMCs (e.g. Jarugula et al. 2021).
### 5 Companion sources with unusually bright lines: the BEARS cubs
In Section 4.1, we identified four sources with line ratios in excess of the thermalized profile (\( L_{\text{CO}(2)} / L_{\text{CO}(1)} = 1 \); equation 2), namely HerBS-69B, -120A, -120B, and -159B. Interestingly, these are found only in fields with multiple sources where the companion galaxy has a slightly different redshift. The large angular separation between the
Figure 11. Four sources that have CO SLEDs in excess of a thermalized profile, where $L'_{\text{CO},i}/L'_{\text{CO},3} = 1$. All four have nearby sources at similar redshift. The top panels show the velocity-integrated fluxes of the spectral lines, with sources at more than 7 arcsec apart. The contours are drawn from 2σ for the left-hand panel and from 3σ for the right-hand panel. The white scale bar corresponds to 5 arcsec. The bottom panels show the CO SLEDs relative to the thermalized profile (dashed black lines) and the mean SLED with ±1σ standard deviation from Harrington et al. (2021), similar to Fig. 1.
Figure 12. The spectra of four sources shown in Fig. 11. The left-hand column shows the lines in Band 3, and the right-hand column shows the lines in Band 4 for each source. Colour filled regions correspond to the velocity range where we make the velocity-integrated intensity maps. The horizontal axis shows the velocity offset from the systemic velocity ($V = 0$ km s$^{-1}$) obtained from the spectroscopic redshift. The spectral resolution is 0.05 GHz, which corresponds to ∼150 km s$^{-1}$ for Band 3 and ∼100 km s$^{-1}$ for Band 4.
components (7–10 arcsec) rules out galaxy–galaxy lensing, and the slightly different redshifts suggest they are not one source multiply imaged. In three out of four cases, they are the fainter component, i.e. B sources.\footnote{For HerBS-69, the A source is 1.2 times brighter than the B source; for HerBS-120, the A source has a similar brightness as the B source; but for HerBS-159B, the A source is 3 times brighter than the B source.} Fig. 11 shows the velocity-integrated CO intensity maps with contours (top panels) and individual SLEDs (bottom panels) of these four sources. The CO SLEDs are steeper than the thermalized SLED by about 1–2σ (and of course, they are above the mean SLED from Harrington et al. 2021). Fig. 12 shows the Bands 3 (left-hand column) and 4 (right-hand column) spectra of these four sources extracted with the same aperture size. Colour filled regions indicate the velocity range across which we make the velocity-integrated intensity maps (i.e. Fig. 11). The vertical dashed line of each panel corresponds to the systemic velocity obtained from the spectroscopic redshift. As expected, we find that the line fluxes in Band 3 are lower than those of Band 4.
5.1 Are we confident that these SLEDs are real?
We take several steps to ensure that the origins of these discrepant SLEDs are physical: we exclude statistical scatter in the ratios ($r_{a,b}$; equation 2), calibration issues, line-fitting issues, and issues associated with lensing.
Most of the galaxies in Urquhart et al. (2022) have ‘normal’ line ratios (see e.g. Fig. 3), while only six sources have values above unity, with two of these six sources consistent with a sub-thermal SLED. We measure the following luminosity ratios for these four sources: $r_{a,3} = 2.53 \pm 0.89$ for HerBS-69B; $r_{a,3} = 1.44 \pm 0.46$ for HerBS-120A; $r_{a,4} = 2.70 \pm 0.74$ for HerBS-120B; and $r_{a,3} = 1.69 \pm 0.44$ for HerBS-159B. As you can see, although these are consistent with thermalized profiles by 1–2.3σ, we note a fundamental limitation in assessing the super-thermalized line profiles using our data. We optimized the velocity-integrated fluxes of the lines to maximally...
include signal at a moderate cost in signal-to-noise ratio. This results in large intrinsic uncertainties in the luminosity ratios, since we are taking the ratio of two roughly 5σ luminosities. This limits the maximum significance in line ratios of around $3.5\sigma (\approx 5/\sqrt{2})$, as is seen in studies finding similar results (Reichers et al. 2006b, 2020; Weiß et al. 2007; Sharon et al. 2016). Moreover, we would rarely achieve a 3.5σ case, since we are identifying the super-thermalized cases by their line ratio being in excess of one (instead of zero). Although the luminosity ratios cannot exclude the explanation that these ratios are simple artefacts, the observed fluxes of the resolved lines (Fig. 12) show a more convincing case towards the veracity of the super-thermalized line profiles.
We estimate the potential for calibration issues by comparing the Bands 3 and 4 continuum emission from Bendo et al. (2023). The HerBS-120B source has 151 GHz to 101 GHz flux density ratio of 3.28. This is not extraordinary compared to other sources. For the other two fields (HerBS-69 and -159), we do not detect the Band 3 continuum; however, we confirm that the brighter sources in the same field, i.e. A sources have normal (sub-thermal) CO SLEDs. The photometric redshifts of the CUBS fields including ALMA Bands 3 and 4 agree with the spectroscopic solutions, and have similar uncertainties to other galaxies in the BEARS sample. The observational strategy in the BEARS programme images multiple galaxies using the same flux and phase calibrator, and here we note that HerBS-159 is observed in a different scheduling block than HerBS-120 and HerBS-69. The lack of any obvious calibration issues across the other sources in these scheduling blocks provides further confidence in the authenticity of these line ratios.
We also investigate potential issues with the line fitting. Based on Fig. 12, the CO emission lines are located at the band edge of our tunings for the HerBS-120 and HerBS-69 fields. We therefore investigate the off-source root mean square of the data cube as a function of frequency. We do not find any significant ($< 1$ per cent) variation in the noise at the position of the spectral lines. For HerBS-120A, the velocity width of both lines are different and thus we perhaps overestimate (underestimate) the line flux of Band 4 (Band 3).
We can also exclude differential magnification as an explanation, where the inhomogeneous magnification across the source causes flux ratios that are not representative of the entire source. The effects of differential magnification on CO SLEDs have been extensively simulated by Serjeant (2012). Flux from spatially concentrated regions can be located close to a caustics (i.e. high-magnification region), leading to higher magnifications than for the rest of the system. However, this boosting cannot explain why high-$J$ CO transitions would appear to have super-thermal luminosities, because all transitions in the spatially concentrated region would be similarly boosted. Differential magnification of thermalized or sub-thermalized SLEDs only generates thermalized or sub-thermalized SLEDs. We provide a more thorough investigation why this is the case in Appendix E.
### 5.2 Physical interpretation
The conditions of the ISM affect the CO line ratios of galaxies. Higher-$J$ CO lines trace denser gas components (with the CO line transitions having roughly $n_{\text{crit}} \propto J^3$) and are often clumpy in nature, while the lower-$J$ CO lines can extend throughout and even beyond individual galaxies (e.g. Cicone et al. 2021). Basic RADEX (van der Tak et al. 2007; Taniguchi 2020) models suggest that high hydrogen density ($> 10^{-4} \text{ cm}^{-3}$) and high gas temperature ($T_{\text{kin}} > 100 \text{ K}$) can indeed reproduce such super-thermalized luminosity ratios until $\sim 1.7$ between CO (4–3) and CO (3–2) as well as CO (5–4) and CO (4–3), which shows that there is no simple model reproducing the line luminosity ratio of $\gtrsim 2$. However, at least, these physical properties appear extreme when compared to previously observed gas conditions. Similar to differential lensing, a highly multiphased ISM cannot reproduce the observed ratios, as can be seen by evaluating the discussion in Appendix E with the magnification, $\mu$, set to 1. To explain such extreme gas conditions we need strong heating sources, and thus we focus on dust-obscured active galactic nuclei (AGNs) or galaxy mergers.
Reichers et al. (2006b) presented similar super-thermalized luminosity ratios of CO (4–3) to CO (2–1) or CO (1–0) towards APM08279+5255, which is a lensed QSO at $z = 3.91$. Weiß et al. (2007) suggested that the luminosity ratio indicates moderate opacities of low-$J$ CO transitions. Their large velocity gradient (LVG; Sobolev 1960) models also show that they can well explain that with $n_H = 10^{4.2} \text{ cm}^{-3}$ and $T_{\text{kin}} = 220 \text{ K}$, which is consistent with our RADEX model. Sharon et al. (2016) reported on observations of a total of 14 known lensed and unlensed sources using the Karl G. Jansky Very Large Array (VLA). They detected the CO (1–0) emission in 13 sources (down to low significance) and reported one non-detection. They found four candidates that show super-thermalized luminosity ratios between CO (3–2) and CO (1–0). Three of these are lensed AGN host galaxies, and the other is a lensed merging system. Sharon et al. (2016) noted large uncertainties in the luminosity ratios and provide several hypotheses to the high ratios: (i) the emission is optically thin; (ii) the CO (1–0) line is self-absorbed; and (iii) the source of optically thick emission has a temperature gradient. These hypotheses were also previously suggested by Bolatto et al. (2000, 2003), in addition to varying beam-filling factors across the different CO transitions, although filling factor effects would instead result in sub-thermalized CO line ratios. This latter point is not expected to be an issue with our current marginally resolved sources. Since our ratios do not include the CO (1–0) emission line, the second option is also not a likely solution, but the optical depth effects or thermal gradients can possibly explain our result. In the local Universe, Meijerink et al. (2013) suggested a potential explanation through shocks around the AGN for a local superthermalized candidate, NGC 6240. Here, we note that these previous works found discrepant luminosity ratios based on CO (1–0) – typically found to be more extended – so the reasons for the varying ratios might not be the same. Moreover, unlike other discrepant CO line ratio studies, we found these discrepant luminosity ratios using a single facility (ALMA), which makes the result less dependent on telescope-to-telescope variations.
AGN activity can heat gas and produce steep line intensity ratios out to (very) high CO line transitions (Reichers et al. 2006b; Weiß et al. 2007). An AGN with bolometric luminosity $> L_\star$ would be vanishingly unlikely to be a companion galaxy based on the number densities in Shen et al. (2020) (1 arcmin area and $\delta z = 0.05$ spans 176 cMpc$^3$, compared to $\sim 10^{-5} \text{ cMpc}^{-3} (P \gg L_\star, \text{AGN})$ unless there is a causal factor in common with the DSPGs such as an environmental trigger or an interaction.
The super-thermalized ratios are observed solely for galaxies in systems of multiples. This could suggest that the presence of a nearby galaxy is important to produce the observed line ratios. Potentially, the interaction of merging galaxies could create the required high gas density and temperature conditions. The turbulent ISM resulting from galaxy mergers (or strong AGN winds) could affect the bulk gas (traced by the lower-$J$ transitions) differently relative to the dense star-forming clumps (traced by the higher-$J$ transitions). The larger line widths of the bulk gas would push down the optical depth for
a fixed column density, reducing the effective cross-section of the molecular gas clouds in the bulk gas and hence cause fainter emission from lower-JCO transitions. However, in our sample, the companion sources are at a projected distance of 50–80 kpc, which is large on the typical distance scales of merging systems (Narayanan et al. 2015).
5.3 BEARS: a unique parent sample?
Although we are unable to definitively exclude artefacts as the cause of these super-thermalized line profiles, we put these results into a larger cosmological perspective. These four sources are selected directly from the large, homogeneous sample from Urquhart et al. (2022), allowing us to infer the occurrence rate of DSFG properties. The typical lifetime of an DSFG (without excessive feeding; cf. Berta et al. 2021) is of the order of the depletion time, typically 200 Myr (e.g. Reuter et al. 2020 and this work). Our targets are four out of 46 galaxies with multiple CO lines from Urquhart et al. (2022) (i.e. 9 per cent), thus we can jointly constrain the time-scales and occurrence frequencies of these scenarios. For example, if AGNs are universal in DSFG environments, then the AGN lifetimes must be around 9 per cent of 200 Myr, while rarer companion AGNs must have longer lifetimes.
6 COMPOSITE SPECTRUM OF ALL BEARS SOURCES
The observations reported in Urquhart et al. (2022) directly detected CO (2–1) to CO (7–6) lines, as well as the two transitions of [C I] emission and the H$_2$O (2$_{11}$–2$_{02}$) water line. In this section, we aim to statistically detect more emission lines by stacking the spectrum for each galaxy in their rest frames. This is similar to work on the SPT galaxies (e.g. Spilker et al. 2014; Reuter et al. 2020, 2022), as well as for Herschel (Fudamoto et al. 2017), LABOCA (Birkin et al. 2021), and SCUBA-2 (Chen et al. 2022) selected sources. In this section, we aim to provide the archetypal spectrum of a hypothetical galaxy at a redshift of 2.5 with an observed infrared luminosity of $3 \times 10^{13}$ L$_\odot$.
6.1 Method
We now re-extract the spectral data from the individual data cubes of the sources using an automated script. This evenly extracts the spectroscopic information for fair comparison of the bulk behaviour of all galaxies, although it prioritizes signal-to-noise over including all possible signal. Using the central positions of the continuum peak positions reported in Bendo et al. (2023), we extract the emission with a variable aperture between 1 and 3 times the radius of the beam to find the optimal balance between high signal-to-noise and full line extraction.
Fig. 13 shows the effective flux and signal-to-noise of the CO (2–1) to CO (7–6), [C I] ($^3P_1$–$^3P_0$), [C I] ($^3P_2$–$^3P_1$), and H$_2$O lines in an effort to find the optimum extraction area for the automated pipeline. The lines are evaluated within a 600 km s$^{-1}$ bin; a bin width that was similarly chosen to include most of the signal while also achieving a high signal-to-noise ratio (see Section 6.2). We find the best extraction aperture to lie at twice the radius of the beam. With only marginal losses in signal-to-noise ratio ($\approx 13 \pm 5$ per cent), the majority of the flux is extracted across all the lines ($\approx 92 \pm 6$ per cent). Beyond this size, there appears a sharp down-turn in signal-to-noise ratio complicating the goal of the composite spectrum – to reveal faint line emission. We correct the stacked spectrum by boosting the flux by 8 per cent ($=1/0.92$), and accounting for 6 per cent extra noise in the extracted values, added in quadrature.
We subtract the continuum emission directly from the spectra assuming a power-law dust continuum emission ($S_\nu = A_\nu \nu^{(2+\beta)}$, with $\beta_{\text{dust}} = 2$. We separately fit the spectra from Bands 3 and 4, while masking out the data within 1500 km s$^{-1}$ around the CO, [C I], and H$_2$O lines. We compare to the 151 GHz continuum fluxes from Bendo et al. (2023), and we find a general agreement to their fluxes. On average, our flux estimates agree with the 151 GHz continuum fluxes, and we find a point-to-point standard deviation of 11 per cent, although the scatter decreases for the brightest sources (to around 5 per cent).
We decide to stack the spectrum of each galaxy with the goal of representing a single archetypal galaxy at $z = 2.5$ (approximately the mean of this sample; Urquhart et al. 2022) with an infrared luminosity of $3 \times 10^{13}$ L$_\odot$. This involves normalizing all spectra to the same luminosity and to a common redshift. We use the same scaling factor as Spilker et al. (2014), which is derived from requiring a constant $L'$ across all redshifts in equation (1):
$$S_{i,\text{common}} = S_i \left( \frac{D_L(z_{\text{source}})}{D_L(z_{\text{common}})} \right)^2 \frac{1 + z_{\text{common}}}{1 + z_{\text{source}}}, \quad (11)$$
where $D_L$ refers to the luminosity distance at redshift $z$, and $z_{\text{common}}$ is set to 2.5. This factor accounts for the cosmological dimming for each spectral line, as well as for the redshift dependence of the flux density unit.
We then normalize the luminosity of each galaxy to $3 \times 10^{13}$ L$_\odot$, based on the luminosities calculated in Section 4.2. Since source confusion could affect the Herschel photometry, we take the 151-GHz flux density that is detected for all sources, and assume a dust temperature $T_d$ of 35 K.\footnote{For a comparison to the line luminosities in Spilker et al. (2014), one can multiply our $L'$ values by 1.67 to compare our line luminosities to theirs.} Here, we note several important caveats when creating a combined spectrum from sources across different frequencies, luminosities, and redshifts. Unlike previous methods, we provide a stacked spectrum normalized against the intrinsic properties of the observed galaxies. Previous methods provide their composite spectrum based on observed properties (e.g. Spilker et al. 2014 aim to provide the properties of a $z = 3$ SPT galaxy with $S_{\nu,\text{mean}} = 15$ mJy). This is an important point since even at 1.4 mm, a source with constant flux-density undergoes a roughly 40 per cent luminosity difference between $z = 1$ and $z = 5$, despite the near-flat $K$-correction with redshift at 1.4 mm (and in our case 2 mm). This results in a noticeable effect on a composite spectrum because each part of the rest-frame spectrum is sensitive to sources from different redshift regions. The luminosity variations with redshift cause an underestimate of the flux at higher redshifts compared to lower redshifts and produces an artificial SLED with a downward slope towards higher-$J$, estimated in Spilker et al. (2014) to be $\approx 15$ per cent. These choices make their stacked spectrum a representation of the average observed behaviour of an SPT galaxy. However, their line luminosities do not represent a single (hypothetical) galaxy across all frequencies and the CO line fluxes thus do not represent a typical CO SLED (Reuter et al. 2022). We note that Birkin et al. (2021) and Chen et al. (2022) use a median or averaged spectrum based solely on the highest signal-to-noise emission. This provides an accurate picture of the average observational result for a galaxy in the sample, but does not reflect the average properties of any single existing or archetypal galaxy.
The stacked spectrum is created at several velocity resolutions by adding the rest-frequency spectra of each source, corrected for luminosity and redshift. Each spectrum is additionally weighted by the inverse variance in each channel. This final weighting step ensures a high signal-to-noise in the stacked spectrum, and removes much of the weighting by luminosity ($3 \times 10^{13}$ L$_\odot$) and redshift ($z_{\text{common}} = 2.5$) per each line (or any other weighting based on the properties of a galaxy, i.e. observed flux density or dust mass). In other words, the galaxy-based weighting step affects the ratios between lines, while the noise-based weighting ensures a high signal-to-noise across the spectrum.
We estimate the noise properties of our stacked spectrum using the following procedure. We extract the signal-to-noise ratio in 5000 bins of 600 km s$^{-1}$ width at random off-line frequencies. Fig. 14 shows this signal-to-noise distribution, where the frequencies of the bins are chosen to not overlap with any known lines (see Appendix Table F1). The dashed black and white line reflects a unit-width Gaussian profile, and accurately describes the histogram. The off-line stacked spectrum is thus well described by a white noise spectrum, and importantly confirms there are no issues with coherent processes with our spectrum, such as imperfect continuum subtraction.
### 6.2 Results
We show the composite spectrum in Fig. 15. The top panel shows the spectrum in bins of 300 km s$^{-1}$ from 220 to 890 GHz. The middle panel shows the signal-to-noise ratio of the stacked spectrum with the same binning. The bottom panel shows the number of sources contributing to the stacked spectrum as a function of frequency. Fig. 16 shows the zoomed-in spectra of the detected lines. The Gaussian fit parameters are shown in Table 1.
Similar to the work of Spilker et al. (2014), we use per-line bins to extract any potential line emission that is missed by the stacked spectrum. The composite spectrum could miss any emission by smearing flux across more than one spectral bin, especially since the bins are not necessarily centred on the positions of the line emission. Instead, we explore the optimum emission line by comparing the SNR of the highest-SNR line, CO (5–4), across every velocity spacing between 200 and 1000 km s$^{-1}$ at 50 km s$^{-1}$ increments. The highest SNR of the velocity-integrated flux is found at a bin size of 600 km s$^{-1}$. In a final attempt to optimally extract spectral lines, we stack all covered transitions of each line. We stack in $L'$ to correctly preserve the luminosity comparison of the ratios in $L'$ units (see equation 11). The result is shown in Table 2, and zoom-ins on individual lines are shown in Fig. 16.
Table F1 shows the resulting $L'$ estimates for 117 spectral lines within the 220–890 GHz composite spectrum. In order to optimally
Figure 15. Top panel: Rest-frame composite spectrum between 220 and 890 GHz in 300 km s$^{-1}$ bins, combining the data of the 71 galaxies in our sample. This spectrum is scaled such that it is representative of a typical $3 \times 10^{13} L_\odot$ BEARS galaxy at $z = 2.5$. We show the $\pm 1\sigma$ standard deviation with a thin grey line. In addition to the CO, [C\text{II}] and water lines, we find indications for CH emission in both the 532 and 536 transition, as well as H$_2$O$^+$ emission. Zoom-ins on these lines are shown in Fig. 16. Middle panel: Signal-to-noise ratios for lines across the entire composite spectrum. The horizontal lines show the plus and minus 3$\sigma$ confidence ranges. Bottom panel: Number of sources that contribute to the composite spectrum, as a function of rest-frame frequency. The low- and high-frequency tails of the spectrum rely on single-digit numbers of sources, with the central 300–700 GHz region combining between 10 and 45 galaxies in each 300 km s$^{-1}$ bin.
detect single species, we combine the bins of all transitions in $^{13}$CO, C$^{18}$O, HCN, HNC, HCO$^+$, and CH. The emission of several lines is potentially overlapping, particularly affecting the observed emission at the frequencies of CH 532 and HCN (6–5), as well as CH 536 and HOC$^+$ (6–5). In this case, we follow the results from local ULIRGs by Rangwala et al. (2014), and attribute the majority of the signal to the CH lines. All lines reported in the stacked spectrum, shown in Fig. 15, are also seen in the bin-optimized extraction.
The CO line ratios from the composite spectrum agree with the other CO SLEDs (e.g. Harrington et al. 2021) and the individual galaxies, as seen in Figs 2 and 4. The combined line emission of all CO lines adds up to over 100$\sigma$. This allows us to look for large velocity tails in the emission of the spectral lines. Feeding and feedback are important components to the evolutionary track of high-redshift galaxies (Péroux & Howk 2020; Berta et al. 2021), and are sometimes revealed through wide velocity line profiles (Ginolfi et al. 2020). At high redshift, outflow signatures are typically seen in [C\text{II}] (Fujimoto et al. 2019, 2020; Ginolfi et al. 2020; Herrera-Camus et al. 2021; Izumi et al. 2021) and might not be visible in (higher-$J$ transitions of) CO lines, although Cicone et al. (2021) found an extended CO halo at $z \sim 2$ at velocities beyond 1000 km s$^{-1}$. However, for our sample, both single-Gaussian fitting (Table 1) and visual inspection of the stacked lines (Fig. 16) do not show any large velocity components above 3$\sigma$. Our findings are in line with the recent stacking work by Birkin et al. (2021), which also fails to reveal any high-velocity tails, as well as in Meyer et al. (2022) who emphasize the need for accurate continuum subtraction when comparing high-velocity tails.
$^{12}$CO lines can reach optically thick column densities, but the isotopologues of CO often stay optically thin. As such, the line ratios can be a useful probe of the optical depth. No individual CO isotopologues have been detected. Similarly, the combined stack of both $^{13}$CO and C$^{18}$O shows no significant emission. The resulting line ratio lower limits for $L_{^{13}\text{CO}}/L_{^{12}\text{CO}}$ and $L_{^{18}\text{CO}}/L_{^{12}\text{CO}}$ are $> 35$. The $L_{^{13}\text{CO}}/L_{^{18}\text{CO}}$ line ratio lower limit is around 2 times higher than observed for the SPT galaxies (Spilker et al. 2014), although the relative errors are substantial. The $L_{^{12}\text{CO}}/L_{^{18}\text{O}_2}$ line ratio also remains undetected in the SPT survey, in line with our results. The
Figure 16. Stacking results for individual lines at the 70 km s$^{-1}$ resolution. We fit the line profiles of each line with a Gaussian, and provide the fitted line properties in Table 1. No obvious extended emission is seen in the combined profiles, similar to previous works that focused on stacking of DSFGs (e.g. Birkin et al. 2021).
Table 1. Line properties fitted to the 70 km s$^{-1}$ stacked spectrum.
| Line | $S\delta V$ (Jy km s$^{-1}$) | $\delta V$ (km s$^{-1}$) | Luminosity ($10^4$ L$_\odot$) |
|---------------|-----------------------------|--------------------------|-------------------------------|
| CO ($J = 2–1$)| $1.71^{+0.22}_{-0.22}$ | $353^{+73}_{-63}$ | $5.12^{+0.66}_{-0.66}$ |
| CO ($J = 3–2$)| $3.71^{+0.11}_{-0.11}$ | $542^{+19}_{-18}$ | $16.65^{+0.49}_{-0.49}$ |
| CO ($J = 4–3$)| $4.52^{+0.09}_{-0.09}$ | $453^{+10}_{-10}$ | $27.05^{+0.54}_{-0.54}$ |
| CO ($J = 5–4$)| $7.07^{+0.11}_{-0.10}$ | $517^{+9}_{-9}$ | $52.89^{+0.82}_{-0.82}$ |
| CO ($J = 6–5$)| $7.15^{+0.18}_{-0.18}$ | $511^{+16}_{-15}$ | $64.18^{+1.62}_{-1.52}$ |
| CO ($J = 7–6$)| $7.59^{+0.31}_{-0.31}$ | $558^{+28}_{-26}$ | $79.5^{+3.25}_{-3.25}$ |
| [C I] ($^3P_1–^3P_0$)| $2.17^{+0.10}_{-0.09}$ | $469^{+26}_{-25}$ | $13.86^{+0.64}_{-0.57}$ |
| [C I] ($^3P_2–^3P_1$)| $3.90^{+0.32}_{-0.34}$ | $645^{+67}_{-60}$ | $40.97^{+3.38}_{-3.37}$ |
| CH 532 | $0.91^{+0.14}_{-0.14}$ | $928^{+209}_{-211}$ | $6.29^{+1.07}_{-1.07}$ |
| CH 536 | $0.72^{+0.13}_{-0.12}$ | $522^{+147}_{-119}$ | $5.02^{+0.91}_{-0.95}$ |
| H$_2$O* 746 | $0.81^{+0.51}_{-0.30}$ | $582^{+274}_{-256}$ | $7.85^{+4.84}_{-2.91}$ |
| H$_2$O (2$_{11}–2_{02}$) | $1.83^{+0.21}_{-0.21}$ | $408^{+54}_{-48}$ | $17.86^{+3.05}_{-2.05}$ |
Table 2. Stacks of line types.
| Line | $N_{\text{observations}}$ | Line luminosity ($10^4$ K km s$^{-1}$ pc$^2$) | SNR |
|---------------|---------------------------|-----------------------------------------------|-----|
| CO | 120 | $62.5 \pm 3.6$ | $(103, 1\sigma)$ |
| $^{13}$CO | 122 | $0.5 \pm 0.6$ | $(0.9\sigma)$ |
| C$^{18}$O | 126 | $0.9 \pm 0.6$ | $(1.5\sigma)$ |
| [C I] | 36 | $24.8 \pm 1.7$ | $(25, 6\sigma)$ |
| HCN | 140 | $1.4 \pm 0.5$ | $(2.7\sigma)$ |
| HNC | 135 | $0.9 \pm 0.6$ | $(1.6\sigma)$ |
| HCO$^+$ | 137 | $0.7 \pm 0.5$ | $(1.3\sigma)$ |
| HOC$^+$ | 132 | $1.5 \pm 0.6$ | $(2.6\sigma)$ |
| CH | 65 | $7.3 \pm 0.9$ | $(8.7\sigma)$ |
| H$_2$O$^+$ | 98 | $0.3 \pm 0.4$ | $(0.7\sigma)$ |
| SiO | 273 | $-0.1 \pm 0.4$ | $(-0.2\sigma)$ |
| CS | 218 | $0.5 \pm 0.5$ | $(1.0\sigma)$ |
| NH$_3$ | 152 | $-0.0 \pm 0.5$ | $(-0.1\sigma)$ |
| CCH | 133 | $-0.5 \pm 0.6$ | $(-0.8\sigma)$ |
| H21–28$\alpha$| 220 | $0.1 \pm 0.5$ | $(0.3\sigma)$ |
transitions of the CO isotopologues are often observed together with the detected $^{12}$C/$^{16}$O line transitions, which increases the robustness of our upper limits, because we are comparing like-for-like transitions for each galaxy in our isotopologue ratio estimates.
Our isotopologue results are within the typical range of other galaxies, although local molecular clouds typically have lower ratios. The Milky Way’s molecular clouds have $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratios between 5 and 10 (Buckle et al. 2010, 2012), although the chemical abundances of the carbon element ($^{12}$C to $^{13}$C) evolves from 25 near the Galactic Centre up to 100 in the solar vicinity (Wilson & Rood 1994; Wang et al. 2009). Cao et al. (2017) and Cormier et al. (2018) report on spiral galaxies, with average ratios between 8 and 20. The local ULIRG Arp 220 has different isotopologue line ratios depending on the transition, ranging from 40 down to 8 (Greve et al. 2009) for $^{13}$CO (1–0) to (3–2), and a $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratio of 40 for C$^{18}$O (1–0). Similarly, Sliwa et al. (2017) find 60 to 200 for the $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ and $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratios for the nearby ULIRG IRAS 13120–5453.
Higher-redshift galaxies also show relatively diverse isotopologue line ratios, with Méndez-Hernández et al. (2020) finding 16 and 40 for $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ and $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$, respectively, for a sample of star-forming galaxies at $z \approx 0.02–0.2$. The DSFG Cosmic Eyelash (SMM J2135 – 0102) has an $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratio in excess of 60, with similarly luminous $L'_{\text{C}_1\text{O}}$. The Cloverleaf quasar (Henkel et al. 2010) shows a high $^{13}$CO flux, with an associated ratio of 40. Individual observations of two SPT sources (Béthermin et al. 2018) find a line ratio of around 26 for $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$, and Zhang et al. (2018) report $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratios of 19–23 and $L'_{\text{C}_2\text{O}}/L'_{\text{C}_1\text{O}}$ ratios between 25 and 33. Our BEARS targets appear to agree with the more actively star-forming or AGN-dominated systems in the local and high-redshift Universe, which are suggestive of optically thick emission, although the spatial variation of the isotopologue emission can cause filling factor effects (e.g. Aalto et al. 1995).
The relative ratios of the isotopologues to one another can further reveal the star-forming conditions of the system (Davis 2014; Jiménez-Donaire et al. 2017). The nucleosynthesis of the carbon and oxygen isotopes are both produced in the CNO cycle (Maiolino & Mannucci 2019). The carbon isotope is formed through intermediate
stars, on typical time-scales of $> 1$ Gyr, while the oxygen isotope is produced through more massive stars (Henkel & Mauersberger 1993; Wilson & Rood 1994). Both at low and high redshift, low ratios of $L_{\text{HCO}^+}/L_{\text{CH}_3\text{OH}}$ can be interpreted as an effect of a variable IMF. For example, Siwa et al. (2017) report ratios below 1 for $L_{\text{HCO}^+}/L_{\text{CH}_3\text{OH}}$ for the local ULIRG IRAS 13120$-$5455, and Zhang et al. (2018) find that only a top-heavy IMF can produce the observed low ratios of $L_{\text{HCO}^+}/L_{\text{CH}_3\text{OH}}$. Our stacked observations are unable to detect this line ratio, although we are likely close to the detection limit of (one of the two) isotopologues given the existing detections in similar sources. These stacking observations argue towards the need for detailed and individual studies of isotopologues at high redshift, particularly of the brightest sources, instead of stacking studies across multiple sources.
The observed [C I] ($^3P_2$–$^3P_0$) and [C I] ($^3P_2$–$^3P_1$) line luminosities correlate with infrared luminosities for our sources, as well as local and other high-redshift galaxies over five orders of magnitude (Fig. 4). The detection of neutral carbon and CO lines furthermore enables a comparison to PDR models and the line ratios of our stacked spectrum provide similar FUV radiation field and gas density values as the average sample, as seen in Fig. 9.
These stacking attempts reveal HCN (4–3), and tentatively show a small feature near the CH 532 associated with HCN (6–5) in Fig. 16, also noticeable in the larger velocity width of the CH 532 in Table 1 ($\delta V \approx 928$ km s$^{-1}$). These transitions suggest the presence of dense gas, since their critical density is about 100–1000 larger than those of CO lines (10$^{10}$–cm$^{-3}$; Jiménez-Donaire et al. 2019; Lizée et al. 2022), and thus could be associated with dense star-forming regions (Goldsmith & Kauffmann 2017) or with AGNs (Aalto et al. 2012; Lindberg et al. 2016; Cicone et al. 2020; Falstad et al. 2021). HCN is incidentally detected in the brightest high-redshift galaxies (Riechers et al. 2006a, 2010; Oteo et al. 2017; Caiameras et al. 2021). In contrast, Rybak et al. (2022) reported one detection of HCN (1–0) emission line as a result of a deep survey with VLA towards six strongly lensed DSFGs. They suggest that in fact most DSFGs have low-dense gas fraction. When stacking all the HCN lines across the entire sample, 140 line transitions are stacked, resulting in a 2.7$\sigma$ tentative feature of $1.4 \times 10^9$ K km s$^{-1}$ pc$^2$. We obtain the HCN/CO line luminosity ratio of $L_{\text{HCN}}/L_{\text{CO}} = 0.022 \pm 0.008$ and an upper limit on the HCO$^+$/CO line luminosity ratio of $L_{\text{HCO}^+}/L_{\text{CO}} < 0.024$ based on our stacked spectrum. The deep VLA survey from Rybak et al. (2022) reports an upper limit in line luminosity ratio of $L_{\text{HCN}}/L_{\text{CO}} < 0.045$ and $L_{\text{HCO}^+}/L_{\text{CO}} < 0.043$, using solely the ground transitions. Since our results use a stack across multiple higher order transitions, a direct comparison between these results is more difficult, however, our results also suggest a dearth of dense gas in the BEARS sample. No other cyanide molecules nor the radical are detected. The individual and stacked lines agree with the observed line luminosities from Spilker et al. (2014), and suggest that dense star-forming regions are present across most DSFGs.
Five sources are observed at the rest-frame frequency of the H$_2$O (2$_{11}$–2$_{02}$) line. The average line-to-total-infrared luminosity ratio is in line with the scaling relations of Jarugula et al. (2021) and Yang et al. (2016), as well as the one fitted to our data. The scaling relation found in Section 4.8 is instead due to the lower water line luminosity seen in infrared-fainter galaxies. The detection of H$_2$O$^+$ 746 allows us to make a rough estimation of the cosmic ray ionization rate. We find a luminosity ratio of H$_2$O$^+$/H$_2$O $\approx 0.4 \pm 0.2$, which is in agreement with Yang et al. (2016) (H$_2$O$^+$/H$_2$O $\approx 0.3 \pm 0.1$). The predicted ionization rate (Meijerink et al. 2011) is around $10^{-14}$ to $10^{-13}$ s$^{-1}$.
The bright emission from the CH doublet at 532 and 536 GHz indicates the existence of high-density gas in X-ray-dominated regions (XDRs) associated with bright stars or AGNs (Meijerink, Spaans & Israel 2007; Rangwala et al. 2014) or strong irradiation through cosmic rays (Benz et al. 2016). Currently, the two scenarios are not easily distinguished (Wolffire, Vallini & Chevance 2022), although enhanced excitation of high-J CO lines through (resolved) observations could favour an XDR origin (Vallini et al. 2019), taking into account the effect of mechanical shock excitation of the high-J CO components (Meijerink et al. 2013; Falgarone et al. 2017). Regardless of the origin of the CH 532 and 536 line emission, strong radiation sources and/or cosmic rays are necessary to explain the nature of these distant DSFGs.
### 7 CONCLUSIONS
We have investigated the physical properties of the BEARS sample, which consists of 71 line-detected galaxies, based on 156 spectral line flux estimates including upper limits (the detections of 117 CO, 27 [C I], and two H$_2$O lines, and the upper limits of a single CO, six [C I], and three H$_2$O lines). We report the following conclusions:
(i) The average gas properties of our sample are similar to other DSFG samples. Especially, the CO SLEDs of most sources as well as the stacked CO SLED follows the mean CO SLED for *Planck*-selected lensed DSFGs from Harrington et al. (2021).
(ii) Our galaxies follow the relation between line luminosity and infrared luminosity over five orders of magnitude when compared to reference samples at low and high redshift. The SK relation, however, shows that our sources and other DSFGs are not located in same star formation phase as local and low-redshift gas-rich, normal star-forming systems. In addition, our sources seem to have slightly longer depletion times than other DSFGs from Chen et al. (2017), although this effect could be explained by a difference in the size estimation of the star-forming regions.
(iii) Most of our samples have dynamical masses between $10^{11}$ and $10^{12}$ M$_\odot$, and are found to be lower than molecular gas mass estimates. This means that we likely underestimate the dynamical mass within the BEARS systems. This could be caused by differential lensing or because these systems are dynamically complex.
(iv) The dust-to-gas ratios of our sources do not vary with redshift, and the ratios are similar to that of the Milky Way. The low scatter and lack of trend with redshift suggest we are witnessing a single star-forming phase, and the high dust-to-gas ratio suggests that this phase occurred relatively recently.
(v) The PDR conditions of the BEARS sources are similar to those of DSFGs and local U/LIRGs, with denser and more intense radiation environments than low-$z$ MS galaxies in line with previous studies (e.g. Valentino et al. 2020b). We investigate these PDR conditions with PDRT and find that most of our galaxies are located within $10^4 \leq n_H \leq 10^5$ [cm$^{-3}$] and $10^4 \leq G_0 \leq 10^4$ [Habing].
(vi) Our linear regression fitting of the H$_2$O (2$_{11}$–2$_{02}$) to infrared luminosity relation for low- and high-redshift samples favours a super-linear relation with 3$\sigma$ significance, consistent with previous observations from Yang et al. (2016).
(vii) We find four candidates (HerBS-69B, -120A, -120B, and -159B) that show ‘super-thermalized’ CO line ratios. Although their ratios are consistent with thermalized one at 1–2.3$\sigma$ due to the large uncertainty inherent in luminosity ratio estimates, especially, HerBS-69B and -120B stand out from the other 44 galaxies, suggesting a rare phase in the evolution of DSFGs. We note that we require follow-up observations to confirm their super-thermalized nature.
(viii) The deep stacked spectrum (220–890 GHz) reveals an additional H$_2$O$^+$ line, as well as the dense gas tracer HCN (4–3), and two tracers of XDR and/or cosmic-ray-dominated environments through CH 532 and 536. The total stack provides deep upper limits on the $^{13}$CO and C$^{18}$O isotopologues, in line with previous observations and line stacking experiments.
In the near future, we aim to expand upon the current studies with high-resolution imaging to reveal the morphological and kinematic properties of these galaxies. We place a particularly focus on the CUBS targets to confirm their super-thermalized line profiles, using tracers that reveal merging or AGN activity, as well as the highest-resolution imaging possible using the near-infrared JWST. Further continuation of the study of the ISM of these galaxies is also necessary, notably towards water and carbon emission lines. Finally, an important goal is the redshift completion of the sample targeted in Urquhart et al. (2022).
ACKNOWLEDGEMENTS
We would like to thank the anonymous referee for their insightful comments and suggested additions. This work was supported by the National Astronomical Observatory of Japan (NAOJ) ALMA Scientific Research Grant nos. 2018–09B and Japan Society for the Promotion of Science (JSPS) KAKENHI nos. 17H06130, 22H04939, and 22J21948. SS was partly supported by the ESCAPE project; ESCAPE—The European Science Cluster of Astronomy and Particle Physics ESFRI Research Infrastructures has received funding from the European Union’s Horizon 2020 research and innovation programme under grant agreement no. 824064. SS also thanks the Science and Technology Facilities Council for financial support under grant ST/P000584/1. SU would like to thank the Open University School of Physical Sciences for supporting this work. HU acknowledges support from JSPS KAKENHI Grant Number 20H01953. CY acknowledges support from European Research Council (ERC) Advanced Grant 789410. HD acknowledges financial support from the Agencia Estatal de Investigación del Ministerio de Ciencia e Innovación (AEI-MCINN) under grant (La evolución de los cúmulos de galaxias desde el amanecer hasta el mediódia cósmico) with reference (PID2019-105776GB-I00/DOI:10.13039/501100011033) and acknowledge support from the Agencia Canaria de Investigación, Innovación y Sociedad de la Información (ACIISI), Consejería de Economía, Conocimiento y Empleo del Gobierno de Canarias, and the European Regional Development Fund (ERDF) under grant with reference PROID2020010107.
DATA AVAILABILITY
The Herschel SPIRE data can be downloaded from https://www.h-atlas.org, while the reduced, calibrated and science-ready ALMA data are available from the ALMA Science Archive at https://almascience.eso.org/sax/.
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APPENDIX A: ADDITIONAL VELOCITY-INTEGRATED LINE FLUXES AND UPPER LIMITS
We extracted three extra [C I] ($^3P_{1-3}P_0$), three extra [C I] ($^3P_{2-3}P_1$), and one extra H$_2$O (2$_{11-202}$) lines on top of the lines reported in Urquhart et al. (2022). Together with these, we list 10 upper limits on line fluxes in Table A1.
| Source ID | Line | $S\&V$ (Jy km s$^{-1}$) |
|-----------|------|--------------------------|
| HerBS-28 | H$_2$O (2$_{11-202}$) | 1.4 ± 0.4 |
| HerBS-41 | [C I] ($^3P_{1-3}P_0$) | 0.73$^a$ |
| | [C I] ($^3P_{2-3}P_1$) | 1.3 ± 0.4 |
| HerBS-77 | H$_2$O (2$_{11-202}$) | 1.6$^a$ |
| HerBS-80A | [C I] ($^3P_{1-3}P_0$) | 1.5$^a$ |
| HerBS-90 | [C I] ($^3P_{2-3}P_1$) | 4.0 ± 1.1 |
| HerBS-117 | [C I] ($^3P_{2-3}P_1$) | 1.7 ± 0.4 |
| HerBS-121 | [C I] ($^3P_{1-3}P_0$) | 0.81$^a$ |
| HerBS-131B | H$_2$O (2$_{11-202}$) | 1.7$^a$ |
| HerBS-159A | CO ($J = 3-2$) | 1.1$^a$ |
| HerBS-159B | [C I] ($^3P_{1-3}P_0$) | 1.0 ± 0.2 |
| HerBS-160 | [C I] ($^3P_{1-3}P_0$) | 0.71$^a$ |
| HerBS-200 | H$_2$O (2$_{11-202}$) | 1.4$^a$ |
| HerBS-208B | [C I] ($^3P_{1-3}P_0$) | 2.2 ± 0.6 |
| HerBS-208B | [C I] ($^3P_{1-3}P_0$) | 1.2$^a$ |
Note. $^a$3σ upper limits.
**Table B1.** Scaling relation fits to the lines shown in Fig. 4.
| Line | $a$ | $b$ |
|---------------|-----------|-----------|
| CO ($J = 2–1$)| $0.79 \pm 0.04$ | $0.6 \pm 0.5$ |
| CO ($J = 3–2$)| $0.91 \pm 0.02$ | $-1.1 \pm 0.2$ |
| CO ($J = 4–3$)| $0.97 \pm 0.01$ | $-1.9 \pm 0.1$ |
| CO ($J = 5–4$)| $0.998 \pm 0.009$ | $-2.5 \pm 0.1$ |
| CO ($J = 6–5$)| $1.02 \pm 0.01$ | $-3.0 \pm 0.2$ |
| CO ($J = 7–6$)| $1.05 \pm 0.01$ | $-3.7 \pm 0.1$ |
| [C I] ($^3P_0–^3P_1$) | $1.02 \pm 0.02$ | $-2.9 \pm 0.2$ |
| [C I] ($^3P_2–^3P_1$) | $1.02 \pm 0.01$ | $-3.3 \pm 0.2$ |
**APPENDIX B: SCALING RELATIONS**
Table B1 shows the linear regression best-fitting results for the lines shown in Fig. 4 according to the following prescription,
$$\log_{10} \left( L_{\text{line}} \left[ \text{K km s}^{-1} \text{ pc}^2 \right] \right) = a \log_{10} (L_{\text{IR}} \ [\text{L}_\odot]) + b.$$
(B1)
**APPENDIX C: SIZE ESTIMATION**
Table C1 shows the deconvolved sizes obtained from CASA task IMFIT to Band 4 continuum. IMFIT returns major axis ($\theta_{\text{maj}}$) and minor axis ($\theta_{\text{min}}$) and we use the radius as $r = \sqrt{\theta_{\text{maj}} \theta_{\text{min}}}$, which turn the surface area into $\pi r^2$. For the 21 sources that are not listed in Table C1, we set the size to the minimum robust results found, equal to 0.14 arcseconds.
**Table C1.** The size estimation from IMFIT result.
| Source ID | Size (kpc) | Source ID | Size (kpc) |
|-------------|------------|-------------|------------|
| HerBS-11 | $2.2 \pm 0.2$ | HerBS-93 | $3.8 \pm 0.5$ |
| HerBS-14 | $4.17 \pm 0.06$ | HerBS-102 | $2.2 \pm 0.7$ |
| HerBS-18 | $3.7 \pm 0.2$ | HerBS-106 | $3.4 \pm 1.2$ |
| HerBS-21 | $3.9 \pm 0.2$ | HerBS-107 | $4.7 \pm 0.1$ |
| HerBS-22 | $3.8 \pm 0.2$ | HerBS-111 | $4.6 \pm 0.3$ |
| HerBS-24 | $1.1 \pm 0.8$ | HerBS-117 | $3.1 \pm 0.1$ |
| HerBS-25 | $6.9 \pm 0.9$ | HerBS-120B | $3.8 \pm 0.4$ |
| HerBS-27 | $2.8 \pm 0.5$ | HerBS-121 | $5.7 \pm 0.2$ |
| HerBS-28 | $5.0 \pm 0.1$ | HerBS-123 | $9.0 \pm 1.1$ |
| HerBS-37 | $5.6 \pm 0.3$ | HerBS-131B | $2.6 \pm 0.7$ |
| HerBS-39 | $6.8 \pm 0.4$ | HerBS-132 | $3.2 \pm 0.2$ |
| HerBS-41 | $2.0 \pm 0.6$ | HerBS-135A | $3.0 \pm 0.8$ |
| HerBS-42 | $2.3 \pm 0.4$ | HerBS-145 | $4.5 \pm 0.5$ |
| HerBS-47 | $5.2 \pm 0.2$ | HerBS-146B | $5.5 \pm 0.7$ |
| HerBS-49A | $6.8 \pm 0.2$ | HerBS-155 | $5.4 \pm 0.6$ |
| HerBS-55 | $5.1 \pm 0.2$ | HerBS-159A | $8.8 \pm 1.6$ |
| HerBS-57 | $3.8 \pm 0.4$ | HerBS-160 | $3.7 \pm 0.1$ |
| HerBS-60 | $5.0 \pm 0.3$ | HerBS-168 | $5.2 \pm 0.4$ |
| HerBS-63 | $2.5 \pm 0.7$ | HerBS-178A | $4.3 \pm 0.2$ |
| HerBS-69A | $2.2 \pm 1.1$ | HerBS-178B | $5.4 \pm 0.8$ |
| HerBS-73 | $2.0 \pm 0.5$ | HerBS-182 | $1.2 \pm 0.4$ |
| HerBS-74 | $3.1 \pm 3.2$ | HerBS-189 | $6.0 \pm 0.9$ |
| HerBS-80B | $4.7 \pm 0.3$ | HerBS-207 | $3.5 \pm 0.7$ |
| HerBS-86 | $3.0 \pm 0.5$ | HerBS-208A | $2.7 \pm 0.9$ |
| HerBS-90 | $4.6 \pm 1.0$ | HerBS-209 | $6.7 \pm 2.5$ |
**APPENDIX D: DERIVED PROPERTIES OF THE BEARS SAMPLE**
We list the galaxy properties derived throughout this paper in Table D1.
### Table D1 – continued
| ID | $\mu L_{\text{IR}}$ (10^{10} \, \text{L}_\odot)$ | $\mu M_{\text{dust}}$ (10^{10} \, \text{M}_\odot)$ | $\mu L'_{\text{CO(1–0)}}$ (10^{10} \, \text{K km s}^{-1} \, \text{pc}^2)$ | $\mu M_{\text{H}_2(\text{Cl})}$ (10^{11} \, \text{M}_\odot)$ | $\mu M_{\text{H}_2(\text{CO})}$ (10^{11} \, \text{M}_\odot)$ | $M_{\text{DM}}$ (10^{11} \, \text{M}_\odot)$ | $\Sigma_{\text{M}_{\text{H}_2}(\text{Cl})}$ (10^4 \, \text{M}_\odot \, \text{pc}^{-2})$ | $\Sigma_{\text{M}_{\text{H}_2}(\text{CO})}$ (10^4 \, \text{M}_\odot \, \text{pc}^{-2})$ | $\Sigma_{\text{SFR}}$ (10^2 \, \text{M}_\odot \, \text{yr}^{-1} \, \text{kpc}^{-2}) |
|-----|---------------------------------|-----------------|-----------------------------|-----------------|-----------------|-----------------|-----------------|-----------------|-----------------|
| 178B | 9.9 | 2.0 | 14.2 ± 3.0 | – | 5.7 ± 1.2 | 8.2 ± 2.7 | – | 0.6 ± 0.1 | 0.16 ± 0.04 |
| 178C | 6.2 | 1.3 | 7.6 ± 2.1 | – | 3.0 ± 0.8 | 0.6 ± 0.3 | – | 7.4 ± 2.1 | 2.2 ± 0.6 |
| 182 | 21.8 | 4.5 | 15.7 ± 3.9 | 7.2 ± 1.2 | 6.3 ± 1.6 | 3.8 ± 1.1 | 15.7 ± 2.5 | 13.7 ± 3.4 | 7.0 ± 1.7 |
| 184 | 28.6 | 5.9 | 21.6 ± 6.1 | 6.0 ± 0.9 | 8.5 ± 2.5 | 0.5 ± 0.2 | 14.3 ± 2.0 | 20.6 ± 5.8 | 10.0 ± 2.5 |
| 189 | 29.0 | 6.0 | 27.7 ± 7.9 | – | 10.9 ± 3.5 | 2.6 ± 0.9 | – | 0.3 ± 0.2 | 0.16 ± 0.1 |
| 200 | 16.7 | 3.4 | 11.4 ± 2.7 | 4.8 ± 1.3 | 1.6 ± 1.1 | 0.8 ± 0.4 | 10.8 ± 3.0 | 10.2 ± 2.5 | 5.5 ± 1.4 |
| 207 | 22.5 | 4.6 | 26.5 ± 3.1 | – | 10.6 ± 1.2 | 3.2 ± 1.0 | – | 2.7 ± 0.3 | 0.8 ± 0.2 |
| 208A | 15.7 | 3.2 | 17.0 ± 4.5 | 5.6 ± 0.8 | 6.8 ± 1.8 | 6.9 ± 2.7 | 2.4 ± 0.4 | 2.9 ± 0.8 | 1.0 ± 0.2 |
| 208B | 10.8 | 2.2 | 11.7 ± 2.8 | 3.4\textsuperscript{a} | 4.7 ± 1.1 | 2.5 ± 1.3 | 8.0\textsuperscript{a} | 11.0 ± 2.7 | 3.8 ± 0.9 |
| 209 | 13.6 | 2.8 | 10.8 ± 2.5 | – | 4.3 ± 1.0 | 6.6 ± 0.8 | – | 0.3 ± 0.1 | 0.14 ± 0.04 |
Note. \textsuperscript{a}Calculated from 3$\sigma$ upper limits shown in Table A1.
### Appendix E: Why differential lensing or a multiphase ISM cannot produce super-thermalized line profiles
Here, to see why differential magnification nor multiphase ISMs cannot create super-thermalized lines, we consider the following toy model. We suppose the case that there are two CO transitions, $J = 4–3$ and $J = 3–2$. For thermalized lines, we can write $L'_{\text{CO}(4–3)} = L'_{\text{CO}(3–2)}$. For thermalized or sub-thermalized lines in a single-phase ISM region, we can generalize this to $L'_{\text{CO}(4–3)} = kL'_{\text{CO}(3–2)}$, where the constant $0 < k \leq 1$, with $k = 1$ meaning it is thermalized.
Now suppose that there is some variation in $k$ across the galaxy, perhaps due to the multiphase ISM, so we split the galaxy into $N$ discrete regions, labelled $i = 1$ to $i = N$. Each region has a thermalization coefficient, $k_i$. In other words, for each region
$$L'_{\text{CO}(4–3)} = k_i L'_{\text{CO}(3–2)}. \quad (\text{E1})$$
Now we assume that this galaxy also has differential magnification, with each region being magnified by a factor of $|\mu_i|$. We can set every $|\mu_i|$ to be $|\mu_i| \geq 1$ (though formally our toy model only requires having at least one non-zero $|\mu_i|$). The total observed CO ($J = 4–3$) line luminosity will be
$$L'_{\text{obs,CO}(4–3)} = \sum_{i=1}^{N} |\mu_i| L'_{\text{CO}(4–3)}$$
$$= \sum_{i=1}^{N} |\mu_i| k_i L'_{\text{CO}(3–2)}. \quad (\text{E2})$$
Meanwhile, the total observed CO ($J = 3–2$) will be
$$L'_{\text{obs,CO}(3–2)} = \sum_{i=1}^{N} |\mu_i| L'_{\text{CO}(3–2)}. \quad (\text{E3})$$
If we take the ratio of these two observed line luminosities, we obtain an ‘effective’ observed total $k$ for the differentially magnified galaxy:
$$k_{\text{obs}} = \frac{L'_{\text{obs,CO}(4–3)}}{L'_{\text{obs,CO}(3–2)}} = \frac{\sum_{i=1}^{N} |\mu_i| k_i L'_{\text{CO}(3–2)}}{\sum_{i=1}^{N} |\mu_i| L'_{\text{CO}(3–2)}} \quad (\text{E4})$$
where we have used equation (E2). However, every $k_i \leq 1$, which means that every term in the numerator will be smaller than or equal to the corresponding term in the denominator. Therefore, $k_{\text{obs}}$ is necessarily $k_{\text{obs}} \leq 1$. Therefore, no amount of differential magnification nor combination of regions with different ISM phases can create a super-thermalized line ratio ($k_{\text{obs}} > 1$) from individual thermalized or sub-thermalized components with each individual $k_i \leq 1$.
### Appendix F: Stacked spectrum line luminosities
We report the line luminosities of the stacked spectrum in Table F1.
Figure G1. Demonstration of the diversity of the CO and [C I] (3P1–2P0) line profiles in the BEARS data set, visualized by superposing them with slight offsets, i.e. the vertical axis is linear in flux, scaled to the peak flux density value of each line. The horizontal axis shows the line velocity. Note the striking variation in widths and shapes, which we have found is not as obviously apparent in other visualizations of the data. For plotting purposes, we exclude any sources within 4000 km s$^{-1}$ of the edge of the spectral windows. The line profiles are stacked in no particular order.
APPENDIX G: DIVERSITY IN THE LINE PROFILES
Fig. G1 graphically demonstrates the diversity in line profiles across the BEARS systems.
36 Instituto Nacional de Astrofísica, Óptica y Electrónica, Tonantzintla, 72000 Puebla, México
37 Institute of Astronomy, Graduate School of Science, The University of Tokyo, 2-21-1 Osawa, Mitaka, Tokyo 181-0015, Japan
38 Research Center for the Early Universe, Graduate School of Science, The University of Tokyo, 7-3-1 Hongo, Bunkyo-ku, Tokyo 113-0033, Japan
39 Department of Astronomy, University of Cape Town, Private Bag X3, Rondebosch 7701, Cape Town, South Africa
40 INAF, Istituto di Radioastronomia-Italian ARC, Via Piero Gobetti 101, I-40129 Bologna, Italy
41 SISSA, Via Bonomea 265, I-34136 Trieste, Italy
42 Joint ALMA Observatory, Alonso de Córdova 3107, Vitacura 763-0355, Santiago de Chile, Chile
43 Sub-department of Astrophysics, University of Oxford, Denys Wilkinson Building, Keble Road, Oxford OX1 3RH, UK
44 National Radio Astronomy Observatory, 520 Edgemont Road, Charlottesville, VA 22903, USA
45 Max-Planck-Institut für Radioastronomie, Auf dem Hügel 69, D-53121 Bonn, Germany
This paper has been typeset from a TeX/LaTeX file prepared by the author.
|
Desautels Capital Management
Industry Review
Diversified Industrials
Alexandra Ma, Senior Analyst
Ian Jiang, Senior Analyst
Jade Gu, Junior Analyst
Timothy Sung, Junior Analyst
September 27, 2018
I. Industrials Overview
A) Subsector Performance
B) Drivers and Risks
C) Macroeconomic Indicators
D) Road Vs. Rail
II. Railways 101
A) Introduction to Rail
B) Key Players
C) Business Model
III. Canadian Vs. US Rail
A) Margins Comparison
B) Operating Metrics
C) Cost Structure
IV. Rail Drivers
A) Agricultural Products
B) Economically Sensitive Goods
C) Intermodal
V. Q&A
Industrials Overview
SECTION I
Industrials is a highly diversified sector, which has seen growth in line with the market in the past year.
Source: Fidelity
Industrials Overview
Subsector Forward EV/EBITDA Multiples
Source: Capital IQ 21/09/2018
Industrials Sector Characteristics
Index Value Benchmarking
| | 1-Year | 5-Year | 10-Year |
|----------------|--------|--------|---------|
| ALPHA | -0.02 x| 0.00 x | 0.00 x |
| Raw Beta | 1.02 x | 1.02 x | 1.04 x |
| Adjusted Beta | 1.02 x | 1.01 x | 1.03 x |
S&P 500 vs S&P 500 Industrials
Industrials Sectors Drivers
- **Macroecon. Trends**
- Economics Indicators
- Inflation
- Consumer Confidence
- Manufacturing Index
- Geopolitical Relations
- Exchange Rate
- Trade Policies
- **CAPEX Cycle**
- Corporate Spending
- Efficiency Improvement
- Capacity Expansion
- R&D
- Government Spending
- Subsidization
- Contract
- **Cost Structure**
- Operating Cost
- Raw Materials
- Labor Force
- Non-Operating Cost
- Financing
- Tax
- **Oil Price**
- Mixed Results
- Benefits certain sectors while hurts other sectors
The sector is impacted by general macroeconomic indicators and is highly correlated to business cycles.
Source: CapIQ, Bloomberg, Street Research
Industrials Overview
Sector Benchmarking
Index Value Return (LTM)
-5% 0% 5% 10% 15% 20% 25%
Sep-2017 Nov-2017 Jan-2018 Mar-2018 May-2018 Jul-2018 Sep-2018
S&P 500 S&P 500 Industrials
TEV/NTM EBITDA Multiple (LTM)
10.00x 11.00x 12.00x 13.00x
Sep-2017 Nov-2017 Jan-2018 Mar-2018 May-2018 Jul-2018 Sep-2018
S&P 500 S&P 500 Industrials
Intensified US-China trade war and NAFTA disputes caused underperformance and fwd. multiple spread compression
Source: Capital IQ 21/09/2018, Street Research
NAFTA Renegotiation Timeline
- **May 2017**: US Trade Representatives (USTR) submitted notice of intent to renegotiate NAFTA via fast-track statute, triggering a 90-day consultation.
- **June 2017**: Canada officially announced the start of consultations for the renegotiation and modernization of NAFTA.
- **August 2017**: First round of renegotiation talks begin – followed up with a joint statement without details on the topics.
- **September 2017**: Second round talks – covered topics: small and medium businesses, trade facilitation and telecommunications.
- **September 2017**: Third round talks – additional topics: competition policy, digital trade, good regulatory practices and customs.
- **October 2017**: Fourth round talks – additional topics: auto manufacturing, Canada’s protected dairy market, eliminating NAFTA’s dispute resolution system.
- **June 2018**: US fast track law expires – can be extended for 3 years if the president requests it; a must to conclude any trade deal in the US.
- **July 2018**: Mexico presidential elections, leading to a 5 months push-back before continuing the talks.
- **November 2018**: US midterm elections – governing activity in Washington usually slows down beforehand.
- **October 2019**: Canada’s next federal election.
NAFTA Renegotiation is dragging along for over a year with political uncertainties coming up.
Source: BDO Canada
Brexit as a Rough Proxy
Mini Case Study: Brexit Led to an Immediate 30% Drop in Values of the UK’s Air Transportation
The significant decrease in the aftermath of the Brexit vote could be a guide for Canada’s transportation industry.
Source: Capital IQ 22/09/2018
Industrials Overview
US and Canada Rails Exhibit Strong Interdependency
Strong US-Canada Cross-border Railway Connections
- 27 rail border crossings with US
- ~30% of the Canadian railways' revenues are derived from cross-border trade
- 60-70% of that being Canadian exports to the US
In Canada, 83% of rail system owned by Canadian National Railway (CNR) and Canadian Pacific Railway (CP)
The ongoing NAFTA talks could create significant uncertainty and potentially weigh on the valuations of CNR and CP
NAFTA uncertainty presents risk for Canadian railways, mainly for CNR and CP
Source: Transport Canada, BMO Capital Markets, The Canadian Press
Industrials Overview
Macroeconomic Drivers Currently Strong for Shipping
2017 World Trade Growth
Canadian Trade Mix
- 5%
- 0%
- 5%
- 10%
- 15%
World | Asia | North America | South America | Africa | Europe | Middle East
---|---|---|---|---|---|---
Volume | Value
Canadian Manufacturing Sales Growth
- 5%
- 0%
- 5%
- 10%
- 15%
- 20%
- 25%
2013 | 2014 | 2015 | 2016 | 2017
---|---|---|---|---
Sales Growth
Macro Indicators Still Suggest Shipping Growth Will be Sustained
Source: Statistics Canada, McKinsey, WTO
## Industrials Overview
### Trucking or Rail?
| Feature | Trucking | Rail |
|---------------|----------|--------|
| Fuel Efficiency | 3 | 4 |
| Time Efficiency | 4 | 3 |
| Labour | 2 | 4 |
| Flexibility | 4 | 2 |
| Environmental | 3 | 4 |
*Source: DCM*
The Problem with Trucking
Barrels of Oil (mm) Used per Day by Transportation
- Light Duty Vehicles: 8.31
- Freight Trucks: 2.69
- Air: 1.16
- Light Trucks: 0.47
- Pipeline and Distribution: 0.3
- Rail, freight: 0.24
Lower Fuel Efficiency
High No. Truckers (000’s) Signifies a Fragmented Market
- Canada: 57
- Mexico: 135
- US: 275
Lower Pricing Power
Lower Trucking Margins
Trucking is Known to have Razor Thin Margins due to a more Competitive Market and Lower Efficiency
Source: McKinsey, The Journal of Commerce.
Industrials Overview
The Problem with Trucking
Public Survey on Trucking Wages
- 100,000
- 70,000-90,000
- "You Cannot put a price on freedom"
Shortage Likely to be Sustained Due to...
1. Industry at Near Full Employment
2. Inability to Attract Drivers
3. Electronic Logging Device (ELD)
Ongoing Labour Shortages Pose a Huge Risk to Trucking
Trucking Seems Unattractive Overall, with Ongoing Labour Shortages Posing a Huge Risk
Source: American Trucking Association, USA Today.
Railroads 101
SECTION II
Railroads 101
Railroad Companies On Board the Bull Market Train
Strong Share Appreciation throughout, but Canadian Companies Struggling to Keep Pace with Counterparts
Source: Capital IQ 09/22/2018.
Railroads 101
Railroad Companies On Board the Bull Market Train
Canadian and US Rail Companies Multiple Spread Contraction Over Time
Source: Capital IQ 09/22/2018.
Revenue Growth
EBITDA Margins
Source: Capital IQ.
North America Rail Traffic and Revenue Breakdown
NA Rail Traffic Originations by Country
- U.S. Carloads: 76%
- Canada Carloads: 20%
- Mexico Carloads: 4%
NA Revenue Contribution by Type
- Intermodal: 20%
- Chemicals: 19%
- Industrial Products: 19%
- Ag. Products: 18%
- Coal: 11%
- Others: 9%
- Autos: 4%
## Key Incumbents
### Class I
Defined as having annual operating revenues of $475M in 1991 dollars, accounts for just over 2/3 of N.A. track mileage.
| Company Name | Key Geographies | Rail Ownership | Top Shipments Categories (by Revenue) | N.A. Class I Rail Market Share |
|--------------|------------------------------------------------------|------------------|---------------------------------------------------------------------------|-------------------------------|
| Union Pacific| US (23 states) | 32,122 miles | Agricultural, coal, and industrial products | 26% |
| BNSF Railway | US (28 states), Canada (3 provinces) | 32,500 miles | Consumer Products, industrial products, agricultural | 25% |
| CSX | Canada (QC, ON), America (Primarily Eastern US) | 21,000 miles | Coal, Diversified (not broken down) | 15% |
| | Primarily Eastern US (22 states) | 20,000 miles | Coal, Intermodal | 13% |
| CNS | Canada, mid-America Only railroad connecting Atlantic, Gulf, and the Pacific | 20,000 miles | Merchandise (lumber, materials), Intermodal | 12% |
| CP | Canada, mid and northeast America | 12,500 miles | Intermodal, Grain, Chemicals | 6% |
| KCS | Central US, Mexico | 6,200 miles | Industrials, Chemical, Agricultural | 3% |
*Source: Deutsche Bank, Company Reports*
Railroads 101
Railroad Industry Structure
Class II & III
Defined as railroads with revenues > $40M (Class II) or under $40M (Class III)
- > 20 regional Class II railroads connect with Class I carriers for long-haul shipping
- > 500 local/short line railroads provide rural communities with links to larger network
Passenger Railway
- Passenger rail focuses on the transportation of people and have generally been unprofitable to operate
- Majority of Canadian passenger railways function as Crown corporations under various ownership configurations
Geographical Footprint
| Region | UNP | CSX | NSC | BNSF | KSU | CP | CNI |
|-----------------|-----|-----|-----|------|-----|------|-----|
| Northwest U.S. | | | | | | | |
| Southwest U.S. | | | | | | | |
| Midwest U.S. | | | | | | | |
| Southeast U.S. | | | | | | | |
| Northeast U.S. | | | | | | | |
| Canada | | | | | | | |
| Mexico | | | | | | | |
Source: Deutsche Bank, Portland Cement Association
Class I Railroads Connect Canada from End to End While Shortlines are Used for Regional Shipments
Source: Railway Association of Canada
Railways
Freight Railway Systems
- Canadian Operators
- U.S. Operators
Passenger Systems
- National
- Commuter
- Rural/Other
Canadian Rail System Ownership
- 21,782 km (52%)
- 12,856 km (31%)
- 7,073 km (17%)
Canadian Rail Growth
- Revenue freight ton-kilometers (mm)
- Revenue passenger-kilometers (mm)
Canadian Rail Industry is an Oligopolistic Market, which is Typically an Attractive Structure for Investors
Source: Transport Canada, Statistics Canada.
Railroads 101
Nature of the Railway Industry
Operations Breakdown
1. **Originating Transport**
- New route is initiated on lines owned by the railway operator who is generally the one securing the contract.
2. **Intermediary Transport**
- Route travels on lines owned by railway operator before heading to final destinations and lines by other co’s.
3. **Terminating Transport**
- Route ends on lines owned by the railway operator who engages in the sharing of freight revenues.
Industry Characteristics
- Large, capital-intensive Networks
- Natural Monopolies
- Heavily Regulated
2016 Canadian Railway Traffic Mix
- Metals & Minerals: 21%
- Agriculture & Food Products: 8%
- Intermodal: 12%
- Fuel & Chemicals: 35%
Attractive Industry with High Barriers to Entry
Source: Railway Association of Canada
Railroads 101
Business Model
Customer pays for transportation of goods along rail lines
Operating costs incurred while transporting goods
Rail company pays for improvements, maintenance, and new equipment
Railway companies share revenues when using each other's rail lines and cars
Source: Railway Association of Canada.
Charges
Charges to Customer
Freight Charges
- Weight x Rate
- Rate is determined by commodities and specific going points across destinations
- Class Rates vs. Commodity Rates
Switching Charges
- Negotiated charge for time and crew needed for pick up and final drop of the shipments
Demurrage Charges
- Charges based on how long a customer has a rail car for
- Meant to prevent revenue being tied up from idle cars
Fuel Surcharges
Charges between Railroads
Interline Settlements
- Revenue sharing as shipments cross railroads owned by different entities
Per Diem Charges
- Railroad operators pay a “rental fee” for using the railcars of another company on their railway lines
Source: Railway Association of Canada
Railroads 101
Major Costs for Railway Companies
**Railcar and Locomotive**
- New cars and equipment can be leased or purchased by the companies
- Manufacturers produce railcars for passenger, freight and military use
**Major Players:**
- Trinity Industrials Inc.
- Greenbrier Companies
- FreightCar America Inc.
**Railroad Track Construction**
- Usually through contractors who perform new work, reconstruction, and repairs
- Railway companies expand their lines each year and require inputs such as railway tracks, railway ties, and bedding
**Major Players:**
- Granite Construction Inc.
- The Walsh Group
- Kieweit Corporation
**Rail Maintenance Services**
- Involves servicing, routine repairs and inspection, railcar maintenance, and operating independent rail terminals
**Major Players:**
- GATX Corporation
**Infrastructure and Bridge Construction**
- Railway companies reinvest a significant portion of revenues into capital improvements
- Class I railways tend to own a large number of bridges that their railway lines operate over
- E.g. CN Rail currently owns and maintains over 7,000 bridges
*Source: Railway Association of Canada, IBISWorld, CN Rail*
Revenue Composition
Revenue Drivers
Carloads × Average Price / Carload
Length of haul
Carload Mix
Underlying Price
Fuel Surcharges
Revenue / Carload Ranking
Forest Products: 3,420 C$/Carload
Chemicals: 3,373 C$/Carload
Agricultural & Food: 3,209 C$/Carload
Automotive: 2,574 C$/Carload
Metals & Minerals: 2,072 C$/Carload
Coal: 1,844 C$/Carload
Intermodal: 917 C$/Carload
Source: Street Research
Canadian Vs. US Rail
SECTION III
Canadian vs. US Rail
Canadian Rails Benefits from Higher Yielding Carloads
| | Canada | United States |
|------------------|---------|---------------|
| Top Half Yield | $3,699 | $3,316 |
| Volume for Top Half | 34% | 37% |
| Blended Yield (Rev./Carload) | $2,176 | $2,203 |
From railroad company’s perspective, taking on more high-value products improves its fixed cost leverage
Source: Street research, Company filings
Canadian vs. US Rail
Margin Comparison
Revenue / Carload (in $C)
- U.S. Rails: 1,813
- Canadian Rails: 1,839
+1%
Cost / Carload (in $C)
- U.S. Rails: 1,216
- Canadian Rails: 1,054
-15%
Canadian rails generated 1% more revenue per carload than the U.S. rails on average.
It costs Canadian rails 15% less per carload than the U.S. rails on average.
Although sharing the same nature, Canadian railroads achieve superior profits relative to the U.S. rails.
Source: Street research, company filings
Canadian vs. US Rail
Operating Metrics
| Revenue ton Miles | Gross ton Miles |
|-------------------|-----------------|
| Weight in tons (Shipment) * # of miles transported | Total weight in tons (Shipment + Lading Cars and Locomotive) * # of miles transported |
| Both account for both weight and distance that goods are transported |
RTM and GTM more accurately reflects the overall workload of a railroad
Source: Street research
Canadian vs. US Rail
Operating Metrics
Revenue / RTM (in cents)
- CNI: 0.043
- CP: 0.036
- UNP: 0.045
- NSC: 0.052
- CSX: 0.052
Canadian rails revenue / RTM is 20% below the U.S. rails
- Longer distance of haul or heavier mixed of cargo
Cost / GTM (cents)
- CNI: 0.012
- CP: 0.0116
- UNP: 0.015
- NSC: 0.018
- CSX: 0.019
Canadian rails cost / GTM is 30% below the U.S. rails
- Longer lengths of haul enjoy a more productive workforce
- Less manpower requirement vs. the loading/unloading
- It also helps improve fuel efficiency
Canadian rails generate less revenue per RTM, but incur even lower costs per GTM on a relative basis
Source: Street research
Canadian vs. US Rail
Operating Metrics
GTM per employee (in MM)
| Company | GTM per Employee |
|---------|------------------|
| CNI | 19.00 |
| CP | 20.10 |
| UNP | 20.00 |
| NSC | 13.30 |
| CSX | 14.60 |
GTM per gallon of diesel consumed
| Company | GTM per Gallon of Diesel Consumed |
|---------|-----------------------------------|
| CNI | 1,061 |
| CP | 1,035 |
| UNP | 880 |
| NSC | 801 |
| CSX | 919 |
Canadian rails benefits from higher employee productivity and fuel efficiency
Source: Street research, company filings
Canadian vs. US Rail
Cost Structure
- Compensation/labor-related costs are the largest component of operating expenses for a railroad
- > 35% of expenses on average
- CNI and CP stood out from cost contribution comparison
- Precision Railroading model is a big driver
- Canadian rails benefit from pension plan
Employee productivity is the largest source of margin differential for the industry
Source: Street research, company filings
SECTION IV
Carload Mix
1. Port Capacity
2. Trucking Capacity
3. Oil Price
4. Retail Sales
Intermodal
Economically Sensitive Products
Agricultural Products
1. Population Growth
2. Grain Yield
3. Commodity Price
1. Construction Demand
2. Industrial Production
3. Oil Price
4. Pipeline Capacity
Drivers of Carload Mix
1. Port Capacity
2. Trucking Capacity
3. Oil Price
4. Retail Sales
Intermodal
Economically Sensitive Products
Agricultural Products
1. Population Growth
2. Grain Yield
3. Commodity Price
1. Construction Demand
2. Industrial Production
3. Oil Price
4. Pipeline Capacity
Agricultural Product Drivers
Canadian Grain Production Volume (2007-16)
Global Commodity Prices: Grain
Agricultural Volumes Holding Steady
Source: Canadian Wheat Commission, FRED.
Economically Sensitive Product Drivers
(in $ millions, unless noted)
Canadian Labour Force Holds Steady
Value of New Residential Building Permits
Employment Metrics
Value of New Non-Residential Building Permits
Macro Indicators Point Positive for Economically Sensitive Products
Source: Statistics Canada.
Rail Exports of Crude on the Rise
(in $ millions, unless noted)
Canadian Crude Exports by Rail (2012-1H18)
Crude Oil Refiner and Upgrader Capacity
Source: National Energy Board.
Why Carload Matters
Revenue / Carload Ranking
(C$/Carload)
- Forest Products: 3,420
- Chemicals: 3,373
- Agricultural & Food: 3,209
- Automotive: 2,574
- Metals & Minerals: 2,072
- Coal: 1,844
- Intermodal: 917
U.S. Carload Breakdown (Ex-Intermodal)
- Coal: 31%
- Chems & Petroleum: 17%
- Ag & Food Products: 16%
- Nonmetallic minerals: 13%
- Ores & Metals: 8%
- Forest Products: 4%
- Autos & parts: 7%
- Other: 4%
Canadian Carload Breakdown (Ex-Intermodal)
- Chems & Petroleum: 24%
- Ag & Food Products: 22%
- Ores & Metals: 17%
- Forest Products: 11%
- Nonmetallic minerals: 7%
- Autos & parts: 7%
- Other: 2%
Source: Street research, company filings
Why We Exited Our Position in UNP
Exit Rationales
- Realization of Theses
- Efficiency Bottleneck
- Over-Exposure to Coal
U.S. Electric Generation Has Become Less Dependent on Coal
N.A. Coal Carloads vs. Spread Between Natural Gas and Coal
Source: Street research, EIA, AAR
Carload Mix
1. Port Capacity
2. Trucking Capacity
3. Oil Price
4. Retail Sales
Intermodal
Economically Sensitive Products
Agricultural Products
1. Population Growth
2. Grain Yield
3. Commodity Price
1. Construction Demand
2. Industrial Production
3. Oil Price
4. Pipeline Capacity
What is Intermodal Shipping?
Intermodal Shipping
- Encompasses freight movements using more than one mode of transport e.g. ship to truck, truck to train, train to truck etc.
- Shipper establishes independent contract with each carrier per transport leg
- Represented roughly half of all North American rail traffic in 2016
Multimodal Shipping
- Transporting goods across different modes of transport with different carriers
- One transport bill of lading, single contract across all transport legs
- Minimization of logistic coordination expense for the shipper and centralized liability
Example Route for Domestic Intermodal Transportation
Customer → Road Movement → Inland Terminal → Rail Movement → Port Operations
Source: Company filings.
Intermodal Shipping
Non-Local Destination
Near Dock Railyard
On Dock Railyard
Off Dock Railyard
Marine Terminal
Transload / Storage Yard
Drayage Terminal
Warehouse Consolidator
Local / Factory
Airport
Air
Ground
Port
Complex Operations and Logistics System in a Global Network
Source: Environmental Protection Agency.
Intermodal Traffic
Intermodal Traffic Trends
Advantages of Intermodal Transportation
- Reduced cargo handling
- Increased damage and loss security
- Standardization of transport/transfer equipment
- Automation of terminal operations
Source: Rail Canada
Intermodal Traffic Trends
(in $ millions, unless noted)
Change in Canadian Railway Cargo Mix
- Agricultural & Food Products
- Minerals & Metals
- Manufactured Equipment & Automobiles
- Fuels & Chemicals
- Forest & Paper Materials
- Intermodal
Growth in Total Metric Tonnes of Intermodal Traffic
Intermodal is a Key Volume Driver, especially in Canada
Source: Railway Association of Canada.
Industry Primer
2017 a Record Year for Canadian Port Activity
Canada’s Largest Ports
Increased Ports Activity to help Sustain Railway Volumes
$200bn in goods
$9.7bn in GDP
7% overall increase in tonnage activity compared to 3% increase in GDP
1. Vancouver - Facilitates trade with 170 countries, traffic volumes of 140 million tonnes (3rd largest in NA)
2. Montreal - The second largest port in Canada grew 7% to ship a record of 38 million tones in 2017 attributable to an increase in iron ore shipments to Asia
3. Prince Rupert - Prince Rupert shipped a record of 24.1 million tons in 2017 representing 28% growth
4. Halifax - Growth of 7.6% to 8.9 million tonnes due to an increase in containerized cargo volume
5. Toronto - Volume grew 18.6% due to strong growth in cement and aggregate shipments
Source: Canadian Sailings, Port Technology.
Case Study: Port of Vancouver
YoY Percentage Change in Port of Vancouver Volume
Increases in Port of Vancouver Foreign Processing Volume
Volume Growth from Key Ports and Capacity Expansion to be a Key Driver for Rail Growth
Source: Port Authority of Vancouver
International Agreements Driving Imports & Exports
(in $ millions, unless noted)
Comprehensive Economic Trade Agreement (2017)
- Free trade agreement between Canada and EU member states
- Significant increase in EU imports since October
- Canada managing to penetrate new markets
Aluminum 206%
Vehicles & Parts 96%
Maple Syrup & Cranberries
CPTPP Developments (2018)
- Trade agreement with 10 critical markets across APAC and LatAm
- Expected to boost Canadian economy by $4.2 billion
- Second reading passed through the House (Sept. 18)
- Set to be ratified and put into force by year end
- Singapore, Mexico, Japan have already ratified the pact
- Australia, Chile looking to do so by the year end
Canada is the only G7 nation with free trade access in North America, Europe, and APAC
Source: CBC, Financial Times, Vietnam Investment Review.
Domestic Intermodal Drivers
YoY change in U.S. Intermodal volumes (RHS) and U.S. Retail Sales (LHS)
Correlation: 83%
YoY change in Canadian Intermodal volumes (RHS) and CA Retail sales (LHS)
Correlation: 88%
Retail sales is the best gauge for prospective movements in intermodal volumes
Source: Street research, AAR
## Summary
### Canadian Rail vs. US Rail
| Carload Yield | Higher carload yield | Lower carload yield |
|---------------|----------------------|---------------------|
| Operating Efficiency | Market duopoly allows for more efficient operations | More major players fragmenting industry |
| Cost Structure | Higher efficiency from Precision model | Lower efficiency from labour costs |
| Carload Mix | Growing agricultural, crude, and intermodal segments | Coal intensive carload mix |
| Trading Multiples | Canadian railway companies tend to trade at higher multiples | American railway companies tend to trade at lower multiples |
| Vulnerability to Trade Turmoil | Less exposure due to international trade agreements | More exposure due to proximity to trade actions |
We like Canadian rail fundamentally, but given the trade disputes and geopolitical uncertainty we are holding off.
*Source: Street Research (Deutsche)*
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Industrials 101
Precision Railroading Model (PRM)
What is Precision Railroading Model?
- Constant monitoring and optimization of every asset throughout the entire organization
- Prioritizes delivery of a customer’s shipment from origin to destination as quickly as possible
- Similar to the airline – a plane will leave at its scheduled departure time regardless of whether all seats are filled.
Foundation of Precision Railroading
- Improving customer service
- Controlling costs
- Optimizing asset utilization
- Operating safely
- Valuing and developing employees
Eco-system Within Precision Railroading
- Improved Services
- Increased Productivity
- Reduced Costs
- Heavy Investments
- Network Expansion
PRM forms an integrated and transcontinental railroad while enhancing competition and economic growth
Source: Company filings
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